ENVIRONMENTAL and SOCIAL ASSESSMENT Chile's REDD-Plus Results for the Period 2014-2016

ENVIRONMENTAL AND SOCIAL ASSESSMENT Chile's REDD-plus results for the period 2014-2016

TABLE OF CONTENTS

Context 4 Methodology and Scope of the Assessment 5 Applicable Policies Laws and Regulations and Pilot Projects 5 Social and Environmental Baselines 13 FAO Environmental and Social Standards 23 FAO ESS and GCF Performance Standards 24 Assessment of the PLR against FAO ESS and Cancún Safeguards 25 Stakeholder Engagement 25 Grievance and Redress Mechanism 31

Main findings and conclusions 32 ANNEX A: PLR Alignment with Cancun Safeguards 34 ANNEX B PLR Alignment review against FAO's ESS 44 Annex C. Alignment Assessment with FAO Environmental and Social Safeguards. 52

List of acronyms

AE Accredited entity CBD Convention on Biological Diversity CITES Convention on International Trade in Endangered Species of Wild Fauna and Flora CONADI National Indigenous Development Organization CONAF Forestry Corporation CORECC Regional Committee on Climate Change CTICC Inter-ministerial Climate Change Committee EAE Strategic Environmental Assessment EIA Environmental Impact Assessment ENCCRV National Strategy for Climate Change and Plant Resources ERPD Emission Reduction Program Document ESA Environmental and Social Assessment ESMF Environmental Management Framework ESS Environmental and Social Safeguard FAO Food and Agriculture Organization of the United Nations FCPF Forest Carbon Partnership Facility FPIC Free Prior and Informed Consent FREL Forest Reference Emission Level GCF Green Climate Fund GDP Gross Domestic Product GEDEF Forest Development Management Office GEF Environmental Control and Evaluation Management Unit GHG Greenhouse gases GRM Grievance Redress Mechanism Ha Hectares ILO International Labour Organization INE National Institute of Statistics IPP Indigenous Peoples Plan MINAGRI Ministry of Agriculture MMA Ministry of Environment MD Direct actions MDA Actions measures MF Enabling actions MRV Measurement, Reporting and Verification NAMA Nationally Appropriate Mitigation Action NDA National Designated Authority NDC Nationally Determined Contributions NGOs Non-Governmental Organizations OIG Office of the Inspector-General OIRS Complaints and Suggestions Offices PANCC National Climate Change Action Plan PANCC-II National Climate Change Action Plan 2017-2022 PANCD National Action Program against Desertification, Land Degradation and Drought 2016- 2030 PMU Project Management Unit REDD+ Reducing Emissions from Deforestation and forest Degradation, plus the sustainable management of forests, and the conservation and enhancement of forest carbon stocks RBP Result-Based Payments SAG Agricultural and Livestock Service SDGs Sustainable Development Goals SEA Environmental Assessment Service SESA Strategic Environmental and Social Assessment SIAC Citizen Attention Information System

SIS Safeguards Information System SMA Superintendence of the Environment SNASPE National System of Protected Wild Areas

UAIS Indigenous and Social Affairs Unit UCCSA Climate Change and Environmental Services Unit UNCCD United Nations Convention to Combat Desertification UNESCO United Nations Educational, Scientific and Cultural Organization UNFCCC United Nations Framework Convention on Climate Change

1. Context

The Green Climate Fund (GCF) has issued a request for proposals for the Pilot Programme for REDD-plus results-based payments (Decision B.18/07).

In response to the global challenges on sustainability, Chile has ratified the commitments of the Earth Summit held in Rio de Janeiro in 1992, as the UNFCCC, the United Nations Convention to Combat Desertification (UNCCD) and the Convention on Biological Diversity (CBD). Chile is also a signatory of the Sustainable Development Goals (SDG) adopted in 2015. The National Forestry Corporation (CONAF, by its acronym in Spanish), an organization that depends on the Ministry of Agriculture of Chile (MINAGRI, by its acronym in Spanish), as the National Focal Point, for the REDD+ approach (policy approach adopted by the UNFCCC to reduce emissions from deforestation and forest degradation, and to enhance forest stocks) and for the UNCCD, strives to fulfil their respective policy and technical requirements.

Thus, the MINAGRI and CONAF have led the formulation process of the National Strategy on Climate Change and Vegetation Resources 2017-2025 (ENCCRV, as in its Spanish acronym), based on an ample participatory process with national and international stakeholders. ENCCRV is an instrument of public policy in the field of the native vegetation resources of Chile, which orients and integrates the strategic activities and measures to be taken as a country to mitigate and adapt to climate change, as well as to combat desertification, land degradation and drought. The formulation of the ENCCRV is aligned with international and national commitments made by the country and are directly linked to the four strategic objectives and goals set out in the Forest Policy 2015-2035 approved on 2016. The strategic axes of the Forest Policy correspond to: i) Forest institutionalisation; ii) Productivity and economic growth; iii) Equity and social inclusion, and; iv) Protection and restoration of forest heritage.

In the last few years, Chile has fulfilled the REDD+ requirements under the UNFCCC and has reported REDD+ results which makes it eligible for the GCF's Pilot Programme. In this context, in its role as a REDD+ focal point in Chile, CONAF extended an invitation to FAO, as an entity accredited by the GCF, to prepare and submit a funding proposal to the Pilot Programme on payment based on REDD+ results. As part of the requirements for the Funding proposals to the Pilot Programme, an Environmental and Social Assessment Report (ESA) that retroactively reviews the actions for which results-based payments are sought must be undertaken, in order to confirm that these actions were undertaken in a manner consistent with applicable GCF ESS standards.

Accredited entities to the GCF must demonstrate that their entity-level environmental and social safeguards are consistent with the GCF’s safeguard framework. As such, accredited Entities should apply their own environmental and social safeguards to GCF-supported activities. Therefore this ESA reviews retroactive alignment, with a focus on policy alignment, with FAO's Environmental and Social Standards, described below in Section 5 (The full text of the FAO ESS is also available at http://www.fao.org/3/a-i4413e.pdf).

The Environmental and Social Assessment (ESA) is presented as an evaluation of the operations leading to the efforts to implement the REDD+ strategies at the subnational level during the period 2014 – 2016 as part of the requirements for GCF REDD+ RBP financing. The targeted areas of this evaluation are the regions of Maule, Nuble1, Bio Bio, Araucania, Los Rios and Los Lagos also known as the South Zone, where a number of activities related to the implementation of ENCCRV took place. This area also corresponds to the regions of Chile where the Forest Emission Reference Level/Forest Reference Level (FREL/FRL) was developed, which was presented to the UNFCCC.

1 Since the Nuble region was created in 2018 and used to be part of the Bio Bio region, for evaluative reasons hereinafter in the ESA we will consider it as part of the Biobio region.

2. Methodology and Scope of the Assessment The Government of Chile, in a letter submitted November 6, 2018 requested FAO, as an AE to the GCF, to support the country in the preparation and submission of a REDD+ Result Based Payment (RBP) Funding Proposal to the GCF. FAO has been supporting the REDD+ process of implementation in Chile by providing technical assistance for strengthening the MRV system and in the design and implementation of measures for reducing forest degradation or enhancement of carbon stocks through the UN-REDD programme funding. Chile has met the GCF eligibility criteria to access REDD+ results-based payments (GCF Decision B.17/18, section 1 of Annex III).

The aims of the Environmental and Social Assessment are to (a) evaluate the environmental and social risks associated with the proposed regions and period of activity selected; (b) provide robust evidence on the compliance of such activities with FAO ESS; (c) identify opportunities to improve and inform the ESMF and (d) determine the extent and depth of environmental and social due diligence, and accountability mechanisms in place, such as in regards to redress of grievances.

As per the Green Climate Fund requirements for the RBP pilot programme, the ESA will cover the following requirements; (i) Due diligence: the AE, in collaboration with the host country, will prepare an environmental and social assessment (ESA) describing the extent to which the measures undertaken to identify, assess, and manage environmental and social risks and impacts, in the context of the REDD+ proposal, were consistent with the requirements of the applicable GCF adopted Performance Standards (FAO ESS in this case). The Secretariat, in its second-level due diligence, will take such an assessment into account as part of its overall consideration of the funding proposal against the scorecard. This, along with the country’s own assessment of how the Cancun safeguards were addressed and respected during the REDD+ activities, will provide the basis for recommending the proposal to the Board for approval. (ii) Stakeholder engagement: Description of stakeholder engagement will form part of the information provided by the countries through the UNFCCC summary of information as well as the ESA prepared by the AEs. The assessment by the AE shall include a description of how the stakeholders were identified, informed, and consulted and how they have participated in the activities. The description by the AE shall also include summaries of consultations highlighting the concerns and issues that were put forward by the stakeholders and how these were responded to. (iii) Grievance and redress: The ESA will include a description of the grievance and redress mechanisms, or analogous system whether established as part of the REDD+ activities or as integral to the system of the country. The ESA will also specify how the mechanisms were accessed, and how any complaints were received.

For the evaluation of due diligence in the context of the ESA, the FAO Environmental and Social Standards has been used, as deemed compliant with the GCF environmental and social policy, in order to provide a clear, and robust approach. For easy reference, the equivalence of the FAO ESS with the GCF ESP has been included in Section 6. In addition to this safeguards analysis, and as required in the application of safeguards to REDD+ programs, an additional set of evaluations of the policies laws and regulations with the Cancun safeguards is also presented. This dual approach ensures that all safeguards requirements, as specified by GCF has been met. 3. Applicable Policies Laws and Regulations and Pilot Projects

The National Forest Corporation (CONAF) was created in the 1973. CONAF has the mission of contributing to the development of Chile through the sustainable management of forest ecosystems and the components of nature associated with them. This mission is achieved through various activities carried out in the territory, which are linked to the defined activities for REDD-plus.

The ENCCRV establishes eight activities containing 26 action measures, which are intended to address the drivers of deforestation, de-vegetation, degradation of forests and other vegetation resources, as well as 5 those barriers that prevent or interfere negatively in implementing activities on restoration, conservation, sustainable management, enrichment and regeneration of vegetation resources. These activities, as seen in Figure 1, include: adaptive management to climate change, desertification, land degradation and drought; sustainable management of vegetation resources; farm and livestock management for protection of vegetation resources; preventative management on forest fires; sanitary plant protection; restoration of substituted areas by exotic species; crosscutting management measures that include legal issues, regulatory, enforcement, outreach and environmental education, among others.

Figure 1. Scheme of the ENCCRV, Causes, Activities and Action Measures

In addition, implementation of the ENCCRV is divided into three phases: Readiness, Implementation and Results-Based Payments (Figure 2). Readiness phase began in 2010 with the first international donations received, including the Readiness Fund of the Forest Carbon Partnership Facility (FCPF), the UN-REDD Program, through the Targeted Support and National Program, the Switzerland Development and Cooperation (SDC), and the Global Environment Facility (GEF). Thus, preparedness gradually progressed in application of different approaches for implementation, in an international scenario of increasing awareness with respect to climate change. Readiness included development of multiple studies, projects and participatory processes with which basic inputs were generated for elaboration of the ENCCRV. Validation of the initiative contained in the present document included three simultaneous processes at the national level, appointed as: Self-assessment, Dialogue and Indigenous Participation, and Citizen Consultation. Furthermore, progress was made in determining the reference levels of emissions and removals from forests and vegetation resources (FRL/FREL), and identifying gaps to overcome for setting the Measurement and Monitoring System that is required internationally. A FRL/FREL at sub-national level (which considers the regions of Maule, Biobío, Araucanía, Los Lagos and Los Ríos) was submitted before the Secretariat of the UNFCCC in January 2016. This FRL/ FREL was revised in September 2016 and it will set forth to the whole territory of Chile on 2017. Chile has been a pioneer at global level because included forest emissions associated to forest degradation in its FRL/FREL. Currently, the Safeguards Information System (SIS) is also being developed and implemented, which configures, manages and prepares information on how the country addresses, respects and complies with safeguards, which presented to the UNFCCC through the Summaries of Information. It should be noted that the First Summary of Safeguards Information was sent to the UNFCCC in February 2018.

Figure 2. Phases of the ENCCRV

CONAF is composed of four technical areas of management: Forest Management (to preserve the native forest and administer the sustainable exploitation of the forest ecosystem); Wildfires Management (to coordinate the wildfires prevention programs and organizing the logistics of fighting wildfires; Wild Protected Area Management (to administer the National Parks, National Reserves, and Natural Monuments, Responsible for preserving their biodiversity and public access), and Environmental Management and Control (to ensure the application of current forest and environmental legislation). In addition, CONAF also has a legal department ("Fiscalía"), a financial administration department ("Gerencia de Finanzas y Administración"), and a human resources and development department ("Gerencia de Desarrollo de las Personas").

CONAF also has more than 135 offices throughout Chile and more than 1,900 employees (professionals, technicians and administrative staff). 450 of them are highly qualified Park Rangers trained to help visitors.

To carry out its functions, CONAF relies on national forest and environmental legislation. In forestry, regulations date back to the Forest Law of 1930.

However, the two fundamental legal instruments that create the framework for forestry management and protection are: Decree Law No. 701 on Forest Development, and Law No. 20,283 on Recovery of Native Forests and Forest Development. The first was promulgated in 1974, implementing a new forest policy based on two main pillars: incentives for afforestation and protection of the forest resource. The second legal instrument is from July 30, 2008 and among its objectives is the intention to ensure the protection, recovery and improvement of native forests, in order to guarantee the sustainability of forests and environmental policy.

The purpose of the Law on the Recovery of Native Forests and Forest Development is to protect, recover and improve native forests, ensuring its sustainability. Its law has established a number of key policy instruments, including: 1) Requirements for management plans for the use of native forests, allowing the government to develop and apply management standards to ensure the sustainability of management practices 2) Establishment of a Fund for the conservation, recovery and management of native forests. The Fund invested almost USD 40 million between 2009 and 2016 in the regions in which REDD+ results were generated (see Figure 3). The eligible activities include forest regeneration, recovery and protection and forest management to produce timber and non-timber forest products. The law established that the funds would be allocated competitively, ensuring the participation of small landholders and that environmental regulations are complied with. 3) Strengthening of the technical services to support the development of management plans

Figure 3. Annual allocation of the Fund for the conservation, recovery and management of native forest in the 5 regions REDD-plus results in Chile.

In addition to forestry legislation, the implementation of the action measures defined in the ENCCRV requires considering other regulations established in the country, referring to environmental and social parameters, thus ensuring that the actions to be implemented are in line with the legislation valid.

Environmental legislation

From an environmental point of view, an important milestone for Chilean environmental institutions is the enactment of Law No. 20,417, the year 2010, which created the Ministry of Environment, the Environmental Assessment Service (SEA, acronym in Spanish) and the Environmental Enforcement entity. This law introduced important amendments to Law No. 19,300 on the General Bases of the Environment, among which the following stand out: the introduction of the Strategic Environmental Assessment (EAE, acronym in Spanish), as a new evaluation instrument; and the increase in citizen participation in environmental assessment procedures, among many other modifications.

These changes to the environmental impact assessment process are particularly relevant considering that, in the future, some projects or activities within the framework of the ENCCRV implementation may be subject to an environmental impact assessment in accordance with established procedures in the law.

Indigenous and tribal people's rights

Finally, in the social sphere, it should be noted that the country has ratified ILO Convention 169 on indigenous and tribal peoples in independent countries, in 2008, through Supreme Decree No. 236, of the Ministry of Foreign Affairs. At the national level, in 1993, Law No. 19,253 was established, on the Promotion

8 and Development of Indigenous Peoples, or Indigenous Law, which establishes norms for the protection, promotion and development of indigenous peoples, in addition to creating the National Organization for Indigenous Development (CONADI, for its Spanish acronym). This law was further amended by the Supreme Decree No. 66 of 2013, which governs the requirements for inclusive consultation, through the Indigenous Consultation procedure, in accordance with articles No. 1 and No. 2 of ILO Convention 169 and Law No. 19,253 mentioned above, in regards to the adoption of legislative and administrative measures that directly affect indigenous peoples.

Key actions

In particular for the project area, CONAF has undertaken the following key actions have been carried out during the results period:

Deforestation: increased monitoring and enforcement for the protection of forest and environmental legislation, through inspection and field evaluation actions; improving the reporting platforms for illegal logging; increasing training and dissemination of actions under forest regulations that affects landowners; and finally increasing the use of satellite technology for the detection of early logging.

Forest degradation and fire management: the main action relates to the applicability of current national legislation associated with the prohibition to replace native forests with forest plantations. On the other hand, and linked to degradation due to forest fires, forest fire prevention activities have been strengthened, exponentially increasing the number of informed and trained forest landowners, which are located in the areas where the prevention activities. The reduction of agricultural fires has also been achieved through promoting the use and training of other alternatives to eliminate agricultural and forest material, in addition to increasing the dissemination campaigns to the general public on the damage from forest fires.

Conservation: the main actions were linked to the existing decrees and regulations to conserve and preserve the native vegetative resources of the country, this is how the conservation of emblematic species such as Alerce and Araucaria have been declared Natural Monuments through decrees No. 430/1977 and No. 43/1990, respectively, prohibit logging or use for productive purpose. CONAF may authorize the cutting of live specimens only for scientific purposes or other actions whose purpose is conservation. In addition, the protected areas of the State have been increased in area and quantity, supported by the role of CONAF’s area on protection of vegetation resources and their administration.

Enhancement of forest carbon stocks: the actions mainly developed are the promotion, establishment, restoration and sustainable management of native forests, which has been carried out mainly by the creation and application of Law No. 20.283 (Law on the recovery of native forests) and its regulations, in addition to the other programs, like reforestation. On the other hand, significant progress has been made in the sustainable management of resources, including preventive forestry actions and dendroenergy (energy derived from woody biomass) programs to reduce the pressure on the use of native forests.

Accordingly, the execution of these activities has extensive normative and legal support, in which the ENCCRV was framed, and in turn, aligned with the international commitments assumed by the country regarding forest resources, such as the adoption of the Paris Agreement and submission of the National Tentative Contribution (NDC) of Chile before the UNFCCC Secretariat. The specific NDC contribution of Chile for the Land Use, Land Use Change and Forestry (LULUCF) sector considers developing a sustainable management and restoration of 100,000 hectares of native forest and afforestation in 100,000 hectares by 2030, mainly with native plant species.

Pilot projects

To date, and under various funding sources, the following pilot projects have been executed, which account for the early implementation phase of the ENCCRV2. These projects were formulated and executed within the framework of current national and international legislation, to which CONAF responds as executing and coordinating entity of the ENCCRV, thus ensuring compliance with the corresponding Cancun safeguards through the existing legal and institutional structures.

The pilots are based within the regions evaluated:

● Two of them are financed by the forestry Nationally Appropriate Mitigation Action (NAMA) and are related to the prevention of forest fires which represents one of the principal drivers of degradation and deforestation in Chile. They are located in areas which are affected continuously by forest fires caused by human actions, in the regions of Valparaiso and Maule, covering an area of 843.1 ha, with financial support from the Swiss Agency for Development and Cooperation (COSUDE) ● Four other pilots to improve the value chain for sustainable biomass, with an area of 4,337.6 ha under different types of forest management, financed by Forest Carbon Partnership Facility FCPF, in the regions of La Araucanía, Los Lagos, Los Ríos and Aysén. These pilots are related to “Trade Facilitation for financial coordination in the territory in the context of REDD+”. The principal goal of these pilots is to design and implement measures aimed at tackling the unsustainable use of biomass, in order to reduce deforestation and forest degradation. This is done through extension services to promote the sustainable use of firewood by vulnerable populations in rural and urban areas, and trade facilitation information. ● Four hydrological restoration projects, in the Bío-Bío and Los Ríos regions, covering an area of 446.8 ha, with financial support from UN-REDD-plus Targeted Support.

In the following section, the hydrological restoration projects are described in greater detail to illustrate their approach:

Hydrological restoration projects

For these projects, Forest Hydrological Restoration will be understood as the set of actions that allow the correction of hydrological imbalances in the headwaters of river and stream basins, caused by deforestation, degradation of vegetation resources and soil deterioration.

In this sense, the actions to be carried out in the territory promote the management and restoration of vegetative resources, the conservation and recovery of soil fertility, the runoff regulation, the consolidation of riverbeds and slopes, sediment containment, and in general, the conservation of soil and water resources.

The four Hydrological Restoration projects were carried out within the framework of action measures MT.4 "Afforestation and revegetation program in communes / prioritized areas" and MT.5 "Strengthening the ecological restoration program in communes / prioritized areas" of the ENCCRV These measures seek to restore and give sustainability to environmental services, by restoring and improving the role of forests as regulatory elements of the hydrological cycle. The activities developed by action measure were the following: a) MT4. Afforestation and revegetation program in communes / prioritized areas • Construction of micro-terraces to promote the regeneration of the natural forest (seed tree) and / or carry out the establishment via planting • Seed collection of native forest species for direct sowing in micro terraces • High density afforestation with coigüe and ulmo species, in addition to some mirtaceae (myrtle, luma and meli) in an area devoid of tree vegetation.

2 Implementation of the ENCCRV is divided into three phases: Readiness, Implementation and Results-Based Payments. Phase 2 Implementation began in early 2016 with execution of the first interventions in the territories through pilot projects. These projects aim to assess technical and financial mechanisms, institutional arrangements and participation issues as planned in the Preparedness phase. 10

• Establishment of coigüe, ulmo, myrtle, luma and meli species under a protective canopy to improve the biodiversity of the forest in formation b) MT5. Strengthening ecological restoration program in communes / prioritized areas • Exclusion of animal access through construction, improvement and repair of perimeter fences. • Clean invasive shrub species (Rubus ulmifolius (blackberry), Ulex europaeus (pimple)) with shelter from existing natural regeneration. • Construction of infiltration ditches to reduce surface runoff and favor the accumulation of water by infiltration. • Construction of degraded soil recovery works, mainly for erosion control of mantle and gullies (fajinas, dikes, walls of plant material, runoff diversion). • Management of native forest through thinning for non-timber purposes (conservation and development of irregular structure). • Banding of invasive alien tree species (Eucalyptus nitens, Eucalyptus globulus and Pinus radiata). • Gradual replacement of exotic plantations (Eucalyptus nitens, Eucalyptus globulus and Pinus radiata) by native forest.

In order to comply with the safeguards to which the ENCRV responds, the guidelines established in the Plan for the implementation of Environmental and Social Safeguards of the Public and Indigenous Consultation and Self-Assessment were taken into consideration. In this sense, the first consideration to ensure compliance with the safeguards was the development of workshops / informative meetings with the surrounding communities, to avoid / prevent the risks associated with the participation of the relevant actors in the area where the 4 projects were executed (Table X)

Table X. Summary information activities and dissemination of projects

INTERNAL SOCIALIZATION: REGIONAL WORKSHOPS WITH CONAF PROFESSIONALS

CONAF internal workshop Biobío region 1 Internal workshop CONAF Los Ríos region 1 SOCIALIZATION AT LEVEL OF FOREST LAND OWNERS AND RECOGNITION IN LAND OF PREDES WITH POTENTIAL TO IMPLEMENT DEMOSTRATIVE UNITS Field visits in Bio Bio 1 Field visits in Los Ríos 3 Socialization workshop in Bio Bio 4 Socialization workshop in Los Ríos 1 INVOLVEMENT OF KEY STAKEHOLDERS Meetings in Bio Bio 1 Meetings in Los Ríos 3 INTERNAL SOCIALIZATION: MEETINGS WITH PROFESSIONALS OF CONAF BIOBÍO, CONAF LOS RÍOS AND UCCSA Meetings with CONAF in Bio Bio Region 1 Meetings with CONAF in Los Ríos region 2 Meetings with the UCCSA, CONAF 2

In this way, it is concluded that all the activities carried out in the four pilot projects, had the Free Prior and Informed Consent (FPIC) of their direct stakeholders.

Regarding the activities carried out in the territory, the following potential risks and prevention / mitigation measures for projects in both regions were identified.

Potential risks 1. Design and construction of defective civil works for irrigation Increase in forest fires 2. Execution of bad practices contrary to action measures 3. Incentive to the use of chemicals that affect the environment 4. increase in forest density that limits forest development 5. Opposition of the key actors 6. Breach of commitments 7. Loss of interest by key actors 8. Ignorance of ancestral practices of indigenous peoples and practices developed by women 9. Use of outdated information in environmental programs

The relevant mitigation measures for the identified risks were:

1. Application of an Instruction for the implementation of the ENCCRV action measures. 2. The ENCCRV will rely on an Early Warning System (SAT) for changes in coverage of native vegetation in the territory. The SAT will allow identification of deforestation / degradation measures of vegetation cover in the present tense, facilitating the process of control and supervision of the forestry authority. 3. Carry out participatory planning in the territory through the Intercultural Forest-Environmental Methodology in which the spaces that have a cultural value are identified. Effective application of Law 19.253, Indigenous Law and its complementary regulations, on the protection of culture and ancestral practices. Apply Convention on Biological Diversity that establishes that in accordance with its national legislation, it will respect, preserve and maintain the knowledge, innovations and practices of indigenous and local communities that enter into traditional lifestyles relevant to the conservation and sustainable use of biological diversity and will promote its wider application, with the approval and participation of those who possess that knowledge, innovations and practices, and will encourage the benefits derived from the use of such knowledge, innovations and practices to be shared equally. 4. Application of Law 20,500 on Citizen Participation and complementary legislation. Mediation and application of Resolution N ° 104/2015, which establishes that citizen participation mechanisms constitute processes of social collaboration between citizens and State bodies. 5. Associative Irrigation Program. INDAP MINAGRI 6. Irrigation and Intraplot Drainage Program. INDAP MINAGRI 7. INDAP Irrigation and Drainage Studies Program. MINAGR 8. Integrated Pest Management Program, INIA. MINAGRI 9. Territorial Information System (SIT). CONAF. MINAGRI 10. Rural Territorial Information System (SIT Rural). CIREN MINAGRI 11. Forest Ecosystem Monitoring Programs. INFOR.MINAGRI 12. Manual of property measures for forest fire protection. Working Document No. 451. CONAF. MINAGRI

The activities were developed successfully, following the guidelines established in the mitigation measures, not generating negative impacts on people or the environment. The safeguards for these projects were based on the World Bank Operational Policies, as an implementing entity of the Forest Carbon Partnership Facility (FCPF), however, the analysis was also carried out regarding the Cancun safeguards and the UN- REDD guidelines.

In the case of the Cancun safeguards, it is possible to indicate that the four projects addressed and respected the 7 safeguards considering that they were carried out in line with the national and international legislative framework to which the ENCCRV responds (safeguard a), ensuring transparency and efficiency of governance structures (safeguard b), ensuring the respect and participation of local communities, especially indigenous peoples inserted in the area of project implementation (safeguard c and d), promoting the conservation of native forest resources (safeguard e), and avoiding the risks of displacement and reversal (f and g safeguards), through monitoring supported by the SAT.

Regarding the UN-REDD guidelines, for the gender issue there are no methodological guidelines for inclusion in the pilot projects, however, the Safeguards Plan contains some tools for participatory processes, which were considered in the development of project socialization activities.

Finally, it should be noted that the activities generated a positive impact for the water resource of the area of influence linked to each of the demonstration units, which is evidenced in the evaluation of the environmental services that would be generated with the implementation of the four projects.

In addition, the following related initiatives are currently in the implementation phase:

● Five projects associated with Sustainable Land Management, with funds from the Global Environment Facility (GEF), in the regions of Arica-Parinacota, Coquimbo, O'Higgins, Araucanía and Aysén. ● Five restoration projects in the regions of Coquimbo, Metropolitana, Araucanía (2) and Magallanes with financing from the UN-REDD-plus National Program ● One water restoration project in Araucanía with funds from the SDC.

4. Social and Environmental Baselines

4.1.Environmental context 4.1.1. Native forests Chile is a tri-continental country, with a presence in continental, Antarctic and continental insular oceanic territory. It extends from 17 ° 30 'to 56 ° 30' south latitude. It shares a border in the north with Peru, the east with Bolivia and Argentina, the south with the South Pole and the west with the Pacific Ocean, covering an area over 8,000 km. It has a multiplicity of climates, mainly governed by the conditions of latitude and height, with a predominance of temperate climate characteristics3

These geographic variations translate into a wide variety of landscapes and climates that reflect the diversity of those who inhabit it. The particular characteristics of its geography have decisively influenced the settlement patterns of its population and its economic activity, generating a heterogeneity of rural areas with varied characteristics and challenges.

The extensiveness of Chilean territory is reflected in the variety of ecosystems, which begin in the extreme north, with environments of xeric, hyper-arid or arid regime, dominated by desert climates, passing to Mediterranean environments in the central zone of the arid region. Subsequently, the south id dominated by semi-arid, dry sub-humid and temperate oceanic climates of humid, hyper-humid and sub-Antarctic or polar regime.

This gradient, combined with a mainly mountainous physiography in 80% of the territory, has generated ideal conditions for the development of a rich diversity of forest ecosystems and other native formations, composed of vegetational communities that include: forests, grassland and natural scrubs of different covers, peat bogs and other wetlands, which are distributed throughout the national territory, occupying an area of more than 36.7 million ha, of which more than 14 million ha corresponds to native forest4 and 11.6 million to xerophytic formations5.

3 ENCCRV, available in the link: https://www.enccrv.cl/libro-enccrv2017-2025 4 The Law No. 20.283 defines Native forest as: a forest composed of native species, coming from natural generation, natural regeneration, or plantation under canopy with same species existing in the area of original distribution, which can have accidental presence of species Exotic randomly distributed. (Art. 2) 5 Law No. 20,283 defines xerophytic formation as "plant formation, consisting of native species, preferably shrubs or succulents, of areas of arid or semi-arid conditions located between regions I (Tarapacá region) and VI (O'Higgins), including Metropolitana and the XV (Arica-Parinacota) and in the interior depressions of regions VII (Maule) and VIII (Biobío) ". CONAF, 2011. Catastro de los Recursos Vegetacionales nativos de Chile, Monitoreo de cambios y actualizaciones. Periodo 1997-2011. 13

To these same conditions are added the historical processes of transformation of the landscape, which have allowed the generation of an area of forest monocultures of almost 3 million ha, concentrated mainly in the temperate zone, mostly destined for the wood industry and cellulose.

In this way, the national territory has 23% of the area in the forest land category (see table below), in addition to another important area with grassland and shrubland (27%). An important part of the shrubland corresponds to forests in a state of advanced degradation, but with potential for restoration, as well as other degraded soils, currently without arboreal vegetation, with afforestation potential6.

Table 1 Land use in Chile by area of land 2015. Source: sit.conaf.cl

Land use Surface area (ha) % Industrial and urban areas 354 135 0 Agricultural lands 3 335 157 4 Grasslands and shrublands 20 320 990 27 Native forests and forest plantations 17 520 849 23 Wetlands 3 596 533 5 Areas without vegetation 24 675 320 33 Snow and glaciers 4 156 261 6 Water bodies 1 343 762 2 Unrecognized area 283 198 0 TOTAL 75 539 056 100

In the diagnosis of the Climate Change Adaptation Plan of Chile (PANCC) 2008-2012, the country complies with the provisions of Article 4, numeral 8 of the UNFCCC, referring to countries that are considered especially vulnerable to climate change: arid and semi-arid zones, areas with forest cover and areas exposed to forest deterioration; areas of fragile ecosystems, including mountain systems, areas prone to natural disasters, and areas prone to drought and desertification

4.1.2 Native Forests

According to CONAF (2016), in the publication Forest Emission Reference Level / Forest Reference Level (FREL/FRL), the native forest has a series of descriptions and classifications, however, the categorization system established as the legal method for classification according to current forest legislation, defines 12 types of forests for Chile7 (Figure 4).

The regions with the most forest coverage in Chile are located in the Southern and Austral zones including more than 80% of the native forests of the country. They also possess a large diversity of forest types, especially in the regions of Los Rios and Los Lagos which have 9 of the 12 described forest types. The most dominant forest types are Siempreverde and Lenga. Each one has 25% of the total area of native forest and is present in 8 and 7 regions respectively. In the extreme north, arid and semi-arid environments dominated by desert climates are characterized by the presence of semi-forest natural formations of xerophytic species (adapted to arid climates), of the Polylepis and Prosopis genus, dispersed in small forests that do not exceed 55,000 hectares. These formations are not defined as forest type, but are associated with the type of sclerophyllous forest, which is distributed towards the south of this zone.

Figure 4. Map of forest type distributions

6 Forest Reference Emission Level / Forest Reference Level of Native Forests in Chile. Document available at the link: https://www.enccrv.cl/frel 7 Forest types include: Alerce, Ciprés de las Guaitecas, Araucaria, Ciprés de la Cordillera, Lenga, Coihue de Magallanes, Roble-Hualo, Roble-Raulí Coihue, Roble-Raulí Tepa, Esclerófilo, Siempreverde and Palma chilena. 14

Then, towards the area known as "norte chico" (small north), the temperate Mediterranean climate, with prolonged summer periods allows for the presence of sclerophyllous species (those with hard leaves with sclerenchyma) which give the name to the Forest Type. To the south of this area, the greater water availability allows the presence of sclerophyllous forests that reach important dimensions and coverage levels, dominated by species such as Quillaja saponaria (Quillay), Peumus boldus (Boldo), both with high potentials of high value chemical products (saponins and boldinas, respectively).

Moving towards the southern zone, the temperate humid climate gives way to deciduous species of the genus Nothofagus, which make up the Forest Types Roble-Hualo and Roble-Raulí-Coigue. Currently, most of these formations correspond to secondary forests, generated after processes of overexploitation, forest fires or recolonization of land abandoned by agriculture. It should be mentioned that in the 1980s these forests were replaced by forest plantations (substitution), especially in the Maule and Biobío regions (Donoso et al, 2014, cited by CONAF, 2016). At higher altitudes in this same area, there are wooded formations

15 dominated by millenary conifers, such as Araucaria araucana (Araucaria), Fitzroya cupressoides (Alerce) and Pilgerodendron uviferum (Ciprés de las Guaitecas). Currently, Araucaria and Alerce are protected by law, due to overexploitation in the past due to the high quality and durability of their woods.

As seen in figure 4, continuing towards the south the Siempreverde forest type appears, one of the two most important forest types in terms of area, which is dominated by perennial species of different gender and families (see table below). These make up forests such as the Valdivian Rainforest or Cold Rainforest due to its high biodiversity and stratification. These are big forests of high density and coverage, accumulating high levels of biomass per hectare.

These forests are extensive, complex and of high variability, reasons for which five subtypes are identified: the forests on Ñadis soil, forests of Olivillo (Aextoxicon punctatum), the evergreen forests with intolerant emergents, evergreen forests with tolerants emergents, and the secondary forests of Canelo (Drimys winteri), all of these cover a large area of the regions Los Lagos and Aysen, especially in the coastal zone of streams and archipelagos (Donoso, 2015, cited by CONAF, 2016).

The Siempreverde forests also experience anthropogenic alterations caused by overexploitation, forest fires, overgrazing and land use changes. On a smaller scale, conversion of forest lands to planted forests and the adaptation of the lands for agriculture and livestock also occur in these forests.

Lastly, in the Austral Zone the predominant forest types are Lenga (Nothofagus pumilio) and Coihue de Magallanes (Nothofagus betuloides), with these species forming either pure or mixed forests. These forests can cover large areas of land and have high canopy coverage; however they have less biodiversity than other types of forests that are present in the temperate and Mediterranean zones. Forests in the Austral Zone cover a large expanse of territory where the anthropogenic effects are significantly less, due to low population density. However, forest fires that have affected the area in the past century have devastated a large portion of these forests and caused transformation into cattle farms.

Table 2. Area of different forest types

Forest type Surface area (ha) Alerce 216.130 Ciprés de las Guaitecas 579.966 Araucaria 579.965 Ciprés de la Cordillera 62.875 Lenga 3.621.025 Coihue de Magallanes 1.999.351 Roble-Hualo 220.456 Roble-Raulí Coihue 1.602.588 Roble-Raulí Tepa 841.701 Esclerófilo 1.354.425 Siempreverde 3.502.550 Palma chilena 15.085 Unclassified 47.151

4.1.3 National System of Protected Areas

The National System of Protected Areas (SNASPE, acronym in Spanish) possesses under its administration an area of 14.5 million hectares, high by international standards, where native forests that are in an official state of conservation and preservation of lands, such as wetlands, salt pans, and other zones of non-forest lands, are represented (Figure 5).

Figure 5. Map of SNASPE distribution

4.1.4 Forest Plantations In Chile, forest monocultures cover an area of 3 million hectares and they are predominantly located in the Central zone, mainly on the coastal mountain range and at the base of the Andes in Maule, Biobío, and Araucanía regions. This area hosts 80% of the planted forests.

The two main species that make up the majority of planted forests are Pinus radiata and Eucalyptus globulus, 60% and 23% of them occupy the plantation surface areas respectively. Both species are used in the industry of cellulose pulp production, sawmill, plywood and wood panels. All of these are the main exporting products

17 of the national forestry sector, which represents the second strongest exporting power in the country following the copper industry8.

At present, and specifically from the Maule region to the Los Ríos region, project implementation areas, the use of the land according to the Chilean Natural Forest Cadastre, is shown in the following table.

. Table 3. Land use between the regions of Maule to Los Lagos

Surfaces in hectares of land use in the project application regions

Use Maule BioBío Araucanía Los Ríos Los Lagos

Urban 12.488 25.197 15.918 6.899 8.608

Agricultural 695.650 984.845 782.847 22.802 8.077

Grassland 215.501 166.102 356.055 421.218 853.016

Shrubland 629.408 436.329 205.076 72.242 330.625

Succulents 341 - - - -

Plantations 503.090 984.504 632.288 208.775 50.880

Native Forests 363.295 777.200 964.153 908.530 2.738.885

Exotic naturalized 12.908 36.449 47.640 17.866 4.210

Wetlands 6.919 10.652 19.978 12.247 56.766

Without vegetation 427.539 109.873 72.353 45.156 181.007

Snow and glaciers 87.870 127.970 28.706 7.627 360.193

Water Bodies 28.720 48.661 55.333 111.603 221.183

Unrecognized 2.482 614 - - 26.704

4.2.Socio-economic context

Chile is facing a process of structural transformation and modernization that is rapidly changing the reality in rural and urban areas, as well as the relationship between them. The opportunities of rural areas are linked to territorial integration and to the set of activities and their harmonious interaction with populated centers.

Specifically, the different rural spaces face common challenges: the distance to the big markets and international centers; the migration of the population to urban centers; the lack of critical mass to benefit from economies of scale; the new patterns of production and commercialization for raw materials; the lower provision of public services with respect to urban centers; the lack of economic diversification (OECD, 2009); and the weak valuation of cultural and natural heritage.

8 www.infor.cl 18

In relation to the rural area, the National Rural Development Policy document 2014-20249 defines the "rural territory" as generated by the dynamics of the interrelations between people, economic activity and natural resources, mainly characterized by its population whose population density is less than 150 (inhabitants / km2), with a maximum population of 50,000 inhabitants whose basic unit of organization and reference is the commune.

In terms of the evolution of the rural population, according to CASEN 2015, in the regions of interest of the project there was a sharp decrease until the beginning of the year 2000 with a progressive decrease in the rurality rate in subsequent years. The data is shown in the following table.

Table 4. Percentage (%) of population resident in rural areas by region (1990-2015)

Region 2003 2006 2009 2011 2013 2015

Maule 33,2 33,2 33,0 32,6 32,7 32,6

Biobío 17,7 16,9 16,5 16,2 16,1 15,8

La Araucanía 32,2 32,3 32,3 32,1 32,3 32,3

_ Los Ríos 31,2 31,1 31,0 31,5 31,5

Los Lagos 31,0 30,5 30,0 29,2 29,0 29,0

The Los Ríos region does not report data until 2003, since until that period, it was part of the Los Lagos region. According to the same CASEN survey, the rural population that has these regions with respect to the total rural population of the country, represents a percentage equivalent to 60.4%. If it is understood as a rural population as one that is directly or indirectly related to plant resources, either because they obtain livelihoods from the forests or because they must affect those forests to live from other land uses, then one could deduce that the 60.4%, mentioned above, will be the rural population benefited and affected (positively) by the actions of the ENCCRV in its territory.

Table 5. Distribution of the rural population in percentage by region with respect to the total rural population of the country (2015)

9 Document available at: http://www.indap.gob.cl/extras/politica-nacional-desarrollo-rural.pdf 19

Region Percentage (%)

Maule 15,1

BioBío 14,7

La Araucanía 14,2

Los Ríos 5,2

Los Lagos 11,2

Total regions 60,4

Figure 3. Employment rate by region for the year 2017, disaggregated by region and sex.

4.2.1 Indigenous people

According to CONAF (2018), in the document referring to the Indigenous Dialogue and Participation Process carried out for the ENCCRV10, The State of Chile is comprised of many diverse cultures that have given life and cultural syncretism to the country. Currently, the national legislation recognizes nine indigenous peoples, through Article 1 of Law No. 19.253 / 1993, hereinafter Indigenous Law, which establishes rules on protection, promotion and development. These nine indigenous people are: Aimara, Quechua, Atacameño (Likan Antai), Collas and Diaguita in the north of the country. Mapuche, Kawéshqar (Alacalufe) and Yámana (Yagán) in the south; and Rapa Nui on Easter Island

Each of these indigenous peoples represents great cultural diversity, with different cosmovisions that are directly related to the characteristics of the territory they inhabit and their interaction with it.

According to the socioeconomic indicators of the country, reflected in the National Survey of Socioeconomic Characterization of 2015 (CASEN, 2015, cited by CONAF 2016), it has been shown that the population belonging to indigenous peoples live under greater conditions of socio-economic vulnerability than the rest of the population, presenting, for example, higher rates of poverty, unemployment and illiteracy.

The CASEN survey includes indices related to multidimensional poverty, defined on the basis of the adequate living conditions evaluated through five dimensions relevant to well-being; and income poverty, which includes extreme poverty. The historical evolution of these indices shows that the indigenous population historically has higher percentages than the non-indigenous population. In both cases, extreme poverty has decreased considerably over the last 10 years, as well as the gap between both population groups, however, there is still a difference of 10.9% in multidimensional poverty and 7.3% in income poverty.

Regarding other parameters, in the CASEN 2013 Survey it is indicated that the unemployment rate, of the indigenous population has reached 8%, while the rate for the non-indigenous population was 6.9%. Illiteracy in people aged 15 and over follows the same trend, reached for the indigenous population by 5%, and 3.6% for the non-indigenous population. The average age of adults over 18 is 1.2 years less than in the non- indigenous population. The percentage of heads of households that do not have a complete education in Indigenous Peoples reaches 59.8%, higher than 47.8% of non-indigenous household heads.

Since the ENCCRV formulation process, indigenous peoples have participated in different instances, as a relevant actor linked to the country's vegetation resources. The participatory workshops carried out within the framework of the Environmental and Social Strategic Assessment (SESA), from 2013 to 2015, and

10 Document available at the link: www.enccrv.cl/informative-note-17 20 subsequently, the national workshop, in 2016, had the presence of representatives from various indigenous communities and associations throughout the country.

Then, the ENCCRV was validated through 3 instances, one of which corresponds to the Indigenous Dialogue and Participation Process (the other validation instances where the citizen consultation and the Self- Assessment), which corresponds to an indigenous right that applies before approval of a plan, program or project (i.e. ENCCRV) feasible to affect indigenous peoples. The application of participation is not regulated, but right is established in article 6 of ILO Convention No. 16911.

In addition to the instances of participation in the ENCCRV formulation process, in the implementation stage, particularly in the pilot projects that have been executed under the ENCCRV, the safeguards related to respect and participation of indigenous peoples, defined by the c and d safeguards of Cancun, OP / BM 4.10 and the Free and Informed Prior Consent of the UN-REDD Program, through meetings with local communities and / or associations. In this way, broad community support is guaranteed for the initiatives to be implemented and, in addition, it is possible to avoid or minimize potential negative effects of a project in the surrounding communities. During the execution of the activities in the territory and once the projects have been completed, the local communities have been permanently informed of the development and results obtained from the projects. Since 2018, the ENCCRV has the Environmental and Social Management Framework (MGAS), which contains specific management instruments for indigenous peoples, to address, respect and comply with the corresponding safeguards (Planning Framework and / or Indigenous Peoples Plan).

In the case of CONAF's management, the institution has the Unit of Indigenous and Social Affairs (UAIS), administratively dependent on the Executive Secretariat of CONAF, whose function is to support national and international activities, plans and requirements regarding participation Indigenous Peoples and Treatment. For this, it has permanent professionals at the central level and regional managers in the areas where there is presence of indigenous peoples.

4.2.2 Land Tenure

An important aspect to consider in this area is the situation of land tenure in the country. During the participatory process carried out for the preparation of the ENCCRV, this issue emerged as one of the identified and prioritized risks for the implementation of the action measures.

It should be noted that in Chile, the situation of land tenure and / or the size of the property are basic conditions for access to instruments to promote the forestry, agricultural and environmental sectors. Access to benefits or incentives is conditional on land tenure, there are contests differentiated according to the size of the property and, in other cases, it is not possible to access any benefit if the property deed is not formalized.

For the development and diagnosis of the current state of land tenure and the condition of property in Chile, the study "Analysis of the land tenure condition to support the implementation of the ENCCRV 2017-2015" was carried out. For the elaboration of the study, the main information sources of the country were considered, identifying the one of greater relevance for the implementation of the activities and action measures of the ENCCRV. This study also allowed for the identification of information gaps in the generated databases (more details of the study can be found in the link: https://www.enccrv-chile.cl/index.php/notas- informativas/item/431-informative-note-n-10 ).

11 El proceso de Dialogo y Participación Indígena es diferente a diferencia de una Consulta Indígena, la que está reglamentada mediante el decreto Nº66/2014, basado en el artículo 7 del Convenio 169 de la OIT, y se aplica en caso de leyes o medidas administrativas que puedan afectar a los pueblos indígenas. En el caso de la ENCCRV, se realizó una solicitud formal al Ministerio de Desarrollo Social (del cual depende administrativamente CONADI), solicitando su pronunciamiento respecto de la instancia que correspondía aplicar para su validación, 21

From the study, it is worth mentioning the conclusions that refer to the situation of irregular tenure and the area associated with indigenous people. In the first case, the need to update the information related to the extent of irregular land tenure is identified, since the last update to the extent of irregular land tenure corresponds to the year 2007. For the regions of Maule to Los Lagos, it was possible to obtain data on the dynamics of land titling between 2007 and 2012 (table 6). The table shows that the Bío Bío region has the highest number of regularized titles, while the Los Ríos region has the lowest rate and the number of regularizations in the same period.

Table 6. Sanitation number of titles in the period 2007-2012 Region Land titling, number of titles per year Total

2007 2008 2009 2010 2011 2012

Maule 1,215 1,617 1,251 705 922 984 6,694

Biobío 4,148 3,245 3,031 1,569 2,545 2,268 16,806

Araucanía 610 1,046 3,022 1,722 1,755 3,782 11,937

Los Ríos - 247 365 401 651 919 2,583

Los Lagos 2,091 2,205 2,396 1,267 1,320 1,781 11,060

Source: CONAF, 2016

Regarding property linked to indigenous people, although there is a high degree of certainty in terms of area and geographical location, it is not always possible to determine if it belongs to an individual owner or a community, due to the current registration system. The territory of the indigenous communities has been established through different organizations, such as: Areas of Indigenous Development (ADI)12, “Títulos de Merced”13, Transfer of Ownership14, Purchases by Articles 20a and 20b of Law No. 20,253/199315, and Agrarian Reform16, all compiled from the databases of the National Indigenous Development Organization (CONADI, acronym in Spanish). Table 7 shows the spatial distribution of the categories of land tenure associated with indigenous people. The Maule region has no information because it does not register the presence of indigenous people.

12 The Indigenous Development Areas (ADI, acronym in Spanish) arise from the application of Art. 26 ° of Law No. 19,253 approved in October 1995. 13 Historical Land Titles, they were delivered in accordance with the laws of December 4, 1866; of August 4, 1874 and January 20, 1883. Currently, the titles delivered under this modality are subdivided into individual properties, of which, many do not have current property titles (updated) 14 Transfer of ownership by the Ministry of National Assets 15 Article 20 of Law No. 19.254 establishes the creation of a Fund for Indigenous Lands and Waters administered by CONADI, through which it may comply with a) Grant subsidies for the acquisition of lands by persons, Indigenous communities or a part of these when the surface of the lands of the respective community is insufficient, with the approval of the Organization, and b) Financing mechanisms to solve land problems, especially in compliance with resolutions or transactions, judicial or extrajudicial, related to land Indigenous peoples, coming from the "Títulos de Merced" or recognized by titles of commissioner or other assignments or assignments made by the State in favor of the indigenous people. 16 Common goods resulting from the Agrarian Reform process 22

Table 7. Spatial distribution of the categories of land tenure associated with indigenous people Region ADI (ha) Titulus de Transfer of Purchases Purchases Agrarian merced (ha) Ownership by 20a by 20b Reform (ha) (ha) (ha)

Biobío 275,073 116,588 2,557 3,133 7,333 16,982

Araucanía 388,255 454,341 47,711 8,310 35,331 17,503

Los Ríos - 752,678 845 844 2,122 -

Los Lagos - - - 641 5,764 - Fuente: Cuentas anuales de gestión. Ministerio de Bienes Nacionales (2007-2012) (citado por CONAF, 2016)

5. FAO Environmental and Social Standards FAO's vision, strategic objectives, key principles for sustainability, and Environmental and Social Standards (ESS) establish a boundary for FAO programs and projects. The boundary excludes projects that are not in line with the vision, strategic objectives, key principles for sustainability, and ESSs. Contrary, within the boundary are potential FAO projects where E&S risks need to be managed in order to deliver expected outcomes for each individual project while mitigating potential negative environmental or social impacts (FAO Guidelines). Therefore, ESS are at the core of the organization principles providing consistency in the decision making to support projects and programmes and provide the basis for the due diligence assessment. FAO ESSs from 1 to 9 are designed to help manage and improve FAO environmental and social performance through a risk and outcome-based approach. It applies to all FAO projects and programmes. The nine ESS set out specific requirements relating to different social and environmental issues. The Chile REDD-plus RBP for the results period 2014-2016 proposal has therefore been assessed against these environmental and social standards. Table 8. FAO Environmental and Social Standards: FAO Environmental and Objectives Social Standard ESS 1: Natural Resource Promote direct action to enhance resource use efficiency. Management Focus on ways to ensure the transition to sustainable practices ESS 2: Biodiversity, Avoid agricultural, livestock, fisheries, aquaculture and forestry practices Ecosystems and Natural that could have adverse impacts on biodiversity, ecosystems, ecosystem Habitats services or critical habitats. Sustainably manage ecosystems in order to maintain the services and benefits they provide. Ensure that exchange of genetic resources conforms to access and benefit sharing measures in force in the country(is) involved. ESS 3: Plant Genetic Prevent actions resulting in loss of Plant Genetic Resources for Food and Resources for Food and Agriculture PGRFA diversity by promoting their effective conservation (in Agriculture (PGRFA) situ and ex situ); Safeguard against actions resulting in unintended environmental and social consequences; Promote sustainable crop improvements and production and enhanced productivity;

Ensure that the transfer of PGRFA conforms with the measures relating to access and benefit sharing, intellectual property rights (IPR) and farmers‘ rights which are in force in the country(is) involved. ESS 4: Animal - Livestock Promote sustainable management of animal and aquatic genetic resources; and Aquatic - Genetic Prevent loss of valuable livestock and aquatic genetic diversity; Resources for Food and Safeguard against actions resulting in unintended environmental and social Agriculture consequences ESS 5: Pest and Pesticide Promote Integrated Pest Management (IPM), reduce reliance on pesticides Management and avoid adverse impacts from pesticide use on the health and safety of farming communities, consumers and the environment ESS 6: Involuntary Prohibit forced eviction. Resettlement and Avoid, and when avoidance is not possible, minimize adverse social and Displacement economic impacts from restrictions on land or resource use or from land and resource acquisition Improve or at least restore living conditions of persons who are physically or economically displaced, through improving and restoring their productive assets and security of tenure ESS 7: Decent Work Promote direct action to foster decent rural employment. Promote fair treatment, non-discrimination and equal opportunity for all workers. Protect and support workers, particularly disadvantaged and vulnerable categories of workers. Promote the application of international labour standards in the rural economy, Promote the application of international labour standards in the rural economy, including the prevention and elimination of child labour in agriculture. ESS 8: Gender Equality Provide equal access to and control over productive resources, services and markets. Strengthen women's and men’s participation in decision-making in rural institutions and policy processes. Ensure that all stakeholders benefit equally from development interventions and that inequality is not reinforced or perpetuated ESS 9: Indigenous Ensure that the UN Declaration on the Rights of Indigenous Peoples is Peoples and Cultural respected in all FAO’s projects and programmes; Heritage Promote the right to self-determination and development with identity of indigenous peoples (right to decide the kind of development that takes place among their people and on their lands and territories, in accordance with their own priorities and conceptions of well-being); Guarantee the application of the principle of Free, Prior and Informed Consent (FPIC) of indigenous people affected by the project. Recognize, respect and preserve the rights, lands, natural resources, territories, livelihoods, knowledge, social fabric, traditions, governance systems of Indigenous Peoples; Protect cultural heritage and avoid its alteration, damage or removal.

6. FAO ESS and GCF Performance Standards The GCF adopted the International Finance Corporation (IFC) Performance Standards as its safeguard standards on an interim basis. In addition, it adopted requirements related to gender. Therefore, institutions seeking to be accredited to the GCF need to be able to show that they can implement the Performance Standards or comply with those standards and the GCF Gender Policy. The IFC Performance Standards (PSs) are widely recognized as good practice in the international community. The Performance Standards consist of one overarching standard (PS 1) and seven standards covering specific issue areas (PS 2-8). PS 1 covers the elements that need to be in place to help ensure

24 that the remaining seven standards are implemented. Together these elements are called the environmental and social management system (ESMS) (GIZ 2016). FAO is accredited with the GCF as a grant-implementing entity for medium-sized projects (USD 50-250 million) with a medium level of environmental and social risk. FAO has gone through a process in which its own safeguards (Environmental and Social Standards) have been validated to comply with IFC Performance Standards (Table 1). Hence, FAO stands ready to support CONAF in the development of the proposal for the Chile REDD-plus RBP for results period 2014-2016.

Table 9. Equivalence between IFC/GCF PS and FAO ESS IFC - Performance Standards FAO Environmental and Social Standards PS 1: Assessment and Management of ESS 1: Natural Resource Management environmental and social risks and impacts ESS 8: Gender Equality PS 2: Labor and Working conditions ESS 7: Decent Work PS 3: Resource efficiency and pollution ESS 5: Pests and pesticides management prevention PS 4: Community health, safety and security ESS 7: Decent Work PS 5: Land acquisition and involuntary ESS 6: Involuntary Resettlement and Displacement resettlement PS 6: Biodiversity conservation and ESS 2: Biodiversity, Ecosystems and Natural sustainable management of living natural Habitats resources ESS 3: Plant genetic resources for food and agriculture ESS 4: Animal - Livestock and Aquatic - Genetic Resources for Food and Agriculture PS 7: Indigenous Peoples ESS 9: Indigenous Peoples and Cultural Heritage PS 8: Cultural Heritage

In line with the requirements of the Environmental and Social Assessment, an evaluation has been carried out, focused on the policies leading to the implementation of the ENCCRV at the subnational level with each of the FAO safeguards. The following is a thorough analysis of that evaluation during the timeframe of the proposal. The results of this evaluation can be found in ANNEXES A, B and C. Annex A contains an analysis of the PLRs which address the Cancun safeguards. Annex B contains the details of the specific PLRs that address each FAO ESS safeguards (equivalent to GCF’s IFC Safeguards), while the Annex C contains the detailed assessment for each of the relevant FAO's ESS screening questions for all safeguards. 7. Stakeholder Engagement

According to CONAF (2018), in the document "Participation as a tool for the formulation of the National Strategy for Climate Change and Plant Resources (ENCCRV) of Chile17", it is indicated that, in the development of the ENCCRV, participation is considered as the articulation mechanism that allows the incorporation of different sectors of civil society at different levels of the territory, with cultural importance and a focus on gender equity, through the identification of the relevant stakeholders that are, directly or indirectly, linked to the management of the forest resources of the country .

To ensure the adequate incorporation of the relevant actors in the participatory process, the application of 3 approaches are considered: Multisector, which includes the inclusion of all sectors of society; Multistakeholder, which emphasizes the mainstreaming of the gender approach and cultural importance, and Multilevel, referred to the representation of territorial scales (local, regional and national).

In 2016, the “Plan for the implementation of Social and Environmental Safeguards for Public and Indigenous Consultation and Self-Assessment18” was formulated, a guiding instrument that contains the design and

17 Available at: https: // www.enccrv-chile.cl/index.php/notas-informativas/item/499-nota-informativa-n-25 18 http://www.conaf.cl/cms/editorweb/ENCCRV/PLAN-SALVAGUARDAS-ENCCRV.pdf 25 methodology of the participatory process for the formulation of the ENCCRV, and its subsequent validation (Figure 6).

Figure 6 Stages of the participatory process

Source: CONAF, 2018

11.1 Participatory Process for the Formulation of the ENCCRV

During the formulation of the ENCCRV 15 regional workshops were carried out, one in each administrative region of the country, in addition to a national workshop, between 2015 and 2016 (the first workshop, as a pilot, was held in July 2013).

Through these workshops, the information required for the development of the Environmental and Social Strategic Assessment (SESA) of the ENCCRV was also generated. These consultations allowed the incorporation of environmental and social considerations necessary to guarantee the sustainable implementation of the REDD+ measures, such as plans, programs and initiatives of a technical, operational and strategic nature, as well as guidelines related to the objectives of mitigation and adaptation to climate change, in line with the national commitments assumed by the UNFCCC.

The ENCCRV Environmental and Social Strategic Assessment (SESA) is the procedure that integrates the environmental and social aspects necessary for the sustainable implementation of the action measures, which can be executed through plans, programs and initiatives of a technical and operational nature, guidelines strategic and / or adjustment or creation of public policies, related to the objectives of mitigation and adaptation to climate change in line with the national commitments assumed before the UNFCCC.

In this context, SESA was developed on the basis of a robust participatory process in methodological terms, which provided the necessary inputs to incorporate the environmental and social considerations contained in the World Bank Operating Policies; in the UN-REDD Program guidelines; in the United Nations Guidelines on women; in the Cancun Safeguards and current national regulations, among other international guidelines applicable to the ENCCRV.

The SESA was nourished by the participatory process of the ENCCRV, extracting the necessary inputs for the systematic identification and evaluation of the risks, adverse impacts, and potential benefits for the environment and society during the materialization of the ENCCRV action measures. Additionally, in line with some Cancun safeguards, proposals associated with biodiversity conservation linked to action measures were considered.

As a result of the process, 44 risks were obtained, homologated from the participatory process and the guidelines of the specialists in charge of the evaluation. Among the risks that were mentioned most frequently and prioritized by the key actors are: i) the disjointed planning and implementation of state policies and, ii) the development of public policies with scarce financial resources and the design of public policies without

26 social validation Among the benefits with greater mention are: i) access to development tools and, ii) access to educational programs and technical advice on forestry and forest management activities. On the other hand, as proposals to maintain and / or increase biodiversity, it was mentioned: i) environmental education and ii) sustainable forest management.

As part of the SESA process, the mitigation measures applicable to the respective risks detected for each action measure were reviewed and discussed, which are articulated in the ENCCRV Framework for Environmental and Social Management (ESMF). These measures, listed in the ESMF of the ENCCRV, will be used as management instruments for the protection of environmental and social aspects during the implementation of the ENCCRV.

Finally, this SESA, which was required by international organizations for countries that formulate strategies with a REDD + approach, carried out within the framework of the ENCCRV, allowed to include objectives, guidelines, activities, mitigation measures and implicit socio-environmental safeguards and explicit, required by international agencies. In this way, the initiatives implemented within the framework of the ENCCRV will be able to guarantee the minimum of possible negative impacts and maximize the benefits that are projected to be generated.

