CI-GEF/GCF PROJECT AGENCYENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK (ESMF)NOVEMBER 16, 2020
(Version 7)

DOCUMENT LOG AND CHANGE RECORD
Version

Date

Changes/Comments

Author(s)01

Oct 2013

ESMF at accreditation

Orissa Samaroo (CI-GEF Team)02

Jan 2014

Reorganization of ESMF document into two major
sections: 1) policies and 2) implementation
arrangements (in appendices)

Miguel Morales (CI-GEF Team)03

Dec 2014 General improvement of ESMF document based on
the experience gained after a year of
implementation. Gender policy substantiallyexpandedMiguel Morales (CI-GEF Team)
Kame Westerman (CI gender specialist)04

Jan 2015

Revision of ESMF document by external consultantsin preparation for Safeguard Training (Jan 2015)

Greg Radford (ESSA Technologies Ltd.)
Miguel Morales (CI-GEF Team)05

Nov 2015 Substantial improvement of the ESMF document
based on CI experts review and feedback during
Safeguard Training, including updates of thefollowing policies: Protection of Natural Resources,
Involuntary Resettlement, Pest Management,
Stakeholders Engagement, and Gender
Mainstreaming. Gender considerations weremainstreamed throughout the ESMF

Ian Kissoon (CI-GEF Team)
Miguel Morales (CI-GEF Team)
Orissa Samaroo (CI-GEF Team)
Kame Westerman (CI gender specialist)06

Feb 2017 Appendix I - Project Safeguard Screening Form
updatedAppendix VIII - Guidelines on developing a Gender
Mainstreaming Plan updated
Appendix XI (new) - Minimum safeguard indicators
added

Ian Kissoon (CI-GEF Team)07

Apr 2020 - Reorganization of policies under an ESMF,
Nov 2020 introduction of ESS Standards, updating of policies
based on a GEF/GCF gap analysis and consultations
with internal and external subject experts, andupdating appendices including guidance documents,
templates and screening form.

Ian Kissoon (CI-GEF/GCF Project Agency)with support from CI’s Social Policy andPractice team and DDA International
Consulting Ltd.

For more information, please contact:
Ian Kissoon
Director, Environmental and Social Management Framework
GEF/GCF Project Agency
Conservation International (CI)2011 Crystal Drive, Suite 600 - Arlington, VA 22202
Telephone (office): +1-703-341-2634
Email: ikissoon@conservation.org
Websites: http://www.conservation.org/gef http://www.conservation.org/gcf

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TABLE OF CONTENTSI.
ACRONYMS & ABBREVIATIONS.............................................................................................. 3
II. DEFINITIONS........................................................................................................................... 4
III. INTRODUCTION .................................................................................................................... 10
IV. PURPOSE .............................................................................................................................. 11
V. SCOPE OF APPLICATION ....................................................................................................... 11
VI. INSTITUTIONAL ARRANGEMENTS ........................................................................................ 12
VII: DISCLOSURE OF INFORMATION ........................................................................................... 15
VIII: SUMMARY OF ESMF EXCLUSIONS ....................................................................................... 16
IX. POLICY 1: ENVIRONMENTAL AND SOCIAL SAFEGUARDS.................................................... 17
ESS 1: Environmental and Social Impact Assessment.......................................................... 19
Ess 2: Protection of Natural Habitats and Biodiversity Conservation ................................. 23
ESS 3: Resettlement and Physical and Economic Displacement ......................................... 27
ESS 4: Indigenous Peoples ................................................................................................... 31
ESS 5: Resource Efficiency and Pollution Prevention .......................................................... 34
ESS 6: Cultural Heritage ....................................................................................................... 38
ESS 7: Labour and Working Conditions ................................................................................ 40
ESS 8: Community Health, Safety and Security ................................................................... 43
ESS 9: Private Sector Direct Investments and Financial Intermediaries .............................. 46
ESS 10: Climate Risk and Related Disasters ......................................................................... 48
X. POLICY 2: GENDER MAINSTREAMING................................................................................. 50
XI. POLICY 3: STAKEHOLDER ENGAGEMENT ............................................................................. 53
XII. POLICY 4: ACCOUNTABILITY AND GRIEVANCE MECHANISM............................................... 57
XIII: APPENDICIES ........................................................................................................................ 59
APPENDIX I: Safeguard Screening Form .............................................................................. 59
APPENDIX II: Methodology for Conducting ESIAs ................................................................ 71
APPENDIX III: Terms of Reference for ESMP ....................................................................... 83
APPENDIX IV: Plan for Natural Habitats and Biodiversity Conservation ............................. 87
APPENDIX V: Voluntary Resettlement Action Plan (V-RAP) ................................................ 91
APPENDIX VI: Indigenous Peoples Plan (IPP) ..................................................................... 102
APPENDIX VII: Resource Efficiency and Pollution Prevention Plan ................................... 110
APPENDIX VIII: Labour Management Procedures Guidance and Template ...................... 113
APPENDIX IX: Community Health, Safety and Security Risk Assessment Tool .................. 120
APPENDIX X: Guidance on Private Sector Direct Investments and Financial Intermediaries............................................................................................................................................ 124
APPENDIX XI: Guidance on Climate Risk and Related Disasters ........................................ 127
APPENDIX XII: Gender Mainstreaming Plan (GMP) Template ........................................... 131
APPENDIX XIII: Stakeholder Engagement Plan (SEP) Template ......................................... 137
APPENDIX XIV: Accountability & Grievance Mechanism Template .................................. 143
APPENDIX XV: CI’s Approval of the Updated ESMF………………………………………………………..147

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I.

ACRONYMS & ABBREVIATIONS

AIS
BMP
CI
CSO
EMP
ES
ESIA
ESMF
ESMP
ESS
FPIC
GBV
GCF
GEF
GIIP
GMP
IFC
ILO
IPM
IPP
IUCN
IVM
KBA
M&E
NTFP
PIF
PPF
PPG
SEAH
SEP
SMART
TOR
UNDRIP
V-RAP
WB
WHO

Alien and Invasive Species
Biodiversity Management Plan
Conservation International
Civil Society Organizations
Environmental Management Plan
Ecosystem Services
Environmental and Social Impact Assessment
Environmental and Social Management Framework
Environmental and Social Management Plan
Environmental and Social Standard
Free, Prior and Informed Consent
Gender-based Violence
Green Climate Fund
Global Environment Facility
Good International Industry PracticeGender Mainstreaming Plan
International Finance Corporation
International Labour Organization
Integrated Pest Management
Indigenous Peoples Plan
International Union for Conservation of Nature
Integrated Vector Management
Key Biodiversity Areas
Monitoring and Evaluation
Non-Timber Forest Products
Project Identification Form
Project Preparation Facility
Project Preparation Grant
Sexual Exploitation and Harassment
Stakeholder Engagement Plan
Specific, Measurable, Achievable, Relevant, Time specificTerms of Reference
United Nations Declaration on the Rights of Indigenous Peoples
Voluntary Resettlement Action Plan
World BankWorld Health Organization

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II.

DEFINITIONS

Affected
Communities

Communities of the local population within the project’s area ofinfluence who are likely to be affected by the project.

Complainant

A potentially project-affected party that brings a complaint about a
CI-supported project forward, either to a local or country-level
dispute resolution system or CI’s Director of Compliance.

Critical Natural
HabitatHabitats considered essential for biodiversity conservation, provisionof ecosystem services and the well-being of people at the local,
national, regional or global levels. They include, among others,
existing protected areas, areas officially proposed as protected areas,
areas recognized as protected by indigenous and local communities,
as well as areas identified as important for conservation, such as Key
Biodiversity Areas (KBAs), Alliance for Zero Extinction (AZE) Sites,
Important Bird and Biodiversity Areas (IBAs), Biodiversity Hotspot,
Ramsar Sites, areas identified as important for ecosystem services
such as carbon storage, freshwater provision and regulation, etc.

Degradation

Modification of a critical or other natural habitat that substantiallyreduces the habitat’s ability to maintain viable populations of its
native species or support thriving human communities.

Ecosystem Services

Ecosystem services are the benefits that people derive fromecosystems. Ecosystem services may be organized into four types: (i)provisioning services, which are the goods people obtain fromecosystems (i.e. food, freshwater, timber, fibers, medicinal plants);(ii) regulating services, which are the benefits people obtain from theregulation of ecosystem processes (e.g. surface water purification,
carbon storage and sequestration, climate regulation protection
from natural hazards); (iii) cultural services, which are thenonmaterial benefits people obtain from ecosystems (e.g. sacredsites, areas of importance for recreation and aesthetic enjoyment);and (iv) supporting services, which are the natural processes thatmaintain the other services (e.g. soil formation, nutrient cycling,
primary production).1

Environmental andSocial Impact
Assessment (ESIA)

An instrument to identify and assess the potential environmental andsocial impacts of a proposed project; evaluate alternatives; anddesign appropriate mitigation, management and monitoringmeasures.

1

The initiative on a Common International Classification of Ecosystem Services (CICES) has proposed organizing ecosystemservices into three broad classifications: provisioning services, regulating and maintenance, and cultural services. See CICES ver.
4.3 at https://cices.eu/.
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Environmental andSocial Management
Plan (ESMP)The ESMP is a coherent compilation of the applicable project-levelplans prepared by the Executing Agency/Entity that describes how
negative environmental and social impacts will be managed andmitigated during the preparation, design, implementation andmonitoring phases of a CI-GEF/GCF funded project.

Environmental
Management Plan
(EMP)

An Environmental Management Plan (EMP) is a document that
identifies a set of mitigation, management, monitoring, andinstitutional actions to be implemented for CI-GEF/GCF funded
projects. The EMP includes safeguard standards related to theProtection of Natural Habitats and Cultural Heritage.

Executing
Agency/Entity

Agency or Entity that receives GEF/GCF funding from a GEF/GCF
Project Agency in order to execute full or parts of a GEF/GCF project
under the supervision of a GEF/GCF Project Agency. The Executing
Agency/Entity is responsible for the management, execution andadministration of the day-to day activities of a project, in accordancewith specific project requirements as articulated by the Project
Agency. Project execution implies accountability to the Project
Agency for intended and appropriate use of funds, procurement andcontracting of goods and services.

GenderGender refers to the economic, social, political, and cultural
attributes and opportunities associated with being men and women.
Gender is a social construct, which does not imply addressing only
women’s roles, but the simultaneous consideration of both male andfemale roles and their interaction in society.

Gender Analysis

A process that examines the differences in women’s and men’s lives,
including those which lead to inequity, and applies thisunderstanding to policies and programs.

Gender Responsive

The explicit recognition of local gender differences, norms, andrelations and their importance to outcomes in program and policy
design, implementation and evaluation, and corresponding activities
to respond. This recognition derives from analysis or assessment ofgender differences, norms, and relations in order to address gender
equity in outcomes.

Gender-based
Violence

Any harmful act that is perpetrated against a person’s will and that isbased on socially ascribed differences between male and female
individuals, including acts that inflict physical, mental, or sexual harmor suffering; threats of such acts; and coercion and otherdeprivations of liberty, whether occurring in public or in private life.

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Gender Equality

The state or condition that affords women and men equal enjoymentof human rights, socially valued goods, opportunities, and resources.

Gender Equity

The process of being fair to men and women. To ensure fairness,measures must be taken to compensate for historical and social
disadvantages that prevent women and men from operating on levelplaying field.

Gender Integration

Strategies applied in program assessment, design, implementation,and evaluation to take gender norms into account and tocompensate for gender-based inequalities.

GenderMainstreaming

The process of incorporating gender into policies, strategies,
programs, activities, and administrative functions, as well as theinstitutional culture of an organization.

GenderMainstreaming Plan(GMP)

The Gender Mainstreaming Plan (GMP) provides backgroundinformation about gender dynamics within the project scope,
identifies gender-responsive activities of the project and outlines themeasures to be implemented to ensure that the project recognizes
and respects the different needs and roles of women and men within
the project, while mitigating potentially adverse effects of the project
on women and men. It also includes a monitoring and evaluation
plan that uses sex-disaggregated indicators. This plan addresses
issues related to the Gender Mainstreaming Policy.

Gender Role

A set of social and behavioral norms that are considered to besocially appropriate for individuals of a specific sex.

Indigenous Peoples

In this ESMF, the term indigenous peoples is used in a generic sense
to refer to a distinct social and cultural group possessing thefollowing characteristics in varying degrees:a) Self-identification as members of a distinct indigenous social andcultural group and recognition of this identity by others;b) Collective attachment to geographically distinct habitats,ancestral territories, or areas of seasonal use or occupation as
well as to the natural resources in these areas;c) Customary cultural, economic, social, or political systems thatare distinct or separate from those of the mainstream society or
culture; andd) A distinct language or dialect, often different from the official
language or languages of the country or region in which they reside.
This includes a language or dialect that has existed but does not exist

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now due to impacts that have made it difficult for a community orgroup to maintain a distinct language or dialect.
In some countries, such groups are referred to as indigenous
peoples. In other countries, they may be referred to by other terms,
such as “indigenous peoples and local communities”, “local
communities”, “sub-Saharan African historically underserved
traditional local communities”, “indigenous ethnic minorities”, “Afrodescendent communities of South America and the Caribbean”,“ethnic groups”, “aboriginals”, “hill tribes”, “vulnerable andmarginalized groups”, “minority nationalities”, “scheduled tribes”,“first nations”, “tribal groups”, “pastoralists”, “hunter-gatherers”,’“nomadic groups” or “forest dwellers”. Regardless of which
terminology is used, the requirements of this Policy will apply to allsuch groups.
Indigenous Peoples
Plan (IPP)

An IPP outlines how the project will seek Free, Prior and Informed
Consent (FPIC), and the actions to minimize and/or compensate forthe adverse impacts and identify opportunities and actions toenhance the positive impacts of a project for indigenous peoples in a
culturally appropriate manner. Depending on local circumstances, afree-standing IPP may be prepared or it may be a component of abroader community development plan.

Integrated Pest
Management
Practices (IPM)

Integrated Pest Management (IPM) is an ecosystem-based strategy
that focuses on long-term prevention of pests or their damage
through a combination of techniques such as biological control,
habitat manipulation, modification of cultural practices, and use ofresistant varieties. Pesticides are used only after monitoring indicates
they are needed according to established guidelines, and treatments
are made with the goal of removing only the target organism. Pest
control materials are selected and applied in a manner thatminimizes risks to human health, beneficial and non-target
organisms, and the environment.

Integrated Vector
Management (IVM)

Integrated Vector Management (IVM) is a rational decision-making
process for the optimal use of resources for vector control. The
approach seeks to improve the efficacy, cost-effectiveness, ecologicalsoundness and sustainability of disease-vector control. The ultimate
goal is to prevent the transmission of vector-borne diseases such as
malaria, dengue, Japanese encephalitis, leishmaniosis,
schistosomiasis and Chagas disease (World Health Organization).

Livelihood

The term “livelihood” refers to the different ways that individuals,
families, and communities support themselves to make a living, such

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as wage-based income, agriculture, fishing, foraging, other natural
resource-based livelihoods, petty trade, and bartering.
Mitigation Hierarchy

The Mitigation Hierarchy is a series of steps that should be pursued
before turning to the next, in order to ensure protection of natural
habitats and biodiversity. The Mitigation Hierarchy is defined as:a) Avoid significant habitat loss and/or degradation;b) Minimize significant habitat loss and/or degradation whenadverse impacts cannot be avoided;c) Restore natural habitats when adverse impacts can neither be
avoided nor minimized; andd) Offset when residual impacts on natural habitats remain, in spiteof all reasonable attempts to avoid, minimize and mitigate those
impacts. Avoiding impacts on biodiversity through theidentification and protection of set-asides.

Natural Habitats

Areas of land and/or water where: a) the biological communities areformed largely by native plant and animal species, and b) humanactivity has not essentially modified the area's primary ecological
functions.

Resource Efficiency
and Pollution
Prevention Plan

The Resource Efficiency and Pollution Prevention Plan describes
measures to be implemented to avoid or minimize the negative
impacts that the control and removal of alien and invasive species
and the use of pesticides, insecticides, and herbicides may have on
the environment and the people to be affected by these activities.
The Plan addresses safeguards related to ESSS 5 on Resource
Efficiency and Pollution Prevention.

Physical Cultural
Resources

Movable or immovable objects, sites, structures, and naturalfeatures and landscapes that have archaeological, paleontological,
historical, architectural, religious, aesthetic, sacred sites or othercultural significance.

Process Framework

The Process Framework describes the procedures to be developed
when a project proposes to create restrictions of access to natural
resources. The Process Framework addresses safeguards related to
ESS3 on Involuntary Resettlement, Physical and Economic
Displacement.

Safeguard

Measure(s) to put in place and/or implemented to protect someone
or something or to prevent something undesirable.

Sex-disaggregated
Data

Data that is collected and presented separately on men and women.
Sex describes the biological and physiological differences that
distinguish males, females and intersex.

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Significant Habitat
Loss, Degradation,
and/or Conversion

The elimination and/or severe reduction of the integrity of a critical
and/or other natural habitat caused by a major, long-term change inland or water use. Significant conversion may include, for example,
land clearing; replacement of natural vegetation (e.g., by crops ortree plantations); permanent flooding (e.g., by a reservoir); drainage,
dredging, filling, or channelization of wetlands; or surface mining. In
both terrestrial and aquatic ecosystems, conversion of natural
habitats can occur as the result of severe pollution. Conversion can
result directly from the action of a project or through an indirect
mechanism (e.g., through induced settlement along a road).

Stakeholder

An individual or group that has an interest in the outcome of a CIGEF/GCF supported activity or is likely to be affected by it, such as
local communities, indigenous peoples, civil society organizations,and private sector entities, comprising women, men, girls and boys.

Stakeholder
Engagement

A process where intervening agencies practice a partnership ethos;treating all other parties with equity and inclusivity, such thatstakeholders have meaningful and measurable influence in theconceptualization, design, implementation, and evaluation ofprogrammatic activities.

Stakeholder
Engagement Plan(SEP)The SEP details all the differentiated measures that the Executing
Agency/Entity will implement to ensure the effective participation of
key project stakeholders, including those identified as disadvantaged
or vulnerable stakeholders. The plan includes stakeholder
identification and analysis, planning of engagement activities,
disclosure of information, consultation and participation, monitoring,evaluation and learning throughout the project cycle, addressing
grievances, and on-going reporting to stakeholders.

Sustainable
Harvesting of
Natural Resources

The use of components of natural resources in a way and at a ratethat does not lead to the long-term decline of biological diversity andecosystem services, thereby maintaining its potential to meet theneeds and aspirations of present and future generations’ (adaptedfrom CBD, 1992).

Voluntary
Resettlement
Action Plan (V-RAP)

The Resettlement Action Plan (V-RAP) is a document that specifies
the procedures that the Executing Agency/Entity will follow and theactions that will be taken to seek consent and agreement, properly
resettle and compensate affected people and communities.

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CI-GEF/GCF PROJECT AGENCYENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK (ESMF)
III. INTRODUCTION
1. CI’s mission is to empower societies to responsibly and sustainably care for nature, ourglobal biodiversity, for the well-being of humanity.
2. Recognizing the value of safeguards for risk management as well as CI’s responsibility as apartner of the Global Environment Facility (GEF), and the Green Climate Fund (GCF), the CIGEF/GCF Project Agency has developed the Environmental and Social Management
Framework (ESMF), which fulfils the minimum Environmental and Social Safeguard (ESS)Standards requirements of both the GEF and GCF23, and will screen projects for all suchenvironmental and social risks and potential impacts. The ESMF also plays an important rolein creating more effective, efficient and equitable conservation outcomes, throughenhancing project design and delivery while prioritizing the fulfilment of rights.
3. If CI-GEF/GCF projects are assessed as having minor adverse impacts, these projects may beapproved, provided that they include appropriate mitigation and compensation measuresand are in overall accordance with CI policies and principles, and the requirements
established in the CI-GEF/GCF ESMF.
4. The ESMF, and the corresponding ESS, are informed by Conservation International’s Rights-

Based Approach (RBA) Policy Papers which include Gender, Indigenous Peoples, Involuntary
Resettlement, Partnerships, Research Ethics and Vulnerable Populations.
5. CI considers the different roles and needs of men and women in all aspects of our businessdecision-making, and will take a gender mainstreaming approach to ensure actions that
promote gender equality and equity are incorporated into all projects as a cornerstone
conservation efforts.
6. The ESMF consists of four distinct policies: Policy 1: Environmental and Social Safeguards;

Policy 2: Gender Mainstreaming; Policy 3: Stakeholder Engagement; and, Policy 4:
Accountability and Grievance Mechanisms.
7. The ESMF sets out specific requirements relating to different social and environmental

issues. Policies 2, 3 and 4 apply to all CI-GEF/GCF projects and programmes, while theapplication of the ESSs (as outlined in Policy 1) is established during the environmental,social and climate screening and categorization process. Where it is determined that a
project/programme may present certain risks and/or impacts, the requirements of therelevant standard(s) are triggered.

2 https://www.greenclimate.fund/document/environmental-and-social-policy
3 https://www.thegef.org/gef/policies_guidelines/safeguards

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IV. PURPOSE
8. The purpose of the ESMF is to ensure that CI-GEF/GCF project-related adverse

environmental and social risks and impacts are avoided or, when unavoidable, minimized
and appropriately mitigated and/or offset (compensated). Through the implementation of
Policy 2: Gender Mainstreaming (of this ESMF), CI-GEF/GCF will require an approach thatenhances gender equality and equity.
9. A key principle of the ESMF is to follow the mitigation hierarchy, i.e. avoid, minimize,mitigate or offset any harm to the environment and to men and women by incorporating
environmental and social concerns as an intrinsic part throughout the project cycle. Any
identified adverse environmental and social impacts and risks will be addressed and tracked
throughout all stages of the project cycle to ensure that supported activities comply withthe policies and practices laid out in the ESMF.
10. Another core component of the CI-GEF/GCF ESMF is the adoption of the Precautionary

Principle. The idea here is that when a project/programme activity raises threats of harm tohuman health or the environment, precautionary measures should be taken even if somecause-and-effect relationships are not fully scientifically established.
11. The objectives of the ESMF are to: (i) strengthen the quality of programming by ensuring a

principled approach; (ii) avoid adverse impacts to people and the environment; (iii)
minimize, mitigate, and manage adverse impacts where avoidance is not possible; (iv)strengthen CI and partner capacities for managing social and environmental risks; and (v)ensure full and effective stakeholder engagement, including a mechanism to respond tocomplaints from project-affected people.
V. SCOPE OF APPLICATION
12. CI-GEF/GCF will require adherence to the ESMF, and its associated policies for all projects

that are implemented through the funding of either GEF or GCF.
13. Where CI is jointly financing a project with bilateral or multilateral funding partners, CI may

agree that environmental, social and climate requirements/process/rules and policy of suchpartners will be applied, provided that such requirements/process/rules and policy areequivalent to CI’s and will enable the project to achieve objectives consistent with the ESSof the CI-GEF/GCF ESMF.
14. For projects involving associated facilities, the environment and social assessment will also

identify and assess, to the extent appropriate, the potential environmental and social risks
and impacts of the facilities.4 When the Executing Agency/Entity requirements differ fromthe levels and measures presented in the CI-GEF/GCF ESMF, the Executing Agency/Entity
will be required to achieve or implement whichever is more stringent. For
4 “Associated facilities” means facilities or activities that are not funded as part of the project and are: (i) directly andsignificantly related to the project; (ii) carried out, or planned to be carried out, contemporaneously with the project; and (iii)
necessary for the project to be viable and would not have been constructed or expanded if the project did not exist.
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projects/programs involving multiple sub-projects which are identified, designed andimplemented during the course of the project, the EA/EE will carry out appropriate
environmental and social assessment of the sub-projects and include measures tostrengthen its capacity to conduct environmental and social due diligence.
VI. INSTITUTIONAL ARRANGEMENTS
Environmental and Social Safeguard Responsibilities
15. The CI-GEF/GCF Project Agency has the overall responsibility for ensuring thatenvironmental and social issues are adequately addressed within the project cycle and will
be ultimately responsible for the review and supervision of the implementation ofsafeguards.
16. The Executing Agency/Entity is responsible for designing and executing a project consistent

with the requirements as described in this ESMF. This includes monitoring and evaluation ofprogress of the agreed actions that address safeguard issues during project implementation.
17. The CI-GEF/GCF Project Agency will monitor implementation of this ESMF. It will review andapprove key documents such as Terms of Reference (TOR) and project-specific safeguard
strategies and action plans developed during project preparation. During project
preparation, the CI-GEF/GCF Project Agency will be able to request, from an Executing
Agency/Entity, all information it requires concerning project effects on Indigenous Peoples
and local communities and require further assessment or consultations as well as work on
safeguard plans until the EMSF policies have been satisfactorily addressed. CI will also
review and approve any action plans developed during project implementation.
18. The CI-GEF/GCF Project Agency will also be responsible for oversight of the gendermainstreaming component of the project planning process, including review and approvalof the Executing Agency/Entity’s Gender Mainstreaming Plan and adequate genderinclusion throughout the final project document.
19. Through its project design review, CI will identify and promote measures to support theequal treatment of women and men, including equitable access to and control overresources and services, improving the participation and decision-making of women innatural resource governance, and equitable socio-economic benefits for women and men.
20. Throughout the project design process, the CI-GEF/GCF Project Agency will maintain contact

with the Executing Agency/Entity to obtain clarification on information provided and the
preparation process.
21. There are two key decision points during the project preparation process. The safeguard

screening of project activities (Appendix I) will identify potential safeguard issues anddescribe project preparation procedures to further assess potential impacts and design
mitigation measures, as needed. Review and approval of the plans developed to assess theadequacy of the project’s preparation process and implementation measures vis-à-vis thesafeguard issues and requirements, including:a) Compliance with this ESMF, CI policies and commitments, and GEF/GCF

environmental and social safeguard policies;
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impacts;c) Adherence to the mitigation hierarchy against possible adverse social impacts;d) Adequacy and feasibility of the proposed safeguard mitigation measures andmonitoring plans, including, but not limited to, any Environmental and Social
Management Plan (ESMP), Resource Efficiency and Pollution Prevention Plan,
Indigenous Peoples Plan (IPP), Process Framework or Voluntary Resettlement
Action Plan (V-RAP);e) Adequacy of the project’s consultations processes and communication of the

Accountability and Grievance Mechanism;f)

Identification and effective implementation of measures to avoid, minimize,mitigate or offset adverse environmental and social impacts;g) Adequacy, appropriateness and feasibility of the proposed measures to ensure

gender equality, including equal access to resources, services, and equal ability toparticipate in, and benefit from, the project’s activities;h) Capacity, including but not limited to technical and financial capacity, of the

Executing Agency/ Entity to implement the project and any required safeguardrelated measures during the preparation and implementation of the project; andi)Clear documentation of the foregoing available to stakeholders before approval
can occur and throughout the project implementation.

22. Through this review, the CI-GEF/GCF Project Agency may find the safeguard process andmeasures satisfactory or may find the need for further discussion with the Executing
Agency/Entity to achieve the objectives of this ESMF, including revising safeguard measuresand documents as appropriate. If the costs, risks, or complexity of particular safeguard
issues outweigh the expected project benefits, a decision may be taken to not support the
project.
23. During project execution, safeguard compliance will be tracked along with performance

toward project objectives. At each performance reporting stage, generally on a quarterly
basis, the Executing Agency/Entity will revisit the safeguard issues to assess their status andaddress any issues that may arise. In cases where the Executing Agency/Entity isimplementing an ESMP, other project-level plan, or other mitigation measures, it will reporton the progress of such implementation in parallel with or as part of reporting for otherproject elements. The intent of this process is to ensure that the environmental and social
safeguard issues, including gender mainstreaming and stakeholder engagement, arecontinually monitored and adverse effects mitigated throughout project implementation.
The CI-GEF/GCF Project Agency will monitor the implementation of safeguards during
project implementation through check-in meetings, field visits and project reporting. The CIGEF/GCF Project Agency will review and approve any safeguard-related action plans
required prior to or developed during implementation of projects. Third party (e.g.,
independent expert, local community, other) monitoring and/or independent audits will be
used, where appropriate, to monitor project implementation and/or assess if
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environmental and social risk and impact mitigation objectives are being or have beenachieved .
24. Project-specific plans (including mitigation plans) are to be disclosed to all rightsholders andstakeholders including affected communities and Civil Society Organizations (CSOs). Before
plans can be disclosed, the CI-GEF/GCF Project Agency must review and approve the plans.
Executing Agencies/Entities must also disclose to affected parties the final plans prior to
implementation and any action plans prepared during project implementation, including
gender mainstreaming. In all cases, disclosure should occur in a manner which is timely,
meaningful and understandable to the affected people when seeking their consent. The CIGEF/GCF Project Agency will disclose all approved plans and applicable monitoring reports(once under implementation) on CI-GEF/GCF website.
25. The key responsibilities of the CI-GEF/GCF Project Agency and the Executing

Agencies/Entities are described in further detail in the table below. Exact procedures
depend on the specific project activities and the local context, for instance, the number ofsafeguard policies that are triggered and the level of impacts.
Summary of Roles and Responsibilities by Project Phase
26. The roles and responsibilities highlighted below describe the major functions of the CI-

GEF/GCF Project Agency and the Executing Agency/Entity in the safeguard process during
project identification, preparation and implementation.
PROJECT
STAGE
Identification,
Preparation
Development

CI-GEF/GCF PROJECT AGENCY• Oversee application of the
ESMF/safeguards processes including
gender mainstreaming.
• Analyse the completed Safeguard
Screening Form to determine safeguards
triggered, including whether a full or
limited Environmental and Social Impact
Assessment (ESIA) is required.
• Review and assess the ESIA TOR, the ESIA
document/report and project-level plans,
including the adequacy of the assessmentof project impacts and the proposed
measures to address issues to ensure theymeet applicable safeguards standards,
prior to project approval.
• Approve plans based on a determinationthat safeguards issues have beenadequately addressed. If adverse
environmental or social impacts outweighthe expected benefits, CI-GEF/GCF cannot
support the project.

EXECUTING AGENCY/ENTITY• Provide accurate, reliable and timely
information required in the Project
Safeguard Screening Form (see Appendix
I).
• Design, plan, and prepare project
concepts and proposals according to the
ESMF requirements. This includes the
responsibility and requirement toadequately budget and staff the required
safeguards focal point.
• Conduct the ESIA process, and preparingof mitigation plans resulting fromapplication of the ESMF policies.
• Implement all required consultations withproject stakeholders, including informing
affected communities and explaining the
project to them; incorporating feedback
from and changes agreed with them; andseeking and documenting their Free, Priorand Informed Consent (FPIC).

• Disclose ESIA and project-level plans
through CI-GEF/GCF website.

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PROJECT
STAGE
Implementation

CI-GEF/GCF PROJECT AGENCYEXECUTING AGENCY/ENTITY• Review and monitor the implementationof project-level plans, including throughproject kick-off/launch workshops,
supervision missions, mid-term reviews,
field visits, audits, and follow-up visits asappropriate to the scale, nature, and risksof the project.

• Execute project-level plans andmonitoring the effectiveness of risk
mitigation measures; ensure compliancewith and adherence to all safeguards
outlined in each of the plans, andundertake corrective measures in cases
where plans have not been satisfactorily
executed or where negative or adverse
impacts have arisen despite efforts toadhere to project plans.

• Work with the Executing Agency/Entity toidentify and plan for corrective measuresthat achieve the results and uphold thesafeguard standards expected under eachproject, in cases when a project review
finds that the Executing Agency/Entity is
not following project-levels plans (i.e. anyof the safeguards-related plans required
under CI-GEF/GCF ESMF. If these measures
do not succeed in correcting the
deficiencies, CI-GEF/GCF may withhold
payment, or suspend or cancel the grant,
as appropriate.
• Identify the need for and approving thirdparty monitoring or independent audits asappropriate.
• Disclose project monitoring reports that
include safeguard/performance, and any
corrective actions.
• Disclose completed project evaluations
and results through CI-GEF/GCF website(following donor acceptance, and subject
to exclusion of proprietary, confidential
and personal information).

• Inform project-affected, local authorities,
other stakeholders and the CI-GEF/GCF
Project Agency on project progress and on
any unexpected and unintended eventsaffecting those communities inaccordance with project-level planrequirements as well as the project’s
agreed-upon reporting schedule.
• Incorporate feedback from projectaffected parties and providing anddocumenting the process to seek their
FPIC to any changes in the project-levelplans.
• Complete Annual Project Implementation
Reports (PIRs) and Annual Performance
Reports (APRs) to document safeguard
monitoring.
• Ensure effective operation of a projectlevel grievance redress mechanism andimmediately informing the CI-GEF/GCF
Project Agency of complaints that carry
reputational risks to CI, GEF or GCF.

VII: DISCLOSURE OF INFORMATION
27. Disclosure of relevant project information helps project affected people and otherstakeholders understand the risks, impacts and opportunities of the project. The Executing
Agency/Entity will provide project affected people and other stakeholders with access torelevant information on: (i) the purpose, nature, and scale of the project; (ii) the duration of
proposed project activities; (iii) any risks to and potential impacts on such communities andrelevant mitigation measures; (iv) the envisaged stakeholder engagement process; and (v)the grievance mechanism. Depending on the scale of the project and significance of therisks and impacts, relevant document(s) to be disclosed as part of stakeholder engagement
could range from full Environmental and Social Assessments and Action Plans (i.e.,
Stakeholder Engagement Plan, Voluntary Resettlement Action Plans, Emergency
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Preparedness Plans, Community Health and Safety Plans, socio-cultural analysis andIndigenous Peoples Plans, etc.) with easy-to-understand summaries of key issues andcommitments. These documents could also include the Executing Agency/Entity’senvironmental and social policy and any supplemental measures and actions defined as aresult of independent due diligence. Disclosure also includes ongoing reporting to projectaffected people and other relevant stakeholders.
VIII: SUMMARY OF ESMF EXCLUSIONS
CI will not finance projects that:
1. Contravene major international and regional conventions on environmental

issues;2. Propose to create or facilitate significant degradation and/or conversion ofnatural habitats of any type (forests, wetlands, grasslands, coastal/marine
ecosystems, etc.) including those that are legally protected, officially proposedfor protection, identified by authoritative sources for their high conservation
value, recognized as protected by indigenous and local communities, or havesignificant negative socioeconomic and cultural impacts that cannot be costeffectively avoided, minimized, mitigated and/or offset;
3. Involve adverse impacts on critical natural habitats, including forests that are

critical natural habitats, including from the procurement of natural resourcecommodities, except for adverse impacts on a limited scale that result fromconservation actions that achieve a net gain of the biodiversity values associatedwith the critical natural habitat;
4. Propose to carry out unsustainable harvesting of natural resources -animals,

plants, timber and/or non-timber forest products (NTFPs)- or the establishmentof forest plantations in critical natural habitats;
5. Propose the introduction of species that can potentially become invasive andharmful to the environment, unless there is a mitigation plan to avoid this fromhappening;
6. Involve involuntary resettlement, land acquisition, and/or the taking of shelterand other assets belonging to local communities or individuals; through coercion
and/or undue influence;
7. Contravene major international and regional conventions on human rights,

including rights specific to indigenous peoples;

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8. Propose activities that result in the exploitation of and access to outsiders to thelands and territories of indigenous peoples in voluntary isolation and in initial
contact;
9. Propose the use and/or procurement of materials deemed illegal under hostcountry laws or regulations or international conventions and agreements, or
subject to international phase-outs or bans, such as:a. ozone depleting substances, polychlorinated biphenyls (PCBs) and otherspecific, hazardous pharmaceuticals, pesticides/herbicides or chemicals;b. wildlife or products regulated under the Convention on International Tradein Endangered Species or Wild Fauna and Flora (CITES);
10. Propose the use and/or procurement of pesticides and hazardous materials thatare unlawful under national or international laws, the generation of wastes andeffluents, and emissions of short- and long-lived climate pollutants;
11. Involves the removal, alteration or disturbance of any non-replicable or criticalcultural heritage, or the use of any intangible cultural heritage without the Free,
Prior and Informed Consent of the communities who it belongs to;
12. Include the use of forced labour, trafficking in persons, and child labour. Childlabour includes both (i) labour below the minimum age of employment and (ii)any other work that may be hazardous, may interfere with the child’s education,or may be harmful to the child’s health or to the child’s physical, mental,
spiritual, moral, or social development; and13. Involve the design and construction new dams or rehabilitation of existing dams

or financing agriculture and water resource management infrastructure that arehighly dependent on the performance of dams that potentially affect theirperformance. (The CI-GEF/GCF Project Agency has not been accredited for the
GEF Minimum Standard 7, Safety of Dams).
IX. POLICY 1: ENVIRONMENTAL AND SOCIAL SAFEGUARDS
28. As both a GEF Project Agency, and GCF Accredited Entity, the CI-GEF/GCF Project Agency

will ensure that projects comply with the GCF Environmental and Social Policy (including its
ESS), and the GEF Minimum Standards for Environmental and Social Safeguards. This also
extends to the respective policies concerning Stakeholder Engagement, Indigenous Peoples,
Information Disclosure and Gender for both GEF and GCF alike.
29. This section describes all relevant CI-GEF/GCF Project Agency Environmental and Social

Safeguard Standards for GEF and GCF funded projects.

