SLIDE 1 The Principles of the ESP
June 7, 2016 LATIN AMERICA AND THE CARIBBEAN REGIONAL WORKSHOP FOR ENHANCING KNOWLEDGE ON THE ADAPTATION FUND PROJECT DEVELOPMENT PROCESS AND PROJECT FULL CYCLE Dr Dirk Lamberts June 8, 2016
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SP PRINCIPL
E S Pur pose
Guida nc e is pro vide d o n the me a ning o f e a c h
SP Princ iple s a nd o n ho w the y sho uld b e inte rpre te d in the pra c tic a l a nd c o nc re te c o nte xt o f F und-suppo rte d pro je c ts/ pro g ra mme s.
While a n I
E ma y a sse ss c o mplia nc e with the E SP a nd its princ iple s using the mo st suita b le a nd a ppro pria te me a ns tha t it c ho o se s, e xa mple s a re pro vide d b e lo w to pro vide furthe r c la rity.
Guidanc e do c ume nt fo r I
mple me nting E ntitie s
- n c o mplianc e with the AF
E SP
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SP PRINCIPL
E S
Princ iple 1: Co mplianc e with the L aw
Pr
amme s suppo r te d by the F und shall be in c o mplianc e with all applic able do me stic and inte r natio nal law.
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SP PRINCIPL
E S
Princ iple 1: Co mplianc e with the L aw
I
n suppo rt o f the Pro po sa l, the I E will pro vide , whe n re le va nt, a de sc riptio n o f the le g a l a nd re g ula to ry fra me wo rk fo r a ny pro je c t a c tivity tha t ma y re q uire prio r pe rmissio n (suc h a s pla nning pe rmissio n, e nviro nme nta l pe rmits, c o nstruc tio n pe rmits, pe rmits fo r wa te r e xtra c tio n, e missio ns, a nd use o r pro duc tio n o r sto ra g e o f ha rmful sub sta nc e s). F
re q uire me nt, the I E will de sc rib e the c urre nt sta tus, a ny ste ps a lre a dy ta ke n, a nd the pla n to a c hie ve c o mplia nc e with re le va nt do me stic a nd inte rna tio na l la ws.
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SP PRINCIPL
E S
Princ iple 2: Ac c e ss a nd E quity
Pr
amme s suppo r te d by the F und shall pr
and e quitable ac c e ss to be ne fits in a manne r that is inc lusive and do e s no t impe de ac c e ss to basic he alth se r vic e s, c le an wate r and sanitatio n, e ne r gy, e duc atio n, ho using, safe and de c e nt wo r king c o nditio ns, and land r ights. Pr
amme s sho uld no t e xac e r bate e xisting ine quitie s, par tic ular ly with r e spe c t to mar ginalize d o r vulne r able gr
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SP PRINCIPL
E S
Princ iple 2: Ac c e ss a nd E quity
T
he pro c e ss o f a llo c a ting a c c e ss to pro je c t/ pro g ra mme b e ne fits sho uld b e fa ir a nd impa rtia l.
No t impe de a c c e ss o f a ny g ro up to
e sse ntia l se rvic e s a nd rig hts
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SP PRINCIPL
E S Pr inc iple 3: Mar ginalize d and Vulne r able Gr
Pr
amme s suppo r te d by the F und shall avo id impo sing any dispr
tio nate adve r se impac ts o n mar ginalize d and vulne r able gr
e n, wo me n and gir ls, the e lde r ly, indige no us pe o ple , tr ibal gr
- ups, displac e d pe o ple , r
e fuge e s, pe o ple living with disabilitie s, and pe o ple living with HIV/ AIDS. In sc r e e ning any pr
pr
amme , the imple me nting e ntitie s shall asse ss and c o nside r par tic ular impac ts o n mar ginalize d and vulne r able gr
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SP PRINCIPL
E S
Princ iple 3: Ma rg ina lize d a nd Vulne ra ble Groups.
ide ntify a nd q ua ntify the g ro ups me ntio ne d I
de ntify a dve rse impa c ts tha t e a c h ma rg ina lize d a nd vulne ra b le g ro up a re like ly to e xpe rie nc e
De sc rib e ho w the impa c ts a re no t
dispro po rtio na te c o mpa re d to no n- ma rg ina lize d a nd no n-vulne ra b le g ro ups
De sc rib e mo nito ring
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SP PRINCIPL
E S
Princ iple 4: Huma n Rig hts
Pr
amme s suppo r te d by the F und shall r e spe c t and whe r e applic able pr
natio nal human r ights.
