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A practical handbook for Green Climate Fund accreditation in Bangladesh

Economic Relations DivisionMinistry of Finance

Unlock Climate Finance Unlock

Climate Finance

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Authors

Neha Rai is a senior researcher with IIEDs climate change group. [email protected] Soanes is a consultant with IIED.

Special contributions from: Md. Ashadul Islam, Additional Secretary, UN Wing, ERD Mohammad Iftekhar Hossain, Deputy Secretary, UN-3, ERD Dr Saleemul Huq, ICCCAD, Bangladesh

Guidance: Mohammad Mejbahuddin, Senior Secretary, ERD and NDA of Bangladesh to the GCF

Produced by IIED’s Climate Change Group

Working in collaboration with partner organisations and individuals in developing countries, the Climate Change Group has been leading the field on adaptation to climate change issues.

Acknowledgements

We will like to thank Dethie Soumaré Ndiaye from Senegalese NIE- Centre de Suivi Ecologique for kindly facilitating an exchange visit for staff of ERD, Bangladesh. The report draws from experiential learning from this south-south exchange.

Partner organisation

Economic Relations Division (ERD) is one of the four divisions of the Ministry of Finance, Government of the People’s Republic of Bangladesh. ERD has been appointed as the National Designated Authority (NDA) to access the Green Climate Fund in Bangladesh.

Published by IIED, November 2015

Neha Rai and Marek Soanes. 2015. A practical handbook for Green Climate Fund accreditation in Bangladesh. IIED, London.

http://pubs.iied.org/10151IIEDISBN: 978-1-78431-266-4

Printed on recycled paper with vegetable-based inks.

International Institute for Environment and Development 80-86 Gray’s Inn Road, London WC1X 8NH, UKTel: +44 (0)20 3463 7399Fax: +44 (0)20 3514 9055email: [email protected]

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Front cover photo: Trees, Bangladesh Credit: Aminul Islam, flickr.com

A prActicAl hAndbook for green climAte fund AccreditAtion in bAnglAdesh

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CoNTENTS

Contents

Acronyms 2

1. introduction 3

1.1 What is the Green Climate Fund? 4

1.2 What is the role of the NDA? 4

1.3 What is direct access? 5

1.4 What is accreditation? 6

1.5 What is the role of the NIE? 6

1.6 Who can apply for accreditation in Bangladesh? 7

2. how can prospective nies in bangladesh get accreditation? 8

2.1 Key facts about accreditation 9

2.2 Steps and stages of accreditation 11

Stage 1: Pre-accreditation 11

Stage 2: Accreditation review process and decision 12

Stage 3: Final validation and legal arrangements 16

3. how nies can demonstrate fiduciary standards: lessons from senegal 17

3.1 Key administrative and financial capabilities 20

3.2 Transparency and accountability 21

3.3 Project management 22

3.4 Environmental and social safeguards 23

3.5 Gender policy 28

4. documents required for accreditation 30

5. legal arrangements 32

5.1 Roles and responsibilities of accredited entities 33

6. Accreditation application form 34

7. Appendix: relevant gCf documents 69

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Acronyms

AF Adaptation Fund CSE Centre Suivi Ecologique CSo civil society organisations E&S environmental and socialEEs executing entitiesERD Economic Resource Division ESMS environmental and social management systemEU DEVCo European Commission’s Directorate-General for Development and

Cooperation – EuropeAidGCF Green Climate FundGEF Global Environmental FacilityIEs implementing entitiesIFC International Finance CorporationMDBs Multilateral Development Banks MIEs multilateral implementing entities NIEs national implementing entities NDA national designated authorityoAS online application systemPS performance standard

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IntroductIon

1. Introduction

The aim of this handbook is to provide a practical guide to assist prospective national implementing entities (NIEs) in Bangladesh to directly access the Green Climate Fund (GCF).

It is designed to provide an all-in-one guidance and analysis of the concept, process, relevant standards, frequently asked questions and previous applicants’ experience of GCF accreditation. Given the purpose of this work, it does not discuss accreditation for multilateral implementing entities (MIEs) via international access modality.

The handbook is primarily intended to be used by national institutes aiming to become accredited NIEs. These can be national line ministries or departments, the Central Bank, public financial institutions, private sector companies or civil society organisations.

Prior to developing this guidebook, the Ministry of Finance’s Economics Resource Division (ERD) conducted an institutional assessment with prospective NIEs to

understand their knowledge levels of GCF and their readiness needs for getting accrediting. This document aims to bridge this knowledge gap and provides an overview of:

●● the Green Climate Fund

●● the role of the national designated authority (NDA) in Bangladesh

●● direct access

●● accreditation

●● role of NIEs

●● who can apply for accreditation, and

●● how to get accredited as an NIE

The document also builds on practical insights gleaned from a recent South-South exchange between the Bangladesh NDA — the ERD — and Senegal’s NIE, the Centre Suivi Ecologique (CSE). CSE was one of the first NIEs to be accredited by GCF and the Adaptation Fund (AF), and has recently submitted its first GCF project proposal.

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1.1 What is the Green Climate Fund? The GCF is an international climate fund designed to help developing countries respond to climate change by investing in low-carbon resilient development. Countries can access GCF finance through three funding windows: adaptation, mitigation and private sector facility (see Figure 1).

While funding developing countries, GCF aims to balance its allocation between adaptation and mitigation while significantly allocating resources to engage the private sector. Furthermore, nearly half of the ‘adaptation’ pool is expected to be allocated to Least Developed Countries, Small Island Developing States and African states.

1.2 What is the role of the NDA? Figure 2 shows the key entities needed to access mobilise and disburse GCF funds within a country. An NDA is the focal point within a country for engaging with the fund.

Figure 2. Key entities needed to access GCF in Bangladesh

Figure 1. GCF funding windows

Adaptation

GCF funding

windows

Mitigation Private sector facility

• National designated agency – focal agency

• Implementing entities – act as programme managers of fund (grants)

• Legal accredited entities

• Have broader scope• Expected to administer grants, loans and also blend funds with their own

• Executing entities• Have implementation responsibilities

NDA

IEs

Intermediaries

EEs

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IntroductIon

The ERD, one of the four divisions in the Ministry of Finance, is Bangladesh’s NDA. Figure 3 shows the key roles the ERD plays in supporting the mobilization of GCF in Bangladesh.

1.3 What is direct access? Bangladesh can access GCF funds through indirect channels, using multilateral or regional implementing entities or direct channels, using NIEs.

Under the direct access modality, Bangladesh can select one or more NIEs to access, manage and distribute GCF funding without going through multilateral agencies. By doing so, it is expected to increase country ownership over funded projects and improve institutional capacity for climate fund management.

Figure 3. Key roles and functions of ERD, Bangladesh’s NDA

Strategic oversight of

Bangladesh’s priorities

Convene national

stakeholders

Provide nomination letters for

direct access

No-objection letters for projects/

programmes

Approval of readiness support

Scope of ERD

Manikganj in Bangladesh © OneWorld UK, flickr.com

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1.4 What is accreditation? To access finance directly from GCF, ERD identifies and nominates national entities to be accredited as NIEs.

Accreditation is a process under which entities have to demonstrate that they have the ability to manage the fund’s resources in accordance with standards and criteria set out in the accreditation application.

A team of experts from the accreditation panel undertake an independent review

of the application to assess whether the applicant entity meets GCF’s fiduciary standards and environmental and social safeguards (ESS) and complies with its gender policy.

By March 2015, globally, 41 applications had been submitted via the online accreditation system (oAS), including nine national public entities, five regional public entities, eight private sector entities and 19 international public or non-governmental organisations.

1.5 What is the role of the NIE? NIEs are accredited entities that are expected to mobilise and manage GCF finance in a country. once a Bangladesh NIE gets GCF accreditation, their primary role will be to:

●● Develop and submit funding proposals for projects and programmes

●● oversee project and programme management and implementation

●● Deploy a range of financial instruments (grants, concessional loans, equity and guarantees), and

●● Mobilise private sector capital.

By october 2015, stakeholder consultations, self-assessments, workshops and consultation with expert opinions (including the GCF) have helped identify a wide range of potential NIEs in Bangladesh, including:

●● Central Bank of Bangladesh

●● Bangladesh Climate Change Trust

●● Department of Environment

●● Local Government Engineering Department

●● Infrastructure Development Company Ltd (IDCoL), and

●● Palli Karma-Sahayak Foundation (PKSF).

of the six, IDCoL has already lodged its accreditation application to the GCF; the other five are at different stages of filling their applications.

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IntroductIon

1.6 Who can apply for accreditation in Bangladesh? Any subnational, national, regional, public or private agency can apply to become accredited as an NIE, provided it has:

●● A legal status: it has to be legally established within Bangladesh.

●● An institutional system: with robust policies, procedures and guidelines.

●● A track record: so it can demonstrate that it implements these policies, procedures and guidelines.

Nature view of Bogra near Ashekpur Ranihat Road, Bogra. Bangladesh © Nobin, flickr.com

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2. How can prospective NIEs in Bangladesh get accreditation?

In this section we discuss the key steps of how prospective entities can be accredited and the specific readiness needs of these entities prior to accreditation. Entities need be nominated by the NDA — the ERD in the Ministry

of Finance — before they can apply for accreditation to become an NIE. once nominated, an entity can follow the accreditation process, which has three stages (see Figure 4).

Figure 4. The three stages of the accreditation process

Pre-accreditation completeness

check

Review and Board decision

Legal arrangements

No objection by NDA and readiness

Post accreditation validation

Stage 1

Stage 3

Stage 2

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How can prospective nies in BangladesH get accreditation?

2.1 Key facts about accreditation●● Accreditation is an ongoing,

interactive process. It is crucial that NIE applicants, the NDA and the GCF Secretariat/accreditation panel communicate frequently and effectively. Throughout the accreditation process, NIE applicants should approach the NDA and the GCF whenever they need clarification or explanation.

●● All application materials and documents should be submitted electronically via the oAS. No hard copy or post-submission materials are accepted. Applicants can check their

application status online at any time and will receive regular notifications regarding the application’s status.

●● Additional information about the application may be requested at any time during the process.

●● Accreditation documents should all be in English. GCF is exploring the possibility of enabling submission in all UN official languages.

●● The timeframe for accreditation is six months, provided all required materials have been submitted.

Manikganj in Bangladesh © OneWorld UK, flickr.com

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Figure 5. GCF accreditation process flow chart

Fit-for-purpose accreditation• Scope and nature of proposed

activities

• NIE institutional capacity

Standard checklist of 260 questions for Accreditation Panel

Sta

ge 2

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Sta

ge 3

: Pos

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oAS account request [email protected]

Decision by the Board

Accredited NIE

Step 2: Recommendation to

GCF board

Nomination from NDA

Submit application via oAS

Pay accreditation fees

Submit further documents

If complete

Interactive institutional assessment on:1. Legal status2. Registration, permits and licenses3. Track records4. Institutional presence and relevant networks5. ReadinessStandard checklist of 180 questions for Secretariat

Step 1: Accreditation panel

review

Track records

Application materials

Environmental and social safeguards

Basic fiduciary standards

Specialised fiduciary standards Gender

policy

+

Validation of payment instruments

Finalisation and signature of the accreditation master agreement between

the fund and the accredited NIE

Actions by Secretariat

Actions by Accreditation Panel

Actions by the BoardActions by NDA

Actions by applicants

Enquiry and feedback between applicants and secretariat

Automative notification from oAS and an email from Sectetariat confirming the submission

Enquiry and clarification among applicants, NDA and Secretariat

oAS notification

No

Yes

Confirmation from oAS and Secretariat: application completed / Stage 1 closed

Sta

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ion

and

read

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Step 2: Completeness check

and institutional assessment

Step 1: Confirm nomination

from NDA

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2.2 Steps and stages of accreditation There are three stages of accreditation: pre-accreditation, review and decision and the final validation and legal arrangements. Each of these stages has several steps that prospective entities need to follow.

Stage 1: Pre-accreditation There are five steps to Stage 1:

Step 1 Prospective NIE requests an oAS account from the GCF secretariat via [email protected]

Step 2 Prospective NIE submits completed application through the GCF’s oAS

Step 3 Prospective NIE pays accreditation fees (not needed in the case of Bangladesh)

Step 4 NDA (ERD in the case of Bangladesh) confirms nomination of the NIE

Step 5 GCF Secretariat completes institutional assessment and completeness check

In this document we will elaborate on the fifth step as rest others are self-explanatory

Step 5: Interactive institutional assessment After receiving applications via oAS, the GCF Secretariat conducts an institutional assessment process based on submitted materials. This ensures that applications are properly submitted with all the necessary information, and that they comply with criteria such as legal status and mandate, institutional track record

and alignment with the fund’s objectives and guiding principles. In particular, they look at:

●● Legal status: Does the entity have the full legal capacity to undertake the intended activities and become an accredited entity?

●● Registration, permits and licenses: Does it possess all the necessary, relevant and applicable registrations, permits or licenses from national and/or international regulators or oversight bodies?

●● Track record: Does it have a consistent and positive track record in the context of its own institutional mandate, as well as in areas relevant to the fund’s objectives and initial results areas?

●● Institutional presence and relevant networks: Can it demonstrate the potential for meaningful impact in one or more of the fund’s initial results areas? Does it have at its disposal networks of relevant institutions and experts at regional and national levels?

●● Readiness: Can it describe how it meets the Fund’s initial basic fiduciary standards and applicable initial specialised fiduciary standards, to demonstrate that it has the capacity and commitment to implement the fund’s ESS?

once an application is found to be complete, Stage 1 closes and Stage 2 begins, when the accreditation panel reviews the application and recommends that the Board accredit the entity, if it is found to be fit for specific purpose.

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Stage 2: Accreditation review process and decisionIn Stage 2, the accreditation panel reviews the application and then the Board will make decision based on the panel’s review and recommendation.

Step 1: Review of application. The panel will assess whether the entity meets GCF’s basic fiduciary and applicable initial specialised fiduciary standards and whether it has the capacity to manage relevant environmental and social risks in line with the GCF’s interim ESS and scaled risk-based approach.

The panel uses a fit-for-purpose accreditation approach that matches the nature, scale and risks of proposed activities to the application of the Fund’s initial fiduciary standards and interim ESS.

The GCF’s Accreditation Panel conducts the accreditation review process and recommends to the Board whether the applicant entity should be accredited.

Step 2: Decision on the application for accreditation. At the end of this stage, the Board will consider the Accreditation Panel’s recommendations and make a decision on whether the applicant entity can be granted accreditation and move on to Stage 3 for final validation and legal arrangements. Based on the panel’s recommendations, the Board may alternatively decide to assign the entity back to Stage 1 for additional focused readiness support. In such cases, it will reconsider the application at a later date after a further focused accreditation review by the Accreditation Panel.

Figure 6. Overview of Stage 2

Stage 2: Accreditation review and decision

Step 1* Step 2

Desk review

Communication with applicant

Meeting discussion

Further review

Recommendation to the board

Further meeting

discussion

Accreditation

Non-accreditation

Decision by the board

Communication of non-

accreditation**

Acc

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ante

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ovin

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Sta

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* Conducted by the Accreditation Panel with support from external technical experts on a need-basis** The Board will inform the entity about the gaps and the entity may reapply for accreditation (and for readiness under direct access)

Accreditation process

Source: GCF Secretariat

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Fit-for-purpose accreditationIn Stage 2, funds are assessed for fit-for-purpose accreditation. Results depend on the entity’s ability to demonstrate a track record of fiduciary, environment and social standards in the accreditation process (see Table 1). GCF’s innovative fit-for-purpose accreditation approach is designed to engage a wide range of entities with different levels of existing capacity and to avoid an unnecessarily long and burdensome accreditation process. Fit-for-purpose accreditation (see Table 2) is a tiered approach by which applicant entities are classified based on the intended scale, nature and risks of their proposed

activities. Applicants are only required to demonstrate their capacities to tackle corresponding risks during the accreditation, so this process does not unduly burden no- and low-risk projects.

The fit-for-purpose accreditation approach matches the nature, scale and risks of proposed activities to the application of fiduciary standards and ESS, and assesses the extent to which an entity conforms to the GCF’s fiduciary standards and has the capacity to conform with the its ESS and gender policy.

See Section 3 for further instructions on how prospective Bangladeshi NIEs can demonstrate these standards.

Table 1. GCF’s fiduciary standards, ESS and gender policy

BASIC FIDuCIARy STANDARDS ESS

Key administrative and financial capacities Transparency and accountability

Policy level: Performance standard (PS) 1: Assessment and management of relevant PS1-8 (see below) environmental and social risks and impacts through an institutional environmental and social management system

Specialised fiduciary standards Project level: PS2: Labour and working conditions

PS3: Resource efficiency and pollution prevention

PS4: Community health, safety and security

PS5: Land acquisition and involuntary resettlement

PS6: Biodiversity conservation and sustainable management of living natural resources

PS7: Indigenous peoples

PS8: Cultural heritage

Project management Grant award and/or funding mechanism on lending and/or blending

Gender policy

Policies, procedures and competencies

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Figu

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The Stage 2 review or assessment will allow the accreditation panel to specify and link up the type of accreditation (basic or specialised) with the size of projects and fiduciary functions an entity may undertake and the level of risk its intended projects may take.

Lack of track record

Sometimes an entity meets most of the accreditation criteria, but has a limited track record of managing projects or funding of the type, at the scale and/or at the risk level that it intends to undertake. In these cases, the accreditation panel may recommend to the Board that the entity be accredited, but with a more frequent reporting requirement, to be lifted after the first two years of accreditation, subject to satisfactory performance. The Accreditation Panel may also recommend a more frequent, but smaller, disbursement of funding tranches, subject to review after the first two years of accreditation.

The panel may further recommend placing conditions on the sectors of the projects or activities that the entity can undertake. It will determine on a case-by-case basis the appropriate recommendation or conditions that may apply to the entity in circumstances where there is a limited track record.

Accreditation of additional capacityIn the event that an entity that has been accredited with certain restrictions on its activities subsequently wishes to take on additional activities, it may re-apply for accreditation of these additional capacities. It will go directly to Stage 2 of the accreditation process and the assessment will focus only on those additional capacities and not on those already accredited, unless the applicant wishes to go through Stage 1 again, for the purposes of readiness assessment and eventual support on those capacities for which it seeks further accreditation.

