Operational guidelines: Indigenous Peoples Policy

TheseguidelinesprovideguidanceontheapplicationoftheIndigenousPeoplesPolicy(IPP)thatformspartofGCF’senvironmentalandsocialmanagementsystem(ESMS).TheguidelineshelpexplaintherequirementsoftheIPPandtherelatedenvironmentalandsocialsafeguards.Theguidelinesdonotsubstitutefortheneedtoexercisesoundjudgmentinmakingprojectdecisions.IncaseofanyinconsistencyorconflictbetweentheguidelinesandtheESMSorIPP,theprovisionsoftheESMSandtheIPPprevail.

TableofContentsI. Introduction 1

II. OverviewoftheGreenClimateFundIndigenousPeoplesPolicy 3

OperationalGuidelinesoftheGCFIndigenousPeoplesPolicy 5

I. Background 5

II. ApplicationofthePolicy 6

III. Requirements 8

3.1 SpecificcircumstancesofGCF-financedactivities 13

3.2 Meaningfulconsultation 13

3.3 Free,priorandinformedconsent 16

3.4 Grievanceredressmechanism 25

3.5 Indigenouspeoplesandbroaderplanning 26

IV. Implementation 27

4.1 Implementationarrangements 27

4.2 Informationdisclosure 28

4.3 Competenciesandcapacitydevelopment 28

ReferencesandTools 29

1 OtherrelevantpoliciesoftheGCF 29

2 OtherrelevantguidelinesoftheGCF 29

3 LinkstootherGCFPoliciesanddocuments 29

4 InternationalFinanceCorporationPerformanceStandardsforEnvironmentalandSocialSustainability 30

5 Linkstoindigenouspeoplespoliciesofsomeoftheaccreditedentities 30

6 Othermaterials 31

Acronyms

CSO civilsocietyorganization

EHS environment,healthandsafety

ESMS environmentalandsocialmanagementsystem

ESS environmentalandsocialsafeguards

FPIC free,priorandinformedconsent

GCF GreenClimateFund

IRM IndependentRedressMechanism

IPAG IndigenousPeoplesAdvisoryGroup

IPP indigenouspeoplesplan

IPPF indigenouspeoplesplanningframework

IFC InternationalFinanceCorporation

NGO non-governmentalorganization

PS performancestandard

UNFCCC UnitedNationsFrameworkConventiononClimateChange

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I. Introduction

1. TheseoperationalguidelinescontainthetechnicalandadministrativereferencesandtoolsthatarereferredtointheGCFIndigenousPeoplesPolicy(hereinafterreferredtoas“thePolicy”).ThisdocumentalsocontainstheguidanceontheapplicationofFPICascalledforinparagraph56ofthePolicy.Referencematerialsongoodpracticestoimproveprojectperformanceareincludedaswell.

2. ThePolicyandtheseguidelinesformapartoftheGCFESMS.TheESMSenablesGCFtoidentify,analyse,avoid,minimizeandmitigateanypotentialadverseenvironmentalandsocialimpactsofitsactivities,tomaximizeenvironmentalandsocialbenefits,andtoimprovetheenvironmentalandsocialperformanceofGCFanditsactivitiesconsistentlyovertime.

3. TogetherwiththeGCFIndigenousPeoplesPolicy,theGCFEnvironmentandSocialPolicyisanessentialelementofthissystem,elaboratingthecommitmentofGCFtointegrateenvironmentalandsocialissuesintoitsdecision-makingandoutcomes,andestablishestheprinciples,requirementsandresponsibilitiestodeliveronthesecommitments.

4. Theseguidelinesalsoaresupplementedbythefollowing:

(a) Otherguidancenotesandinterpretationnotescurrentlyestablishedand/orthatwillbedevelopedinrelationtotheESMS,ESSandotherrelevantpolicies;

(b) GeneralandsectorEHSguidelines;

(c) Goodpracticenotes(i.e.stakeholderengagement,grievanceredress,resettlementplanningandotherthematicnotes)thataredevelopedbyGCForotherinstitutionsthatmayberelevanttoGCFactivities;

(d) TheGCFOperationsManualfortheProjectandProgrammeLifecycle;and

(e) Forms,templatesandquestionnairesforduediligence.

5. SpecificreferencestothesedocumentsareprovidedinthesectiononreferencesandtoolsbelowandonthewebsiteoftheSecretariat.

6. TheseguidelinesareonepartofthedynamicprocesstoimplementthePolicy.Theotherpartsare:

(a) Identifyingandcompilingbestpractices,guidanceandtoolsforimplementingthePolicy;

(b) Developingawebsiteanddetaileddatabase;

(c) Engaginganindigenouspeoplesandsocialsafeguardsspecialist,whowillbeappointedastheIndigenousPeoplesFocalPointwithoperationalresponsibilitytomanagetheimplementationofthePolicyandundertakestepstoimprovetheSecretariat’sowncapacitytoimplementthePolicy;

(d) WorkingwiththeBoardandrelevantstakeholdersondevelopingmechanismsforimprovedaccessforindigenouspeoplestoGCFactivities;

(e) EstablishingandsupportingtheIPAGtoassistwithimplementing,developingandraisingawarenessofthePolicy;

(f) IdentifyinganddevelopingopportunitiestoimplementactivitiesforawarenessbuildingandcapacitydevelopmentonthePolicyincollaborationwiththeIPAG;

(g) Collectingbaselinedata,andto:

(i) DeterminehowGCFcanimproveitsresponsestotheneedsandprioritiesofindigenouspeoples;

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(ii) Identifythedriversofchangeinordertoachieveadaptationormitigationgoals;

(iii) IdentifyanddesignthespecificandculturallyappropriateelementstobeincludedinGCFpoliciesandGCF-financedactivities;

(iv) EstimatetheresourcesnecessaryfortheimplementationofthePolicy;

(v) Selectspecificoutput,outcomeandimpactindicatorsforindigenouspeoples;and

(vi) DesignandestablishimplementationandmonitoringarrangementsthatpromoteanddevelopeffectiveparticipationofindigenouspeopleswithinGCF-financedactivities;

(h) Periodicimplementationreporting;

(i) Establishingarosterofindigenouspeoplesexperts;

(j) Capacity-buildingprogrammesforindigenouspeoplesaspartoftheReadinessandPreparatorySupportProgrammeorfundingproposals;

(k) EngagementwiththeUNFCCCLocalCommunitiesandIndigenousPeoplesPlatform;

(l) DocumentingtheexperienceandknowledgeacquiredfromtheimplementationofthePolicyandidentificationofgoodpracticesfromStatesandaccreditedentities;

(m) CommunicatingthecommitmentofGCFtoindigenouspeoplesengagement,thePolicyanditsoperationalguidelines;and

(n) ReviewingandevaluatingtheoverallperformanceofthePolicy.

7. TheseguidelineshavebeenpreparedtohelpexplaintherequirementscontainedinthePolicy.Theyarenotintendedtoestablishpolicy.Instead,theseguidelinesexplaintherequirementsinthePolicy,developedinconsultationwithaccreditedentities,countries,indigenouspeoplesandtheirorganizations.

8. TheseguidelineshaveusedtherelevantGCFESSstandardsandguidance,1particularlytheIFCperformancestandardonindigenouspeoples(PS7)2andthecorrespondingguidanceontherequirementsoftheperformancestandards,includingreferencematerials,andongoodpracticestoimproveprojectperformanceascontainedinthe“InternationalFinanceCorporation’sGuidanceNotes:PerformanceStandardsonEnvironmentalandSocialSustainability”,specificallyforPS7.3Inparticular,sectionIIIonrequirementshasbeensubstantiallysourced,withpermission,fromthe“InternationalFinanceCorporation’sGuidanceNotes:PerformanceStandardsonEnvironmentalandSocialSustainability”.

9. GCFexpectsthateachaccreditedentitywillemploymethodsthatensurethehighestcompliancewiththePolicy.AccreditedentitiesareallowedtousemethodsthatarebestsuitedtotheirbusinesstomeettherequirementsofthePolicy.InassistingtheaccreditedentitytomeettherequirementsofthePolicy,GCFwilltakeintoaccountvariablessuchashostcountrycontext,thescaleandcomplexityofprojectimpactsaswellasthoseofprojectperformancebeyondthelevelrequiredinthePolicy.TheseGuidelinesprovidehelpfulreferencesandtools

1TheBoard,throughdecisionB.07/02,paragraphc,adoptedtheIFCperformancestandardsastheGCFinterimESSstandardsuntilthedevelopmentofGCFstandards.

2TheseguidelineshavebeenindependentlypreparedbyGCF,usingasreferenceandguidancethe“InternationalFinanceCorporation’sGuidanceNotes:PerformanceStandardsonEnvironmentalandSocialSustainability”,specificallyforPS7.GCFrecognizesthattheIFCbearsnoresponsibilityfortheseguidelinesortheiruseintheapplicationoftheGCFIndigenousPeoplesPolicy.

3InternationalFinanceCorporation.2012.GuidanceNote7IndigenousPeoples.Availableat<https://www.ifc.org/wps/wcm/connect/topics_ext_content/ifc_external_corporate_site/sustainability-at-ifc/publications/publications_policy_gn-2012>.

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forimplementingthePolicybutdonotsubstituteforthesoundjudgmentanddiscretionusedbytheaccreditedentitiesandGCFtomakeprojectdecisionsconsistentwiththePolicy.

10. GCFwillupdatetheseguidelinesperiodicallytoreflectanylessonslearnedinimplementingthePolicyaswellasemergingsector-widegoodpracticesandupdatestothereferencedmaterials.

II. OverviewoftheGreenClimateFundIndigenousPeoplesPolicy

11. TheGCFIndigenousPeoplesPolicyaimstoputinplaceaprocessandrequirementsforensuringthatGCFactivitiesaredevelopedandimplementedinsuchawaythatfostersfullrespectforandtheactiveprotectionandpromotionofindigenouspeoples’dignity,rights,identities,aspirations,naturalresource-basedlivelihoods,autonomy,protagonismandculturaluniqueness.ThePolicy’sguidingprinciplesbuilduponexistingand/orproposedGCFpoliciesaswellasinternationalstandards.

12. ThePolicyaimstoassistGCFinincorporatingconsiderationsrelatedtoindigenouspeoplesinitsdecision-makingwhileworkingtowardsthegoalsofclimatechangemitigationandadaptation.ItallowsGCFtoexamine,control,eliminateandreducetheadverseimpactsofitsactivitiesonindigenouspeoplesinaconsistentwayandtoimproveoutcomesovertime.ThePolicyhasbeendevelopedwiththeparticipationandsupportofawiderangeofindigenouspeoplesorganizations.

13. TheoverallobjectiveofthePolicyistoprovideaframeworkforensuringthatGCFactivitiesaredevelopedandimplementedinsuchawaythattheyfosterfullrespectforindigenouspeoples’andtheirmembers’dignity,humanrightsandculturaluniquenesssothatthey(a)benefitfromGCFactivitiesandprojectsinaculturallyappropriatemanner,and(b)donotsufferharmoradverseeffectsfromthedesignandimplementationofGCF-financedactivities.

14. ThePolicyfollowsastructurethatisconsistentwithothersimilarmultilateralinstitutions.ItrepresentstheevolutionofthewayGCFhastakenintoconsiderationindigenouspeoples,anditsupplementstherelevantESSstandards.Italsotakesintoaccountdevelopmentsinothermultilateraldevelopmentbanksandinternationalfinancialinstitutionssince2012whentheIFCperformancestandardswereadoptedbytheBoard.ThegoalisneverthelessforthePolicytoconstitutebestinternationalpractice.

15. ThePolicycentersaroundarigorousFPICprocess.AnFPICprocessisiterative,requiringindigenouspeoples'consentbeforeanyGCFactivityisundertakenonthebasisoftheirownindependentdeliberations,andbasedonadequateinformationprovidedinamannerthatisunderstoodbyindigenouspeoples.FPICaimstoensurethatindigenouspeoplesarefullyinformed,consultedabout,andprovidedadequateandlegitimateopportunitiestoopposeoractivelyparticipateinprojectdesignandprojectimplementationarrangements.

16. Wherepotentialimpactsonindigenouspeopleshavebeenidentified,accreditedentities,inconsultationwithindigenouspeoples,willprepareanIPPor,ifspecificactivitiesorlocationshavenotyetbeendetermined,anIPPF.Thescopeandscaleoftheplanorframeworkwillbeproportionatetothepotentialrisksandimpactsoftheproject.

17. ThePolicyalsoprovidestailoredstandardsforindigenouspeoplesforinformationdisclosure,stakeholderengagement,redress,capacity-buildingandpromotingaccesstoGCFactivities.

18. ThestructureandcontentsofthePolicybuildupontheexistingGCFESSstandards,thedraftESMSandotherrelevantpoliciesofGCF,andtheyreflectthelessonslearnedandexperiencesofotherinstitutionsinimplementingindigenouspeoplespolicies.

19. ThePolicyisstructuredasfollows:

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(a) Introductionandrationale,whichoutlinethecontext,mandateandreasonsforthePolicy;

(b) Policyobjectives,whichidentifywhatthePolicyintendstoachieveandarealignedwiththeinstitutionalmandateofGCF,aswellastheobjectivesofotherrelevantpoliciesandgovernanceframeworks,suchastheESMS;

(c) Scopeofapplication,whichoutlinestheapplicabilityofthecommitmentsoutlinedinthePolicy;

(d) Guidingprinciples,whichdescribetheprinciplesadheredtobyGCFthatwillguideitinachievingtheobjectivesofthePolicy.TheseprinciplesincludethosedescribedintheGoverningInstrumentfortheGCFandthoseelaboratedintheGCFESMS,interimGCFESSstandardsandtheotherrelevantGCFpolicies;

(e) Overviewofrolesandresponsibilities,whichprimarilydescribestheroleofGCFandofaccreditedentitiesastheprincipalorganizationsresponsibleforimplementingthePolicy;

(f) Requirements,whichisthecentralsectionofthePolicyanddescribetherequirementsforkeymeasurestobeundertakentoachievetheobjectivesandprinciplesofthePolicy,includingthecriteriaforeffectiveengagementofindigenouspeoples,specificcircumstancesrequiringFPICandspecificelementstobeincludedintherelevantgrievancemechanisms;

(g) Implementationarrangements,whichdescribetheroles,responsibilitiesandtheinstitutionalarrangementsbetweenGCF,accreditedentitiesandotherstakeholdersinachievingtheobjectivesandrequirementsofthePolicy.TheselargelybuildupontheexistingbusinessmodelandprojectcycleofGCF.ThesectionoutlinesadditionalmeasuresnecessarytoensurethePolicyisproperlyimplementedandachievesitsobjectives,includingperiodicassessmentsoftheimplementationofthePolicy,complementarytotheESMSprocess,andtheestablishmentofanindigenouspeoplesadvisorybodyandindigenouspeoplesfocalpointintheSecretariat;and

(h) Effectivedateandreview,whichdefinestheeffectivedateandthereviewofthePolicy.

20. TheseguidelineshavebeenorganizedtofollowthestructureofthePolicyandshouldbereadinconjunctionwithit.ReferencestothespecificsectionsorparagraphsofthePolicyprecedeorareotherwiseincludedintheexplanatorynotes.

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OperationalGuidelinesoftheGCFIndigenousPeoplesPolicy

I. Background

The notes below clarify sections I to III of the GCF Indigenous Peoples Policy (hereinafter referred to as “the Policy”) in relation to the rationale and objectives of the Policy.

