STAGE I INSTITUTIONAL ASSESSMENT AND COMPLETENESS CHECK
CHECK LIST
Notes: For the purposes of assisting reviewers during Stage I institutional assessment and completeness check in their review of applications for
accreditation, this checklist has been developed and integrated into the workflow of the Online Accreditation System (OAS). The standardised
checklist has been created based on the Green Climate Fund’s (the Fund) fiduciary principles and standards, environmental and social safeguards,
and gender policy, as well as the accreditation application form, which has been developed in accordance with document GCF/B.08/06 Application
Documents for Submission of Applications for Accreditation as per decision B.08/06. The checklist may be amended by the Fund from time to time. No
applicant entity or any other person may derive any rights, and the Fund shall accept no liability, from the publication of this checklist.
In the event that an application is deemed to be incomplete, questions and/or requests for clarification are sent to the applicant entities during the
review of applications.
Applicant Name
Type of Entity
Application Number
Application Received On
Version 1.1
1
INSTRUCTIONS TO REVIEWER
The checklist for Stage I Institutional Assessment and Completeness Check is designed based on the Accreditation Application Form. The application
form for accreditation for the Green Climate Fund is composed of the following sections:
I.
Background and contact information of the applicant entity;
II.
Information on the ways in which the institution and its intended projects/programmes will contribute to furthering the objectives of the
Green Climate Fund;
III.
Information on the scope of intended projects/programmes and estimated contribution requested for an individual project or activity within
a programme;
IV.
Basic fiduciary criteria;
V.
Applicable specialized fiduciary criteria;
VI.
Environmental and social safeguards (ESS);
VII.
Gender.
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2
SECTION I:
Background and Contact Information of the Applicant Entity
1.1 Background and Contact Information
Item
Information Required
Specific Requirements
Status
1.1.1
Legal name of the applicant entity
For all types of entities:
i) Founding legal
document
⎕ Founding legal document is applicable
and has been:
⎕ Provided
⎕ Not provided
ii) Documentation of
legal status
Remarks
(Complete/Pending/
Information not
satisfactory)
⎕ Founding legal document is not applicable
(Founding legal document may not be
applicable for government ministries.
However, in some countries there would a
government proclamation of gazette
notification)
The following documents have been
provided:
i) _________________
ii) _________________
iii) _________________
⎕ These documents clearly establish the
legal status of the entity
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3
1.1.2
Type of institution
1.1.3
Size of institution
1.1.4
Core business
For all types of entities:
i) List of head
count/staff count
ii) Location of
headquarters
iii) Location(s) of local
and/or regional
offices
For national, subnational, public and
private sector entities:
i) Mission Statement
ii) Business permit
iii) License to operate
Version 1.1
⎕ Additional information is required to
clearly establish the legal status of the
entity
⎕ Information provided
⎕ Not provided
⎕ Information provided
⎕ Not provided
⎕ Information provided
⎕ Not provided
⎕ Information provided
⎕ Not provided
A Mission Statement has been:
⎕ Provided
⎕ Not provided
⎕ The entity has confirmed that it does not
have a Mission Statement
A Business Permit has been:
⎕ Provided
⎕ Not provided
⎕ The entity has confirmed that it does not
require a Business Permit
A License to Operate has been:
⎕ Provided
⎕ Not provided
⎕ The entity has confirmed that it does not
require a License to Operate
4
iv) Government entities
(particularly
ministries)
For international and
regional entities:
i) Governing
instrument
ii) Agreement to
establish the entity
1.1.5
Sector(s) that the entity operates
in
1.1.6
Registered address, including
Country Postal Code
1.1.7
Website
1.1.8
to
1.1.13
Primary Focal Point
Version 1.1
For all types of entities:
Official letter from the
applicant entity
designating the selected
person as the Primary
Focal Point
Mandate approved by head of government
/legislature or applicable government
notification
⎕ Provided
⎕ Not provided
A copy of the Governing Instrument has
been:
⎕ Provided
⎕ Not provided
A copy of the Agreement to Establish the
Entity has been:
⎕ Provided
⎕ Not provided
Required information has been:
⎕ Provided
⎕ Not provided
Complete details have been:
⎕ Provided
⎕ Not provided
Website address has been:
⎕ Provided
⎕ Not provided
All required information for the Primary
Focal Point has been:
⎕ Provided
⎕ Not provided
Official letter from the applicant entity
signed by the delegated authority
5
1.1.14
to
1.1.19
Secondary Focal Point
For all types of entities:
Official letter from the
applicant entity
designating the selected
person as the Secondary
Focal Point.
designating the selected person as the
Primary Focal Point has been:
⎕ Provided
⎕ Not provided
All required information for the Secondary
Focal Point has been:
⎕ Provided
⎕ Not provided
Official letter from the applicant entity
signed by the delegated authority
designating the selected person as the
Secondary Focal Point has been:
⎕ Provided
⎕ Not provided
1.2 Background Information on Track Record
Item
Information Required
Specific Requirements
Status
1.2.1
Types of projects/programmes
undertaken
For all types of entities
1.2.2
Size(s) of projects/programmes
undertaken, including total project
costs in US$ and duration
For all types of entities
Required information has been:
⎕ Provided
⎕ Not provided
Required information has been:
⎕ Provided
⎕ Not provided
Version 1.1
Remarks
(Complete/Pending/
Information not
satisfactory)
6
1.2.3
1.2.4
1.2.5
Type(s) of financial instrument(s)
deployed in projects/programmes
undertaken
Environmental and social risk
level(s) of projects/programmes
undertaken
Experience and track record with
Performance Standards 2-8
For all types of entities
For all types of entities
For all types of entities:
Evidence of how
selected Performance
Standards have been
managed in previous
projects/programmes.
Required information has been:
⎕ Provided
⎕ Not provided
Required information has been:
⎕ Provided
⎕ Not provided
Required information has been:
⎕ Provided
⎕ Not provided
1.3 Background Information on Accreditation by Other Funds or Institutions
Item
Information Required
Specific Requirements
Status
1.3.1
Conditions and limitations, if any,
regarding accreditation with the
Global Environment Facility (GEF),
Adaptation Fund (AF), and
Directorate-General Development
and Cooperation – EuropeAid of
the European Commission (EU
DEVCO)
For all types of entities,
following documents are
required:
i) Letter of
confirmation of
accreditation;
i) Letter of confirmation with date of
accreditation has been:
⎕ Provided
⎕ Not provided
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ii) List of conditions
and limitations.
Remarks
(Complete/Pending/
Information not
satisfactory)
ii) List of conditions has been:
⎕ Provided
⎕ Not provided
7
1.3.2
Status of compliance with
accreditation requirements of the
Global Environment Facility (GEF),
Adaptation Fund (AF), and
Directorate-General Development
and Cooperation – EuropeAid of
the European Commission (EU
DEVCO)
Version 1.1
For all types of entities
following documents are
required:
i) Letter or report
indicating
compliance status
regarding
accreditation.