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30. The description of the implementation arrangements for each ESS and more detailed

description of measures to address particular thematic issues pertaining to the respective
Standards is provided in the Appendix section of this document.
31. The CI-GEF/GCF Project Agency will publicly disclose documents related to all CI-GEF/GCF

Environmental and Social Safeguards Standards and associated policies (as outlined in thisESMF), subject to exclusion of proprietary, confidential and personal information, on its
websites at http://www.conservation.org/GEF or https://www.conservation.org/gcf . The
website lists contact information where interested stakeholders can seek further
information or documentation and raise their concerns or recommendations to CI-GEF/GCF.
The CI-GEF/GCF Project Agency will be responsible for ensuring appropriate response.
32. The Policy on Environmental and Social Safeguards consists of 10 Standards (ESS), which

describe the minimum standards that each CI-GEF/GCF funded project must meet or
exceed. They are:
ESS 1: Environmental and Social Impact Assessment (ESIA)ESS 2: Protection of Natural Habitats and Biodiversity Conservation
ESS 3: Resettlement and Physical and Economic Displacement
ESS 4: Indigenous Peoples
ESS 5: Resource Efficiency and Pollution Prevention
ESS 6: Cultural Heritage
ESS 7: Labour and Working Conditions
ESS 8: Community Health, Safety and Security
ESS 9: Private Sector Direct Investment and Financial Intermediaries
ESS 10: Climate Risk and Related Disasters

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ESS 1: ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT
Purpose33. To ensure that all CI-GEF/GCF supported projects are environmentally and socially soundand sustainable and avoid/mitigate unintentional negative impacts.
Definitions
34. Environmental and Social Impact Assessment (ESIA) is a process to identify, predict andassess the potential environmental and social impacts of a proposed project prior to themaking of major decisions or commitments; evaluate alternatives; and design appropriate
mitigation, management and monitoring measures.
35. ESS1 follows the Mitigation Hierarchy to first avoid potential adverse impacts to people andthe environment, or where avoidance is not possible, to then minimize, mitigate, and as alast resort, offset and compensate for potential residual adverse impacts.
Requirements
36. To comply with this Standard, the CI-GEF/GCF Project Agency will implement a Safeguard

Screening process for all GEF and GCF funded projects. The purpose of this screening is tocategorize projects according to their potential environmental and social impacts.
37. The preliminary Safeguard Screening will use a Project Screening Form (Appendix I) to cover

all safeguards policies. Project activities are screened for potential social and environmental
risks prior to the application of planned mitigation and management measures. It isnecessary to form a clear picture of potential inherent risks in the event that mitigation
measures are not implemented or fail. This means that risks should be identified andquantified as if no mitigation or management measures were to be put in place.
38. The screening outcomes may result in a project being designated as:•

Category A: a proposed project is classified as Category A if it has the potential forsignificant adverse environmental and social impacts that are sensitive, diverse, or
unprecedented. These impacts may affect an area broader than the sites or facilities
subject to physical works (i.e., the area of influence). A full or comprehensive ESIA isrequired;•Category B: a proposed project is classified as Category B if its potential adverse
environmental and social impacts on human populations or environmentally orsocially important areas are less adverse than those of Category A projects. These
impacts are site-specific; few if any of them are irreversible; and in most cases
mitigation measures can be designed more readily than for Category A projects. A
full or limited ESIA is required, depending on the type, degree and extent of the
impacts; or•Category C: a proposed project is classified as Category C if it is likely to haveminimal or no adverse environmental and social impacts. Beyond safeguard
screening, no ESIA action is required for a Category C project. However, specific

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project-level safeguard plans will be required by the CI-GEF/GCF Project Agency tostrengthen the project compliance with the ESMF policies.
39. If the results from the CI-GEF/GCF Project Agency project safeguard screening finds that an
ESIA is necessary, the CI-GEF/GCF Project Agency will require that an ESIA be conducted on

activities related to the direct and indirect areas of influence of projects and that the ESIA
clearly identifies and addresses direct and indirect, as well as cumulative and potential
residual impacts (see Appendix II).
40. The ESIA will be designed to identify impacts and mitigation measures that will beincorporated in project design. The results of the ESIA, including actions to avoid, minimize,mitigate and/or offset the environmental and social impacts, monitor, and report will be
included in a project’s Environmental and Social Management Plan (ESMP) (see Appendix
III).
41. In certain circumstances (i.e. involving policy., programmatic, transboundary interventions)the CI GEF/GCF Project Agency will undertake a Strategic Environmental and Social
Assessment (SESA) to ensure that environmental and social aspects are consideredeffectively in policy, planning and program making.
42. For all Category A and relevant Category B projects, the CI-GEF/GCF Project Agency will

ensure that the Executing Agency/Entity will establish, maintain, and strengthen asnecessary an organizational structure that defines roles, responsibilities, authority,
workplan, and budget to implement the required management plans.
43. Independent expertise will be used in the assessment of environmental and social risks andimpacts, where appropriate, including where specialized knowledge may be needed.
Independent advisory panels shall be used to support the preparation and implementationof projects and programs where the level and magnitude of risks and potential impacts isdeemed high.
44. Third party (e.g., independent expert, local community, other) monitoring and/or

independent audits will be used, where appropriate, to monitor project implementation
and/or assess if environmental and social risk and impact mitigation objectives are being or
have been achieved.
45. Where a CI-GEF/GCF project involves specifically identified physical elements, aspects andfacilities that are likely to generate impacts, the required ESIA will outline an emergency
preparedness and response plan, and projects will need to be prepared to respond to
accidental and emergency situations in an appropriate manner, to prevent and mitigate any
harm to people and/or the environment.
46. Projects will be screened for short- and long-term risks posed by climate change and othernatural hazards based on established methodologies, and significant risks and potential
impacts will be addressed throughout the design and implementation of projects andprograms. This shall be in accordance with the requirements as presented in ESS10.
47. Projects will be assessed to identify if they will raise or magnify any potential conflicts

among stakeholder groups within the community (for example between groups that share

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or compete for resource access, between government and local community interests, etc.)
These conflicts will be identified, and avoided/mitigated.
48. Projects will be screened for disadvantaged or vulnerable groups or individuals that may beaffected by a project or program and to identify as early as possible, associated risks andpotential impacts to ensure that:a) Differentiated mitigation measures are incorporated so that risks and impacts do not
fall disproportionately on disadvantaged or vulnerable individuals or groups; andb) Disadvantaged or vulnerable individuals or groups do not face discrimination or
prejudice in accessing benefits and resources.
49. The special needs and circumstances of disadvantaged or vulnerable groups or individuals

will be addressed in the Environmental and Social Management Plan, or equivalent.
50. Projects will be screened for the differentiated risks and potential impacts of projects andprograms on persons with disabilities to ensure non-discrimination and equality, and toprovide opportunities for persons with disabilities to participate in and benefit fromprojects and programs on an equal basis with others.
51. Projects will be screened to identify any risks or potential adverse impacts on women, men,

girls and boys and mitigation measures will be reflected in relevant safeguard plans, anddifferentiated by gender where relevant, including adverse impacts on Gender Equality,
Gender-Based Violence (GBV), and Sexual Exploitation and Harassment (SEAH).
52. Discrimination against women or girls, or gender-based discrimination will be prevented.
53. As per para 51 above, risks of GBV and SEAH should be screened and assessed as part ofproject screening process. If risks of GBV and/or SEAH are triggered, the project will
identify:a) Established reporting and response protocols in place, with specific procedures for GBV
including confidential reporting with safe and ethical documenting of GBV cases, thatindicate when and where to report incidents, and what follow-up actions will be
undertaken; andb) Modalities to provide services and redress to survivors.
54. All sub-projects and/or sub-grants activities under the main CI-GEF/GCF project must also

meet the minimum requirements of this standard and the ESMF as a whole.
55. The CI-GEF/GCF Project Agency has preliminarily identified five types of project activities

that may result in adverse environmental and social impacts that may be associated with CIGEF/GCF projects, arising from:a) Protected area creation, expansion or management improvement: althoughdesirable and often necessary for conservation of biodiversity and ecosystemservices, creation or expansion of protected areas carries the possibility of displacing
local communities and/or limiting access to natural resources and thus impacting
livelihoods of local communities;b) Investment in business or livelihood development: projects promoting development-even those characterized as sustainable development, green economies, lowCI-GEF/GCF Project Agency’s ESMF: Version 07, October 2020.

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carbon development, and/or climate change adaptation projects- may have adverse
impacts on species, ecosystems (e.g., wind mills on birds, ecotourism on natural
habitats), and/or people;c) Civil works: some impacts may be associated with the construction or rehabilitationof facilities (e.g., roads and structures associated with park management, researchfacilities, and restoration-related activities or boundary markers);d) Occupational health and safety: during construction, a project may expose workers
to safety hazards (e.g. construction accidents); ande) Pest management: some pest management activities may be supported for
ecological restoration to combat pests that damage crops or alien invasive species(AIS), but unless planned and executed with care could create environmental andhealth risks.
56. The CI-GEF/GCF Project Agency may nonetheless decide to support projects that may create

these types of impacts on the condition that the impacts will be limited in time and space,and can therefore be effectively mitigated and that benefits brought by the project
activities surpass the costs.
57. Project-level plans may also be developed even when no ESIA is necessary, as a means for

coordination and to promote positive impacts. Examples of project-level plans may include
an Environmental and Social Management Plan (ESMP), Voluntary Resettlement Action Plan
(V-RAP), Process Framework for Restriction of Access to Natural Resources, Indigenous
Peoples Plan (IPP), Resource Efficiency and Pollution Prevention Plan, Stakeholder
Engagement Plan (SEP), and Gender Mainstreaming Plan (GMP).
58. The Executing Agency/Entity will be required to inform CI GEF/GCF of any instances where a

project undergoes a significant change during the implementation phase. In circumstanceswhere implementation of the safeguard requirements is found to be not adequate, CIGEF/GCF will undertake appropriate measures to address the shortcomings.
59. All plans will be reviewed and approved by the CI-GEF/GCF Project Agency prior to thesignature of the grant agreement by the Head of the CI-GEF/GCF Project Agency.
60. Appendix II provides more details about the practical implementation of this Standard.

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ESS 2: PROTECTION OF NATURAL HABITATS AND BIODIVERSITY CONSERVATION
Purpose61. To avoid, or mitigate any significant loss or degradation and to maintain and promote thesustainable management, protection, conservation, maintenance, and rehabilitation ofnatural habitats and their associated biodiversity and ecosystem functions and services.
Definitions
62. Natural habitats are defined as land, freshwater, marine areas or airways where: a) the

biological communities are formed largely by native plant and animal species, and b) humanactivity has not essentially modified the area's primary ecological functions.
63. Critical natural habitats are those habitats considered essential for biodiversity

conservation, provision of ecosystem services and the well-being of people at the local,
national, regional o global levels. They include, among others, existing protected areas,
areas officially proposed as protected areas, areas recognized as protected by traditional
local communities, as well as areas identified as important for conservation, such as Key
Biodiversity Areas (KBAs), Alliance for Zero Extinction (AZE) Sites, Important Bird andBiodiversity Areas (IBAs), Biodiversity Hotspot, Ramsar Sites, areas identified as importantfor ecosystem services such as carbon storage, freshwater provision and regulation, etc.
64. Significant habitat loss and/or degradation is defined as the elimination and/or severe

reduction of the integrity of a critical and/or other natural habitat caused by a major, longterm change in land or water use. Significant conversion may include, for example, land
clearing; replacement of natural vegetation (e.g., by crops or tree plantations); permanent
flooding (e.g., by a reservoir); drainage, dredging, filling, or channelization of wetlands; or
surface mining. In both terrestrial and aquatic ecosystems, conversion of natural habitats
can occur as the result of severe pollution. Conversion can result directly from the action ofa project or through an indirect mechanism (e.g., through induced settlement along a road).
65. Modified Habitats are areas that may contain a large proportion of plant and/or animal

species of non-native origin. Modified habitats can also include areas where human activity
has substantially modified an area’s primary ecological function or composition. Modified
habitats may include, for example, areas managed for agricultural purposes, forest
plantations, or reclaimed coastal zones.
66. Sustainable harvesting of natural resources is defined as the use of components of natural

resources in a way and at a rate that does not lead to the long-term decline of biologicaldiversity and ecosystem services, thereby maintaining its potential to meet the needs andaspirations of present and future generations (adapted from CBD, 1992).
Requirements
67. To protect natural habitats and in accordance with international agreements, the CI-

GEF/GCF Project Agency endorses and applies the precautionary approach5 for its projects
and programs.
5 Principle 15 of the 1992 Rio Declaration on Environment and Development (Rio Declaration)

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68. All CI-GEF/GCF project activities will be consistent with existing protected area management

plans or other resource management strategies that are applicable to national or local
situations.
69. In the design and development of a project and during the Safeguard Screening process, theExecuting Agency/Entity is encouraged to utilize first broad and “upstream” assessment andplanning, such as landscape planning, river basin planning, and other strategic approaches,
to improve project selection and design and maximize sustainability. The Executing
Agency/Entity is required to consider direct and indirect project-related impacts on
biodiversity and ecosystems services, and identify any significant cumulative and/or residual
impacts. This process will consider relevant threats to biodiversity and ecosystem services,
especially focusing on habitat loss, degradation and fragmentation, previous protected area
status and potential Protected Area Downgrading, Downsizing, and Degazettement (PADDD),
alien invasive species, overexploitation, hydrological changes, nutrient loading, andpollution. It will also take into account the differing values attached to biodiversity andecosystem services by affected communities and, where appropriate, other stakeholders
across the potentially affected landscape and/or seascape.
70. Where project affected communities are indigenous peoples, special attention will be given

to traditional and customary values placed on ecosystem services, ensuring protection of
traditional knowledge and indigenous consent in the provision of such information.
71. In areas of natural habitat, mitigation measures will be designed to achieve no net loss andpreferably a net gain of the associated biodiversity values and/or ecosystem services where
feasible, following the mitigation hierarchy described in ESS1 above.
72. To prevent natural habitat destruction, fragmentation and/or degradation, the CI-GEF/GCF

Project Agency will favour the development of physical infrastructure in areas where
natural habitats have already been converted to other uses (i.e. modified habitats). Where a
project is likely to adversely impact ecosystem services, the Executing Agency/Entity willconduct a systematic review to identify priority ecosystem services. Priority ecosystemservices are two-fold: (i) those services on which project operations are most likely to havean impact and, therefore, which result in adverse impacts to project-affected people;
and/or (ii) those services on which the project is directly dependent for its operations (e.g.,water). When project-affected people are likely to be impacted, they should participate in
the determination of priority ecosystem services in accordance with the stakeholder
engagement process as defined in ESS1 and Policy 3: Stakeholder Engagement.
73. Where the Executing Agency/Entity has direct management control or significant influence

over impacted priority ecosystem services, adverse impacts should be avoided. Where nonsignificant impacts are unavoidable, the Executing Agency/Entity is required to assess andavoid or mitigate the impacts on ecosystems, including by maintaining sufficient ecologicalflows in river basin ecosystems. Projects should demonstrate a robust assessment of relatedrisks to impacts on ecosystem service, such as by recommending a systematic accounting
for depreciation of natural capital, and for costs associated to environmental change. Theseshould include the inter-sectoral impacts (health, culture, economic, social).

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74. Compensation, or offsets, will be used by the CI-GEF/GCF Project Agency and its Executing

Agencies/Entities to mitigate adverse impacts on biodiversity and ecosystems in rare cases,
only as a last resort, and only in specific instances where implemented to achievemeasurable conservation outcomes6 that can reasonably be expected to result in no net
loss and preferably a net gain of biodiversity. Compensation or offsets will only beconsidered after all other technically feasible avoidance, minimization or restoration
measures have been considered; are supported by rigorous, sound science, adhere to the“like-for-like or better” principle7;are developed in consultation with independent experts;
when sustainable management, support and financing have been secured; and consistent
with best practice.
75. The procurement of natural resource commodities that may contribute to significant

conversion or degradation of natural habitats shall be avoided, where feasible, or limited tosuppliers that can demonstrate that they are not contributing to significant conversion ordegradation of natural habitats. This may be demonstrated by delivery of certified product,or progress towards verification or certification under a credible scheme in certain
commodities and/or locations). The ability to address these risks will be based in part on the
Executing Agencies/Entities’ control or influence over its suppliers.
76. Project and program supported activities shall conform with applicable frameworks andmeasures related to access and benefit sharing (such as the Nagoya Protocol8) in theutilization of genetic resources.
77. The CI-GEF/GCF Project Agency will only finance habitat restoration projects that candemonstrate that they will restore or improve biodiversity and ecosystem composition,
structure and functions, and that all plantation projects are environmentally appropriate,socially beneficial across genders, and economically viable.
78. Given that the sustainability of a harvesting approach varies according to the resource to be

harvested, the carrying capacity of the habitat(s) where the resource exists, and otherbiological and socioeconomic contexts, whenever a project proposes to carry out
sustainable harvesting of natural resources, the Executing Agency/Entity will have todemonstrate the sustainability of the proposed methodology. The sustainability of the
proposed harvesting approach must be approved by the CI-GEF/GCF Project Agency: a)before PIF/PPG/PPF submission for resources without known and/or proven sustainability
criteria and successful cases of field implementation; and b) before project implementation

6 Measurable conservation outcomes for biodiversity must be demonstrated in situ (on-the-ground) and on an appropriate

geographic scale (e.g., local, landscape-level, national, regional).
7 The principle of “like-for-like or better” indicates that biodiversity offsets must be designed to conserve the same biodiversity
values that are being impacted by the project (an “in-kind” offset). In certain situations, however, areas of biodiversity to be
impacted by the project may be neither a national nor a local priority, and there may be other areas of biodiversity with likevalues that are a higher priority for conservation and sustainable use and under imminent threat or need of protection oreffective management. In these situations, it may be appropriate to consider an “out-of-kind” offset that involves “trading up”(i.e., where the offset targets biodiversity of higher priority than that affected by the project) that will, for critical habitats, meetthe requirements set out in this ESMF.

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starts for resources with known and/or proven sustainability criteria and successful cases offield implementation.
79. For projects that trigger this Standard, Executing Agencies/Entities will be required todevelop an Environmental and Social Management Plan (ESMP). The ESMP is a documentthat identifies a set of mitigation, management, monitoring, and institutional actions to be
implemented for CI-GEF/GCF funded projects. The ESMP shall include management andmitigation measures that are to be taken in accordance with risks/impacts that have been
screened and/or identified through an ESIA (see Appendix IV for details). Specificmanagement measures relating to this Standard (ESS2) can also be presented through a
Biodiversity Management Plan (BMP).
80. The ESMP/BMP must be disclosed in a timely manner, before approval process begins, in aplace accessible to key stakeholders, including project affected groups and CSOs, in a form
and language understandable to them. Further information regarding the requirements of
information disclosure is outlined in paragraph 27 under Section VII.
81. Appendix IV provides more details about the practical implementation of this Standard.

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ESS 3: RESETTLEMENT AND PHYSICAL AND ECONOMIC DISPLACEMENT
82. This Standard applies to situations involving:a) Resettlement and physical displacement, relocation or loss of shelter; andb) Economic displacement, including the loss of access to natural resources that leaddirectly or indirectly to the loss of traditional/subsistence livelihoods, including assets,social capital, cultural identity, among other impacts.
83. This Standard extends to the inclusion of customary rights and not only limited to areas

where there are legal rights over access and use of resources. This is based on theunderstanding that in some countries customary or traditional rights are fully recognized
and respected, even when they are not “legal rights” (recognized by specific pieces oflegislation, land title, resource use permits, etc.). The CI-GEF/GCF ESMF also requires theapplication of all of the Environmental and Social Standards to Associated Facilities.
Associated Facilities shall therefore meet the requirements of ESS3.
Purpose84. To avoid, minimize, mitigate and/or compensate the potential adverse socioeconomic andcultural impacts of resettlement processes and displacement that some CI-GEF/GCF projects
might create.
Requirements
85. Where displacement has already occurred prior to the commencement of CI-GEF/GCF

project implementation activities, an audit shall be conducted to identify:a) Any gaps of past activities against this Standard; andb) The corrective actions that may be required to ensure compliance with this Standard. A
corrective action plan will describe all activities to reach compliance with this Standard
in the form of a time-bound plan, including a budget, implementation arrangements,
allocation of roles and responsibilities, and an implementation schedule.
86. To ensure any resettlement is voluntary, Executing Agencies/Entities are encouraged to use

consultation processes that lead to negotiated settlements meeting the requirements ofthis ESMF, even if they have the legal means to displace and/or acquire land without theseller’s consent. Such agreements should ensure fair and equitable sharing of benefits
associated with project usage of the resources. Particular care is required where the
Executing Agency/Entity intends to use or restrict access to natural resources that are
central to the identity, culture, and livelihood of project-affected communities ofindigenous peoples and their usage thereof may exacerbate livelihood risk.
87. As outlined in Policy 4 of the ESMF (Accountability and Grievance Mechanisms), theExecuting Agency/Entity will ensure that a grievance mechanism is established for the
project, which will be put in place in order to address specific concerns about
compensation, relocation or livelihood restoration that may be raised by affectedindividuals and communities.
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88. The CI-GEF/GCF Project may support project-initiated voluntary resettlement after all viable

alternatives have been assessed to avoid economic or physical displacement and whereconsent of affected communities has been sought, obtained and documented.
89. Thus, for projects in which the best alternative to the business-as-usual scenario involves

voluntary resettlement, Executing Agencies/Entities will be required to design, document
and disclose before project implementation begins, a participatory process for developing a
Voluntary Resettlement Action Plan (V-RAP).
90. Good faith negotiations must be sought and documented as the preferential manner inwhich to reach a V-RAP. The Executing Agency/Entity shall undertake good-faith efforts tosecure negotiated agreements with affected individuals and communities, based ontransparent, consistent and equitable compensation standards and procedures to ensurethat those people who enter into negotiated agreements maintain the same or better
income and livelihood status. Such agreements should provide access for displacedcommunities and persons to appropriate development benefits from the project.
91. The V-RAP shall:-describe the project activities;
provide a robust baseline assessment of the socio-economic conditions of affected
people, as well as their legal tenure and rights;- establish eligibility criteria for eligible persons/communities9;- describe efforts made to minimize displacement;- include results from census and socioeconomic surveys;- make clear all relevant local laws and customary rights that apply;- present the potential asset replacement10 or economic displacement costs, the basis for
how these were estimated, for validation by the affected peoples;- present resettlement sites;- income improvement or at least restoration;- outline institutional arrangements;- present an implementation schedule;- describe and document participation and consultation, particularly how consent was
obtained;- discuss accountability and grievance mechanisms;- present a budget for effective implementation and monitoring and evaluation; and,outline sources of funding.
92. The V-RAP should include information about how men and women may be affecteddifferentially by resettlement, given their respective roles, responsibilities, uses of natural
resources and needs, and put in place gender-responsive measures.
9 including people with formal legal rights to land or assets; people without formal legal rights, but with a claim to land or assetsthat is recognized or recognizable under national law; and people who have no recognizable legal right or claim to the land or
assets they occupy or use, but who are occupying or using the land prior to a project-specific cut-off date
10
Replacement cost is defined as the non-depreciated market value of the assets plus transaction costs (e.g. taxes and legalfees). Market value is defined as the value required to allow project-affected people to replace lost assets with assets of similarvalue. The valuation method for determining replacement cost should be documented and included in applicable Resettlement
plans and be consulted and agreed to as the basis for consent.
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93. Where physical displacement occurs, displaced people with title or a claim recognizable

under national law shall be provided with:a) Choices among feasible resettlement options – including land-based compensation
where possible – equal to the existing land in productive potential, location, and securityof tenure, ownership and use rights;b) Adequate replacement housing and/or cash compensation, access to services, andresources/organization to support maintenance of social organization and social
cohesion;c) Relocation assistance suited to their needs; andd) Assistance to improve, or at least restore, their livelihoods and living standards, in realterms, to pre-displacement levels or to levels prevailing prior to the start of project
implementation, whichever is higher.
94. Where economic displacement occurs, affected persons with title or a claim recognizable

under national law shall be provided with11:a) Prompt and adequate compensation for the loss of assets or access to assets, such assites of productive activity, with replacement property of equal or greater value, or cash
compensation at replacement cost;b) Assistance to improve, or at least restore, their livelihoods and living standards, in realterms, to pre-displacement levels or to levels prevailing prior to the start of project
implementation, whichever is higher; andc) Transitional support, as necessary.
95. For persons without formal legal rights to land, or claims to such land that could berecognized under national laws, resettlement assistance is provided in case of physical or
economic displacement, in lieu of compensation for land, to help improve or at least restore
their livelihoods in another location; and in cases of physical resettlement, arrangements toallow them to obtain adequate housing with security of tenure, and compensation for
assets other than land (such as dwellings), where feasible.
96. Compensation, assistance, and benefits to affected persons are provided in a timely

manner, before project or program activities begin on the acquired land.
97. The CI-GEF/GCF Project Agency will support projects involving voluntary economic

displacement as long as the Executing Agency/Entity is able to provide documented consent
from affected communities.
98. For projects in which the best alternative to the business-as-usual scenario involves

economic displacement -for example as a result of the creation of new protected areas,enactment of a new zoning scheme, development and implementation of a management
plan that requires restrictions, etc.- Executing Agencies/Entities will be required to preparea Process Framework that describes the nature of the restrictions, the participatory process11This provision of ESS3 applies to all project-affected parties except those whose livelihoods are derived from either (a) illegal
activity under national law or (b) activities which fall under the proposed CI-GEF/GCF ESMF Exclusion List.

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by which project components will be prepared, criteria by which displaced persons are
eligible, measures to restore livelihoods and the means by which any conflicts would be
resolved.
99. When needed, a Displacement Management Plan may also be developed during project

implementation phase to provide more detail on the arrangements to assist affected
persons to improve or restore their livelihoods. This plan should take into account thedifferent roles, responsibilities, natural resources needs and uses, and livelihoods, of men
and women, and arrangements to assist affected persons should be gender-sensitive.
100. V-RAPs and/or Process Frameworks, including documentation of the consultation and /orgood faith negotiation process, must be disclosed in a timely manner, before the approval
process formally begins, in a place accessible to key stakeholders including project affectedgroups and CSOs in a form and language understandable to them. For sub-projects requiring
land acquisition, these minimum requirements will be applied, as applicable and relevant.
101. In addition to the above requirements, all CI-GEF/GCF funded projects must follow national

legislation on resettlement and access and use of natural resources.
102. Appendix V provides more details about the practical implementation of this Standard.
103. In circumstances where the Executing Agency/Entity is a private sector actor, but whereland acquisition and resettlement are the responsibility of the government, the Executing
Agency/Entity will collabourate with the responsible government agency, to the extent
permitted by the Executing Agency/Entity, to achieve outcomes that are consistent with thisStandard. In addition, where government capacity may be limited, the executing
agency/entity will play an active role during resettlement planning, implementation, andmonitoring.

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ESS 4: INDIGENOUS PEOPLES
104. CI recognizes the role that indigenous peoples, through their traditional knowledge andpractice, have played in maintaining biodiversity and that many of the places withsignificant biodiversity remaining overlap with lands owned, occupied, and/or utilized byindigenous peoples. CI has partnered with indigenous peoples in a wide range of
ecosystems and capacities from community-based work to support the sustainable andtraditional uses of medicinal plants and animals to working with indigenous groups inmanaging traditional lands to support biodiversity conservation and ecological processes
that maintain their lives and livelihoods.
105. ESS4 is informed by CI’s Institutional Policy/Rights Based Approach, “Indigenous Peoples andConservation International”, which states that CI respects indigenous peoples’ individualand collective rights and the instruments that protect them, including but not limited to theInternational Labour Organization’s Convention No. 169 and the United Nations Declarationon the Rights of Indigenous Peoples (UNDRIP).
Purpose106. To ensure that:a) Projects respect indigenous peoples’ rights, including their rights to Free, Prior, andInformed Consent (FPIC);b) Indigenous peoples involved in the design of the project receive culturally appropriate

benefits that are negotiated and agreed upon with the Executing Agency/Entity;c) Potential adverse impacts are avoided or adequately addressed or negotiated andagreed upon through a participatory and consultative approach; andd) The implementation of the project, any required Indigenous Peoples Plan or Framework,and project benefits are monitored by qualified professionals and indigenous peoples.
107. This Standard applies to projects that affect indigenous peoples, whether adversely or

positively. Such projects need to be prepared with care and with the full and effective
participation of affected communities.
Definition
108. For the purpose of this standard, the term indigenous peoples is used in a generic sense torefer to a distinct social and cultural group possessing the following characteristics invarying degrees:(a) Self-identification as members of a distinct indigenous social and cultural group andrecognition of this identity by others;(b) Collective attachment to geographically distinct habitats, ancestral territories, or areasof seasonal use or occupation as well as to the natural resources in these areas;(c) Customary cultural, economic, social, or political systems that are distinct or separate
from those of the mainstream society or culture; and,

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(d) A distinct language or dialect, often different from the official language or languages of
the country or region in which they reside. This includes a language or dialect that has
existed but does not exist now due to impacts that have made it difficult for acommunity or group to maintain a distinct language or dialect.
Requirements
109. All CI-GEF/GCF funded projects are required to:a) Conduct safeguard screening for indigenous peoples as early as possible during the

project preparation phase;b) Implement effective participation of indigenous peoples in the preparation ofenvironmental and social impact assessments to assess risks and opportunities and to
improve the understanding of the local context and affected communities;c) Implement effective consultation processes with the affected indigenous peoples’

communities to fully identify their views and to seek their FPIC for project activities
affecting them. FPIC builds on and expands the process of meaningful consultation
described in Policy 3 of this ESMF (Stakeholder Engagement) and will be establishedthrough good faith negotiation between the Executing Agency/Entity and the projectaffected communities of indigenous peoples. The Executing Agency/Entity will
document: (i) the mutually accepted process between the Executing Agency/Entity andproject-affected communities of indigenous peoples, and (ii) evidence of agreement
between the parties as the outcome of the negotiations.
d) FPIC does not necessarily require unanimity and may be achieved even when individuals

or groups within the community explicitly disagree. While FPIC is a community-levelprocess, it is important to ensure that decisions at the community level are
representative of all community members, especially those who have historically beenleft out of decision-making, such as indigenous women; ande) Develop an Indigenous Peoples Plan (IPP) describing measures to avoid adverse impacts

and enhance culturally appropriate benefits in each project that may have a direct orindirect impact on indigenous individuals or communities (see Appendix VI).
110. The level of detail necessary to meet the requirements of the IPP shall be proportional tothe complexity of the proposed project and commensurate with the nature and scale of its
potential effects on the indigenous peoples, whether adverse or positive. This will be
determined by the CI-GEF/GCF Project Agency in consultation with the Executing
Agency/Entity and the community(ies) in question, based on a subjective assessment ofproject activities, circumstances of indigenous peoples, social risks and project impacts.
111. Specific measures to achieve these objectives will be incorporated in the IPP developed withthe affected indigenous peoples communities.
112. When project or program activities include the commercial development of lands andnatural resources central to indigenous peoples’ identity and livelihood, or commercial useof indigenous peoples’ cultural heritage, the project or program shall inform the affected
people of their rights under national and international law and of the scope, nature and
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impacts of the potential use, enabling the indigenous peoples to determine the extent of
the use of these natural and cultural resources and share equitably in the benefits fromsuch commercial development or use.
113. Where a project or program may affect indigenous peoples in voluntary isolation,

appropriate measures shall be taken to recognize, respect, and protect their lands andterritories, environment, health, and culture, as well as to avoid all undesired contact.
Aspects of the project or program that would result in such undesired contact shall not beprocessed further.
114. In projects where the Executing Agency/Entity is a private sector actor, but where thegovernment has a defined role in the management of indigenous peoples issues (in relation
to the project), the Executing Agency/Entity will collaborate with the responsible
government agency, to the extent feasible and permitted by the agency, to achieve
outcomes that are consistent with the objectives of this Standard.
115. The Executing Agency/Entity will ensure that a grievance redress mechanism is established

for any project (as outlined in Policy 4). This mechanism shall be culturally appropriate andaccessible to affected indigenous peoples, and take into account the availability of judicial
recourse and customary dispute settlement mechanisms among indigenous
peoples/communities.

