AMAZON COOPERATION TREATY
ORGANIZATION (ACTO)
- Bolivia, Brazil, Colombia, Ecuador, Guyana, Peru, Suriname and Venezuela -
Financial Cooperation between the Federal Republic of Germany and ACTO
through the German Development Bank – KFW
Consulting services for the
FORMULATION OF A REGIONAL PROGRAM ON FOREST PROTECTION,
BIODIVERSITY CONSERVATION AND CLIMATE CHANGE (GERMAN FINANCIAL
COOPERATION WITH ACTO/KfW)
“REGIONAL PROGRAM TO MANAGE, MONITOR AND
CONTROL WILD FAUNA AND FLORA SPECIES ENDANGERED
BY TRADE”
Detailed Study
November 2013
GITEC Consult GmbH
Köln / Germany
in association with
TYPSA (Técnica y Proyectos, S.A.)
Madrid / Spain
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Index
1
INTRODUCTION………………………………………………..…………………
1
1.1
Origin of the initiative…………….……………………………………….…………
1
1.2
Conduction of the study………………………………………………………………. 2
2
PROGRAM CONCEPTUALIZATION AND DESIGN................................................ 4
2.1
Main challenges to be addressed by the program.......................................................... 3
2.3
Objectives and results: Logical Framework……………………………...…………
8
2.3
Planned components and measures
12
2.3.1
General considerations (Crosscutting issues)………………………………………
12
2.3.2
Component 1: National Information and knowledge management systems…………… 13
2.3.3
Component 2: Regional harmonization of national electronic permitting systems
2.3.4
Component 3: Strengthening sustainable management and monitoring processes in
21
chains of custody .......................................................................................................
25
2.4
Area of intervention and target population................................................................
32
2.5
Synergies and complementarity with other programs/projects...............................
34
2.6
Monitoring and Evaluation System…………………………………………..……… 35
2.7
Impact Assessment.......................................................................................................
38
2.8
Assumptions and Risks Assessment...........................................................................
40
3
PROGRAM ORGANIZATION AND IMPLEMENTATION ...
43
3.1.
Main stakeholders.............................
43
3.1.1
ACTO and its bodies..........................
43
3.1.2.
Institutions Involved in ACTO Member Countries............................
44
3.2
Structures and institutional arrangement for program management....................
45
3.2.1
Assigned duties and responsibilities.................
45
3.2.1.1 Collegial bodies..................................
45
3.2.1.2 PS/ACTO bodies....................................
46
3.2.1.3 Institutions of ACTO Member Countries..............
47
3.2.2
International consulting/advisory services..........
49
3.3
Program implementation........................
50
3.3.1
Pre-inception activities..........................
50
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3.3.2
Initial program activities...........................50
3.3.3
Program implementation activities on a national level................
51
3.3.4
Administrative procedures and resource allocation...........................
52
3.3.5
Operation and maintenance of investments...........
53
4
PROGRAM COSTS AND FUNDING.....................
54
4.1
Program Costs...................................
54
4.1.1
Costs by components and measures……………………………………..
54
4.1.2
Program management and operation.............
57
4.1.3
Costs of international consulting/advisory services.............
58
4.1.4
Investments, management and operations program (Schedule)............................
60
4.2
Program funding........................
66
4.2.1
German Financial Cooperation Contribution...............
66
4.2.2
ACTO Counterpart................................
66
4.2.3
Co-funding by Member Countries...............
66
4.2.4
Contributions from other donors and sources of funding.................
66
4.3
Sustainability of investments......................
66
BIBLIOGRAPHY……………………………………………………………………………
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ANNEXES
Chapter 1 Annexes:
Annex 1.1 Terms of Reference
Annex 1.2 Baseline situation and environment
Chapter 2 Annexes:
Annex 2.1 Proposed Logical Framework - Detailed description
Annex 2.2 PS/ACTO support to MC in knowledge management
Chapter 3 Annexes:
Annex 3.1 ACTO Organizational Chart
Annex 3.2 ACTO Bodies
Annex 3.3 PS/ACTO Organizational Chart
Annex 3.4 PS/ACTO Functions
Chapter 4 Annexes:
Annex 4.1 Costs of infrastructure/equipment and complementary training estimated by country Component 1.
Annex 4.2 Costs of infrastructure/equipment and complementary training estimated by country Component 2.
Annex 4.3 Costs of infrastructure/equipment and complementary training estimated by country Component 3.
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ABBREVIATIONS AND ACRONYMS
ABBIF
Amazon Basin Biodiversity Information Facility
ACC
Amazon Cooperation Council
ACT
Amazon Cooperation Treaty
ACTO
Amazon Cooperation Treaty Organization
AECA
Amazonian Strategic Cooperation Agenda
AECID
Spanish Agency for International Cooperation for Development
AFLPs
Amplified Fragment Length Polymorphism
ANGR
National Assembly of Regional Governments (Peru)
APECO
Peruvian Association for the Conservation of Nature
BioCAN
Regional Biodiversity Program in the Andean Amazonian regions of the Member
Countries of the Andean Community
BMZ
Bundesministerium für Wirtschaftliche Zusammenarbeit und Entwicklung
(Federal Ministry for Economic Cooperation and Development)
CAF
Andean Development Corporation
CAN
Andean Community of Nations
CAR
Regional Autonomous and Sustainable Development Corporations (Colombia)
CBD
Convention on Biological Diversity
CBNRM
Community-Based Natural Resource Management
CCOOR
Coordinating Commission Amazon of the Cooperation Council
CENIAP/INIA
El Centro Nacional de Investigaciones Agropecuarias (National Center for
Agricultural Research - Venezuela)
CGB
Centro Geoespacial para la Biodiversidad de Bolivia (Geospatial Center for
Biodiversity of Bolivia)
CI
Conservation International
CIDIAT
Inter-American Center for Development and Environmental and Territorial
Research
CIG
Conservation International - Guyana
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CITES
Convention on International Trade in Endangered Species of Wild Fauna and
Flora
CMA
CITES Administrative Authority
COAH
Colombian Amazonian Herbarium
COICA
Coordinator of Indigenous Organizations of the Amazon Basin
CONAFOR
Consejo Nacional Consultivo de Política Forestal (National Advisory Council on
Forest Policy - Peru)
CONAM
Consejo Nacional del Ambiente (National Environment Council - Peru)
CoP
Conference of the Parties
CORAPE
La Coordinadora de Radios Populares y Educativas (Coordinator of Popular and
Educational Radios)
CORPOAMAZONIA
Corporación para el Desarrollo Sostenible del Sur de la Amazonia (Corporation
for the Sustainable Development of Southern Amazonia - Colombia)
CRIA
Centro de Referencia de Informaciones Ambientales (Environmental Information
Reference Center)
CSA
CITES Scientific Authority
CSBD
Centre for the Study of Biological Diversity
CTEA
Circunscripción Territorial Especial Amazónica (Special Territorial
Circumscriptions of the Amazon - Ecuador)
CTI
Cuerpo Técnico de Investigaciones (Technical Research Body - Colombia)
DAS
Departamento Administrativo de Seguridad (Administrative Department of
Security - Colombia)
DBFlo
Diretoria de Uso Sustentável da Biodiversidade e Florestas Biodiversity
(Directorate for Sustainable Use of Forests and Biodiversity - Brazil)
DEA
Direcciones Estadales Ambientales (State Environmental Offices - Venezuela)
DGB
Dirección General de Bosques (General Forests Directorate - Venezuela)
DGBAP
Dirección General Biodiversidad y Áreas Protegidas (General Directorate for
Biodiversity and Protected Areas - Bolivia)
DGFFS
Dirección General Forestal y de Fauna Silvestre (Perú)
DGIS
Netherlands' Directorate-General for International Cooperation
DGVCA
Dirección General de Vigilancia y Control Ambiental (General Directorate for
Environmental Surveillance and Control - Venezuela)
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DIAN
Dirección de Impuestos y Aduanas Nacionales (Colombian Tax and Customs
Authority)