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SP PRINCIPL
E S
Princ iple 4: Huma n Rig hts
T
he ho st c o untry o r c o untrie s o f the pro je c t/ pro g ra mme a re c ite d in a ny Huma n Rig hts Co unc il Spe c ia l Pro c e dure s, b e the y the ma tic o r c o untry ma nda te s
Huma n rig hts issue s sho uld b e a n e xplic it
pa rt o f c o nsulta tio ns with sta ke ho lde rs during the ide ntific a tio n a nd/ o r fo rmula tio n
- f the pro je c t/ pro g ra mme .
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SP PRINCIPL
E S
Princ iple 5: Ge nde r E qua lity a nd Wome n’s E mpowe rme nt
Pr
amme s suppo r te d by the F und shall be de signe d and imple me nte d in suc h a way that bo th wo me n and me n 1) have e qual o ppo r tunitie s to par tic ipate as pe r the F und ge nde r po lic y; 2) r e c e ive c o mpar able so c ial and e c o no mic be ne fits; and 3) do no t suffe r dispr
tio nate adve r se e ffe c ts dur ing the de ve lo pme nt pr
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SP PRINCIPL
E S
Princ iple 5: Ge nde r E qua lity a nd Wome n’s E mpowe rme nt
Do no t inc lude e le me nts tha t a re kno wn to
e xc lude o r ha mpe r a g e nde r g ro up b a se d
- n le g a l, re g ula to ry, o r c usto ma ry g ro unds
Do no t ma inta in o r e xa c e rb a te g e nde r
ine q ua lity o r the c o nse q ue nc e s o f g e nde r ine q ua lity.
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SP PRINCIPL
E S
Princ iple 6: Core L a bour Rig hts
Pr
amme s suppo r te d by the F und shall me e t the c o r e labo ur standar ds as ide ntifie d by the Inte r natio nal L abo ur Or ganizatio n.
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SP PRINCIPL
E S
Princ iple 6: Core L a bour Rig hts
the pro je c t/ pro g ra mme will inc o rpo ra te the
I L O c o re la b o ur sta nda rds in the de sig n a nd imple me nta tio n o f the pro je c t/ pro g ra mme a nd c re a te a wa re ne ss with a ll invo lve d o n ho w the se sta nda rds a pply.
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SP PRINCIPL
E S
Princ iple 7: Indig e nous Pe ople s
T
he F und shall no t suppo r t pr
amme s that ar e inc o nsiste nt with the r ights and r e spo nsibilitie s se t fo r th in the UN De c lar atio n o n the Rights o f Indige no us Pe o ple s and o the r applic able inte r natio nal instr ume nts r e lating to indige no us pe o ple s.
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E S
Princ iple 7: Indig e nous Pe ople s
I
de ntify the pre se nc e o f indig e no us pe o ple s in the pro je c t/ pro g ra mme a re a
Co nsiste nc y with 2007 UN De c la ra tio n o n
the Rig hts o f I ndig e no us Pe o ple s (UNDRI P)
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SP PRINCIPL
E S
Princ iple 8: Involunta ry Re se ttle me nt
Pr
amme s suppo r te d by the F und shall be de signe d and imple me nte d in a way that avo ids o r minimize s the ne e d fo r invo luntar y r e se ttle me nt. Whe n limite d invo luntar y r e se ttle me nt is unavo idable , due pr
- c e ss sho uld be o bse r
ve d so that displac e d pe r so ns shall be info r me d o f the ir r ights, c o nsulte d o n the ir
e d te c hnic ally, e c o no mic ally, and so c ially fe asible r e se ttle me nt alte r native s o r fair and ade quate c o mpe nsatio n.