1. TheGCFrecognizesthatkeyUnitedNationshumanrightsinstrumentsformthecoreofinternationalinstrumentsthatprovidetherightsframeworkformembersoftheworld'sindigenouspeoples.ThefollowingisalistofUnitedNationsinstrumentsthatarerelevanttoindigenouspeoples’issues:

(a) ConventionagainstTortureandOtherCruel,InhumanorDegradingTreatmentorPunishment;

(b) ConventionontheEliminationofAllFormsofDiscriminationagainstWomen;

(c) ConventionontheRightsoftheChild;

(d) InternationalCovenantonCivilandPoliticalRights;

(e) InternationalCovenantonEconomic,SocialandCulturalRights;

(f) InternationalConventionontheEliminationofAllFormsofRacialDiscrimination;and

(g) InternationalLabourOrganizationConventionConcerningIndigenousandTribalPeoples(No.169);and

(h) UnitedNationsDeclarationontheRightsofIndigenousPeoples.

2. WhilesuchinstrumentsaddresstheresponsibilitiesofStates,itisincreasinglyexpectedthatotherstakeholders,suchastheGCF,otherdonors,co-financiersandprivateactorsconducttheiraffairsinawaythatwouldrespecttheserightsandnotinterferewithStates’obligationsundertheseinstruments.ItisinrecognitionofthisemergingnormativeenvironmentthatGCFprojectsareincreasinglyexpectedtofosterfullrespectforhumanrights,dignity,aspirations,traditionalknowledge,cultures,customaryinstitutionsandlivelihoodsofindigenouspeoples.

3. TheobjectivesofthePolicyunderscoretheneedtoavoidadverseprojectimpactsonindigenouspeopleslivingintheproject’sareaofinfluence,or,whereavoidanceisnotfeasible,tominimizeand/orcompensatefortheseimpactsinamannercommensuratewiththescaleofprojectrisksandimpacts,thevulnerabilityofindigenouspeoples,andthroughmechanismsthataretailoredtotheirspecificcharacteristicsandexpressedneeds.ThePolicyalsoprovidesaframeworkforGCFtoensureindigenouspeoplesbenefitfromGCFactivitiesandrecognizethecontributionsofindigenouspeoplesinachievingtransformativeclimateaction,includingthroughtheirknowledge.

4. Accreditedentities,includingthroughtheirexecutingentities,governmentsandindigenouspeoples,shouldestablishanongoingrelationshipthroughoutthelifeoftheproject.Tothisend,thePolicyrequiresaccreditedentitiestoengageinaprocessofmeaningfulconsultation(seealsosection3.2oftheseguidelines).Inthespecialcircumstancesdescribedinsection7.2ofthePolicy,theaccreditedentities’engagementprocesswillensuretheFPICofindigenouspeoplesasoutlinedinparagraphs54and55ofthePolicy.Thismeaningisfurtherelaboratedinparagraphs24-26oftheseguidelines.Takingintoaccountindigenouspeoples’understandingofthechangesbroughtaboutbyaprojecthelpstoidentifybothpositiveandnegativeprojectimpacts.Similarly,theeffectivenessofimpactavoidance,mitigationandcompensationmeasuresisenhancedifindigenouspeoples’viewsonmattersthataffectthemaretakenintoconsiderationandformpartoftheprojectdecision-makingprocesses.

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II. ApplicationoftheIndigenousPeoplesPolicy

The notes below further explain the scope of applications of the Policy as described in section IV therein. In particular, the notes clarify the various definitions of indigenous peoples and the circumstances of GCF-financed activities that will have to be met under the Policy requirements.

5. Indigenouspeopleshaveemergedasadistinctgroupunderinternationallawandinthenationallegislationofmanycountries.Thereisnointernationallyaccepteddefinitionofindigenouspeoples,anditisanevolvingterm.Further,thetermindigenousmayalsobeconsideredtobesensitiveincertaincircumstances.Forthisreason,thePolicyrecognizesthatvarioustermssuchasindigenousethnicminorities,minoritynationalities,firstnationsortribalgroupsmayalsobeusedtoidentifyindigenouspeoples(seealsoparagraph16ofthePolicy).Accordingly,forthepurposesofthePolicy,applicabilityisdeterminedonthebasisofthefourcharacteristicspresentedinparagraph14therein.

6. JudgmentwillneedtobeexercisedinapplyingthecharacteristicstodeterminewhetheragrouporcommunitiesshouldbeconsideredindigenousforthepurposeofthePolicy.Inmakingthisdetermination,theaccreditedentity,includingthroughitsexecutingentity,shouldundertakeanumberofactivities,includinginvestigationoftheapplicablenationallawsandregulations(includingobligationsreflectinghostcountryobligationsunderinternationallaw),archivalresearch,ethnographicresearch(includingdocumentationofculture,customs,institutions,customarylaws,languages,etc.)andparticipatoryappraisalapproacheswiththegroup.BothlegalrecognitionandprecedentsinrecognitionofagrouporcommunityasindigenousshouldbegivendueconsiderationbutarenotdeterminingfactorsfortriggeringthePolicy.Competentexpertsshouldberetainedtoassistinthiswork.

7. ThePolicyrecognizesthatdifferentterms,includingthoselistedinparagraph16,canbeusedtorefertoagroupidentifiedinaccordancewiththecriteriasetoutinparagraph14,15and17ofthePolicy.

8. GCFdeterminesthefinalapplicabilityofthePolicy.Indoingso,GCFundertakesascreeninginaccordancewithparagraphs14,15,16and17ofthePolicy.

9. Whendeterminingcollectiveattachment,oneofthefourcharacteristicspresentedinparagraph14ofthePolicy,considerationisgiventothefactthatsuchgroupsliveundermanydifferentcircumstanceswithvaryinglevelsofattachmenttotheareasinwhichtheylive.“collectiveattachment”signifiesthatthegroupsgenerallyconsidertheirlandsandresourcestobecollectiveassetsinterlinkedwiththeircultureandidentity.Italsosignifiesthatthesegroups’livelihoods,economies,modesofproduction,socialorganizationandculturalandspiritualcircumstancesaregenerallylinkedtoparticularterritoriesandnaturalresources.Collectiveattachmentmaybeheldovergeographicallydistincthabitats,ancestralterritories,areasofseasonaluseoroccupationandthenaturalresourcestherein,and,therefore,groupswithcollectiveattachmentmayinclude:

(a) Groupsresidentuponthelandsorwatersaffectedbytheproject.Thiscouldalsoincludethosewhoarenomadicorwhoseasonallymigrate,andwhoseattachmenttotheareaaffectedbytheprojectmaybeperiodicorseasonalinnature;

(b) Groupsthatdonotliveonthelandsaffectedbytheprojectbutwhoretaintiestothoselandsthroughtraditionalownershipand/orcustomaryusage,includingseasonalorcyclicaluse,andculturalorspiritualattachment;

(c) Groupsthathavelostcollectiveattachmenttolandsandterritoriesaffectedbytheprojectbecauseofforcedseverance,conflict,involuntaryresettlementprogrammesbygovernments,dispossessionfromtheirlands,naturalcalamitiesorincorporationintoanurbanarea;

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(d) Groupsthatresideinmixedsettlementsintheareaaffectedbytheproject,suchthattheyonlyformonepartofthebroadercommunity;or

(e) Groupswithcollectiveattachmenttoproject-affectedancestrallandslocatedinurbanareas.

10. Indigenouspeoplesmaydisplaysomedegreeofcultural,economic,socialorpoliticalinstitutionaldistinctivenessthatdefinesdifferencesbetweenthemandmainstreamsocietyintheareaorcountry.Theirculturesandtraditionsaredynamicandresponsivetotherealitiesandneedsoftheirtimeand,asaresult,theypresentavastspectrumofdifferentiatedinstitutionsandorganizationalforms.Sinceindigenouspeoplesmayalsobeinfluencedbydevelopmentsaroundthem,theirevolvingculturalinstitutions–dueperhapstoculturaladaptations,technologicalprogress,andparticipationinwage-labourmarkets–wouldnotnecessarilydisqualifythemfromindigenouspeoplesstatus.

11. Thereisnohierarchytothefourcharacteristics,andthatallofthemneedtobepresentinvaryingdegrees.“Varyingdegrees”reflectsthefactthatsomecharacteristicsmaybelessevidentforsomegroupsorcommunitiesthroughintegrationintothebroadersocietyoreconomy,sometimesasaresultofgovernmentpolicy.Moreover,giventhevaryingcontextsandcharacteristicsofindigenouspeoplestoday,agroupmaypossessdefiningcharacteristicsandtherebybecoveredbythePolicyinoneregion,butitmaybemorefullyintegratedandlackthedefiningcharacteristicsinanotherregionofthesamecountryorinaneighboringcountry.Thecollectiveattachmentofgroupstotheirtraditionalterritories,forexample,mayhavebeenforciblyseveredduetogovernmentresettlementprogrammes,conflictornaturaldisasters.Somegroupsmaynolongerspeaktheirownlanguage,oritmaybespokenbyonlyafewcommunitymembers.Theroleoftraditionalinstitutionsmayalsobeerodingorhavebeenreplacedbyofficialadministrativestructures.Subjecttothetemporallimitationrelatingtocollectiveattachmentreferredtoinparagraph17ofthePolicy,thesefactorsalonedonotdisqualifygroupsfrombeingcoveredunderthePolicybutareassessedinthefinaldeterminationmadebyGCF.

12. ThePolicyisapplicabletoindigenouspeopleswho,byvirtueoftheireconomic,socialandlegalstatusand/ortheirinstitutions,custom,cultureand/orlanguagemaybecharacterizedasdistinctfrommainstreamsocietyandwhomaybedisadvantagedinthedevelopmentprocessasaresultoftheiridentity.Projectsaffectingindigenouspeopleswhoarepartofalargerregionalpopulationofindigenouspeoples,orwhoaresubstantiallyintegratedwithmainstreamsociety,arestillrequiredtomeettherequirementsofthePolicy.However,inthesecases,themitigationmeasures(asdescribedinsubsequentsections)shouldbetailoredtothespecificcircumstancesofindigenouspeoples.

13. Othergroupsaffectedeconomically,sociallyorenvironmentallybyprojectimpactsareaddressedthroughtheenvironmentalandsocialrisksandimpactassessmentprocessesandbythemanagementofenvironmentalandsocialimpactssetoutintheGCFESMSandtheEnvironmentalandSocialPolicy.

14. Theengagementofappropriatespecialists,includingfromindigenouspeoplesthemselves,toprovidetechnicaladviceandassistanceregardingtheapplicationofthePolicyisimportant,forexample,whentherearecircumstancesorvulnerabilitiesofindigenouspeoples,ornationallegislationandgeneralsocio-economicdataonlyprovidegeneralinformationratherthanspecificdataregardingthegroupsthatmaybepresent.Thespecialistsshouldhaveprovenfamiliaritywithsocialscienceresearchmethods,extensiveknowledgeandworkingexperiencewiththeconcernedindigenouspeoplesandtheirissues,andinthecountryorregion.Projectsaffectingindigenouspeoplesmayalsobenefitfromongoinginputfromappropriatespecialists,forexample,inassistinganunderstandingofthecharacteristics,issuesandprioritiesofindigenouspeoples,theirgovernancestructuresanddecision-makingprocesses.

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III. Requirements

The notes below further explain the requirements of the Policy as outlined in sections V to VII, particularly in relation to the general requirements of GCF-financed activities, alignment with environmental and social risk management measures, roles and responsibilities in meeting the requirements of the policies, and the assessment and management instruments, such as the IPP and IPPF required for the GCF-financed activities. This section and all its subsections have been substantially sourced, with permission, from the International Finance Corporation’s “Guidance Notes: Performance Standards on Environmental and Social Sustainability”.4

15. Thescreeningphaseoftheenvironmentalandsocialrisksandimpactsassessmentprocessshouldidentifytheexistenceofindigenouspeoplesintheproject’sareaofinfluencethatmaybepotentiallyaffectedbytheaccreditedentity’sproject.Ifthescreeningidentifiesindigenouspeoples,furtheranalysisshouldbeundertaken,usingparticipatorymethodologies,tocollectbaselinedataonthosecommunities,coveringkeyaspectsthatmaybeimpactedbytheproject.Theanalysisshouldalsoidentifytheimpactsandpotentialbenefitsoftheprojecttoindigenouspeoplesandconsiderwaystoenhancethem,andthepotentialcontributionsofindigenouspeoplestotransformativeclimateaction.

16. Thebreadth,depth,andtypeofassessmentshouldbeproportionaltothenatureandscaleoftheproposedproject’spotentialimpactsonindigenouspeoplesandthevulnerabilityofindigenouspeoples.

17. Akeyaspectoftheassessmentisunderstandingtherelativevulnerabilitiesoftheaffectedindigenouspeoples,howtheprojectmayaffectthemandhowtheprojectmayenhancetheirroleincontributingtotransformativeclimateaction.Thereneedstobeaparticipatoryprocesstodefinevulnerabilityanditscriteria,suchasaquestionnaireorothertoolsdevelopedinsuchawaythatisunderstoodandusablebycommunities.Trainingfortrainers’sessionstousethetoolsshouldalsobeenvisaged.Theanalysisofvulnerabilitywillincludeconsiderationofindigenouspeoples’:

(a) Economic,socialandlegalstatus;

(b) Status,includingundernationalandcustomarylaw,ofthelands,territoriesandresourcestowhichtheyhavecollectiveattachment;

(c) Institutions,customs,cultureand/orlanguage;

(d) Dependenceonnaturalresources,includingthroughcustomaryandtraditionallivelihoods;and

(e) Pastandongoingrelationshiptodominantgroupsandthemainstreameconomy.

18. Inputsfromqualifiedspecialistsandaccompanyingmeaningfulconsultations(seesection3.2oftheseguidelines)withindigenouspeoplesareimportanttoinformandsupporttheassessment.Theassessmentalsoevaluatesthecapacityoftheaccreditedentitytoinvolveindigenouspeoplesinprojectdesignandimplementation.Consultationscontinuethroughoutprojectdesignandimplementation.

19. Incertaincircumstances,projectbenefits,suchasenhancingaccesstoroads,healthcare,andeducation,canhaveunintendedadverseimpactsonindigenouspeoplesduetotheirparticularcircumstancesorvulnerabilities.Theseimpactsmayincludelossoflanguageandculturalnorms,underminingoftraditionalgovernancestructures,thecreationofinternalconflict,increasedpressuresandencroachmentonlands,andpressuresonorcontaminationof

4FromInternationalFinanceCorporation.2012.GuidanceNote7IndigenousPeoples.Availableat<https://www.ifc.org/wps/wcm/connect/topics_ext_content/ifc_external_corporate_site/sustainability-at-ifc/publications/publications_policy_gn-2012>.Reprintedbypermission.GCFrecognizesthattheIFCbearsnoresponsibilityfortheseguidelinesortheiruseintheapplicationoftheGCFIndigenousPeoplesPolicy.

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naturalresources.Theassessment,usingparticipatorymethodologies,identifiesthepotentialfor,andscaleof,suchadverseimpactsandwaystoavoid,mitigateorcompensatefortheseimpacts.