iii) No conditions stipulated
Letter/report on compliance has been:
⎕ Provided
⎕ Not provided
8
SECTION II: Information on the ways in which the institution and its intended activities will contribute to
furthering the objectives of the Green Climate Fund
Item
Information Required
Specific Requirements
Status
2.1
A statement detailing the ways in
which the entity will contribute to
furthering the objectives of the
Green Climate Fund
Only a write-up
required with no
supporting documents
Statement has been:
⎕ Provided
⎕ Not provided
A statement on how the entity
intends to strengthen capacities of
or otherwise support potential
subnational, national and regional
implementing entities and
intermediaries in order to meet, at
the earliest opportunity, the
accreditation requirements of the
Green Climate Fund in order to
enhance country ownership
Required for entities
under international
access track
2.2
Version 1.1
Optional for all other
entities
Remarks
(Complete/Pending/
Information not
satisfactory)
The statement gives adequate/appropriate
information:
⎕ Yes
⎕ No
Statement has been:
⎕ Provided
⎕ Not provided
9
Section III:
Intended Scope of Projects/Programmes and Estimated Contribution Requested
Item
Information Required
Specific Requirements
Status
3.1
Theme(s) of intended
projects/programmes
Type(s) of intended
projects/programmes
Size(s) of intended
projects/programmes, including
duration
Estimated maximum contribution
amount at the time of application
for an individual project or an
activity within a programme to be
requested from the Green Climate
Fund (US$ or as a percentage of
total projected costs)
Type(s) of financial instrument(s)
for intended projects/programmes
to be requested from the Green
Climate Fund
Sources and types of additional
finance for intended activities (if
applicable), and how the sources
Appropriate box(s) to
be marked
Appropriate box(s) to
be marked
Appropriate box(s) to
be marked
⎕ Done
⎕ Not done
⎕ Done
⎕ Not done
⎕ Done
⎕ Not done
Appropriate box(s) to
be marked
⎕ Done
⎕ Not done
Appropriate box(s) to
be marked
⎕ Done
⎕ Not done
3.2
3.3
3.4
3.5
3.6
Version 1.1
Appropriate box(s) to
be marked
Remarks
(Complete/Pending/
Information not
satisfactory)
⎕ Done
⎕ Not done
10
3.7
3.8
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and types of other finance will be
applied
Indication of the Green Climate
Fund’s standards against which the
application will be assessed
Environmental and social risk
level(s) of intended activities
Appropriate box(s) to
be marked
Appropriate box(s) to
be marked
⎕ Done
⎕ Not done
⎕ Done
⎕ Not done
11
SECTION IV: Basic fiduciary criteria
4.1 Key administrative and financial capacities
Item
Information Required
Specific Requirements
Status
4.1.1
General management and
administrative capacities
For all types of entities
i) Organisational
chart, including
clearly defined roles
and responsibility to
uphold fiduciary
standards (for
management,
auditors, and other
personnel);
Organizational chart has been:
⎕ Provided
⎕ Not provided
A clearly defined governance and
oversight structure that formally
defines the roles, responsibilities and
assigned authority of each functional
area and individual in the
organization
ii)
Version 1.1
General
management plan
that includes
processes to
monitor and report
Remarks
(complete/Pending/
Information not
satisfactory)
⎕ Organizational chart provided gives clear
reporting structure for Finance, Internal
Audit and Procurement functions.
⎕ The organizational chart also includes the
reporting structure of the Audit
Committee and other senior management
committees/governance bodies.
⎕ Chart provided but does not include
required details
Long term/Strategic Plan has been:
⎕ Provided
⎕ Not provided
Annual Plan/budget for the past 2 years has
been:
12
on the achievement
of set objectives;
iii) Existence of
adequate internal
oversight bodies
and transparent
rules regarding the
appointment,
termination and
remuneration of
members of such
committees;
⎕ Provided
⎕ Not provided
Processes/procedures including
responsibilities for periodic monitoring and
evaluating of the plans has been:
⎕ Provided
⎕ Not provided
List of oversight bodies like Audit
Committee, Ethics Committee has been:
⎕ Provided
⎕ Not provided
The ToR of each Committee (ToR of Audit
committee is specifically sought for in item
4.1.3(i)) also has been:
⎕ Provided
⎕ Not provided
Composition of each Committee has been:
⎕ Provided
⎕ Not provided
Terms relating to appointment, termination
and remuneration defined and evidence has
been:
⎕ Provided
⎕ Not provided
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iv) A consistent and
formal process to
set objectives and to
ensure that the
chosen objectives
support and align
with the mission of
the entity;
v)
4.1.2
Financial management and
accounting
Periodic preparation and reporting
of financial statements in accordance
with recognized accounting
standards; track record in the
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Indicators to
measure defined
objectives and
internal documents
demonstrating that
organization-wide
objectives provide
clear guidance on
what the entity
wants to achieve.
For all types of entities:
i) Financial
Statements,
including entity’s
financial statements
for the past 3 years;
Flow chart or brief write-up on the objective
setting (long term and annual) process has
been:
⎕ Provided
⎕ Not provided
Process defines procedures for aligning
objectives with the organization’s mission:
⎕ Yes
⎕ No
Organizational objectives are further broken
into departmental objectives with
supporting action plans:
⎕ Yes
⎕ No
Financial statements for past 3 years have
been:
⎕ Provided
⎕ Not provided
14
4.1.3
preparation and transparent use of
business plans, financial projections
and budgets
ii)
Internal and external audit
For all types of entities:
i) Terms of Reference
of the independent
audit committee or
comparable body as
well as an external
independent audit
firm or
organisation;
Fully functional independent audit
committee; the internal audit
function is carried out in accordance
with internationally recognized
standards; appointment of an
independent external audit firm to
carry out its work in accordance
with internationally recognized
standards
ii)
Financial
information systems
used;
Audit policy/charter
or audit manual;
iii) Audit plans for the
past 3 years;
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Brief details of the Financial Information
Systems including a list of major reports
prepared have been:
⎕ Provided
⎕ Not provided
The ToR of the Audit Committee (also
referred to in item 4.1.1 (iii) where the role
of various oversight bodies is covered) have
been:
⎕ Provided
⎕ Not provided
The ToR of the external auditor (firm/
organization) has been:
⎕ Provided
⎕ Not provided
Audit policy/charter has been:
⎕ Provided
⎕ Not provided
Internal audit manual has been:
⎕ Provided
⎕ Not provided
Annual audit plans for each of the past 3
years have been:
⎕ Provided
⎕ Not provided
15
iv) Audited financial
statements for the
past 3 years;
v)
Internal and
external audit
reports for the past
3 years.
Status of execution of the past 3 years’ audit
plans have been:
⎕ Provided
⎕ Not provided
Audited financial statements for the past 3
years have been:
⎕ Provided
⎕ Not provided
If the financial statements provided in item
4.1.2 (i) are audited financial statements, an
entity may not provide statements separately
for this point.
External audit reports for the past 3 years
have been:
⎕ Provided
⎕ Not provided
In many cases the external audit report and
the financial statements may be in a combined
document.
Sample internal audit reports, including
those relating to procurement, internal
control systems and payments and
disbursements, if available, have been:
⎕ Provided
⎕ Not provided
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4.1.4
Control frameworks
Documented processes in place to
ensure that objectives are achieved,
including verification that operations
are carried out effectively, financial
risks are assessed and managed, and
proper financial management is
carried out
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For all types of entities:
i) Financial control
policy;
ii) Financial control
procedures.
Status of action taken on all the
observations/ recommendations contained
in the external and internal audit reports of
the past 3 years has been:
⎕ Provided
⎕ Not provided
Financial Control policy has been:
⎕ Provided
⎕ Not provided
Financial control procedures have been:
⎕ Provided
⎕ Not provided
Documentation demonstrating the following:
• A control framework that includes clearly
defined roles for management, internal
auditors, the board of directors or
comparable body, and other personnel
with respect to Internal Control;
• At the institutional level, risk-assessment
processes are in place to identify, assess,
analyze and provide a basis for proactive
risk responses in each of the financial
management areas; and
• The organization’s capability to ensure
that all payments/ disbursements (both
for projects and other expenditures) are
properly checked and made only for
bona-fide/approved purposes
17
4.1.5
Procurement
Formal procurement standards,
guidelines and systems in place to
ensure fair and transparent
procurement processes
For all types of entities:
i) Procurement Policy;
ii)
Procurement
guidelines or
standards including
composition and
role of Procurement
Committee;
iii) Procedures for
overseeing the
procurement
function;
iv) Procedures for
controlling
procurement in
Executing Agencies.
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has been:
⎕ Provided
⎕ Not provided
A copy of the procurement policy has been:
⎕ Provided
⎕ Not provided
A copy of the procurement guidelines has
been:
⎕ Provided
⎕ Not provided
Does the policy and/or guidelines provide
for oversight/audit of the procurements
undertaken by the entity by an independent
authority or external or internal auditors:
⎕ Yes
⎕ No
If yes, entity should provide some recent
procurement oversight reports.
Does the policy and/or guidelines provide
for control/ oversight/ of the procurements
undertaken by the entity by Executing
Agencies:
⎕ Yes
⎕ No
18
If yes, the entity should provide some recent
procurement oversight/control reports.
v) Evidence of
As evidence of compliance with the
procurement
established policies and guidelines, 2 sets of
documents pertaining to large procurements
undertaken in the recent past have been
⎕ Provided
⎕ Not provided
vi) Procurement
Data on procurement complaints handled in
complaints/disputes the past 2 years along with brief details of
sample cases and their closure has been:
⎕ Provided
⎕ Not provided
4.2 Transparency and Accountability
Item
Information Required
Specific Requirements
Status
4.2.1
Code of ethics
For all types of entities:
i) Code of Ethics
policy/standards
or documented
code of ethics
applicable to the
staff
A Code of Ethics/Staff Code of Conduct has
been:
⎕ Provided
⎕ Not provided
A documented code of ethics or a set
of clear and formal management
policies in place to define ethical
standards to be upheld by all
Version 1.1
Remarks
(Complete/Pending/
Information not
satisfactory)
19
individuals contracted or functionally
related to the organization
ii)
Provide evidence of
a contractual
nature that
communicates this
policy to all staff
iii) Organisational
ethics committee,
including names
and roles.
