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Rehabilitation of cascade tank system through Ecosystem Based Adaptation for prolong droughts in dry zone of Sri Lanka - special concern to Madawachchiya Divisional Secretariat of the Anuradhapura District Sri Lanka 1 February 2019

Rehabilitation of cascade tank system through Ecosystem ......while enhancing social benefits such as increasing cultivatable areas, off-farming activities, creating green jobs , reducing

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Page 1: Rehabilitation of cascade tank system through Ecosystem ......while enhancing social benefits such as increasing cultivatable areas, off-farming activities, creating green jobs , reducing

Rehabilitation of cascade tank system through Ecosystem Based Adaptation for prolong droughts in dry zone of Sri Lanka - special concern to Madawachchiya Divisional Secretariat of the Anuradhapura District

Sri Lanka

1 February 2019

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Please submit the completed form to [email protected], using the following name convention in the subject line and file name: “CN-[Accredited Entity or Country]-YYYYMMDD”

Project/Programme Title:

Rehabilitation of cascade tank system through Ecosystem Based

Adaptation for prolong droughts in dry zone of Sri Lanka - special

concern to Madawachchiya Divisional Secretariat of the

Anuradhapura District

Country(ies): Sri Lanka

National Designated Authority(ies)

(NDA): Ministry of Mahaweli Development and Environment

Executing Entities:

Accredited Entity(ies) (AE):

Ministry of Mahaweli Development and Environment

DFCC Bank PLC

Date of first submission/ version

number: [2019-01-31] [V.1]

Date of current submission/

version number [2019-01-31] [V.1]

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Simplified Approval Process CONCEPT NOTE Template V.1.1 GREEN CLIMATE FUND | PAGE 2 OF 4

A. Project / Programme Information (max. 1 page)

A.1. Project or programme

☒ Project

☐ Programme

A.2. Public or private sector

☒ Public sector

☐ Private sector

A.3. Indicate the result areas

for the project/programme

Mitigation: Reduced emissions from:

☒ Energy access and power generation

☐ Low emission transport

☐ Buildings, cities and industries and appliances

☐ Forestry and land use

Adaptation: Increased resilience of:

☒ Most vulnerable people and communities

☒ Health and well-being, and food and water security

☒ Infrastructure and built environment

☒ Ecosystem and ecosystem services

A.4. Estimated mitigation

impact (tCO2eq over lifespan) -NA-

A.5. Estimated

adaptation

impact (number

of direct

beneficiaries

and % of

population)

30,000 people 55.56% of total population of the

area

A.6. Indicative total project

cost (GCF + co-finance)

Amount: USD

9,582,000

A.7. Indicative

GCF funding

requested (max

10M)

Amount: USD 8.882Mn.

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Simplified Approval Process CONCEPT NOTE Template V.1.1 GREEN CLIMATE FUND | PAGE 3 OF 4

A.8. Mark the type of financial

instrument requested for the

GCF funding

☒ Grant ☐ Loan ☐ Guarantee Other: specify___________________

A.9. Estimated duration of

project/ programme:

a) disbursement

period: 4 years

b) repayment period, if

applicable:

A.10. Estimated

project/

Programme

lifespan

Long term (25 year) This refers to the total

period over which the investment is effective.

A.11. Is funding from the

Project Preparation Facility

needed?

Yes ☒ No☐

A.12. Confirm

overall ESS

category is

minimum to no

risk1

☒ C or I-3

A.13. Provide rational for the

ESS categorization (100 words)

This project is focused on building resilience of a highly climate vulnerable divisional secretariat

division in dry zone. The project aims to rehabilitate the dilapidated cascade tank systems after

a preliminary survey with the community participation. Therefore the community will get

involved from the beginning of the project implementation as well as for sustainable

maintenance of the cascade systems. As this cascade system already demarcated, additional land

acquisition will not be taken place. The project will be implemented with the participation of

responsible government institutions in collaboration with the community based organizations

(CBOs) and farmer organizations. This project will enhance the ecosystem services and functions

while enhancing social benefits such as increasing cultivatable areas, off-farming activities,

creating green jobs , reducing malnutrition, poverty and internal migration.

