Download TOR - UNDP | Procurement Notices

NATIONAL CONSULTANT – Project Planning and Monitoring Expert
Location :
Type of Contract :
Post Level :
Languages Required :
Project Title:
Home-based
Individual Contract
Consultant
English & Spanish
Project: Development of Costa Rica's Fourth National
Communication and Second Biennial Update Report to the
UNFCCC
Duration of Initial Contract:
40 working days
Background:
This enabling activity aims to assist Costa Rica in meeting reporting requirements under the UNFCCC
Convention in accordance with its commitments as a non-Annex 1 Party (as mandated by Article 4 and 12 of
this Convention and COP 16 and 17 decisions), and to strengthen the technical and institutional capacity of
Costa Rica to prepare and submit its FNC and second BUR to the UNFCCC. The project is prepared in line
with GEF-6 strategic focal area on climate change mitigation, objective CCM3 on fostering enabling conditions
to mainstream mitigation concerns into sustainable development strategies. In particular, Program 5 of this
objective aims to mainstream the integration of climate considerations into the national planning process and
to help countries mainstream mitigation action in support of the 2030 Agenda for Sustainable Development
and SDGs.
Duties and Responsibilities:
The International Project Planning and Monitoring Expert will closely coordinate with the team of regional
experts, hold regular meetings with institutional counterparts (particularly National Meteorological Institute,
IMN, and the Directorate for Climate Change of the Ministry of Environment, DCC) as well as home-based
work, to perform the following tasks:
1. Provide broad guidance to the PPG team in relation to GEF requirements for planning and monitoring of
the project.
2. Facilitate the coordination with other GEF projects implemented by other agencies and institutions for the
identification of common actions that contribute to the scope of the project products and results.
3. Collect data related to the planning and monitoring of the project, with particular attention to the
description and quantification of the baseline investments.
4. Definition and validate of the results, outputs and activities based on a logical framework analysis and the
results of studies of the PPG undertaken by UNDP Country Office, IMN and DCC staff and regional
advisors.
5. Compile and document baseline/ situational analyses for the project in close cooperation with experts and
key national partners. This will include a precise definition of the baseline of projects, activities, budgets,
targets and outcomes, GEF co-financing contacts; and the development of the incremental cost analysis.
6. Provide further detail in the Prodoc for the narrative included in the PIF.
UNDP Environmental Finance Services
Page 1
7. Prepare the plan and budget M & E.
8. Prepare the procurement plan.
9. Write the final project documentation, including: a) the socio-economic benefits of the interventions
proposed at a transnational, national and local levels; (b) environmental, social, financial and institutional
sustainability of the proposed activities; (c) cost-benefit analysis of the strategy of the project and all
activities in relation to alternatives; (d) strategy of replicability of project activities; (f) risk analysis of the
activities proposed in the project and measures to mitigate risks; (f) analysis of incremental costs; and (g)
budget (multi-year project detailed budget following standard template provided in the UNDP-GEF.) h)
A procurement plan of the project, based on the multi-year detailed budget.
10. Support the development of a stakeholder plan using inputs from national experts.
11. Carry out final revisions of the documentation of the project.
Assignment Deliverables
Deliverable 1:
• Detailed review of and suggestions for adjustments to the terms of reference (TOR) and expected outputs of
the consultants.
• Detailed timeline of activities and responsibilities for the preparatory process.
• Proposed methodology and formats for collecting information for the PPG consultant team.
• Virtual inception workshop report that includes technical advice on data collection, planning and project
monitoring, focusing on the approach to describe and quantify the project baselines.
• Final report with observations and comments on the products.
Deliverable 2:
• Logical framework and Total Budget and Work Plan table.
• Draft documents: ProDoc, CEO Endorsement Request, ESSP checklist and relevant Tracking Tool, in
English, revised, updated and including required attachments, in accordance with the guidelines and
requirements of UNDP-GEF.
• Final documents: ProDoc, CEO Endorsement Request, ESSP checklist and relevant Tracking Tool, updated
in response to the reviews and opinions of relevant stakeholders.
Deliverable 3:
• ProDoc, CEO Endorsement Request, ESSP checklist and relevant Tracking Tool, updated in response to the
reviews and comments of the UNDP-GEF RCU, the GEF Secretariat and the GEF Council.
Estimated duration
The consultancy will be for 40 working days.
Institutional Arrangements
The Consultant will be home-based, with some travel to Costa Rica.
The Consultant will be given access to relevant information necessary for execution of the tasks under this
assignment.
The Consultant will be responsible for providing her/his station (i.e. laptop, internet, phone, scanner/printer,
etc.) and must have access to reliable internet connection.
Payments will be made per deliverable. The quality of the final documents will be evaluated by the UNDPGEF Regional Technical Adviser on BD and the Global Technical Adviser on BD. If the quality does not meet
standards or requirements of the UNDP-GEF, the consultant will be asked to rewrite or revise (as necessary)
the document before proceeding to payment. In that sense, payments shall be made upon delivery and approval
UNDP Environmental Finance Services
Page 2
by the UNDP-GEF Regional Technical Adviser on BD and the UNDP-GEF Global Technical Adviser on BD
of the products agreed as per following distribution:



Deliverable 1 (40% of total contract amount)
Deliverable 2 (40%)
Deliverable 3 (20%).
Travel:
International travel will be required to attend one or two missions to Costa Rica (depending on technical
offer) with expected maximum total travel duration of 10 days including a long mission or two shorter
missions. Costs for mission travel should be included in financial proposal.
Consultants will be responsible for making their own mission travel arrangements in line with UNDP travel
policies. Any necessary missions must be approved in advance and in writing by the supervisor.
The Basic Security in the Field II and Advanced Security in the Field courses must be successfully completed
prior to commencement of travel.
Individual Consultants are responsible for ensuring they have vaccinations/inoculations when travelling to
certain countries, as designated by the UN Medical Director.
The consultant shall be solely responsible for taking out and for maintaining adequate insurance required to
meet any of its obligations under the Individual Contract, as well as for arranging, at the consultant’s sole
expense, such life, health and other forms of insurance as the consultant may consider to be appropriate to
cover the period during which the consultant provides services under the Individual Contract.
Consultants are required to comply with the UN security directives set forth under https://dss.un.org/dssweb/
Consultants are responsible for obtaining any visas needed in connection with travel with the necessary support
from UNDP.
Competencies-Corporate
Excellent communications and networking skills and the ability to work in a team;
Strong interpersonal and negotiating skills;
Ability to work in a multicultural environment; and
Sound judgment and discretion.
Functional Competencies:
Job Knowledge/Technical Expertise
Keeps abreast of new developments in area of professional discipline and job knowledge and seeks to develop
him/herself professionally; and
Demonstrates comprehensive knowledge of information technology and applies it in work assignments.
Management and Leadership
Demonstrates strong oral and written communication skills;
Focuses on impact and result for the client and responds positively to feedback;
Leads teams effectively and shows conflict resolution skills;
Consistently approaches work with energy and a positive, constructive attitude;
Builds strong relationships with clients and external actors;
Remains calm, in control and composed even under pressure;
Demonstrates openness to change and ability to manage complexities;
Communicates effectively with staff at all levels of the organization;
Acts with tact and diplomacy;
Proves outgoing and comfortable in handling external relations at all levels;
UNDP Environmental Finance Services
Page 3
Demonstrates compelling communication skills and cross-cultural effectiveness;
Demonstrates experience in bilateral and/or multilateral negotiations, and negotiating and training / facilitation
skills; and
Possesses the ability to convey difficult issues and positions to senior officials, proven political judgment,
sensitivity to local cultures.
Professionalism:
Capable of working in a high pressure environment with sharp and frequent deadlines, managing many tasks
simultaneously;
Excellent organizational skills;
Able to work independently and remotely with minimal supervision;
Exercise the highest level of responsibility and be able to handle confidential and politically sensitive issues in
a responsible and mature manner.
Capacity to submit high quality deliverables under time constraints.
Required Skills and Qualifications
Language: English and Spanish are the working languages for this assignment, therefore excellent oral and
written communications and presentation skills in both languages are required. Deliverables are to be developed
and submitted in English language only.
Experience:
Education/Experience
1
2
3
4
5
Points
Masters’ degree or higher in Ecology, Environmental Sciences, Master
Environmental Management, or a closely-related field.
Doctorade
150 points
Experience in design, monitoring and evaluation of sustainable 8 experience
development projects with multilateral international organizations
related to the management of protected areas, environmental + 8 experience
services and biodiversity.
150 points
Good understanding of the GEF rationale and procedures and 3 – 4 years
demonstrated experience in formulation of GEF-funded project
proposals, using the logical framework and the results-based 5 – 6 yeras
management approaches.
+ 6 years
150 points
Ample experience with project development, implementation and
management.
3 years
100 points
+ 3 years
150 points
3 years
100 points
+ 3 years
150 points
Experience in the policy development processes associated with
environment and sustainable development issues.
UNDP Environmental Finance Services
Page 4
200 points
250 points
200 points
250 points
Evaluation method:
Only those applications which are responsive and compliant will be evaluated; Offers will be evaluated
according to the Combined Scoring method – where the technical criteria will be weighted at 1000 pts and the
financial offer will be weighted at 300 pts. Only the candidates that have achieved a minimum of 700 points
of the technical criteria will be deemed technically qualified and considered for financial evaluation.
The financial proposal shall specify a total lump sum amount, including breakdown per deliverable. Payments
are based upon output, i.e. upon delivery of the services specified in the TOR. In order to assist the requesting
unit in the comparison of financial proposals, the financial proposal must additionally include a breakdown of
this lump sum amount (including number of anticipated working days and all inclusive daily provisional fee).
Costs for mission travel should be included in financial proposal. Financial score (max 300 points) shall be
computed as a ratio of the proposal being evaluated and the lowest priced proposal of those technically
qualified. Applicant receiving the Highest Combined Score and has accepted UNDP’s General Terms and
Conditions will be awarded the contract. Each consultant would be assigned to a maximum of one region.
Documentation to be submitted
Interested individual consultants must submit the following documents/information to demonstrate their
qualifications:
1. Letter of Confirmation of Interest and Availability.
2. Duly completed and signed P11 Form, indicating all past experience from similar projects, as well as
the contact details (email and telephone number) of the Candidate.
3. A brief description of why the individual considers him/herself as the most suitable for the
assignment.
4. Financial proposal stating the quoted lumpsum amount as well as breakdown per deliverable and per
working day, as per template provided in Annex II.
All proposals must be submitted on February 15th, 2016 (11:59pm Costa Rica time) to the following email
address: [email protected]; subject: Project Planning and Monitoring Expert.
Note: Incomplete proposals may not be considered.
Annexes
Annex I - Individual IC General Terms and Conditions, check the following link:
http://www.undp.org/content/dam/undp/documents/procurement/documents/IC%20%20General%20Conditions.pdf
Annex III: Approved PIF (See below)
Annex IV: Prodoc Template (See below)
UNDP Environmental Finance Services
Page 5
ANNEX III: Approved PIF
PART I: PROJECT IDENTIFIERS
Project Title:
Development of Costa Rica's Fourth National Communication and Second
Biennial Update Report to the UNFCCC
Country(ies):
Costa Rica
GEF Project ID:1
GEF Agency(ies):
UNDP
GEF Agency Project ID:
94666
Other Executing
Partner(s):
Ministry of Environment
(IMN + DCC)
Submission Date:
July 2016
GEF Focal Area (s):
Climate Change
Project Duration (Months)
48
Type of Report:
Biennial Update Report
(BUR)
Expected Report Submission to
Convention
SecondBUR:
Dec 2018
National Communications
(NC)
Fourth NC:
Dec 2020
A. PROJECT FRAMEWORK*
Project Objective: Support the Government of Costa Rica to prepare its Fourth National Communication (FNC)
and Second Biennial Report under the UNFCCC (BUR)
Project
Component
Project Outcomes
Project Outputs
(in $)
GEF Project
Financing
1. Review and
update of the
national
circumstance
s and
institutional
arrangement
s pertinent to
preparation
of the
national
communicati
1
2
1.1. Updated
information on
national circumstances
concerning the
physical (geography,
topography and
climate) and socioeconomic (economy,
education, population,
health, livelihoods)
characteristics of the
1.1.1 Description of Geographical
characteristics, including climate,
forests, land use and other
environmental characteristics
20,000
1.1.2 Population: growth rates,
distribution, density and other
vital statistics;
1.1.3 Economy, including energy,
transport, industry, and tourism,
Project ID number will be assigned by GEFSEC and to be entered by Agency in subsequent document submission.
Co-financing for enabling activity is encouraged but not required.
UNDP Environmental Finance Services
Page 6
Confirmed
Cofinancing2
20,000
ons and
biennial
update
reports.
country and how these
might affect the way in
which Costa Rica deals
with climate change
and sustainable
development issues in
the long term
agriculture, fisheries, waste,
health and services sector;
1.1.4 Education, including
scientific and technical research
institutions;
1.1.5 Description of institutional
arrangements relevant to the
preparation of the national
communications on a continuous
basis including distribution of
responsibilities within
government departments,
universities, research institutions,
etc.
1.1.6 Information on involvement
and participation of stakeholders
2. Seventh
National
Greenhouse
Gases Inventory
(GHGI) report for
the period 2014 2016.
2.1. Seventh National
Greenhouse Gases
Inventory (GHGI)
report for the period
2014 - 2016.
2.1.1 Collection of data for the
key thematic sectors (Energy,
Industrial Processes and product
use, AFOLU and Waste).
2.1.2 Carry out greenhouse gas
emission calculation as per IPCC
2006 guidelines for the four key
thematic areas of emissions for
period 2014 to 2016.
2.1.3 Development of the chapter
on GHG Inventory as part of the
4NC for reference year 2016, and
the chapter on GHG inventory for
the BUR for reference year 2014.
2.1.4 Analysis of Harvested Wood
Products and Carbon in Soils.
2.1.5 Analysis of carbon content
in fossil fuels to establish a
national emission factor for the
CO2 in the Energy Sector.
2.1.6 GHG inventory for the
UNDP Environmental Finance Services
Page 7
287,000
200,000
period 2014-2016 is made
available through the National
Environmental Information
System.
3.Climate Change
Mitigation
3. Assessment of
policies and measures
to mitigate the climate
change for the period
2015 - 2020 is
published and the
capacity to collect and
analyze this
information on an
ongoing basis for the
future biennial update
reports and national
communications is
strengthened.
3.1.1 Report assessing GHG
mitigation policies and measures
implemented between 2015 and
2020 at National and local levels
and progress in compliance with
INDC targets.
150,000
120,000
3.1.2 Update of Mitigation
Scenarios and Emission Forecast
based on the available data from
the Mitigation Scenarios
elaborated on the First BUR.
3.1.3 Necessary data and relevant
information for MRV report,
collected and analyzed.
3.1.4 Potential for greenhouse gas
emission reduction paths
updated, mapped out and set of
policy framework and
recommendations proposed in
accordance to INDC.
3.1.5 Stakeholder consultation
workshops organized and
outreach activities on policies and
measures for the climate change
mitigation implemented.
4. Completed
vulnerability
studies including
recommended
adaptation
measures for
identified sectors
UNDP Environmental Finance Services
4.1. In-depth
vulnerability
assessment, including
recommended
adaptation measures
for priority sectors of
socio-economic
development and
Page 8
4.1.1 Assessment of vulnerability
and adaptation options to
address climate change,
variability and extreme events for
the Tourism Sector.
4.1.2 Vulnerability assessment for
tourism sub-sectors (with case
180,000
100,000
natural environment
conducted.
studies on mountain, coastal, ecotouristic and agro-touristic,
convention and medical tourism)
conducted with regional/local
focus where applicable;
4.1.3 Description of adaptation
efforts for the Tourism sector;
future risks including
national/sectoral adaptation
policies, strategies and measures.
4.1.4 Identified potential
adaptation actions for the priority
sector including opportunities and
barriers
4.1.5 Gender disagregated
assessment of "loss and damage"
associated to climate change,
variability and extreme events for
human settlements in coastal
areas.
4.1.6 Development of loss and
damage scenarios and adaptation
measures for two most
vulnerable human settlements in
coastal areas.
4.1.7 Gender disaggregated
analysis of mortality associated to
climate change evidences such as
extreme events, and
identification of relevant
indicators for gender
mainstreaming of the national
UNDP Environmental Finance Services
Page 9
communications preparation
process.
4.1.8. Report assessing adaptation
policies and measures
implemented between 2015 and
2020 at National and local levels
and progress in compliance with
INDC targets.
4.1.9 Policy frameworks for
effective integration of
adaptation measures into
national sectoral strategies
identified;
4.1.10 Stakeholder consultation
workshops organized and
outreach activities on policies and
measures for the climate change
adaptation implemented.
5. Other
information
5.1. Other information
relevant for the
preparation of BUR
and 4NC consolidated
5.1.1 Update on activities related
to strengthening of the
capabilities and expertise of Costa
Rica to contribute with research,
systematic observation, data
collection and processing,
archiving, analysis.
5.1.2 Elaboration on the
resources provided for capacity
building including details on
collaboration and synergy existing
between the various Convention
processes as they relate to
capacity building and technology
transfer
UNDP Environmental Finance Services
Page 10
40,000
56,000
5.1.3 Assessment of training and
awareness-raising activities
carried out on climate change
issues at the community and
national level.
5.1.4 Study on the needs and
constraints relating to financial,
technical and capacity gaps with
the assistance of bilateral and
multilateral organizations.
5.1.5 Tutorial on climate change
to teachers and interactive
module on climate change for all
audiences.
5.1.6 National Environmental
Information System strengthened
through enhanced virtual
interaction of Climate Change
Relevant public sector
information.
6. Production of
the Biennial
Updated Report
and Fourth
National
Communication
6.1 Second Biennial
Update Report and
Fourth National
Communication
consolidated and
submitted to the
UNFCCC
6.1.1 Training and regular
workshops organized to discuss
progress, exchange ideas and
present findings of the BUR/NC
process
6.1.2.BUR and NC produced,
edited, reviewed and translated,
published and submitted to the
UNFCCC Secretariat.
6.1.3 National GHG inventories,
publications and documents from
the 4NC and 2 BUR have been
disseminated to the IPCC and to
the UNFCCC, national
UNDP Environmental Finance Services
Page 11
40000
50,000
stakeholders, decision makers
and the general public.
6.1.4 The Fourth National
Communication and the Second
Biennial Update Report have been
published and presented to the
UNFCCC, national stakeholders
and decision makers.
7. Monitoring
and Evaluation
Appropriate M&E
Framework in place for
quality assurance
7.1 Inception workshop organized
50,000
50,000
7.2. Lesson learned analyzed,
shared and disseminated
7.3. End of Project report
compiled
Subtotal
767,000
596,000
Project Management Cost
85,000
50,000
852,000
646,000
(Including Direct Project Cost up to $15,000)3
Total Project Cost
*
List the $ by project components. Please attach a detailed project budget table that supports all the project
components in this table.
B. SOURCE OF CO-FINANCING FOR THE PROJECT BY NAME AND BY TYPE
Sources of Co-financing
Recipient Government
3
Name of Co-financier
Type of Co-financing
Ministry of EnvironmentNational Meteorological
Institute (IMN)
In-kind
Amount ($)
596,000
This is the cost associated with the unit executing the project on the ground and could be financed out of trust fund or cofinancing sources. For EAs within the ceiling, PMC could be up to 10% of the Subtotal GEF Project Financing.
UNDP Environmental Finance Services
Page 12
Recipient Government
Ministry of EnvironmentDirection for Climate
Change (DCC)
Grant
50,000
Total Co-financing
646,000
C. GEF FINANCING RESOURCES REQUESTED BY AGENCY, COUNTRY AND PROGRAMMING OF FUNDS
Country
GEF
Agency
Trust
Fund
Regional/
Global
UNDP
GEF TF
Costa Rica
(in $)
Focal
Area
CC-M
Programming of
Funds
Climate Change
Total Grant Resources
GEF Project
Financing (a)
Agency Fee
a)
/ (b)2
Total
c=a+b
852,000
80,940
932,940
852,000
80,940
932,940
a) Refer to the Fee Policy for GEF Partner Agencies
PART II: ENABLING ACTIVITY JUSTIFICATION
A. ENABLING
Costa Rica signed the United Nations Framework Convention on Climate Change (UNFCCC)
ACTIVITY
on June 13th, 1994, the Kyoto Protocol was ratified on March 8th, 2002 and came into force
BACKGROUND AND
the 16th February 2005. As a party to the convention, Costa Rica officially submitted its
CONTEXT (Provide
Initial National Communication (INC) to the UNFCCC the 18 th of November of 2000. The
brief information
Second National Communication (SNC) was submitted the 7th October 2009, and the third
about projects
communication submitted the 11th December 2014. The First BUR was submitted December
implemented
9th 2015.
since a country
became party to
the convention
On the National Communications and the BUR, Costa Rica has showed the progress made
and results
in the various relevant aspects on climate change. Progress has been made in assessing
achieved):
inventories of greenhouse gases, using the new IPCC guidelines and improving both activity
data and emission factors, incorporating quality assurance and control, management of
uncertainties.
Climate scenarios and emission and mitigation scenarios have been improved.
UNDP Environmental Finance Services
Page 13
However, there are gaps that must be closed, including MRV, vulnerability studies that have
not yet been performed, among others.
On September 30, 2015, the Intended Nationally Determined Contribution (INDC) was
submitted to the UNFCC. It establishes an unconditional target to keep net greenhouse gas
(GHG) emissions below 9.37 MtCO2e emissions by 2030 including Land Use, Land Use
Change and Forestry (LULUCF). The INDC translates into emissions (excl. LULUCF) returning
to 2010 levels by 2030. Moreover, the INDC has included an Adaptation to Climate
Change component and is committed to develop the National Adaptation Plan before
2018. Climate Change Adaptation will have as one of its components the National Disaster
Risk Management Policy, through capacity building for resilience and technology transfer.
The National Climate Change Strategy requests all public and autonomous institutions and
local governments to structure and put in practice a short, mid, and long-term action plan
with clear goals, that takes into account its four pillars and six axis. The fundamental
pillars are shared responsibility, opportunity, threat, and capacity and legitimacy
development. The National Agenda, with a clear orientation towards action, has been
defined around six strategic axes or components, the main of which are Mitigation and
Adaptation; the other four transversal components are: Metrics, Capacity Building and
Technology Transfer, Education, Culture and Public Awareness, and Financing
Costa Rica anticipates significant impacts from climate change on its society, economy,
environment and human health and for this reason the current National Development Plan
sets, very clearly, climate change as cornerstone of every strategic action to be performed
during the next four years. The Ministries of Environment, Agriculture and Livestock, Health
and the National Emergency Commission are actively cooperating with United Nations
agencies and international partners to assess the effects of Climate Change and develop
appropriate plans through climate change adaptation and mitigation.
Costa Rica is looking into becoming a laboratory for the world’s economy deep decarbonization process, working with civil society, the private sector, academia, and the
international community in order to accomplish it. Costa Rica has a long standing tradition
of innovation on hydroelectric generation, in conservation and specially, on matters of
climate change. This tradition is well evidenced in the country’s commitment towards the
United Nations’ Framework Convention for Climate Change (CMNUCC), to avoid
dangerous anthropogenic interference in the climate system and the goal of “keeping the
average temperature increase leveled at 2o and consider reducing this limit to 1.5o ”. To
accomplish it, global emissions of Greenhouse Gases (GHG) need to stay below a total of
1000 Giga-tons of CO2 from 2012.
Through the National Meteorological Institute of the Ministry of the Environment and
Energy, Costa Rica has developed three previous National Communications to the UNFCCC.
UNDP Environmental Finance Services
Page 14
The First National entailed the two National Greenhouse Gases Emissions Inventory of
sources and sinks for the base year 1990 and 1996, and a first assessment of the
vulnerability to climate change on several crops, coastal zones, forest and water resources.
The Second communication included an updated version of the GHG Inventory for 2000 and
2005, a section about climate, variability, and climate change.
The third communication submitted the 11th December 2014 and renovated the Costa Rican
commitment to carbon neutrality, after thorough review of metrics, targets and deadlines
and the first BUR was submitted on December 9th, 2015 including the Sixth Inventory of
GHG, using the 2006 IPCC Guidelines and evaluating the four categories defined by the IPCC.
The following gases carbon dioxide (CO2), methane (CH4), nitrous oxide (N2O), halocarbons
(HFCs), perfluorocarbons (PFCs) and sulfur hexafluoride (SF6), carbon monoxide (CO),
oxides, nitrogen (NOx), methane different volatile hydrocarbons (NMVOC) and sulfur
dioxide (SO2) were evaluated.
Since the ratification of the UNFCCC and joining the Kyoto Protocol, Costa Rica has adopted
and implemented several national strategies and sectorial policies aimed at reducing the
impacts of the climate change, mitigation and adaptation strategies and emissions
reduction. These strategies and policies are reflected in long-term state programmes. The
most recent relevant examples are:

Carbon Neutrality by 2021

National Climate Change Strategy

National REDD+ Strategy

National Biodiversity Strategy and Action Plan

NAMA – Low Carbon Coffee

Costa Rica Livestock NAMA

Adaptation Fund Project: Reducing the Vulnerability by Focusing on Critical Sectors
(Agriculture, Water resources, and Coastlines) in order to Reduce the Negative
Impacts of Climate Change and Improve the Resilience of These Sectors
UNDP Environmental Finance Services
Page 15
B.
ENABLING
ACTIVITY GOALS,
OBJECTIVES,
AND ACTIVITIES
(The
proposal
should
briefly
justify
and
describe
the
project
framework.
Identify also key
stakeholders
involved in the
project including
the private sector,
civil
society
organizations,
local
and
indigenous
communities, and
their
respective
roles,
as
applicable.
Describe also how
the
gender
dimensions
are
considered
in
project design and
implementation):
This enabling activity aims to assist Costa Rica in meeting reporting requirements under the
UNFCCC Convention, in accordance with its commitments as a non-Annex 1 Party (as
mandated by Article 4 and 12 of this Convention and COP 16 and 17 decisions), and to
strengthen the technical and institutional capacity of Costa Rica to prepare and submit its
4NC and second BUR to the UNFCCC.
The project is prepared in line with GEF-6 strategic focal area on climate change mitigation,
objective CCM3 on fostering enabling conditions to mainstream mitigation concerns into
sustainable development strategies. In particular, Program 5 of this objective aims to
mainstream the integration of climate considerations into the national planning process and
to help countries mainstream mitigation action in support of the 2030 Agenda for
Sustainable Development and SDGs.
The expected outcomes and associated key outputs and activities are:
1.
Review and update of the national circumstances and institutional arrangements
pertinent to preparation of the national communications and biennial update reports:
 Information on national circumstances concerning the physical (geography,
topography and climate) and socio-economic (economy, education, population,
health, livelihoods) characteristics of the country and how these might affect the
way in which Costa Rica deals with climate change and sustainable development
issues in the long term is currently being developed. The preparation of the fourth
national communication and Second BUR will strengthen the linkages and facilitate
better understanding of the nexus between climate change and development. This
will involve analyses of policies and plans that are currently being pursued by Costa
Rica and their relevance in dealing with climate change issues and concerns.
 Coordination, cooperation and synergy between the key stakeholders in
developing actions and strategies to cope with the impacts of climate change are
crucial for the sustainability of project implementation. It is envisaged that the
preparation of the various components of the FNC/BUR will help strengthen and
where appropriate, build synergies among and between activities. The project
management team will include a strong institutional arrangement under which
many of the activities/tasks will be carried out in the preparation of the 4 NC and
2 BUR
2. The Seventh National Greenhouse Gases Inventory (GHGI) report for the period 2014 –
2016.
 Collection of data for the key sectors (Energy, Industrial Processes and product use,
AFOLU and Waste). The estimate of emissions from the sectors mentioned above
include the following greenhouse gases (CO2), (CH4), (N2O), (HFC), (PFC) and (SF6).
It also includes estimating indirect emissions of greenhouse gases (NOx), (SO 2), (CO)
and (NMVOC).


Carry out greenhouse gas emission calculation as per IPCC 2006 guidelines for the
four key areas of emissions for 2014 and 2016.
Development of the chapter on GHG Inventory as part of the 4NC for reference year
UNDP Environmental Finance Services
Page 16




2016, and the chapter on GHG inventory for the BUR for reference year 2014.
Analysis of Harvested Wood Products and Carbon in Soils.
Analysis of carbon content in fossil fuels to establish a national emission factor for
the Energy Sector.
A National Inventory Report (NIR) which includes: the procedures and
arrangements undertaken to collect and achieve the data and information;
anthropogenic emissions by sources (GHG Inventory); the level of uncertainty
associated with inventory data, recommendations for integrating GHG activities
with other sustainable development initiatives; recommendations for
mainstreaming the GHG inventory process; and recommendations for addressing
technological and capacity needs.
GHG inventory for the period 2014-2016 will be made available through the
National Environmental Information System. Many of the problems relating to the
preparation of national greenhouse gas inventory may be related to inexistence of
a central. This project will support the consolidation of the National Environmental
Information System (SINIA) through making available key data CC information and
data may be retrieved by decision makers through a virtual portal currently being
developed.
UNDP Environmental Finance Services
Page 17

3. Assessment of sectors, actions and projects that could be included in the national
emission reduction strategy.
 Identification of all potential mitigation options for each sector listed in the GHG
inventory; and prioritization of mitigation options for each sector and categorize as
long, medium and short-term priorities according the INDC targets.
 Update of Mitigation Scenarios and Emission Forecast based on the available data
from the GHG inventory, as well as the updated socio-economic information,
prepares a series of mitigation scenarios to 2030. This will include a baseline
scenario, whereby current trends continue, as well as at least two other scenarios
showing how emissions may decrease if mitigation actions are taken.
 Collection and analysis of data and information for MRV in mitigation actions
carried out.
 Evaluation of the potential for greenhouse gas emission reduction paths updated,
mapped out and set of policy framework and recommendations proposed in
accordance to INDC.
 Preparation of brief mitigation project profiles for existing and possible future
implementation. These profiles should include the following: brief overview of
existing and proposed mitigation activities; estimated implementation costs;
estimated mitigation potential; and arrangements for project coordination
according to the guidelines of the BUR. Moreover, continuing the monitoring of
projects included on the first BUR.
4. Completed vulnerability study including recommended adaptation measures for
identified vulnerable sectors.
 Using the climate scenarios for Costa Rica including RCP emission scenarios
 Vulnerability assessment for tourism sub-sectors (with case studies on mountain,
coastal, eco-touristic and agro-touristic, convention and medical tourism)
conducted with regional/local focus where applicable
 Confirmation of identified vulnerable sectors in Costa Rica based on the latest
assessment and studies.
 Description of current vulnerability and adaptation efforts; future risks including
national/sectoral adaptation policies, strategies and measures.
 Identified potential adaptation actions for priority sector (Tourism) including
opportunities and barriers.
 The adaptation actions that have been implemented in the country in the period
2015-2020
 Adaptation and disaster risk reduction action must be integrated into national and
local development action, rather than being seen as a stand-alone activity.
Adaptation is achieved through a suite of actions that can be integrated into
activities across industry sectors and implementing agencies.
 Experience shows that successful adaptation action in Costa Rica requires interinstitutional and multi-stakeholder approaches. It is essential that activities are
coordinated among multiple partners. These can include national government
agencies, provincial governments, traditional leaders, CSOs, private sector,
development partners and academic institutions.
UNDP Environmental Finance Services
Page 18