Table 2. Fit-for-purpose approach to accreditation

FIDuCIARy FuNCTIoNS SIzE oF PRojECT/ACTIvITy wIThIN A PRoGRAmmE

ENvIRoNmENTAL AND SoCIAL RISk CATEGoRy

Shapes how the entity will operate using the fund’s resources — e.g. grants, concessional loans, equity, guarantees

Micro: US$0–10 million

Small: US$10–50 million

Medium: US$50–250 million

Large: US$>250 million

A: high risk/intermediation 1

B: medium risk/intermediation 2

C: low to no risk /intermediation 3

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Fast-track accreditationEntities or groups of entities who meet other fiduciary, environmental and social principles and standards that are comparable to the fund’s fiduciary standards and ESS may be eligible for the fast-track accreditation process, with a shortened Stage 2. GCF recognises entities accredited by the Global Environmental Facility (GEF), AF and the European Commission’s Directorate-General for Development and Cooperation – EuropeAid (EU DEVCo) for fast-track accreditation.

However, where these entities’ demonstrated capacities under GEF, AF, or EU DEVCo are not fully compatible to GCF’s standards, they are also subject

to gap analysis. Fast-track accreditation is only applicable for GEF, AF or EU DEVCo-accredited entities and it does not mean automatic accreditation. Entities still need to be approved by the Board for accreditation and go through Stage 3: legal validation.

Stage 3: Final validation and legal arrangements Stage 3 concludes the process through the validation and finalisation of formal arrangements between the applicant and GCF. It includes validation and registration of the accredited entity’s payment instructions and the conclusion of legal arrangements between the two parties.

Figure 8. Stage 3: Post-accreditation process

STEP 1: Validation of

payment instructions

STEP 2: Finalisation and signature of the accreditation master agreement

between the fund and the accredited entityS

tage

3

From Stage 2

Post- accreditation

+ +

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How NIEs caN dEmoNstratE fIducIary staNdards: lEssoNs from sENEgal

3. How NIEs can demonstrate fiduciary standards: lessons from Senegal

ERD staff recently made an exchange visit to the Senegalese accredited entity CSE. Examples from CSE show how Bangladesh’s NIEs can demonstrate fiduciary standards and safeguards for accessing and mobilising GCF.

The fiduciary criteria stipulates the NIE’s capacities to identify, prepare, submit and implement funding proposals for projects and programmes in line with national climate change mitigation and adaptation needs. Its five basic elements are:

●● Core financial and administrative functions

●● Good governance

●● Procurement processes and systems

●● Transparency and integrity, and

●● Project cycle management.

When seeking accreditation with the GCF, an entity must provide relevant organisational policy and evidence from past projects and processes.

These fiduciary standards were developed based on GEF, AF and EU DEVCo standards, and other best practices from the Multi-lateral Development Banks. The fiduciary guidelines of these programmes and organisations are observed during the application for accreditation; being aware of this will help develop an applicant’s knowledge and understanding of the overall application and requirements.

There are two types of fiduciary standard: basic and specific. Basic standards include key administrative capabilities, transparency and accountability. The fund’s specific fiduciary criteria refer to institutional

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capacities that will qualify applicant entities to undertake specialised activities depending on the nature and scope of their mandate within the fund’s operations. These include project management, funding mechanisms

and on-lending or blending. All these standards should also comply with ESS and gender policy. In the following sections, we discuss how Bangladeshi NIEs can demonstrate the standards required for accreditation.

Table 3. Basic fiduciary standards

REquIRED ComPETENCy

uNDERLyING PRINCIPLES SPECIFIC REquIREmENT SCoPE

key administrative and financial capacities

Financial inputs and outputs are properly accounted for, reported and administered transparently in accordance with pertinent regulations and laws, and with due accountability.

●● General management and administrative capacities

●● Financial management and accounting

●● Internal and external audit●● Control frameworks●● Procurement

Information relating to the entity’s overall administration and management is available, consistent, reliable, complete and conforms to the required fiduciary standards.

The entity’s operations show a track record in effectiveness and efficiency.

Transparency and accountability

Protection and commitment against mismanagement and fraudulent, corrupt and wasteful practices.

●● Disclosure of conflicts of interest●● Code of ethics●● Capacity to prevent or deal with financial mismanagement and other forms of malpractice

●● Investigation●● Anti-money laundering and anti-terrorist financing

Disclosure of any form of conflict of interest (actual, potential or perceived).

Code of ethics, policies and culture that drive and promote full transparency and accountability.

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Table 4. Specific fiduciary standards

REquIRED ComPETENCy

uNDERLyING PRINCIPLES SPECIFIC REquIREmENT SCoPE

Project management

Ability to identify, formulate and appraise projects or programmes

●● Project preparation and appraisal (from concept to full funding proposal)

●● Project implementation, oversight and control

●● Monitoring and evaluation●● Project-at-risk systems and related project risk management capabilities

Competency to manage or oversee the execution of approved funding proposals, including the ability to manage EEs or project sponsors and to support project delivery and implementation

Capacity to consistently and transparently report on the progress, delivery and implementation of the approved funding proposal

Required competency Specific requirement scope

Grant award mechanisms and/or funding allocation mechanisms

●● Transparent eligibility criteria and evaluation●● Grant award decision and procedures●● Public access to information on beneficiaries and results●● Transparent allocation and implementation of financial resources●● Good standing with regard to multilateral funding (e.g. through recognised public expenditure reviews)

on-lending and blending

●● Appropriate registration and/or license from a financial oversight body or regulator in the country and/or internationally, as applicable

●● Track record, institutional experience and existing arrangements and capacities for on-lending and blending with resources from other multilateral sources

●● Creditworthiness of the institution making on-lending or blending arrangements

●● Due diligence policies, processes and procedures in place●● Financial resource management, including analysis of the intermediary’s lending portfolio

●● Public access to information on beneficiaries and results●● Investment management, policies and systems, including portfolio management

●● Capacity to channel funds transparently and effectively, and to transfer GCF’s funding advantages to final beneficiaries

●● Financial risk management, including asset liability management●● Governance and organisational arrangements, including relationships between the entity’s treasury function and the operational side

●● For intermediaries or IEs that blend grant awards: – clear procedures about the grant award rules that the implementing partner is required to apply, or

– if the intermediary or IE uses its own rules, satisfactory minimum requirements.

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3.1 Key administrative and financial capabilitiesThe entity must provide evidence that:

●● Financial outputs and inputs can be properly accounted for, reported and administered transparently in accordance with national and international law

●● Information on the overall administration and management of the entity is publically available, and

●● This information fits with basic fiduciary standards, by showing evidence of a proven track record of its operations.

It must provide evidence of consistency in the following general capacities1:

1. General management and administrative capacities When becoming accredited, the GCF accreditation panel will expect conformance to the GCF management template (also related to procurement and financial management systems). The GCF, however, recognises that every country situation is different, and there may be circumstances where they may conflict with national regulations: these may need to be moulded around on individual country circumstances and are unlikely to fit perfectly.

2. Financial management and accounting The financial management system must be clear, recognisable and acceptable. CSE uses globally accepted accounting software to keep records of its transactions and accounts of income, expenditure, assets and liabilities, which helps it produce and publish annual financial statements. Senegal’s public entities do not generate country-level annual financial statements, but as a member of Economic Community of West African States (ECOWAS),2 they follow the same accounting and financial recording and reporting policies and system. For fund management, entities need a unique account to receive GCF funds and ensure these are transparently monitored from receipt to executing entity (EE) provision.

3. Internal and external audit Internal audits are not yet formalised within CSE, which is not a financial institution. CSE finds this area of conditional accreditation for basic fiduciary standards particularly difficult, but given CSE’s environmental credentials and the type and size of projects it is accredited to implement, GCF has viewed auditing as being

1 Specific insight from the CSE, beyond that included within GCF supporting documents, is provided in italics.2 Established 28 May, 1975 via the treaty of Lagos, ECoWAS is a 15-member regional group with a mandate to promote economic integration in all fields of activity of the constituting countries.

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of lesser importance. CSE audits are informal, with evidence provided simply through meeting minutes with their General Assembly. They do need to improve on any areas highlighted by the external auditor, or provide evidence to the GCF of why they have not tackled such measures. These are very important and can represent potential trip up points. For example, external auditors recommended that the CSE get insurance for all fixed assets, but this is expensive in Senegal and out of financial range for many institutions, including CSE. Provides an example of where financial trade-offs need to be met for successful accreditation.

4. Control frameworks A new area for CSE, which made it particularly difficult to adhere to. This was one of the areas for which they agreed conditional accreditation, recognising the importance of using a control framework to review procedures and subsequent EE activities during

project implementation. CSE provided evidence of downstream processes in past projects, which demonstrated its ability to perform due diligence over external contractors.

5. Procurement Although it is not mandatory, CSE suggests that entities develop their own procurement policy or guidelines, rather than relying on national policies. This is a very important step in developing institutional capacity; if an entity relies on national policy, it must perform a comprehensive gap analysis. CSE provided evidence to the GCF including examples from projects under the AF, whereby the CSE made agreements will all EEs that they would follow CSE procurement guidelines and on procurement disputes resolution. For example, after a procurement complaint was made around the purchasing of vehicles, CSE provided evidence to show how the issue was resolved in an amicable, fair and transparent manner.

3.2 Transparency and accountabilityThe entity must be able to demonstrate transparency and accountability within its own organisation and in past and future projects and/or programmes through its organisational policies, procedures, systems and approaches, as protection against mismanagement, fraud, corruption and wasteful practices. This should be provided with the entity’s code of ethics and organisational policies on such issues.

The CSE has developed a transparency and accountability framework in accordance with international regulations. This is based on its interactions with international donor agencies when receiving development assistance, which always comes with strict financial conditions. When possible, entities should provide evidence of interactions with such organisations as evidence that it is able

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to respond to a higher level of fiduciary standards beyond national capacities, as current GCF policies have been developed in accordance with the policies of many of these international institutions.

The entity must provide evidence of consistency in the following general capacities:

1. Code of ethics.

2. Disclosure of interests

3. Preventing financial mismanagement

4. Investigations: This was a particularly problematic area for the CSE, as it is not current practice in Senegal (and perhaps many other developing countries) to have systems in place to investigate those in the highest levels of authority within the organisation. The CSE developed its investigatory function supporting GCF documentation.

5. Anti-money laundering and anti-terrorist financing policies

3.3 Project managementThe entity must provide evidence from past projects to show it has the ability to identify, formulate and appraise projects and/or programmes, manage and oversee the execution of funding proposals approved by the GCF and subsequently manage EEs and/or project sponsors. This will ensure projects are implemented in line with fund requirements and national priorities, and that progress is transparently and consistently reported upon delivery.

It is important that the entity provides guiding information for staff so they know how they should perform. The CSE has resolved this with its project cycle management framework.

The entity must provide evidence of consistency in the following general capacities:3

1. Project identification, preparation and appraisal Both GCF and AF have highlighted project appraisal as very important. The CSE was very proactive with the NDA for the AF and the MoE, creating a project pipeline for potential projects two to three years in advance of accreditation. However, it did not carry out project appraisals, so environmental changes in the project were not monitored, subsequently evolving during the accreditation procedure. Although the project may be fine from a technical point of view, it is still important to understand and monitor social, environmental and economic conditions that are out of the entity’s control.

3 Specific insight from the CSE beyond that included within the GCF supporting documents is provided in italics.

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2. Project oversight and control NDA plays an important role in providing additional insight to NIE during the project preparation and implementation phase.

3. monitoring and evaluation (m&E) This can be very useful to gain insight from externals; civil society organisations can be particularly helpful. An M&E plan was one of CSE’s key capacity developments stemming out of the GCF and AF experience.

4. Project at risk management capabilities It is essential to have a system in place that can fix unexpected issues as quickly as possible so project development is not hampered. This will be linked to the monitoring and evaluation plan mentioned above.

CSE also found project closure to be very important, and concluded that it should take place at least one year before the potential end of a project. This should be viewed as a process and not an individual event.

3.4 Environmental and social safeguardsESS is part of the GCF’s initial guiding framework, and can be expected to change in the near future. once enough supported projects have been developed and provided enough feedback, the projects will develop their own ESS tailored to the needs of the GCF. Presently, the GCF’s ESS is based on the performance standards (PS) of the International Finance Corporation (IFC).

The IFC’s eight performance standards will be applied through a modular, scaled, risk-based approach to all GCF-funded activities. In a departure from a conventional project-oriented approach, GCF-accredited entities will have demonstrated their compliance of ESS at project and institutional level.

Bera, Rajshahi, Bangladesh © Enamur Reza, flickr.com

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Table 5. Performance standards of GCF’s interim ESS

PERFoRmANCE STANDARDS

REquIRED ComPETENCES DEmoNSTRATIoN EvIDENCE

PS1: ASSESSmENT AND mANAGEmENT oF ENvIRoNmENTAL AND SoCIAL RISkS AND ImPACTS

●● Identify funding proposal’s environmental and social risks and impacts

●● Adopt mitigation hierarchy: anticipate, avoid, minimise, compensate or offset

●● Improve performance through an environmental and social management system

●● Engage with affected communities or other stakeholders throughout funding proposal cycle.

Institutional-focused:●● ESMS●● Institutional capacity and commitment to execute ESS in track records of previous practices

PS2: LABouR AND woRkING CoNDITIoNS

●● Fair treatment, non-discrimination, equal opportunity

●● Good worker–management relationship●● Comply with national employment and labor laws

●● Protect workers, in particular those in vulnerable categories

●● Promote safety and health●● Avoid use of forced labor or child labour.

Project level:●● Project/programme proposal

●● Track records of specific projects/activities to show consistent compliance of ESS implementation

PS3: RESouRCE EFFICIENCy AND PoLLuTIoN PREvENTIoN

●● Avoid, minimise or reduce project-related pollution

●● More sustainable use of resources, including energy and water

●● Reduce project-related greenhouse gas emissions.

continues

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PERFoRmANCE STANDARDS

REquIRED ComPETENCES DEmoNSTRATIoN EvIDENCE

PS4: CommuNITy hEALTh, SAFETy AND SECuRITy

●● Anticipate and avoid adverse impacts on the health and safety of the affected community

●● Safeguard personnel and property in accordance with relevant human rights principles.

Project level:●● Project/programme proposal

●● Track records of specific projects/activities to show the consistent compliance of ESS implementation

PS5: LAND ACquISITIoN AND INvoLuNTARy RESETTLEmENT

●● Avoid/minimise adverse social and economic impacts from land acquisition or restrictions on land use by:

– avoiding/minimising displacement – providing alternative project designs, and/or

– avoiding forced evictions.●● Improve or restore livelihoods and standards of living

●● Improve living conditions among displaced persons by providing:

– adequate housing, and/or – security of tenure.

PS6: BIoDIvERSITy CoNSERvATIoN AND SuSTAINABLE mANAGEmENT oF LIvING NATuRAL RESouRCES

●● Protection and conservation of biodiversity

●● Maintenance of benefits from ecosystem services

●● Promotion of sustainable management of living natural resources

●● Integration of conservation needs and development priorities.

PS7: INDIGENouS PEoPLES

●● Ensure full respect for indigenous peoples’

– human rights, dignity and aspirations – livelihoods – culture, knowledge and practices

●● Avoid/minimise adverse impacts●● Ensure sustainable and culturally appropriate development benefits and opportunities

●● Gain free, prior and informed consent in certain circumstances.

PS8: CuLTuRAL hERITAGE

●● Protect and preserve cultural heritage●● Promote equitable sharing of cultural heritage benefits.

Table 5. Performance standards of GCF’s interim ESS (cont.)

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26 www.iied.org

Applicant entities are expected to develop an ESMS to consistently implement PS1–8, which should include:

●● A policy

●● A process to identify risks and impacts consistent with PS1–8

●● A management programme for mitigation measures and actions that stem from risks and impacts

●● An identification process consistent with PS1–8

●● organisational capacity and competencies to properly implement PS1–8

●● A monitoring and review programme to ensure completion of mitigation actions, which should facilitate learning and include reporting on the effectiveness of the ESMS, and

●● An external communication channel that facilitates receipt of and response to external inquires.

At the project/programme level, activities will be categorised into three levels, based on the significance of their potential environmental and social risks. The three categories are: A significant risks, B medium risks and C minimum risks.

Below we provide examples of how CSE has attempted to demonstrate the ESS standards where needed

Figure 9. Clarification of environmental and social risk

Adverse impacts that are diverse, irreversible, or unprecedented

Adverse impacts that are– Few in number– Generally site-specific– Largely reversible– Readily addressed by mitigation

measures

Adverse impacts that are minimum or negligible

Category A: significant risks

Category B: medium risks

Category C: minimum risks

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PS8 Cultural heritage

The entity must provide evidence of consistency in the following general capacities:

1. ESmS: The low environmental risk projects that the CSE is accredited for did not require this to be extensively developed.5

2. Policy: Formal Environmental and Social (E&S) Policy for PS1–8, in line with national law.

3. Identification of risks and impacts: Demonstrate Processes and track record for identifying E&S risks and impacts from potential projects against PS1–8. For Category C (minimum risk), which CSE is accredited for, this can only be performed as a screening process.

4. management programme: Demonstrate processes and track record for mitigating impacts stemming from the projects. For CSE, this only needed to be in line with Category C-level of risk. Programmes should be clearly developed and shared for ways in which to tackle potential unanticipated risks.

5. organisational capacity and competency: Develop defined roles, responsibilities and reporting lines of authority for ESMS implementation to ensure the right staff is responsible for overseeing and implementing PS1–8 in projects and funding proposals. In CSE, only designated staff requires knowledge of PS1–8, with categorisation of funding proposals through a screening process.

6. monitoring and review: Demonstrate detailed processes and track record of how programmes and/or projects or monitoring are performed to completion to ensure PS1–8 are met. Moderate monitoring capacities are required for CSE, but CSE still need to show how these will be implemented and achieved in future projects.

7. External communication: Communicate with members of the public and other entities to assist in project screening and issue raising. Responses should be tracked in the future, with examples from past projects.

The GCF provides a lot of flexibility on the formation of the ESMS, which can be fully formalised at a later date with respect to a conditional accreditation offer.

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3.5 Gender policyThe entity must be able to demonstrate competent policies and procedures to implement the GCFs gender policy, with evidence of non-discriminatory practice from past projects. It is not enough to rely on national regulation; the entity must create its own gender policy which falls in line with the GCF policy.