A.14. Has the CN been shared

with the NDA? Yes ☒ No ☐

A.15.

Confidentiality2

☐ Confidential

☒ Not confidential

A.16. Project/Programme

rationale, objectives and

approach of

Sri Lanka is a tropical island highly vulnerable to impacts of climate change and ranked as 4th and

2nd in terms of Climate Risks in the Global climate index for 2018 and 2019 respectively. According

to the climate predictions, the dry zone of the country which is the major agricultural area will

receive less rainfall and will affect the economy and the livelihood of the whole country. The

1 Refer to the SAP ESS Guidelines 2 Concept notes (or sections of) not marked as confidential may be published in accordance with the Information Disclosure Policy (Decision B.12/35) and the Review of the Initial Proposal Approval Process (Decision B.17/18).

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Simplified Approval Process CONCEPT NOTE Template V.1.1 GREEN CLIMATE FUND | PAGE 4 OF 4

programme/project (max 100

words)

main objective of this project is to increase the resilience of the most vulnerable communities of

the dry zone. Rehabilitation of the existing cascade tank system of the dry zone has been

identified as a priority adaptation measure to increase the water storage capacity of the dry zone.

The project will enrich the ecosystems including micro-habitats in and around the cascades and

will enhance the livelihood of the community by introducing resistant varieties, new market for

organic products and alternative green jobs.

B. Project / Programme details (max. 3 pages)

B.1. Context and Baseline (max. 1 page)

Sri Lanka is a tropical island lying close to the southeast tip of India. The island receives rain mainly during two monsoons

with the intensity varies markedly across the island. Based on rainfall, 3 main agro-climatic regions can be recognized

namely, wet zone (annual rainfall > 2500mm), intermediate zone (annual rainfall between 2500 – 1750mm) and dry zone

(annual rainfall < 1750mm). Mean annual temperature is about 27 °C in the lowlands and 15° C in the central highlands.

The temperature decreases with increasing altitude, approximately 2 °C per 300 m of elevation.

Sri Lanka is highly vulnerable to adverse impacts of climate change and ranked as 4th and 2nd in terms of Climate Risks in

the Global Climate Index for 2018 and 2019 respectively. The climate change predictions indicated that the annual rainfall

anomaly is negative in Northeastern parts, and positive in Southwestern parts from 2020 to 2040. Southwest monsoon

rainfall anomaly is positive and increasing in the wet zone while North-east monsoon rainfall anomaly is negative and

decreasing significantly over the dry zone. According to the statistics of the Department of Irrigation and Disaster

Management Center 855,307 people belong to 217, 440 families affected by drought condition of 2016 while the number

has increased to 1,041,690 people in 251,310 families affected in 2017. On the other hand 340,000 people and 630,000

people were affected by floods in 2016 and 2017 respectively.

According to the Department of Censuses and Statistics, 24.3 % of the country is dependent on livelihoods connected to

agriculture. Adverse weather conditions that prevailed in 2016 resulted in a contraction mainly in paddy, tea and rubber

subsectors (Central Bank of Sri Lanka Annual Report, 2016). Agriculture, Forestry and fishing related activities contracted

by 4.2 % in 2016, resulting in a reduction in their share in real GDP to 7.1 % in 2016. Reduced rainfall of the North-East

monsoon is significantly affecting the Maha season mainly in the dry zone which covers about 70% of the paddy

cultivation. Emerging evidence from various sources suggest that climate change could alter natural systems connected

to water cycle, ecosystems and biodiversity of the country (Eriyagama et al., 2010; Marambe et al., 2012; ME, 2011;

Weerahewa et al., 2012). Overall, the impacts of climate change are widespread and they are likely to create negative

socio-economic outcomes on many sectors in Sri Lanka.