Gender disaggregated "Loss and Damage" analysis for human settlements in
coastal areas


5.
Gender disaggregated assessment of "loss and damage" associated to climate
change, variability and extreme events for human settlements in coastal areas.
 Stakeholder consultation workshops organized and outreach activities on
adaptation measures for human settlements in coastal areas.
 Development of loss and damage scenarios and adaptation measures for two
most vulnerable human settlements in coastal areas
Gender disaggregated analysis of mortality associated to climate change evidences
such as extreme events, and identification of relevant indicators for gender
mainstreaming of the national communications preparation process.
Other information relevant for the preparation of 2BUR and 4NC
 Update on activities related to strengthening of the capabilities and expertise of
Costa Rica to contribute with research, systematic observation, data collection and
processing, archiving, analysis.
 Elaboration on the resources provided for capacity building including details on
collaboration and synergy existing between the various Convention processes as
they relate to capacity building and technology transfer
 Assessment of training and awareness-raising activities carried out on climate
change issues at the community and national level.
 Study on the needs and constraints relating to financial, technical and capacity gaps
with the assistance of bilateral and multilateral organizations
 Tutorial on climate change to teachers and interactive module on climate change
for all audiences joining the Education Ministry in the technical group that
produces it..
 National Environmental Information System strengthened through enhanced
virtual interaction of Climate Change Relevant public sector information.
6. Second Biennial Update Report and Fourth National Communication consolidated and
submitted to the UNFCCC
 Training and regular workshops organized to discuss progress, exchange
ideas and present findings of the BUR/NC process: These will include:
Inception workshop organized
Lesson learned analyzed, shared and disseminated



UNDP Environmental Finance Services
BUR and NC produced, edited, reviewed and translated, published and
submitted to the UNFCCC Secretariat.
National GHG inventories, publications and documents from the 4NC and
2 BUR have been disseminated to the IPCC and to the UNFCCC, national
stakeholders, decision makers and the general public.
Published Fourth National Communication and the Second Biennial
Update Report and presented to the UNFCCC, national stakeholders and
decision makers.
Page 19
Stakeholders involvement:
Costa Rica expects the process of formulating the 4NC and 2BUR can help integrate climate
change into existing planning processes as well as to strengthen institutional cooperation
on climate change in a useful way during implementation of the project. IMN and DCC will
explore and use the existing institutional and stakeholder consultations mechanisms that
have been established for initiatives such as the previous national communications and joint
climate change and planning processes to engage on FNC and BUR.
The preparation of the 4FNC/BUR will entail collaborative action by IMN and DCC with
other ministries and institutions, private sector and CSOs responsible for providing
information and technical expertise for the process. The approach used in the INC and SNC
formulation is similar to what is being proposed for the 4NC/2BUR preparation, whereby
the immediate needs and concerns related to identification and prioritization of mitigation
and adaptation options, strategies and measures are highlighted and collectively
addressed by the stakeholders.
The Government has updated the governance structure of Climate Change and established
a Sectorial Coordination for Climate Change as a unit to articulate inter-institutional action
of Climate Change. The Coordination entails the interaction of the Climate Change Director
of the DCC, focal point to the UNFCCC; the Secretary of the Environmental Council of the
Cabinet of State Ministries; and other institutions with direct rectory over information or
public investments related with Climate Change impacts. The Ministry of Environment is
promoting the establishment of a Citizens Consultative Council for Climate Change, to
ensure a wider level of participation and joint action. Many private sector initiatives such as
AED (Associations of Businesses for Development) and chambers of trade have joint efforts
with non-governmental groups in many to press for more rapid and ambitious climate
change actions, these include Costa Rica Limpia, Aliarse. These and many other CSOs will be
encouraged to participate and provide inputs for the 4NC and BUR preparation process.
The stakeholder engagement strategy of this project will entail liaison with the cluster of
experts and institutions working on disaster planning, emergency response and recovery,
as the dialogue of the 4NC-2BUR must entail disaster risk reduction knowledge and
initiatives.
Extensive consultations during the 4NC project implementation will be carried out with
relevant stakeholders in Costa Rica. It is understood that some of the relevant actors include
but are not limited to:
Government Ministries/Institutions:
UNDP Environmental Finance Services
Page 20







Ministry of Environment: Direction of Climate Change (DCC), Direction of Energy
(DSE), Direction of Environment (DIGECA); Technical Secretariat for Environment
(SETENA), National System of Conservation Areas (SINAC)
National Commission for Risk Management and Emergency Response
Ministry of Planning and Economic Policy (MIDEPLAN)
Ministry of Agriculture and Livestock (MAG)
Ministry of Finance
Ministry of Foreign Affairs
National Institute of Women-INAMU
Local, Regional and International Non-Government Organizations (NGO)







UNDP Environmental Finance Services
Conservation International
IUCN
Costa Rica Limpia
CATIE
Fundecooperación
Fundación CR-USA
Consejo Ciudadano Consultivo Cambio Climático
Page 21
Academic Institutions





CONARE (National Council of State University Rectors)
UCR
UNA
UTN
CATIE
Regional Institutions
CEPREDENAC
UNDP
Private Sector Entities


UCCAEP (Union of Chambers of Industry and Business)
Chamber of Agricuture, and other sectors
Gender dimensions:
The 4NC project management team will ensure the full representation of women in the
process of hiring, and technical input for the 4NC and 2BUR. The report development
process includes a gender disaggregated data analysis that will allow for target setting that
explicitly monitors progress in gender equality in Climate Change Planning.
The guidance on gender integration through the NCs and BURs developed by the Global
Support Programme through UNDP and in collaboration with UNEP and GEF will be applied.
Importantly, one of the countries surveyed to develop the guide was Costa Rica and that
the voice and role of women in project management is assured because it has extensive
participation of researchers in the project management group.
UNDP Environmental Finance Services
Page 22
The interests of other social groups and particularly vulnerable community members would
also be represented in 4NC project implementation activities. Especial consideration will be
paid to people living in human settlements of coastal areas highly vulnerable to climate
change impacts (Parrita, Puntarenas, Cahuita). People with disabilities, the elderly, youth,
those in remote locations and from diverse cultural groups would be able to participate, as
well as services being provided to meet their needs.
The guidance on gender integration through the NCs and BURs developed by the Global
Support Programme through UNDP and in collaboration with UNEP and GEF will be applied.
C. DESCRIBE THE
ENABLING ACTIVITY
AND INSTITUTIONAL
FRAMEWORK FOR
PROJECT
IMPLEMENTATION
(discuss the work
intended to be
undertaken and
the output
expected from
each activity as
outlined in Table
A).
The 4NC/2BUR project activities are envisaged to be implemented and coordinated jointly
under the auspices of the National Meteorological Institute (IMN) and the Direction of
Climate Change of the Ministry of Environment (DCC). UNDP will implement the project
under a National Implementation Modality were each of the above mentioned institutions
will name a co-Director of the Project to, along with UNDP’s Sustainable Development
Officer will form part of the Project Steering Committee (PSC). Co-directors will act as
technical lead and have supervisory roles over consultancy deliverables, and project
orientation. Both institutions have a long standing experience implementing National
Communication Documents and UNFCCC related projects. The PSC will meet quarterly or
shorter periods if required.
The PSC along with 4NC/BUR project coordinator and technical group will form the project
management unit (PMU). The IMN and DCC will work and undertake its tasks in consultation
with other relevant government departments, the private sector and NGOs.
The DCC and IMN will lead technical and policy oversight to the FNC/BUR preparation and
will be supported by the PMU. The local and international consultants will liaise with the
PMU for timely and effective delivery of project outputs. The project coordinator will report
to the Director of the IMN, and of DCC and UNDP’s Sustainable Development Officer.
She/He will be responsible for the operational programme of project implementation. The
project team will also have adequate and appropriate computer and telecommunication
facility, including Internet, to enable them to efficiently and effectively undertake their
activities. This is to be provided as in kind co-finance by IMN.
The 4NC/2BUR Coordinator will coordinate the day-to-day implementation of activities to
be carried out by consultants and relevant stakeholders. The PMU with the Coordinator will
provide secretariat support to the PSC, project team and consultants.
UNDP Environmental Finance Services
Page 23
The following thematic working groups will be formed to assist with the preparation of
various components of the national communication: (i) National Greenhouse Inventory
and Mitigation Analysis (ii) Vulnerability and Adaptation for Tourism (iii) Gender
disaggregated "Loss and Damage" analysis for human settlements in coastal areas; (iv)
Write up and dissemination of Biennial Updated Report and Fourth National
Communication. Each thematic working group will comprise of a number of experts
drawing both from public sector, with contributions from the private sectors,
communities, and NGOs, as appropriate. UNDP will act GEF Implementing Agency and will
monitor and support implementation of project activities in line with UNDP-GEF standard
procedures.
The key project activities include:
National Circumstances
Information provided on national circumstances is critical for understanding Costa Rica’s
vulnerability to the adverse effects of climate change, its capacity and its options for
adaptation, as well as its options for addressing its GHG emissions within the broader
context of sustainable development.
Information on national circumstances will include the analyses of national and/or regional
development priorities and objectives that Costa Rica is pursuing and those that would serve
as the basis for addressing climate change and water scarcity or excess issues (two most
likely effects of climate change in different parts of the country). Information on national
circumstances will be linked to information provided in other chapters of the national
communication. The analyses of development priorities and objectives would be of interest
to other national stakeholders investigating the benefits of specific activities and policies
and the linkages between the activities and policies relating to climate change and those of
other Conventions, such as the CBD and the UNCCD. Information will include:

Geographical characteristics, including climate, forests, land use and other
environmental characteristics; Population: growth rates, distribution, density and other
vital statistics; Economy, including energy, transport, industry, and tourism, agriculture,
fisheries, waste, health and services sector; Education, including scientific and technical
research institutions, Any information considered relevant by the Party, e.g.,
information relating to Article 4.8 and 4.9, of the Convention

A description of institutional arrangements relevant to the preparation of the national
communications on a continuous basis including distribution of responsibilities within
government departments, universities, research institutions, etc.

Involvement and participation of other stakeholders;

The Sub-Committees on GHG inventory, vulnerability and adaptation assessment,
mitigation, etc.
UNDP Environmental Finance Services
Page 24
National GHG Inventory
 Costa Rica’s Inventory for Greenhouse Gases under the First Biennial Update Report
(BUR) was for the base year 2012 using the 2006 IPCC Guidelines for National
Greenhouse Gas Inventories. The total emission of greenhouse gases for 2012 was of
11,250.20 Gg CO2eq; which comprised of 7,213.83 Gg CO2e from Energy; 980.70 Gg
CO2e from Industrial Processes; 1,119.36 Gg CO2e from AFOLU and 1,864.31Gg CO2e
from Waste Sector.
 National GHG Inventory for direct greenhouse gases carbon dioxide (CO2),
methane (CH4), nitrous oxide (N2O), HFC, PFC and SF6 and for indirect greenhouse
gases carbon monoxide (CO), nitrogen oxides (NOx), non-methane organic volatile
compounds (NMVOC) and Sulfur dioxide (SO2) will be undertaken for the period
2014 to 2016 (4NC) and (BUR) in four source categories: Energy, Industrial
Processes and product use, AFOLU and Waste, using the IPCC 2006 Guidelines for
National Greenhouse Gas Inventories.
 A key source/category analysis will be carried out to determine the sectors with
significant emissions where resources can be targeted.
 Quality assurance and quality control (QA/QC) procedures based on the IPCC 2006
Guidelines in National Greenhouse Gas Inventories will be applied as appropriate to
ensure that the results of the inventory will be as reliable as possible.
 Tables 1 and 2, as provided by the UNFCCC guidelines (annex to decision 17/CP.8) will
be used for reporting the national GHG inventory. This activity will be coordinated with
any regional efforts wherever possible.
 At the end of the proposed activities, a workshop will be held to review the results.
Policy makers and other stakeholders will be invited to participate in the workshop, so
as to enhance their awareness on the importance of GHG inventory and on a long-term
programme for the improvement of future GHG inventories.
 The GHG Inventory will include an analysis of harvested wood products and carbon in
soils; as well as an analysis of carbon content in fossil fuels to establish a national
emission factor for the Energy Sector. These two studies are crucial for the country to
finalize the GHG inventory, as these are long pending studies that will improve overall
carbon storage accounting for the country.
Programme to Mitigate Climate Change




The project will establish a working group for the assessment of policies and measures
to mitigate the climate change for the period 2015 – 2020. This working group will be
responsible for preparing a report assessing GHG mitigation policies and measures
implemented between 2015 and 2020 at National and local levels and in compliance
with INDC targets.
According to the Third National Communication (TNC), Costa Rica is committed to
formulating strategies, national policies and best practices for addressing GHG
emissions and making a practical contribution to the global mitigation efforts. While at
the same time the country is also pursuing its national and regional development
priorities and sustainable development objectives. The development objectives are
planned to be achieved by integrating GHG abatement efforts with other social,
environmental and economic priorities.
Significant constraints relating to the availability of data and information and, specific
institutional arrangements to handle data acquisition and database maintenance for
climate change mitigation still remain problematic.
In order for Costa Rica to undertake mitigation assessment as part of its development
UNDP Environmental Finance Services
Page 25
strategy, the below activities will be carried out:




Collection, collation, analysis and archiving of data for the different sectors of
the economy, where appropriate and relevant;

Collection of data of NAMA, REDD, LEDS and other initiatives including MRV
aspects.