DIJIN
Criminal Investigation Bureau and Interpol (old acronym Central Directorate of
Judicial Police and Intelligence of Colombia)
DIPRO
Diretoria de Proteção Ambiental (Department of Environmental Protection Brazil)
DNA
Deoxyribonucleic acid
DOF
Sistema Eletrônico do Documento de Origem Florestal
(Electronic System for Documents of Forest Origin - Brazil)
EBAs
Endemic Bird Areas
ECOLAP
Instituto de Ecología Aplicada de la USFQ (USFQ Institute for Applied Ecology Ecuador)
ECORAE
Instituto para el Ecodesarrollo Regional Amazónico (Institute for
Ecodevelopment of the Amazon Region - Ecuador)
EPA
The Environmental Protection Agency (Guyana)
EU
Execution Unit
FAC
Colombian Air Force
FAN
Fundación Amigos de la Naturaleza (Friends of Nature Foundation - Bolivia)
FAO
United Nations Food and Agriculture Organization
FIBV
La Fundación Instituto Botánico de Venezuela (Botanic Institute Foundation Venezuela)
FIDIC
Instituto Fundación de Inmunología de Colombia (Foundation Institute of
Immunology of Colombia)
FINNIDA
Finnish International Development Agency
FONDEBOSQUE
Fondo de Promoción del Desarrollo Forestal (Forest Development Promotion
Fund - Peru)
FUDECI
Fundación para el Desarrollo de las Ciencias Físicas, Matemáticas y Naturales
(Foundation for the Development of Physical, Natural and Mathematical
Sciences)
GBIF
Global Biodiversity Information Facility
GEF
Global Environment Fund
GFC
The Guyana Forestry Commission
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GIZ
Deutsche Gesellschaft für Internationale Zusammenarbeit (German Agency for
Technical Cooperation)
GPS
Global Positioning System
GTA
Amazonian Working Group
IAvH
Research Institute of Biological Resources "Alexander von Humboldt" (Colombia)
IBAMA
Instituto Brasileiro do Meio Ambiente e dos Recursos Naturais Renováveis
(Brazilian Institute of Environment and Renewable Natural Resources)
IBE-CBT
Instituto de Biología Experimental - Centro de Botánica Tropical (Experimental
Biology Institute - Tropical Botanical Center - Venezuela)
ICMBIO
Instituto Chico Mendes de Conservação da Biodiversidade (Chico Mendes
Institute for Biodiversity Conservation)
IDB
Inter-American Development Bank
IDEA
El Instituto de Estudios Avanzados (The Institute of Advanced Studies Venezuela)
IDEAM
Instituto de Hidrología, Meteorología y Estudios Ambientales (Institute of
Hydrology, Meteorology, and Environmental Studies - Colombia)
IGUN
Instituto de Genética de la Universidad Nacional (Genetics Institute of the
National University of Colombia)
IIAP
Instituto de Investigaciones del Pacífico (Research Institute of the Pacific Colombia)
IIAP
Instituto de Investigaciones de la Amazonía Peruana (Peruvian Amazon Research
Institute)
IMARPE
Instituto del Mar del Perú (Peru Sea Institute)
IMIS
Integrated Monitoring and Information System
INSAI
Instituto Nacional de Salud Agrícola Integral (National Institute for Integral
Agricultural Health - Venezuela)
INSOPESCA
Instituto Socialista de Pesca y Acuicultura (Socialist Institute for Fishing and
Aquiculture - Venezuela)
INVEMAR
Instituto de Investigaciones Marinas y Costseras (Marine and Coastal Research
Institute - Colombia)
ISA
Instituto Socioambiental (Socioenvironmental Institute - Brazil)
ISSR
Inter-Simple Sequence Repeats
ITTO
International Tropical Timber Organization
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IVIC
El Instituto Venezolano de Investigaciones Científicas (The Venezuelan Scientific
Research Institute)
JBRJ
Jardim Botânico do Rio de Janeiro (Rio de Janeiro Botanic Garden).
KfW
Kreditanstalt für Wiederaufbau (Reconstruction Credit Bank, known as the
German Development Bank)
M&E
Monitoring and Evaluation
MA
Administrative Authority
MADS
Ministry of Environment and Sustainable Development (Colombia)
MAE
Ministry of Environment of Ecuador
MECN
Museo Ecuatoriano de Ciencias Naturales (Ecuadorian Museum of Natural
Sciences)
MFA
Ministers of Foreign Affairs
MINAGRI
Ministry of Agriculture and Irrigation (Perú)
MINAM
Ministry of Environment of Peru
MMA
Ministry of Environment of Brazil
MPPPA
Ministry of Popular Power for the Environment (Venezuela)
NGO
Non-Governmental Organization
NORAD
Norwegian Agency for Development Cooperation
NREAC
Natural Resources and Environment Advisory Committee (Guyana)
O&M
Operation and Maintenance
OAP
Oficina Administrativa de Permisiones (Administrative Office of Permits Venezuela)
ONAC
Organismo Nacional de Acreditación de Colombia (National Accreditation Body
of Colombia)
ONDB
Oficina Nacional de Diversidad Biológica (National Biodiversity Office Venezuela)
OSINFOR
Organismo Supervisor de los Recursos Forestales Maderables (Oversight Body
for Timber Forest Products - Peru)
PIRAA
Regional Environmental Information Platform for Amazonian Biodiversity
PNCs
Permanent National Commissions
POFOMA
Policía Forestal Medio Ambiental (Environmental Forest Police - Bolivia)
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PPBio
Programa de Pesquisa em Biodiversidade (Biodiversity Research Program Brazil)
ProNaturaleza
Fundación Peruana para la Conservación de la Naturaleza (Peruvian Foundation
for the Conservation of Nature)
PS-ACTO
Permanent Secretariat of the Amazon Cooperation Treaty Organization
PUCE
Pontifical Catholic University of Ecuador
RAPD
Random Amplification of Polymorphic DNA
RES
Resolution
RFID
Radio-Frequency Identification
SA
Scientific Authority
SAP
Strategic Action Program
SCO
Civil Society Organization
SENAE
Servicio de Vigilancia Aduanera (National Customs Service of Ecuador)
SENASAG
Servicio Nacional de Sanidad Agropecuaria e Inocuidad Alimentaria (National
Service of Food Health and Safety of Bolivia)
SENIAT
Servicio Nacional Integrado de Administración Aduanera y Tributaria (Integrated
National Service of Customs and Tax Administration - Venezuela)
SENPLADES
Secretaría Nacional de Planificación y Desarrollo (National Secretariat for
Planning and Development - Ecuador)
SERNAP
Servicio Nacional de Áreas Protegidas (National Service for Protected Areas Bolivia)
SIAMAZONIA
Sistema de Información de la Diversidad Biológica y Ambiental de la Amazonía
Peruana (Environmental and Biodiversity Information System of the Peruvian
Amazon)
SiB Colombia
Sistema de Información sobre Biodiversidad (Biodiversity Information System Colombia)
SiBBr
Sistema de Informação sobre a Biodiversidade Brasileira (Brazilian Biodiversity
Information System)
SINA
Sistema Nacional Ambiental (National Environmental System - Colombia)
SINCHI
Instituto Amazónico de Investigaciones Científicas (Colombian Amazon Institute
of Scientific Research)
SINIA
Plataforma del Sistema Nacional de Información Ambiental (National
Environmental Information System Platform - Peru)
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SINIMA
Sistema Nacional de Informações sobre Meio Ambiente (National
Environmental Information System - Brazil)
SITIES
Sistema Único de Información sobre Tráfico Ilegal de Especies Silvestres (Single
Information System for Illegal Wildlife Trafficking - Colombia)
SNIFFS
Sistema Nacional de Información Forestal y de Fauna Silvestre (National Forests
and Wildlife Information System - Peru)
SUNAT
Superintendencia Nacional de Administración Tributaria (National
Superintendence of Tax Administration - Peru)
SVIDB
Sistema Venezolano de Información sobre Diversidad Biológica (Venezuelan
Biodiversity Information System)
TNC
The Nature Conservancy
ToR
Terms of Reference
TRAFFIC
Trade Records Analysis of Flora and Fauna in Commerce
UBV
Bolivarian University of Venezuela
UCV
Central University of Venezuela
UDO
Universidad de Oriente (Venezuela)
UICN
International Union for Conservation of Nature
ULA
Universidad de Los Andes (Venezuela)
UN
United Nations
UNAMAZ
Association of Amazonian Universities
UNCTAD
United Nations Conference on Trade and Development
UNEP
United Nations Environment Programme
UNEP-WCMC
United Nations Environment Program – World Conservation Monitoring Centre
UPMA
Unidad de Protección del Medio Ambiente de la Policía Nacional (Environmental
Protection Unit of the National Police - Ecuador)
USAID
United States Agency for International Development
USFQ
Universidad San Francisco de Quito (San Fransisco de Quito University - Ecuador)
UTPL
Universidad Técnica Particular del Loja (Loja Private Technical University Ecuador)