4.2.2
Disclosure of conflicts of interest
A disclosure policy or equivalent in
place to establish the necessary
mandatory financial disclosures of
possible, actual, perceived or
apparent conflicts of interest
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Documented evidence of a contractual nature
that communicates this policy to all staff and
other parties functionally related to the
organization has been:
⎕ Provided
⎕ Not provided
The organisation:
⎕ Has an Ethics Committee
⎕ Does not have an Ethics Committee
If the organization has an Ethics Committee,
the details of its role and membership have
been:
⎕ Provided
⎕ Not provided
Supporting documentation like agenda and
minutes of meetings as evidence of its
functioning have been:
⎕ Provided
⎕ Not provided
Please also refer to item 4.1.1 (iii).
For all types of entities:
A copy of the entity’s Financial Disclosure
i) Financial disclosure policy or a similar policy has been:
policy
⎕ Provided
⎕ Not provided
⎕ A similar document has instead been
provided: ____________.
20
ii)
Conflict of interest
review and
resolution
procedures
iii) Demonstration of
practice, for
example annual
disclosure of
interest statements
by employees
4.2.3
Preventing financial
mismanagement
Demonstrated experience and track
record in accessing financial
resources from national and
international sources; Evidence of a
policy of zero tolerance for fraud,
financial mismanagement and other
forms of malpractice by staff
members, consultants, contractors,
etc.
Version 1.1
For all types of entities:
i) Policy on financial
mismanagement
ii) Evidence of
communicating a
policy of zero
tolerance for fraud,
financial
mismanagement
and other forms of
malpractice
iii) Procedures for
dealing with
financial
Copy of the Conflict of Interest review and
resolution procedures has been:
⎕ Provided
⎕ Not provided
⎕ As a demonstration of practice of Conflict
of Interest policy the following
documents/practices have been
provided:
i) ………………..
ii) ……………….
iii) ……………….
⎕ No information/supporting document has
been provided as evidence of
implementation of the policy
Policy on financial management has been:
⎕ Provided
⎕ Not provided
Information on how management
communicates a policy of zero tolerance,
along with evidence of actual communication,
to staff, suppliers and other stakeholders
(including Executing Entities/Agencies) of
the entity have been:
⎕ Provided
⎕ Not provided
Procedures for dealing with financial
mismanagement and other forms of
malpractice have been:
21
mismanagement
and other forms of
malpractice
iv) Reporting frauds,
malpractices, etc.
v)
4.2.4
Investigations
Evidence of an independent and
objective investigation function for
allegations of fraud and corruption,
with publicly available terms of
reference
Whistle blower
protection
For all types of entities:
i) Investigations
structure within
the organisation
ii)
Procedures for
investigating fraud
and corruption
within the entity;
iii) Information on the
cases of violation of
code of ethics,
fraud or corruption
in the past 3 years.
Version 1.1
⎕ Provided
⎕ Not provided
Process/avenues for reporting fraud,
financial mismanagement and other forms of
misconduct (these should include placement
of a provision for reporting violations on the
entity’s website) has been:
⎕ Provided
⎕ Not provided
Procedures for whistle blower protection
⎕ Provided
⎕ Not provided
Investigations structure within the
organisation or within the government
structure, if applicable has been:
⎕ Provided
⎕ Not provided
The procedures for investigating fraud and
corruption within the organisation or within
the government structure, if applicable have
been:
⎕ Provided
⎕ Not provided
List of cases of violation of code of ethics,
fraud or corruption reported in the past 3
years, along with current status of case/
investigation has been:
⎕ Provided
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4.2.5
Anti-money laundering and antiterrorist financing policies
Evidence of adequate control and
procedures in place to enable the
applicant entity to carry out adequate
“Know your customer” due diligence.
For all types of entities:
i) Anti-money
laundering and
anti-terrorist
financing policy
ii) “Know your
customer” due
diligence
procedures to
combat money
laundering and
financing of
terrorism;
iii) Mechanisms to
trace/monitor
electronic
transfer/wiring of
funds.
Version 1.1
⎕ Not provided
Anti-money laundering and anti-terrorist
financing policy have been:
⎕ Provided
⎕ Not provided
Documented “Know your customer (KYC)”
due diligence procedures to combat money
laundering and financing of terrorism have
been:
⎕ Provided
⎕ Not provided
2 copies of reports on KYC due diligence
exercises carried out in the past 3 years’ have
been
⎕ Provided
⎕ Not provided
Details of the Mechanisms to trace/monitor
electronic transfer/wiring of funds has been:
⎕ Provided
⎕ Not provided
2 copies of monitoring reports on electronic
funds transfer prepared in the past 3 years’
have been
⎕ Provided
⎕ Not provided
23
SECTION V: Specialized fiduciary criteria
5.1 Project Management
Required for applicants seeking project management accreditation.
Project management underlying principles are: ability to identify, formulate and appraise projects or programmes; competency to manage or
oversee the execution of approved funding proposals, including the ability to manage executing entities or project sponsors and to support project
delivery and implementation; and capacity to consistently and transparently report on the progress, delivery and implementation of the approved
funding proposal.
Item
Information Required
Specific Requirements
Status
5.1.1
Project identification, preparation
and appraisal
For all types of entities:
i) 3 examples of
project appraisal
documents
undertaken in the
past 3 years
(preferably climate
change mitigation
or adaptation
projects)
ii) Project preparation
guidelines
Project appraisal documents for 3 different
projects prepared and appraised in the past
3 years has been:
⎕ Provided
⎕ Not provided
Track record of capability and
experience in the identification and
design of projects or programmes
within the respective jurisdiction;
Documented process for project
appraisal to ensure quality and
monitoring of follow-up actions
during implementation
Version 1.1
Project preparation guidelines have been:
⎕ Provided
⎕ Not provided
Remarks
(Complete/Pending/
Information not
satisfactory)
24
iii) Project appraisal
guidelines
iv) 3 samples of
project documents
demonstrating the
capacity to
mainstream
environmental,
social and climate
change aspects into
project preparation
and appraisal
5.1.2
Project oversight and control
Operational capacity and procedures
to oversee the implementation of the
approved funding proposal, monitor
performance and assess project
expenditure against project budget;
Appropriate reporting capabilities
Version 1.1
For all types of entities:
i) Operational
manual/procedures
Project appraisal guidelines have been:
⎕ Provided
⎕ Not provided
3 examples of project appraisals undertaken
in the past 3 years (preferably climate
change mitigation or adaptation projects)
demonstrating the capacity to:
• Mainstream environmental, social and
climate change aspects into project
preparation and appraisal, and
• Assess project risks and integrate
corresponding mitigation strategies have
been:
⎕ Provided
⎕ Not provided
The entity’s policy and operational systems/
procedures in respect of preparation of
project implementation plans, including
project budgets, reporting guidelines and
templates have been:
⎕ Provided
⎕ Not provided
Implementation plans (which include project
implementation plans, monthly/quarterly/
annual project budgets, reporting guidelines
and templates) for 2 projects undertaken in
the past 2 years have been:
⎕ Provided
25
⎕ Not provided
Procedures/organizational arrangements for
ongoing/continuous oversight of the
implementation of the approved funding
proposal have been:
⎕ Provided
⎕ Not provided
Procedures and formats for periodic
reporting/ publishing of status of project
implementation/approved funding
proposals during implementation phase
have been:
⎕ Provided
⎕ Not provided
ii) 3 detailed project
implementation
reports for projects
implemented in the
past 3 years;
iii) Analysis of project
expenditure
Version 1.1
Policies and procedures relating to project
closure have been:
⎕ Provided
⎕ Not provided
3 detailed project implementation reports
for projects implemented in the past 3 years
have been:
⎕ Provided
⎕ Not provided
Documents as evidence of quarterly/halfyearly/annual analysis of actual project
expenditure versus budgeted expenditure
26
compared to the
project budget.