Update of Mitigation Scenarios and Emission Forecast based on the new data
from the GHG inventory, as well as new socio-economic information and
initiatives in process.
Training and capacity building will be required in the use of appropriate technologies,
methodologies and tools for assessment of mitigations options and development of
mitigation scenarios particularly in sectors with significant mitigation potential.
At the end of the proposed activities, a workshop will be held to review the results for
GHG Emission Reduction. Policy makers and other stakeholders will be invited to
participate in the workshop, so as to enhance their awareness on the importance of
GHG emission reduction, which should be taken into consideration in national
development planning.
The capacity-building for the Mitigation thematic group on the application of the
above-mentioned methodologies and models, including data collection, analysis and
management, will be further strengthened and enhanced. The capacity-building
activities will include the participation of the selected team members in the subregional, regional and international training workshops on mitigation assessment, so as
to share experiences and lessons learned with other countries. Training workshop on
the application of macro-economic models and relevant energy models will be
organized with the assistance of both national and, where appropriate, regional or
international consultants as well as the use of expertise available from the UN agencies.
Measures to facilitate adequate adaptation
 Costa Rica faces a full range of geologic and climatic hazards and is also subjected to
climatic variability and extremes events. The expected climate change impacts include
water scarcity in some areas and floods in other areas of the country. This situation is
to be exacerbated by the risks posed by tropical storms and hurricanes, coastal and
river flooding, coastal erosion, land-slides, heavy rainfall events, and droughts. Climaterelated disasters have had huge impacts on the economic growth and national
development and are expected to rise.
 Costa Rican institutions, research entities and previous National Communication
preparation processes have identified at a national level seven priority areas for
adaptation to climate change: water, energy, infrastructure, health, fisheries and
coastal areas, biodiversity, agriculture. The sectors that show major advances in the
design and implementation of efforts to adapt to climate change in Costa Rica, are
water, agriculture, biodiversity and energy.
 The most significant climate threat, is based on climate variability mainly referred to
the two phases of ENSO (El Niño and La Niña). The existing records for the ENSO effects
in the country are consistent with the projections climate change projections that have
been conducted in recent years by IMN. In this sense, El Niño and La Niña have become
an exceptional laboratory to identify relevant adaptation options. Previous National
communications have centered on food security issues, but considering that Tourism
sector (particularly in coastal areas) will face severe climate change impacts, and taking
into account the it is one of the most important sources of foreign revenue into the
UNDP Environmental Finance Services
Page 26




economy, the FNC will analyze in depth the vulnerability of this sector.
Where possible, integrated assessment modeling will be used to assess the impacts of
climate change in Costa Rica. Based on these quantitative analyses, appropriate costeffective adaptation options and measures will be assessed. The impacts of climate
change on national development strategies; plans and programmes will be evaluated.
Appropriate policy options will be identified and developed for response strategies,
making especial reference to the tourism sector.
The 4NC will include also entail a vulnerability assessment for tourism sub-sectors (with
case studies on mountain, coastal, eco-touristic and agro-touristic, convention and
medical tourism) conducted with regional/local focus where applicable. The study will
enable the thematic working group to identify and describe the adaptation efforts that
are required by each sub-sector of the tourism industry in Costa Rica, including the
future risks and relevant national/sectoral adaptation policies, strategies and measures
that are to be promoted.
This will set the scene for a national discussion amongst relevant stakeholders of the
viability of the identified potential adaptation actions for the priority sector including
opportunities and barriers. The participatory nature of this exercise will enable the
outlining of updated policy frameworks for effective integration of adaptation
measures into national tourism sectoral strategies.
The working group on vulnerability and adaptation for the tourism sector will undertake
the above tasks, using methodologies that they consider better reflecting the national
situation, as well as existing methodologies and guidelines.
A working group will be established to conduct a gender disaggregated assessment of "loss
and damage" associated to climate change, variability and extreme events for human
settlements in coastal areas. This is a particularly important and separate area for the
analysis of vulnerabilities and the definition of adaptation measures, as many human
settlements in coastal areas of this country will face either severe drought (Guanacaste),
increased flooding (Parrita) or sea level rise making the areas inhabitable (Puntarenas).
The working group will lead the stakeholder consultation workshops and lead outreach
activities on adaptation measures for human settlements in coastal areas. The final
deliverable of this process will be the definition of loss and damage scenarios and
adaptation measures for the two most vulnerable human settlements in coastal areas of
the country.
Moreover, gender disaggregated analysis of mortality associated to climate change
evidences such as extreme events, and identification of relevant indicators for gender
mainstreaming of the national communications preparation process.
According the INDC, an analysis of adaptation actions that have been implemented in the
country in the period 2015-2020 will be carried out and the National Adaptation Plan will
be included in the 4 NC.
Other Information:
In line with the Doha Work Program, activities related to provisions under Article 6 of the
UNFCCC, are among priority areas:
UNDP Environmental Finance Services
Page 27
Research and systematic observation
 Improvement in data collection, analysis and management, with emphasis on data
quality assurance.
 Trend analysis in existing temperature and rainfall data.
 Analysis of the impact of climate change on the frequency of extreme climatic
events including El Niño–Southern Oscillation (ENSO).
 Analysis of rainfall (including floods and drought) under future climate change
scenarios, current climate variability including tropical cyclones and ENSO.
 Participation in and contribution to the activities and programmes, as appropriate,
of regional and global research networks and observing systems,
 Climatic information networking with relevant regional and international
organizations;
 At the end of the proposed activities, a workshop will be held to review the results
and outcomes, including the draft Synthesis Report on Research and Systematic
Observation, with the participation of stakeholders from the public and private
sectors, including NGOs, communities and civil societies.
Education training and public awareness
 The development of tutorial on climate change to teachers and interactive module
on climate change for all audiences This activity will be carried out in conjunction
with the Ministry of Education
 National Environmental Information System through virtual interaction of Climate
Change Relevant public information sector.
 Preparation of outreach materials (leaflets, booklets, calendars, posters, quarterly
newsletters, videos etc.)
 Dissemination of outreach materials through public media (TV, radio, newspapers,
magazines, Internet, etc.).
Information and Networking
 Establishment of list serve for various thematic working groups to facilitate
information networking;
 Participation and contribution to local, national and international information
networks on climate change issues, especially those relating to national
communications;
 Provision of a list of national experts, including their expertise, who have
participated in the preparation of the NC
 Institutional strengthening, including human resources development, technical
and technological capabilities on the use of information technology for climate
change information sharing.
Submission of BUR and 4NC
Specific reports for each activity carried out under the project, of relevance for policy
makers, will be developed.
UNDP Environmental Finance Services
Page 28
Integration of the results of the studies and approval process of 2 BUR and 4FNC will follow
a close consultation with national stakeholders.
Once finalized, both documents will be translated, edited and submitted to the UNFCCC
Secretariat for posting and dissemination. The 2 BUR is expected to be submitted in Dec
2018, while 4NC submission deadline is tentatively set for Dec 2020.
The 4NC and 2 BUR documents, it is expected to be launched in a national events and
disseminated in seminars and workshops.
D. DESCRIBE, IF
POSSIBLE, THE
EXPECTED COSTEFFECTIVENESS OF
THE PROJECT:
As a party to the convention, Costa Rica is keep to develop its 4NC and 2BUR and display
commitment towards achieving the global goal towards abating climate change and
associated impacts. The recently completed Intended Nationally Determined Contributions
(INDC), Third National Communication (TNC), First BUR and some of the current initiatives
such as development of Nationally Appropriate Mitigation Action (NAMA) for Livestock and
Coffee are envisaged to contribute towards preparation of Costa Rica´s 4NC.
The 4NC/2BUR project contributes to Costa Rica’s commitments under the UNFCCC to
enable the country to address climate change considerations (reductions of GHG emission,
energy efficiency and reduction of vulnerability to climate change). By increasing Costa
Rica’s capacity to measure, forecast and evaluate its GHG emissions and identify the most
vulnerable sectors, the requested funding will be applied in a cost-effective way. On one
hand, the analysis of vulnerability of the tourism sectors will enable engagement with the
most important foreign exchange earner in the country and align new partners for
adaptation and mitigation programmes. On the other, - the design of the 4NC draws on the
experiences and results of the previous NCs and bi-annual reporting; in particular, activities
are focused on areas and sectors that have been identified as most relevant for the GHG
balance in Costa Rica. A central element of the strategy is to enhance the cost effectiveness
of the 4NC/BUR Project through the capitalization of work relations built during the project
implementation, and on existing experience with climate change within national
institutions, donor agencies, and other related UNDP projects.
The total project enabling cost is estimated to be about US$ 1,498,000. When all
components of the project are implemented, Costa Rica’s capacity to meet its obligations
under the UNFCCC will be strengthened significantly and on a sustainable level. In addition,
the 4NC and BUR Reports will be produced, the vulnerability and adaptation measures will
be updated, the GHG emission estimates over a longer period will be modeled, and
appropriate mitigation measures will be offered. The project will also ensure socioeconomic benefits through integrating gender, social and health considerations into
UNDP Environmental Finance Services
Page 29
biodiversity interventions. The project will liaise with other UNDP projects on biodiversity
conservation, land degradation, gender equality, civil society, and climate risk and water
resources management.
Additionally, stocktaking exercise and national multi-sectoral stakeholder’s consultations
involving civil society, national counterparts, local authorities, local communities, and other
related partners will be further strengthened given the good relations built up and
enhanced through the 4NC/BUR project, which in turns creates broader national ownership
of the enabling activities on the climate change project’s results.
Although, the TNC/BUR projects have implemented some initial climate change
vulnerability assessment for agriculture, forestry, coastal areas, water, health, transport,
tourism, there are still a lot to be assessed under the 4NC/BUR project, for example tourism
sector, which still plays an important role in Costa Rica’s economy.
The project will also carry out vulnerability and adaptation studies on new sectors including
gender disaggregated loss and damage studies for coastal areas, which have not been yet
assessed by the previous national communications. Communication and consultations with
FAO, UNEP, UNICEF, UNFPA, OPS, and other agencies including UNDP related projects will
be carried out to explore opportunities for synergy with respect to climate-induced risks
under changing climate.
E. DESCRIBE THE
BUDGETED M&E
PLAN:
UNDP guidelines and procedures on reporting, monitoring and evaluation will be followed
throughout the project cycle.
Project start:
A Project Inception Workshop will be held within the first 2 months of project start with
those with assigned roles in the project organization structure, UNDP country office and
where appropriate/feasible regional technical policy and programme advisors as well as
other stakeholders. The Inception Workshop is crucial to building ownership for the project
results and to plan the first year annual work plan.
Bi-annual progress:
Status Survey Questionnaires to indicate progress and identify challenges as well as
technical support needs will be carried out twice a year.
UNDP Environmental Finance Services
Page 30
In addition, the 4NC/2BUR Project Coordinator will provide a half yearly progress report to
UNDP and copy to all members of PSC and the Ministry of Climate Change (MCC) who will
be hosting and implementing the project. If possible, these reports may be compiled into
electronic newsletters that will be distributed to all participating institutions.
The progress reports will enable the PSC and UNDP to evaluate the progress of the project
on a regular basis and identify difficulties and shortcomings with a view to overcoming them
during the period of project implementation. These reports will be reviewed by UNDP for
their quality and standard, comprehensiveness, and conformity to the proposed terms of
reference and dates of completion. In addition, a mid-term review between UNDP and the
IMN and DCC may be conducted.
End of Project:
During the last three months, the project team will prepare the Project Terminal Report.
This comprehensive report will summarize the results achieved (objectives, outcomes,
outputs), lessons learned, problems met and areas where results may not have been
achieved. It will also lay out recommendations for any further steps that may need to be
taken to ensure sustainability and replicability of the project’s results
Audit on project will follow UNDP Financial Regulations and Rules and applicable Audit
policies.
F. EXPLAIN THE
DEVIATIONS FROM
TYPICAL COST
RANGES (WHERE
APPLICABLE):
n/a
PART III: APPROVAL/ENDORSEMENT BY GEF OPERATIONAL FOCAL POINT(S) AND GEF
AGENCY(IES)
A. RECORD OF ENDORSEMENT OF GEF OPERATIONAL FOCAL POINT(S) ON BEHALF OF THE GOVERNMENT(S): (Please attach the
Operational Focal Point endorsement letter(s) with this template).
NAME
POSITION
MINISTRY
DATE (Month, day, year)
Ruben Muñoz
Director International
Cooperation , GEF
Operational Focal Point
MINISTRY OF ENVIRONMENT
JUNE 24, 2016
UNDP Environmental Finance Services
Page 31
B. CONVENTION PARTICIPATION
CONVENTION
DATE OF RATIFICATION/
ACCESSION (mm/dd/yyyy)
NATIONAL FOCAL POINT
UNCCD
1997
Mariano Espinoza-SINAC
UNCBD
24th November 1994
Eugenia Arguedas-SINAC
UNFCCC
9th August 2002
Andrea Meza -DCC
C. GEF AGENCY(IES) CERTIFICATION
This request has been prepared in accordance with GEF policies 4 and procedures and meets the standards of the GEF
Project Review Criteria for Climate Change Enabling Activity approval in GEF 6.
Agency Coordinator,
Agency name
Date
Signature
(Month, day, year)
Project
Contact Person
Mr. Yamil
Bonduki, Sr.
Programme
Manager,
UNDP (GreenLECRDs)
Ms. Adriana Dinu,
Executive
Coordinator,
UNDP-GEF
ANNEX IV: PRODOC TEMPLATE
Add Government Logo when appropriate
United Nations Development Programme
Project title:
4
GEF policies encompass all managed trust funds, namely: GEFTF, LDCF, and SCCF
UNDP Environmental Finance Services
Page 32
Telephone
E-mail Address
+1-212-9066659
yamil.bonduki@undp.
org
Country:
Implementing Partner: see explanation
of who (only one party) can be an
Implementing Partner at
https://info.undp.org/global/popp/ppm/
Pages/Defining-a-Project.aspx
Management Arrangements:
National Implementation Modality
(NIM)
UNDAF/Country Programme Outcome: insert text of the relevant country programme outcome
UNDP Strategic Plan Output: insert either 1.3, 1.4, 1.5 or 2.5 see item 5 under further information in the opening
section of the annotated template
UNDP Social and Environmental Screening Category:
insert either low, moderate or high. See further
information at
http://www.undp.org/content/undp/en/home/opera
tions/social-and-environmental-sustainability-inundp/SES.html
UNDP Gender Marker: insert either 1, 2, or 3. Note that
a gender maker of 0 (zero) is not appropriate. See
further information at
https://intranet.undp.org/unit/bpps/sdev/gef/default.a
spx
Atlas Project ID/Award ID number: this should have
been created at PIF stage
Atlas Output ID/Project ID number: this should be
created before CEO endorsement
UNDP-GEF PIMS ID number:
GEF ID number:
Planned start date: this is defined as the expected
project document signature date
Planned end date: this is defined as the planned date
of operational closure. Calculate the planned end date
by adding the project duration in months noted on the
PIF to the expected project document signature date
LPAC date: this is defined as the expected project appraisal committee meeting date. The LPAC meeting can
occur before the project document is submitted to the GEF for CEO endorsement. If this cannot take place within
16 (FSP)/10 (MSP) months of PIF approval the LPAC meeting must be held after CEO endorsement or the project
risks being cancelled by the GEF. See further information on the GEF cancellation policy here:
https://www.thegef.org/gef/policies_guidelines/project_cancellation
Brief project description: Briefly (no more than 200 words) describe the overall development challenge and the
expected results of the project.
UNDP Environmental Finance Services
Page 33
FINANCING PLAN
GEF Trust Fund or LDCF or SCCF or other vertical fund
USD
UNDP TRAC resources
USD
Cash co-financing to be administered by UNDP
USD
…
(1) Total Budget administered by UNDP
… add additional rows if necessary
USD
PARALLEL CO-FINANCING (all other co-financing that is not cash co-financing administered by UNDP)
UNDP
USD
Government
USD
…
… add additional rows if necessary
(2) Total co-financing
USD
(3) Grand-Total Project Financing (1)+(2)
USD
SIGNATURES
Signature: print name below
Agreed by
Government
Date/Month/Year:
Signature: print name below
Agreed by
Implementing
Partner
Date/Month/Year:
Signature: print name below
Agreed by UNDP
Date/Month/Year:
ADD Table of contents + List of acronyms + List of annexes
UNDP Environmental Finance Services
Page 34
1. SITUATION ANALYSIS
UNDP guidance: To the extent possible, link to the Country Programme Document (CPD), CCA and UNDAF situation analysis.
State the problem to be addressed usually in terms of needs for capacity development, and provide a reference to the relevant
outcome in the country programme. References to the HDR and MDGs may also be included. Explain the institutional and legal
framework and the intended beneficiaries. Provide a reference (and hypertext links) to the findings of relevant reviews or
evaluations.
Note: This section is to be consistent with the PART II, section A of the request for EA approved by
GEFSec and is to be elaborated between the National Project Coordinator and the UNDP Country
Office.
UNDP Environmental Finance Services
Page 35
2. STRATEGY
Key Subsections:




Project rationale
Country ownership
Project objective, outcomes and outputs/activities
Sustainability and Replicability
UNDP Guidance: Link to the CP and UNDAF to the extent possible, which should outline the national strategy, including the
national commitment to achieving the outcome and the UN comparative advantage in supporting the strategy. This section
should detail how the project outputs will contribute to the achievement of the outcome. Explain in particular how UNDP will
support policy development and strengthen national capacities and partnerships to ensure lasting results. In addition, for
projects co-financed with other partners, the rationale for donor assistance and how they support the outcome should be
described.
Note: This section is to be consistent with Part II section B and C (description of project
activities) of the Request for EA approved by GEF Sec and elaborated between the
National Project Coordinator and the UNDP Country Office.
Some additional guidance:
i.
Expected Results: The text under this heading should translate the strategy above into the work that will
be done through the project. Describe the planned interventions and the change that the project is
expected to influence. This should include the following elements of the results chain: the project objective
that outlines the longer-term impacts the project will contribute to, and up to four project
UNDP Environmental Finance Services
Page 36
components/immediate outcomes that the project will have significantly contributed to by project closure.
These results will be further detailed in the project results framework. This section should also list the main
project outputs that the project will deliver by project closure.
ii.
Stakeholder engagement: Identify the key project stakeholders (e.g. local communities, indigenous
peoples, women, children, elderly, the poor, vulnerable and minorities) and outline a strategy to ensure
stakeholders are engaged throughout project implementation. Stakeholders include target groups (the
intended beneficiaries of the project) and other potentially affected groups. Outline a strategy for
engagement that ensures the stakeholders have access to and are aware of mechanisms to submit
concerns about the social and environmental impacts of the project (e.g. through UNDP’s Social and
Environmental Compliance Review and Stakeholder Response Mechanism).
iii.
Mainstreaming gender: UNDP prioritizes gender mainstreaming as the main strategy to achieve gender
equality. Gender mainstreaming is the process of assessing the implication for women and men of any
planned action, in all areas and at all levels. It is a strategy for making women’s as well as men’s concerns
and experiences an integral dimension of the design, implementation, monitoring and evaluation of
projects so that women and men benefit equally. Failure to address gender issues leads to inefficiencies,
unsustainable results and exacerbates and perpetuates inequities.
This section should outline a strategy to ensure women’s and men’s concerns and experiences are included
in the implementation, and monitoring and evaluation of this project. A gender analysis should also be
completed during the PPG/IP phase and the key findings of the gender analysis used to formulate the
gender strategy outlined in this section.
GEF-financed projects should strive, as appropriate, to be gender responsive or gender transformative
using the following gender results effectiveness scale included in the UNDP evaluation of gender
mainstreaming in UNDP:
Gender negative: result had a negative outcome that aggravated or reinforced gender inequalities and
norms.
Gender blind: result had no attention to gender and failed to acknowledge the different needs of men,
women, girls and boys, or marginalized populations.
Gender targeted: result focused on the number or equity (50/50) of women, men or marginalized
populations that were targeted.
Gender responsive: results addressed differential needs of men or women and equitable distribution of
benefits, resources, status and rights but did not address root causes of inequalities in their lives.
Gender transformative: result contributed to changes in norms, cultural values, power structures and the
roots of gender inequalities and discriminations. The aim was to redefine systems and institutions where
inequalities are created and maintained.
v.
South-South and Triangular Cooperation (SSTrC): Describe how the project intends to support/encourage
SS/TrC to achieve and sustain results, if applicable. See UNDP SS/TRC for further information.
UNDP Environmental Finance Services
Page 37
3.
PROJECT RESULTS FRAMEWORK:
Guidance to project developer: Indicators are required for the project objective and the four project component/outcomes only. Each indicator must have a baseline value and
an expected value to be achieved by the mid-point (mid-term target) of implementation and an expected value to be achieved by project closure (end-of-project target). Do not
include more than a total of 15-16 indicators in order to keep the M&E burden manageable as these indicators must be monitored annually and will be reported to the GEF and
other stakeholders through the annual PIR (see M&E section for further details). The indicators must be disaggregated by sex as relevant, and sourced from existing national data
sets as much as possible. Indicators and targets that measure and monitor results contributing to gender equality should be incorporated per the findings of the gender analysis.
Lower level results (i.e. outputs and activities) can be detailed in the Work Plan included in Annex A. Note that assumptions are ‘things taken for granted or accepted as certain to
happen’. Make assumptions explicit. Consider whether you need to change the project design because of these assumptions, and whether these assumptions need to be
monitored or evaluated during project implementation.
CEO endorsement template: This results framework will be the same as that required in the GEF CEO Endorsement template Annex A: Project Results Framework
This project will contribute to the following Sustainable Development Goal (s): list relevant SDG goal (s)
This project will contribute to the following country outcome included in the UNDAF/Country Programme Document: copy relevant outcome here
This project will be linked to the following output of the UNDP Strategic Plan: consult with the UNDP Country Office and the UNDP-GEF Regional Technical Advisor before selecting one of the
following outputs. Delete the outputs copied below that are not selected. See opening section under further information for additional details.
Output 1.3: Solutions developed at national and sub-national levels for sustainable management of natural resources, ecosystem services, chemicals and waste.
Output 1.4: Scaled up action on climate change adaptation and mitigation cross sectors which is funded and implemented.
Output 1.5: Inclusive and sustainable solutions adopted to achieve increased energy efficiency and universal modern energy access (especially off-grid sources of renewable energy)
Output 2.5: Legal and regulatory frameworks, policies and institutions enabled to ensure the conservation, sustainable use, and access and benefit sharing of natural resources, biodiversity and
ecosystems, in line with international conventions and national legislation.
Objective and Outcome Indicators
Baseline5
End of Project Target
Source of
Verification
Assumptions6
(no more than a total of 15 -16 indicators)
5
Baseline, mid-term and end of project target levels must be expressed in the same neutral unit of analysis as the corresponding indicator. Baseline is the current/original status or condition and need to be quantified. The
baseline must be established before the project document is submitted to the GEF for final approval. The baseline values will be used to measure the success of the project through implementation monitoring and
evaluation.
6
Risks must be outlined in the Feasibility section of this project document.
UNDP Environmental Finance Services
Page 25
Project Objective:
Component/Outcome 7 1
Component/ Outcome 2
Component/ Outcome 3
Component/ Outcome 4
Mandatory Indicator 1 and 2: copy one or
both of the standard IRRF indicators linked to
the output selected above.
To be determined during
PPG phase
Expected level when
terminal evaluation
undertaken
Cite assumptions made
between achieving projects
outcomes and reaching the
project objective.
Mandatory indicator 3: # direct project
beneficiaries.
To be determined during
PPG phase
Expected level when
terminal evaluation
undertaken
Cite assumptions made
between achieving projects
outcomes and reaching the
project objective.
Indicator 4: project specific
As above
As above
As above
Indicator 5: project specific
As above
As above
As above
Indicator 6: project specific
As above
As above
As above
Indicator 7: project specific
As above
As above
As above
Indicator 8: project specific
As above
As above
As above
Indicator 9: project specific
As above
As above
As above
Indicator 10: project specific
As above
As above
As above
Indicator 11: project specific
As above
As above
As above
Indicator 12: project specific
As above
As above
As above
Indicator 13: project specific
As above
As above
As above
Indicator 14: project specific
As above
As above
As above
Indicator 15: project specific
As above
As above
As above
Indicator 16: project specific
As above
As above
As above
7
Outcomes are short to medium term results that the project makes a contribution towards, and that are designed to help achieve the longer term objective. Achievement of outcomes will be influenced both by project
outputs and additional factors that may be outside the direct control of the project.
UNDP Environmental Finance Services
Page 39
TOTAL BUDGET AND WORKPLAN
Please make sure the proposed Budget is in line with the approved request for EA and GEF budget restrictions:




Total of Miscellaneous and Supplies costs cannot exceed 3-5% of the total budget
Travel cost should not exceed at 5% of GEF grant
72700 Hospitality, 73500 Reimbursement Budget lines are not allowed
Use of the 75100 F&A budget line is not allowed (the IA Fee/GMS is paid by the GEF to UNDP separate from the grant amount, and thus not be taken
from the project budget)
The budget structure and Project Results Framework must be aligned.
Total Budget and Work Plan
Atlas8 Proposal or Award ID:
000xxxxx
Atlas Proposal or Award Title:
xxxxxxxxxxxxxxxxx
Atlas Business Unit
Xxx10
Atlas Primary Output Project Title
xxxxxxxxxxxxxxxxxxxxxxx
UNDP-GEF PIMS No.
xxxx
Implementing Partner
Name of the implementing Partner (only one Implementing partner can be entered here)
GEF Outcome/Atlas
Activity
8
Responsible
Party/
Fund ID
Implementing
Agent
000xxxxx
Atlas Primary Output Project ID:
Donor
Name
Atlas
Budgetary
Account
Code
ATLAS Budget
Description
Amount
Year 1
(USD)
Amount
Year 2
(USD)
Amount
Year 3
(USD)
Amount
Year 4
(USD)
Total
(USD)
See separate guidance on how to enter the TBWP into Atlas
UNDP Environmental Finance Services
Page 40
See Budget Note:
GEF
62000
(62160)
(62180)
(LDCF)
71200
International
Consultants
$
$
$
$
$
x
71300
Local Consultants
$
$
$
$
$
x
Contractual
services
$
$
$
$
$
etc
$
$
$
$
$
sub-total GEF
$
$
$
$
$
71200
International
Consultants
$
$
$
$
$
71600
Travel
$
$
$
$
$
71300
Local Consultants
$
$
$
$
$
Etc
$
$
$
$
$
sub-total Donor 2
$
$
$
$
$
Local Consultants
$
$
$
$
$
Sub-total GEF
$
$
$
$
$
Contractual
services
$
$
$
$
$
72500
Office Supplies
$
$
$
$
$
74500
Miscellaneous
$
$
$
$
$
sub-total Donor 2
$
$
$
$
$
Total Outcome 1
$
$
$
$
$
(SCCF)
Or other
donor
...
xxxxx
OUTCOME 1:
Donor 29
Party 1
(as per the results
framework)
etc
etc
71300
62000
(62160)
etc
Or other
donor
etc
(62180)
xxxxx
9
Donor 2
Only cash co-financing (cost sharing at project level or other trust funds) actually passing through UNDP accounts should be entered here and in Atlas. Other co-financing should NOT be shown here.
UNDP Environmental Finance Services
x
Page 41
x
GEF
62000
(62160)
(62180)
OUTCOME 2:
(as per the results
framework)
Party 1
xxxxx
OUTCOME 3:
etc
etc
(LDCF)
71200
International
Consultants
$
$
$
$
$
x
71300
Local Consultants
$
$
$
$
$
x
Contractual
services
$
$
$
$
$
sub-total GEF
$
$
$
$
$
72500
Office Supplies
$
$
$
$
$
74500
Miscellaneous
$
$
$
$
$
sub-total donor 2
$
$
$
$
$
Total Outcome 2
$
$
$
$
$
71200
International
Consultants
$
$
$
$
$
x
71300
Local Consultants
$
$
$
$
$
x
Contractual
services
$
$
$
$
$
sub-total GEF
$
$
$
$
$
72500
Office Supplies
$
$
$
$
$
74500
Miscellaneous
$
$
$
$
$
sub-total donor 2
$
$
$
$
$
Total Outcome 5
$
$
$
$
$
International
Consultants
$
$
$
$
$
(SCCF)
Other
donor
Donor 2
etc
(as per the results
framework)
GEF
62000
OUTCOME 4:
MONITORING,
LEARNING,
ADAPTIVE
FEEDBACK &
EVALUATION
(62160)
(62180)
Party 1
(as per the results
framework and M&E
Plan and Budget)
xxxxx
62000
UNDP Environmental Finance Services
(LDCF)
(SCCF)
Or other
donor
Donor 2
GEF
71200
Page 42
x
Party 1
(62160)
(LDCF)
71300
Local Consultants
$
$
$
$
$
(62180)
(SCCF)
71600
Travel
$
$
$
$
$
Or other
donor
72500
Office Supplies
$
$
$
$
$
74500
Miscellaneous
$
$
$
$
$
Direct project costs
$
$
$
$
$
sub-total
$
$
$
$
$
71200
International
Consultants
$
$
$
$
$
x
71300
Local Consultants
$
$
$
$
$
x
71600
Travel
$
$
$
$
$
72500
Office Supplies
$
$
$
$
$
74500
Miscellaneous
$
$
$
$
$
sub-total
$
$
$
$
$
Total
Management
$
$
$
$
$
$
$
$
$
$
PROJECT
MANAGEMENT
UNIT
(This is not to appear
as an Outcome in the
Results Framework
and should not
exceed 10% of
project budget)
64398/745
98
Donor 2
PROJECT TOTAL
Summary of
Funds: 10
GEF
10
Amount
Amount
Amount
Amount
Year 1
Year 2
Year 3
Year 4
Total
$
$
$
$
$
Summary table should include all financing of all kinds: GEF financing, cofinancing, cash, in-kind, etc...
UNDP Environmental Finance Services
Page 43
x
UNDP Environmental Finance Services
Donor 2 (e.g. UNDP
$
$
$
$
$
Donor 3 (cash and in-kind) e.g.
Government
$
$
$
$
$
TOTAL
$
$
$
$
$
Page 44
Budget Revision and Tolerance: As per UNDP requirements outlined in the UNDP POPP, the project board will agree on a budget
tolerance level for each plan under the overall annual work plan allowing the project manager to expend up to the tolerance level
beyond the approved project budget amount for the year without requiring a revision from the Project Board. Should the following
deviations occur, the Project Manager and UNDP Country Office will seek the approval of the UNDP-GEF team as these are
considered major amendments by the GEF: a) Budget re-allocations among components in the project with amounts involving 10%
of the total project grant or more; b) Introduction of new budget items/or components that exceed 5% of original GEF allocation.
Any over expenditure incurred beyond the available GEF grant amount will be absorbed by non-GEF resources (e.g. UNDP TRAC or
cash co-financing).
Refund to Donor: Should a refund of unspent funds to the GEF be necessary, this will be managed directly by the UNDP-GEF Unit in
New York.
Project Closure: Project closure will be conducted as per UNDP requirements outlined in the UNDP POPP. 11 On an exceptional basis
only, a no-cost extension beyond the initial duration of the project will be sought from in-country UNDP colleagues and then the
UNDP-GEF Executive Coordinator.
Operational completion: The project will be operationally completed when the last UNDP-financed inputs have been provided and
the related activities have been completed. This includes the final clearance of the Terminal Evaluation Report (that will be available
in English) and the corresponding management response, and the end-of-project review Project Board meeting. The Implementing
Partner through a Project Board decision will notify the UNDP Country Office when operational closure has been completed. At this
time, the relevant parties will have already agreed and confirmed in writing on the arrangements for the disposal of any equipment
that is still the property of UNDP.
Financial completion: The project will be financially closed when the following conditions have been met: a) The project is
operationally completed or has been cancelled; b) The Implementing Partner has reported all financial transactions to UNDP; c)
UNDP has closed the accounts for the project; d) UNDP and the Implementing Partner have certified a final Combined Delivery
Report (which serves as final budget revision).
The project will be financially completed within 12 months of operational closure or after the date of cancellation. Between
operational and financial closure, the implementing partner will identify and settle all financial obligations and prepare a final
expenditure report. The UNDP Country Office will send the final signed closure documents including confirmation of final cumulative
expenditure and unspent balance to the UNDP-GEF Unit for confirmation before the project will be financially closed in Atlas by the
UNDP Country Office.
11
see https://info.undp.org/global/popp/ppm/Pages/Closing-a-Project.aspx
UNDP Environmental Finance Services
Page 25
4. MANAGEMENT ARRANGEMENTS
Roles and responsibilities of the project’s governance mechanism: The project will be implemented following
UNDP’s national implementation modality, according to the Standard Basic Assistance Agreement between UNDP
and the Government of xxx, and the Country Programme.
The Implementing Partner for this project is [insert name of the national implementing partner]. The
Implementing Partner is responsible and accountable for managing this project, including the monitoring and
evaluation of project interventions, achieving project outcomes, and for the effective use of UNDP resources.
The project organisation structure is as follows:
Project Organisation Structure
Project Board
Senior Beneficiary:
Executive:
Senior Supplier:
Project Assurance
(by Board members or delegated
to other individuals)
TEAM A
Project Manager
TEAM B
Project Support
TEAM C
The Project Board (also called Project Steering Committee) is responsible for making by consensus, management
decisions when guidance is required by the Project Manager, including recommendation for UNDP/Implementing
Partner approval of project plans and revisions. In order to ensure UNDP’s ultimate accountability, Project Board
decisions should be made in accordance with standards that shall ensure management for development results,
best value money, fairness, integrity, transparency and effective international competition. In case a consensus
cannot be reached within the Board, final decision shall rest with the UNDP Programme Manager. The terms of
reference for the Project Board are contained in Annex. The Project Board is comprised of the following
individuals: list names and organisations. Add additional detail as appropriate.
UNDP Environmental Finance Services
Page 25
The Project Manager will run the project on a day-to-day basis on behalf of the Implementing Partner within the
constraints laid down by the Board. The Project Manager function will end when the final project terminal
evaluation report and corresponding management response, and other documentation required by the GEF and
UNDP, has been completed and submitted to UNDP (including operational closure of the project). Add additional
detail as appropriate.
The project assurance roll will be provided by the UNDP Country Office specifically add name of UNDP Programme
Officer and additional detail as necessary. Additional quality assurance will be provided by the UNDP Regional
Technical Advisor as needed.
Governance role for project target groups: Describe how project target groups will be engaged in decision making
for the project.
UNDP Direct Project Services as requested by Government (if any): list the services the UNDP Country Office will
provide. The GEF Council has adopted rules and issued guidance on when and how Direct Project Costs may be
recovered for projects financed by the GEF Trust Fund, and the LDCF, SCCF Funds. See opening section under further
information for additional details.
Agreement on intellectual property rights and use of logo on the project’s deliverables and disclosure of
information: In order to accord proper acknowledgement to the GEF for providing grant funding, the GEF logo will
appear together with the UNDP logo on all promotional materials, other written materials like publications
developed by the project, and project hardware. Any citation on publications regarding projects funded by the GEF
will also accord proper acknowledgement to the GEF. Information will be disclosed in accordance with relevant
policies notably the UNDP Disclosure Policy12 and the GEF policy on public involvement 13.
Project management: provide information on the location (s) where the project will be operationalized, the number
and local of physical project offices, arrangement for dedicated or shared operations support, how the project will
work with other projects etc.
5. MONITORING FRAMEWORK AND EVALUATION
The project results as outlined in the project results framework will be monitored annually and evaluated
periodically during project implementation to ensure the project effectively achieves these results.
Project-level monitoring and evaluation will be undertaken in compliance with UNDP requirements as outlined in
the UNDP POPP and UNDP Evaluation Policy. While these UNDP requirements are not outlined in this project
document, the UNDP Country Office will work with the relevant project stakeholders to ensure UNDP M&E
requirements are met in a timely fashion and to high quality standards. Additional mandatory GEF-specific M&E
12
13
See http://www.undp.org/content/undp/en/home/operations/transparency/information_disclosurepolicy/
See https://www.thegef.org/gef/policies_guidelines
UNDP Environmental Finance
Services
Page 47
requirements (as outlined below) will be undertaken in accordance with the GEF M&E policy and other relevant
GEF policies14.
In addition to these mandatory UNDP and GEF M&E requirements, other M&E activities deemed necessary to
support project-level adaptive management will be agreed during the Project Inception Workshop and will be
detailed in the Inception Report. This will include the exact role of project target groups and other stakeholders in
project M&E activities including the GEF Operational Focal Point and national/regional institutes assigned to
undertake project monitoring. The GEF Operational Focal Point will strive to ensure consistency in the approach
taken to the GEF-specific M&E requirements across all GEF-financed projects in the country.
M&E Oversight and monitoring responsibilities:
Project Manager: The Project Manager is responsible for day-to-day project management and regular monitoring
of project results and risks, including social and environmental risks. The Project Manager will ensure that all
project staff maintain a high level of transparency, responsibility and accountability in M&E and reporting of
project results. The Project Manager will inform the Project Board, the UNDP Country Office and the UNDP-GEF
RTA of any delays or difficulties as they arise during implementation so that appropriate support and corrective
measures can be adopted.
The Project Manager will develop annual work plans based on the multi-year work plan included in Annex A,
including annual output targets to support the efficient implementation of the project. The Project Manager will
ensure that the standard UNDP and GEF M&E requirements are fulfilled to the highest quality. This includes, but is
not limited to, ensuring the results framework indicators are monitored annually in time for evidence-based
reporting in the GEF PIR, and that the monitoring of risks and the various plans/strategies developed to support
project implementation (e.g. gender strategy, KM strategy etc..) occur on a regular basis.
Project Board: The Project Board will take corrective action as needed to ensure the project achieves the desired
results. The Project Board will hold project reviews to assess the performance of the project and appraise the
Annual Work Plan for the following year. In the project’s final year, the Project Board will hold an end-of-project
review to capture lessons learned and discuss opportunities for scaling up and to highlight project results and
lessons learned with relevant audiences. This final review meeting will also discuss the findings outlined in the
project terminal evaluation report and the management response.
Project Implementing Partner: The Implementing Partner is responsible for providing any and all required
information and data necessary for timely, comprehensive and evidence-based project reporting, including results
and financial data, as necessary and appropriate. The Implementing Partner will strive to ensure project-level M&E
is undertaken by national institutes, and is aligned with national systems so that the data used by and generated
by the project supports national systems.
UNDP Country Office: The UNDP Country Office will support the Project Manager as needed, including through
annual supervision missions. The annual supervision missions will take place according to the schedule outlined in
the annual work plan. Supervision mission reports will be circulated to the project team and Project Board within
one month of the mission. The UNDP Country Office will initiate and organize key GEF M&E activities. The UNDP
14
See https://www.thegef.org/gef/policies_guidelines
UNDP Environmental Finance
Services
Page 48
Country Office will also ensure that the standard UNDP and GEF M&E requirements are fulfilled to the highest
quality.
The UNDP Country Office is responsible for complying with all UNDP project-level M&E requirements as outlined in
the UNDP POPP. This includes ensuring the UNDP Quality Assurance Assessment during implementation is
undertaken annually; that annual targets at the output level are developed, and monitored and reported using
UNDP corporate systems; the regular updating of the ATLAS risk log; and, the updating of the UNDP gender marker
on an annual basis based on gender mainstreaming progress reported in the UNDP ROAR. Any quality concerns
flagged during these M&E activities must be addressed by the UNDP Country Office and the Project Manager.
The UNDP Country Office will retain all M&E records for this project for up to seven years after project financial
closure in order to support ex-post evaluations undertaken by the UNDP Independent Evaluation Office (IEO)
and/or the GEF Independent Evaluation Office (IEO).
UNDP-GEF Unit: Additional M&E and implementation quality assurance and troubleshooting support will be
provided by the UNDP-GEF Regional Technical Advisor and the UNDP-GEF Directorate as needed.
Audit: The project will be audited according to UNDP Financial Regulations and Rules and applicable audit policies
on NIM implemented projects.15
Additional GEF monitoring and reporting requirements:
Inception Workshop and Report: A project inception workshop will be held within two months after the project
document has been signed by all relevant parties to, amongst others:
a) Re-orient project stakeholders to the project strategy and discuss any changes in the overall context that
influence project strategy and implementation;
b) Discuss the roles and responsibilities of the project team, including reporting and communication lines and
conflict resolution mechanisms;
c) Review the results framework and finalize the indicators, means of verification and monitoring plan;
d) Discuss reporting, monitoring and evaluation roles and responsibilities and finalize the M&E budget; identify
national/regional institutes to be involved in project-level M&E; discuss the role of the GEF OFP in M&E;
e) Update and review responsibilities for monitoring the various project plans and strategies, including the risk log;
Environmental and Social Management Plan and other safeguard requirements; the gender strategy; the
knowledge management strategy, and other relevant strategies;
f) Review financial reporting procedures and mandatory requirements, and agree on the arrangements for the
annual audit; and
g) Plan and schedule Project Board meetings and finalize the first year annual work plan.
The Project Manager will prepare the inception report no later than one month after the inception workshop. The
inception report will be cleared by the UNDP Country Office and the UNDP-GEF Regional Technical Adviser, and
will be approved by the Project Board.
15
See guidance here: https://info.undp.org/global/popp/frm/pages/financial-management-and-execution-modalities.aspx
UNDP Environmental Finance
Services
Page 49
Bi-annual progress:
Status Survey Questionnaires to indicate progress and identify bottlenecks as well as technical support needs will
be carried out twice a year, in line with GEF and UNFCCC reporting requirements for NCs and BURs.
Lessons learned and knowledge generation: Results from the project will be disseminated within and beyond the
project intervention area through existing information sharing networks and forums. The project will identify and
participate, as relevant and appropriate, in scientific, policy-based and/or any other networks, which may be of
benefit to the project. The project will identify, analyse and share lessons learned that might be beneficial to the
design and implementation of similar projects and disseminate these lessons widely. There will be continuous
information exchange between this project and other projects of similar focus in the same country, region and
globally.
Final Report: The project’s terminal PIR along with the terminal evaluation (TE) report and corresponding
management response will serve as the final project report package. The final project report package shall be
discussed with the Project Board during an end-of-project review meeting to discuss lesson learned and
opportunities for scaling up.
End of Project:
During the last three months, the project team will prepare the Project Terminal Report (Annex ). This
comprehensive report will summarize the results achieved (objectives, outcomes, outputs), lessons learned,
problems met and areas where results may not have been achieved. It will also lay out recommendations for any
further steps that may need to be taken to ensure sustainability and replicability of the project’s results.
.
M& E workplan and budget
UNDP Environmental Finance
Services
Page 50
Type of M&E activity
Responsible Parties
Budget US$
Time frame
Excluding project team
staff time
Inception Workshop and
Report
Within first two months
of project start up


Project Manager
UNDP CO, UNDP GEF
Indicative cost: 10,000
Measurement of Means
of Verification of project
results.

UNDP GEF RTA/Project Manager will
oversee the hiring of specific studies and
institutions, and delegate responsibilities
to relevant team members.
To be finalized in Inception
Phase and Workshop.
Start, mid and end of
project (during
evaluation cycle) and
annually when
required.
Measurement of Means
of Verification for Project
Progress on output and
implementation


Oversight by Project Manager
Project team
To be determined as part
of the Annual Work Plan's
preparation.
Annually prior to
ARR/PIR and to the
definition of annual
work plans
ARR/PIR





Project manager and team
UNDP CO
UNDP RTA
UNDP EEG
Project manager and team
None
Not applicable
None
Quarterly
Mid-term Evaluation




None
Not applicable for EA
projects
Final Evaluation




Project manager and team
UNDP CO
UNDP RCU
External Consultants (i.e. evaluation
team)
Project manager and team,
UNDP CO
UNDP RCU
External Consultants (i.e. evaluation
team)
None
Not applicable for EA
projects
Periodic status/ progress
reports
Project Terminal Report
Audit
Visits to field sites