WB
The World Bank
WCO
World Customs Organization
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WCS
Wildlife Conservation Society
WD
Wildlife Division (Guyana)
WTO
World Trade Organization
WWF
World Wildlife Fund
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INTRODUCTION
1.1
Origin of the initiative
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The “Regional Program to Manage, Monitor and Control Wild Fauna and Flora Species Endangered by
Trade”1 was born of a commitment between the Amazon Cooperation Treaty Organization (ACTO) and
the German Government to finance a broader regional program in the area of biodiversity conservation,
forest protection and climate change through financial cooperation from KfW.2
Through this commitment, in 2006 and 2007 the program received a non-reimbursable financial
cooperation offer in the order of 10 million Euros that ACTO accepted through note SP-OTCA/643/2009
of 30 September 2009.
In November 2009, the Heads of State of the Member Countries issued a Declaration on ACTO with the
mandate to endow the Organization with “a new and modern role as a cooperation, exchange, knowledge
and joint projection forum to face the new and complex international challenges that lie ahead.” In this
context, they instructed the Ministers of Foreign Affairs to “…prepare a new Strategic Agenda for ACTO
for the short, medium and long terms including regional actions to support national initiatives with a view
to strengthening the cooperation process.”
This mandate, encouraged by profound transformations in the international, regional and local agendas, as
well as rich changes in the Member Countries' national and regional situations, led to the construction of
a new vision, adapted to the challenges of the current context, to build unity while respecting diversity
and preserving their shared Amazonian heritage.
On 30 November 2010, the 10th Meeting of ACTO Ministers of Foreign Affairs approved Resolution XMRE-OTCA-5, adopting the new Amazonian Strategic Cooperation Agenda3 that provided the guidance
and conceptual base to develop this program. They also adopted Resolution X-MRE-OTCA-7, which
establishes procedures for ACTO to approve agreements and governs consultations about activities
developed under the Agenda.
The new Amazonian Strategic Cooperation Agenda is the result of a regional dialogue and coordination
process in the area of conservation and sustainable use of renewable natural resources that includes the
subtopics biodiversity, forests and climate change.
Building upon two crosscutting axes: (i) conservation and sustainable use of renewable natural resources
and (ii) sustainable development, the Agenda lays down the vision, mission and strategic objectives of
ACTO.
To ensure the success of this program, it was agreed that it would have to be built in a participatory
manner involving the ACTO Member Countries, thereby improving the identification of priorities and
opportunities.
In their 11th meeting held in Manaus in 2011, the ACTO Foreign Ministers prioritized the adoption of
decisions to enable the signature and implementation of agreements and/or memorandums with
international cooperation agencies, in the framework of RES X/MRE-OTCA/7. On the occasion, they
saluted the start of the regional consultation process to formulate a regional program on “Forest
protection, biodiversity conservation and climate change", which the German Government committed to
1
ACTO Member Countries: Bolivia, Brazil, Colombia, Ecuador, Guyana, Peru, Suriname y Venezuela.
ACTO/KfW, 2012.
3 See the new Amazonian Strategic Cooperation Agenda at: www.otca.infobiodiversidad
2
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supporting through KfW, and congratulated the PS/ACTO for implementing a new consultation model to
strengthen regional cooperation.
To formulate the project through a study, consulting services were retained to participatorily formulate
and design an investment project proposal concerted by the ACTO Member Countries. The program
document would have to fulfill the standard requirements of KfW for this type of financial cooperation,
as well as those defined by ACTO and registered in the new Amazonian Strategic Cooperation Agenda,
and Resolution X-MRE-OTCA-10, concerning the signature of agreements with external cooperation
sources.
1.2
Conducting the Study4
Through a process led by the Ministers of Foreign Affairs with the participation of the competent national
sectoral bodies, the program is currently in the final stage of development and approval. The process
involves the following stages:
Project formulation stages
Start of consulting services by GITEC (Start of Stage 1)
Formulation of up to three profiles and first consultation process (Stages 1 and 2)
First Regional Workshop (Stage 3)
Member Countries and KfW formally consulted about Concept Note (Stage 4)
Formulation of the first detailed program proposal (Stage 5)
Second consultation process (Stage 6)
Second Regional Workshop (Stage 7)
PS/ACTO formally consults MC and KfW about the detailed program proposal (Stage 8)
Preparation of the final program document (Stage 9)
Stages for final program approval
Program evaluation mission by KfW
KfW evaluation report presented to the German Government (Federal Ministry of Economic
Cooperation and Development)
KfW-ACTO Contract Negotiation
KfW-ACTO Contract Signature
Program implementation
In a first stage, three possible project profiles were prepared and formed the basis for a consultation,
validation and selection process by the ACTO Member Countries.
In addition, in 2012 in Lima, the ACTO Environment Ministers in their 2nd meeting asked the Permanent
Secretariat to hold a workshop to define a regional program about forest protection, biodiversity
conservation and climate change - KfW. The purpose was to determine the profile best suited to the
selection criteria defined by the Member Country representatives: i) regional impact; ii) eligibility for
financial cooperation of the different types of expenditures (investments in infrastructure and types of
services); iii) execution feasibility (deadlines, difficulty of institutional arrangements, simplicity); iv)
contribution to reducing asymmetries; v) sustainability of the initiative; and vi) impact on national
environmental targets.
During that First Regional Workshop—held on 20-21 August 2012 in Brasilia, Brazil, funded through
German cooperation with ACTO, and attended by representatives from Brazil, Colombia, Ecuador,
4
Ver los Términos de Referencia del Estudio en el Anexo 1.1
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Guyana, Peru and Suriname—the Member Country delegates decided to prioritize Profile 1: “Regional
Program to Manage, Monitor and Control Wild Fauna and Flora Species Endangered by Trade.”5
Afterwards, the PS presented the Concept Note of the “Regional Program to Manage, Monitor and
Control of Wild Fauna and Flora Species Endangered by Trade” for consideration by the ACTO Member
Countries.6
A detailed program document (this document) would be prepared in the second stage based on the
program profile prioritized in the first stage.
This detailed program document is presented in such a way as to allow the PS/ACTO, Member Countries,
and as appropriate KfW, to make observations, consolidate mutual commitments and decide about the
timeframe and other implementation aspects. Once the decision to finance the program is made, ACTO,
the beneficiary and executing agency, will take over the program's execution through its Permanent
Secretariat. As such, the program must meet all of ACTO's information requirements, and as appropriate,
those of KfW. The program document forms the basis for its implementation and contains all the
information required to that end. As such, it must comply with all the relevant aspects involved in
formulating a development program.
This development program with a regional approach will remain under the institutional custody of
ACTO, which through its Permanent Secretariat will formally undersign the cooperation agreement with
KfW to execute the program.
The program was developed in accordance with ACTO's biodiversity conservation strategy and concepts.