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ESS 5: RESOURCE EFFICIENCY AND POLLUTION PREVENTION
116. Increased industrial activity, urbanization, and intensive agricultural development often

generate increased levels of pollution to air, water, and land, and consume finite resourcesin a manner that may threaten people and the environment at the local, regional, andglobal level. Pollution prevention and resource efficiency are core elements of a sustainable
development agenda and CI-GEF/GCF projects must meet good international practice in thisregard.
117. CI promotes a reduced reliance on synthetic chemical pesticides. Therefore, CI supports theuse of demand-driven, ecologically-based, biological or environmental Integrated Pest
Management practices (IPM) or Integrated Vector Management (IVM),
118. CI will support policy reform and institutional capacity development to enhance

implementation of IPM and IVM based pest management while regulating and monitoring
the distribution of pesticides.
119. CI will follow the recommendations and minimum standards as described in the United

Nations Food and Agriculture Organization (FAO) International Code of Conduct on theDistribution and Use of Pesticides (Rome 2010) and its associated technical guidelines andprocure only pesticides, along with suitable protective and application equipment that will
permit pest management actions to be carried out with well-defined and minimal risk tohealth, environment and livelihoods.
120. The CI-GEF/GCF Project Agency requires that key principles are applied, including aprecautionary approach to addressing significant environmental and social challenges; themitigation hierarchy;12 the “polluter pays” principle (whereby the cost of mitigation is borneby the polluter, where relevant); and adaptive management techniques (whereby lessons
are learned from past management actions and are proactively utilized to predict andimprove management as programming progresses).
Purpose121. The objectives of this Standard are as follows:a) To avoid or minimize adverse impacts on human health and the environment by
avoiding or minimizing pollution from project activities;b) To promote more sustainable use of resources, including energy and water;c) To reduce project-related emissions of Greenhouse Gas (GHG);d) To avoid or minimize generation of hazardous waste; ande) To minimize and manage the risks and impacts associated with pesticide use.
122. This Standard outlines a project-level approach to mitigating, minimizing and managing any

risks and potential adverse impacts that may be related to resource use and pollution.
Definitions

12 The mitigation hierarchy is applied by (a) anticipating and avoiding risks and impacts; (b) where avoidance is not possible,

minimizing or reducing risks and impacts; (c) once risks and impacts have been minimized or reduced, mitigating them; and (d)where residual adverse impacts remain, compensating for or offsetting them, where technically and financially feasible.
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123. Integrated pest management (IPM) is an ecosystem-based strategy that focuses on long-term prevention of pests or their damage through a combination of techniques such as
biological control, habitat manipulation, modification of cultural practices, and use ofresistant varieties. Pesticides are used only after monitoring indicates they are needed
according to established guidelines, and treatments are made with the goal of removing
only the target organism. Pest control materials are selected and applied in a manner thatminimizes or eliminates risks to human health, beneficial and non-target organisms, and theenvironment.
124. Integrated Vector Management (IVM) is a rational decision-making process for the optimaluse of resources for vector control. The approach seeks to improve the efficacy, costeffectiveness, ecological soundness and sustainability of disease-vector control. The
ultimate goal is to prevent the transmission of vector-borne diseases such as malaria,
dengue, Japanese encephalitis, leishmaniasis, schistosomiasis and Chagas disease.
125. Invasive alien species (IASs) are plants, animals, pathogens and other organisms that are

non-native to an ecosystem, and which may cause economic or environmental harm or
adversely affect human health. In particular, they impact adversely upon biodiversity,
including decline or elimination of native species - through competition, predation, ortransmission of pathogens - and the disruption of local ecosystems and ecosystem
functions.
Requirements
126. Throughout the project-cycle, project developers and executing agencies/entities willconsider and apply technically and financially feasible resource efficiency principles andtechniques for improving efficient consumption of energy, water, raw materials and otherresources. The Executing Agency/Entity shall apply good international practices to improve
resource efficiency, including principles of cleaner production, green design, sustainableinfrastructure and sustainable procurement where feasible.
127. CI-GEF/GCF projects will implement a waste management hierarchy by avoiding, and if notpossible, minimizing generation of waste, and reusing, recycling, and recovering wastes in asafe manner.
128. CI- GEF/GCF will seek to ensure that alternatives are considered to reduce project-related

GHG emissions, in a manner appropriate to the nature and scale of the project operations
and impacts. Alternative options may include but are not limited to alternative locations;use of renewable and low-carbon energy sources; energy efficiency; and ecosystem-based
adaptation and mitigation measures.
129. CI-GEF/GCF projects will avoid or minimize the potential for community exposure tohazardous materials and substances that may be released by a project. Where there ispotential for the public to be exposed to hazards, projects will exercise special care to avoid
or minimize their exposure by modifying, substituting, or eliminating the condition ormaterial causing the potential hazards.
130. For pollution prevention, CI-GEF/GCF projects shall avoid and if not possible, minimize andcontrol the intensity and flow of pollutants from routine, non-routine, and accidental
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releases. Executing Agencies/Entities shall establish preventive measures wherever possible
and ensure that application of pollution prevention and control technologies are consistent
with good international practice throughout the programming life-cycle. CI-GEF/GCF
projects shall abide by performance levels and measures specified in national law or in goodinternational practice, whichever is more stringent13. In addressing potential adverse
impacts, CI-GFE/GCF supported projects shall consider ambient conditions and assimilative
capacity of the environment, land use, proximity to ecologically sensitive areas, and thepotential for cumulative impacts.
131. If project/program activities will generate significant emissions in previously

polluted/degraded areas, the Executing Agency/Entity will adopt measures that avoid andminimize potential negative effects, including potential alternative siting. When aproject/programme involves historical pollution, the Executing Agency/Entity will establish
a process to identify the responsible party. If the historical pollution could pose a significant
risk to human health or the environment, the Executing Agency/Entity will undertake ahealth and safety risk assessment of the existing pollution which may affect communities,
workers, and the environment. Any remediation of the site will be appropriately undertakenin accordance with national law and Good International Industry Practice (GIIP), whicheveris most stringent.
132. Where CI-GEF/GCF project activities involve high demand for water resources, the Executing

Agency/Entity must apply measures to reduce water use and ensure that such usage does
not have significant adverse impacts on communities, other users, or on the environment
and ecosystems. The project must also assess the cumulative impacts of water use andimplement appropriate mitigation measures such as water demand management, efficiency
measures, benchmarking usage, alternative supplies, resource contamination avoidance,
mitigation of impacts on downstream users, and water use offsets. The CI-GEF/GCF Project
Agency will require the application of GIIP for water conservation and efficiency14.
133. For projects that require the procurement of eligible pesticides, the Executing Agency/Entity

will ensure that these pesticides are procured contingent on an assessment of the natureand degree of associated risks, taking into account the proposed use and intended users.
134. Where pesticides are procured or used:a) The products used do not contain active ingredients that are banned or restricted underapplicable international treaties and agreements, or meet the criteria of carcinogenicity,
mutagenicity, or reproductive toxicity as set forth by relevant international agencies;b) Adequate restrictions, skills, equipment and facilities are in place to ensure their safe
use, taking into account the pesticide’s potential risks; and13 For good international practice, see the performance measures in the World Bank Group Environmental Health and Safety

Guidelines. Also see the UNECE Convention on Long-range Transboundary Air Pollution and the Convention on theTransboundary Effects of Industrial Accidents.
14 See for example the UNECE Convention on the Protection and Use of Transboundary Watercourses and International Lakes.

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135. For projects that trigger this Standard, Executing Agency/Entity will be required to develop a

Resource Efficiency and Pollution Prevention Plan. The Plan describes measures to be
implemented to avoid or minimize the negative impacts that the control and removal ofalien invasive species and the use of pesticides, insecticides, and herbicides may have on
the environment and the people to be affected by these activities (see Appendix VII for
details).
136. The Executing Agency/Entity will ensure that Resource Efficiency and Pollution Prevention

Plans are disclosed in a timely manner, in a place accessible to key stakeholders, including
project affected groups and CSOs, in a form and language understandable to them.

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ESS 6: CULTURAL HERITAGE
Purpose137. To ensure that cultural resources, both tangible and intangible, are appropriately

preserved and their destruction or damage is appropriately avoided.
Definition
138. Physical Cultural Resources (PCR) are movable or immovable objects, sites, structures, andnatural features and landscapes that have archaeological, paleontological, historical,architectural, religious, aesthetic, sacred sites or other cultural significance.
139. Intangible cultural heritage includes traditions or living expressions inherited from ourancestors and passed on to our descendants, such as oral traditions, performing arts, social
practices, rituals, festive events, knowledge and practices concerning nature and theuniverse or the knowledge and skills to produce traditional crafts.15
140. For the purposes of this Standard, the requirements apply to both tangible and intangible

cultural heritage.
141. Replicable cultural heritage is defined as tangible forms of cultural heritage that canthemselves be moved to another location or that can be replaced by a similar structure or
natural features to which the cultural values can be transferred by appropriate measures.
Archaeological or historical sites may be considered replicable where the particular erasand cultural values they represent are well represented by other sites and/or structures.
142. Nonreplicable cultural heritage may relate to the social, economic, cultural, environmental,

and climatic conditions of past peoples, their evolving ecologies, adaptive strategies, andearly forms of environmental management, where the (i) cultural heritage is unique or
relatively unique for the period it represents, or (ii) cultural heritage is unique or relatively
unique in linking several periods in the same site.
143. Critical cultural heritage consists of one or both of the following types of cultural heritage:(i) the internationally recognized heritage of communities who use, or have used within
living memory, the cultural heritage for long-standing cultural purposes; or (ii) legally
protected cultural heritage areas, including those proposed by national and sub-national
governments for such designation.
Requirements
144. All CI-GEC/GCF activities will analyse feasible project alternatives including site selection

and project design in order to prevent or minimize or compensate for adverse impacts andenhance positive impacts on cultural heritage resources.
145. When cultural heritage resources are present in project areas, measures should be put inplace to ensure that they are identified and that adverse effects on them are avoided. Thisis particularly relevant for projects that support development of management plans and

15 https://ich.unesco.org/en/what-is-intangible-heritage-00003

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other land and natural resource use planning, projects that support alternative livelihood
activities, and projects that include small infrastructure construction.
146. When deemed necessary (i.e through the screening process), qualified experts, local

people, and other relevant stakeholders shall be consulted. Field-based surveys shall also
be used in assessing the nature, extent and significance of cultural heritage that may beaffected by the project; assessing whether destruction or damage can be avoided; andassessing plans for minimizing/mitigating risks and impacts.
147. Jointly with the rightsholders, the Executing Agency/Entity shall determine whether

disclosure of information regarding cultural heritage would compromise or jeopardize its
safety or integrity.
148. Chance finds will not be disturbed until an assessment by qualified experts is made. Where

national procedures do not exist, appropriate procedures will be developed in line with theassessment by qualified experts.
149. Where the Executing Agency/ Entity has encountered tangible cultural heritage that is

replicable and not critical, the executing Executing Agency/ Entity will apply mitigation
measures that favour avoidance. Where avoidance is not feasible, the Executing Agency/
Entity will apply a mitigation hierarchy. If this encounter occurs within the territories/landsof an indigenous community, then the process of FPIC must occur before any mitigation
measures are undertaken.
150. Where a project or program introduces restrictions to stakeholder access to cultural

heritage, continued access shall be arranged in consultation with stakeholders, where
feasible subject to overriding safety and security considerations.
151. Where a project or program involves the commercial use of cultural heritage, project-or

program-affected parties shall be informed of their rights under national law and of thescope, nature and impacts of the potential use, and arrangements are made to provide forthe fair and equitable sharing of benefits from such use, provided this use has been agreed
to in an FPIC process.
152. For projects that trigger this Standard, Executing Agencies/Entities will be required todevelop a Cultural Heritage Management Plan (CHMP). The CHMP is a document that
identifies a set of mitigation, management, monitoring, and institutional actions to be
implemented for CI-GEF/GCF projects.

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ESS 7: LABOUR AND WORKING CONDITIONS
Purpose154. To protect workers by ensuring that risks or potential adverse impacts to workers are

avoided or mitigated, and the fundamental rights of workers are respected, consistent with
the International Labour Organization’s (ILO) Declaration on the Fundamental Principles andRights at Work. This Standard seeks to promote the fulfilment of these rights.
155. The following requirements are to be applied in a proportional manner based on the natureof the project, its specific activities, the project’s associated social and environmental risks
and impacts, and the type of contractual relationships with workers engaged in relation to
the project.
156. The ESS applies to workers directly engaged by the Executing Agency/Entity, including direct

workers, contracted workers, as well as workers engaged by the Executing Agency/Entity’s
primary suppliers (primary supply workers).
Definitions
157. “Direct workers” are those people employed or engaged directly by the Executing

Agency/Entity to work specifically on the project.
158. “Contractual workers” are those people engaged through third parties to perform work

related to core functions of the project for a substantial duration.
159. “Primary suppliers” are those suppliers who, on an ongoing basis, provide goods or materials

directly to the project that are essential for its core functions.
Requirements
160. Where the screening or assessment processes described under ESS1 identify risks orpotential adverse impacts to workers, further assessments are undertaken, and plans aredeveloped, implemented and monitored to manage the risks and potential adverse impacts
in such a way that is consistent with this Standard and respects and protects thefundamental rights of workers, consistent with the International Labour Organization’s (ILO)
Declaration on the Fundamental Principles and Rights at Work, including:a) Freedom of association and the effective recognition of the right to collective

bargaining;b) The elimination of discrimination, in respect of employment and occupation;c) The prevention of child labour; andd) The elimination of all forms of forced or compulsory labour.
161. Written labour management policies and procedures (refer to template in Appendix VIII)
are established in accordance with applicable national laws, and the requirements of this
ESS, and accessible to all workers.
162. Workers are provided with clear and understandable documentation of employment terms
and conditions, including their rights under national law related to hours of work, wages,

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overtime, compensation and benefits, and those arising from this Standard upon beginning
the working relationship and when any material changes occur.16
163. Workers engaged by the project are provided regular and timely payment of wages;
adequate periods of rest, holiday, sick, maternity, paternity, and family leave; and written
notice of termination and severance payments, as required under national laws and the CI
GEF/GCF labour management procedures.
164. Decisions relating to any aspect of the employment relationship, including recruitment,
hiring and treatment of workers, are made based on the principles of non-discrimination,equal opportunity and fair treatment, and not on the basis of personal characteristics
unrelated to inherent job requirements.
165. Appropriate measures are in place to prevent harassment, intimidation, and exploitation,and to protect vulnerable workers, including but not limited to women, children of working
age, migrants and persons with disabilities.
166. Migrant workers are employed in accordance with local laws and on comparable terms andconditions as non-migrant workers who are employed in similar work.
167. Workers who participate, or seek to participate, in workers’ organizations and collective
bargaining, do so without interference, are not discriminated or retaliated against, and areprovided with information needed for meaningful negotiation in a timely manner.
168. Where the Executing Agency/Entity either directly or indirectly provide residential or
temporary accommodation to workers or requires workers to travel to remotecommunities, adequate lodging shall be provided. Any accommodation facilities shallprovide all basic services17, including water and sanitation; in certain cases, medical careshould also be provided. The services are provided in a manner consistent with theprinciples of non-discrimination and equal opportunity.
169. Occupational Health and Safety (OHS) measures are applied to establish and maintain a safeand healthy working environment, and such measures are designed and implemented toaddress:a) Identification of potential hazards to workers, particularly those that may be life
threatening;b) Provision of preventive and protective measures, including modification, substitution, or
elimination of hazardous conditions or substances;c) Training of workers and maintenance of training records;d) Documentation and reporting of occupational accidents, diseases and incidents;e) Emergency prevention and preparedness and response arrangements to emergency
situations; andf) Remedies for adverse impacts such as occupational injuries, deaths, disability anddisease.

16 The policies and processes shall be appropriate to the size, locations and workforce of project activities.
17 Basic services may include security arrangements; appropriate work temperature; safe food; drinking water; access to safe

exit in emergency conditions; segregated toilets, washing facilities and sleeping areas for women and men; and access to meansof communication with areas outside the project boundary.

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170. Workers are informed of applicable grievance and conflict resolution systems provided at

the workplace level, which conform to the requirements of Policy 4 (Accountability andGrievance Mechanisms).
171. Workers will be able to use these mechanisms without retribution, and the grievance andconflict resolution systems does not impede access to other judicial or administrative
remedies available under the law or through existing arbitration procedures, or substitutefor grievance systems provided through collective agreements.
172. CI-GEF/GCF will require the Executing Agency/Entity to identify potential risks of violationsof primary supplier workers' fundamental rights and safety and health issues and establishroles and responsibilities for monitoring primary suppliers. If child labour, forced labour,
trafficking in persons, unsafe working conditions, or breaches of other fundamental rights
are identified, the responsible party will require the primary supplier to take appropriate
steps to remedy them.
173. CI-GEF/GCF will contractually require that third parties who receive CI-GEF/GCF funds andwho engage workers in association with the project are legitimate and reliable entities andhave in place appropriate policies, processes and systems that allow them to operate inaccordance with the requirements of this Standard, including having access to a grievancemechanism.

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ESS 8: COMMUNITY HEALTH, SAFETY AND SECURITY
Purpose174. To ensure that risks or potential impacts to the health, safety and security of project-affected communities are identified, avoided and mitigated.
175. ESS 8 encourages an integrated risk assessment. The health, safety, and security of project
affected people must be assessed and mitigated as inter-connected risks in any
environmental and social risk assessment. This includes the potential risks for communities
already subjected to impacts from climate change or natural hazards that may also
experience an acceleration or intensification of impacts due to project activities.
176. This Standard addresses the need to avoid, and where avoidance is not possible, tominimize and mitigate the health, safety and security related risks and impacts that may
arise over the lifetime of the project, with particular attention given to marginalized or
disadvantaged groups.
Requirements
177. Projects will be screened to identify risks or potential impacts to the health, safety andsecurity of project-affected communities, and further assessments will be carried out,
considering:a) the potential exposure of communities to both accidental and natural hazards,
particularly where the structural elements of the project are accessible to members of
the affected community, or where their failure could result in injury to the community;b) the special needs and exposure of disadvantaged or vulnerable groups or individuals,
including in particular women and children;c) the particular risks that may be present in a conflict or post-conflict context;d) the impacts of the project on provisioning and regulating ecosystem services, as they
are directly relevant to community health and safety;e) the current or projected effects of climate change and other natural hazards.
f) the community exposure to hazardous materials and health risks;g) the potential risks posed to communities by a project’s use of rangers, eco-guards, orsimilar security personnel, whether armed or unarmed;h) the potential risks posed to rangers, eco-guards, or similar security personnel, whether
armed or unarmed, in the course of performing their job duties; and,i) threats to human security through the risk of escalation of personal or communal
conflict and violence that could be caused or exacerbated by the project.
178. Appropriate measures are designed, implemented and monitored to prevent or avoid any
adverse impacts on community health, safety and security, where feasible, or minimized or
mitigated, where avoidance or prevention are not feasible.
179. When structural elements or components, such as dams, tailings dams, or ash ponds are
situated in high-risk locations, and their failure or malfunction may threaten the safety ofcommunities, projects or programs engage one or more external experts with relevant andrecognized experience in similar projects, separate from those responsible for the designand construction, to conduct a review as early as possible in project development andthroughout the stages of project design, construction, operation, and decommissioning.
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180. Emergency preparedness plans are developed, implemented and monitored incollabouration with stakeholders and relevant authorities, where relevant. An emergency
preparedness plan shall include (as appropriate): a) engineering controls (such as
containment, automatic alarms, and shutoff systems) proportionate to the nature and scaleof the hazard; (b) identification of and secure access to emergency equipment available onsite and nearby; (c) notification procedures for designated emergency responders; (d)diverse media channels for notification of the affected community and other stakeholders;(e) a training program for emergency responders including drills at regular intervals; (f)public evacuation procedures; (g) designated coordinator for implementation; and (h)measures for restoration and cleanup of the environment following any major accident
181. Projects avoid, where feasible, or minimize the risk of community exposure to disease andother relevant health risks, taking into account differentiated levels of exposure, and theneeds and exposure of disadvantaged or vulnerable groups or individuals.
182. Adverse impacts on community health and safety18 sometimes occur as a result of impacts
on communal ecosystem services. Measures are required to be taken in order to avoid or
minimize adverse impacts on ecosystems services that may arise from project activities. The
CI-GEF/GCF Project Agency requires that special attention/considerations be paid to avoid
causing or exacerbating potential adverse impacts on marginalized and disadvantaged
groups or those groups that have a disproportionate dependence on such services.
183. The Executing Agency/Entity must ensure that appropriate mitigation and management
measures are taken to address risks and potential impacts on health and safety ofcommunities arising from the influx of project-related workers in a given area. Such risks
and impacts may be associated with changes in population composition, health implications
and exposure to communicable diseases, threats of sexual violence and harassment, crime,and increased vulnerability of communities due to increased pressure on already scarcenatural resources. Measures shall be taken that seek to protect community members fromsuch risks.
184. Where CI-GEF/GCF project requires the engagement of security providers/personnel, theExecuting Agency/Entity will ensure that such security arrangements do not violate
international human rights standards or principles19. The risks posed by such security
arrangements to the potentially affected community will be assessed to ensure that those
providing security are appropriately vetted, trained and supervised. Allegations of unlawful
or abusive acts will be monitored, reviewed, with actions taken to prevent recurrence
against individuals and communities.
185. All CI-GEF/GCF-funded projects, other than those determined during the screening process
to be low risk, will be required to assess their potential to expose communities to diseaserisk. This will require the borrower/grant recipients to undertake health impact assessment
and, proportionate to the degree of potential risk, to include risks assessment focused
primarily on pandemic risk.

18 Examples include loss of natural buffers which could increase the flooding risks
19 International human rights standards and principles include the UN Basic Principles on the Use of Force and Firearms by Law

Enforcement officials, the UN Code of Conduct for Law Enforcement Officials, the Voluntary Principles on Security and Human
Rights, and the International Code of Conduct on Private Security Providers
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186. CI-GEF/GCF projects will (when necessary) identify, evaluate and monitor the potential

traffic and road safety risks to workers, affected communities and road users throughout
the project life cycle and, where appropriate, will develop measures and plans to address
them.
187. The Executing Agency/Entity will avoid or minimize the potential for community exposure tohazardous materials and substances that may be released by the project. Where there is apotential for the public (including workers and their families) to be exposed to hazards,
particularly those that may be life threatening, the Executing Agency/Entity will exercise
special care to avoid or minimize their exposure by modifying, substituting, or eliminating
the condition or material causing the potential hazards.
188. Outside of the initial CI-GEF/GCF Safeguard Screening Form (Appendix I), the primary tool
for assessing risks as related to ESS 8, is the CI Risk Assessment matrix which includes acorresponding list of potential mitigation measures. The Risk Assessment tool (Appendix IX)
is one of the main ways in which ESS8 is operationalized if/when triggered by a given
project.

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ESS 9: PRIVATE SECTOR DIRECT INVESTMENTS AND FINANCIAL INTERMEDIARIES20
Purpose189. The purpose of this Standard is to promote good environmental and sound humanresources management where the CI-GEF/GCF Project Agency makes either direct
investments in private sector firms, or channels funds through Financial Intermediaries (FIs).
190. The nature of financial intermediation means that the FIs will assume delegatedresponsibility for environmental and social assessment, risk management and monitoring aswell as overall portfolio management. The effectiveness of the FI’s environmental and social
risk management will be evaluated and monitored by the CI-GEF/GCF Project Agency on acontinuous basis throughout the project lifecycle in line with the requirements of this ESMF.
Requirements
191. Environmental and Social Management System: FIs and direct investees are required todevelop and maintain, in the form of an Environmental and Social Management System(ESMS), effective environmental and social systems, procedures and capacity for assessing,managing, and monitoring risks and impacts of subprojects, as well as managing overall
portfolio risk in a responsible manner. This shall be proportionate to the risks and impactsof the given projects, and the risk profile of the FI’s portfolio. An ESMS commensurate to
the risk profile of the FI should typically consist of the following elements:a) Environmental and Social (E&S) Policy: An E&S policy states the E&S requirements andstandards that apply to the FI’s lending/investment activities and that will be used to
manage the E&S risk associated with the FI’s portfolio of borrowers/investees. Thisshould include a commitment by the FI to have its non-retail transactions comply with
the ESS in addition to applicable local environmental and social regulations.
b) Identification of risks and opportunities: A process to identify the E&S risks and impacts
associated with its lending/investment activities.
c) Management programs: Management programs are centred on Environmental andSocial Action Plans that should point to improved procedures that are necessary for the
FI’s clients to avoid, minimize or compensate for identified risks and impacts.
d) Internal organizational capacity and competency: Refers to designated personnel with
E&S responsibilities and track record to ensure that resources are available for theeffective implementation of the ESMS across the organization.
e) Emergency preparedness and response: A system to respond to accidental andemergency situations regarding the FI´s own operations.
192. Stakeholder engagement: The FI or direct investee will put in place procedures for external
communications on environmental and social matters proportionate to the risks and
20 CI may finance private sector projects through either direct investment, or through financial intermediaries. When CI provides

support to FIs, the funds are then “on-lent” or “on-granted” to sub-projects. A “FI subproject” is the ultimate project or activity
supported by the FI. If a FI provides financial support to another FI (for example, through a loan or guarantee) the FI subprojectis the project or activities supported by the participating FI. For example, where the FI provides a loan to a rural finance institution,
which then lends (via a sub-loan) to a farmer (sub-borrower) who uses the loan to expand farming operations, the FI subprojectis the expanded farming operation. Direct investments are different, only in that the recipient of CI support uses the funding tosupport initiatives that are under its direct control.

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impacts of the given sub-projects, and the risk profile of the FI’s portfolio. The FI will
respond to public enquiries and concerns regarding relevant environmental and social
matters in a timely manner. FIs shall be required to publish their corporate environmental
and social policy or a summary of their ESMS on their website, if available. FIs will list on
their website the link to any publicly available environmental and social impact assessment
reports for high-risk sub-projects that they finance.
193. Grievance Redress: The FI will provide an adequate project level grievance redress
mechanism, that is in line with the requirements of Policy 4: Accountability and Grievance
Mechanisms, of this ESMF.
194. Monitoring and Reporting: The FI will submit, in a form acceptable to CI-GEF/GCF, annual
environmental and social reports on the implementation of its ESMS. The FI will promptly
notify CI-GEF/GCF in written form of any significant accidents or incidents associated with FI
subprojects. If the risk profile of an FI subproject increases significantly, the FI will notify the
CI-GEF/GCF Project Agency. The FI will make available relevant information on projectmonitoring and performance to stakeholders in an appropriate fashion.

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ESS 10: CLIMATE RISK AND RELATED DISASTERS
Purpose196. Climate change impacts pose a fundamental threat to sustainable development and thefight against poverty. They have the potential to stall and even reverse human development
through their impacts on key development sectors and activities, including agriculture andfood production, water, ecosystems and other natural resources, disaster risk management
and health. Climate change has become a key driver of hydro-meteorological disasters andhas the potential to produce negative impacts through gradual environmental changes andmay exacerbate extreme weather events, increasing the risk of slow and sudden-onset,
high-impact disasters. Climate variability is contributing to the increasing frequency andimpact of small-scale localized disasters with far-reaching long-term socio-economic anddevelopmental impacts.
197. The Paris Agreement indicates that the long-term goal is to keep the increase in global
average temperature to well below 2 °C above pre-industrial levels; and to pursue efforts tolimit the increase to 1.5 °C, recognizing that this would substantially reduce the risks andimpacts of climate change
198. The purpose of this Standard is to:a) Ensure alignment of CI GEF/GCF projects with the goals of the Paris Agreement andother international frameworks;b) Ensure that proposed activities are screened and assessed for climate change anddisaster risks and impacts both of-and-to projects;c) Apply the mitigation hierarchy in project design;d) Strengthen resilience of communities to address risks of climate change impacts andclimate related disasters; and,e) Increase the ability of communities to adapt to the adverse impacts of climate change,
and foster climate resilience and low greenhouse gas emitting projects that do notthreaten food production.
Requirements
199. Climate change analysis (impact of climate change on projects): The CI-GEF/GCF Project

Agency acknowledges the threat that climate change impacts and risks pose to sustainable
development and has integrated considerations for such potential adverse risks and impacts
throughout the standards of the ESMF (most notably within ESS1 and ESS5). During the
Safeguard Screening process, the CI-GEF/GCF Project Agency will require that all projects
are assessed to determine the exposure and sensitivity of the project objectives to climaterelated risks based on available information about historic climate hazard occurrences,current climate trends, and future climate change scenarios.
200. The Safeguard Screening will also assess the likelihood of the project increasing thevulnerability of the expected target populations to climate hazards (e.g. maladaptation).
Executing Agencies/Entities should analyse physical, social, economic and environmental
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factors or processes which increase the susceptibility and vulnerability of relevant
communities to potential climate change impacts and hazards - with a particular focus on
marginalized and disadvantaged groups and individuals. Consideration should be given topotential specific gender, age and social vulnerabilities and differentiated impacts.
201. In this regard, the need for clear and robust risk identification and mitigation measures isimportant. As the project cycle moves forward, with project locations and the types ofinvestment options narrowed down, a more detailed climate analysis should be undertaken.
This can specifically inform the nature and types of investments or at least the way thatthey are undertaken, for example the need for “climate proofing” of infrastructure. This hascost implications that should be reflected in the project budgeting.
202. Climate change analysis (impact of projects on GHG emissions): In line with therequirements of ESS 5 (Resource Efficiency and Pollution Prevention), the Executing
Agency/Entity must seek to reduce direct as well as indirect greenhouse gas emissions.
203. Alternatives and implementation of technically and financially feasible options to reduce
GHG emissions should be considered. Options may include alternative locations; use ofrenewable and low-carbon energy sources; energy efficiency; use of low-global-warmingpotential coolants for air-conditioning and refrigeration; “climate-smart” agriculture andlivestock management practices; and, ecosystem-based adaptation and mitigation
measures.
204. Where GHG emissions may be significant, potential sources should be characterized andestimated to form a baseline for reducing such emissions, providing such estimation istechnically and financially feasible. The borrower/grant recipient should support and adopt
GHG-accounting methodologies for programming activities according to good international
practice; and protect, conserve and, where appropriate, incorporate carbon sinks inprogramming activities.

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X. POLICY 2: GENDER MAINSTREAMING
205. This section outlines CI-GEF/GCF Project Agency requirements and approach tomainstreaming gender equality and equity into all project activities and operations.
206. The CI-GEF/GCF Project Agency recognizes that social and cultural norms greatly influence

the roles, responsibilities, needs, interests and priorities of men and women in project
areas. Furthermore, the CI-GEF/GCF Project Agency recognizes that historical and current
disadvantages often put women in a position of less power, control and influence indecision-making. Therefore, projects must take a systematic and proactive approach inorder to promote gender equality and equity in all aspects of the project activities,
project design and implementation, as well as monitoring and evaluation. The purpose ofthis Policy, and its implementation, is to mitigate potentially adverse effects of project
activities on men and women, to contribute to closing gender gaps in access to andcontrol over resources, to improve participation and decision-making of women in natural
resource governance, and to promote equitable socio-economic project benefits.
Purpose207. To mainstream gender through designing, implementing and monitoring projects in sucha way that projects::a) Do not exacerbate existing gender-related inequalities and, where relevant, address

gender gaps;b) Strive to provide equal opportunities for men and women to benefit; andc) Provide equal opportunities for women and men to actively participate and makedecisions throughout identification, design, implementation, monitoring andevaluation, including in project consultations.
Definitions
208. Gender refers to the roles, behaviours, activities, and attributes that a given society at agiven time considers appropriate for men and women. In addition to the social attributes
and opportunities associated with being male and female and the relationships between
women and men and girls and boys, gender also refers to the relations between womenand those between men. Gender is part of the broader socio-cultural context, includingclass, race, poverty level, ethnic group, sexual orientation, and age. In most societies
there are differences and inequalities between women and men in responsibilities
assigned, activities undertaken, access to and control over resources, as well as decisionmaking opportunities
209. Gender Analysis means a critical examination of how differences in gender norms, roles,

power structures, activities, needs, opportunities and rights affect men, women, girls andboys in a certain situation or context. It includes collection and analysis of sexdisaggregated data and gender information to understand gender differences and gaps,
determine gender differentiated impacts and risks, to identify measures to avoid adverse
gender impacts, and to uncover and act on opportunities to address gender gaps andinequalities relevant to the activity.
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210. Gender Equality means the equal rights, responsibilities and opportunities of women andmen and girls and boys. Equality does not mean that women and men will become thesame but that women’s and men’s rights, responsibilities and opportunities will notdepend on whether they are born male or female.
211. Gender Equity is the process of being fair to men and women, depending on theirrespective needs. Measures must be taken to address the barriers that prevent womenand men from participating meaningfully and benefitting from project activities.
212. Gender Mainstreaming means the process of assessing the implications for women andmen of any planned action, including legislation, policies or programs. It is a way to makewomen’s as well as men’s concerns and experiences an integral dimension of the design,
implementation, monitoring and evaluation of policies and programs so that women andmen benefit equally and that inequality is not perpetuated.
213. Gender Gap means any disparity and inequality between women and men’s condition due

to their position or role in society. It concerns inequalities in terms of their participation,
their access to opportunities, rights, power to influence and make decision, incomes andbenefits, and control and use of resources.
214. Gender Roles are a set of social and behavioural norms that are considered to be sociallyappropriate for individuals of a specific sex.
215. Gender Responsive means that the particular needs, priorities, power structures, status

and relationships between men and women are recognized and adequately addressed in
the design, implementation and evaluation of activities. The approach seeks to ensurethat women and men are given equal opportunities to participate in and benefit from anintervention and promotes targeted measures to address inequalities and promote theempowerment of women.
216. Gender-Sensitive Indicator means an indicator that can be used at various levels tomonitor and report on socio-economic and gender-sensitive changes over a period oftime.
217. Sex-disaggregated Data includes information that is collected and presented separately

on men and women. Sex describes the biological and physiological differences that
distinguish males, females and intersex.
Requirements
218. The Executing Agency/Entity is responsible for mainstreaming gender throughout the

project, as appropriate, using qualified professionals and pulling on relevant research,studies, and consultations.
219. For all GEF/GCF funded projects, Executing Agencies/Entities will conduct a Gender

Analysis and develop a Gender Mainstreaming Plan (GMP). The plan will identify specificgender-responsive activities that are critical to fulfilling project gender requirements,
including a monitoring and evaluation plan using gender-sensitive and sex-disaggregatedindicators.

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a) The GMP must include an assessment of gender roles, responsibilities, uses, andneeds relating to the natural resources on which the project will be based (e.g. use
and control patterns, participation in management and decision-making, benefits
sharing, etc.) and both short-term and long-term impacts of the project on men andwomen. The assessment should take an intersectional approach that identifies
impacts on women and men of different ages, ethnicities, social structure andstatus.
b) The GMP must identify ways to ensure that the project activities and decision

making are designed to be as inclusive as possible regardless of gender and thebenefits are shared and distributed equitably.
c) The GMP must identify specific actions and activities to ensure that gender-related

adverse impacts of the project are avoided, minimized, and/or mitigatedappropriately, and additional actions and activities to close relevant gender gaps.
d) The GMP must also identify specific indicators and targets for monitoring &evaluating progress towards gender equality within the project.
220. The CI GEF/GCF Project Agency will review and approve the GMP and oversee execution.
221. In addition to the GMP, the Executing Agency/Entity is required to ensure that genderconsiderations outlined in the plan are also fully embedded throughout the project
document, results framework, project budget and annual workplans.
222. Appendix XII provides a template for the preparation of the GMP.