20. Indigenouspeoplesmaybeheterogeneousandmaycomprisemultiplegroupsanddifferentsocialunitswithinthesegroups(suchasindividuals,clans,communities,andethnicgroups).Projectsmaybeimplementedatnational,regionalorlocallevels,andissuesofculturalidentity,geographicaccess,language,governancestructures,cohesionandprioritiesmaydiffergreatlybetweengroups.Projectsalsomayhavedifferentimpactsondifferentsubgroupswithinacommunity.Forexample,landforaprojectmaybeacquiredfromoneclan,butsuchacquisitioncouldimpactotherclans’traditionalaccesstoanduseofsuchlandandtheresourceslocatedonit.Thesocialassessmentformsthebasisforidentifyingthedifferentgroupsandunderstandingthenatureandsignificanceofpotentialimpactsoneachofthem.

21. Projectscanadverselyimpactindigenouspeoples’identity,naturalresource-basedlivelihoods,foodsecurity,andculturalsurvival.Forthesereasons,accreditedentitiesshouldavoidsuchimpactsandinsteadexploreviablealternativeprojectdesignsinconsultationandwiththeparticipationofindigenouspeoples,andseektheadviceofcompetentexpertsinanefforttoavoidsuchimpacts.

22. Ifadverseimpactsareunavoidable,andindigenouspeopleshavegiventheirconsenttotheproject,accreditedentitieswillminimizeand/orcompensatefortheseimpactsinamannercommensuratewiththenatureandscaleofimpactsandthevulnerabilityofindigenouspeoplesandinagender-responsiveandculturallyappropriatemanneracceptabletoindigenouspeoplesaffected.Accreditedentities,includingthroughtheirexecutingentities,shouldworkwithindigenouspeoplestoprepareanIPPoutliningtheactionstoavoid,minimizeand/orcompensateforadverseimpactsinaculturallyappropriatemanner.Dependingonlocalcircumstances,astandaloneIPPmaybeprepared,oritmaybeacomponentofabroadercommunitydevelopmentplanwhereindigenouspeoplesexistinthesameareawithothersimilarlyaffectedcommunitiesorwhereindigenouspeoplesareintegratedwithinalargeraffectedpopulation.Theplanshoulddetailactionstoavert,minimizeand/orcompensateforadversesocialandeconomicimpacts.Theplanshouldalsoidentifyopportunitiesandactionstoenhancethepositiveimpactsoftheprojectonindigenouspeoples.Whereappropriate,theplanmayalsoincludemeasurestosupportindigenouspeoples’engagementintheconservationandsustainablemanagementofthenaturalresourcesonwhichindigenouspeoplesdependormeasuresbytheprojecttomanagelandusagebyindigenouspeoples.Theplanshouldincludeaclearstatementofrolesandresponsibilities,fundingandresourceinputs,atime-boundscheduleofactivities,andabudget.

23. TheIPPispreparedinaflexibleandpragmaticmanner,anditslevelofdetailvariesdependingonthespecificprojectandthenatureoftheeffectstobeaddressed.Ingeneral,andwhereappropriate,anIPPshouldincludethefollowingelements:

(a) Baselineinformation.Summarizerelevantbaselineinformationthatclearlyprofilesindigenouspeoples,includingindigenouswomen,theircircumstancesandlivelihoods,withdescriptionsandquantificationsofthenaturalresourcesuponwhichindigenouspeoplesdepend.Includethemethodologyandreferencesthatdescribehowthisbaselineinformationwasobtained,preferablyfromindependentandparticipatoryenvironmentalandsocialrisksandimpactsassessmentprocesses;

(b) Keyfindingsandanalysisofimpacts,risksandopportunities.Summarizekeyfindings,analysisofimpacts,risksandopportunitiesandrecommendedpossiblemeasurestoavertormitigateadverseimpacts,enhancepositiveimpacts,conserveandmanagetheirnaturalresourcebaseonasustainablebasisandachievesustainablecommunitydevelopmentinlinewiththeirplans;

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(c) Measurestoavoid,minimizeandmitigatenegativeimpactsandenhancepositiveimpactsandopportunities.Clearlydescribethemeasuresagreedtointheprocessofinformationdisclosure,consultationandinformedparticipationtoavoid,minimizeandmitigatepotentialadverseeffectsonindigenouspeoples,andtoenhancepositiveimpacts.Includeappropriateactiontimesthatdetailthemeasurestobetaken,theresponsibilitiesandagreedschedules,includingforimplementation(who,how,whereandwhen).Wheneverfeasible,avoidanceorpreventativemeasuresshouldbegivenprimacyovermitigatoryorcompensatorymeasures;

(d) Community-basednaturalresourcemanagement.Whereapplicable,focusonthemeanstoensurethecontinuationoflivelihoodactivitieskeytothesurvivalofthesecommunitiesandtheirtraditionalandculturalpractices.Suchlivelihoodactivitiesmayincludegrazing,hunting,gatheringorartisanalfishing.Thiscomponentclearlysetsouthowthenaturalresourcesuponwhichindigenouspeoplesdepend,andthegeographicallydistinctareasandhabitatsinwhichtheyarelocated,willbeconserved,managedandutilizedonasustainablebasis;

(e) Resultofconsultations(duringtheenvironmentalandsocialrisksandimpactsassessmentprocess),theFPICandfutureengagementplans.Describetheprocessofinformationdisclosure,consultationandinformedparticipationandwhererelevanttheFPICprocess,includinggoodfaithnegotiationsanddocumentedagreementswithindigenouspeoples,andhowissuesraisedhavebeenaddressed.Theconsultationframeworkforfutureengagementshouldclearlydescribetheprocessforongoingconsultationswith,andparticipationbyindigenouspeoples(includingwomenandmen),intheprocessofimplementingandoperatingtheproject;

(f) Benefitsharingplans.Clearlydescribemeasurestoenableindigenouspeoplestotakeadvantageofopportunitiesbroughtaboutbytheproject,andtoconserveandmanageonasustainablebasistheutilizationoftheuniquenaturalresourcebaseuponwhichtheydepend.Suchopportunitiesshouldbeculturallyappropriate;

(g) Tenurearrangements.Describewhohasrightsoverthetargetedprojectland,bothinStatelawsandundercustomarylaw,andhowthelegalstatusofthelandwillchangeundertheprojectandwhateffectthishasonrights-holders;

(h) Grievanceredressmechanism.Describeappropriateprocedurestoaddressgrievancesbyindigenouspeoplesarisingfromprojectimplementationandoperation.Whendesigningthegrievanceredressmechanismandprocedures,theavailabilityofjudicialrecourseandcustomarydisputesettlementmechanismsamongindigenouspeopleswillbetakenintoaccount.Indigenouswomenandmenmustbeinformedoftheirrightsandthepossibilitiesofadministrativeandlegalrecourseorremedies,andanylegalaidavailabletoassistthemaspartoftheprocessofconsultationandinformedparticipation.Thegrievancemechanismshouldbereadilyaccessibletoindigenouspeoples,includingbeingabletoengagewithindigenouspeoplesinalanguageandmodemostcomfortabletothem.Thegrievanceredressmechanismshouldensureanonymity;provideforfair,transparentandtimelyredressofgrievanceswithoutcoststothosewhoraisegrievances;and,ifnecessary,provideforspecialaccommodationsforwomen,youthandtheelderly,andothervulnerablegroupswithinthecommunity,tomaketheircomplaints;

(i) Costs,budget,timetable,organizationalresponsibilities.Includeanappropriatesummaryofthecostsofimplementation,budgetandresponsibilityforfundingaswellasthetimingofexpenditureandorganizationalresponsibilitiesinmanagingandadministeringprojectfundsandexpenditures;and

(j) Monitoring,evaluationandreporting.Describemonitoring,evaluationandreportingmechanisms,includingresponsibilities,frequencies,feedbackandcorrectiveaction

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processes.Monitoringandevaluationmechanismsshouldincludearrangementsforongoinginformationdisclosure,consultationandinformedparticipationwithindigenouspeoples(bothwomenandmen)andfortheimplementationandfundingofanycorrectiveactionsidentifiedintheevaluationprocess.Participatorymonitoringsuchascommunity-basedmonitoringandinformationsystemsshouldbeconsideredandsupported.

24. Wheretheactivitiesconsistofprojectsorsubprojectswhereindigenouspeoplesmaybepresent,anIPPFwillhavetobeprepared.ThepurposeoftheIPPFistoclarifytheprinciples,organizationalarrangementsanddesigncriteriatobeappliedtosubprojectsorprojectcomponentstobepreparedduringprojectimplementationwhenindigenouspeoplesmaybepresentinorhaveacollectiveattachmenttotheprojectarea.Followingidentificationofthesubprojectorindividualprojectcomponentsandconfirmationthatindigenouspeoplesarepresentinorhaveacollectiveattachmenttotheprojectarea,aspecificIPP,proportionatetopotentialrisksandimpacts,isprepared.ProjectactivitiesthatmayaffectindigenouspeoplesmustnotcommenceuntilsuchspecificplansarefinalizedandapprovedbyGCF.TheIPPFsetsout:

(a) Thetypesofsubprojectslikelytobeproposedforfinancingundertheproject;

(b) Thepotentialpositiveandadverseimpactsofsuchprogrammesorsubprojectsonindigenouspeoples;

(c) Aplanforcarryingouttheassessmentforsuchprogrammesorsubprojects;

(d) Aframeworkforensuringthemeaningfulconsultation(seesection3.2)tailoredtoindigenouspeoplesand,inthespecifiedcircumstances,aframeworkforensuringtheirFPIC;

(e) Institutionalarrangements,includingcapacity-buildingwherenecessary,forscreeningproject-supportedactivities,evaluatingtheireffectsonindigenouspeoples,preparingIPPsandaddressinganygrievances;

(f) Monitoringandreportingarrangements,includingmechanismsandbenchmarksappropriatetotheproject;and

(g) DisclosurearrangementsforIPPstobepreparedasspecifiedintheIPPF.

25. Wherethegovernmenthasadefinedroleinthemanagementofindigenouspeoples’issuesinrelationtotheproject,theaccreditedentity,includingthroughitsexecutingentity,willcollaboratewiththeresponsiblegovernmentagencytoachieveoutcomesthatareconsistentwiththeobjectivesofthePolicyandanyotherrelevantGCFpolicies.Inaddition,wheregovernmentcapacityislimited,theaccreditedentity,includingthroughitsexecutingentity,willplayanactiveroleduringtheplanning,implementationandmonitoringofactivitiestotheextentpermittedbytheagency.

26. TheaccreditedentitywillincludeinformationaspartoftheIPPorIPPFthat,togetherwiththedocumentspreparedbytheresponsiblegovernmentagency,willaddresstherelevantrequirementsofthePolicy.Thesemayinclude:

(a) Theplan,implementationanddocumentationoftheprocessofinformedconsultationandengagementaswellasFPIC,whererelevant;

(b) Adescriptionofthegovernment-providedentitlementsofaffectedindigenouspeoples;

(c) Themeasuresproposedtobridgeanygapsbetweensuchentitlementsandtherequirementsoftheseguidelines;and

(d) Thefinancialandimplementationresponsibilitiesofthegovernmentagencyand/ortheaccreditedentity.

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27. Governmentlegislationandregulationsmaydefineresponsibilitiesforthemanagementofindigenouspeoples’issuesandconstraintheroleandresponsibilitiesoftheaccreditedentitywithregardtothemanagementofadverseimpactsonindigenouspeoples.Furthermore,governmentlegislationandregulationsmaybeinconsistentwiththerequirementsofthePolicyandtherebylimitanaccreditedentity’sscopetoimplementtherequiredprocessesandachievetheintendedoutcomesofthePolicy.Insuchcircumstances,accreditedentitiesshouldseekwaystocomplywiththerequirementsandtoachievetheobjectivesofthePolicy,withoutcontraveningapplicablelawsandobligationsoftheStatedirectlyapplicabletotheactivitiesunderrelevantinternationaltreatiesandagreements.Accreditedentitiesincludingthroughtheirexecutingentity,shouldoffertoplayanactiveroleduringthepreparation,implementationandmonitoringoftheprocessesandshouldcoordinatewiththerelevantgovernmentauthoritiesthoseaspectsoftheprocessesthatcanbefacilitatedmoreefficientlybytheaccreditedentityorotheragentssuchasrelevantindividualexpertsorcivilsocietyorganizations(CSOs).IftherequirementsofthisPolicycannotbemetormaintained,thentheaccreditedentityisrequiredtoamendtheproposaloractivitysothattheactivityisnotcontraveningthePolicy.

28. Undercertaincircumstances,aprojectmaybeprovidedwithunoccupiedlandfortheproject,unencumberedbyanycurrentclaims,byagovernmentagencyorotherauthority.Iflandclearanceorpreparationhasoccurredinanticipationoftheproject,butnotimmediatelyprecedingprojectimplementation,theaccreditedentityshouldmakeadeterminationastowhethertheprocessofsecuringthelandandanyrequisiteresettlementhasoccurredinamannerconsistentwiththerequirementsofthePolicy(andtherelevantinterimESSstandardonLandAcquisitionandInvoluntaryResettlement)and,ifnot,ifanycorrectiveactionisfeasibletoaddressthesituation.Undersuchcircumstances,thefollowingfactorsshouldbeconsidered:

(a) Thelengthoftheinterveningperiodbetweenlandacquisitionandprojectimplementation;

(b) Theprocess,lawsandactionsbywhichthelandacquisitionandresettlementwascarriedout;

(c) Thenumberofpeopleaffectedandthesignificanceoftheimpactoflandacquisition;

(d) Therelationshipbetweenthepartythatinitiatedthelandacquisitionandtheprojectproponents;and

(e) Thecurrentstatusandlocationofthepeopleaffected.

29. Wherecompensationproceduresarenotaddressedundernationallaworpolicy,theaccreditedentity,includingthroughitsexecutingentity,shouldestablishmethodsfordeterminingadequatecompensationandforprovidingittoindigenouspeoplesinaccordancetointernationalbestpractice,inconsultationwithandconsentofindigenouspeoples.

30. Wheretheresponsibleagencywillenabletheaccreditedentitytoparticipateintheongoingmonitoringofaffectedpersons,theaccreditedentity,includingthroughitsexecutingentity,shoulddesignandcarryoutaprogrammeofmonitoringwithparticularattentiontothosewhoarepoorandvulnerablesoastotracktheirstandardsoflivingandeffectivenessofcompensation,resettlementassistanceandlivelihoodrestoration.Theaccreditedentityandtheresponsibleagencyshouldagreetoanappropriateallocationofresponsibilitieswithrespecttocompletionauditsandcorrectiveactions.

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3.1 SpecificcircumstancesofGCF-financedactivities

The notes below clarify the requirements of the Policy in various circumstances of the GCF-financed activities as outlined in sections 7.1.1, 7.1.2, 7.1.3 and 7.1.4 of the Policy. The notes explain further avoidance of adverse impacts as an overall approach to implementing GCF-financed activities and access to mitigation and development benefits.

31. Indigenouspeoplesmaycomprisemultiplegroupsanddifferentsocialunits(e.g.individuals,clans,tribes,etc.).Theprojectmayimpactthesocialunitsindifferentways.Forexample,landtakemayaffectallmembers’accesstoanduseoflandandresourceswhilespecificallyimpactingthelandclaimsofonlyoneclan,aswellasanycurrentuseoftheresources.Theenvironmentalandsocialassessmentshouldidentifyaffectedgroupsandunderstandthenatureofspecificimpacts.