Despite the lack of national experience on gender equality issues, the CSE managed to create and implement its own policy. It has provided guidance for others, specifically, that a gender policy should:

●● Be implemented into the core of the business activities of the organisation, not just at project level

●● Influence procurement and other such procedures within the EEs under the legal responsibility of the NIE during projects, considering gaps between its own and the entity’s own gender policies, and

●● Be made publically available and communicated with staff.

The GCF has introduced a six-principle gender policy, which aims to ensure that, by adopting a gender-sensitive approach, the fund and its stakeholder entities will efficiently contribute to gender equality, achieving greater and more sustainable climate change results, outcomes and impacts. Applicant entities who seek accreditation are expected to demonstrate their competencies, policies and procedures to implement GCF’s gender policy; previous experience of implementing gender policy through project examples; and experience in gender and climate change, including a track record on lending to both women and men. If they cannot demonstrate the elements mentioned above, they should demonstrate a willingness to acquire or develop the needed competencies, policies and procedures for gender-sensitive project preparation, design, implementation and reporting.

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Table 6. GCF’s gender policy

CoRE PRINCIPLES ●● Commitment to gender equality and equity

●● Inclusiveness in terms of applicability to all the fund’s activities

●● Accountability for gender and climate change results and impacts

●● Country ownership in terms of alignment with national policies and priorities and inclusive stakeholder participation

●● Competencies throughout the fund’s institutional framework

●● Equitable resource allocation so that women and men benefit equitably from the fund’s adaptation and mitigation activities

oPERATIoNAL GuIDE AND DEmoNSTRATIoN EvIDENCE

●● Accredited entities will be required to undertake a mandatory initial socioeconomic and gender assessment, complementary to the ESS process, to collect baseline data and:

– Determine how the project/programme can respond to the needs of women and men in view of the specific climate change issue to be addressed

– Identify the drivers of change and the gender dynamics to achieve the project/programme adaptation or mitigation goals

– Identify and design specific gender elements to be included in the project/programme activities

– Estimate implementation budgets – Select output, outcome and impact indicators, and – Design project/programme implementation and monitoring institutional arrangements.

●● Gender-equitable stakeholder consultations, with gender parameters built into policy

●● Inclusion of gender perspective in the application of mandatory project/programme ESS in line with project/programme-specific requirements of GCF’s ESS

●● Project screening for gender sensitivity at the various stages of project preparation, appraisal, approval and monitoring, by the relevant bodies (NDA, accredited entities, Secretariat).

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4. Documents required for accreditation

The applicant entity may provide documentation in support of its application. The Secretariat (Stage 1 of the accreditation process) and the Accreditation Panel (at Stage 2) decide whether the supporting documentation submitted by the applicant is sufficient. All applications must be completed and submitted in English. All supporting documentation must be in English or accompanied by an English translation.

At a minimum, an application for accreditation by the fund will include the following key sections to be completed by the applicant entity:

1. Application number and processing information (automatically signed by the Secretariat)

2. Background and contact information for the applicant entity

3. Information on the scope of intended activities and estimated contribution requested for an individual project or activity

4. Basic fiduciary criteria

5. Applicable specialized fiduciary criteria

6. Environmental and social safeguards

7. Gender

Application documents regarding fiduciary standards (basic and specialised), ESS and gender policy, please refer to the previous sections, which include some required documents such as finance statements, code of ethics etc. GCF has not specified what documents should be provided to demonstrate compliance with the fund’s standards. Applicant entities are encouraged to communicate with the Secretariat about whether the submitted documents provide sound demonstration. The Accreditation Panel, with support from the Secretariat, will determine the format of the application template containing at a minimum the content identified within this document.

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Documents requireD for accreDitation

Table 7. Documents required for accreditation

BACkGRouND AND CoNTACT INFoRmATIoN oF ThE APPLICANT ENTITy

At a minimum, the application for accreditation should include the following items related to the background and contact information of the applicant entity:

●● Legal name

●● Institution type (public/private, etc.), size and core business (international, regional, national or subnational; including private sector and other institutions, etc.)

●● Summary of climate change-related projects or programmes already implemented

●● Registered address

●● Website, if applicable

●● First and last names of the primary and secondary contact points

●● E-mail addresses of the primary and secondary contact points

●● Telephone numbers of the primary and secondary contact points

●● Fax numbers of the primary and secondary contact points

INTENDED ACTIvITy: SCoPE AND ESTImATED CoNTRIBuTIoN

●● Type (sector), theme (adaptation/mitigation), size (scale and estimated total costs) and risk level of intended activities to be undertaken using the fund’s resources (against the ESS categories)

●● Estimated maximum contribution amount for a project or activity to be requested from the fund in US$ and type(s) of financial instrument(s) for intended activities

●● Sources of additional finance, if applicable, for intended activities

●● Indication of the standards against which the application will be assessed:

– Basic fiduciary standards – ESS – Specialised fiduciary standards (if applicable) – Gender policy.

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5. Legal arrangements

Legal and formal arrangements with accredited entities are first and foremost a reflection of successful accreditation by the Board and completion of the review process. Reflecting the fit-for-purpose accreditation principle, a distinction must be made between various types of entity and their type of accreditation, rather than a ‘one–size-fits-all’ legal format.

Depending on the type of accredited entity, the relationship between the fund and such an entity would take the form of either a legal agreement (a contract governed by private law) or a legal arrangement (an arrangement governed by international public law).

Figure 10. Structure of a legal agreement

Accreditation master agreement

Concise project confirmation

General terms

Conditions of services

Specifics of the approved project/

programme

Upon accreditation

Upon approvals of project/programme

Attached to

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LegaL arrangements

5.1 Roles and responsibilities of accredited entitiesAccredited entities have the general role of implementing and supervising all aspects of the fund’s projects and programme activities. They have a full obligation to develop a project/programme pipeline and be responsible for all aspects of project appraisal, structuring, implementation, supervision and evaluation, including due diligence on financial, technical, legal, environmental and social issues.

Accredited entities are to report to the fund on all matters relating to their activities, including implementation progress, performance, results and impacts of the projects/programme activities, so that the fund can exercise its monitoring, supervisory and evaluation role.

Bangladesh, Khulna Division. A farmer on the road to Sathkira. © E. Rasmussen, flickr.com

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6. Accreditation application form

InstructionsThe application form for accreditation for the Green Climate Fund is composed of the following sections:

ii 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.

An applicant entity can submit only one application at a time for accreditation to the Green Climate Fund.

All applications must be completed and submitted in English until it is feasible to accept and process applications in other official United Nations languages. Supporting documentation must be submitted in English or an English translation must be provided until it is feasible to accept and process supporting documentation in other official United Nations languages.

Applications must be submitted via the online Accreditation System.

For all entities:Please complete all of Section I on the background and contact information, Section II on information on the ways in which the institution and its intended projects/programmes will contribute to furthering the objectives

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AccreditAtion ApplicAtion form

of the Green Climate Fund, and Section III on information on intended projects/programmes and the contribution requested.

For Sections IV, V, VI and VII, the entity should provide a description of the ways in which the organization meets the specific required capabilities, insofar as the capabilities relate to projects/programmes that the applicant entity intends to undertake. The applicant entity may provide documentation in support of

their application, which should include its track record. Track record may include, but is not limited to, information on climate change-related projects or programmes already undertaken. The Secretariat (at Stage I, ‘institutional assessment and completeness check’, in the accreditation process) and the Accreditation Panel (at Stage II ‘review’) will decide whether the supporting documentation submitted by the applicant entity is deemed sufficient.

© Syed Tasfiq Mahmood, flickr.com

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36 www.iied.org

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(ple

ase

spec

ify):

____

____

____

_A

dapt

atio

n:

Enh

anci

ng li

velih

oods

H

ealth

and

wel

l-bei

ng a

nd fo

od a

nd w

ater

sec

urity

In

frast

ruct

ure

and

built

env

ironm

ent

E

cosy

stem

and

eco

syst

em s

ervi

ces

In

stitu

tiona

l and

regu

lato

ry s

yste

ms

C

limat

e in

form

atio

n/ea

rly w

arni

ng s

yste

ms

A

war

enes

s st

reng

then

ing

and

clim

ate

risk

redu

ctio

n

oth

er (p

leas

e sp

ecify

): _

Pub

lic/p

rivat

e:

Pub

lic

Priv

ate

C

ross

-cut

ting

http://www.iied.org

www.iied.org 39


ITE

mIN

FoR

mAT

IoN

RE

qu

IRE

DA

PP

LIC

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ILIT

yIN

Pu

T D

ATA

Ex

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TS

1.2.

2S

ize(

s) o

f pro

ject

s/pr

ogra

mm

es

unde

rtak

en, i

nclu

ding

tota

l pr

ojec

t cos

ts in

US

$ a

nd

dura

tion

All

appl

ican

tsFo

r all

type

s of

ent

ities

:●

●Li

st o

f pro

ject

s/pr

ogra

mm

es

unde

rtak

en in

the

past

3 y

ears

in

clud

ing

proj

ect/

prog

ram

me

nam

e, s

ecto

r, to

tal p

roje

ct/

prog

ram

me

cost

and

dur

atio

n.

1.2.

3Ty

pe(s

) of fi

nanc

ial

inst

rum

ent(

s) d

eplo

yed

in p

roje

cts/

prog

ram

mes

un

dert

aken

All

appl

ican

tsS

elec

t all

that

app

ly:

G

rant

s

Con

cess

iona

l loa

ns (s

enio

r)

Con

cess

iona

l loa

ns (s

ubor

dina

ted)

E

quity

G

uara

ntee

sP

leas

e sp

ecify

wha

t oth

er ty

pes

of fi

nanc

ial i

nstr

umen

ts

you

have

dep

loye

d, if

any

:

For a

ll ty

pes

of e

ntiti

es:

●●

one

cop

y of

agr

eem

ent

for e

ach

of th

e fin

anci

al

inst

rum

ent(

s) d

eplo

yed

in p

roje

cts/

prog

ram

mes

un

dert

aken

.

1.2.

4E

nviro

nmen

tal a

nd s

ocia

l ris

k le

vel(s

) of p

roje

cts/

prog

ram

mes

und

erta

ken

All

appl

ican

tsS

elec

t all

that

app

ly:

C

ateg

ory

A /

Inte

rmed

iatio

n 1

(hig

h) d

irect

ly

Cat

egor

y A

/ In

term

edia

tion

1 (h

igh)

indi

rect

ly th

roug

h ex

ecut

ing

entit

ies

C

ateg

ory

B /

Inte

rmed

iatio

n 2

(med

ium

) dire

ctly

C

ateg

ory

B /

Inte

rmed

iatio

n 2

(med

ium

) ind

irect

ly

thro

ugh

exec

utin

g en

titie

s

Cat

egor

y C

/ In

term

edia

tion

3 (m

inim

al to

non

e) d

irect

ly

Cat

egor

y C

/ In

term

edia

tion

3 (m

inim

al to

non

e)

indi

rect

ly th

roug

h ex

ecut

ing

entit

ies

http://www.iied.org


40 www.iied.org

ITE

mIN

FoR

mAT

IoN

RE

qu

IRE

DA

PP

LIC

AB

ILIT

yIN

Pu

T D

ATA

Ex

Am

PLE

S o

F S

uP

Po

RTI

NG

D

oC

um

EN

TS

1.2.

5E

xper

ienc

e an

d tr

ack

reco

rd

with

Per

form

ance

Sta

ndar

ds

2-8

All

entit

ies

Sel

ect t

hose

whi

ch y

ou h

ave

prev

ious

ly im

plem

ente

d:

P

erfo

rman

ce S

tand

ard

2 La

bour

and

wor

king

co

nditi

ons

P

erfo

rman

ce S

tand

ard

3 R

esou

rce

effic

ienc

y an

d po

llutio

n pr

even

tion

P

erfo

rman

ce S

tand

ard

4 C

omm

unity

hea

lth, s

afet

y an

d se

curit

y

Per

form

ance

Sta

ndar

d 5

Land

acq

uisi

tion

and

invo

lunt

ary

rese

ttlem

ent

P

erfo

rman

ce S

tand

ard

6 B

iodi

vers

ity c

onse

rvat

ion

and

sust

aina

ble

man

agem

ent o

f liv

ing

natu

ral r

esou

rces

P

erfo

rman

ce S

tand

ard

7 In

dige

nous

peo

ples

P

erfo

rman

ce S

tand

ard

8 C

ultu

ral h

erita

ge

For a

ll ty

pes

of e

ntiti

es:

●●

Evi

denc

e (e

.g. p

roje

ct/

prog

ram

me

com

plet

ion

repo

rt) s

how

ing

how

sel

ecte

d P

erfo

rman

ce S

tand

ards

hav

e be

en m

anag

ed in

pre

viou

s pr

ojec

ts/p

rogr

amm

es.

1.3

Bac

kgro

und

Info

rmat

ion

on A

ccre

dita

tion

by o

ther

Fun

ds fo

r In

stitu

tions

1.3.

1C

ondi

tions

and

lim

itatio

ns, i

f an

y, re

gard

ing

accr

edita

tion

with

the

Glo

bal E

nviro

nmen

t Fa

cilit

y (G

EF)

, Ada

ptat

ion

Fund

(AF)

, and

Dire

ctor

ate-

Gen

eral

Dev

elop

men

t and

C

oope

ratio

n –

Eur

opeA

id o

f th

e E

urop

ean

Com

mis

sion

(EU

D

EVC

o)

Ent

ities

ac

cred

ited

unde

r G

EF,

AF

and

EU

D

EVC

o a

s of

17

oct

ober

201

4

For a

ll ty

pes

of e

ntiti

es:

●●

Lette

r of c

onfir

mat

ion

of

accr

edita

tion;

●●

List

of c

ondi

tions

and

lim

itatio

ns.

1.3.

2S

tatu

s of

com

plia

nce

with

ac

cred

itatio

n re

quire

men

ts o

f th

e G

loba

l Env

ironm

ent F

acili

ty

(GE

F), A

dapt

atio

n Fu

nd (A

F),

and

Dire

ctor

ate-

Gen

eral

D

evel

opm

ent a

nd C

oope

ratio

n –

Eur

opeA

id o

f the

Eur

opea

n C

omm

issi

on (E

U D

EVC

o)

Ent

ities

ac

cred

ited

unde

r G

EF,

AF

and

EU

D

EVC

o a

s of

17

oct

ober

201

4

For a

ll ty

pes

of e

ntiti

es:

●●

Lette

r or r

epor

t ind

icat

ing

com

plia

nce

stat

us re

gard

ing

accr

edita

tion.

http://www.iied.org

www.iied.org 41


SECT

ION

II: I

nfor

mat

ion

on th

e way

s in

whi

ch th

e ins

titut

ion

and

its in

tend

ed ac

tiviti

es w

ill co

ntri

bute

to fu

rthe

ring

the o

bjec

tives

of t

he G

reen

Clim

ate F

und

ITE

mIN

FoR

mAT

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RE

qu

IRE

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D

oC

um

EN

TS

2G

iven

the

urge

ncy

and

serio

usne

ss o

f clim

ate

chan

ge, t

he p

urpo

se o

f the

Fun

d is

to m

ake

a si

gnifi

cant

and

am

bitio

us c

ontr

ibut

ion

to th

e gl

obal

ef

fort

s to

war

ds a

ttai

ning

the

goal

s se

t by

the

inte

rnat

iona

l com

mun

ity to

com

bat c

limat

e ch

ange

.Th

e Fu

nd w

ill c

ontr

ibut

e to

the

achi

evem

ent o

f the

ulti

mat

e ob

ject

ive

of th

e U

nite

d N

atio

ns F

ram

ewor

k C

onve

ntio

n on

Clim

ate

Cha

nge

(UN

FCC

C).

In th

e co

ntex

t of s

usta

inab

le d

evel

opm

ent,

the

Fund

will

pro

mot

e th

e pa

radi

gm s

hift

tow

ards

low

em

issi

on a

nd c

limat

e-re

silie

nt d

evel

opm

ent

path

way

s by

pro

vidi

ng s

uppo

rt to

dev

elop

ing

coun

trie

s to

lim

it or

redu

ce th

eir g

reen

hous

e ga

s em

issi

ons

and

to a

dapt

to th

e im

pact

s of

clim

ate

chan

ge, t

akin

g in

to a

ccou

nt th

e ne

eds

of th

e de

velo

ping

cou

ntrie

s pa

rtic

ular

ly v

ulne

rabl

e to

the

adve

rse

effe

cts

of c

limat

e ch

ange

.

2.1

A s

tate

men

t det

ailin

g th

e w

ays

in w

hich

the

entit

y w

ill c

ontr

ibut

e to

furt

herin

g th

e ob

ject

ives

of t

he

Gre

en C

limat

e Fu

nd.