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XI. POLICY 3: STAKEHOLDER ENGAGEMENT
223. CI is committed to ensuring meaningful, effective and informed participation of

stakeholders in the formulation and implementation of CI-GEF/GCF programmes andprojects.
224. Effective stakeholder engagement is a cornerstone to achieving sustainable development.
Meaningful engagement with stakeholders, including access to timely, relevant, andunderstandable information and grievance redress, are key aspects of a human rights-based
approach to programming. Government partners, civil society actors and organizations,
local government actors, indigenous peoples, local communities and other stakeholders are
crucial partners. Effective stakeholder engagement is also fundamental to attaining the
Sustainable Development Goals (SDGs) and addressing the principle of ‘leave no one
behind’ in combatting inequality and ensuring equity and non-discrimination across all
programming areas.
Purpose225. To seek and incorporate the knowledge and contributions of rightsholders, partners andstakeholders to ensure that CI-GEF/GCF funded projects results in lasting andfundamental improvements for nature and human well-being.
226. Therefore, all CI-GEF/GCF funded projects must:a) Identify and involve key and vulnerable stakeholders in project design andpreparation processes to understand local needs and avoid adverse impacts;b) Ensure that stakeholders views and concerns are taken into account by the project

and are addressed by key decision-makers;c) Engage stakeholders in meaningful consultations where they are able to express

their views on project plans, benefits, risks, impacts, and mitigation measures that
may affect them; andd) Incorporate the knowledge of stakeholders and address any concerns during allphases of the project;e) Include clear procedures for stakeholders to request additional information;f) Ensure that such consultations are gender responsive; free of manipulation,interference, coercion, discrimination and intimidation; and responsive to the needs
and interests of disadvantaged and vulnerable groups; andg) Continue consultations throughout project implementation, monitoring andevaluation, as necessary, to ensure project adaptive management and proper
implementation of environmental and social safeguard plans.
Definitions
227. Stakeholders are persons or groups who are directly or indirectly affected by a project, as

well as those who may have interests in a project and/or the ability to influence its
outcome, either positively or negatively. Stakeholders may include locally affected
communities or individuals and their formal and informal representatives, national or

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local government authorities, politicians, religious leaders, civil society organizations andgroups with special interests, the academic community, or other businesses (IFC, 2007).
228. Stakeholder Engagement is process where intervening agencies practice a partnership

ethos; treating all other parties with equity and inclusivity, such that stakeholders havemeaningful and measurable influence in the conceptualization, design, implementation,and evaluation of programmatic activities.21229. Affected communities are communities of the local population within the project’s area ofinfluence who are likely to be affected by the project.
Requirements
230. The CI GEF/GCF Project Agency requires that stakeholder engagement be included in all

its supported projects/programs and throughout their respective project/financing cycles.
231. The CI-GEF/GCF Project Agency will oversee the Executing Agency/Entity to ensure theinvolvement of all key stakeholders, including project-affected communities, indigenous
peoples, and local CSOs, as early as possible in the design/preparation process to ensurethat their views and concerns are made known, taken into account, all adverse effects are
avoided and opportunities to benefit local needs are incorporated. The CI-GEF/GCF
Project Agency recognizes that projects are context specific, and that the requirements of
Policy 3 listed below may be achieved in different levels depending on said context.
232. Efforts should be made to ensure that stakeholder groups of historically vulnerable or

marginalized people (e.g. women, youth, elders, religious/ethnic minorities) are able tofully and effectively participate in this process, which may require separate or targeted
engagement.
233. Ideally, stakeholder engagement should involve the public in problem-solving andsolutions/changes should be shared in public forum. The joint effort by stakeholders, incountry representatives, Executing Agencies/Entities, and the CI-GEF/GCF Project Agency
ensures better results. Executing Agencies/Entities must ensure that the key principles of
the CI-GEF/GCF Policy on Gender Mainstreaming (i.e. Policy 2 of this ESMF) – ensuringthat both men and women are given equal access to information and decision-making
processes - is incorporated throughout stakeholder engagement.
234. Executing Agencies/Entities should identify the range of stakeholders that will be affectedby project activities or may be interested in their actions and consider how external
communications might facilitate a dialogue with all stakeholders. Participatory
stakeholder mapping methods should be used to ensure updated or accurate
identification is achieved.
235. Stakeholders should be informed and provided with information regarding project

activities in a language and format that is easily understood by them. Where projects
involve specifically identified physical elements, aspects and/or facilities that are likely togenerate adverse environmental and social impacts to affected communities the21

Pfeiffer, J., and Dunne, P. June 2020. A Road Map to Excellent Stakeholder Engagement. Arlington, VA:
Conservation International.
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Executing Agency/Entity will identify the affected communities and will meet the relevant
requirements described below.
236. The Executing Agency/Entity is responsible for drafting and executing the Stakeholder

Engagement Plan (SEP) for all GCF/GEF funded projects (see Appendix XIII for SEP
template) that is scaled to the project risks and impacts and development stage, and be
tailored to the characteristics and interests of the affected communities, recognizing thatsome community members may not be able to effectively communicate outside of thelocal language. A SEP encompasses all project activities during design, implementationand closure.
237. Where applicable, the SEP will include differentiated measures to allow the effective

participation of those identified as disadvantaged or vulnerable.
238. When the stakeholder engagement process depends substantially on community

representatives, the Executing Agency/Entity will make every reasonable effort to verify
that such persons do in fact represent the views of affected communities and that they
can be relied upon to faithfully communicate the results of consultations to theirconstituents.
239. Design and any update of SEP should incorporate stakeholder input.
240. The CI-GEF/GCF Project Agency will review and approve all SEPs and oversee their

execution.
241. For Category A projects (high risk), stakeholder engagement through consultations mustoccur in a formalized/documented manner at a minimum twice:a) The first instance of consultation must occur at scoping where the Terms ofReference (TOR) for the ESIA must be distributed to the project affected people andother stakeholders in order to receive additional requirements for the ESIA report;andb) The second instance where consultation must occur is prior to approval of the

project by the CI-GEF/GCF Project Agency. In both instances, the CI-GEF/GCF Project
Agency will require documentation of the consultations to first approve the ESIA
report and finally to approve project.
242. Once the ESIA has been completed, stakeholder engagement will focus on theimplementation of the project. Plans to ensure ongoing stakeholder engagement
processes must continue throughout the life of the project. The nature, frequency, andlevel of effort of stakeholder engagement may vary considerably and will becommensurate with the project’s risks and adverse impacts, and the project’s phase ofdevelopment.
243. Should the Executing Agency/Entity be required to develop a stand-alone ESMP, an IPP, a

Resource Efficiency and Pollution Prevention Plan, a GMP, a Process Framework, and/or a
V-RAP, these documents will be disclosed to all affected communities, Indigenous Peoples
and local communities in a form, manner and language appropriate for the local context.
In addition, disclosure will also be made in the country of project implementation and at
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multiple locations within country of execution in a form, manner and language
appropriate for the local context. In cases where confidentiality is necessary to protect
stakeholders from harm, statistical information will be recorded and made publicly
available. Disclosure will occur in the following stages:a) Disclosure of assessment documents (e.g., draft ESIA) and draft safeguard documents(e.g., IPP) during project preparation. Disclosure during project preparation aims toseek feedback and input from indigenous peoples and local communities, and as
appropriate other stakeholders, on the safeguard issues identified and the measuresincorporated in project design to address them.
b) Disclosure of all assessments prior to project approval;c) Disclose of all assessments when they have been finalized and approved by the CI-

GEF/GCF Project Agency (prior to project implementation); andd) Ongoing disclosure during and after conclusion of project activities to inform

communities of implementation activities, potential impacts, measures taken toaddress them, etc.

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XII. POLICY 4: ACCOUNTABILITY AND GRIEVANCE MECHANISM
Purpose244.

To ensure compliance of CI-GEF/GCF Project Agency’s ESMF standards and requirements,
and to provide for the receipt of and timely response to resolution of complaints fromparties affected of CI-GEF/GCF funded projects.

Requirements
245.

The CI GEF/GCF Project Agency requires that all projects have a form of project-level
Accountability and Grievance Mechanism (AGM). Projects may utilise a pre-existing
local/national AGM if it fulfils the requirements of the CI-GEF/GCF Project Agency’s
ESMF, however, some projects may have to develop their own free-standing project-level
AGM if an adequate local/national one does not exist. The project AGM should be
funded by the project. It should escalate to CI Ethics point as a secondary recourse.

246.

These AGM must be designed to:a) Address potential breaches of CI’s policies and procedures;b) Be independent, transparent, and effective;c) Be reasonably accessible to project-affected people;d) Keep complainants abreast of progress with cases brought forward;e) Maintain records on all cases and issues brought forward for review, with due regard

for the confidentiality of complainants’ identity and of information; andf)Take appropriate measures to minimize the risk of retaliation to complainants andprotect the legitimacy, trust, and use of the grievance mechanism.

247.

The Executing Agency/Entity will be responsible for informing project-affected parties
about the AGM and the measures taken to reduce the risk of retaliation.

248.

Affected communities and other interested stakeholders may raise a grievance at any
time to the Executing Agency/Entity, CI, or GEF/GCF. Therefore, contact information of
the Executing Agency/Entity, CI-GEF/GCF’s Project Agency, and the applicable donor will
be made continuously and publicly available. The AGM shall be accessible for all projectstakeholders and should be provided in a culturally appropriate and accessible form.

The mechanism required to report a grievance must be designed to be reasonably
accessible and not cost prohibitive to key and vulnerable stakeholders.
250. As a first step, project-related grievances should be communicated to the Executing
Agency/Entity, which will respond to grievances in writing within 15 calendar days ofreceipt and provide a copy of the grievance and response to the CI-GEF/GCF Project
Agency. This response should propose a process for resolving the conflict.
249.

251.

If this process does not result in resolution of the grievance, or at the grievant’s
discretion they may file a claim through CI’s EthicsPoint Hotline athttps://secure.ethicspoint.com

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252. Through EthicsPoint, CI will acknowledge receipt of the claim within 48 hours, determine

eligibility, and initiate the assessment and response process. All claims will be filed andincluded in project monitoring processes.
253. Alternatively, the grievant may file a claim with the Director of Risk Management &Compliance (DOC) who is responsible for the CI’s Accountability and Grievance
Mechanism and who can be reached at ethics@conservation.org or:
Mailing address:

Director of Risk Management & Compliance
Conservation International
2011 Crystal Drive, Suite 600
Arlington, VA 22202, USA.

254. Projects requiring FPIC or triggering an Indigenous Peoples Plan (IPP) will also include

local conflict resolution and grievance redress mechanisms in the respective safeguard
documents. These will be developed with the participation of the affected communities inculturally appropriate ways and will ensure adequate representation from vulnerable or
marginalized groups and sub-groups, such as women and youth.
255. Appendix XIV provides a template for preparing an AGM.

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XIII: APPENDICIESAPPENDIX I: Safeguard Screening Form
CI-GCF/GEF PROJECT AGENCYENVIRONMENTAL AND SOCIAL SAFEGUARD SCREENING FORM
Preliminary Screening (check if performed
at GEF Project Identification Form (PIF) Stage or GCF
Concept Note (CN) Stage

Secondary Screening (check if performed at
the end of the GEF Project Preparation Grant (PPG)
Stage or GCF Funding Proposal Development Stage

Guidance Notes
1. This Safeguard Screening Form is guided by the CI-GEF/GCF Project Agency’s Policy on
Environmental and Social Safeguard Standards, which forms part of the CI-GCF/GEF Project
Agency Environmental and Social Management Framework (ESMF).
2. The CI-GCF/GEF Project Agency undertakes environmental and social safeguard screening
for every project to determine the risk categorization for the project, the safeguard
standards triggered by the project, and the mitigation measures to be implemented by the
project.
3. Safeguard screenings are performed at (i) PIF/CN stage (Preliminary Screening) using thefinalized versions of the PIF/CN; and (ii) PPG/PPF stage (Secondary Screening) using the
project document when details of activities, project intervention areas and executing
arrangements, among others, have been finalized. Additional screenings may be performedat any time when significant changes have emerged including but not limited to newproposed activities, changes in local/national context of project intervention areas, andwhere environmental and social risks have increased.
4. The CI-GCF/GEF Project Agency classifies the project into one of three categories,
depending on the type, location, sensitivity and scale of the project and the nature andmagnitude of its potential environmental and social impacts. The descriptions of thecategories and lists of types of projects identified in Appendix II of the CI-GCF/GEF ESMF.
These descriptions are meant to serve as guidance and are not exhaustive.
5. The CI-GCF/GEF Project Agency does not fund projects that involve the construction or
rehabilitation of large or complex dams, and resettlement of people. The CI-GCF/GEF
Project Agency cannot support projects that contradict CI’s mission and policies.
6. The Executing Agency/Entity is responsible for fully completing and providing accurate
responses to each question in this Screening Form, and to submit the completed Form to CIGCF/GEF Project Agency in a timely manner.
7. The CI-GCF/GEF Project Agency is responsible ensuring that the project complies with the
CI-GCF/GEF Policy on Environmental and Social Safeguard, and will use the completed
Screening Form to determine the mitigation measures for the Executing Agency/Entity to
implement.
8. In addition to preparing and implementing mitigation measures for the environmental andsocial standards triggered, the Executing Agency/Entity will also need to comply with CIGEF/GCF’s policies on gender, stakeholder engagement and accountability and grievance
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mechanism. As such the Executing Agency/Entity will be required to prepare a Gender
Mainstreaming Plan, a Stakeholder Engagement Plan, and an Accountability and Grievance
Mechanism (see to ESMF for details).
9. The Executing Agency/Entity is responsible for informing the CI-GCF/GEF Project Agency in atimely manner, if at any time during the preparation and implementation of the project, theinformation provided in this Screening Form changes in a way that results in the risks of the
project being increased.
10. For additional information/clarification, please contact Ian Kissoon, Director of ESMF, CIGEF/GCF Project Agency at ikissoon@conservation.org or your GEF/GCF Project Manager.

I. PROJECT INFORMATION
GCF/GEF Project ID:

Country:

Project Title:
Name of the Executing Agency/Entity:
Length of Project: ___ months

Anticipated Start date:

Anticipated End date:

GCF Results Area(s) / GEF Focal Area(s):GCF/GEF Project Amount: USD

Co-Financing Amount: USD

Project Objectives:
Project Components and Main Activities Proposed:
Safeguard Screening Form Completed by:Date of Submission/Resubmission of Completed Form to CI-GEF/GEF:
CI-GEF/GCF Comments:

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II. PROJECT CONTEXT
Project Location• Indicate where the project will take place AND provide a legible map highlighting the project intervention
areas, towns/communities/indigenous territories, protected areas, and main rivers/watersheds):
Biological Context of Project Area
• Indicate global significance (e.g. biodiversity hotspot, Ramsar site, Key Biodiversity Area) of the project area.
• Identify endemic and IUCN Red Listed species.
• Describe the environmental conditions of the area including pollution, threats to biodiversity, and natural
disasters.
Socio-economic Context of Project Area
• Describe the broad economic, social and cultural context of, and local communities living in, the area of the
proposed project including information on number of men, women, indigenous people,
disadvantaged/vulnerable/disabled groups, economic/livelihood activity, household income• Describe how men and women access, use, manage and govern the natural resources that the project seeks
to focus on• Describe the extent of gender-based violence (GBV). Is GBV relatively high at the national and project level?
Is the project planning to introduce activities that may perpetuate or exacerbate GBV?
Institutional Capacity• Describe the institutional experience in implementing environmental and social safeguards, gender andstakeholder engagement.
• Indicate the number of staff dedicated (part/full-time) to safeguards, gender and stakeholder engagement.
• Describe the capacity of the above staff (are they subject experts such as gender specialist or have they been
trained in safeguards, gender and stakeholder engagement).
Additional Information• Describe any risks or factors that may affect or contribute to the project implementing safeguard
measures/plans.

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III. ESMF EXCLUSIONSThis section will help the CI-GEF/GCF Project Agency to determine whether they can support a project. Pleaseprovide accurate answers and details including supporting documents, where requested. If you answered “Yes”
to any of the questions (i-xiii) then the CI-GEF/GCF Project Agency cannot support the project.
Will the project:

Yes

I.

Contravene major international and regional conventions on environmental issues?

II.

Propose to create or facilitate significant degradation and/or conversion of natural habitatsof any type (forests, wetlands, grasslands, coastal/marine ecosystems, etc.) including thosethat are legally protected, officially proposed for protection, identified by authoritative
sources for their high conservation value, recognized as protected by traditional local
communities, or have significant negative socioeconomic and cultural impacts that cannot becost-effectively avoided, minimized, mitigated and/or offset?

No

III. Involve adverse impacts on critical natural habitats, including forests that are critical natural

habitats, including from the procurement of natural resource commodities, except foradverse impacts on a limited scale that result from conservation actions that achieve a net
gain of the biodiversity values associated with the critical natural habitat?
IV. Propose to carry out unsustainable harvesting of natural resources -animals, plants, timber

and/or non-timber forest products (NTFPs)- or the establishment of forest plantations in
critical natural habitats?
V. Propose the introduction of species that can potentially become invasive and harmful to theenvironment, unless there is a mitigation plan to avoid this from happening?
VI. Involve involuntary resettlement, land acquisition, and/or the taking of shelter and otherassets belonging to local communities or individuals; through coercion and/or undue
influence?
VII. Contravene major international and regional conventions on human rights, including rights

specific to indigenous peoples?
VIII. Propose activities that result in the exploitation of and access to outsiders to the lands andterritories of indigenous peoples in voluntary isolation and in initial contact?
IX.

Propose the use and/or procurement of materials deemed illegal under host country laws or
regulations or international conventions and agreements, or subject to international phaseouts or bans, such as:a. ozone depleting substances, polychlorinated biphenyls (PCBs) and other specific,
hazardous pharmaceuticals, pesticides/herbicides or chemicals; andb. wildlife or products regulated under the Convention on International Trade in Endangered
Species or Wild Fauna and Flora (CITES)?

X.

Propose the use and/or procurement of pesticides and hazardous materials that are unlawful
under national or international laws, the generation of wastes and effluents, and emissionsof short- and long-lived climate pollutants?

XI.

Involves the removal, alteration or disturbance of any non-replicable or critical cultural
heritage, or the use of any intangible cultural heritage without the Free, Prior and Informed
Consent of the communities who it belongs to?

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IV. SIMPLIFIED APPROVAL PROCESS (GCF Projects ONLY)
Questions XIV through XXII are ONLY for GCF Projects pursuing the Simplified Approval Process (SAP). If you
answer “Yes” to any of the questions below, your project will undergo further review to determine eligibility for
the Simplified Approval Process.
Will the project:
Yes
22
XII.
Involve associated facilities and require further due diligence of such associatedfacilities?
XIII.
Involve trans-boundary impacts including those that would require further due diligenceand notification to downstream riparian states?
XIV.
Adversely affect working conditions and health and safety of workers or potentiallyemploy vulnerable categories of workers including women or child labour?
XV.
Generate hazardous waste and pollutants including pesticides and contaminate lands thatwould require further studies on management, minimization and control and complianceto the country and applicable international quality standards?
XVI.
Involve the construction, maintenance, and rehabilitation of critical infrastructure (i.e.
dams, water impoundments, coastal and river bank infrastructure) that would require
further technical assessment and safety studies?
XVII.
Involve the resettlement and dispossession, land acquisition, and economic displacementof persons and communities?
XVIII.
Be located in protected areas and areas of ecological significance including critical habitats,
key biodiversity areas and internationally recognized conservation sites?
XIX.
Affect Indigenous Peoples that would require further due diligence, free, prior andinformed consent (FPIC) and documentation of development plans?
XX.
Be located in areas that considered to have archeological (prehistoric), paleontological,
historical, cultural, artistic, and religious values or contains features considered as criticalcultural heritage?

22

No

Associated facilities are those that are not funded as part of the project, and that would not have been constructed or expanded
if the project did not exist and without which the project would not be viable.

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V. ENVIRONMENTAL AND SOCIAL SAFEGUARDS (ESS) SCREENING
This section will help the CI-GEF/GCF Project Agency to determine the category of the project and the ESS
Standards triggered by the project. Please provide accurate answers and details including supporting
documents, where requested.

ESS1: Environmental and Social Impact Assessment
Will the project potentially:(a) cause significant adverse environmental and social impacts (which may affect an area broader than the
project area) that are sensitive, diverse, or unprecedented; or(b) cause adverse environmental and social impacts (which are site-specific and few if any of them are
irreversible) on human populations or environmentally or socially important areas?
NO (to all of the above)
TO BE DETERMINEDYES (to any of the above)
If TBD or Yes, please provide details here.

(c) Has a full or limited ESIA that covers the proposed project already been completed?
NO
YES (If Yes, answer the following)(d) Is the assessment a:

A FULL ESIAA LIMITED ESIA

Yes

No

(e) Does the assessment meet its terms of reference, both procedurally andsubstantively?
(f) 3. Does the assessment provide a satisfactory assessment of the proposed
project?
(g) 5. Does the assessment describe specific environmental and social
management measures (e.g., avoidance, minimization, mitigation,compensation, monitoring, and capacity development measures)?
(h) 6. Does the assessment identify capacity needs of the institutions responsiblefor implementing environmental and social management issues?
(i) 7. Was the assessment developed through a consultative process with key
stakeholder & rightsholder engagement, including issues related to gendermainstreaming and Indigenous Peoples?
(j) 8. Does the assessment assess the adequacy of the cost of and financing
arrangements for environmental and social management issues?
For any “no” answers, describe below how the issue has been or will be resolved or addressed.

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ESS 2: Protection of Natural Habitats and Biodiversity Conservation
Will the project:(a) involve adverse impacts on Critical Habitats23, including forests that are Critical Habitats, including from theprocurement of natural resource commodities, except for adverse impacts on a limited scale that result fromconservation actions that achieve a Net Gain of the Biodiversity values associated with the Critical Habitat;(b) contravene applicable international environmental treaties or agreements; or(c) introduce or use potentially invasive, non-indigenous species?
(d) affect species identified as threatened at the local and/or global levels?
(e) implement habitat restoration activities?
NO (to all of the above)
TO BE DETERMINED (TBD)
YES (to any of the above)
If TBD or Yes, please provide details here. In the case of Protected Areas, provide name, location, area size,
management category, governance arrangement, and current management activities of protected areas being
affected by the project.

ESS 3: Resettlement, Physical and Economic Displacement
Will the project(a) involve the voluntary or involuntary resettlement of people;(b) restrict land use and access; or(c) cause economic displacement of people?
NO (to all of the above)
TO BE DETERMINED (TBD)
YES (to any of the above)
If TBD or Yes, please provide details here.

23

Critical Habitat means a Habitat with high Biodiversity value, including (i) Habitats of significant importance toCritically Endangered or Endangered species, as listed on the International Union for the Conservation of Nature(IUCN) Red List of threatened species or equivalent national approaches, (ii) Habitats of significant importance toendemic or restricted-range species, (iii) Habitats supporting globally or nationally significant concentrations of
migratory or congregatory species, (iv) highly threatened or unique ecosystems, and (v) ecological functions or
characteristics that are needed to maintain the viability of the Biodiversity values described in (i) to (iv).
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ESS 4 : Indigenous Peoples 24
Does the project plan to:(a) work in lands or territories traditionally owned, customarily used, or occupied by indigenous peoples?
(b) cause impacts on land and natural resources, including restrictions on land use or loss of access to natural
resources, subject to traditional ownership or under customary use or occupation, or the location of a
project or program on such land or the commercial development of such natural resources;(c) cause relocation of Indigenous Peoples from land and natural resources subject to traditional ownership,or under customary use or occupation; or(d) cause significant impacts on an Indigenous People’s cultural heritage that is material to the identity and/or
cultural, ceremonial, or spiritual aspects of the affected Indigenous People's lives, or the use of such
cultural heritage for commercial purposes;
NO (to all of the above)
TO BE DETERMINED (TBD)
YES (to any of the above)
If TBD or Yes, please provide details here.

ESS 5: Resource Efficiency and Pollution Prevention
Will the project:(a) promote the trade in or use of any substances listed under the Stockholm Convention on Persistent Organic
Pollutants, or other chemicals or hazardous materials subject to international bans, restrictions orphaseouts due to high toxicity to living organisms, environmental persistence, potential forbioaccumulation, or potential depletion of the ozone layer, consistent with relevant international treaties
and agreements;(b) generate wastes and effluents, and emissions of short- and long-lived climate pollutants;(c) involve pest management measures, Integrated Pest Management or Integrated Management of Vectors
and Intermediate Hosts;(d) procure pesticides; or(e) use energy, water and other resources and material inputs, where significant water consumption is involved
and would cause adverse impacts on communities, other water users, and the environment?
NO (to all of the above)
TO BE DETERMINED (TBD)
YES (to any of the above)
If TBD or Yes, please provide details here.

According to CI Policy on Indigenous Peoples, “CI identifies indigenous peoples in specific geographic areas by
the presence, in varying degrees, of: a) Close attachment to ancestral and traditional or customary territories andthe natural resources in them; b) Customary social and political institutions; c) Economic systems oriented tosubsistence production; d) An indigenous language, often different from the predominant language; and f) Selfidentification and identification by others as members of a distinct cultural group”.
24

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ESS 6: Cultural Heritage25
Will the project implement activities that affect cultural heritage (both tangible and/or intangible), includingarchaeological, paleontological, historical, architectural, and sacred sites including graveyards, burial sites, andsites with unique natural values?
NO
TO BE DETERMINED (TBD)
YES
If TBD or Yes, please provide details here.

25

Cultural Heritage means both tangible and intangible cultural heritage, including movable or immovable objects, sites,
structures, natural features and landscapes that have archaeological, paleontological, historical, architectural, religious,
aesthetic, or other cultural significance, located in urban or rural settings, above ground, underground or under water; as wellas practices, representations, expressions, knowledge, or skills – as well as the instruments, objects, artifacts and cultural spaces
associated therewith – that communities, groups, and in some cases individuals, recognize as part of their heritage, astransmitted from generation to generation and constantly recreated by them in response to nature and a shared history
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ESS 7: Labour and Working Conditions
Does the EA/EE have in place the necessary policies, procedures, systems and capabilities to ensure that:(a) the fundamental rights of workers, consistent with the International Labour Organization’s (ILO)
Declaration on the Fundamental Principles and Rights at Work are respected and protected;(b) written labour management procedures are established in accordance with applicable national laws;(c) workers are provided with clear and understandable documentation of employment terms and conditions,
including their rights under national law to hours of work, wages, overtime, compensation and benefits;(d) workers are provided regular and timely payment of wages; adequate periods of rest, holiday, sick,maternity, paternity, and family leave; and written notice of termination and severance payments, as
required under national laws and the labour management procedures;(e) decisions relating to any aspect of the employment relationship, including recruitment, hiring andtreatment of workers, are made based on the principles of non-discrimination, equal opportunity and fairtreatment, and not on the basis of personal characteristics unrelated to inherent job requirements;(f) appropriate measures are in place to prevent harassment, intimidation, and exploitation, and to protect
vulnerable workers, including but not limited to women, children of working age, migrants and persons
with disabilities;(g) workers who participate, or seek to participate, in workers’ organizations and collective bargaining, do so
without interference, are not discriminated or retaliated against, and are provided with informationneeded for meaningful negotiation in a timely manner;(h) forced labour and child labour are not used in connection with the project or program;(i) occupational health and safety (OHS) measures are applied to establish and maintain a safe and healthy
working environment, including supply chain workers;(j) workers are informed of applicable grievance and conflict resolution systems provided at the workplacelevel; and(k) workers may use these mechanisms without retribution, and the grievance and conflict resolution systems
does not impede access to other judicial or administrative remedies available under the law or throughexisting arbitration procedures, or substitute for grievance systems provided through collective
agreements?
NO (to any of the above)
TO BE DETERMINED (TBD)
YES (to all of the above)
If TBD or Yes, please provide details here.

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ESS 8: Community Health, Safety and Security
Please complete the following Risk Assessment Tool to determine community health, safety
and security risks and their mitigation measures. Guidance on how to complete the Tool canbe found in Appendix VIII of the ESMF (Version 7).
Community Health, Safety
and Security Threat
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.

Likelihood Impact

Risk Risk
RatingMitigation
Measures

Total
Average
Overall risk rating to project-affected communities
ESS 9: Private Sector Direct Investments and Financial Intermediaries
Will the project make either direct investments in private sector firms or Endowment Funds, or channels funds
through Financial Intermediaries (FIs)?
NO
TO BE DETERMINED (TBD)
YES (to any of the above)
If TBD or Yes, the proposed fund/FI/firm would be required use this Screening Form to conduct a screening on
the portfolio of the proposed investment.

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ESS 10: Climate Risk and Related Disasters
Please refer to guidance notes in Appendix XI of the ESMF (Version 7) to answer the questions below:(a) Describe the climate projections for the country or region, or if possible, for the specific location of the
project for the next 30 years from the start date of the project.

(b) Describe the relevant potential hazards (e.g. heavy rainfall leading to flood, low rainfall leading to drought,
temperature changes which could lead to heat waves, sea-level rise, or changes in other extreme events such as
hurricanes and cyclone) that could prevent the project from achieving its objectives and/or outputs.

(c) Describe the current and projected exposures, vulnerabilities, and adaptive capacities (e.g. technical,
institutional, financial) and how these could prevent the project from achieving its objectives and/or outputs.

(d) What mitigation measures have been identified and incorporated into the design of the project/planned forthe implementation phase to reduce the likelihood and/or consequences of risks or to respond to consequences
so as to ensure that the project achieves its objectives and/or outputs?

(e) If one or more risks are accepted, please provide a justification.

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APPENDIX II: Methodology for Conducting ESIAs
Introduction
1. This Appendix provides a methodology for conducting ESIAs, including requirements of the ESMF
safeguard policies that must be incorporated for all CI-GEF/GCF projects. In accordance with the
ESMF, the CI-GEF/GCF Project Agency will require Environmental and Social Impact Assessments(ESIA) of proposed projects to help ensure their environmental and social soundness andsustainability.
2. The ESIA identifies and assesses the potential impacts of a proposed project on physical, biological,
socio-economic and cultural heritage, including transboundary concerns and potential impacts onhuman health, safety and security; evaluates alternatives; and proposes appropriate avoidance,
minimization, mitigation, or offset alternatives, as well as management and monitoring measures.
3. Not all projects require ESIAs. Each project is screened as early as possible to determine whether an
ESIA is warranted. If so, safeguard screening will also help determine the extent and type of ESIA
required so that appropriate studies are undertaken proportional to potential risks and to direct
impact as well as indirect, cumulative, and associated impacts as relevant. Strategic, sectoral orregional environmental assessments may be used, where appropriate. There are several types of
ESIA instruments, but the guidance in this document will focus on the general ESIA process andoutcomes.
4. The ESIA must also comply with national requirements. However, where there are differences
between the CI-GEF/GCF and national requirements, the project must follow the more stringent
requirements/standards.

ESIA Process Overview
5. An ESIA process (see Figure 1):a) Begins with safeguard screening at the earliest stage of the project cycle and continues
in an iterative manner throughout the cycle as plans are developed and implemented;b) Looks at all relevant levels of biodiversity, habitat, and community information;c) Addresses both direct, indirect, and cumulative impacts by considering ecological, socialand economic changes; andd) Analyzes and responds to the interaction between environmental and social issues.
6. For effective protection of the natural, human and social environment, the CI-GEF/GCF
Project Agency will require a multi-stage ESIA concept; which are outlined in subsequentparagraphs.
7. The CI-GEF/GCF Project Agency recognizes that stakeholder consultation and public
disclosure are instrumental in achieving a balanced ESIA and stipulates that the Executing
Agency/Entity:a) Makes a draft ESIA report available to all stakeholders for comment before the final
decision about the proposed project; andb) Structures consultations and takes subsequent actions in ways that will further theobjectives of promoting and achieving gender equality.
8. ESIA stages include:

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a) Safeguard Screening: The CI-GEF/GCF Project Agency will use the Project Safeguard

b)

c)

d)

e)

f)

g)

Screening Form to determine whether a full ESIA, limited ESIA, or no ESIA is needed forthe proposed project as well as if special studies are required;
The preliminary Safeguard Screening will take place on the final version of the Project
Identification Form (PIF) or Concept Note (CN) utilizing a Project Safeguard Screening
Form (Appendix I) to cover all safeguards standards. The screening outcomes may resultin a project being designated as Category A, B or C (see paragraph 12 for details):
Scoping: The Executing Agency/Entity develops a preliminary examination of the
impacts likely to occur as a result of the proposed project, and which should be coveredby the ESIA. The scoping phase must include stakeholder engagement to help identify
issues. Based on the results of the scoping phase, the Executing Agency/Entity will draft
the TOR for the full ESIA (see below for details). Specifically, the Executing Agency/Entity
will ensure that:i. The draft TOR is disclosed to stakeholders prior to the submission of the TOR to the
CI-GEF/GCF Project Agency; andii. Approval is received from the CI-GEF/GCF Project Agency for the TOR before any
work can commence.
Implementation of the (full) ESIA: Overall project assessment and any specialist studies,
as identified during the Scoping Phase, are to be conducted. Special studies are guided
by the safeguard issues raised during scoping. They deal with the concerns ofstakeholders in these areas. For adverse impacts, alternatives are identified to establish
the most environmentally sound and benign option(s) for achieving project objectives;
Draft Report: The Executing Agency/Entity presents the ESIA findings as an ESIA
document/report. This discusses mitigation and impact management (measures toavoid, minimize, mitigate, or offset adverse impacts), monitoring and reporting. Where
appropriate, draft mitigation plans are incorporated into a draft ESMP. The
document/report must be clear, impartial, publicly available, and address stakeholder
concerns;
Review and Final Report: It is the responsibility of the CI-GEF/GCF Project Agency toreview and approve the final ESIA report to ensure that it complies with the Terms ofReference and stakeholder engagement requirements, and appropriately addresses GEF
and GCF concerns;
Decision-making: Final decision on whether to support a proposed project will be madeby the CI-GEF/GCF Project Agency after consultations with in-country authorities withjurisdiction over the project. The CI-GEF/GCF Project Agency does reserve the right to
not pursue a project if the ESIA indicates that the proposed minimizing or mitigating
measures are too costly/risky; andMonitoring, reporting, and enforcement: The CI-GEF/GCF Project Agency will monitor
whether the Executing Agency/Entity ensures compliance with the mitigation measures
as incorporated in project design and monitored by the indicators of the Project-level
ESMP.

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Figure 1: The ESIA Process

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DETAILED ESIA PROCESS
Safeguard Screening Phase (Implemented by CI-GEF/GCF Project Agency)
9. Safeguard Screening is a preliminary review assessing the presence or absence and scale ofpotential environmental and social impacts.
10. To comply with this policy, the CI-GEF/GCF Project Agency will implement a Safeguard
Screening process for all GEF/GCF funded projects. The purpose of this screening is tocategorize projects according to their potential environmental and social impacts.
11. The preliminary Safeguard Screening will take place on the final version of the Project
Identification Form (PIF)/Concept Note (CN) utilizing the CI-GEF/GCF Safeguard Screening
Form (Appendix I) to cover all safeguards standards.
12. Based on the results of the Safeguard Screening process, the proposed project will beclassified into one of three categories, depending on the type, location, sensitivity, and scaleof the project and the nature and magnitude of its potential environmental and social
impacts.
Category A: A proposed project is classified as Category A if it has the potential forsignificant adverse environmental and social impacts that are sensitive, diverse,
or unprecedented. These impacts may affect an area broader than the sites or
facilities subject to physical works (i.e., the area of influence). Examples ofCategory A projects include but not limited to resettlement of communities,
species reintroduction and translocation, and civil works. The ESIA for a
Category A project examines the project's potential negative and positiveenvironmental and social impacts, compares them with those of feasible
alternatives (including the business as usual scenario), and recommends any
measures needed to prevent, minimize, mitigate, or offset for adverse impacts
and improve environmental and social performance. For a Category A project,
the project Executing Agency/Entity is responsible for making arrangements tocarry out an ESIA.
Category B: A proposed project is classified as Category B if its potential adverse
environmental and social impacts on human populations or environmentally orsocially important areas -including wetlands, forests, grasslands, and othernatural habitats- are less adverse than those of Category A projects. These
impacts are site-specific; few if any of them are irreversible; and in most cases
mitigation measures can be designed more readily than for Category A projects.
Examples of a Category B projects include but not limited to habitat restoration
and reforestation, protected area creation and expansion, and biodiversity
management improvement which carries the possibility of limiting access tonatural resources and thus impacting livelihoods of local communities. The
scope of an ESIA for a Category B project may vary from project to project, but
it is narrower than an assessment for Category A. Consistent with ESIA for
Category A projects, it examines the project's potential negative and positiveenvironmental and social impacts and recommends any measures needed toprevent, minimize, mitigate, or compensate for adverse impacts and improve
environmental and social performance.
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Category C: A proposed project is classified as Category C if it is likely to have minimal or noadverse environmental and social impacts. Examples of Category C projects
include but not limited to capacity building of stakeholders, setting up ofconservation funds, and development of monitoring tools. ESIA is not required
for Category C projects, however, specific safeguard plans would have to be
developed by the Executing Agency/Entity to strengthen the project compliancewith the ESMF policies.
13. Since projects in Category A are likely to have significant adverse impacts, they will require afull ESIA to address them. Projects in Category B also require an ESIA but depending on the
project’s scope (e.g. size of geographic area, type and number of activities, population size,
previous/existing ESIA, etc.) a limited ESIA may be requested instead.
14. Information that may be required in a safeguard screening report include:a) A broad description of the proposed project including its main activities;b) Applicable policies, plans and regulations, including environmental and social standards
and objectives;c) The characteristics of the environment, including its importance to global biodiversity,
ecological functions, local/national/international designation, existing environmental
problems and threats, significant resources, , pollution and emission, etc.;d) The socio-economic condition of the proposed project area(s), including sexdisaggregation population, livelihood, income and poverty data, presence of genderbased violence, special needs and vulnerable groups, historical and existing conflicts,
land tenureship, importance of area to local/national economy, presence of indigenous
and local communities, etc.
e) The potential impacts of the proposed project and their likely significance; andf) The degree of public concern about and interest in the proposed project.
15. Important functions of this stage are:a) Ascertain the need for an ESIA and its scope;b) Anticipate both positive and negative impacts;c) Assess potential impacts of the proposed project to physical, biological, socioeconomic,
cultural, and cultural heritage, including transboundary concerns, and potential impacts
on human health and safety;d) Feasible investment, technical, and siting alternatives, including the ― business as
usual/alternative, are assessed, as well as potential impacts, feasibility of mitigatingthese impacts, their capital and recurrent costs, their suitability under local conditions,and the institutional, training and monitoring requirements associated with them.
e) Consultation plans (scoping exercise) for stakeholder inputs on the TORs for the ESIA.
Project Safeguard Screening Criteria
16. Safeguard screening procedures include a list/description of environmental and social issues
by the Executing Agencies/Entities to assist the CI-GEF/GCF Project Agency in identifying
and assessing potential adverse impacts. In the Safeguard Screening form, the Executing
Agency/Entity will identify and make a preliminary assessment of the potential issues.
Based on this information, the CI-GEF/GCF Project Agency will determine eligibility and thescope and level of preparation activities concerning the safeguard issues.
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17. In the full proposal, the Executing Agencies/Entities will describe potential environmental
and social issues and how these have been assessed and the documentation for how theoutcome of any consultations with indigenous peoples and local communities was reached.
18. For Category C projects, the Executing Agency/Entity will describe in the full proposal,
appropriate mitigation measures and a monitoring system to avoid, minimize or mitigate
any adverse impacts.
19. All required safeguard documents and plans will be submitted to the CI-GEF/GCF Project
Agency with the full proposal.
20. The CI-GEF/GCF Project Agency will review the appropriateness of scope and level ofsafeguard measures, if any, when reviewing projects to determine readiness prior toapproval.
21. For a full or a limited ESIA, if any of the following safeguards are triggered: Involuntary
Resettlement or Indigenous Peoples or Cultural Heritage, the CI-GEF/GCF Project Agency
will require the ESIA to include the following issues:a) Social diversity and gender: Examine how men and women are organized into different
social groups, based on the status ascribed to them at birth – according to theirethnicity, clan, gender, locality, language, class, or other marker – or on the status or
identity they have achieved or chosen – civil servant, worker, environmentalist, etc.
Importantly, an analysis of social diversity assesses the risks that negative project
impacts fall disproportionately on individuals and groups who, because of their
particular circumstances, are in a vulnerable position or are subject to discrimination or
prejudice in access to development resources and project benefits;b) Institutions, rules and behaviour: Examine social groups’ characteristics, intra- groupand inter-group relationships, and the relationships of those groups with public andprivate (e.g. market) institutions (including the norms, values and behaviour that havebeen institutionalized through those relationships). Such an analysis should provide a
detailed assessment of the formal and informal organizations likely to affect the project
and the informal rules and behaviours among them. Possible institutional constraints
and barriers to project success, as well as methods to overcome them, should be
described;c) Stakeholders: Identify the various groups who have an interest or a stake in the project.
Stakeholders are those who are likely to be affected by a project, as well as those that
may influence the project’s outcomes. In addition to the beneficiaries of the project andother groups directly affected by it, stakeholders may include organized groups from thepublic and private sectors as well as civil society who have an interest in the project. The
characteristics, interests and likely influence of various groups in the development
process are the subject of stakeholder analysis;d) Participation: Examine opportunities and conditions for participation by stakeholders –particularly the poor, disadvantaged and vulnerable – in the development process (e.g.
contributing to project design, implementation and/or monitoring; influencing public
choices and decision-making; negotiating access to project benefits and opportunities;etc). Otherwise excluded groups affected by the project as well as project beneficiaries
should be brought into the ESIA process, and appropriate mechanisms to sustain suchparticipation in project implementation and monitoring should be deployed; andCI-GEF/GCF Project Agency’s ESMF: Version 07, October 2020.