32. WhensituationsariseinwhichGCF-financedactivitiesmaypotentiallyaffectremotegroupswithlimitedexternalcontact,alsoknownaspeoples“involuntaryisolation”,“isolatedpeoples”or“ininitialcontact”,theaccreditedentitieswilltakeallappropriatemeasurestorecognize,respectandprotecttheirlandsandterritories,environment,healthandculture,aswellasmeasurestoavoidallundesiredcontactwiththemasaconsequenceoftheGCF-financedactivities.TheaspectsoftheGCFfinancedactivitiesthatwouldresultinsuchundesiredcontactwillnotbeprocessedfurther.

33. Eligibilityforcompensationmayeitherbeindividualorcollectivelybased,oracombinationofboth.Forexample,withregardtolandandnaturalresources,eligibleindigenouspeoplesmayincludecommunitymemberswithcustomaryrightsofresourceownershipandmanagement,memberswithuserights,andmemberscurrentlyutilizingtheresource.Determinationofeligibilityandtheappropriatestructureandmechanismsforthedeliveryandmanagementofcompensationshouldtakeintoaccount:thelaws,institutions,andcustomsofindigenouspeoples;thedirectandinducedchangesthattheprojectwillbringuponindigenouspeoples,includingchangingrelationswithmainstreamsociety;andinternationalgoodpractice.

34. Theaccreditedentity,includingthroughitsexecutingentityandtogetherwithindigenouspeoples,willdesignappropriatemitigationandcompensationmechanismstoaddressproject-inducedadverseimpacts.Incertaincircumstances,thedeliveryofagreedmitigationandcompensationmaybenefitfromthedevelopmentofthehumanresourcecapacityofindigenouspeoplessoastoensuretheprotection,sustainablemanagement,andcontinueddeliveryofthesebenefits.

35. Wherereplacementlandandresourcesareprovidedtoindigenouspeoples,legallyvalidandsecureformsoflandtenureshouldbeprovided.Allocationoflandtitlesmayoccuronanindividualoracollectivebasisbasedonresultsofthesocialassessment;thelaws,institutionsandcustomsoftheindigenouspeoples;andthedirectandinducedchangesthattheprojectwillbringupontheindigenouspeoples,includingchangingrelationswithmainstreamsociety.

36. Agreedmitigationandcompensationmechanisms(andassociateddevelopmentinterventions)shouldbedocumentedinanagreementanddeliveredasanintegratedprogrammeeitherthroughanIPPoracommunitydevelopmentplan.Thelattermaybemoreappropriatewhereindigenouspeopleslivealongsideotheraffectedgroupswhoarenotindigenousbutsharesimilarvulnerabilitiesandrelatedlivelihoods.

3.2 Meaningfulconsultation

The notes below explain further the requirements for meaningful consultation tailored to indigenous peoples as described in section 7.1.5 of the Policy. The notes provide the essential considerations and approaches for achieving meaningful consultations in the context of the Policy.

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37. EngagementofindigenouspeoplesshouldfollowtheGCF“Sustainabilityguidancenote:DesigningandensuringmeaningfulstakeholderengagementonGCF-financedprojects”.5

38. Theprocessofmeaningfulconsultationwithindigenouspeoplesentailsconsultationthatoccursfreelyandvoluntarily,withoutanyexternalmanipulation,interferenceorcoercion,andwithoutintimidation.Inaddition,indigenouspeoplesshouldhaveaccesstorelevantprojectinformationpriortoanydecisionmakingthatwillaffectthem,inatimely,understandable,andculturallyappropriatemanner,includinginformationonpotentialadverseenvironmentalandsocialimpactsaffectingthemateachstageofprojectimplementation(i.e.designconstruction,operationanddecommissioning).Toachievethisobjective,consultationsshouldtakeplacepriortoandduringprojectplanning.

39. Meaningfulconsultationapproachesshouldbuilduponexistingcustomaryinstitutionsanddecision-makingprocessesutilizedbyindigenouspeoples,andaredesignedtogetherwiththeconcernedcommunities.Thecapacityoftheexistinginstitutionsanddecision-makingprocessestodealwiththewidearrayofnewissuesintroducedbytheGCFactivityshouldbeassessed.Inmanysituations,projectsintroduceissuesthatexistinginstitutionsanddecision-makingprocessesarepoorlyequippedtoaddress.Inadequatecapacityandexperiencemayresultindecisionsandoutcomesthathavedetrimentalconsequencesforindigenouspeoples.Specifically,poorprocesses,decisions,andoutcomesmayleadtochallengestoexistinginstitutions,decision-makingprocesses,andrecognizedleadership,andtodisputesoveragreementsbetweenindigenouspeoplesandtheactivity.Buildingawarenessandcapacitytoaddressissuesthatcanreasonablybepredictedtooccurcanstrengthenbothindigenouspeoplesandprojectagreementswiththem.Suchcapacitybuildingcanbedoneinanumberofways,includingbutnotlimitedtoinvolvingcompetentlocalorganizationssuchascivilsocietyorganizations(CSOs)orgovernmentextensionagencies;contractingwithacademicorresearchorganizationsundertakingappliedoractionresearchinvolvingcommunities;linkingupwithexistingsupportprogrammesforlocalcommunitiesrunbygovernmentorotheragencies;andprovidingresourcesandtechnicalsupportforlocalmunicipalauthoritiesinfacilitatingcommunityengagementandstrengthening.Theconcernedcommunitiesmaythemselveshavetheirowncustomaryinstitutions,suggestionsregardingtrustedpartners,andtypesofcapacitybuildingthatcouldbeprioritized.

40. Accreditedentitiesshouldkeepinmindthatthecommunitiesofindigenouspeoplesarenotnecessarilyhomogeneous,andtherecanbedivergentviewsandopinionswithinthem.Experiencedemonstratesthat:theviewsofthetraditionaleldersorleadersmaydifferfromthosewhohavereceivedformaleducation;theviewsoftheelderlymaydifferfromthoseoftheyouth,andtheviewsofmenmaydifferfromwomen.Nonetheless,inmanycases,communityeldersorleaders,whoarenotnecessarilytheelectedofficialsofthesecommunities,playakeyrole.Furthermore,somesegmentsofthecommunitysuchaswomen,youth,andtheelderly,maybemorevulnerabletoprojectimpactsthanothers.Theconsultationshouldtakeintoaccounttheinterestsofthesesegmentsinthecommunitywhilebeingcognizantoftraditionalculturalapproachesthatmayexcludesegmentsofthecommunityfromthedecision-makingprocess.

41. Themeaningfulconsultationprocesseswithandwithinindigenouspeopleswillfrequentlyspananextendedperiodoftime.Providingadequateinformationtothemembersoftheindigenouscommunityaboutaproject’spotentialadverseimpactsandproposedminimizationandcompensationmeasuresmayinvolveaniterativeprocessinvolvingvarioussegmentsofthecommunity.Thus:

(a) Consultationshouldstartasearlyaspossibleintherisksandimpactsassessmentprocess;

5Availableat<https://www.greenclimate.fund/documents/meaningful-stakeholder-engagement>.

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(b) Anyengagementprocessesshouldaimtoensurethattheconcernedindigenouspeoplesareawareofandunderstandtherisksandimpactsassociatedwithprojectdevelopment;

(c) Informationshouldbemadeavailableinanunderstandableformat,usingindigenouslanguagesandoralcommunication,suchasaudiovisual,whereappropriate;

(d) Thecommunitiesshouldhavesufficienttimeforconsensusbuildinganddevelopingresponsestoprojectissuesthatimpacttheirlivesandlivelihoods;and

(e) Accreditedentitiesshouldallocatesufficienttimeandresourcestofullyconsiderandaddressindigenouspeoples’concernsandsuggestions.

42. AssessmentofthecapacityofindigenouspeoplestoengageinaprocessofmeaningfulconsultationisanimportantrequisitetotheGCFrequirementsonengagement.Theaccreditedentitymayconsidereffectivecommunicationandcapacity-buildingprogrammestoenhancetheeffectivenessofthemeaningfulconsultationprocesswithindigenouspeoplesandtheirinformedparticipationinkeyaspectsoftheproject.Forexample,theaccreditedentityincludingthroughitsexecutingentity,should:

(a) Seektheactiveparticipationofindigenouspeoplesthroughoutthekeystagesoftherisksandimpactsassessmentprocessonmattersthatpertaintothem;

(b) Provideindigenouspeoplesanopportunitytoassessthepotentialrisksandimpactsassociatedwiththeactivitybyfacilitatingcross-visitstocomparableprojects;

(c) Enableindigenouspeoples’accesstolegalandtechnicaladviceabouttheirrightsandaccreditedentitlementstocompensation,dueprocess,andbenefitsundernationallaw,andenvironmentalimpactsofproposedmeasures;

(d) Ensurethatallviewsareadequatelyrepresentedindecisionmaking;

(e) Facilitateaculturallyappropriatedecision-makingprocesswherenoestablisheddecision-makingprocessorleadershipexists;and

(f) Provideforcapacitybuildingactivitiesprioritizedbyindigenouspeoples,andindigenouspeoples’involvementincludinginparticipatorymonitoringandcommunitydevelopment.

43. Aspartoftheengagementprocess,indigenouspeoplesshouldbeinformedofthedifferentlevelsofgrievanceredressmechanismsavailabletothem(projectlevel,accreditedentityandGCFredressmechanisms).IndigenouspeoplesshallbeinformedthataccessingtheGCFIRMdoesnotrequirepriorengagementwiththeprojectoraccreditedentitygrievancemechanism,thoughtheyshouldalsobeencouragedtoengagewiththeseothermechanisms.

44. Forsuccessfuloutcomestobeachievedforthemutualbenefitofall,itisimportantthatthepartieshaveasharedviewandunderstandingoftheprocessforachievingmeaningfulconsultation.Theseprocessesshouldensurethefull,effectiveandmeaningfulparticipationofindigenouspeoplesindecision-making,focusingonachievingagreementwhilenotconferringvetorightstoindividualsorsub-groups,orrequiringtheaccreditedentitytoagreetoaspectsnotundertheircontrol.Theaccreditedentityincludingthroughitsexecutingentity,andindigenouspeoplesshouldagreeonappropriateengagementandconsultationprocessesasearlyaspossible,commensuratewiththescaleofimpactandvulnerabilityofthecommunities.Thisshouldideallybedonethroughaplanthatidentifiesthelegitimaterepresentativesofindigenouspeoplesinaccordancetoindigenouspeoples’customsandrules,theagreedconsultationprocessandprotocols,thereciprocalresponsibilitiesofpartiestotheengagementprocessandagreedavenuesofrecourseintheeventofimpassesoccurring.Incaseswhereconsultationprotocolshavebeenelaboratedbyindigenouspeoples,theseinstrumentsshouldbeusedinseekingtheirconsent.Whereappropriate,itshouldalsodefinewhatwouldconstituteconsentandtheevidencenecessarytoestablishconsentfromindigenouspeoples.

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Supportfortheagreedprocessfromtheaffectedpopulationshouldberecordedanddocumented.

45. Accreditedentitieshavearesponsibilitytoworkwithindigenouspeoplestoensureameaningfulengagementprocess,includingachievingFPICwhereappropriate.Itisrecognizedthatdifferencesofopinionmayarise,whichinsomecasesmayleadtosetbacksordelaysinreachinganagreement.Attheoutset,thepartiesshouldagreeonreasonabletestsoravenuesofrecoursetobeappliedinsuchsituations.Thismightincludeseekingmediationoradvicefrommutuallyacceptablethirdparties.TheengagementprocessbetweentheaccreditedentityandindigenouspeoplesrequiredinthePolicyandotherrelevantpoliciesoftheGCFisseparatefromproject-relatedprocessesanddecisionsofthegovernment.

46. FurtherguidanceoncommunitydevelopmentprogrammesisprovidedintheGCF“Sustainabilityguidancenote:DesigningandensuringmeaningfulstakeholderengagementonGCF-financedprojects”.6

3.3 Free,priorandinformedconsent

The notes below provide further explanation and clarity on the requirements for FPIC as described in section 7.2 of the Policy. In the context of the Policy, the notes further define FPIC, the circumstances requiring FPIC, application and processes for achieving FPIC, resources, and guidance for assessing FPIC. The notes further clarify the application of FPIC and its requirement in GCF-financed activities in circumstances described in paragraph 48 of these guidelines, particularly where the activities pose impacts on land and natural resources subject to traditional ownership or under customary use or occupation (section 3.3.7 of these guidelines), where activities may lead to relocation of indigenous peoples (section 3.3.8 of these guidelines), and where activities may potentially impact cultural heritage or use cultural heritage of indigenous peoples for commercial purposes (section 3.3.9 of these guidelines)

47. ItisrecognizedthatthedefinitionandpracticesrelatedtoFPICareevolving.FPICcomprisesaprocessandanoutcome.Theprocessbuildsupontherequirementsformeaningfulconsultation(whichincluderequirementsforfree,priorandinformedconsultationandparticipation)andadditionallyrequiresgoodfaithnegotiationbetweentheaccreditedentityandindigenouspeoples.Theoutcome,wherethegoodfaithnegotiationprocessissuccessful,isanagreementandevidencethereof.Goodfaithnegotiationinvolves:

(a) Willingnesstoengageinaprocessandavailabilitytomeetatreasonabletimesandfrequency;

(b) Provisionofinformationnecessaryforinformednegotiation;

(c) Explorationofkeyissuesofimportance;

(d) Useofmutuallyacceptableproceduresfornegotiation,includingcommunity-establishedprotocolsforconsultationandconsent;

(e) Willingnesstochangeinitialpositionandmodifyofferswherepossible;and

(f) Provisionofsufficienttimefordecisionmaking.

48. Stateshavetherighttomakedecisionsonthedevelopmentofresourcespursuanttoapplicablenationallaw,includingthoselawsimplementinghostcountryobligationsunderinternationallaw.ThePolicydoesnotcontradicttheState’srighttodevelopitsresources.AStatemayhaveobligationsorcommitmentstoensurethatindigenouspeoplesprovidetheirfree,prior,andinformedconsentformatterspertainingtotheoveralldevelopmentofindigenousterritories.SuchState-levelobligationsaredistinctfromtheproject-levelFPIC

6 Availableat<https://www.greenclimate.fund/documents/meaningful-stakeholder-engagement>.

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requirementsdescribedinthePolicy.Asdescribedinparagraphs27-30oftheseGuidelines,wheregovernmentprocessesinvolveproject-leveldecisionandactions,theaccreditedentityshouldreviewtheseprocessesinrelationtotherequirementsofthePolicyandGCFESSsandaddressidentifiedgapsornon-compliance.

3.3.1 Requirementsforfree,priorandinformedconsent

49. Overandabovetherequirementformeaningfulconsultationforprojectsadverselyaffectingindigenouspeoples,projectsarerequiredtofacilitateaprocessofFPICwithindigenouspeopleswithregardtoprojectdesign,implementationandexpectedoutcomesiftheseareassociatedwithanyofthefollowingeffects:

(a) Impactsonlandsandnaturalresourcessubjecttotraditionalownershiporundercustomaryuse;

(b) Relocationofindigenouspeoplesfromlandsandnaturalresourcessubjecttotraditionalownershiporundercustomaryuse;

(c) Impactsonculturalheritagethatisessentialtotheidentity,cultural,ceremonial,orspiritualaspectsofindigenouspeopleslives,includingpracticeoftraditionallivelihoods,naturalareaswithculturalorspiritualvaluessuchassacredgroves,sacredbodiesofwaterandwaterways,sacredtrees,andsacredrocks;or

(d) Useofculturalheritage,includingknowledge,innovationsorpracticesofindigenouspeoplesforcommercialpurposes.