5.1.3
Monitoring and evaluation
Capacities for monitoring and
evaluation including a clearly defined
and resourced monitoring function
and an independent evaluation body
or function that follows documented
and recognized standards; an
evaluation disclosure policy is in
place
For all types of entities:
i) Monitoring and
evaluation function
(including roles
and
responsibilities)
ii) Monitoring and
evaluation
procedures during
implementation;
iii) 3 samples of
monitoring and
evaluation reports
(including
independent
evaluations);
iv) Evaluation
disclosure policy;
v)
Version 1.1
Terms of Reference
of independent
evaluation body.
for 2 different along with analysis of variance
have been:
⎕ Provided
⎕ Not provided
Policy or other document outlining the
entity’s Monitoring and Evaluation function
(including roles and responsibilities) have
been:
⎕ Provided
⎕ Not provided
A copy of the Monitoring & Evaluation
procedures during implementation have
been:
⎕ Provided
⎕ Not provided
3 sample monitoring and evaluation reports
(including independent evaluations) have
been:
⎕ Provided
⎕ Not provided
Evaluation disclosure policy has been:
⎕ Provided
⎕ Not provided
ToRs for the independent evaluation body
have been:
⎕ Provided
⎕ Not provided
27
5.1.4
Project-at-risk systems and related
project risk management
capabilities
A process or system in place to flag
early on when a project has
developed problems that may
interfere with the achievement of its
objectives, and to respond
accordingly to redress the problems
For all types of entities:
Procedures for projectat-risk management.
The ToRs provided should be for the same
evaluation for which the independent
evaluation report(s) have been provided.
Procedures for a project-at-risk
management system to ensure speedy
solutions to problems which may interfere
with the achievement of the project
objectives or lead to unintended negative
consequences have been:
⎕ Provided
⎕ Not provided
Examples of project problems identified and
addressed to demonstrate effectiveness of
the system have been:
⎕ Provided
⎕ Not provided
5.2 Grant award and/or funding allocation mechanisms
Required for applicants seeking grant award and/or funding allocation mechanism accreditation.
Specific capacities for grant award and funding allocation mechanisms of grants in the context of programmes require transparent eligibility criteria
and an evaluation process, a grant award decision and procedures, public access to information on beneficiaries and results, transparent allocation
and implementation of financial resources, and a good standing with regard to multilateral funding.
Version 1.1
28
Item
Information Required
Specific
Requirements
Status
5.2.1
Grant award procedures
For all types of entities:
i) Terms of
Reference for the
grant award
evaluation
committee
ii) Grant award
evaluation
procedures;
ToRs for the grant award Evaluation
Committee have been:
⎕ Provided
⎕ Not provided
A transparent grant award
mechanism with formally
documented procedures for
evaluating proposals and awarding
grants, and clearly defined eligibility
criteria; Grant award decisions taken
by authorised body in accordance
with good practice
5.2.2
5.2.3
Public access to information on
beneficiaries and results
Grant-awarding entity to make the
grant award results public within a
reasonable time frame
Transparent allocation of financial
resources
Version 1.1
iii) External auditor’s
report.
Remarks
(Complete/Pending/
Information not
satisfactory)
Grant award evaluation procedures have
been:
⎕ Provided
⎕ Not provided
For all types of entities:
Evidence of publication
of grant award results
for the past 3 projects.
External auditor’s report on an audit of the
entity’s grant award activities has been:
⎕ Provided
⎕ Not provided
Evidence of publication of grant award
results for the past 3 projects has been:
⎕ Provided
⎕ Not provided
For all types of entities:
i) Evidence of
monitoring of
implementation of
Evidence/reports of monitoring and
evaluation of 3 projects/programmes for
which grants were made in the past 3 years
have been:
29
Systems in place to provide assurance
on the reality and eligibility of
activities to be carried out with the
grant award; to recover funds unduly
paid and prevent irregularities and
fraud; to monitor project
implementation; and to suspend,
reduce or terminate the grant in the
event of non-compliance
5.2.4
Good standing for financial
requirements with regard to
multilateral funding (e.g. through
recognized public expenditure
reviews)
Grant awarding entity with a proven
track record of handling multilateral
funds
Version 1.1
3 projects in the
past 3 years;
ii)
Grant
beneficiaries
procurement
rules;
iii) Suspension,
reduction or
termination of
grant procedures.
For all types of entities:
i) Evidence of good
standing with
regard to
multilateral
funding;
ii)
Public expenditure
reviews.
⎕ Provided
⎕ Not provided
Grant beneficiaries procurement rules have
been:
⎕ Provided
⎕ Not provided
A copy of the procedures for suspension,
reduction or termination of grant has been:
⎕ Provided
⎕ Not provided
Reports/Evidence relating to reviews
undertaken or observations made by
multilateral agency(ies) regarding the
agency’s experience of handling of funds by
the entity have been:
⎕ Provided
⎕ Not provided
Public expenditure reviews are conducted
and copies have been made available:
⎕ Yes
⎕ No
30
5.3 On-lending and/or blending
Required for applicants seeking on-lending and/or blending accreditation.
Additional specialized criteria for on-lending and blending will apply for intermediaries and implementing entities that wish to use financial
instruments other than grants with the Green Climate Fund’s resources.
Item
Information Required
Specific
Requirements
Status
5.3.1
Appropriate registration and/or
licensing by a financial oversight
body or regulator in the country
and/or internationally, as
applicable
For all types of entities:
On-lending
registration or license
from a national or
international
regulator.
An on-lending registration/license has been:
⎕ Provided
⎕ Not provided
An official record from a regulator or
licensing body clearing the entity for
on-lending
Version 1.1
Remarks
(Complete/Pending/
Information not
satisfactory)
If provided, the following information has
been appended:
i) The regulating/licensing body, which is
authorised to issue the license
internationally/within the country of the
applicant entity: _________________
ii) The license is issued in the name of the
applicant entity and not a holding
company or an associate company
⎕ Yes
⎕ No
31
5.3.2
5.3.3
Track record, institutional
experience and existing
arrangements and capacities for onlending and blending with resources
from other international or
multilateral sources
Previous experience with on-lending
or blending using international or
multilateral resources
Creditworthiness
Capacity to safely lend money to other
entities
5.3.4
Due diligence policies, processes
and procedures
Mechanisms in place to ensure that onlending and/or blending is done in a
credible manner
Version 1.1
For all types of entities:
Project documents for
3 on-lending or
blending projects,
clearly stating the
intermediaries and
sources of
international and
multilateral funding.
For all types of entities:
Ratings from
recognised
international credit
rating companies.
For all types of entities:
i) On-lending
and/or blending
policy;
ii) On-lending
and/or blending
procedures
iii) The license was issued on _________________
and is valid up to _________________.
Project documents for 3 on-lending or
blending projects, clearly stating the
intermediaries and sources of international
and multilateral funding have been:
⎕ Provided
⎕ Not provided
The entity has been rated by different rating
agencies:
i) _________________ (Name of rating agency)
has given a rating of _________________
ii) _________________ (Name of rating agency)
has given a rating of _________________
iii) _________________ (Name of rating agency)
has given a rating of _________________
A copy of the On-lending and/or blending
policy has been:
⎕ Provided
⎕ Not provided
A copy of On-lending and/or blending
Procedures has been:
⎕ Provided
⎕ Not provided
32
iii) Due diligence
reports
5.3.5
Financial resource management,
including analysis of the lending
portfolio of the intermediary
Control procedures in place to analyse
the lending portfolio of the
intermediary
5.3.6
Public access to information on
beneficiaries and results
Systems and provisions in place for the
general public to access information
about beneficiaries and results of
projects funded by the entity
Version 1.1
For all types of entities:
i) Financial
management
policy;
Procedures for
evaluating
intermediary’s
portfolio
For all types of entities:
Evidence of
publication of
beneficiaries and
results of 3 projects in
the past 3 years
(preferably climate
change mitigation and
adaptation projects)
2 on-lending and/or blending due diligence
reports have been:
⎕ Provided
⎕ Not provided
A copy of the Financial management policy
has been:
⎕ Provided
⎕ Not provided
The procedures for evaluating
intermediary’s portfolio have been:
⎕ Provided and are included in the policy
⎕ Provided separately
⎕ Not provided
2 lending Portfolio analysis reports have
been:
⎕ Provided
⎕ Not provided
Information on publication of beneficiaries
and results of 3 projects in the past 3 years
(preferably climate change mitigation and
adaptation projects) has been:
⎕ Provided
⎕ Not provided
33
5.3.7
Investment management, policies
and systems, including in relation to
portfolio management
Systems in place to ensure sound
investment management
5.3.8
Capacity to channel funds
transparently and effectively, and to
transfer the Green Climate Fund’s
funding advantages to final
beneficiaries
Systems in place to ensure that funds
are transparently channelled
Version 1.1
For all types of entities:
i) Investment
management
policy
ii) Procedures for
investment
management
For all types of entities:
i) Information on
systems that are
applied for this
purpose
ii)
3 projects
showing the
advantages to
final beneficiaries
of projects
implemented by
the entity
The Investment management policy has
been:
⎕ Provided
⎕ Not provided
Procedures/guidelines for managing the
entity’s investment portfolio have been:
⎕ Provided
⎕ Not provided
Copies of 2 investment portfolio
management reports prepared in the past 3
years have been:
⎕ Provided
⎕ Not provided
Information on systems to ensure that funds
are channelled transparently and effectively
for the advantage of final beneficiaries has
been:
⎕ Provided
⎕ Not provided
Reports relating to the following 3 projects
as evidence of the funding having been
effectively used for the advantage of final
beneficiaries have been:
⎕ Provided
i) _________________
ii) _________________
iii)_________________
34
5.3.9
5.3.10
Financial risk management,
including asset liability
management
Governance and organizational
arrangements, including
relationships between the treasury
function and the operational side
(front desk)
A link between the treasury function
and the operational function
Version 1.1
For all types of entities:
Financial risk
management
procedures.