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SP PRINCIPL
E S
Princ iple 8: Involunta ry Re se ttle me nt
I
nvo lunta ry re se ttle me nt re fe rs to b o th physic a l displa c e me nt (re lo c a tio n o r lo ss o f she lte r) a nd to e c o no mic displa c e me nt (lo ss
- f a sse ts o r a c c e ss to a sse ts tha t le a ds to
lo ss o f inc o me so urc e s o r o the r me a ns o f live liho o d).
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E S
Princ iple 9: Prote c tion of Na tura l Ha bita ts
T
he F und shall no t suppo r t pr
amme s that wo uld invo lve unjustifie d c o nve r sio n o r de gr adatio n o f c r itic al natur al habitats, inc luding tho se that ar e (a) le gally pr
- te c te d; (b) o ffic ially
pr
pr
e c o gnize d by autho r itative so ur c e s fo r the ir high c o nse r vatio n value , inc luding as c r itic al habitat; o r (d) r e c o gnize d as pr
tr aditio nal o r indige no us lo c al c o mmunitie s.
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SP PRINCIPL
E S
Pr inc iple 9: Pr
al Habitats
ide ntify: 1) the pre se nc e in o r ne a r the
pro je c t/ pro g ra mme a re a o f na tura l ha b ita ts, a nd 2) the po te ntia l o f the pro je c t/ pro g ra mme to impa c t dire c tly, indire c tly, o r c umula tive ly upo n na tura l ha b ita ts.
I
f suc h ha b ita ts e xist a nd the re is a po te ntia l o f the pro je c t/ pro g ra mme to impa c t the ha b ita t, the I E will:
1)De sc rib e the lo c a tio n o f the c ritic a l ha b ita t in
re la tio n to the pro je c t a nd why it c a nno t b e a vo ide d, a s we ll a s its c ha ra c te ristic s a nd c ritic a l va lue .
2)F
- r e a c h a ffe c te d c ritic a l na tura l ha b ita t, pro vide
a n a na lysis o n the na ture a nd the e xte nt o f the impa c t
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SP PRINCIPL
E S
Princ iple 10: Conse rva tion of Biolog ic a l Dive rsity
Pr
amme s suppo r te d by the F und shall be de signe d and imple me nte d in a way that avo ids any signific ant o r unjustifie d r e duc tio n o r lo ss o f bio lo gic al dive r sity o r the intr
- duc tio n o f kno wn invasive spe c ie s.
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SP PRINCIPL
E S
Princ iple 10: Conse rva tion of Biolog ic a l Dive rsity
ide ntify: 1) the pre se nc e in o r ne a r the
pro je c t/ pro g ra mme a re a o f impo rta nt b io lo g ic a l dive rsity;
2) po te ntia l o f a sig nific a nt o r unjustifie d
re duc tio n o r lo ss o f b io lo g ic a l dive rsity, a nd
3) po te ntia l to intro duc e kno wn inva sive
spe c ie s.
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SP PRINCIPL
E S
Princ iple 11: Clima te c ha ng e
Pr
amme s suppo r te d by the F und shall no t r e sult in any signific ant o r unjustifie d inc r e ase in gr e e nho use gas e missio ns o r
dr ive r s o f c limate c hange .
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SP PRINCIPL
E S
Princ iple 11: Clima te c ha ng e
Co mplia nc e with the princ iple ma y b e
de mo nstra te d b y a risk-b a se d a sse ssme nt o f re sulting inc re a se s in the e missio ns o f g re e nho use g a sse s o r in o the r drive rs o f c lima te c ha ng e .
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SP PRINCIPL
E S
Princ iple 12: Pollution Pre ve ntion a nd Re sourc e E ffic ie nc y
Pr
amme s suppo r te d by the F und shall be de signe d and imple me nte d in a way that me e ts applic able inte r natio nal standar ds fo r maximizing e ne r gy e ffic ie nc y and minimizing mate r ial r e so ur c e use , the pr
- duc tio n o f waste s, and the r
e le ase o f po llutants.