All

appl

ican

tsN

ot R

equi

red

2.2

A s

tate

men

t on

how

the

entit

y in

tend

s to

str

engt

hen

capa

citie

s of

or o

ther

wis

e su

ppor

t pot

entia

l su

bnat

iona

l, na

tiona

l and

regi

onal

im

plem

entin

g en

titie

s an

d in

term

edia

ries

in o

rder

to m

eet,

at th

e ea

rlies

t opp

ortu

nity

, the

ac

cred

itatio

n re

quire

men

ts o

f the

G

reen

Clim

ate

Fund

in o

rder

to

enha

nce

coun

try

owne

rshi

p

opt

iona

l for

ent

ities

und

er

inte

rnat

iona

l acc

ess

trac

kN

ot re

quire

d fo

r all

othe

r ent

ities

Not

Req

uire

d

http://www.iied.org


42 www.iied.org

SECT

ION

III:

Inte

nded

Sco

pe o

f Pro

ject

s/Pr

ogra

mm

es an

d Es

timat

ed C

ontr

ibut

ion

Requ

este

d

ITE

mIN

FoR

mAT

IoN

RE

qu

IRE

DA

PP

LIC

AB

ILIT

yIN

Pu

T D

ATA

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Am

PLE

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F S

uP

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RTI

NG

D

oC

um

EN

TS

3.1

Them

e(s)

of i

nten

ded

proj

ects

/pr

ogra

mm

esA

ll ap

plic

ants

Sel

ect a

ll th

at a

pply

:

M

itiga

tion

A

dapt

atio

n

Cro

ss-c

uttin

g (b

oth

miti

gatio

n an

d ad

apta

tion

in a

n in

divi

dual

pro

ject

/pr

ogra

mm

e)

Not

Req

uire

d

2.2

Type

(s) o

f int

ende

d pr

ojec

ts/

prog

ram

mes

All

appl

ican

tsN

ot re

quire

d fo

r al

l oth

er e

ntiti

es

Sel

ect a

ll th

at a

pply

:

Miti

gatio

n:

Ene

rgy

gene

ratio

n an

d ac

cess

E

nerg

y ef

ficie

ncy

T

rans

port

B

uild

ings

, citi

es, i

ndus

trie

s an

d ap

plia

nces

L

and

use/

fore

stry

(RE

DD

+)

In

stitu

tiona

l and

regu

lato

ry s

yste

ms

o

ther

(ple

ase

spec

ify):

____

____

____

____

__A

dapt

atio

n:

Enh

anci

ng li

velih

oods

H

ealth

and

wel

l-bei

ng a

nd fo

od a

nd w

ater

sec

urity

In

frast

ruct

ure

and

built

env

ironm

ent

E

cosy

stem

and

eco

syst

em s

ervi

ces

In

stitu

tiona

l and

regu

lato

ry s

yste

ms

C

limat

e in

form

atio

n/ea

rly w

arni

ng s

yste

ms

A

war

enes

s st

reng

then

ing

and

clim

ate

risk

redu

ctio

n

oth

er (p

leas

e sp

ecify

): __

____

____

____

____

__P

ublic

/priv

ate:

P

ublic

P

rivat

e

Cro

ss-c

uttin

g

Not

Req

uire

d

http://www.iied.org

www.iied.org 43


ITE

mIN

FoR

mAT

IoN

RE

qu

IRE

DA

PP

LIC

AB

ILIT

yIN

Pu

T D

ATA

Ex

Am

PLE

S o

F S

uP

Po

RTI

NG

D

oC

um

EN

TS

3.3

Siz

e(s)

of i

nten

ded

proj

ects

/pr

ogra

mm

es, i

nclu

ding

dur

atio

nA

ll ap

plic

ants

Sel

ect a

ll th

at a

pply

:

M

icro

(max

imum

tota

l pro

ject

ed c

osts

at t

he ti

me

of a

pplic

atio

n,

irres

pect

ive

of th

e po

rtio

n th

at is

fund

ed b

y th

e G

reen

Clim

ate

Fund

, of

up to

and

incl

udin

g U

S$

10 m

illio

n fo

r an

indi

vidu

al p

roje

ct o

r an

activ

ity

with

in a

pro

gram

me)

and

dur

atio

n: _

____

____

____

____

____

____

____

_;

Sm

all (

max

imum

tota

l pro

ject

ed c

osts

at t

he ti

me

of a

pplic

atio

n,

irres

pect

ive

of th

e po

rtio

n th

at is

fund

ed b

y th

e G

reen

Clim

ate

Fund

, of

abo

ve U

S$

10 m

illio

n an

d up

to a

nd in

clud

ing

US

$5

0 m

illio

n fo

r an

indi

vidu

al p

roje

ct o

r an

activ

ity w

ithin

a p

rogr

amm

e) a

nd d

urat

ion:

__

____

____

____

____

____

__;

M

ediu

m (m

axim

um to

tal p

roje

cted

cos

ts a

t the

tim

e of

app

licat

ion,

irr

espe

ctiv

e of

the

port

ion

that

is fu

nded

by

the

Gre

en C

limat

e Fu

nd,

of a

bove

US

$5

0 m

illio

n an

d up

to a

nd in

clud

ing

US

$25

0 m

illio

n fo

r an

indi

vidu

al p

roje

ct o

r an

activ

ity w

ithin

a p

rogr

amm

e) a

nd d

urat

ion:

__

____

____

____

____

____

__; a

nd

Lar

ge (t

otal

pro

ject

ed c

osts

at t

he ti

me

of a

pplic

atio

n, ir

resp

ectiv

e of

the

port

ion

that

is fu

nded

by

the

Gre

en C

limat

e Fu

nd, o

f abo

ve U

S$

250

mill

ion

for a

n in

divi

dual

pro

ject

or a

n ac

tivity

with

in a

pro

gram

me)

and

du

ratio

n: _

____

____

____

____

____

_.

Not

requ

ired

3.4

Est

imat

ed m

axim

um c

ontr

ibut

ion

amou

nt a

t the

tim

e of

app

licat

ion

for a

n in

divi

dual

pro

ject

or a

n ac

tivity

with

in a

pro

gram

me

to

be re

ques

ted

from

the

Gre

en

Clim

ate

Fund

(US

$ o

r as

a pe

rcen

tage

of t

otal

pro

ject

ed

cost

s)

All

appl

ican

tsN

ot re

quire

d

http://www.iied.org


44 www.iied.org

ITE

mIN

FoR

mAT

IoN

RE

qu

IRE

DA

PP

LIC

AB

ILIT

yIN

Pu

T D

ATA

Ex

Am

PLE

S o

F S

uP

Po

RTI

NG

D

oC

um

EN

TS

3.5

Type

(s) o

f fina

ncia

l ins

trum

ent(

s)

for i

nten

ded

proj

ects

/pr

ogra

mm

es to

be

requ

este

d fro

m th

e G

reen

Clim

ate

Fund

All

appl

ican

tsS

elec

t all

that

app

ly:

The

follo

win

g re

quire

s ac

cred

itatio

n ag

ains

t the

spe

cial

ized

fidu

ciar

y cr

iteria

for g

rant

aw

ard

and/

or fu

ndin

g al

loca

tion

mec

hani

sms:

G

rant

s (in

som

e ca

ses

this

may

be

reim

burs

able

)Th

e fo

llow

ing

requ

ire a

ccre

dita

tion

agai

nst S

peci

aliz

ed fi

duci

ary

crite

ria fo

r on

-lend

ing

and/

or b

lend

ing:

C

once

ssio

nal l

oans

(sen

ior)

C

once

ssio

nal l

oans

(sub

ordi

nate

d)

Equ

ity

Gua

rant

ees

Ple

ase

spec

ify w

hat o

ther

type

s of

fina

ncia

l ins

trum

ents

you

are

inte

rest

ed

in, i

f any

: ___

____

____

____

____

____

____

____

____

____

_

Not

requ

ired

3.6

Sou

rces

and

type

s of

add

ition

al

finan

ce fo

r int

ende

d ac

tiviti

es (i

f ap

plic

able

), an

d ho

w th

e so

urce

s an

d ty

pes

of o

ther

fina

nce

will

be

appl

ied

All

appl

ican

tsN

ot re

quire

d

3.7

Indi

catio

n of

the

Gre

en C

limat

e Fu

nd’s

sta

ndar

ds a

gain

st w

hich

th

e ap

plic

atio

n w

ill b

e as

sess

ed

All

appl

ican

tsS

elec

t all

that

app

ly:

B

asic

fidu

ciar

y cr

iteria

, ES

S a

nd g

ende

r

Spe

cial

ized

fidu

ciar

y cr

iteria

for p

roje

ct m

anag

emen

t

Spe

cial

ized

fidu

ciar

y cr

iteria

for g

rant

aw

ard

and/

or fu

ndin

g al

loca

tion

mec

hani

sms

S

peci

aliz

ed fi

duci

ary

crite

ria fo

r on-

lend

ing

and/

or b

lend

ing

Not

app

licab

le

3.8

Env

ironm

enta

l and

soc

ial r

isk

leve

l(s) o

f int

ende

d ac

tiviti

esA

ll ap

plic

ants

Sel

ect a

ll th

at a

pply

:

Cat

egor

y A

/ In

term

edia

tion

1 (h

igh)

dire

ctly

C

ateg

ory

A /

Inte

rmed

iatio

n 1

(hig

h) in

dire

ctly

thro

ugh

exec

utin

g en

titie

s

Cat

egor

y B

/ In

term

edia

tion

2 (m

ediu

m) d

irect

ly

Cat

egor

y B

/ In

term

edia

tion

2 (m

ediu

m) i

ndire

ctly

thro

ugh

exec

utin

g en

titie

s

Cat

egor

y C

/ In

term

edia

tion

3 (m

inim

al to

non

e) d

irect

ly

Cat

egor

y C

/ In

term

edia

tion

3 (m

inim

al to

non

e) in

dire

ctly

thro

ugh

exec

utin

g en

titie

s

Not

requ

ired

http://www.iied.org

www.iied.org 45


SECT

ION

IV: B

asic

fidu

ciar

y cr

iteri

a

ITE

mA

RE

A o

F C

om

PE

TEN

CE

SP

EC

IFIC

CA

PAC

ITy

R

Eq

uIR

ED

AP

PLI

CA

BIL

ITy

INP

uT

DAT

AE

xA

mP

LES

oF

Su

PP

oR

TIN

G D

oC

um

EN

TS

4.1

key

adm

inis

trat

ive

and

finan

cial

cap

aciti

esU

nder

lyin

g pr

inci

ples

for k

ey a

dmin

istr

ativ

e an

d fin

anci

al c

apac

ities

are

(thi

s lis

t is

not e

xhau

stiv

e): fi

nanc

ial i

nput

s an

d ou

tput

s ar

e pr

oper

ly

acco

unte

d fo

r, re

port

ed, a

nd a

dmin

iste

red

tran

spar

ently

in a

ccor

danc

e w

ith p

ertin

ent r

egul

atio

ns a

nd la

ws,

and

with

due

acc

ount

abili

ty; i

nfor

mat

ion

rela

ting

to th

e ov

eral

l adm

inis

trat

ion

and

man

agem

ent o

f the

ent

ity is

ava

ilabl

e, c

onsi

sten

t, re

liabl

e, c

ompl

ete

and

rele

vant

to th

e re

quire

d fid

ucia

ry

stan

dard

s; a

nd o

pera

tions

of t

he e

ntity

sho

w a

trac

k re

cord

in e

ffect

iven

ess

and

effic

ienc

y.

4.1.

1G

ener

al

man

agem

ent a

nd

adm

inis

trat

ive

capa

citie

s

A c

lear

ly d

efine

d go

vern

ance

an

d ov

ersi

ght s

truc

ture

that

fo

rmal

ly d

efine

s th

e ro

les,

re

spon

sibi

litie

s an

d as

sign

ed

auth

ority

of e

ach

func

tiona

l ar

ea a

nd in

divi

dual

in th

e or

gani

zatio

n; tr

ack

reco

rd in

th

e pr

epar

atio

n of

bus

ines

s pl

ans

and

budg

ets

All

appl

ican

tsFo

r all

type

s of

ent

ities

:●

●o

rgan

izat

iona

l cha

rt w

hich

incl

udes

:i.

Cle

ar re

port

ing

stru

ctur

e fo

r Fin

ance

, Int

erna

l Aud

it,

Pro

cure

men

t and

oth

er k

ey fu

nctio

ns;

ii.

Rep

ortin

g st

ruct

ure

of th

e A

udit

Com

mitt

ee a

nd o

ther

se

nior

man

agem

ent c

omm

ittee

s/go

vern

ance

bod

ies;

●●

List

of i

nter

nal o

vers

ight

bod

ies/

com

mitt

ees

alon

g w

ith:

i. Te

rms

of R

efer

ence

(To

R) a

nd c

ompo

sitio

n of

eac

h co

mm

ittee

;ii.

A

cop

y of

the

rule

s re

gard

ing

the

appo

intm

ent,

term

inat

ion

and

rem

uner

atio

n of

mem

bers

of s

uch

com

mitt

ees;

●●

Cop

ies

of a

pplic

ant’s

long

or m

ediu

m -t

erm

str

ateg

ic

plan

and

ann

ual b

udge

ts fo

r eac

h of

the

past

2 y

ears

and

in

form

atio

n on

how

the

entit

y en

sure

s th

at th

e st

rate

gic

plan

an

d an

nual

bud

get o

bjec

tives

sup

port

and

alig

n w

ith th

e m

issi

on o

f the

ent

ity;

●●

Brie

f writ

e up

on

proc

esse

s/ p

roce

dure

s an

d re

spon

sibi

litie

s fo

r mon

itorin

g an

d re

port

ing

on p

rogr

ess

mad

e in

att

ainm

ent o

f set

obj

ectiv

es.

http://www.iied.org


46 www.iied.org

ITE

mA

RE

A o

F C

om

PE

TEN

CE

SP

EC

IFIC

CA

PAC

ITy

R

Eq

uIR

ED

AP

PLI

CA

BIL

ITy

INP

uT

DAT

AE

xA

mP

LES

oF

Su

PP

oR

TIN

G D

oC

um

EN

TS

4.1.

2Fi

nanc

ial

man

agem

ent a

nd

acco

untin

g

Per

iodi

c pr

epar

atio

n an

d re

port

ing

of fi

nanc

ial

stat

emen

ts in

acc

orda

nce

with

reco

gniz

ed a

ccou

ntin

g st

anda

rds.

All

appl

ican

tsFo

r all

type

s of

ent

ities

:●

●Fi

nanc

ial S

tate

men

ts fo

r the

pas

t 3 y

ears

. The

Sta

tem

ents

sh

ould

incl

ude:

i. N

otes

and

Dis

clos

ures

exp

lain

ing

the

acco

untin

g fra

mew

ork

used

, the

bas

is o

f pre

para

tion

of th

e fin

anci

al

stat

emen

ts, a

nd th

e sp

ecifi

c ac

coun

ting

polic

ies;

ii.

A s

tate

men

t of c

hang

es in

fina

ncia

l pos

ition

or a

st

atem

ent o

f cha

nges

in re

serv

es a

nd fu

nd b

alan

ces;

iii.

A s

tate

men

t of c

ash

flow

s;●

●B

rief d

etai

ls o

f the

Fin

anci

al In

form

atio

n S

yste

ms

incl

udin

g a

list o

f maj

or re

port

s pr

epar

ed;

●●

Sam

ple

repo

rts

prep

ared

that

dem

onst

rate

the

func

tioni

ng

of th

e sy

stem

.

4.1.

3In

tern

al a

nd

exte

rnal

aud

itFu

lly fu

nctio

nal i

ndep

ende

nt

audi

t com

mitt

ee; t

he in

tern

al

audi

t fun

ctio

n is

car

ried

out i

n ac

cord

ance

with

in

tern

atio

nally

reco

gniz

ed

stan

dard

s; a

ppoi

ntm

ent o

f an

inde

pend

ent e

xter

nal

audi

t firm

to c

arry

out

its

wor

k in

acc

orda

nce

with

in

tern

atio

nally

reco

gniz

ed

stan

dard

s

All

appl

ican

tsFo

r all

type

s of

ent

ities

:●

●Te

rms

of R

efer

ence

of t

he e

xter

nal a

udit

firm

or o

rgan

izat

ion;

●●

Age

nda

and

min

utes

of t

he la

st 2

Aud

it C

omm

ittee

m

eetin

gs;

●●

Aud

it po

licy/

char

ter a

nd/o

r aud

it m

anua

l;●

●A

udit

plan

s fo

r eac

h of

the

past

3 y

ears

;●

●S

tatu

s of

exe

cutio

n of

the

last

3 y

ears

’ int

erna

l aud

it pl

ans;

●●

Sam

ple

inte

rnal

aud

it re

port

s, in

clud

ing

thos

e re

latin

g to

pr

ocur

emen

t, in

tern

al c

ontr

ol s

yste

ms

and

paym

ents

and

di

sbur

sem

ents

, if a

vaila

ble;

●●

Com

plet

e ex

tern

al a

udit

repo

rts

for t

he la

st 3

yea

rs, i

f not

in

clud

ed in

the

finan

cial

sta

tem

ents

pro

vide

d at

Sec

tion

4.1.

2;●

●S

tatu

s of

act

ion

take

n on

all

the

obse

rvat

ions

/ re

com

men

datio

ns c

onta

ined

in th

e ex

tern

al a

nd in

tern

al

audi

t rep

orts

of t

he la

st 3

yea

rs.

http://www.iied.org

www.iied.org 47


ITE

mA

RE

A o

F C

om

PE

TEN

CE

SP

EC

IFIC

CA

PAC

ITy

R

Eq

uIR

ED

AP

PLI

CA

BIL

ITy

INP

uT

DAT

AE

xA

mP

LES

oF

Su

PP

oR

TIN

G D

oC

um

EN

TS

4.1.

4C

ontr

ol fr

amew

orks

Doc

umen

ted

proc

esse

s in

pl

ace

to e

nsur

e th

at o

bjec

tives

ar

e ac

hiev

ed, i

nclu

ding

ve

rifica

tion

that

ope

ratio

ns a

re

carr

ied

out e

ffect

ivel

y, fi

nanc

ial

risks

are

ass

esse

d an

d m

anag

ed, a

nd p

rope

r fina

ncia

l m

anag

emen

t is

carr

ied

out

All

appl

ican

tsFo

r all

type

s of

ent

ities

:●

●Fi

nanc

ial c

ontr

ol p

olic

y;●

●Fi

nanc

ial c

ontr

ol p

roce

dure

s;●

●Th

e In

tern

al C

ontr

ol F

ram

ewor

k as

out

lined

in th

e Fi

duci

ary

Sta

ndar

d ha

s a

num

ber o

f req

uire

men

ts w

hich

hav

e no

t be

en e

xplic

itly

capt

ured

in th

e ap

plic

atio

n fo

rm. T

here

fore

, do

cum

enta

tion

shou

ld b

e pr

ovid

ed to

dem

onst

rate

the

follo

win

g:i.

A c

ontr

ol fr

amew

ork

that

incl

udes

cle

arly

defi

ned

role

s fo

r man

agem

ent,

inte

rnal

aud

itors

, the

boa

rd o

f dire

ctor

s or

com

para

ble

body

, and

oth

er p

erso

nnel

with

resp

ect t

o In

tern

al C

ontr

ol;

ii.

At t

he in

stitu

tiona

l lev

el, r

isk-

asse

ssm

ent p

roce

sses

are

in

pla

ce to

iden

tify,

ass

ess,

ana

lyze

and

pro

vide

a b

asis

fo

r pro

activ

e ris

k re

spon

ses

in e

ach

of th

e fin

anci

al

man

agem

ent a

reas

;iii

. Th

e or

gani

zatio

n’s

capa

bilit

y to

ens

ure

that

all

paym

ents

/ di

sbur

sem

ents

(bot

h fo

r pro

ject

s an

d ot

her

expe

nditu

res)

are

pro

perly

che

cked

and

mad

e on

ly fo

r bo

na-fi

de/a

ppro

ved

purp

oses

.

http://www.iied.org


48 www.iied.org

ITE

mA

RE

A o

F C

om

PE

TEN

CE

SP

EC

IFIC

CA

PAC

ITy

R

Eq

uIR

ED

AP

PLI

CA

BIL

ITy

INP

uT

DAT

AE

xA

mP

LES

oF

Su

PP

oR

TIN

G D

oC

um

EN

TS

4.1.