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e) Social risks: Identify social risks (e.g. country risks, political economy risks, institutionalrisks, context risks, community health, safety and security risks, risks or impacts
associated with land and natural resource tenure and use, food security, and any
corresponding risks related to conflict or contestation over land and natural resources,and vulnerability risks, including but not limited to those that may trigger CI-GEF/GCF
Safeguard Policy). Social risk analysis examines the social groups vulnerable to stressand shocks and the underlying factors that contribute to this vulnerability. Drawing on
this, risk management plans should be prepared with an eye to addressing theseconcerns during project design, implementation, and monitoring and evaluation.
Scoping Phase (Implemented by the Executing Agency/Entity)
22. The Scoping Process is the first phase of the ESIA. The primary objective is to define thescope, procedures, schedule and outline of the ESIA that will form the basis for the ESIA
Terms of Reference. Scoping identifies issues from all stakeholders (potentially affectedparties, authorities, CSOs or other local stakeholders) and initiates stakeholder engagement.
The elements of the Scoping process are:a) Establish the study area and the area of influence of the project;b) Summarize policy, legal, and administrative frameworks within which the ESIA iscarried out;c) A preliminary description of the significance of potential social and environmental
impacts, and likely mitigating measures;d) Identify the expertise and human resources needed for the ESIA;e) Identify the nature and roles of relevant stakeholders;f) Engage with stakeholders to inform the ToR; andg) Identify project alternatives.
23. When the project involves existing activities or facilities, relevant external experts will
perform environmental audits to assess past performance and determine the existence of
any areas where the project may cause or is causing environmental risks or impacts. If the
project does not foresee any new major expansion, the audit constitutes the environmental
assessment for the project. Audits should be used to identify risks and impacts, and toevaluate the effectiveness of the management system in place, conformity with this ESMF.
Content of a Scoping Report
24. The information gathered through the scoping process, from the site visit and from the
Executing Agency/Entity must be integrated into a draft Scoping Report. In addition to
identifying issues, this report should provide the following information:a) A preliminary assessment of the potential impacts and issues based upon initialbaseline information; andb) ToR for ESIA execution, identifying the issues that need to be addressed in the ESIA
Developing Terms of Reference for the ESIA
25. Based on the results of the Scoping Report, the ToR for the full ESIA should:a) Define what alternatives are to be assessed in the ESIA;
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b) Define what issues need to be investigated;c) Define what specialists studies need to be undertaken (including how to accessindigenous expertise on traditional knowledge relevant to natural resource
management as appropriate);d) Provide the terms of reference for each specialist study;e) Provide a methodology for rating the significance of the impacts; andf) Specify the structure and content of the Specialist Reports.
Implementing the ESIA (Implemented by independent consultants)
26. For a full ESIA, once the scoping process is completed and the ToRs for the full ESIAs aredesigned and approved, the detailed ESIA can be carried out. The important functions to be
performed under the environmental and social impact analysis in consultation with affected
communities include:a) Collect all possible information and data from various sources (clearly acknowledge
relevant data gaps);b) Properly identify alternatives;c) Systematically analyse and screen both environmental and social impacts ofdifferent alternatives;d) Design environmental and social mitigation measures as well as likelihood
effectiveness estimates;e) Develop the appropriate project-level plan(s) such as ESMP, Resource Efficiency and
Pollution Prevention Plan, RAP, IPP, V-RAP and Process Framework;f) Develop an effective monitoring program with indicators to evaluate the successful
implementation of the measures described in the Plan(s) during the project; andg) Develop an effective post-project evaluation program.
Identifying Project Alternatives
27. An important step in defining and finalizing a project is to identify, at a conceptual level,
viable alternatives to the project so that a viable base-case may be realized. Early
consideration of alternatives during the design phase of a project can result in the
avoidance/minimization of impacts without the need for expensive or time-consuming
mitigation measures at a later stage. Consideration of project alternatives occurs at twolevels as follows:a) The project as a whole, including the “business as usual” option; andb) Siting, engineering, and design alternatives within the selected project’s definition.
Scope of alternatives can include location, process, inputs, technology, and "noproject."
28. The analysis and discussion of alternatives should include an evaluation of the merits ofeach alternative with respect to:a) Nature of the alternative sites/locations of project;b) Feasibility of the alternative;c) The trade-offs of advantages and disadvantages of each alternative, and theirdistribution among project stakeholders, with particular attention to vulnerable
peoples;
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d) Cost effectiveness, including associated environmental costs and benefits ofeach alternative;e) A comparison of the social and environmental losses and gains associated with thevarious alternatives, together with the economic costs and benefits to provide abalanced and full picture for each alternative;f) Technology and engineering design;g) Interference and/or harmony with the surroundings and future plans;h) Construction practices for each alternative;i) Operations, including associated demands for energy and other inputs by thevarious alternatives;j) Future/foreseeable impacts and/or constraints, and benefits of each alternative;k) Risks associated with the alternative, including potential risks to human health;l) Existence of important cultural and sensitive ecological systems and habitats inthe proposed project area;m) Presence of endangered, rare and/or threatened species that may be at risk if the
project is implemented;n) Conformity to existing policies, plans, laws, regulations, etc.;o) The "no project" alternative and its justification; andp) A recommendation and indication of the preferred alternative and why it was chosen.
29. In identifying project alternatives for GEF/GCF projects, the principles set out in the CIGEF/GCF Project Agency’s ESMF need to be considered for each alternative proposed. This
includes how the identified risks and impacts should be prioritized. e.g.
probability/likelihood x severity/magnitude.
ESIA Report (draft reviewed by the CI-GEF/GCF Project Agency)
30. The end product of the ESIA is a report that provides decision-makers with information
regarding the important environmental and social issues/adverse impacts, the impacts ofvarious alternatives, proposed minimization or mitigation measures, and recommendationsof the relative desirability of different alternatives, management plans, monitoring plans,
and reporting. The report should take into account three major factors: benefits and costs,
achievement of project objectives, and adverse environmental and social impacts.
General Contents for the ESIA report
31. The following is a recommended list of contents for the full ESIA report for Category A and B
projects:a) Executive summary: Concisely discusses significant findings and recommendations.
b) Policy, legal, and administrative framework: Discusses the international/national policy, legal,
and administrative framework within which the ESIA is carried out.
c) Project description: Concisely describes the proposed project and its geographic, ecological,
social, and temporal context, including any offsite investments that may be required. Indicatesthe need for any process framework or voluntary resettlement plan or indigenous peoples
development plan (normally includes a map showing the project site and the project's area ofinfluence).
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Page 79 of 148d) Baseline data: Assesses the dimensions of the study area and describes relevant physical,
biological, and socioeconomic conditions, including any changes anticipated before the projectcommences. Also takes into account current and proposed development activities within the
project area but not directly connected to the project. Data should be relevant to decisions
about project location, design, operation, or mitigation measures. The section indicates theaccuracy, reliability, and sources of the data. For complex projects, unless a socio-economic
survey of the affected population has been completed recently, the Executing Agency/Entity ishighly encouraged to conduct a robust survey of relevant baseline conditions.
e) Environmental and social impacts: Predicts and assesses the project's likely positive andnegative impacts and their distribution on affected peoples, in quantitative terms to the extent
possible. Identifies mitigation measures, effectiveness likelihood, and any residual negative
impacts that cannot be mitigated. Explores opportunities for environmental and social
enhancement, including gender considerations. Identifies and estimates the extent and qualityof available data, key data gaps, and uncertainties associated with predictions, and specifies
topics that do not require further attention.
f)Analysis of alternatives: Systematically compares feasible alternatives to the proposed projectsite, technology, design, and operation--including the "business as usual" situation--in terms of
their potential environmental impacts; the feasibility of mitigating these impacts; their capitaland recurrent costs; their suitability under local conditions; and their institutional, training, andmonitoring requirements. For each of the alternatives, quantifies the environmental and social
impacts to the extent possible, and attaches economic values where feasible. States the basis
for selecting the particular project design proposed and justifies recommended emission levels
and approaches to pollution prevention and abatement.

g) Mitigation measures: Establishes the measures that are necessary to avoid, minimize, mitigate,
or offset predicted adverse impacts and, where appropriate, to incorporate these into an
environmental management plan or system.
h) Management plans: Aims to structure the environmental and social management processes andprocedures applicable to the project to avoid, minimize, mitigate or offset potential impacts. It
will describe performance improvement measures and define roles and responsibilities for theseoutcomes. Specific personnel with clear lines of responsibility and authority should bedesignated by the Executing Agency/Entity to manage key well defined environmental and social
responsibilities, which are in turn communicated to project stakeholders and the Executing
Agency/Entity’s organization responsible for project implementation.
i) Budget: Estimates the costs of implementing recommended mitigation measures for the fulllifecycle of the project, including the costs of accessing the level of project staff with thesafeguard knowledge and expertise commensurate with project risks.
j) Monitoring and reporting: Ensures that the terms and conditions of approvals are met; toaccurately and objectively monitor the impacts of development and the effectiveness of
mitigation measures in compliance with this ESMF; and where required to undertake
environmental audit and process evaluation to optimize environmental management. For
projects posing potentially significant adverse impacts or where technically complex issues are
involved, the Executing Agency/Entity may be required to involve external experts to assist in
the risks and impacts identification and monitoring processes throughout the project’s lifecycle.
The Executing Agency/Entity is highly encouraged to involve representatives from projectaffected people and other stakeholders to participate in monitoring activities.

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32. For the full or limited ESIA for Category B projects, the ESIA will examine the project's
potential negative and positive environmental impacts and defines any measures needed toprevent, minimize, or mitigate adverse impacts and improve environmental performance.
This should incorporate or draw on existing reports and studies (if available), anddiscussions with affected communities, local government officials, and other stakeholders,
as needed.
Monitoring and Reporting of Environmental and Social Measures
33. Monitoring of environmental and social measures is an important stage of the ESIA processthat deals with the implementation of recommendations during the project execution
phase. It comprises essentially “follow-up” activities after the approval of the ESIA reportand may also include changes to project design.
34. Based on its findings, the monitoring of environmental and social measures defines thescope of environmental monitoring with respect to the preventive or remedial measures tobe implemented, and the substantive environmental and social impacts to be addressed.
Monitoring of environmental and social measures should include Specific, Measurable,
Achievable, Relevant, Time specific (SMART) indicators.
35. Important functions of the monitoring of environmental and social measures as a major
component of the ESIA implementation are:a) Ensure that the procedures recommended in the approved ESIA report are adhered
to by the various agencies;b) Ensure that the environmental and social mitigation and enhancement schemes arewell understood and communicated to all involved parties, including the generalpublic;c) Ensure that the proposed environmental and social remedial measures are
implemented during project execution;d) Evaluate the effectiveness of environmental and social remedial measures; ande) Evaluate the effectiveness of various evaluation techniques and procedures.
Stakeholder Engagement during the ESIA Process
36. Projects must involve stakeholders, including project-affected groups, indigenous peoples,and local CSOs, as early as possible in the preparation process and ensure that their views
and concerns are made known and taken into. Project must also disclose information andsafeguard plans in a timely manner and suitable format to stakeholders. The CI-GEF/GCF
Project Agency will also ensure that consultations are continued throughout project
implementation as necessary to address ESIA-related issues that affect them.
37. Benefits of Stakeholder Engagement include:a) Letting interested and affected parties participate in decision-making to give themmore control and ownership;b) Sharing information and facilitating understanding;c) Building legitimacy and support for decisions;d) Fostering constructive working relationships among stakeholders;e) Building consensus and generating support for the project;
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f) Reducing conflict;g) Tapping into the local, specialist knowledge of stakeholders to inform assessment

and design; andh) Improving the end decision and aiding sustainability.

38. Ideally, Stakeholder Engagement should involve the public in problem-solving. The joint
effort by stakeholders, in-country representatives, executing entities, GEF/GCF Project
Agency ensures better results. Executing Agencies/Entities must ensure that the key
principles of the CI-GEF/GCF Gender Mainstreaming Policy, ensuring that both men andwomen are given equal access to information and decision-making processes – areincorporated throughout stakeholder engagement.
39. The following six aspects of stakeholder consultation must be followed:a) Planning;b) Identifying and analyzing Stakeholders;c) Consulting with Stakeholders;d) Recording and tracking interactions and feedback;e) Responding to submissions; andf) Reporting back.
40. Stakeholder engagement usually begins before the ESIA process and extends well beyond it.
Once the ESIA has been completed, stakeholder engagement focuses on theimplementation of the project. This would include the monitoring, employment andrecruiting, resettlement, the development of accommodation for workers, social
development projects, contracts with out-growers, etc. It is recommended that the ongoingstakeholder processes continue throughout the life of the project.

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APPENDIX III: Terms of Reference for ESMP
Background
1. To facilitate the review process, and ensure the project has fully considered all relevant safeguards
policies and processes, the Executing Agency/Entity will prepare an ESMP which will explain howeach of the safeguards has been or is to be addressed. The ESMP is a coherent compilation of theapplicable project-level plans prepared by the Executing Agency/Entity that describes how negativeenvironmental and social impacts will be managed and mitigated during the preparation, design,
implementation and monitoring phases of a CI-GEF/GCF funded project. Based on the results of thesafeguard screening process and the results of the ESIA, the CI-GEF/GCF Project Agency will
determine what project-level plans will be needed for the ESMP.
2. The ESMP serves as a framework for managing and mitigating the environmental and social risks andimpacts associated with implementing a project. Its content will depend on the extent to whichissues have been identified. If issues are not yet clearly identified, the ESMP will lay out principles
and criteria for project design, while leaving more specific measures to be finalized once theassessments have been conducted. Conversely, if safeguards issues and activities are alreadyidentified while the proposal is still being prepared, the ESMP should include summaries of detailed
safeguard plans.
3. Proposals with minor and manageable environmental or social impacts or on cultural heritage must
include the following elements in the ESMP:a) A description of the possible adverse effects that specific project activities may

cause;b) A description of any planned measures to avoid or mitigate adverse impacts, andhow and when they will be implemented and managed;c) A system for monitoring the environmental, social, and cultural heritage effects ofthe project, including key indicators, location and frequency of monitoring activities
and a reporting mechanism;d) A description of who will be responsible for implementing and monitoring the
mitigation measures, including their capacity and experience; ande) Cost-benefit estimates of proposed mitigation measures (the costs forenvironmental and social management will be included in the budget of the project
proposal).
4. For the ESMP to ensure compliance with the applicable safeguards, it has to contain specificsections addressing all safeguards. These sections will draw on country- and site-specificinformation and take the form of free-standing sections or chapters comprised of the plans
and frameworks provided for in the applicable safeguards themselves, namely, as relevant
and as further described in the body of this section:a) ESIA: contents will reflect the project Category (A, B, or C) and describe any potential
environmental and social impacts and risks, including cumulative and/or indirect
impacts of multiple activities (to be included after the review of the PIF/CN);b) ESMP to address Protection of Natural Habitats and Biodiversity Conservation, andCultural Heritage;c) Indigenous peoples: an IPP to address any effects on indigenous peoples;
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d) Involuntary resettlement: a V-RAP or a Process Framework to address any potential

land acquisition and/or physical relocation, loss of livelihoods or restriction or loss ofaccess to natural resources, including those related to legally designated parks andprotected areas; ande) Stakeholder engagement and dispute resolution: a stakeholder engagement andgrievance resolution process to ensure ongoing communication with stakeholders,good faith consideration of their concerns and mechanisms to resolve any
grievances in accordance with the grievance mechanism. Established best practiceguidance, such as that contained in IFC’s Stakeholder Engagement: A Good PracticeHandbook for Companies Doing Business in Emerging Markets (International FinanceCorp., Washington DC, 2010) should be followed. Specifically, the following six
aspects of stakeholder consultation must be followed:• Planning;• Identifying and analysing stakeholders;• Consulting with stakeholders;• Recording and tracking interactions and feedback;• Responding to submissions by stakeholders; and• Reporting backComponents of an ESMP
Project description
5. This component includes a comprehensive description of the project, using the best

available information for the project site. The project description must include at aminimum the following information:a) Location and geographic extent of the project area(s);b) Description of relevant socio-cultural (including gender), institutional, historical,
legal and political context;c) Description of the biophysical context, including details accounts of the species,
habitats, ecosystems, and ecosystem services found in the project area;d) Description of existing cultural heritage or sites where they may be present;e) Description of the institutional, policy, and conflict management arrangements inplace to secure local stakeholders’ involvement in the management of natural andcultural resources of the project area; andf) Description of the type and extent of project activities, including project length,
implementation schedule and sequence, available financial and human resources,
expected implementation arrangements, etc.
6. For Community-based forest management projects, the following additional information must be
provided:a) Description of the type of uses and dependency of local livelihoods (of men and women) on
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b) Description of forest products and ecosystem services relevant to local men and women
living in or near forests in the project area, as well as opportunities for promoting equitable
involvement of men and women.

Environmental and Social Impacts and Mitigation Measures
7. This component of the ESMP identifies feasible and cost-effective measures to avoid,
minimize and/or mitigate potentially significant adverse environmental and social impacts,
including impacts to critical natural habitats and cultural heritage, to acceptable levels.
Whenever mitigation measures are not feasible, cost-effective, or they are sufficient, the
ESMP must include measures to restore, offset and/or compensate environmental andsocial impacts. More specifically, the ESMP must include:
8. Identification and summary of all anticipated significant positive and negativeenvironmental and social impacts that the project may cause to critical natural habitats andcultural heritage;
9. Description of the proposed project alternatives, which will be based on the findings of theprevious step. For adverse impacts, alternatives are identified to establish the mostenvironmentally and socially sound and benign option(s) for achieving project goals;
10. Detailed technical description of each mitigation measure under each project alternative,
including the type of impact(s) that it will address and the conditions under which it isrequired (e.g., continuously or in the event of contingencies), together with designs,
equipment descriptions, and operating procedures, as appropriate;
11. Provisions for managing “chance finds” in the case of physical cultural resources26;
12. A description of who will be responsible for implementing and monitoring the mitigation
measures, including their capacity and experience;
13. Cost-benefit estimates of proposed mitigation measures (the costs for environmental andsocial management will be included in the budget of the project proposal);
14. Estimation of any potential environmental and social impacts of the proposed measures;
and15. Description of the relationships of the proposed measures with any other mitigation plans(e.g., for involuntary resettlement, pest management, Indigenous Peoples) required for the
project.
16. If the project includes forest restoration activities, a comprehensive description of the project’s
potential to improve biodiversity, ecosystem functions and services -compared to what would be
expected for a similar native forest in the area- must be included in the ESMP.

Monitoring plan
17. Monitoring activities during the implementation phase provides crucial information about

the environmental and social impacts of the project and the effectiveness of mitigation
measures. Accurate and timely information from monitoring activities will enable the

26 In accordance with the guidelines provided in Annex III (Chance Find Procedures) of CI’s Environmental and Social

Management Framework (ESMF)
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implementers to assess the effectiveness of the ESMP, and allow corrective actions to betaken when needed. This component of the ESMP includes the following:
18. Detailed description of monitoring measures, including the audience, objectives,parameters to be measured (indicators), methods for data gathering and analysis, sampling
locations, frequency of measurements, detection limits (where appropriate), and definitionof thresholds that will signal the need for corrective actions; and19. Monitoring plan and reporting procedures to: a) ensure early detection of conditions that
require particular mitigation measures; and b) provide information on the progress andresults of the mitigation measures.
Capacity Development and Training
20. The effectiveness of the ESMP greatly relies on the capacity of the institutions and staff
involved in the implementation of the project. Therefore, ESMPs must assess theinstitutional and staff structure and capacity to successfully implement mitigation andmonitoring measures, as well as recommend measures to strengthen institutions and build
staff capacity, as needed. To strengthen the project sponsor’s environmental and social
management capability, most ESMPs address issues related, but not limited, to: a) technicalassistance programs; b) procurement of equipment and supplies; and c) organizationalchanges.
Stakeholder Engagement
21. The development and implementation of ESMPs are expected to fully adhere to the“Stakeholder Engagement” process and guidelines described in of CI/GEF/GCF’s ESMF.
Expected Outputs
22. The main expected outcome is an ESMP that contains all the components described in thisToR.
Schedule and Budget
23. For impacts and mitigation, monitoring, and capacity development and training, the ESMP
must provide:a) An implementation schedule for measures that must be carried out as part of the
project, showing phasing and coordination with overall project implementationplans; andb) A detailed budget, including capital and recurrent cost estimates and sources offunds for implementing the measures identified in the ESMP.
24. CI-GEF/GCF Project Agency expects the ESMP to be specific in its description of theindividual mitigation, management, monitoring and reporting measures and its assignmentof responsibilities, and it must be integrated into the project's overall planning, design,budget, and implementation. Such integration is achieved by establishing the ESMP within
the project so that the plan will receive funding and supervision along with the othercomponents.

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APPENDIX IV: Plan for Natural Habitats and Biodiversity Conservation
1. The Executing Agency/Entity is required to include in the project concept and the safeguard

screening document a description of activities that may involve adverse environmental
impacts, any known environmental sensitivities, and any sites with known or potential
archaeological, paleontological, historical, religious or cultural values.
2. For Category B projects with potential minor and manageable adverse environmental andsocial impacts, a limited ESIA might be undertaken. This limited ESIA must examine theproject's potential negative and positive environmental and social impacts and defines any
measures needed to prevent, minimize, or mitigate adverse impacts and improve
environmental and social performance. This should incorporate or draw on existing reports
and studies (if available), and discussions with affected communities, biodiversity experts,
local government officials, and other stakeholders, as needed.
3. The findings and results of a limited ESIA or full ESIA must be described in the full project
proposal. Project proposals that do not provide adequate environmental and social
information will not be considered for financing until they meet the requirements.
4. The scope of any environmental review and mitigation measures will be determined by the
CI-GEF/GCF Project Agency in consultation with the Executing Agency/Entity through thesafeguard screening and approval process. If needed, the CI-GEF/GCF Project Agency may
request further information or a more detailed environmental and social review prior toapproving a project.
Mitigation Measures
5. The most common impacts for eligible projects are anticipated to be minor, localized
impacts from infrastructure construction or improvement (e.g. checkpoints, guard posts,
trails, tourism facilities), potential increase in recreational use of protected areas, andchange in natural resource management/use, including potential species introductions andalterations to ecosystem processes, such as freshwater flows and fire cycles.
6. The small-scale construction of infrastructure may have minor, short-term direct impacts onvegetation and local species-mainly due to soil excavation, dust, and noise. Increased
recreational use of project sites may produce a direct impact because of undermanagement of tourist sites and facilities, possible overuse of campsites or trails, increased
waste and noise/light pollution, harvesting of live wood for campfires, purposeful
disturbance of wildlife, accidental fires, disturbance of flora and fauna, trespassing intofragile areas, introduction of alien invasive species, and non-maintenance of trails leading toslope erosion.
7. Natural Habitats: Any activities that potentially alter habitat (as defined above) should not
be sited in areas that potentially have critically endangered species or sensitive ecosystems,
i.e. they should be avoided. If it is impossible to avoid such areas, then impacts should be
minimized, including via habitat restoration. If that is not possible, then they should be
mitigated or offset.27 Prevention, minimization, and mitigation can be achieved throughproper site selection of infrastructure to avoid and minimize impacts, construction contract
27 For further guidance, CI encourages Executing Entities to refer to IFC Performance Standard 6 and the accompanying

Guidance Notes (also discussed in the paragraphs on Minimum Standard 2, Protection of Natural Habitat, above).
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procedures for dealing with “chance finds,” control of dust generation and prevention,
waste management and technology for toilet facilities like leaching fields, organic
composting, and septic tanks.
8. Physical Cultural Property: There is a possibility that project activities may result in damage
to physical cultural property unless these are identified early on. The CI-GEF/GCF Project
Agency, will not fund any activity that involves the removal, alteration or disturbance of any
physical cultural resources (defined as movable or immovable objects, sites, structures, andnatural features and landscapes that have archaeological, paleontological, historical,architectural, religious, aesthetic, or other cultural significance). Recognizing that physicalcultural resources may be present in projects areas, the safeguard screening criteria andreview process aims to ensure that they are identified and adverse effects are avoided
and/or mitigated.
9. Project proposals with activities that may occur in areas with possible physical cultural
resources will specify procedures for identifying physical cultural property and for avoiding
impacts on these, including:a) Consultations with the appropriate authorities, subject experts and local inhabitants to
identify known or possible sites during project planning;b) Siting of project activities to avoid identified sites (including identifying such areas inprotected and natural resource management planning and zoning);c) “Chance finds” procedures will include cessation of work until the significance of a“find” has been determined by the appropriate authorities, subject experts and local
inhabitants, and until fitting treatment of the site has been determined and carried out;d) Construction contracts will include the same procedures for dealing with “chance finds;”e) Buffer zones or other management arrangements to avoid damage to cultural resources
such as “sacred” forests and graveyards. Indigenous peoples and local communities towhich these areas belong should decide access procedures and should not be excluded
from accessing these areas.
10. The ESMF highlights the importance of community participation (noted in the Involuntary
Resettlement, Physical and Economic Displacement, and Indigenous Peoples ESS standards)
since local and traditional knowledge is important in identifying, designing and planning theimplementation of practical mitigation measures. It is especially important where thesuccess depends on community support and action, both in implementing mitigation
measures and in monitoring their success.

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Table III.1: Illustrative adverse environmental and social impacts, standard mitigation measures and sample monitoring indicators
PROJECT ACTIVITYPOTENTIAL IMPACTS
STANDARD MITIGATION MEASURESMONITORING AND
INDICATORS
Construction of basic
infrastructure (e.g.
shelters, trails, ecotourism
activities, agro-processing
or storage facilities)• Minor, short-term potential impacts on
already disturbed and small areas ofvegetation – mainly due to soil excavation,
dust and noise• Consult affected communities or
biodiversity experts to determine
appropriate siting of infrastructure tominimize impacts• Ensure trails are ‘fit-for-purpose,’
restricting width to the needs to footpatrols or tourists. In areas where trail
bikes are used, the means of controlling
access will be instituted.

• Footprint or % of area disturbed
relative to size of the area.
• Type of construction materials
used and methods of disposal• Obtain any permits required by national
and local regulations prior to construction• Choose most appropriate timing forconstruction to avoid or minimize impacts• Infrastructure will be designed inaccordance with local traditions, local
architecture, and good environmental
practices• Appropriate management/disposal ofwaste+ debris
Change in natural
resource use andmanagement (e.g.
restoration of gallery
forest, re-engineering
water flows in wetlands)• Environmental impacts would almost
always be positive; however, in a few
cases unintended impacts may
accidentally occur, such as introduction ofinvasive species, and human/wildlife
conflicts (e.g. resulting in crop loss)• Consult with affected communities andbiodiversity experts to determine
appropriate land and resource
management regimes

Reintroduction of captivebred threatened species• Introduction of disease into the wild

• Undertake health checks prior to release

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• Use only native species for restoration• Indicator species are monitored• Consultation processes with
communities and their free, priorand informed consent arerecorded• Consider compensation and/or avoidancemechanisms to minimize crop loss andconflict

Page 89 of 148• Monitor introductions and disease
outbreaks

PROJECT ACTIVITYPOTENTIAL IMPACTS

STANDARD MITIGATION MEASURESMONITORING AND
INDICATORS• System for avoiding and mitigating disease
outbreaks
Increase in recreationaluse of protected areas• Impact on habitat and wildlife throughincreased noise and disturbance, waste,
accidental fires, harvesting of rare species
or natural resources, introduction of alien
invasive species• Lack of maintenance of trails leading toerosion on slopes• Social impacts on affected communities• Support training and TA to develop skills
for effective tourism management• Monitoring number of tourists• Promulgate rules and guidelines forvisitors• Consultation processes with
communities and their free, priorand informed consent arerecorded• Provide waste and toilet facilities• Minimize risk of species introductions, e.g.
prohibit firewood transport or transport ofboats between water bodies• Monitor habitat disturbanceFire suppression• Impact on fire-dependent ecosystems• Perform prescribed burns to nurture firedependent species• Monitor fire-dependent indicatorspecies response

IAS removal (bymechanical means)• Native species accidently removed• Provide training on IAS and native species
differentiation• Monitor native indicator species
for ecosystem response• Isolate native species through demarcation

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APPENDIX V: Voluntary Resettlement Action Plan (V-RAP)
1. This Appendix supports the implementation of CI-GEF/GCF’s Involuntary Resettlement, Physical

2.

3.

4.

5.

and Economic Displacement Standard (ESS 3), which instructs projects to conduct the necessary
planning steps in order to avoid involuntary resettlement, minimize other project-initiatedresettlement, and mitigate impacts from physical and economic displacement in protected areas.
Please note:a) When indigenous peoples are affected, additional provisions should be applied inaccordance with ESS 4: Indigenous Peoples.
b) The CI-GEF/GCF Project Agency does not support activities that require involuntary
resettlement or land acquisition, or the taking of shelter and other assets belonging to local
communities or individuals.
c) The CI-GEF/GCF Project Agency may support project-initiated voluntary resettlement as an
exceptional measure where consent of affected communities has been sought andobtained.
The objective of this Appendix is to provide guidance on how to avoid, minimize, or mitigate
potentially adverse effects of resettlement and of other restrictions of access to natural resources.
In addition, this guidance helps projects ensure that affected communities, including hostcommunities are consulted with and participate in projects in meaningful ways and give consent toproject activities affecting them and the options and alternatives in accordance with Policy 3.
Disclosure of relevant information and participation of project-affected people will continue during
the planning, implementation, monitoring, and evaluation of compensation payments, livelihood
restoration activities, and resettlement to achieve outcomes that are consistent with theobjectives of this ESMF.
The following elements are covered in this Appendix:a) Resettlement and physical/economic displacement planning roles;b) Criteria for determining planning and monitoring requirements under ESS 3;c) CI-GEF/GCF’s policy requirements;d) Preparation and contents of a V-RAP;e) Preparation and contents of a Process Framework; andf) Sequence of actions for the development of a Process Framework and V-RAP.

a) Resettlement and physical/economic displacement planning roles
6. The project should assign a qualified safeguard expert with the primary responsibility for leading
the design, negotiation and implementation of the requirements of ESS3 (including Process
Frameworks and VRAP/Fs). Process Frameworks will seek to engage affected communities throughtheir elected representatives and/or traditional authorities, with care to understand and ensureinternal local decision-making processes are inclusive. Where voluntary land acquisition,
resettlement or restoration of livelihoods from displacement are the responsibility of agovernment agency other than the one charged with project implementation, the Executing
Agency/Entity will collabourate with the responsible agency to achieve outcomes in accordancewith this ESMF that meet or exceed national standards.
b) Criteria for determining planning and monitoring requirements under ESS 3
7. The CI-GEF/GCF safeguard standard on involuntary resettlement and physical/economic
displacement (ESS 3) is triggered for projects that include voluntary resettlement and/or
physical/economic displacement resulting in adverse impacts on the livelihoods of affected
communities and individuals. This may include projects that support efforts to improve
enforcement of existing restrictions, e.g. on subsistence cropping, wildlife hunting and livestock
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grazing lands, extraction of timber or non-timber forest products, and production areas, andprojects that support the development and implementation of management plans for protectedareas or other conservation activities. This also includes projects that provide direct social or
economic incentives to change livelihood and natural resource use practices on a voluntary basis.
8. Through the safeguard screening process, the CI-GEF/GCF Project Agency shall determine if aproject triggers ESS 3, and if so, the scope of the mitigation measures that need to be applied. The
level of detail and scope will be proportional to the size and complexity of the proposed projectand its potential impacts on project-affected parties. Safeguard requirements for some projects
may be limited (only requiring impact assessments and consultations to be documented in the full
proposal and monitoring of potential impacts during implementation), while other projects,
including those that may cause physical/economic displacement, will require the preparation of a
Voluntary Resettlement Plan (V-RAP) or Process Framework during project development.
a) A Voluntary Resettlement Plan (V-RAP) is intended to be applied for projects that identify
voluntary resettlement as a realistic impact of the project. A V-RAP is a plan that specifies
the procedures that the Executing Agency/Entity will follow and the actions that will betaken to properly resettle and compensate affected people and communities.
b) A Process Framework is intended to be applied to projects that propose to restrict access tophysical/economic resources or resettlement. It is composed of a process that the projectwill take to assess, address, and mitigate the impacts of the restriction of access during
project implementation.
9. Table VI provides further explanation for determining if a V-RAP or Process Framework is required
and the level of detail necessary. The final determination on the application of the standard on
resettlement or physical/economic displacement shall be made by the CI-GEF Agency who will use
good technical judgment on a project-by-project basis.
Table VI: Criteria for Determining Planning and Monitoring of Resettlement or
Physical/Economic Displacement
Policy requirements/
Type of project

V-RAP/
Process Framework

Projects involving voluntary
resettlement.
For example: the creation of a newprotected area that involves
resettlement of people into buffer
zone.

Yes. The development of a
V-RAP in a participatory
manner is required.

Yes, the project Monitoringand Evaluation Plan should
include activities andindicators identified in the
V-RAP. Third party
monitoring, including
community-led monitoringshould be considered.