Its operational implementation will be strictly based on the Member Countries' institutional and
financial structures for the pertinent sector.
The concept “regional” implies that the program's objectives, components and impacts reflect the
priority regional criteria established within the framework of ACTO, guided by the progress
brought by the new Amazonian Strategic Cooperation Agenda, its topics and subtopics.
The study's main product is a development program proposal that contains all the elements and
information needed to conduct an ex ante evaluation of this type of program, based on the
international standards that apply in this context and taking into account the German financial
cooperation requirements.
Annex 1.2 presents the program's environment and baseline situation in relation to the institutional
framework for its implementation—CITES, relevant stakeholders, biological and socioeconomic
environment in the Amazon region and Member Countries, and cooperation processes related to the
program in the region.
2. PROGRAM CONCEPTUALIZATION AND DESIGN
The “Regional Program to Manage, Monitor and Control Wild Fauna and Flora Species Endangered by
Trade” is a financial cooperation program that is part of a broader regional program in the area of
"Biodiversity conservation, forest protection and climate change." It builds upon ACTO's biodiversity
5
The Plurinational State of Bolivia and the Bolivarian Republic of Venezuela communicated their agreement with Profile 1
through a note to the PS/ACTO.
6 ACTO/KfW, 2012.
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conservation strategy and concepts and promotes advances in the implementation of priority actions of
the new Amazonian Strategic Cooperation Agenda (AECA), including its topics and subtopics.7
Its goal is to contribute to Amazonian biodiversity conservation in the framework of national and
international agreements and legal provisions for sustainable management and trade—particularly the
CITES and CBD Conventions—by increasing the efficiency and effectiveness of management,
monitoring and control of wild fauna and flora species endangered by trade. To achieve this, we propose
a strategy based mainly on financial investments in equipment and infrastructure and complementary
activities to strengthen the technical and institutional capacity of authorities and improve coordination
between institutions and other social stakeholders. This will enable better regional cooperation to monitor
and control management and trade in endangered species by strengthening shared information and
knowledge management systems, implementing and harmonizing national electronic permitting systems,
and supporting existing initiatives to control sustainable management and trade in species at the local
level.
2.1
Main challenges addressed by the program
The Member Countries of ACTO are signatories to the CITES and CBD, considered the most important
conventions linked directly to biodiversity conservation and sustainable use. Their guidelines are adopted
and/or adapted by countries in their environmental stewardship plans and specifically in policies and
actions related to biodiversity management, including ecosystems, species and genes. In the specific case
of this program, it is fundamental to note that the CITES is the treaty that was enacted to make sure that
not a single plant or animal species is submitted to unsustainable exploitation as a result of trade. Its
guidelines offer a guiding framework to manage trade in wildlife species (CITES and non-CITES) and
improve the legal frameworks and implementation actions that foster biodiversity conservation. However,
despite efforts and progress at the national and regional levels effective CITES implementation still poses
a challenge. Appropriate interinstitutional coordination and multidisciplinary action is required, as is
harmonization with and contribution to other related agreements, policies, regulations, plans and
programs.
In its various objectives, the CITES Strategic Vision 2008-20208 reflects the importance of achieving full
CITES implementation and ensuring the necessary funds to this end. It also contributes to the CBD
Strategic Plan 2011-2020 and Aichi Targets, which aim to reduce the rate of biodiversity loss
considerably. To achieve this, the CITES strives to strengthen each party's capacity, thereby improving
the implementation of the Convention and coordination between the national CITES authorities and other
national agencies or bodies (e.g. police, customs and health). It also fosters joint regional and subregional
efforts to combat illegal traffic in wild plants and animals.
Cooperation actions to apply the CITES Convention in the region have enabled the generation of
knowledge, experience and lessons learned. On the one hand, they reflect important advances in
institutional arrangements, systematizing relevant information for decision-making, implementing epermitting systems, and developing conservation plans and programs. On the other, this interaction has
improved the countries' recognition and understanding of the general problems and challenges involved
in ensuring that species are conserved and used sustainably. These aspects are described below and help
to understand and focus on the main challenge:
7
8
ACTO/KfW (2012).
www.cites.org/common/cop/16/com/S-CoP16-Com-II-04.pdf/www.cites.org/common/cop/16/com/S-CoP16-Com-II-31.pdf
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In most ACTO countries, systems to manage, monitor and control wildlife species endangered by trade
still lack the conditions needed to ensure that the CITES is effectively and efficiently implemented,
both at the national and regional levels.
Strengthening and improving CITES implementation processes
CITES is a relevant topic for ACTO that is gaining increasing notoriety through this program. It
corresponds to one of the subtopics of the Conservation, Protection and Sustainable Use of Renewable
Natural Resources axis of the Amazonian Strategic Cooperation Agenda, and is addressed through the
program "Strengthening Joint Regional Management for the Sustainable Use of Amazonian
Biodiversity."
The ACTO Member Countries identified a need to strengthen and/or improve CITES implementation to
guarantee greater efficiency and effectiveness in managing administrative, operational and investigation
procedures on the one hand, and control and monitoring processes on the other.
This will require updating, developing and/or harmonizing standards, administrative procedures and
technologies to manage, control and monitor trade, reflecting the dynamics of trade and control, and the
evolution of related processes at different scales. It will also involve harmonizing the regional systems
with the international systems.
In this context, during the Regional Preparatory Meeting of ACTO Member Countries for the 15th
Conference of the Parties to the CITES held in February 20109 in Lima, Peru, the countries requested
support in strategic activities for CITES implementation. They particularly asked for help in developing
tools to facilitate the issuance of CITES electronic permits and certificates, as well as to share and
manage information.
These strategic activities were incorporated to the new ACTO Strategic Agenda under the topic
“Management, Monitoring and Control of Wild Fauna and Flora Species Endangered by Trade” that
contains three priority action lines: (i) Interinstitutional coordination, (ii) developing technical and
institutional capacities and (iii) managing information associated to stewardship, monitoring and control.
Short and medium term activities were also included. These focus on: expanding the associated
information base; sharing knowledge and experience at high levels of government to improve control and
strengthen cooperation between the countries; advancing the implementation of electronic permitting for
CITES species; supporting the offer of specialized training for personnel linked to the CITES Authorities;
fostering and supporting sustainable management initiatives by sharing knowledge and information about
trade-related monitoring, tracking and evaluation systems (origin, certification, etc.) at the regional and
national levels.
Reducing asymmetries between the countries in the various areas of management10
Disparities between the countries, which limit or hinder their ability to cooperate and coordinate activities
to adequately manage, monitor and control species endangered by trade, consist mainly of:

9
Absent or insufficient information management and knowledge to make decisions at the central
or local levels, prioritize and develop studies, manage species and control trade appropriately,
coordinate work with other initiatives and co-execute activities with local and international
counterparts.
ACTO (2010).
ACTO/KfW (2012); Bynoe (2007).c
10
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
Problems related to scientific and technological research in the Amazon region. Collaboration
between the countries needs to be enhanced to facilitate exchange of experience/expertise,
networking and information transfer. Partners need to hold meetings more often. Moreover,
scientific and technological development is not level in the Amazon region, a situation that has to
do with lack of resources. This includes insufficient skills/expertise, funding and technological
resources like hardware and software. Cultural and language differences also cause delays in
progress and need to be addressed more directly.

The countries lack the coordination or interconnection mechanisms/tools needed to exchange,
evaluate, maintain and/or harmonize their respective information systems, databases and
infrastructure. This makes it difficult for them to update and communicate information
continuously.
Component 1 takes into consideration these asymmetries between the Member Countries, seeking to level
knowledge, information and training. Information generated or incorporated by ACTO about Amazonian
biodiversity research and indicators, management reports of regional institutions, and impact assessments
for biodiversity technologies will be of great help in reducing knowledge and information management
asymmetries in the above-referred aspects. Training activities will also be optimized by systematizing the
capacity-building activities of programs, projects and activities developed by ACTO for this topic and
other associated ones.