5P

rocu

rem

ent

Form

al p

rocu

rem

ent

stan

dard

s, g

uide

lines

and

sy

stem

s in

pla

ce to

ens

ure

fair

and

tran

spar

ent p

rocu

rem

ent

proc

esse

s

All

appl

ican

tsFo

r all

type

s of

ent

ities

:●

●P

rocu

rem

ent P

olic

y;●

●P

rocu

rem

ent g

uide

lines

or s

tand

ards

incl

udin

g co

mpo

sitio

n an

d ro

le o

f var

ious

com

mitt

ees,

suc

h as

pro

cure

men

t C

omm

ittee

tend

er e

valu

atio

n co

mm

ittee

, etc

.;●

●S

peci

fic g

uide

lines

for d

iffer

ent t

ypes

of p

rocu

rem

ent

man

aged

by

the

entit

y, s

uch

as c

onsu

ltant

s/se

rvic

e pr

ovid

ers,

goo

ds/s

uppl

ies

and

wor

ks;

●●

Pro

cedu

res

for o

vers

eein

g th

e pr

ocur

emen

t fun

ctio

n;●

●P

roce

dure

s fo

r con

trol

ling

proc

urem

ent i

n E

xecu

ting

Age

ncie

s;●

●P

rocu

rem

ent d

ispu

te re

solu

tion

proc

ess;

●●

As

evid

ence

of c

ompl

ianc

e w

ith th

e es

tabl

ishe

d po

licie

s an

d gu

idel

ines

, the

follo

win

g do

cum

ents

/info

rmat

ion

shou

ld

be p

rovi

ded:

i. 2

sets

of d

ocum

ents

per

tain

ing

to la

rge

proc

urem

ents

un

dert

aken

in th

e re

cent

pas

t;ii.

A

sam

ple

of p

rocu

rem

ent o

vers

ight

/ au

dit r

epor

ts;

iii.

Dat

a on

pro

cure

men

t com

plai

nts

hand

led

in th

e la

st 2

ye

ars

alon

g w

ith b

rief d

etai

ls o

f sam

ple

case

s an

d th

eir

clos

ure.

http://www.iied.org

www.iied.org 49


ITE

mA

RE

A o

F C

om

PE

TEN

CE

SP

EC

IFIC

CA

PAC

ITy

R

Eq

uIR

ED

AP

PLI

CA

BIL

ITy

INP

uT

DAT

AE

xA

mP

LES

oF

Su

PP

oR

TIN

G D

oC

um

EN

TS

4.2

Tran

spar

ency

and

acc

ount

abili

tyTr

ansp

aren

cy a

nd a

ccou

ntab

ility

are

to b

e de

mon

stra

ted

thro

ugh

an e

ffect

ive

com

bina

tion

of fu

lly fu

nctio

nal p

olic

ies,

pro

cedu

res,

sys

tem

s an

d ap

proa

ches

. The

und

erly

ing

prin

cipl

es a

re: p

rote

ctio

n an

d co

mm

itmen

t aga

inst

mis

man

agem

ent a

nd fr

audu

lent

, cor

rupt

and

was

tefu

l pra

ctic

es;

disc

losu

re o

f any

form

of c

onfli

ct o

f int

eres

t (ac

tual

, pot

entia

l or p

erce

ived

); an

d co

de o

f eth

ics,

pol

icie

s an

d cu

lture

that

driv

e an

d pr

omot

e fu

ll tr

ansp

aren

cy a

nd a

ccou

ntab

ility

.

4.2.

1C

ode

of e

thic

sA

doc

umen

ted

code

of e

thic

s or

a s

et o

f cle

ar a

nd fo

rmal

m

anag

emen

t pol

icie

s in

pla

ce

to d

efine

eth

ical

sta

ndar

ds to

be

uph

eld

by a

ll in

divi

dual

s co

ntra

cted

or f

unct

iona

lly

rela

ted

to th

e or

gani

zatio

n

All

appl

ican

tsFo

r all

type

s of

ent

ities

:●

●C

ode

of E

thic

s po

licy/

stan

dard

s or

doc

umen

ted

code

of

ethi

cs a

pplic

able

to th

e st

aff;

●●

Doc

umen

ted

evid

ence

of a

con

trac

tual

nat

ure

that

co

mm

unic

ates

this

pol

icy

to a

ll st

aff a

nd o

ther

par

ties

func

tiona

lly re

late

d to

the

orga

niza

tion;

●●

org

aniz

atio

nal e

thic

s co

mm

ittee

, inc

ludi

ng n

ames

and

role

s.

4.2.

2D

iscl

osur

e of

co

nflic

ts o

f int

eres

tA

dis

clos

ure

polic

y or

eq

uiva

lent

in p

lace

to e

stab

lish

the

nece

ssar

y m

anda

tory

fin

anci

al d

iscl

osur

es o

f po

ssib

le, a

ctua

l, pe

rcei

ved

or

appa

rent

con

flict

s of

inte

rest

All

appl

ican

tsFo

r all

type

s of

ent

ities

:●

●Fi

nanc

ial d

iscl

osur

e po

licy;

●●

Con

flict

of i

nter

est r

evie

w a

nd re

solu

tion

proc

edur

es;

●●

Dem

onst

ratio

n of

pra

ctic

e, fo

r exa

mpl

e an

nual

dis

clos

ure

of

inte

rest

sta

tem

ents

by

empl

oyee

s;●

●2

actu

al e

xam

ples

of c

onfli

ct o

f int

eres

t cas

es th

at w

ere

iden

tified

/rep

orte

d an

d ho

w th

ese

wer

e de

alt w

ith.

4.2.

3P

reve

ntin

g fin

anci

al

mis

man

agem

ent

Dem

onst

rate

d ex

perie

nce

and

trac

k re

cord

in a

cces

sing

fin

anci

al re

sour

ces

from

na

tiona

l and

inte

rnat

iona

l so

urce

s; E

vide

nce

of a

pol

icy

of z

ero

tole

ranc

e fo

r fra

ud,

finan

cial

mis

man

agem

ent a

nd

othe

r for

ms

of m

alpr

actic

e by

st

aff m

embe

rs, c

onsu

ltant

s,

cont

ract

ors,

etc

.

All

appl

ican

tsFo

r all

type

s of

ent

ities

:●

●P

olic

y on

fina

ncia

l man

agem

ent;

●●

Evi

denc

e of

a s

tate

men

t fro

m to

p m

anag

emen

t co

mm

unic

atin

g a

polic

y of

zer

o to

lera

nce

for f

raud

, fina

ncia

l m

ism

anag

emen

t and

oth

er fo

rms

of m

alpr

actic

e;●

●P

roce

dure

s fo

r dea

ling

with

fina

ncia

l mis

man

agem

ent a

nd

othe

r for

ms

of m

alpr

actic

e;●

●P

roce

ss/a

venu

es fo

r rep

ortin

g fra

ud, fi

nanc

ial

mis

man

agem

ent a

nd o

ther

form

s of

mis

cond

uct (

thes

e sh

ould

incl

ude

plac

emen

t of a

pro

visi

on fo

r rep

ortin

g vi

olat

ions

on

the

entit

y’s

web

site

);●

●P

roce

dure

s fo

r whi

stle

blo

wer

pro

tect

ion.

http://www.iied.org


50 www.iied.org

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SP

EC

IFIC

CA

PAC

ITy

R

Eq

uIR

ED

AP

PLI

CA

BIL

ITy

INP

uT

DAT

AE

xA

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oF

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4.2.

4In

vest

igat

ions

Evi

denc

e of

an

inde

pend

ent

and

obje

ctiv

e in

vest

igat

ion

func

tion

for a

llega

tions

of

fraud

and

cor

rupt

ion,

with

pu

blic

ly a

vaila

ble

term

s of

re

fere

nce

All

appl

ican

tsFo

r all

type

s of

ent

ities

:●

●In

vest

igat

ions

str

uctu

re w

ithin

the

orga

nisa

tion

or w

ithin

the

gove

rnm

ent s

truc

ture

;●

●P

roce

dure

s fo

r inv

estig

atin

g fra

ud a

nd c

orru

ptio

n w

ithin

the

entit

y or

with

in th

e go

vern

men

t str

uctu

re;

●●

Info

rmat

ion

on c

ases

of v

iola

tion

of c

ode

of e

thic

s, fr

aud

or

corr

uptio

n in

the

past

3 y

ears

, and

on

how

suc

h ca

ses

wer

e di

spos

ed o

f.

4.2.

5A

nti-m

oney

la

unde

ring

and

anti-

terr

oris

t fin

anci

ng p

olic

ies

Evi

denc

e of

ade

quat

e co

ntro

l an

d pr

oced

ures

in p

lace

to

enab

le th

e ap

plic

ant e

ntity

to

car

ry o

ut a

dequ

ate

“Kno

w

your

cus

tom

er”

due

dilig

ence

All

appl

ican

tsFo

r all

type

s of

ent

ities

:●

●A

nti-m

oney

laun

derin

g an

d an

ti-te

rror

ist fi

nanc

ing

polic

y;●

●“K

now

you

r cus

tom

er (K

YC)”

due

dili

genc

e pr

oced

ures

to

com

bat m

oney

laun

derin

g an

d fin

anci

ng o

f ter

roris

m;

●●

2 co

pies

of r

epor

ts o

n K

YC d

ue d

ilige

nce

exer

cise

s ca

rrie

d ou

t in

the

past

3 y

ears

;●

●M

echa

nism

s to

trac

e/m

onito

r ele

ctro

nic

tran

sfer

/wiri

ng o

f fu

nds;

●●

2 co

pies

of m

onito

ring

repo

rts

on e

lect

roni

c fu

nds

tran

sfer

pr

epar

ed in

the

past

3 y

ears

.

http://www.iied.org

www.iied.org 51


Sect

ion

V: S

peci

aliz

ed fi

duci

ary

crite

ria

ITE

mA

RE

A o

F C

om

PE

TEN

CE

SP

EC

IFIC

CA

PAC

ITy

R

Eq

uIR

ED

AP

PLI

CA

BIL

ITy

INP

uT

DAT

AE

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oF

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oC

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EN

TS

5.1

Pro

ject

man

agem

ent

Pro

ject

man

agem

ent u

nder

lyin

g pr

inci

ples

are

: abi

lity

to id

entif

y, fo

rmul

ate

and

appr

aise

pro

ject

s or

pro

gram

mes

; com

pete

ncy

to m

anag

e or

ov

erse

e th

e ex

ecut

ion

of a

ppro

ved

fund

ing

prop

osal

s, in

clud

ing

the

abili

ty to

man

age

exec

utin

g en

titie

s or

pro

ject

spo

nsor

s an

d to

sup

port

pro

ject

de

liver

y an

d im

plem

enta

tion;

and

cap

acity

to c

onsi

sten

tly a

nd tr

ansp

aren

tly re

port

on

the

prog

ress

, del

iver

y an

d im

plem

enta

tion

of th

e ap

prov

ed

fund

ing

prop

osal

.

5.1.

1P

roje

ct id

entifi

catio

n,

prep

arat

ion

and

appr

aisa

l

Trac

k re

cord

of c

apab

ility

an

d ex

perie

nce

in th

e id

entifi

catio

n an

d de

sign

of

proj

ects

or p

rogr

amm

es w

ithin

th

e re

spec

tive

juris

dict

ion;

D

ocum

ente

d pr

oces

s fo

r pr

ojec

t app

rais

al to

ens

ure

qual

ity a

nd m

onito

ring

of

follo

w-u

p ac

tions

dur

ing

impl

emen

tatio

n

Req

uire

d fo

r ap

plic

ants

se

ekin

g pr

ojec

t m

anag

emen

t ac

cred

itatio

n

For a

ll ty

pes

of e

ntiti

es:

●●

Pro

ject

pre

para

tion

guid

elin

es;

●●

Pro

ject

app

rais

al g

uide

lines

;●

●P

olic

y or

oth

er d

ocum

ent t

hat o

utlin

es th

e en

tity’

s ris

k as

sess

men

t pro

cedu

res/

fram

ewor

k;●

●3

exam

ples

of p

roje

ct a

ppra

isal

s un

dert

aken

in

the

past

3 y

ears

(pre

fera

bly

clim

ate

chan

ge

miti

gatio

n or

ada

ptat

ion

proj

ects

) dem

onst

ratin

g th

e ca

paci

ty to

:i.

Mai

nstr

eam

env

ironm

enta

l, so

cial

and

clim

ate

chan

ge a

spec

ts in

to p

roje

ct p

repa

ratio

n an

d ap

prai

sal,

and

ii.

Ass

ess

proj

ect r

isks

and

inte

grat

e co

rres

pond

ing

miti

gatio

n st

rate

gies

.

5.1.

2P

roje

ct o

vers

ight

and

co

ntro

lo

pera

tiona

l cap

acity

and

pr

oced

ures

to o

vers

ee

the

impl

emen

tatio

n of

the

appr

oved

fund

ing

prop

osal

, m

onito

r per

form

ance

and

as

sess

pro

ject

exp

endi

ture

ag

ains

t pro

ject

bud

get;

appr

opria

te re

port

ing

capa

bilit

ies

Req

uire

d fo

r ap

plic

ants

se

ekin

g pr

ojec

t m

anag

emen

t ac

cred

itatio

n

For a

ll ty

pes

of e

ntiti

es:

●●

ope

ratio

nal m

anua

l/pro

cedu

res;

●●

3 de

taile

d pr

ojec

t im

plem

enta

tion

prog

ress

re

port

s fo

r pro

ject

s im

plem

ente

d in

the

past

3

year

s;●

●A

naly

sis

of p

roje

ct e

xpen

ditu

re c

ompa

red

to th

e pr

ojec

t bud

get a

nd a

brie

f exp

lana

tion

of m

ajor

va

rianc

es.

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om

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SP

EC

IFIC

CA

PAC

ITy

R

Eq

uIR

ED

AP

PLI

CA

BIL

ITy

INP

uT

DAT

AE

xA

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LES

oF

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5.1.

3M

onito

ring

and

eval

uatio

nC

apac

ities

for m

onito

ring

and

eval

uatio

n in

clud

ing

a cl

early

defi

ned

and

reso

urce

d m

onito

ring

func

tion

and

an in

depe

nden

t eva

luat

ion

body

or f

unct

ion

that

follo

ws

docu

men

ted

and

reco

gniz

ed

stan

dard

s; a

n ev

alua

tion

disc

losu

re p

olic

y is

in p

lace

Req

uire

d fo

r ap

plic

ants

se

ekin

g pr

ojec

t m

anag

emen

t ac

cred

itatio

n

For a

ll ty

pes

of e

ntiti

es:

●●

Pol

icy

or o

ther

doc

umen

t out

linin

g th

e en

tity’

s M

onito

ring

and

Eva

luat

ion

func

tion

(incl

udin

g ro

les

and

resp

onsi

bilit

ies)

;●

●M

onito

ring

and

eval

uatio

n pr

oced

ures

dur

ing

impl

emen

tatio

n;●

●3

sam

ple

mon

itorin

g an

d ev

alua

tion

repo

rts

(incl

udin

g in

depe

nden

t eva

luat

ions

);●

●E

valu

atio

n di

sclo

sure

pol

icy;

●●

Term

s of

Ref

eren

ce o

f ind

epen

dent

eva

luat

ion

body

.

5.1.

4P

roje

ct-a

t-ris

k sy

stem

s an

d re

late

d pr

ojec

t ris

k m

anag

emen

t ca

pabi

litie

s

A p

roce

ss o

r sys

tem

in p

lace

to

flag

ear

ly o

n w

hen

a pr

ojec

t ha

s de

velo

ped

prob

lem

s th

at m

ay in

terfe

re w

ith th

e ac

hiev

emen

t of i

ts o

bjec

tives

, an

d to

resp

ond

acco

rdin

gly

to

redr

ess

the

prob

lem

s

Req

uire

d fo

r ap

plic

ants

se

ekin

g pr

ojec

t m

anag

emen

t ac

cred

itatio

n

For a

ll ty

pes

of e

ntiti

es:

●●

Pro

cedu

res

for p

roje

ct-a

t-ris

k sy

stem

to e

nsur

e sp

eedy

sol

utio

ns to

pro

blem

s w

hich

may

inte

rfere

w

ith th

e ac

hiev

emen

t of t

he p

roje

ct o

bjec

tives

or

lead

to u

nint

ende

d ne

gativ

e co

nseq

uenc

es;

●●

Exa

mpl

es o

f pro

ject

pro

blem

s ad

dres

sed

to

dem

onst

rate

effe

ctiv

enes

s of

the

syst

em.

5.2

Gra

nt a

war

d an

d/or

fund

ing

allo

catio

n m

echa

nism

sS

peci

fic c

apac

ities

for g

rant

aw

ard

and

fund

ing

allo

catio

n m

echa

nism

s of

gra

nts

in th

e co

ntex

t of p

rogr

amm

es re

quire

tran

spar

ent e

ligib

ility

cr

iteria

and

an

eval

uatio

n pr

oces

s, a

gra

nt a

war

d de

cisi

on a

nd p

roce

dure

s, p

ublic

acc

ess

to in

form

atio

n on

ben

efici

arie

s an

d re

sults

, tra

nspa

rent

al

loca

tion

and

impl

emen

tatio

n of

fina

ncia

l res

ourc

es, a

nd a

goo

d st

andi

ng w

ith re

gard

to m

ultil

ater

al fu

ndin

g.

5.2.

1G

rant

aw

ard

proc

edur

esA

tran

spar

ent g

rant

aw

ard

mec

hani

sm w

ith fo

rmal

ly

docu

men

ted

proc

edur

es fo

r ev

alua

ting

prop

osal

s an

d aw

ardi

ng g

rant

s, a

nd c

lear

ly

defin

ed e

ligib

ility

crit

eria

; Gra

nt

awar

d de

cisi

ons

take

n by

au

thor

ized

bod

y in

acc

orda

nce

with

goo

d pr

actic

e

Req

uire

d fo

r ap

plic

ants

se

ekin

g gr

ant

awar

d an

d/or

fu

ndin

g al

loca

tion

mec

hani

sm

accr

edita

tion

For a

ll ty

pes

of e

ntiti

es:

●●

Term

s of

Ref

eren

ce fo

r the

gra

nt a

war

d ev

alua

tion

com

mitt

ee;

●●

Gra

nt a

war

d ev

alua

tion

proc

edur

es;

●●

Ext

erna

l aud

itor’s

repo

rt o

n an

aud

it of

the

entit

y’s

gran

t aw

ard

activ

ities

.