Methodological design of the participatory process In methodological terms, the regional workshops were carried out under a design that considered the vulnerable actors through instances of deliberation to strengthen the design, strategic decisions and methods of benefit sharing, among other aspects that in the long term will lead to sustainability of the ENCCRV.

a) Stakeholder mapping This exercise was used for identifying the key actors belonging to each territory by the CONAF regional teams. It was based on knowledge of the local reality of these teams and information obtained from social organizations, municipalities, other public services, among other sources. b) Focus Groups Based on the regional map of key actors, the Focus Groups (FG) were formed, bringing together the actors belonging to a particular sector of society with similar interests, visions and / or customs. The FG sought to generate a deliberate and analytical participation that allowed obtaining information from the fundamental bases, together with the technical studies for the construction of the Social and Environmental Strategic Assessment (SESA) and the ENCCRV. The FG allowed building trust among peers, by allowing the approaches to be expressed freely, in an open space for discussion, exchange of ideas and reflection. In each workshop, an average of 9 groups were formed, 2 of which were exclusively women and the other 7 of mixed characters, in some regions other additional FG were considered to respond to specific needs of the local reality (Table 6)

Table 6. Focal Group formed

Nº Focal Group 1 Indigenous People 2 Academics 3 Institutional 4 Consultants 5 NGO`s 6 Women organization 7 Private sector 8 Small and medium landowner 9 Indigenous women, small and medium landowner 9.A Collas Indigenous women 9.B Diaguitas Indigenous women 10 CONAF officers

11 Asociaciones de regantes y mesas hídricas 12 Political actors 13 Trade associatiosn (asociaciones gremiales) 14 Private protected áreas 15 Charcoal producers (Productores de carbón) 16 Livestock associations (asociaciones de genaderos)

c) Gender mainstreaming Given that social, cultural, political and economic conditions have traditionally disadvantaged women in Chilean society and is particularly visible in rural areas in Chile, the participatory process and the ENCCRV responded to the international requirements contained in the UNFCCC Cancun Safeguards, by ensuring gender considerations were adequately incorporated in REDD-plus + actions. Due to this, the methodological design of the consultation approach considered the robust inclusion of women, both in quantitative terms, setting a minimum percentage of 30% in participation in the workshops, as well as in qualitative terms. That is a FG called “Indigenous Women, Small and Medium Owners”, which included women belonging to indigenous peoples, peasants and rural smallholders was formed in order to directly obtain information and proposals representative of their interests, needs and expectations. Additionally, a specific FG for “Women's Organizations” was considered, in which women leaders of social organizations of different nature participated, as well as small business women. Both for this FG, as for “Indigenous Women, Small and Medium Owners”, 2 female monitors were included. At the same time, in the mixed FGs, the activity monitor was instructed to encourage the participation of women. Another aspect that was considered was to facilitate participation by providing transportation, food and allowing assistance with minors who were in their care.

d) Introductory Videos With the objective of clarifying concepts in a didactic way and explaining the methodology of the workshop, two videos were prepared which were shown to the attendees. The first one corresponds to a contextualization on climate change, while the second is an explanatory video about the objectives, justification, approaches, methodology, and general considerations of the workshop, in addition to the definition of concepts. Results analysis of stakeholder consultations Once the workshops were carried out, the information collected was systematized at the regional level. In a complementary way and with the objective of disseminating the participatory process and the results obtained, testimonial videos of each regional workshop were prepared19. Subsequently, an analysis was carried out at the national level, which allowed generating a first proposal of causes of deforestation, devegetation, degradation of vegetation resources and associated problems to increase its coverage and quality, in addition to the proposals for action measures, potential risks and benefits and proposals for the increase and / or maintenance of biodiversity.

Subsequently, through a Workshop of Experts, composed of specialists from various sectors and regions of the country, the relevance was analyzed, reviewed, evaluated and adjusted the results of the process of analysis and homologation of the inputs obtained nationwide. The results of this workshop constituted a more complete proposal that was presented and validated in the National Workshop. Finally, the analysis of the prioritization of the information resulting from the national workshop was one of the fundamental pillars for the SESA process and for the formulation of the ENCCRV (Figure 7).

19All testimonial videos available at: www.conaf.cl/nuestros-bosques/bosques-en-chile/cambio-climatico/enccrv/ 28

Figure 7 Method of analysis of the inputs obtained in the participatory process for the formulation of the ENCCRV

Attendance Analysis In numerical terms, 1,266 people participated in the regional workshops and national workshop, of which 36.4% correspond to women and 9% belong to indigenous people.

The national workshop was the milestone that marked the end of the information gathering process for the formulation of the ENCCRV and the SESA. It was attended by 125 key actors from across the country, and who had previously participated in regional workshops, of which 31% correspond to women and 8% to representatives of indigenous communities.

Resulting instruments The results obtained from this participatory process, added to the technical studies, allowed the delivery of the basic guidelines for the generation of activities and action measures of the ENCCRV, in addition to the preparation of other instruments that are an integral part of the ENCCRV: SESA20 and the Environmental and Social Management Framework (ESMF)21. Both socio-environmental management instruments are the basis for the implementation of the ENCCRV in line with environmental and social safeguards.

11.2 Participatory process for the validation of the ENCCRV

The validation considered 3 instances: Indigenous Dialogue and Participation, Citizen Consultation and Self- Assessment. This process allowed to conclude the formulation of the ENCCRV and the elaboration of the SESA.

a) Indigenous Dialogue and Participation Process22 In compliance with national legislation, regarding the participation of indigenous peoples, this process aimed to inform and dialogue with the continental rural indigenous peoples of the ENCCRV country. Their vision, suggestions, opinions and proposals allowed to validate and strengthen the action measures, considering their implementation in the future. It included the native peoples of the entire territory of continental Chile, focusing on the rural areas of the ten regions with the presence of indigenous people and where their ways of life and customs are directly and indirectly related to forests and vegetation resources.

20 Available at: https://www.enccrv-chile.cl/descargas/cooperacion/68-sesa-final-1/file 21 Available at: http://www.conaf.cl/cms/editorweb/ENCCRV/MGAS_anexos.rar 22 More information in the document available at the link: www.enccrv.cl/informative-note-17 29

The process was carried out by virtue of compliance with current national regulations on the right of participation of indigenous peoples established in Article 6 of Convention No. 169 of the International Labor Organization (ILO) in force in Chile since 2009, the World Bank Operational Policy 4.10 on indigenous peoples and the Cancun safeguards c) and d) which, among others, impose respect for the knowledge and rights of indigenous peoples and local communities, in addition to ensuring their participation fully and effectively.

b) Citizen Consultation23 In this case, the purpose was to broaden the participation framework through a free access instance for all citizens interested in the ENCCRV validation process. Its objective was to have a virtual participatory validation through the dissemination and strengthening of the ENCCRV document by obtaining contributions linked to the perception of various stakeholders about the role of plant resources in climate change, desertification, degradation of land and drought.

Citizen participation mechanism contemplated in article 73 of Law No. 18,575 on General Bases of State Administration, which operates as a space to invite people to participate and to incorporate their opinions for the enhancement of public management, in addition to the main results obtained.

A key aspect of the Citizen Consultation process is that it brought together all civil society, both stakeholders directly linked to vegetation resources and those who are not directly linked to the sector, which allowed obtaining different points of view from individuals who had not been invited to the participatory workshops. This is a relevant aspect given that the action measures included in the Strategy are of global nature and -if properly implemented- will directly or indirectly benefit society as a whole.

A virtual citizen consultation was held on June 20th and September 20th, 2016, considering a term of 3 months of execution. The consultation was uploaded to the official website of the ENCCRV (https://www.enccrv.cl/formulacion-y-validacion) and CONAF (www.conaf.cl) in order for its access to be national and international.

506 participants were classified according to country, region, age range and sector of society, with the purpose of obtaining data on their social characterization and to observe their statistical tendencies. In this Informative Note’s results section there is more detail on quantitative and qualitative data coming from the Citizen Consultation process of the ENCCRV.

c) Self-Assessment

This process corresponds to a requirement established by the Forest Carbon Partnerships Facility (FCPF) with the objective of measuring progress and results obtained in the formulation stage of the ENCCRV. It was carried out with the assistance of key actors who had previously participated in the regional workshops, the national workshop or other specific instances in the definition of the technical elements of the ENCCRV.

For this process, the inputs and background that were evaluated and finally integrated into the final document of the ENCCRV, come from the first stage of the FCPF Readiness Fund and other products developed under this initiative, such as: Safeguards Implementation Plan Social consultation and public and indigenous environmental and Self-evaluation of the ENCCRV, the Emission Reduction Program (ERPD for its initials in English), the Environmental and Social Strategic Assessment (SESA for its initials in English), the Environmental and Social Management Framework (ESMF) of the ENCCRV, and various studies on specific elements and procedures to advance its implementation.

It is also important to highlight that, through the induction meetings, it was evident that the main interest of the evaluation by the regional actors was not in the approaches proposed under the FCPF methodology, but in the analysis, description and approach of the action measures and its technical definitions, which they themselves helped define during the ENCCRV participatory formulation process. Therefore, it is these

23 More information in document available at the link: https://www.enccrv.cl/informative-note-12 30 elements that must be evaluated for the ENCCRV implementation phase, considering the positive and negative impacts and also the benefits they will generate for the communities and ecosystems of the country.

A graphic summary of the results regarding the assistance of this process is shown in Figure 6.

Figure 6. Assistance to the Participatory Process for the Validation of the ENCCRV

8. Grievance Redress Mechanism Regarding the Grievance Redress Mechanism, Chile has an Office of Information, Claims and Suggestions (OIRS), created by the Supreme Decree No. 680/1990, of the Ministry of the Interior, functioning in public services according to Law No. 18,575, Organic Constitutional Bases of the State Administration. Therefore, it is possible to ensure that according to current legislation and institutions, the OIRS comply with national and international standards concerning GRM, established in the FCPF Methodological Framework, The World Bank's Approach to Grievance Redress and established and Establishing and Strengthening Grievance Redress Mechanisms of the UN-REDD Program.

OIRS has the following structure to process information:

● Collect demands, suggestions, claims and proposals from all over the national territory, strengthening the ENCCRV in its different phases, from formulation to implementation and evaluation, ● Responding to potential beneficiaries, especially indigenous peoples, local communities and other vulnerable social sectors, who face difficulties in accessing the information, ● Report to the corresponding agencies and ● Strengthen the Safeguards Information System of the ENCCRV, for the improvement of the monitoring system and the compliance with safeguards.

More information on the OIRS as GRM of the ENCCRV can be found at the following link: https://www.enccrv-chile.cl/index.php/notas-informativas/item/487-nota-informativa-n-22

As for transparency and effectiveness of national forest governance structures, considering national legislation and sovereignty, Chile has in its national legislation the transparency Law No. 20.285. For the forestry sector, CONAF, the entity that implements the ENCCRV, has the responsibility to be fed by OIRS potential news as established by the Law.

OIRS is present in all the governmental organization of Chile. It is responsible for channeling the contact of citizens with public institutions. The work of this office is varied, but it mainly deals with resolving doubts of

31 people who visit public services, whether hospitals, ministries, clinics, etc. OIRS is in place since April 10, 2009 playing a fundamental role in the validity of the new government transparency law. For public institutions feedback, OIRS is called to be the representative voice of citizens within government organizations being in charge of receiving; requests, claims, suggestions, consultations, clarifications and congratulations.

During the implementation of the ENCCRV a series of workshops took place in various regions bringing together a diverse number of stakeholders in each region to discuss social and environmental safeguards and also what would be the most suitable way to proceed with concerns and complaints, improving and refining the current OIRS mechanism to make it more specific for the REDD-plus context. The proposals for the design of the Mechanism of Queries, Claims, Complaints and Suggestions emphasized working together with local communities, integrating Indigenous Peoples in a periodic and participative manner and the importance of dissemination through notes. Also highlighted were the availability of informative notes or web spaces that are easily accessible by all. Similarly, workshop attendees emphasized the improvements of the OIRS and the strengthening of capacities through workshops. Detailed information regarding the workshops and the proposals to improve the OIRS (GRM) are available in the following links: https://www.enccrv.cl/formulacion-y-validacion

The documents aim to recognize that the ENCCRV will be located in all national territory affecting different local, indigenous and non-indigenous realities, and to give adequate treatment to the rights of local communities dependent on forests. Stakeholders took part in the elaboration of alternatives increasing the ownership of the proposals.

An extract from the OIRS reports from years 2014 - 2016, from the publicly available database matching the years of the present evaluation, was consulted for this assessment. In addition, the information extracted considers just the five regions under evaluation presenting a good idea of trends and preferences. Even though we have narrowed the geographic and time frame scopes of the data we acknowledge the fact that claims, petitions and interactions between citizens and OIRS cannot be necessarily attributed to issues related to the ENCCRV.

Much of the information presented gives a good snapshot of the availability and usefulness of the OIRS as a GRM including an average time for responding request a very important proxy to assess the effectiveness and efficiency of the OIRS as a grievance and redress mechanism. Beyond the details provided in the datasets presented we would like to highlight that its existence prior to the implementation of REDD-plus in Chile has provided, and continues to provide, a good support in the implementation of the ENCCRV and the fulfillment of the safeguard’s requirements.

At a glance, it can be inferred that over the period of the reference queries and requests have been by far above any other type of type of requests between male and female among the many regional offices; possibly indicating the high importance of the services of the OIRS. In-person, Telephone, Web and email have been the preferred means to contact OIRS, when looking differences across the years evaluated, there has been a slow but steady increase in the use of online channels, perhaps as part of the ENCCRV influence.

An interesting finding has been that natural protected areas, forest plantations and native forest stand out as the most solicited topics even more than forest plantations and employment queries, both topics in high demand in the regions evaluated. Araucania, Los Rios and Bio Bio stand out as regions requesting information regarding the natural protected areas and Bio Bio (Nuble), Bio Bio, Arauco and Los Rios having a high demand on topics related to native forests with Panguipulli office (in Los Rios) having a very high demand, up to 62.1% of all the topics demanded among male populations.

As for gender issues the consolidated results indicate a relative difference between men 58.6% and female 41.4% participation. However, when looking within regions results show that there might be space for further gender mainstreaming in the GRM i.e. Maule.

9. Main findings and conclusions of PLR analysis

The assessment of the of the REDD-plus activities under the implementation ENCCRV in the south zone of the country has brought together and number of lessons learned as well as gaps to be mainstreamed in the ESMF. CONAF has produced a generous amount of information in documents or informative notes that have been cited in the evaluation with evidence on the fulfilment of the social and environmental safeguards. We prepared an Environmental and Social Assessment that followed the requirements of the GCF for Results Based Payments placing the focus in three main areas (1) Due diligence (2) Stakeholder Engagement (3) Grievance and Redress Mechanism. (1) An assessment of the the FAO ESS and the Cancun Safeguards was. As presented in the assessment there are areas in which both safeguards are similar and others in which they are complementary providing a better and more comprehensive perspective of the final evaluation. The efforts in working on both fronts has pay back by providing strong confidence and substantiation in the assessment of the consistency with the GCF REDD+ RBP pilot program requirements. The ESA presented concrete evidence focused in policies laws and regulations existing at the moment of the evaluation and during the time frame and regions included in the proposal. Each FAO ESS as well as each of the Cancun Safeguards presented national and international regulations applicable for the activities performed during the implementation period of the ENCCRV. The assessment also considered a set of publications made by CONAF in the topic of safeguards while improving the national system, most notable the Safeguards Plan24, cited in the safeguards evaluation. The road for the ENCCRV implementation in the context of REDD-plus was also supported by evidence found in supplementary documents provided by the FCPF World Bank reports. The World Bank has been the delivery partner of the Readiness and Carbon Funds of the FCPF in Chile and that the Bank Operation Policies have been in place during the time frame of the evaluation and in the same regions considered in the proposal. (2) Our analysis of the stakeholder engagement in the results period was based in the description of the group or groups of participants included in the process of validation, information and outreach of the ENCCRV. Given the social richness of the regions evaluated and also the different perspectives and vested interest of people regarding the use of land the assessment wanted to ensure that those characteristics were reflected in the activities. One important set of information to confirm it was the access to workshops proceedings and publications that contain a list of participants where we could confirm inclusiveness. We not only found in our evaluation information that pointed out in that direction but also find out that in many cases the participation of stakeholders was proactive and transcended to participation improving the ownership of the decision agreed. We also found a generous amount of information at CONAF site were interactive maps can give the ownership of the decision agreed. We also found a generous amount of information at CONAF site were interactive maps can easily guide the user to pinpoint the areas were the participatory events took place, the time and the decision and/or information discussed. The information included the mapping of stakeholder’s methodology and the summaries of consultations stressing the different issues raised by participants

(3) One important thing the assessment find out was that prior to the implementation of REDD-plus related activities in Chile, the country had already its own Grievance and Redress Mechanism in place. The ESA included information about the OIRS, acronym of "Office of information, claims and suggestions".

(4) Pilot projects. The analysis of the pilot project demonstrated that overall, were implemented within legal and policy framework that provided an enabling environment for achieving consistency with the FAO ESS and in practice, the pilot projects were implemented with alignment with the FAO ESS.

The applicability to REDD-plus related activities in the context of the ENCCRV was prompt and tailored to the needs of the requirement for a GRM. The information evaluated form workshop proceeding exposed the suitability of the OIRS for the purpose and also the ease of access for the

24 http://www.conaf.cl/cms/editorweb/ENCCRV/PLAN-SALVAGUARDAS-ENCCRV.pdf 33 users supported by statistics on the topics related to the proposal. OIRS under the ENCCRV presented the approach, capacity and participation to stakeholders stressing the inclusion of indigenous groups in the south zone.

ANNEX A: PLR Alignment with Cancun Safeguards

The following table contains the result of the PLR alignment review wth Cancun Safeguards. A set of criteria is provided along with some indicative guiding diagnostic questions.

SAFEGUARD A

Actions complement or are consistent with the objectives of national forest programmes and relevant international conventions and agreements

Criteria A.1. Complement or be Consistent with the Objectives of National Forest Programmes Criteria A.2. Complement or be Consistent with the Objectives of Relevant International Conventions and Agreements

Diagnostic Question: to what extent do PLRs require consistency with the objectives of national forest programmes? Diagnostic Question: to what extent do PLRs require consistency with the objectives of relevant international conventions and agreements, and this is applicable to the forestry sector?

i) Approach To address this safeguard, complementarity and/or compatibility of the actions is presented as the articulation between action measures of the ENCCRV, with the Programs and / or National Plans of action of climate change, the conventions and ratified international agreements, and the current national legislation, relating to vegetational resources. The ENCCRV is of national coverage therefore it also includes the areas evaluated in this proposal and the period of years selected. Information cited below is presented in more detail in the "First Information Summary: Approach, Respect and Compliance with the Safeguards for the Formulation of Chile's National Climate Change and Vegetation Resources Strategy (ENCCRV)”, Reporting Period 2013- 2017 "(hereinafter the Summary of Safeguards). The main agreements and international agreements, in which the ENCCRV contributes to the fulfillment of objectives and goals, are: ● Sustainable Development Goals (SDG) 2015-2030, specifically, objective 13 on Climate action and objective 15 Life on land. ● The United Nations Convention to Combat Desertification (UNCCD) and the UNFCCC with the REDD-plus + approach, in which CONAF is the focal point. ● Convention on Biological Diversity (CBD) and Aichi Targets, coordinated by the Ministry of the Environment, in its capacity as focal point. ● Forum of Forests of the United Nations (UNFF, acronym in English), where CONAF fulfills the role of National Focal Point. The ENCCRV also contributes to other instances, such as: ● Convention on the Conservation and Rational Use of Wetlands of International Importance, especially as a Waterfowl Habitat, known as the Ramsar Convention; ● The Man and the Biosphere Program (MaB), which is part of the Biosphere Reserve Network of the United Nations Educational, Scientific and Cultural Organization (UNESCO) and ● The Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES) in both CONAF is focal point. At the national level, the main regulations are: ● Political Constitution of the Republic of Chile in its article 19, numeral 8, which establishes the right to a clean environment and the duty fo the State to take actions to ensure the preservation of nature. ● Law No. 19.300 / 1994, on General Bases for the Environment ● Decree No. 40/2013 of the Ministry of the Environment, corresponding to the Regulation of the Environmental Impact Assessment System. In the forestry sector, the main regulations are ● DL No. 701/1974, on Forest Development and its Regulation (Decree No. 259/1980) ● Law No. 20.283 / 2008, on Recovery of the Native Forest and Forestry Development and other related decrees. ● As well as specific decrees for native species (Decree No. 13/1995, Decree No. 490/1976, Decree No. 43/1990, Decree No. 427/1941, Decree No. 366/1944, Decree No. 4,363 / 1991). In terms of national plans, programs and policies, it should be noted that these have been developed in collaboration with other agencies, including the Ministry of Environment and other services of the Ministry of Agriculture, developing synergistic actions to achieve the proposed objectives that guided REDD-plus implementation. National plans and policies such as: ● National Biodiversity Strategy (2003), ● National Action Plan for Climate Change (PANCC) 2008-2012; ● Adaptation Plan to Climate Change of the Silvoagricultural Sector, Adaptation Plan to Climate Change in Biodiversity, National Adaptation Plan to Climate Change (2014); ● Nationally Determined Contribution (NDC) of Chile, submitted to the UNFCCC in September 2015; ● Forest Policy 2015-2035 in which the forest development guidelines are established under criteria of economic, social and environmental sustainability; and the Dendroenergy Strategy (2015) of the CONAF.

35 ii) Respect Considering the national and international regulations and guidelines, respect for this safeguard is represented by the formulation of the ENCCRV with its 26 measures of action, among which are those that seek to improve the current national legislation or even better to establish a new forestry regulation that includes aspects related to the adaptation and mitigation of climate change. iii) Compliance Advances in the implementation of actions within the framework of the ENCCRV account for compliance with this safeguard. In the first instance, they correspond to the management plans, instruments for planning the management of forest resources.

To date and under various funding sources, the following pilot projects have been executed, which account for the early implementation phase of the ENCCRV. These projects were formulated and executed within the framework of current national and international legislation, to which CONAF responds as executing and coordinating entity of the ENCCRV, thus ensuring compliance with the corresponding safeguards.

The pilots are based within the regions evaluated: ● 4 projects to improve the production chain for sustainable biomass, with an area of 4,337.6 ha under different types of forest management, in the regions of Araucanía, Los Ríos, Los Lagos and Aysén, with financing from the Forest Carbon Partnership Fund (FCPF). ● 4 hydrological restoration projects, in the Bío-Bío and Los Ríos regions, covering an area of 446.8 ha, with financial support from UN-REDD-plus Targeted Support. ● 2 preventive forestry projects, in the Valparaíso and Maule regions, covering an area of 843.1 ha, and financial support from the Swiss Agency for Development and Cooperation (COSUDE) In addition, the following initiatives are still in implementation phase: ● 5 projects associated with Sustainable Land Management, with funds from the Global Environment Facility (GEF), in the regions of Arica-Parinacota, Coquimbo, O'Higgins, Araucanía and Aysén. ● 5 restoration projects in the regions of Coquimbo, Metropolitana, Araucanía (2) and Magallanes with financing from the UN-REDD-plus National Program ● 1 water restoration project in Araucanía with funds from the SDC. ● 2 restoration projects for burned areas in the Valparaíso and Metropolitan regions, with funds from the GEF de Montaña In the ENCCRV action measures were established to modify the current legislation or establish a new forestry regulation, corresponding to: ● Inclusion of climate change issues and degradation of lands and droughts in a new law on forest development; ● Modification and strengthening of Law No. 20.283 (Native forest law) and its regulations; ● Inclusion of elements of preventive management and restoration after fires in Law Nº 20.283 and regulations; ● Amendment of Law No. 19,561 that exempts reforestation to agricultural recovery; ● Incorporation of forest conservation variables in Law Nº 18.450; ● Limit application of Law No. 20.412 in soils with forest preferential capacity. More information about the approach, respect and compliance of this safeguard can be found in the following link: National Strategy on Climate Change and Vegetation Resources https://www.enccrv.cl/libro-enccrv2017-2025

SAFEGUARD B

Transparent and effective national forest governance structures, considering national legislation and sovereignty.

Criteria B.1.Transparency Sub-Criteria B.1.1. Right of Access to Information Sub-Criteria B.1.2. Institutions to Ensure Access and Distribution of Information Sub-Criteria B.1.3. Accountability Criteria B.2. Effective National Forest Governance Sub-Criteria B.2.1: Clear Land Tenure Rights Sub-Criteria B.2.2: Equitable Distribution of Benefits Sub-Criteria B.2.3: Gender equity Sub-Criteria B.2.4: Adequate Access to Justice Sub-Criteria B.2.5: Integration of Social, Economic and Environmental Considerations into policy-making Sub-Criteria B.2.6: Cross-Sectoral Coordination

Diagnostic Question: To what extent do PLRs guarantee the right to access to information? Diagnostic Question: To what extent does the legal framework require public institutions to ensure the access and distribution of information? Diagnostic Question 1: To what extent do PLRs promote fiscal transparency in the forest sector? Diagnostic Question 2: To what extent do PLRs adequately address corruption in the forest sector?

Diagnostic Question: To what extent do PLRs recognise and protect different types of forests tenure (ownership and access)? Diagnostic question 1: to what extent do PLRs recognise and protect the fair distribution of benefits? Diagnostic Question: To what extent do PLRs promote and protect gender equity? Diagnostic Question: To what extent do the PLRs guarantee adequate access to justice in the context of forest management? Diagnostic Question: To what extent do PLRs require/promote the integration of social, economic and environmental

36 considerations in forest management? Diagnostic Question: to what extent do PLRs require/promote effective coordination between various agencies that play a role in forest management?

i. Approach This safeguard refers, in the first instance, to the forest governance structure; that for the ENCCRV, is defined through the institutional arrangements that operate for the implementation of the action measures. In general terms, CONAFs Climate Change and Environmental Services Unit (UCCSA), which is dependent on the Forestry Development and Promotion Management, have the role of executing entity and coordinator of the activities carried out within the framework of the ENCCRV. In this role, UCCSA will maintain a permanent technical link with CONAF's Inter management Committee on Climate Change, made up of CONAF's technical units. In the same way, CONAF will maintain its link with the Intraministerial Technical Committee on Climate Change (CTICC) led by the Office of Agricultural Studies and Policies (ODEPA) of MINAGRI, with the purpose of strengthening the technical decisions that are adopted within the framework of the ENCCRV. Finally, as the highest instance of decision-making in government, the Council of Ministers for Sustainability, is the one that validates multisectoral documents, such as national communications for the UNFCCC, NDCs, Action Plans on Adaptation, among others. Regarding transparency and effectiveness of the national forest governance structures, in both cases, the country has a regulatory framework constituted by laws and regulations, as well as ratified international instruments, which made it possible to address this safeguard. The detail of the national and international regulations ratified by Chile can be found in the Summary of Safeguards (SOI). ii. Respect On the basis of national and international legislation and regulations, respect for this safeguard, in the context of transparency and access to public information, CONAF has the Comprehensive Information and Citizen Attention System (SIAC), which provides various spaces of attention to the requirements of citizenship, within which are the Information Offices, Claims and Suggestions (OIRS). Regarding the effectiveness of forest governance structures, CONAF has the Internal Order, Hygiene and Safety Regulation, which also contributes to compliance with transparency and efficiency.

The Chilean Financial Intelligence Unit (Unidad de Análisis Financiero – “UAF”), was created by Act. No.19.913. The UAF is an independent, public legal person, with its own patrimony and related to the Chilean Government through the Public Treasury Secretary (Ministerio de Hacienda). The UAF is chaired by a National Director, who is appointed by the President of the Nation. The UAF is a member of the Egmont Group.

The UAF has the duty of requesting, receiving, analysing and forwarding to the competent criminal prosecution authorities any financial information that arouses suspicions of money laundering activities. It has no jurisdiction regarding the prevention and investigation of terrorism financing. The UAF can also provide information directly to the courts that are dealing with asset laundering cases.

Article 3 of Act No. 19,913 imposes a duty for all covered subjects -- including banks, stock exchanges, casinos, realtors, among many others businesses -- to appoint an official or compliance officer responsible for relations with the Financial Intelligence Unit. The role of the compliance officer is to monitor the implementation of existing national rules on the issues of money laundering and terrorist financing. iii. Compliance To ensure compliance with this safeguard, the ENCCRV has a Grievance and Redress Mechanism (GRS) that belongs to the institutional care spaces represented by the Office of Information, complaints and suggestions (OIRS), which comply with all the requirements established by international organizations for a GRS, considering that its purpose is to generate an instance for citizens to register their claims and suggestions related to the implementation of the action measures of the ENCCRV (more information in the Information Note N ° 22, Mechanism of Claims and Suggestions of the ENCCRV, available at the link: https://www.enccrv- chile.cl/index.php/notas-informativas/item/487-nota-informativa-n-22).

On the other hand, for a greater transparency of the formulation and validation of the ENCCRV, there is an official website (https://www.enccrv.cl), in addition to the institutional website of CONAF (www.conaf.cl), where you can find all the material, publications and news about the ENCCRV.

Moreover, each official document that is generated within the framework of the ENCCRV, and related to the compliance of the provisions of the Warsaw Framework for REDD-plus +, is officially consigned to the Secretariat of the UNFCCC, through a formal note from the Ministry of Foreign Affairs of Chile, which is the Focal Point

SAFEGUARD C

Respect for the knowledge and rights of indigenous peoples and members of local communities, by considering relevant international obligations, national circumstances and laws, and noting that the United Nations General Assembly has adopted the United Nations Declaration on the Rights of Indigenous Peoples

Criteria C.1. Defining Indigenous Peoples and Members of Local Communities Criteria C.2.: Definition of traditional knowledge of indigenous peoples and local communities Criteria C.3. Recognition and Implementation of Rights in Accordance with International Law Sub-criteria C.3.1.: Non-Discrimination

Sub-criteria C.3.2.: Self-Determination Sub-criteria C.3.3.: Rights Associated with Culture Sub-criteria C.3.4.: Collective Land Tenure

Diagnostic Question 1: Do PLRs define who are indigenous peoples and local communities? Diagnostic Question: To what extent do PLRs define what constitutes traditional knowledge of indigenous peoples and local communities? Diagnostic Question: to what extent do PLRs recognise and protect the right to non-discrimination of indigenous peoples and local communities in accordance with international law? Diagnostic Question: To what extent do the PLRs recognise and protect the right to self-determination of indigenous peoples and local communities in accordance with international law? Diagnostic Question: To what extent do PLRs recognise and protect rights associated with culture of indigenous peoples and local communities in accordance with international law? Diagnostic Question: To what extent do PLRs recognise and protect rights associated with land tenure of indigenous peoples and local communities in accordance with international law? Diagnostic Question: To what extent do PLRs recognise and protect benefit-sharing arrangements specific to indigenous peoples and local communities in accordance with international law? i. Approach This safeguard refers to respect for the knowledge and human rights of indigenous peoples and local communities during the execution of activities within the framework of the ENCCRV in the regions and time frame of period selected for this proposal. As it is presented below, it has been tackled following the international agreements in force, the national legislation and the established institutional structures. More detailed information found in the Safeguards Report. Regarding the international agreements related to the respect for the knowledge and rights of indigenous peoples and members of local communities, Chile has ratified the following agreements: ● United Nations Declaration on the Rights of Indigenous Peoples (UN, 2007) ● American Declaration on the Rights of Indigenous Peoples of the OAS (2016) ● Convention No. 169 of the ILO, Convention on Indigenous and Tribal Peoples in Independent Countries of the Organization, ratified in Chile by means of Supreme Decree No. 236/2008. ● Convention on Biological Diversity, promulgated as the Law of the Republic through Supreme Decree No. 1963/1995. Regarding the respect for the knowledge and rights of indigenous peoples and members of local communities, the country's legislative framework has established the following: ● The Political Constitution of the Republic of Chile ● Law No. 19.253 / 1993 on protection, promotion and development of indigenous people, and creates the National Indigenous Development Corporation (CONADI). ● Law N ° 20.249 / 2008, creates the marine coastal space of native peoples. ● Decree 236/2008, promulgates Convention No. 169 on indigenous and tribal peoples in countries independent of the International Labor Organization. ● Decree No.66 / 2013 Approves Regulation Governing the Procedure for Indigenous Consultation under Article 6 No. 1 Letter a) and No. 2 of ILO Convention No. 169. ● Law N ° 19.300 / 1994, in article 4 referring to citizen participation ii. Respect With regards to the actions taken to respect the knowledge and rights of indigenous peoples and members of local communities, CONAF has generated the following policies and instruments: ● The Forest Policy (2015-2035) indicates within its strategic axes, Equity and Social Inclusion, under which it seeks, among other aspects, to respect the tradition and culture of the peasant and indigenous communities that inhabit or are embedded in forest ecosystems. As for the respect for the knowledge and rights of indigenous peoples, CONAF has developed territorial management instruments with an eco-cultural approach, based on ancestral knowledge and contributions of current technical knowledge. ● Andean Intercultural Environmental Model (MAIA) is a conceptual and practical work model that includes the integral Andean vision that combines production, environment and culture, developed for the Aymara, Quechua and Atacameñas (Likan antai) communities of northern Chile. ● Mapuche Intercultural Forest Model (MOFIM) is a way of community work in forestry development, management of natural resources and territorial development according to the Mapuche culture. iii. Compliance In order to comply with this safeguard, the ENCCRV has management instruments that ensure respect for the dignity, human rights, economies and cultures of Indigenous Peoples and provide social and economic benefits that are culturally appropriate. One instrument is the Indigenous Peoples Participation Framework (MPPI), included in the Annex 5 of the Environmental and Social Management Framework (ESMF) of the ENCCRV (https://www.enccrv.cl/salvaguardas). During the formulation of the ENCCRV, the Process of Dialogue and Participation with Indigenous Peoples was developed (2016). Likewise, in the development of the Wood Energy Strategy, in the diagnostic phase of the means, standards and actors involved in the firewood marketing process, the characterization of the actors involved in the supply chain of firewood was carried out, identifying impacts and measures of mitigation related to indigenous peoples Moreover, to ensure the full and effective participation of relevant stakeholders, inter alia, indigenous peoples and the local communities and based on regional dialogues the government prepared the publication Methodology and procedure for the dialogue and participation of indigenous peoples in the framework of the formulation of the national strategy for the ENCCRV. CONADI mapped the actors and included their views and concerns bringing together leaders from a number of Comunas from all over the

38 country, including the following that correspond to the focal area of the proposal; In Biobío; Arauco, Cañete, Contulmo, Curanilahue, Los Álamos, Lebu, Tirúa Biobío, Alto Biobío, Santa Bárbara, Mulchén, Quilaco, Negrete In La Araucanía; Cautín, Carahue, Chol – Chol, Cunco, Curarrehue, Freire, Galvarino, Gorbea, Lautaro, Loncoche, Melipeuco, Nueva Imperia, P. Las casas, Perquenco, Pitrufquén, Pucón, Saavedra, Temuco, Teodoro Schmidt, Toltén, Vilcún , Villarrica Malleco , Angol , Collipulli , Curacautín , Ercilla , Lonquimay, Los sauces , Lumaco , Purén , Traiguén , Victoria In Los Ríos; Valdivial Panguipulli, Mariquina, Lanco, Valdivia, Corral, Paillaco, In Los Lagos; Máfil La Unión, Lago Ranco, Río Bueno, La Unión, Futrono Los Lagos Osorno, San Pablo, San Juan de la Costa, Río Negro, Purranque, Puyehue , Puerto Octay Llanquihue, Calbuco, Cochamó, Fresia, Frutillar, Llanquihue, Los Muermos, Maullín, Puerto Montt, Puerto Varas, Chiloé, Ancud, Quinchao, Castro, Chonchi, Queilén, Quellón. More detailed information on the process and methodology can be found in the following link https://enccrv- chile.cl/index.php/descargas/capacitate/95-documento-de-la-metodologia-dialogo-y-participacion-indigena-de-la-enccrv/file

SAFEGUARD D

The full and effective participation of the interested parties, in particular the indigenous peoples and local communities

Criteria D.1.: Definition and Regulation Meaningful Full and Effective Participation Criteria D.2.: Creating an Enabling Environment for an Effective Participation Sub-criteria D.2.1.: Identification of Relevant Stakeholders Sub-criteria D.2.2. Providing Access to Information Sub-criteria D.2.3: Appropriate Participatory Mechanisms Sub-criteria D.2.4. Access to Justice/Conflict Resolution Mechanisms in Environmental Decision Making Criteria D.3. Effective Participation of Indigenous Peoples and Local Communities Sub-criteria D.3.1. Creating an Enabling Environment Sub-criteria D.3.2.: Free, Prior and Informed Consent

Diagnostic Question: To what extent do PLRs guarantee effective public participation in forest related policymaking? Diagnostic Question: To what extent do PLRs identify or require the identification of relevant stakeholders in the decision-making process? Diagnostic Question: to what extent do PLRs require and regulate the provision of relevant and appropriate information as part of the consultation process? Diagnostic Question: to what extent do PLRs define a clear and meaningful process/mechanism for public participation in environmental decision making? Diagnostic Question: to what extent do PLRs require and regulate access to justice in environmental decision-making processes? Diagnostic Question: to what extent do PLRs create an enabling environment for the meaningful participation of indigenous peoples and local communities? Diagnostic Question: to what extent do PLRs recognise and regulate the right to FPIC in consistency with relevant international law?

The full and effective participation of stakeholders, particularly indigenous peoples and local communities in the planning, design, implementation and monitoring of the action measures of the ENCCRV. This safeguard was addressed by stressing the participation of indigenous peoples and women as there has been a strong interest in mainstreaming minorities in the process of implementation of the ENCCRV. Each of these forms of participation have associated national and international legislation and regulations, from which management instruments are derived that allow "respecting" this safeguard, and achieving compliance. The detail of the approach, respect and compliance with this safeguard is shown below: i) Approach Chile has a strong national legislation to address this safeguard. The detail of the current regulations, their scope and links with the ENCCRV can be found in the First Summary of Safeguards, document available online at CONAFs site. In addition, the country has ratified a series of international regulations, which added to the guidelines and operational requirements of the agencies that have technically and financially supported the formulation of the National Strategy in terms of indigenous participation and women, provide broad support for the approach of this safeguard. From the international legislation the following are highlights: Indigenous participation: ● ILO Convention No. 169 on Indigenous and Tribal Peoples in Chile, this agreement enters into force on September 15, 2009, through the promulgation of Decree 236 of the Ministry of Foreign Affairs. ● United Nations Declaration on the Rights of Indigenous Peoples. Regarding the guidelines and operational requirements of the agencies that complement this safeguard, it is worth to mention: ● World Bank Operational Policy 4.10 on Indigenous Peoples ● Prior, Free and Informed Consent of UNPFII ● Environmental and Social Standard 9 (ESS 9) FAO. This safeguard recognizes that the traditions and knowledge of indigenous peoples present opportunities for many of the challenges that humanity will face in the coming decades At the national level, the following articles are regulated through Supreme Decree No. 66/2014, which approves the Indigenous Consultation procedure. Participation of Women The international legislation to which Chile has subscribed and which addresses the participation of women, stands out: ● Resolution adopted by the General Assembly of the United Nations in 2011, referring to the Political Participation of Women (A / RES / 66/130)

● Convention on the elimination of all forms of discrimination against women. This was ratified by Chile through Decree No. 789/1989 ● UN-Women Program and Project Evaluation Guide with gender perspective, human rights and interculturality. ● Resolution of the UN General Assembly, which established UN Women (A / RES / 64/289). ii) Respect Considering the guidelines established by national and international legislation, the document Plan for the Implementation of Social and Environmental Safeguards for Public and Indigenous Consultation and Self-evaluation was prepared (available online at CONAFs site). The document that was the guide to carry out the implementation of the entire participatory formulation process of the ENCCRV between 2015 and 2016. The Plan included the organization of regional workshops and a national workshop, whose call should ensure local, regional and national representation, considering a multi-stakeholder, multi-sector and multi-stakeholder approach. level and including the mainstreaming of the gender approach and pluricultural participation. In addition, and in an integrated manner with the Plan, a Strategic Environmental and Social Assessment (2016) was developed (SESA), which incorporated environmental and social considerations to ensure the sustainable implementation of the action measures. The called measures are in line with national commitments assumed by Chile with the UNFCCC and other international bodies that participated in the formulation process of the ENCCRV. iii) Compliance In the context of the Safeguards Plan and SESA, between 2013 and 2016, 15 regional workshops were held, involving 1,266 people, 36.4% of women and 9% indigenous peoples. In addition, a national workshop, which involved 125 people 31% women and 8% indigenous peoples. In these workshops, the gender approach was manifested from the gathering of information through the identification of key actors; formation of focus groups, determining a minimum percentage of participation of 30% of women and when appropriate, specific focus groups for women were formed (additional information can be found in the Information Note N ° 8, on Mainstreaming the gender approach available online at CONAFs site). Other instances of participation were: ● The Process of Dialogue and Participation of Indigenous Peoples, held between June and September 2016, included the indigenous peoples of the entire territory of continental Chile, focused on rural areas of the 10 regions with the presence of an indigenous population and where their ways of life and customs are directly and indirectly related to forests and vegetational resources (Information Note No. 17. Process of Dialogue and Participation with Indigenous Peoples in the formulation of Chile's National Climate Change and Vegetation Resources Strategy (ENCCRV). ● Citizen consultation, held between June 20 and September 20, 2016, with the participation of 506 people, 41% women (Information Note N ° 12, Citizen Consultation Process for Validation and Strengthening of the ENCCRV).

SAFEGUARD E

That actions are consistent with the conservation of natural forests and biological diversity, ensuring that the actions referred to in paragraph 70 of this decision are not used for the conversion of natural forests, but are instead used to incentivize the protection and conservation of natural forests and their ecosystem services, and to enhance other social and environmental benefits

Criteria E.1.: No Conversion of Natural Forests Sub-criteria E.1.1. Defining Natural Forest, Biological Diversity and Ecosystem Services Sub-criteria E.1.2. Prohibiting the Conversion of Natural Forests Criteria E.2. Protection and Conservation of Natural Forests and Biodiversity Sub-criteria E.2.1. Identifying Natural Forests and Biodiversity Sub-criteria E.2.2: Measures to Protect Biodiversity and Natural Forests Sub-criteria E.2.3: Supporting Conservation Research and Awareness-Raising Sub-criteria E.2.4: Integration of Biodiversity in Cross-Sectoral Policies Sub-criteria E.2.5: Enhancement of Other (non-carbon) Benefits

Diagnostic Question: to what extent do PLRs define the term natural forests, biological diversity and ecosystem services? Diagnostic Question: do PLRs prohibit the conversion of natural forests? Diagnostic Question: do PLRs promote or require the identification/mapping of natural forests and biological diversity? Diagnostic Question: Do PLRs regulate the protection of biodiversity and natural forests? Diagnostic Question: do PLRs support/promote conservation research and awareness raising over forest and biological diversity protection? Diagnostic Question: Do PLRs require/promote the integration of biodiversity consideration in cross-sectoral policies? Diagnostic Question: do PLRs promote the enhancement of multiple benefits?

i. Approach: To address this safeguard in the ENCCRV implementation, integration of ratified international agreements, conventions and agreements signed by the country, where CONAF participates as a focal point are considered. Also, integration with other national entities; and the current national legislation, in regards of conservation of natural forests and biodiversity. This information is presented in detail in the Summary of Safeguards (available online at CONAFs site). The following the international agreements ratified by Chile are worth to note: ● The UNCCD ratified by decree 2065/1998 ● The UNFCCC promulgated by Decree 123/1995 with the REDD-plus + approach, in which CONAF is the focal point. ● CBD and the Aichi Targets, ratified in Decree No. 1.965 / 1995, that aims to conserve biological diversity; the

sustainable use of its components, and; the fair and equitable participation in the benefits that derive from the use of genetic resources. In 2010, the CBD urged countries to update their National Biodiversity Strategies (NBS) according to the "Strategic Plan for Biodiversity 2011-2020 and the Aichi Targets". ● The Organization for Economic Cooperation and Development (OECD), in its "Environmental Perspectives to 2050", aims to promote sustainable use, the inclusion of biodiversity objectives in policies and intersectoral plans, and protection and restoration of ecosystems and habitats, among other aspects. ● SDG 2015-2030, specifically objective 15: Sustainably manage forests, combat desertification, stop and reverse land degradation and stop the loss of biodiversity. ● Forum of Forests of the United Nations (UNFF), where CONAF fulfills the role of National Focal Point. Among its objectives is to reverse the loss of forest cover through protection, restoration, reforestation and afforestation, and prevent forest degradation. ● Ramsar Convention, The Man and the Biosphere Program and the Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES) in both CONAF is a focal point. National legislation and regulations, regarding the conservation of natural forests and biological diversity preventing the conversion of natural forests in detriment of ecosystems: ● Political Constitution of Chile: The Constitution establishes in its Article 19, number 8 as a duty of the State to protect the preservation of nature. ● Law No. 20,283 / 2008, on Recovery of Native Forest and Forest Development, aims to protect, recover and improve native forests, in order to ensure forest sustainability and environmental policy. ● Law N ° 19.300 / 1993, the right to live in a pollution-free environment is established, the protection of the environment, the preservation of nature and the conservation of the environmental patrimony will be regulated by the provisions of this law, without prejudice of what other legal norms established on the matter (Article 1). Under this law, the administration of a National System of Protected Wild Areas of the State (SNASPE) is indicated, in order to ensure biological diversity, protect the preservation of nature and conserve the environmental heritage (Article 34). ii. Respect Regarding Strategies, Programs and National Plans focused on the conservation of forests and biological diversity: ● National Biodiversity Strategy 2017-2030 to conserve the country's biodiversity by guaranteeing fair and equitable access to ecosystem goods and services, fostering the capacities to safeguard, restore and sustainably use heritage and natural heritage. ● The National Climate Change Adaptation Plan (2014) seeks to strengthen Chile's capacity to adapt to climate change through transversal and sectoral actions, within the latter with plans in the Silvoagriculture and Biodiversity sectors. ● Plan for Adaptation to Climate Change in the Silvoagricultural sector (2008-2012), includes the genetic conservation of forest resources and the development of new silvicultural methods to face climate change. ● Adaptation to Climate Change in Biodiversity Plan (2014), seeks to favor the conservation of biodiversity and the adaptation to climate change through research and capacity building, promotion of sustainable practices, incorporation into instruments of territorial planning and strengthening of the National System of Protected Wild Areas. ● National Action Program against Desertification, Land Degradation and Drought 2016-2035 (PANCD) aligned with the National Climate Change and Vegetation Resources Strategy (ENCCRV) Respect for this safeguard has been achieved through the management of CONAF that has within its strategic objectives to conserve biological diversity, by strengthening the National System of Protected Wild Areas (SNASPE). Also, the Forest Policy (2015-2035) indicates within its strategic axes, the protection and restoration of the forest heritage, for which it seeks to conserve and increase the State's forest heritage, develop environmental goods and services and restore and protect the biodiversity that provide forest resources and ecosystems. In issues related to ecological restoration, the National Policy and Strategy for Ecological Restoration of the National System of Protected Wild Areas of the State (2012) was elaborated to guide the execution of plans, projects and actions tending to ecologically restore damaged territories within the SNASPE. ii. Compliance Regarding the Protected Wild Areas of the State administered by CONAF, each of them has a Management Plan. Since early 2016, a new methodology has been implemented, incorporating zoning and territorial analysis, cultural conservation objects and human welfare objects, aspects of participation, analysis of vulnerability to climate change, logical framework matrix, operational plans, monitoring, among others. This implementation has been developed in various Protected Areas of the SNASPE since 2016, including the Nonguén National Reserve in the Bio Bio Region. In specific terms of forest conservation and biological diversity, CONAF through the Program for the Conservation of Endangered Flora and Wildlife of Chile (1999) has executed 28 species conservation plans. It also highlights the National Program for the conservation of Wetlands inserted in the National System of Wild Protected Areas of the State (2010) The action measures that comply with this safeguard correspond to the following areas in the ENCCRV. ● Strengthening of forestry and environmental control programs; ● Targeting restoration and inspection program in areas with substitution risk; ● Modification Law No. 19,561 that exempts from reforestation to agricultural recovery; ● Limit the application of Law No. 20,412 on Preferentially Forestry Aptitude soils; ● Strengthening and updating of Management Plans of SNASPE areas in the context of the ENCCRV; ● Incorporate forest conservation variables into Law No. 18,450; ● Strengthening of ecological restoration program in communes / prioritized areas; ● Program of restoration of ecosystems post Forest Fires; ● Adaptation program for the management of vegetational resources in the framework of climate change, desertification, land degradation and drought.

More information can be found in the Summary of Safeguards available at CONAFs site

SAFEGUARD F Actions to address the risks of reversals

Criteria F&G.1: Monitoring and Assessment

Diagnostic Question: to what extent do PLRs require regular monitoring and measurement of risks to forest permanence

i. Approach: To address this safeguard, the procedure established in the document "Guidelines for the amortization of the ER Program" of the Forest Carbon Partnership Fund (FCPF) was applied. This process includes i) the identification of reversal risks, where four risk factors are analyzed, their description and valuation, and ii) concepts are defined to prevent and minimize potential reversals. The details of this analysis are presented in the Safeguard Summary available at CONAFs site. Law No. 20,283 / 2008 and Decree Law No. 701/1974 allow addressing some of the risks associated with reversals, favoring the activities leading to the reduction of deforestation and sustainable management of forests On the other hand, forest fires are one of the main causes of degradation of vegetational resources, and in Chile, 99.9% of them are anthropic. In this case, the national legislation considers the following regulations: ● Decree No. 4363/1931 (text approving the Forest Law), of the Ministry of Lands and Colonization, whose art. Nº22 establishes penalties for those who cause forest fires, and Law No. 20.653, of 2013, which amended Art, No. 22 of the Forest Law. ● Supreme Decree 276/1980, Ministry of Agriculture, to prevent the occurrence of forest fires establishes that the use of fire, to eliminate plant waste in agricultural and forestry lands, will only be carried out in the form of controlled burning and Supreme Decree 100/1990 Ministry of Agriculture, which prohibits the use of fires to destroy vegetation in winter. ii. Respect and compliance: Reversal Management Mechanisms The same methodology used to estimate reference levels in the ENCCRV was proposed to be used to monitor the emissions associated with reversals. This safeguard, therefore, will be addressed through the Measurement and Monitoring System (SMM) of the ENCCRV which includes elements of Measurement, Reporting and Verification as part of the National Strategy. As a result of the potential reversal risk analysis of the Strategy, a reserve fund of 21% of the ERs is established as a buffer of reversals, which will remain during the validity of the Strategy. This fund will be generated only from reduced emissions due to deforestation and degradation, since increases in removals due to increased stocks or conservation are exposed to natural and anthropogenic risks that may affect its permanence over time.

SAFEGUARD G

Actions to reduce displacement of emissions

Criteria G.2: Measures to Tackle Reversals and Displacement

Diagnostic Question: to what extent do PLRs aim to minimise the risks related to deforestation and forest degradation?

i) Approach In the context of the ENCCRV, this safeguard requires to consider, first of all, that Decision 1/16 CP, paragraph 70, of the UNFCCC, establishes that in the implementation of REDD-plus + activities there may be a risk that activities may be transferred to other territories and generate GHG emissions outside the ENCCRV execution limits. On the other hand, although the Strategy has a national scope, this risk of displacement of emissions is related to the FRL / FREL and the technical annex of results REDD-plus +, which has a subnational scope, within the six regions included in this proposal, regions included in the so-called South Zone, from the Maule to Los Lagos. In terms of regulations, to address this safeguard, the country has the following laws: ● Decree No. 4363/1931 of the Ministry of Lands and Colonization, which sets the definitive text of the forest law and whose implication with the ENCCRV is that it defines the Preferential Forest Aptitude (APF) lands to those who, due to their conditions of soil and climate, should not be plowed permanently. The definition excludes those soils without suffering degradation that can be used for agriculture, fruit growing or intensive livestock. It is also defined that lands classified as APF, in addition to natural and artificial forests, will be subject to the CONAF approved management plans. ● Decree Law No. 2565/1979, which replaces Decree Law No. 701, of 1974. This Law has the objective of regulating forest activity in APF soils and degraded soils and encouraging afforestation, especially by small forest owners and necessary for the prevention of the degradation, protection and recovery of the soils of the national territory. ● Law No. 20.283 / 2008, on Recovery of the Native Forest and Forest Development, a legal body that aims to protect, recover and improve native forests, in order to ensure forest sustainability and environmental policy,

has a direct relationship with the ENCCRV. This Law, among other regulations, defines and regulates forest types, management plans, and environmental protection norms, the Conservation, Recovery and Sustainable Management Fund of the native forest and the procedures and sanctions in cases of violation of its norms. ii) Respect and compliance In the Summary of Safeguards displacement risks associated with the most relevant deforestation and degradation causes are identified for the ENCCRV, among them: ● Expansion of agricultural-livestock activity and urban and industrial expansion ● Unsustainable use of vegetational resources for production ● Forest Fires ● Unsustainable management of forest crops ● Unsustainable use of vegetational resources for livestock The risks associated with the displacement of emissions are linked to the reduction of the causes and agents of deforestation and forest degradation. Thus, if a territory is suffering from illegal agricultural activities in forested areas, increasing the vigilance and application of regulations can reduce deforestation in the places to which they are directed. In this way, like the previous safeguard, the monitoring will be done through the Measurement and Monitoring System of the ENCCRV, which includes elements of Measurement, Reporting and Verification (MRV).

ANNEX B PLR Alignment review against FAO's ESS

Review indicators Alignment review

ESS 1 Natural Resources Management

Key objectives: Promote direct action to enhance resource use efficiency. Focus on ways to ensure the transition to sustainable practices

Management of soils Chilean legislation has been proactive in supporting the protection of the environment and the preservation of and land resources the nature setting the stage prior to the ENCCRV with regulations that provided the framework for natural Tenure resources protection and tools for the regulation of the environmental evaluation instruments. The Law N ° Climate 19.300, on the General Bases of the Environment from 1994 (updated in 2016) and D.S. N ° 40, of 2013, of the Management of water resources and small Ministry of the Environment go on that direction, establishing a general framework for the protection of the dams (not applicable environment and the regulation of the System of Evaluation of Environmental Impact through which the for this assessment) Environmental Impact Assessment System (SEIA) is established. The SEIA is an instrument applicable to investment projects and/or productive activities to determine the potential effects they will have on the environment and establish the corresponding measures to mitigate the impacts of the project. The legislation considers the following socio-environmental assessment instruments: Environmental Impact Study (EIA), Environmental Impact Statement (EIS) and Strategic Environmental Assessment (EAE). During the development of the ENCCRV, the instruments were implemented according to the criteria and procedures established in the SEIA Regulation, as applicable.

In addition, the decree No. 4.363 from 1931, of the Ministry of Lands and Colonization (current Ministry of National Assets), which approved the final text of the Forest Law No. 656 from October 17, 1925 that has as a purpose to protect forest resources and increase the forested area. This Decree constituted the first environmental regulation in the country for the protection of waters, soils and forests. It also established forestry development instruments that expanded the area of plantations to about 300,000 ha. This law also established the bases of the institutional mandate of CONAF in matters of erosion control and torrent correction. In terms of water, this law establishes that forest lands are those that are born in springs, those that are part of the river and estuary areas and that are not qualified for cultivation.

Also, the Law No. 20,283, on Recovery of the Native Forest and Forest Development having as objectives the protection, recovery and improvement of native forests, in order to ensure forest sustainability and environmental policy and the Decree 4363 which was the first legal initiative aimed at promoting and regulating the use of forest resources in Chile

As for the ENCCRV, it was expected that during the preparation phase (2010 – 2016) the activities to implement it generate significant positive impacts on the natural habitats of the country through the implementation of various activities to prevent their deterioration, neutralize their loss and in case of critical habitats, proceed with their recovery. The application of this policy seeks that the initiatives to be implemented within the framework of the ENCCRV reinforce the conservation of biodiversity and the different environmental services that natural habitats provide at the national level. To achieve this, the ENCCRV integrates a set of direct and facilitating action measures, developed through a process of technical and participatory formulation of regional and national character. To influence technical, political and financial decision-making to position the role of vegetational resources in mitigation and adaptation to climate change, the fight against desertification, land degradation and drought, as priority axes in policies of sectoral development.

ENCCRV also supports the reduction of the vulnerability associated with the risk of land degradation through the management of vegetational resources. The contribution to the reduction of vulnerability is evaluated in terms of indicators associated with biodiversity, provision of ecosystem services such as the supply and regulation of water flows and quality, as well as soil productivity.

ESS 2 Biodiversity, Ecosystems and Natural Habitats

Key objectives: Avoid agricultural, livestock, fisheries, aquaculture and forestry practices that could have adverse impacts on biodiversity, ecosystems,

44 ecosystem services or critical habitats. Sustainably manage the ecosystems in order to maintain the services and benefits they provide. Ensure that exchange of genetic resources conforms to access and benefit sharing measures in force in the country (ies) involved.

Protected Areas, The policies related with the implementation of the ENCCRV supported the management, restoration, buffer zones or afforestation, revegetation and conservation of native forest in line with the REDD-plus + approach. It was also natural habitats supporting of the welfare of those communities that depend of the native forests for their subsistence, the Biodiversity protection of the biodiversity and the regulation of buffer zones. Conservation Use of Alien Species or non-native species The Decree Law (DL) No. 701 of 1974 on Forestry Development aims to promote the forestry development of (not applicable for Chile. The main regulation established by DL No. 701 related to the permanence of removals of greenhouse this assessment) gases provided by forests, is the absolute obligation to reforest or regenerate after any cutting action in natural Access and benefit- or artificial forests. However, the Law N ° 19,561 of 1998 goes further into conservation and preservation of sharing for genetic species by modifying, among others, the following articles of Decree Law No. 701 on forestry promotion, the text resources (not that was replaced by Decree Law No. 2,565 of 1979. The purpose of the law is to regulate forestry activity in applicable for this assessment) preferential soils. and on degraded soils and encourage afforestation, especially for the prevention of Living Natural degradation, protection and recovery of soils.[1] Furthermore, Law 19561 introduced changes in the following Resources (not definitions[2]; applicable for this assessment) Forestation: The action of populating with arboreal or shrubland species land that lacks them, or that, being covered with said vegetation, it is not possible to be managed as a tree or shrubby mass for preservation,

protection or production purposes. Reforestation: The action of repopulating with arboreal or shrub species, by sowing, planting or managing natural regeneration, a land that has been covered with forest and that has been subject to extractive exploitation after October 28, 1974

[1] [2] The Decree Law has the following complementary regulations: Supreme Decree No. 193, of 1998, of the Ministry of Agriculture. General Regulation of Decree Law No. 701, of 1974. Supreme Decree No. 192, of 1998, of the Ministry of Agriculture. Regulation for the Payment of Forest incentives. Supreme Decree No. 1,341, of 1998, of the Ministry of Finance. Regulation that establishes accounting rules applicable to taxpayers who carry out forestry activities in accordance with Decree Law No. 701 of 1974 on Forestry Development. Supreme Decree No. 259, of 1980, of the Ministry of Agriculture. Technical Regulation of Decree Law No. 701, of 1974. Defines twelve forest types for the native forest and the silvicultural treatments that apply to each of them. It should be noted that on December 31, 2012 the validity of the incentive system contemplated in Article 12 of the 1998 amendment to Decree Law No. 701 of 1974 expired, which is why afforestation and other incentive activities carried out from of January 1, 2013 will not be subject to rebate, according to the regulations currently in force. However, the regulation of forestry regulations in forest plantations and native forests is still in force, especially the approval and supervision of management plans for forest cutting activities and the obligation to reforest

Law No. 20,283, on Recovery of Native Forest and Forestry Development The purpose of this law is to regulate the protection, recovery and improvement of native forests, in order to ensure forest sustainability and environmental policy. Among other elements, through this law: it is established that every action of cutting of native forest must have a Management Plan; the Conservation, Recovery and Sustainable Management Fund of the Native Forest is created; the Consultative Council of the Native Forest is created; resources are established for the investigation of the native forest; and environmental protection standards are established that protect ecological values. The regulations of this law are as follows: Decree No. 68 of 2009 of the Ministry of Agriculture, which establishes, approves and makes official the number of arboreal and shrubby species native to the country. Supreme Decree No. 80 of 2008 of the Ministry of Agriculture. Regulations of the Consultative Council of the Native Forest. Supreme Decree N ° 93, of 2008, of the Ministry of Agriculture. General Regulation of the Law on Native Forest Recovery and Forest Development. Supreme Decree No. 95 of 2008 of the Ministry of Agriculture. Regulation of the Conservation, Recovery and Sustainable Management Fund of the Native Forest. Supreme Decree N ° 96, of 2008, of the Ministry of Agriculture. Regulation on Resources for Native Forest Research. Supreme Decree N ° 82, of 2010, of the Ministry of Agriculture. Regulation of Soils, Water and Wetlands.