Resources, infrastructure and technology to harmonize and implement systems that facilitate the
issuance and monitoring of CITES permits are unavailable or inadequate. The party states to the
Convention have recognized that developing an electronic permitting system will help them
manage and process CITES-related applications, thus favoring CITES compliance and improving
the flow of information between the parties. The project "CITES Electronic Permitting in ACTO
Member Countries" lays down the grounds to support national initiatives/systems, exchange
technology, knowledge and experience, and use guides or materials to achieve a harmonized
system for the region. This system must receive enough support and investments to be
implemented in the future.
Through Component 2 we expect to ensure the necessary investments in infrastructure, equipment and
technology to fill these gaps and meet current demands for CITES electronic permitting, ensuring that the
system is connected to national foreign trade single windows and fostering regional harmonization.

Monitoring processes (origin, traceability, chain of custody) require improvements in
infrastructure, human resources and management capacity in the various application processes,
systems, tools, technologies and levels. Implementing the CITES Convention and national
legislation related to wildlife management through these processes implies establishing
cooperation and continuous learning mechanisms.
There are various challenges involved:
 The greatest number of illegally traded species is registered at the local level. Strengthening
local capacity and/or providing training—for both authorities and natural resource users—is
key to understanding the needs for support and improvements in the context of this program.
Ensuring cooperation and engagement, legal compliance, application of best practices,
appropriate use of management systems and tools or technologies are also essential aspects.
 Local traditional knowledge and practices related to natural resources management need to be
valued, and a balance must be achieved between the former and advanced technologies and
systems for species identification, research, population management and chains of custody.
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Our ability to contribute to conservation and development depends on this balance, and on
understanding the benefits that improved management—with broad stakeholder engagement
and awareness of the impacts of trade and of the measures established—brings to local
economies and lifestyles.
 Species ranges often cross boundaries and are shared by various countries of a same region. In
this sense, there is a strong demand for actions to improve stewardship of trade and control in
border areas.
Through Component 3 we expect to support not just initiatives that the MC consider priorities for their
own jurisdictions, but also shared initiatives between countries, specifically demands for investments to
strengthen these initiatives by endowing them with infrastructure, equipment and technology.
There are various MC initiatives to improve chains of custody and strengthen control systems at the
national and regional levels. Among them are traceability mechanisms to control wood origin and
mechanisms to share experience and information about computer programs to track and control origin and
destination. Other initiatives include community forest management endeavors. An electronic key to
identify commercial timber species. Development and dissemination of tools to identify wood species
used by the countries. Molecular biology equipment and molecular marker techniques as tools to control
illegal wildlife trafficking and to use in planning forest management plans and forest inventories.
Guidelines and case studies to prepare Non-Detriment Findings for CITES Appendix II species.
Establishment of checkpoints and rescue centers, among others. These initiatives also provide
opportunities for the Member Countries to interact and cooperate.11
Contributing towards increasing the effectiveness and efficiency of these systems by modernizing legal
instruments, procedures and technologies is fundamental to:
2.2