Projects involving
physical/economic displacementwith direct impacts on Indigenous
Peoples and local communities.
For example:• Conservation Agreements or PES
incentive programs that restrict
community access to NTFP orother ES;• Land use/PA management planthat sets aside/zones for limited
or no use;

Yes, the development of aProcess Framework is
required.

Yes, the project Monitoringand Evaluation Plan should
include activities andindicators identified in theProcess Framework.

Monitoring and Evaluation

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92• REDD+/NCS or payment forresults programs that restrict
logging;• Local infrastructure that affects
access to markets• Certification schemes that
impose new E&S standards
Projects with limited
physical/economic displacement
activities with no direct impacts on
Indigenous Peoples and local
communities.
For example: resource
management that addresses
unsustainable activities without
restricting access resources relied
on for food and livelihoods

A full Process Framework is
not required. The projectfull proposal should
describe the limited
physical/economic
displacement and theresults of the impact
assessment andconsultations. The full
proposal should also
identify measures to ensurethat the project will notadversely affect indigenous
peoples and local men’s
and women’s livelihoods orcustomary rights.

Yes, the project Monitoringand Evaluation Plan should
include indicators tomeasure the impacts of any
activities that restrict
access of Indigenous
Peoples and local
communities tophysical/economic
resources.

Projects with restrictions affecting
indigenous peoples and local
communities’ livelihoods and wellbeing and projects whererelocation of people is considerednecessary as an exceptional
measure.

Yes, the development of aProcess Framework is
required. The level of detailand scope should be
proportional to project
activities and their impacts
on affected communities.
The participatory approach
used to develop theProcess Framework should
be consistent with goodfaith negotiations forconsent.

Yes, the project Monitoringand Evaluation Plan should
include activities andindicators identified in theProcess Framework.

c) CI-GEF/GCF Policy Requirements
10. Involuntary resettlement must be avoided, and any voluntary resettlement or displacement must

avoid or minimize impacts. Where voluntary relocation of people is considered necessary as an
exceptional measure, such relocation shall take place only with their free, prior and informed
consent while minimizing and compensating for impacts. However, in the case of GEF projects, GEF
funding cannot be used to finance the cost of the physical relocation or displacement of people.
11. The V-RAP and Process Framework documents must identify all people affected by the project andall adverse impacts on their livelihoods associated with the project’s activities. Affected persons
should be assisted in their efforts to improve or at least restore their livelihoods and standards ofliving in real terms relative to pre-displacement levels or to levels prevailing prior to the beginningof project implementation, whichever is higher (ESS 3).
12. The ultimate goal of ESS 3 is to enable those displaced by a project to improve their standard ofliving—a goal that requires an examination of social, environmental, and economic conditions
beyond simple physical inventories28.
28 IFC, Handbook for

Preparing a Resettlement Action Plan

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13. Typical effects of physical/economic displacement can include a wide spectrum of impacts such as

the breakup of communities and social support networks; loss of dwellings, farm buildings, andother structures (wells, boreholes, irrigation works, and fencing), agricultural land, trees, andstanding crops; impeded or lost access to community resources such as water sources, pasture,
forest and woodland, medicinal plants, game animals, or fisheries; loss of business; loss of accessto public infrastructure or services; and reduced income resulting from these losses. The impacts
should not be considered the same across the board, but may manifest differently according togender, social class, age, or other social type.
14. A key element of the Standard’s requirements is the informed participation of affected
communities in developing and implementing measures to address physical/economic
displacement. Affected communities have the right to free, prior and informed consent and toparticipate in deciding on the nature and extent of the resource restrictions, the eligibility criteria,
and the measures to mitigate impacts arising from resource restrictions.
15. To ensure consent is based on good-faith negotiation with affected peoples, the development of VRAP and Process Framework measures shall address:a) How community needs with respect to capacity to engage in negotiation, including asufficient technical understanding of the proposed project,29 were established andaddressed;b) Community access to independent technical advice on impact assessment and benefit
sharing alternatives to inform their engagement;c) Community access to comparable agreements in the sector, or relevant design details, aspossible benchmarks for assessing options;d) Meaningful involvement in the supervision of agreement compliance along with adequate
resources to support this activity;e) Clarity on the actions to be taken in response to conditions of non-compliance by either
party to the agreement, and;f) Access to a functioning, culturally appropriate AGM that does not restrict access to the
judicial system to address unmet obligations in the agreement.
d) Preparation and Contents of a Voluntary Resettlement Action Plan (V-RAP)
16. During project preparation, the Executing Agency/Entity will prepare a V-RAP with informed

participation of affected communities. The V-RAP will specify the procedures that the Executing
Agency/Entity will follow and the actions that will be taken to properly consult, plan, resettle andcompensate affected people and communities, and monitor the implementation of the plan.
17. The scope and level of detail of resettlement planning will vary with circumstances, depending on
the project’s complexity, the magnitude of its effects and the outcome of good-faith negotiations
with the resettled community. As a minimum requirement,30 a V-RAP must ensure that the
livelihoods of people affected by the project are restored to levels prevailing before inception of
the project. However, simple restoration of livelihood may be insufficient to protect affected
populations from adverse project impacts, especially induced effects such as competition forresources and employment, inflation, and the breakdown of social support networks. For thisreason, the CI-GEF/GCF Project Agency seeks to promote the improvement of the living standardsof people affected by the project.

29

For example, for projects with benefit sharing plans that include costs for intermediation or complex revenue allocation
schemes, the community should have access to the full proposed plan, including the cost recovery or other justifications
behind each offtake component.
30 IFC, Handbook for

Preparing a Resettlement Action Plan

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18. To ensure that resettlement activities result in measurable improvements in the economic

conditions and social well-being of affected people and communities, projects should makeavailable to affected peoples the same tools, resources and technical advice that is necessary toeffectively negotiate any resettlement agreement, as identified above. According to the IFC
Handbook for Preparing a Resettlement Action Plan, the essential components of a V-RAP are thefollowing:a) Identification of project impacts and affected populations: The V-RAP must identify all
people affected by the project and all adverse impacts on their livelihoods associated withthe project’s land acquisition, recognizing that men and women may have different
livelihoods and therefore are impacted differently. Typical effects include breakup ofcommunities and social support networks; loss of dwellings, farm buildings, and otherstructures (wells, boreholes, irrigation works, and fencing), agricultural land, trees, andstanding crops; impeded or lost access to community resources such as water sources,
pasture, forest and woodland, medicinal plants, game animals, or fisheries; loss of business;
loss of access to public infrastructure or services; and reduced income resulting from theselosses.
b) A legal framework for land acquisition and compensation: The legal framework of a V-RAP
describes all laws, decrees, policies and regulations relevant to the resettlement activities
associated with a project. Many countries have legislation and policies governing land
expropriation and compensation for affected assets. However, policy governing
resettlement is often poorly defined, if not altogether lacking. The Executing Agency/Entity
is required to identify, review, and abide by all laws of the host country that are applicableto land acquisition and resettlement.
c) A compensation framework: The V-RAP compensation framework specifies all forms ofasset ownership or use rights among the population affected by the project and the
project’s strategy for compensating them for the partial or complete loss of those assets.
i. The compensation framework should include a description of the following: 1) any
compensation guidelines established by the host government; 2) in the absence of
established guidelines, the methodology that the project will use to value losses; 3)
the proposed types and levels of compensation to be paid; 4) compensation andassistance eligibility criteria; and 5) how and when compensation will be paid31.
ii. Some minimum compensation standards will be met, including the transparent andconsistent application to all project-affected people. Where livelihoods of displaced
persons are land-based, or where land is collectively owned, the Executing
Agency/Entity will, where feasible, offer the resettled land-based compensation ofsimilar quality. The Executing Agency/Entity will take possession of acquired land andrelated assets only after compensation has been made available and, whereapplicable, resettlement sites and moving allowances have been provided to thedisplaced persons in addition to compensation.
iii. For persons whose livelihoods are natural resource-based and where project related
restrictions on access envisaged, implementation of measures will be made to either
allow continued access to affected resources or provide access to alternative
resources with equivalent livelihood-earning potential, accessibility and safety.
iv. Where appropriate, benefits and compensation associated with natural resource
usage may be collective in nature rather than directly oriented towards individuals orhouseholds.
31

See ESS 3, paragraph 10, note on compensation valuation methodology

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95d) A description of resettlement assistance and restoration of livelihood activities: The
Executing Agency/Entity should avoid or minimize the physical/economic displacement ofpeople by exploring alternative project designs. Where displacement is unavoidable, theExecuting Agency/Entity (after receiving free, prior informed consent through good-faithnegotiated agreement on VRAP design) should plan and execute resettlement as adevelopment initiative that provides displaced persons with opportunities to participate inplanning and implementing resettlement activities as well as to restore and improve theirlivelihoods.
e) A detailed budget: It is essential that all costs be estimated carefully and included in a
detailed V-RAP budget. The Executing Agency/Entity should itemize resettlement costs by
categories of impact, entitlement, and other resettlement expenditures including training,project management, and monitoring. The results should be presented in a tabular form
that illustrates expenditures over the life of the project. To ensure that all adverse impacts
have been taken into account, budget line items should be checked against categories ofadverse impact and entitlements.
f) An implementation schedule: The V-RAP budget should be linked with a detailed
implementation schedule for all key resettlement and rehabilitation activities. This
schedule should, in turn, be synchronized with the project’s schedule of any construction.
Timing of the V-RAP field activities (consultation, census, and survey implementation) is
crucial: commencement of field activities too soon before the project begins may raise local
expectations and attract newcomers; commencement of activities too late after the project
starts may interfere with project implementation. Executing Agencies/Entities and projectplanners should be attentive to the agricultural and employment cycles of affected people
and avoid scheduling key resettlement activities at times that may disrupt these cycles.
Linking resettlement and construction schedules ensures that project managers place key
resettlement activities on the same critical path as key project construction activities.
Linking schedules in this way creates an imperative for coordinating resettlement withother project activities throughout the chain of project management.
g) A description of organizational responsibilities: The V-RAP must identify and provide
details on the roles and responsibilities of all organizations—public or private,
governmental or nongovernmental and within the affected community or host community— that will be responsible for resettlement activities. It is the responsibility of the Executing
Agency/Entity to assess the capacity of these organizations to carry out their
responsibilities and to provide the results of any assessments to the CI-GEF/GCF Project
Agency.
h) A framework for public consultation, participation, and development planning: Effective
voluntary resettlement planning requires timely, informed regular consultation with a wide
range of project stakeholders throughout the life of the project. Broadly defined,
stakeholders include any individual or group affected by the project; and any individual orgroup that can play a significant role in shaping or affecting the project, either positively or
negatively, including the host community. Early consultation helps to manage public
expectations concerning the impact of a project and its expected benefits.
i) Negotiating consent of affected peoples to a V-RAP. Meaningful project consultation withpeople affected by resettlement is mandatory and provides the first step for the sponsor
and representatives of people affected by the project to negotiate compensation packages
and eligibility requirements, resettlement assistance, and the timing of resettlement
activities. Consistent with the procedures identified in Process Frameworks (paragraph 16)
the Executing Agency/Entity will ensure the same minimum provisions for any negotiation
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process that leads to an approved VRAP. See ESS4 and Appendix VI for negotiation processprovisions for indigenous peoples plans involving resettlement.
j) A description of provisions for redress of grievances: The grievance mechanism will beestablished consistent with Policy 4 as early as possible in the project development phaseto allow the Executing Agency/Entity to receive and address specific concerns about
compensation and relocation raised by displaced persons or members of host communities
in a timely fashion, including a recourse mechanism designed to resolve disputes in an
impartial manner. Specifically for ESS 3, the project must make special accommodations for
women and members of vulnerable groups to ensure that they have equal access togrievance redress procedures. Such accommodation may include employment of women or
members of vulnerable groups to facilitate the grievance redress process or to ensure thatgroups representing the interests of women and other vulnerable groups take part in theprocess.
k) A framework for monitoring, evaluation, and reporting: Executing Agencies/Entities are
required to monitor and report on the effectiveness of V-RAP implementation, including
the physical progress of resettlement and rehabilitation activities, the disbursement ofcompensation, the effectiveness of public consultation and participation activities, and thesustainability of income restoration and development efforts among affected communities.
e) Preparation and Content of a Process Framework
19. During project preparation phase, the Executing Agency/Entity prepares a Process Framework with

the informed participation of affected communities. As appropriate, the Executing Agency/Entity
will draw on social, legal, and other technical expertise when preparing the Framework.
20. Consultations with affected communities are undertaken to inform the Framework. Depending on
the scope of project impacts, it may be appropriate to consult only a sample of potentially affected
communities. However, a draft Framework should be disclosed to all potentially affected
communities for their approval prior to submitting the full proposal for final approval by CIGEF/GCF Project Agency. Typically, the Executing Agency/Entity will prepare a draft Frameworkthat will then be shared and discussed with communities and other relevant stakeholders. Basedon the consultations, a final Framework and general project design will be prepared. CI-GEF/GCF
Project Agency may provide guidance on development of the Framework and will review andapprove the final Framework along with the full project proposal.
21. The level of detail of the Process Framework may vary depending on project activities,
characteristics of restrictions and their impacts, and the number of persons affected. It is notmeant to include the final impact assessment and measures to address impacts, but rather theprocess to determine and develop these during project implementation. The Framework will
describe the project and how restrictions of access to natural resources and measures to assist
affected communities (disaggregated by men and women as appropriate) will be determined withthe participation of affected communities. It should include the following elements:a) Project background: Describe the project and its local context (including an overview ofindigenous peoples and local communities and other relevant stakeholders and their respective
use of natural resources in the project area, disaggregated by men and women as appropriate),
how the project was prepared, including consultations with indigenous peoples and local
communities and other stakeholders, and the findings of any social analysis or surveys that
informed design, including gender-related considerations. It will describe project activities andtheir potential impacts.
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97b) Participatory implementation: Detail the participatory planning process during project

implementation for determining restrictions, mutually acceptable levels of resource use,management arrangements, and measures to address impacts on indigenous peoples and local
communities. The roles and responsibilities of stakeholders and the methods of participationand decision-making should be described; decision-making may include the establishment ofrepresentative local structures, the use of open meetings, and involvement of existing local
institutions, being sure that marginalized/vulnerable groups (such as women and youth) areable to participate in decision-making processes. Methods of consultation and participation
should be in a form appropriate for the indigenous peoples and local communities.
c) Potential areas of impact: This section should detail the specific social, environmental, andcultural areas where the project activities may lead to impacts on local communities with thepossibility of voluntary resettlement and/or physical/economic displacement. These areas ofpotential impact should be the basis for assessing the adequacy of proposed mitigation actions,
and/or compensation in the negotiation of a benefit sharing agreement or V-RAP to bemonitored during implementation in order to evaluate the need for additional planning.
Potential areas of impact may be identified by considering the following:i. The cultural, social, economic, and geographic setting of the communities in the project areas;
ii. The types and extent of community use (and use by men and women) of natural resources, and theexisting rules and institutions for the use and management of natural resources;iii. Identification of village territories and customary use rights;
iv. Local and indigenous knowledge of biodiversity and natural resource use;v. The threats to and impacts on the biodiversity from various activities in the area of both indigenous
peoples and local communities and other stakeholders (e.g. external poachers and traders,development activities);
vi. The potential livelihood impacts on men and women of new or more strictly enforced restrictions
on use of resources in the area; andvii. Potential conflicts over the use of natural resources, and methods for solving such conflicts.

Impacts from economic displacement should be based on well-founded understandings of thebiological and socio-economic contexts, including threats to biodiversity and ecosystems; andwith the free, prior and informed consent of the project-impacted communities provided
through good-faith negotiations.
It is important to also pay particular attention to land tenure issues, including traditional land
rights and obligations and use of natural resources by different indigenous peoples and local
communities and differences among men and women. For instance, areas used to collect nontimber forest products and for shifting cultivation, including fallow areas under traditionalfarming systems, should not be exposed to restrictions unless this is necessary for theconservation of important biodiversity and protection of threatened species and until
appropriate agreements with indigenous peoples and local communities reached andalternatives found. Likewise, many people (particularly women) whose livelihoods depend on
cultivation do not have legal tenure to that land; it is important to consider not only the impact
on livelihoods of land owners, but also those who work the land.
d) Criteria for eligibility of affected persons. The Framework describes how indigenous peoples

and local communities will participate during project implementation in establishing criteria for
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eligibility for assistance to mitigate adverse impacts and improve livelihoods, or may include
these criteria in the Framework itself. However, in most cases they will be developed, or
refined, during implementation, typically as part of the participatory ESIA process.
The eligibility criteria would determine which groups and persons are eligible for assistance andmitigation measures while discouraging ineligible persons, such as opportunistic settlers, fromclaiming benefits. That is, the criteria may exclude certain affected persons or groups fromassistance because their activities are clearly illegal, unsustainable and destructive (e.g.,
wildlife poachers, dynamite fishers). The criteria may also distinguish between persons utilizing
resources unsustainably and opportunistically, and others using resources for their livelihoods,
and between groups with customary rights and non-residents or immigrants. The eligibility
criteria should also establish a cut-off date.
The Framework should identify vulnerable groups and describe what special procedures andmeasures will be taken to ensure that these groups will be able to participate in, and benefit
from, project activities. Vulnerable groups are groups whose community survival is at risk, or
who may be at risk of being marginalized from relevant project activities and decision-making
processes, such as groups highly dependent on natural resources, forest dwellers, indigenous
peoples, groups or households without security of tenure, women, youth, elders, mentally andphysically handicapped people, people in poor physical health, and the very poor.
e) Measures to assist the affected persons. The Framework should describe how groups orcommunities will be involved in determining measures that will assist affected persons inmanaging and coping with impacts from agreed economic displacement. The common
objective is to improve or restore, in real terms, their livelihoods while maintaining thesustainability of the project objectives for conservation and protection of threatened species.
However, in some circumstances affected communities may agree to restrictions without
identifying one-for-one mitigation measures as they may see the long-term benefits ofimproved natural resource management and conservation. Possible measures to offset losses
may include:
i. Special measures for recognition and support of customary rights to land and natural
resources;
ii. Transparent, equitable, and fair ways of more sustainable sharing of the resources;iii. Access to alternative resources or functional substitutes;
iv. Alternative livelihood and income-generating activities;
v. Health and education benefits;
vi. Obtaining employment, for example as park rangers or eco-tourist guides, , as well as inwider project functions, such as stakeholder engagement, technical advising or monitoringand evaluation; andvii. Technical assistance to improve land and natural resource use, and marketing ofsustainable products and commodities.
Any measures agreed to as a result of Framework implementation should be in place before
restrictions are enforced, although they may be implemented as restrictions are being
introduced or enforced. These measures should take into account that men and women may
have different interests when it comes to resource sharing, alternative livelihoods, or benefits,
and ensure that measure directly respond to the specific needs and interests of those affected.
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f)

Agreement on Process Framework. The Framework should describe the decision-making
mechanism of the affected parties and communities and how the project received approval of
the Process Framework from the affected parties and communities.
In preparation for the negotiation of agreements on restriction of access to resources and/or
resettlement, the Process Framework should include detailed description of means by which a
good-faith negotiation with affected peoples will lead to a comprehensive agreement covering
all benefits and costs, as well as roles and responsibilities and the arrangements for
implementing and monitoring these processes.

g) Conflict resolution and complaint mechanism. The Framework shall describe how conflicts

involving affected persons will be resolved, and the processes for addressing grievances raisedby affected communities, households or individuals regarding the restrictions, criteria for
eligibility, mitigation measures and implementation of these elements of the Process
Framework.
Roles and responsibilities concerning conflict resolution and grievances of stakeholders,
including Executing Agency/Entity, affected communities and government agencies, will be
described. Procedures should take into account local dispute resolution practices andinstitutions. Unless affected communities request an alternative process, the Accountability
and Grievance Mechanism Policy described in this ESMF shall apply.
h) Implementation arrangements. The Framework should describe the implementation

arrangements, including activity timetable and the roles and responsibilities of different
stakeholders, such as the Executing Agency/Entity, affected communities, and relevant
government agencies in the implementation of the V-RAP. This includes agencies involved in
the implementation of mitigation measures, delivery of services and land tenure, as
appropriate and to the extent that these are known at the time of project preparation.
Monitoring and evaluation arrangements must also be described in the Framework, and should
include indicators, a budget and responsible parties for its implementation.
f)Sequence of actions for the development of a Process Framework and V-RAP
Project preparation phase:
Step
1
2

3

4
5

6

Process Framework/VRAP preparation steps
Based on screening, the need for Process
Framework under ESS3 is triggered
Process Framework (PF) preparation is started by
EA/E and PF ToR or preliminary draft is consulted
with affected peoples/communities
Interim AGM is established to handle possible
complaints related to the PF and /or VRAP design,consultation and negotiation process
Advanced draft PF and /or VRAP is consulted withaffected people/communities
Final PF and /or preliminary draft VRAP is disclosed
to affected people/communities, and submitted to
CI-GEF/GCF Project Agency for review and approval
Approved document included in project document.

Guidance notes
reflected in safeguard screening document andapproved PIF
part of ESIA scoping stakeholder engagement,
should be reflected in consent documentationsome type of grievance mechanism should beaccessible during project preparation.
advanced draft should reflect ESIA review stage
stakeholder engagement
documentation on consent to PF is provided

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Project implementation phase:
Step

7

8

9
10
11

12

For regular projects with clearly identified risks
and benefits (not intermediary or having
subprojects)
PF is implemented (sets the rules forengagement for negotiation of benefit sharing
agreement or VRAP)
PF implementation involves more consultation
on restricted access or benefits, informed by
ESIA, draft Benefit Sharing or Conservation
Agreement or Compensation Agreement, etc.
Agency review and approval of Agreementswith project-affected communities
PF implementation guides good-faithnegotiation over VRAP
VRAP is implemented in Y1 of Project
implementation
VRAP is monitored, reported, and informed byongoing consultation/engagement

13

For Intermediary projects that can fully identify
and define risks and benefits during early stage of
implementation
PF is implemented (sets the rules for engagement
for negotiation of Voluntary Resettlement Action
Framework (VRAP)
PF implementation involves more consultation on
restricted access and/or resettlement costs andbenefits, informed by ESMF, draft VRAP, etc.
Agency review and approval of Agreements withproject-affected communities
PF implementation guides good-faith negotiation
over VRAP
VRAP guides good-faith negotiation of subproject
specific VRAPs (follow steps 5-10 for regularproject VRAP negotiation)
VRAP agreements for subprojects are reached(consent documentation provided)
VRAP is monitored, reported, and informed byongoing consultation/engagement

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APPENDIX VI: Indigenous Peoples Plan (IPP)
1. This section provides guidance for applying the minimum standards for ESS4: Indigenous Peoples.
2. Throughout this section, the CI-GEF/GCF Project Agency has referred specifically to indigenous

peoples in recognition of their unique cultural and socio-economic circumstances, historic andcurrent vulnerability, place-based culture, and the internationally recognized rights afforded them,such as under International Labour Organization’s Convention No 169 (ILO 169) and the United
Nations Declaration on the Rights of Indigenous Peoples (UNDRIP).
3. These international instruments recognize the right to Free, Prior and Informed Consent (FPIC) for
indigenous/tribal peoples alone. However, in practice the principles underlying FPIC are
increasingly extended to affected local communities, as well. This extension is consistent with theConvention on Biological Diversity, which recognizes that both indigenous and local communities
have rights to prior informed consent. In short, FPIC has emerged a best practice standard for allaffected communities.
4. In our work, the processes of consultation and seeking FPIC will be applied to all affected
communities, with the distinction that indigenous peoples enjoy a higher standard of protection
based on their vulnerability and place-based culture. Thus, for indigenous peoples, the CI-GEF/GCF
Project Agency would place greater priority on avoidance of adverse impacts compared to otherlocal communities, for which mitigation or compensation may be more feasible without damage tothe community. This section thus guides our work with all communities and outlines these bestpractice standards consistent with CI policies.
Applicability and objectives
5. The CI-GEF/GCF ESMF policies concerning indigenous peoples recognize the marginalization thatindigenous peoples often face, increasing the risks of and negative impacts from development
projects. As social groups with identities that are often distinct from dominant groups in theirnational societies, indigenous peoples are frequently among the most marginalized and vulnerable
segments of the population. As a result, their economic, social, and legal status often limit theircapacity to defend their rights to lands, territories, and other productive resources, and restricts
their ability to participate in and benefit from development.
6. At the same time, CI recognizes that indigenous peoples play a vital role in sustainable
development and emphasize that conservation should learn from and follow the lead ofindigenous peoples, respecting their traditional indigenous knowledge and practices that form
their cultural heritage and intellectual property and that are important for the sustainable
management of lands, territories and natural resources.
7. The purpose of CI-GEF/GCF ESS 4 is to avoid adverse impacts on indigenous peoples, ensure theirfull and effective participation in decision making related to the project, and to provide indigenous
peoples with culturally appropriate social and economic benefits that have been negotiated withthem. To meet these objectives, the Indigenous Peoples Plan describes planning procedures that
Executing Agency/Entity will follow during the preparation and implementation of GEF/GCF funded
projects.
Project Risks to Indigenous Peoples
8. Many areas with threatened species and other biodiversity values overlap with lands or territories
traditionally owned, customarily used, or occupied by indigenous peoples. CI-GEF/GCF projects cana be strong partner in sustainable development, with the projects providing funding and technicalsupport and indigenous peoples providing local context and generations of sustainable
management expertise. On the other hand, projects supported by GEF/GCF could also adversely
affect indigenous peoples and the lands and resources on which they depend. Potential impacts
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102and risks may include (these are illustrative only, and do not exclude other impacts in particularcases):a) Loss of customary rights to land and natural resource use areas as well as areas used forsocial, cultural and spiritual purposes. Such rights would need to be identified andrecognized in specific projects;b) Changes in land and natural resource use that do not take into consideration traditional
resource use practices32. Activities that support land and natural resource use changes
based on unfounded assumptions that these are unsustainable may inflict both adverse
social (e.g., decreased food security, exposure to impoverishment and diseases) andenvironmental consequences (e.g., over-exploitation of remaining land use areas). Such
activities should only be undertaken based on a thorough understanding of both biologicaland social evidence, and through consultations with indigenous peoples;c) Loss of culture and social cohesion. Given indigenous peoples’ social and politicalmarginalization and their distinct cultures and identities, which are often intertwined with
their land and natural resource use practices, interventions may adversely affect theirculture and social organization, whether inadvertently or not. While indigenous
communities may welcome and seek change, they can be vulnerable when such change isinconsistent with their worldview and imposed from external forces without their fullparticipation and consent; andd) Inequitable benefits and participation. Given their social and political marginalization,indigenous peoples may not reap the benefits of conservation projects because FPIC
processes often lack adequate support to engage in good-faith negotiation of IPPs. For
example, consultation processes fail to recognize the costs (e.g., in time and resources) ofparticipating in project activities, plus any remaining adverse impacts may also outweighthe narrow range of benefits to indigenous peoples. Project design may not include
appropriate capacity building (when needed), appropriate representation of indigenous
peoples in decision-making bodies, or take into consideration local decision-making
structures and processes. This may lead to alienation of indigenous peoples or conflicts
with and/or between communities. It is important also to recognize that certain subgroups
may be at an especially vulnerable position – indigenous women, for example, often haveeven fewer rights and reduced ability to access benefits and participation. It is important toensure these subgroups are not ‘glossed over’ and that they are given equal rights to therest of the group.
Safeguard Screening for Indigenous Peoples
9. CI-GEF/GCF projects are required to screen for the presence of indigenous peoples early during
project preparation.
10. For the purpose of the ESS 4, the term indigenous peoples is used in a generic sense to refer to a
distinct social and cultural group possessing the following characteristics in varying degrees:a. Self-identification as members of a distinct indigenous social and cultural group andrecognition of this identity by others;b. Collective attachment to geographically distinct habitats, ancestral territories, or areas ofseasonal use or occupation as well as to the natural resources in these areas;c. Customary cultural, economic, social, or political systems that are distinct or separate fromthose of the mainstream society or culture; and,32

This includes the seasonal migration of some indigenous peoples outside of their territories for economic or social purposes, including
hunting and gathering and participating in spiritual ceremonies.
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d.

A distinct language or dialect, often different from the official language or languages of thecountry or region in which they reside. This includes a language or dialect that has existed but
does not exist now due to impacts that have made it difficult for a community or group to
maintain a distinct language or dialect.
11. The safeguard screening process can be based on literature review and secondary sources, butwould usually also include consulting experts, including within CI, on the local context. Safeguard
screening may also involve consultations with affected communities, indigenous peoples
organizations, CSOs, and government representatives, as appropriate. In situations of uncertainty,
disagreements, or controversy, the CI-GEF/GCF Project Agency may seek guidance from the GEF or
GCF.
12. Once it has been determined that indigenous peoples are present in the project area, theExecuting Agency/Entity must assess the particular circumstances of the affected communities andassesses the project’s positive and adverse impacts on them. Adverse impacts on project-affected
communities of indigenous peoples should be avoided where possible. Where alternatives havebeen explored and adverse impacts are unavoidable, an ESIA should identify the means to avoid or
minimize, restore or otherwise mitigate adverse impacts. The Executing Agency/Entity must also
ensure that project activities are culturally appropriate, will enhance benefits to target groups, anddetermine if the project is likely to succeed in the given socioeconomic and cultural context. In thisway, the ESIA informs the preparation of the project and/or the preparation of an IPP.
13. As stressed before, the level of detail of the ESIA depends on project activities and the nature andscale of effects on indigenous peoples. The findings are described in the project’s full proposal,
together with a short description of the indigenous communities and social context. The ESIA
would confirm that any impacts the project might have on indigenous peoples, and identify any
particular issues to consider in project design and during project implementation concerningindigenous peoples. The ESIA is discussed with the indigenous communities during theconsultation and negotiation process (see below).
14. For larger or more complex projects with potential adverse impacts, the Executing Agency/Entity
contracts outside independent experts to conduct the ESIA. An ESIA is prepared and summarized in
the Project Proposal. The ESIA must document meaningful consultations with indigenous peoples
and local communities.
15. Where knowledge of potential impacts is not well understood and critical to the project design,indigenous peoples can lead their own impact assessment, or co-develop the assessment.
16. In regional projects involving two or more countries or in border areas where interconnected
communities of indigenous peoples are present, the Executing Agency/Entity will define actions toaddress adverse impacts of the project that might affect transborder peoples. Such measures can
include consultation and good faith negotiation processes, legal security and territorial control
programs, and other culturally appropriate programs related to rights and priorities in health,freedom of movement, dual nationality (within the context of the applicable legal obligations andcommitments), and cultural, social, and economic integration between the affected peoples.
17. For projects with the potential of directly or indirectly impacting communities of indigenous
peoples living in isolation and initial contact, appropriate measures will be adopted to ensure
respect for the rights of indigenous peoples to remain in isolation and to live freely according totheir culture, on their lands and territories, maintaining their way of life. Such measures will:a. Prioritize avoidance of contact with them as a direct or indirect consequence of the project, in
collaboration with responsible governments agencies to regulate the territories of theuncontacted peoples by establishing buffer zones, limiting access to such territories, anddeveloping monitoring and emergency response measures;
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b.

recognize, respect and protect their lands and territories, environment, health and culture;andc. safeguard the integrity of these peoples chosen way of life.
18. As appropriate for the level of complexity of the proposed project and commensurate with thenature and scale of its potential effects on the indigenous peoples, the ESIA should include thefollowing elements:a) A description, on a scale appropriate to the project, of the legal and institutional framework
applicable to indigenous peoples;b) Baseline information on the demographic, social, cultural and political characteristics of theaffected indigenous communities, and the land and territories which they traditionally own,
or customarily use or occupy and the natural resources on which they depend;c) Description of key project stakeholders and the elaboration of a culturally appropriate
process for consultation, participation, and good-faith negotiation to seek indigenous
peoples’ free, prior and informed consent both prior to and during project implementation;d) An assessment, based on consultation with the affected indigenous peoples of thepotential adverse and positive effects of the project. Critical to the determination ofpotential adverse impacts is an analysis of the relative vulnerability of, risks to, andexpectations of the affected indigenous communities given their distinct circumstances,ties to land and dependence on natural resources, as well as their lack of opportunities
relative to other social groups in the communities, regions, or national societies they live in;ande) Identification and evaluation, based on consultation with and the free, prior and informed
consent of the affected indigenous peoples’ communities, of measures to ensure that theindigenous peoples receive culturally appropriate benefits under the project and measuresnecessary to avoid adverse effects, or if such measures are not feasible, identification of
measures to minimize, mitigate, or compensate for such effects.
19. The Executing Agency/Entity is responsible for the oversight of the implementation of aconsultation process. At a minimum, the Executing Agency/Entity undertakes a process of
consultations with indigenous peoples during project preparation to inform them about the
project, fully identify their views, inform/adapt the project design, and to participate in project
implementation. It is important to ensure that community representatives giving consent are truly
representative of the community; traditional leaders may not necessarily have the full picture of
how a project may impact certain subgroups, such as women, in the community.
20. The Executing Agency/Entity will develop a strategy and process in conjunction with thecommunity for indigenous peoples’ consultation and participation in decision-making during
project design and implementation, including for participatory monitoring and evaluation, andthrough which consent can be sought at multiple stages throughout the life of the project.
21. The extent of consultations depends on the project activities, their impacts on indigenous peoples
and the circumstances of the communities. For projects with no impacts on or no directinterventions with the indigenous communities, indigenous peoples are informed about the
project prior to its implementation, asked for their views on the project, and assured that they will
not be affected during project implementation.
22. Consultations with project affected communities of indigenous peoples should be conducted in amanner that is culturally appropriate taking into consideration the indigenous communities’
decision-making processes. All project information provided to indigenous peoples should be in aform appropriate to their needs, and taking into account literacy levels. Local languages should be
used and efforts should be made to include all community members, including women andmembers of different generations and social groups (e.g. clans and socioeconomic background).
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The consultations should occur without any external manipulation, interference, or coercion.
Communities should have prior access to information about the intent and scope of the project,including possible positive and negative results, and should be allowed to have discussions
amongst themselves before agreeing or not to project activities.
23. If the indigenous communities are organized in community associations or umbrella organizations,these may also be consulted. In some cases, it may be necessary to include in the process
independent entities that have the affected communities’ trust. The experience of (other) locally
active CSOs and indigenous peoples experts may also be useful.
24. Consultations will be documented including evidence of good-faith negotiation between the
Executing Agency/Entity and indigenous peoples leading to any agreement, or the IPP, thatprovides consent to the project. The consultation and consent process should be described in thefull proposal and, if required, the IPP; any disagreements raised will also be documented, including
how they were resolved or addressed.
FPIC conditions and process
25. For projects affecting indigenous communities, whether positively or adversely, including thosethat potentially contribute to the loss of, alienation from or exploitation of the land, territories,
and access to natural and cultural resources of indigenous peoples a more elaborate consultation
and FPIC process is required. This includes lands, territories and waters for which indigenous
peoples may not possess legal title to as defined by national law. Traditional and customary use
can often be substantiated and documented through other means. FPIC applies to project design,
implementation, and expected outcomes related to impacts, positive or negative, affecting thecommunities of Indigenous Peoples.
26. The terms in FPIC are as defined by the United Nations Economic and Social Council (2005): Free:
Without coercion, intimidation, or manipulation; Prior: Before the key decisions that define any
activity while also respecting time requirements of indigenous consultation/consensus processes;
Informed: Indigenous peoples have full information about the scope and impacts of the proposed
activity on their lands, resources and well-being as well as the range of expected benefits; Consent:
the collective right to say yes or no as a result of culturally appropriate consultation, respectful ofcustomary decision-making processes and leading to agreements or decisions reached throughgood faith negotiations between project proponents and project affected communities ofindigenous peoples.
27. A consultation process that seeks FPIC of indigenous peoples affected by the project will ensurethat all relevant social groups within the community have been adequately consulted (e.g.,
women, elders, etc.). The decision-making process of the affected indigenous peoples should
determine the appropriate approach for ascertaining that they have provided their agreement to
the proposed project activities. However, if these traditional decision-making processes exclude
certain segments of the population, such as women, extra effort must be made to ensure theconsultation process includes them.
28. FPIC should include actions that:a) Inform affected indigenous communities about proposed project objectives and activities
prior to final stages of project preparation so that their concerns and recommendations canbe addressed in project development;b) Ensure that project-affected communities of indigenous peoples are informed of their land
rights under national law, including any national law recognizing customary use rights;c) Identify and address capacity building needs to engage effectively in consultation about the
project, including a sufficient technical understanding of the proposed project (as needed);
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possible ways these practices may enhance the project design and in turn how the project
may promote these or at least safeguard these practices;h) Identify and discuss (potential) conflicts with other communities and how these might be
avoided;i) Discuss and assess community well-being, food security, access to services, employment
and business interests, and how this might be affected or enhanced through projectinterventions;j) Elicit and incorporate indigenous knowledge about tangible and intangible cultural heritage
into project design, as appropriate (see ESS 6);k) Offer compensation, equitable project benefit sharing and due process in the case ofdevelopment of their land, territories, and natural resources, together with culturally
appropriate sustainable development opportunities;l) Based on these discussions, establish and document a process for good-faith negotiations
with the affected communities to seek their consent to project activities affecting themthat may afford the following:o Access to independent technical advice on impact assessment and benefit sharing
alternatives33;
o Access to comparable agreements in the sector, or relevant design details, as possible
benchmarks for assessing optionso Options for meaningful involvement in the supervision of agreement compliance alongwith adequate resources to support this activity;
o Clarity on timely corrective actions triggered by conditions of non-compliance by either
party to the agreement;o Access to a functioning, culturally appropriate AGM that does not restrict access to the
judicial system to address unmet obligations in the agreement.
Indigenous Peoples Plan (IPP)
29. Based on the social assessment and consultations, the project is designed to address issues
pertaining to indigenous peoples. If a project may potentially have adverse impacts on, or havedirect interventions with indigenous communities, an Indigenous Peoples Plan is prepared.
Whether a project requires an IPP is determined by the CI-GEF/GCF Project Agency.
30. If a project also involves physical and economic displacement, a V-RAP and an IPP should be
prepared in tandem and with the participation of affected indigenous communities. In cases whereindigenous peoples are the sole or the overwhelming majority of direct project beneficiaries andthe project focus is delivery of these benefits, a stand-alone IPP is not required; instead theelements of an IPP can be included in the overall project design document.
31. The IPP should include the following elements and principles, as appropriate (level of detail mayvary depending on the specific project and the nature of effects to be addressed):33

For example, for projects with benefit sharing plans that include costs for intermediation or complex revenue allocation
schemes, the community should have access to the full proposed plan, including the cost recovery or other justifications
behind each offtake component.
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b)
c)

d)

e)

f)

g)
h)

i)
j)
k)
l)

and social risks and impacts assessment processes) including a summary of the legal andinstitutional framework applicable to indigenous peoples in the area and a brief descriptionof the demographic (sex-disaggregated), social, cultural, and political characteristics of theaffected indigenous peoples’ communities, the land and territories that they havetraditionally owned or customarily used or occupied, and the natural resources on which
they depend;
Key findings and analyses of impacts, risks and opportunities for the indigenous
communities;
Measures to avoid, minimize and mitigate negative impacts, and enhance positive impacts
and opportunities. These measures should also be incorporated into the general project
design as appropriate;
Community-based natural resource management including the use of indigenous andtraditional knowledge and local resource management arrangements incorporated into
project design as appropriate and with the community’s consent;
Results of consultations, including a list of people and organizations that participated, atimetable, who was responsible for each activity, description and documentation of thefree, prior and informed consent process, and future engagement plans including how the
project will ensure ongoing FPIC with the affected indigenous peoples’ communities during
project implementation;
Implementation plan including clear timetables of action, costs, budget and financing
sources, clear output and outcome indicators, and organizational responsibilities developed
together with the affected indigenous peoples;Special measures concerning women and marginalized sub-groups in the communities toensure inclusive development activities;
Capacity building activities for the indigenous communities to enhance their participation inproject activities, as well as capacity building of the Executing Agency/Entity (and any otheragency) concerning indigenous peoples’ issues;
Benefit sharing plans, including describing how negotiated agreements will be used todetermine the terms of the benefits sharing agreements;
Tenure arrangements including special measures for the recognition and support ofcustomary rights to land and natural resources;
Grievance mechanism taking into account local dispute resolution practices; andMonitoring, evaluation and reporting arrangements, including mechanisms andbenchmarks appropriate to the project and affected communities. Participatory monitoringand evaluation exercises adapted to the local context, indicators, and capacity should be
included.