For all types of entities:
Details of the
relationship between
the treasury function
and the operational
function: evidence of
segregation of duties.
⎕ Not provided
Financial Risk Management procedures have
been:
⎕ Provided
⎕ Not provided
2 samples of the minutes of recent meetings
of the entity’s Asset and Liability Committee
(ALCO) have been:
⎕ Provided
⎕ Not provided
A write-up of the governance and
organizational arrangements in the entity,
including details of the relationship between
the treasury function and the operational
function has been:
⎕ Provided
⎕ Not provided
35
SECTION VI: Environmental and social safeguards
For Category A/I-1
Entities that desire to undertake Category A/Intermediation 1 or lower risk (Category B/I-2 and Category C/I-3) type projects/programmes will be
required to have an ESMS that is mature and documented, with a proven track record of managing these types of projects/programmes, and the full
support of Senior Management. Required elements of the institutional ESMS are set out below in items 6.1-6.6.
Item
Information Required
Specific
Requirements
Status
6.1
Policy
For all types of entities
in this category:
A formal E&S Policy,
or equivalent, that
includes the required
specific capacities
which is fully
developed and
maintained; In the
absence of a formal
policy, describe the
specific institutional
capacities related to
the elements that
would otherwise be
included in an E&S
policy.
A formal E&S policy has been:
⎕ Provided
⎕ Not provided
An environmental and social (E&S)
policy that:
• Includes an overarching statement
of the E&S objectives and principles
guiding the institution
• States the E&S standards the
institution adheres to including
laws implementing host country
obligations under international law
• Indicates whom within the
institutions will ensure
conformance with the policy and be
responsible for its execution
• Is consistent with the Performance
Standards (PS) 1-8
Version 1.1
Remarks
(Complete/Pending/
Information not
satisfactory)
In lieu of a formal E&S policy a document
describing the specific institutional
capacities related to the essential elements
of an E&S policy has been:
⎕ Provided
⎕ Not provided
36
6.2
• Is endorsed by Senior Management
• Is communicated to all levels of its
organization and may be
communicated publically
Identification of Risks and Impacts
A fully developed and documented
institutional process and track record
that:
• Identifies the E&S risks and impacts
of projects/programmes as they
evolve over the project life;
• Is consistent with good
international industry practice;
• Is consistent with PS1-8;
• Is integrated into operations.
Version 1.1
For GEF-accredited
entities under the fasttrack accreditation
process:
Complete this section
for a risk and impacts
identification
procedure or process
and track record that
includes: PS2; PS3
except Pest
Management; PS4
infrastructure and
equipment design and
safety beyond dam
safety, hazardous
materials and
management safety,
protection of priority
provisioning and
regulating ecosystem
services, community
exposure to disease,
emergency response
and preparedness,
An E&S risks and impacts identification and
assessment framework/procedure that
covers the following areas has been provided
for (select all that apply):
⎕ PS2 Labour and working conditions
⎕ PS3 Resource efficiency and pollution
prevention
⎕ Except for pest management
⎕ PS4 Community health, safety and
security
⎕ Infrastructure and equipment design
and safety beyond dam safety,
⎕ Hazardous materials and management
safety,
⎕ Protection of priority provisioning and
regulating ecosystem services,
⎕ Community exposure to disease,
emergency response and
preparedness,
⎕ Collaboration with communities,
⎕ Security force management.
⎕ PS5 Land acquisition and involuntary
resettlement
37
collaboration with
communities, security
force management;
and PS6 supply chain
requirements. This
section does not need
to be completed for
other PS
requirements.
For all other types of
entities in this
category:
i) A formal E&S
risks and impacts
identification and
assessment
procedure
describing the
due diligence
approach which
is integrated into
business
processes, is
routinely
updated, and may
have been
audited by an
internal or
external
Version 1.1
⎕ PS6 Biodiversity conservation and
sustainable management of living natural
resources
⎕ Supply chain requirements
⎕ PS7 Indigenous peoples
⎕ PS8 Cultural heritage
An E&S risks and impacts identification and
assessment framework/procedure has been:
⎕ Provided
⎕ Not provided
The responsibilities for implementation the
procedure are:
⎕ Defined
⎕ Not defined
Evidence of audit of the procedure by an
internal or external oversight mechanism
has been:
⎕ Provided
⎕ Not provided
38
oversight
mechanism;
ii) If a risk
categorization
system is already
used, a list of
illustrative
projects from the
past 3 years and
their category,
including a
description of
who within the
organization
determines the
categorization.
6.3
Management Programme
A fully developed and documented
institutional process and track record
for managing mitigation measures and
actions stemming from the E&S risk
identification process.
Version 1.1
For GEF-accredited
entities under the fasttrack accreditation
process:
Complete this section
by demonstrating
management
processes and track
The procedure provided contains a
categorisation framework including
responsibility for determining the
categorisation:
⎕ Yes
⎕ No
A list of illustrative projects (past 3 years)
and their category has been:
⎕ Provided
⎕ Not provided
⎕ No categorisation framework is built into
the procedure.
⎕ A separate categorisation framework has
been:
⎕ Provided
⎕ Not provided
A documented institutional process for
managing mitigation measures and actions
stemming from the E&S risk identification
process for relevant issues listed in item 6.2
above has been:
⎕ Provided
⎕ Not provided
39
Depending upon the nature and scale of
the project/programme, the
management programme may consist
of a documented combination of
operational procedures, practices,
plans and related supporting
documents that are managed in a
systematic way.
Version 1.1
record for the issues
listed in item 6.2. This
section does not need
to be completed for
other PS
requirements.
For all other types of
entities in this
category:
i) Evidence of
management
programme,
including formal
operational
processes or
procedures
documenting
practices
describing how
individual
projects/progra
mmes mitigation
actions will be
documented,
tracked, and
applied
Information from projects recently
implemented or under implementation
about its track record in managing mitigation
measures and other actions identified as a
part of the E&S risk assessment
process/framework has been:
⎕ Provided
⎕ Not provided
A documented institutional process for
managing mitigation measures and actions
stemming from the E&S risk identification
process has been:
⎕ Provided
⎕ Not provided
Information from projects recently
implemented or under implementation
about its track record in managing mitigation
measures and other actions identified as a
part of the E&S risk assessment
process/framework has been:
⎕ Provided
⎕ Not provided
40
ii) Audit reports
(conducted by
external experts)
on institutional
management
program
effectiveness
6.4
Organizational Capacity and
Competency
For GEF-accredited
entities under the fasttrack accreditation
An organizational structure that defines process:
roles, responsibilities, reporting lines
Complete this section
and authority to implement the ESMS,
by demonstrating
which includes Senior Management.
capacity and
Key E&S responsibilities should be
competency for the
defined and communicated, and
issues listed in item
supported with human and financial
6.2. This section does
resources.
not need to be
Version 1.1
A brief write up on policies and practices
relating to audit (conducted by external
experts) on institutional management
program effectiveness has been:
⎕ Provided
⎕ Not provided.