Achieve good governance and compliance with standards and procedures by improving practical
know-how about administrative and operational processes and systems, and understanding their
implications.

Ensure conservation, sustainable use and legal trade in species of interest and participation of all
stakeholders, recognizing that local communities as key or critically important actors for
biodiversity conservation, as stewards in sustainable management and in monitoring the
agreements and controls established, and as beneficiaries of these efforts.

Facilitate legal and sustainable trade by reducing the complexity and costs of commercial
transactions, and ensuring that all activities are developed in an efficient, transparent and
predictable manner.

Guarantee production, access to information, exchange and technology to increase knowledge
about natural resources, their value and related decisions.
Objectives and results: Logical Framework
The program's Superior Objective is to "Contribute to conserving Amazonian biodiversity, particularly
CITES-listed species.” The main management challenges identified by Member Countries for CITES
implementation, are the same ones they consider key for managing non-CITES species endangered by
trade and for conserving Amazonian biodiversity. As such, it must be understood that both the
challenges described and the program's target areas and their various components tackle broader
11
OTCA/KfW (2012); OTCA (2012). Report of Meeting; http://www.cites.org/eng/prog/itto.shtml
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biodiversity conservation aspects through actions to strengthen management, monitoring and control of
wild fauna and flora species endangered by trade at the national level.
The Superior Objective, Program Objective and three Program Results are summarized below:
Box 2.2 - 1: Matrix of Program Objectives and Results
Superior Objective
Contribute to Amazonian biodiversity conservation, particularly of CITES-listed
species.
Program Objective
Increase the efficiency and effectiveness of management, monitoring and control
of wild fauna and flora species endangered by trade in ACTO Member Countries.
Result 1
Result 2
Result 3
Biodiversity related, interoperable national information and knowledge
management systems for the management, monitoring and control of CITES and
other wild fauna and flora species endangered by trade in the Amazon Region are
strengthened and operating.
National mechanisms/systems/processes of electronic permitting are in operation,
compatibles on regional level, strengthened and harmonized with the orientation
of the set of CITES-Tools and other tools the MC consider relevant.
Existing and prioritized sustainable species management initiatives strengthened
through investments required by ACTO Member Countries.
The Superior Objective is expected to: (i) reduce the impact of trade on Amazonian biodiversity,
particularly on CITES listed plant and animal species, and (ii) reduce illegal trade in species through joint
action between ACTO Member Countries.
To achieve the Program Objective we propose a broad strategy that consists of strengthening national and
regional processes 12 to monitor management and trade in endangered wild plant and animal species. To
this end, national autonomous information systems and knowledge management systems will be created,
developed or strengthened, as appropriate, so that relevant information about CITES implementation and
biodiversity conservation can be shared. This will also enable exchange on matters related to the national
legislation in force in each country, technological and infrastructure improvements, harmonization of
national e-permitting systems, and support to ongoing to sustainable species management initiatives at the
local level.
The strategy is based on two main action lines: investments and complementary activities to strengthen
institutional and technical capacities and improve interinstitutional coordination.
12 There are species whose range is share by countries at the regional level. Similarly, there are regional treaties, agreements and
initiatives (binational, multilateral, interinstitutional) under which they operate in different countries at the regional level, like
projects, decisions, with results that contribute to the region, and not just to the country.
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In addition, the program will: (i) promote exchange of experience in horizontal cooperation and
collaborative learning mechanisms; (ii) establish and generate discussion and concertation spaces to
strengthen national mechanisms and tools; (iii) propose regional guiding principles for cooperation in
managing relevant information; and (iv) improve infrastructure and equipment of the competent national
institutions.
Through this strategy and its action lines, the program is expected to:

Expand the information base and enhance knowledge management in relation to the agencies in
charge of implementing the CITES Convention and other biodiversity conservation measures in
accordance with the legislation in force, as well as national stewardship tools, programs, projects
or initiatives related to management and trade in wild fauna and flora (strengthen information
systems, databases and registers, forums to share knowledge, experience and training).