The protected wild areas of Chile are legally supported by the Law of Forests of 1931, in the D.S. No. 531 of 1967, which ratifies the 1940 Washington Convention and in the D.L. No. 1,939 of 1977, on acquisition and Administration of State assets. The country has a good record in the area with legislation to protect forests dating back to 1872 when the first law to protect forest against slash was dictated. The protected areas located in the South Zone are covered under those mandates and also the biosphere reserves such as the Araucarias

(Araucanía region) Valdivian Temperate Rainforest (Los Lagos and Los Ríos Regions) and the Nevados de Chillán Biological Corridor (Bio-Bio Region). Furthermore, the creation of the CITES National Committee in 2006 as instance of coordination between the different State bodies and institutions linked to the international trade in endangered species of wild fauna and flora supported the protection of biodiversity.

[1] https://www.ecolex.org/details/legislation/ley-no-19561-modifica-el-decreto-ley-no-701-sobre-fomento- forestal-lex-faoc015393/ [2] http://extwprlegs1.fao.org/docs/pdf/chi15393.pdf

El DL 701 establece incentivos a la forestación o estabilización de dunas en suelos APF y bonificación o beneficios tributarios por manejo de bosques plantados en terreno APF. Luego, la modificación de 1998 (Ley 19.561) efectivamente incentiva la forestación por parte de pequeños propietarios, en suelos frágiles y degradados, a través de dos bonificaciones. [2]

ESS 3 Plant Genetic Resources for Food and Agriculture

Key objectives: Prevent actions resulting in loss of PGRFA diversity by promoting their effective conservation (in situ and ex situ); Safeguard against actions resulting in unintended environmental and social consequences; Promote sustainable crop improvements and production and enhanced productivity; Ensure that the transfer of PGRFA conforms with the measures relating to access and benefit sharing, IPR and farmers‘ rights which are in force in the country(ies) involved.

Introduction of new CONAF has managed, since its creation in 1966, the Centre for Seeds, Genetics and Entomological Research crops and varieties (CSGE), whose mission has been to supply forest seeds to national foresters, both in the public and private (not applicable) sectors. In parallel, it collaborates in the conservation of biodiversity through the protection and recovery of native Provision of seeds forest species with conservation problems, together with a decisive action in the production of agents for the and planting [1] materials biological control of pests . Modern biotechnologies and The Center for Seeds, Genetics and Entomology is located in the city of Chillán, where activities are carried out the deployment of and programs are developed to improve the quality and condition of the forest resource. their products in crop The activities that are developed in the CSGE are classified and distributed in different programs and lines of production (not work. Among those lines is the Genetic conservation: Responsible for the design and application of ex situ applicable) conservation strategies of native species with conservation problems or that are threatened with extinction risk. Planted Forests (not applicable) Regarding the native forest, the main action related to forest genetic resources is the collection of seeds in all regions of the country, covering as many accessions as possible, which are then classified and subjected to treatments for proper storage, or they are nursed and then sent to plantations. Also at a national level, the areas with the greatest biological diversity and the plus trees are identified from where seeds will be obtained for proper future preservation.

The work of the Centre particularly with regards to the ENCCRV produced later the publication Adaptation Program for the management of vegetational resources, in the framework of climate change, desertification, land degradation and drought, a document available at the following link: https://docs.wixstatic.com/ugd/902a1e_409e88ec8bd346c58b0694ba7f61d648.pdf

[1] http://www.conaf.cl/nuestros-bosques/plantaciones-forestales/semillas-y-biocontroladores/

ESS 4 Animal - Livestock and Aquatic - Genetic Resources for Food and Agriculture

Key objectives: Promote sustainable management of animal and aquatic genetic resources; Prevent loss of valuable livestock and aquatic genetic diversity; Safeguard against actions resulting in unintended environmental and social consequences.

Introduction of breeds Given the nature of the ENCCRV and the REDD-plus preparedness phase activities none of the main features into new production highlighted to be assessed in this safeguard is applicable. environments Change in the production system of locally adapted breeds Introduction of new species Collection of wild genetic resources for farming systems Modification of habitat

ESS 5 Pest and Pesticides Management

Key objective: Promote Integrated Pest Management (IPM), reduce reliance on pesticides and avoid adverse impacts from pesticide use on the health and safety of farming communities, consumers and the environment.

Pest Management The ENCCRV and the REDD-plus activities did not plan to support the introduction of pesticides, therefore, the Plan main features of this ESS are not applicable to the evaluation i.e. PIM, disposal and responsibility. Nevertheless, Selection of we would like to highlight the inclusion of specific actions for the strengthening of phytosanitary protection in pesticides native vegetational resources. One important piece of law for the understanding of policies and regulation Supply of pesticides by FAO regarding this safeguard is the Health Code; DL 725, 1968. Disposal The Code establishes provisions on agricultural protection. Phytosanitary surveillance of Chile's forest resource Responsibility is under the responsibility of the Agricultural and Livestock Service (SAG) to protect, maintain or improve the condition of commercial plantations, native forests and urban trees, without prejudice to the provisions included in forestry legislation regarding phytosanitary issues[1] [2] . In addition, law 20283 and the DL 701 have measures to prevent damages produced by plagues and the recovery of the native forest affected by plagues.

El anexo Nº4 del MGAS de la ENCCRV corresponde al protocolo para el control de plagas y enfermedades, basado en las recomendaciones establecidas en la OP/BM 4.09, sobre plagas y enfermedades. Este anexo contiene información que complementa los antecedentes presentados para esta salvaguarda. [2]

ESS 6 Involuntary Resettlement and Displacement

Key objectives: Prohibit forced eviction. Avoid, and when avoidance is not possible, minimize adverse social and economic impacts from restrictions on land or resource use or from land and resource acquisition Improve or at least restore living conditions of persons who are physically or economically displaced, through improving and restoring their productive assets and security of tenure.

Prohibit forced In no case, in the objectives and activities of the ENCCRV has been planned to carry out involuntary resettlement evictions actions that affect the beneficiaries and/or the population of the area of influence of the interventions, i.e. the Avoid and mitigate displacement or loss of land, housing, real estate or physical assets. Nevertheless, there is strong legislation physical and placed in country in order to avoid physical and/or economic displacement that were in place during the time of economic displacement the evaluation ensuring compliance with this safeguard. Develop plans for physical or economic The national regulatory framework address situations of involuntary resettlement that occur as a result of the displacement implementation of the ENCCRV. It should be noted that the national regulations (including international ones incorporated into domestic law such as international conventions) was always respected, and any resettlement or mitigation action of the impacts that this could have produced, should have been designed and implemented according to said regulations. A non-exhaustive list of them are briefly discussed below[1];

The decree Law No. 2,695 of 1979 sets rules to regularize the possession of the small property and for the constitution of the domain over it, establishing the instruments for its regularization, including who owns or owns material of a real estate, but lacking properly registered title of domain in the Real Estate Curator, recognizing the quality of regular holder to acquire the domain of the property

Article 19 No. 24 of the Political Constitution of the State Establishes that no one may, in any case, be deprived of their property, the good over which falls or any of the essential attributes or powers of the domain, but by virtue of the general or special law authorizing the expropriation for reasons of public utility or of national interest, qualified by the legislator

Law N ° 19.300, on General Bases of the Environment and D.S. No. 40 of 2013, Ministry of the Environment Regulation of the Environmental Impact Assessment System Article 11 of Law No. 19.300 establishes that all those projects that involve the resettlement of human communities, or significant alteration of the life systems and customs of human groups, will require an EIA. The Regulation establishes in its Article 8, that, in order to evaluate significant alteration to life systems and customs of human groups, the generation of significant adverse effects on the quality of life of these groups will be considered, in attention of the duration or magnitude of any of the following circumstances: a) The intervention, use or restriction of access to natural resources used as economic support of the group or for any other traditional use, such as medicinal, spiritual or cultural use. b) Obstruction or restriction to free circulation, connectivity or significant increase in travel times. c) The alteration to access or quality of goods, equipment, services or basic infrastructure. d) The difficulty or impediment to the exercise or manifestation of traditions, culture or community interests, which may affect the feelings of social cohesion or group cohesion

D.S. N °. 95 of 2001 (MSGPR), Regulation of the System of Environmental Impact Assessment [2] With regard to the resettlement, the Regulation of Law No. 19.300 deepens in what was established in said legal body through its article 8 of the Law, stating that the owner of a project must submit an EIA, if his project or activity generates resettlement of human communities or significant alteration of systems of life and customs of human groups. Moreover, article 22 of the D.S 95 establishes that in order to evaluate whether the project or activity generates significant alteration of life systems and customs of groups, the change produced in the following dimensions will be considered: geographical, demographic, anthropological, socio-economic and the resignation of basic social welfare

Decree Law No. 2,186, of 1978, Organic Law of Expropriation Procedures. This Decree contemplates detailed procedures that aim to protect the owner of the property, in the justification of the expropriation, in the correct valuation of the property and in the payment of a fair price. It establishes the option for the expropriated to challenge the procedures when it considers that it is being harmed

Decree Law No. 1.939, of 1977, of the Ministry of Lands and Colonization (current Ministry of National Property) The Decree Law regulates all matters relating to the ownership of the land under the control of the State and establishes that the Ministry of National Assets will be responsible for starting and maintaining the cadastre of real property owned by the tax authorities and of all State entities. Establishes that Forest Reserves, National Parks and fiscal lands whose occupation and work in any way compromise the ecological balance, may only be used or granted in use to State agencies or legal persons governed by Title XXXIII of Book I of the Civil Code, for conservation purposes and protection of the environment

[1] Anexo N°7: Marco de políticas de reasentamiento y normas de procedimiento OP/BM 4.12

[2] http://www.conaf.cl/cms/editorweb/GEF-BM/Apendice-7_07-Normas_Reasentamiento_Involuntario.pdf

ESS 7 Decent Work

Key objectives: Promote direct action to foster decent rural employment. Promote fair treatment, non-discrimination and equal opportunity for all workers. Protect and support workers, particularly disadvantaged and vulnerable categories of workers. Promote the application of international labour standards in the rural economy, including the prevention and elimination of child labour in agriculture.

Creation of more and Given the nature of the ENCCRV and the REDD-plus preparedness phase activities none of the main features better employment highlighted to be assessed in this safeguard is applicable. opportunities, especially for youth and women Non-discrimination and equal opportunity Occupational Safety and Health (OSH) Child labour prevention and reduction Forced labour Workers’ and producers’ organizations

ESS 8 Gender Equality

Key objectives Provide equal access to and control over productive resources, services and markets. Strengthen women and men’s participation in decision-making in rural institutions and policy processes. Ensure that all stakeholders benefit equally from development interventions and that inequality is not reinforced or perpetuated.

Combating The most important legal instruments in Chile and that are considered as a basis for Gender equality are: discriminatory practices Article 19 of the Political Constitution of the State, in its numeral 2, establishes "Equality before the Law (...) men Equal opportunities and women are equal before the law", (National Congress, 2005) for men and women to participate in and benefit Besides, the Law No. 20.820 / 2015, created by the Ministry of Women and Gender Equity, in its article 1, establishes the foundations of the Ministry, indicating that the Secretary of State is in charge of collaborating with the President of the Republic in the design, coordination and evaluation of policies, plans and programs aimed at "promoting equity of gender, equal rights and to seek the elimination of all forms of discrimination arbitrary against women "

The Law No. 20,609 / 2012, which establishes measures against discrimination and that is provided in Article 1,

Chile has also the "Interministerial Committee for Equality of Rights and Gender Equity "agency that should collaborate in the implementation of policies, plans and programs aimed at equal rights between women and men, incorporating the gender perspective in the performance of the State

For more details in gender related information of the ENRVCC implementation period 2014-16 the project has prepared a full Gender Assessment and Action Plan that is included in the submission package of the proposal

ESS 9 Indigenous Peoples and Cultural Heritage

Key objectives Ensure that the UN Declaration on the Rights of Indigenous Peoples is respected in all FAO’s projects and programmes; Promote the right to self-determination and development with identity of indigenous peoples (right to decide the kind of development that takes place among their people and on their lands and territories, in accordance with their own priorities and conceptions of well-being); Guarantee the application of the principle of Free, Prior and Informed Consent (FPIC) of indigenous people affected by the project; Recognize, respect and preserve the rights, lands, natural resources, territories, livelihoods, knowledge, social fabric, traditions, governance systems of Indigenous Peoples.

Identification of The assessment of the fulfilment of this safeguard is explained in detail in the evaluation presented under the indigenous people item XX Cancun Safeguards (C). However, as explained at the beginning of the section we wanted to Rights over land, complement the information so to have a comprehensive assessment and a more robust response. territories and natural resources

Prior Assessment of Chile has continental and overseas rural indigenous populations distributed mainly in 10 regions of the country, the Impact on however the present assessment refers only to the continental population of indigenous peoples that have a Indigenous Peoples presence in the regions targeted by this proposal. The ESS evaluation reviews the specific instruments for Free, Prior and working with indigenous people. To this end, the SESA included the participation of representatives of Indigenous Informed Consent (FPIC) Peoples throughout the country in all stages of the process; during the process of formulation and validation, Indigenous Peoples’ through the process of Dialogue and Indigenous participation which was carried out in all the regions with the Plan presence of continental rural indigenous peoples (Maule, Biobio, Araucanía, Los Ríos, Los Lagos, included).

The process was based on the statement of the national body competent in indigenous matters that corresponds to the Ministry of Social Development (MIDESO) through the Undersecretary of Social Services, via the Oficio ORD. Nº1604 of June 9, 2016, where it was determined that in this phase, the right to "participation" of Indigenous Peoples is applied in accordance with the provisions of Article 7 of ILO Convention No. 169 (according to Decree No. 66). Adding that if there are legal or administrative initiatives that could affect the Indigenous Peoples that should be promoted in the framework of the implementation of the Strategy, the right to consultation should be applied according to article 6 of the same Convention. To that end, in the implementation phase of the ENCCRV, an Indigenous Peoples Planning Framework (MPPI) has been prepared, it includes the instruments to be applied such as the Plans for Indigenous Peoples and the models of intervention in indigenous lands developed in a differentiated manner for the southern macrozone (target area of the proposal) and northern macrozone of the country, which have then later been incorporated as instruments of the ENCCRV ESMF.

Law No. 19,253, which establishes regulations on protection, promotion and development of indigenous peoples, and creates the National Indigenous Development Corporation. It establishes regulation on protection, promotion and development of the natives, and creates the National Indigenous Development Corporation (CONADI). Moreover, article 13 of the Law No. 19,253, Indigenous Law, establishes that indigenous lands shall enjoy the protection of this Law and may not be alienated, seized, encumbered, or acquired by prescription, except among communities or indigenous persons of the same ethnicity However, it will be allowed to tax them, with prior authorization from CONADI. This tax cannot include the house-room of the indigenous family and the land necessary for their subsistence. Likewise, lands whose holders are indigenous communities may not be leased, given as a loan, nor assigned to third parties in use, enjoyment or administration. Decree No. 236 of the Ministry of Foreign Affairs that promulgated as the Law of the Republic, Convention No. 169 on Indigenous and Tribal Peoples in Independent Countries, of the ILO Art. 13 and following states that the peoples concerned should not be transferred from the lands they occupy. When exceptionally the transfer and relocation of these peoples are considered necessary, it should only be done with their consent, given freely and with full knowledge of the cause.

Also, the Supreme Decree No. 66 of 2013 of the Ministry of Social Development Regulates the procedure of Indigenous Consultation under Article 6 No. 1 and No. 2 of ILO Convention 169, promulgated through D.S. No. 236, of October 2, 2008, MINREL.

Although the ENCCRV does not financed activities that involve the elimination or alteration of physical cultural resources, during the SESA, risks for the national cultural heritage linked to the implementation of some actions were identified. This became relevant for the design and execution of activities that are proposed or implemented with the ENCCRV and that may affect tangible or intangible heritage resources, including sites of cultural value and / or ancestral use for indigenous communities related to forests and vegetational resources (for example species of flora and fauna ancestrally associated to indigenous communities). However, the implementation of measures that guarantee their identification and protection were contemplated in accordance with national regulations, internal CONAF procedures and WB OP standards as those activities were implemented under the support of the FCPF.

Now regarding cultural heritage it is worth to mention that it has constitutional rank, since the Constitution of Chile in its tenth article states: "It will correspond to the State, (...), to promote the development of education at all its levels; stimulate scientific and technological research, artistic creation and the protection of the Cultural heritage of the Nation". From this constitutional recognition a legal order has been generated on the cultural heritage, highlighting the following laws,

Constitutional Organic Law on Government and Regional Administration, by Supreme Decree No. 291 of 1993 (updated from Law No. 19,175). Refers in its article 19, in matters of social and cultural development, and specifically in its literal f), that it will correspond to the regional government: "to promote cultural expressions, protect historical heritage, artistic and cultural heritage, including national monuments, and ensure the protection and development of the original ethnic groups "

The Law No. 17.288, on National Monuments and D.S. No. 484, of 1990, of the Ministry of Education, which established the Regulation on explorations and/or archaeological, Anthropological and Paleontological Surveys. The Law seeks to protect the existing cultural heritage in Chile, in terms of buildings or objects of historical value such as artistic, scientific, etc. It distinguishing 4 categories of national monuments:

i) Historical monuments; ii) Public monuments; iii) Archaeological monuments; iv) Typical areas and sanctuaries of nature Handing over to the Council of National Monuments the responsibility of its implementation. Title V this law refers to excavations and archaeological, anthropological and paleontological surveys, and states that the regulation (Supreme Decree No. 484 of March 28, 1990) will determine, among others, the conditions of the permits granted, of its realization and the way in which the obtained objects and species will be distributed. Additionally, Chile has signed the Convention on the Protection of the World Cultural and Natural Heritage, promulgated by Supreme Decree No. 259 of March 27, 1980, MINREL

Another legal body that assumes the protection of Chilean cultural heritage is Law No. 19,300 on General Bases of the Environment. This incorporates cultural heritage within the aspects protected by its provisions, considering the elements as part of the "environment" sociocultural and their interactions. In this way, for all legal purposes, in article 2 conservation of environmental heritage will be understood as "the rational use and exploitation or repair, where appropriate, of the components of the environment, especially those of the country that are unique, scarce or representative, in order to ensure their permanence and regeneration capacity[1].

[1] Anexo 6. Normas de procedimiento para el patrimonio cultural fìsico OP/BM 4.11 SESA

ANNEX C. Alignment Assessment with FAO Screening check list Environmental and Social Safeguards.

The design and implementation of the National Strategy for Climate Change and Vegetation Resources (ENCCRV, acronym in Spanish) is leading by the application of measures set for in the policies and regulations defined at national level. At the subnational level, with each of the FAO safeguards, the following is a thorough analysis of that evaluation during the timeframe of the proposal.

SAFEGUARD 1 NATURAL RESOURCES MANAGEMENT

Question Management of soil and Alignment Review Evaluation / Recommendations land resources

1.1 No activities undertaken The activities promoted the Good level of alignment, consistent that may result in the maintenance of ecosystem services with key objectives of FAO ESS, degradation (biological or benefitting the biological and physical without relevant shortcomings. Chilean physical) of soils characteristics of soils in the area of laws have a long record of protection influence of the environment and management of the natural capital (land and water resources) Ensure sustainable land management practices The programme supported sustainable land management. According to the law 20.283, any stakeholder engaging in conservation or enhancement of forest carbon stock activities had to present a Management Plan to plan the management of ecological heritage or the sustainable use of forest resources, safeguarding water quality and avoiding soil degradation.

All activities were carried out according to national legislation. There is no evidence to-date that the activities undertaken resulted in any adverse impacts to native forests, critical habitats, soils, including conversion etc.

Management of water resources and small dams

1.3 Would this project The actions carried out to reduce This FAO ESS did not apply in the develop an irrigation deforestation, degradation, case of this project scheme that is more than conservation and enhancement of 20 hectares or withdraws forest carbon stocks did not include the

more than 1000 m3/day development or improvement of of water? irrigation schemes.

1.4 Would this project develop an irrigation scheme that is more than 100 hectares or withdraws more than 5000 m3/day of water?

1.5 Would this project aim at improving an irrigation scheme (without expansion)?

1.6 Would this project affect The actions carried out, given its This FAO ESS did not apply in the the quality of water either nature and scale, did not pose any risk case of this project by the release of to affect the quality of water either by pollutants or by its use, the release of pollutants or by its use thus affecting its characteristics (such as temperature, pH, DO, TSS or any other?

1.7 Would this project include the usage of wastewater?

1.8 Would this project involve The actions carried out to reduce This FAO ESS did not apply in the the construction or deforestation, degradation, case of this project financing of a dam that is conservation and enhancement of more than 15 m. in forest carbon stocks did not involve the height? development or financing of dams

1.9 Would this project involve the construction or financing of a dam that is more than 5 m. in height?

Tenure

1.10 Would this project The activities undertook did not pose Good level of alignment, consistent permanently or any risks to individual or communities’ with key objectives of FAO ESS, temporarily deny or tenure rights, including right to use or without relevant shortcomings restrict access to natural benefit from natural resources. The resources to which they Law 19253 in the article 12 expressly have rights of access or states that there are no restrictions to use use or benefit from natural resources by Indigenous people in their lands.

Activities undertook to reduce forest Could this project result in degradation were framed in the any changes to existing Dendroenergy Strategy 2015. The tenure rights¹ (formal and actions in 2015 involved the strength of informal²) of individuals, capacities for traceability of firewood, communities or others to with the end of improving CONAF’s land, fishery and forest regulatory and supervisory role. resources?

¹Tenure rights are rights to own, use or benefit from natural resources such as land, water bodies or forests

²Socially or traditionally recognized tenure rights that are not defined in law may still be considered to be 'legitimate tenure rights'.

Climate

1.11 Activities result in a From the first draft in 2015, the Good level of alignment, consistent reduction of the adaptive ENCCRV aims to support the recovery with key objectives of FAO ESS, without significant shortcomings. 1.13 capacity to climate and protection of native forests and change for any xerophytic formations, and enhance stakeholders in the area the establishment of vegetation of results. formations in suitable areas, as measures of mitigation and adaptation to climate change. This ENCCRV goes beyond mitigation. It includes specific Activities resulted in a net activities related to adaptation, as well increase of GHG as activities related to biodiversity emissions beyond those protection and reduction of land expected from increased degradation. production

Data collected to date does not reveal that communities already subjected to impacts from climate change may experience an acceleration and/or intensification of such impacts due to the conclusion of these agreements and realization of their conservation objectives.

The Reducing Emissions from Deforestation and Forest Degradation (REDD) is an effort to create a financial value for the carbon stored in forests, offering incentives for developing countries to reduce emissions from forested lands and invest in low-carbon paths to sustainable development.

Between 2014 and 2016, the ENCCRV contributed to Chile’s mitigation from REDD+ ACTIVITIES of 18.409.424 tCO2e achieved at the subnational level and reported in the REDD+ Technical Annex of the Biennial Update Report submitted to the UNFCCC in 2018.

SAFEGUARD 2 BIODIVERSITY, ECOSYSTEMS AND NATURAL HABITATS

Protected areas, buffer Alignment Review Evaluation / Recommendations zones or natural habitats

2.1 Would this project be The activities carried out in buffer Good level of alignment, consistent implemented within a legally zones or protected areas aimed to with key objectives of FAO ESS. designated protected area or strength the protected areas and to its buffer zone? increase the biodiversity and the ecosystems functions they provide, thus not negative impact on ecosystem functions over which the project had direct or indirect effects did occur.

The Law No. 19,300, General Basis for the Environment, and the Superior Decree No. 40, 2013, of the Ministry of the Environment, establishes that for any intervention within a legally designated protected area or its buffer zone an Environmental Impact Assessment must be presented to the Environmental Impact Assessment System (SEIA) in order to ensure regulatory compliance.

Biodiversity Conservation

2.3 Would this project change a The activities undertook did not This FAO ESS did not apply in the natural ecosystem to an change any natural ecosystem but case of this project agricultural/aquaculture/forestr improve them y production unit with a reduced diversity of flora and fauna?

Use of alien species

2.4 Would this project use an alien The actions carried out to reduce Good level of alignment, consistent species which has exhibited an promote conservation and with key objectives of FAO ESS. invasive* behavior in the enhancement of forest carbon stocks Some potential risks were identified country or in other parts of the aimed to conserve and preserve the related to actions to be promoted in world or a species with native vegetative resources of the the ENCCRV. unknown behavior? country or for the promotion, establishment, restoration and This risk has been addressed in the *An invasive alien species is sustainable management of native ESMF where the list of activities defined by the Convention on forests. excluded comprises: Biological Diversity as “an · Afforestation (plantation alien species whose The article 2 of Law 20283 provided on land that did not have forests introduction and/or spread incentives for control or elimination of in the last twenty years) of threaten biological diversity” alien species dense monocultures with fast- (see growing introduced forest https://www.cbd.int/invasive/ter that threaten the xerophytic species in continuous stands of ms.shtml). formations of high ecological value or more than 10 hectares native preservation forests. (continuity means that between stands there is a buffer of at least 5 times the area that was planted). · Planting of vegetal species (trees or shrubs) that have not passed the reliable proof of not being invasive, proof that should be done by CONAF's own centres for this purpose (typically exotic species fall into this category, but may eventually include native species that are introduced from one biome to another even within the same country).

Access and benefit sharing for genetic resources

Would this project involve The activities undertook did not This FAO ESS did not apply in the access to genetic resources involve the use of plant genetic case of this project for their utilization and/or resources for food and agriculture access to traditional (PGRFA) falling under the Multilateral knowledge associated with System of Access and Benefit- genetic resources that is held sharing (MLS). by indigenous, local communities and/or farmers?

SAFEGUARD 3 PLANT GENETIC RESOURCES FOR FOOD AND AGRICULTURE

Introduce new crops and Alignment Review Evaluation / Recommendations varieties

3.1 Would this project Introduce The activities carried out did not This FAO ESS did not apply in the crops and varieties previously introduce any crops or varieties case of this project not grown? previously not grown.

Provision of seeds and planting materials

3.2 Would this project provide CONAF has managed, since its Good level of alignment, consistent seeds/planting material for creation in 1966, the Centre for with key objectives of FAO ESS. cultivation? Seeds, Genetics and Entomological Research (CSGE). Regarding the native forest, the main action related to forest genetic resources was the collection of seeds in all regions of the country, which are then classified and subjected to treatments for proper storage, or they are nursed and then sent to support process of establishment, restoration and sustainable management of native forests.

Modern biotechnologies and the deployment of their products in crop production

3.3 Would this project supply or The activities carried out did not This FAO ESS did not apply in the use modern plant involve supply or use modern plant case of this project biotechnologies and their biotechnologies and their products products?

Planted forests

3.4 Would this project establish or The actions carried out to reduce This FAO ESS did not apply in the manage planted forests? deforestation, degradation, case of this project conservation and enhancement of forest carbon stocks were targeted in native forest and not actions to establish or manage planted forest were undertaken.

SAFEGUARD 4 ANIMAL (LIVESTOCK AND AQUATIC) GENETIC RESOURCES FOR FOOD AND AGRICULTURE

Introduce new Alignment Review Evaluation / Recommendations species/breeds and change in the production system of locally adapted breeds

4.1 Would this project introduce Non-animal genetic resources for food This FAO ESS did not apply in the non-native or non-locally and agriculture were involved in the case of this project adapted species, breeds, actions carried out to reduce genotypes or other genetic deforestation, degradation, material to an area or conservation and enhancement of production system? forest carbon stocks

4.2 Would this project introduce a REDD supports the conservation of This FAO ESS did not apply in the non-native or non-locally natural ecosystems no introduction of case of this project adapted species or breed for new species will be supported by the the first time into a country or programme production system?

4.3 Would this project introduce a The programme did not support the This FAO ESS did not apply in the non-native or non-locally introduction of non-native species case of this project adapted species or breed, independent whether it already exists in the country?

4.4 Would this project ensure No introduced genetic material was This FAO ESS did not apply in the there is no spread of the considered in the programme case of this project introduced genetic material into other production systems (i.e. indiscriminate crossbreeding with locally adapted species/breeds)?

SAFEGUARD 5 PEST AND PESTICIDES MANAGEMENT

Supply of pesticides by Alignment Review Evaluation / Recommendations FAO

5.1 Would this project procure, The actions carried out to reduce This FAO ESS did not apply in supply and/or result in the deforestation, degradation, the case of this project use of pesticides on crops, conservation and enhancement of livestock, aquaculture or forest carbon stocks did no forestry? include:

· to procure, supply and/or 5.2 Would this project provide result in the use of pesticides on forestry, seeds or other materials treated with pesticides? · to provide seeds, other materials treated with pesticides or inputs to farmers directly 5.3 Would this project provide inputs to farmers directly or Therefore, the actions did not lead through voucher schemes? to increased use of pesticides through intensification, expansion

of production or manage or 5.4 Would this project lead to dispose of waste pesticides. increased use of pesticides through intensification or expansion of production?

5.5 Would this project manage or dispose of waste pesticides, obsolete pesticides or pesticide contaminated waste materials?

SAFEGUARD 6 INVOLUNTARY RESETTLEMENT AND DISPLACEMENT

Alignment Review Evaluation / Recommendations

6.1 Would this removal* be The activities did not consider any Good level of alignment, consistent voluntary? displacement as part of actions with key objectives of FAO ESS. carried out. The pilot projects, did *temporary or permanent not generate direct or economic removal of people from displacement. their homes or means of production/livelihood or In the case of indigenous peoples, restrict their access to their this alignment is also ensured by means of livelihoods the Law 19253 in the article 13 that states: “the indigenous lands, due to national interest, shall enjoy the protection of this law and may not be alienated, seized, encumbered, or acquired by prescription, except between communities or indigenous persons of the same ethnicity.

Environmental and Social Management Framework

Chile REDD-plus RBP for results period 2014-2016

Table of Contents

1. INTRODUCTION7 2. PROJECT DESCRIPTION8 2.1. Project costs and financing11 2.2. Project components11 2.3. Project implementation16 3. ENVIRONMENTAL AND SOCIAL BASELINE18 3.1. Geographical location and topography 18 3.2. Environmental features of the proposed project area19 3.2.1. Climate and meteorology 19 3.2.2. Soil conditions 23 3.2.3. Land Use 24 3.3. Social features of the proposed project area30 3.3.1. Demographics 32 3.3.2. Education 35 3.3.3. Health 36 3.3.4. Land tenure aspects 37 4. LEGAL FRAMEWORK AND APPLICABLE SAFEGUARD POLICIES41 4.1. Environmental and Social Legislation41 4.2. Relevant International Conventions and Treaties46 4.3. Applicable Environmental and Social Safeguard Policies 47 4.4. Summary of Objectives and Principles for Implementation of the Gender Action Plan 49

5. STAKEHOLDER ENGAGEMENT50 5.1. Stakeholder Identification51 5.2. Stakeholder Engagement during Project Preparation/Formulation52 5.2.1. Consultations at the National Level 52 5.2.2. Consultations at Regional level and main results53 5.3. Stakeholder Engagement during Project Implementation58 5.3.1. Consultation and engagement in indigenous territories and peoples 58 5.4. Disclosure61 5.5. Grievance Redress Mechanism62 6. POTENTIAL SOCIAL AND ENVIRONMENTAL RISKS65 7. PRINCIPLES AND PROCEDURES TO MITIGATE IMPACTS FOR IMPLEMENTATION78 7.1. Defining Sub-Activities78 7.2. Environmental and Social Risk Screening of Sub-Activities78 7.3. Environmental and Social Risk Management (Monitoring and Reporting) 79 8. IMPLEMENTATION ARRANGEMENTS79 8.1. ESMF implementation arrangements82 ANNEXES85 Annex 1. List of non-eligible activities 85 Annex 2. Indigenous Peoples Planning Framework (IPPF)87 Annex 3. FAO’s environmental and social screening checklist 88

List of tables Table 1. Project Cost and Financing (USD million) 11 Table 2. Goals, implementation typologies and responsible for the ENCCRV’s action measures15 Table 3. Main criteria and definitions18

Table 4. Soils description based in the classification of Luzio and Alcayaga (1992) 23 Table 5. Regional distribution of the types of forest26 Table 6. Average annual emissions from deforestation and degradation and increasing of carbon stock28 Table 7. Regional distribution of SNASPE 28 Table 8 Area of forest plantations in the project area30 Table 9. Relevant actors and stakeholders presented in the project area31 Table 10. Estimated population, distribution and population density by regions32 Table 11. Estimated of urban and rural population by regions33 Table 12. Estimated of urban and rural population disaggregated by gender33 Table 13. Distribution of the indigenous population in Chile by administrative region34 Table 14 Students enrolled in the formal education system by sex in the year 201635 Table 15 Students enrolled in the formal education system by sex and education level in the year 201635 Table 16 Provision of hospital beds by region at the year 201536 Table 17. Geographic distribution of different tenure regimes in the intervention area38 Table 18. Legal framework for indigenous land tenure39 Table 19. Relevant legislation and policy tools that at some extent are related to the application of the ESMF in the context of the ENCCRV41 Table 20. IFC Performance Standards & corresponding FAO Environmental and Social Safeguards47 Table 21. List of safeguard policies triggered for the Project48 Table 22. Relevant actors and stakeholders presented in the project area50 Table 23. Results of regional consultation workshops53 Table 24. participants by region and number of workshops/meetings, highlighting the regions where the project will operate59 Table 25. Classification of the main topics and common themes identified during the consultation workshops with indigenous communities59 Table 26. Risk matrix and management measures66

List of figures Figure 1. Scheme of the ENCCRV, Causes, Activities and Action Measures 9 Figure 2. Phases of the ENCCRV10

Figure 3. Example of selected property for multiple measures and activities13

Figure 4. Result-based resource allocation and investment scheme 16 Figure 5. Finance modalities for project implementation17 Figure 6. Map of the project intervention area19

Figure 7. Köppen Climactic classification of intervention area20 Figure 8. Temperature variation based on the RCP and SRES A1B scenarios (GCM and RCM) for 2031-2050 compared to the period 1961-199021 Figure 9. Changes in precipitation based on the RCP and SRES A1B scenarios (GCM and RCM) for 2031-2050 compared to the period 1961-199022 Figure 10. Relationship between the total area affected by fires and the sea surface temperature (April-September (-1)) in the El Niño Southern Oscillation in central Chile (regions from Valparaíso to Maule)23 Figure 11. Map of land use in the intervention area 25 Figure 12. Map of forest type distributions 27 Figure 13. Map of SNASPE distribution in the area of intervention29 Figure 14. Ethnic groups’ population in Chile34 Figure 15. Flowchart on the public information and attention process, according to the Law 19,88064 Figure 16. Project management structure80

List of acronyms

CBD Convention on Biological Diversity CITES Convention on International Trade in Endangered Species of Wild Fauna and Flora CONADI National Indigenous Development Corporation CONAF Forestry Corporation CORECC Regional Committee on Climate Change CTICC Inter-ministerial Climate Change Committee DEF Department of Environmental Control and Evaluation DEVA Department of Environmental Assessment EAE Strategic Environmental Assessment EIA Environmental Impact Assessment ENCCRV National Strategy for Climate Change and Plant Resources ERPD Emission Reduction Program Document ESIA Environmental and Social Impact Assessment ESMF Environmental Management Framework ESS Environmental and Social Safeguard FAO Food and Agriculture Organization of the United Nations FPIC Free Prior and Informed Consent FREL Forest Reference Emission Level GCF Green Climate Fund GDP Gross Domestic Product GEDEF Forest Development Management Office GEF Environmental Control and Evaluation Management Unit GHG Greenhouse gases GRM Grievance Redress Mechanism Ha Hectares ILO International Labour Organization INE National Institute of Statistics IPP Indigenous Peoples Plan IPPC International Plant Protection Convention ISPM International Standard for Phytosanitary Measures M&E Monitoring and Evaluation MINAGRI Ministry of Agriculture MMA Ministry of Environment MD Direct actions MDA Actions measures MF Enabling actions MRV Measurement, Reporting and Verification NDA National Designated Authority NDC Nationally Determined Contributions NGOs Non-Governmental Organizations OIG Office of the Inspector-General OIRS Complaints and Suggestions Offices PANCC National Climate Change Action Plan PANCC-II National Climate Change Action Plan 2017-2022

PANCD National Action Program against Desertification, Land Degradation and Drought 2016-2030 PMU Project Management Unit REDD+ Reducing Emissions from Deforestation and forest Degradation, plus the sustainable management of forests, and the conservation and enhancement of forest carbon stocks RBP Result-Based Payments SAG Agricultural and Livestock Service SDGs Sustainable Development Goals SEA Environmental Assessment Service SIAC Citizen Attention Information System SIS Safeguards Information System SMA Superintendence of the Environment SNASPE National System of Protected Wild Areas SNSS National Health Services System UAIS Indigenous and Social Affairs Unit UCCSA Climate Change and Environmental Services Unit UNCCD United Nations Convention to Combat Desertification UNESCO United Nations Educational, Scientific and Cultural Organization UNFCCC United Nations Framework Convention on Climate Change

EXECUTIVE SUMMARY

The following document presents the Environmental and Social Management Framework (ESMF) for the REDD+ Results Based Payment (RBP) Project proposed by the government of Chile to the Green Climate Fund (GCF). The project will be implemented by the Food and Agriculture Organization of the United Nations (FAO) in close collaboration and coordination with the National Forestry Corporation (CONAF), with participation of multiple actors such as local governments, indigenous peoples, private sector, stallholders and small owners, women groups and others.

The project focuses on the implementation of the National Strategy for Climate Change and Plant Resources (ENCCRV as in its Spanish acronym), which integrates the REDD+ national strategy, in five prioritized regions: Maule, Biobío, La Araucanía, Los Ríos, Los Lagos. These prioritized regions account for 15.3 million hectares of land, 35% of which are covered by native forests. The project area, for the period 2014 and 2016, has accounted for a total emissions reduction of 19,362,270 tCO2e and 100% of these emissions are offered to the GCF as part of this project.

It is important to note that the ENCCRV is aligned to the strategic objectives and goals of the 2015- 2035 Forest Policy approved in 2016 and constitutes an important policy tool to contribute to the international forestry, biodiversity and climate change-related commitments pledged by the government such as the United Nations Framework Convention on Climate Change (UNFCCC), United Nations Convention to Combat Desertification (UNCCD), Convention on Biological Diversity (CBD) and other national and international agreements. Additionally, the ENCCRV plays a fundamental role in achieving the mitigation and adaptation goals established in the country’s Nationally Determined Contributions (NDC).

Based on the importance that the ENCCRV has, this project will contribute to implement the strategy and the overall forest policy tools by addressing the main drivers of deforestation and forest degradation and the barriers that limit the increase of the quantity and quality of forest resources. To achieve this objective, the project is structured into three main components: a) REDD+ activities and investments in the five prioritized territories; b) Enabling conditions for the ENCCRV implementation; and c) Project management.

It is expected that the project will bring additional positive impacts. At the same time in order to avoid and to minimize potential negative social and environmental impacts, the project has been screened against FAO’s Environmental and Social Safeguards and revised the extensive work done in the framework of the ENCCRV’s elaboration, such as its Social and Environmental Management Framework and related operational tools to develop current Framework. Section 6 of this document presents the list of the potential social and environmental risks and their respective management measures, as well as the implementation arrangements.

Finally, it is important to note that a comprehensive and participatory Environmental and Social Management Plan will be developed based on the ESMF and is intended to be a living document. As such, further changes may apply during the implementation phase in order to conform and/or correct and align proposed policies and strategies with newly identified environmental and social risks.

1. INTRODUCTION

This Environmental and Social Management Framework (ESMF) has been prepared to support the project proposal for a REDD+ Result-based payment elaborated by the Chilean government and presented to the Green Climate Fund (GCF). This assessment allows to identify and avoid activities, in the context of the ENCCRV implementation, that may cause adverse impacts, involve any involuntary action or restriction on the use of land and natural resources that may result in negative physical or economic impacts. It will also identify projects that may involve or affect indigenous peoples and identify any activities that may damage or destroy physical resources of historic, religious or cultural significance and establish the mitigation actions to avoid and/or minimize those identified risks.

This project has been screened against the FAO’s Environmental and Social Standards adopted in 2015, ensuring that the project is consistent with the objectives of GCF Performance Standards (following IFC standards at the moment). The table below presents the IFC Performance Standards and the corresponding FAO’s social and environmental safeguards:

IFC Performance Standards (PS) FAO Environmental and Social Safeguards PS 1 – Assessment and Management of ESS 1 – Natural Resources Management Environmental and Social Risks and Impacts ESS8 – Gender Equality PS2 – Labour and Working Conditions ESS7 – Decent Work PS3 – Resource Efficiency and Pollution Prevention ESS5 – Pest and Pesticide Management PS4 – Community, Health, Safety, and Security ESS7 – Decent Work (partially) PS5 – Land Acquisition and Involuntary ESS6 – Involuntary Resettlement and Resettlement Displacement PS6 – Biodiversity Conservation and Sustainable ESS2 – Biodiversity, Ecosystems, and Natural Management of Living Natural Resources Habitats ESS3 – Plant Genetic Resources for Food and Agriculture ESS4 – Animal – Livestock and Aquatic Genetic Resources for Food and Agriculture PS7 – Indigenous Peoples ESS9 – Indigenous Peoples and Cultural Heritage PS8 – Cultural Heritage

Based on the screening exercise, this project has been classified as moderate risk (Category "B") and it is expected that the project activities, as described in Chapter 6, will trigger six out of the nine FAO’s Environmental and Social Safeguard Policies: a) ESS2 – Biodiversity, Ecosystems, and Natural Habitats; b) ESS3 – Plant Genetic Resources for Food and Agriculture; c) ESS7 – Decent Work; d) ESS8 – Gender Equality; and e) ESS9 – Indigenous Peoples and Cultural Heritage. In addition to the identification of the potential social and environmental risks, this document outlines measures and plans to avoid, and where avoidance is not feasible, reduce and mitigate risks and impacts, as well as the institutional arrangements needed for the ESMF implementation in accordance with the guidelines established in the National Strategy for Climate Change and Plant Resources (ENCCRV).

2. PROJECT DESCRIPTION

This project builds on the National Strategy for Climate Change and Plant Resources (ENCCRV as per its Spanish acronym), which was formulated following the priorities of the REDD+ process, led by the National Forestry Corporation (CONAF). Overall, the strategy aims at reducing the social, environmental and economic vulnerability of vegetative resources and human populations to the impacts of climate change, desertification, land degradation and droughts in order to increase the resilience of ecosystems and contribute to the reduction and sequestration of greenhouse gases (GHGs) in Chile.

The ENCCRV contemplates specific goals in both mitigation and adaptation areas. In terms of adaptation, the strategy’s goal is to reduce the vulnerability associated with land degradation through the management of at least 264,000 hectares of vegetative resources for the period 2017 - 2025. From the mitigation’s side, the strategy looks at reducing 20% of the GHG emissions from deforestation and forest degradation by 2025 compared to the reference level during the period 2001-2013, as well as to increase the capacity of vegetative resources to serve as carbon sinks.

The ENCCRV is in line with the strategic objectives and goals1 of the Chile’s 2015-2035 Forest Policy approved in 2016 and constitutes an important policy tool to contribute to the international forestry, biodiversity and climate change-related commitments pledged by the government such as the United Nations Framework Convention on Climate Change (UNFCCC), United Nations Convention to Combat Desertification (UNCCD), Convention on Biological Diversity (CBD) and other national and international agreements. Additionally, the ENCCRV plays a fundamental role in achieving the mitigation and adaptation goals established in the country’s NDC2.

The ENCCRV has identified 26 Action Measures (MDAs, acronym in Spanish), of which 7 are Direct Actions (MD, acronym in Spanish) and 19 corresponds to enabling actions (MF). Direct actions are those that generate direct environmental, social and economic benefits at the ground level. Direct MDAs will be operationalized through projects managed by CONAF, and / or through existing policy tools (for example, Law No. 20,283) or future policies to be generated (such as the new Forest Promotion Law). The enabling actions are those that facilitate or strengthen the implementation of direct MDA. These include capacity building activities, such as studies and /or management and mainstreaming actions that are related to education, awareness raising, research and technology transfer, and law enforcement. The next table presents the ENCCRV’s general structure.

1 The 2015-2035 Forest Policy focuses on four main work streams: i) institutionality of the forest sector; ii) Productivity and economic growth; iii) Equity and social inclusion; and iv) Protection and restoration of forest heritage. 2 https://www4.unfccc.int/sites/ndcstaging/PublishedDocuments/Chile%20First/INDC%20Chile%20english%2 0version.pdf

Figure 1. Scheme of the ENCCRV, Causes, Activities and Action Measures

Source: ENCCRV

The REDD-plus Result-Based Payment Project will contribute to implementation of the ENCCRV by addressing the main drivers of deforestation and forest degradation and address the barriers for sustainable forest management. Following the ENCCRV’s formulation scheme, the project will focus on the phases 2 and 3, REDD+ implementation actions and results-based payments, in the regions of Maule, Biobío, La Araucanía, Los Rios and Los Lagos.

Figure 2. Phases of the ENCCRV

Source: ENCCRV

The results-based payments that Chile will receive from the GCF will contributed to operationalize direct and enabling actions to address the main drivers of deforestation and forest degradation and to mobilize additional resources to fully implement the ENCCRV, which has an estimate cost of USD 430 million (84% coming from external sources and 16% from government budget) for a 9-years period.

This project is designed according to a 6-years timeframe. It is expected that the first two years will be dedicated to project preparation actions related to capacity building, institutional strengthening and consultation as well as the preparation of the enabling conditions required for the project’s scaling-up.

2.1. Project costs and financing

The proposed Project has a total cost of USD 96.8 million supported by the REDD-plus results- based payments of the GCF. The table below shows the total project costs.

Table 1. Project Cost and Financing (USD million)

Project output Project cost % GCF financing Implementation and investment 57.980.375,00 100 Enabling conditions for ENCCRV 7.656.891,00 100 implementation Project management 7.013.903,00 100 Total cost 72.651.169,00 100

2.2. Project components

The project encompasses three outputs components, namely: a) REDD+ activities implementation and investments; b) enabling conditions for the ENCCRV implementation; and c) project management. These outputs respond directly to the prioritized activities and actions identified in the ENCCRV.

a) Output 1. REDD+ activities implementation and investments in the territories:

This outcome has an estimated cost of USD 57.98 million and is mainly focusing on the provision of resources and mobilization of additional investments to implement REDD+ activities to address the main drivers of deforestation and degradation at ground level. To achieve this outcome, the project will operationalize the Direct and Enabling actions identified in the ENCCRV, such as:

● Reforestation and revegetation program in communes and prioritized areas (MT.4):

This program will be carried out in prioritized public and private lands in line with the country’s international commitments related to climate change and land desertification, degradation and drought. The main objective of reforestations and revegetation activities is to guarantee the continuous flux of ecosystem services (including the enhancement of carbon stocks) as well as to preserve the cultural values of forests.

● Strengthening the ecological restoration in communes / prioritized areas (MT.5):

The Ecological Restoration Program acts on public and private lands, focusing on communes and prioritized areas identified during formulation phase of the ENCCRV. This program is in line with Chile's goals and commitments related to climate change and land degradation. The aim of this actions is to recover and promote the value of forests and other type of native vegetative formations that are under degradation processes.

● Restoration program of degraded ecosystems affected by forest fires (IF.2):

Program aimed at implementing ecological restoration projects in public and private areas affected by forest fires nationwide. It is contemplated that this will also address the National System of Protected Wild Areas (SNASPE), due to the emblematic losses of forests and xerophytic formations that occurred in these areas in the past and that have caused public upheaval due to cultural and environmental degradation and loss. The activities will build on the existing National Program of Ecological Restoration formalized in 2016 and operationalized by CONAF. This national program considers within its guidelines the restoration of areas affected by fires.

● Preventive forestry program in urban-rural interface (IF.3):

This program will be oriented to establish preventive buffer zones around native forests, plantations and other form of vegetation in public and private lands located in peri-urban areas. The preventive forestry program seeks to reduce potential damages from forest fires through the adequate management and elimination of living and dead vegetation and/or any kind of waste and residues that might act as fuels for forest fires.

● Institutional forest management program focused on public and private lands (US.1):

The activities will build a functional forest management model in accordance with the technical guidelines and silvicultural practices for forests and other type of vegetative resources, taking into consideration the challenges and associated risks of climate change, land degradation, desertification and droughts. This program will prioritize owners and landholders who have current management plans and / or a history of successful technical assistance.

● Strengthening the wood energy program (US.3):

The activities in this program will strengthen the implementation of the CONAF’s Wood Energy Strategy which has the objective of producing certified firewood to supply the demand in prioritized communities. To achieve the objective, the project will support the development of sustainable forest management plans; promote and support the establishment of firewood collection and wood drying centers; development of wood-value chains and fair-trade systems, and firewood certification. Figure 3 provides an example of the land-use planning and zoning for the different activities to be implemented through the project.

Figure 3. Example of selected property for multiple measures and activities

Source: ENCCRV

b) Output 2. Enabling conditions for the ENCCRV implementation

This outcome has an estimated cost of USD 7.65 million and is focused on ensuring the complete operationalization of the elements established in the Warsaw Framework (Safeguard Information System, Forest Monitoring System and improvement of the Measurement, Reporting and Verifying –MRV- process, etc.). Additionally, activities related to capacity building, technical assistance, forestry education and extension will receive support. Specific activities are:

● Environmental Education and Dissemination Program (MT.6): This measure aims at raising awareness and mainstreaming environmental education among different stakeholders such as private sector, government, universities, schools, and especially rural communities and local populations living around the territories internationally recognized as biosphere reserves. This program will also provide training services on good management practices for vegetative resources and sensitization about the consequences of land degradation and deforestation. Given the importance of the indigenous population and local communities, this program contemplates specific activities to mainstream and incorporate the traditional and indigenous knowledge in relation to the environmental services that vegetative resources provide.

● Strengthening the forest and environmental law enforcement (MT.7) This measure considers three main actions to implement: a) Strengthen the CONAF’s institutional capacity to ensure the monitoring and protection of vegetative resources though the use of technology such early warning systems to prevent illegal logging; b) Improve the existing grievance mechanism by strengthening the role of municipal authorities in addressing local issues; c) enhance civil society participation in supporting the control and monitoring of illegal and/or unsustainable practices in the management of vegetative resources

● Technological transfer program on alternatives for the management and use of forestry and agricultural waste 2017 (IF.6) This measure includes the elaboration and implementation of a National Technology Transfer Program which will provides cost-effective and technically feasible alternatives to farmers for the management and adequate disposal of post-harvest waste and residues. This measure seeks to reduce burning practices in areas at high-risk of forest fires and to encourage farmers to use sustainable practices to reduce forest fires.

● Adaptation programme for the management of vegetative resources in the context of climate change, desertification, land degradation and drought (GA.1) CONAF, as Chile’s focal point for REDD+ at the UNFCCC and the UNCCD, will coordinate the implementation of an Adaptation Program for the management of vegetative resources that will generate relevant inputs for designing and executing afforestation, revegetation, restoration and sustainable forest management programs as part of the ENCCRV.

c) Project management:

This outcome has an estimated cost of USD 7.01 million and corresponds to the administrative and technical management of the project, which will be carried out by FAO in its role of Executing Entity and in close collaboration with the government of Chile and the different stakeholders that will participate in the project implementation. This output aims at ensuring the effectively management and use of funds to deliver timely results and achieve the project’s objectives.

For a better understanding of how the project is articulated and how it will support the ENCCRV, table 2 presents the different actions and measures as well as the mechanisms required to implement the ENCCRV.

Table 2. Goals, implementation typologies and responsible for the ENCCRV’s action measures

Action measure Goal Type of implementation MT.1. Inclusion of climate change, desertification, land MF-TDR degradation and drought related-issues in new Law of Forest Law published MF-GD Development MT.2. Modification and strengthening of the Law No. 20,283 MF-TDR on Recovery of the Native Forest and Forest Development Law published MF-GD and its regulations MT.3. Adjustments for the inclusion of owners with poor Modified Regulations MF-GD legal land tenure 800 owners MT.4. Reforestation and revegetation program in MD-TDR 140,000 ha MD-GD prioritized communes/areas MD-IF MT.5. Strengthening ecological restoration program MD-TDR 20,000 ha MD-GD in prioritized communes / areas MD-IF MT.6. Environmental education and dissemination MF-TDR 8,000 people program MF-GD MT.7. Strengthening of forest and environmental MF-TDR 200 communes control programs MF-GD MT.8. Strengthening and updating of Management Plans for MF-TDR 50% SNASPE SNASPE areas in the context of the ENCCRV MF-GD IF.1. Estimation of greenhouse gas emissions and analysis of 100% of forest fires analyzed MF-GD fire severity IF.2. Ecosystem restoration program in areas affected MD-TDR 10,000 ha MD-GD by forest fires MD-IF IF.3. Preventive forestry program in urban-rural MD-TDR 8,000 ha MD-GD interface MD-IF IF.4. Strengthening of the “Prepared Communities against 40 communes MF-GD forest fires” Program IF.5. Inclusion of elements of preventive management and MF-TDR Law published post-fire restoration in Law No. 20.283 and its regulations MF-GD IF.6. Technological transfer program on alternatives 100% communes with for the management and use of forestry and MF-GD programs agricultural waste 2017 US.1. Institutional forest management program 70,000 ha MD-TDR MD-GD focused on public and private land 100 extension workers MD-IF US.2. Integrated system of regulation and tax exemption for Regulations promulgated MF-GD the promotion of productive value chains MD-TDR US.3. Strengthening the dendroenergy program and 16,000 ha MD-GD the country's energy matrix MD-IF RH.1. Modification of the Law No. 19,561 that exempts Modification published MF-GD reforestation from agricultural land recovery RH.2. Incorporation of forest conservation variables in the Modification published MF-GD Law No. 18,450 RH.3. Limit the application of Law No. 20.412 in lands Modification published MF-GD suitable for forestry activities (APF) MD-TDR MG.1. Damping strips for livestock activity 800 ha MD-GD MG.2. Strengthening and expansion of livestock 16 new councils MF-GD management councils MG.3. Agricultural and livestock Research Program 8 projects MF-TDR GA.1. Adaptation program for the management of vegetative resources in the context of climate MF-TDR 80 communes change, desertification, land degradation and MF-GD drought

300,000 ha protected; 240,000 PF1. Strengthening of the Phytosanitary Protection Program ha with prevention; 240 people MF-GD for native vegetation resources trained RS.1. Focusing restoration and inspection program to 40 selected areas MF-GD promote the sustainability of forest management Note: the highlighted actions will be implemented within the project’s support.

2.3. Project implementation

Funds raised from results based payments (Phase 3 REDD+) from the GCF will be fully used for the implementation of the ENCCRV. In addition, it is expected to trigger public-private financing actions that achieve greater positive social and environmental impacts. Consequently, this result-based payment project will contribute to the implementation of the main forest policy tools in articulation with the Chile's NDC and the ENCCRV.

As indicated in the ENCCRV, adaptation and mitigation actions include elements of innovation in its design, especially changes and improvements in operational practices of afforestation, restoration and sustainable management, increasing resilience of vulnerable communities to climate change impacts and also fostering inter-institutional coordination, with strong participation of the private sector, which is expected to trigger a paradigm shift towards reducing gross emissions of the LULUCF sector to fulfill an important part of the national commitments established in the NDC. Overall, it is estimated that 80% of the resources will be channeled for on-ground implementation activities in the prioritized regions and 20% will be dedicated for monitoring and enabling conditions actions in the target region and at country level.

Figure 4. Result-based resource allocation and investment scheme.

The project’s implementation process will include the coordination with the Inter-ministerial Climate Change Committee (CTICC) and the Regional Committee on Climate Change (CORECC) to provide transparency and efficiency regarding to the allocation and the distribution of resources. For the on-ground project implementation there will be two modalities:

a) Based on a portfolio of projects developed between CONAF and FAO, prioritizing those projects that can generate the greatest positive impact at both ecological and social dimensions. b) Based on public contest in which all those interested in implementing activities associated with the action measures already described. The selection criteria will be based on guidelines and principles established in the contest/call for proposals. The guidelines will be publicly disseminated in the CONAF and FAO’s media, as indicated in the figure below.

Figure 5. Finance modalities for project implementation

To select the beneficiaries, the prioritization is for small landowners. The maximum investments per recipient will be 20,000,000 pesos (about USD 28,600). Selected properties are individual and collective public and private lands that have regularized their domain titles. Overall, the beneficiaries must follow at a minimum 5 criteria as shown in the table below:

Table 3. Main criteria and definitions

Criteria Reference value

Small Up to 200 ha in all Regions of the project, except: landowner Up to 800 hectares in Lonquimay Comune (Araucanía) and Palena Province (Los Lagos)

Assets Up to 3,500 unidades de fomento (about USD 138,000)

Income Landowners whose main source of income comes from agricultural or forestry activities

Workforce Landowner must work directly on its land

Legal Small land-holdings, Agricultural communities, Indigenous communities, communities on common land, secano communities, societies (when 60% of capital under original partners or small landowners)

3. ENVIRONMENTAL AND SOCIAL BASELINE

3.1. Geographical Location and Topography

The Republic of Chile is located along the western coast of the southern cone of South America, between the highest segment of the Andes Mountains and the Pacific Ocean. Its shape is unique since it is one of the longest countries in the world, with 4,300 km in length, but simultaneously one of the narrowest, with an average width of 180 km. The country has a total area of 756,584 km2. According to the most recent population census (2017), Chile has a total population of 17,574,003 inhabitants. Of these, 8,601,989 (48.9%) are men and 8,972,014 (51.1%), women. This reflects that between 2002 and 2017, the average annual population growth rate was of 1.06%. In economic terms, with an estimated gross domestic production of USD 277.1 billion, Chile has been one of the fastest growing Latin American economies in the recent decades due to a solid macroeconomic framework, which has allowed it to reduce the proportion of the population considered poor (USD 5.5 per day) from 30% to 6.4%, between 2000 and 2017.

For the purposes of this project, five regions (Maule, Biobío, La Araucanía, Los Rios and Los Lagos), which have been selected based on the concentration of forestlands, the biodiversity with regards to natural habitats and GHG emissions reduction potential. The map presented in Figure 7 provides an overview of the intervention areas.

Figure 6. Map of the project intervention area.

Source: ENCRV

3.2. Environmental Features of Proposed Project Area

3.2.1. Climate and Meteorology

According to the Köppen classification, in the intervention area two groups of climates prevails: mild and cold. In the northern regions (Maule and Biobío), whether conditions are mostly dominated by mild temperatures in the summer and rain with high levels of humidity in the coastal areas during winter. In the Andean region, the temperature is mostly cold with rainy winters. In higher altitudes, this weather conditions are transformed into cold tundra influenced by Mediterranean temperatures. In the regions of Araucanía, Los Ríos and Los Lagos, rainy conditions dominate around the year, with periods of warm-rainy in the absence of dry season.

Figure 7. Köppen Climactic classification of intervention area.

Source: Emission Reduction Program Document of Chile3

In the last decades, the region, as well as the rest of the country, have experienced some extreme climate-related events, mainly associated to droughts and excessive rainfall. These events are closely related to “El Niño/La Niña”, which is a phenomenon that involves fluctuating ocean temperatures in the central and eastern equatorial Pacific, coupled with changes in the atmosphere. When the La Niña phenomenon occurs, the country experiences intense droughts affect productive sectors, mainly energy and agriculture.

Climate change scenarios for the years 2031-2050 suggest that the country will experience an increase in temperature patterns. The highlands will be subjected to higher temperatures whereas the southern region will experience a lower temperature increase but the projections show that the Andean region will present the highest temperature increase. Figure 9 presents a comparison of the changes in temperature based on different scenarios.

3 https://www.forestcarbonpartnership.org/system/files/documents/ER-PD%20Chile-%20Final- %2024%20Octubre%202016_0.pdf

Figure 8. Temperature variation based on the RCP and SRES A1B scenarios (GCM and RCM) for 2031-2050 compared to the 1961-1990period.

Source: Rojas, 2012; Third National Communication of Chile to the UNFCCC4

In case of rainfall, projections for the 2031-2050 period suggest drier conditions compared to the historical average. A 5 to 15% decrease in precipitations is expected in areas of the Copiapó and Aysén river basins. These conditions would be accentuated towards the southern part of the country, specifically between the Biobío river basin and the southern limit of the Los Lagos Region (Rojas, 2012). Figure 9 presents a comparison of the changes in rainfall based on different scenarios.

4 https://mma.gob.cl/wp-content/uploads/2017/12/TCN-2016b1.pdf

Figure 9. Changes in precipitation based on the RCP and SRES A1B scenarios (GCM and RCM) for 2031- 2050 compared to the period 1961-1990.