The policy provided defines the
requirements of audit of the effectiveness of
the institutional management programme
for mitigation actions:
⎕ Yes
⎕ No
Sample audit reports have been:
⎕ Provided
⎕ Not provided
The following information/documents have
been:
⎕ Provided by the entity to demonstrate
capacity and competency for the points
listed in relation to item 6.2:
⎕ List of key in-house persons
undertaking necessary work in these
areas. Please specify responsibility and
area of competency for each person
⎕ Brief bio data of these people including
relevant qualifications and experience
41
Technical staff with direct
responsibility for the
project/programme performance have
the knowledge, skills and experience
necessary to understand and ensure
implementation of PS1-8.
Technical staff with knowledge of PS18 are able to properly categorize
potential funding proposals.
Version 1.1
completed for other
PS requirements.
For all other types of
entities in this
category:
i) Organizational
charts that
identify units or
departments, line
management and
the individuals
having E&S
performance and
compliance
responsibilities
ii) Job descriptions
and
responsibilities of
key E&S
personnel,
including
expertise and
experience in
PS1-8
⎕ If outsourced, provide similar data in
respect of outsourced persons/agency
⎕ Sample work done by the in-house/
outsourced resources in these areas
⎕ Not provided
An organizational chart which gives the
roles, responsibilities, reporting lines and
authority (including those of senior
management) to implement the ESMS has
been:
⎕ Provided
⎕ Not provided
Key E&S responsibilities have been
specifically:
⎕ Defined
⎕ Not defined
The following information/documents have
been
⎕ Provided by the entity to demonstrate
capacity and competency for points PS1-8
(select all that apply):
⎕ List of key in-house persons
undertaking necessary work in these
areas. Please specify responsibility and
area of competency for each person
⎕ Brief bio data of these people including
relevant qualifications and experience
42
⎕ If outsourced, provide similar data in
respect of outsourced persons/agency
⎕ Sample work done by the in-house/
outsourced resources in these areas
iii) Procedures for
information
sharing
(awareness)
among the
investment, legal
and credit offices
in the
organization’s
E&S
requirements and
ESMS
iv) Description of
training and
development
programs for E&S
and other
relevant staff
Version 1.1
⎕ Not provided
An overview of the process/procedures for
coordination of work and sharing of
information between the investment, legal
and credit offices in respect of the
organization’s E&S requirements and ESMS
has been:
⎕ Provided
⎕ Not provided
Brief description of training modules/
programmes for E&S and other relevant staff
have been:
⎕ Provided
⎕ Not provided
Brief details of external training programs
for E&S and other relevant staff have been:
⎕ Provided
⎕ Not provided
43
6.5
Monitoring and Review
Track record and internal processes to
support a monitoring/supervision
programme that tracks and ensures
completion of mitigation and
performance improvement measures.
Periodic performance reviews reported
to Senior Management on the
effectiveness of the ESMS. Senior
Management has a track record of
taking the necessary steps to ensure
that the intent of the institutions policy
is met and that procedures, practices
and plans are implemented
Version 1.1
For GEF-accredited
entities under the fasttrack accreditation
process:
Complete this section
by demonstrating
monitoring
competency and a
track record for the
issues listed in item
6.2. This section does
not need to be
completed for other
PS requirements.
For all other types of
entities in this
category:
i) Description of
monitoring and
review
programme,
Data on training programmes in-house or
external attended by the relevant staff
members has been:
⎕ Provided
⎕ Not provided
A document containing the internal
processes, along with clearly defined
roles/responsibilities and timelines, to
support a monitoring/ supervision
programme that tracks and ensures
completion of mitigation and performance
improvement measures has been:
⎕ Provided
⎕ Not provided
Information/data/cases relating to
application of this process to monitoring of
completion of mitigation and performance
improvement measures in the past (track
record for issues listed in item 6.2) has been:
⎕ Provided
⎕ Not provided
A document containing the internal
processes, along with clearly defined
roles/responsibilities and timelines, to
support a monitoring/ supervision
programme that tracks and ensures
completion of mitigation and performance
improvement measures has been:
44
including
processes and
procedures
ii) Sample of project
monitoring and
evaluation
reports
iii) Sample of project
audit reports
iv) Overall metrics or
indicators that
resulted from the
program in the
past 3 years,
which indicates a
track record of
Version 1.1
⎕ Provided
⎕ Not provided
Samples of project monitoring and
evaluation reports (which should also
include review/monitoring of actions taken
for mitigation and performance
improvement measures for PS1-8) or
information/data/cases relating to
application of this process to monitoring of
completion of mitigation and performance
improvement measures in the past (track
record for all areas PS1-8) have been:
⎕ Provided
⎕ Not provided
Sample project audit reports with
observations/recommendations on
monitoring of completion of mitigation and
performance improvement measures has
been:
⎕ Provided
⎕ Not provided
Overall metrics/indicators which describe
the overall performance/effectiveness of its
ESMS implementation have been:
⎕ Provided
⎕ Not provided
45
the level of
success of ESMS
implementation
within the
projects/
programmes
v) Description of the
review or audit
processes that
verify this data
(institutional
independent
review arm,
outside audit
firm, oversight
mechanism, etc.)
vi) Description of the
types and
frequency of
reports, which
include E&S
monitoring
information, that
are submitted to
Senior
Management
vii) Examples of how
E&S supervision
and auditing
Version 1.1
A description of the review or audit
processes that verify this data (institutional
independent review arm, outside audit firm,
oversight mechanism, etc.) has been:
⎕ Provided
⎕ Not provided
List of EMS monitoring reports submitted to
Senior Management has been:
⎕ Provided
⎕ Not provided
Details of the reports like purpose,
information contained, source of data for the
report, frequency, etc. have been:
⎕ Provided
⎕ Not provided
Information/examples of how E&S
supervision and auditing activities have
helped improve the effectiveness of the
46
6.6
External Communications
External communication channels that
allow the entity to:
• Receive and register external
communications from the public;
• Screen and assess issues raised and
determine how to address them;
• Provide, track, and document
responses.
Version 1.1
activities have
informed the
management
review and
update of the
ESMS
viii) Examples of how
E&S supervision
and auditing
activities have
resulted in
knowledge
dissemination
either internally
or publically.
For all types of entities
in this category:
i) Written process
or procedures
describing
external
communications
system
ii) Location of
system (website,
etc.)
iii) Register of
inquiries/complai
nts and responses
management review and resulted in
updating the ESMS have been:
⎕ Provided
⎕ Not provided
Brief write-up/ examples of how E&S
supervision and auditing activities have
resulted in knowledge dissemination either
internally or publically have been:
⎕ Provided
⎕ Not provided
Documented process/procedures with
assigned responsibilities has been:
⎕ Provided
⎕ Not provided
Location of the system has been:
⎕ Provided
⎕ Not provided
Register of inquiries/complaints, responses
and current status from the past 1 year has
been:
47
from the past 1
year
⎕ Provided
⎕ Not provided
For Category B/I-2
Entities that desire to undertake Category B/Intermediation 2 or lower risk (Category C/I-3) type projects/programmes will be required to have an
ESMS and a proven track record of managing these types of projects/programmes, and the support of Management. This ESMS will likely have
emerging elements and will not be as mature in scope or documentation, or as well-integrated into business processes, as the ESMS required for
Category A/I-1 type projects/programmes, though it will still have all of the ESMS elements listed in items 6.1-6.6.
Item
Information Required
6.1
Policy
Specific
Requirements
For all types of entities
in this category:
An E&S policy that:
An E&S Policy, or
• Includes an overarching statement equivalent, that
of the E&S objectives and principles includes the required
specific capacities.
which guide the institution;
• States the E&S standards the
institution adheres to including
laws implementing host country
obligations under international
law;
• Indicates whom within the
institutions will ensure
Version 1.1
Status
An E&S policy has been:
⎕ Provided
⎕ Not provided
Remarks
(Complete/Pending/
Information not
satisfactory)
⎕ In lieu of a formal E&S policy a document
describing the specific institutional
capacities related to the essential
elements of an E&S policy has been
provided.
48
6.2
conformance with the policy and be
responsible for its execution;
• Is consistent with PS1-8;
• Is endorsed by Management;
• Is communicated within the
organization.
Identification of Risks and Impacts
An institutional process and track
record that:
• Identifies the E&S risks and
impacts of projects/programmes
• Is consistent with good
international industry practice
• Is consistent with PS1-8.
