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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