Source: Third National Communication of Chile to the UNFCCC5

It is projected that these changes in the weather conditions will significantly increase the frequency and intensity of fire regimes; which could result in the increase of HGH emissions. The increase in the intensity and frequency of fires in forests and forest plantations would be the result of the rising temperatures and increasing the aridity of the soil during the spring-summer seasons. In the other hand, changes in the soil aridity in Mediterranean regions would be the result of the decrease in rainfall, snow accumulation, changes in snow melting patterns and the increase of evapotranspiration. The figure below presents the relationship between the total area affected by fires and the sea surface temperature.

5 https://mma.gob.cl/wp-content/uploads/2017/12/TCN-2016b1.pdf

Figure 10. Relationship between the total area affected by fires and the sea surface temperature (April- September (-1)) in the El Niño Southern Oscillation in central Chile (regions from Valparaíso to Maule).

Source: González et. al, 2011.

* The arrows indicate the three most intense El Niño events in this period (1982-1983, 1987-1988, and 1997-1998).

3.2.2. Soil conditions

Based on the Luzio y Alcayaga (1992) classification, the region is predominantly constituted by 6 types of soils: Granitic coastal soils, Vertisols, Alluvial soils from the Central Valley, Soils from the Central Andes Mountains, Soils from the coastal foothills in the central-southern area and Soils from volcanic origin. The table below presents a general description of each type of soils.

Table 4. Soils description based in the classification of Luzio and Alcayaga (1992).

Distribution Soil Type Soil description along the regions This type of soils belong to the Alfisol and Inceptisols orders. In the coastal areas, these soils derived from high and flat sea terraces to slightly inclined relief and reddish brown colors associated with other less evolved soils. On Granitic From Maule to the western slopes of the coastal mountains, these soil evolved directly coastal soils Araucanía from granitic rocks. In the southern area, the soils came from high marine terraces, with fine textures and they have suffered sharp dissection due to water erosion.

Distribution Soil Type Soil description along the regions Soils that belong to the Vertisol order (soils that are inverted by expansion From Maule to and contraction of clays); mainly locates in the vicinity of Santiago and Vertisols Biobío Parral in flat or almost flat positions. The origin of these soils is the deposition of fine sediments in lacustrine conditions. Soils that belong to the Alfisols, Mollisols (soft soils) and Entisols orders, and they are extensions of alluvial sediments close to rivers. They are moderately deep-to-deep, with medium-to-fine textures and a high content Alluvial soils From Maule to of organic matter. In the eastern areas of the Coastal mountains close to from the Biobío Parral, Alfisols originated from granite and show a sharp increase in clay Central Valley content. Between Los Ángeles and Malleco, the Entisols have a high water permeability. Most of the agriculture under irrigation in the Central Zone is developed in these soils. Soils from the These are the soils located in the steepest parts of the Andes Mountains, Central From Maule to they fall within the Entisols, Inceptisols and Andisols orders, with a Andes Araucanía predominance of Entisols. These soils derived from vitreous and coarse- Mountains textured volcanic materials. Soils located on inland mountains that range from Los Ángeles and Soils from the Loncoche and the coastal area between Isla Mocha and the Gulf of coastal Corcovado. These soils belong to the Ultisols order (soils in the later stages foothills of From Biobío to of evolution). The soils of the Intermediate Depression derive from volcanic the central- Los Lagos ash and occupy positions of rolling hills and terraces and are associated with southern soils with high clay content. area

These are soils that belong to the Andisols (dark soils) and Histosols orders. They are located at the foothills of the Andes between Curicó and Los Ángeles, and extend towards the Andes mountains to Chile Chico. The soils in the area of the Andes foothills, Los Ángeles and south Temuco are also Soils from From Maule to known as trumao, which were originated from volcanic ash. These are soils volcanic Los Lagos with high content of organic matter and high water absorption capacity. origin From Osorno to Puerto Montt and the eastern sector of the Chiloé Island, the existing trumao soil in hilly and sloping positions are associated with soils known as ñadis, which also come from volcanic ash but are less deep and contain more organic matter than the trumao soils. Source: Emission Reduction Program Document of Chile6

3.2.3. Land Use

The total surface of the intervention area is approximately 15.62 million ha. Based on the current lands use dynamics, the area is divided in 5.8 million ha of native forests; 2.7 million of forest plantations; 2.3 million ha of agricultural production; 2.3 ha of scrub and grasslands; 1.03 million ha of snow, water bodies and wetlands; 0.91 million ha of urban and industrial use; and 0.98 million ha of other land uses. The map in figure 10 presents the current land use of the area of intervention.

6 https://www.forestcarbonpartnership.org/system/files/documents/ER-PD%20Chile-%20Final- %2024%20Octubre%202016_0.pdf

Figure 11. Map of land use in the intervention area

Source: CONAF

State of the forest resources in the area

Of the 15.3 million ha that integrates the area of intervention, 35% of them are currently covered by native forestland. According to the forest legislation, the country has 12 types of forest and the area presents 11 of these types. This classification, which has been in use for more than 3 decades, is a practical simplification of the enormous diversity of natural forests. Figure 11 presents the geographical distribution of forest types and table 5 presents the estimation of the different forests categories in the area.

Table 5. Regional distribution of the types of forest

Forest areas per region (ha) Total surface (ha) % in Forest type Project Country the Maule BioBío Araucanía Los Ríos Los Lagos area level project area Sclerophyllous 50,977 19,205 636 203 499 71,521 1,354,193 5% Evergreen 746 12,090 50,562 206,032 1,282,188 1,551,618 3,502,349 44% Roble 161,973 13,724 0 0 0 175,697 220,456 80% (Nothofagus obliqua) – Hualo (Nothofagus glauca) Cordilleran 8,893 18,232 13,560 0 19,163 59,848 62,874 95% Cypress (Austrocedrus chilensis) Lenga Beech 8,692 136,472 108,655 143,023 509,898 906,740 3,621,207 25% (Nothofagus pumilio) Roble 153,432 480,840 470,860 252,801 244,655 1,602,588 1,602,588 100% (Nothofagus obliqua) – Raulí (Nothofagus alpina) – Coihue (Nothofagus dombeyi) Araucaria 0 39,918 199,460 13,961 0 253,339 253,339 100% (Araucaria araucana) Coihue 0 47,877 120,421 280,321 393,084 841,703 841,703 100% (Nothofagus dombeyi) – Raulí (Nothofagus alpina) – Tepa (Laureliopsis philippiana) Alerce (Fitzroya 0 0 0 7,770 208,360 216,130 216,130 100% cupressoides) Coihue de 0 0 0 4,337 126,502 130,839 1,999,354 7% Magallanes (Nothofagus betuloides) Guaitecas 0 0 0 83 43,088 43,170 579,966 7% Cypress (Pilgerodendron uviferum) Total 384,714 768,553 964,153 908,531 2,827,437 5,853,388 14,269,672 41% Source: adapted from the Forest Reference Emission Level / Forest Reference Level of Native Forests in Chile7

As presented in the above table, the most relevant Forest Types area of intervention are the Roble- Raulí– Coihue, the Evergreen, the Lenga Beech and the Coihue-Raulí–Tepa. On the other hand, those

7 https://redd.unfccc.int/files/chile_mod_sub_final_01032017_english.pdf

with the lowest representation are the Sclerophyllous, the Cordilleran Cypress and the Guaitecas Cypress.

Figure 12. Map of forest type distributions.

Source: Forest Reference Emission Level / Forest Reference Level of Native Forests in Chile8

The average annual emission levels due to deforestation, forest degradation and enhancement of forest carbon stock are:

8 https://redd.unfccc.int/files/chile_mod_sub_final_01032017_english.pdf

Table 6. Average annual emissions from deforestation and degradation and increasing of carbon stock

Deforestation Degradation Enhancement of forest carbon stock Region Total (tCO2e year-1) Maule 84.982 608.976 -1.182.162 Biobío 396.645 1.209.890 -1.282.143 La Araucanía 1.059.067 1.907.344 -1.517.894 Los Ríos 644.696 1.373.080 -2.022.041 Los Lagos Sur 401.230 4.050.103 -4.007.772 Los Lagos Norte 866.265 Total 3.452.885 9.149.392 -10.012.012

Despite the fact that Chile has extensive and diverse native forest resources, their current use does not represent a significant contribution to the Gross Domestic Product (GDP), which only accounts for 3% of the country’s forestry export. The exact size of this use or its exploitation is unknown due to high levels of informality that could exceed 80% according to unofficial data. At local level, the main use of forests is basically for firewood for energy purposes, cooking as well as for shelter and food for livestock.

Protected areas

The National System of Protected Wild Areas (SNASPE in Spanish acronym) has a significant proportion of native forests under a formal state of conservation and preservation (National Parks and Reserves). At national level, the SNASPE possesses under its administration an estimated area of 14.5 million hectares of native forests that are in an official state of conservation and preservation of lands such as wetlands, salt pans, and other zones of non-forest lands. Based on the statistics, in the area of intervention 1.3 million of hectares are formally protected by this system of protected areas. Table 6 and Figure 12 present the regional distribution of protected areas, highlighting the area of intervention.

Table 7. Regional distribution of SNASPE

Region Number of SNASPE areas Area (ha) Arica y Parinacota 5 366.073 Tarapacá 3 384.011 Antofagasta 11 355.355 Atacama 3 143.555 Coquimbo 4 14.286 Valparaíso 5 21.913 Metropolitana 3 22.065 O'Higgins 1 38.299 Maule 9 17.532 Biobío 7 127.121 La Araucanía 13 277.326 Los Ríos 2 32.161 Los Lagos 11 869.178

Aysén 21 5.070.583 Magallanes y La Antártida 10 6.921.275 TOTAL 108 14.660.733 Source: Adapted from the Forest Reference Emission Level / Forest Reference Level of Native Forests in Chile9

Figure 13. Map of SNASPE distribution in the area of intervention

Source: Forest Reference Emission Level / Forest Reference Level of Native Forests in Chile10

With regards to endangered and protected species, in the priority area there are 48 tree species and shrub flora that, to some extent, are under a conservation status. According to the national legislation and classification, there are 2 critically endangered species, 15 are endangered species, and 8 species are “almost threatened” and 15 species that have the status of “least concern”. In relation to terrestrial and amphibious fauna, and based on the national classifications, there are 9 critically endangered species, 24 endangered, 25 vulnerable, 9 insufficiently known and 10 rare species.

9 https://redd.unfccc.int/files/chile_mod_sub_final_01032017_english.pdf 10 https://redd.unfccc.int/files/chile_mod_sub_final_01032017_english.pdf

Forest plantations

In Chile, forest plantations account for a total area of 3 million hectares, mainly located in the Central zone of the Andes of Maule, Biobio and Araucania regions. Two main species dominate planted forests, Pinus radiata and Eucalyptus globulus that cover 60% and 23% of plantations areas, respectively. These species are used mainly for cellulose pulp production, sawmill, plywood and structural boards for exporting products. Such forest plantations are the result of forest policies promoted 40 years ago and were promulgated to enhance the establishment of forest plantations to satisfy the industries’ needs across the country.

For the case of the project’s implementation area, the prioritized regions host 91% of the total forest plantation at national level, this means approximately 2.77 million hectares, and are distributed as follows:

Table 8. Area of forest plantations in the project area

Area per region Area compared at national level Maule BioBío Araucanía Los Ríos Los Lagos Total in Total % in the the area national project level area Area 597,117 1,227,789 632,289 208,775 208,775 2,762,569 3,036,407 91% expressed in hectares Source: adapted from the Forest Reference Emission Level / Forest Reference Level of Native Forests in Chile11

3.3. Social Features of the Proposed Project Area

Previous work during the elaboration of the National Strategy for Climate Change and Plant Resources (ENCCRV), particularly during the elaboration of the Social and Environmental Safeguards, identified several actors and stakeholders that are involved in the management and administration of natural resources, particularly forest and vegetative resources. Among the main categories of stakeholders in the project area, the following can be identified: private sector, small and medium land owners and holders, local communities, indigenous peoples, workers unions, civil society groups, academia, etc. The following table presents an overview of the main actors presented in the project’s area and have been involved during the formulation of the ENCCRV.

Table 9. Relevant actors and stakeholders presented in the project area

Roles in the area/project No. Groups’ category Description implementation Representatives Participation in the technical Universities and technical/ workgroups associated with carbon professional training accounting, management plans, 1 Academia centers in areas and wildlife management, social and disciplines related to environmental safeguards, etc. vegetation resources Representatives of traders Dissemination and promotion of the 2 Trade Unions and business in forestry and ENCCRV and the result-based payment

11 https://redd.unfccc.int/files/chile_mod_sub_final_01032017_english.pdf

Roles in the area/project No. Groups’ category Description implementation agricultural fiends or any activities amongst the different other activities that involve productive sectors. vegetation resources Independent professionals Support extension services and and state-dependent technical guidance to owners and Professionals that provide communities involved in forest Consultants and 3 technical support and management/conservation activities, extension workers capacity building services to specially activities promoted by the forest owners and forest project. companies/industry Representatives of public Coordination, promotion and institutions that are directly cooperation in implementing activities or indirectly related to the in close collaboration with the 4 Government agencies management and Executive Entity administration of vegetation resources Women belonging to Implementation of direct activities on different indigenous groups forests and vegetation resources 5 Indigenous women present in the region according to free, prior and informed consent process at local and regional Representatives from level to ensure the respect of human indigenous communities rights, indigenous knowledge and 6 Indigenous peoples present in the region traditions in regard to the use of natural resources Representatives of non- Support the implementation of the government project regarding to socialization and organizations that play consultation processes as well as on- 7 NGOs certain activities that are ground implementation directly or indirectly related to forest Groups that mainly involve Ensure gender considerations across women and play roles in the different phases of the project women rights and 8 Women groups mainstreaming of gender consideration in different fields, particularly forests and agriculture Owners of forests and Direct participation in REDD+ activities, agricultural lands and including reforestations, land whose properties will be restoration, conservation of natural Small and medium land 9 included in the forests and participation in capacity owners/holders implementation phase building processes according to current legislation Representatives of political Participation in policy dialogues and parties and local and law enforcement activities related to Political parties and 10 regional governments forestry and agriculture (for example, representatives formulation of draft laws for the forestry sector)

Roles in the area/project No. Groups’ category Description implementation Representatives of Direct implementation of measures enterprises and owners of and activities to reduce deforestation forests and rural lands and and enhance carbon stocks, and 11 Private sector classified as large-size provide resources to facilitate the owners according to project implementation current legislation

3.3.1. Demographics

According to the National Institute of Statistics (INE, acronym in Spanish), 5.46 million people live in the project area, with an average population density of 32.8 inhabitants/km2. BioBío is the most populated region accounting with the highest population density, whereas Los Ríos is the least populated region and presents the lowest population density. Overall, the 5 regions accounts for the 29.8% of the countries’ total population.

Table 10. Estimated population, distribution and population density by regions

Estimated population Density Thousands of Percentage Region Surface (km2) (inhabitants/ people (%) at km2) country level Maule 1.057,5 5,8 30.296,1 34,9 Biobío 2.141,0 11,7 37.068,7 57,8 La Araucanía 1.002,0 5,5 31.842,3 31,5 Los Ríos 410,1 2,2 18.429,5 22,3 Los Lagos 853,7 4,6 48.583,6 17,6 TOTAL 5464.3 29.8 166220.2 32.8 Source: INE, 201712

The population in the project area is mostly urban (74%), being the region of BioBío the one that holds the highest percentage and number of urban population. The rest of the regions presents almost the same ratio between urban and rural population (68/32).

Table 11. Estimated of urban and rural population by regions

Estimated population Region Urban Rural TOTAL Population % Population % Maule 1057533 718536 67.9 338997 32.1 Biobío 2141039 1765974 82.4 375065 17.6 La Araucanía 1001975 685181 68.4 316794 31.6 Los Ríos 410097 283191 69.0 126906 31.0 Los Lagos 853663 597115 69.9 256548 30.1 TOTAL 5464307 4049997 74.1 1414310 25.9

12 https://www.ine.cl/docs/default-source/publicaciones/2017/compendio-estadistico- 2017.pdf?sfvrsn=68ba51d2_6

Source: INE, 201713

With regards to gender, 2.76 million (50.54%) of the population are women, 75.4% (2.08 million) living in urban and 24.6% (0.68 million) in rural areas.

Table 12. Estimated of urban and rural population disaggregated by gender

Estimated population by gender Region Man Women Urban Rural Total Urban Rural Total Maule 347444 176299 523743 371092 162698 533790 Biobío 857337 194606 1051943 908637 180459 1089096 La Araucanía 327818 165033 492851 357363 151761 509124 Los Ríos 138826 66082 204908 144365 60824 205189 Los Lagos 295250 133761 429011 301865 122787 424652 TOTAL 1966675 735781 2702456 2083322 678529 2761851 Source: INE, 2017

Indigenous peoples

In its Indigenous Act No. 19, 253 of 1993, Chile recognizes nine indigenous ethnic groups and according to the National Socioeconomic Characterization Survey14, the country accounts with an estimated population of 1.56 million people across the country, representing 9.1% of the total population. The largest ethnic groups correspond to the Mapuche (84.4% of the total indigenous population) and the Aimara (7.7% of the total indigenous). The other ethnic groups, that is, the Quechua, Atacameño, Coya, Rapanui, Kawashkar, Alacalufe and Yagán, account for the remaining 7.9%. The following table presents a summary of the indigenous population at national level, with project target regions in bold.

Table 13. Distribution of the indigenous population in Chile by administrative region.

Administrative region Indigenous population Percentage of the regional (inhabitants) population Arica y Parinacota 54,075 31.5 Tarapacá 56,524 17.9 Antofagasta 50,623 9.0 Atacama 40,720 14.7 Coquimbo 27,862 3.8 Valparaíso 55,132 3.1 Metropolitana 46,8167 6.7 O’Higgins 28,924 3.2 Maule 20,038 2.0 Biobío 106,729 5.2 La Araucanía 309,952 32.0 Los Ríos 80,958 22.0 Los Lagos 209,214 24.8

13 https://www.ine.cl/docs/default-source/publicaciones/2017/compendio-estadistico- 2017.pdf?sfvrsn=68ba51d2_6 14 http://observatorio.ministeriodesarrollosocial.gob.cl/casen-multidimensional/casen/casen_2013.php

Administrative region Indigenous population Percentage of the regional (inhabitants) population Aisén 26,828 26.5 Magallanes 30,169 20.1 TOTAL 1,565,915 9.1 Source: Forest Reference Emission Level / Forest Reference Level of Native Forests in Chile15

As observed in the previous table, la Araucanía is the region with the highest percentage of indigenous population at country level. In fact, the five regions that integrate the project area hold 46.5% (726,891) of the total indigenous population in the country, being la Araucanía, Los Ríos and Los Lagos the regions that present the highest percentages.

Figure 14. Ethnic groups’ population in Chile

Source: Third National Communication of Chile to the UNFCCC16

3.3.2. Education

Chile, as published by UNESCO, has one of the highest literacy rates in Latin America, estimated at 96.87% (97.02% in men and 96.74% in women). Data from 2016, reports that a total of 4.8 million citizens were attending schools at different educational levels (Higher, Middle, Regular Basic, Nursery and Special Education). This is an increase of 0.3% in relation to data from 2015. The highest number of registered students attend regular basic level, with 40.9% of the total number of students; Higher education with 26.0% and secondary education records 21.3% of students.

Table 14. Students enrolled in the formal education system by sex in the year 2016

Enrolled students Region Total Man Women Arica y Parinacota 67550 33820 33730 Tarapacá 94135 47603 46532 Antofagasta 171332 87894 83438 Atacama 77740 39541 38199 Coquimbo 207689 103967 103722 Valparaíso 492055 248580 243475 Metropolitana 1964945 994978 969967

15 https://redd.unfccc.int/files/chile_mod_sub_final_01032017_english.pdf 16 https://mma.gob.cl/wp-content/uploads/2017/12/TCN-2016b1.pdf

Enrolled students Region Total Man Women O’Higgins 219,172 111,447 107,725 Maule 266,608 132,980 133,628 Biobío 579,756 289,820 289,936 La Araucanía 262,262 129,599 132,663 Los Ríos 102,281 51,562 50,719 Los Lagos 226,652 111,531 115,121 Aisén 25,998 13,002 12,996 Magallanes 39,792 19,875 19,917 TOTAL 4,797,967 2,416,199 2,381,768 Source: INE, 2017

Based on the table above, in the area of intervention there are 1.44 million students enrolled in the different levels of the formal education system. This represents the 29.61% of the students at national level. Of this number, 50.23% are women (722,067) and 49.77% man (715,492). To have a better perspective, the table below shows the numbers of students in each education level per region in the area of intervention.

Table 15. Students enrolled in the formal education system by sex and education level in the year 2016

Education level Total Region Special Regular Middle Higher Nursery education Basic education education Men 11222 5959 61070 30543 24186 132980 Maule Women 11316 4322 56944 29883 31163 133628 TOTAL 22538 10281 118014 60426 55349 266608 Men 21148 15055 118261 60213 75143 289820 BioBío Women 21881 11257 111742 59442 85614 289936 TOTAL 43029 26312 230003 119655 160757 579756 Men 10780 3539 58536 30729 26015 129599 La Women 10613 2342 55306 30097 34305 132663 Araucanía TOTAL 21393 5881 113842 60826 60320 262262 Men 4170 1936 22337 12073 11046 51562 Los Ríos Women 4379 1342 21227 11438 12333 50719 TOTAL 8549 3278 43564 23511 23379 102281 Men 9723 4658 52795 26455 17900 111531 Los Lagos Women 10061 3127 50034 26910 24989 115121 TOTAL 19784 7785 102829 53365 42889 226652 TOTAL 115293 53537 608252 317783 342694 1437559 Percentage 8.1 3.7 42.3 22.1 23.8 100.0 Source: INE, 2017

3.3.3. Health

Based on statistics reported in the statistical compendium elaborated by the National Institute of Statistics of Chile in 201717, in 2016 there were 2,810 medical centers (88.5% public and 11.5% private). From the total public facilities, the ambulatory care centers of the National Health Services System (SNSS) accounts for the 91.4% distributed in Primary Health Centers (47%) and Rural Health Posts (52.0%). For the same period, 61.31 million of medical consultations were reported, of which 36.0% correspond to emergency consultations and 2.2 medical consultations are counted per inhabitant for the same year. The total number of hospital beds reported in 2015 was 38,138, where 68.1% corresponds to SNSS establishments (public), 26.0% from other public hospitals and 5.8% to private establishments. The ratio of bed availability was 2.1 per 1,000 inhabitants.

Table 16. Provision of hospital beds by region at the year 2015

hospital beds per 1,000 Region Number of beds in the SNSS inhabitants Arica y Parinacota 296 1.2 Tarapacá 427 1.3 Antofagasta 764 1.2 Atacama 487 1.6 Coquimbo 968 1.3 Valparaíso 3060 1.7 Metropolitana 8518 1.2 O'Higgins 1100 1.2 Maule 1521 1.5 Biobío 3896 1.8 La Araucanía 1933 2.0 Los Ríos 950 2.3 Los Lagos 1425 1.7 Aysén 247 2.3 Magallanes y de la Antártica Chilena 396 2.4 TOTAL 25988 2.1 Source: INE, 2017

As shown in the table, the 5 regions that integrate the area of intervention have in total 9725 hospital beds, which represents the 37.4% at national level. The ration of beds per 1,000 is in average 1.85 beds, which is a little bit below of the national average (2.1 beds).

3.3.4. Land tenure aspects

According to Chilean current legislation, in the project areas various tenure and ownership regimes exists. These can be categorized in: a) Land owners; b) Land holders; and c) other tenures such as tenants. For owner category there are three different groups: Public Owner or National Assets, Private Owner and Special Category. A brief description is presented below.

a. Public Owner or National Assets

17 https://www.ine.cl/docs/default-source/publicaciones/2017/compendio-estadistico- 2017.pdf?sfvrsn=68ba51d2_6

National assets are those assets belonging to the State. If their use benefit all the citizen of the nation, these are called national assets for public use. If their use does not generally benefit to all inhabitants, they are called state assets or government assets. The assets administered by CONAF and the Ministry of National Assets, and in the context of the project, that are intended for activities related to GHG emission reduction and carbon sequestration are feasibility for proving ownership and transfer of carbon rights.

b. Private owner

Private owners can be divided into individual and joint owners. Individual owners are those where only one person has the right to the land; whereas joint owners are two or more owners of one property and require joint participation of all the owners. Furthermore, according to the existing forestry regulations, small private owners are those that own a surface land that does not exceed 200 hectares or 500 hectares when lands are located in regions I and IV, including XV, or 800 hectares for properties located in the community of Lonquimay (region IX, in the province of Palena, in region X, or in regions XI and XII); and if the income of the owners comes mainly from agriculture and/or forestry activities.

Additionally, there are special cases of “other small owners” as stipulated in the following regulations”

● The agricultural communities regulated by the Law No. 5, of the Ministry of Agriculture, dated from 1968 ● Indigenous communities regulated by Law No. 19.253 ● The communities on common properties resulting from the Agrarian Reform process ● Dryland societies established according to Article 1 of the Decree Law No 2,247, promulgated in 1978

c. Special categories

● Indigenous Owner: land holder right listed in Article 12 of the Law 19.253. “Annex No. 1 Land Tenure” that provides the list of indigenous lands. It has restrictions upon transfer and encumbrance of the land, except when this concerns to people of the same ethnicity.

● Indigenous Communities: Regulated by the Law 19.253, and related to groups of people coming from one indigenous ethnic group and a) originate from the same single family tree; b) have a recognized traditional leadership; c) own or have owned common indigenous lands, and d) derive from a single ancient settlement. They can be holders of property rights, generally, thorugh the purchase made by the National Indigenous Development Corporation (CONADI) via the land fund established in this Law.

The following table presents an approximation of the geographic distribution of the tenure regimes in the project area.

Table 17. Geographic distribution of different tenure regimes in the intervention area

Tenure regime Area per region (in hectares) Maule BioBío Araucanía Los Ríos Los Lagos Total Public owner SNASPE 18,899 136,621 256,152 99,945 789,161 1,300,778 Other national land asset 5,400 989 12 4,363 10,430 21,194 Private Owner Small owner 632,653 1,269,691 1,302,033 455,425 832,047 4,491,850 Others 868,446 868,446 1,316,843 773,379 2,085,249 5,912,363 Special categories Indigenous lands* 0 91,352 13,023 3,811 6,405 114,591 Feasible APF** 479,770 873,394 97,174 328,434 674,022 2,452,794 *There is a certainty that this areas are currently occupied by indigenous peoples, however is not possible to determine if it is in the hands of individual owners or communities due to the registration system.

** Feasible APF lands correspond to areas that are Preferably Suitable for Forestry activities, which currently have no vegetation cover or other uses, such as urban areas, wetlands, water bodies and therefore, they are potential lands for forestation activities.

Indigenous land tenure

As previously mentioned, CONADI is in charge of the registration of indigenous lands and their regime was updated by the Law No. 19,253, regulations that came to recognize a series of historical titles of indigenous lands over the territories historically inhabited: commissar titles, mercy titles and various assignments free of charge made by the State through the historical relationship with Indigenous Peoples. The current legislation establishes that indigenous lands may not be alienated, seized, encumbered or acquired by purchase prescription, except between communities or indigenous people of the same ethnic group. Additionally, those lands whose domain owner is an indigenous community may not be leased, given in bailment, or assigned to third parties in use, enjoyment or administration.

Law No. 19,253 also states that properties cannot be subdivided into lots of less than three hectares, which has resulted in problems of succession in large families, where, being lots less than what the law established, it frames the legal use of the land, but not the ownership. At the same time, currently, the most common form of land ownership in the area is the small-individual properties with an average area of 5 hectares per family. These lands present soils in evident state of degradation and erosion, without greater presence of native forest but with exotic species in exploitation. A significant percentage of the potential beneficiaries of the project (especially the Mapuche ethnic group), do not have land titles, which constitutes a barrier to access the various policy tools for forest development and management. The following table summarizes the main national regulations on indigenous lands.

Table 18. Legal framework for indigenous land tenure

Law Regulations that apply to land tenure Reality on land tenure The rights established in the In its Article 19, Section 24: The right of ownership over all Political Constitution of the kinds of physical or incorporeal property. Republic apply without Political exception to any potential Constitution of Only the law can establish the way to acquire the property, beneficiary of the project, the Republic of to use, enjoy and dispose it and the limitations and without prejudice. There are Chile obligations that derive from its social function. also other particular laws that establish specific restrictions, duties and rights on some

Law Regulations that apply to land tenure Reality on land tenure This includes everything required by the general interests of types of properties in the Nation, national security, public utility and health and the indigenous lands and conservation of environmental heritage. Agricultural Communities.

No one may, in any case, be deprived of their property, of the property on which it rests, except by virtue of general or special law authorizing expropriation due to public utility or interest national, qualified by the legislation Indigenous lands are those that indigenous peoples or communities currently occupy in property or possession based on the following titles: a) Commissioner titles in Mercy Titles are currently accordance with the law from June 10, 1823. b) Titles of grant subdivided into individual pursuant according to the laws from December 4, 1866; properties without Valid August 4, 1874, and January 20, 1883. c) Free transfers of Property Titles (updated). ownership made from the Law No. 4,169, of 1927; Law No. Other properties that the 4,802 of 1930; supreme decree No. 4,111, of 1931; Law No. State has given to Indigenous 14.511, of 1961, and Law No. 17.729, of 1972, and its Communities within the subsequent amendments. d) Other forms that the State has framework of different used to assign, regularize, surrender or assign lands to enacted laws are currently indigenous peoples, such as the Law No. 16,436 of 1966; subdivided into individual Decree Law No. 1,939, of 1977, and Decree Law No. 2,695, of plots/properties that do not 1979, and e) Those benefited from laws No. 15,020, of 1962, have property/land titles. and No. 16,640, of 1967, located in Regions VIII, IX and X,

registered in the Registry of Indigenous Lands, and constitute

homogeneous indigenous groups qualified by CONADI. Indigenous Law Properties that have been historically occupied and are In the territories, these No. 19,253 under possession of the Mapuche, Aymara, Rapa Nui or correspond to lands that are (article 12) Pascuenses, Atacameñas, Quechuas, Kollas, Kawashkar and being used by heirs that come Yámana peoples or communities, only if their rights are from families or communities registered in the Registry of Indigenous Lands, that was that got land titles through the created by this law, in request from the respective Mercy Titles or other type of communities or indigenous owners titles. This is the case of all the properties acquired by CONADI, either due to the expansion of areas or due to Properties and lands that come from the titles previously historical demands of referred and are declared in the future that belong to indigenous peoples, but by indigenous peoples or communities by the Courts of Justice. different reasons and processes the land was transferred to non-indigenous third parties. The lands referred to in the preceding article, due to national interest, shall enjoy the protection of this law and may not be alienated, seized, encumbered, or acquired by prescription, except between communities or indigenous persons of the same ethnicity. However, they will be allowed to be taxed, with the prior authorization of CONADI. This tax It applies to all indigenous Indigenous Law may not include the house-room of the indigenous family lands regardless of their origin (Article 13) and the land necessary for their subsistence. or ownership.

Likewise, lands whose owners are Indigenous Communities may not be leased, given in bailment, or assigned to third parties in use, enjoyment or administration. Lands of individual owners may be for a period that not exceed five

Law Regulations that apply to land tenure Reality on land tenure years. In any case, with the authorization of CONADI, the lands may be exchanged for non-indigenous lands of similar commercial value duly accredited, which will be considered indigenous lands.

Given the legal framework that regulates, protects and establishes the recognition of Indigenous Peoples and their rights, the CONADI18, under the Ministry of Social Development, is the institution whose mission is “to promote, coordinate and execute the State's action in favor of the integral development of indigenous peoples and communities, especially in the economic, social and cultural areas, and promote their participation in national life, through inter-sectoral coordination, the financing of investment initiatives and the provision of services… ”. CONADI is also the institution responsible for the consultation processes under ILO Convention No. 169.

Implications of the Chilean/Mapuche conflict in the project area

In the south of Chile and specifically the areas of the project implementation, indigenous populations have been present since ancient times, particularly in the regions of Biobío, Araucanía, Los Ríos and Los Lagos. Currently there are some areas that are in conflict and this situation could have implications for the project implementation. Potential conflicts might arise in the following situations:

a) Conflicts for projects regarding natural resources (especially hydropower projects). This type of conflict does not directly threaten ownership of the land and are not related with the project, but can create potential problems and challenges such as legal demands, compensations for controversial projects, activism and campaigns against REDD+ projects. b) Conflicts against CONAF. There are some territories and communities that claim ancestral rights in land ownership and use that are currently administered by the SNASPE since those areas are categorized as national parks or forestry reserve. c) Territorial conflicts over land claims by the Mapuche people. This type of conflict may be an obstacle for the project’s activities, given the fact it is related to tenure and property right over lands and might impact the implementation of REDD+ activities and distribution benefits.

4. LEGAL FRAMEWORK AND APPLICABLE SAFEGUARD POLICIES

The following chapter provides a preliminary overview of the existing national legislation and international treaties ratified by the country related to potential risks and benefits for the proposed project. Furthermore, it presents the applicable FAO and GCF safeguards required for the project implementation.

4.1. Environmental and Social Legislation

18 http://www.conadi.gob.cl/

Chile has a set of legislation and policy tools that support the implementation of the project under the framework of the ENCCRV. The most relevant national regulations and policies to consider preliminarily in the application of Environmental and Social Management Framework are the following:

Table 19. Relevant legislation and policy tools that at some extent are related to the application of the ESMF in the context of the ENCCRV

No. Legislation/Policy tool Description Law No. 19,300, General Basis This law established the Regulation of the Environmental Impact for the Environment and Assessment System (SEIA) which is tool that evaluates/assesses the Superior Decree No. 40, 2013, of impacts of productive activities/investment on the environment and the Ministry of the Environment establish corresponding measures to mitigate impacts. 1 The implementation phase of the project will follow the different guidelines stablished in the SEIA Regulation, as applicable. In the event that these are not applicable, the procedures described in this ESMF will be implemented. Law No. 20,417, which created It establishes the guidelines of the new environmental institution, the Ministry of Environment creating the Ministry of Environment (MMA), the Environmental (MMA), the Environmental Assessment Service (SEA) and the Superintendence of Environment 2 Assessment Service (SEA) and (SMA). It also establishes new guidelines for Environmental the Superintendence of the Assessment, including the strategic environmental assessment (EAE). Environment (SMA). Decree No. 32 of the Ministry of This regulation establishes the guidelines that regulate the procedure Environment that approves the for the application of the SEA, in accordance with the provisions of the 3 Regulation for the Strategic Law No. 19,300 that sets the General Basis for the Environment. Environmental Assessment (SEA) Decree No. 4,363, promulgated It aims to protect forest resources and increase forested areas. This in 1931, Ministry of Land and Decree constituted the first existing environmental regulations in the Colonization (current Ministry of country for the protection of water, soils and forests. It also 4 National Assets), which established instruments to promote afforestations that expanded the approved the final text of the area of forest plantations to about 300,000 ha. This law also set the Law on Forests No. 656 of basis of the institutional mandate of CONAF in matters of erosion October 17, 1925. control and watershed conservation. Decree Law No. 701, of 1974, on This decree aims to boost the forestry development at country level. Forest Development. The main regulation established by this decree is the reduction of GHG emissions and storage of carbon thought absolute obligation to reforest or regenerate the forests after any harvesting action in natural or planted forests. Likewise, the modification introduced by Law No. 19,571 of 1998 establishes the provision of economic incentives related to forest management and conservation. This Decree has 4 specific regulations that complement its mandate: ● Supreme Decree No. 193, of 1998, Ministry of Agriculture. 5 General Regulation of the Decree Law No. 701 of 1974. ● Supreme Decree No. 192, of 1998, Ministry of Agriculture. Regulation for the Payment of Forest Incentives. ● Supreme Decree No. 1,341, of 1998, Ministry of Finance. Regulation that establishes accounting standards applicable to taxpayers who carry out forestry activities in accordance with the Decree Law No. 701 of 1974 on Forest Development. ● Supreme Decree No. 259, of 1980, Ministry of Agriculture. Technical Regulation of Decree Law No. 701 of 1974. It

No. Legislation/Policy tool Description defines twelve forest types for the native forest and the silvicultural treatments that apply for each of them.

Law No. 20,283, on the Recovery The purpose of this law is to regulate the protection, recovery and of the Native Forest and Forest improvement of native forests, in order to ensure environmental and Development political sustainability of the forestry sector. Among other elements, this law established that all logging activities in native forest must have a Management Plan. Additionally, through this law was established the Fund for the Conservation, Recovery and Sustainable Management of Native Forest and the Native Forest Advisory Council. This law has the following specific regulations: ● Decree No. 68 of 2009, Ministry of Agriculture, which list and formalizes the native trees and shrub species of the country. 6 ● Supreme Decree No. 80, of 2008, Ministry of Agriculture. Regulation of the Consultative Council of the Native Forest. ● General Regulation of the Law on Recovery of the Native Forest and Forest Development. ● Regulation of the Fund for the Conservation, Recovery and Sustainable Management of Native Forest. ● Regulation on Resources dedicated for Research Activities on the Native Forest. ● Supreme Decree No. 82, of 2010, Ministry of Agriculture. Regulation of Soils, Water and Wetlands.

Sanitary Code; DL 725, 1968 It establishes the provisions on agricultural protection. The 7 phytosanitary protection of the forest resource of Chile is in charge of the Agricultural and Livestock Service (SAG). International Standard for It establishes the regulation of wood packaging used in international 8 Phytosanitary Measures No. 15 trade. Resolution No. 133 exempt, from Establishes quarantine regulations for the entry of wood packaging. 9 2005, of the SAG Resolution No. 3,301 of 2006 Approves specific regulations for the accreditation of third parties in 10 the application of timber treatments and export of wood packaging Law No. 19,253, which It establishes norms on protection, promotion and development of establishes norms on protection, indigenous peoples and creates the National Corporation for promotion and development of Indigenous Development (CONADI). indigenous peoples, and creates the National Corporation for Article 13 of this establishes that indigenous lands shall enjoy the Indigenous Development protection and may not be alienated, seized, encumbered, or 11 acquired by prescription, except between communities or indigenous persons of the same ethnicity. However, they will be allowed to be taxed, with prior authorization from CONADI. This tax may not include the house of the indigenous family and the land necessary for their subsistence. Likewise, lands whose owners are Indigenous Communities may not be leased, given in bailment, or assigned to third parties in use, enjoyment or administration. Law No. 20,249, on the Coastal Creates and protects the coastal marine space of native population. It Marine Space of native aims at protecting customary use the area, in order to maintain the 12 populations traditions and use of natural resources by the communities linked to the coastal edge. Supreme Decree No. 66 of 2013, It regulates the Indigenous Consultation process under Article 6 No. 1 13 Ministry of Social Development and No. 2 of the ILO Convention, promulgated by the Supreme Decree No. 236, of October 2, 2008. Law No. 17,288, on National This law establishes the regulations on archaeological, 14 Monuments and Supreme anthropological and paleontological explorations. The Law seeks to

No. Legislation/Policy tool Description Decree. No. 484, of 1990, protect the existing cultural heritage of the country and distinguishes Ministry of Education 4 categories of national monuments: i) Historical monuments; ii) Public monuments; iii) Archaeological monuments; iv) Typical areas and sanctuaries of nature. Article 19 No. 24 of the Political It establishes that no one can, in any case, be deprived of his property, Constitution of the State of the property on which it rests or of any of the essential attributes 15 or powers of the domain, except by virtue of the general or special Law that authorizes expropriation due to public utility or for national interest. Law No. 19,300, on the General The article 11 of Law No. 19,300 establishes that all those projects that Bases of the Environment and involve the resettlement of human communities, or significant Supreme Decree No. 40 of 2013, alteration of the life systems and customs of human groups will 16 Ministry of the Environment require an Environmental Impact Assessment (EIA). (Regulation of the Environmental Impact Assessment System) Decree Law No. 2,186 of 1978, This Decree contemplates detailed procedures that are intended to Organic Law on Expropriation protect the owner of the property in the justification of a possible Procedures. expropriation, in the correct valuation of the property and in the 17 payment of a fair price. The option for the expropriated to challenge the proceedings is established when he considers that he is being harmed. Decree Law No. 2,695 of 1979, The Decree Law establishes rules to regularize the possession of small- Ministry of Land and size properties and for the process on how to get ownership over it, Colonization (current Ministry of establishing the instruments for its regularization, including those 18 National Assets) who are holders or possessors, but who do not have a land title duly registered at the Real Estate Agency, recognizing the quality of regular holder to acquire ownership of the property. Decree Law No. 1,939, of 1977, The Decree Law regulates everything related to the ownership of the Ministry of Land and State's lands and establishes that it will be up to the Ministry of Colonization (current Ministry of National Assets to elaborate and conserve the cadaster of the real National Assets) estate of fiscal property and of all the State entities. It establishes that 19 Forest Reserves, National Parks and fiscal lands whose occupation and use compromise the ecological balance, may only be used or granted in use to State agencies or legal persons for conservation and environmental protection purposes as established in Title XXXIII of the Book I of the Civil Code. Law No. 19,300, on General Basis It gives the Environmental Assessment Service (SEA) the responsibility of the Environment and Decree of administering the SEIA and promote public participation, which No. 40, of 2013, of the Ministry starts when the project owner submits the Environmental Impact of Environment, which approves Assessment to the SEIA. Article 30 bis establishes that citizen 20 the SEIA Regulation that governs participation includes the rights to access information, make the participation of the observations and obtain informed responses and other relevant community in the process of information on the process. environmental impact assessment. Law No. 20,500, on Associations It recognizes in its article 19 the right to people to participate in the and Public Participation in Public government’s policies, plans, programs and actions. The 70 21 Administration establishes that each state administration body must establish the formal and specific modalities of participation that people and civil society organizations will have within the scope of their competence

Additional to these legislative Decrees and Laws, Chile has developed a vast set of strategies and plans that provide policy support to the ENCCRV in general, and the project implementation in particular. The most relevant national plans and strategies are listed below:

● National Climate Change Action Plan (PANCC) 2008-201219

Prior to the formulation of the ENCCRV, Chile had the so-called National Climate Change Strategy, which covered various productive economic sectors beyond the vegetation and forest resources. This strategy was presented in 2006 by the National Advisory Committee on Global Change and was constituted in the basis for the formulation and subsequent launch of the National Climate Change Action Plan (PANCC) 2008-2012 in 2008. The PANCC was articulated in three action areas: i) Adaptation to the impacts of climate change; ii) Mitigation of Greenhouse Gas (GHG) emissions; and iii) Capacity building.

● Climate Change Adaptation Plan for the agricultural and livestock sectors20

This plan was prepared by the Ministry of Agriculture (MINAGRI) in the framework of the PANCC 2008-2012. In the field of the vegetation and forest resources, this plan highlighted: i) The development and implementation of silvicultural methods and practices to face the climate change; ii) The adaptation of early warning systems and integrated management of pests and diseases; and iii) The development of an genetic conservation program (ex situ) of forest resources for climate change adaptation. This plan is on implementation and its content provides additional support for the implementation of the ENCCRV.

● Climate Change Adaptation Plan in Biodiversity21

This plan was approved by the Council of Ministers for Sustainability on July 21 in 2014 as part of the PANCC 2008-2012’s framework. This document mentions for the first time the importance of elaborating the ENCCRV and indicates that it constitutes one of the concrete actions for the fulfillment of one of the Plan’s objectives on “Promoting sustainable productive practices for the adaptation to climate change in biodiversity and the maintenance of ecosystem services”, in association of the “Promotion of good practices for the sustainable management of productive systems, integrating criteria on biodiversity protection and climate change"

● National Climate Change Adaptation Plan22

Approved by the Council of Ministers for Sustainability on December 1, 2014, it aims at establishing a conceptual framework for climate change adaptation in Chile and set guiding principles. The plan also outlines the operational structure for the implementation of the Plan in order to facilitate the execution and monitoring of a series of cross-cutting and sectoral measures with the active participation of the relevant ministries, regional governments and municipalities.

19 https://mma.gob.cl/wp-content/uploads/2017/07/plan_nacional_climatico_2017_2.pdf 20 https://mma.gob.cl/cambio-climatico/plan-de-adaptacion-al-cambio-climatico-para-el-sector- silvoagropecuario/ 21 https://mma.gob.cl/cambio-climatico/plan-de-adaptacion-al-cambio-climatico-para-la-biodiversidad/ 22 https://mma.gob.cl/wp-content/uploads/2016/02/Plan-Nacional-Adaptacion-Cambio-Climatico-version- final.pdf

● National Climate Change Action Plan 2017-2022 (PANCC-II)23

This new National Climate Change Action Plan 2017-2022 (PANCC-II) was developed in framework of better knowledge and concrete progress obtained through the experience from the National Climate Change Action Plan 2008-2012 (PANCC I). This plan was also elaborated in a momentum of greater political commitment to address climate change and is oriented to the effective implementation of structured actions based on 4 workstreams: i) Adaptation to climate change; ii) Mitigation; iii) Capacity building and iv) Climate change management at regional and community level. The ENCCRV, which contributes to the 4 workstreams, is mentioned in the Plan as fundamental tool reduce vulnerability and contribute to climate change mitigation.

● National Action Program against Desertification, Land Degradation and Drought 2016- 2030 (PANCD)24

The objective of the PANCD is to identify, prevent and control the drivers that cause desertification, land degradation and drought, especially in arid, semi-arid and dry sub-humid areas, as well as promoting sustainable land management in all the country’s ecosystems. This plan responds to country efforts and commitments at the United Nations Convention to Combat Desertification (UNCCD), the Sustainable Development Goals (SDGs) and aligned to the ENCCRV (2017-2025).

4.2. Relevant International Conventions and Treaties

The ENCCRV and the project are aligned to three international conventions ratified by the country: a) United Nations Framework Convention on Climate Change (UNFCCC); b) United Nations Convention to Combat Desertification (UNCCD); and c) Convention on Biological Diversity (CBD). Furthermore, it also integrates the UN Sustainable Development Goals (SDG) and other related international guidelines and principles on sustainable development, human rights and indigenous peoples. The following list present the main international commitments subscribed by the Chilean government hat, at some extent, are related to the project implementation.

● Law No. 20,962 of 2016, which applies the Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES)25. ● Resolution No. 64/289 of the UN General Assembly, which established UN Women ● Supreme Decree No. 236 of October 2, 2008, of the Ministry of Foreign Affairs, through which the Convention No. 169 on Indigenous and Tribal Peoples in Independent Countries of the International Labor Organization (ILO) was promulgated26. ● United Nations Declaration on the Rights of Indigenous Peoples, signed by Chile in 2007 ● Supreme Decree No. 375 of November 23, 2006, of the Ministry of Foreign Affairs, that promulgated the United Nations Convention against Corruption27. ● International Plant Protection Convention (IPPC) of FAO, which approved the International Standard for Phytosanitary Measures (ISPM No. 15), regulating the packaging of wood used

23 https://mma.gob.cl/cambio-climatico/plan-de-accion-nacional-de-cambio-climatico-2017-2022-pancc-ii/ 24 https://biblioteca.digital.gob.cl/handle/123456789/3413 25 https://www.leychile.cl/Navegar?idNorma=1096714 26 https://www.leychile.cl/Navegar?idNorma=279441 27 https://www.leychile.cl/Navegar?idNorma=257958

in international trade (2006, Modified Annex I; 2009 promulgation of the latest version of the standard). ● Supreme Decree No. 2,065 of February 13, 1998, of the Ministry of Foreign Affairs, through which the United Nations Convention to Combat Desertification was promulgated28 ● Beijing Declaration and Platform for Action (LAB) from September 4 to 15, 1995. ● Supreme Decree No. 123 of April 13, 1995, of the Ministry of Foreign Affairs that promulgated the United Nations Framework Convention on Climate Change29. ● Supreme Decree No. 1963 of May 6, 1995, of the Ministry of Foreign Affairs, that promulgated the Convention on Biological Diversity30 ● Supreme Decree No. 789 of December 9, 1989, of the Ministry of Foreign Affairs, through which the Convention on the Elimination of All Forms of Discrimination against Women was promulgated31 ● Supreme Decree No. 259 of March 27, 1980, of the Ministry of Foreign Affairs that promulgated on the Convention on the Protection of the World Cultural and Natural Heritage32. ● Decree No. 873 of January 28, 1975, of the Ministry of Foreign Affairs, through which the Convention on International Trade in Endangered Species of Wild Fauna and Flora was enacted33.

Overall, is important to highlight that the international conventions promulgated by Chile have the character of Law of the Republic, taking precedence over national legislation.

4.3. Applicable Environmental and Social Safeguard Policies

The GCF has provisionally adopted the International Financial Corporation (IFC) Performance Standards and directives of implementation for the purposes of safeguarding GCF projects. This project has been screened against FAO environmental and social standards, ensuring that the project is consistent with the objectives of GCF Performance Standards. The table below presents the IFC Performance Standards and its corresponding FAO’s social and environmental safeguards:

Table 20. IFC Performance Standards & corresponding FAO Environmental and Social Safeguards

28 https://www.leychile.cl/Navegar?idNorma=96299 29 https://www.leychile.cl/Navegar?idNorma=9635 30 https://www.leychile.cl/Navegar?idNorma=18766 31 https://www.leychile.cl/Navegar?idNorma=15606 32 https://www.leychile.cl/Navegar?idNorma=265641&idParte=0&a_int_=True 33 https://www.leychile.cl/Navegar?idNorma=199552

IFC Performance Standards (PS) FAO Environmental and Social Safeguards ESS2 – Biodiversity, Ecosystems, and Natural Habitats PS6 – Biodiversity Conservation and Sustainable ESS3 – Plant Genetic Resources for Food and Management of Living Natural Resources Agriculture ESS4 – Animal – Livestock and Aquatic Genetic Resources for Food and Agriculture PS7 – Indigenous Peoples ESS9 – Indigenous Peoples and Cultural Heritage PS8 – Cultural Heritage

Furthermore, is important to highlight that the National Forestry Corporation has already identified, as part of the ENCCRV’s ESMF, a list of non-eligible activities. The list of non-eligible activities are those that contravenes the objectives of the ENCCRV and therefore for this result-based payment project. The list of these non-eligible activities is presented in Annex 1.

The process followed to screen the E&S standards is based in the FAO´s guidelines for environmental and social management (http://www.fao.org/3/a-i4413e.pdf). These guidelines facilitate the systematic identification and assessment of E&S risks and the integration of the management of these risks into the project cycle (design and implementation). The guidelines address compliance with the cited standards while facilitating the project outcome and FAO's vision, strategic objectives, key principles for sustainability. Moreover the ESM Guidelines are aligned with the FAO project cycle and will play a vital role in ensuring quality of field projects. FAO Environmental and Social Standards (ESS) 1-9 followed specific process to screen the nine ESS standards relating to different social and environmental issues. Particularly, FAO’s environmental and social screening checklist was applied, using trigger questions to screen for Environmental and Social Risk Identification.

The proposed project intervention are designed to result in positive social and environmental benefits. The Project has been classified as moderate risk (Category "B") (see annex 3) and it is expected that its activities, as described under Chapter 2, will trigger the following Environmental and Social Safeguard Policies: ESS2, ESS3, ESS4, ESS7, ESS8 and ESS9. To comply with these policies, given that not all the sub-activities can be identified at this stage, general safeguard instruments were identified in Table 19.

Table 21. List of safeguard policies triggered for the Project

Safeguard Policies Triggered ESS 1 – Natural Resources Management No ESS2 – Biodiversity, Ecosystems, and Natural Habitats Yes ESS3 – Plant Genetic Resources for Food and Agriculture Yes ESS4 – Animal – Livestock and Aquatic Genetic Resources for Food No and Agriculture ESS5 – Pest and Pesticide Management No ESS6 – Involuntary Resettlement and Displacement No ESS7 – Decent Work Yes ESS8 – Gender Equality Yes ESS9 – Indigenous Peoples and Cultural Heritage Yes

● ESS2 – Biodiversity, Ecosystems, and Natural Habitats. This policy is triggered.

Due to the nature of the project and the overall objective of the ENCCRV that the project will support, various activities will take place in and/or nearby protected areas and buffer zones, such as the restoration and revegetation of degraded landscapes and forests, conservation of native forests and training activities to strengthen the administration and management of protected areas and natural forests. Furthermore, the project involve activities related to the access to traditional knowledge associated with genetic resources that is held by indigenous, local communities and/or farmers, particularly in the identification and selection of native tree species used for revegetation and restoration of degraded lands.

● ESS3 – Plant Genetic Resources for Food and Agriculture. This policy is triggered.

The project contemplates to support the reforestation and revegetation program in prioritized commune/areas (MT4) through the use of native species with participation of small and medium- size landowners and landholders. The proposed activities include the utilization of native species in order to avoid negative environmental impacts through the use of alien species. However, it is likely that reforestation with exotic species will be carried out in highly degraded areas and some species (to be identified) will be used with the aim of recovering degraded landscapes but not for commercial purposes, but the priority is to select and use local species. The participation and consultation of indigenous peoples and local communities for the selection of tree species that will be used.

● ESS7 – Decent Work. This policy is triggered.

The project will work in areas where subsistence producers, workers and farmers operate. In fact, most of the activities contemplate the participation of small and medium-size farmers and landholders, particularly in activities related to reforestations, revegetation, landscape restoration and conservation of natural forests. Additionally, the agricultural and forestry sector, where the project is focused, is characterized by some gender inequalities in land rights, labour market and participation in decision-making processes. The project contemplates a strong training and gender mainstreaming component to address gender inequalities as well as for promoting decent work and rural employment to support local and rural populations’ livelihood and sustainable farming practices.

● ESS8 – Gender Equality. This policy is triggered.

The Project might potentially result in discrimination against women, based on gender, especially regarding participation in the design and implementation or access to opportunities and benefits. The Project could potentially limit women’s ability to use, develop and protect natural resources, taking into account different roles and positions of women and men in accessing benefits. These risks will be addressed in the project design and implementation.

● ESS9 – Indigenous Peoples and Cultural Heritage. This policy is triggered.

The project will work directly with indigenous peoples and local communities and in areas of high- cultural value and resources. The government of Chile has ratified the ILO Convention 169 on Indigenous and Tribal Peoples. The Chilean’s current legislation, through the Law No. 19,253, establishes norms on the protection, promotion and development of indigenous peoples, and creates the National Corporation for Indigenous Development (CONADI). During the formulation of

the ENCCRV, consultation processes with indigenous groups and local population have taken place (please refer to section 5. Stakeholder Engagement) and during the first phase of the project, a series of consultation process following the principle of Free, Prior and Informed Consent (FPIC) will take place in order to identify and take into consideration indigenous peoples’ differentiated needs and priorities, key concerns, and preferred methods of grievance redress for this particular project. Based on this, during the first year of the project, an Indigenous Peoples Plan (IPP) will be produced. The IPP will outline any identified actions required to avoid, minimize and/or compensate for any adverse impacts in a culturally appropriate manner.

4.4. Summary of Objectives and Principles for Implementation of the Gender Action Plan

Chile has made progress in recent years in integrating gender perspectives and awareness into forest policies and ENCCRV strategies. Guidelines for REDD+ safeguards are available, and the national REDD+ strategy includes several references to gender/women, which reflects the increasing awareness and commitment to integrate gender into REDD+ policies and implementation.

In Chile, the progress of mainstreaming gender into the ENCCRV has been based on a widespread participative process that included proposals of all sectors of society, focusing on women, indigenous peoples, and vulnerable communities (formulation and validation stage of the ENCCRV and its SESA). The national-level territorial coverage, the total of key stakeholders engaged, the methodology used, the characteristics of the implementation of the participatory process, the mainstreaming of the gender approach and cultural relevance: all of these are unprecedented measures for the formulation of public policies that seek to represent the country’s territorial vision with regard to forests and vegetation resources.

Through this participative process, gender considerations and women’s and indigenous peoples demands, regarding the causes of degradation and deforestation, were integrated into the ENCCRV’s design and action measures. They contributed to identify the target groups of the ENCCRV: vulnerable groups in rural areas of the country, indigenous and non-indigenous rural communities, indigenous woman, small and medium-sized landowners, among others stakeholders. The participative process was used for defining the benefits likely to be generated with the implementation of the activities contemplated within the ENCCRV.

In the gender action plan, the monitoring of all activities implemented by the ENCCRV will consider a general indicator related to the percentage of women's participation. Other gender indicators have also been defined with regard to the ENCCRV action measures that include education/training and audit activities; and the action measures related to afforestation, restoration, soil management and preventive forestry activities, which will be implemented directly in the territory. The indicators are related to the integration of the gender approach in all the cycle planning of ENCCRV projects (gender-sensitive programming, gender responsive project results framework).

5. STAKEHOLDER ENGAGEMENT As mentioned, this project builds on and implement certain actions of the National Strategy for Climate Change and Plant Resources (ENCCRV). The preparation of the ENCCRV was highly participatory, with a large information sharing, gathering and consultation process carried out in

order to identify and actively engage the key groups and stakeholders that would participate directly and in directly both in the construction of the ENCCRV and in the implementation of its actions, some of which are included in this specific RBP project. The feedback, recommendations and other comments received at different stages through the process served to strengthen the ENCCRV; the continuation of the stakeholder engagement process will serve to assure proper implementation of actions and potential adjustments in the ENCCRV for the future. Further details are indicated in the following sections. 5.1. Stakeholder Identification

In the framework of the preparation of the ENCCRV there were 15 consultation workshops led by government authorities (REDD+ focal point), one in each administrative region of the country. The consultations were also undertaken in the five regions targeted by this specific RBP project: Maule, BioBío, Araucanía, Los Ríos and Los Lagos. The methodology for the workshops included the identification and elaboration of regional stakeholders (map of actors); definition of focus groups in order to identify main actors in each sector; and the identification of the main/challenging issues to highlight during the consultation and discussions with the different focus groups.

The table 22 presents the main stakeholders identified in the ENCCRV and in the area of this specific project. It also indicates the forecasted role the stakeholder would have in implementation.

Table 22. Key stakeholders present in the project area and role in project implementation

Roles in the area/project No. Groups’ category Description implementation Representatives Participation and active contribution Universities and technical/ in the technical workgroups associated professional training with carbon accounting, management 1 Academia centers in areas and plans, wildlife management, social and disciplines related to environmental safeguards, etc. vegetation resources Representatives of traders Dissemination and promotion of the and business in forestry and ENCCRV and the related result-based 2 Trade Unions agricultural fiends or any payment activities amongst the other activities that involve different productive sectors. vegetation resources Independent professionals Support extension services and and state-dependent technical guidance to owners and Professionals that provide communities involved in forest Consultants and 3 technical support and management/conservation activities, extension workers capacity building services to especially activities promoted by the forest owners and forest project. companies/industry Representatives of public Coordination, promotion and institutions that are directly cooperation in implementing activities or indirectly related to the in close collaboration with the 4 Government agencies management and Executive Entity administration of vegetation resources Women belonging to Implementation of direct activities on 5 Indigenous women different indigenous groups forests and vegetation resources present in the region according to the free, prior and

Roles in the area/project No. Groups’ category Description implementation informed consent process at local and Representatives from regional level to assure the respect of indigenous communities human rights, indigenous knowledge 6 Indigenous peoples presented in the region and traditions in regard to the use of natural resources Representatives of non- Support the implementation of the government project with regards to socialization organizations that play and consultation processes as well as 7 NGOs certain activities that are on-ground implementation directly or indirectly related to forest Groups that mainly involve Ensure gender considerations across women and play roles in the different phases of the project women rights and Women groups (IPs and 8 mainstreaming of gender local communities) consideration in different fields, particularly forests and agriculture Owners of forests and Direct participation in implementation agricultural lands and of ENCCRV activities (and therefore whose properties will be part of this specific project) , including Small and medium land included in the reforestations, land restoration, 9 owners/holders implementation phase conservation of natural forests and according to current participation in capacity building legislation processes

Representatives of political Participation in policy dialogues and parties and local and law enforcement activities related to Political parties and 10 regional governments forestry and agriculture (for example, representatives formulation of draft laws for the forestry sector) Representatives of Direct implementation of measures enterprises and owners of and activities to reduce deforestation forests and rural lands and and enhance carbon stocks, and 11 Private sector classified as large-size provide resources to facilitate the owners according to project implementation current legislation

Overall, the consultation processes focused on the following aspects:

● The main drivers of degradation, deforestation, and barriers that limit reforestation activities. A consultation was carried out to identify the main direct and indirect drivers in each region. ● Activities and measures intended to reduce forest degradation and deforestation and for to enhance reforestations in each region. The proposed activities responded to address the main drivers identified from the above.

● Strategies and actions needed to identify potential negative impacts/effects and recommendations on how to mitigate, avoid and minimize potential risks of the proposed activities. ● Actions needed to maximize positive effects and impacts of the proposed activities, including benefit sharing mechanisms. ● Actions that contribute to maintain and to increase biological diversity and ecosystem services.