Institutional arrangements, monitoring and disclosure.
32. The Executing Agency/Entity is responsible for incorporating the policy requirements of the CIGEF/GCF Project Agency into project design and executing the project in conformity with them.
This includes defining monitoring indicators and reporting on progress of their achievement.
33. The CI-GEF/GCF Project Agency will monitor implementation of the project level ESMP and any IPP.
The CI-GEF/GCF Project Agency will review and approve the ToR for ESIA and the ESIA Report. In
addition, the CI-GEF/GCF Project Agency will review and approve the elements of project-specific
IPPs and other measures concerning indigenous peoples in GEF/GCF-funded projects and will
monitor the implementation of these plans. During project preparation and implementation, the
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CI-GEF/GCF Project Agency may request further information concerning the project’s effects on
indigenous peoples, and request further assessment or consultations as well as work on the IPP.
34. IPPs prepared for projects under this framework should be disclosed in a culturally appropriatemanner in draft form to affected communities prior to approval by the CI-GEF/GCF Project Agency
and again after project approval and prior to implementation. Language is critical and the IPP
should be disseminated in the local language or in other forms easily understandable to affected
communities; oral communication methods are often needed to communicate the proposed plans
to affected communities.

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APPENDIX VII: Resource Efficiency and Pollution Prevention Plan
1. A Resource Efficiency and Pollution Prevention Plan is prepared by the Executing Agency/Entity

when required by the CI-GEF/GCF Project Agency to ensure the use of best practice in the control
and removal of alien and invasive plants, insects, and animals in compliance with CI-GEF/GCF ESS
5: Resource Efficiency and Pollution Prevention.
2. The objective of the guidance below is to minimize and manage environmental and health risks
associated with the application of pesticides, insecticides, and herbicides (herewith referred to in
the unitary as “pesticides”) in efforts to restore natural habitats. It describes the requirements andplanning procedures for Executing Agencies/Entities in the preparation and implementation of CIGEF/GCF projects to control AIS as well as the role of the CI-GEF/GCF Project Agency in ensuring
compliance with the GEF, GCF and CI’s own policies in this area.
3. Any CI-GEF/GCF project that proposes to use chemical pesticides must include a Resource
Efficiency and Pollution Prevention Plan with the following sections:
A. Project Summary
i. Executive Summaryii. Basic project information including name of Executing Agency(ies), project title, grantamount (US dollars), proposed dates of grant and duration of the projectiii. Countries or territories where pesticides will be applied
iv. Full name, title, telephone numbers, and electronic mail address of Executing
Agency/Entity personnel responsible for the Pest Management Plan
v. Date of preparation of the Pest Management Plan
B. Pest Management Approach: This section should describe the Executing Agency/Entity’sunderstanding of the problem, their experience with pest management issues, and their
proposed actions during the project. Specifically, what the project intends to do and how itwill do it. The information presented should include methods of application, e.g. by hand or
via aerial spraying.
i. Current and anticipated pest problems relevant to the projectii. Current and proposed pest management practicesiii. Relevant integrated pest management experience within the project area, country or
regioniv. Assessment of proposed or current pest management approach andrecommendations for adjustment where necessary
C. Pesticide Selection and Use: This section describes the pesticide selected, why it was

selected, the efforts made to assess and mitigate risk, and remaining risk(s) that the
selected pesticide will have on non-target species.
i. Description of present proposed and/or envisaged pesticide use and assessment of
whether such use is in line with best management practices
ii. Indication of type and quantity of pesticides envisaged to be financed by the project(in volume and dollar value) and/or assessment of increase in pesticide use resulting
from the projectiii. Chemical, trade, and common name of pesticide to be used
iv. Form in which pesticide will be used (e.g., pellet, spray)v. Specific geographic description of where the pesticide will be applied: name ofprovince, district, municipality, land owners, or map coordinates (if available); and thetotal area (hectares) to which the pesticide will be applied
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vi. Assessment of environmental, occupational and public health risks associated withthe transport, storage, handling and use of the proposed products under local
circumstances, and the disposal of empty containers.
vii. Description of plans and results for tracking of damage to and/or deaths of non-target
species prior to pesticide application and subsequent to pesticide application.
viii. Pre-requisites and/or measures required to reduce specific risks associated withenvisaged pesticide use under the project (e.g., protective gear, training, upgrading ofstorage facilities, etc.)
ix. Basis of selection of pesticides authorized for procurement under the project, taking
into consideration WHO and FAO’s International Code of Conduct on the Distribution
and Use of Pesticides
x. Name and address of source of selected pesticides.
xi. Name and address of vendor of selected pesticides.
xii. Name and address of facility where pesticides will be stored.
D. Policy, Regulatory Framework, and Institutional Capacity: This section explains theinstitutional and legal framework under which the pesticide will be applied, with reference
to the documentation and standards required under local and national law andinternational good practice. Where the particular pesticide is not regulated at the target
site, the proponent must identify similar pesticides and the applicable regulation,international laws in neighbouring countries that could apply, and international goodpractice. The Executing Agency/Entity must also explain why this particular pesticide isnecessary even in the absence of national laws.
i. Policies on plant/animal protection, integrated pest management, and humane
treatment of animals;
ii. Description and assessment of national capacity to develop and implement
ecologically-based AIS control;iii. Description and assessment of the country's regulatory framework and institutional
capacity for control of the distribution and use of pesticides;
iv. Proposed project activities to train personnel and strengthen capacity (list # of people
and what they are being trained in); andv. Confirmation that the appropriate authorities were approached (who and when) andthat the appropriate licenses and permissions were obtained by the project.
E. Consultation: This section aims to outline the range of informed consultations that the

Executing Agency/Entity has had both with experts to optimize the potential for success,and with stakeholders, particularly local communities, who are potentially affected (byproximity, by the use of certain areas for free-ranging livestock or non-timber forest
product collection, etc.) by the use of pesticides.
i. Plans for, dates, and results of expert consultations, if necessary; andii. Plans for, dates, and results of consultations with local communities.
F. Monitoring and Evaluation (M&E): This section aims to outline what steps the proponent

will take to monitor and evaluate the purchase, storage, application and effects of thepesticide in the target area.
i. Description of activities related to pest management that require monitoring during
implementation;
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ii. Monitoring and supervision plan, implementation responsibilities, required expertiseand cost coverage; andiii. Implementation Strategy.
G. Examples of the types of projects to which these guidelines apply include, but are notlimited to:i. A project that involves the employ of labour and application of herbicide to restore adegraded landscape and allow endemic vegetation and animals to return;ii. A project that involves the supervision of teams conducting AIS control by chemicalmeans, where those teams are operating with funding from a host country
government or other donor; andiii. A project that involves the eradication by chemical means of non-native rats, cats,
reptiles (e.g., Brown Tree Snake), birds (e.g., Common Myna), and invertebrates (e.g.,
Golden Apple Snail) from an island or isolated natural habitat.
H. These guidelines do not apply to the removal of alien and invasive plant and animals

through physical means as part of the restoration of degraded habitat or the maintenanceof Key Biodiversity Areas (KBA) and biodiversity/habitat corridors.
I. A single set of guidelines cannot anticipate every scenario under which an Executing
Agency/Entity will propose to remove AIS. The conditions of the habitat, the type of species
present or being eradicated in the target area, the method of control, the capacity of theorganization, the latest knowledge of environmental impacts, and even the definitions of“best practice” will change over time.
J. Thus, these guidelines offer an approach that has proven effective while meeting GEF/GCF
minimum standards. CI-GEF/GCF projects will not, however, finance the use of any
pesticides categorized IA, IB or II by the WHO.
K. Projects should benefit from the accumulated knowledge on the use of pesticides ininvasive eradication, including those that are available at:a) The International Union for Conservation of Nature (IUCN) Invasive Species Specialist
Group (http://www.issg.org /index.html), which provides dozens of resources, including
the Global Invasive Species Information Network List of Invasive Alien Species Online
Information Systems (http://www.gisinetwork.org/Documents/draftiasdbs.pdf); andb) The World Health Organization’s Recommended Classification of Pesticides by Hazard,
updated every two years(http://www.who.int/ipcs/publications/pesticides_hazard/en/).
L. Disclosure: The Resource Efficiency and Pollution Prevention Plan and/or the documents

required in countries where adequate policies exist are public documents. The Executing
Agency/Entity must make draft and approved plans (at the preparation stage and before
implementation) available to affected parties and to the public. The CI-GEF/GCF Project
Agency will disclose the approved plans on its websites: www.conservation.org/gef orwww.conservation.org/gcf

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APPENDIX VIII: Labour Management Procedures Guidance and Template
The scope of application of ESS7 depends on the type of employment relationship between the EA/EE
and the project workers. ESS7 applies to project workers including full-time, part-time, temporary,seasonal and migrant workers.34
Direct worker: A direct worker is a worker with whom the EA/EE has a directly contracted
employment relationship and specific control over the work, working conditions, and treatment of the
project worker. The worker is employed or engaged by the EA/EE, paid directly by the EA/EE, andsubject to the EA/EE’s day-to-day instruction and control. Examples of direct workers may include
persons employed or engaged by the EA/EE’s project implementation unit to carry out design andsupervision, monitoring and evaluation, or community engagement in relation to the project.
Contracted worker: A contracted worker is a worker employed or engaged by a third party to perform
work or provide services related to the core functions35 of the project, where the third party exercises
control over the work, working conditions, and treatment of the project worker. In suchcircumstances, the employment relationship is between the third party and the project worker, even if
the project worker is working on an ongoing basis on project activities.
Community worker: Projects may include the use of community workers in a number of different
circumstances, including where labour is provided by the community as a contribution to the project,or where projects are designed and conducted for the purpose of fostering community-driven
development, providing a social safety net or providing targeted assistance in fragile and conflictaffected situations. Given the nature and objectives of such projects, the application of all
requirements of ESS7 may not be appropriate. In all such circumstances, the EA/EE will requiremeasures to be implemented to ascertain whether such labour is or will be provided on a voluntarybasis as an outcome of individual or community agreement. Based on the nature and risk of thecommunity work, the AE/EE will determine which requirements of ESS7 apply.
Community contracts for project activities involving conservation agreements, incentives/cash
transfer agreements, REDD+ contracts, payments for environmental services programs, etc, should
include contract clauses related to wages or payments, insurance and basic safety and health on theworksite (medical kit, protective clothing, etc.), and access to grievance redress mechanism.
Primary supply worker: A primary supply worker is a worker employed or engaged by a primary
supplier, providing goods and materials to the project, over whom a primary supplier exercises control
for the work, working conditions, and treatment of the person. As part of the definition, there is arequirement that the goods or materials be provided directly to the project for its core functions on an
ongoing basis. This means that second, third, and further levels of the supply chain (sometimes
referred to as Tier 2 and Tier 3 suppliers) are not covered by ESS7.
Where government civil servants are working in connection with the project, whether full-time orpart-time, they will remain subject to the terms and conditions of their existing public sector
employment agreement or arrangement, unless there has been an effective legal transfer of their34

Migrant workers are workers who have migrated from one country to another or from one part of the country toanother for purposes of employment.
35
Core functions of a project constitute those production and/or service processes essential for a specific project activity
without which the project cannot continue.
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employment or engagement to the project. ESS7 will not apply to such government civil servants,
except for the provisions protection of the workforce and occupational health and safety.
The term project worker refers to four possible categories of association with the project
Table 1: Types of project workers
Worker categories
Examples(a) Direct workers – People• Project execution unit staff;
employed or engaged• Rangers/patrollers, park guards
directly by the EA/EE to• Extension, technical service
work specifically in relation
providers
to the project.
• Transport of goods, services• Surveyers, researchers,
validators, evaluators(b) Contract workers • Rangers/patrollers, park guards,
People employed or• Agro-processing mills, craft
engaged through third
processing,parties to perform work
• Extension, technical service
related to core functions ofprovidersthe project, regardless of• Freshwater abstraction or
location.
recharge• Waste management• Transport of goods, services• Surveyers, researchers,
validators, evaluators• Communications, marketing(c) Primary supply workers - • Supplier of meat, crop, timber,
People employed or
Non-Timber Forest Productengaged by the EA/EE’s(NFTP), seafood or mineral36
primary suppliers
providers(d) Community workers People employed or
engaged in providing
community labour•••

Contract types• Term employment
contracts.

•

Subgrant or fee forservice contracts.

•

No direct
contractual orlabour relationshipbetween the client
and the workers at
supplier level
Conservation
Agreements
Emission
Reduction
Purchase
Agreements

Farmers, fishers, foresters that•engage in voluntary engagementwith project funded activities•
Community patrols to monitor
and enforce territorialboundaries
Payment for Ecosystem Services

Table 2: Indicative labour risks which may be associated with CI-GEF/GCF projects
Risks
Examples‘Primary suppliers’ are those suppliers who, on an ongoing basis, provide directly to the project goods or materials
essential for the core functions of the project.
36

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Hazardous work

•
•
•

•
•
•
•
•
•
•
•
•
•

Use of pesticides, chemicals, etc.
Use of mercury amalgamation of gold,
Construction and operation of agro-processing
equipment, storage facilities.
Construction of park shelters, other small-scale
infrastructure
Construction and operation of renewable energy facility
Armed enforcement of protected areas
Work in disaster prone areas
Work in areas of public health risks
Agribusiness supply chains
Ecotourism
Artisanal mining
Logging
Livelihood improvement
Construction of infrastructure•

Transborder projects•

Risks of child labour or forced
labourRisks of labour influx orgender-based violence at theworksite
Risks associated with migrant
workers

Labour Management Procedures. The EA/EE will develop and implement written Labour Management
Procedures (LMP) applicable to the project (see template below). These procedures will set out theway in which project workers will be managed, in accordance with the requirements of national law
and ESS7. The procedures will address the way in which ESS7 will apply to different categories ofproject workers, including direct workers, and the way in which the EA/EE will require third parties tomanage their workers in accordance with this ESS. To the extent that provisions of national law are
relevant to project activities and satisfy the requirements of this ESS, the labour management
procedures will not be required to duplicate such provisions.
Gender. ESS7 seeks to promote gender-responsive project design and protecting against
discrimination and gender-based violence at the workplace. Providing equal opportunity for women tobe employed or participate in project activities requires designing activities to account for the childcare responsibilities typically faced by women, equal work – equal pay measures, flexible work hours,
transport to work site considerations, separate toilets and rest areas, accommodation for pregnancy at
the work place, training for male and female workers on sexual harassment, and quotas or set asides
for contracts to women owned firms or individual women participants in community contracts.
Finally, any workplace grievance mechanism should be designed to address gender-based violencecomplaints.
Equal opportunity for indigenous and tribal peoples. Similar considerations to those for a workplace
conducive to gender equality are required for the recruitment and retention of workers fromexcluded, marginalized or minority populations, including indigenous or tribal peoples. Culturally
appropriate design of activities, workplace training and flexibility work schedules are often required toensure equal access by prospective indigenous or marginalized workers.
Child labour. No children below the minimum age of employment shall be involved in project funded
work and no children below the age of 18 years of age will be involved in hazardous work.
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Table 3: ILO Definitions for Child Labour
Age Groups
Working Hours
Children 0 -12 years
A single hour of economic activity
by children under 12 automaticallyqualifies them as child labourers
Children 13-14 years More than 2 hours of economic
activity each day for more than 6days in a week even if it does notinterfere with schoolwork and is nothazardous automatically qualifies
them as child labourers. Any work
which is hazardous or whichinterferes with the children’s
education will automatically qualify
them as child labourers.
Children 15-17 years Allowed to work up to a maximumof 40 hours per week subject to thework being age appropriate and non
hazardous to children’s health,safety or morals.

Explanations

Light work must not threaten thechildren’s health and safety, or
hinder their education or
vocational orientation and training.

The national minimum age forwork should not be below the age
for finishing compulsory schooling,which is generally 15.

TEMPLATE FOR LABOUR MANAGEMENT PROCEDURES
How to Use this Template
Under ESS7 on Labour and Working Conditions, AE/EEs are required to develop Labour
Management Procedures (LMP). The purpose of the LMP is to facilitate planning andimplementation of the project. The LMP identifies the main labour requirements and risks
associated with the project, and help the AE/EE to determine the resources necessary toaddress project labour issues. The LMP is a living document, which is initiated early in project
preparation, and is reviewed and updated throughout development and implementation of the
project.
The template is designed to help the AE/EE identify key aspects of labour planning andmanagement. The content is indicative: where the issues identified are relevant in a project,
AE/EEs should capture them in the LMP. Some issues may not be relevant; some projects may
have other issues that need to be captured from a planning perspective. Where national law
addresses requirements of ESS7 this can be noted in the LMP, and there is no need to duplicate
such provisions. The LMP may be prepared as a stand-alone document, or form part of otherenvironmental and social management documents.
A concise and up to date LMP will enable different project-related parties, for example, staff ofthe project implementing unit, contractors and sub-contractors and project workers, to have aclear understanding of what is required on a specific labour issue. The level of detail containedin the LMP will depend on the type of project and information available. Where relevant
information is not available, this should be noted and the LMP should be updated as soon as
possible.
In preparing and updating the LMP, AE/EEs should refer to the requirements of national law
and ESS7 and the above Guidance on ESS7.
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1. Overview of Labour Use on the ProjectThis section describes the following, based on available information:
Number of Project Workers: The total number of workers to be employed on the project,
and the different types of workers: direct workers, contracted workers and community
workers. Where numbers are not yet firm, an estimate should be provided.
Characteristics of Project Workers: To the extent possible, a broad description and an
indication of the likely characteristics of the project workers e.g. local workers, national orinternational migrants, female workers, workers between the minimum age and 18.
Timing of Labour Requirements: The timing and sequencing of labour requirements interms of numbers, locations, types of jobs and skills required.
Contracted Workers: The anticipated or known contracting structure for the project, withnumbers and types of contractors/subcontractors and the likely number of project workers
to be employed or engaged by each contractor/subcontractor. If it is likely that projectworkers will be engaged through brokers, intermediaries or agents, this should be noted
together with an estimate of how many workers are expected to be recruited in this way.
Migrant Workers: If it is likely that migrant workers (either domestic or international) are
expected to work on the project, this should be noted and details provided. Also describe
existing relations between local and migrant populations.
2. Assessment of Key Potential Labour Risks
This section describes the following, based on available information:
Project activities: The type and location of the project, and the different activities the projectworkers will carry out during construction and operation phases of the project.
Key Labour Risks: The key labour risks which may be associated with the project (see, forexample, those identified in the guidance on ESS7). These could include, for example:• The conduct of hazardous work, such as working at heights or in confined spaces, use ofheavy machinery, or use of hazardous materials• Likely incidents of child labour or forced labour, with reference to the sector or locality• Likely presence of migrants or seasonal workers• Risks of labour influx or gender-based violence• Possible accidents or emergencies, with reference to the sector or locality• General understanding and implementation of occupational health and safety
requirements
3. Brief Overview of Labour Legislation: Terms and Conditions
This section sets out the key aspects of national labour legislation with regards to term andconditions of work, and how national legislation applies to different categories of workers
identified in Section 1. The overview focuses on legislation which relates to the items set out
in ESS7, paragraphs 161 and 162.

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4. Brief Overview of Labour Legislation: Occupational Health and Safety
This section sets out the key aspects of the national labour legislation with regards to
occupational health and safety, and how national legislation applies to the different
categories of workers identified in Section 1. The overview focuses on legislation which relates
to the items set out in ESS7, paragraph 168.
5. Responsible Staff
This section identifies the functions and/or individuals within the project responsible for (asrelevant):• engagement and management of project workers• engagement and management of contractors/subcontractors• occupational health and safety (OHS)37• training of workers• addressing worker grievances
In some cases, this section will identify functions and/or individuals from contractors or
subcontractors, particularly in projects where project workers are employed by third parties.
6. Policies and ProceduresThis section sets out information on OHS, reporting and monitoring and other general project
policies. Where relevant, it identifies applicable national legislation. Where significant safety
risks have been identified as part of Section 2, this section outlines how these will be
addressed. Where the risk of forced labour has been identified, this section outlines how thesewill be addressed (see ESS7, paragraph 171). Where risks of child labour have been identified,these are to be addressed in Section 7.
Where the AE/EE has additional stand-alone policies or procedures, these can be referenced
or annexed to the LMP, together with any other supporting documentation (e.g. CI
construction policy, boating policy or RBA SEAH policy).
7. Age of Employment
This section sets out details regarding:• The minimum age for employment on the project• The process that will be followed to verify the age of project workers• The procedure that will be followed if underage workers are found working on the project• The procedure for conducting risk assessments for workers aged between the minimum age and18
8. Terms and Conditions
This section sets out details regarding:• Specific wages, hours and other provisions that apply to the project• Maximum number of hours that can be worked on the project• Any collective agreements that apply to the project. When relevant, provide a list of agreements
and describe key features and provisions• Other specific terms and conditions
37

OHS also covers exposure to conflict, disease, psycho-social threats.

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9. Grievance Mechanism
This section sets out details of the grievance mechanism that will be provided for direct andcontracted workers, and describes the way in which these workers will be made aware of themechanism. Where community workers are engaged in the project, details of the grievancemechanism for these workers are to be set out in Section 11.
10. Contractor Management
This section sets out details regarding:• The selection process for contractors, as discussed in ESS7, paragraph 163.
• The contractual provisions that will put in place relating to contractors for the management oflabour issues, including occupational health and safety.
• Describe any insurance• The procedure for managing and monitoring the performance of contractors.
11. Community Workers
Where community workers will be involved in the project, this section sets out details of the terms
and conditions of work, and identifies measures to check that community labour is provided on a
voluntary basis. It also provides details of the type of agreements that are required and how they will
be documented.
12. Primary Supply Workers
Where a significant risk of child or forced labour or serious safety issues in relation to primary
suppliers has been identified, this section sets out the procedure for monitoring and reporting on
primary supply workers.
Additional Guidance:• ILO Age Verification: Protection for unregistered children from child labour• ILO Collective bargaining, Factsheet• ILO Combating Forced Labour: A Handbook for Employers and Business• ILO Employment Intensive Infrastructure Programmes: Labour Policies and Practices• ILO Helpdesk for Business on International Labour Standards• ILO Grievance handling, Factsheet• ILO Guidelines on occupational safety and health management systems.
• ILO Recommendation 198 on the employment relationship, 2006
• ILO Rest periods, Definitions and dimensions, Factsheet• IFC and EBRD: Workers’ accomodation: processes and standards• IFC: Managing Contractors’ Environmental and Social Performance• World Bank: ESS2 Labour and Working Conditions guidance note• World Bank: labour management procedures template• World Bank Group Environmental, Health and Safety Guidelines• World Bank Good Practice Note: Addressing Gender Based violence• EBRD guidance notes

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The purpose of ESS 8: Community Health, Safety and Security is to ensure that risks or potential
impacts to the health, safety and security of project-affected communities are identified, avoided
and mitigated. Some of these risks are:• Natural hazards/disasters such as flooding, drought, wildfires, volcanic eruptions,
earthquakes, typhoons and hurricanes;• Climate change and ecosystem service stress such as increased temperatures;• Exposure to Hazardous Materials such pesticides and banned chemicals;• Exposure to communicable disease such as ebola; and• Security related risk such as working in areas of conflict or post-conflict, failure ofstructural elements or infrastructure built by the project.
The following Risk Assessment Tool will help projects to determine their risks and identify
mitigation measures (guidance on how to use the Tool follows):
Health, Safety and Security
Threat
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.

Likelihood Impact

Risk Risk
RatingMitigation Measures

Total
Average
Overall risk rating to project-affected communities
The Risk Assessment Tool is adopted from CI’s Risk Assessment Overview which follows astandard methodology for assessing risk: Likelihood x Impact = Risk. While the nature of thisassessment must naturally be subjective, anchoring the assessment of risk in terms of how
likely any given event is to affect communities will give a better understanding of what possible
mitigation measures can be taken.
The project risk assessment tool follows a simple process:1. Identify possible threats to the project-affected communities
2. Assess likelihood of those threats materializing
3. Assess impact to the project-affected communities
4. Determine risk and risk ratings for the project-affected communities
5. Identify mitigation measures
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1. Identify threats to project-affected communities
As mentioned earlier, some of the risks include natural hazards/disasters, climate change andecosystem service stress, exposure to hazardous materials, exposure to communicable disease,and security related risk. Understanding the local context of the project area(s) will help in
identifying the threats to project-affected communities. Some threats to consider include:a) the potential exposure of communities including special needs, disadvantaged or vulnerable
groups or Individuals in particular women and children to both accidental and natural
hazards, particularly where the structural elements of the project are accessible to membersof the affected community, or where their failure could result in injury to the community;b) the special needs and exposure of disadvantaged or vulnerable groups or individuals,
including in particular women and children;c) the particular risks that may be present in a conflict or post-conflict context;d) the impacts of the project on provisioning and regulating ecosystem services, that are directly
relevant to community health and safety;e) the current or projected effects of climate change and other natural hazards.
f) the community exposure to health risks;g) the potential risks posed to communities by a project’s use of rangers, eco-guards, or similar
security personnel, whether armed or unarmed;h) the potential risks posed to rangers, eco-guards, or similar security personnel, whether armedor unarmed, in the course of performing their job duties; and,i) threats to human security through the risk of escalation of personal or communal conflict andviolence that could be caused or exacerbated by the project;j) types of crime are there and their prevalence;k) security incidents have occurred in recent months/years;l) threats that vary by area and by time of day/year;m) different types of staff threatened in different ways (e.g., national/international,
male/female); andn) threats originate from outside area of operations.
2. Assess the likelihood of these threats materializing
Taking into account any existing security controls that may be in place to address the health,safety and security threats identified above, define the likelihood of an incident occurring using
the criteria below:
Likelihood assessment criteria
Score

Assessment criteria

Very likely (5)The potential incident or threat in question materializes regularly in
the geographical or operational context.

Likely (4)The potential incident or threat in question has materialized often
in the geographical or operational context, or forecasting suggeststhat such incidents could become common in the immediate future.

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Possible (3)The potential incident or threat in question has materialized
recently in the geographical or operational context, but is notconsidered “common” and forecasting does not show any potential
for change.

Unlikely (2)The potential incident or threat in question has not materialized
recently in the geographical or operating context and forecasting
does not show any potential for change.

Very unlikely (1)The potential incident or threat in question is not known to havematerialized previously in the geographical or operational context.

3. Assess the impact to the project-affected communities
Assess the impact of the threat(s) using the definitions below:
Impact assessment criteria
Score

Assessment criteria

Catastrophic (5)The potential incident or threat in question would have acatastrophic impact on project-affected communities, such aspermanent evacuation.

Major (4)The potential incident or threat in question would have a major
impact on project-affected communities, such as relocation, severe
injury or death.

Moderate (3)The potential incident or threat in question has the potential tocause harm to project-affected communities.

Slight (2)The potential incident or threat in question would have little
impact on project-affected communities.

Minor (1)The potential incident or threat in question would haveinsignificant impact on project-affected communities.

4. Determine risk and risk ratings for project-affected communities
Determine the risk by multiplying the likelihood of each threat materializing by the impact thatsuch an incident would have on project-affected communities. This process will determine theassociated risk for each threat. Using the risk score and table below, assign risk rating for eachthreat. For example, if the risk score is 8, assign risk rating of Low.
Risk Score
1–4
5–9
10 - 1415 – 19
20 - 25

Risk Rating
Insignificant
Low
MediumHigh
ExtremeAfter determining the risk rating for each threat, calculate the overall risk rating by totalling the all
the risk scores and finding the average of that total. For example: if 10 threats were identified and
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their risks totalled 116, they average will be 11.6 (116/10). Again, use the table to assign an overallrisk rating, which will be Medium for the example given.
5. Identify mitigation measures
The project must design, implement and monitor appropriate measures to prevent or avoid any
adverse impacts on community health, safety and security, where feasible, or minimized or mitigated,
where avoidance or prevention are not feasible. For each threat where the risk rating has been
determined to be Medium and above, identify mitigations measures to reduce the risk. For example: if
there is Medium risk of Ebola outbreak, mitigation measures can include setting up of hand washingstations in project sites or having an outbreak response and management plan in place.
Apart from identifying mitigation measures, the project must ensure that these measures are includedin the design and budget of the project, responsibilities are assigned and that monitoring protocols are
implemented.

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APPENDIX X: Guidance on Private Sector Direct Investments and Financial
Intermediaries
ESS9 recognizes that partnership with private sector investors and access to financial
intermediaries are important multipliers for conservation and sustainable development.
This ESS applies to Financial Intermediaries (FIs) or private sector investments that receive
financial support from CI-GEF/GCF projects. Examples of FIs include banks, development
finance institutions, microcredit lending agencies, conservation trust funds, among others.
Examples of private sector investment include use of CI-GEF/GCF project resources in blended
finance, public-private partnerships, corporate equity, green bonds, loan guarantees, and joint
investment funds, among others. Certain private sector investments can resemble FIs byfunding multiple small subprojects, as in the case of community-based conservation projects, or
projects involving matching grant schemes.
For the purposes of this ESS, the ESMF requirements apply to all “FI subprojects,” which refers
to projects financed by FIs or private sector investments with some support from CI-GEF/GCF
projects. Where the project involves on- granting or on-lending by the FI to another FI, the term
“FI subproject” will include the subprojects of each subsequent FI.
Assessing E&S Risk. The environmental and social risks of any FI or private sector investments
will be assessed and categorized based on the most significant E&S risk within the FI portfolio
or activity supported by the private sector actor.
Due diligence. The risk assessment process will require the EA/EE to conduct due diligence toreview the elements of an ESMS to assess whether the project is capable of being developedand implemented in accordance with the ESSs. The EA/EE’s due diligence responsibilities will
include, as appropriate: (a) reviewing the information provided by the FI or private sector actor
relating to the environmental and social risks and impacts of the project,38 and requesting
additional and relevant information where there are gaps that prevent the EA/EE fromcompleting its due diligence; and (b) providing guidance to assist the FI or private sector actor
in developing appropriate measures consistent with the mitigation hierarchy to addressenvironmental and social risks and impacts in accordance with the ESSs.
Where the CI-GEF/GCF project is approached to provide support for a project that is underconstruction, or where the project has already received national permits, including the approvalof local environmental and social impact assessments, the EA/EE’s due diligence will include a
gap analysis against the ESSs to identify whether any additional studies and/or mitigation
measures are required to meet the CI-GEF/GCF Project Agency’s requirements.
Depending on the potential significance of environmental and social risks and impacts, the CIGEF/GCF Project Agency will determine whether the FI or private sector actor will be required
to retain independent third-party specialists to assist in the assessment of environmental andsocial impacts. If CI-GEF/GCF Project Agency is not satisfied that adequate capacity exists on thepart of the FI or private sector actor, all High Risk and, as appropriate, Medium Risk subprojects
38

For example, pre-feasibility studies, scoping studies, national environmental and social assessments, licenses and permits.
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will be subject to prior review and approval by the CI-GEF/GCF Project Agency until it isestablished that adequate capacity exists.
FI/ or private sector actor ESMS. From ESS9, the FI or private sector actor will have its own
ESMS that includes the following elements, all designed in proportion to the risks and impactsof the proposed activities:(i)
Environmental and social policy. The environmental and social policy of the FI or or
private sector actor will have an adequate management structure, and will include
organizational commitments, objectives, and metrics with regard to the environmental
and social risk management. The policy will clearly state applicable requirements for FI
subprojects, including for screening against relevant national laws and regulation, theESMF exclusion list, all other E&S risks and impacts.
(ii)Management programs to identify risks and opportunities. Clearly defined proceduresthat are regularly updated and monitored for the identification, screening,
categorization, assessment and management of the environmental and social risks andimpacts of subprojects. Specific attention will be paid to how procedures address
resettlement, risks or impacts on indigenous peoples, labour and working conditions,and community health, safety and security.
(iii)
Internal organizational capacity and competency. The FI or private sector actor will
have clearly defined roles and responsibilities, have adequate capabilities andknowledge, and can access adequate resources for ESMS implementation. A senior
manager will have overall accountability for the ESMS, with a track record of experience
as evidenced by strong internal communication to staff and regular, quality monitoring
and reporting on ESMS performance, including grievances. The CI-GEF/GCF Project
Agency will require an annual report on ESMS implementation that provides detail on
the highest risk activities in the subproject portfolio.
(iv)
Emergency preparedness and response. The FI or private sector actor will have asystem to respond to accidental and emergency situations regarding their own
operations, or associated with contact risks, such as public health emergency, natural
disaster, or climate change.
Where FI subprojects are likely to have minimal or no adverse environmental or social risks or
impacts, the FI will apply national law, and apply the ESMF exclusion list.
Stakeholder Engagement and Disclosure. The FI or private sector actor will meet the
stakeholder engagement requirements of the ESMF. In certain circumstances, depending on
the risks and impacts of the project and the type of FI subprojects it will finance, the CIGEF/GCF Project Agency may require the FI or private sector actor to be directly engaged instakeholder engagement at the subproject level. Where possible, external communication will
be conducted through a project website in addition to other forms of outreach. The FI or
private sector actor will require its sub-grantees or sub-borrowers to disclose, in relation to
subprojects, any project-related documents39 required (a) by the application of the ESSs; (b) for
any FI subprojects categorized as high risk in accordance with the FI’s own categorization
system; and (c) any environmental and social monitoring reports relating to (a) or (b).