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SP PRINCIPL
E S
Princ iple 12: Pollution Pre ve ntion a nd Re sourc e E ffic ie nc y
minimize in a re a so na b le a nd c o st-e ffe c tive
wa y the re so urc e s tha t will b e use d during imple me nta tio n. T his a pplie s to a ll so urc e s a nd fo rms o f e ne rg y, to wa te r, a nd to o the r re so urc e s a nd ma te ria ls inputs.
minimize the pro duc tio n o f wa ste a nd the
re le a se o f po lluta nts (inc luding GHGs).
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SP PRINCIPL
E S
Princ iple 13: Public He a lth
Pr
amme s suppo r te d by the F und shall be de signe d and imple me nte d in a way that avo ids po te ntially signific ant ne gative impac ts o n public he alth.
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SP PRINCIPL
E S
Princ iple 13: Public He a lth
Po ssib le pub lic he a lth impa c ts o f a
pro je c t/ pro g ra mme c a n b e de te rmine d b y a sse ssing its impa c t o n a ra ng e o f so -c a lle d de te rmina nts o f he a lth. Pub lic he a lth is de te rmine d no t just b y a c c e ss to me dic a l c a re a nd fa c ilitie s a nd life style c ho ic e s, b ut a lso b y a muc h b ro a de r se t o f so c ia l a nd e c o no mic c o nditio ns in whic h pe o ple live .
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SP PRINCIPL
E S
Princ iple 14: Physic a l a nd Cultura l He rita g e
Pr
amme s suppo r te d by the F und shall be de signe d and imple me nte d in a way that avo ids the alte r atio n, damage , o r r e mo val o f any physic al c ultur al r e so ur c e s, c ultur al site s, and site s with unique natur al value s r e c o gnize d as suc h at the c o mmunity, natio nal o r inte r natio nal le ve l. Pr
amme s sho uld also no t pe r mane ntly inte r fe r e with e xisting ac c e ss and use o f suc h physic al and c ultur al r e so ur c e s.
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Princ iple 14: Physic a l a nd Cultura l He rita g e
T
he I E will ide ntify the pre se nc e o f c ultura l he rita g e in o r ne a r the pro je c t/ pro g ra mme . I f c ultura l he rita g e e xists, the I E will:
De sc rib e the c ultura l he rita g e , the lo c a tio n
a nd the re sults o f a risk a sse ssme nt a na lysing the po te ntia l fo r impa c ting the c ultura l he rita g e ; a nd
De sc rib e the me a sure s to b e ta ke n to
e nsure tha t c ultura l he rita g e is no t impa c te d, a nd if it is b e ing a c c e sse d b y c o mmunitie s, ho w this a c c e ss will c o ntinue .
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E S
Princ iple 15: L a nds a nd Soil Conse rva tion
Pr
amme s suppo r te d by the F und shall be de signe d and imple me nte d in a way that pr
vatio n and avo ids de gr adatio n o r c o nve r sio n o f pr
land that pr
valuable e c o syste m se r vic e s.
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SP PRINCIPL
E S
Princ iple 15: L a nds a nd Soil Conse rva tion
So il c o nse rvatio n T
he I E will ide ntify:
1) the pre se nc e o f fra g ile so ils (e .g . so ils o n
the ma rg in o f a de se rt a re a , c o a sta l so ils, so ils lo c a te d o n ste e p slo pe s, ro c ky a re a s with ve ry thin so il) within the pro je c t a re a o r
2) pro je c t/ pro g ra mme a c tivitie s tha t c o uld
re sult in the lo ss o f o the rwise no n-fra g ile so il.
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SP PRINCIPL
E S
Princ iple 15: L a nds a nd Soil Conse rva tion
Valuab le lands T
he I E will ide ntify pro duc tive la nds a nd/ o r la nds tha t pro vide va lua b le e c o syste m se rvic e s within the pro je c t/ pro g ra mme a re a .
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