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Simplified Approval Process CONCEPT NOTE Template V.1.1 GREEN CLIMATE FUND | PAGE 5 OF 4

Tank cascade system is one of the fifty Globally important agricultural heritage systems recognized by the FAO. The tank

based hydraulic system built in ancient times was highly effective to the paddy cultivation of the dry zone and results to

become the “Granary of the East in history”. The main principle behind the tank cascade system is recycling and reuse of

water through a network of small to large scale tanks. Each tank has specific micro ecosystems which can provide special

ecosystem services as sedimentation, water purification, minimize the evaporation etc. and also has a unique system of

releasing water to farm lands through micro canal networks. This water functioning system in the tank cascade supports

the aquatic biodiversity and the unique micro ecosystems associated with tank cascade which is important for the survival

of large number of fauna and flora. A sketch diagram of the ancient tank cascade system is given below;

This tank cascade system was managed through ancient customs was abolished in the mid of 19th century. There are an

estimated 18,000 constructed ponds or tanks in the dry zone, but approximately half of them are classified as ‘abandoned’

or badly in need of repair(IWMI, Water Issue Brief 2010). Rehabilitation of the existing cascade system was identified as

a priority adaptation measure to address the prolong drought in the dry zone due to climate change.

Madawachchiya is one of the main paddy producing divisional Secretariat(DS) in the Anuradhapura district falling under

dry zone of Sri Lanka. The main livelihood in the DS is agriculture. The agriculture sector employs about 46% of the labor

force. From the total land extent of 2772 ha, 75% (2071 ha) allocated for agriculture mainly paddy. From the total

cultivated lands, water is supplied only for 525 ha (25%) by major irrigation schemes while the majority of 1293 ha (62%)

get water from tank cascades. More than 10,600 farmers depend on small irrigated tanks like cascade tank systems.

Main issues and challengers in maintaining the tank cascade system are lack of financial resources, technical capacity for

rehabilitation, lack of knowledge dissemination on the self-sustainability of the system and lack of proper coordination

mechanism among stakeholders to maintain of tank cascade system. Strengthening of rain water harvesting by building

household rainwater harvesting tanks can also be used as an additional adaptive measure for domestic use for community

resilience building. High capital investment and lack of stranded for rainwater harvesting tanks are the major obstacles

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Simplified Approval Process CONCEPT NOTE Template V.1.1 GREEN CLIMATE FUND | PAGE 6 OF 4

for popularize collection and use of rain water. Lack of awareness, insufficient capacity among relevant stakeholders and

gaps in research on related area considered as major challenges.

National Adaptation Plan for Climate Change Impacts in Sri Lanka 2016- 2025 has identified developing and promoting

water efficient farming methods, increasing the water use efficiency and reducing losses of irrigation water and assessing

and improving the current practices of water management for climate resilience as adaptation measures. NDCs of Sri

Lanka have also identified restoration and rehabilitation of all the abandon tanks and irrigation cannels as one of its targets

under irrigation sector. The National Budget 2018 under the theme of “Blue Green Economy” has also allocated Rs. Min

1,000 for rehabilitate small and medium tanks under the Ministry of Agriculture.

B.2. Project / Programme description (max. 1 page)

The project addresses the vulnerability of the community for prolonged droughts through rainwater harvesting and

groundwater recharge; provide safe drinking water for people, promote a range of climate-resilient technologies for enhanced

agricultural and livestock production. The main objective of the project is to enhance the climate resilience of the most

vulnerable community of the Madawachchiya DS Division of Sri Lanka. The project will facilitate access to safe water for

drinking, household uses and agriculture; increase the water use efficiency; increase food security and quality of life of the

community. In addition, empowering the village communities for sustainable management of cascade system and enriching

ecosystem services provided by cascade tank system have been identified as specific objectives.

In achieving these objectives following 4 components have been identified.

1. Designing and preliminary planning

Under this component, surveys will be conducted to identify suitable sites and cascade systems to implement the project.

Participatory Rural Appraisal (PRA) will be conducted to identify the community needs and coordination mechanism will

be identified and established for maintenance of the restored cascade system.

2. Restoration of existing cascade system and Ecosystem enrichment

The component will support adaptation actions to enhance resilience of the community by restoration of existing cascade

system and the intact ecosystem. Under this component restoration of selected cascade system and micro habitats,

enrichment of watershed area and adjacent sensitive ecosystems by planting suitable tree species and application of

suitable soil conservation measures to minimize siltation and water evaporation of tanks.