Version 1.1
For GEF-accredited
entities under the fasttrack accreditation
process:
Complete this section
for a risk and impacts
identification
procedure or process
and track record that
includes: PS2; PS3
except Pest
Management; PS4
infrastructure and
equipment design and
safety beyond dam
safety, hazardous
materials and
management safety,
protection of priority
provisioning and
regulating ecosystem
services, community
exposure to disease,
Status regarding the coverage of the risk and
impacts identification procedure or process
and track record for different areas for
(select all that apply):
⎕ PS2 Labour and working conditions
⎕ PS3 Resource efficiency and pollution
prevention
⎕ Except for pest management
⎕ PS4 Community health, safety and
security
⎕ Infrastructure and equipment design
and safety beyond dam safety,
⎕ Hazardous materials and management
safety,
⎕ Protection of priority provisioning and
regulating ecosystem services,
⎕ Community exposure to disease,
emergency response and
preparedness,
⎕ Collaboration with communities,
⎕ Security force management.
⎕ PS5 Land acquisition and involuntary
resettlement
49
emergency response
and preparedness,
collaboration with
communities, security
force management;
and PS6 supply chain
requirements. This
section does not need
to be completed for
other PS
requirements.
For all other types of
entities:
i) An E&S risks and
impacts
identification and
assessment
procedure
describing the due
diligence
approach, which
may be
implemented by
the relevant part
of the organization
ii) If a categorization
system is already
used, a list of
illustrative
Version 1.1
⎕ PS6 Biodiversity conservation and
sustainable management of living natural
resources
⎕ Supply chain requirements
⎕ PS7 Indigenous peoples
⎕ PS8 Cultural heritage
An E&S risks and impacts identification and
assessment framework/procedure has been:
⎕ Provided
⎕ Not provided
The responsibilities for implementation the
procedure are:
⎕ Defined
⎕ Not defined
The procedure provided contains a
categorization framework including
responsibility for determining the
categorization:
50
projects from the
past 3 years and
their category,
including a
description of who
within the
organization
determines the
categorization.
6.3
Management Programme
A documented institutional process
and track record for managing
mitigation measures and actions
stemming from the E&S risk
identification process.
Depending upon the nature and scale
of the project/programme, the
management programme may consist
of a documented combination of
operational procedures, practices,
plans and related supporting
Version 1.1
For GEF-accredited
entities under the fasttrack accreditation
process:
Complete this section
by demonstrating
management
processes and track
record for the issues
listed in item 6.2. This
section does not need
to be completed for
other PS
requirements.
⎕ Yes
⎕ No
A list of illustrative projects (past 3 years)
and their category has been:
⎕ Provided
⎕ Not provided
⎕ No categorisation framework is built into
the procedure.
A separate categorisation framework has
been:
⎕ Provided
⎕ Not provided
A documented institutional process for
managing mitigation measures and actions
stemming from the E&S risk identification
process for relevant issues listed in item 6.2
above has been:
⎕ Provided
⎕ Not provided
Information from projects recently
implemented or under implementation
about its track record in managing
mitigation measures and other actions
identified as a part of the E&S risk
assessment process/framework has been:
⎕ Provided
51
documents that are managed in a
systematic way.
For all other types of
entities:
i) Operating
processes or
procedures
documenting how
individual
projects/program
mes mitigation
actions will be
documented and
tracked
ii) Audit reports on
institutional
management
program
effectiveness
⎕ Not provided
A documented institutional process for
managing mitigation measures and actions
stemming from the E&S risk identification
process has been:
⎕ Provided
⎕ Not provided
Information from projects recently
implemented or under implementation
about its track record in managing
mitigation measures and other actions
identified as a part of the E&S risk
assessment process/framework has been:
⎕ Provided
⎕ Not provided
Documented/ a brief write-up on policies
and practices relating to audit (conducted by
external experts) on institutional
management program effectiveness have
been:
⎕ Provided
⎕ Not provided
The policy provided defines the
requirements of audit of the effectiveness of
the institutional management programme
for mitigation actions.
Sample audit reports have been:
Version 1.1
52
6.4
Organizational Capacity and
Competency
An organizational structure that
defines roles, responsibilities and
authority to implement the ESMS,
which includes Senior Management.
Key E&S responsibilities should be
defined and supported with human
and financial resources.
Technical staff with direct
responsibility for the
project/programme performance have
the knowledge, skills and experience
necessary to understand and ensure
implementation of PS1-8.
Technical staff with knowledge of PS18, are able to properly categorize
potential funding proposals.
Version 1.1
For GEF-accredited
entities under the fasttrack accreditation
process:
Complete this section
by demonstrating
capacity and
competency for the
issues listed in item
6.2. This section does
not need to be
completed for other PS
requirements.
For all other types of
entities:
i) Organizational
charts that
identify units or
departments, line
management and
the individuals
having E&S
performance and
⎕ Provided
⎕ Not provided
The following information/documents have
been:
⎕ Provided by the entity to demonstrate
capacity and competency for the points
listed above (select all that apply):
⎕ List of key in-house persons
undertaking necessary work in these
areas. Please specify responsibility and
area of competency for each person
⎕ Brief bio data of these people including
relevant qualifications and experience
⎕ If outsourced, provide similar data in
respect of outsourced persons/agency
⎕ Sample work done by the in-house/
outsourced resources in these areas
⎕ Not provided
An organizational chart which gives the
roles, responsibilities, reporting lines and
authority (including those of units,
departments and senior management) to
implement the ESMS has been:
⎕ Provided
⎕ Not provided
Key E&S responsibilities have been
specifically:
53
compliance
responsibilities;
ii) Job descriptions
and
responsibilities of
key E&S
personnel,
including
expertise and
experience in PS18.
6.5
Monitoring and Review
Track record and internal processes to
support a monitoring/supervision
programme that tracks and ensures
completion of mitigation and
performance improvement measures.
Periodic performance reviews
reported to Senior Management, on the
Version 1.1
For GEF-accredited
entities under the fasttrack accreditation
process:
Complete this section
by demonstrating
monitoring
competency and a
track record for the
issues listed in item
⎕ Defined
⎕ Not defined
The following information/documents have
been:
⎕ Provided by the entity to demonstrate
capacity and competency for points PS1-8
(select all that apply):
⎕ List of key in-house persons
undertaking necessary work in these
areas. Please specify responsibility and
area of competency for each person
⎕ Brief bio data of these people including
relevant qualifications and experience
⎕ If outsourced, provide similar data in
respect of outsourced persons/agency
⎕ Sample work done by the in-house/
outsourced resources in these areas
⎕ Not provided
A document containing the internal
processes, along with clearly defined
roles/responsibilities and timelines, to
support a monitoring/ supervision
programme that tracks and ensures
completion of mitigation and performance
improvement measures has been:
⎕ Provided
⎕ Not provided
54
effectiveness of the ESMS. Senior
Management takes the necessary steps
to ensure that the intent of the
institutions policy is met and that
procedures, practices and plans are
implemented.
As mentioned for category A above
there is an overlap between 6.3
Management Review and this section.
Version 1.1
6.2. This section does
not need to be
completed for other PS
requirements.
For all other types of
entities:
i) Description of
monitoring and
review program
and previous
years’ metrics or
indicators that
resulted from the
program
ii) Sample of project
monitoring and
evaluation reports
Information/data/cases relating to
application of this process to monitoring of
completion of mitigation and performance
improvement measures in the past (track
record for issues listed in item 6.2) has been:
⎕ Provided
⎕ Not provided
Description of monitoring and review
program has been:
⎕ Provided
⎕ Not provided
Metrics/indicators generated through
monitoring and review during the past year
have been:
⎕ Provided
⎕ Not provided
Samples of project monitoring and
evaluation reports (which should also
include review/monitoring of actions taken
for mitigation and performance
improvement measures for PS1-8) or
information/data/cases relating to
application of this process to monitoring of
completion of mitigation and performance
improvement measures in the past (track
record for all areas PS1-8) have been:
⎕ Provided
⎕ Not provided
55
6.6
External Communications
For all types of entities:
i) Written process or
External communication channels that
procedures
allow the entity to:
describing
external
• Receive and register external
communications
communications from the public;
system
• Screen and assess issues raised and
ii) Location of system
determine how to address them;
(website, etc.)
• Provide, track, and document
responses.
iii) Register of
inquiries/
complaints and
responses from
the past 1 year.