While the table above is well representing the key stakeholders for the ENCCRV and its implementation (including the activities of this specific project) the map of actors will be updated also at the inception phase of this present project, so to include potential stakeholder which became relevant since the latest consultations.

5.2. Stakeholder Engagement during Project Preparation/Formulation

5.2.1. Consultations at the National Level

To complement the regional consultation workshops (see next section), an expert national workshop was also organized. This national expert’s workshop followed the same methodology and addressed the same aspects/topics as the regional ones. This workshop had the participation of representatives from different sectors such as NGOs, international cooperation, national and international consultants, private sector, governmental agencies, among others.

5.2.2. Consultations at Regional level and main results

As mentioned in section 5.1 the Chile REDD+ focal point authority/working group called for and delivered 15 consultation workshops, to prepare the ENCCRV and identify means and key roles of implementation - in collaboration with national and international partners (among which the Accredited Entity). The consultations covered each region including the areas of implementation of this project. Specific consultations were also undertaken in 2019 for the preparation of the specific RBP proposal.

This section presents the details of the consultations that took place in the project intervention area and constitute the basis for the following steps to be taken during the first year of the project implementation.

Overall, the consultation processes focused on the following aspects:

● The main drivers of degradation, deforestation, and barriers that limit reforestation activities. A consultation was carried out to identify the main direct and indirect drivers in each region. ● Activities and measures intended to reduce forest degradation and deforestation and to enhance reforestations in each region. The proposed activities responded to address the main drivers identified from the above. ● Strategies and actions needed to identify potential negative impacts/effects and recommendations on how to mitigate, avoid and minimize potential risks of the proposed activities.

● Actions needed to maximize positive effects and impacts of the proposed activities, including benefit sharing mechanisms. ● Actions that contribute to maintain and to increase biological diversity and ecosystem services.

Overall, the consultation in the five regions brought similar outcomes The table below presents the main results and findings in each regional consultation.

Table 23. Results of regional consultation workshops

Number of Region Date Main results participants Maule34 August 27, 2015 88 Inputs obtained this workshop included a large number of contributions relating to agriculture and stock farming. The participants revealed the importance of providing incentives to promote forestations. Recommendations ranged from formulating regulations with participation of local stakeholders in both formulation and auditing processes to reduce risks associated to unfair incentives distribution (benefit sharing). The participants identified anthropogenic and natural causes for deforestation and degradation, being natural causes such as flooding and drought the most important. Forest fires were also mentioned but in less importance. Representatives (focus groups) of women and agricultural/livestock farming were highly participative. In general, the main drivers/causes of degradation and deforestation identified were: a) the lack of environmental education; b) illegal and unsustainable timber logging; c) agricultural and livestock farming; d) forest fires; e) lack of profitability associated with forestations with native tree species; f) lack of economic incentives; and g) lack of regulations, auditing and penalties. BioBío35 October 6 ,2015 110 Participants identified the change in land use for agricultural purposes, livestock farming, expansion of infrastructure and urban areas as the main drivers of deforestation and degradation in the region. Furthermore, forest plantations with exotic species were also mentioned as a driver for degradation and it is also linked to the scarcity of water resources. In the second step, participants mentioned forest fires, inadequate forest management practices and overgrazing. In the case of indirect causes of

34 http://www.conaf.cl/wp-content/files_mf/1446219418informeMaulerevisadoVB.pdf 35 http://www.CONAF.cl/wp-content/files_mf/1452526208InformeBiob%C3%ADo.pdf

Number of Region Date Main results participants degradation and deforestation, participants identified social and cultural aspects, such as the lack of recognition of Mapuche peoples, regulatory aspects such as compiling a new forestry development law though a participatory process, and organizational aspects such as improvements in planning and auditing forest management practices. In the case of the barriers that limit the establishment of reforestations, the participants mentioned the soil erosion, lack of facilities for water shortage, lack of governance, lack of adequate legislation and lack of subsidies/incentives. Aspects related to land tenure and lack of environmental education were also highlighted. Araucanía36 July 26, 2015 105 In this workshop, the participants identified the need to boost the forest state’s sectoral policy. Attention was also drawn for the absence of cultural perspectives across the policies and the need to incorporate ecosystem in a culturally-related issues in forest policies. A similar observation was made in respect of the definitions and concepts related to forestry resources such as forest, native forest and other vegetation resources. People were willing to engage in dialogue in participatory process of decision making. Participants also requested more inputs and tools to better analyze and identify the main causes of degradation, deforestation and therefore identify potential solutions required to tackle the challenges presented. The participants recommended to make adaptations in programs and plans in order to include: better economic support such as direct grants resulting REDD+ activities; better mechanisms and processes to facilitate the access for subsidies; the revision of the forest policy, particularly from the productive value- chains; recognition of the roles that indigenous peoples play in conserving and managing forest resources and ecosystem services; and the revision of the forestry and environmental policies in order to safeguard indigenous peoples from negative environmental, social and eco-cultural impacts. Los Ríos37 October 22, 2015 95 Participants identified agricultural and livestock farming practices and cultural aspects, as well as urban expansion, as the main causes of land change use. Likewise, those attending the workshops highlighted the discrepancies between forest and agricultural policies, particularly the lack of harmonization in

36 http://www.CONAF.cl/wpcontent/files_mf/1384958150Anexo1MemoriaTallerMacroZonaBiobioAraucania.d oc 37 http://www.CONAF.cl/wp-content/files_mf/1450110007InformeLosR%C3%ADos.pdf

Number of Region Date Main results participants regards to guidelines for financial options/opportunities. Inadequate policies for the management of native and unsustainable grazing practices and monocultures were also mentioned. Another driver of deforestation and degradation mentioned was the Dendroenergy matrix, expansion of agriculture forest fires, energy production and the lack of incentives, amongst others. Reference was also made to regulatory, social, educational, economic, political, cultural, institutional problems. Los Lagos38 October 20, 2015 35 In this workshop the people identified unsustainable timber logging for income generation, illegal logging, and land-change use due to the expansion of agricultural crops, livestock, mining and industrial activities, forest fires, forest pests and disease, among others. The participants mentioned that some underlying causes of deforestation and degradation are the lack of environmental education, lack of adequate legislation for forest management, incompatibility between the view of the State and the indigenous worldview, rural poverty and the lack of the cultural perspectives in forest management.

In regards to the barriers that limit reforestations, workshop attendees mentioned limitations in environmental education, lack of knowledge, lack of regulatory frameworks applicable to local situations, bureaucracy within organizations, lack of economic incentives, lack of a forestry market, lack of fairness in distributing water rights, lack of an effective forestry policy, the need for better research and innovation, lack of labour for the island of Chiloé, lack of technical assistance, and lack of follow-up in management plans.

As a continuation of the engagement process, specific information and participatory workshops were also undertaken in the framework of the elaboration of this Result-Based Payment Project. The date and city where each of the workshops were held were as follows:

● June 27, Temuco, Araucanía region. ● July 2, Puerto Montt, Los Lagos region. ● July 4, Valdivia, Los Ríos region ● July 9, Concepción, Biobío region ● July 11, Talca, Maule region

38http://www.CONAF.cl/wp-content/files_mf/1450110007InformeLosL%C3%ADos.pdf

The workshops were part of the participatory processes agreed in the ENCCRV, to boost and ensure environmental and social sustainability of the initiative, allowing all interested parties, especially vulnerable actors, to be informed, consulted and active in their potential contributions. .

A core team was formed for the planning and development of the workshops, composed of professionals from the Climate Change and Environmental Services Unit of CONAF's Central Offices, Indigenous and Social Affairs Unit, Climate Change coordinators of the five regions contemplated in the project (Maule, Biobío, Araucanía, Los Ríos and Los Lagos) and regional support professionals.

The objective of the workshops was to inform and receive feedback of the relevant actors regarding the mechanisms and criteria for the equitable, transparent and efficient distribution of the resources obtained in the Payment for Results phase. The workshops also served to identify key roles in the implementation as well as the risks and potential impacts associated with the implementation of the activities to be financed through the resources obtained by this project.

The methodology used in each workshop was based on the guidelines established in the Plan for the Implementation of Social and Environmental Safeguards of Public and Indigenous Consultation and Self-Assessment, of the ENCCRV, a guide document for the participatory process in the preparation phase of the ENCCRV. In this context, the stages contemplated in the development of the workshops were the following:

a) takeholders and selection criteria

Following up from the stakeholder identification (see section 5.1), the groups convened for the development of these workshops were:

● Indigenous peoples ● Academia ● Government Sector (Other than CONAF) ● Forest Consultants ● Non-Governmental Organizations (NGOs) ● Women's Organizations ● Private Sector ● Small and Medium landowners ● Indigenous women, small and medium-sized landowners, and ● Regional CONAF staff.

The actors corresponded to the ones who already participated in the ENCCRV formulation process. This consideration responds to several objectives, on the one hand, it ensures the coherence of the process and allows an operational continuity, since these are people who are already aware of the issues that will be addressed, it ensures that they are people who know the initiative. In addition, it will be possible to identify how those considerations that arose during the previous process were embodied in the action measures of the ENCCRV, and finally, it complies with the commitment established during the formulation, regarding considering participation also in the implementation phase of the ENCCRV

Participation of women: for each sector identified, a minimum participation of 30% of women was established. In this way, it is also ensured that the minimum participation of women on the day of the workshop is at least 30%.

The conformation of the Map of Actors must also consider local, sub-regional and regional geographical representation, since, due to their scope of action, the former tends to make operational proposals, the sub-regional strategic type and the latter has a more political vision.

The above mentioned stakeholders’ selection criteria / composition of map of actors will also be followed for engagement and consultations during the implementation of the project.

A participation between 30 and 40 people per workshop was defined. This number is agreed to facilitate the instances of discussion and analysis in focus groups.

b) Focus group settings

According to the map of actors in each region, the configuration of the focus groups was established considering that each of them was representative of a sector of the population/society. Each group consists of 5 to 8 people according to the number of attendees and focus groups represented. According to the attendance in each of the workshops, the formation of specific focus groups of Indigenous Peoples and women were considered.

c) Workshop development

The planning and development team developed a topic for the workshops, defining the context information (national and regional), the contents that would be subject to discussion and the participatory activities through which the feedback on the design and implementation of the Benefit Distribution System in the ENCCRV payment for results phase would be received.

In this context, participatory activities were carried out that allowed to gather the view of the attendees regarding the causes of degradation, deforestation and non-increase of forest cover in their region (prioritizing, from the local / regional point of view those that are already defined in the ENCCRV) and direct action measures (prioritizing those that would allow addressing the causes mentioned above). The participants also discussed on aspects related to governance, benefit sharing and potential risks in the implementation of the project activities in the territory.

4. Preliminary results

A total of 157 people, 56 women (36%) and 42 representatives of indigenous peoples (27%) participated in the 5 workshops. In this case, it should be noted that the Maule region does not register indigenous communities or associations in its territory.

The invitations, based on the map of actors made in each region, in general met the proposed objectives in terms of participation recording, on average, an attendance of 30 people. This allowed the creation of between 4 to 5 focus groups at each workshop, among which are: (1) small owners and / or indigenous peoples; (2) forestry extension consultants; (3) academic-public institutions; (4) NGOs and private.

Regarding participatory activities, forest fires were highlighted as one of the main causes of deforestation, degradation and non-increase in forest cover. However, the action measure that was prioritized by the actors was the Forestation and Revegetation Program, followed by the Restoration Program.

Regarding governance structures, in general, the role of CONAF as a coordinating body for processes related to climate change was supported, and the participation of other representative bodies of the public area (services and institutions related to the forest / environmental sector, were

highlighted), academy, of civil society (NGOs, municipalities, indigenous communities and other social organizations) and the private sector (forestry companies).

Regarding the potential risks and impacts identified in the implementation of activities, it is possible to detect in the first instance, that risks related to governance are identified (bureaucracy in the processes of distribution of resources, lack of technical capacity, poor planning of activities, inadequate monitoring and lack of continuity of the actions to be implemented), environmental (low availability of seeds and plants, use of unsuitable species for certain sectors) and social (not considering the participation of neighboring, indigenous peoples, local and / or women, labor shortage).

5.3. Stakeholder Engagement during Project Implementation

The consultation process carried out during the preparation of the ENCCRV (from 2013 to 2016), the continuation of the consultations as preparation of this specific RBP project (2019) as well as the overall continuous REDD+ dialogue in the country , serve as base to continue the consultation process also during the implementation phase of the project itself.

As overall umbrella the implementation of funds received through this project will engage stakeholders following the agreements and details indicated in the specific sections of the Environmental and social management framework of the Chile REDD+ strategy (ENCCRV)39 (or in related potential future updates of the framework), and in consistence with the safeguards information system (which objective is also to make available consistent and transparent information, accessible to relevant stakeholders).

Within the first six months of the inception phase of this specific project, the Chile REDD+ focal point/working group will update the map of key actors, basing on the identification already done for the ENCCRV and project formulation phase, to reconfirm or bring in additional potentially relevant stakeholders; together with the Executing Agency and the Safeguards team it will organize a start-up national, regional and field-level dialogue on sub-activities in order to identify, mitigate and avoid negative impacts that might affect livelihoods, governance, agricultural farming systems and indigenous peoples. Roles of each stakeholder already identified in Table 22 (section 5.1) will be reconfirmed/updated and specified in further detail. This first set of consultations will also serve for the parties to agree on the periodicity of the consultation process. After this first set of renovated consultations, dialogues will be maintained periodically over the implementation of the project (following the periodicity agreed upon) and will also serve to exchange progress of the work among different actors and re-adjust actions if needed.

As practice already started for the consultations in 2019 (section 5.2.2), the methodology for consultations will follow what agreed in the Plan for the Implementation of Social and Environmental Safeguards of Public and Indigenous Consultation and Self-Assessment.

At the end of each year of implementation, the Chile REDD+ focal point/working group (including the Executing Entity / Accredited Entity) will summarize and discuss upon the level and quality of engagement of the stakeholders, and plan potential adjustments for the following year.

39 available in Spanish at https://www.enccrv-chile.cl/descargas/participacion/20-mgas-version-0/file

Following previous procedures and agreements in the preparation of the ENCCRV and project formulation phase, Free Prior and Informed Consent (FPIC) process will be undertaken for all activities that will directly involve local communities and indigenous peoples in order to (i) engage with them and utilize materials in their relevant language (s); (ii) clarify that benefits accrued under the project are shared with all participants and community members; and (iii) take the opportunity to re-confirm their respectively preferred Grievance Redress Mechanisms. More details are presented in the following section.

The ENCCRV ESMF also clearly indicates roles and responsibilities of different stakeholders during the implementation of REDD+ activities and actions (especially in its sections 1.3, 1.5 and 4). While details can be found in the mentioned document, CONAF will act as executive actor and will coordinate actions, including making sure all relevant stakeholders are actively engaged. The implementation of actions will be undertaken also in collaboration and dialogue with regional units and with one or more of the stakeholders indicated in Table 22, with details to be specified for each action/activity at the time of the inception.

5.3.1. Consultation and engagement in indigenous peoples’ territories

Section 3.3.4. (Land tenure aspects) highlighted some potential challenges and conflicts while addressing indigenous peoples and their lands, particularly in areas where conflicts among indigenous peoples, governmental agencies and the state exist. In order to avoid and/or to reduce potential conflicts related to the project and the implementation of REDD+ activities, this project contemplates specific measures and actions to consult and engage with indigenous peoples. In fact, specific activities have been carried out in the framework of the ENCCRV, particularly during the consultation process.

During this consultation process, indigenous peoples analyzed institutional, environmental, social and cultural, benefit sharing (monetary and non-monetary benefits) and capacity building issues. At the national level, a total of 94 workshops / meetings were held in 10 regions of the country with a total participation of 1,813 key indigenous representatives, 48% of them being women40. It should be noted that in the Araucanía region a total of 30 communal workshops/meetings were organized, representing 49% of the total participants at national level. The following table presents a summary of participants per region.

Table 24. Participants by region and number of workshops/meetings, highlighting the regions where the project will operate

No. Region No. of meetings/ Participants workshops 1 Arica y Parinacota 15 212 2 Tarapacá 1 14 3 Antofagasta 11 52 4 Atacama 4 42 5 Biobío 8 189 6 La Araucanía 30 892

40 https://www.enccrv-chile.cl/descargas/publicaciones/382- informenacionaldedialogoyparticipacionindigena/file

7 Los Ríos 9 181 8 Los Lagos 6 79 9 Aysén 6 101 10 Magallanes 4 31 TOTAL 94 1.813

The analysis of the proposed activities from the regional reports, resulted in the generation of different topics that were categorized in cluster “themes” that were analyzed based to the frequency they were identified and mentioned. The higher the frequency and percentage, the higher the importance and level of concern they arise from the indigenous peoples’ point of view. The ranking of this topics and themes will constitute in valuable inputs to be taken into account to address potential associated risks during the project’s implementation phase. The following table presents the main topics based on the ENCCRV work streams.

Table 25. Classification of the main topics and common themes identified during the consultation workshops with indigenous communities

ENCCRV workstreams Categories Frequency (%) Governance and Improve legislation and policy tools related to vegetation 5.9 management capacities resources and Indigenous Peoples (government Better control 4.0 institutions) Improve the compensations for damage from polluting 3.8 companies Improve the management and institutional coordination 3.2 Improve the existing forest development tools 2.9 Management and territorial planning 2.6 Regularization of water resources and water rights 2.2 Improve access to public information 2.1 Regularization of land tenure 1.9 Lack of presence of CONAF in the territories 1.0 Management and control of invasive/alien species 0.6 Take into account regional realities in public policies 0.6 Include the participation of communities in local decision 0.2 making Prioritize the protection of local communities in case of forest 0.2 fires Eliminate the Legislative Decree 701 TOTAL 31.3 Environmental aspects Afforestation and reforestation with native forest 7.7 Promote the management and sustainable use of natural 6.0 resources Improve water resource availability 5.2 Protection of ecosystems associated with water streams 3.7 Measures for fire prevention 2.9 Livestock management 1.5

ENCCRV workstreams Categories Frequency (%) Integrate management of agricultural and forest waste 1.3 Sustainable management of multipurpose species 1.3 Port-Fire Restoration Program 1.0 Create a restoration program for degraded lands 0.9 Restrict the use of pesticides in plantations 0.4 Seed protection 0.2 TOTAL 32.1 Social and cultural Involvement and participation of key stakeholders 3.8 aspects Protection high-value ecological and cultural sites 2.7 Formal recognition of ancestral use and sovereignty of the 2.4 territories Recovery and dissemination of indigenous peoples’ culture 1.3 Respect indigenous consultation processes 1.3 Program for the rescue of Medicinal Herbs 0.8 TOTAL 12.3 Education and capacity Environmental education and training 3.3 building for Training 2.1 beneficiaries; local Technical assistance 1.8 organizations and land Knowledge generation 1.8 owners Capacity building and technology transfer for the management 1.0 of natural resources Exchange of experiences 0.3 Valuation of natural resources 0.2 TOTAL 10.5 Financial mechanisms Incentives for environmental protection 3.2 and benefit sharing Create subsidies 2.1 (monetary and non- Provide incentives for reforestations 1.0 monetary) Access to benefits 1.0 Develop associative value chains 0.7 Employment generation 0.7 Payment for environmental services associated with forest 0.5 conservation Afforestation subsidies for indigenous communities 0.4 Delivery of fruit trees to communities 0.3 TOTAL 9.9 Other proposals/ Incentivize agricultural production 1.2 requests Use of alternative management techniques and practices 0.7 Development and promotion of tourism 0.4 Compensation to indigenous communities for damages 0.3 caused by Legislative Decree 701 Reduce large forestry companies 0.3 Construction of energy-efficient housing 0.2 Others* 0.8 TOTAL 3.9 * Includes categories/topics with little representation such as biodiversity conservation, improve roads, firewood certification schemes, etc.

In order to address the specific needs and concerns of indigenous peoples and local communities towards the implementation of the ENCCRV, the government of Chile, through the leadership of the National Forestry Corporation, developed an Indigenous Peoples Planning Framework (IPPF) for the process of Dialogue and Participation of Indigenous Peoples (see annex 2,). This plan provides a series of recommendations and guidelines to incorporate indigenous peoples’ perspectives and considerations for the implementation of result-based payment activities. Therefore, this project will build on this process and will incorporate, if needed, additional specificities according to the FAO’s environmental and social safeguard for indigenous peoples.

5.4. Disclosure

According to GCF and FAO policies on access to information, all safeguard instruments under this project, including the ESMF and Gender Action Plan must be disclosed online in the English and Spanish as well as in the local languages presented in the region at least 30 days prior to GCF board meeting and approval of the project. Access to the documents must be possible for any locals (i.e. it must be disclosed locally in an accessible place) in a form and language understandable to key stakeholders. Such disclosure of relevant project information helps stakeholders effectively participate. FAO is committed to disclosing information in a timely manner and in a way that is accessible and culturally appropriate, placing due attention to the specific needs of community groups which may be affected by project implementation (e.g. literacy, gender, differences in language or accessibility of technical information or connectivity).

For moderate risk projects like this one, FAO releases the applicable information as early as possible, as and no later than 30 days prior to project approval. The 30 day period commences only when all relevant information requested from the project has been provided and is available to the public. FAO undertakes disclosure for all moderate risk projects, using a disclosure portal to publicly disclose all of the projects’ documentation related to environmental and social safeguards (e.g. Environmental and Social Management Frameworks and other relevant documents). The website is: http://www.fao.org/environmental-social-standards/disclosure-portal/en/

In order to ensure the widest dissemination and disclosure of project information, including any details related to applicable environmental and social safeguards, local and accessible disclosure tools including audiovisual materials (e.g. flyers, brochures, community radio broadcasts) will be utilized in addition to the standard portal disclosure tool. Furthermore, particular attention will be paid to farmers, indigenous peoples, illiterate or technological illiterate people, people with hearing or visual disabilities, those with limited or no access to internet and other groups with special needs.

5.5. Grievance Redress Mechanism

The grievance redress mechanism (GRM) is an integral project management element that intends to seek feedback from beneficiaries and resolve of complaints on project activities and performance. The mechanism is based on FAO requirements and most importantly, it is based on existing, community specific grievance redress mechanisms preferred by the local beneficiaries.

FAO’s Approach to the GRM

FAO is committed to ensuring that its programs are implemented in accordance with the Organization’s environmental and social obligations. In order to better achieve these goals, and to ensure that beneficiaries of FAO programs have access to an effective and timely mechanism to address their concerns about non-compliance with these obligations, the Organization, in order to supplement measures for receiving, reviewing and acting as appropriate on these concerns at the program management level, has entrusted the Office of the Inspector-General with the mandate to independently review the complaints that cannot be resolved at that level.

FAO will facilitate the resolution of concerns of beneficiaries of FAO programs regarding alleged or potential violations of FAO’s social and environmental commitments. For this purpose, concerns may be communicated in accordance with the eligibility criteria of the Guidelines for Compliance Reviews Following Complaints Related to the Organization’s Environmental and Social Standards, which applies to all FAO programs and projects.

Concerns must be addressed at the closest appropriate level, i.e. at the project management/technical level, and if necessary at the Regional Office level. If a concern or grievance cannot be resolved through consultations and measures at the project management level, a complaint requesting a Compliance Review may be filed with the Office of the Inspector-General (OIG) in accordance with the Guidelines. Program and project managers will have the responsibility to address concerns brought to the attention of the focal point. The principles to be followed during the complaint resolution process include: impartiality, respect for human rights, including those pertaining to indigenous peoples, compliance of national norms, and coherence with the norms, equality, transparency, honesty, and mutual respect.

Project-Level GRM

The reception, management and the way how to approach potential claims and /or suggestions related with the project implementation will be managed through the Citizen Attention Information System (SIAC, in its Spanish acronym), specifically, by the Complaints and Suggestions Offices41 (OIRS in its Spanish acronym) that will receive the complaints. This system also allows the access to any public information on governance structures and forest and environmental management matters for the implementation of the ENCCRV. . Each public institution, including CONAF and its regional offices, has its own OIRS operational through face-to-face, telephone and/or online platform. The OIRS were created through Decree No. 680 of 1990, of the Ministry of Interior and Public Security, with the purpose of assisting citizens in their right to submit requests, suggestions or complaints related to public institutions and in the framework of the Law No. 20,285 on access to public information.

It should be highlighted that after the analysis on how the SIAC operates through the OIRS, it was determined that the OIRS meets all the parameters required by international organizations to operate as a formal Grievance Redress Mechanism. Therefore, for the purpose of the project, the OIRS will be the mechanism through which the beneficiaries, and civil society in general, will channelized their claims, observations and suggestions for any issue related to the project and

41http://oirs.conaf.cl/

ENCCRV, especially on the potential risks and impacts that could bring negative impacts, in particular for indigenous peoples and local communities.

In order to better understand and meet the standards required for a proper GMR for the ENCCRV, a consultancy was developed to identify the areas of the current OIRS that need improvements and hence incorporate new elements to demonstrate the SIAC and OIRS’ compliance as an operational GRM in the framework of the ENCCRV and the project implementation42. The main findings and improvements were:

● There is evidence that the physical offices, and their virtual platforms, of both CONAF and MINAGRI (Ministry of Agriculture) have relevant geographical coverage at national level, with presence at regional and provincial level. ● In January 2018, the item “climate change” was added to the platform available on the website http://oirs.conaf.cl/ . This implies that all claim requests under this category are associated with the ENCCRV and its projecta, and therefore, will be attended by the corresponding professional and the Unit Project Coordination in order to address the issue according with SIS. This improvement will also be available for the different ways to present a submission/request: electronically, face-to-face and paper-based (written). ● In January 2018, the category of “Indigenous Peoples” user was added to the application submission form available in the website http://oirs.conaf.cl/ . This incorporation will also be available for the different ways to present a submission/request: electronic, face-to-face and written

Is important to remember that according to the Law No. 19,880, which is related to the access of public information and transparency, all request made to CONAF and OIRS should follow a specific process as identified in the Figure 15.

Figure 15. Flowchart on the public information and attention process, according to the Law 19,880.

42 More information about GRM of the ENCCRV and the consultancy carried out, in the link: https://www.enccrv-chile.cl/index.php/notas-informativas/item/487-nota-informativa-n-22

The sections highlighted in yellow present the process of submissions/requests related to climate change in the framework of the ENCCRV. The OIRS works through an internal CONAF system, which receives request from the different platforms: face-to-face, telephone and/or virtual, which can be accessed by any citizen. The system has defined forms (Figure 16 a and b), which allow registering the request43 facilitate its processing (through the “consultation topics”). In addition, it is possible obtain information about users to send the response and generate statistical data on the use of system (age, gender, whether or not ir belongs to an indigenous people, among others). The user must indicate the type of request and the consultation topic. The request made through the website (http://oirs.conaf.cl) enter directly into the system. Those made in person or by phone, are entered by a CONAF official, located in each of the CONAF regional offices (OIRS regional manager).

43 It will be understood as a request to: consultation, complaint, suggestion, request, opinion and congratulations

Once the request has been entered, and according to the consultation topic, the OIRS manager derives the request to the competent professional of the corresponding region or province to prepare the response. The administrators of the national system maintain the list of designated professionals to prepare constantly updated responses to ensure the operation of the system.

By law, the deadline to respond is 10 business days. The response is sent to the users by the means indicated to be delivered. In this way, the system records all the request that CONAF receives, in its different service platforms. .

To strengthen the operation of the OIRS within the framework of the ENCCRV, currently the CONAF regional teams that have pilot projects, deliver information on the OIRS in their field visits to ensure that the beneficiaries are informed about the system. In addition, in the case of isolated areas or population with difficulty accessing the OIRS in any of its routes (for example, adult population from remote areas), CONAF officials carry the forms to collect applications, which are subsequently entered into the system in the corresponding regional offices, to be answered within the established deadlines. For the purposes of this project, regional teams must incorporate information from the OIRS in all informative, dissemination and / or participation activities, in addition to including the forms in their field visits, to ensure the operation of the system.

Currently, through the item "climate change" only general requests have been received, mainly information requirements, and no complaints or specific requests attributed to the development of an activity or project under the ENCCRV have been received. In the event that this occurs, the regional technical teams will address these requests to assess whether such request requires the application of any prevention and / or mitigation measure and the corresponding safeguards analysis. The measures taken and the corresponding safeguards analysis will be reported in the project reports.

Once the Safeguards Information System (SIS, currently under development) has been implemented, all applications entered into the OIRS through the item "climate change", both general and those that may be linked to a specific project / activity of The ENCCRV, will be contained in the SIS, with its respective analysis, regarding the measures and safeguards that have been analyzed.

Figure 16 a. OIRS web page form (http://oirs.conaf.cl/)

Figure 17 b. OIRS form in person

In instances whereby the claimant would prefer to have the grievance addressed directly through FAO, the concerned person(s) will express the grievance (either orally or in writing) to the local implementation teams. The project staff at local level who receives the complaint will be responsible for presenting/filing those complaints to the Safeguards Specialist based in the Project Management Unit in Santiago. The process of filing a complaint will duly consider anonymity as well as any existing traditional or ethnic dispute resolution mechanisms and it will not interfere with the community’s self-governance system. Contact information will also be given for processing a grievance directly to the Safeguards Specialist within the PMU by phone.

Eligible complaints will be addressed by the PMU. The PMU Project Coordinator will be responsible for recording the grievance and how it has been addressed, if a resolution was agreed. If the situation is too complex, or the complainer does not accept the resolution, the complaint must be sent to a higher level, until a solution or acceptance is reached. For every complaint received, a written proof will be sent within ten (10) working days; afterwards, a resolution proposal will be made within thirty (30) working days.

Internal Process:

•The complaint could come in writing or orally (including over the phone) to the Lead Safeguards Specialist within the PPIU. At this level, received complaints will be registered and screened by the Lead Safeguards Specialist for eligibility. Safeguards Screened complaints will then be sent to the Project Coordinator in the PMU. Specialist.

•The should come in writing from the Safeguards Specialist within the PMU to the Project Coordinator directly. The Project Project Coordinator will provide final confirmation of eligibility and proceed to investigate and resolve the complaint. Management Unit.

Project •If the complaint has not been solved and could not be solved with the PMU, then the chair of the POC must address the Oversight complaint. If this still cannot be resolved, then the complaint is sent to the next level (FAO Representative). Committee (POC).

•The assistance of the FAO Representative is requested if a resolution was not agreed in the first two levels (PMU and FAO POC). Representative

•The FAO Representative will request, if necessary, the advice of the Regional Office to resolve a grievance, or will FAO Regional transfer the resolution of the grievance entirely to the regional office, if the problem is highly complex. Office for LAC.

• Representative will request – only on very specific situations or complex problems the assistance on the FAO Inspector The FAO General, who would then pursue procedures of the Office of the Inspector General (OiG) to solve the problem. Regional Rep

Resolution:

Upon acceptance of a resolution by the complainant, a document with the agreement should be signed, clearly indicating the terms of the resolution.

RECIPIENT OF GREIVANCE ACTIONS REQUIRED Safeguards Specialist Must register the complaint and send eligible complaints to the PMU within 2 working days. Project Management Unit Must respond within 5 working days of receipt. Project Oversight Committee If the case is accepted, then the receiver must send all of the (POC) information to all of the Project Oversight Committee members and call for a meeting to find a resolution. The response must be sent within 5 working days after the meeting of the Project Oversight Committee. FAO Representative in Chile Must respond within 5 working days, in consultation with POC. FAO Representative: Eve Crowley [email protected] Tel. +56 2 29232304 FAO Regional Office for LAC Must respond within 5 working days in consultation with FAO's Representation. FAO Representative: Julio Berdegue [email protected] Tel.: +56 2 29232302 Office of the Inspector General To report possible fraud and bad behavior by fax, confidential: (+39) 06 570 55550 By e-mail: [email protected] By confidential hotline: (+ 39) 06 570 52333

6. POTENTIAL SOCIAL AND ENVIRONMENTAL RISKS

The table below summarizes the key potential social and environmental risks and impacts identified through application of the FAO’s Environmental and Social Risk Identification – Screening Checklist- as well as the ESFM elaborated during the preparation of the National Strategy for Climate Change and Plant Resources (ENCCRV). This table will serve as the basis for further assessment to be undertaken during the Environmental and Social Impact Assessment (ESIA). References to specific, thematic management plans (stakeholder engagement, indigenous peoples’ biodiversity, and livelihood action plans, etc.) are included in the mitigation measures.

Table 26. Risk matrix and mitigation measures

Project activities Risk description Comments Applicable FAO Mitigation measures safeguards

Reforestation and revegetation Lack of coherence and It has been ESS2, ESS3, Chile has a well-defined set of sustainable forest management program in communes and discrepancies between identified that ESS9 policies that support the project implementations and specific prioritized areas (MT.4); policies aimed at one of the main mandates for governmental institutions in charge of forestry and Strengthening the ecological supporting sustainable drivers of agricultural sectoral activities.( (Section 4 of ESMF)) restoration in communes / forest management deforestation

prioritized areas (MT.5); and conservation and and Restoration program of degraded policies that direct/ degradation To reduce potential risks, institutional capacities will be strengthened, ecosystems affected by forest indirectly support are land through education and dissemination of forest regulations, the fires (IF.2); Strengthening the agricultural expansion change use due promotion of good management practices and the consequences of wood energy program (US.3); to agricultural- degradation and deforestation of native vegetation resources among Strengthening the forest and related public officials and small holders. environmental law enforcement activities. The (MT.7) lack of coherence Furthermore, the project will enhance inter-institutional coordination between and dialogues with participation of not only governmental agencies forestry-related but also private sector, farmers unions, women groups, indigenous activities and peoples and civil society organizations that at some extent are agricultural involved in the forestry and agricultural sector. policies might create institutional clashes due to loopholes and discrepancies in policy regulations at ground level.

Particular attention will be given to traditional farming practices and small farmers that at some extent could be labeled as direct/indirect driver of deforestation and from which small farmers and rural poor depend for their livelihoods.

2. Reforestation and revegetation Uncertainty in the The project will ESS7, ESS9 Chile has different laws and decrees that regulate the land ownership program in communes and ownership of land that promote and the country has been addressing some problems related to land prioritized areas (MT.4); might constitute a reforestation, tenure (see section 3.3.4). Strengthening the ecological limitation or accessing land restoration in communes / result-base payments restoration, prioritized areas (MT.5) and related activities/ sustainable Following legal framework, the project and the government will benefits management establish a process that guarantees the effective protection of the and rights to land tenure and possession that recognizes the traditions, conservation of customs of indigenous peoples regarding to land tenure and natural forest territorial planning in order to effectively participate in the different and other stages of the project and enjoy fair benefit sharing. related

activities in prioritized The procedures to provide incentives to smallholders will include areas. Small landowners those that are in regularization process as long as they sign and holders as sustainability agreements of the activities. well as indigenous territories will In addressing the risk, Voluntary Guidelines on the Responsible take part of the Governance of Tenure of Land, Fisheries and Forests will be used. activities. However, and due to uncertainties regarding to land ownership, there is a potential risk that certain groups of people might not have access to direct benefits since they would not be able prove ownership of the land, particularly those living in indigenous lands

Strengthening the wood energy The strengthening and To avoid this ESS2, ESS7, The project will address the legal and policy loopholes that limit the program (US.3); Strengthening implementation of risk, It was ESS8, ESS9 participation of vulnerable groups such as indigenous groups, local the forest and environmental law policies to address the decided to communities, peasant families and women in the decision-making enforcement (MT.7); Institutional underlying and main include in the process and policy implementation related to land-use and forestry forest management program drivers of exclusion list focused on public and private deforestation and project’s lands (US.1); Reforestation and degradation might activities that Develop FPIC process in areas where indigenous groups and local revegetation program in threaten the may cause communities exists and operates in order to integrate their communes and prioritized areas livelihood of most direct knowledge and perspectives into the project implementation (MT.4) vulnerable people and economic and have negative impacts social negative on their traditional effects for the Promote sectoral coordination for the management of natural farming systems following resources in balance with the local economy, ensuring that families causes: i) and groups in the territories are part of the direct beneficiaries of involuntary REDD + activities following the guidance of the benefit sharing plan. land deprivation, which results in Train the most vulnerable populations and prioritize those initiatives displacement that promote the development of alternative productive activities or housing loss; and inclusive value chains to support income generation and improve loss of assets or livelihoods, particularly of indigenous communities and women access to assets; or loss of sources of income or Fully integrate traditional practices and local knowledge to implement livelihoods REDD+ activities and for benefit sharing so that vulnerable populations and indigenous groups have an effective participation

Ongoing consultations/participatory M&E will continue throughout the project as a means of providing a feedback loop

Strengthening the wood energy Potential negative This risk is ESS7, ESS9 program (US.3); Strengthening impacts/effects on the closely related The project implementation must integrate a strong educational the forest and environmental law local economy to the previous component with emphasis on forestry regulations, the promotion of enforcement (MT.7); Institutional one. The law forest management program enforcement to sustainable forest management practices, the consequences of degradation and deforestation of native vegetation resources, and focused on public and private reduce illegal the promotion of legal practices of the formal production market and lands (US.1); Reforestation and logging and revegetation program in forest fires commercialization of firewood. The above, considering a traditional knowledge of indigenous communities, as well as gender communes and prioritized areas from consideration to improve the voluntary participation of local actors (MT.4) agricultural activities as and people who operate in the informal / illegal sector. well as the protection of natural forest Inclusive plans and activities that balance nature / forest conservation could result in and productive practices to support livelihoods and income the application generation for the poorest and rural poor will be developed and of possible implemented. legal actions forest- dependent In addition to the above, the government and the project will identify people and and disseminate alternative economic opportunities and incentives to small farmers facilitate the access of people and groups operating in the informal / who operate in illegal sector to the formal / legal economy, mainly in the forestry the informal sector and the agricultural sector. sector

Reforestation and revegetation Exclusion or limited There is the risk ESS7, ESS8, Given that it can be considered a positive practice for social inclusion program in communes and participation of that during the ESS9 and participation, the project will utilize Free, Prior, and Informed prioritized areas (MT.4); relevant local actors, implementatio Consent as sub-activities are identified, and participatory monitoring Strengthening the ecological n of on-ground

restoration in communes / Including women, in activities and and evaluation will be practiced, thus feeding into ongoing prioritized areas (MT.5); forest-related benefit improvement of the project activities. Restoration program of degraded activities. distributions, ecosystems affected by forest groups or fires (IF.2); Strengthening the individuals To mitigate and reduce this risk, the project and government will wood energy program (US.3); might be establish a close coordination arrangement with local authorities Restoration program of degraded excluded or will (including indigenous and women leaders) for the implementation of ecosystems affected by forest have limited on-ground activities such as reforestation, forest fires prevention, fires (IF.2); Environmental participation, nature conservation, among others, and hence assure equal Education and Dissemination especially participation of community members, following the national Program (MT.6); Technological women since regulation, internal procedures of CONAF and ESS of FAO. transfer program on alternatives the sector is for the management and use of male- forestry and agricultural waste dominated The project will develop gender-sensitive trainings and programs in 2017 (IF.6) order to secure the active participation of women not only during the implementation of activities but for decision-making processes

It will carry out comprehensive map of actors in order to identify the most vulnerable groups that might not have representation and voice are traditionally excluded in the different governance groups and. This will help to develop more inclusive process and facilitate equal participation and fair benefit distributions

Adaptation programme for the Substitution of The project has ESS8, ESS9 The project will strengthen local forest governance institutions and management of vegetative traditional forest a strong coordinate with local authorities in activities that will be carried out in resources in the context of monitoring practices component indigenous lands and territories. climate change, desertification, by new technologies oriented to land degradation and drought and processes monitor (GA.1); Technological transfer promoted by the forestry

program on alternatives for the project in indigenous activities and It will develop cultural-sensitive trainings in order to integrate local management and use of forestry territories the reduction practices and regulations into the on-ground activities, particularly and agricultural waste 2017 of illegal those related to forest monitoring (IF.6); Strengthening the forest practices. New and environmental law forestry enforcement (MT.7) monitoring It will also develop trainings and workshops with participation of practices and indigenous leaders in order to strengthen their capacities and techniques in increase participation in forest management and monitoring, indigenous especially in the use of new technologies (for example, the use of lands and drones). territories might threaten and substitute traditional monitoring and local-law enforcement customary practices, creating conflicts between formal (State) and social embedded regulations/nor ms

Strengthening the forest and Displacement or The law ESS2, ESS3 Chile has demonstrated important improvements in its FREL and MRV environmental law enforcement leakage of emissions enforcement programs to monitor and avoid emissions’ displacement and (MT.7); Environmental Education and and Dissemination Program implementatio

(MT.6); Strengthening the wood to other areas or n of activities leakages. To mitigate potential negative effects in areas that are not energy program (US.3); regions oriented to halt part of the project, the project will: Preventive forestry program in deforestation urban-rural interface (IF.3); and Strengthening the ecological degradation in a) Strengthen the capacity of the different actors in areas where weak restoration in communes / the area of governance exists in order to avoid the increase of illegal activities prioritized areas (MT.5); intervention and unsustainable forest practices; Reforestation and revegetation might result in program in communes and the b) mainstream successful practices and cases in order to replicate prioritized areas (MT.4) displacement/l them in areas that are not part of the project; eakage of c) Ensure the equal implementation of law enforcement practices, emissions in with participation of main stakeholders, across the regions and neighboring country in order to avoid areas with weak law enforcement and areas that are governance that might become areas of illegal activities. not addressed by the project

Reforestation and revegetation Resettlements and/or The ESS7, ESS8, The project does not contemplate resettlements and evictions, but program in communes and limitations on the implementatio ESS9 the risk of limiting the access of marginalized and vulnerable groups prioritized areas (MT.4); access and use of land n of sustainable to land and natural resources might exist. To reduce and mitigate this Strengthening the ecological and natural resources management risk, the project will: restoration in communes / forest a) Address the legal and policy loopholes that limit the participation prioritized areas (MT.5); activities, Restoration program of degraded forest of vulnerable groups such as indigenous groups, local communities, peasant families and women in the decision-making process and ecosystems affected by forest conservation, policy implementation related to land-use and forestry fires (IF.2); Strengthening the reforestation wood energy program (US.3); and land b) Develop FPIC process in areas where indigenous groups and local Strengthening the forest and restoration are communities exists and operates in order to integrate their environmental law enforcement eligible as long knowledge and perspectives into the project implementation (MT.7) as those will not lead involuntary

resettlement c) Implement a fair and equitable benefit sharing (monetary and non- affecting the monetary) paying special attention to traditionally vulnerable and beneficiaries marginalized groups and/or population in d) Incorporate local norms, regulations and practices in the different the area of planning and implementing activities concerning with the project influence of e) Promote the participation of institutions and organization that such actions. work directly with vulnerable groups, such as CONADI Therefore, it was included in f) Promote the inter-instructional coordination in order to address the the exclusion different angles and issues that limit the participation of vulnerable list project’s groups and sectors into the project area intervention activities in the frame of the ENCCRV that may lead involuntary resettlement.

Reforestation and revegetation Lack alternative Some activities ESS7, ESS9 To reduce and mitigate this potential risk, the project will implement program in communes and income generating such as the following actions: prioritized areas (MT.4); activities and loss of landscape a) FPIC process in order to socialize and inform local population the Strengthening the ecological economic restoration, restoration in communes / opportunities for local reforestation aim and scope of the planned activities and receive recommendations and feedback from local actors in order to reduce negative risks and prioritized areas (MT.5); communities and and impacts Restoration program of degraded indigenous peoples enforcement of ecosystems affected by forest due to changes in the protected areas b) Together with the territorial planning and implementation of on- fires (IF.2); Strengthening the territorial planning might result ground activities, develop socialization and sensitization process with wood energy program (US.3); potential participation of local actors in order to promote the dialogue and Strengthening the forest and economic loss facilitate the access and information to avoid misinformation about for local actors the project due to the

environmental law enforcement incompatibility c) Provide capacity building and training services to the different (MT.7) of traditional groups in order to develop alternative and complementary income practices and generating activities that are compatible with the project intervention the project activity d) Inclusive plans and activities that balance nature / forest conservation and productive practices to support livelihoods and income generation for the poorest and rural poor will be developed and implemented. e) In addition to the above, the government and the project will identify and disseminate alternative economic opportunities and incentives to facilitate the access of people and groups operating in the informal / illegal sector to the formal / legal economy, mainly in the forestry sector and the agricultural sector.

f) Assure adequate and fair monetary and non-monetary benefit sharing among local stakeholders, particularly for indigenous peoples and women groups.

Strengthening the forest and Lack of recognition of There is the risk ESS8, ESS9 To diminish this risk, the following actions will be included: environmental law enforcement collective and that indigenous

(MT.7); Environmental Education individual indigenous (individual and and Dissemination Program land rights collective) land Early identification of potential conflict: It is important that during the (MT.6); Strengthening the wood rights are not planning phase, the areas where current land conflict exists are energy program (US.3); well recognized identified in order to implement adequate FPIC process and identify if Institutional forest management in the planning those lands claims are related with the project and the feasibility to program focused on public and and implement on-ground practices. private lands (US.1) implementing phases of the project, Incorporation of local governments and leaders: Integrate and especially in incorporate local governance structures and leaders into the areas where

disputes planning, implementing and monitoring process in order to safeguard between not only land rights but to assure effective participation and full indigenous enjoyment of monetary and non-monetary benefits. groups and the government Integration of local knowledge and traditional practices in the implementation of on-ground activities (reforestations, land restoration, forest management, control of illegal logging, etc.)

Development of cultural and gender-sensitive training materials implemented in order to enhance and facilitate the participation of local and vulnerable groups.

The established grievance redress mechanism (GRM) will be conducted in line with the requests from community consultations and will be sensitive to the needs of indigenous people.

The project will follow Voluntary Guidelines on the Responsible Governance of Tenure of Land, Fisheries and Forests.

Reforestation and revegetation Inadequate and/or The ESS7, ESS8, A gender-responsive environmental and social impact will further program in communes and unfair benefit sharing, involvement of ESS9 examine these risks, supported by comprehensive gender analysis to prioritized areas (MT.4); particularly for cash assess relevant gender and indigenous communities’ dynamics and Strengthening the ecological vulnerable groups transfer/payme inequalities with attention to the differences across the highly diverse restoration in communes / such as women nts as well as groups of beneficiaries. It will also focus on the collection of prioritized areas (MT.5); other non- additional baseline data on gender and local groups (e.g. on land Institutional forest management monetary

program focused on public and benefits might tenure, women’s involvement in decision-making at local/community private lands (US.1); result in levels, etc.). Environmental Education and conflicts due to

Dissemination Program (MT.6) unfair distribution Additionally, the stakeholder consultation and engagement plans will among ensure that efforts are designed and undertaken using inclusive community approaches to assure equal opportunities and participation from members, more marginalized groups, including indigenous peoples, women, women and youth, etc. smallholders. Additionally, due to lack of land titles, certain groups of peoples might be excluded from the benefits/activiti es, particularly the most vulnerable groups such as women and indigenous peoples

Reforestation and revegetation Strengthening and/ or There might be ESS8, ESS9 Make sure that benefit-sharing mechanisms (monetary and non- program in communes and resurgence of conflicts local internal monetary) are established in accordance with transparent and prioritized areas (MT.4); associated with weak conflicts that inclusive approaches that allow accountability and audit processes as Strengthening the ecological and non-transparent could be well as clear grievance mechanisms. restoration in communes / internal governance exacerbated

prioritized areas (MT.5); structures regarding due to Institutional forest management access to benefits. inadequate In addition, with respect to vulnerable people, FPIC will be used and program focused on public and benefit sharing ongoing consultations/participatory M&E will continue throughout private lands (US.1); mechanisms. the project as a means of providing a feedback loop Environmental Education and Additionally, Dissemination Program (MT.6); inadequate Strengthening the wood energy benefit sharing program (US.3) might cause Promote and improve the capacities of the different beneficiaries on internal their rights and obligations to access and participate in the project conflicts in implementation, including any kind of incentives/benefits they might communities receive. and groups with poor governance Incorporate local and customary practices regarding to incentives for and or for internal collaboration/communal services into the benefit sharing reinforcing mechanisms/schemes in order to avoid internal conflicts resulted non- from the introduction of new practices that clash with local norms transparent and rules. process

resulted from undemocratic Design and promote alternative benefit sharing for vulnerable groups leadership such as women, elderly and youth in order to avoid exclusion and marginalization in the enjoyment of benefits.

In regards to the identification and prioritization of areas to be included into the project implementation and in order to avoid the exclusion of vulnerable groups in the distribution of benefits, design and implement strict safeguard processes in order to guarantee the effective protection and rights of indigenous peoples on their

territories and lands. Special attention should be placed in the areas where existing claims on land rights exists

Reforestation and revegetation Risk of land and forest There is the risk ESS2, ESS3, Strengthen law enforcement implementation in order to avoid land program in communes and conversion into that the ESS4 change use incentives and conversion of natural forests into prioritized areas (MT.4); plantations and promotion of plantations. Strengthening the wood energy monocultures forest program (US.3) plantation and restoration Strengthen the policies that prioritize the conservation of natural activities might forests and fragile ecosystems and biological diversity result in the decrease of farming lands Prioritize the use of native tree species in reforestation and for food restoration practices over exotic and fast-growing species production and reduction of natural forests Strengthen the implementation of policies oriented to regularize, for major respect and protect indigenous lands and territories incentives for monocultures and plantation Only use native species and/or locally developed varieties that are aligned with native forest definition of the Law 20.283 ; and exclude Reforestation and revegetation Negative impacts on There is the risk any species that match with the definition of the exotics species ot program in communes and sensitive ecosystems that the the conservation, recovery fund regulations and sustainable prioritized areas (MT.4); and protected areas excessive use management of the native forest Strengthening the wood energy for the introduction of exotic/alien program (US.3) exotic/alien species species for reforestation/ land restoration practices might cause negative

effects on fragile ecosystems and in the increase in the area of monocultures

To address some of the identified risks, CONAF has advanced in the elaboration of supporting materials and protocols for the implementation of the ESMF as part of the ENCCRV. The most important documents and guidelines in the frame of the project are the following:

● Considerations for the evaluation and environmental management of projects https://www.enccrv-chile.cl/descargas/publicaciones/718-anexo-2-pdf/file ● Protocol for addressing Natural Forests and Habitats https://www.enccrv- chile.cl/descargas/publicaciones/719-anexo-3-pdf/file ● Protocol on control of pests and diseases https://www.enccrv- chile.cl/descargas/publicaciones/1322-anexo-4/file ● Planning Framework for Indigenous Peoples https://www.enccrv- chile.cl/descargas/publicaciones/720-anexo-5-pdf/file ● Procedural rules for activities in areas of cultural heritage https://www.enccrv- chile.cl/descargas/publicaciones/721-anexo-6-pdf/file ● Indigenous Peoples Planning Framework (IPPF), see annex 2 ● Gender Action Plan

During the first year of implementation, the project will work on the development of a full ESMF in order to align and harmonize these existing materials and guides in order to better integrate

and articulate the Result-Based Payment Project into the framework of the ENCCRV, since previous work on ESMF are in line with the IFC safeguard policies.

7. PRINCIPLES AND PROCEDURES TO MITIGATE IMPACTS FOR IMPLEMENTATION

This ESMF is not being used solely as a compliance process. It goes beyond compliance and takes a proactive approach in design. Similarly, the grievance redress mechanism included in this document is not just about being a last-resort mechanism; rather, the GRM is about creating a project culture of transparency with built-in feedback systems. Both the ESMF and the Gender Action Plan are taken as positive aspects that help the project implementation units in identifying and developing activities for greater environmental and social co-benefits. In order to ensure that the environmental and social issues are addressed properly in accordance and in compliance with the FAO and GCF Policies, all project activities shall undergo screening, assessment, review, and clearance process before execution of the project activities. 7.1. Defining Sub-Activities

By design, the project is expected to have far greater environmental benefits than adverse environmental impacts. The potential adverse environmental impacts from the project are likely to be small and limited. However, it is recognized that such impacts can accrue into larger impacts if they are not identified early during the planning cycle and their mitigation measures integrated into the project planning and implementation. Sub-activities constitute a valid tool to identify expected impacts and mitigation and monitoring measures.

In this context, sub-activities will be identified during the inception phase in Year 1. For each sub- activity, implementing sites will be identified along with activities, including capacity building/training and stakeholder engagement information specific to each site.

7.2. Environmental and Social Risk Screening of Sub-Activities

FAO’s environmental and social screening checklist (Annex 3) will determine if a sub-activity will require an Environmental and Social Management Plan (ESMP). While the nature, magnitude, reversibility, and location of impacts are main elements in the screening of sub-activities, expert judgment will be a main factor in deciding whether an ESMP is required for a sub-activity or not. For a sub-activity that requires an ESMP, the proposal must include a set of mitigation measures with monitoring and institutional arrangements to be taken during the implementation phase to correctly manage any potential adverse environmental and social impacts that may have been identified.

FAO will undertake environmental and social screening following FAO’s Environmental and Social Screening Checklist. The results of the screening checklists will be aggregated by the safeguards specialist. This document will be sent to ESM unit in FAO for endorsement. Screening of sub- activities involves:

● Checking that the activities involved are permissible (as per the legal and regulatory requirements of the project); ● Determining the level of environmental assessment required based on the level of expected impacts.

The E&S screening checklist will result in the following screening outcomes: (i) determine the category for further assessment; and (ii) determine which environmental assessment instrument to be applied. The E&S screening checklist will be included as part of the process of identification and implementation of sub projects that will be systematically screened in order to identify potentially high risk and modified to lower the risk classification to low or moderate. Where sub-projects are classified as moderate, FAO will require Environmental and Social Analysis (ESA) and will take into account relevant procedures and templates as established in the ESMF of the ENCCRV. In the annex 4 is included an indicative outline of the ESA.

For moderate risk sub projects an Environmental and Social Commitment Plan (ESCP) will be prepared during inception phase to set out the measures and actions required for the project to manage and effectively mitigate environmental and social risks and achieve compliance with ESS over a specified timeframe. The ESCP will incorporate the mitigation recommendations of the ESA, as well as the results of the stakeholder engagement process.

7.3. Environmental and Social Risk Management (Monitoring and Reporting)

Sub-activities classified as medium risk based on the environmental and social risks identified during the screening process will then be required to develop ESMPs that include information on the mitigation actions, the indicators and timeframe where the completion of such mitigation actions are expected. The ESMP should include:

● Mitigation Measures: Based on the environmental and social impacts identified from the checklist, the ESMP should describe with technical details each mitigation measure, together with designs, equipment descriptions and operating procedures as appropriate. ● Monitoring: Environmental and social monitoring during the implementation of the sub activities, in order to measure the success of the mitigation measures. ● Institutional arrangements: The ESMP should also provide a specific description of institutional arrangements, i.e. who is responsible for carrying out the mitigating and monitoring measures (for operation, supervision, enforcement, monitoring of implementation, remedial action, financing, reporting and staff training). Additionally, the ESMP should include an estimate of the costs of the measures and activities recommended so that the necessary funds are included. The mitigation and monitoring measures recommended in the ESMP should be developed in consultation with all affected groups to incorporate their concerns and views in the design of the ESMP.

Once the pre-implementation documents with ESMPs are endorsed by the ESM unit in FAO Headquarters, the safeguards specialist from the PMU will ensure ESMPs are included and reported upon, along with stakeholder engagement in the context of the monitoring plan. In this context, field staff will be responsible for monitoring the progress, as relevant, in the monitoring plan, as well as to identify any potential risks that may emerge through the implementation phase. This information will be compiled in progress reports and templates will include a section on E&S risk management, where the above information will be reported upon.

8. IMPLEMENTATION ARRANGEMENTS

The Government of Chile, through CONAF has requested FAO’ technical assistance for the design and implementation of the REDD plus Result Based Payments. It has also specifically requested that FAO act as executing entity for this project. Responding to this request, FAO will serve both as Accredited Entity and Executing Entity. The implementation of the environmental and social safeguards will follow the project implementation arrangement seen in Figure 16. FAO Chile will take the overall responsibility for fulfilling the Executing Entity functions on this project. In this context, the FAO Chile office in Santiago will host a Project Management Unite comprising project- recruited staff.

As an accredited entity of the GCF, FAO’s overall role is to provide oversight and quality assurance through its Headquarter, Chile Regional Hub and Chilean Country Office. FAO will carry out both operational and administrative support activities, as well as advisory and technical support functions during the implementation of the Project. As Executing Entity, FAO will carry out operational and administrative support activities which include the provision of the following services:

● Payments, disbursements and other financial transactions ● Recruitment of staff, project personnel, and consultants ● Procurement of services and equipment, including disposal ● Organization of training activities, conferences, and workshops, including fellowships ● Travel authorization, visa requests, ticketing, and travel arrangements ● Shipment, custom clearance, vehicle registration, and accreditation, among others

FAO will act in close coordination with CONAF as the technical entity responsible for forest public policies and the ENCCRV, in addition to its status as a National Focal Point at the UNCCD, and the UNFCCC's REDD+ approach. CONAF will also support technical oversight and management through its role on the Project Board, as well as for its participation in the Intra-ministerial Technical Committee on Climate Change; though the representatives of the Climate Change and Environmental Services Unit (UCCSA). The UCCSA, which was validated by CONAF's Board of Directors through Resolution No. 581 of December 24, 2014, has a multidisciplinary technical team of professionals on different specialties for the ENCCRV implementation.

Figure 16. Project management structure

a) Project Board

The Project Board is responsible for management decisions by consensus or majority. To ensure FAO’s ultimate accountability, Project Board’s decisions should be made in accordance with standards related to best value money, fairness, integrity, transparency and effective international competition. In case a consensus cannot be reached within the Board, the final decision shall rest with the FAO Programme Manager. The Board shall be composed by FAO, the National Designated Authority (NDA) and CONAF. The Board may be enlarged by agreement between the Parties. FAO will represent the main executing agency of the project, chairing and organizing its meetings at least once a year or at the request of some Board member. The specific responsibilities of the Project Board include:

● Provide overall guidance and direction to the project, ensuring it remains within any specified constraints; ● Address project issues as raised by the project manager; ● Provide guidance on new project’s risks, and agree on possible management and mitigation actions to address specific risks; ● Analyze and discuss the development of Project’s activities and recommend changes as required based on project monitoring and evaluation processes and products and in line with FAO policies; ● Discuss and approve the Annual Work Plans ensuring that required resources are committed;

● Appraise the annual project implementation report, including the quality assessment rating report; make recommendations for the work plan; ● Provide ad hoc direction and advice for exceptional situations when the project manager’s tolerances are exceeded; and ● Discuss and approve the Progress Reports and Final Report of the Project; ● Analyze Project achievements and assure these are used for performance improvement, accountability and learning; and ● Settle controversies arbitrating on any conflicts within the project or negotiating a solution to any problems with external bodies.

b) Intra-ministerial Technical Committee on Climate Change (CTICC)

The CTICC will be the Technical reviewer of the Project and will have within its functions the following tasks: i) the strategic and technical orientation of the project; and ii) the review of the final version of progress reports. The CTICC is composed of all MINAGRI services.

c) Project Management Unit (PMU)

The Project Management Unit (PMU) will be responsible for overseeing the day-to-day execution of Project activities. The PMU will have responsibility for, among others: (i) operational planning, managing and executing the project including the direct supervision of project activities subcontracted to specialists and other institutions; (ii) coordinating the management of financial resources and procurement; (iii) reporting on the application of resources and results achieved; (iv) preparing management reports for the Project Board, Intra-ministerial Technical Committee on Climate Change, GCF, NDA and FAO including annual reports and any proposals for the adaptive management of the Project, if required and based on inputs from the Project M&E plan; (v) promoting inter-institutional linkages; and (vi) disseminating project results.

Before designation of Chief Technical Advisor (CTA) or project coordinator involved, FAO will require certification that the identified persons have completed the Environmental and Social Risk Management training Module44. This with the aim of ensuring project staff capacity to identify and evaluate environmental and social risks and to promote improved environmental and social performance of the project.

Regional Committees of Climate Change (CORECC)

The CORECCs are decentralized working groups created at the regional level in each of the 16 regions of the country. These Committees are chaired by the highest regional authority (intendente) and will lead a multi-stakeholder engagement body at the subnational level. They are constituted by the public sector, academia, NGOs and the private sector depending on the region, the figure below shows the relationships between the institutions.

44 FAO has developed an e-learning on Environmental and Social risk Management to support the implementation of the guidelines by building the capacity of staff on the risk management process in FAO

8.1. ESMF implementation arrangements

The ESMF implementation will be nested in the CONAF’s organizational structure as established in the ESFM elaborated as part of the ENCRV. Therefore, for this specific project, during the first year of implementation, FAO will build on the overall system and work on a harmonization and articulation process in order to strengthening institutional capacities of CONAF to oversee the ESMF implementation process.