3.3.2 Applicationoffree,priorandinformedconsent

50. FPICappliestothoseaspectsofGCFactivitydesign,activities,andoutcomesassociatedwiththespecificpotentialadverseimpactsdescribedinparagraphs59,61,63and64ofthePolicyandlistedaboveinparagraph48oftheseguidelines,andwhichdirectlyaffectcommunitiesofindigenouspeoples.Insomecases,thescopeofFPICwillbelimitedandtargetedtospecificportionsoflandoraspectsofaproject.ExamplesofsuchtargetedFPICinclude:(i)linearprojectsthatpassthroughmultiplehumanhabitatsmayonlyrequireFPICforthecomponentthattraversesindigenouspeoples’lands;(ii)projectswithmultiplefacilities,orcomprisingmultiplesub-projects,someofwhicharelocatedonindigenouspeoples’lands,mayonlyrequireFPICforthefacilitiesorsub-projectslocatedonindigenouspeoples’lands;(iii)forprojectsinvolvinganexpansionofexistingfacilities,FPICshouldfocusonthenewprojectactivitiestotheextentpossible.

51. Incertaincases,itmaynotbepossibletodefineallaspectsoftheactivityanditslocations,identifyaffectedcommunities(includingindigenouspeoples)andreviewprojectenvironmentalandsocialassessmentandrelatedmitigationplansbeforedecisionsaretakenaboutprojectdesignaspects(e.g.programmaticapproaches).Intheabsenceoftheseelements,achievingFPICpriortoapprovingaprojectmaynotbefeasibleorconsideredmeaningfulbecausethedeterminationshouldbecloselyrelatedtothedefinedimpactsofaknownprojectonindigenouspeoples.TheappropriatesequencingofachievingFPICisgenerallytofirstagreeonkeyprinciplesthroughanoverallframework,andthenconsultonspecificaspectsoncedesignsarefurtheradvancedandlocationsaredetermined.DocumentsthatarerequiredtobesubmittedintheprocessofachievingFPICshould,inalmostallcases,includeaframeworkagreementonengagementandconsultationandagreementsdemonstratingFPIC.Theabsenceofsuchaframeworkagreementwouldneedtobecarefullyjustified.

52. Insuchcircumstancestheaccreditedentity,includingthroughitsexecutingentity,should:

(a) Developforward-lookingstakeholderengagementstrategiesthatensurethatrelevantstakeholdersareawareofpotentialdevelopmentpathways;

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(b) Ensurethatstakeholdershaveadequateawareness,understandingandaccesstoinformationconcerningtheirresourcerights(lands,forests,tenuresystems,governmentestablishedcompensationframeworks,etc.);and

(c) CommittoimplementingaprocessofFPICforanysubsequentprojectdevelopmentadverselyimpactingindigenouspeoplesinthemannerdescribedinparagraph48oftheseguidelinesoncesuchimpactsbecomeknown.

53. CircumstancesmayarisewhereaprojectisrequiredtoachievebothmeaningfulconsultationformainstreamaffectedcommunitiesandFPICforaffectedindigenouspeoples,suchaslinearprojectsthattraversebothnon-indigenousandindigenouspeoples’lands;andprojectsimplementedinareaswherebothmainstreamsocietyandindigenouspeoplesresideinproximatebutseparatecommunitiesorinmixedcommunities.SincetheachievementofmeaningfulconsultationandFPICasseparateprocesseswithdifferentgroupswithinacommunityorbetweenproximatecommunitiesmaybedifficultandinsomecasesbeacauseofdivisionwithinthecommunity,asingleengagementprocessresultinginoneagreementisgenerallyrecommended.Insuchcases,theprocessandagreementshouldreferencethehigherstandard(i.e.goodfaithnegotiationsandagreementdemonstratingFPIC).Whethertheagreemententailsdifferentbenefitsforthedifferentlyaffectedgroupswilldependontheprojectcontext,theindigenouspeoplesinvolvedandthenatureoftheactivity’simpacts.

54. Wheregovernmentdecision-makingprocesseshavebeendirectlyappliedataprojectlevel(e.g.landacquisition,resettlement),theaccreditedentity'sduediligenceprocessshouldassesswhethertheseprocesseshaveoccurredinamannerconsistentwiththerequirementsofthePolicyand,ifnot,assessifanycorrectiveactionisfeasibletoaddressthesituation(seeparagraphs27-30oftheseguidelines).Wherekeydecisionssuchaslandacquisitionandresettlementarenotmanagedbytheaccreditedentity,itmaynotbepossiblefortheaccreditedentitytoachieveallelementsofthePolicy,includingtherequirementofFPIC.Inthesecases,theaccreditedentityshouldassesstheoverallrisksofproceedingwiththeprojectthatmaynotmeetaspectsofthePolicyandwillnotbeeligibleforGCFfunding.

55. TheFPICprocessandoutcomedonotrequireunanimoussupportfromallmembersofaffectedcommunitiesofindigenouspeoples.FPICshouldbeviewedasaprocessthatbothallowsandfacilitatesindigenouspeoplestobuildandagreeuponacollectivepositionwithregardtotheproposeddevelopmentcognizantthatindividualsandgroupswithintheaffectedcommunitiesmayretaindifferingviewsonvariousissuespertainingtotheproposeddevelopment.Suchcollective“communityconsent”shouldderivefromthegroupofaffectedcommunitiesasawhole,representingtheirviewvis-à-vistheproposeddevelopment.Thus,anFPICagreementcapturestheaffectedcommunities’broadagreementonthelegitimacyoftheengagementprocessandthedecisionsmade.

56. FPICentailsconsentforspecificactivities,impactsandmitigationmeasuresasanticipatedatthetimewhenconsentisgiven.Whiletheagreementshouldbevalidforthedurationoftheproject,forprojectswithanextendedoperationallifespan,itisgoodpracticetomonitorthePolicyorsimilaractionplansandbeflexibleinadaptingthemasneededifcircumstanceschange,whilemaintainingtheoverallprinciples,commitments,andmutualaccountabilitiesoutlinedintheagreement.Whentheaccreditedentityproposesfundamentalchangesintheprojectaffectingindigenouspeoples,anewFPICprocessshallbecarriedout.

3.3.3 Processofachievingfree,priorandinformedconsent

57. AchievingFPICrequiresthattheaccreditedentityaddressbothprocess(i.e.goodfaithnegotiations)andoutcome(i.e.evidenceofagreement).Theaccreditedentity,includingthroughitsexecutingentity,shoulddocument(i)themutuallyacceptedengagementandnegotiationprocessbetweentheaccreditedentityandindigenouspeoples;and(ii)evidenceofanagreementbetweenthepartiesregardingtheoutcomeofthenegotiations.Impactson

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vulnerablegroupswithinthecommunitiesshouldbeadequatelyaddressedduringthenegotiationandintherelevantdocumentation.

58. DesigningaprocesstoachievetheFPICofindigenouspeoplesshould,interalia,takeaccountofthefollowing:

(a) Whiletheprojectenvironmentalandsocialrisksandimpactsassessmentprocesstypicallydefinestheprojectareaofinfluenceandidentifiesthepopulationofdirectlyaffectedcommunitiesofindigenouspeoples,incertaincircumstancestheformalandinformalleadersanddecision-makingbodiesoftheaffectedcommunitiesofindigenouspeoplesmaybelocatedoutsidethisarea;

(b) Aswithmanycommunities,communitiesofindigenouspeoplesmaybeaffectedbyissuesrelatedtogovernance,leadershipandrepresentativeness.Assessmentoftheseissueswillinformtheengagementandnegotiationprocess.Whereadministrativeandtraditionalsystemsrecognizedifferentleaders,whereleadershipisknowntobehighlypoliticizedand/oronlymarginallyrepresentativeoftheaffectedpopulationoriftherearemultiplegroupsrepresentingdifferentinterests,FPICshouldrelyonidentification,recognitionandengagementofgreaternumbersorrepresentativenessofstakeholdersub-groups;

(c) Theoccurrenceofconflict—whetherpastorpresent—withintheaffectedcommunitiesofindigenouspeoplesorbetweentheaffectedcommunitiesofindigenouspeoplesandotherstakeholders(e.g.non-indigenouspeoples,companiesortheState)shouldbeassessedintermsofthenatureoftheconflict,thedifferentinterestgroupsandtheaffectedcommunities’approachestoconflictmanagementandresolutionmechanisms;

(d) Therole,responsibilitiesandparticipationofexternalstakeholderswithvestedinterestsintheoutcome;and

(e) Thepossibilityofunacceptablepractices(includingbribery,corruption,harassment,violence,retaliationandcoercion)byanyoftheinterestedstakeholdersbothwithinandoutsidetheaffectedcommunitiesofindigenouspeoples.

59. Particularattentionshouldbegiventogroupswithinaffectedindigenouspeopleswhomaybevulnerable,suchaswomen,youth,elders,thepoorandpersonswithdisabilities.AddressinganylimitationsontheirparticipationintheFPICprocesshelpstoensurethattheirinterestsandconcernsareadequatelyconsideredandaddressedaspartoftheprocesstoestablishFPIC.

60. TheprocessofachievingtheFPICofindigenouspeoplesmayrequireinvestmentinbuildingrelevantinstitutions,decision-makingprocessesandthecapacityofaffectedcommunities.AccreditedentitiesshouldapproachtheachievementofFPICfromadevelopmentperspectivethatprioritizesthesustainabilityofdevelopmentactivitiesimplementedwithindigenouspeoples.

3.3.4 DocumentationofFPIC

61. FPICwillbeestablishedthroughaprocessofgoodfaithnegotiationsbetweentheaccreditedentityandindigenouspeoples.Wherethegoodfaithnegotiationsprocessissuccessful,anagreementshoulddocumenttherolesandresponsibilitiesofbothpartiesandspecificcommitments.Thismayinclude:

(a) Agreedengagementandconsultationprocess;

(b) Environmental,socialandculturalimpactmanagement(includinglandandresourcemanagement);

(c) Compensation,benefitsharinganddisbursementframeworkorarrangements;

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(d) Employmentandcontractingopportunities;

(e) Governancearrangements;

(f) Othercommitmentssuchasthosepertainingtocontinuedaccesstolandsorwaters,contributiontodevelopment,etc.;and

(g) Agreedimplementation/deliverymechanismstomeeteachparty’scommitments.

62. Theagreementbetweenpartiesshouldincluderequirementstodeveloptime-boundandappropriatelyresourcedimplementationplanssuchasacommunitydevelopmentplanoranIPP.Examplesofagreementsincludeamemorandumofunderstanding,aletterofintent,andajointstatementofprinciples.

63. Confirmationofsupportforagreementsisanimportantstepinconcludingtheagreement.Agreementsshouldhavedemonstrablesupportfromtheconstituencydefinedthroughtherisksandimpactsassessmentprocessandwithwhomtheprocessofengagementandgoodfaithnegotiationshasoccurred.However,asnotedinparagraph54oftheseguidelines,theFPICprocessandoutcomedoesnotrequireunanimoussupportfromallmembersoftheaffectedcommunitiesofindigenouspeoples.Documentationoftheagreement(seeparagraph64oftheseguidelines)shouldincludeevidenceofsupportfromtheaffectedcommunitiesofindigenouspeoplesaswellasconcernsandoppositionbyparticularsectionsofthecommunity,whatthereasonsfortheoppositionwere,wherepossibletheproportionofthecommunityexpressingopposition,andwhatwasdonetoaddressit.Whereeithertheappropriateengagementprocessoragreementcannotbeachieved,considerationshouldbegiventothird-partyadviceandmediation.

64. Projectswithlonglifecyclesmayelecttodevelopanagreementthatinvolvescommitmentsbeingdeliveredthroughperiodicdevelopmentplans(e.g.IPP)coveringdefinedprojectplanningperiods.Theevolutionofsuchagreementsisproject-andcontext-specific.Nonetheless,itmaybeanticipatedthatsuchagreementswilltypicallyevolvefromafocusonprojectimpactmitigationanddevelopmentmeasurestowardsindigenouspeoples’-manageddevelopmentmodelssupportedbydefinedprojectcontributionsand/orbenefit-sharingmechanisms.

65. Differenttypesofdocuments,plansandagreementswilltypicallybeproducedduringthevariousphasesofaprojectcycle.TheenvironmentalandsocialimpactassessmentprocessasdescribedintheESMS,environmentalandsocialpolicyandtherelevantinterimESSperformancestandardonAssessmentandManagementofEnvironmentalandSocialRisksandImpactsshouldbeseenasanongoing,iterativeprocesscombininganalyticalanddiagnosticwork;stakeholderengagement;andthedevelopmentandimplementationofspecificactionplanswithappropriatemonitoringmechanisms.Theoverall,guidingprincipleshouldbethatwhilethesedocumentsmaybepreparedatanytimeduringtheprojectcycle,implementationactionplanssuchasIPPsshouldbeinplaceandmitigationmeasurestakenpriortoanydirectadverseimpactsonindigenouspeoplesoccurring.Keydocumentsnormallyproducedare:

(a) Aframeworkdocumentcontaining,interalia,theprinciplesofengagement,projectdesignandimplementationprocessasitrelatestothecommunitiesofindigenouspeoples,andprinciplesforobtainingFPICwhererequired(seebelow);

(b) AnIPPorsimilaractionplan;and

(c) AnFPICagreementreflectingthemutualconsenttotheprocessandproposedactions,bytheaccreditedentityandindigenouspeoples.ThisagreementmayrefertoandendorseaproposedIPPorsimilaractionplan,butitmayalsoestablishthatanIPPorsimilaractionplanbedevelopedorfinalizedsubsequenttoFPIChavingbeenobtained.Theaccreditedentityshallconfirmtheconsenthasbeenprovidedbyindividuals,groupsorlegitimaterepresentativesofindigenouspeoplesintheformatagreedtobyindigenouspeople.Wherespecificevidenceofconsentismissingorincomplete,every

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attemptshallbemadetoobtainthemissingorcompleteconsentsandifthisisnotfeasibletheaccreditedentityshallexplainwhyisitnotfeasibleandconfirmthatthemissingorincompleteconsentsarenotmaterialorsignificanttothevalidityoftheFPIC.

66. WhentheFPICofindigenouspeoplescannotbeascertained,theaspectsoftheprojectrelevanttothoseindigenouspeoplesforwhichtheFPICcannotbeascertainedwillnotbeprocessedfurther.WhereGCFhasmadethedecisiontocontinueprocessingtheprojectotherthantheaspectsforwhichtheFPICofindigenouspeoplescannotbeascertained,theaccreditedentitywillensurethatnoadverseimpactsresultonsuchindigenouspeoplesduringtheimplementationoftheproject.

3.3.5 Resourcesforfree,priorandinformedconsent

67. ThroughouttheentireprocessofrespectingFPIC,indigenouspeoplesmustbeconsultedasawholegroupforhoweverlongisnecessaryforthemtounderstand,considerandanalyzetheproposals.Themoretimethatisinvestedinestablishinggoodcommunicationsatthebeginningofanegotiationprocess,themorelikelyitisthatnegotiationscanproceedinanagreedwaythereafter.Arushedprocesswillpreventcommunitiesfrombuildingageneralconsensusbeforefinaldecisionsaremade.Thiscantriggerdisputesbetweenandwithincommunities,andwiththeaccreditedentityandgovernment.Thelegitimacyoftheagreementmaybequestioned,andtheprocessmayneedtorestartfromthepointwheredissatisfactionarises.Intheend,thisrequiresmoretimeandresourcesfromallpartiesinvolved,andthedisputesthatarisefromarushedprocessmayleadtoabreakdowninthemutualtrustandaccountabilitycriticaltoobtainingandsustainingconsent.Beingpreparedtoinvesttimeandresourcesintheprocesssubstantiallydiminishestheriskofconflictsanddisputesatlaterstagesoftheprojectoperationsandiskeytothelonger-termsustainabilityoftheseoperations.

