RESILIENT LIVELIHOODS OF VULNERABLE SMALLHOLDER FARMERS IN THE MAYAN LANDSCAPES AND THE DRY CORRIDOR OF GUATEMALA –RELIVE-GUATEMALA- DISCLOSURE DOCUMENT Annexes Page Annex 6: Environmental and Social Management Framework 2 Annex 7: Summary of Stakeholder Consultations and Participation Plan 152 Annex 8: Gender Analysis And Evaluation And Action Plan 184 May 22, 2020 Food and Agriculture Organization of the United Nations. RESILIENT LIVELIHOODS OF VULNERABLE SMALLHOLDER FARMERS IN THE MAYAN LANDSCAPES AND THE DRY CORRIDOR OF GUATEMALA –RELIVE-GUATEMALA- 1 Annex 6: Environmental and Social Management Framework ___________________________________________ May 22, 2020 Food and Agriculture Organization of the United Nations. 2 PREFACE 1 This Environmental and Social Management Framework (ESMF) will be applied to all activities financed by the Green Climate Fund (GCF) for technical and / or financial support of the project, "REsilient LIVElihoods of vulnerable smallholder farmers in the Mayan landscapes and the Dry Corridor of Guatemala” (RELIVE). 2 The Project Steering Committee (PSC), the Technical Committee Project Management Unit (PMU) (housed in the FAO Office in Guatemala), is responsible for the general coordination of project activities. The respective Territorial Operating Unit (TOU) is responsible for the daily implementation of the specific subcomponents and ensures compliance with the ESMF, as well as the safeguard of related documents, including maintaining the appropriate documentation on the Project file for possible revision by the GCF. 4 | P a g e Table of Contents 1 Annex 6: Environmental and Social Management Framework ..................................... 3 2 PREFACE ......................................................................................................................... 4 3 List of Tables .................................................................................................................. 7 4 List of Figures ................................................................................................................. 8 5 ABBREVIATIONS ............................................................................................................. 9 6 SUMMARY ................................................................................................................... 11 7 INTRODUCTION ........................................................................................................... 15 8 PROJECT DESCRIPTION ................................................................................................ 17 8.1 The Problem at Hand .................................................................................................. 17 8.1.1 The Climate Problem for Food Security .............................................................. 17 8.1.2 The climate problem faced by coffee growers .................................................... 18 8.1.3 The Climate Problem Faced by Cacao Producers ................................................ 19 8.1.4 The Climate Problem, Water and Forests ........................................................... 20 8.2 Location ....................................................................................................................... 21 8.2.1 Methodology Used to Prioritize Work Areas ...................................................... 21 8.2.2 Prioritized Areas .................................................................................................. 22 A.1. Project objective ......................................................................................................... 24 8.3 Project Components ................................................................................................... 24 8.4 Beneficiaries ................................................................................................................ 34 8.4.1 General Description of the Beneficiaries ............................................................. 34 8.4.2 Estimated Quantity of Beneficiaries .................................................................... 34 8.4.3 Linkage of Beneficiaries and Activities in the Project Proposal .......................... 36 8.4.4 Criteria for selecting beneficiaries when implementing the project .................. 40 9 ENVIRONMENTAL AND SOCIAL BASELINE ................................................................... 43 9.1 Environmental Aspects ............................................................................................... 43 9.2 Social Aspects .............................................................................................................. 54 9.2.1 Alta Verapaz ......................................................................................................... 54 9.2.2 Baja Verapaz ........................................................................................................ 54 9.2.3 Petén .................................................................................................................... 55 5 | P a g e 9.2.4 Zacapa .................................................................................................................. 55 9.2.5 Chiquimula ........................................................................................................... 56 10 ANALYSIS OF NATIONAL POLITICAL/STRATEGIC AND LEGAL/REGULATORY FRAMEWORKS. 59 10.1 Guatemalan Legal / political framework ................................................................. 59 10.2 Institutional framework .......................................................................................... 63 10.2.1 General Institutional Framework related to the Project ..................................... 63 10.2.2 The National Development Council System ........................................................ 67 10.3 Other Initiatives and Projects linked to Climate Change in Guatemala.................. 67 A.1. Main Projects currently Implemented by FAO ........................................................... 68 10.4 Status of Climate Information ................................................................................. 74 10.5 Applicable Environmental and Social Safeguard Policies ....................................... 77 10.5.1 FAO Safeguards.................................................................................................... 77 10.5.2 GCF Safeguards (International Finance Corporation, IFC) .................................. 77 10.5.3 FAO Standards vs. IFC Performance Standards ................................................... 78 10.6 Summary of Objectives and Principles for Implementation of the Gender Action Plan 78 10.7 Summary of the framework for Developing the Plan for Indigenous Peoples ....... 79 11 STAKEHOLDER ENGAGEMENT ..................................................................................... 80 11.1 Stakeholder consultation and participation, including indigenous peoples .......... 80 11.2 Disclosure ................................................................................................................ 80 11.3 Complaint and Grievance Mechanism .................................................................... 81 12 EXPECTED PROJECT IMPACTS ...................................................................................... 84 12.1 Risk Classification .................................................................................................... 84 12.2 Summary of the Project’s Environmental and Sociocultural Impacts .................... 84 12.2.1 Identification of the Project’s Environmental and Sociocultural Impacts .......... 84 12.2.2 Description of positive project impacts ............................................................... 92 12.3 Rating negative impacts .......................................................................................... 96 13 MITIGATION MEASURES & APPROACH TO ENHANCE POSITIVE IMPACTS ............... 105 13.1 Determining preventive, control or mitigation and/or corrective measures of each of the impacts identified. .................................................................................................... 105 6 | P a g e 13.2 Budget ................................................................................................................... 111 14 PRINCIPLES AND PROCEDURES TO MITIGATE IMPACTS FOR IMPLEMENTATION .... 114 14.1 Step 1: Defining Sub-Activities .............................................................................. 114 14.2 Step 2: Environmental and Social Risk Screening of Sub-Activities ...................... 115 14.3 Step 3: Environmental and Social Risk Management (Monitoring and Reporting) 116 15 BIBLIOGRAPHY ........................................................................................................... 118 16 Appendixes ................................................................................................................ 120 Appendix 6.1. Exclusion List of the RELIVE Project ............................................................. 120 Appendix 6.2: Chance find procedures ............................................................................... 121 Appendix 6.3: Environmental and Social Screening Form .................................................. 122 17 Annex 7: Summary of Stakeholder Consultations and Participation Plan ............. 152 23 Annex 8: Gender Analysis and Evaluation and Action Plan .................................... 184 3 List of Tables Table 1: List