Considering the CONAF structure, the ESFM operation will be carried out through the following Units and Departments, whose functions regarding the procedures are described below:

a) Climate Change and Environmental Services Unit (UCCSA)

It will have the responsibility of analyzing the feasibility of the projects that are carried out within the framework of the ENCCRV and the project implementation. It will also be the unit in charge of reviewing, sharing and validating the annual monitoring projects and reports, and managing all those documents associated with the ENCCRV and to be presented to the GCF and FAO.

This team will have the following specific responsibilities:

● Perform the technical, economic, environmental and social feasibility analysis of the projects presented by the regional teams and by CONAF HQ and determine the corresponding environmental and social category. If necessary and depending on the scope of activities of the project, this unit will coordinate with the Prosecutor's Office, GEDEFF, UAIS and other CONAF entities ● Provide technical support in environmental matters to the regional CONAF teams that will implement activities at the local level ● Perform periodic evaluations of safeguards’ compliance and provide feedback and recommendations when needed. This will include the identification based on the information generated in the field during the execution, of any possible gaps or regulatory gaps that may arise and the proposal for amendment or correction. ● Systematization of monitoring safeguard’s reports in order to enrich the Safeguards Information System (SIS) and Safeguards Report, respectively. ● Develop support material for the application of safeguards such as guidelines and minimum content for each environmental and social management instrument.

b) Indigenous and Social Affairs Unit (UAIS)

This unit depends administratively on the Executive Secretariat of CONAF. The UAIS is dedicated to supporting activities, projects, plans and requirements both national and international in matters of social participation and management of Indigenous Peoples related-issues. This unit has technical staff at central and regional levels.

The UAIS will be the unit that, upon request and in coordination with the UCCSA and the regional implementation teams, will advise on the proper application of social safeguards through

compliance with the provisions of this ESMF, including compliance with the national legal framework and the rights of Indigenous Peoples. This unit will have the following activities:

● Supervise the social component of regional projects, considering the analysis of identified risks and social safeguards. ● Provide technical support to regional CONAF teams in social matters related to the project implementation, particularly for the implementation of social management measures. ● Review the periodic evaluations of compliance with social safeguards each activities, providing feedback and recommendations when necessary. This will include the identification of eventual gaps or regulatory gaps that arise from the information generated on the ground during execution and modification/mitigation proposals. ● Review of follow-up reports and preparation of safeguards compliance reports to be submitted to FAO and GCF. ● Develop supporting material for the application of social and environmental safeguards, such as categorization forms, guides and minimum content for each social management instrument, among others ● Overall supervision for follow-up the dialogue and participation of Indigenous Peoples (annex 2)

c) Prosecutor's Office

Central advisory unit of the CONAF’s Executive Directorate. This unit has various functions, being the main one, to ensure compliance with the principle of legality of the activities carried out by CONAF. Its functions include issuing opinions or pronouncements in those matters of competence of CONAF and which are submitted for consideration. In this sense, the Office of the Prosecutor will be in charge of evaluating the legal procedure of the projects that are formulated within the framework of the ENCCRV and the project.

d) Department of Environmental Control and Evaluation (DEF)

This department depends technically on the Environmental Control and Evaluation Management Unit (GEF) and administratively on the Regional Directorate. Both the Department of Environmental Assessment (DEVA) of the central office, and the Section of Environmental Assessment at the regional level, will be responsible of supporting the implementation of the Strategic Environmental Assessment instrument in the cases where regulatory policies, plans and activities require it.

e) Regional Implementation Teams

It includes the group of professionals dependent on CONAF led by the CCCSA under the Department of Forestry (DEFOR) in each region where the ENCCRV and the project will be implemented. These teams must follow the guidelines generated by the UCCSA and corresponding instances (for example, UAIS and their respective regional managers, Environmental Assessment Section and Department of Protected Wild Areas). The regional team will also be responsible for preparing the Project Design Sheet for different activities contemplated in the ENCCRV.

ANNEX 1. List of non-eligible activities

Scope Key elements Non-eligible Afforestation (plantation on land that did not have forests in the last twenty years) environmental of dense monocultures with fast-growing introduced forest species in continuous aspects stands of more than 10 hectares (continuity means that between stands there is a buffer of at least 5 times the area that was planted).

Afforestation with introduced colonizing species (with potential spontaneous naturalization and invasiveness) or that are resilient to their substitution, once the function for which they were incorporated is finished (e.g. typical cases are: i) that of some eucalyptus species whose elimination from the strain It becomes expensive on the one hand and environmentally very aggressive towards soils or other associated vegetables and ii) some aggressive propagation legumes such as Acacia).

Scope Key elements Planting of vegetal species (trees or shrubs) that have not passed the reliable proof of not being invasive, proof that should be done by CONAF's own centers for this purpose (typically exotic species fall into this category, but may eventually include native species that are introduced from one biome to another even within the same country).

Patches of clone-based forest plantations with (one clone or very few clones) of tree or shrub species introduced either in areas without previous forest / scrubland or in areas with forest / scrubland that are reforested.

Use of agrochemicals that are on the list of prohibited products or that are not on the list of authorized products that periodically updates the Agricultural and Livestock Service (SAG), but that have a dangerous or high-risk for the environment or human populations. There may be new undesirable products that enter the market irregularly and that their commercialization expands before the SAG issues any alert (this should be forbidden, until the product receives the respective rating and approval).

Elimination, reduction or complete replacement of natural vegetative cover in headwaters of micro-basins and natural slopes.

Access to major and medium-size livestock grazing in: i) headwaters of micro- basins, ii) natural slopes and, iii) margins of smaller water channels.

Non-eligible social Actions that may generate the following significant impacts on Indigenous aspects Peoples: a) cultural disruptions that seriously affect traditional practices and ways of life, such as the physical displacement of these populations without their prior, free and informed consent and without benefiting from the project; b) negative impacts on community lands and natural resources of traditional use with irreversibly impacts on the livelihoods of indigenous populations, and; c) severe and / or irreversible effects on resources and ancestral practices of cultural or spiritual value, among other issues

Actions that generate impacts related to Involuntary Resettlement (IR), direct economic and social negative effects resulting from the project’s activities for the following causes: i) involuntary land deprivation, which results in displacement or housing loss; loss of assets or access to assets; or loss of sources of income or livelihoods; or ii ) The involuntary restriction for accessing to areas classified by the Law as parks or protected areas, with the consequent adverse effects on the subsistence of displaced peoples. Any action in the frame of the ENCCRV that may lead involuntary resettlement affecting the beneficiaries and/or population in the area of influence of such actions.

ANNEX 2 . Indigenous Peoples Planning Framework (IPPF)Indigenous Peoples Planning Framework (IPPF)

ANNEX 2 . Indigenous Peoples Planning Framework (IPPF) Table of Contents

1. Introduction ...... 100 2. Indigenous Peoples in the Framework of the ENCCRV ...... 100 2.1. Demographic aspects ...... 100 3. Regulations and Institutionality ...... 101 3.1. National legislation...... 101 3.2. Indigenous consultation ...... 101 3.3. Indigenous participation...... 102 3.4. Indigenous land tenure...... 102 3.5. Institutional framework ...... 102 4. Operational Policy 4.10 of the World Bank on Indigenous Peoples...... 102 5. Social evaluation in the ENCCRV ...... 103 5.1. Analysis of the benefits, risks, impacts and actions on biodiversity identified by Indigenous Peoples ...... 103 5.2. Analysis of the identified risks to the ENCCRV MDA and the activation of OP/BM 4.10 106 5.3. Culturally relevant methodological approaches for the elaboration of Indigenous Peoples' Plans ...... 106 6. Institutional Arrangements and Management Structure of the IPPM ...... 107 7. Follow-up and periodic reports ...... 108

1. Introduction

Chile's National Strategy for Climate Change and Vegetable Resources (ENCCRV) is considered as a set of Direct Measures (MD) and Facilitating Measures (MF) based on a national technical and participatory formulation process, focused on tackling climate change, biodiversity conservation, desertification, land degradation and drought through adequate management of vegetational resources in order to avoid or reduce historical rates of deforestation, vegetation loss and degradation of native forests, xerophytic formations and other vegetational formations, as well as promoting the recovery, afforestation, revegetation and sustainable management of these native Chilean resources.

A large part of the actions considered by ENCCRV involves participatory work with Indigenous Peoples (IPs) in their territories, which requires the implementation of specific measures and strategies for working together with these communities. The first measure implemented to address this need was the development of an Environmental and Social Strategic Assessment (SESA) during the ENCCRV formulation process that included the participation of indigenous communities throughout the country, generating relevant inputs for the design of the strategy with respect to potential risks, impacts and applicable management measures, as described below.

During the evaluation process of the ENCCRV by the World Bank (WB), the activation of the Operational Policy OP/BM 4.10 for Indigenous Peoples has been determined. This policy establishes the elaboration and implementation of Indigenous Peoples Planning Framework (IPPF) to establish the principles, criteria and instruments to be applied to address the specific impacts that may be generated during the implementation of the ENCCRV once the specific actions and locations for the implementation of each MDA are defined.

The objective of this IPPF is to provide guidance to units and organizations participating in the implementation of the ENCCRV and its MDA on how to avoid negative impacts, maximize potential benefits and ensure full respect for the rights related to Indigenous Peoples, ensuring compliance with OP 4.10, as well as the Cancun safeguards related to the issue and current regulations.

Finally, it should be noted that the IPPF is part of the ENCCR's Environmental and Social Management Framework (ESMS) which applies to all actions contemplated in it. Its scope is in accordance with that of the ENCCRV, which will be implemented throughout the national continental territory, including all the different existing vegetational resources and integrating different key actors, including continental indigenous populations.

2. Indigenous Peoples in the Framework of the ENCCRV

According to the National Socio-economic Characterization Surveys (CASEN), indigenous peoples in Chile have been showing a gradual increase in their representation, which has meant going from 15.6% in 2006 to 18.5% in 2013 for rural areas, and from 5.2% in 2006 to 7.7% in 2013 for urban areas. However, since the survey is based on self-identification as belonging to one of the eight indigenous peoples living in the country and recognized by current legislation, it is not necessarily due to a real increase in the population in the country, but could rather be due to a greater awareness and appreciation of self-recognition as indigenous.

2.1. Demographic aspects

With respect to the area of influence, the ENCCRV extends to the continental territory, so it will be applicable to the Indigenous Peoples who live in that territory. The State officially recognizes the existence of eight indigenous peoples at the continental level: Mapuche, Aymara, Diaguita, Atacameño, Quechua, Rapanui, Kolla, Kawésqar and Yagán. According to information from the 2002 Census, 4.58 per cent of the total Chilean population identified themselves as belonging to one of these groups.

The majority ethnic group at the national level is the Mapuche, who constitute 81.9 per cent of the indigenous population located in the country's urban area. The national percentage of indigenous population in rural areas at the country level is 9.1 per cent of the total population. The 2013 National Socio-economic Characterization Survey (CASEN) indicates that indigenous populations are concentrated in Araucanía (32.0 per cent), Los Lagos (24.8 per cent) and Biobío (5.2 per cent).

3. Regulations and Institutionality

3.1. National legislation

In Chile, indigenous peoples are formally recognized and legally protected under Act No. 19.253, Indigenous Act, article 1 of which establishes that "the State recognizes that the indigenous peoples of Chile are the descendants of the human groups that have existed in the national territory since pre-Columbian times, who preserve their own ethnic and cultural manifestations, the land being for them the main foundation of their existence and culture", including the following as the main indigenous ethnic groups of Chile: Mapuche, Aymará, Rapa Nui or Pascuenses, that of the Atacameñas, Quechuas, Collas and Diaguita communities in the north of the country and the Kawashkar or Alacalufe and Yámana or Yagán communities in the southern channels.

In addition, the State of Chile has ratified Convention No. 169 concerning Indigenous and Tribal Peoples in Independent Countries of the International Labour Organization (ILO), which entered into force in September 2009: i) collective rights, ii) rights to be consulted and to participate in the decisions that the State takes on their development, iii) customary rights over the administration of justice, iv) rights to ownership and possession of the land they inhabit, v) rights to access, use and administration of the natural resources of their territories, vi) rights not to be transferred from the lands and territories they occupy, vii) rights to enjoy social security and health, among other recognitions and rights that fall within the scope of culture, cosmovision and its relationship with nature, vii) rights to enjoy social security and health, among other recognitions and rights that fall within the scope of culture, world view and its relationship with nature, vii) rights to access, use and administration of the natural resources of their territories, vi) rights not to be transferred from the lands and territories they occupy, vii) rights to enjoy social security and health, among other recognitions and rights that fall within the scope of culture, world view and their relationship with nature.

With regard to the organization and institutionality of indigenous peoples in Chile, the State, through Act No. 19.253 and ILO Convention No. 169, recognizes the existence of persons with the status of indigenous peoples, indigenous communities, indigenous associations and traditional indigenous authorities. Thus, for both participatory and consultative processes, these are the subjects who, because of their indigenous status, must be considered when implementing any administrative, legal, economic or any other type of measure that the State intends to promote and that certainly affects them directly or indirectly. If there are communities that have not been regularized and are therefore not recognized by the National Indigenous Development Corporation (CONADI), their inclusion in the processes must be evaluated in accordance with the local reality and the importance they represent in the territory.

3.2. Indigenous consultation Indigenous consultation is regulated in Chile by Supreme Decree No. 66 of 2013 of the Ministry of Social Development (MDS) and Supreme Decree No. 40 of 2013 of the Ministry of the Environment (MMA) on Indigenous Consultation for Investment Projects. The first one, in force since March 2014, is the regulation that regulates the implementation of the consultation of indigenous peoples in Chile, for the legislative and administrative measures that are implemented by the ENCCRV, interpreting the general concepts established in article 6, paragraphs 1 and 2 of ILO Convention No. 169. Thus, article 2 of D.S N°66 states that "Consultation is a duty of the organs of the State Administration and a right of indigenous peoples that may be directly affected by the adoption of legislative or administrative measures, which is materialized through an

appropriate procedure and in good faith, with the aim of reaching an agreement or obtaining consent regarding the measures that may directly affect them and which must be carried out in accordance with the principles contained in the (...) regulations".

3.3. Indigenous participation

For those MDAs of the ENCCRV that are not administrative and legislative, a process of indigenous dialogue and participation should be conducted in order to comply with Article 7 of the ILO Convention and give rise to broad support and seek such free, prior and informed agreements.

It should be noted that prior to the implementation of the ENCCRV, a process of dialogue and indigenous participation was carried out throughout the national territory, the methodology of which is available at the following link: https://www.enccrv-chile.cl/descargas/publicaciones/382- informenacionaldedialogoyparticipacionindigena/file

The objective of ENCCRV's dialogue and indigenous participation process was based on "informing, dialoguing and involving the continental Indigenous Peoples of the country in the formulation of the National Strategy on Climate Change and Vegetable Resources, so that, based on the vision, suggestions, opinions and proposals that they submit, to obtain their support and strengthen the "action measures" that the initiative proposes to be implemented in the future, in order to face the degradation, deforestation and increase of forests and vegetational resources, also identifying the risks and benefits that could potentially be generated in their territories".

For the implementation of the ENCCRV, Indigenous Peoples will be involved in all the phases of those projects that are defined to be executed as part of the MDA in their territories, for which, relevant methodological tools will be considered that will be defined in the Indigenous Peoples Plans designed in the framework of OP 4.10.

3.4. Indigenous land tenure

The registration of indigenous lands is the responsibility of CONADI and their regime was updated by Law No. 19,253, which recognized a series of historical titles of ownership of the indigenous peoples over the territories they inhabited, these being the titles of commissioner, grant titles and various free title assignments made by the State through the historical relationship with Indigenous Peoples.

3.5. Institutional framework

Given the legal framework that regulates, protects and establishes the recognition of indigenous peoples and their rights, CONADI, which reports to the Ministry of Social Development, is the institution whose mission is "to promote, coordinate and implement State action in favor of the comprehensive development of indigenous individuals and communities, especially in the economic, social and cultural spheres, and to promote their participation in national life through intersectoral coordination, the financing of investment initiatives and the provision of services...". The division is responsible for taking part in conflict resolution, the implementation of consultation processes, safeguarding legal and customary rights, and also advising and participating in projects that relate to or affect the indigenous population in any of its spheres. It is also the institution responsible for accompanying consultation processes under ILO Convention No. 169.

4. Operational Policy 4.10 of the World Bank on Indigenous Peoples

OP 4.10 on Indigenous Peoples establishes a set of procedures and criteria for all projects proposed for financing by the Bank that affect Indigenous Peoples, and these are applicable to all its components, regardless of the source of financing. To this end, Bank-financed projects include measures to avoid possible adverse effects on indigenous communities, or where these cannot be avoided, reduced as much as possible, mitigated or compensated. Bank-financed projects should also be designed so that Indigenous Peoples receive social and economic benefits that are culturally appropriate, intergenerational and gender inclusive.

All projects proposed for financing by the Bank in whose area of influence indigenous peoples exist require a process of free, prior and informed consultation with the indigenous communities concerned, on the understanding that this is not what Chilean legislation calls consultation, but rather a collective and culturally relevant decision-making process that considers the development of good faith consultations and informed participation in the preparation and implementation of the project. The purpose of the project is to ascertain clearly the views of IPs on the project in question and to determine whether there is broad community support for the project.

In addition to the consultation process, each project requires:

a. A preliminary study to determine the presence of Indigenous Peoples in the project area or the existence of a collective attachment to that area;

b. A social evaluation;

c. A free, prior and informed consultation process with the identified indigenous communities at each stage of the project, and particularly during the preparation of the project, in order to have a clear understanding of their views and to determine whether there is broad support for the project on the part of the indigenous communities;

d. The development of a Plan for Indigenous Peoples. Dissemination of the Plan for Indigenous Peoples.

If IPs provide broad community support to the project, UCCSA with UAIS support will prepare a detailed report to document the results of the social assessment; the consultation process; additional measures, including modifications to the project design, that may be necessary to address adverse effects on IPs and for the project to provide them with culturally appropriate benefits; recommendations for free, prior and informed consultations with indigenous communities, and for their participation during project implementation, monitoring and evaluation, and any formal agreements reached with indigenous communities or IPs' organizations.

5. Social evaluation in the ENCCRV

5.1. Analysis of the benefits, risks, impacts and actions on biodiversity identified by Indigenous Peoples

As part of the ENCCRV preparation process, a Strategic Social and Environmental Assessment (SESA) was developed to identify and evaluate, through the participation of key stakeholders, the risks and potential impacts of the MDAs of the strategic activities, and determine mechanisms to avoid or mitigate such risks and adverse impacts. This process was designed and led by CONAF and included workshops and focus groups with key stakeholders, including IPs.

The evaluation incorporated 1,266 people belonging to diverse social groups, achieving a multi-sector, multilevel and multi-actor, broad and representative approach. This process was carried out under the terms established in the Political Constitution of the State, in Law No. 20,500 on Associations and Citizen Participation in Public Management, which amended Law No. 18,575, Constitutional Organic Law on General

Bases of State Administration, in article 7 of ILO Convention No. 169, in Presidential Instruction No. 7 of 2014 for Citizen Participation, and OP/BM 4.10 of the World Bank in the case of Indigenous Peoples, Convention on the Elimination of All Forms of Discrimination against Women, among other normative pillars of a legal nature that underpins the full, effective and transparent participation of civil society.

For the evaluation, a process was designed focused on the identification and participation of key actors, who, through participatory instances of information gathering, provided the basic inputs on the causes of deforestation, degradation and difficulties in increasing carbon stocks, the MDA proposals, the risks and adverse impacts, the potential benefits of each MDA, and the proposals for the maintenance and/or increase of biodiversity. To this end, 15 workshops were held in all regions of the country with the participation of people from the following Indigenous Peoples: Aymará, Atacameño, Kolla, Diaguita, Mapuche, Kawéskar and Yagan, which were grouped into focus groups (FG), as shown in the following table:

Table 1. SESA workshop participants by region and category

Women Men Total N° GF Name GF45 N° % N° % N° % 1 Indigenous Peoples 29 24,8 88 75,2 117 9,2 2 Academic 22 28,9 54 71,1 76 6 3 Institutional 79 34,5 150 65,5 229 18,1 4 Consultants / Extensionists 22 19,3 92 80,7 114 9 5 ONG´S 37 43 49 57 86 6,8 6 Women's Organizations 73 100 0 0 73 5,8 7 Private sector 14 20,6 54 79,4 68 5,4 8 Small and medium sized owners 13 7,7 155 92,3 168 13,3 Indigenous women, small and medium 9 127 95,5 6 4,5 133 10,5 owners 9. A Collas indigenous women 7 100 0 0 7 0,6 9. B Diaguita indigenous women 6 100 0 0 6 0,5 10 CONAF46 21 14,7 122 85,3 143 11,5 11 Irrigators and water tables 4 80 1 20 5 0,4 12 Political actors 2 33,3 4 66,7 6 0,5 13 Trade associations 2 18,2 9 81,8 11 0,9 14 Private Protected Areas 0 0 4 100 4 0,3 15 Coal producers 2 40 3 60 5 0,4 16 Cattle breeders' associations 7 58,3 5 41,7 12 0,9 TOTAL 468 37 798 63 1.266 100

The evaluation resulted in 475 proposals for possible risks during the implementation of the ENCCRV that were homologated in 44 socio-environmental risks along with their respective potential impacts. These risks were grouped into five risk categories or axes:

i. Governance and operational management capacities for the design and implementation of the ENCCRV

ii. Effects on the environment

iii. Social and cultural effects

iv. Limitations on the amounts and scope of existing financing mechanisms and non-monetary compensation of benefits

v. Education and capacity-building.

The same process was carried out to identify the potential benefits associated with the implementation of the ENCCRV.

45 It considers specific focus groups, not originally contemplated in the Safeguard Plan, but which were formed taking into account the particular territorial realities of some regions. 46 It includes the participation of 116 CONAF professionals through the application of surveys that included the guiding questions.

In addition, the process included the development of Focus Groups (FG) with indigenous peoples from all over the national territory, which allowed the collection of differentiated information by type of key actor, which was complemented from the MGAS validation process, as can be seen in Table 5, where the participants identified the following benefits, impacts and risks associated with the axes mentioned and that could be generated during the implementation of the ENCCRV.

5.2. Analysis of the identified risks for the MDA of the ENCCRV and the activation of OP/BM 4.10

The SESA process also included an analysis regarding the activation of OP/BM 4.10 for each MDA of the ENCCRV, as well as the identification of risks directly associated with indigenous communities where the main aspects identified are related to the need to incorporate communities in the design process of plans, policies and programs that may affect them, especially those that may involve changes in land use, land tenure and access to resources within protected areas.

5.3. Culturally relevant methodological approaches for the elaboration of Indigenous Peoples' Plans

CONAF has two intercultural instruments as methodological tools for planning in indigenous territories, both for the indigenous peoples of the northern zone and the indigenous peoples of the southern zone of the country, which aim to enable indigenous communities to improve the quality of life, monetary income and the natural components of the territory through activities based on ancestral knowledge and contributions of current technical knowledge, as well as revaluation of the ancestral and customary use of community and territorial spaces. Both planning instruments, with a cultural focus, will be the tools that will allow the risks and impacts identified during the SESA to be addressed in the Indigenous Peoples Plans.

5.3.1. Andean Intercultural Environmental Model - MAIA The instrument used for the indigenous peoples of the northern part of the country is the Plan for the Andean Indigenous Peoples, Andean Intercultural Environmental Model (MAIA)47. The MAIA is mainly aimed at the Aymara, Kollas, Diaguitas, Quechuas and Likan Antai cultures that occupy large territories, to which they have been assigned uses and meanings different from those of Western culture.

5.3.2. Mapuche Intercultural Forest Model - MOFIM In the case of the indigenous peoples of the southern zone, the Plan for Mapuche Indigenous Peoples, the Mapuche Intercultural Forest Model (MOFIM)48, operates. In the Mapuche world natural components such as land, forest, water, fauna and biodiversity have an important value in culture. The relationship between people and nature helps to meet religious, spiritual, medicinal, economic and cultural needs. However, both components and Mapuche knowledge of nature have been deteriorating. It is therefore necessary to support the restoration, conservation, preservation and development of Lof mapu, Nature and Ixofil mongen, understood as the biodiversity of Mapuche community lands.

The Mapuche Indigenous Peoples Plan, Intercultural Mapuche Forest Model (MOFIM), through its project development lines, allows communities to improve the quality of life, monetary income and natural components of the territory through activities and investments based on ancestral Mapuche knowledge (Kimün) and contributions of current technical knowledge. That is to say, by means of the approach and methodology of territorial planning MOFIM.

The MOFIM is a form of community work that proposes to approach the management of natural resources through a territorial approach and a supra-predial diagnosis to find solutions applicable to the local reality and

47 Available in the following link: http://www.conaf.cl/cms/editorweb/GEF-BM/Marco-participacion-pindigena- PUTRE/Anexo_5-Plan_Pueblos_Indigenas-Putre-MAIA.pdf 48 Available in the following link: http://www.conaf.cl/cms/editorweb/GEF-BM/Marco-participacion-pindigena- CARAHUE-PTOSAAVEDRA/Anexo_5-Plan_Pueblos_Indigenas-Carahue-Puerto_Saavedra-MOFIM.pdf

to improve the Ñuke Mapu (mother earth), the Ixofil mongen (biodiversity), proposing alternatives of use and management of natural resources in a sustainable way and according to the Mapuche form. It is also a way of planning community work that can be projected over several years, and in essence, requires joint planning processes, participatory and consensual decisions, the recovery of ancestral knowledge and the adaptation of technical options to local reality, adding an efficient public and private investment.

The basis of the planning and the ordering of the territory under a MOFIM approach are given by the ancestral knowledge, the vision of the territory that those who inhabit it have the feasible technical possibilities to implement and the empowerment of those who apply it.

5.3.3 Other existing national mechanisms Indigenous Territorial Development Programme (INDAP, MINAGRI) The objective of the program is to facilitate the development process of indigenous families belonging to Indigenous Communities, Indigenous Associations and de facto Groups, through participatory intervention methods, which allow them to increase production and productivity in a sustainable way of their productive systems and the development of management capacities, to market their products more advantageously in the market.

To this end, the programme considers actions to support indigenous communities and families belonging to them, through a special policy of productive promotion made up of technical and educational advisory components, as well as a sustainable investment plan that, incorporating elements of their cosmovision, allows them to strengthen the processes of productive undertakings, associated not only with food security, but also with links to businesses and markets. In all these processes, indigenous communities participate in these decisions.

In addition to the instruments and mechanisms contemplated in this document, the implementation of the ENCCRV will also require a training process for permanent technical field teams (Technical Management) and institutions, on topics such as: interculturality for areas with an indigenous presence, history of local traditions for non-indigenous areas, and legal matters applicable to land tenure, in order to guarantee the correct execution of the ENCCRV in line with OP/BM 4.10. The process will also require a training process for the permanent technical field teams (Technical Management) and institutions, on topics such as: interculturality for areas with an indigenous presence, history of local traditions for non-indigenous areas, and legal matters applicable to land tenure, in order to guarantee the correct execution of the ENCCRV in line with OP/BM 4.10. In the case of those MDAs that are managed through a bidding process involving indigenous communities, it must be guaranteed that the teams that are awarded their execution have professionals specialized in working with indigenous communities for the application of the guidelines described here.

6. Institutional Arrangements and Management Structure of the IPPM

The Climate Change and Environmental Services Unit (UCCSA) of CONAF will be responsible for compliance with this MPPI, with advice from CONAF's Indigenous and Social Affairs Unit (UAIS), as the Unit responsible for the implementation of this MGAS.

The UAIS reports to the Executive Secretariat of CONAF, where it was formally established in the institutional organization chart under the Ministry of Agriculture. The Unit was created by Resolution No. 167 of 23 April 2014.

As an advisory unit, the UAIS has a structure made up of a team of multidisciplinary professionals who are dedicated to supporting the various activities, projects or plans required by the various departments of the Corporation from the Unit on issues relating to indigenous peoples, through technical and methodological aspects, in addition to other requirements from national and international bodies. This team is made up of

regional indigenous and social affairs officers and dedicated CONAF professionals, whose main function is to act as a link between the Regional Directorate, UAIS and CONAF's regional offices49. Within the functions, they are directly linked to local management with territorial relevance of the various projects and initiatives developed and implemented at the regional level, being a key pillar of intercultural technical and methodological advice on sustainable management of native forests, xerophytic formations and other vegetational resources, natural resources, climate change, conservation of biological diversity, and forest and environmental monitoring, for the protection of the rights and inclusion of indigenous peoples.

The objective of the UAIS is "to link the Corporation's guidelines and policies with the reality of the country's indigenous peoples and communities, with a view to implementing plans, programmes and projects that promote local development with an intercultural identity, ensure the protection of their rights and contribute to the improvement of their quality of life".

The implementation of the MPPI will also count on the participation of the UCCSA, as the unit responsible for the ENCCRV, with the advice of the UAIS who will have to provide all the necessary technical information regarding the MDA or projects to be implemented, whose main function will be the monitoring and evaluation of the implementation of the Indigenous Peoples Plans (PPI) to be developed.

In the case of facilitating and direct MDAs managed by CONAF, the social evaluation, consultation processes, participation and the design and implementation of the PPIs will be carried out by the project executors (regardless of their nature) with technical advice from the UAIS and integrated as part of the environmental evaluations carried out on the MDA or project, if there is an indigenous peoples' presence in its area of influence. The facilitators and direct MDAs implemented via bidding will be implemented by the executing organization, with support from UAIS for the participatory or consultation process, under the guidelines established here, which will be incorporated in the bidding TORs, considering also a budget line for its development.

7. Follow-up and periodic reports

The evaluation of the implementation of the MPPI will be in charge of the UCCSA, with the support of the UAIS for the case of the MDA implemented via bidding. For this purpose, the UCCSA will evaluate, through the biannual reception of UAIS reports and field verification visits, the following elements:

a. Existence of an adequate team for the implementation of the different components of the IPPM, considering that there is an adequate number of professionals with training and capacities for working with IP, including specific training in safeguards, conflict management and other aspects to be required.

b. Adequacy of the identification and convocation of interested parties to the participatory process or consultation, as appropriate, considering that it is as exhaustive and representative as possible.

c. Level of participation of local organizations, government representatives and traditional authorities throughout the IPP design and implementation process.

d. Level of participation of Indigenous Peoples (including participation by gender and age groups) in the process and support to the initiatives to be implemented in the framework of the ENCCRV, according to existing registers and minutes.

49 The regions where indigenous and social affairs officers are present are those with rural indigenous peoples, such as Arica-Parinacota, Tarapacá, Antofagasta, Atacama, Biobío, La Araucanía, Los Ríos, Los Lagos and Magallanes and Chilean Antarctica.

e. Level of knowledge of the communities regarding the participatory or consultative bodies, agreements obtained management measures to be implemented, timetables and activities. f. Evaluation of the functioning of the processes implemented through the channels of communication, MRS, disclosure and conflict resolution used by Indigenous Peoples. g. Levels of ownership and participation of the beneficiaries in the different stages of the project. h. Levels of satisfaction and well-being in the community regarding mitigation measures and other initiatives associated with the MDA or Project. i. Verification of broad community support by the Indigenous Peoples involved.

ANNEX 3. FAO’s environmental and social screening checklist

Environmental and Social Risk Identification – Screening Checklist Annex 1: Trigger questions

Question YES NO Would this project: X ● result in the degradation (biological or physical) of soils or undermine sustainable land management practices; or

● include the development of a large irrigation scheme, dam construction, use of waste water or affect the quality of water; or 1 ● reduce the adaptive capacity to climate change or increase GHG emissions significantly; or

● result in any changes to existing tenure rights50 (formal and informal51) of individuals, communities or others to land, fishery and forest resources?

Would this project be executed in or around protected areas or natural habitats, decrease the biodiversity or alter the ecosystem X 2 functionality, use alien species, or use genetic resources? Would this project: X ● Introduce crops and varieties previously not grown, and/or;

● Provide seeds/planting material for cultivation, and/or;

3 ● Involve the importing or transfer of seeds and or planting material for cultivation or research and development;

● Supply or use modern biotechnologies or their products in crop production, and/or

● Establish or manage planted forests?

Would this project introduce non-native or non-locally adapted species, breeds, genotypes or other genetic material to an area or X 4 production system, or modify in any way the surrounding habitat or production system used by existing genetic resources? 5 Would this project: X

50 Tenure rights are rights to own, use or benefit from natural resources such as land, water bodies or forests 51 Socially or traditionally recognized tenure rights that are not defined in law may still be considered to be ‘legitimate tenure rights’.

● result in the direct or indirect procurement, supply or use of pesticides52:

▪ on crops, livestock, aquaculture, forestry, household; or

▪ as seed/crop treatment in field or storage; or

▪ through input supply programmes including voucher schemes; or

▪ for small demonstration and research purposes; or

▪ for strategic stocks (locust) and emergencies; or

▪ causing adverse effects to health and/or environment; or

● result in an increased use of pesticides in the project area as a result of production intensification; or

● result in the management or disposal of pesticide waste and pesticide contaminated materials; or

● result in violations of the Code of Conduct?

Would this project permanently or temporarily remove people from their homes or means of production/livelihood or restrict their access X 6 to their means of livelihood? Would this project affect the current or future employment situation of the rural poor, and in particular the labour productivity, X 7 employability, labour conditions and rights at work of self-employed rural producers and other rural workers? Could this project risk overlooking existing gender inequalities in access to productive resources, goods, services, markets, decent X 8 employment and decision-making? For example, by not addressing existing discrimination against women and girls, or by not taking into account the different needs of men and women. Would this project: X • have indigenous peoples* living outside the project area¹ where activities will take place; or • have indigenous peoples living in the project area where activities will take place; or • adversely or seriously affect on indigenous peoples' rights, lands, natural resources, territories, livelihoods, knowledge, social fabric, traditions, governance systems, and culture or heritage (physical² and non-physical or intangible³) inside and/or outside the project 9 area; or • be located in an area where cultural resources exist?

* FAO considers the following criteria to identify indigenous peoples: priority in time with respect to occupation and use of a specific territory; the voluntary perpetuation of cultural distinctiveness (e.g. languages, laws and institutions); self-identification; an experience of

52 Pesticide means any substance, or mixture of substances of chemical or biological ingredients intended for repelling, destroying or controlling any pest, or regulating plant growth.

subjugation, marginalization, dispossession, exclusion or discrimination (whether or not these conditions persist).

¹The phrase "Outside the project area" should be read taking into consideration the likelihood of project activities to influence the livelihoods, land access and/or rights of Indigenous Peoples' irrespective of physical distance. In example: If an indigenous community is living 100 km away from a project area where fishing activities will affect the river yield which is also accessed by this community, then the user should answer "YES" to the question.

²Physical defined as movable or immovable objects, sites, structures, group of structures, natural features and landscapes that have archaeological, paleontological, historical, architectural, religious, aesthetic or other cultural significance located in urban or rural settings, ground, underground or underwater.

³Non-physical or intangible defined as "the practices, representations, expressions, knowledge and skills as well as the instruments, objects, artifacts and cultural spaces associated therewith that communities, groups, and in some cases individuals, recognize as part of their spiritual and/or cultural heritage"

Annex 3: Second Level Questions

SAFEGUARD 1 NATURAL RESOURCES MANAGEMENT

Management of soil and land Question No Yes Comments resources MODERATE RISK The programme will promote the maintenance of Would this project result in the Demonstrate how the project ecosystem services benefitting the biological and 1.1 degradation (biological or physical) of LOW RISK applies and adheres to the physical characteristics of oils in the area of soils principles of the World Soil Charter influence HIGH RISK The programme supports sustainable land Would this project undermine A full environmental and social management 1.2 sustainable land management LOW RISK impact assessment is required. practices? Please contact the ESM unit for further guidance.

Management of water resources Comments and small dams No Yes MODERATE RISK The programme will not involve any irrigation scheme nor it will finance the construction of dams Specify the following information: a) implementation of appropriate efficiency principles and options to enhance productivity, b) technically feasible water Would this project develop an conservation measures, irrigation scheme that is more than 20 1.3 LOW RISK c) alternative water supplies, hectares or withdraws more than d) resource contamination 1000 m3/day of water? mitigation or/and avoidance, e) potential impact on water users downstream, f) water use offsets and demand management options to maintain total demand for water resources within the available supply.

g) The ICID-checklist will be included, as well as appropriate action within the project to mitigate identified potential negative impacts. h) Projects aiming at improving water efficiency will carry out thorough water accounting in order to avoid possible negative impacts such as waterlogging, salinity or reduction of water availability downstream. HIGH RISK The project will not entail development of irrigation Would this project develop an schemes irrigation scheme that is more than A full environmental and social 1.4 LOW RISK 100 hectares or withdraws more than impact assessment is required. 5000 m3/day of water? Please contact the ESM unit for further guidance. MODERATE RISK No irrigation is expected as part of this programme The ICID-checklist will be included, as well as appropriate action within the project to mitigate identified potential negative Would this project aim at improving impacts. 1.5 an irrigation scheme (without LOW RISK expansion)? Projects aiming at improving water efficiency will carry out thorough water accounting in order to avoid possible negative impacts such as waterlogging, salinity or reduction of water availability downstream.

Would this project affect the quality of HIGH RISK No affectation water quality will be part of the water either by the release of programme pollutants or by its use, thus affecting A full environmental and social 1.6 LOW RISK its characteristics (such as impact assessment is required. temperature, pH, DO, TSS or any Please contact the ESM unit for other? further guidance.

MODERATE RISK No waste water will be used as part of the programme Demonstrate how the project Would this project include the usage applies and adheres to applicable 1.7 LOW RISK of wastewater? national guidelines or, if not available, the WHO/FAO/UNEP Guidelines on Safe Usage of Waste Water in Agriculture Would this project involve the No dam construction is included in this programme 1.8 construction or financing of a dam LOW RISK CANNOT PROCEED that is more than 15 m. in height? HIGH RISK No dam construction is included in this programme Would this project involve the A full environmental and social 1.9 construction or financing of a dam LOW RISK impact assessment is required. that is more than 5 m. in height? Please contact the ESM unit for further guidance.

Tenure No Yes Comments Would this project permanently or No temporarily deny or restrict access to natural resources to which they have rights of access or useCould this project result in any changes to existing tenure rights¹ (formal and informal²) of individuals, communities or others to land, fishery and forest resources? 1.10 LOW RISK PROCEED TO NEXT Q

¹Tenure rights are rights to own, use or benefit from natural resources such as land, water bodies or forests

²Socially or traditionally recognized tenure rights that are not defined in law may still be considered to be 'legitimate tenure rights'.

MODERATE RISK No Demonstrate how the project applies and HIGH RISK adheres to the

principles/framework of Could this project result in a A full environmental and the Voluntary Guidelines 1.10.1 negative change to existing social impact on the Responsible legitimate tenure rights? assessment is required. Governance of Tenure Please contact the ESM of Land, Fisheries and unit for further guidance. Forests in the Context of National Food Security (VGGT) Climate No Yes Comments HIGH RISK The project aims to improve resilience in the short terms and adaptive capacity in the long run Could this project result in a reduction A full environmental and of the adaptive capacity to climate 1.11 LOW RISK social impact change for any stakeholders in the assessment is required. project area? Please contact the ESM unit for further guidance. HIGH RISK The project aims to improve resilience in the short terms and adaptive capacity in the long run Could this project result in a reduction A full environmental and 1.12 of resilience against extreme weather LOW RISK social impact events? assessment is required. Please contact the ESM unit for further guidance. Reducing Emissions from Deforestation and Forest Degradation (REDD) is an effort to create a Could this project result in a net financial value for the carbon stored in forests, increase of GHG emissions beyond 1.13 LOW RISK PROCEED TO NEXT Q those expected from increased offering incentives for developing countries to production? reduce emissions from forested lands and invest in low-carbon paths to sustainable development.

HIGH RISK No Is the expected increase A full environmental and 1.13.1 below the level specified by LOW RISK social impact FAO guidance or national assessment is required.

policy/law (whichever is more Please contact the ESM stringent)? unit for further guidance. HIGH RISK No Is the expected increase A full environmental and above the level specified by social impact 1.13.2 FAO guidance or national LOW RISK assessment is required. policy/law (whichever is more Please contact the ESM stringent)? unit for further guidance.

SAFEGUARD 2 BIODIVERSITY, ECOSYSTEMS AND NATURAL HABITATS

Protected areas, buffer zones or Comments natural habitats No Yes HIGH RISK There are a number of protected areas in the Would this project be implemented A full environmental and social regions selected to participate in the programme. 2.1 within a legally designated protected LOW RISK impact assessment is required. However, the nature of the programme is to area or its buffer zone? Please contact the ESM unit for improve/increase natural forests further guidance.

Biodiversity Conservation No Yes Comments HIGH RISK The programme will not change any natural Would this project change a natural ecosystem but improve them ecosystem to an A full environmental and social 2.2 agricultural/aquacultural/forestry LOW RISK impact assessment is required. production unit with a reduced Please contact the ESM unit for diversity of flora and fauna? further guidance. MODERATE RISK The programme will not support the increase in the use of resources nor it will bring any machinery Demonstrate in the project Would this project increase the current document what measures will impact on the surrounding be taken to minimize adverse 2.3 environment for example by using LOW RISK impacts on the environment and more water, chemicals or machinery ensure that implementation of than previously? these measures is reported in the risk log during progress reports.

Use of alien species No Yes Comments Would this project use an alien species which HIGH RISK The programme support the has exhibited an invasive* behavior in the conservation of native species and will country or in other parts of the world or a A full environmental and social not bring alien species 2.4 LOW RISK species with unknown behavior? impact assessment is required. *An invasive alien species is defined by the Please contact the ESM unit for Convention on Biological Diversity as “an alien further guidance.

species whose introduction and/or spread threaten biological diversity” (see https://www.cbd.int/invasive/terms.shtml).

Access and benefit sharing for Comments

genetic resources No Yes MODERATE RISK No Ensure that the following issues are considered and appropriate action is taken. The issues identified and the action taken to address them must be included in the project document and reported on in progress reports. For plant genetic resources for food and agriculture Would this project involve access to (PGRFA) falling under the genetic resources for their utilization Multilateral System of Access and/or access to traditional knowledge 2.5 LOW RISK and Benefit-sharing (MLS) of associated with genetic resources that the International Treaty on Plant is held by indigenous, local Genetic Resources for Food communities and/or farmers? and Agriculture (Treaty), ensure that Standard Material Transfer Agreement (SMTA) has been signed and comply with SMTA provisions. For genetic resources, other than PGRFA falling under the MLS of the Treaty: 1. Ensure that, subject to domestic access and

benefit-sharing legislation or other regulatory requirements, prior informed consent has been granted by the country providing the genetic resources that is the country of origin of the resources or that has acquired the resources in accordance with the Convention on Biological Diversity, unless otherwise determined by that country; and 2. Ensure that benefits arising from the utilization of the genetic resources as well as subsequent applications and commercialization are shared in a fair and equitable way with the country providing the genetic resources that is the country of origin of the resources or that has acquired the resources in accordance with the Convention on Biological Diversity; and 3. Ensure that, in accordance with domestic law, prior informed consent or approval and involvements of indigenous and local communities is obtained for access to genetic resources where the indigenous and local communities have the

established right to grant such resources; and 4. Ensure that, in accordance with domestic legislation regarding the established rights of these indigenous and local communities over the genetic resources, are shared in a fair and equitable way with the communities concerned, based on mutually agreed terms. For traditional knowledge associated with genetic resources that is held by indigenous and local communities: 1. Ensure, in accordance with applicable domestic law, that knowledge is accessed with the prior and informed consent or approval and involvement of these indigenous and local communities, and that mutually agreed terms have been established; and 2. Ensure that, in accordance with domestic law, benefits arising from the utilization of traditional knowledge associated with genetic resources are shared, upon mutually agreed terms, in a fair and equitable way with indigenous and local

communities holding such knowledge. Ensure that the project is aligned with the Elements to Facilitate Domestic Implementation of Access and Benefit Sharing for Different Subsectors of Genetic Resources for Food and Agriculture when it is the case

SAFEGUARD 3 PLANT GENETIC RESOURCES FOR FOOD AND AGRICULTURE

Introduce new crops and Comments varieties No Yes MODERATE RISK No

Would this project ● Follow appropriate phytosanitary protocols in Introduce crops and accordance with IPPC 3.1 LOW RISK varieties previously not ● Take measures to ensure that displaced grown? varieties and/or crops, if any, are included in the national or international ex situ conservation programmes

Provision of seeds and Comments planting materials No Yes Would this project provide No 3.2 seeds/planting material for LOW RISK PROCEED TO NEXT Q cultivation? MODERATE RISK No ● Avoid undermining local seed & planting material production and supply systems through the use of seed voucher schemes, for instance ● Ensure that the seeds and planting materials Would this project are from locally adapted crops and varieties involve the that are accepted by farmers and consumers importing or ● Ensure that the seeds and planting materials 3.2.1 transfer of seeds LOW RISK are free from pests and diseases according to and/or planting agreed norms, especially the IPPC materials for ● Internal clearance from AGPMG is required cultivation? for all procurement of seeds and planting materials. Clearance from AGPMC is required for chemical treatment of seeds and planting materials ● Clarify that the seed or planting material can be legally used in the country to which it is being imported

● Clarify whether seed saving is permitted under the country’s existing laws and/or regulations and advise the counterparts accordingly. ● Ensure, according to applicable national laws and/or regulations, that farmers’ rights to PGRFA and over associated traditional knowledge are respected in the access to PGRFA and the sharing of the benefits accruing from their use. Refer to ESS9: Indigenous peoples and cultural heritage. Would this project MODERATE RISK No involve the Ensure compliance with Access and Benefit importing or Sharing norms as stipulated in the International transfer of seeds 3.2.2 LOW RISK Treaty on Plant Genetic Resources for Food and and/or planting Agriculture and the Nagoya Protocol of the materials for Convention on Biodiversity as may be applicable. research and Refer also to ESS2: Biodiversity, Ecosystems and development? Natural Habitats.

Modern biotechnologies Comments and the deployment of

their products in crop production No Yes MODERATE RISK No ● Adhere to the Cartagena Protocol on Biosafety of the Convention on Biological Would this project supply or Diversity to ensure the safe handling, use modern plant transport and use of Living Modified 3.3 biotechnologies and their LOW RISK Organisms (LMOs) resulting from modern products? biotechnology that may have adverse effects on biological diversity, taking also into account risks to human health. ● Adhere to biosafety requirements in the handling of Genetically Modified Organisms

(GMOs) or Living Modified Organisms (LMOs) according to national legislation or53 ● Take measures to prevent geneflow from the introduced varieties to existing ones and/or wild relatives

Planted forests No Yes Comments MODERATE RISK ● Adhere to existing national forest policies, forest programmes or equivalent strategies. ● The observance of principles 9, 10, 11 and 12 of the Voluntary Guidelines on Planted Forests suffice for indigenous forests but must be read in full compliance with ESS 9- Indigenous People and Cultural Heritage. ● Planners and managers must incorporate Would this project conservation of biological diversity as 3.4 establish or manage LOW RISK fundamental in their planning, management, planted forests? utilization and monitoring of planted forest resources. ● In order to reduce the environmental risk, incidence and impact of abiotic and biotic damaging agents and to maintain and improve planted forest health and productivity, FAO will work together with stakeholders to develop and derive appropriate and efficient response options in planted forest management.

53 Food and Agriculture Organization of the United Nations. 2011. Biosafety Resource Book. Rome, http://www.fao.org/docrep/014/i1905e/i1905e00.htm

SAFEGUARD 4 ANIMAL (LIVESTOCK AND AQUATIC) GENETIC RESOURCES FOR FOOD AND AGRICULTURE

Introduce new Comments species/breeds and change in the No Yes production system of locally adapted breeds Would this project The programme supports the conservation introduce non-native or of native forests non-locally adapted species, breeds, LOW 4.1 PROCEED TO NEXT Q genotypes or other RISK genetic material to an area or production system? Would this Not applicable project foresee an increase in production by at least 30% (due to the CANNOT introduction) 4.1.1 PROCEE LOW RISK relative to D currently available locally adapted breeds and can monitor production performance? Would this Not applicable project HIGH RISK introduce genetically A full environmental and social impact LOW 4.1.2 altered assessment is required. RISK organisms, e.g. Please contact the ESM unit for further through guidance. selective breeding,

chromosome set manipulation, hybridization, genome editing or gene transfer and/or introduce or use experimental genetic technologies, e.g. genetic engineering and gene transfer, or the products of those technologies? MODERATE RISK REDD supports the conservation of natural ecosystems no introduction of new species A genetic impact assessment should be will be supported by the programme conducted prior to granting permission to import ( cover the animal identification, Would this project performance recording and capacity introduce a non-native or development that allow monitoring of the LOW non-locally adapted introduced species/ breeds’ productivity, 4.2 RISK species or breed for the health and economic sustainability over first time into a country or several production cycles) production system? ● http://www.fao.org/docrep/012/i097 0e/i0970e00.htm ● ftp://ftp.fao.org/docrep/fao/012/i097 0e/i0970e03.pdf

Would this project MODERATE RISK The programme does not support the introduce a non-native or introduction of nonnative species If the project imports or promotes non-locally adapted ● LOW species/breeds with higher performance 4.3 species or breed, RISK independent whether it than locally adapted ones, ensure: feed already exists in the resources, health management, farm country? management capacity, input supply and

farmer organization to allow the new species/breeds to express their genetic potential ● Follow the OIE terrestrial or aquatic code to ensure the introduced species/breed does not carry different diseases than the local ones ● Include a health risk assessment and farmer/veterinary capacity development in the project to ensure the introduced species/breed do not have different susceptibility to local diseases including ecto-and endo-parasites than the locally adapted/native species/breeds. MODERA No introduced genetic material is TE RISK considered in the programme Introduce a) animal identificati on and recording Would this project mechanis ensure there is no m in the spread of the introduced project genetic material into and b) 4.4 other production systems LOW RISK develop (i.e. indiscriminate new or crossbreeding with amend locally adapted existing species/breeds)? livestock policy and National Strategy and Action Plan for AnGR

Collection of wild genetic resources for No Yes Comments farming systems Would this project collect No living material from the LOW MODERATE RISK 4.5 wild, e.g. for breeding, or RISK Guidance to be provided juveniles and eggs for ongrowing?

Modification of habitats No Yes Comments Would this project modify No the surrounding habitat or LOW MODERATE RISK 4.6 production system used RISK Guidance to be provided by existing genetic resources? Would this project be Yes. However the programme supports the located in or near an conservation of natural forests internationally recognized conservation area e.g. Ramsar or World LOW MODERATE RISK 4.7 Heritage Site, or other RISK Guidance to be provided nationally important habitat, e.g. national park or high nature value farmland? Would this project No block or create LOW MODERATE RISK 4.8 migration routes for RISK Guidance to be provided A aquatic species? Q Would this project No G change the water R quality and quantity LOW MODERATE RISK 4.9 in the project area RISK Guidance to be provided or areas connected to it?

Would this project cause No major habitat / production system changes that promote new or unknown chances for geneflow, HIGH RISK e.g. connecting A full environmental and social impact geographically distinct LOW 4.10 assessment is required. ecosystems or water RISK Please contact the ESM unit for further bodies; or would it disrupt guidance. habitats or migration routes and the genetic structure of valuable or locally adapted species/stocks/breeds? Would this project involve The programme does not supports land the intensification of use changes production systems that leads to land- use changes (e.g. LOW MODERATE RISK 4.11 deforestation), higher RISK Guidance to be provided nutrient inputs leading to soil or water pollution, changes of water regimes (drainage, irrigation)?

SAFEGUARD 5 PEST AND PESTICIDES MANAGEMENT

Supply of pesticides by No Yes Comments FAO Would this project procure, MODERATE RISK No pesticide use is foreseen in the supply and/or result in the programme LOW ● Preference must always be given to 5.1 use of pesticides on crops, RISK sustainable pest management livestock, aquaculture or approaches such as Integrated Pest forestry? Management (IPM), the use of

ecological pest management approaches and the use of mechanical/cultural/physical or biological pest control tools in favour of synthetic chemicals; and preventive measures and monitoring, ● When no viable alternative to the use of chemical pesticides exists, the selection and procurement of pesticides is subject to an internal clearance procedure http://www.fao.org/fileadmin/templates/ agphome/documents/Pests_Pesticides/ Code/E_SS5_pesticide_checklist.pdf ● The criteria specified in FAO’s ESM Guidelines under ESS5 must be adhered to and should be included or referenced in the project document. ● If large volumes (above 1,000 litres of kg) of pesticides will be supplied or used throughout the duration of the project, a Pest Management Plan must be prepared to demonstrate how IPM will be promoted to reduce reliance on pesticides, and what measures will be taken to minimize risks of pesticide use. ● It must be clarified, which person(s) within (executing) involved institution/s, will be responsible and liable for the proper storage, transport, distribution and use of the products concerned in compliance with the requirements.

Would this project provide LOW No 5.2 MODERATE RISK seeds or other materials RISK

treated with pesticides (in The use of chemical pesticides for seed the field and/or in storage) treatment or storage of harvested produce ? is subject to an internal clearance procedure [http://www.fao.org/fileadmin/templates/agp home/documents/Pests_Pesticides/Code/E _SS5_pesticide_checklist.pdf ]. The criteria specified in FAO’s ESM Guidelines under ESS5 for both pesticide supply and seed treatment must be adhered to and should be included or referenced in the project document.

MODERATE RISK Monies will be managed by the government directly and the government who will be in ● FAO projects must not be responsible charge of the distribution of any benefits for exposing people or the environment to risks from pesticides. The types and quantities of pesticides and the associated application and protective equipment that users of a voucher scheme are provided with must always comply with the conditions laid out in ESS5 and be subject to the internal Would this project provide LOW 5.3 inputs to farmers directly or RISK clearance procedure [link]. These must through voucher schemes? be included or referenced in the project document. ● Preference must always be given to sustainable pest management approaches such as Integrated Pest Management (IPM), the use of ecological pest management approaches and the use of mechanical or biological pest control tools in favour of synthetic chemicals

MODERATE RISK The project will not support the introduction of pesticides Encourage stakeholders to develop a Pest Management Plan to demonstrate how IPM will be promoted to reduce reliance on Would this project lead to pesticides, and what measures will be increased use of pesticides LOW 5.4 taken to minimize risks of pesticide use. through intensification or RISK This should be part of the sustainability expansion of production? plan for the project to prevent or mitigate other adverse environmental and social impacts resulting from production intensification.

Would this project manage HIGH RISK Not applicable or dispose of waste A full environmental and social impact LOW pesticides, obsolete assessment is required. 5.5 RISK pesticides or pesticide Please contact the ESM unit for further contaminated waste guidance. materials?

SAFEGUARD 6 INVOLUNTARY RESETTLEMENT AND DISPLACEMENT

No Yes Comments Would this removal* be The programme does not consider any voluntary? removals as part of future activities HIGH RISK *temporary or permanent CANNOT A full environmental and social impact 6.1 removal of people from PROCEE assessment is required. their homes or means of D Please contact the ESM unit for further production/livelihood or guidance. restrict their access to their means of livelihoods

SAFEGUARD 7 DECENT WORK

No Yes Comments Would this project HIGH RISK No displace jobs? (e.g. 7.1 because of sectoral LOW RISK A full environmental and social impact restructuring or assessment is required. occupational shifts) Please contact the ESM unit for further guidance. MODERATE RISK Yes. However, the programme will support livelihoods of smallholders and has also an Take action to anticipate the likely risk of extensive consultation process perpetuating poverty and inequality in socially unsustainable agriculture and food systems. Decent work and productive employment should Would this project operate appear among the priorities of the project or, in sectors or value chains alternatively, the project should establish synergies that are dominated by with specific employment and social protection subsistence producers programmes e.g. favouring access to some social and other vulnerable protection scheme or form of social insurance. 7.2 LOW RISK informal agricultural Specific measures and mechanisms should be workers, and more introduced to empower in particular the most generally characterized by vulnerable /disadvantaged categories of rural high levels “working workers such as small-scale producers, poverty”? contributing family workers, subsistence farmers, agricultural informal wage workers, with a special attention to women and youth who are predominantly found in these employment statuses. An age- and gender-sensitive social value chain analysis or livelihoods/employment assessment is needed for large-scale projects. Would this project operate MODERATE RISK The programme will facilitte the inclusion of in situations where youth gender youth and minorities. work mostly as unpaid Take action to anticipate likely risk of unsustainably contributing family ageing agriculture and food systems by integrating 7.3 workers, lack access to LOW RISK specific measures to support youth empowerment decent jobs and are and employment in agriculture. A youth increasingly abandoning livelihoods/employment assessment is needed. agriculture and rural Complementary measures should be included areas? aiming at training youth, engaging them and their

associations in the value chain, facilitating their access to productive resources, credit and markets, and stimulating youth- friendly business development services. MODERATE RISK The programme will support gender Would this project operate mainstreaming in situations where major Take action to anticipate likely risk of socially gender inequality in the unsustainable agriculture and food systems by labour market prevails? integrating specific measures to reduce gender (e.g. where women tend inequalities and promote rural women’s social and to work predominantly as economic empowerment. A specific social value unpaid contributing family chain analysis or livelihoods/employment members or subsistence assessment is needed for large-scale projects. 7.4 farmers, have lower skills LOW RISK Facilitation should be provided for women of all and qualifications, lower ages to access productive resources (including productivity and wages, land), credit, markets and marketing channels, less representation and education and TVET, technology, collective action voice in producers’ and or mentorship. Provisions for maternity protection, workers’ organizations, including child care facilities, should be foreseen to more precarious contracts favour women participation and anticipate potential and higher informality negative effects on child labour, increased rates, etc.) workloads for women, and health related risks for pregnant and breastfeeding women. Would this project operate MODERATE RISK No. The programme will work with in areas or value chains local/rural communities with presence of labour Take action to anticipate potential discrimination 7.5 LOW RISK migrants or that could against migrant workers, and to ensure their rights potentially attract labour are adequately protected, with specific attention to migrants? different groups like youth, women and men.

No Yes Comments MODERATE RISK Yes, the programme will work with locals FAO projects will supposedly guarantee Would this project directly 7.6 LOW RISK employees’ rights as per UN/FAO standards as employ workers? regards information on workers’ rights, regularity of payments, etc. Decisions relating to the recruitment of project workers are supposed to

follow standard UN practices and therefore not be made on the basis of personal characteristics unrelated to inherent job requirements. The employment of project workers will be based on the principle of equal opportunity and fair treatment, and there will be no discrimination with respect to any aspects of the employment relationship, such as recruitment and hiring, compensation (including wages and benefits), working conditions and terms of employment, access to training, job assignment, promotion, termination of employment or retirement, etc. MODERATE RISK No Take action to anticipate likely risk of perpetuating inequality and labour rights violations by introducing complementary measures. FAO projects involving sub-contracting should promote, Would this project involve to the extent possible, subcontracting to local 7.7 LOW RISK sub-contracting? entrepreneurs – particularly to rural women and youth – to maximize employment creation under decent working conditions. Also, FAO should monitor and eventually support contractors to fulfil the standards of performance and quality, taking into account national and international social and labour standards.

No Yes Comments MODERATE RISK No Take action to anticipate likely OSH risks by introducing complementary provisions on OSH within the project. Project should ensure all workers’ safety and health by adopting minimum OSH measures and contributing to improve capacities and mechanisms in place for OSH in informal agriculture and related occupations. For example, by undertaking a simple health and safety risk assessment, and Would this project operate in supporting implementation of the identified a sector, area or value chain risk control measures. Awareness raising and where producers and other capacity development activities on the needed 7.8 agricultural workers are LOW RISK gender-responsive OSH measures should be typically exposed to included in project design to ensure workers’ significant occupational and safety and health, including for informal safety risks54? workers. Complementary measures can include measures to reduce risks and protect workers, as well as children working or playing on the farm, such as alternatives to pesticides, improved handling and storage of pesticides, etc. Specific provisions for OSH for pregnant and breastfeeding women should be introduced. FAO will undertake periodic inspections and a multistakeholder mechanism for monitoring should be put in place. Would this project provide or HIGH RISK No promote technologies or practices that pose A full environmental and social impact 7.9 LOW RISK occupational safety and assessment is required. health (OSH) risks for Please contact the ESM unit for further farmers, other rural workers guidance.

54 Major OSH risks in agriculture include: dangerous machinery and tools; hazardous chemicals; toxic or allergenic agents; carcinogenic substances or agents; parasitic diseases; transmissible animal diseases; confined spaces; ergonomic hazards; extreme temperatures; and contact with dangerous and poisonous animals, reptiles and insects.

or rural populations in general?