68. Inadditiontotime,theavailabilityofmaterialandhumanresourcesiscriticaltoastrongandverifiableprocessofrespectingFPIC.Thisincludesinvestmentinpeople,communicationmaterialsandstrategies,capacity-buildingactivities,independentverification,andtechnicalandlegaladvice.Indigenouspeopleswilloftenneedadequateresourcestobuilduptheircapacitytoconsidertheproposedprojectorprogramme.Whereindigenouspeoplesareinterestedinbeinginvolvedinprojectdesignandimplementation,additionalresourceswillbeneededforappropriatetrainingandskillsdevelopment.ProjectproponentsshouldunderstandthatrespectforFPICisasaninherentandnecessarycostofprojectdevelopment.Whereappropriate,accreditedentitiesshouldfindopenandaccountablewaystochannelfundstocommunitiestomaintaintheintegrityoftheprocessandtheindependenceofindigenouspeoples’role.

69. IndigenouspeopleshavetherighttoaccessindependentsourcesofinformationthroughouttheprocessofrespectingFPIC,includingduringtheprocessofreachingconsentand,inparticular,priortodecision-makingandagreement.Thepurposeofthisistoallowcommunitiestomakeinformeddecisionsbasedonacomprehensiverangeofinformationoftheirownchoice–includinginformationonalternativestotheproposeddevelopment–independentlyoftheprojectproponents’interests.Accreditedentities,includingthroughtheirexecutingentities,shouldfacilitatelocalcommunities’accesstoindependentsourcesofinformation,andlocalNGOscanplayanimportantroleincommunicatingindependentinformationand/oradvice.

3.3.6 Free,priorandinformedchecklist

70. ThefollowingprovidesabriefandsimplelistofquestionsthatcanbeusedtoassessFPICforanyproject:

(a) Doestheprojectstaffhavetheknowledgeandcompetencetoworkwiththeconcernedindigenouspeoplesinaculturallyappropriatemanner?;

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(b) Hastheprojectstaffbeentrainedonhowtointeractwithindigenouspeoples?;

(c) Hasaconsultationandengagementstrategybeendeveloped,inagreementwiththeconcernedindigenouspeoples,takingintoaccountindigenouspeoples’ownmechanisms,languageandlocations?;

(d) Whererelevant,haveconsultationand/orFPICprotocolsdevelopedbytheconcernedindigenouspeoplesbeenincorporated?;

(e) Hasthecommunity,includingindividualsidentifiedaslegitimateleadersoftheindigenouscommunitiesinvolvedbeenmetandconsulted?;

(f) Havetheinvolvedcommunitieshadsufficienttimetogetindependentexpertadviceontheproject?;

(g) Havesufficientresourcesbeenprovidedforthecommunitytobeeffectivelyengaged(e.g.obtainexpertadviceontheproject)?;

(h) HaveadequatemechanismsandproceduresforeffectiveparticipationintheFPICprocessbeenestablished?;

(i) Havetimelyconsultations(wellpriortoprojectdesign)beencarriedout?;

(j) Havetheindigenouscommunitiesinvolvedbeenenabledtoparticipatefullyandeffectivelyinprojectscoping,design,implementation,monitoringandevaluation,mitigation,anddeterminationoftheneedforfurtherreviewandmanagementoftheproject?;

(k) Hasprojectinformation(includingenvironmentalandsocialassessmentdocument;environmentalsocialmanagementplan;andevaluation)beenprovidedinatimelyfashionandthroughculturallyappropriatemeans?;

(l) Hastheproperunderstandingoftheinformationprovidedtotheindigenouscommunitiesinvolvedbeenverified?;

(m) Istheconsultationprocessdocumented?;

(n) Hasthedocumentationoftheconsultationprocessbeendisclosedinatimelymatterandusingappropriatelanguages,formatsandlocations?;

(o) Hastheconsentbeenprovidedexplicitlyandrecordedandaffirmedintheformatpreferredbythecommunity(forexample,ensuringthatevidenceofconsentiscompletesuchassignature,thumbmarks,andidentification)?;

(p) Dotheparticipatorymonitoringandevaluationoftheprojectincludeindicatorsthatindigenouspeoplesdeterminetoberelevant?;

(q) Hasthecommunitybeenengagedinanadequatenegotiationprocessonlandandresourcesagreements,governancearrangements,legalandfinancialarrangements,employmentandcontractingopportunities,culturallyappropriatebenefitssharing,processesandmechanismsformonitoring,grievancesanddisputeresolutions,amongotheritems?;and

(r) Havetherebeencomplaintsabouttheprojectdesign/conceptandhowhavethesebeenaddressed?

3.3.7 Impactsonlandsandnaturalresourcessubjecttotraditionalownershiporundercustomaryuseoroccupation

71. Ifissuesrelatedtolanduseasdescribedinparagraph59ofthePolicyareidentifiedinthescreeningphase,theaccreditedentityshouldensurecompetentexpertsareengagedtocarryouttheoutlinedassessmentwiththeactiveparticipationofindigenouspeoples.The

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assessmentshoulddescribeindigenouspeoples’traditionallandandresourcetenuresystem(bothindividualandcollective)withintheproject’sareaofinfluence.Theassessmentshouldalsoidentifyandrecordallcustomaryuseoflandandresources,includingcultural,ceremonialorspiritualuse,andanyadhoc,seasonalorcyclicaluseoflandandnaturalresources(forexample,forhunting,fishing,grazing,orextractionofforestandwoodlandproducts),andanypotentialadverseimpactsonsuchuse.Customaryuseoflandandresourcesreferstopatternsoflong-standingcommunitylandandresourceuseinaccordancewithindigenouspeoples’customarylaws,values,customs,andtraditions,includingseasonalorcyclicaluse,ratherthanformallegaltitletolandandresourcesissuedbytheState.Cultural,ceremonialandspiritualusesareanintegralpartofindigenouspeoples’relationshipstotheirlandsandresources,areembeddedwithintheiruniqueknowledgeandbeliefsystems,andarekeytotheirculturalintegrity.Suchusesmaybeintermittent,maytakeplaceinareasdistantfromsettlements,andmaynotbesite-specific.Anypotentialadverseimpactsonsuchusemustbedocumentedandaddressedwithinthecontextofthesesystems.Anyinformationfromtheaccreditedentity’sassessmentthatidentifiestheexistenceofcriticalhabitatsandcriticalculturalresourcesconsistentwiththerelevantESSon“BiodiversityConservationandSustainableManagementofLivingNaturalResourcesandonCulturalHeritage”withintheprojectareaofinfluencewillberelevantintheanalysisandshouldbetakenintoaccount.Indigenouspeoples’claimstolandandresourcesnotlegallyownedundernationallawshouldalsobedocumentedaspartoftheassessmentprocess.Theaccreditedentityshouldensurethatlackofdocumentationoflandclaims,orabsenceoflandclaimsshouldnotprejudiceexistingorfuturelegalproceedingsofindigenouspeoplestoestablishlegaltitle.

72. Thepriorityobjectiveoftheassessmentprocessistoidentifymeasurestoavoidadverseimpactsontheselands,waters,resources,andindigenouspeoples’use.Whereavoidanceisnotfeasible,mitigation,and/orcompensationmeasuresshouldbedevelopedtoensuretheavailabilityof,andaccessto,thelandandnaturalresourcesnecessaryforthelivelihoodsandculturalsurvivalofindigenouspeoples.Land-basedcompensationshouldbepreferred,providedthatsuitablelandisavailable.Inaddition,dueprocess,suchasappropriatenotificationandresponsestoinquiriesforindigenouspeoplesshouldbeobserved.Insomecases,landunderindigenouspeoples’claimmayalreadybedesignatedbythegovernmentforalternateuses,whichmayincludenaturereserves,miningconcessionareas,orasindividualparcelsbyuserswhohaveobtainedtitletotheland.Inthiscase,theaccreditedentityshouldseektoinvolvetherelevantgovernmentagencyinanyconsultationandnegotiationwithindigenouspeoples.

73. WhethertheprojectshouldproceedwithactivitiesthatmayresultinadverseimpactsontheselandsshouldbesubjecttosecuringtheFPICofindigenouspeoples.Insomecases,itmaybepossiblefortheaccreditedentity,includingthroughitsexecutingentity,toworkwithanationalgovernmentalagencytofacilitatethelegalrecognitionoflandsclaimedorusedbyindigenouspeoplesinconnectionwithlandtitlingprogrammesofthegovernment.Theaccreditedentitycanbasethisworkonthecustomarylandtenureinformationgatheredduringtheassessmentprocessandhelpindigenouspeoplestopursuelandtitlesifindigenouspeoplessorequestandparticipateinsuchprogrammes.

3.3.8 Relocationofindigenouspeoplesfromlandsandnaturalresourcessubjecttotraditionalownershiporundercustomaryuseoroccupation

74. Becausephysicalrelocationofindigenouspeoplesisparticularlycomplexandmayhavesignificantandirreversibleadverseimpactsontheirculturalsurvival,theaccreditedentityisexpectedtomakeeveryefforttoexplorefeasiblealternativeprojectdesignstoavoidanyphysicalrelocationofindigenouspeoplesfromtheircommunallyheldtraditionallandsorcustomarylandsunderuse.Thepotentialrelocationmayresultfromtheproject’sacquisitionofland,orthroughrestrictionsoralterationsonlanduseorresources(forexample,wherethecommunallyheldtraditionallandsorcustomarylandsunderusebyindigenouspeoplesare

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designatedbytherelevantgovernmentagencyforanotheruseinconjunctionwiththeproposedproject,suchasestablishmentofprotectedareasforresourceconservationpurposes).Anyphysicalrelocationshouldonlybeconsideredaftertheaccreditedentityhasestablishedthatthereisnofeasiblealternativetorelocation,andtheFPICofindigenouspeopleshasbeensecured.

75. Incasethehostgovernmenthasmadethedecisiontorelocateindigenouspeoples,theaccreditedentity,includingthroughitsexecutingentity,shouldconsultwithrelevantgovernmentofficialsinordertounderstandtherationaleforsuchrelocationanddeterminewhethergoodfaithnegotiationsbasedoninformedparticipationofindigenouspeopleshasbeenimplementedandsuccessfullyconcludedregardingtheaspectsoftheprojectandtherelocationofindigenouspeoples.Accreditedentitiesarerequiredtoaddressgapsinprocessandoutcomeswheretheseareidentified.

76. UponconclusionoftheFPICprocessprovidingfortherelocationofindigenouspeoples,theaccreditedentity,includingthroughitsexecutingentity,willpreparearesettlementactionplan/livelihoodrestorationplanconsistentwiththeconclusionofthenegotiationandinaccordancetheGCFESSon“LandAcquisitionandInvoluntaryResettlement”.Suchaplanshouldincludeaprovisiontoallowindigenouspeoples,wherepossibleandfeasible,toreturntotheirlandswhenthereasonsfortheirrelocationceasetoexist.

77. Therequirementsunderparagraphs61and62ofthePolicy,areintendedforsituationswheretraditionallyownedlandsorcustomaryuseofresourcesareheldandusedbyindigenouspeoplescommunally.Whereindividualmembersoftheaffectedcommunitiesofindigenouspeoplesholdlegaltitle,orwheretherelevantnationallawrecognizescustomaryrightsforindividuals,therequirementsofGCFESSon“LandAcquisitionandInvoluntaryResettlement”willapply.However,evenwhereindividualswithintheaffectedcommunitiesofindigenouspeoplesholdlegaltitletolandindividually,theaccreditedentityshouldbeawarethatthedecisionofrelevantindividualstocedetitleandtorelocatemaystillbesubjecttoacommunity-baseddecision-makingprocess,astheselandsmaybenotbeconsideredprivatepropertybutancestrallands.

3.3.9 Culturalheritage

78. Knowledge,innovations,andpracticesofindigenouspeoplesareoftenreferredtoastraditionalknowledgeandincludeexpressionsoffolkloreortraditionalculturalexpressions.Suchknowledgeisalsoreferredtoasintangibleculturalheritage.Further,knowledge,innovations,andpracticesofindigenouspeoplesoftenremaininuseforsacredorritualpurposesandcanbeheldsecretbythecommunityordesignatedmembers.Commercialdevelopmentofintangibleculturalheritageisthesubjectofcurrentinternationaldiscussions,withinternationalstandardsemergingslowly.Theoneexceptionisinthecommercialuseofgeneticresourcesandassociatedtraditionalknowledgeofindigenousortraditionalcommunitiesasreflectedinthe“ConventiononBiologicalDiversity7”inwhichindigenouswomen’svitalroleinpreservingandmanagingbiologicaldiversityisalsomentioned.Usefulguidanceinthisareaisprovidedby“TheNagoyaProtocolonAccesstoGeneticResourcesandtheFairandEquitableSharingofBenefitsArisingfromtheirUtilization”,the“Akwé:KonGuidelines”andthe“Tkarihwaié:riCodeofEthicalConducttoEnsureRespectfortheCulturalandIntellectualHeritageofIndigenousandLocalCommunitiesissuedundertheConventiononBiologicalDiversity”.8Examplesofcommercialdevelopmentincludecommercializationoftraditionalmedicinalknowledgeorothersacredortraditionaltechniquesforprocessingplants,

7 SecretariatoftheConventiononBiologicalDiversity.1992.TextoftheConvention.Availableathttps://www.cbd.int/convention/text/. 8SeeReferencesandToolssectionforlinkstothedocuments

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fibersormetals.Traditionalculturalexpressionssuchasthesaleofartormusicshouldbetreatedinaccordancewithnationallawandemerginginternationalpractice.

79. Accreditedentities,includingthroughtheirexecutingentities,shouldcomplywithapplicablenationallaws,ifany,regardingtheiruseofknowledge,innovationorpracticesofindigenouspeoplesforcommercialpurposesandanyinternationalobligationorstandardrelevanttotheprojectactivities.Becausesuchinformation,processes,andmaterialsmaybeusedforsacredorritualpurposesbyindigenouspeoplesandmayinsomecasesbekeptsecret,theaccreditedentityshouldseektheFPICoftheowner(s).

80. Whereanactivityproposestouseanddevelopintangibleculturalheritageincludingknowledge,innovations,orpracticesofindigenouspeoples,theaccreditedentity,includingthroughitsexecutingentity,should:

(a) Investigatewhethertheindigenousculturalheritageisheldindividuallyorcollectivelypriortoenteringintoanyagreementswithlocalindigenousholder(s)oftheculturalheritage;

(b) ObtaintheFPICoftheindigenousculturalheritageholder(s)foritsuse;and

(c) Sharethebenefitsaccruingfromsuchuseasappropriatewiththeindigenouspeoples.