Project manager and team
UNDP CO
local consultant


UNDP CO
Project manager and team



UNDP CO
UNDP RCU (as appropriate)
Government representatives
0
At least three months
before the end of the
project
Indicative cost per year:
3,000
Yearly
For GEF supported projects,
paid from IA fees and
operational budget
Yearly
TOTAL indicative COST
US$
Excluding project team staff time and UNDP staff and travel expenses
(+/- 5% of total budget)
UNDP Environmental Finance
Services
Page 51
UNDP Environmental Finance
Services
Page 52
6. LEGAL CONTEXT
Standard text has been inserted in the template. It should be noted that although there is no specific statement on the
responsibility for the safety and security of the executing agency in the SBAA and the supplemental provisions, the second
paragraph of the inserted text should read in line with the statement as specified in SBAA and the supplemental provision, i.e.
“the Parties may agree that an Executing Agency shall assume primary responsibility for execution of a project.”
If the country has signed the Standard Basic Assistance Agreement (SBAA), the following standard text must be quoted:
This document together with the CPAP signed by the Government and UNDP which is incorporated by reference constitute
together a Project Document as referred to in the SBAA [or other appropriate governing agreement] and all CPAP provisions
apply to this document.
Consistent with the Article III of the Standard Basic Assistance Agreement, the responsibility for the safety and security of the
implementing partner and its personnel and property, and of UNDP’s property in the implementing partner’s custody, rests
with the implementing partner.
The implementing partner shall:
a)
put in place an appropriate security plan and maintain the security plan, taking into account the security situation in the
country where the project is being carried;
b) assume all risks and liabilities related to the implementing partner’s security, and the full implementation of the security
plan.
UNDP reserves the right to verify whether such a plan is in place, and to suggest modifications to the plan when necessary.
Failure to maintain and implement an appropriate security plan as required hereunder shall be deemed a breach of this
agreement.
The implementing partner agrees to undertake all reasonable efforts to ensure that none of the UNDP funds received pursuant
to the Project Document are used to provide support to individuals or entities associated with terrorism and that the recipients
of any amounts provided by UNDP hereunder do not appear on the list maintained by the Security Council Committee
established pursuant to resolution 1267 (1999). The list can be accessed via
http://www.un.org/Docs/sc/committees/1267/1267ListEng.htm. This provision must be included in all sub-contracts or subagreements entered into under this Project Document.
If the country has not signed the SBAA, the following standard text must be quoted:
This document together with the CPAP signed by the Government and UNDP which is incorporated by reference constitute
together the instrument envisaged in the Supplemental Provisions to the Project Document, attached hereto.
Consistent with the above Supplemental Provisions, the responsibility for the safety and security of the implementing partner
and its personnel and property, and of UNDP’s property in the implementing partner’s custody, rests with the implementing
partner.
The implementing partner shall:
a)
put in place an appropriate security plan and maintain the security plan, taking into account the security situation in the
country where the project is being carried;
UNDP Environmental Finance
Services
Page 53
b) assume all risks and liabilities related to the implementing partner’s security, and the full implementation of the security
plan.
UNDP reserves the right to verify whether such a plan is in place, and to suggest modifications to the plan when necessary.
Failure to maintain and implement an appropriate security plan as required hereunder shall be deemed a breach of this
agreement.
The implementing partner agrees to undertake all reasonable efforts to ensure that none of the UNDP funds received pursuant
to the Project Document are used to provide support to individuals or entities associated with terrorism and that the recipients
of any amounts provided by UNDP hereunder do not appear on the list maintained by the Security Council Committee
established pursuant to resolution 1267 (1999). The list can be accessed via
http://www.un.org/Docs/sc/committees/1267/1267ListEng.htm. This provision must be included in all sub-contracts or subagreements entered into under this Project Document.
The following standard text for a global/ multi country and regional projects should be included:
This project forms part of an overall programmatic framework under which several separate associated country level
activities will be implemented. When assistance and support services are provided from this Project to the associated
country level activities, this document shall be the “Project Document” instrument referred to in: (i) the respective
signed SBAAs for the specific countries; or (ii) in the Supplemental Provisions attached to the Project Document in
cases where the recipient country has not signed an SBAA with UNDP, attached hereto and forming an integral part
hereof.
This project will be implemented by the agency (name of agency) (“Implementing Partner”) in accordance with its financial
regulations, rules, practices and procedures only to the extent that they do not contravene the principles of the Financial
Regulations and Rules of UNDP. Where the financial governance of an Implementing Partner does not provide the required
guidance to ensure best value for money, fairness, integrity, transparency, and effective international competition, the financial
governance of UNDP shall apply.
The responsibility for the safety and security of the Implementing Partner and its personnel and property, and of UNDP’s
property in the Implementing Partner’s custody, rests with the Implementing Partner. The Implementing Partner shall: (a) put
in place an appropriate security plan and maintain the security plan, taking into account the security situation in the country
where the project is being carried; (b) assume all risks and liabilities related to the Implementing Partner’s security, and the full
implementation of the security plan. UNDP reserves the right to verify whether such a plan is in place, and to suggest
modifications to the plan when necessary. Failure to maintain and implement an appropriate security plan as required
hereunder shall be deemed a breach of this agreement.
The Implementing Partner agrees to undertake all reasonable efforts to ensure that none of the UNDP funds received pursuant
to the Project Document are used to provide support to individuals or entities associated with terrorism and that the recipients
of any amounts provided by UNDP hereunder do not appear on the list maintained by the Security Council Committee
established pursuant to resolution 1267 (1999). The list can be accessed via
http://www.un.org/Docs/sc/committees/1267/1267ListEng.htm. This provision must be included in all sub-contracts or subagreements entered into under this Project Document.
UNDP Environmental Finance
Services
Page 54
7.
MANDATORY ANNEXES
A. Multi year Workplan (see template below)
B.
Terms of Reference for Project Board, Project Manager, Chief Technical Advisor and other positions as
appropriate
C.
UNDP Social and Environmental and Social Screening Template (SESP)
D. UNDP Project Quality Assurance Report (to be completed by UNDP Country Office)
E.
UNDP Risk Log (to be completed by UNDP Country Office)
F.
Results of the capacity assessment of the project implementing partner and HACT micro assessment (to
be completed by UNDP Country Office)
G. Any additional agreements, such as cost sharing agreements, project cooperation agreements signed with
NGOs (where the NGO is designated as the “executing entity”), letters of financial commitments, GEF OFP
letter, GEF PIFs and other templates for all project types, LOA with the government in case DPCs are
applied should be attached.
H. ANNEX H. FINAL REPORT OF [COUNTRY’S NAME] NATIONAL COMMUNICATION’S / BIENNIAL UPDATE
REPORT’S PROJECT
Annex A. Multi Year Work Plan:
Tas
k
Responsi
ble Party
Year 1
Q
1
Q
2
Q
3
Year 2
Q
4
Q
1
Q
2
Q
3
Year 3
Q
4
Q
1
Q
2
Q
3
Year 4
Q
4
Q
1
Q
2
Q
3
Year 5
Q
4
Q
1
Q
2
UNDP Environmental Finance
Services
Page 55
Q
3
Q
4
UNDP Environmental Finance
Services
Page 56
Annex B. Terms of Reference for Project Board, Project Manager, Chief Technical Advisor and other positions as
appropriate
UNDP Environmental Finance
Services
Page 57
UNDP Environmental Finance
Services
Page 58
Annex C. UNDP Social and Environmental and Social Screening Template (SESP)
The completed template, which constitutes the Social and Environmental Screening Report, must be included as an annex to the Project
Document. Please refer to the Social and Environmental Screening Procedure for guidance on how to answer the 6 questions.]
Project Information
Project Information
1.
Project Title
2.
Project Number
3.
Location (Global/Region/Country)
Part A. Integrating Overarching Principles to Strengthen Social and Environmental Sustainability
QUESTION 1: How Does the Project Integrate the Overarching Principles in order to Strengthen Social and Environmental Sustainability?
Briefly describe in the space below how the Project mainstreams the human-rights based approach
Briefly describe in the space below how the Project is likely to improve gender equality and women’s empowerment
Briefly describe in the space below how the Project mainstreams environmental sustainability
UNDP Environmental Finance Services
Page 25
Part B. Identifying and Managing Social and Environmental Risks
QUESTION 2: What are the
Potential Social and
Environmental Risks?
Note: Describe briefly potential social
and environmental risks identified in
Attachment 1 – Risk Screening Checklist
(based on any “Yes” responses).
Risk Description
QUESTION 3: What is the level of significance of
the potential social and environmental risks?
Note: Respond to Questions 4 and 5 below before proceeding
to Question 6
Impact and
Probability
(1-5)
Significance
(Low,
Moderate,
High)
Comments
QUESTION 6: What social and environmental
assessment and management measures have
been conducted and/or are required to address
potential risks (for Risks with Moderate and High
Significance)?
Description of assessment and management measures as
reflected in the Project design. If ESIA or SESA is required
note that the assessment should consider all potential
impacts and risks.
I=
Risk 1: ….
P=
I=
Risk 2 ….
P=
I=
Risk 3: ….
P=
Risk 4: ….
UNDP Environmental Finance Services
I=
Page 60
P=
[add additional rows as needed]
QUESTION 4: What is the overall Project risk categorization?
Select one (see SESP for guidance)
Comments
Low Risk
☐
Moderate Risk
☐
High Risk
☐
QUESTION 5: Based on the identified risks and risk
categorization, what requirements of the SES are
relevant?
Check all that apply
UNDP Environmental Finance Services
Comments
Principle 1: Human Rights
☐
Principle 2: Gender Equality and Women’s
Empowerment
☐
1. Biodiversity Conservation and Natural Resource
Management
☐
2. Climate Change Mitigation and Adaptation
☐
3. Community Health, Safety and Working Conditions
☐
4. Cultural Heritage
☐
Page 61
5. Displacement and Resettlement
☐
6. Indigenous Peoples
☐
7. Pollution Prevention and Resource Efficiency
☐
Final Sign Off
Signature
Date
Description
QA Assessor
UNDP staff member responsible for the Project, typically a UNDP Programme Officer. Final signature
confirms they have “checked” to ensure that the SESP is adequately conducted.
QA Approver
UNDP senior manager, typically the UNDP Deputy Country Director (DCD), Country Director
(CD), Deputy Resident Representative (DRR), or Resident Representative (RR). The QA
Approver cannot also be the QA Assessor. Final signature confirms they have “cleared” the
SESP prior to submittal to the PAC.
PAC Chair
UNDP chair of the PAC. In some cases PAC Chair may also be the QA Approver. Final signature
confirms that the SESP was considered as part of the project appraisal and considered in
recommendations of the PAC.
UNDP Environmental Finance Services
Page 62
SESP Attachment 1. Social and Environmental Risk Screening Checklist
Checklist Potential Social and Environmental Risks
Answer
(Yes/No)
Principles 1: Human Rights
1.
Could the Project lead to adverse impacts on enjoyment of the human rights (civil, political, economic,
social or cultural) of the affected population and particularly of marginalized groups?
2.
Is there a likelihood that the Project would have inequitable or discriminatory adverse impacts on affected
populations, particularly people living in poverty or marginalized or excluded individuals or groups? 16
3.
Could the Project potentially restrict availability, quality of and access to resources or basic services, in
particular to marginalized individuals or groups?
4.
Is there a likelihood that the Project would exclude any potentially affected stakeholders, in particular
marginalized groups, from fully participating in decisions that may affect them?
5.
Are there measures or mechanisms in place to respond to local community grievances?
6.
Is there a risk that duty-bearers do not have the capacity to meet their obligations in the Project?
7.
Is there a risk that rights-holders do not have the capacity to claim their rights?
8.
Have local communities or individuals, given the opportunity, raised human rights concerns regarding the
Project during the stakeholder engagement process?
9.
Is there a risk that the Project would exacerbate conflicts among and/or the risk of violence to projectaffected communities and individuals?
Principle 2: Gender Equality and Women’s Empowerment
1.
Is there a likelihood that the proposed Project would have adverse impacts on gender equality and/or the
situation of women and girls?
2.
Would the Project potentially reproduce discriminations against women based on gender, especially
regarding participation in design and implementation or access to opportunities and benefits?
3.
Have women’s groups/leaders raised gender equality concerns regarding the Project during the
stakeholder engagement process and has this been included in the overall Project proposal and in the risk
assessment?
16
Prohibited grounds of discrimination include race, ethnicity, gender, age, language, disability, sexual orientation, religion, political or
other opinion, national or social or geographical origin, property, birth or other status including as an indigenous person or as a member of
a minority. References to “women and men” or similar is understood to include women and men, boys and girls, and other groups
discriminated against based on their gender identities, such as transgender people and transsexuals.
UNDP Environmental Finance Services
Page 63
3.
Would the Project 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 environmental goods and
services?
For example, activities that could lead to natural resources degradation or depletion in communities who
depend on these resources for their livelihoods and well being
Principle 3: Environmental Sustainability: Screening questions regarding environmental risks are encompassed by
the specific Standard-related questions below
Standard 1: Biodiversity Conservation and Sustainable Natural Resource Management
1.1
Would the Project potentially cause adverse impacts to habitats (e.g. modified, natural, and critical
habitats) and/or ecosystems and ecosystem services?
For example, through habitat loss, conversion or degradation, fragmentation, hydrological changes
1.2
Are any Project activities proposed within or adjacent to critical habitats and/or environmentally sensitive
areas, including legally protected areas (e.g. nature reserve, national park), areas proposed for protection,
or recognized as such by authoritative sources and/or indigenous peoples or local communities?
1.3
Does the Project involve changes to the use of lands and resources that may have adverse impacts on
habitats, ecosystems, and/or livelihoods? (Note: if restrictions and/or limitations of access to lands would
apply, refer to Standard 5)
1.4
Would Project activities pose risks to endangered species?
1.5
Would the Project pose a risk of introducing invasive alien species?
1.6
Does the Project involve harvesting of natural forests, plantation development, or reforestation?
1.7
Does the Project involve the production and/or harvesting of fish populations or other aquatic species?
1.8
Does the Project involve significant extraction, diversion or containment of surface or ground water?
For example, construction of dams, reservoirs, river basin developments, groundwater extraction
1.9
Does the Project involve utilization of genetic resources? (e.g. collection and/or harvesting, commercial
development)
1.10
Would the Project generate potential adverse transboundary or global environmental concerns?
1.11
Would the Project result in secondary or consequential development activities which could lead to adverse
social and environmental effects, or would it generate cumulative impacts with other known existing or
planned activities in the area?
For example, a new road through forested lands will generate direct environmental and social impacts (e.g.
felling of trees, earthworks, potential relocation of inhabitants). The new road may also facilitate
encroachment on lands by illegal settlers or generate unplanned commercial development along the route,
potentially in sensitive areas. These are indirect, secondary, or induced impacts that need to be considered.
UNDP Environmental Finance Services
Page 64
Also, if similar developments in the same forested area are planned, then cumulative impacts of multiple
activities (even if not part of the same Project) need to be considered.
Standard 2: Climate Change Mitigation and Adaptation
2.1
Will the proposed Project result in significant17 greenhouse gas emissions or may exacerbate climate
change?
2.2
Would the potential outcomes of the Project be sensitive or vulnerable to potential impacts of climate
change?
2.3
Is the proposed Project likely to directly or indirectly increase social and environmental vulnerability to
climate change now or in the future (also known as maladaptive practices)?
For example, changes to land use planning may encourage further development of floodplains, potentially
increasing the population’s vulnerability to climate change, specifically flooding
Standard 3: Community Health, Safety and Working Conditions
3.1
Would elements of Project construction, operation, or decommissioning pose potential safety risks to local
communities?
3.2
Would the Project pose potential risks to community health and safety due to the transport, storage, and
use and/or disposal of hazardous or dangerous materials (e.g. explosives, fuel and other chemicals during
construction and operation)?
3.3
Does the Project involve large-scale infrastructure development (e.g. dams, roads, buildings)?
3.4
Would failure of structural elements of the Project pose risks to communities? (e.g. collapse of buildings or
infrastructure)
3.5
Would the proposed Project be susceptible to or lead to increased vulnerability to earthquakes,
subsidence, landslides, erosion, flooding or extreme climatic conditions?
3.6
Would the Project result in potential increased health risks (e.g. from water-borne or other vector-borne
diseases or communicable infections such as HIV/AIDS)?
3.7
Does the Project pose potential risks and vulnerabilities related to occupational health and safety due to
physical, chemical, biological, and radiological hazards during Project construction, operation, or
decommissioning?
3.8
Does the Project involve support for employment or livelihoods that may fail to comply with national and
international labor standards (i.e. principles and standards of ILO fundamental conventions)?
3.9
Does the Project engage security personnel that may pose a potential risk to health and safety of
communities and/or individuals (e.g. due to a lack of adequate training or accountability)?
17
In regards to CO2, ‘significant emissions’ corresponds generally to more than 25,000 tons per year (from both direct and indirect sources).
[The Guidance Note on Climate Change Mitigation and Adaptation provides additional information on GHG emissions.]
UNDP Environmental Finance Services
Page 65
Standard 4: Cultural Heritage
4.1
Will the proposed Project result in interventions that would potentially adversely impact sites, structures,
or objects with historical, cultural, artistic, traditional or religious values or intangible forms of culture (e.g.
knowledge, innovations, practices)? (Note: Projects intended to protect and conserve Cultural Heritage
may also have inadvertent adverse impacts)
4.2
Does the Project propose utilizing tangible and/or intangible forms of cultural heritage for commercial or
other purposes?
Standard 5: Displacement and Resettlement
5.1
Would the Project potentially involve temporary or permanent and full or partial physical displacement?
5.2
Would the Project possibly result in economic displacement (e.g. loss of assets or access to resources due
to land acquisition or access restrictions – even in the absence of physical relocation)?
5.3
Is there a risk that the Project would lead to forced evictions?18
5.4
Would the proposed Project possibly affect land tenure arrangements and/or community based property
rights/customary rights to land, territories and/or resources?
Standard 6: Indigenous Peoples
6.1
Are indigenous peoples present in the Project area (including Project area of influence)?
6.2
Is it likely that the Project or portions of the Project will be located on lands and territories claimed by
indigenous peoples?
6.3
Would the proposed Project potentially affect the rights, lands and territories of indigenous peoples
(regardless of whether Indigenous Peoples possess the legal titles to such areas)?
6.4
Has there been an absence of culturally appropriate consultations carried out with the objective of
achieving FPIC on matters that may affect the rights and interests, lands, resources, territories and
traditional livelihoods of the indigenous peoples concerned?
6.4
Does the proposed Project involve the utilization and/or commercial development of natural resources on
lands and territories claimed by indigenous peoples?
6.5
Is there a potential for forced eviction or the whole or partial physical or economic displacement of
indigenous peoples, including through access restrictions to lands, territories, and resources?
6.6
Would the Project adversely affect the development priorities of indigenous peoples as defined by them?
18
Forced evictions include acts and/or omissions involving the coerced or involuntary displacement of individuals, groups, or communities
from homes and/or lands and common property resources that were occupied or depended upon, thus eliminating the ability of an
individual, group, or community to reside or work in a particular dwelling, residence, or location without the provision of, and access to,
appropriate forms of legal or other protections.
UNDP Environmental Finance Services
Page 66
6.7
Would the Project potentially affect the traditional livelihoods, physical and cultural survival of indigenous
peoples?
6.8
Would the Project potentially affect the Cultural Heritage of indigenous peoples, including through the
commercialization or use of their traditional knowledge and practices?
Standard 7: Pollution Prevention and Resource Efficiency
7.1
Would the Project potentially result in the release of pollutants to the environment due to routine or nonroutine circumstances with the potential for adverse local, regional, and/or transboundary impacts?
7.2
Would the proposed Project potentially result in the generation of waste (both hazardous and nonhazardous)?
7.3
Will the proposed Project potentially involve the manufacture, trade, release, and/or use of hazardous
chemicals and/or materials? Does the Project propose use of chemicals or materials subject to
international bans or phase-outs?
For example, DDT, PCBs and other chemicals listed in international conventions such as the Stockholm
Conventions on Persistent Organic Pollutants or the Montreal Protocol
7.4
Will the proposed Project involve the application of pesticides that may have a negative effect on the
environment or human health?
7.5
Does the Project include activities that require significant consumption of raw materials, energy, and/or
water?
UNDP Environmental Finance Services
Page 67
Annex D. UNDP Project Quality Assurance Report (to be completed by UNDP Country Office)
UNDP Environmental Finance Services
Page 68
Annex E. UNDP Risk Log (to be completed by UNDP Country Office)
Risk Analysis. Use the standard UNDP Atlas Risk Log template. For UNDP GEF projects in particular, please outline the risk management
measures including improving resilience to climate change that the project proposes to undertake.
UNDP Environmental Finance Services
Page 69
UNDP Environmental Finance Services
Page 70
Annex F. Results of the capacity assessment of the project implementing partner and HACT micro assessment (to be completed by UNDP
Country Office)
UNDP Environmental Finance Services
Page 71
Annex G. STANDARD LETTER OF AGREEMENT BETWEEN UNDP AND THE GOVERNMENT FOR THE PROVISION OF
SUPPORT SERVICES
UNDP Environmental Finance Services
Page 72
Dear [name of government official],
1.
Reference is made to consultations between officials of the Government of [the name of programme
country] (hereinafter referred to as “the Government”) and officials of UNDP with respect to the provision of
support services by the UNDP country office for nationally managed programmes and projects. UNDP and the
Government hereby agree that the UNDP country office may provide such support services at the request of the
Government through its institution designated in the relevant programme support document or project document,
as described below.
2.
The UNDP country office may provide support services for assistance with reporting requirements and direct
payment. In providing such support services, the UNDP country office shall ensure that the capacity of the
Government-designated institution is strengthened to enable it to carry out such activities directly. The costs
incurred by the UNDP country office in providing such support services shall be recovered from the administrative
budget of the office.
3.
The UNDP country office may provide, at the request of the designated institution, the following support
services for the activities of the programme/project:
(a)
Identification and/or recruitment of project and programme personnel;
(b)
Identification and facilitation of training activities;
(a) Procurement of goods and services;
4.
The procurement of goods and services and the recruitment of project and programme personnel by the
UNDP country office shall be in accordance with the UNDP regulations, rules, policies and procedures. Support
services described in paragraph 3 above shall be detailed in an annex to the programme support document or
project document, in the form provided in the Attachment hereto. If the requirements for support services by the
country office change during the life of a programme or project,
UNDP Environmental Finance Services
Page 73
the annex to the programme support document or project document is revised with the mutual agreement of the
UNDP resident representative and the designated institution.
5.
The relevant provisions of the [Insert title and date of the UNDP standard basic assistance agreement with
the Government] (the “SBAA”), including the provisions on liability and privileges and immunities, shall apply to the
provision of such support services. The Government shall retain overall responsibility for the nationally managed
programme or project through its designated institution. The responsibility of the UNDP country office for the
provision of the support services described herein shall be limited to the provision of such support services detailed
in the annex to the programme support document or project document.
6.
Any claim or dispute arising under or in connection with the provision of support services by the UNDP
country office in accordance with this letter shall be handled pursuant to the relevant provisions of the SBAA.
7.
The manner and method of cost-recovery by the UNDP country office in providing the support services
described in paragraph 3 above shall be specified in the annex to the programme support document or project
document.
8.
The UNDP country office shall submit progress reports on the support services provided and shall report on
the costs reimbursed in providing such services, as may be required.
9.
Any modification of the present arrangements shall be effected by mutual written agreement of the parties
hereto.
10.
If you are in agreement with the provisions set forth above, please sign and return to this office two signed
copies of this letter. Upon your signature, this letter shall constitute an agreement between your Government and
UNDP on the terms and conditions for the provision of support services by the UNDP country office for nationally
managed programmes and projects.
Yours sincerely,
________________________
Signed on behalf of UNDP
[Name]
[Title: Resident Representative]
_____________________
For the Government
[Name/title]
UNDP Environmental Finance Services
Page 74
[Date]
Attachment
DESCRIPTION OF UNDP COUNTRY OFFICE SUPPORT SERVICES
Reference is made to consultations between [insert name of Designated institution], the institution
designated by the Government of [name of programme country] and officials of UNDP with respect to the provision
of support services by the UNDP country office for the nationally managed programme or project [insert programme
or project number and title], “the Programme” [or “the Project”].
1.
2.
In accordance with the provisions of the letter of agreement signed on [insert date of agreement] and the
programme support document [or project document], the UNDP country office shall provide support services for the
Programme [or Project] as described below.
3.
Support services to be provided:
Support services
Schedule for the provision
(insert description) of the support services
Cost to UNDP of providing
such support services
(where appropriate)
Amount and method of
reimbursement of UNDP (where
appropriate)
1.
2.
3.
4.
Description of functions and responsibilities of the parties involved:
UNDP Environmental Finance Services
Page 75
Annex H. FINAL REPORT OF [country’s name] NATIONAL COMMUNICATION’S / BIENNIAL UPDATE
REPORT’S PROJECT
Monitoring and Evaluation plans of climate change enabling activities for the preparation of National
Communications on Climate Change and/or Biennial Update Reports do not require the production and
publication of Terminal Evaluation Reports. Therefore, a number of intended purposes of such terminal
exercises are not captured in full, including:




The promotion of accountability and transparency, and the assessment and disclosure of the extent
of the project accomplishments;
A synthesis of lessons that can help to improve the selection, design and implementation of future
GEF financed UNDP activities;
The provision of feedback on issues that are recurrent across the portfolio, attention needed, and
on improvements regarding previously identified issues; and
The contribution to the GEF Evaluation Office databases for aggregation, analysis and reporting on
effectiveness of GEF operations in achieving global environmental benefits and on the quality of
monitoring and evaluation across the GEF system.
The intent of this Final Report is not to propose an abridged alternative to the Terminal Evaluation Report.
Instead, its purpose is to gather some insightful details about the process of preparing the mandatory report
under the UNFCCC that can be of use to both the UNDP support teams, and the current and future national
project teams. Its focus is therefore on providing:


A synthesis of lessons that can help to improve the selection, design and implementation of future
GEF financed UNDP activities; and
Feedback on issues that are recurrent across the portfolio, attention needed, and on improvements
regarding previously identified issues.
National project teams in charge of the future enabling activity for the preparation of the National
Communication or Biennial Update Report can therefore rely on a valuable source of information from
inception to closure of the project, and UNDP support teams can further disseminate lessons across borders,
fully up-taking its guiding role as implementing agency and partner within the Global Support Programme
(GSP, previously known as National Communications Support Programme).
The template has been designed with the purpose of collecting relevant information, without representing a
time-intensive and human resource-intensive burden to the current national project team. It is therefore
divided into three core sections – project identification phase, project implementation phase and project
follow-up –with for each section a limited number of open questions.
The intention is to have the team leader, project manager or equivalent figure completing the template, in
close collaboration with other team members within the last two months of project implementation. It is
furthermore the intention of the completion of this Final Report to trigger the discussions of the upcoming
National Communication and/or Biennial Update Report, taking advantage of the momentum created by the
ongoing project, the presence of the core of the current national project team, and the renewed interest of
national counterparts with the perspectives of an eminent or recent submission to the UNFCCC.
UNDP Environmental Finance
Services
Page 76
The completion of this template has been made mandatory and has been budgeted for in all projects that
received approval post 2013 (3 working days equivalent of project manager’s time). You are kindly invited to
send the completed template to Damiano Borgogno, [email protected] and to Eva Huttova,
[email protected].
UNDP Environmental Finance
Services
Page 77
A. Details of the project
Project’s title
PIMS number
Overall budget
including GEF grant
including co-financing
Duration of implementation
Planned duration of project
Implementing partner
Team Leader’s name and
contact details
Link to final report
B. Project identification phase
Duration of preparatory phase (expressed in months) ________________________________________
Was the project document developed by a national/international consultant? (Please, provide name if yes
and expand on the satisfaction of this collaboration.)
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
Please, shortly describe the milestones of this initial preparatory phase (e.g. consultation workshops held,
telephone interviews with key stakeholders, among others)
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
UNDP Environmental Finance
Services
Page 78
Where consultations made with one or more of the following stakeholder groups?
Ministry of Finance (or equivalent)
Women’s associations
Other Ministries (not being the Ministry in
charge of climate change)
Youth movements
Local Governments
Indigenous peoples’ representatives
National universities
Environment or climate related NGOs
Domestic Research Centers
Other NGOs/CSOs
Media
Others (specify)
What were the main objectives for the project identified as a result of this preparatory phase?
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
What were the major challenges faced during this phase?
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
Looking back, what issues that were identified and/or overlooked during this preparatory phase had an
impact on the successive implementation phase?
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
UNDP Environmental Finance
Services
Page 79
____________________________________________________________________________________
C.
Project implementation phase
Technical components
1.
GHG inventory
Base year of the GHG inventory:
Base years used in previous GHG inventories:
Expected outcome
Expected output 1
Expected output 2
Expected output 3
Final outcome
Final output 1
Final output 2
Final output 3
…
Please, shortly discuss the expected outcomes and outputs of the GHG inventory component, and compare
to what was actually realized within the context of this project. If there was any diverting from the originally
expected outcomes and outputs, please explain the causes (e.g. lack of data, risk of duplication of work done
in the context of parallel projects, among others).
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
Can you describe the process(es) implemented to generate and validate outcomes and outputs?
____________________________________________________________________________________
UNDP Environmental Finance
Services
Page 80
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
What pieces of advice do you have for future project teams?
____________________________________________________________________________________
____________________________________________________________________________________
2.
Mitigation actions
Expected outcome(s)
Expected output 1
Expected output 2
Expected output 3
…
Final outcome(s)
Final output 1
Final output 2
Final output 3
…
Please, shortly discuss the expected outcomes and outputs of the vulnerability and adaptation measures
and mitigation measures components, and compare to what was actually realized within the context of this
project. If there was any diverting from the originally expected outcomes and outputs, please explain the
causes (e.g. lack of data, risk of duplication of work done in the context of parallel projects, among others).
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
UNDP Environmental Finance
Services
Page 81
Can you describe the process(es) implemented to generate and validate outcomes and outputs?
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
What pieces of advice do you have for future project teams?
________________________________________________________________________________________
________________________________________________________________________________
3.
Vulnerability & Adaptation for NC or MRV for BUR
Expected outcome(s)
Expected output 1
Expected output 2
Expected output 3
…
Final outcome(s)
Final output 1
Final output 2
Final output 3
…
Please, shortly discuss the expected outcomes and outputs of the vulnerability and adaptation measures
and mitigation measures components, and compare to what was actually realized within the context of this
project. If there was any diverting from the originally expected outcomes and outputs, please explain the
main reasons (e.g. lack of data, risk of duplication of work done in the context of parallel projects, among
others).
____________________________________________________________________________________
UNDP Environmental Finance
Services
Page 82
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
Can you describe the process(es) implemented to generate and validate outcomes and outputs?
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
What pieces of advice do you have for future project teams?
____________________________________________________________________________________
____________________________________________________________________________________
4.
Constraints and Gaps/Support needed
Expected outcome
Expected output 1
Expected output 2
Expected output 3
…
Final outcome
Final output 1
Final output 2
Final output 3
…
UNDP Environmental Finance
Services
Page 83
Please, shortly discuss the expected outcomes and outputs of the Constraints and gaps, and related
financial, technical and capacity needs component, and compare to what was actually realized within the
context of this project. If there was any diverting from the originally expected outcomes and outputs, please
explain the main reasons (e.g. lack of data, risk of duplication of work done in the context of parallel
projects, among others).
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
Can you describe the process(es) implemented to generate and validate outcomes and outputs?
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
What pieces of advice do you have for future project teams?
____________________________________________________________________________________
____________________________________________________________________________________
Capacities and use of capacities
Do you believe the project has built - in a durable and cost-effective way - human and institutional
capacities? Please, elaborate.
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
Please, estimate the amount of work done by national consultants versus international consultants:
______________% national consultants. ________________% international consultants and
____________% national staff.
What work was entrusted to international consultants and for what reasons?
UNDP Environmental Finance
Services
Page 84
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
What would you have done differently, or do you advise the next project team to consider in this context?
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
Additional remarks
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
Institutional arrangements
Please, summarize an overview of the institutional arrangements for the project implementation.
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
Please, describe the composition of the project team.
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
Will the team remain in place, even after the project has fully closed?
____________________________________________________________________________________
Were gender considerations taken into account during the project design and implementation? If so, how?
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
Which were the strengths and weaknesses of the institutional arrangements used?
UNDP Environmental Finance
Services
Page 85
--------------------------------------------What suggestions have you to make regarding the institutional arrangements for future NC/BUR work?
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
Additional remarks
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
Technical support from GSP, CGE, or other bodies
Has the project team, or members of the project team, participated in national, regional or global training
events organized by a center of excellence or above mentioned body during the course of the project? If yes,
please, specify the training event(s).
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
What has been the contribution of this participation to the project results?
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
What identified knowledge gaps holding back the proper implementation of the NC project could not be
addressed by any of the above mentioned bodies?
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
In addition to capacity building support, what other assistance did the project team receive during project
implementation? (E.g. review of draft report, technical backstopping of international expert)
____________________________________________________________________________________
____________________________________________________________________________________
UNDP Environmental Finance
Services
Page 86
____________________________________________________________________________________
Has UNDP provided timely and valuable support during project design and implementation? Please explain.
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
UNDP Environmental Finance
Services
Page 87
D. Next steps
How will findings of the project be further disseminated, if at all?
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
Are balance funds available under the NC/BUR project going to be used to identify the strategy of the next
report?
____________________________________________________________________________________
____________________________________________________________________________________
At full project closure, is there a person or institute to whom one can turn in case there are follow-up
questions to the NC/BUR?
____________________________________________________________________________________
____________________________________________________________________________________
Has the Government expressed interest to further work with UNDP on the next coming report? If no, please
explain.
____________________________________________________________________________________
____________________________________________________________________________________
UNDP Environmental Finance
Services
Page 88
E.
Date
Additional information
Name and e-mail address of
person who completed this
template
Others involved in completion
of this template (names of
individuals and their
institutions)
In case a terminal evaluation
report has been produced,
please link it here.
Other attachments
UNDP Environmental Finance
Services
Page 89