Documented process/procedures with
assigned responsibilities have been:
⎕ Provided
⎕ Not provided
Location of the system has been:
⎕ Provided
⎕ Not provided
Register of inquiries/complaints, responses
and current status from the past 1 year has
been:
⎕ Provided
⎕ Not provided
For Category C/I-3
Entities that desire to undertake Category C/Intermediation 3 type projects/programmes will only have an ESMS. Category C/I-3 projects, by
definition, contain little to no environmental or social risks or impacts. The ESMS required will be moderate and very simple, and will not need all of
the ESMS elements required by higher risk categories. Required elements of the institutional ESMS are shown in items 6.1-6.6.
Item
Information Required
Specific Requirements
Status
6.1
6.2
Policy
Identification of Risks and Impacts
Not required.
For GEF-accredited
entities under the fast-
Not applicable
The following is the status regarding the
coverage of the risk and impacts
Version 1.1
Remarks
(complete/Pending/
Information not
satisfactory)
56
A process that screens
projects/programmes against PS1-8
and is able to consistently confirm the
risk category.
Version 1.1
track accreditation
process:
Complete this section for
a risk and impacts
identification procedure
or process and track
record that includes:
PS2; PS3 except Pest
Management; PS4
infrastructure and
equipment design and
safety beyond dam
safety, hazardous
materials and
management safety,
protection of priority
provisioning and
regulating ecosystem
services, community
exposure to disease,
emergency response and
preparedness,
collaboration with
communities, security
force management; and
PS6 supply chain
requirements. This
section does not need to
identification procedure or process and
track record for different areas(select all
that apply):
⎕ PS2 Labour and working conditions
⎕ PS3 Resource efficiency and pollution
prevention
⎕ Except for pest management
⎕ PS4 Community health, safety and
security
⎕ Infrastructure and equipment design
and safety beyond dam safety,
⎕ Hazardous materials and
management safety,
⎕ Protection of priority provisioning
and regulating ecosystem services,
⎕ Community exposure to disease,
emergency response and
preparedness,
⎕ Collaboration with communities,
⎕ Security force management.
⎕ PS5 Land acquisition and involuntary
resettlement
⎕ PS6 Biodiversity conservation and
sustainable management of living
natural resources
⎕ Supply chain requirements
⎕ PS7 Indigenous peoples
⎕ PS8 Cultural heritage
57
be completed for other
PS requirements.
For all other types of
entities in this category:
i) A basic E&S
procedure, which
may be implemented
by the relevant part
of the organization.
An E&S risks and impacts identification and
assessment framework/procedure has
been:
⎕ Provided
⎕ Not provided
The responsibilities for implementation of
the procedure are:
⎕ Defined
⎕ Not defined
ii) If a categorization
The procedure provided contains a
system is already
categorization framework including
used, a list of
responsibility for determining the
illustrative projects
categorization:
from the past 3 years ⎕ Yes
⎕ No
and their category,
including a
A list of illustrative projects (past 3 years)
description of who
and their category has been:
determines
⎕ Provided
categorization.
⎕ Not provided
⎕ No categorisation framework is built
into the procedure.
A separate categorization framework has
been:
⎕ Provided
⎕ Not provided
Version 1.1
58
6.3
Management Programme
A management programme consistent
with the level of E&S risk. The
management programme should
indicate an institutional process to
identify and manage risks (including
unanticipated risks and impacts), and
designate roles responsible for
implementing the programme.
6.4
Organizational Capacity and
Competency
Version 1.1
For GEF-accredited
entities under the fasttrack accreditation
process:
Complete this section by
demonstrating
management processes
and track record for the
issues listed in item 6.2.
This section does not
need to be completed for
other PS requirements.
For all other types of
entities:
If needed due to
unanticipated risks or
impacts arising after
screening, a description
of the process and
organizational capacity
to manage E&S risk.
For GEF-accredited
entities under the fast-
A management programme consisting of
an institutional process to identify and
manage risks (including unanticipated risks
and impacts), and designate roles
responsible for implementing the
programme.has been:
⎕ Provided
⎕ Not provided
A documented institutional process for
managing mitigation measures and actions
stemming from the E&S risk identification
process has been:
⎕ Provided
⎕ Not provided
Information from projects recently
implemented or under implementation
about its track record in managing
mitigation measures and other actions
identified as a part of the E&S risk
assessment process/framework have been:
⎕ Provided
⎕ Not provided
The following information/documents by
the entity to demonstrate capacity and
59
Designated staff or staff members
appropriately located within the
organization are knowledgeable
about PS1-8 and able to properly
categorize potential funding
proposals through a screening
process.
6.5
Monitoring and Review
Version 1.1
track accreditation
process:
Complete this section by
demonstrating capacity
and competency for the
issues listed in item 6.2.
This section does not
need to be completed for
other PS requirements.
For all other types of
entities:
Organizational chart of
where designated staff
members who make
categorization decisions
sit in the organization
and reporting lines.
For GEF-accredited
entities under the fast-
competency for the points listed
above(select all that apply) has been:
⎕ Provided
⎕ List of key in-house persons
undertaking necessary work in these
areas. Please specify responsibility
and area of competency for each
person
⎕ Brief bio data of these people
including relevant qualifications and
experience
⎕ If outsourced, provide similar data in
respect of outsourced
persons/agency
⎕ Sample work done by the in-house/
outsourced resources in these areas
⎕ Not provided
An organizational chart which gives the
position of designated staff members who
make categorization decisions in the
organization and reporting lines has been:
⎕ Provided
⎕ Not provided
Relevant information for monitoring
competency and a track record for the
issues listed in item 6.2 has been:
60
Moderate monitoring of
projects/programmes to ensure that
there have been no scope changes or
unanticipated impacts or risks
requiring mitigation and
management.
6.6
External Communications
External communication channels
that allow the entity to:
• Receive and register external
communications from the public;
• Screen and assess issues raised
and determine how to address
them;
• Provide, track, and document
responses
Version 1.1
track accreditation
process:
Complete this section by
demonstrating
monitoring competency
and a track record for
the issues listed in item
6.2. This section does
not need to be
completed for other PS
requirements.
For all other types of
entities:
Description of project
monitoring process.
For all types of entities:
i) Location of system
(website, etc.)
⎕ Provided
⎕ Not provided
Description of project monitoring process
has been:
⎕ Provided
⎕ Not provided
Documented process/procedures with
assigned responsibilities for receiving,
registering and handling external
communication including complaints has
been have been:
⎕ Provided
⎕ Not provided
Location of the system has been:
⎕ Provided
⎕ Not provided
ii) Register of
Register of inquiries/complaints, responses
inquiries/complaints and current status from the past 1 year has
been:
61
and responses from
the past 1 year.
Version 1.1
⎕ Provided
⎕ Not provided
62
SECTION VI: Gender
Item
Information Required
Specific Requirements
Status
7.1
Demonstrate competencies, policies
and procedures to implement the
Green Climate Fund’s Gender Policy 1
7.2
Demonstrate experience with gender
and climate change, including a track
record of lending to both men and
women
For all types of entities:
Policy/strategy or
action plan to ensure
gender mainstreaming
in operations.
For all types of entities:
Detailed description of
3 projects, with specific
reference to women and
men who have
benefitted from climate
change projects.
Policy/strategy and/or action plans to
ensure gender mainstreaming in
operations have been:
⎕ Provided
⎕ Not provided
Detailed description in respect of 3
different projects with specific reference to
women and men who have benefitted from
climate change projects has been:
⎕ Provided
⎕ Not provided
Version 1.1
Remarks
(Complete/Pending/
Information not
satisfactory)
Evidence to show that projects to which the
entity lends have non-discriminatory
practices in terms of benefits and
remuneration for both men and women
employees has been:
⎕ Provided
⎕ Not provided
63
STAGE I INSTITUTIONAL ASSESSMENT AND COMPLETENESS CHECK LOG
Date of completion of
Stage 1 Institutional
Assessment and
Completeness Check
Assessment 1
Assessment 2*
Assessment 3*
If ready for Stage II
Accreditation Review,
date of communication
from Secretariat to
Accreditation Panel
If additional information
required, date on which
requirements sent from
Secretariat to applicant
entity
Date on which required
information received by
Secretariat from
applicant entity
*If applicable
Final Conclusion:
⎕ Application can be forwarded to AP for Stage II Accreditation Review
⎕ Entity requires Readiness Support
⎕ Application required further information
Version 1.1
64