81. ExpertandunbiasedinformationinseekingtheFPICofindigenousholdersofculturalheritageshouldbeused,evenifownershipoftheitemisindispute.TheFPICofindigenouspeoples’fortheproposedcommercialdevelopmentshouldbedocumented,inadditiontoanyrequirementspursuanttonationallaw.Wherebenefitsharingisenvisioned,benefitsshouldbedeterminedbymutuallyagreedtermsaspartoftheprocessofsecuringFPIC.Benefitsmayinclude,forexample,developmentbenefitsintheformofemployment,vocationaltraining,andbenefitspursuanttocommunitydevelopmentandsimilarprogrammesaswellasfromthemaking,marketingandlicensingofsomeformsoftraditionalculturalexpression.Accreditedentitiesshouldbemindfulofspecificconsentrequirementsundertherelevantinternationalconventionsornationallaw,andmayhavetoaddressidentifiedgapsifany.

82. Forsomeindigenouspeoples,theuseofindigenousnames,photographs,andotheritemsdepictingthemandtheenvironmentinwhichtheylivecanbesensitive.Localnormsandpreferencesshouldbeassessedandindigenouspeoplesshouldbeconsultedbeforeusingsuchitems,evenforsuchpurposesasnamingprojectsitesorpiecesofequipment.

83. SimilarrequirementsareavailableintheinterimESSstandardonCulturalHeritagewithrespecttotheculturalheritageofcommunitiesotherthanthoseofindigenouspeoples.

3.4 Grievanceredressmechanism

The notes below elaborate the requirement for establishing grievance redress mechanisms outlined in section 7.3 of the Policy and aligned to the requirements of the relevant policies such as the Environmental and Social Policy and the terms of reference of the GCF IRM.

84. Itisimportanttoestablishanindependentmechanismforstakeholderstoraiseconcernsthatmayarisethroughouttheproject’slifetime.Themechanismshouldbediscussedanddevelopedearlyonratherthanleftuntildisputesorbreakdownsofconsentoccur.Decidingontheformofthegrievanceprocessshouldbepartoftheearlyconsultation,IPP,IPPForFPICprocesses.

85. Thegrievanceredressmechanismshouldallowconsenttobere-establishedthroughamoreaccessibleandlocalalternativetoexternaldisputeresolutionprocesses.

86. Possibleformsofremedyinclude,butarenotlimitedto:

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(a) Returnorrestitutionoflands,territoriesandresources,andotherpropertyandintangibleresources,takenoraffectedwithouttheconsentofcommunities;

(b) Restorationofdamagedecosystemsand/orresources;

(c) Paymentfortherelinquishmentofrights;

(d) Improvedbenefitsforsmallholdersandworkers;

(e) Increasedparticipationinprojectdesign,benefitsandprofits;

(f) Paymentincashorkindforcededlandsoruseoflands,preferablyland-basedcompensation;

(g) Compensationfordamagesandinfringementsofrights;

(h) Compensationforlossesoflivelihoodandincome;

(i) Compensationforlossesofintangibleheritage;

(j) Paymentofthecostsofsecuringreparations,engaginginnegotiationsandseekingadvice;

(k) Agreementeithertopermanentlysuspendoperationsinthedisputedareaand/orproceedwithanewlynegotiatedagreementinvolvingalltherequirementsofanFPICprocess;

(l) Formalrecognition/preservationofindigenouspeoplesidentity,cultureandhistory;

(m) Formalguaranteesofnon-repetition;and

(n) Formalproceduresandsanctionsinthecaseofrepetition.

87. Forthegrievanceredressmechanismtobewellimplemented,thebudgetshouldbeadequatetosupportthegrievanceredressmodalitiesandsupportaccessbyindigenouspeoples.

88. Accreditedentitiesshouldensuretheavailabilityofaprojectlevelgrievanceredressmechanism.

89. TheGCFIRMisalsoavailableaspartofanygrievanceredressmechanismofanyproposal.TheIRMrespondstocomplaintsbypeoplewhofeeltheyhavebeenormaybeadverselyaffectedbyGCFprojectsorprogrammesfailingtoimplementGCFoperationalpoliciesandprocedures.ThisincludesallegationsofafailuretofollowthePolicyandadequateenvironmentalandsocialsafeguards.

90. TheIRMworkscollaborativelywithothergrievanceredressandaccountabilitymechanismsofaccreditedentities.

91. TheIRMisindependentoftheGCFSecretariatandreportsdirectlytotheGCFBoard.

92. FurtherdetailsabouttheIRMareavailableonitswebsite9andalsointhe“UpdatedTermsofReferenceoftheIndependentRedressMechanism”.10

3.5 Indigenouspeoplesandbroaderplanning

The notes below further explain section 7.4 of the Policy particularly the potential roles of indigenous peoples in broader planning and preparation of strategies and other activities that will strengthen consideration and participation of indigenous peoples in climate actions.

9See<https://www.greenclimate.fund/independent-redress-mechanism>.10AnnexIItodecisionB.BM-2017/10.

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93. GCFfinancedactivitiesmayprovideuniqueopportunitiesforindigenouspeoples’broaderdevelopment.Dependingontheactivityandcontext,theaccreditedentity,includingthroughitsexecutingentity,maycatalyzeand/ordirectlysupportthedeliveryofdevelopmentprogrammingtosupportthedevelopmentofindigenouspeoples.Whileaddressingproject-inducedadverseimpactsisacompliancerequirementunderthePolicy,providingbroaderdevelopmentopportunitiesisnot.Itisrecommendedasagoodpracticewhereopportunitiesexist.Inlarge-scaleprojects,theaccreditedentitymaybeabletoofferamorecomprehensivesetofdevelopmentbenefits,aspartofitscommunityorregionaldevelopmenteffort,orefforttostimulatelocalenterprisesandeconomy.Theaccreditedentitymayalsolookforopportunitiestosupportexistingprogrammestailoredtodeliverdevelopmentbenefitstoindigenouspeoples,suchasbilingualeducationalprogrammes;maternal,andchildhealthandnutritionprogrammes;employmentgenerationactivities;andarrangementsformicro-creditschemes.Inengagingindigenouspeoples,itisrecommendedthatthedistinctionbetweenrightsandentitlementsrelatedtomitigationofGCF-inducedadverseimpactsontheonehandandbroaderdevelopmentopportunities,ontheotherhand,bemadeclear,inordertoavoidconfusionandunreasonableexpectationsoverwhattheaccreditedentityisrequiredtodoandwhatmaybeprovidedadditionallyintermsofbenefits.

94. Implementedincooperationwithindigenouspeoples,suchdevelopmentprogrammingmayinclude:

(a) Supportingthedevelopmentprioritiesofindigenouspeoplesthroughprogrammes(suchascommunity-drivendevelopmentprogrammesandlocallymanagedsocialfunds)developedbyindigenouspeoplesorgovernmentsincooperationwithindigenouspeoples;

(b) Addressingthegenderandintergenerationalissuesthatexistamongmanyindigenouspeoples,includingthespecialneedsofindigenouswomen,youth,andchildren;

(c) Preparingparticipatoryprofilesofindigenouspeoplestodocumenttheirculture,demographicstructure,genderandintergenerationalrelationsandsocialorganization,institutions,productionsystems,religiousbeliefs,andresourceusepatterns;

(d) Strengtheningthecapacityofindigenouspeoples’communitiesandorganizationstoprepare,implement,monitor,andevaluatedevelopmentprogrammesandinteractwiththemainstreameconomy;

(e) Safeguardingindigenousknowledge,includingbystrengtheningintellectualpropertyrights;and

(f) Facilitatingpartnershipsamongthegovernment,indigenouspeoplesorganizations,CSOs,andtheprivatesectortopromoteindigenouspeoples’developmentprogrammes.

IV. Implementation

The notes below elaborate further section VIII of the Policy particularly the implementation arrangements, role of the IPAG (section 8.1 of the Policy), information disclosure (section 8.3 of the Policy), accountability (section 8.5 of the Policy), country ownership and engagement (section 8.6 of the Policy), competencies and capacity development (section 8.8), and resource allocation (section 8.9).

4.1 Implementationarrangements

95. TheGCFIndigenousPeoplesSpecialist,actingastheindigenouspeoplesfocalpointofGCF,willhaveanoperationalresponsibilitytomanagetheimplementationoftheIndigenous

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PeoplesPolicy,includingtheIPAG.TheIPAGandtheIndigenousPeoplesSpecialistwillworktogethertodevelopthetermsofreference,functionsandannualplansoftheIPAG.

96. TheGCFIndigenousPeoplesSpecialistwillreporttotheSeniorManagementTeamandtotheBoard,asmayberequested,onthestatusoftheimplementationoftheIndigenousPeoplesPolicy,includingtheworkoftheIPAG.

4.2 Informationdisclosure

97. ThePolicyrequiresthetimelydisclosureofrelevantinformationtoindigenouspeoplestobedoneinaformandlanguage(s)understandabletothem.Itshouldbeanintegralpartofconsultationandparticipation.InthecaseoftheIPPandotherdetaileddocuments,relevantinformationtobedisclosedtotheaffectedindigenouspeoplescouldbereportedinabbreviatedform,inadditiontohavingthecompletedocumentationavailable.Suchdocumentswouldincludekeyfindingsandprovisionsandcouldbeprovidedasbrochureswritteninclearlocallanguage,describingthebenefitsandmitigationmeasurestobetaken,includingcontactinformationforgrievancesandfurtherprojectinformation.

98. Forthoseprojectslikelytoaffectmanyilliteratepeople,pictorialdepictionsandoralrepresentationsoftheIPPcanbeused.Whenthereisnowidelyusedwrittenformofthelocallanguage,itisquitepossiblethatthenarrativeofthepictorialbrochuresorposterswillhavetobewritteninthenationallanguage,buttheverbalpresentationofsuchinformationwillbedoneinthelocallanguage.

99. Intheinterestoftransparencyandwidedissemination,theaccreditedentitycouldensurethatfullandabbreviatedversionsoftheIPP–inthedraftandupdatedforms–aredisclosedlocally.Itshouldconsiderthebestwaystogobeyondtheminimaldisclosurerequirements(e.g.depositofsuchdocumentsinthelocallibrary)toexpandthearenaofIPPdisclosureviamethodssuchasdeliveryoftheIPPdirectlytoruraltownshipsandindigenouspeoplesorganizations,postedonvillagecommunalwalls,describedinavillagemeeting,ordistributedasbrochurestohouseholds.Theabbreviatedformwoulddescribetheprojectverybriefly;listtheanticipatedimpacts,majorproposedmitigationmeasures,andprojectbenefits;outlinethegrievanceredressmechanism;andincludecontactdetailsoftheprojectcontactinformationofficeformoreinformation.

4.3 Competenciesandcapacitydevelopment

100. TohelpdevelopingcountrieseffectivelyaccessanddeployresourcesfromGCF,GCFprovidesearlysupportforreadinessandpreparatoryactivitiesthroughadedicatedReadinessandPreparatorySupportProgramme.ItsupportsnationaldesignatedauthoritiesorGCFfocalpoints,nominatedbycountries,toengagewithGCFinthefollowingfourareas:

(a) Establishmentandstrengtheningofnationaldesignatedauthoritiesorfocalpoints;

(b) DevelopmentofstrategicframeworksfornationalengagementwiththeFund,includingthepreparationofcountryprogrammes;

(c) Selectionofimplementingaccreditedentitiesorintermediaries,andsupportforaccreditation;and

(d) Initialpipelinesofprogrammeandprojectproposals.

101. TheReadinessandPreparatorySupportProgrammeprovidesagoodopportunitytoensurethatindigenouspeoples’issuesandroleisfullyacknowledgedandrealized.ItisimportantthatthroughReadinesssupportdevelopingcountriesbetterunderstandanddescribeindigenouspeoplesspecificrisksandopportunities,andthepotentialtomaximizethedevelopmentimpactofGCFprogrammingforindigenouspeoplesinlinewiththePolicy.

OperationalGuidelines:IndigenousPeoplesPolicyPage29

Referencesandtools

1 OtherrelevantGCFpolicies

EnvironmentalandSocialPolicyhttps://www.greenclimate.fund/documents/20182/574763/GCF_policy_-_Environmental_and_Social_Policy.pdf/aa092a12-2775-4813-a009-6e6564bad87c

InformationDisclosurePolicy

https://www.greenclimate.fund/documents/20182/574763/GCF_policy_-_Information_Disclosure_Policy.pdf/eca387d2-06b3-42c9-89f9-4976f2e802f4

GenderPolicyandActionPlan

2 OtherrelevantGCFguidelines

GuidelinesfortheEnvironmentalandSocialScreeningofActivitiesProposedundertheSimplifiedApprovalProcess

ReadinessandPreparatorySupportGuidebook

ProjectPreparationFacilityGuidelines

GCFToolkitMainstreamingGender

GreenClimateFundDecisions,PoliciesandFrameworksAsagreedbytheBoardoftheGreenClimateFundThroughDecember2017

SustainabilityGuidanceNote:DesigningandensuringmeaningfulstakeholderengagementonGCF-financedprojects

Sustainabilityguidancenote:ScreeningandcategorizingGCF-financedactivities

3 LinkstootherGCFpoliciesanddocuments

Guidingframeworkandproceduresforaccreditingnational,regionalandinternationalimplementingaccreditedentitiesandintermediaries,includingtheFund’sfiduciaryprinciplesandstandardsandenvironmentalandsocialsafeguards(decisionB.07/02);

Guidelinesfortheoperationalizationofthefit-for-purposeaccreditationapproach(decisionB.08/02);

Genderpolicyandactionplan(decisionB.09/11);

ComprehensiveInformationDisclosurePolicyoftheFund(decisionB.12/35);

Countrycoordinationandmulti-stakeholderengagement;

REDD-plusresults-basedpayments”(decisionB.17/18);

InitialresultsmanagementframeworkoftheFund(decisionsB.07/04andB.08/07);

Initialmonitoringandaccountabilityframeworkforaccreditedentities(decisionB.11/10);

GCFriskmanagementframework(documentGCF/B.17/12);and

UpdatedTermsofreferenceoftheIndependentRedressMechanism(decisionB.BM-2017/10).

OperationalGuidelines:IndigenousPeoplesPolicyPage30

4 InternationalFinanceCorporationPerformanceStandardsforEnvironmentalandSocialSustainability

TheIFCPScanbefoundat:

http://www.ifc.org/wps/wcm/connect/c8f524004a73daeca09afdf998895a12/IFC_Performance_Standards.pdf?MOD=AJPERES.

PerformanceStandardGuidanceNotes

AsetofeightGuidanceNotes,correspondingtoeachPS,offersguidanceontherequirementscontainedinthePS.Inaddition,theWorldBankGroupEnvironmental,HealthandSafety(EHS)Guidelinesaretechnicalreferencedocumentswithgeneralandindustry-specificexamplesofgoodinternationalpracticeandarelinkedtothePSthroughPS2andPS3.TheGuidanceNotesandEHSGuidelinescanbefoundat:

http://www.ifc.org/wps/wcm/connect/Topics_Ext_Content/IFC_External_Corporate_Site/IFC+Sustainability/Sustainability+Framework/Sustainability+Framework+2012/Performance+Standards+and+Guidance+Notes+2012/.