No Yes Comments Would this project foresee No that children below the nationally-defined minimum 7.10 employment age (usually 14 LOW RISK CANNOT PROCEED or 15 years old) will be involved in project-supported activities? MODERATE RISK No Take action to anticipate likely risk of engaging young people aged 14-17 in child labour55 by changing design or introducing complementary measures. Would this project foresee For children of 14 to 17 years, the possibility that children above the to complement education with skills-training nationally-defined minimum and work is certainly important for facilitating 7.11 employment age (usually 14 LOW RISK their integration in the rural labour market. or 15 years old), but under Yet, children under the age of 18 should not the age of 18 will be involved be engaged in work-related activities in in project-supported connection with the project in a manner that activities? is likely to be hazardous or interfere with their compulsory child’s education or be harmful to the child’s health, safety or morals. Where children under the age of 18 may be engaged in work-related activities in

55 Child labour is defined as work that is inappropriate for a child’s age, affects children’s education, or is likely to harm their health, safety or morals. Child labour refers to working children below the nationally-defined minimum employment age, or children of any age engaging in hazardous work. Hazardous work is work that is likely to harm the health, safety or morals of a child. This work is dangerous or occurs under unhealthy conditions that could result in a child being killed, or injured and/or made ill as a consequence of poor health and safety standards and working arrangements. Some injuries or ill health may result in permanent disability. Countries that have ratified ILO Convention No.182 are obligated to develop National lists of hazardous child labour under Article 4.

connection with the project, an appropriate risk assessment will be conducted, together with regular monitoring of health, working conditions and hours of work, in addition to the other requirement of this ESS. Specific protection measures should be undertaken to prevent any form of sexual harassment or exploitation at work place (including on the way to and from), particularly those more vulnerable, i.e. girls. HIGH RISK No Would this project operate in a value chain where there A full environmental and social impact 7.12 LOW RISK have been reports of child assessment is required. labour? Please contact the ESM unit for further guidance.

No Yes Comments HIGH RISK No? Would this project operate in A full environmental and social impact a value chain or sector 7.13 LOW RISK assessment is required. where there have been Please contact the ESM unit for further reports of forced labour56? guidance.

56 Forced labour is employed, consists of any work or service not voluntarily performed that is exacted from an individual under threat of force or penalty. It includes men, women and children in situations of debt bondage, suffering slavery-like conditions or who have been trafficked. “In many countries, agricultural work is largely informal, and legal protection of workers is weak. In South Asia, there is still evidence of bonded labour in agriculture, resulting in labour arrangements where landless workers are trapped into exploitative and coercive working conditions in exchange for a loan. The low wages associated with high interest rates make it quite difficult for whole families to escape this vicious circle. In Africa, the traditional forms of “vestiges of slavery” are still prevalent in some countries, leading to situations where whole families (adults and children, men and women) are forced to work the fields of landowners in exchange for food and housing. In Latin America, the case of workers recruited in poor areas and sent to work on plantations or in logging camps has been widely documented by national inspection services and other actors.” (ILO, Profits and poverty: the economics of forced labour / International Labour Office. - Geneva: ILO, 2014)

SAFEGUARD 8 GENDER EQUALITY

No Yes Comments MODERATE RISK The programme will support gender studies Could this project risk and mainstreaming in the activities reinforcing existing gender- Take action to anticipate likely risk of based discrimination, by not perpetuating or reinforcing inequality by 8.1 taking into account the LOW RISK conducting a gender analysis to identify specific measures to avoid doing harm, specific needs and priorities provide equal opportunities to men and of women and girls? women, and promote the empowerment of women and girls. MODERATE RISK The programme will include women and youth priorities based on consultations Take action to anticipate likely risk of socially Could this project not target in the areas of work the different needs and unsustainable agriculture practices and food priorities of women and men systems by conducting a gender analysis to in terms of access to identify the specific needs and priorities of 8.2 LOW RISK services, assets, resources, men and women, and the constraints they markets, and decent may face to fully participate in or benefit from employment and decision- project activities, and design specific making? measures to ensure women and men have equitable access to productive resources and inputs.

SAFEGUARD 9 INDIGENOUS PEOPLES AND CULTURAL HERITAGE

No Yes Comments Are there indigenous Yes. FPIC and consultation process will peoples* living outside the be part of the porgramme 9.1 project area** where LOW RISK GO TO NEXT QUESTION activities will take place?57? MODERATE RISK No Do the project A Free, Prior and Informed Consent activities influence Process is required 9.1. the Indigenous Project activities should outline actions LOW RISK 1 Peoples living to address and mitigate any potential outside the project impact area? Please contact the ESM/OPCA unit for further guidance. MODERATE RISK Yes and they will be part of the programme A Free Prior and Informed Consent process is required. If the project is for indigenous Are there indigenous peoples, an Indigenous Peoples' Plan is peoples living in the project 9.2 LOW RISK required in addition to the Free Prior and area where activities will Informed Consent process. take place? Please contact the ESM/OPCA unit for further guidance. In cases where the project is for both, indigenous and non-indigenous peoples, an Indigenous Peoples' Plan

57* FAO considers the following criteria to identify indigenous peoples: priority in time with respect to occupation and use of a specific territory; the voluntary perpetuation of cultural distinctiveness (e.g. languages, laws and institutions); self-identification; an experience of subjugation, marginalization, dispossession, exclusion or discrimination (whether or not these conditions persist). ** The phrase "Outside the project area" should be read taking into consideration the likelihood of project activities to influence the livelihoods, land access and/or rights of Indigenous Peoples' irrespective of physical distance. In example: If an indigenous community is living 100 km away from a project area where fishing activities will affect the river yield which is also accessed by this community, then the user should answer "YES" to the question

will be required only if a substantial number of beneficiaries are Indigenous Peoples. project activities should outline actions to address and mitigate any potential impact. Please contact ESM/OPCA unit for further guidance. A Free, Prior and Informed Consent Process is required Would this project No, the programme will respect adversely or seriously indigenous peoples rights affect on indigenous peoples' rights, lands, natural resources, territories, livelihoods, knowledge, social fabric, traditions, governance systems, and culture or heritage (physical* and non-physical or intangible**) inside and/or outside the project area? HIGH RISK

*Physical defined as A full environmental and social impact 9.3 LOW RISK movable or immovable assessment is required. objects, sites, structures, Please contact the ESM unit for further group of structures, natural guidance. features and landscapes that have archaeological, paleontological, historical, architectural, religious, aesthetic or other cultural significance located in urban or rural settings, ground, underground or underwater.

**Non-physical or intangible defined as "the

practices, representations, expressions, knowledge and skills as well as the instruments, objects, artifacts and cultural spaces associated therewith that communities, groups, and in some cases individuals, recognize as part of their spiritual and/or cultural heritage" MODERATE RISK Yes? To preserve cultural resources (when existing in the project area) and to avoid their destruction or damage, due diligence must be undertaken to: a) verify that provisions of the normative framework, which is usually under the oversight of a national institution responsible for protection of historical and archaeological sites/intangible Would this project be cultural heritage; and b) through 9.4 located in an area where LOW RISK collaboration and communication with cultural resources exist? indigenous peoples’ own governance institutions/leadership, verifying the probability of the existence of sites/ intangible cultural heritage that are significant to indigenous peoples. In cases where there is a high chance of encountering physical cultural resources, the bidding documents and contract for any civil works must refer to the need to include recovery of “chance findings” in line with national procedures and rules.

ADDITIONAL INFORMATION YES NO Is there any other potential environmental X and/or social risk of this project that has not been captured in the screening checklist? Is the proposed project considered potentially X controversial?

Risk Classification ENCCRV frameworks that Safeguard Policies apply to the specific actions supported by the RBP ESS 1 – Natural Resources Management Low ESS2 – Biodiversity, Ecosystems, and Natural Habitats Moderate Protocol for addressing Natural Forests and Habitats ESS3 – Plant Genetic Resources for Food and Agriculture Moderate Procedural rules for activities in areas of cultural heritage ESS4 – Animal – Livestock and Aquatic Genetic Resources for Food Low and Agriculture ESS5 – Pest and Pesticide Management Low ESS6 – Involuntary Resettlement and Displacement Low ESS7 – Decent Work Moderate FAO will guarantee employees’ rights as per UN/FAO standards ESS8 – Gender Equality Moderate Gender Action Plan ESS9 – Indigenous Peoples and Cultural Heritage Moderate Indigenous Peoples Planning Framework (IPPF)

● Planning Framework for Indigenous Peoples https://www.enccrv- chile.cl/descargas/publicaciones/720-anexo-5-pdf/file ● Procedural rules for activities in areas of cultural heritage https://www.enccrv- chile.cl/descargas/publicaciones/721-anexo-6-pdf/file ● Gender Action Plan

Annex 4: Indicative Outline

Environmental and Social Analysis for Moderate Risk Projects70

Executive summary a. Project description b. Significant risks/impacts c. Stakeholder engagement d. Mitigation Introduction a. Project overview and justification b. E&S process 1. Project description 1.1 Project location and siting 1.2 Description of project activities 1.3 Identification of stakeholders/beneficiaries 2. E&S baseline 2.1 Current state of the environment and current socio-economic conditions in the project site area 2.2 Potential future changes foreseen as a result of the planned activities 3. Impact assessment 3.1 Key E&S risks/impacts 3.2 Rank E&S risks/impacts by significance 3.3 Alternatives to project to avoid/minimize impacts 4. Mitigation 4.1 Identify applicable recognized good management and/or pollution abatement practices 4.2 Demonstrate record of the prior successful use of identified good management and/or pollution abatement practices in the project area or other justification 4.3 Indicators to monitor mitigation effectiveness 4.4 Review of applicable legislation 4.5 FAO ESS 1 to 9 5. Stakeholder consultation/engagement 5.1 Stakeholder consultation/engagement 5.2 Consultations on E&S mitigation 5.3 Grievance mechanism 6. Recommendations 6.1 Proceed/do not proceed with project 6.2 Recommendations 70 The contents of the E&S Analysis (ESA) will significantly vary depending on the specific characteristics of each project. This outline presents a proposal of key elements for the E&S analysis. If host country requirements apply, these should also guide the content of the analysis.

Annex 4 Gender Assessment

Part I

I. Introduction ...... 2

II. Gender inequalities in Chile ...... 3 a) Education ...... 3 b) Labour force participation ...... 4 c) Poverty Rate ...... 6 d) Political engagement ...... 8 e) Health ...... 8 f) Unpaid domestic and care work ...... 10 e) Social protection ...... 11

III. Legal and administrative framework protecting women and promoting gender equality in Chile ...... 12 a) International protocols and frameworks ratified by Chile in support of gender Equality, women’s empowerment and Human Rights ...... 12 b) National gender equality and women’s empowerment frameworks in Chile ...... 13 c) Institutional framework: National machinery for the advancement of women ...... 14 d) National Policies, Plans and Programs on gender equality ...... 15

IV. Gender Issues Around Forests and REDD+ National Strategy ...... 17 a) Gender gaps within the target groups of the ENCCRV REDD+ actions ...... 17 b) ENCCRV frameworks and policies supporting gender equality and women’s empowerment ...... 22 c) National REDD+ strategy design from a gender approach ...... 23 The Participatory Process as a methodological base for mainstreaming the gender approach ...... 23 Inputs obtained from the women FGs and ENCCRV response ...... 26 d) Gender in the ENCCRV REDD+ Governance ...... 28 e) Gender considerations in the national REDD+ safeguards ...... 32

V. Conclusions and recommendations ...... 36 Proposals and steps to be followed...... 36

VI. Biblography ...... 41

I. Introduction

According to the requirements of the GCF Gender Policy (UN Women, GCF, 2017) 1 Chile REDD-plus RBP proposal must include a gender assessment and a gender action plan, in order to provide a detailed analysis of the scope of the ENCCRV, which REDD+ integrates, with regard to its ability to fulfill international and national commitments in the field of gender equality and women’s rights.2

Over the last years, Chile has made good strides in promoting gender equality. According to the ranking of the Global Gender Gap of the World Economic Forum for the year 2018, Chile has an index core of 0,717, ranking it 54 out of 149 countries (World Economic Forum, 2018).3 The country has taken concrete actions to promote and integrate gender equality into the broader policy-making agenda of the “Objectives for Sustainable Development” and the commitments of the Regional Conference on Women in Latin America and the Caribbean. Some of those actions have meant progress in the situation or status of women, while others have revealed the persistence of discrimination and of obstacles to full equality of opportunity between men and women in the country. Additionally, the progress that has been made often hides geographic differences in different dimensions of gender equality.

The actions REDD+ of the ENCCRV will focus on a significant part of the national territory where there is a high concentration and diversity of forests in the country, comprising five of the fifteen administrative regions of Chile: Maule, Biobío, Araucanía, Los Ríos and Los Lagos. These regions represent 22% of the total area of the country and host 41% of the Native Forest, with representation of 11 of the 12 Forest Types defined at the national level. In addition, these regions are those that have shown greater pressure on their forests due to the occurrence of forest fires, high demand for firewood, poverty and vulnerable population among others. From the beginning the ENCCRV will consider this subnational area and will include actions for different types of property (fiscal and private), not ruling out that later it will be extended to other regions of the country. The main objective of the ENCCRV is to establish itself as a framework for national action to support the recovery and protection of the native forest, xerophytic formations and promote the establishment of plant formations in soils that can be afforested belonging or used by small and medium-sized owners, including women and indigenous communities (CONAF, 2017).

The gender assessment/action plan presented in this document assesses the gender sensitiveness of the ENCCRV REDD+ targets, activities indicators and results. The objective is to provide an analysis tailored to the gender-related aspects and the gender mainstreaming strategy of the ENCCRV, and make recommendations in line with the Gender Policies of the Green Climate Fund (GCF) and of FAO.

1 The GCF Gender Policy and Action Plan was adopted by The GCF Board in March 2015 (GCF/B.09/10) (UN Women, GCF, 2017). 2 More information concerning the Gender Equality Policy of FAO in: Food and Agriculture Organization of the United Nations (FAO) (2017), Guidelines for the assessment of gender mainstreaming, Food and Agriculture Organization of the United Nations Office of Evaluation (OED), Rome. 3 In 2006 Chile had an index core of 0,645, ranking it 78. World Economic Forum (2018), Global Gender Gap Report 2018, Geneva, World Economic Forum.

2 II. Gender inequalities in Chile a) Education

Educational level of boys and girls

Chile has made progress in recent years in expanding the coverage and accessibility of education. The access to formal school education and higher education for males and females in the last few years has remained in equal conditions, highlighting the upward trend of females’ access to education, increasing by 0.53% between 2009 and 2014, and 1% between 2014-2016. With regard to access as per educational level, figures also show equal characteristics, although for four of the five levels considered, access to education is briefly higher in males; higher education is the only category that females have more access to in 2014 (Table 1).

Table 1. Students enrolled in traditional education, by gender and education level, 2014

Students Enrolled Education Level National Total Male Female Number Percentage Number Percentage Number Percentage Pre-school 378,052 7.9 184,479 3.88 193,573 4.07 Special 176,818 3.7 106,726 2.24 70,092 1.47 Traditional 1,957,416 41.2 1,006,378 21.16 951,038 19.99 Primary Secondary 1,029,032 21.6 517,611 10.88 511,421 10.75 Higher 1,215,413 25.6 583,381 12.26 632,032 13.29 TOTAL 4.756.731 100 2,398,575 50.42 2,358,156 49.58 Source: Statistical Compendium, 2015, INE.

Despite progress, women’s access to formal school education still depends on significant differences by area of residence (rural-urban) and ethnic origins. According to data from the Ministry of Education (Mineduc 2015) the Educational levels of women older than 15 years in rural areas of Chile are lower than in urban areas. 22.5% of rural women have a schooling of less than 5 years, in relation to the urban area (10% of schooling in this same age group) (Ministry of Women and Gender Equity (2017). In other hand, women who identify themselves as indigenous, are completed with a lower educational level than women who do not identify with an indigenous people. In higher education, the percentage of self-identified women as indigenous with a higher technical level is 9.18%, while in the rest of the population it is a little higher (10.04%) (INE, 2018).

The access to education becomes more difficult for women living in rural areas and belonging to indigenous communities, since they must face language and cultural gaps, in addition to the geographical barriers. In terms of figures, 14.9% of indigenous women manage to complete secondary education, compared to 18.6% of non- indigenous women. With respect to higher education, only 3.6% of indigenous women manage to finish it, compared to 7.9% of non-indigenous women (CASEN, 2015). illiteracy rates

The illiteracy rates of the country’s population have considerably decreased in the last 15 years. Between 1990 and 2015, for men and women, the reduction accounted for 39%. In 2015, the trend remains where women are the ones who -in a larger percentage- do not know how to read or write.

Table 2. Percentage of Inhabitants 15 years or older who do not know how to read or write, country total

Years Men Women 1990 4.9 5.4 1996 4.3 5.3 2000 3.7 4 2003 3.7 4.2 2006 3.7 4.1 2009 3.3 3.7 2011 3.1 3.5 2013 3.6 3.8 2015 3 3.3 Source: Ministry of Social Development, National Socioeconomic Survey (CASEN), 2015.

It is worth mentioning that, comparing the level of literacy, educational level and condition of income-related poverty (described in the following paragraph); there is a direct relation between a low level of education and the condition of income-related poverty (Table 3).

Table 3. Educational Profile of individuals 15 years or older in conditions of poverty due to income, both genders

Individuals 15 years or older Years Condition by respective group 2006 2009 2011 2013 2015 Poor 7.4 5.6 5.3 6.2 5.9 Illiteracy Rate Not Poor 2.7 2.9 2.8 3.4 2.8 Poor 8.4 8.8 9 9.1 9.3 Schooling Average Not Poor 10.8 10.9 10.9 11 11.2 Percentage of individuals Poor 69.4 62.9 61.8 60.3 57.3 with unfinished secondary Not Poor 41.2 39.6 39.9 38.6 36.7 education Source: Ministry of Social Development, CASEN Survey, 2015. b) Labour force participation

In Chile, Female labour force participation (LFP) and employment have risen only slightly over the last 25 years. Women have increased their labour market participation rate faster than men: labour participation has been maintained with no major variations for men; for women, from 1990 to 2015 it has increased by 14.9 percentage points (Figure 8). Figure 1. Labor engagement rate, by gender, 1990 to 2015.

Source: Ministry of Social Development, CASEN Survey, 2015

Nevertheless, the growing incorporation of women to the labor market has been accompanied by a process of feminization and a female concentration in some occupations and sectors of production. The study “Greater Incorporation of Women in the Chilean Economy” from the Ministry of Economy, Development and Tourism, in its

4 conclusions it states:“ an increase in female occupation positively impacts national production, measured through Real GDP per capita, nevertheless and due to the types of occupations, this impact is not yet as significant as the one produced when increasing male occupation.”

At the national level, the main branches of economic activities that women perform (occupied inhabitants, 15 years and older) are, first of all, wholesale trade and retail (22.5%); Teaching (13.7%); and private households with domestic service (12.2%). It is worth mentioning that the area of agriculture, livestock development, hunting and forestry, branches associated with ENCCRV-activities, accounts for 5.4% of Chile’s working women Ministry of Social Development, 2017b).

Figure 2. Distribution of occupied population by branch of economic activity and gender, 2015

Source: Ministry of Social Development, CASEN Survey, 2015.

Considering the gender division of inhabitants who dedicate time to each economic activity, we can observe that in the Construction area, only 5.7% of the total occupied population in this activity are women, accounting for low figures; on the contrary, for the category Private Households with domestic service, 82.8% of the occupied population in this area are women. It is worth mentioning that in the area of agriculture, livestock development, hunting and forestry, associated with ENCCRV-activities, 26.7% of occupied inhabitants are women (Figure 6) (Ministry of Social Development, 2017b). . Figure 3. Percentage distribution of each economic activity branch and gender, 2015 .

Source: Ministry of Social Development, CASEN Survey,

5 c) Poverty Rate

The situation of poverty in Chile, based on the 2015 National Socioeconomic Survey (CASEN) conducted by the Ministry of Social Development (MDS), includes measuring poverty through two methodologies: income-related poverty and multi-dimensional poverty (Table 5).

Considering the number of people in situation of poverty according to gender, we can highlight that the amount of women in situation of income-related poverty is 0.9% more than men; nevertheless, under the multidimensional poverty approach, men lead by 1 percentage point in terms of poverty conditions.

Table 4. Percentage of individuals in condition of poverty, by gender, country total, 2015.

Total individuals (%) Methodology Men Women Average In condition of income-related poverty4 11.2 12.1 11.75 In condition of multidimensional poverty6 21.4 20.4 20.9 Source: Ministry of Social Development, CASEN Survey, 2015.

In terms of the quantity of households in condition of poverty in relation to the gender of the head of household7 (Figure 4) and within the perspective of poverty due to income, the gap is broadened, with more quantity of households headed by women (12.9%) than men (8.8%). This gap has persisted for many years, even though the total quantity of households in these conditions has significantly decreased in the last 10 years (Figure 5). With regard to the multidimensional poverty of households, this gap is reduced, and there are a higher percentage of households headed by men in condition of poverty. According to this, the 2015 feminity index of poverty8 records a ratio -within the population in condition of income-related poverty- of 107107.9 women for every 100 men; and for

4 Condition of individuals who are part of households whose total monthly income is lower than the “line of poverty by equivalent individual”, or minimum income set to satisfy basic food and non-food needs in that same period, in accordance with the quantity of household members. 5 Out of this total, 8.1% accounts for non-extreme poverty and 3.5% accounts for extreme income-related poverty (2015 CASEN Survey). 6 Individuals that are part of households that do not reach proper life conditions within a set of five relevant aspects of well-being, among which we may find: (1) Education; (2) Health; (3) Work and Social Security; (4) Household and Environment; and (5) Networks and Social Cohesion. The previous conditions are observed through weighted set of 15 indicators (three for each area) with which household deficiencies are identified. Households that accumulate 22.5% or more deficiencies are considered in a condition of multidimensional poverty (2015 CASEN Survey). 7 According to the 2015 Casen Survey, 39.5% of households are headed by women, out of which 77.4% are single-parent homes (2015 CASEN Survey). 8 Ratio between the quantity of women in poverty and men in poverty, multiplied by 100.

6 the same year, for every 100 men in condition of multidimensional poverty, there are 94.1 women in the same condition (2015 CASEN Survey, Ministry of Social Development, 2017b).

Figure 4. Percentage of households in condition of income-related poverty or multidimensional poverty, by gender of head of household

Source: Ministry of Social Development, CASEN Survey, 2015.

Figure 5. Percentage of households in condition of poverty by income, by gender of head of household

Source: Ministry of Social Development, CASEN Survey, 2015.

This background information is consistent with one of the main domestic issues around gender equality, which accounts for the current wage gap between men and women in every region of the country (Figure 6).

Figure 6. Monthly Average Income from main occupation, by gender and region

Source: Ministry of Social Development, CASEN Survey, 2015.

7 d) Political engagement

In 2015 in Chile, 27.1% of women and 25.4% of men declared having participated in organizations or organized groups9. Considering the population’s gender division (Figure 11), we can observe that there is a majority of women participation in 10 out of the 13 types of organizations considered (Ministry of Social Development, 2017b).

Figure 7. Distribution of the population that participates in each type of organization, by gender, 2015

Source: Ministry of Social Development, CASEN Survey, 2015.

Despite the previously described levels of political engagement of women, engagement in popular election positions (Table 9 and Table 10) is significantly low, with considerable gaps that have been decreasing.

Table 5. Distribution between representatives elected in local governments, according to election year

Municipalities City Departments Election Year Men Women Gap Men Women Gap 1992 93.6 6.4 -87.2 88.0 12.0 -76.0 1996 90.6 9.4 -81.2 85.6 14.4 -71.2 2000 87.7 12.3 -75.4 82.8 17.2 -65.6 2004 87.8 12.2 -75.6 78.8 21.2 -57.6 2008 87.5 12.5 -75.0 76.7 23.3 -53.4 2012 87.5 12.5 -75.0 74.8 25.2 -49.6 2016 88.1 11.9 -76.2 88.0 12.0 -76.0 Source: Gender Indicators, INE. e) Health

Maternal Mortality Rate

In terms of maternal mortality, Chile has had increasing indexes in the last few years, and according to official statistics it has registered an increase between 2009 and 2016 (Table 6).

Table 6. Maternal Mortality Ratio for one hundred thousand live births

8 Maternal Mortality Ratio for one hundred Year thousand live births.

2009 17 2010 18.3 2011 18.5 2012 22.1 2013 21.4 2014 22,2 2015 22,8 2016 21,9 Source: Department of Health Statistics and Information (DEIS). Ministry of Health (MINSAL).

Infant Mortality Rate

In 2014, the national infant mortality average reached a rate of 7.2 for each one thousand live births; average which accounts for 1010 regions, mainly from the country’s northern and southern zones.

Figure 8. Infant Mortality Rate (for children under one year of age) by region, 2012 and 2014

Source: Vital Statistics. INE’s 2014 Yearbook.

The infant mortality rate for the 1 to 4 years old category (Table 7) for males is 21.8% higher than for females. In a regional scale analysis, there are 411 regions whose infant mortality rates for males and females show rates which exceed the national average. Female mortality exceeds the national average in 612 out of 15 regions of

9 Percentage of individuals of 12 years or older who participate or have participated in the last 12 months in organizations or have organized groups (Ministry of Social Development, CASEN Survey, 2015). 10 Regions of Tarapaca, Antofagasta, Atacama, Coquimbo, O´Higgins, Maule, La Araucania, Los Lagos, Aisen and Magallanes. 11 Regions of Arica and Parinacota, Antofagasta, Coquimbo and Los Ríos. 12 Regions of Arica and Parinacota, Antofagasta, Atacama, Coquimbo, Los Ríos and Los Lagos.

9 Chile. The region of Arica and Parinacota presents the highest mortality rate within the 1 to 4 year old category both in male and female (9.3% and 6.9% respectively).

Table 7. Infant Mortality, 1 to 4 year old category, by gender and region

Infant Mortality Rate, 2014 (Rate per 10,000 inhabitants of the age Region group) Male Female Arica and Parinacota 9.3 6.9 Tarapaca 2.5 1.8 Antofagasta 3 3.1 Atacama 2 5 Coquimbo 3.5 2.7 Valparaíso 2.3 2.1 Metropolitana 2.4 2.3

Libertador B. O'Higgins 3.2 2.1 Maule 4.3 3 Biobio 4.5 2.4 La Araucania 5.2 1.5 Los Ríos 6.6 4.8 Los Lagos 3.3 3.8 Aysen 0 0 Magallanes 0 0 TOTAL 3.2 2.5 Source: DEIS. Ministry of Health

Food security and nutrition

With regard to the food and nutrition of individuals, in Chile there are food and nutrition gaps between men and women, and also with respect to the area in which they reside. According to the Ministry of Health, the healthy eating index shows that in urban areas, 7.3% of women have an unhealthy diet and 9% of men have an unhealthy diet. In rural areas, 4.3% of women have an unhealthy diet and 7.3% of men have an unhealthy diet. From this, it can be observed that in rural areas individuals have a healthier diet than in urban areas, and in general, women have a healthier diet than men.

On the other hand, with respect to the overweight and obesity of the individuals, there are also gaps by area and gender. The Ministry of Health states that in urban areas, 33.9% of women and 44.8% of men are overweight, and 32.6% of women and 18.6% of men are obese. With regard to rural areas, 31.7% of women and 39.2% of men are overweight, and 36.3% of women and 22.7% of men are obese. Thus, it is observed that although there are no large gaps per zone, there are important gaps between gender, since in the case of overweight, women suffer less in this trend compared to men, but in the case of obesity women suffer this condition to a greater extent than men (National Food Consumption Survey, Ministry of Health, 2014),. f) Unpaid domestic and care work

In Chile domestic and reproductive work in the household, as well as the care responsibility for dependents, continue to be culturally recognized as the female functions. According to data from the 2015 Time-Use Survey, the distribution of paid and unpaid work is very highly unequal by gender and socioeconomic stratum. In terms of hours, men spend a total of 2.7 hours on unpaid work in a typical day, while women spend 5.9 hours (INE, 2016). When analyzing the total workload (which measures unpaid and paid work, together with transportation time) it is possible to verify that Chilean women perform a greater proportion of paid and unpaid activities than men. In the employed population of 15 years old, the total workload presents pronounced gender differences: 9.78 hours for

10 men and 11.46 hours for women on a weekday, and on a weekend day the load of hours is lower but still an important difference is maintained by sex; moreover, the participation of women in domestic work and care intensifies during the weekends (Arriagada y Miranda, 2019). These gender gaps translates into gender inequalities that undermine opportunities and conditions for women's labor insertion, generating a double pressure on them -as a family care and as a worker- that increases among those who are living in poverty (Arriagada y Miranda, 2019). e) Social protection ln Chile, the pension system underwent profound changes after the implementation of the 2008 reform. Previously, the sector's operational reform in 1981 replaced the pay-as-you-go system with an individual capitalization model. This system is based on contributions individually for an amount equivalent to 10% of wages. Tales of deposit contributions in the calls Pension Fund Administrators (AFP).

By 2015 the rate of affiliation to the pension system (total number of people who declared that they have contributed to a pension system in their lives) reached 80.3% of the total number of respondents of the Social Protection Survey (EPS). The gap between males and females exceeds 10 percentage points, the former reaching an enrollment rate of 85.3% while women only 75%. This gap, although still significant, It has shown a clear tendency to decrease with respect to the previous rounds of the survey, mainly due to the sustained increase in the enrollment rate of active women in the system, which had risen from 63.5% in 2006 to 69% in 2009. For both sexes, a maximum was observed in the percentage of affiliates in the age group of 35 to 49 years, reaching a rate of 87.6% (93.3% men and 82.0% women). In contrast, the youngest section, from 18 to 34 years, reaches only 74.1%, while the oldest, between 50 and 64 years, reaches a membership rate of 79.1%. With regard to marital status, the highest rate of affiliation is observed among "separated, divorced or annulled" individuals, with 88.4%, while the lowest rate is among those who at the time of the survey indicate being "single", with 74%. Finally, the enrollment rate tends to be increasing with respect to the educational level (from 59.2% among those who indicate not having education to 93.6% among those who attained a postgraduate degree) and the number of children (71.2% for individuals without children, 85.1% with 1 child, 86.5% with 2 children and 81.7% with 3 or more children) (Ministry of Labor and Social Security, 2015).

11 II. Legal and administrative framework protecting women and promoting gender equality in Chile a) International protocols and frameworks ratified by Chile in support of gender Equality, women’s empowerment and Human Rights

Chile has made great legislative advances towards equality and social inclusion. The international-level instruments with the highest relevance and which have applicability in the country are the Programme of Action of the International Conference on Population and Development (1994), the Beijing Declaration and Platform for Action (1995) and the “UN General Assembly Resolution” of 2011, on women’s political participation, which reinforces that “the active participation of women, on equal conditions than men, in all levels of decision-making is essential for achieving equality, sustainable development, peace and democracy. The country has also ratified

12 and/or signed many key international conventions and treaties on gender equality, women‘s empowerment and human rights (table 1).

Table 8. Human rights and gender equality instruments ratified in Chile

Ratification Status Human Rights/ Gender equality Signatur Ratification status of optional protocols Instrument Ratification e ILO convention Domestic Workers (No. 189) 2015 2015 International Convention for the Protection of all Persons from Enforced Disappearance, 2007 2009 2010 • The optional Protocol to the Convention on the Convention on the Rights of Persons with 2007 2008 Rights of Persons with Disabilities of 2008 was Disabilities, 2008 signed by Chile in 2007 and ratified in 2008. ILO convention on indigenous and tribal 2008 2008

peoples, 1989 International Convention on the Protection of the Rights of All Migrant Workers and 1993 2005 Members of their Families, 2003 Inter-American Convention on the Prevention, Punishment, and Eradication of 1994 1996 Violence against Women (Convention of Belém do Pará), 1994 • The optional Protocol to the Convention on the Rights of the Child on the involvement of children in armed conflict of 2002 was signed by Chile in 2001 and ratified in 2003.

• The optional Protocol to the Convention on the Rights of the Child on the sale of children, child Convention on the Rights of the Child, 1990 1990 1990 prostitution and child pornography of 2002 was signed by Chile in 2000 and ratified in 2003.

• The optional Protocol to the Convention on the Rights of the Child on a communications procedure of 2014 was signed by Chile in 2012 and ratified in 2015. Convention against Torture and Other Cruel, • The optional Protocol of 2006 was signed by Chile in Inhuman or Degrading Treatment or 1987 1988 2005 and ratified in 2008 Punishment, 1987 Convention on the Elimination of All Forms • The optional Protocol of 2000 was signed by Chile in of Discrimination against Women (CEDAW), 1980 1989 1999 but not ratified. 1981 International Covenant on Economic, Social 1969 1972 • The optional Protocol of 2013 was signed by Chile in and Cultural Rights, 1976 2009 but not ratified • The optional Protocol of 1976 ratified by Chile in International Covenant on Civil and Political 1969 1972 1992. The second Optional Protocol of 1991 signed Rights, 1976 by Chile in 2001, and ratified in 2008) International Convention on the Elimination 1966 1971 of All Forms of Racial Discrimination, 1969 Source: Status of ratification of International Human Rights Treaties, interactive dashboard. http://indicators.ohchr.org

b) National gender equality and women’s empowerment frameworks in Chile

At the national level, the State Constitution of Chile include the gender equality principles, in its article 19, number 2, that states “Equality before the Law (…) men and women are equal before the law”, (National Congress, 1980). Additionally, the Law No. 20,609/2012, establishes measures against discrimination and provides for in Article no.1, that every State administration-body, within their field of competition, will be responsible for creating and implementing policies destined to guaranteeing every individual, without arbitrary discrimination, the enjoyment

13 and exercise of their legitimate rights and freedoms recognized by the Political Constitution of the Republic, and international laws and treaties ratified by Chile which are currently in force” (National Congress, 2014). The national legal framework on gender equality integrates different reforms in the educational domain, the electoral system, the labour policies. It is also important to mention that the gender agenda for the period 2014 – 2017 promoted the gender approach in the design of a new Political Constitution, the National Investment System and the reform of the nursery regime for child-care services for workers, which will ensure the non-discrimination of female workers and will include co-responsibility in child-caring.

Table 9. National legal framework on gender equality in Chile

Publicatio Law/Act Contents n 20.840 2015 Replaces the binominal electoral system with one of an inclusive proportional nature, introduces quota rules in favor of women, with the aim of promoting their participation in the National Congress 20.820 2015 Creates the Ministry of Women and Gender Equality Modifies the working day, home-leave conditions and composition of the remuneration of domestic 20.786 2014 workers; prohibits of the requirement of uniform in public places Creates the Family Ethical Income for families of extreme poverty and the employment subsidy for 20.595 2012 women 20.609 2012 Measures against discrimination Typifies the crime of trafficking of children and adults and establishes norms for its prevention and 20.507 2011 for more effective criminal prosecution 20. 533 2011 Enables midwives to prescribe contraceptives 20.545 2011 Modifies the maternity protection standards and incorporation of paternal postnatal leave 20.480 2010 Modification of the Criminal Code and the Law on Domestic Violence 20.418 2010 Sets standards on information, guidance and benefits in the field of fertility regulation. 20.348 2009 Safeguards for the right to equality in remuneration between women and men 20.399 2009 Grants childcare nurseries for workers 20.255 2008 Pension reform to grant women a bonus for daughter and son born alive 20.166 2007 Extends the right of working mothers to breastfeed their children even when there is no nursery 20.005 2005 Typifies and establishes sanctions for sexual harassment Article 95 bis of the Labor 2003 Grants childcare nurseries for seasonal workers Code 19.591 1998 Modifies the labour code on maternity protection

Source: Ministry of Women and Gender Equality of Chile. https://www.minmujeryeg.cl/ministerio/reformas-legales/leyes-que-benefician-a- las-mujeres/

c) Institutional framework: National machinery for the advancement of women

Since its creation in 1991, the National Service for Women has succeeded in mainstreaming the gender perspective across all State institutions so that, in their activities, they take into account the differing needs of men and women, thereby promoting gender equality. However, the Service's capacity for independent action and its powers were limited by its administrative dependence on the Ministry of Social Development. That called for a new institutional framework for gender matters to bridge any persisting gaps, improve legislation and propose further measures to speed up the achievement of substantive equality in all areas covered by the Convention (CEDAW, 2016).

Against that backdrop, Act No. 20.820, creating the Ministry for Women and Gender Equity and amending legal provisions specified in the Act, was promulgated on 20 March 2015 (CEDAW, 2016). Law No. 20,280/2015, establishes in its article No.1, the Ministry’s responsibilities for the collaboration with the President of the Republic in the design, coordination and assessment of policies, plans and programs destined to “promote gender equality, equality of rights and ensure the removal of all types of arbitrary discrimination against women”. Likewise, this law defines that “gender equality considers the identical or differential treatment between men and women and results in a total absence of any mean of arbitrary discrimination against women for being such, with regard to the ability

14 of enjoyment and exercise of all their human rights” (National Congress, 2015). The Ministry of Women and Gender Equality is responsible for safeguarding the coordination, consistency and coherence of policies, plans and programs with regard to gender equality, which shall be incorporated in a cross-cutting manner to State actions.

Chile has also achieved significant progress in gender-sensitive public policies from the Management Improvement Programme (PMG) on Gender commitments, instrument aimed at supporting the gender mainstreaming processes within the Public Services. The Council of Ministers for Gender Equality was set up to promote the mainstreaming of gender equality in the ministries and services and provide relevant technical assistance, so that the gender perspective cuts across all State policies and activities (CEDAW, 2016). In this framework, the “Inter-ministerial Committee on Equal Rights and Gender Equality”, must collaborate in the implementation of policies, plans and programs focused on the equality of rights between women and men, incorporating the gender perspective in State actions. It is headed by the Minister of Women and Gender Equality and integrated by Ministers of the Interior and Public Security, of National defense, of Finance, Secretary General of the Presidency, Minister of Economy, Development and Tourism, of Social Development, of Education, of Justice, of Labor and Social Welfare, of Health, of Agriculture, of Housing and Urbanism, and of the National Council of Culture and Arts. Other ministers may be invited with the right to voice.

In 2014, the National Institute of Statistics established, within the National Statistics Commission, the Subcommission on Gender Statistics, in cooperation with the Ministry for Women and Gender Equity. That permanent Subcommission aims to provide information as a basis for high-impact public policies with a gender perspective (CEDAW, 2016). Concerning the institutional mechanisms of gender, the following advances in this matter are highlighted: a) 22 ministries with gender ministerial advisors (as of March 2018), b) 73 units, tables and gender commissions are in operation, c) 128 public services have gender managers, d) Fifteen regions have Regional Commissions on Gender Equity, e) Six ministries have established regional gender tables in their sector: Justice, Works Public, Health, Education, Agriculture and Social Development (Ministry of Women and Gender Equity, 2018b). d) National Policies, Plans and Programs on gender equality

In Chile, public policies related to gender equality has been developed from the 1990s until the current period, in the context of different post-dictatorship governments that sought to correct the inherited socio-economic model and improve the living conditions of the population. Several fundamental reforms aimed at guaranteeing women's rights can be outlined in this line:

- A Social Protection System based on rights was created in 2012 (law 20.595) during the second government of Michelle Bachelet, which aims to cover the most pressing needs of 60% of the poorest population. Within this scheme, the following subsystems are running: a) Child Protection Subsystem.13 the b) Subsystem of Securities and Opportunities for families in poverty and extreme poverty (that replaced the Chile Solidario program and the Ingreso Ético Familiar program); and c) the recently created Subsystem of Supports and Care that is oriented to people with special long-term care needs: elderly and dependent people, and their caregivers. However, the proportion of the budget allocated in 2018 to the three subsystems is very different: Subsystem of Securities and Opportunities (79.3%; Child Protection Subsystem: 17% and Subsystem of Supports and Care, 3.7%. According to some evaluations that have been made of these programmes, the coverage of these measures is insufficient for the existing demand. In spite of the fact that these measures allowed access to health and retirement benefits for the poorest population, at present there is no articulated system of care that coordinates the diverse existing policies of education, health and social security. It is important to highlight, however, the efforts to promote public, private and family co-responsibility, and the challenges that exist for the achievement of "de-feminization" of care, which faces deep cultural barriers (Arriagada y Miranda, 2019).

- At the local level, one of the main goals of the Ministry of Women and Gender Equality has been the strengthening and expansion of the Municipal Offices for Women and Gender Equity, with the aim of promoting equal

13 The three Subsystems are: Chile Crece Contigo, Seguridades y Oportunidades y Apoyos y Cuidados.

15 participation in local development policies. In the framework of a complementarity of actions with different local actors, the Fourth National Plan for Women’s and Men’s Equality 2018 – 2030 propose several measures to reinforce the alliances with Regional Governments and Local Government (municipalities) (Ministry of Women and Gender Equality, 2018a).14

- Since 2015, the Ministry of National Assets has organized discussion groups for women, particularly indigenous ones, in order to disseminate the benefits of the regularization of small real-estate holdings for women married under the regime of community of property. Article 37 of Decree-Law No. 2.695 governs such regularization and the establishment of respective titles of ownership, and provides that married women shall be considered subject to separation of property for all legal purposes related to the asset concerned by the regularization (CEDAW, 2016). - On the basis of its strategic principles for the period 2015-2018 and the intercultural approach cutting across its policies and programmes, the National Service for Women and Gender Equality, in cooperation with the Indigenous Affairs Unit of the Ministry of Social Development, held in 2014 four meetings with indigenous women with a view to the participatory identification of those women’s interests and needs and the formulation of a plan of action to address their rights (inter alia, their economic, sexual and political rights, and their right to a life free of violence) in accordance with their world view and culture. The Intersectoral Board on Mapuche Women, created in 2015,15 aims to promote intersectoral work addressing the gender inequalities faced by Mapuche Women in the Araucanía region (CEDAW, 2016).

14 The Fourth National Plan for Women’s and Men’s Equality 2018 – 2030 integrates objectives related to collectives and environmental rights such as: Guarantee the availability of water and its sustainable management and sanitation for all; Guarantee access to affordable, safe, sustainable and modern energy for all; Significantly reduce the number of deaths caused by disasters, including those related to water, and of people affected by them; Adopt urgent measures to combat climate change and its effects; Conserve and sustainably use oceans, seas and marine resources for sustainable development; Promote the sustainable use of terrestrial ecosystems, combat desertification, halt and reverse land degradation and curb the loss of biological diversity (Ministry of Women and Gender Equality, 2018).

15 Exempt resolution No. 265/IX REG approving the Framework Cooperation Agreement on the “Intersectoral Committee for Mapuche Women”. Temuco, 11 December 2015.

16 III. Gender Issues Around Forests and REDD+ National Strategy

Chile has progressed steadily in the strengthening of its environmental regulatory and operational framework (international, national and sectoral levels), which has led to the identification of the main local constraints and synergies for the implementation of the ENCCRV, which REDD+ integrates.

To achieve the results (2014 – 2016) gender was mainstreamed into activities undertaken on the bases of the enforcement of the related legal framework (see section above) and strengthened with the CONAF’s Unit for Gender equality (UIG), that was created in 2014 (Resolution No. 422 of September 15, 2014) in the framework of the National Women's Service recommendations for the Constitution of Gender Units by Sector to all State agencies, including CONAF (Official Letter No. 414, August 11, 2014). The objective of the UIG is to mainstream gender into all policies, plans and institutional programs of CONAF. The UIG participated also in the ENCCRV formulation process and currently participates in the Advisory Commission of the Minister for Equality of Opportunities between men and women, at the national level. At the regional level, the representatives of the UIG supports the implementation of the Commissions on Equal Opportunities (CRIO) work plan, aimed at proposing strategies for the detection and reduction of gender gaps that threaten the development options of social groups in the sector.

A central axis of the ENCCRV consists on mainstreaming the gender approach in all its phases: preparation, implementation and payment for results, in constant feedback from the continuous strengthening of the initiative (UCSSA, 2016). The objective of this approach is to address the necessary broad and equal inclusion interests, needs and proposals of women, thus assuring that benefits are equitable between men and women (ENCCRV, 2017).

Additionally, the gender mainstreaming strategy of the ENCCRV integrates a methodological perspective based on interculturality principles proposed by the UN "Guide for the Evaluation of Programs and Projects with a Gender Perspective, Human Rights and Interculturality", which contains guidelines to evaluate this process in the different phases of the ENCCRV (UCCSA, 2016).

The mainstreaming of the gender approach will be also evaluated through specific indicators included in the Framework of Social and Environmental Indicators applicable to the ENCCRV, that has considered adding indicators that allow monitoring and assessing the effectiveness of the measures adopted for the inclusion of women (UCSSA et al. 2017). a) Gender gaps within the target groups of the ENCCRV REDD+ actions

The REDD+ actions included in the ENCCRV strategy, will focus on a significant part of the national territory where exists a high concentration and diversity of forests, including temperate rain forests, in five of the fifteen administrative regions of Chile: Maule, Biobío, Araucanía, Los Ríos and Los Lagos. These regions represent 22% of the total area of the country and host 41% of the Native Forest, with representation of 11 of the 12 Forest Types defined at the national level (ENCCRV, 2017) .

In the national territory, these regions are those that have shown greater pressure on their forests due to the occurrence of forest fires, high demand for firewood, poverty and vulnerable population among others. The main causes of degradation are based on the need of small landowners to obtain regular income from the forest land they own, for which purpose they try to extract the greatest possible volume of high-value logs, as well as of fuel wood for their own consumption and for sale in the informal market. Another common practice is to allow livestock into the forest for feeding purposes, particularly during the winter season (for shelter in view of the low temperatures). These practices lead to the generation of highly fragmented forests where open areas are used for livestock breeding, thus hindering the regeneration process and foiling the possibilities of recovery of the forest cover. The subjacent causes of degradation are the poverty of the small landowners and their need to obtain a regular income from their lands (monthly income) (FCPF, 2012). The ENCCRV field activities will be focus on four main activities: afforestation-reforestation, related to the increase in inventories and will be registered with the tools

17 to estimate changes in land use, forest fire management to reduce emissions from degradation, forest restoration that promotes increased carbon (UCCSA, 2016).

According to the National Institute of Statistics (INE), the total population residing in these regions reaches 5.3 million people, with an average of 32 inhabitants per square kilometer, with Bíobío being the most densely populated region and Los Lagos having the lowest density population. From the beginning the ENCCRV will consider this subnational area and will include actions for different types of property (fiscal and private), not ruling out that later it will be extended to other regions of the country (ENCCRV, 2017). Indigenous organizations, small and large landowners are key stakeholders in the process of developing and implementing the actions.

Most of the local populations in the prioritized areas of the actions REDD+ of the ENCCRV live in rural zones and depend on forest resources, including a high use of firewood for domestic use in heating and cooking. Men and women have different dependency on the natural resources, being women more vulnerable when facing environmental issues or the consequences of climate change. According to the National survey CASEN (2015), in some regions the percentage of individuals living in rural areas is higher than those living in urban ones, especially in Maule, Araucanía and Los Lagos (Figure 9). It should be noted that, due to the lack of educational and employment opportunities, especially among the younger population, these are regions with high rural migration to urban areas (ENCCRV, 2017).

Figure 9. Percentage of individuals living in urban and rural areas

100 87,3 80

60 43,8 40 25 24,3 23,6 18,6 17,5 16,8 15,4 12,7 20 6,48,6 0 Maule Bíobío Araucanía Los Ríos Los Lagos National

Urban Rural

Source: Ministry of Social Development, National Socioeconomic Survey (CASEN), 2015.

Concerning the working opportunities existing in these territories, the National Employment Survey (ENE), 2019) shows that women labour force participation rate is below, in all regions covered by the actions REDD+ of the ENCCRV, the national average rate (49,3%). Women’s labour force participation is higher in Los Ríos (48.4%) and lower in Bíobío (44.7%) (National Employment Survey (ENE), 2019).16

Figure 10. Percentage of individuals participating in the labor force, by gender

16 At the national level, the participation rate is 59.6%, in which 70.2% correspond to men and 49.3% corresponds to women. According to the National Employment Survey (ENE), 2019.

100

71,2 68,6 68,7 69,8 70,2 80 63,9 47,8 48,4 49,3 60 47,3 44,7 45,7 40 20 0 Maule Bíobío Araucanía Los Ríos Los Lagos National

Male Female

Source: National Employment Survey (ENE), 2019.

In addition, according to the National Employment Survey (ENE) men are those who perform the main economic activities related to forests and natural resources, having more access than women to employment in the formal sectors of agriculture, livestock, forestry and fishing (figure 1). The highest percentage of women working in this type of employment is in the Maule region (29.86%) and the lowest percentage is in the Bíobío region (16.5%).

Figure 11. Percentage of Employed agriculture, livestock, forestry and fishing, by gender

100 83,5 81,57 75,18 80 70,14 72,04 72,67 60 40 29,86 27,96 27,33 24,82 16,5 18,43 20

0 Maule Bíobío Araucanía Los Ríos Los National Lagos

Male Female

Source: ODEPA, Employment regional mobile quarter Jan - Mar 2019

In these regions, women use and make the most of the different services that forests provide, both in order to obtain food that assures livelihood and/or for small-scale trading, which, occasionally shifts to being a significant family income, e.g. medicinal herb gathering, harvesting of non-timber forest products such as fruits, fungi and others, production of handcrafts, beekeeping promotion, dye gathering, tree nurseries, etc. In case of men, there is a historical productive relation with forests and vegetation resources in general, but it is all mainly associated to timber harvesting through their own products for livelihood, from firewood gathering for heating to large-scale trading. The previous examples are traditional manifestations and relations of both genders with vegetation resources; however, generational changes are reflected in, e.g. the fact that the activities which were traditionally performed by women are now assumed by men, meaning that men now have a positive valuation of the activities

19 considered for women, which were usually not valued with the importance they have always had, among others that have allowed –for generations- assuring women’s feed and diversity at a family level.

The education levels for men and women in the area comprised between Maule and Los Lagos also show some gender gaps, in particular concerning the average years of schooling in those regions. According to the results of the CASEN 2015, Maule, Araucanía and Los Lagos regions have lowest average years of schooling (9.74, 9.97 and 9.77 respectively) than the national average (10.99). Concerning the percentage of students enrolled in regular education, no large gender gaps are observed (INE, 2014-2016) (table 1).

Table 10. Students enrolled in regular education by gender and region

Year 2014 2015 2016 Female Region Number Male (%) Female (%) Number Male (%) Female (%) Number Male (%) (%) Maule 262.480 49,89 50,11 264.115 49,92 50,08 266.608 49,88 50,12

Bíobío 580.172 50,12 49,88 583.152 50,02 49,98 579.756 49,99 50,01

Araucanía 258.865 49,71 50,29 259.369 49,62 50,38 262.262 49,42 50,58

Los Ríos 101.247 50,34 49,66 101.159 50,46 49,54 102.281 50,41 49,59 Los 223.934 49,41 50,59 226.442 49,33 50,67 226.652 49,21 50,79 Lagos National 4.756.731 50,42 49,58 4.781.526 50,45 49,55 4.797.967 50,36 49,64 Total Source from 2014 to 2016: Statistical compendium, National Statistics Institute (INE).

It should be also noted that these regions show high levels of illiteracy, in comparison with the national level (3,1%), being the rate in rural sectors notably higher (7.8%) (CASEN, 2015). In the regions of Araucanía, Los Lagos and Los Ríos, where there is also a high percentage of indigenous population, clear gender gap exists in illiteracy rates (Figure 2).

Figure 12. Percentage of 15 years or more people who can not read or write by gender

10 8 6,5 6,2 6 5,6 5,3 6 4,44,3 4,8 4,1 3,9 3,3 4 3 2 0 Maule Bíobío Araucanía Los Ríos Los National Lagos

Male Female

Source: Ministry of Social Development, National Socioeconomic Survey (CASEN), 2015.

In other hand, according to the National Socioeconomic Characterization Survey (CASEN) of 2013,17 the regions of Araucanía (32.0%), Los Lagos (24.8%) and Bíobío (5.2%) concentrate the indigenous population living in the ENCCRV REDD+ foot print area (the lowest concentration is located in Maule, with 2.0% of a national total of 9.1%) (ENCCRV, 2017). Of these percentages, 16.09% corresponds to Mapuche women in Araucanía, 12.81% corresponds to Mapuche women in Los Lagos, and 11.81% corresponds to Mapuche women in Los Ríos (INE, 2018). According to the information provided by CASEN 2015, the Araucanía region reports the highest

17 Available in http://observatorio.ministeriodesarrollosocial.gob.cl/documentos/Casen2013_Pueblos_Indigenas_13mar15_publicacion.pdf

20 percentage of indigenous people in condition of poverty (33.9%) and the largest gap between indigenous an not indigenous people, with a difference of 15.1 percentage points.

Figure 13. Percentage of individuals in condition of poverty, by indigenous condition

33,9 40 27,9 30 22,2 23,4 21,3 18,6 17 18,8 15 14,4 20 8,89,2 10 0

Male Female

Source: Ministry of Social Development, National Socioeconomic Survey (CASEN), 2015.

In general, the access to benefits, funding or incentives related to forests and vegetation resources seems hindered for the most vulnerable population when they do not have the legal regularization of their property’s ownership. In Chilean rurality, most of the area is owned by men, which is complemented by the fact that -in terms of access to bank credits or instruments in general- women own a lower percentage of lands, since by not being their formal proprietor, they do not have access to bank instruments (ENCCRV, 2017). It is common for properties managed by women not to be regularized since generally, they have been acquired through inheritance18 or marriage (having become widowed or separated), among other less common cases, but which do not allow them to have legal control over their real property. Not withstanding the foregoing, it is worth noting that in Chile women have the same rights to inheritance than men. Based on the results of the seventh national agricultural and forestry census (2007), the figures for land tenure in monopredial farms show that only 31.76% belonged to female leaders. Regarding the percentages of agricultural and forestry farms, 23% had female heads. This shows that there is a high gender gap with respect to land rights and exploitation, where women are at a clear disadvantage compared to men.

Under the ENCCRV, Chile has designed a specific list of Action Measures that addresses land tenure through adjustments in order to include owners with poor legal security of tenure on the land. This measure considers two procedures: (i) Adjustments to current legislation and regulation including an analysis of the different conditions of improper documentation, and the design of the regulatory modifications that will enable the inclusion of an improperly documented owner into the ENCCRV. A technical legislation feasibility analysis has been carried out, and an amendment process will be carried out at the corresponding bodies. There are international experiences with regard to this type of measure, which will be examined to assess their potential ratification to the Chilean case. (ii) Targeted program for the rectification of ownership titles. Forest owners from communities prioritized by the ENCCRV, who are in an improperly documented situation regarding the ownership title for the property, and who intend to join any of the management, forestation and / or restoration programs associated with ENCCRV will receive free legal support to rectify the situation, as part of the technical assistance provided by CONAF. This support for the owner will be conditional to specific technical requirements and criteria that will be defined for the

18 Generally, inheritances take time to regularize, as a consequence of formalities, costs and/or because it is difficult for heirs to reach agreements.

21 Strategy, so that the permanence and continuity of the owners' commitment to mitigation actions can be assured, once the land tenure has been sorted out (UCCSA, 2016). b) ENCCRV frameworks and policies supporting gender equality and women’s empowerment

The ENCCRV considered a number of Strategic Activities and Action Measures, which as well as providing a contribution in fulfilling the international environmental commitments, include adjustments to the main national legislative bodies or frameworks concerning forestry matters. The focus of the ENCCRV is based on compliance with the international agreements adopted by Chile with the UNFCCC, the UNCCD and the CBD, as well as contributing to compliance with the SDGs, which is supported as a State policy. At country level, a series of treaties, plans, inventories and activities have been set up that have been fundamental pillars prior to the implementation of REDD+.

In the national context the formulation of the ENCCRV is directly aligned with the four strategic axes and the goals set out in the Forest Policy 2015-2035, approved in 2016, which correspond to: Forest Institutionality; productivity and economic growth; Equity and social inclusion; and Protection and restoration of forest heritage. The Forest Policy 2015-2035 recognizes the extraction, processing and commercialization of non-wood forest products as activities with strong gender component and includes goals for 2015, 2020 and 2025 aimed at supporting regional associations of producers. It recognizes the forest sector with a high degree of heterogeneity, presenting gender gaps in decent work and it also foresees the implementation of training programs and continuous technical- professional training (MINAGRI, 2015).

In addition, the ENCCRV is aligned with the National Action Plan on Climate Change (PANCC) II (2017-2022) and the National Action Plan on Climate Change (PANCC) I (2008-2012). The National Action Plan on Climate Change (PANCC) II (2017-2022) include a specific Line of Action (N° 21), concerning the Education and awareness strategy to address climate change, that is expected to identify the connections between the gender and change agendas climate change, as well as the analysis of other socio-cultural aspects, in order to integrate both approaches in the implementation of all the associated actions in exchange climate change, initiating this task through the creation of capacities generated by the education and awareness (Ministry for the Environment, 2017).19 It should be noted that CONAF, with other governmental institutions, was actively involved and worked at the inter-ministerial level to launch the National Climate Change Action Plan from 2012 to 2014 and has directly participated in two sectoral plans "Plan for Climate Change Adaptation for Biodiversity" and " Plan for Climate Change Adaptation for the Agroforestry Sector" (MINAGRI, 2017).

The formulation of the ENCCRV has been developed in accordance with national legislations that support the implementation of strategies to promote the development and wellbeing of the country’s indigenous peoples.. Additionally, there are regulations in force which establish the consultation procedures in accordance with the provisions of ILO Convention No.169, making Supreme Decree No.66 the instrument that regulates the Indigenous Consultation Procedure by virtue of Article 6 No.1, letter A, and No.2 of the Convention. The legal framework with which the ENCCRV is directly aligned also includes:

- The Indigenous Law N ° 19.253, which established norms on protection, promotion and development of indigenous people, and created the CONADI, this Law grants "(...) the duty to society in general and the State in particular to respect, protect and promote the development of indigenous peoples, their cultures, families and communities, adopting appropriate measures for such purposes and protecting indigenous lands, ensuring their proper exploitation, for its ecological balance and tend to its expansion " (Article 1) (MINAGRI, 2017).

- The Law No. 20,249 that created and protects the coastal marine space of the Indigenous Peoples, expressly establishes in its article 3 ° "Create the coastal marine space of native peoples, whose objective will be to safeguard the customary use of said spaces, in order to maintain the traditions and the use of natural resources

19 Ministry for the Environment (2017), National Action Plan on Climate Change (PANCC) II (2017-2022).

22 by communities linked to the coastal edge ". It also establishes the scope of the delimitation, administration, access and use of the spaces, with a clear procedure to require their recognition before the State (MINAGRI, 2017).

- The Decree No. 66/2013 of the Ministry of Social Development, which regulated the procedure for Indigenous Consultation under Article 6 No. 1 and No. 2 of ILO Convention No. 169, which aims to "(...) give execution of the right of consultation to indigenous peoples "through a procedure established in said regulation. In this case, since the ENCCRV is a public policy and not a legislative or administrative measure, but rather a national development plan or program, an indigenous consultation process is not relevant in this matter, but rather a process of "Participation". Indigenous ", understood in the case of national regulations (Figure 9). However, the provisions of Article N ° 7 are considered that "(...) said peoples must participate in the formulation, application and evaluation of national and regional development plans and programs that may directly affect them". premises that involve traditional lifestyles relevant to the conservation and sustainable use of biological diversity and will promote their broader application, with the approval and participation of those who possess such knowledge, innovations and practices, and will encourage the benefits derived from use of that knowledge, innovations and practices are shared equitably " (MINAGRI, 2017).

On other non-binding agreements considered in the matter, areLaw No. 19.300, on General Bases of the Environment and Regulation of the SEIA, which in its article 4, referring to the participation citizen, urges the organs of the State in several aspects, in facilitating the process of participating to the citizenship, allowing the access of environmental information and "(...) put forth for the adequate conservation, development and strengthening of the identity, languages, institutions and social and cultural traditions of indigenous peoples, communities and individuals ", among other aspects (MINAGRI, 2017).

c) National REDD+ strategy design from a gender approach

During the formulation and validation stage of the ENCCRV and its SESA, a widespread participative process was conducted in all regions of the country, which sought through the multi-stakeholder, multi-sector and multi-level criteria- to incorporate the opinions and proposals of all sectors of society, particularly focusing on women, indigenous peoples, and vulnerable communities in general.

