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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
OperationalGuidelines:IndigenousPeoplesPolicyPage1
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;
OperationalGuidelines:IndigenousPeoplesPolicyPage2
(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>.
OperationalGuidelines:IndigenousPeoplesPolicyPage3
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:
OperationalGuidelines:IndigenousPeoplesPolicyPage4
(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.
OperationalGuidelines:IndigenousPeoplesPolicyPage5
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.
OperationalGuidelines:IndigenousPeoplesPolicyPage6
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;
OperationalGuidelines:IndigenousPeoplesPolicyPage7
(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.
OperationalGuidelines:IndigenousPeoplesPolicyPage8
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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