3. Ensure the supply of water for households

Household water requirement and home gardening is fulfilled by the wells. Solar systems will be introduced at household

level to run water pumping for households and water filtering centers. Rainwater harvesting tanks will also be introduced

to the households where required.

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Simplified Approval Process CONCEPT NOTE Template V.1.1 GREEN CLIMATE FUND | PAGE 7 OF 4

4. Livelihood development

Actions identified in this component will ensure upgrading the livelihood of the community. It will identify the climate

resistant less water required species and introduce them to the field. Introducing and promoting organic farming with

integrated livestock development, inland fisheries with and creating a market for the products will be done by this

component,. Alternative livelihoods (green jobs) will be introduced for communities to adapt the prolong drought

conditions.

5. Knowledge and information support mechanism.

The component will support conservation and documentation of the traditional knowledge/practices in relation to rain

water harvesting, ecosystems management, traditional tolerant crop varieties, and climate change forecasting, food

security, ethno-botanical practices. In spite of the limited supply of water, farmers tend to cultivate high water required

crops like paddy even in the drought conditions. Actions will be taken to raise awareness of the farmer community on

water use efficiency technology/ drought resilience crop varieties and alternative crops for drought conditions. Promoting

research and development, increasing the stakeholder capacity will be done in the regional as well as national level.

sharing lesson learned nationally and internationally will be done to improve the project.

Components Activities

1. Designing and

planning.

1.1 Conduct a preliminary survey to identify site specific interventions of the existing cascade

systems and socio economic status of the community.

1.2 Establishment of mechanism for coordination with stakeholders / stakeholder engagement

for maintenance of the restored cascade system.

2. Restoration of

existing cascade

system and

Ecosystem

enrichment

2.1 Restore selected exciting cascade system with desilting, establishing of micro habitats and

restoration of irrigation banks and canal system.

2.2 Enrich the watershed area and intact sensitive ecosystems with planting suitable tree

species.

3.Ensure the supply of water for households

3.1 Establishment of rainwater harvesting tanks.

3.2 Introduce solar energy for household pumping.

4.Livelihood

development

4.1 Introduce micro-irrigation systems to increase the water use efficiency.

4.2 promote good Agricultural Practices by introducing appropriate soil conservation

techniques and use of organic fertilizer.

4.3 Promote livestock and inland fisheries as an alternative livelihood.

4.4 Establish organic commercial farming areas with drought resistance verities/high demand

fruit varieties.

4.5 Promote green jobs alternative livelihoods.

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Simplified Approval Process CONCEPT NOTE Template V.1.1 GREEN CLIMATE FUND | PAGE 8 OF 4

In order to ensure that there are successful and sustained transformational results, the project will work with all relevant

stakeholders on national and local levels to ensure water and food security. Therefore the project will support easy access

to water and it will save their time to engage on other alternative livelihoods and it directly link with development of

social life.

5. Knowledge and

information

support

mechanism.

5.1 Conservation and documentation of the traditional knowledge/practices relevant to rain

water harvesting, ecosystems management, traditional tolerant crop varieties and climate

change forecasting, food security, ethno-botanical practices.

5.2 Raise awareness on water use efficiency technology/ drought resilience crop varieties.

5.3 Promote research and development to improve this technology

5.4 Stakeholder capacity building.

4.5 Sharing lesson learned among nationally and internationally

B.3. Expected project results aligned with the GCF investment criteria (max. 1 page)

Impact potential

The project will improve food and water security as well as climate resilience of the community in the Madawachchiya DS

Division of the dry zone. The project will directly benefit 30,000 People to cope with the intensifying challenges of climate

change. The project will indirectly benefit about 10,000 people together the total beneficiaries 40,000 account for 74% of the

population in the selected areas. Indirectly total population of Sri Lanka and biodiversity of the country will benefit through

increase food security and enriched ecosystems associated with cascade systems. The project will run over four years and

consists of five complementary components that will empower the community to respond to climate change in terms of,

adaptive capacity, climate resilient development and awareness.