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www.iied.org 53


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SP

EC

IFIC

CA

PAC

ITy

R

Eq

uIR

ED

AP

PLI

CA

BIL

ITy

INP

uT

DAT

AE

xA

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oF

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5.2.

2P

ublic

acc

ess

to

info

rmat

ion

on

bene

ficia

ries

and

resu

lts

Gra

nt-a

war

ding

ent

ity to

mak

e th

e gr

ant a

war

d re

sults

pub

lic

with

in a

reas

onab

le ti

me

fram

e

Req

uire

d fo

r ap

plic

ants

se

ekin

g gr

ant

awar

d an

d/or

fu

ndin

g al

loca

tion

mec

hani

sm

accr

edita

tion

For a

ll ty

pes

of e

ntiti

es:

●●

Evi

denc

e of

pub

licat

ion

of g

rant

aw

ard

resu

lts fo

r th

e pa

st 3

pro

ject

s.

5.2.

3Tr

ansp

aren

t allo

catio

n of

fina

ncia

l res

ourc

esS

yste

ms

in p

lace

to p

rovi

de

assu

ranc

e on

the

real

ity a

nd

elig

ibili

ty o

f act

iviti

es to

be

carr

ied

out w

ith th

e gr

ant

awar

d; to

reco

ver f

unds

und

uly

paid

and

pre

vent

irre

gula

ritie

s an

d fra

ud; t

o m

onito

r pro

ject

im

plem

enta

tion;

and

to

susp

end,

redu

ce o

r ter

min

ate

the

gran

t in

the

even

t of n

on-

com

plia

nce

Req

uire

d fo

r ap

plic

ants

se

ekin

g gr

ant

awar

d an

d/or

fu

ndin

g al

loca

tion

mec

hani

sm

accr

edita

tion

For a

ll ty

pes

of e

ntiti

es:

●●

Evi

denc

e of

mon

itorin

g of

impl

emen

tatio

n of

3

proj

ects

in th

e pa

st 3

yea

rs;

●●

Gra

nt b

enefi

ciar

ies

proc

urem

ent r

ules

;●

●S

uspe

nsio

n, re

duct

ion

or te

rmin

atio

n of

gra

nt

proc

edur

es.

5.2.

4G

ood

stan

ding

for

finan

cial

requ

irem

ents

w

ith re

gard

to

mul

tilat

eral

fund

ing

(e.g

. th

roug

h re

cogn

ized

pu

blic

exp

endi

ture

re

view

s)

Gra

nt a

war

ding

ent

ity w

ith

a pr

oven

trac

k re

cord

of

hand

ling

mul

tilat

eral

fund

s

Req

uire

d fo

r ap

plic

ants

se

ekin

g gr

ant

awar

d an

d/or

fu

ndin

g al

loca

tion

mec

hani

sm

accr

edita

tion

For a

ll ty

pes

of e

ntiti

es:

●●

Evi

denc

e of

goo

d st

andi

ng w

ith re

gard

to

mul

tilat

eral

fund

ing;

●●

Pub

lic e

xpen

ditu

re re

view

s.

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SP

EC

IFIC

CA

PAC

ITy

R

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uIR

ED

AP

PLI

CA

BIL

ITy

INP

uT

DAT

AE

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TS

5.3

on-

lend

ing

and/

or b

lend

ing

Add

ition

al s

peci

aliz

ed c

riter

ia fo

r on-

lend

ing

and

blen

ding

will

app

ly fo

r int

erm

edia

ries

and

impl

emen

ting

entit

ies

that

wis

h to

use

fina

ncia

l in

stru

men

ts o

ther

than

gra

nts

with

the

Gre

en C

limat

e Fu

nd’s

reso

urce

s.

5.3.

1A

ppro

pria

te re

gist

ratio

n an

d/or

lice

nsin

g by

a

finan

cial

ove

rsig

ht

body

or r

egul

ator

in

the

coun

try

and/

or in

tern

atio

nally

, as

appl

icab

le

An

offic

ial r

ecor

d fro

m a

re

gula

tor o

r lic

ensi

ng b

ody

clea

ring

the

entit

y fo

r on-

lend

ing

Req

uire

d fo

r ap

plic

ants

se

ekin

g on

-le

ndin

g an

d/or

ble

ndin

g ac

cred

itatio

n

For a

ll ty

pes

of e

ntiti

es:

●●

on-

lend

ing

regi

stra

tion

or li

cens

e fro

m a

nat

iona

l or

inte

rnat

iona

l reg

ulat

or.

5.3.

2Tr

ack

reco

rd,

inst

itutio

nal e

xper

ienc

e an

d ex

istin

g ar

rang

emen

ts a

nd

capa

citie

s fo

r on-

lend

ing

and

blen

ding

w

ith re

sour

ces

from

ot

her i

nter

natio

nal o

r m

ultil

ater

al s

ourc

es

Pre

viou

s ex

perie

nce

with

on

-lend

ing

or b

lend

ing

usin

g in

tern

atio

nal o

r mul

tilat

eral

re

sour

ces

Req

uire

d fo

r ap

plic

ants

se

ekin

g on

-le

ndin

g an

d/or

ble

ndin

g ac

cred

itatio

n

For a

ll ty

pes

of e

ntiti

es:

●●

Pro

ject

doc

umen

ts fo

r 3 o

n-le

ndin

g or

ble

ndin

g pr

ojec

ts, c

lear

ly s

tatin

g th

e in

term

edia

ries

and

sour

ces

of in

tern

atio

nal a

nd m

ultil

ater

al fu

ndin

g.

5.3.

3C

redi

twor

thin

ess

Cap

acity

to s

afel

y le

nd m

oney

to

oth

er e

ntiti

esR

equi

red

for

appl

ican

ts

seek

ing

on-

lend

ing

and/

or b

lend

ing

accr

edita

tion

For a

ll ty

pes

of e

ntiti

es:

●●

Rat

ings

from

reco

gniz

ed in

tern

atio

nal c

redi

t ra

ting

com

pani

es.

http://www.iied.org

www.iied.org 55


ITE

mA

RE

A o

F C

om

PE

TEN

CE

SP

EC

IFIC

CA

PAC

ITy

R

Eq

uIR

ED

AP

PLI

CA

BIL

ITy

INP

uT

DAT

AE

xA

mP

LES

oF

Su

PP

oR

TIN

G D

oC

um

EN

TS

5.3.

4D

ue d

ilige

nce

polic

ies,

pr

oces

ses

and

proc

edur

es

Mec

hani

sms

in p

lace

to

ensu

re th

at o

n-le

ndin

g an

d/or

bl

endi

ng is

don

e in

a c

redi

ble

man

ner

Req

uire

d fo

r ap

plic

ants

se

ekin

g on

-le

ndin

g an

d/or

ble

ndin

g ac

cred

itatio

n

For a

ll ty

pes

of e

ntiti

es:

●●

on-

lend

ing

and/

or b

lend

ing

polic

y;●

●o

n-le

ndin

g an

d/or

ble

ndin

g pr

oced

ures

;●

●2

on-le

ndin

g an

d/or

ble

ndin

g du

e di

ligen

ce

repo

rts.

5.3.

5Fi

nanc

ial r

esou

rce

man

agem

ent,

incl

udin

g an

alys

is o

f the

lend

ing

port

folio

of t

he

inte

rmed

iary

Con

trol

pro

cedu

res

in p

lace

to

anal

yses

the

lend

ing

port

folio

of

the

inte

rmed

iary

Req

uire

d fo

r ap

plic

ants

se

ekin

g on

-le

ndin

g an

d/or

ble

ndin

g ac

cred

itatio

n

For a

ll ty

pes

of e

ntiti

es:

●●

Fina

ncia

l man

agem

ent p

olic

y;●

●P

roce

dure

s fo

r eva

luat

ing

inte

rmed

iary

’s p

ortfo

lio;

●●

2 le

ndin

g po

rtfo

lio a

naly

sis

repo

rts.

5.3.

6P

ublic

acc

ess

to

info

rmat

ion

on

bene

ficia

ries

and

resu

lts

Sys

tem

s an

d pr

ovis

ions

in

plac

e fo

r the

gen

eral

pub

lic

to a

cces

s in

form

atio

n ab

out

bene

ficia

ries

and

resu

lts o

f pr

ojec

ts fu

nded

by

the

entit

y

Req

uire

d fo

r ap

plic

ants

se

ekin

g on

-le

ndin

g an

d/or

ble

ndin

g ac

cred

itatio

n

For a

ll ty

pes

of e

ntiti

es:

●●

Evi

denc

e of

pub

licat

ion

of b

enefi

ciar

ies

and

resu

lts o

f 3 p

roje

cts

in th

e pa

st 3

yea

rs

(pre

fera

bly

clim

ate

chan

ge m

itiga

tion

and

adap

tatio

n pr

ojec

ts).

5.3.

7In

vest

men

t m

anag

emen

t, po

licie

s an

d sy

stem

s, in

clud

ing

in re

latio

n to

por

tfolio

m

anag

emen

t

Sys

tem

s in

pla

ce to

ens

ure

soun

d in

vest

men

t man

agem

ent

Req

uire

d fo

r ap

plic

ants

se

ekin

g on

-le

ndin

g an

d/or

ble

ndin

g ac

cred

itatio

n

For a

ll ty

pes

of e

ntiti

es:

●●

Inve

stm

ent m

anag

emen

t pol

icy;

●●

Pro

cedu

res/

guid

elin

es fo

r man

agin

g th

e en

tity’

s in

vest

men

t por

tfolio

;●

●C

opie

s of

2 in

vest

men

t por

tfolio

man

agem

ent

repo

rts

prep

ared

in th

e pa

st 3

yea

rs.

http://www.iied.org


56 www.iied.org

ITE

mA

RE

A o

F C

om

PE

TEN

CE

SP

EC

IFIC

CA

PAC

ITy

R

Eq

uIR

ED

AP

PLI

CA

BIL

ITy

INP

uT

DAT

AE

xA

mP

LES

oF

Su

PP

oR

TIN

G D

oC

um

EN

TS

5.3.

8C

apac

ity to

cha

nnel

fu

nds

tran

spar

ently

an

d ef

fect

ivel

y, a

nd

to tr

ansf

er th

e G

reen

C

limat

e Fu

nd’s

fund

ing

adva

ntag

es to

fina

l be

nefic

iarie

s

Sys

tem

s in

pla

ce to

ens

ure

that

fund

s ar

e tr

ansp

aren

tly

chan

nele

d

Req

uire

d fo

r ap

plic

ants

se

ekin

g on

-le

ndin

g an

d/or

ble

ndin

g ac

cred

itatio

n

For a

ll ty

pes

of e

ntiti

es:

●●

3 pr

ojec

ts s

how

ing

the

adva

ntag

es to

fina

l be

nefic

iarie

s of

pro

ject

s im

plem

ente

d by

the

entit

y;●

●In

form

atio

n on

sys

tem

s th

at a

re a

pplie

d fo

r thi

s pu

rpos

e.

5.3.

9Fi

nanc

ial r

isk

man

agem

ent,

incl

udin

g as

set l

iabi

lity

man

agem

ent

Cap

acity

to m

anag

e fin

anci

al

risk

Req

uire

d fo

r ap

plic

ants

se

ekin

g on

-le

ndin

g an

d/or

ble

ndin

g ac

cred

itatio

n

For a

ll ty

pes

of e

ntiti

es:

●●

Fina

ncia

l ris

k m

anag

emen

t pro

cedu

res;

●●

2 sa

mpl

es o

f the

min

utes

of r

ecen

t mee

tings

of

the

entit

y’s

Ass

et a

nd L

iabi

lity

Com

mitt

ee

(ALC

o).

5.3.

10G

over

nanc

e an

d or

gani

zatio

nal

arra

ngem

ents

, inc

ludi

ng

rela

tions

hips

bet

wee

n th

e tr

easu

ry fu

nctio

n an

d th

e op

erat

iona

l sid

e (fr

ont d

esk)

A li

nk b

etw

een

the

trea

sury

fu

nctio

n an

d th

e op

erat

iona

l fu

nctio

n

Req

uire

d fo

r ap

plic

ants

se

ekin

g on

-le

ndin

g an

d/or

ble

ndin

g ac

cred

itatio

n

For a

ll ty

pes

of e

ntiti

es:

●●

Det

ails

of t

he re

latio

nshi

p be

twee

n th

e tr

easu

ry

func

tion

and

the

oper

atio

nal f

unct

ion;

●●

Evi

denc

e of

seg

rega

tion

of d

utie

s.

http://www.iied.org

www.iied.org 57

AccreditAtion ApplicAtion formSE

CTIO

N V

I: En

viro

nmen

tal a

nd so

cial

safe

guar

ds

ITE

mA

RE

A o

F C

om

PE

TEN

CE

SP

EC

IFIC

CA

PAC

ITy

RE

qu

IRE

DA

PP

LIC

AB

ILIT

yIN

Pu

T D

ATA

Ex

Am

PLE

S o

F S

uP

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RTI

NG

D

oC

um

EN

TS

6E

nviro

nmen

tal

and

Soc

ial

Man

agem

ent

Sys

tem

(ES

MS

)

The

accr

edita

tion

revi

ew a

gain

st th

e G

reen

Clim

ate

Fund

’s e

nviro

nmen

tal a

nd s

ocia

l saf

egua

rds

(ES

S) w

ill fo

cus

on th

e ap

plic

ant’s

inst

itutio

nal E

SM

S.

●●

Ent

ities

that

des

ire to

und

erta

ke C

ateg

ory

A/I

-145

or l

ower

risk

(Cat

egor

y B

/I-2

and

Cat

egor

y C

/I-3

) typ

e pr

ojec

ts/

prog

ram

mes

will

be

requ

ired

to h

ave

an E

SM

S th

at is

mat

ure

and

docu

men

ted,

with

a p

rove

n tr

ack

reco

rd o

f man

agin

g th

ese

type

s of

pro

ject

s/pr

ogra

mm

es, a

nd th

e fu

ll su

ppor

t of S

enio

r Man

agem

ent.

Req

uire

d el

emen

ts o

f the

inst

itutio

nal E

SM

S a

re

set o

ut b

elow

in it

ems

6.1-

6.6;

●●

Ent

ities

that

des

ire to

und

erta

ke C

ateg

ory

B/I

-24

6 or

low

er ri

sk (C

ateg

ory

C/I

-3) t

ype

proj

ects

/pro

gram

mes

will

be

requ

ired

to

have

an

ES

MS

and

a p

rove

n tr

ack

reco

rd o

f man

agin

g th

ese

type

s of

pro

ject

s/pr

ogra

mm

es, a

nd th

e su

ppor

t of M

anag

emen

t. Th

is E

SM

S w

ill li

kely

hav

e em

ergi

ng e

lem

ents

and

will

not

be

as m

atur

e in

sco

pe o

r doc

umen

tatio

n, o

r as

wel

l-int

egra

ted

into

bu

sine

ss p

roce

sses

, as

the

ES

MS

requ

ired

for C

ateg

ory

A/I

-1 ty

pe p

roje

cts/

prog

ram

mes

, tho

ugh

it w

ill s

till h

ave

all o

f the

E

SM

S e

lem

ents

list

ed in

item

s 6.

1-6.

6;●

●E

ntiti

es th

at d

esire

to u

nder

take

Cat

egor

y C

/I-3

47 ty

pe p

roje

cts/

prog

ram

mes

will

onl

y ha

ve a

n E

SM

S. C

ateg

ory

C/I

-3

proj

ects

, by

defin

ition

, con

tain

littl

e to

no

envi

ronm

enta

l or s

ocia

l ris

ks o

r im

pact

s. T

he E

SM

S re

quire

d w

ill b

e m

oder

ate

and

very

sim

ple,

and

will

not

nee

d al

l of t

he E

SM

S e

lem

ents

requ

ired

by h

ighe

r ris

k ca

tego

ries.

Req

uire

d el

emen

ts o

f the

in

stitu

tiona

l ES

MS

are

sho

wn

in it

ems

6.1-

6.6.

6.1

Pol

icy

Cat

egor

y A

/I-1

An

envi

ronm

enta

l and

soc

ial (

E&

S)

polic

y th

at:

●●

Incl

udes

an

over

arch

ing

stat

emen

t of

the

E&

S o

bjec

tives

and

prin

cipl

es

guid

ing

the

inst

itutio

n;●

●S

tate

s th

e E

&S

sta

ndar

ds th

e in

stitu

tion

adhe

res

to in

clud

ing

law

s im

plem

entin

g ho

st c

ount

ry

oblig

atio

ns u

nder

inte

rnat

iona

l law

;●

●In

dica

tes

who

m w

ithin

the

inst

itutio

ns w

ill e

nsur

e co

nfor

man

ce

with

the

polic

y an

d be

resp

onsi

ble

for i

ts e

xecu

tion;

●●

Is c

onsi

sten

t with

the

Per

form

ance

S

tand

ards

(PS

) 1-8

;49

●●

Is e

ndor

sed

by S

enio

r Man

agem

ent;

●●

Is c

omm

unic

ated

to a

ll le

vels

of

its

orga

niza

tion

and

may

be

com

mun

icat

ed p

ublic

ally

.