5 Linkstoindigenouspeoplespoliciesofsomeoftheaccreditedentities

AfricanDevelopmentBank(AfDB)-https://www.afdb.org/en/topics-and-sectors/topics/quality-assurance-results/safeguards-and-sustainability-series/

AsianDevelopmentBank(ADB)-https://www.adb.org/site/safeguards/indigenous-peoples

CaribbeanDevelopmentBank(CDB)-http://www.caribank.org/uploads/2013/11/C4.2-SIA_Guidelines_2004.pdf

CentralAmericanBankforEconomicIntegration(CABEI)-https://www.bcie.org/en/institutional-strategy/strategic-axes/environmental-sustainability/

CentredeSuiviEcologique(CSE)-https://www.cse.sn/index.php/en/

ChinaCleanDevelopmentMechanismFundManagementCenter(ChinaCDMFundManagementCenter)-http://www.cdmfund.org/eng/index.jhtml

ConservationInternationalFoundation(CI)-https://www.conservation.org/How/Pages/Partnering-with-Communities.aspx

CorporaciónAndinadeFomento(CAF)-https://www.caf.com/media/2759391/d0-7_s_e_safeguards_manual_to_caf-gef_projects_may_2015_28.pdf

CréditAgricoleCorporateandInvestmentBank(CréditAgricoleCIB)-https://www.ca-cib.com/sites/default/files/2017-08/Politique-RSE-05-2017-EN.pdf

EuropeanBankforReconstructionandDevelopment(EBRD)-

EuropeanInvestmentBank(EIB)-http://www.eib.org/infocentre/press/news/all/environmental-and-social-safeguards.htm

FoodandAgricultureOrganizationoftheUnitedNations(FAO)-http://www.fao.org/indigenous-peoples/en/

Inter-AmericanDevelopmentBank(IDB)-https://idblegacy.iadb.org/en/topics/gender-indigenous-peoples-and-african-descendants/indigenous-peoples,17815.html

InternationalBankforReconstructionandDevelopmentandInternationalDevelopmentAssociation(WorldBank)http://www.worldbank.org/en/topic/indigenouspeoples

OperationalGuidelines:IndigenousPeoplesPolicyPage31

InternationalFinanceCorporation(IFC)-https://www.ifc.org/wps/wcm/connect/topics_ext_content/ifc_external_corporate_site/sustainability-at-ifc/policies-standards/performance-standards/ps7

InternationalFundforAgriculturalDevelopment(IFAD)-https://www.ifad.org/en/document-detail/asset/39432502

InternationalUnionforConservationofNature(IUCN)-https://www.iucn.org/theme/governance-and-rights/our-work/indigenous-and-traditional-peoples

JapanInternationalCooperationAgency(JICA)-https://www.jica.go.jp/english/our_work/social_environmental/guideline/index.html

UnitedNationsDevelopmentProgramme(UNDP)-http://www.undp.org/content/undp/en/home/democratic-governance-and-peacebuilding/rule-of-law--justice--security-and-human-rights/indigenous-peoples.html

UnitedNationsEnvironmentProgramme(UNEP)-http://web.unep.org/about/majorgroups/indigenous-peoples-and-their-communities

WorldWildlifeFund,Inc.(WWF)-http://wwf.panda.org/our_work/people/people_and_conservation/our_work/indigenous_people/

6 Othermaterials

ILO(InternationalLabourOrganization).1989.“ConventionConcerningIndigenousandTribalPeoplesinIndependentCountries.”ILO,Geneva.http://www.ilo.org/ilolex/cgi-lex/convde.pl?C169

SecretariatoftheConventiononBiologicalDiversity.1992.“ConventiononBiologicalDiversity.”1992.SecretariatoftheConventiononBiologicalDiversity,Montreal.TheConvention’sArticle8(j)isdedicatedtoindigenouspeoplesandlocalcommunities.Thededicatedwebsite(https://www.cbd.int/traditional/)providesahubofrelevantdecisions,policies,programmesandevents.

———.2002a.“BonnGuidelinesonAccesstoGeneticResourcesandFairandEquitableSharingoftheBenefitsArisingoutofTheirUtilization.”SecretariatoftheConventiononBiologicalDiversity,Montreal.https://www.cbd.int/decision/cop/default.shtml?id=7198.Theguidelinesprovideinformationonestablishinglegislative,administrative,orpolicymeasuresforaccessandbenefitsharingandfornegotiatingcontractualarrangementsforaccessandbenefitsharing.

---.2002b.“Guidelinesforincorporatingbiodiversity-relatedissuesintoenvironmentalimpactassessmentlegislationand/orprocessesandinstrategicenvironmentalassessment,”indecisionVI/7.https://www.cbd.int/decision/cop/default.shtml?id=7181

———.2004.“Akwé:KonGuidelinesfortheConductofCultural,EnvironmentalandSocialImpactAssessmentsregardingDevelopmentsProposedtoTakePlaceon,orwhicharelikelytoImpacton,SacredSitesandonLandsandWatersTraditionallyOccupiedorUsedbyIndigenousandLocalCommunities.”ConventiononBiologicalDiversity,Montreal.https://www.cbd.int/decision/cop/default.shtml?id=7753.Thevoluntaryguidelinesprovidegeneraladviceontheincorporationofcultural,environmental,includingbiodiversityrelated,andsocialconsiderationsofindigenousandlocalcommunitiesintoneworexistingimpact-assessmentprocedures.

———.2010a.“NagoyaProtocol(COP10DecisionX/1)onAccesstoGeneticResourcesandtheFairandEquitableSharingofBenefitsArisingfromTheirUtilizationtotheConventionon

OperationalGuidelines:IndigenousPeoplesPolicyPage32

BiologicalDiversity.”CBD,NewYork.https://www.cbd.int/decision/cop/default.shtml?id=12267.Theinternationalagreementaimsatsharingthebenefitsarisingfromtheuseofgeneticresourcesinafairandequitableway.

———.2011b.“TheTkarihwaié:riCodeofEthicalConducttoEnsureRespectfortheCulturalandIntellectualHeritageofIndigenousandLocalCommunities.”SecretariatoftheCBD,Montreal.http://www.cbd.int/decision/cop/?id=12308.Thecodeprovidesguidanceinactivities/interactionswithindigenousandlocalcommunities.

———.2016.“Mo’otzKuxtalvoluntaryguidelinesforthedevelopmentofmechanisms,legislationorotherappropriateinitiativestoensurethe“priorandinformedconsent”,“free,priorandinformedconsent”or“approvalandinvolvement”,dependingonnationalcircumstances,ofindigenouspeoplesandlocalcommunitiesforaccessingtheirknowledge,innovationsandpractices,forfairandequitablesharingofbenefitsarisingfromtheuseoftheirknowledge,innovationsandpracticesrelevantfortheconservationandsustainableuseofbiologicaldiversity,andforreportingandpreventingunlawfulappropriationoftraditionalknowledge.”https://www.cbd.int/doc/decisions/cop-13/cop-13-dec-18-en.pdf

---.2018a.“RutzolijirisaxikVoluntaryGuidelinesfortheRepatriationofTraditionalKnowledgeofIndigenousPeoplesandLocalCommunitiesRelevantfortheConservationandSustainableUseofBiologicalDiversity.”https://www.cbd.int/doc/decisions/cop-14/cop-14-dec-12-en.pdf

---.2018b.“VoluntaryglossaryofkeytermsandconceptswithinthecontextofArticle8(j)andrelatedprovisions”https://www.cbd.int/doc/decisions/cop-14/cop-14-dec-13-en.pdf

UnitedNations.2007.“UnitedNationsDeclarationontheRightsofIndigenousPeoples.”UN,Geneva.http://www.un.org/esa/socdev/unpfii/documents/DRIPS_en.pdf.

WorldBank.2005.“IndigenousPeoples.”OperationalPolicy4.10,WorldBank,Washington,DC.http://go.worldbank.org/TE769PDWN0.ThispolicyunderscorestheneedforborrowersandWorldBankstaffmemberstoidentifyindigenouspeoples,consultwiththem,andensurethattheyparticipateinandbenefitfromBank-fundedoperationsinaculturallyappropriateway.Italsoaimstoensurethatadverseimpactsonindigenouspeoplesareavoidedor,ifavoidanceisnotfeasible,areminimizedormitigated.

WorldBank.2018.ESS7:IndigenousPeoples/Sub-SaharanAfricanHistoricallyUnderservedTraditionalLocalCommunitiesensuresthatthedevelopmentprocessfostersfullrespectforthehumanrights,dignity,aspirations,identity,culture,andnaturalresource-basedlivelihoodsofIndigenousPeoples.ESS7isalsomeanttoavoidadverseimpactsofprojectsonIndigenousPeoples,orwhenavoidanceisnotpossible,tominimize,mitigateand/orcompensateforsuchimpacts–seehttp://pubdocs.worldbank.org/en/837721522762050108/Environmental-and-Social-Framework.pdf#page=89&zoom=80.ItisalsosupportedbyDraftGuidanceNote:PDF,WordandtheWorldBankGroupEnvironmental,HealthandSafetyGuidelines.

IACHR.2009.IndigenousandTribalPeople’sRightsovertheirAncestralLandsandNaturalResources-NormsandJurisprudenceoftheInter-AmericanHumanRightsSystem.http://www.oas.org/en/iachr/indigenous/docs/pdf/AncestralLands.pdf.

IACHR.1988.AdditionalProtocoltotheAmericanConventiononHumanRightsintheAreaofEconomic,SocialandCulturalRights"ProtocolofSanSalvador".http://www.oas.org/en/iachr/mandate/Basics/sansalvador.asp

ICMM(InternationalCouncilonMiningandMetals).2010.GoodPracticeGuide:IndigenousPeoplesandMining.ICMM:London.http://www.icmm.com/library/indigenouspeoplesguide.

OperationalGuidelines:IndigenousPeoplesPolicyPage33

IFC(InternationalFinanceCorporation).2001a.HandbookforPreparingaResettlementActionPlan.http://www1.ifc.org/wps/wcm/connect/topics_ext_content/ifc_external_corporate_site/ifc+sustainability/publications/publications_handbook_rap__wci__1319577659424.This100-pagehandbookprovidesstep-by-stepguidanceontheresettlementplanningprocessandincludespracticaltoolssuchasimplementationchecklists,samplesurveys,andmonitoringframeworks.

———.2001b.“InvestinginPeople:SustainingCommunitiesthroughImprovedBusinessPractice.”IFC,Washington,DC.

http://www1.ifc.org/wps/wcm/connect/topics_ext_content/ifc_external_corporate_site/ifc+sustainability/publications/publications_handbook_investinginpeople__wci__1319578798743.

Thisdocumentisaresourceguideforestablishingeffectivecommunitydevelopmentprogrammes.

———.2003.“AddressingtheSocialDimensionsofPrivateSectorProjects”GoodPracticeNote3,IFC,Washington,DC.

http://www1.ifc.org/wps/wcm/connect/topics_ext_content/ifc_external_corporate_site/ifc+sustainability/publications/publications_gpn_socialdimensions__wci__1319578072859.

Thisnoteservesasapractitioner’sguidetoundertakingsocialimpactassessmentattheprojectlevelforIFC-financedprojects.

———.2007.“ILOConvention169andthePrivateSector:QuestionsandAnswersforIFCClients.”IFC,Washington,DC.

http://www1.ifc.org/wps/wcm/connect/Topics_ext_content/ifc_external_corporate_site/IFC%20Sustainability/Publications/Publications_Handbook_ILO169__WCI__1319577902926?id=f6b6410048d2f0ef8d17bd4b02f32852&WCM_Page.ResetAll=TRUE&CACHE=NONE&CONTENTCACHE=NONE&CONNECTORCACHE=NONE&SRV=Page.ThisnoteisintendedtobeapracticalguideforIFCclientsthatoperateincountriesthathaveratifiedConvention169onIndigenousandTribalPeoples.

———.2007.StakeholderEngagement:AGoodPracticeHandbookforCompaniesDoingBusinessinEmergingMarkets.Washington,DC:IFC.

http://www1.ifc.org/wps/wcm/connect/Topics_ext_content/ifc_external_corporate_site/IFC%20Sustainability/Publications/Publications_Handbook_StakeholderEngagement__WCI__131957718563?id=9036808048d2ea68ba36bf4b02f32852&WCM_Page.ResetAll=TRUE&CACHE=NONE&CONTENTCACHE=NONE&CONNECTORCACHE=NONE&SRV=Page.Thisbookexplainsnewapproachesandformsofengagementwithaffectedlocalcommunities.

———.2009.ProjectsandPeople:AHandbookforAddressingProject-InducedIn-migration.Washington,DC:IFC.

http://www1.ifc.org/wps/wcm/connect/Topics_ext_content/ifc_external_corporate_site/IFC%20Sustainability/Publications/Publications_Handbook_Inmigration__WCI__1319576839994?id=2277158048d2e745ac40bd4b02f32852&WCM_Page.ResetAll=TRUE&CACHE=NONE&CONTENTCACHE=NONE&CONNECTORCACHE=NONE&SRV=Page.Thisbookisaresourceguideexploringthenatureofproject-inducedin-migrationanditspotentialimpactsonhostcommunities,includingindigenouspeoples

ILO(InternationalLabourOrganization).1989.“ILOConventiononIndigenousandTribalPeoples(No.169):AManual.”ILO,Geneva.http://www.ilo.org/indigenous/Resources/Guidelinesandmanuals/lang--en/docName--WCMS_088485/index.htm.ThismanualprovidesdefinitionsandusefulguidanceonILOConvention169onIndigenousandTribalPeoples.

OperationalGuidelines:IndigenousPeoplesPolicyPage34

ILO(InternationalLabourOrganization)andAfricanCommissiononHumanandPeoples’Rights(ACHPR).2009.“OverviewReportoftheResearchProjectbytheInternationalLabourOrganizationandtheAfricanCommissiononHumanandPeoples’RightsontheConstitutionalandLegislativeProtectionoftheRightsofIndigenousPeoplesin24AfricanCountries.”Geneva:ILO.

http://www.ilo.org/indigenous/Resources/Publications/lang--en/docName--WCMS_115929/index.htm.

UnitedNations.2008.“ResourceKitonIndigenousPeoples’Issues.”UN,NewYork.http://www.un.org/esa/socdev/unpfii/documents/resource_kit_indigenous_2008.pdf.

UNESCO.1972.ConventionconcerningtheProtectionoftheWorldCulturalandNaturalHeritage.http://whc.unesco.org/en/conventiontext.

UNESCO.2003.ConventionfortheSafeguardingofIntangibleCulturalHeritagehttps://ich.unesco.org/en/convention.

UNIFEM(UnitedNationsAccreditedentityforGenderEqualityandtheEmpowermentofWomen).2004.“AtaGlance:SecuringIndigenousWomen’sRightsandParticipation.”UNIFEMFactSheet,UNIFEM,NewYork.http://www.unifem.org/materials/fact_sheets.php?StoryID=288.

UnitedNationsDevelopmentGroup.2008.GuidelinesonIndigenousPeoples’Issues.UnitedNations:Geneva.http://www.ohchr.org/Documents/Publications/UNDG_training_16EN.pdf.

UnitedNationsHumanRightsOfficeoftheHighCommissioner.2011.GuidingPrinciplesonBusinessandHumanRights:ImplementingtheUnitedNations“Protect,RespectandRemedyFramework,PrincipleIII(AccesstoRemedy).http://www.ohchr.org/Documents/Publications/GuidingPrinciplesBusinessHR_EN.pdf.

WorldBankInspectionPanel.2016.EmergingLessonsSeriesNo.2IndigenousPeoples,http://ewebapps.worldbank.org/apps/IP/IPPublications/Emerging%20Lessons%20Learned%20No.%202%20-%20Indigenous%20Peoples.pdf.

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