Paradigm shift potential

The Cascade tank system has been studied and proven as a successful tool for water management of the dry zone and

adaptation measure for adverse impacts of climate change. The efficiency of the system can be increased by increasing the

water use efficiency and modern tools like micro irrigation. Approximately 20 such systems can be replicated at different

locations in dry zone. The relevant government and non-government stakeholders will be strengthened with the knowledge

and experience gathered from this project. Traditional varieties identified in the project can be used for crop improvement

in the future.

Sustainable development potential

The project will increase the productivity of the farmlands, which will contribute significant increase to the total rice

production and other crops while ensuring food security of the country. Alternative livelihoods (green jobs) will be created

specially to the women and youth in the area. The proposed activities of the project will improve the water and soil quality,

biodiversity and ecosystem services of the area. The project proposes to improve the livelihoods of the framers through,

integrated water management catering to local needs, introducing drought resistant varieties, introducing improved organic

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Simplified Approval Process CONCEPT NOTE Template V.1.1 GREEN CLIMATE FUND | PAGE 9 OF 4

farming techniques. The capacity of the community will be improved through training and awareness to ensure the above.

The project will indirectly address the issue of CKDU which is a type of water related chronic disease by integrated and

ecosystem based water management and improve the health and wellbeing of the targeted population.

Project activities will deliver a number of environmental benefits that include soil conservation and reduction of erosion,

sedimentation and siltation in tanks and improved tree cover in catchment areas of cascade ecosystems. This will have several

environmental benefits such as improved micro-climate, improved soil structure, increased biodiversity and restoration of

ecosystem services, Reintroduction of organic farming will reduce the chemical inputs to the farmlands and it will eventually

reduce the emissions from agriculture as well. This project will directly address the SDG goals 1,2,3,5,6,7,8,13 and 15.

Needs of recipient

Dry zone specially Pollonnaruwa, Anuradhapura and Kurunegalla districts have been identified as most vulnerable impacts

of climate change and represent low poverty levels. This project will support the small and medium level farmer communities

which are most vulnerable to water scarcity due to climate change. It has been suspected that the occurrence of the Chronic

kidney disease has a direct connection with the water quality and availability of the area. The project will provide safe drinking

water supply by enhancing the cascade system and rain water harvesting technic and also will improve the water quality by

promoting organic farming.

Country ownership

The project goes in line with the ongoing projects “Strengthening the resilience of smallholder farmers in the Dry Zone to

climate variability and extreme events through an integrated approach to water management”, “Addressing climate change

impacts on marginalized agricultural communities at Mahaweli river basin which are implementing at different locations.

Outcomes of the project will address the adaptation measures identified in the National Adaptation Plan 2016-2025 and

Nationally Determined Contributions.

C. Indicative financing / Cost information (max. 2 pages)

C.1. Financing by components (max ½ page)

Please provide an estimate of the total cost per component and disaggregate by source of financing.

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Simplified Approval Process CONCEPT NOTE Template V.1.1 GREEN CLIMATE FUND | PAGE 10 OF 4

Component Indicative cost

(USD)

GCF financing Co-financing

Amount

(USD)

Financial

Instrument

Amount

(USD)

Financial

Instrument

Name of

Institutions

Component 1: Designing

and preliminary planning 32,000 32,000 Grant

Component 2:

Restoration of existing

cascade system and

Ecosystem enrichment

4,000,000 3,500,000 Grant 500,000

Grant Government

of Sri Lanka

Component 3: Ensure the

supply of water for

households

1,500,000 1,500,000 Grant

Component 4: Livelihood

development

1,900,000

1,900,000

Component 5: Knowledge

and information support

mechanism.

1,500,000 1,500,000

Project Management

(Including Monitoring) 650,000 450,000 Grant 200,000

Grant Government

of Sri Lanka

Indicative total cost(USD) 9,582,000 8,882,000 700,000

DFCC was established by as Act of Parliament in 1955 as a Development Bank, which was an outcome of a joint effort by the

Government of Sri Lanka and the World Bank. DFCC has also worked with many international donor agencies, such as the

World Bank, ADB, DEG, KFW, EIB, JAICA, Proparco, etc. The Bank was chosen to act as the Administrative Unit to manage the

World Bank funded refinance loan schemes (ESD and RERED schemes) to Sri Lanka in 1998 and 2002, as well as the refinance

schemes for renewable energy and SME sector by the EIB in 2014. In 2018, DFCC was chosen by the ADB for the

implementation of its roof top solar project scheme in Sri Lanka.