39

For example, environmental and social assessment reports, voluntary resettlement action plans and Indigenous Peoples’ plans
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Monitoring ESMS implementation. The FI or private sector actor will monitor theenvironmental and social risk mitigation measures and actions agreed, and report to the CIGEF/GCF Project Agency as appropriate, but at least annually. Based on FI or private sector
actor reporting on ESMS performance, the CI-GEF/GCF Project Agency will ensure directsupervision of the FI or private sector actor portfolio of subprojects as well as field visits to asample of higher risk subprojects. The FI will promptly notify the CI-GEF/GCF Project Agency of
any significant accidents or incidents associated with FI subprojects, or if the risk profile of an FI
subproject increases significantly. Where appropriate, the CI-GEF/GCF Project Agency will
require third party and /or community monitoring of subprojects.

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APPENDIX XI: Guidance on Climate Risk and Related Disasters
The purpose of the climate risk and related disaster standard is to understand how the project’s
objectives or outputs could be affected by climate risks, and to incorporate risk mitigation
measures into the design and implementation of the project.
According to the Intergovernmental Panel for Climate Change (IPCC), risk is the “potential foradverse consequences where something of value is at stake and where the occurrence anddegree of an outcome is uncertain. In the context of the assessment of climate impacts, theterm risk is often used to refer to the potential for adverse consequences of a climate-related
hazard, or of adaptation or mitigation responses to such a hazard, on lives, livelihoods, healthand well-being, ecosystems and species, economic, social and cultural assets, services (including
ecosystem services), and infrastructure. Risk results from the interaction of vulnerability (of theaffected system), its exposure over time (to the hazard), as well as the (climate-related) hazard
and the likelihood of its occurrence” (IPCC 2018).
Risk assessments have four main elements:
1) Identification of the hazards;
2) Assessment of vulnerability and exposure;3) Risk rating; and4) Identification of measures to manage the risk.
Hazards may include short-term, or acute, shocks (e.g. extreme events of storm, fire or flood),
and slow onset, or chronic, events that occur over a long period of time (e.g. drought). Based on
the IPCC definition of risk, climate risk assessments should not only consider consequences ofhazards (e.g. food insecurity from a reduction of crop yield due to drought) but also
consequences from responses (e.g. food insecurity from expansion of biofuels for land-based
mitigation, or methane emissions from increased rice farming promoted by projects).
Vulnerability describes the propensity or predisposition to be adversely affected. Vulnerability
encompasses a variety of concepts and elements including sensitivity or susceptibility to harmand lack of capacity to cope and adapt. Vulnerability may be a result of physical, social,economic, and environmental factors.
Exposure refers to the presence of people; livelihoods; species or ecosystems; environmental
functions, services, and resources; infrastructure; or economic, social, or cultural assets inplaces and settings that could be adversely affected. Negative impacts occur when something isboth vulnerable and exposed.
Risk Rating Scale. While there are several ways to rate climate risk, most scales consider issues
such as severity or scale of impacts, probability and ability to mitigate or adapt to hazards. The
IPCC classifies the level of additional risk due to climate change on a scale from undetectable tovery high7.
Translating the IPCC risk scale, projects would be ranked as:• Very high risk - The outcome of the project will be jeopardized by climate change, with apotential for severe impacts of significant irreversibility. Climate-related risks are likely toresult in financial, environmental and/or social underperformance or failures. Adaptation
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•

•

•

measures are likely to be ineffective, extremely costly, socially unacceptable or increase risk
and reduce resilience. Adaptation limits may be reached, or loss and damage will occur.
High risk - There is a potential for widespread impacts from climate change. Outcomes may
be undermined by climate change, and adaptation measures may not be readily available.
Financial, environmental and social underperformance or failure cannot be excluded.
However, risk management activities are likely to increase resilience and adaptive capacityof households, infrastructure, communities, and ecosystems.
Moderate risk - Impact from climate change may occur, but will be limited, transient ormanageable. Financial, environmental and social underperformance or failure is unlikely.
The system has the capacity to manage volatility, shocks, stressors or changing climate
trends.
Low Risk - No impact from climate change, or even positive impact, is expected based onbest available science. Financial, environmental and social underperformance or failure
appears very unlikely.

Identification of mitigation measures. Based on the risk rating, ameliorative actions are
identified and prioritized through the creation of risk management plans. Risk management
includes actions, strategies, or policies to reduce the likelihood and/or consequences of risks or
to respond to consequences. It is also important to confirm that these adaptation or mitigationinterventions do not themselves result in additional risks.
Risk screening data and methods. An effective climate risk screening should cover the fourmain elements mentioned above and can be based on a literature review or field investigation.
Both require:- information on climate projections for the country or region, and if possible, for the
specific location of the project;- information about relevant potential hazards (e.g. heavy rainfall leading to flood, low
rainfall leading to drought, temperature changes which could lead to heat waves, sealevel rise, or changes in other extreme events such as hurricanes and cyclone);- and current and projected exposure, vulnerability and adaptive capacity.
There are numerous organisations and institutions which provide climate change data,
including, but not limited to, the IPCC, the World Meteorological Organization (WMO), NASA,
The World Resources Institute and the World Bank. The World Bank’s Climate Change
Knowledge Portal (https://climateknowledgeportal.worldbank.org/), for example, provide
global data on historical and future climate data, vulnerabilities and impacts. It is also possible
to explore data by country, region and watershed.
Timeframe. Climate risk screening during project design is crucial to enable risk mitigation
measures to be incorporated into projects. To ensure durability of the project, a risk screening
should cover a minimum 30-year period from the planned project start date.
- PIF/CN Stage. A preliminary climate risk screening should be conducted prior to PIF/CN
submission, and should also be done for child projects under an umbrella program. At
the PIF/CN stage, projects should identify risks and planned risk mitigation or adaptation
measures.
- PPG/PPF Stage. Moderate and high-risk projects should conduct a detailed evaluation ofclimate change risks and risk management options. A comprehensive, practical risk
management plan should be developed and included in the full project document. If one
or more risks are accepted, a justification should be given. If a project is classified as
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very high risk, a different location with different activities or different outcomes, should
be considered.
The checklist below presents some guiding questions on hazards, exposure, vulnerability andadaptive capacity for completing the climate screening section of the Safeguard Screening Form
(Appendix I):
Existing Hazards Guiding Questions:
Yes NoTBD
Observed climate and weather hazards in the project area:
Extreme temperature (heat/cold)☐☐☐
Extreme precipitation and flooding☐☐☐
Agricultural Droughts and/or dry spells☐☐☐
Storms (Tropical storms, snowstorms, hailstorms, dust storms, etc.)☐☐☐
Winds (Typhoons, Cyclones, Hurricanes, Tornadoes, Harmattan)☐☐☐
Sea level rise (from global warming and storm surges)☐☐☐
Other natural hazards observed in the project area:
Earthquakes☐☐☐
Tsunamis☐☐☐
Volcanic eruptions☐☐☐
Landslides or avalanches☐☐☐
Wildfires☐☐☐Salinization☐☐☐
Ocean acidification☐☐☐
Projected Hazards Guiding Questions
Yes No N/A
Do future climate scenarios foresee an incremental increase of potential hazards and climate change comparedto the baseline that may affect the project over its lifetime?
Extreme temperature☐☐☐
Extreme precipitation and flooding☐☐☐
Agricultural Droughts and/or dry spells☐☐☐
Change in temperature☐☐☐
Change in rainfall☐☐☐
Exposure Guiding Questions

Yes

No

N/A

Is the project located in high exposure areas?
Low-lying areas (valleys or coastal zones)☐☐☐
Arid and semi-arid zones☐☐☐
Mountains zones and permafrost areas☐☐☐
Are the agricultural systems (crops, livestock, fisheries, forests) targeted by the project affected by climate
related hazards?
Is crop productivity affected by rainfall variability, changes in temperature or pests and☐☐☐diseases?
Is livestock productivity affected by rainfall variability, changes in temperature or parasites☐☐☐
and diseases?
Is fisheries productivity affected by ocean acidification, changes in sea temperature or☐☐☐variation of water salinity?
Is forest productivity affected by wildfires, diseases, rainfall variability or changes in☐☐☐temperature?
Is any stage of the agricultural value chain (production, storage, processing and marketing)☐☐☐affected by climate related hazards?
Vulnerability Guiding Questions
Yes No TBD
Is the target population in the project area living below poverty line?
☐☐☐
Are the livelihoods of the target population sensitive to climate change?
☐☐☐
Is the target population income exclusively from agriculture?
☐☐☐
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Is the population migrating due to food insecurity as a consequence of climate change?
Is the project targeting sensitive groups (indigenous people or other marginalized groups)that are likely to be affected by climate change?
Is climate change affecting certain groups more than others in the project area?
Adaptive Capacity Guiding Questions:
Does the target population have access to climate information?
Are there any early warning systems in the project area to anticipate and respond toclimate-related events and disasters or climate-driven pest and diseases?
Does the government or other institutions support the target population/communities
with the necessary social and economic resources to prepare for or respond to climaterelated events?
Is the target population carrying out self-adaptation?
Do policies exist that make financial credit, loans and agricultural insurance available?
Project Modulation of Risks Guiding Questions:
1. Policies and planning
Does the project support the integration of climate into national policies and planning?
Does the project support the increased use of climate data and information in national
long term and strategic planning?
2. Capacity building, training and outreach
Would the project invest in institutional development and capacity-building for national
institutions involved in climate related activities?
Would the project invest in increased information and dissemination of climate-related
information to target groups?
Does the project have opportunities to strengthen rural and indigenous climate risk
management capabilities?
Does the project support capacity of target groups to utilize and apply climate services at
the farm level?
3. Data gathering, monitoring and information management
Will the project support the infrastructure and technology necessary to monitor climate
variables and collect data required from climate impact assessment and modelling?
Will the project support the national institutions to develop the skills required tomonitoring and collect climate related information?
Will the project support development of databases and repositories of climate
information?
4. Mitigation
Will the project invest in measures that will reduce or mitigate emissions of GHGs from theenergy sector?
Will the project invest in measures to reduce or mitigate emissions of GHGs from livestockor agricultural production (e.g. rice production)Will the project invest in measures to reduce or mitigation emissions of GHGs throughreforestation or land use change?
Will the project invest in renewable energy and green technologies?
Will the project invest in other measures to reduce or mitigate GHG emissions?
5. Adaptation
Will the project invest in climate smart agriculture activities?
Will the project promote climate resilient practices for crops, livestock and fisheries?
Will the project promote sustainable natural resources management?
Does the project support Nature-based Solutions for climate change and disaster risk
reduction?
Will the project invest in agricultural insurance?

☐

☐

☐

☐

☐

☐

☐
Yes
☐

☐
No
☐

☐
TBD
☐

☐

☐

☐

☐

☐

☐

☐
☐
Yes

☐
☐
No

☐
☐
TBD

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐
☐

☐
☐

☐
☐

☐
☐
☐

☐
☐
☐

☐
☐
☐

☐

☐

☐

☐

☐

☐

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APPENDIX XII: Gender Mainstreaming Plan (GMP) Template

CI-GEF GENDER MAINSTREAMING PLAN (GMP)The Gender Mainstreaming Plan provides information, analysis, and specific actions to ensure that genderdimensions are fully integrated into the project. It consists of two parts: (1) a Gender Analysis/Assessment,and (2) a Gender Action Plan. The Gender Analysis/Assessment identifies and describes relevant genderdifferences, gender differentiated impacts and risks, and opportunities to address gender gaps andpromote the empowerment of men and women within the project context. The Gender Action Plan
details any corresponding gender-responsive measures to address those differences, impacts and risks,and opportunities. Completion of a Gender Analysis/Assessment and Gender Action Plan is a requirement
for all GEF and GCF funded projects as described under the CI-GEF/GCF Project Agency’s Policy on Gender
Mainstreaming.
The CI-GEF/GCF Agency recognizes the wide range of projects and this GMP is designed to be flexible andadaptable to the project size, scope, and context. For additional guidance on gender requirements within
GEF + GCF projects, please also refer to:
Guidance to Advance Gender Equality in GEF Projects + Programs:
https://www.thegef.org/sites/default/files/publications/GEF%20Guidance%20on%20Gender.pdf

Mainstreaming Gender in GCF Projects:
https://www.greenclimate.fund/sites/default/files/document/guidelines-gcf-toolkit-mainstreaming-gender_0.pdf

SECTION I: Project Information
PROJECT TITLE:
GEF/GCF PROJECT ID:

PROJECT DURATION:___ months

PROJECT END DATE:

mm/yyyy

EXECUTING AGENCY/ENTITY:
PROJECT ANTICIPATED START DATE:

mm/yyyy

GMP PREPARED BY:DATE OF (RE)SUBMISSION TO CI-GEF/GCF:
GMP APPROVED BY:(To be completed by CI-GEF/GCF)

DATE OF CI-GEF/GCF APPROVAL:(To be completed by CI-GEF/GCF)

PERSON RESPONSIBLE FOR IMPLEMENTING
AND MONITORING THE GMP:

Provide name and designation of that person

HOW/WHERE WILL THE APPROVED GMP BE
DISCLOSED40:
WHEN WILL THE APPROVED GMP BE
DISCLOSED:

E.g. via the project’s website, at the inception meeting with stakeholders,
printed and posted on notice board in community centre, etc.
E.g. at the start of the implementation phase, before the end of the firstquarter during implementation phase, etc.

40

Approved Safeguard plans are to be disclosed to stakeholders in a manner and form that they will understand and that is
culturally appropriate. This may require translation of the document.
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SECTION II: Gender Analysis/Assessment
The project team is expected to conduct a Gender Analysis or Assessment that identifies and describes
any gender differences, gender differentiated impacts and risks, and opportunities to address gender gaps
and promote the empowerment of women as they relate to the project context. The completion of the
Gender Analysis should be done or guided by a gender or social specialist (e.g. through a consultant or inhouse, depending on capacity).
The Analysis will vary in detail depending on project size, scope, and context. Furthermore, this Analysis
should acknowledge and incorporate the concept of intersectionality and ensure that the specific needsof sub-groups (particularly those most vulnerable) have been taken into account (e.g. girls and boys,
women and men with disabilities, elder men and women, widows).
Information on gender roles and cultural context specific to the site should be gathered through (a)primary sources such as field visits, focus groups, interviews, meetings and consultations with target
groups and local experts, and surveys, as well as (b) secondary sources such as a desktop/literature review.
For additional guidance on how to collect this type of information, please consult CI’s Gender and Social
Equity Guidelines.

The general state of gender (~ 1 page)
Please provide a broad overview of the gender dimensions and issues within the context of your project(thematically + geographically).
This section should include:• Population of men and women in the project area
• Livelihoods of the men and women• Income/poverty, (un)employment and literacy rates for men and women• Men and women’s role in the household and community e.g. what types of decisions do men andwomen get to make in the household and community?
• Social structure/order in the communities/project area: Do women attend meetings/participate inprojects? Do women speak out in meetings before men/elders? Are women allowed to own land,
have access to credit, can open a bank account on her own?
• Statistics and trends in sexual or gender-based violence (GBV)• Commonly held beliefs, perceptions, and stereotypes related to gender
Project-level gender considerations (~2-5 pages)
Drawing on primary and secondary information sources, consider how gender considerations are relevantto the specific project by responding to each of the following questions (at a minimum). If a project has
multiple sites with different social + environmental contexts, this section will need to be completed for eachsite.

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1. How do women and men currently utilize the natural resources that this project impacts? How mightthat change during and after the project?

2. How will women and men be impacted (positively or negatively) by project activities including on theirlivelihoods, workload, control over resources, etc.?

3. To what extent do women and men participate in decision-making processes about those natural
resources and is that likely to carry over into project decision-making? What are the constraints (social,
cultural, economic, political) that restrict women’s active participation in household, community andproject-level decision-making processes?

4. Do women and men have equal access to information and opportunities necessary to participate andbenefit fully from the activities of the project? How do gender-related barriers/challenges potentiallylimit women’s ability to fully participate, make decisions and benefit from the project? How will the
project overcome them?

5. What are the different interests, needs and priorities of men and women within the project context?
How will the project be able to address their respective needs and priorities?

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6. How might project activities create new opportunities (economic, leadership, etc.) for women?

7. Is there a possibility that project activities may perpetuate/increase inequalities, including gender-based
violence? (why or why not)8. What is the level of gender awareness and capacity to address gender issues amongst local
authorities, project partners and project staff?

9. Describe the methods (interviews, desktop research, focus groups, surveys, etc.) were used to collectinformation for the Gender Analysis/Assessment.

10. Describe lessons learnt during the development of the GMP during the PPG/PPF Phase. E.g. Did you
have to hold meetings separately for women? Did the location/time of meetings affect women’s
participation?

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SECTION III: Gender Action Plan
Using the results of the Gender Analysis, and considering the project context, scope and components, theGender Action Plan details how the project will ensure the active and meaningful participation of both
women and men, equal access to opportunities, resources and benefits from the project, and avoid
perpetuating social inequalities.
Component 1:
Activities to Mainstream
Gender into Output

Outputs
Output 1.1:
Communities
trained in natural
resource
management••

What actions can be taken
to make this genderresponsive as possible?
Example:1. Assess the training
needs of men andwomen
2. Design training
course(s) that meet theneeds of men andwomen as identified in
the assessment.
3. Conduct the training at
a time and venue
suitable for men andwomen to attend.
If no gender activity isapplicable, put N/A.

Target•••What are•your baseline
and targets
for men andwomen?
*Targetsshould beambitious yet
realistic.
•
How was thetargetdetermined?
Which genderindicator
does this
Outputcontributeto?

Resources
RequiredWhatmaterials(presentations,
websites,brochures,
surveys,translation)
are needed?
What
personnel areneeded to leadand monitor
these actions?

Budget•Howmuchwill thiscost?

Output 1.2:

Output 1.3:

Component 2:
Output 2.1:

Output 2.2:

Output 2.3:

Component 3:
Output 3.1:

Output 3.2:

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SECTION IV: Monitoring and Reporting
The GEF/GCF Gender Mainstreaming Policy requires the collection and analysis of sex- disaggregated dataand gender information to inform gender-responsive monitoring and evaluation. The project is expected
to report on a quarterly basis (using the CI-GEF/GCF Quarterly Reporting template), progress madetowards the achievement of gender mainstreaming activities identified in the Gender Action Plan above.
The project is also expected to report on an annual basis and using the CI-GEF/GCF Project Implementation
Report (PIR) or Annual Performance Report (APR) template, the following CI-GEF/GCF minimum
indicators:
Indicator

Baseline
Men
Women

Target41
Men
Women

1. Number of men and women who participated in project
activities (e.g. meetings, workshops, consultations).
2. Number of men and women who received benefits (e.g.
employment, income generating activities, training,access to natural resources, land tenure or resourcerights, equipment, leadership roles)
3. Number of strategies, plans (e.g. management plans andland use plans) and policies derived from the project that
include gender considerations (this indicator applies torelevant projects)
4.
5.
In addition to the minimum indicators above, projects are strongly encouraged to provide additional
gender indicators specific to their projects.

SECTION V: Considerations for the Implementation of the GMP
1. Alignment + integration
The activities, budget and staffing outlined in this action plan must be integrated into the project’s overall
Project Document + Results Framework. Please confirm that:a. The activities identified in this Action Plan have been integrated into the project’s proposal
document including the results framework. (Y/N)
b. The necessary budget for activities identified in this Action Plan have been integrated into theproject’s overall budget. (Y/N)
2. Staffing capacities
Describe the project’s capacities to implement of this Gender Mainstreaming Plan. Who will be
responsible for overseeing the implementation of the actions? Will that person need to be hired or is s/healready on staff? Does that person have the technical background and skills appropriate for the level ofcomplexity of this GMP? If not, how will this be addressed? What percentage of that person’s time will befocused on implementation of this GMP?

41

Targets should be ambitious yet realistic. Please be prepared to explain how the targets were determined.

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APPENDIX XIII: Stakeholder Engagement Plan (SEP) Template

STAKEHOLDER ENGAGEMENT PLAN (SEP)The Stakeholder Engagement Plan (SEP) outlines the differentiated measures that the Executing
Agency/Entity will implement to ensure the effective participation of key project stakeholders, including
both men and women and those identified as disadvantaged or vulnerable stakeholders. The level of detailin the SEP will vary; it must be scaled to the scope of the project, numbers of stakeholders involved, andpotential risks and impacts present.
The SEP includes a Stakeholder Analysis (Section III) to identify all actors who directly or indirectly may
affect or be affected by a project and their varying interests. The SEP also outlines stakeholder engagement
throughout the project lifecycle, including: Stakeholder Engagement in PPG/PPF Phase (Section IV),
Stakeholder Engagement in Implementation Phase (Section V), and Monitoring and Reporting (Section
VI). These sections outline the appropriate methods for engagement, including through neutral/third
party facilitators, when necessary. They also detail required public disclosure of information on project
scope and impacts, a grievance redress mechanism, the budget to complete stakeholder engagement,
indicators, and learning throughout the project cycle.
Each revision of the plan requires further disclosure to stakeholders.

SECTION I: Project Information
PROJECT TITLE:
GEF/GCF PROJECT ID:

PROJECT DURATION:____ months

PROJECT END DATE:(mm/yyyy)

EXECUTING AGENCY/ENTITY:
PROJECT START DATE:(mm/yyyy)

SEP PREPARED BY:DATE OF (RE)SUBMISSION TO CI-GEF/GCF:
SEP APPROVED BY:(To be completed by CI-GEF/GCF)

DATE OF CI-GEF/GCF APPROVAL:(To be completed by CI-GEF/GCF)

SECTION II: Introduction
Introduce your Stakeholder Engagement Plan (SEP) by providing a brief context of your project and its
stakeholders42, and an overview of your SEP. Include a brief description of circumstances that may impact
your stakeholders or their decision making (e.g. conflict, land tenure, etc.). Limit yourself to one page as
this section is a summary and provide the details in the body of the SEP.

42

Stakeholder refers to individuals or groups who: (a) are affected or likely to be affected by the project (project-affectedparties); and (b) may have an interest in the project (other interested parties).
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SECTION III: Stakeholder Analysis

Stakeholder
Name and Function
Name of the key
stakeholder, and theirmain purpose/function

Stakeholder’sInterest
What are thestakeholder’s maininterests in andconcerns about the
project?

Impact of Project on
Stakeholder

Influence of
Stakeholder

How will the
stakeholder be affected(both positively andnegatively) by the
project?

How can thestakeholder affect the
project? Can theyhinder or contributeto the success of the
project?

Risk
Management(Is this a low,
medium or highrisk stakeholder?
And how would
you manage
medium/high risk
stakeholders)

Government and Local Authorities (Add rows as necessary)
Ministry of Environment
Governing institution forenvironmental matters in
the country. Also serves as
the GEF OFP and oversees
GEF projects.

CSOs/NGOs (Add rows as necessary)
XX Women’s Group;
Advocate for womenfarmers in XX Village
Local communities (Add rows as necessary)

Indigenous Peoples (Add rows as necessary)

Private Sector (Add rows as necessary)

Academia (Add rows as necessary)

Disadvantaged/Vulnerable43 Groups (Add rows as necessary)

Others (Add rows as necessary)

43

Disadvantaged/Vulnerable refers to those who may be more likely to be adversely affected by the project impacts and/or
more limited than others in their ability to take advantage of a project’s benefits. Such an individual/group is also more likely
to be excluded from/unable to participate fully in the mainstream consultation process and as such may require specificmeasures and/or assistance to do so. This will take into account considerations relating to age, including the elderly andminors, and including in circumstances where they may be separated from their family, the community or other individuals
upon which they depend.
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SECTION IV: Stakeholder Engagement During PPG/PPF Phasea.
Stakeholder
Name
Name the key stakeholder
contacted during PPG in thiscolumn.
Add rows as necessary.

Date, Location andMethod ofEngagement44
When and where did you
meet?
Was it a meeting,consultation, workshop,
etc?
What steps were taken to
seek consent, if needed?
How was the engagement
documented?

Outcomes
What was the aim/rationale? What was discussed? Whatdecisions were made, if any?
How did this contribute to or was captured in the design ofthe project?
How were the contributions of men and women captured,consistent with Gender Action Plan?
If/how do they want to be engaged during theimplementation phase?

b. Project Disclosure
Disclosing project information is essential for meaningful consultation on project design and forstakeholders to understand the potential opportunities of the project, and the risks and impacts of the
project.
Confirm that the following information was shared with stakeholders in a timely manner and in an
appropriate form and language during the PPG/PPF Phase:
Information
The purpose, nature and scale of the project
44

When, How and Where this was shared?

Method of engagement can be face-to-face meeting, telephone call, workshop, consultation, survey, etc.

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The duration of proposed project activities
Information from the environmental and social
safeguard screening process, regarding potential risks
and impacts of the project on stakeholders, including:• Proposals for mitigating risks and impacts• Potential risks and impacts that might
disproportionately affect vulnerable anddisadvantaged groups• Description of differentiated measures to betaken to avoid and minimize disproportionate
risks and impacts
The proposed stakeholder engagement process,highlighting ways in which stakeholders canparticipate and contribute during project design
and/or implementation
The time and venue of proposed public
consultation meetings, and the process by which
meetings will be notified, summarized and reported
The process and means by which grievances canbe raised and addressedc. Reporting of Indicators During PPG/PPF
Number (and name) of stakeholder groups involved in project
design and preparation process
Number of people who have been involved in the project design and Men:
preparation process
Women:
Number of engagements (meetings, workshops, consultations, etc)with stakeholders during PPG phase

Total:

d. Lessons Learned during PPG/PPF:
What went well and did not go well during the stakeholder engagements? What would you continue
to do or do differently during implementation phase to have better stakeholder engagements?
Example 1: During the PPG, we found that stakeholder engagement demands a lot of time. During
implementation, we need to plan more time for meaningful engagements.
Example 2: During PPG, we found that only 10 persons showed up for the meeting from a communityof 300 persons. We learnt that the time of the meeting and the location were not convenient for thecommunity. During implementation, we will plan community meetings on Saturdays in the market
square as everyone comes there and can meet for an hour when the market closes.
Example 3: During the PPG, we found it difficult to communicate clearly with the village as there was alanguage barrier. During implementation, we will hire a local person to translate and facilitate themeeting.
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SECTION V: Stakeholder Engagement in the Implementation Phase
Stakeholder
Name

Method ofEngagement

Location andFrequency

Name the key
stakeholder andgroup type to beengaged. Add
columns asnecessary.

How will you involve andengage this stakeholder?
(meeting, consultation,
workshop, discussion, etc)

Where and
When will you
engage with thisstakeholder?

What special measureswould be taken to include
disadvantaged/vulnerable
individuals/groups? (e.g.
women, minorities,
elderly, youth, etc.)?

Resources Required
What materials(presentations, websites,
brochures, surveys,
translation) are needed?
What personnel areneeded to lead andmonitor theseengagements?

Budget
How much will thisengagement cost?
Consider resources
required, staff,
transportation, etc.

What steps would betaken to seek consent, if
needed.
Who will engage thestakeholders e.g. project
staff, facilitators, etc.?
Reminder: Disclosure of
project information
continues throughout
implementation so be
sure to cater for this.

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SECTION VI: Monitoring and Reporting
The project will report on a quarterly basis (using the CI-GEF Quarterly Reporting template),
progress made towards the implementation of the SEP.
On an annual basis and using the CI-GEF Project Implementation Report (PIR) template, thefollowing CI-GEF’s minimum indicators are to be reported. The project can include otherappropriate stakeholder engagement indicators in addition to the CI-GEF’s indicators.
Indicator

Baseline
Men
Women

TargetMen
Women

6. Number of people (sex disaggregated) that have been
involved in project implementation phase (on an annual
basis)
7. Number of stakeholder groups (government agencies,
civil society organizations, private sector, indigenous
peoples and others) that have been involved in the
project implementation phase (on an annual basis)
8. Number of engagements (meetings, workshops,
consultations, etc.) with stakeholders during the project
implementation phase (on an annual basis).
9.
Person responsible for implementing andmonitoring the SEP:

Provide name and designation of that person

How/Where will the approved SEP be
disclosed45:

E.g. via the project’s website, at the inception meeting withstakeholders, printed and posted on notice board in community
centre, etc.

When will the approved SEP be disclosed:

E.g. at the start of the implementation phase, before the end of thefirst quarter during implementation phase, etc.

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Approved Safeguard plans are to be disclosed to stakeholders in a manner and form that they will understand andthat is culturally appropriate. This may require translation of the document.
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ACCOUNTABILITY & GRIEVANCE MECHANISM (AGM)
The CI-GEF/GCF Project Agency requires all project to have an Accountability and Grievance
Mechanism in place so that project-affected communities and other stakeholders may raise agrievance at all times to the Executing Agency/Entity, CI, the GEF or GCF on non-compliance with
the ESMF. Affected communities should be informed about this possibility and contact informationof the respective organizations at relevant levels should be made available publicly. Affected
communities should also be assured that their grievances will be addressed in a timely manner,
they will not face retaliation for submitting a grievance, and they have the option to request
confidentiality.

SECTION I: Project Information
PROJECT TITLE:
GEF/GCF PROJECT ID:

PROJECT DURATION:____ months

PROJECT END DATE:(mm/yyyy)

EXECUTING AGENCY/ENTITY:
PROJECT START DATE:(mm/yyyy)

AGM PREPARED BY:DATE OF (RE)SUBMISSION TO CI-GEF/GCF:
AGM APPROVED BY:(To be completed by CI-GEF/GCF)

DATE OF CI-GEF/GCF APPROVAL:(To be completed by CI-GEF/GCF)

SECTION II: Introduction•

Introduce your AGM by providing a short summary of your project and its main activities,
any anticipated grievances, how you will ensure that stakeholders are aware of themechanism, and what system will be put in place to ensure that the mechanism is working
effectively and efficiently.

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SECTION III: Scope•

What grievances are eligible and would be received? Will the grievance be screened toensure it is related to the GEF/GCF project?

•

How will the mechanism ensure transparency and fairness?

•

Will the mechanism receive anonymous grievance?

•

How will the mechanism deal with confidentiality?

•

How will the project protect grievants from retaliation for submitting a grievance?

•

How will the mechanism ensure that both women and men feel comfortable accessing it?
How does the project cater for other vulnerable groups, such as youth or elderly, or those
who speak a minority language?

SECTION IV: Awareness and Accessibility
How and when will the project
disseminate the AGM to stakeholders?
How would it be communicated to
stakeholders that speak a different
language, might be illiterate, are in hard
to reach places or other vulnerable
groups such as women?

Examples of how: via the project’s website, at the
inception meeting with stakeholders, printed andposted on notice board in community centre, radio
announcement, flyers, posters, SMS/text/WhatsApp
messages, illustration/animated video, etc.
Examples of when: at the end of every presentationor community engagement, at the start of theimplementation phase, before the end of the firstquarter during implementation phase, etc.

Name and designation of person(s)where grievances can be addressed to:
Physical address of person(s) above or
location of grievance collection box:
Telephone/Fax:
Email:
Website/software application:
Radio Frequency, if applicable:
Other46:
46

A grievant may not be able to write or have access to telephone/email services, or even travel to your office.
Indicate how you plan to accommodate such circumstances.
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SECTION V: Acknowledgment and Follow-up•••

How will your mechanism acknowledge receipt of the grievance? How long will it take forthis receipt to be given to the grievant?
How long will your mechanism take to provide a resolution to the grievant?
Do you plan to provide periodic updates throughout the process to the grievant?

SECTION VI: Processing
Describe how your mechanism will process the grievance.
•

How will the grievance be verified? Will there be site visits, face-to-face meeting, etc.

•

How will the mechanism deal with grievances that are ineligible?

•

Will there be categorization/prioritization system based on the nature of the grievance?
How will high-priority or sensitive grievances be dealt with?

•

What’s the institutional/organizational structure to handle grievances? Will the grievance
be assigned/directed to a specific project staff or committee to deal with the grievance?

•

Will there be a tiered system where grievances get escalated depending on theirseriousness or unable to resolve? A tiered system could be to first address the grievanceat the field level; second level can be at the Project Management Unit; third level can beat the Project Steering Committee level; and fourth level can be CI’s EthicsPoint Hotline.

•

If the project fails to address the grievance, what steps would be taken to achieve aresolution? Will the project set up an arbitration process? Are there national mechanismsthat the project can use? If there are national processes, do the communities and otherstakeholders have faith in them, know about them and have easy access to them, and arethey likely to use them?

•

Please note that if the process does not result in resolution of the grievance, or if thegrievant prefers, s/he may choose to file a claim through CI’s EthicsPoint Hotline athttps://secure.ethicspoint.com Alternatively, the grievant may file a claim with the
Director of Compliance (DOC) who is responsible for the CI Accountability and Grievance
Mechanism and who can be reached at: Director of Compliance, Conservation
International 2011 Crystal Drive, Suite 600 Arlington, VA 22202, USA. This informationmust be contained in the AGM and disseminated to all project stakeholders.

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SECTION VII: Documentation•••

How will grievance be recorded? Will there be a grievant form? Will there be a log book of
the grievances received?
How and where would these records be stored? And for how long will they be kept?
How will the personal identifiable information of the grievant be kept secure, and who
within the team will have access to it?

SECTION VIII: Monitoring and Reporting
Describe how will you track and ensure that the mechanism is working. It is important to recognizethat lack of grievances does not mean that there are none, it may indicate that the mechanism is
not working properly. Describe how you will account for this possibility.
The project is expected to report on a quarterly basis (using the CI-GEF Quarterly Reporting
template), progress made towards the implementation of the grievance mechanism, including thenumber of grievances received and the outcome of the grievance process.
On an annual basis and using the CI-GEF Project Implementation Report (PIR) template, thefollowing CI-GEF’s minimum indicators are to be reported. The project can include otherappropriate accountability and grievance indicators in addition to the CI-GEF’s indicators.
Indicator

Baseline

Target10. Number of conflict and complaint cases reported to the project’s
Accountability and Grievance Mechanism
11. Percentage of conflict and complaint cases reported to the project’s
Accountability and Grievance Mechanism that have been resolved
Person responsible for implementing andmonitoring the AGM:

Provide name and designation of that person

Budget/Resources required:

Consider budget, staffing, materials, translation/translator, radio
time to announce the mechanism, payment of a post office box
where people can submit grievances to, a dedicated cell phone orother phone number, etc

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APPENDIX XIV: CI’s Approval of the Updated ESMF

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