Req

uire

d fo

r ap

plic

ants

se

ekin

g C

ateg

ory

A/I

-1

accr

edita

tion

For a

ll ty

pes

of e

ntiti

es:

●●

A fo

rmal

E&

S P

olic

y, o

r equ

ival

ent,

that

incl

udes

the

requ

ired

spec

ific

capa

citie

s w

hich

is fu

lly d

evel

oped

an

d m

aint

aine

d;●

●In

the

abse

nce

of a

form

al p

olic

y, a

de

scrip

tion

of th

e sp

ecifi

c in

stitu

tiona

l ca

paci

ties

rela

ted

to th

e el

emen

ts

that

wou

ld o

ther

wis

e be

incl

uded

in

an E

&S

pol

icy;

●●

Year

whe

n E

&S

pol

icy

or e

quiv

alen

t w

as a

ppro

ved/

endo

rsed

.

http://www.iied.org


58 www.iied.org

ITE

mA

RE

A o

F C

om

PE

TEN

CE

SP

EC

IFIC

CA

PAC

ITy

RE

qu

IRE

DA

PP

LIC

AB

ILIT

yIN

Pu

T D

ATA

Ex

Am

PLE

S o

F S

uP

Po

RTI

NG

D

oC

um

EN

TS

Cat

egor

y B

/I-2

An

E&

S p

olic

y th

at:

●●

Incl

udes

an

over

arch

ing

stat

emen

t of

the

E&

S o

bjec

tives

and

prin

cipl

es

whi

ch g

uide

the

inst

itutio

n;●

●S

tate

s th

e E

&S

sta

ndar

ds th

e in

stitu

tion

adhe

res

to in

clud

ing

law

s im

plem

entin

g ho

st c

ount

ry

oblig

atio

ns u

nder

inte

rnat

iona

l law

;●

●In

dica

tes

who

m w

ithin

the

inst

itutio

ns w

ill e

nsur

e co

nfor

man

ce

with

the

polic

y an

d be

resp

onsi

ble

for i

ts e

xecu

tion;

●●

Is c

onsi

sten

t with

PS

1-8;

●●

Is e

ndor

sed

by M

anag

emen

t;●

●Is

com

mun

icat

ed w

ithin

the

orga

niza

tion.

Req

uire

d fo

r ap

plic

ants

se

ekin

g C

ateg

ory

B/I

-2

accr

edita

tion

For a

ll ty

pes

of e

ntiti

es:

●●

An

E&

S P

olic

y, o

r equ

ival

ent,

that

in

clud

es th

e re

quire

d sp

ecifi

c ca

paci

ties;

●●

Year

whe

n E

&S

pol

icy

or e

quiv

alen

t w

as a

ppro

ved/

endo

rsed

.

Cat

egor

y C

/I-3

Not

requ

ired.

Req

uire

d fo

r ap

plic

ants

se

ekin

g C

ateg

ory

C/I

-3

accr

edita

tion

Not

requ

ired.

http://www.iied.org

www.iied.org 59


ITE

mA

RE

A o

F C

om

PE

TEN

CE

SP

EC

IFIC

CA

PAC

ITy

RE

qu

IRE

DA

PP

LIC

AB

ILIT

yIN

Pu

T D

ATA

Ex

Am

PLE

S o

F S

uP

Po

RTI

NG

D

oC

um

EN

TS

6.2

Iden

tifica

tion

of R

isks

and

Im

pact

s

Cat

egor

y A

/I-1

A fu

lly d

evel

oped

and

doc

umen

ted

inst

itutio

nal p

roce

ss a

nd tr

ack

reco

rd

that

:●

●Id

entifi

es th

e E

&S

risk

s an

d im

pact

s of

pro

ject

s/pr

ogra

mm

es a

s th

ey

evol

ve o

ver t

he p

roje

ct li

fe;

●●

Is c

onsi

sten

t with

goo

d in

tern

atio

nal

indu

stry

pra

ctic

e;●

●Is

con

sist

ent w

ith P

S1-

8;●

●Is

inte

grat

ed in

to o

pera

tions

Req

uire

d fo

r ap

plic

ants

se

ekin

g C

ateg

ory

A/I

-1

accr

edita

tion

For G

EF-

accr

edite

d en

titie

s un

der t

he

fast

-trac

k ac

cred

itatio

n pr

oces

s:C

ompl

ete

this

sec

tion

for a

risk

and

impa

cts

iden

tifica

tion

proc

edur

e or

pr

oces

s an

d tr

ack

reco

rd

that

incl

udes

: PS

2; P

S3

exce

pt P

est M

anag

emen

t; P

S4

infra

stru

ctur

e an

d eq

uipm

ent d

esig

n an

d sa

fety

bey

ond

dam

saf

ety,

ha

zard

ous

mat

eria

ls

and

man

agem

ent

safe

ty, p

rote

ctio

n of

pr

iorit

y pr

ovis

ioni

ng a

nd

regu

latin

g ec

osys

tem

se

rvic

es, c

omm

unity

ex

posu

re to

dis

ease

, em

erge

ncy

resp

onse

an

d pr

epar

edne

ss,

colla

bora

tion

with

co

mm

uniti

es, s

ecur

ity

forc

e m

anag

emen

t; an

d P

S6

supp

ly c

hain

re

quire

men

ts. T

his

sect

ion

does

not

nee

d to

be

com

plet

ed fo

r oth

er P

S

requ

irem

ents

.

For a

ll ty

pes

of e

ntiti

es:

●●

A fo

rmal

E&

S ri

sks

and

impa

cts

iden

tifica

tion

and

asse

ssm

ent

proc

edur

e de

scrib

ing

the

due

dilig

ence

app

roac

h w

hich

is

inte

grat

ed in

to b

usin

ess

proc

esse

s,

is ro

utin

ely

upda

ted,

and

may

hav

e be

en a

udite

d by

an

inte

rnal

or

exte

rnal

ove

rsig

ht m

echa

nism

;●

●If

a ris

k ca

tego

rizat

ion

syst

em is

al

read

y us

ed, a

list

of i

llust

rativ

e pr

ojec

ts fr

om th

e pa

st 3

yea

rs a

nd

thei

r cat

egor

y, in

clud

ing

an in

dica

tion

of w

ho w

ithin

the

orga

niza

tion

dete

rmin

es th

e ca

tego

rizat

ion.

http://www.iied.org


60 www.iied.org

ITE

mA

RE

A o

F C

om

PE

TEN

CE

SP

EC

IFIC

CA

PAC

ITy

RE

qu

IRE

DA

PP

LIC

AB

ILIT

yIN

Pu

T D

ATA

Ex

Am

PLE

S o

F S

uP

Po

RTI

NG

D

oC

um

EN

TS

Cat

egor

y B

/I-2

An

inst

itutio

nal p

roce

ss a

nd tr

ack

reco

rd th

at:

●●

Iden

tifies

the

E&

S ri

sks

and

impa

cts

of p

roje

cts/

prog

ram

mes

;●

●Is

con

sist

ent w

ith g

ood

inte

rnat

iona

l in

dust

ry p

ract

ice;

50

●●

Is c

onsi

sten

t with

PS

1-8.

Req

uire

d fo

r ap

plic

ants

se

ekin

g C

ateg

ory

B/I

-2

accr

edita

tion

For G

EF-

accr

edite

d en

titie

s un

der t

he

fast

-trac

k ac

cred

itatio

n pr

oces

s:C

ompl

ete

this

sec

tion

for a

risk

and

impa

cts

iden

tifica

tion

proc

edur

e or

pr

oces

s an

d tr

ack

reco

rd

that

incl

udes

: PS

2; P

S3

exce

pt P

est M

anag

emen

t; P

S4

infra

stru

ctur

e an

d eq

uipm

ent d

esig

n an

d sa

fety

bey

ond

dam

saf

ety,

ha

zard

ous

mat

eria

ls

and

man

agem

ent

safe

ty, p

rote

ctio

n of

pr

iorit

y pr

ovis

ioni

ng a

nd

regu

latin

g ec

osys

tem

se

rvic

es, c

omm

unity

ex

posu

re to

dis

ease

, em

erge

ncy

resp

onse

an

d pr

epar

edne

ss,

colla

bora

tion

with

co

mm

uniti

es, s

ecur

ity

forc

e m

anag

emen

t; an

d P

S6

supp

ly c

hain

re

quire

men

ts. T

his

sect

ion

does

not

nee

d to

be

com

plet

ed fo

r oth

er P

S

requ

irem

ents

.

For a

ll ty

pes

of e

ntiti

es:

●●

An

E&

S ri

sks

and

impa

cts

iden

tifica

tion

and

asse

ssm

ent

proc

edur

e de

scrib

ing

the

due

dilig

ence

app

roac

h, w

hich

may

be

impl

emen

ted

by th

e re

leva

nt p

art o

f th

e or

gani

zatio

n;●

●If

a ca

tego

rizat

ion

syst

em is

alre

ady

used

, a li

st o

f illu

stra

tive

proj

ects

from

th

e pa

st 3

yea

rs a

nd th

eir c

ateg

ory,

in

clud

ing

an in

dica

tion

of w

ho w

ithin

th

e or

gani

zatio

n de

term

ines

the

cate

goriz

atio

n.

http://www.iied.org

www.iied.org 61


ITE

mA

RE

A o

F C

om

PE

TEN

CE

SP

EC

IFIC

CA

PAC

ITy

RE

qu

IRE

DA

PP

LIC

AB

ILIT

yIN

Pu

T D

ATA

Ex

Am

PLE

S o

F S

uP

Po

RTI

NG

D

oC

um

EN

TS

Cat

egor

y C

/I-3

A p

roce

ss th

at s

cree

ns p

roje

cts/

prog

ram

mes

aga

inst

PS

1-8

and

is

able

to c

onsi

sten

tly c

onfir

m th

e ris

k ca

tego

ry.

Req

uire

d fo

r ap

plic

ants

se

ekin

g C

ateg

ory

C/I

-3

accr

edita

tion

For G

EF-

accr

edite

d en

titie

s un

der t

he

fast

-trac

k ac

cred

itatio

n pr

oces

s:C

ompl

ete

this

sec

tion

for a

risk

and

impa

cts

iden

tifica

tion

proc

edur

e or

pr

oces

s an

d tr

ack

reco

rd

that

incl

udes

: PS

2; P

S3

exce

pt P

est M

anag

emen

t; P

S4

infra

stru

ctur

e an

d eq

uipm

ent d

esig

n an

d sa

fety

bey

ond

dam

saf

ety,

ha

zard

ous

mat

eria

ls

and

man

agem

ent

safe

ty, p

rote

ctio

n of

pr

iorit

y pr

ovis

ioni

ng a

nd

regu

latin

g ec

osys

tem

se

rvic

es, c

omm

unity

ex

posu

re to

dis

ease

, em

erge

ncy

resp

onse

an

d pr

epar

edne

ss,

colla

bora

tion

with

co

mm

uniti

es, s

ecur

ity

forc

e m

anag

emen

t; an

d P

S6

supp

ly c

hain

re

quire

men

ts. T

his

sect

ion

does

not

nee

d to

be

com

plet

ed fo

r oth

er P

S

requ

irem

ents

.

For a

ll ty

pes

of e

ntiti

es:

●●

A b

asic

E&

S p

roce

dure

, whi

ch m

ay

be im

plem

ente

d by

the

rele

vant

par

t of

the

orga

niza

tion;

●●

If a

cate

goriz

atio

n sy

stem

is a

lread

y us

ed, a

list

of i

llust

rativ

e pr

ojec

ts fr

om

the

past

3 y

ears

and

thei

r cat

egor

y,

incl

udin

g an

indi

catio

n of

who

de

term

ines

cat

egor

izat

ion.

http://www.iied.org


62 www.iied.org

ITE

mA

RE

A o

F C

om

PE

TEN

CE

SP

EC

IFIC

CA

PAC

ITy

RE

qu

IRE

DA

PP

LIC

AB

ILIT

yIN

Pu

T D

ATA

Ex

Am

PLE

S o

F S

uP

Po

RTI

NG

D

oC

um

EN

TS

6.3

Man

agem

ent

Pro

gram

me

Cat

egor

y A

/I-1

A fu

lly d

evel

oped

and

doc

umen

ted

inst

itutio

nal p

roce

ss a

nd tr

ack

reco

rd

for m

anag

ing

miti

gatio

n m

easu

res

and

actio

ns s

tem

min

g fro

m th

e E

&S

risk

id

entifi

catio

n pr

oces

s.D

epen

ding

upo

n th

e na

ture

and

sc

ale

of th

e pr

ojec

t/ p

rogr

amm

e, th

e m

anag

emen

t pro

gram

me

may

con

sist

of

a d

ocum

ente

d co

mbi

natio

n of

op

erat

iona

l pro

cedu

res,

pra

ctic

es,

plan

s an

d re

late

d su

ppor

ting

docu

men

ts th

at a

re m

anag

ed in

a

syst

emat

ic w

ay.

Req

uire

d fo

r ap

plic

ants

se

ekin

g C

ateg

ory

A/I

-1

accr

edita

tion

For G

EF-

accr

edite

d en

titie

s un

der t

he

fast

-trac

k ac

cred

itatio

n pr

oces

s:C

ompl

ete

this

sec

tion

by d

emon

stra

ting

man

agem

ent p

roce

sses

an

d tr

ack

reco

rd fo

r the

is

sues

list

ed in

item

6.2

. Th

is s

ectio

n do

es n

ot

need

to b

e co

mpl

eted

for

othe

r PS

requ

irem

ents

.

For a

ll ty

pes

of e

ntiti

es:

●●

Evi

denc

e of

man

agem

ent

prog

ram

me,

incl

udin

g fo

rmal

op

erat

iona

l pro

cess

es o

r pro

cedu

res

docu

men

ting

prac

tices

des

crib

ing

how

indi

vidu

al p

roje

cts/

prog

ram

mes

m

itiga

tion

actio

ns w

ill b

e do

cum

ente

d, tr

acke

d, a

nd a

pplie

d;●

●A

udit

repo

rts

(con

duct

ed b

y ex

tern

al fi

rm o

r org

aniz

atio

n) o

n in

stitu

tiona

l man

agem

ent p

rogr

amm

e ef

fect

iven

ess.

Cat

egor

y B

/I-2

A d

ocum

ente

d in

stitu

tiona

l pro

cess

an

d tr

ack

reco

rd fo

r man

agin

g m

itiga

tion

mea

sure

s an

d ac

tions

st

emm

ing

from

the

E&

S ri

sk

iden

tifica

tion

proc

ess.

Dep

endi

ng u

pon

the

natu

re a

nd

scal

e of

the

proj

ect/

prog

ram

me,

the

man

agem

ent p

rogr

amm

e m

ay c

onsi

st

of a

doc

umen

ted

com

bina

tion

of

oper

atio

nal p

roce

dure

s, p

ract

ices

, pl

ans

and

rela

ted

supp

ortin

g do

cum

ents

that

are

man

aged

in a

sy

stem

atic

way

.

Req

uire

d fo

r ap

plic

ants

se

ekin

g C

ateg

ory

B/I

-2

accr

edita

tion

For G

EF-

accr

edite

d en

titie

s un

der t

he

fast

-trac

k ac

cred

itatio

n pr

oces

s:C

ompl

ete

this

sec

tion

by d

emon

stra

ting

man

agem

ent p

roce

sses

an

d tr

ack

reco

rd fo

r the

is

sues

list

ed in

item

6.2

. Th

is s

ectio

n do

es n

ot

need

to b

e co

mpl

eted

for

othe

r PS

requ

irem

ents

.

For a

ll ty

pes

of e

ntiti

es:

●●

ope

ratin

g pr

oces

ses

or p

roce

dure

s do

cum

entin

g ho

w in

divi

dual

pro

ject

s/pr

ogra

mm

es m

itiga

tion

actio

ns w

ill b

e do

cum

ente

d an

d tr

acke

d;●

●A

udit

repo

rts

on in

stitu

tiona

l m

anag

emen

t pro

gram

me

effe

ctiv

enes

s.

http://www.iied.org

www.iied.org 63


ITE

mA

RE

A o

F C

om

PE

TEN

CE

SP

EC

IFIC

CA

PAC

ITy

RE

qu

IRE

DA

PP

LIC

AB

ILIT

yIN

Pu

T D

ATA

Ex

Am

PLE

S o

F S

uP

Po

RTI

NG

D

oC

um

EN

TS

Cat

egor

y C

/I-3

A m

anag

emen

t pro

gram

me

cons

iste

nt

with

the

leve

l of E

&S

risk

. The

m

anag

emen

t pro

gram

me

shou

ld

indi

cate

an

inst

itutio

nal p

roce

ss to

id

entif

y an

d m

anag

e ris

ks (i

nclu

ding

un

antic

ipat

ed ri

sks

and

impa

cts)

, an

d de

sign

ate

role

s re

spon

sibl

e fo

r im

plem

entin

g th

e pr

ogra

mm

e.

Req

uire

d fo

r ap

plic

ants

se

ekin

g C

ateg

ory

C/I

-3

accr

edita

tion

For G

EF-

accr

edite

d en

titie

s un

der t

he

fast

-trac

k ac

cred

itatio

n pr

oces

s:C

ompl

ete

this

sec

tion

by d

emon

stra

ting

man

agem

ent p

roce

sses

an

d tr

ack

reco

rd fo

r the

is

sues

list

ed in

item

6.2

. Th

is s

ectio

n do

es n

ot

need

to b

e co

mpl

eted

for

othe

r PS

requ

irem

ents

.

For a

ll ty

pes

of e

ntiti

es:

●●

If ne

eded

due

to u

nant

icip

ated

risk

s or

impa

cts

aris

ing

afte

r scr

eeni

ng,

a de

scrip

tion

of th

e pr

oces

s an

d or

gani

zatio

nal c

apac

ity to

man

age

E&

S ri

sk.

6.4

org

aniz

atio

nal

Cap

acity

and

C

ompe

tenc

y

Cat

egor

y A

/I-1

An

orga

niza

tiona

l str

uctu

re th

at d

efine

s ro

les,

resp

onsi

bilit

ies,

repo

rtin

g lin

es

and

auth

ority

to im

plem

ent t

he E

SM

S,

whi

ch in

clud

es S

enio

r Man

agem

ent.

Key

E&

S re

spon

sibi

litie

s sh

ould

be

defin

ed a

nd c

omm

unic

ated

, and

su

ppor

ted

with

hum

an a

nd fi

nanc

ial

reso

urce

s.

Req

uire

d fo

r ap

plic

ants

se

ekin

g C

ateg

ory

A/I

-1

accr

edita

tion

For G

EF-

accr

edite

d en

titie

s un

der t

he

fast

-trac

k ac

cred

itatio

n pr

oces

s:C

ompl

ete

this

sec

tion

by

dem

onst

ratin

g ca

paci

ty

and

com

pete

ncy

for t

he

issu

es li

sted

in it

em 6

.2.

This

sec

tion

does

not

ne

ed to

be

com

plet

ed fo

r ot

her P

S re

quire

men

ts.