The Participatory Process as a methodological base for mainstreaming the gender approach

This participative process included the organization of 15 Regional Workshops for the Participatory Formulation of the ENCCRV (SESA workshops) in all regions of the country, with small-, medium- and large-sized producers, social organizations (Neighbourhood Councils, Drinking Water Committees, Farmers Trade Associations, amongst others), associations and groups made up of the public, universities and educational centres, companies, Non Governmental Organisations (NGOs), government authorities and local governments, etc. The first pilot workshop was held on July 26th, 2013 and the remaining workshops were held during 2015 and 2016. From the methodology used in the Regional Workshops it was possible to draft the Map of Regional Stakeholders. Additionally, a national workshop, based on 10 Focus Groups, was organized with relevant stakeholders or groups of interest on march 2016 (UCCSA et al., 2017).

Since the participatory process developed had as objective to obtain inputs for the design of the guidelines and the validation of the ENCCRV and the SESA, the early participation of women was assured establishing that beyond being part of the process participation, the ideas, visions and proposals that this arise should be present in a cross-section in the ENCCRV and its projects, ensuring benefits and respecting women's rights, as key actors of this public policy (UCCSA et al., 2017). The document of the ENCCRV, after submitting to the final adjustments, obtained the approval sanction at the national and international level at the end of 2016, with the participation of different State services, Non-Governmental Organizations (NGO) associated with the forestry-agricultural and livestock sectors. of the country, as well as the different international agencies linked to the ENCCRV, such as:

23 UN-REDD Program (FAO, UNDP and UN-Environment), World Bank, the Swiss Government through the Swiss Agency for Development and Cooperation (SDC), among others (CONAF, 2018).

Table 11. Participative process for the formulation of the ENCCRV

Formulatio Attendee Indigenou n Process Women’s Women s s peoples Gender considerations of the participation (%) (N°) (%) ENCCRV

As part of the gender approach • There was special attention to identify the mainstreaming necessary quantity of women representatives in the Regional process, a minimum Regional Map of key stakeholders. Workshops percentage of • In order to facilitate women participation, logistic for the women attendance measures were taken, such as allowing and Participator of 30% was facilitating assistance for women caring for minors; y determined. 37% 9% 1.266 having female facilitators for the focus groups, and Formulation when necessary, incorporating intercultural of the The regional interpreters. ENCCRV workshops reached (SESA the minimum • A specific FG named “Women Organizations”, workshops) attendance required, including the participation of women leaders from with 31.2% women different organizations and small entrepreneurs and 68.8% men. related to forests and vegetation

The National Workshop included the participation of: The National • 29 women (v/s 88 men) from Indigenous peoples Workshop was • 73 representatives of Women’s Organizations National conducted with the • 13 women from small and medium-size landowners Workshop attendance of 125 (v/s 155 men)127 women from Indigenous, small for key parties and medium-sized women landowners (v/s 6 Men) Integration belonging to the 15

of the regions of Chile. Participator • The“Institutional Sector” and “Nongovernment 125 31% 8% y A participation of Organizations” FGs accounted for the greatest Formulation 36.3% of women presence of women. On the contrary, the “Private Process of with regard to the Sector”, “Consultants and Extension Agents” and the total national-level “Academy” FGs were the ones with the least ENCCRV attendants was percentage of women participation. achieved. • Women belonging to towns indigenous peoples, peasants and the rural grouped in a GF called "Women Indigenous, Small and Medium Owners.

Source: Prepared by the author based on: Corporación Nacional Forestal (CONAF) (2018 b), Primer Resumen de Información sobre el Abordaje, Respeto y Cumplimiento de las Salvaguardas para la Formulación de la Estrategia Nacional de Cambio Climático y Recursos Vegetacionales (ENCCRV) de Chile. Período del reporte 2013-2017. Santiago. Chile.

Table 12. Summary of the ENCCRV validation participative process

Validation Indigenous Process of Attendees Women Women’s participation peoples Gender considerations the (N°) (%) (%) ENCCRV

The Process for Dialogue • To tackle this Process of Dialogue and Dialogue and Participation of the and Indigenous People taking Participation of the Indigenous People, Indigenous into account the 987 CONAF's UAIS designed a document that 1.813 Participation engagement with ILO 48% communities considers the methodological aspects that

in the Convention No. 169. properly articulate and organize the progress ENCCRV of the process to meet the objectives thereof, Included the execution of a ensuring the quality of inputs to obtain and the total of 88 activities in 10 good faith that supports this national process regions of Chile with

24 presence of rural (UCCSA, 2016). In general terms, the continental indigenous summons of the Indigenous People includes: peoples, between June and September, 2016. • National Councillors of the National

Indigenous Development Corporation 1.813 participants 48% women (CONADI acronym in Spanish), Indigenous 987 indigenous Communities, indigenous Associations and organizations Traditional authorities, persons, mentors and/or representatives of other kinds of indigenous organizations that are involved in the ENCCRV.

• According to information from CONADI, amongst the Indigenous Communities and Associations there is a total number, nationally, of 5,056 bodies. Intercultural facilitators were available in working groups with indigenous peoples, including interpretation in the native language of those present (UCCSA, 2016).

This virtual consultation • The general aim of this process consisted in was conducted between Public 42% raising awareness of the ENCCRV and to June and September, Consultation 506 41% regional consult the public about central issues 2016, with a participation of the participation of a total of 506 associated with the implemented of its Action ENCCRV individuals, out of which Measures (UCCSA, 2016). 41% were women.

This instance included two • Process via which groups of Stakeholders who macro zone workshops have attended other ENCCRV participation (north and south zones) and an institutional expert processes, which included the public, workshop. The total specialists in various technical matters and Self- attendance accounted for representatives of public institutions, rated the assessment 74 31% 8% 74 key stakeholders - way in which the ENCCRV covers various

which had previously topics of interest such as its governance, land participated in other ownership, carbon accounting, participation participatory instances-, processes, co-benefits, amongst other out of which 35% were women.20 ENCCRV aspects (UCCSA, 2016).

Source: Prepared by the author based on: UCCSA et. al (2017), Mainstreaming of the Gender Approach in Chile’s National Strategy on Climate Change and Vegetation Resources (ENCCRV), Informative Note N° 08, ENCCRV, UCCSA, GEDEFF), CONAF, Chilean Ministry of Agriculture; UCCSA (2016), Readiness Package for the Forest Carbon Partnership Facility Within the Framework of the National Strategy for Climate Change and Vegetation Resources, Climate Change and Environmental Services, Unit Management Office on Forest Support and Development, CONAF, Santiago de Chile) ; CONAF (2018), First Summary of Information on the Approach, Respect and Compliance of the Safeguards for the Formulation of the ENCCRV of Chile. (2013-2017), Santiago, Chile.

The processes of formulation, public consultation, participation and indigenous dialogue and the self-assessment of the ENCCRV seeked the creation and strengthening of capacities, both in the potential beneficiaries and / or affected with this initiative, as the institution responsible for its implementation to ensure adequate management

20 The self-assessment was based on a requirement established by the Forest Carbon Partnership Facility (FCPF) with the aim of measuring the progress made in the preparation stage of the ENCCRV.

25 of the risks and socio-environmental impacts that may be generated. It is important to highlight the high level of participation of Indigenous communities, notably those from the region La Araucania.

Table 13. National Participation disaggregated by gender and region in the Indigenous Dialogue and Participation Process.

Region Women Men Total N° % N° % N° Biobio 94 49,7 95 50,3 189 La Araucania 405 45,4 487 54,6 892 Los Rios 77 42,5 104 57,5 181 Los Lagos 37 46,8 42 53,2 79

TOTAL (national) 874 48,2 939 51,8 1.813 Source: UCCSA et al. (2017), Mainstreaming of the Gender Approach in Chile’s National Strategy on Climate Change and Vegetation Resources (ENCCRV), Informative Note N° 08, ENCCRV. Climate Change and Environmental Services Unit (UCCSA), Forest Development and Promotion Management Department (GEDEFF), National Forestry Corporation (CONAF), Chilean Ministry of Agriculture, Santiago

Inputs obtained from the women FGs and ENCCRV response

Women’s proposals during the participatory process were multiple and diverse, and were used for the formulation of the ENCCRV’s SESA, particularly for defining the benefits likely to be generated with the implementation of the activities contemplated within the ENCCRV. The participative workshops performed for the ENCCRV’s formulation phase, allowed to recognize and gather the beliefs and perceptions of both genders, where women’s prevailing focus was on community-based benefits with inter-generational inclusion (children, adults and the elderly). 21 This was conducted with a solid background in environmental education as the tool for raising awareness in new generations -in terms of the conservation of vegetation resources and climate change- in order to protect and assure the services derived from forests and other vegetation resources. In contrast, men’s perspective was mainly focused on sustainability of vegetation resources and the sustainable development of forests within a productivity perspective, where technical training should be primarily focused on forestry, and farming and livestock development. The main inputs obtained from women’s proposals during the participatory process are presented in the table 14.

21 For more information on the participative workshops of the ENNCRV’s formulation phase, go to: http://www.conaf.cl/nuestros-bosques/bosques-en- chile/cambio-climatico/enccrv/

26 Table 14. Women’s proposals during the participatory process and ENCCRV response

Women’s concerns Women’s proposals

• Cross-cutting environmental education. • Training of technicians for covering local needs. • Creation of studies for visualizing the effects or impacts on flora and fauna. • Regulation of agricultural soil land-use change. Environmental education as a central axis for • Transparency in the allocation of state resources. promoting any change in the behavior of • Revaluation of local and ancestral knowledge. individuals and communities for the benefit of the conservation and sustainable use of natural • Public policies focused on the reality of the territory. heritage. • Better opportunities for young people, therefore reducing migration from rural areas. • For activities to be executed in collaboration with local organizations. • For communities to have a cross-cutting participation policy. • That the engaged stakeholders are better trained ethically and technically.

ENCCRV response : The ENCCRV answers this proposal by incorporating within its cross-cutting action measures the Environmental Education and Dissemination Program (Measure MT.6). This action measure proposes interventions between different stakeholders linked to forests, for different education levels, and seeks to benefit more than 8,000 people by 2020.

• Efficient management of water resources • Monitoring and control of land and water pollution • Generating commitments between different society stakeholders The availability, rights and regulation of the • Supervising poaching use, maintenance and care of water courses • Promoting cultural exchange instances for knowledge feedback among different communities, thus maintaining the knowledge of their ancestors and regional identity • Reforestation and training programs in forests and/or xerophytic formations

ENCCRV response : The ENCCRV incorporates a facilitating action measure named Adaptation Program for managing vegetation resources within the framework of climate change, desertification, land degradation and drought (Measure GA.1). In its objective, it states that “CONAF, as Chile’s focal point before the UNFCCC’s REDD+ approach and before the UNCCD, will coordinate the implementation of an Adaptation Program for managing vegetation resources, which will generate inputs that are relevant to the design and execution of afforestation, revegetation, restoration and sustainable forest management programs of the ENCCRV.

• On-site visits that are permanent, programmed and with extended hours The need of a greater institutional presence in • Improving and sharing CONAF’s existing information and communication the territory often came up, along with further channels, such as the OIRS and others assistance, service and accompaniment for • Participatory workshops with different stakeholders in regional instances, with landowners particularly for smaller landowners- dissemination of the obtained results , greater supervision, strengthening of communication and joint efforts between • Easy-access web contact with permanent updates services and the community • Briefings at a communal and local level • Existence of local and municipal office

ENCCRV response : New programs that will necessarily imply a greater presence of services in the territory in coordination with communities, among which are: Strengthening the forest and environmental supervision program (Measure MT.7), Strengthening the Communities Prepared Against Forest Fires Program (Measure IF.4), and the Adaptation Program for managing vegetation resources within the framework of climate change, desertification, land degradation and drought (Measure GA.1)

It is also worth noting that the participatory processes and mainstreaming of the gender approach do not ended with the final version of the ENCCRV in terms of an official document, but are rather understood as a continuous improvement process that continues with operational work in the areas of development of pilot projects; subsequently, with the full implementation of each action measure, the application of the Environmental and Social Management Framework (ESMF) –which includes all of the mitigation measures for the risks and impacts identified

27 in SESA, the creation of the Social and Environmental Indicators’ Framework; the implementation of the Complaints and Suggestions Mechanism; the Safeguard Information System (SIS), the Benefit-Sharing System (SDB), among others.

The participative formulation process, as well as other consultation instances for the ENCCRV (Dialogue and Indigenous Participation in the ENCCRV, Public Consultation of the ENCCRV, Self-Assessment) (table 13) were integrated synergistically via the Plan for the Implementation of Social and Environmental Safeguards for Public and Indigenous Consultation and Self assessment.22 All the inputs from the Regional Workshops and the National Workshop, as well as its standardization and analysis were used for the development of the Strategic Environmental and Social Assessment (SESA) of the ENCCRV and its Management Framework (UCCSA, 2016). d) Gender in the ENCCRV REDD+ Governance

Chile has taken steps in REDD+ implementation to ensure equitable representation of women, within the ENCCRV REDD+ governance, and to develop Institutional mechanisms/arrangements for gender equality and gender mainstreaming.

At the national level, to advance equality of opportunities and gender equity, the Ministry of Agriculture (MINAGRI) has implemented the Advisory Commission of the Minister for Equality of Opportunities between men and women, whose function is advice the MINAGRI on matters related to equality of opportunities and gender equity in the Silvicultural sector. The Advisory Commission on Equal Opportunities of the MINAGRI was created on March 22, 1999 by Decree No. 180 of the General Comptroller's Office of the Republic. In this framework, the MINAGRI has assumed several engagements on gender equality (Ministry of Agriculture of Chile, 2017).23

• Increase the participation of women in the forestry and agricultural sector, in Programs to support the development of the sector, in all the Services and Institutions of the Ministry. • Development of human capital and productive capacities of women in the forestry and agricultural sector, to face gender barriers. • Strengthen the capacities of organized women linked to the forestry and agricultural sector, in the field of production, management and leadership. • Increase the regularization of property titles for the benefit of silvicultural owners through the delivery of clear and timely information regarding the procedure. • Promote the correct use and management of agrochemicals in the activities / occupations of agro-industry that mainly affects the health of seasonal agricultural women. • Carry out activities or actions within the MINAGRI, its associated Services and Organizations that favor equal opportunities for men and women, as well as other Ministries, with the aim of implementing a gender approach in the provision of their goods and ministerial services Inform rural women or the forestry and agricultural sector about their Sexual and Reproductive Rights. • Promote, inform and disseminate the prevention of all violence against rural women, in the countryside and in the forestry and agricultural sector.

Within MINAGRI, the institution responsible for the design, implementation, follow-up and monitoring of the ENCCRV (including the ESMF) nationally and regionally is CONAF, through the Climate Change and Environmental Services Unit (UCCSA), with the support of the Unit of Indigenous and Social Affairs (UAIS) and the Unit for Gender Equality (UIG). Therefore the gender expertise for promoting gender mainstreaming within the ENCCRV implementation are sited in the UIG. The UIG includes one representative at national level and one representative from each technical and administrative management unit of CONAF (GEFA, GEDEP, GEDEFF,

22 http://www.conaf.cl/cms/editorweb/ENCCRV/PLAN-SALVAGUARDAS-ENCCRV.pdf 23 Ministry of Agriculture of Chile (2017), Gender Commitments of the Ministry of Agriculture of Chile: 2017: https://www.odepa.gob.cl/wp- content/uploads/2016/03/Compromisos-Ministeriales-de-Ge%CC%81nero-en-Agricultura.pdf

28 GEF, GASP, GPRIF, legal department). It also integrates by 15 regional representatives of the UIG. The national manager of the UIG is charged of supporting the development of the National Gender Plan; the coordination of the Regional Gender Units, being also responsible for the following-up of the implementation of the National Management Improvement Program (PMG) on Gender Equity. On annual bases, a training workshop on the mechanisms for promoting gender mainstreaming is delivered to the core team (15 Regional representatives of the UIG and the representative at national level). An example of the activities undertaken by the UIG can be consulted in http://www.conaf.cl/quienes-somos/equidad-de-genero/productos-y-programas/.

Table 15. Mechanisms promoting gender mainstreaming within the institutional arrangements for the ENCCRV implementation

National level Regional Level Governanc Institutional mechanisms Institutional mechanism e Structure Objectives/measures and/or arrangements s and/or arrangements Objectives/measures on for the on gender promoting gender promoting gender gender mainstreaming ENCCRV mainstreaming mainstreaming mainstreaming

Advisory Commission of the Minister for Equality The CIO provides of Opportunities advice to the Minister between men and of Agriculture on women (CIO,). matters related to

equality of The CRIOs integrate women Different Institutions opportunities and public officials from INIA, INDAP, dependents of the gender equity in the CONAF, SAG, etc. At the MINAGRI, are Silvicultural sector, regional level is headed by the represented in this generating and 15 Regional Commissions SEREMI of Agriculture. Commission: CIREN, proposing strategies on Equal Opportunities CNR, CONAF, INDAP, for detection and (CRIO), headed by the The CRIO aims to propose MINAGRI INIA, FIA, FUCOA, reduction of barriers respective SEREMI (CIO, strategies for the detection and ODEPA, SAG, INFOR, and gender gaps or 2012). reduction of gender gaps that Sub-secretariat of others, that threaten threaten the development Agriculture, and the options of options of social groups in the Cabinet of the development of the sector.24 Minister. This most vulnerable social Commission has an groups in the Sector Executive Secretariat (CIO, 2012). that coordinates its

activities and

represents it (CIO, 2012).

The council includes The Council has an This advisory body of some regional actors. organizational structur The Council has established, the Ministry of e that integrates within the third strategic axis of Agriculture is chaired 4 full members of the different sectors: the the 2015-2035 Forestry Policy by the executive Council (for the period public sector (Inclusion and social equity), director of CONAF. organizations, the 2018-2021) are women: some objectives and measures

business sector, the National Director of related to the reduction of gender The Council is Council for workers organizations, the Office of Agrarian gaps and the promotion of the X integrated by 16 full Policy NGOs, academics, Studies and Policies, decent work, in the forestry members and 16 Forestry indigenous peoples, (ODEPA), the Dean of the sector (MINAGRI, 2015, p. 42- alternate members. rural actors, scientific Faculty of Forest 49).

institutions and Sciences and Nature The council is charged organizations of small Conservation, (University with promoting and medium forest of Chile,) the Associate advances in the law of owners. member of the Society of forest fires, measures Ecology of Chile, to restore the areas (SOCECOL). 1 alternate

24 For more information see the Protocol of cooperation agreement between the Ministry of Agriculture, its undersecretary, its dependent services and other entities, related to the National Advisory Commission of Opportunities of the Ministry of Agriculture (Santiago, July 14, 2017). Legal Advice Service/Sub-Secretariat of Agriculture, Ministry of Agriculture of the Government of Chile. http://transparencia.minagri.gob.cl/descargas/2017/convenios/Resoluci%C3%B3n%20Exenta%20N%C2%B0%20329.pdf

29 National level Regional Level Governanc Institutional mechanisms Institutional mechanism e Structure Objectives/measures and/or arrangements s and/or arrangements Objectives/measures on for the on gender promoting gender promoting gender gender mainstreaming ENCCRV mainstreaming mainstreaming mainstreaming affected by the member is woman for the firestorm of 2017, and same period: the General a law of forest Manager of the Chilean development that will Wood Corporation address the (CORMA).25 In 2015 3 full challenges posed by member and 3 alternate climate change. It members were women does not constitute an (MINAGRI, 2015, p. 61). Institutional mechanis m or arrangement promoting specifically gender mainstreaming within the ENCCRV.

Unit for Gender equality (UIG) (Advisory unit of the Executive Secretariat of CONAF) The UIG participated in the

The objective of the ENCCRV formulation process.

UIG is to mainstream The functions of the gender into all The regional representatives of UIG are: to policies, plans and the UIG supports the incorporate gender institutional programs implementation of the CRIO work equity in the of CONAF. plan, in accordance with the institutional culture The UIG participates ministerial gender objectives. and written/visual in the Advisory language used by Commission of the During 2014-2015 the UIG has CONAF servants; to Minister for Equality of implemented annual meetings coordinate actions Opportunities between with its Regional representatives, aimed to achieve the men and women 15 Regional and training activities in order to gender representatives of the UIG initiate its servants on gender mainstreaming into the The UIG includes one (that are not exclusively approach. management of representative at dedicated to address CONAF, in line with national level and one gender issues in their The challenges of the UIG are: UIG the Gender Agenda, representative from regions). To increase the participation of CONAF the Ministerial each technical and all CONAF servants in the e- Commitments and administrative The regional learning gender training course; the cross-cutting management unit of representative of the UIG to enhance headquarters as indicators of the CONAF (GEFA, provides advice to the Administrator of parks and framework program of GEDEP, GEDEFF, SEREMI of Agriculture on programs, heads of departments CONAF; to promote GEF, GASP, GPRIF, gender issues. and provinces, in the concepts of and support training legal department). gender; to carry out projects, activities and research Nevertheless, these works and reports, including the actions with a focus on representatives are gender perspective, visualizing gender equity; to not exclusively the language and images of incorporate and dedicated to work on gender in the Institutional monitor the gender issues within Dissemination; to improve formulation of Annual their units.It also internal management and good National and Regional integrates 15 Regional practices, through gender Gender Programs, representatives of the analysis diagnostics. including its budget. UIG.

The national manager of the UIG is charged with supporting the development of the National Gender Plan;

25 http://www.conaf.cl/wp-content/files_mf/1540998468INTEGRANTESCONSEJODEPOL%C3%8DTICAFORESTAL20182021.pdf

30 National level Regional Level Governanc Institutional mechanisms Institutional mechanism e Structure Objectives/measures and/or arrangements s and/or arrangements Objectives/measures on for the on gender promoting gender promoting gender gender mainstreaming ENCCRV mainstreaming mainstreaming mainstreaming the coordination of the Regional Gender Units, being also responsible for the following-up of the implementation of the National Management Improvement Program (PMG) on Gender Equity, the design and implementation of the work plan of the CIO of the Ministry of Agriculture.

The Unit has Regional Representatives for Indigenous and Indigenous and Social The UAIS participated in the Social Affairs Unit Affairs, permanent ENCCRV formulation process.

(UAIS) professionals within The UAIS, in Advisory unit of the CONAF whose main role The UAIS, in coordination with coordination with the Executive Secretariat is to link Regional UCCSA and the regional UCCSA will be of CONAF. Management with the implementation teams shall see responsible for the UAIS UAIS and CONAF’s that the social and environmental diffusion and CONAF The UAIS provides regional offices. safeguards are properly applied consultation of technical support to These representatives through the fulfillment of what is projects and the the Executive are not exclusively established in the ESMF herein, ENCCRV’s direct Direction of CONAF dedicated to work on including the compliance of its management action on Indigenous and Indigenous and Social national legal framework, mainly measures (CONAF, Social rights issues . Affairs within their units concerning the rights of 2017). (except in the Region of indigenous peoples.(CONAF, Araucania). 2017).

The UCCSA has the following main roles

Analyzing and categorizing the Action Climate Change and Measures and The UCCSA has the following Environmental determining the main roles: Services Unit instruments and/or (UCCSA) Regional coordinators in procedures to be Providing technical support in the 15 administrative developed that derive environmental matters to Within the Forest regions of the country, from the analysis, CONAF’s Regional Teams which Development and that, within CONAF, in complying with the will implement the Action Promotion general in the Department procedures of the Measures at a local level; Management of Forest Development, UCCSA herein ESMF; Assuring the monitoring of the (GEDEFF), UCCSA is also have the function of CONAF Creating supporting Indigenous Engagement Plans directly responsible for being Climate Change material for the (PPIs), Involuntary Resettlement the management, Coordinators. application of the Plans (PRIs), Procedural execution and safeguards, such as Standards (NdPs) and the supervision of projects categorization forms, adaptation plans, if necessary; conducted within the guides and the Reporting, from regional level, ENCCRV’s minimum content for the follow-up of the safeguards implementation each environmental fulfillment. framework. and social

management

instrument; Performing regular assessments of fulfillment of safeguards for Action Measures through

31 National level Regional Level Governanc Institutional mechanisms Institutional mechanism e Structure Objectives/measures and/or arrangements s and/or arrangements Objectives/measures on for the on gender promoting gender promoting gender gender mainstreaming ENCCRV mainstreaming mainstreaming mainstreaming tenders, providing feedback and recommendations for all of the necessary cases. This shall include the identification from the information generated on-site during the execution, from the possible regulation loopholes or gaps that may arise and the proposal for its amendment or correction.

Source: Equal Opportunities Commission (CIO) (2012), Gender and public policies: advances and impacts of gender equity policies for women in the forestry and agricultural sector, MINAGRI, Santiago, Chile. e) Gender considerations in the national REDD+ safeguards

The COP 19 established methodological guidelines for developing countries to demonstrate compliance with the social and environmental safeguards in the implementation of REDD+, with three requirements to access payments based on results:

• REDD+ activities, regardless of the source and type of funding, are implemented in a manner consistent with the safeguards adopted by COP 16 (Cancun safeguards) • Countries should develop a Safeguards Information System (SIS) to provide information on how they are addressing and respecting the Cancun safeguards.26 • Countries must provide a summary of the information on how they are addressing and respecting all the Cancun safeguards during the deployment of the REDD+ activities, i.e. they must “report”.

The application of the UNFCCC REDD+ safeguards requires adapting them to the reality of each country, taking into account national and regional context, and aligning them with existing policies and national REDD+ actions The safeguards are measures, directives, guidelines and regulations that enable the prevention, mitigation and minimization of socio-environmental risks and the non-infringement of rights in the implementation of projects, in addition to the maximization of profit (CONAF, 2015). CONAF has considered the incorporation of the social and environmental safeguards throughout all the phases of the Strategy. To adequately follow this rule, the UCCSA has an “Implementation Plan for the Environmental and Social Safeguards for the ENCCRV”, developed and carried out by the Indigenous Affairs Unit of CONAF. The gender approach has been raised in different ways throughout the ENCCRV (table 16).

26 The mainstreaming of the gender approach will be evaluated through specific indicators included in the Framework of Social and Environmental Indicators applicable to the ENCCRV, which is currently in the development stage, being able to monitor the real performance in relation to this topic.

32 Table 16. Gender considerations in the national REDD+ safeguards

Compliance with Measure for addressing the safeguard/Gender and/or participative National interpretation Cancun safeguards approach

The ENCCRV is based on compliance with international agreements adopted by Chile with the UNFCCC, the UNCCD and the CBD, as well as contributing to Complementarity/compa compliance with the SDGs, which is supported as a State policy valid for one tibility of the ENCCRV’s year 2025.

action measures with That actions complement the objectives of the The ENCCRV currently responds to the guidelines associated with REDD + of or are consistent with the national forestry and the UNFCCC (Cancun safeguards), World Bank Operational Policies and other objectives of national environmental guidelines emanating, for example, from the UN-REDD Program, among others forest programmes and programs, and with the (CONAF, 2018b), and the current national legislation. relevant international international agreements conventions and related to forest and The Environmental and Social Management Framework (ESMF): management agreements vegetational resources instrument that establishes the protocols and procedures to be followed to avoid, ratified by Chile. mitigate, reverse and / or compensate eventual adverse socio-environmental risks and impacts, and maximize the potential benefits associated with the implementation of the measures of action of the ENCCRV, in order to ensure the protection of the safeguards applicable to the initiative.

Following Principle 10 of the Rio Declaration on Environment and Development, at the national level, everyone should have adequate access to information about the environment available to public authorities. In terms of transparency and access to public information on forest governance structures, there are several participatory structures: Forest Policy Council (CPF), the CIO, the CRIOs, etc. CONAF has also the Comprehensive Information and Citizen Attention System (SIAC), which provides various spaces for attention to the requirements of citizens, among which are the Information Offices, Claims and Suggestions (OIRS).

The Observatory of Climate Commitments was launched on December 5, 2017 In the different phases as a tool to monitor national progress in these matters, an instance in which the contemplated by the ENCCRV is included, given its key role in achieving the forest goals contained in ENCCRV, the the NDC. The public WEB site of this initiative is available at: http: Transparent and effective transparency and //www.compromisosclimaticos. cl. national forest effectiveness of the governance structures, national forest and The Observatory of Climate Commitments was launched on December 5, 2017 taking into account environmental as a tool to monitor national progress in these matters, an instance in which the national legislation and governance structures ENCCRV is included, given its key role in achieving the forest goals contained in sovereignty are promoted, taking the NDC. The public WEB site of this initiative is available at: http: into account the //www.compromisosclimaticos. cl / legislation and national In this area, the State of Chile has the following internet sites to facilitate sovereignty compliance with the Law: National interpretation, approach, respect and compliance with safeguards -

- Office of Information, Claims and Suggestions (OIRS), in each of the State institutions, with the purpose of assisting citizens in their right to submit petitions, suggestions or complaints to public institutions. Currently, they exist in all services, including CONAF, with the objective of complying with Law No. 20,285. instance so that citizens can register their claims and suggestions related to the implementation of the action measures of the ENCCRV (http://oirs.conaf.cl/).

- Website of the ENCCRV (https://www.enccrv.cl/)

- CONAF website (http://www.conaf.cl/)

Respect for the The ENCCRV protects - The participative process in the formulation and validation of the ENCCRV was knowledge and rights of the respect of the carried out in the terms established in the Law No. 20.500 on Associations and indigenous peoples and knowledge and rights of Citizen Participation in Public Management and, Article 7 of Convention No. 169 members of local indigenous peoples and of the ILO and OP 4.10 of the World Bank for the case of the Peoples Indigenous communities, by taking members of local people, among other normative pillars of legal order that support the full, into account relevant communities, complying effective and transparent participation of the civil society. international obligations, with international national circumstances obligations ratified by The most relevant technical inputs that were used to give technical content to the and laws, and noting that Chile and the various instances of participation and validation, correspond among others: the United Nations circumstances and

33 General Assembly has national legislation, - Identification and prioritization of causes of deforestation, devegetation and adopted the United considering the General degradation of vegetational resources and associated problems to increase their Nations Declaration on Assembly of the United coverage and quality, which was used as a basis for the design of action the Rights of Indigenous Nations has approved measures of the ENCCRV. Within the framework of the ENCCRV it was decided Peoples. the United Nations to include not only forests, but also xerophytic, wetland and bofedal formations, Declaration on the taking into account the national scope of this initiative and the environmental and Rights of Indigenous social relevance assigned to these resources in the various instances of Peoples, which has dialogue. been ratified by Chile - The Plan for the Implementation of Social and Environmental Safeguards provided the country's guidelines in terms of citizen participation and indigenous participation to address the safeguards of Cancún. The Safeguards Plan was made operational through the participatory process developed between 2015 and the beginning of 2016, in the 15 regions of the country plus a national workshop. It should be noted that this process was piloted in 2013 in the city of Temuco, La Araucanía Region, with the support of social and communication experts from the World Bank. The Safeguards Plan It allowed guiding an orderly, systematic and methodologically s process to generate inputs that contributed to the formulation of the Strategic Environmental and Social Assessment (SESA, acronym in English) and the Environmental and Social Management Framework (ESMF).

- It is not anticipated that the ENCCRV REDD+ activities Program will have any negative impacts on in areas containing sites deemed physical cultural resources (PCR). The existence of any such sites in areas affected by the ENCCRV will trigger provisions included in the ESMF on how to address preservation of known PCR sites, especially in areas inhabited by indigenous communities

Methodological design of the participatory process for the formulation and validation of the ENCCRV. Para la formulación y validación de la ENCCRV

participaron representantes de 8 pueblos indígenas. As part of the readiness

phase, indigenous peoples participated in most of the 16 Regional and National

Workshops performed as part of the SESA process, which included a total of

more than 1,300 people. Also an Indigenous People National Dialogue was

carried out during 2016, with 1813 IP participants in 90 workshops. Through the

SESA, Indigenous Peoples assessed the risks and benefits of the proposed The full and effective REDD+ strategic options from their own perspective and contextual realities, participation of relevant providing also suggestions for potential mitigation measures (CONAF, 2017). stakeholders, in particular indigenous peoples and - Strategic Environmental and Social Assessment (SESA): this input was local communities, in the prepared on the basis on the participatory process. 44 approved environmental actions referred to in and social risks were identified, which incorporated considerations on those paragraphs 70 and 72 of issues, in order to ensure the sustainable implementation of the action measures 1/CP.16. The full and effective of the ENCCRV. During the SESA, risks for the national cultural heritage linked participation of to the implementation of some action measures were identified. stakeholders,

particularly indigenous - Environmental and Social Management Framework (ESMF): management peoples and local instrument that establishes the protocols and procedures to be followed to avoid, communities, in the mitigate, reverse and / or compensate eventual adverse socio-environmental planning, design, risks and impacts, and maximize the potential benefits associated with the implementation and implementation of the measures of action of the ENCCRV, in order to ensure the monitoring of the action protection of the safeguards applicable to the initiative. The ESMF includes a measures of the (preliminary) Indigenous Peoples Planning Framework (IPPF). It should be noted ENCCRV. that It is not expected that ENCCRV measures will result in the displacement of

peoples. The IPPF will serve a guidance for preparing site-specific Indigenous

Peoples Plans (IPPs) during the implementation of the ER Program under the

principle of free, prior and informed consultationTo address this kind of impacts,

a Process Framework (PF) is being prepared as part of the draft ESMF,

including instruments to be applied, such as Plans for Indigenous Peoples and

the specific models developed by Chile for its South and North Macrozones,

which have been incorporated as ESMF instruments.

- The ESA and The ESMF include several operational instruments as well as

prevention and/or mitigation measures to address environmental and social

risks. These measures include screening checklists (to determine potential

impacts), negative lists (to exclude certain activities that are considered high-

impact), and procedures to determine the need for development of site-specific assessments and safeguard instruments.

34 - CONAF’s Indigenous and Social Affairs Unit (UAIS) supported the Participatory Process. En total, para la formulación y validación de la ENCCRV se contó con los aportes de 3.784 actores claves representados en los distintos sectores de la sociedad. Lo anterior, constituye un reto para los Servicios del Estado en la construcción de una política pública inclusiva y participativa.

Actions that allow to face the risks of reversion that could be generated with the Actions to address the implementation of the risks of reversals. ENCCRV, as well as those that could affect the planned results, ensuring the permanence of the reduction of emissions

Actions that prevent the territorial mobility of Actions to reduce activities that generate displacement of GHG emissions

emissions. associated with deforestation and forest degradation

Source: Prepared by the author based on: UCCSA, GEDEFF, CONAF (2017), Mainstreaming of the Gender Approach in Chile’s National Strategy on Climate Change and Vegetation Resources (ENCCRV), Informative Note N° 08, ENCCRV. Climate Change and Environmental Services Unit (UCCSA), Forest Development and Promotion Management Department (GEDEFF), National Forestry Corporation (CONAF), Chilean Ministry of Agriculture; National Forest Corporation (CONAF) (2017), Environmental and Social Management Framework for the REDD actions of the ENCCRV, Climate Change and Environmental Services Unit (UCCSA), Forest Development and Promotion Management (GEDEFF), National Forestry Corporation (CONAF); National Forest Corporation (CONAF) (2015), Mid-Term Review (MTR) Chile, Request for Additional Funds Forest Carbon Partnership Facility (FCPF), Development Management and Forestry Development (GEDEFF), Climate Change and Environmental Services Unit (UCCSA).

35 IV. Conclusions and recommendations

Chile is currently in the second phase of implementing policy reforms and REDD+ pilots and transitioning towards the third phase of performance-based payments. During this third phase, the ENCCRV REDD+ policies and activities will be fully implemented in 5 regions of the country. This gender analysis acts as an entry point for gender mainstreaming throughout design and implementation of the ENCCRV. The results and findings of the gender analysis has also informed and guided the development of a Gender Action Plan.

The need of Environmental education: The Measure MT.6 of the ENCCRV includes the Environmental Education and Dissemination Program that seeks to benefit more than 8,000 people by 2020.

The availability, rights and regulation of the use, maintenance and care of water courses: The ENCCRV incorporates a facilitating action measure named Adaptation Program for managing vegetation resources within the framework of climate change, desertification, land degradation and drought (Measure GA.1), which will generate inputs that are relevant to the design and execution of afforestation, revegetation, restoration and sustainable forest management programs of the ENCCRV.

The need of a greater institutional presence in the territory and further assistance, service and accompaniment for landowners particularly for smaller landowners: Different programs will imply a greater presence of services in the territory in coordination with communities, among which are: - Strengthening the forest and environmental supervision program (Measure MT.7). - Strengthening the Communities Prepared Against Forest Fires Program (Measure IF.4). - Adaptation Program for managing vegetation resources within the framework of climate change, desertification, land degradation and drought (Measure GA.1).

Effective gender integration in these programmes depend on whether initial gender and territorial analysis is done, whether it is applied to the projects, and whether gender it is reflected in all relevant

36 projects components. Additionally, the commitment of project teams to achieving gender equality results and to reporting them, including disseminating gender related lessons learned, is critical.

The following recommendations can help ensure women and indigenous benefit from REDD+:

Establish gender baseline data for targeted ENCCRV’s groups

Ensuring gender sensitive in REDD+ processes will require additional efforts related to the establishment of a national and sub-national baseline, through a gender analysis, for all the programmes that will be implemented by the ENCCRV. Until now, some forestry initiatives are being determined without adequate gender disaggregated data. Therefore, the collection of gender disaggregated data should be a mandatory contribution to available national and local-level databases.

A gender analysis should ideally been carried out in the beginning of REDD+ actions in order to : a) summarize the key characteristics of the target groups (in terms of assets, livelihood activities, how they are involved in project theme and outcomes) and their priority needs ; b) identify the potential for gender-based risks and adverse impacts throughout the project’s implementation (particularly in the design stage) so that they can develop plans to mitigate these impacts.

Gender capacity building will be indispensable to generate Gender-specific data collection, that may include specific forestry data (employment, income, market information), land data (ownership, rights, use) and forest use data (non-cash income, medicinal value, cultural use). As gender roles interact with other relationships (intersectional approach) such as ethnicity, culture, class, religion, income, education, age, disability, and/or other status – and that these relationships change over time – gender analysis should therefore be cautious not to treat women and men as homogenous groups. Following these guidelines, the ENCCRV should continue reinforcing the integration of gender and social-cultural inclusion considerations, based on a Human’s Rights approach.

Strengthening gender equality in local and national planning processes

At CONAF’s institutional level, a work methodology that safeguards gender equality mainstreaming and interculturality is starting to be implemented by different measures:

Challenges involved in this process are related to the availability of a gender expertise, both at national and sub national level, within the UIG, the UCCSA and the UAIS teams (whose are responsible for the diffusion, consultation of projects and the ENCCRV’s direct management action measures). The UIG includes one representative at national level (from each technical and administrative management unit of CONAF) and 15 Regional representatives. The UAIS and the UCCSA have also representatives in all the 15 administrative regions of the country. Nevertheless these representatives are not exclusively dedicated to work on gender issues within their units. It would be necessary to increase the participation of all CONAF servants in gender training courses; to enhance regional headquarters as Administrator of parks and programs, heads of departments and provinces, in the concepts of gender; to carry out projects, works and reports, including the gender perspective, visualizing the language and images of gender in the institutional dissemination; to improve internal management and good practices, through gender analysis diagnostics. A clear identification of roles and responsibilities -among the UIG, the UCCSA and the UAIS- of implementing and monitoring the gender action plan, must be established.

It is also important to mention the efforts that have been made through the development of territorial management instruments with an eco-cultural approach (Andean Intercultural Environmental Model (MAIA), Mapuche Intercultural Forest Model, MOFIM) and other participation measures carried out to include indigenous demands in the ECCRV (Dialogue and Participation Process with Indigenous Peoples developed in 2016, characterization of the actors involved the firewood supply chain within

37 the Wood Energy Strategy). Additionally, other instruments are used to increase and regulate the participation of these groups: the Guidelines on the Free, Prior and Informed Consent of the UN- REDD Program and the Program and the Project Evaluation Guide with a gender, human rights and intercultural perspective of UN- Women, that is oriented towards professionals who implement or manage programs and projects in which human rights, gender equality and interculturality are included transversely, among other tools.

Despite the availability of these frameworks, supporting gender training and capacity building at all levels is fundamental to ensure a shift in conceptual thinking in terms of appreciation of gender issues and in terms of overall project design and conceptualization of impacts. Some policy gaps to gender mainstreaming in the forestry sector are: inadequate understanding and lack of clarity on the concepts of gender and gender mainstreaming; limited attention by policy makers to the heterogeneity of communities, including gender, class, ethnicity and other socio-cultural aspects, so different subgroups are often overlooked despite their unique contributions and characteristics, different levels of capacities, skills, expertise and motivations for mainstreaming gender among members of gender working groups limits their ability to fulfill their assigned duties and responsibilities ; the absence of gender-disaggregated data.

Challenges involved in this effort are related to the availability of gender expertise within the ENCCRV REDD + institutional arrangements, as well as with the availability of gender specialists in local decision instances, the need of improving knowledge and defining mandates and roles on gender issues among regional representatives of UIG, UCCSA and UAIS, the coordination between agencies; the need, at sub-national level to achieve a greater link between forest development and gender equality policies and projects.

Ensure the effective participation of women through reducing gender gaps

One of the main challenges while implementing Chile’s REDD+ processes will be to empower women through recognition, assimilation, capacity-building and leadership for ensuring gender consideration into REDD+ actions (beyond the misconception that gender refers to merely the inclusion or targeting of women in projects, beyond the establishment of the social and environmental safeguards). Efforts need to be done to more comprehensively explore the ways in which men and women interact and differ with regard to the national REDD + implementation in their respective sites, and incorporate such dimensions into national efforts on REDD +. Gender analyses need to be prioritized in the ENCCRV design and implementation to better understand gender and socially differentiated interests, behavior, involvement, constraints and opportunities.

Supporting the effective participation of women within the ENCCRV’s implementation requires an enabling environment, capacity building and the implementation of appropriate systems of engagement. In order to ensure the meaningful participation of women, it will be necessary to consider, throughout all the ENCCRV's programs and projects, the practical and strategic needs of women (access to water, workload, food, health services/access to land ownership, decent work, education, decision making, public policy). In this framework, using a methodology allowing the establishment of gender-responsive baselines and the assessment of gender-differentiated impacts of value chain development, among smallholders and other resource-poor groups involved in value chains, is recommended.27 The collaboration with local women’s and indigenous organizations28 in capacity building project (that is part of the approach that will guide the execution of ENCCRV’s programmes), could be reinforced. A community based pilot project on this topic, could up-scale CONAF’s gender tools and methodologies, to other regions.

27 See: Food and Agriculture Organization (FAO) (2015), Developing Gender-sensitive Value Chains Guidelines for Practitioners, Santiago de Chile, Food & Agriculture Organization.. 28 National Councilors of the National Indigenous Development Corporation (CONADI acronym in Spanish), Indigenous Communities, indigenous Associations and Traditional authorities, persons, mentors and/or representatives of other kinds of indigenous organizations that are involved in the ENCCRV.

The ENCCRV actions include changes and improvements in operational practices of afforestation, restoration and sustainable management, promoting associations among communities vulnerable to climate change and also fostering inter-institutional work, with the inclusion of the private sector. In order to enhance the effective participation of women in National REDD + strategy, the ENCCRV has taken into account specific measures:

- With regards to the type of landowners that will be eligible to receive benefits, "small forest owners" will be prioritized. Equally, those beneficiaries classified as "medium owners" will be considered. The prioritization considers aspects of environmental, economic, and social vulnerability to be specified at regional level, taking into account aspects such as gender, presence of indigenous peoples and vulnerable population.

- Small forest owners include “agricultural communities” according to the law 5/1968, the indigenous communities regulated by law 19.253/1993; the “communities on common goods resulting from the Agrarian Reform process”; “rain fed companies” formed according to article 1° of the decree 2.247/1978, and the companies referred to in article 6 of the law 19.118/1992 provided that, at least, 60% of the social capital of such companies is held by the original partners or people that have the quality of small forest owners, as certified by the Agricultural and Livestock Service.

- Aspects related to land tenure, such as the requirements established by law to regularize property titles over land or the relevance of customary law, certainly cover a relevant function, although it is intended that those persons/groups that do not hold tenure rights might also be included in the category of beneficiaries.

-CONAF will promote the participation of women in forest governance structures such as the Regional Committee on Climate Change (CORECC), that will lead a multi-stakeholder engagement process at the subnational level. They are constituted by the public sector, academia, NGOs and the private sector depending on the region, the figure below shows the relationships between the institutions.

- The funds allocation within each region will allow the definition of eligible areas, taking into consideration aspects of environmental, economic and social vulnerability. Among the criteria for the allocation of resources, the benefit-sharing distribution plan will take into account aspects of gender, the presence of indigenous peoples and vulnerable populations, to ensure positive social and environmental impacts.

Other recommendations that result from the gender assessment are :

• Diagnose on land tenure problems by gender and gender gaps on natural resource management and land management programs. Currently, land tenure ownership data is only available at the national level (not disaggregated at sub-national level). • Incorporate into the information systems and sub-systems, data disaggregated by sex on agro-forestry development: production, sustainable resource management, environmental protection, industrialization, commercialization, caring responsibilities, social protection, etc. • Strengthen the gender capacities of women’s and indigenous organization. • Strengthen and promote the integration of women in the discussion and community. decision on the legalization of land in economic solutions related to afforestation, train men and women promoters and leaders with a gender vision with equal opportunities to participate in community forestry development and social risks such as violence against women. • Facilitate women's access to resources: credit technology training technical assistance inputs and implements in order to influence: the strengthening of their organizational capacity; the development and strengthening of their self-esteem; the resolution of the problems it faces in the use and management of the conservation of natural resources; The generation and increase of incomes.

39 • Raise awareness among women and men about the problems of deforestation and rational management of natural resources with a gender approach. • Incorporate the concept of production systems in which the tree and its derivatives are one of the fundamental elements in the training and practice of forestry technicians

40 V. Biblography

− Angelsen, A., Brockhaus M., Kanninen M., Sills E., Sunderlin W.D., Wertz-Kanounnikoff S., et (eds.). (2010) The implementation of REDD +: national strategy and policy options. Center for International Forestry Research (CIFOR). https://doi.org/10.17528/cifor/003178. − Arriagada, Irma and Miranda, Francisca (to be published in 2019), The social organization of Care in Chile, en: Araujo, Nadya, Hirata, Helena (eds.), Care and care workers. A Latin American perspective. Springer Eds., Switzerland. − CEDAW (2016), Consideration of reports submitted by States parties under article 18 of the Convention, Seventh periodic report of States parties due in 2016 (CEDAW/C/CH/7). − ENCCRV (2017), Environmental and Social Management Framework for the REDD actions of the ENCCRV, Climate Change and Environmental Services Unit (UCCSA), Forest Development and Promotion Management (GEDEFF), National Forestry Corporation (CONAF), Santiago. − Equal Opportunities Commission (CIO) (2012), Gender and public policies: advances and impacts of gender equity policies for women in the forestry and agricultural sector, MINAGRI of Chile. − Food and Agriculture Organization of the United Nations (FAO) (2017), Guidelines for the assessment of gender mainstreaming, Food and Agriculture Organization of the United Nations Office of Evaluation (OED), Rome. − Forest Carbon Partnership Facility (FCPF) (2012), The Forest Carbon Partnership Facility (FCPF) (R-PIN) Template, January 06, 2012, Country submitting the R-PIN: CHILE Date submitted: 06-10-2011 − National Institute of Statistics (INE) (2019), National Employment Survey (ENE) 2019, National Institute of Statistics (INE), Santiago, Chile. − National Institute of Statistics (INE) (2014), Vital Statistics. INE’s 2014 Yearbook, National Institute of Statistics Santiago. − National Institute of Statistics (INE) (2015), Statistical Compendium, National Statistics Institute of Chile, Santiago. − National Institute of Statistics (INE) (2015b). Time Use Survey 2015. www.ine.cl. − National Institute of Statistics (INE) (2016) Document with the main results of the Time Use Survey, ENUT 2015. Department of social Studies of the INE, Santiago de Chile. − National Institute of Statistics (INE) (2018), Gender radiography of original peoples in Chile 2017, National Institute of Statistics (INE), Santiago. − Ministry of Health (MINSAL) (2016), Department of Health Statistics and Information (DEIS). Ministry of Health of Chile. − Ministry of Health (2014), National Food Consumption Survey, School of Nutrition Public Health, Faculty of Economy and Business, University of Chile, Santiago. − Ministry of Agriculture of Chile (MINAGRI) (2015), Forest Policy 2015-2035, Ministry of Agriculture of the gouvernement of Chile. − Ministry of Agriculture of Chile (MINAGRI) (2017), Gender Commitments of the Ministry of Agriculture of Chile: 2017. https://www.odepa.gob.cl/wp- content/uploads/2016/03/Compromisos-Ministeriales-de-Ge%CC%81nero-en-Agricultura.pdf − Ministry of Labor and Social Security (2015), Social Protection Survey (EPS) 2015: A look at social protection in Chile, Sub secretariat of Social Security, Directorate of Pension Studies, Pension Observatory. − Ministry of Social Development (2017a), Poverty Situation Summary of Results CASEN 2006-2017, Ministry of Social Development, CASEN Survey, − Ministry of Social Development (2017b), Gender equality, Ministry of Social Development Sub secretariat of Social Evaluation, Santiago Chile, March 7, 2017. − Ministry of Social Development (2016), Expanding the look on the poverty and inequality CASEN 2015, Ministry of Social Development Sub secretariat of Social Evaluation, Santiago Chile, September 22, 2016.

41 − Ministry of Social Development, National Socioeconomic Survey (CASEN), 2015. 2003, 2006, 2014, 2015, 2017. www.ministeriodesarrollosocial.gob.cl − Ministry for the Environment (2017), National Action Plan on Climate Change (PANCC) II (2017-2022). − Ministry of Women and Gender Equality of Chile (2018a), Fourth National Plan for Women’s and Men’s Equality 2018 – 2030, Ministry of Women and Gender Equality, Santiago. − Ministry of Women and Gender Equality of Chile (2018b), Ministry of Women and Gender Equality of Chile. Presidential message. − Ministry of Women and Gender Equity (2017), Rural women in chile: systematization of some elements, Division of Studies and Training in Gender, Ministry of Women and Gender Equity, Santiago, Chile. − National Forest Corporation (CONAF) (2018a), System of Measurement and Monitoring of the National Strategy of Climate Change and Vegetational Resources, Santiago. Chile. − National Forest Corporation (CONAF) (2018b), First Summary of Information on the Approach, Respect and Compliance of Safeguards for the Formulation of the National Strategy on Climate Change and Vegetational Resources of Chile (ENCCRV). 2013-2017, Santiago. − National Forest Corporation (CONAF) (2017), Environmental and Social Management Framework for the REDD actions of the ENCCRV, Climate Change and Environmental Services Unit (UCCSA), Forest Development and Promotion Management (GEDEFF), National Forestry Corporation (CONAF). − National Forest Corporation (CONAF) (2015), Mid-Term Review (MTR) Chile, Request for Additional Funds Forest Carbon Partnership Facility (FCPF), Development Management and Forestry Development (GEDEFF), Climate Change and Environmental Services Unit (UCCSA). − UCCSA (2016), Readiness Package for the Forest Carbon Partnership Facility Within the Framework of the National Strategy for Climate Change and Vegetation Resources, Climate Change and Environmental Services Unit Management Office on Forest Support and Development National Forestry Corporation (CONAF) Santiago de Chile). − UCCSA, GEDEFF, CONAF (2017), Mainstreaming of the Gender Approach in Chile’s National Strategy on Climate Change and Vegetation Resources (ENCCRV), Informative Note N° 08, ENCCRV. Climate Change and Environmental Services Unit (UCCSA), Forest Development and Promotion Management Department (GEDEFF), National Forestry Corporation (CONAF), Chilean Ministry of Agriculture; − Sub-secretariat of Agriculture (2017), Protocol of cooperation agreement between the Ministry of Agriculture, its undersecretary, its dependent services and other entities related to the National Advisory Commission of Opportunities of the Ministry of Agriculture (Santiago, July 14, 2017), Legal Advice Service/Sub Secretary of Agriculture, Ministry of Agriculture of the Government of Chile.http://transparencia.minagri.gob.cl/descargas/2017/convenios/Resoluci%C3%B3n%20 Exenta%20N%C2%B0%20329.pdf − UN Women, GCF (2017), Mainstreaming Gender in Green Climate Fund Projects. A practical manual to support the integration of gender equality in climate change interventions and climate finance, The Green Climate Fund (GCF), Republic of Korea.

Part II: Gender Action Plan

ENCCRV Action Measures indicators Gender Indicators and targets Timeline Responsibilities

Impact Statement

Supporting the effective participation of women within the ENCCRV’s implementation and empower women through recognition, assimilation, capacity-building and leadership for ensuring gender consideration into REDD+ actions.

Outcome Statement: Results statement

In the framework of the integration of the gender approach within the ENCCRV, in capacity building activities related to implement the maintenance of restored, afforestation, and restoration areas after forest fires with stakeholders, equitably and meaningfully involve and target women, men and youth from communities. Design all consultations and training associated with this activity to encourage women’s active involvement.

As per the Gender Assessment, in the traditional manifestations and relations of both genders with vegetation resources, women use the different services that forests provide, to obtain: medicinal herb gathering, harvesting of non-timber forest products such as fruits, fungi and others, production of handcrafts, beekeeping promotion, dye gathering, tree nurseries, etc. In case of men, it is mainly associated to timber harvesting, firewood gathering for heating to large-scale trading. The project will promote that actions that will be implemented will ensure that women can derive value from the forestry activities that they use to do.

Gender indicators have also been defined with regard to the ENCCRV action measures that include education/training and audit activities (MT.6, MT.7, respectively) and the ENCCRV action measures related to afforestation, restoration, soil management and preventive forestry activities, which will be implemented directly in the territory (, MT.4, MT.5, IF.2, IF.3, US.1, US.3). The indicators are related to the integration of the gender approach in all the cycle planning of ENCCRV projects (gender-sensitive programming, gender responsive project results framework). Other indicators focus on the reduction of gender gaps in the territories concerned by the ENCCRV.

Objective Gender-responsive Gender indicators Responsible Years Budget (USD) actions Institutions/ Individuals 1 2 3 4 5 6 Preparation Baseline: 0 Indicators: % or of projects that Output 1 Gender-responsive have conducted gender analysis Implementation actions: during project preparation. CONAF: the institution and investment Target: One pilot project designed responsible for the 1.1 Prepare to fully integrate gender concerns. design, implementation of methodologies for the GAP, through the: developing projects with Baseline: 0 - Climate Change and gender analysis. Indicators: % or of projects that Environmental 761.402 have incorporated gender Services Unit 1.2 Review the effective responsive project cycle framework (UCCSA), incorporation of the (e.g. gender responsive objectives, - The support of the gender approach in output, outcome, indicator, budget, Unit of Indigenous project design. monitoring and evaluation, etc.). and Social Affairs Target: 40 % of project designs fully (UAIS) 1.3 Develop criteria for integrate gender concerns (pilot - The Unit for Gender the selection of projects projects). Equality (UIG). that favor the

1 incorporation of direct Baseline: 0 FAO: monitoring and beneficiary women. Indicator: % or # of project activities oversight the that are designed to allow women performance of the GAP derive value from the forest. through: Target: 30% - Project Coordinator, - Lead Technical Implementation Baseline: 0 Officer and Indicator: % or of women - Project Task Force Afforestation and participation in the activities and revegetation program outputs associated with these (MT.4) projects. Strengthening the Target: 40% of people who are ecological restoration involved in activities and outputs program (MT.5) associated with these projects are Program of restoration women. after forest fires (IF2) Preventive forestry Baseline: 0 program with emphasis Indicator: % or # of the outreach on rural urban interface activities and outputs associated (IF.3) with these projects are designed Forest management taking into account women’s and program. Arrangement indigenous people use of wood and and comprehensive forest. management of the Target: 100% of the outreach native forest in buildings activities and outputs associated or groups of buildings with these projects are designed that incorporate multiple taking into account women’s and forestry activities (US.1) indigenous people’s use of wood Strengthening the wood and forest. 22.130.747 energy program (US.3) Baseline: 0 Gender-responsive Indicator: % or # of project activities actions reports that use an inclusive and 1.1 Ensure the gender language in its mid-term and participation of women final reports. beneficiaries, including Target: 60% of the mid-term and indigenous women, in final project reports use an inclusive the development of and gender language, as defined by projects. the inclusive and gender language 1.2 Monitor during the guidelines of the MINAGRI. implementation of the project the fulfillment of the gender actions considered in the design stage (supervision and reports, with gender and inclusive language) 1.3 Verify that the results of the projects guarantee an equitable distribution of benefits.

Preparation Baseline: 0 CONAF: the institution Indicator: % or of indigenous and responsible for the Output 2. 2.1 Ensure the women participation in the activities design, implementation of Enabling participation of and outputs associated with these the GAP, through the: conditions for women projects. - Climate Change and ENCCRV beneficiaries, Target: 40% of people who are Environmental implementation including indigenous involved in activities and outputs Services Unit women, in the associated with these projects are (UCCSA), development of women. - the support of the projects. Unit of Indigenous Baseline: 0 and Social Affairs 300.000 2.2 Strengthen the Indicator: % or # of CONAF (UAIS) capabilities of regional officials (UIG, UCCSA, - the Unit for Gender CONAF UAIS) trained to include climate Equality (UIG). professionals (UIG, change adaptation measures in their UCCSA, UAIS) on policies and plans, with a specific FAO: monitoring and gender issues (by focus on gender and forest sectors. oversight the CONAF central level Target: 100% of the national and performance of the GAP and FAO regional representatives of those through: specialists) units. - Project Coordinator, Implementation Baseline: 0 - Lead Technical Indicator: % or of direct women Officer and Environmental beneficiaries that are trained and / - Project Task Force Education and or receive information on matters of Dissemination Program i) effects of climate change and the (MT.6) importance of forests, ii) Strengthening of forest conservation of biodiversity, iii) and environmental forest regulations, iv) use of fire and enforcement (MT.7) v) prevention and control of pests. Programme for the Target: At least 40% of the direct technological transfer of women beneficiaries of the management and use ENCCRV have been trained or have alternatives for received information on at least one silvoagricultural waste of the following subjects: i) effects of (IF.6) climate change and the importance Adaptation programme of forests, ii) conservation of 3,062,756 for the management of biodiversity, iii) forest regulations, iv) vegetation resources in use of fire and, v) prevention and the context of climate control of pests. change, desertification, land degradation and Level of confidence (1-4 scale) of drought (GA.1) training participants (f/m) in their ability to use the learned skills in Technical assistance to forestry activities. support consolidation of Warsaw Framework Baseline: 0 elements. Indicator: % of workshops associated with law and 2.3 Incorporate the Environmental education are gender approach in designed taking into account measure MT.6,

aimed to women’s and indigenous beneficiaries, communities constraints including indigenous Target: 100% of workshops peoples associated with this environmental 2.4 Monitor during the education and diffusion projects are development of the designed taking into account project the women’s and indigenous implementation of communities constraints. the gender approach (reports Baseline: 0 with gender and Indicator: % or # of project activities inclusive language) reports that use an inclusive and 2.5 Promote the gender language in its mid-term and participation of final reports. women in decision- Target: 100% of the mid-term and making instances. final project reports use an inclusive and gender language, as defined by the inclusive and gender language guidelines of the MINAGRI.

Baseline: 0 Indicator: % of gender capacity building workshops are designed taking into account women’s and indigenous communities constraints. Target: 100% of workshops associated with gender and environmental education are designed taking into account women’s and indigenous communities constraints.

Baseline: 0 Indicator: % of gender capacity building workshops for Target: 100% of workshops associated with gender and environmental education are designed taking into account women’s and indigenous communities constraints.

Baseline: 0 Indicator: % or of indigenous and women that participate in the activities and outputs in the governance of the SDB , by strengthening their capacities of organization and promoting the integration of women in the discussion and community decision

on the legalization of land in economic solutions related to afforestation.

Target: 40% of people who are involved in activities in the governance of the SDB are women.

Baseline: 0 Indicator: % or # of representatives of social organizations and local communities informed about climate change Target: Representatives of 20% of the organizations and communities involved in the projects will be informed on climate change

FAO will monitor and evaluate the overall performance of the Gender Action Plan against the objectives and requirements of the Environmental and Social Standards within its project Quality Assurance System and against the ESMF. During implementation and monitoring, the E&S risk management process will focus on monitoring the project against the ESMF to track progress and establish relevant operational controls to verify compliance. Monitoring will be adjusted according to experience and actions required, as well as by feedback from stakeholders. Monitoring of activities should involve direct participation of affected stakeholders, where possible. Monitoring reports as set out in the ESMF will be produced. Such reports will provide an accurate and objective record of project implementation, including compliance with the ESMF and improvement in project quality.