For private sector proposal, provide an overview (diagram) of the proposed financing structure.

C.2. Justification of GCF involvement (max 1/2 page)

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Simplified Approval Process CONCEPT NOTE Template V.1.1 GREEN CLIMATE FUND | PAGE 11 OF 4

Rehabilitation of the existing tank cascade system has been identified as a priority by the Government as a climate change

adaptation measure to ensure water and food security of the dry zone. But the capital cost in rehabilitation of the system is

higher and a single source of funding or the government cannot bear the cost alone. In addressing this national priority, funding

from the government as well as various international sources will be utilized. As the rehabilitated system can sustain for a long

period of time with minimum cost of maintenance, return back of the funds of the project is high.

C.3. Sustainability and replicability of the project (exit strategy) (max. 1/2 page)

A separate Monitoring Unit will be set-up to ensure the sustainable implementation and monitoring of the project. This Unit

will focus on aspects pertaining to proper implementation of the sub-components of the project, in addition to recording

statistics pertaining to the project. This Unit will also be responsible for coordinating with all government and other non-

governmental organizations to ensure that the project will function smoothly. The Monitoring Unit will report to both the

Executing Agency and the Accredited Entity through regular and ad-hoc reporting. Both the Executing Agency and the

Accredited Entity will be responsible for taking appropriate action where necessary based on the findings of the Monitoring

Unit and also to maintain statistics pertaining to the project.

The trained and capacity built community and the institutes will maintain the rehabilitated cascade tank systems and other

initiatives established by the project after completion of the project period.

The success story of the project will be used as a pilot to replicate in other areas.

C.4 Stakeholders engagement in the project or programme (max ½ page)

Ministry of Mahaweli Development and Environment is the main implementation partner of the Project with the participation

of other government and non-government Organizations. This project will be implemented through the wide stakeholder

participation including Min. of Agriculture, Min. of Provincials Councils and Local Government , Min. of Health, Nutrition and

Indigenous Medicine, Min. of Finance, Min. of Fisheries and Aquatic Resources, Min. of Science, Technology& Research, Dept.

of Agrarian Development, Dept. of Irrigation, Dept. of Agriculture, Mahaweli Authority of Sri Lanka, Dept. of Health, National

Water Supply & Drainage Board (NWSDB), Provincial Councils, District Secretariats/ Divisional Secretariats. Community

participation in implementation and long term sustainability of the project will be ensured by involvement of Farmer

Organizations, Cascade Management Teams, Inland Fisher Communities etc.

C.5 Monitoring and Evaluation and reporting plans (max ¼ page)

Continues monitoring of the project will be done quarterly and annually by the monitoring unit. The National Steering Committee

will be established comprising of the relevant stakeholders.

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Simplified Approval Process CONCEPT NOTE Template V.1.1 GREEN CLIMATE FUND | PAGE 12 OF 4

D. Annexes

☒ ESS screening check list (Annex 1)

☒ Map indicating the location of the project/programme (as applicable)

☐ Evaluation Report of previous project (as applicable)

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Simplified Approval Process CONCEPT NOTE Template V.1.1 GREEN CLIMATE FUND | PAGE 13 OF 4

Annex 1: Environmental and Social Screening Checklist

Part A: Risk Factors

The questions describe the “risk factors” of activities that would require additional assessments and information.

Any “Yes” response to the questions will render the proposal not eligible for the Simplified Approval Process Pilot

Scheme. Proposals with any of the risk factors may be considered under the regular project approvals process

instead.

Exclusion criteria YES NO

Will the activities involve associated facilities and require further

due diligence of such associated facilities?

☐ ☒

Will the activities involve trans-boundary impacts including those

that would require further due diligence and notification to

downstream riparian states?

☐ ☒

Will the activities adversely affect working conditions and health

and safety of workers or potentially employ vulnerable categories of

workers including women, child labour?