For a

ll ty

pes

of e

ntiti

es:

●●

org

aniz

atio

nal c

hart

s th

at

iden

tify

units

or d

epar

tmen

ts, l

ine

man

agem

ent a

nd th

e in

divi

dual

s ha

ving

E&

S p

erfo

rman

ce a

nd

com

plia

nce

resp

onsi

bilit

ies;

●●

Job

desc

riptio

ns a

nd re

spon

sibi

litie

s of

key

E&

S p

erso

nnel

, inc

ludi

ng

expe

rtis

e an

d ex

perie

nce

in P

S1-

8;●

●P

roce

dure

s fo

r inf

orm

atio

n sh

arin

g (a

war

enes

s) a

mon

g th

e in

vest

men

t, le

gal a

nd c

redi

t offi

ces

in th

e or

gani

zatio

n’s

E&

S re

quire

men

ts a

nd

ES

MS

;●

●D

escr

iptio

n of

trai

ning

and

de

velo

pmen

t pro

gram

s fo

r E&

S a

nd

othe

r rel

evan

t sta

ff.

http://www.iied.org


64 www.iied.org

ITE

mA

RE

A o

F C

om

PE

TEN

CE

SP

EC

IFIC

CA

PAC

ITy

RE

qu

IRE

DA

PP

LIC

AB

ILIT

yIN

Pu

T D

ATA

Ex

Am

PLE

S o

F S

uP

Po

RTI

NG

D

oC

um

EN

TS

Cat

egor

y B

/I-2

An

orga

niza

tiona

l str

uctu

re th

at d

efine

s ro

les,

resp

onsi

bilit

ies

and

auth

ority

to

impl

emen

t the

ES

MS

, whi

ch

incl

udes

Sen

ior M

anag

emen

t. K

ey E

&S

re

spon

sibi

litie

s sh

ould

be

defin

ed a

nd

supp

orte

d w

ith h

uman

and

fina

ncia

l re

sour

ces.

Tech

nica

l sta

ff w

ith d

irect

resp

onsi

bilit

y fo

r the

pro

ject

/pro

gram

me

perfo

rman

ce h

ave

the

know

ledg

e,

skill

s an

d ex

perie

nce

nece

ssar

y to

un

ders

tand

and

ens

ure

impl

emen

tatio

n of

PS

1-8.

Tech

nica

l sta

ff w

ith k

now

ledg

e of

P

S1-

8, a

re a

ble

to p

rope

rly c

ateg

oriz

e po

tent

ial f

undi

ng p

ropo

sals

.

Req

uire

d fo

r ap

plic

ants

se

ekin

g C

ateg

ory

B/I

-2

accr

edita

tion

For G

EF-

accr

edite

d en

titie

s un

der t

he

fast

-trac

k ac

cred

itatio

n pr

oces

s:C

ompl

ete

this

sec

tion

by

dem

onst

ratin

g ca

paci

ty

and

com

pete

ncy

for t

he

issu

es li

sted

in it

em 6

.2.

This

sec

tion

does

not

ne

ed to

be

com

plet

ed fo

r ot

her P

S re

quire

men

ts

For a

ll ty

pes

of e

ntiti

es:

●●

org

aniz

atio

nal c

hart

s th

at

iden

tify

units

or d

epar

tmen

ts, l

ine

man

agem

ent a

nd th

e in

divi

dual

s ha

ving

E&

S p

erfo

rman

ce a

nd

com

plia

nce

resp

onsi

bilit

ies;

●●

Job

desc

riptio

ns a

nd re

spon

sibi

litie

s of

key

E&

S p

erso

nnel

, inc

ludi

ng

expe

rtis

e an

d ex

perie

nce

in P

S1-

8.

Cat

egor

y C

/I-3

Des

igna

ted

staf

f or s

taff

mem

bers

ap

prop

riate

ly lo

cate

d w

ithin

the

orga

niza

tion

are

know

ledg

eabl

e ab

out

PS

1-8

and

able

to p

rope

rly c

ateg

oriz

e po

tent

ial f

undi

ng p

ropo

sals

thro

ugh

a sc

reen

ing

proc

ess.

Req

uire

d fo

r ap

plic

ants

se

ekin

g C

ateg

ory

C/I

-3

accr

edita

tion

For G

EF-

accr

edite

d en

titie

s un

der t

he

fast

-trac

k ac

cred

itatio

n pr

oces

s: C

ompl

ete

this

se

ctio

n by

dem

onst

ratin

g ca

paci

ty a

nd c

ompe

tenc

y fo

r the

issu

es li

sted

in

item

6.2

. Thi

s se

ctio

n do

es n

ot n

eed

to b

e co

mpl

eted

for o

ther

PS

re

quire

men

ts.

For a

ll ty

pes

of e

ntiti

es:

●●

org

aniz

atio

nal c

hart

of w

here

de

sign

ated

sta

ff m

embe

rs w

ho m

ake

cate

goriz

atio

n de

cisi

ons

sit i

n th

e or

gani

zatio

n an

d re

port

ing

lines

.

http://www.iied.org

www.iied.org 65


ITE

mA

RE

A o

F C

om

PE

TEN

CE

SP

EC

IFIC

CA

PAC

ITy

RE

qu

IRE

DA

PP

LIC

AB

ILIT

yIN

Pu

T D

ATA

Ex

Am

PLE

S o

F S

uP

Po

RTI

NG

D

oC

um

EN

TS

6.5

Mon

itorin

g an

d R

evie

wC

ateg

ory

A/I

-1Tr

ack

reco

rd a

nd in

tern

al p

roce

sses

to

sup

port

a m

onito

ring/

supe

rvis

ion

prog

ram

me

that

trac

ks a

nd e

nsur

es

com

plet

ion

of m

itiga

tion

and

perfo

rman

ce im

prov

emen

t mea

sure

s.P

erio

dic

perfo

rman

ce re

view

s re

port

ed to

Sen

ior M

anag

emen

t on

the

effe

ctiv

enes

s of

the

ES

MS

. Sen

ior

Man

agem

ent h

as a

trac

k re

cord

of

taki

ng th

e ne

cess

ary

step

s to

ens

ure

that

the

inte

nt o

f the

inst

itutio

ns p

olic

y is

met

and

that

pro

cedu

res,

pra

ctic

es

and

plan

s ar

e im

plem

ente

d

Req

uire

d fo

r ap

plic

ants

se

ekin

g C

ateg

ory

A/I

-1

accr

edita

tion

For G

EF-

accr

edite

d en

titie

s un

der t

he

fast

-trac

k ac

cred

itatio

n pr

oces

s:C

ompl

ete

this

sec

tion

by

dem

onst

ratin

g m

onito

ring

com

pete

ncy

and

a tr

ack

reco

rd fo

r the

issu

es

liste

d in

item

6.2

. Thi

s se

ctio

n do

es n

ot n

eed

to

be c

ompl

eted

for o

ther

P

S re

quire

men

ts.

For a

ll ty

pes

of e

ntiti

es:

●●

Des

crip

tion

of m

onito

ring

and

revi

ew

prog

ram

me,

incl

udin

g pr

oces

ses

and

proc

edur

es;

●●

Exa

mpl

es o

f how

less

ons

lear

ned

from

mon

itorin

g an

d ev

alua

tion

have

in

fluen

ced

the

desi

gn/d

ecis

ions

co

ncer

ning

spe

cific

pro

ject

s/pr

ogra

mm

es;

●●

ove

rall

indi

cato

rs th

at re

sulte

d fro

m

the

prog

ram

in th

e pa

st 3

yea

rs, w

hich

in

dica

te a

trac

k re

cord

of t

he le

vel o

f su

cces

s of

ES

MS

impl

emen

tatio

n w

ithin

the

proj

ects

/pro

gram

mes

;●

●D

escr

iptio

n of

the

revi

ew o

r aud

it pr

oces

ses

that

ver

ify th

is d

ata

(inst

itutio

nal i

ndep

ende

nt re

view

ar

m, o

utsi

de a

udit

firm

, ove

rsig

ht

mec

hani

sm, e

tc.);

sam

ple

of p

roje

ct

audi

t rep

orts

;●

●D

escr

iptio

n of

the

type

s an

d fre

quen

cy o

f rep

orts

, whi

ch in

clud

e E

&S

mon

itorin

g in

form

atio

n, th

at a

re

subm

itted

to S

enio

r Man

agem

ent;

sam

ple

of p

roje

ct m

onito

ring

and

eval

uatio

n re

port

s pr

epar

ed in

the

last

3

year

s;●

●E

xam

ples

of h

ow E

&S

sup

ervi

sion

and

au

ditin

g ac

tiviti

es h

ave

info

rmed

the

man

agem

ent r

evie

w a

nd u

pdat

e of

the

ES

MS

;●

●E

xam

ples

of h

ow E

&S

sup

ervi

sion

an

d au

ditin

g ac

tiviti

es h

ave

resu

lted

in k

now

ledg

e di

ssem

inat

ion

eith

er

inte

rnal

ly o

r pub

lical

ly.

http://www.iied.org


66 www.iied.org

ITE

mA

RE

A o

F C

om

PE

TEN

CE

SP

EC

IFIC

CA

PAC

ITy

RE

qu

IRE

DA

PP

LIC

AB

ILIT

yIN

Pu

T D

ATA

Ex

Am

PLE

S o

F S

uP

Po

RTI

NG

D

oC

um

EN

TS

Cat

egor

y B

/I-2

Trac

k re

cord

and

inte

rnal

pro

cess

es

to s

uppo

rt a

mon

itorin

g/su

perv

isio

n pr

ogra

mm

e th

at tr

acks

and

ens

ures

co

mpl

etio

n of

miti

gatio

n an

d pe

rform

ance

impr

ovem

ent m

easu

res.

Per

iodi

c pe

rform

ance

revi

ews

repo

rted

to

Sen

ior M

anag

emen

t, on

the

effe

ctiv

enes

s of

the

ES

MS

. Sen

ior

Man

agem

ent t

akes

the

nece

ssar

y st

eps

to e

nsur

e th

at th

e in

tent

of t

he

inst

itutio

ns p

olic

y is

met

and

that

pr

oced

ures

, pra

ctic

es a

nd p

lans

are

im

plem

ente

d.

Req

uire

d fo

r ap

plic

ants

se

ekin

g C

ateg

ory

B/I

-2

accr

edita

tion

For G

EF-

accr

edite

d en

titie

s un

der t

he

fast

-trac

k ac

cred

itatio

n pr

oces

s:C

ompl

ete

this

sec

tion

by

dem

onst

ratin

g m

onito

ring

com

pete

ncy

and

a tr

ack

reco

rd fo

r the

issu

es

liste

d in

item

6.2

. Thi

s se

ctio

n do

es n

ot n

eed

to

be c

ompl

eted

for o

ther

P

S re

quire

men

ts.

For a

ll ty

pes

of e

ntiti

es:

●●

Des

crip

tion

of m

onito

ring

and

revi

ew p

rogr

am a

nd p

revi

ous

year

s’

indi

cato

rs th

at re

sulte

d fro

m th

e pr

ogra

m;

●●

Sam

ple

of p

roje

ct m

onito

ring

and

eval

uatio

n re

port

s.

Cat

egor

y C

/I-3

Mod

erat

e m

onito

ring

of p

roje

cts/

prog

ram

mes

to e

nsur

e th

at th

ere

have

bee

n no

sco

pe c

hang

es o

r un

antic

ipat

ed im

pact

s or

risk

s re

quiri

ng

miti

gatio

n an

d m

anag

emen

t.

Req

uire

d fo

r ap

plic

ants

se

ekin

g C

ateg

ory

C/I

-3

accr

edita

tion

For G

EF-

accr

edite

d en

titie

s un

der t

he

fast

-trac

k ac

cred

itatio

n pr

oces

s:C

ompl

ete

this

sec

tion

by

dem

onst

ratin

g m

onito

ring

com

pete

ncy

and

a tr

ack

reco

rd fo

r the

issu

es

liste

d in

item

6.2

. Thi

s se

ctio

n do

es n

ot n

eed

to

be c

ompl

eted

for o

ther

P

S re

quire

men

ts.

For a

ll ty

pes

of e

ntiti

es:

●●

Des

crip

tion

of p

roje

ct m

onito

ring

proc

ess.

http://www.iied.org

www.iied.org 67


ITE

mA

RE

A o

F C

om

PE

TEN

CE

SP

EC

IFIC

CA

PAC

ITy

RE

qu

IRE

DA

PP

LIC

AB

ILIT

yIN

Pu

T D

ATA

Ex

Am

PLE

S o

F S

uP

Po

RTI

NG

D

oC

um

EN

TS

6.6

Ext

erna

l C

omm

unic

atio

nsC

ateg

ory

A/I

-1E

xter

nal c

omm

unic

atio

n ch

anne

ls th

at

allo

w th

e en

tity

to:

●●

Rec

eive

and

regi

ster

ext

erna

l co

mm

unic

atio

ns fr

om th

e pu

blic

;●

●S

cree

n an

d as

sess

issu

es ra

ised

an

d de

term

ine

how

to a

ddre

ss th

em;

●●

Pro

vide

, tra

ck, a

nd d

ocum

ent

resp

onse

s.

Req

uire

d fo

r ap

plic

ants

se

ekin

g C

ateg

ory

A/I

-1

accr

edita

tion

For a

ll ty

pes

of e

ntiti

es:

●●

Writ

ten

proc

ess

or p

roce

dure

s de

scrib

ing

exte

rnal

com

mun

icat

ions

sy

stem

;●

●Lo

catio

n of

sys

tem

(web

site

, etc

.);●

●R

egis

ter o

f inq

uirie

s/co

mpl

aint

s an

d re

spon

ses

from

the

past

1 y

ear

Cat

egor

y B

/I-2

Ext

erna

l com

mun

icat

ion

chan

nels

that

al

low

the

entit

y to

:●

●R

ecei

ve a

nd re

gist

er e

xter

nal

com

mun

icat

ions

from

the

publ

ic;

●●

Scr

een

and

asse

ss is

sues

rais

ed

and

dete

rmin

e ho

w to

add

ress

them

;●

●P

rovi

de, t

rack

, and

doc

umen

t re

spon

ses.

Req

uire

d fo

r ap

plic

ants

se

ekin

g C

ateg

ory

C/I

-3

accr

edita

tion

For a

ll ty

pes

of e

ntiti

es:

●●

Writ

ten

proc

ess

or p

roce

dure

s de

scrib

ing

exte

rnal

com

mun

icat

ions

sy

stem

;●

●Lo

catio

n of

sys

tem

(web

site

, etc

.);●

●R

egis

ter o

f inq

uirie

s/co

mpl

aint

s an

d re

spon

ses

from

the

past

1 y

ear.

http://www.iied.org


68 www.iied.org

SECT

ION

VII

: Gen

der

ITE

mA

RE

A o

F C

om

PE

TEN

CE

SP

EC

IFIC

CA

PAC

ITy

R

Eq

uIR

ED

AP

PLI

CA

BIL

ITy

INP

uT

DAT

AE

xA

mP

LES

oF

Su

PP

oR

TIN

G D

oC

um

EN

TS

7.1

Gen

der

Dem

onst

rate

com

pete

ncie

s,

polic

ies

and

proc

edur

es to

im

plem

ent t

he G

reen

Clim

ate

Fund

’s G

ende

r Pol

icy

All

appl

ican

tsFo

r all

type

s of

ent

ities

:●

●E

xtra

ct fr

om e

ntity

’s o

pera

tiona

l pol

icie

s an

d pr

oced

ures

rela

ting

to g

ende

r.

7.2

Dem

onst

rate

exp

erie

nce

with

ge

nder

and

clim

ate

chan

ge,

incl

udin

g a

trac

k re

cord

of l

endi

ng

to b

oth

men

and

wom

en

All

appl

ican

tsFo

r all

type

s of

ent

ities

:●

●E

xam

ples

of 2

lend

ing

oper

atio

ns th

at

spec

ifica

lly ta

rget

wom

en a

mon

g pr

ojec

t/pr

ogra

m b

enefi

ciar

ies;

●●

Evi

denc

e to

sho

w th

at p

roje

cts

to w

hich

the

entit

y le

nds

have

non

-dis

crim

inat

ory

prac

tices

in

term

s of

ben

efits

and

rem

uner

atio

n fo

r bot

h m

en a

nd w

omen

em

ploy

ees.

http://www.iied.org

www.iied.org 69

Appendix: RelevAnt GCF doCuments

7. Appendix: Relevant GCF documents

This is adapted from following GCF documents. Audience are encouraged to refer to the detailed original documents for information clarification.

i. Guiding Framework and Procedures for Accrediting National, Regional and International Implementing Entities and Intermediaries, Including the Fund’s Fiduciary Principles and Standards and Environmental and Social Safeguards (GCF/B.07/02);

ii. Guidelines for the operationalization of the Fit-for-purpose Accreditation Approach (GCF/B.08/02);

iii. Gender Policy and Action Plan (GCF/B.09/10);

iv. Assessment of Institutions Accredited by other Relevant Funds and Their Potential for Fast-track Accreditation (GCF/B.08/03);

v. Application Documents for Submissions of Applications for Accreditation (GCF/B.08/06);

vi. Policy on Fees for Accreditation (GCF/B.08/04);

vii. Legal and Formal Arrangements with Accredited Entities (GCF/B.09/03);

http://www.iied.org


70 www.iied.org

Related reading

Wang, B. and N. Rai (2015) The Green Climate Fund accreditation process: barrier or opportunity? IIED policy brief. http://pubs.iied.org/17311IIED.html

http://www.iied.org

http://pubs.iied.org/17311IIED.html

IIED is a policy and action research organisation. We promote sustainable development to improve livelihoods and protect the environments on which these livelihoods are built. We specialise in linking local priorities to global challenges. IIED is based in London and works in Africa, Asia, Latin America, the Middle East and the Pacific, with some of the world’s most vulnerable people. We work with them to strengthen their voice in the decision-making arenas that affect them — from village councils to international conventions.

International Institute for Environment and Development 80-86 Gray’s Inn Road, London WC1X 8NH, UK

Tel: +44 (0)20 3463 7399 Fax: +44 (0)20 3514 9055 email: [email protected] www.iied.org

The aim of this handbook is to provide a practical guide to assist prospective national implementing entities (NIEs) in Bangladesh to directly access the Green Climate Fund (GCF).

It is designed to provide an all-in-one guidance and analysis of the concept, process, and relevant standards, frequently asked questions and previous applicants’ experience of GCF accreditation. These NIEs can be national line ministries or departments, the Central Bank, public financial institutions, private sector companies or civil society organisations.

Knowledge Products

Toolkit November 2015

Climate change

Keywords: Green Climate Fund, Accreditation, NIE, Direct Access

This research was funded by UKaid from the UK Government, however the views expressed do not necessarily reflect the views of the UK Government.

Economic Relations DivisionMinistry of Finance

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