☐ ☒

Will the activities potentially generate hazardous waste and

pollutants including pesticides and contaminate lands that would

require further studies on management, minimization and control

and compliance to the country and applicable international

environmental quality standards?

☐ ☒

Will the activities involve the construction, maintenance, and

rehabilitation of critical infrastructure (like dams, water

impoundments, coastal and river bank infrastructure) that would

require further technical assessment and safety studies?

☐ ☒

Will the proposed activities potentially involve resettlement and

dispossession, land acquisition, and economic displacement of

persons and communities?

☐ ☒

Will the activities be located in protected areas and areas of

ecological significance including critical habitats, key biodiversity

☐ ☒

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areas and internationally recognized conservation sites?

Will the activities affect indigenous peoples that would require

further due diligence, free, prior and informed consent (FPIC) and

documentation of development plans?

☐ ☒

Will the activities be located in areas that are considered to have

archaeological (prehistoric), paleontological, historical, cultural, artistic,

and religious values or contains features considered as critical cultural

heritage?

☐ ☒

Part B: Specific environmental and social risks and impacts

Assessment and Management of Environmental and

Social Risks and Impacts YES NO TBD

Has the AE provided the E&S risk category of the project

in the concept note?

☐ ☒ ☐

Has the AE provided the rationale for the categorization of

the project in the relevant sections of the concept note or

funding proposal?

☐ ☒ ☐

Are there any additional requirements for the country? ☐ ☒ ☐

Are the identification of risks and impacts based on recent

or up-to-date information?

☐ ☒ ☐

Labour and Working Conditions YES NO TBD

Are the proposed activities expected to have impacts on

the working conditions, particularly the terms of

employment, worker’s organization, non-discrimination,

equal opportunity, child labour, and forced labour of

direct, contracted and third-party workers?

☐ ☒ ☐

Will the proposed activities pose occupational health and

safety risks to workers including supply chain workers?

☐ ☒ ☐

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Resource Efficiency and Pollution Prevention YES NO TBD

Are the activities expected to generate (1) emissions to

air; (2) discharges to water; (3) activity-related

greenhouse gas (GHG) emission; and (5) waste?

☐ ☒ ☐

Are the activities expected to utilize natural resources

including water and energy?

☐ ☒ ☐

Will there be a need to develop detailed measures to

reduce pollution and promote sustainable use of

resources?

☐ ☒ ☐

Community Health, Safety, and Security YES NO TBD

Will the activities potentially generate risks and impacts to

the health and safety of the affected communities?

☐ ☒ ☐

Will there be a need for an emergency preparedness and

response plan that also outlines how the affected

communities will be assisted in times of emergency?

☐ ☒ ☐

Will there be risks posed by the security arrangements

and potential conflicts at the project site to the workers

and affected community?

☐ ☒ ☐

Land Acquisition and Involuntary Resettlement YES NO TBD

Will the activities likely involve voluntary transactions

under willing buyer-willing-seller conditions and have

these been properly communicated and consulted?

☐ ☒ ☐

Biodiversity Conservation and Sustainable Management

of Living Natural Resources YES NO TBD

Are the activities likely introduce invasive alien species of

flora and fauna affecting the biodiversity of the area?

☐ ☒ ☐

Will the activities have potential impacts on or be

dependent on ecosystem services including production of

living natural resources?

☐ ☒ ☐

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Simplified Approval Process CONCEPT NOTE Template V.1.1 GREEN CLIMATE FUND | PAGE 16 OF 4

Indigenous Peoples YES NO TBD

Are the activities likely to have indirect impacts on

indigenous peoples?

☐ ☒ ☐

Will continuing stakeholder engagement processes and a

grievance redress mechanism be integrated into the

management / implementation plans?

☐ ☒ ☐

Cultural Heritage YES NO TBD

Will the activity allow continuous access to the cultural

heritage sites and properties?

☐ ☒ ☐

Will there be a need to prepare a procedure in case of the

discovery of cultural heritage assets?

☐ ☒ ☐

Sign-off: Specify the name of the person responsible for the environmental and social screening and any other approvals

as may be required in the accredited entity’s own management system.