Increase coordinated CITES management at the national and regional levels and the impact of
joint participation (developing amendment proposals for CITES Appendices and implementation
tools; strengthening the technical committees and meetings of authorities and experts; policies or
instruments developed by taking into account pertinent information and/or decisions generated in
the framework of ACTO; local benefits generated through participatory management and
monitoring actions).

Strengthen the administrative, scientific and enforcement base for CITES implementation
(groups/networks and assistance at the local, national and regional level); sustainable
management plans and/or programs and projects for plant and animal species of interest affected
by trade; studies and stewardship tools like inventories, identification manuals and operational
guides for associated administrative or monitoring processes; equipment and technologies for
monitoring and control, among others).
 Improve permitting processes by Management Authorities (more permits, less time).
 Reduce permitting transaction costs for exporters.
 Increase the number of sustainable management and monitoring/control experiences/initiatives
for species that are subject to trade in the region with the participation of civil society.
Box 2.2-2 presents the Program's Logical Framework.
The main elements of the Logical Framework are the Superior Objective, the Program Objective and the
three Expected Results, in combination with the corresponding underlying assumptions and indicators.
Annex 2.1 provides a detailed description of the Logical Framework, including the indicators, means of
verification and underlying assumptions for each level.
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Box 2.2 - 2
Superior Objective
Contribute to Amazonian biodiversity
conservation, particularly of CITESlisted species.
Logical Framework
Indicators for the Superior Objective

Increase and/or improve ongoing management programs for species of
interest.

Increase the number of Amazonian species listed on CITES Appendix II.
Underlying assumptions to achieve the Superior Objective

The information produced by ACTO is taken into account in public policies and decisionmaking.

Complementary policies are implemented to promote species management.
Program Objective
Increase the efficiency and effectiveness
of management, monitoring and control
of wild fauna and flora species
endangered by trade in ACTO Member
Countries.
Indicators for the Program Objective

Improvement in permitting process by Management Authorities (less time, less
procedures).

Reduction in transaction costs for exporters during the permitting process.

Increase in number and coverage of sustainably managed chains.
Underlying assumptions to achieve the Program Objective

CITES authorities have adequate resources to do their jobs.

Sectoral institutions and policies in Member Countries adequately support the program.

A competent Execution Unit (EU) with efficient instruments is available to implement and
manage the program effectively.
Result 1
Biodiversity related, interoperable national information
and knowledge management systems for the management,
monitoring and control of CITES and other wild fauna
and flora species endangered by trade in the Amazon
Region are strengthened and operating.
Result 2
National mechanisms/systems/processes
of electronic permitting are in operation,
compatibles on regional level,
strengthened and harmonized with the
orientation of the set of CITES-Tools and
other tools the MC consider relevant.
Studies to identify equipment, installation and
operability needs.
Needs assessment - equipment and
infrastructure.
Construction of facilities/infrastructure.
Purchase of equipment, hardware
and software.
Purchase of necessary equipment.
Improving physical facilities for information and/or
management systems.
Complementary training.
Equipment and guides to develop
processes and operate the systems.
Installation of infrastructure for
simultaneous connections, distance
courses and virtual exchange.
Training and complementary
studies.




Result 3
Existing and prioritized sustainable species
management initiatives strengthened through
investments required by ACTO Member
Countries.
Needs assessment for infrastructure
/equipment to strengthen local stewardship,
management and traceability systems.
Construction/refurbishment of necessary
facilities and infrastructure.
Equipment, georeferenced species
inventories and scenario modeling.
Supply of equipment for traceability
projects and management plans.
Training and complementary studies.
Underlying Assumptions to Achieve the Results
ACTO Member Countries cooperate with each other and share information and experience in these areas of action (R1-3).
Member Countries have introduced changes to their administrative procedures to modernize management, monitoring and control of CITES
species (R 2-3).
National policies and programs related to sustainable management are integrated (R3).
National institutions that matter for Component 3 have adequate resources (R3).
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Planned components and measures
2.3.1
General considerations (Crosscutting issues)
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In its objectives, components and impacts the program reflects the regional priority criteria established in
the framework of ACTO, guided by the progress made in developing and approving the Amazonian
Strategic Cooperation Agenda with its topics and subtopics.
The Strategic Agenda incorporates the vision, mission and strategic objectives of ACTO based on two
crosscutting axes: (i) conservation, protection and sustainable use of renewable natural resources and (ii)
sustainable development. It envisages various components, including the subtopic “Management,
Monitoring and Control of Wild Fauna and Flora Species Endangered by Trade.” As noted above, this
subtopic has three associated action lines: (i) interinstitutional coordination in the regional Amazonian
context, (ii) technical and institutional capacity development, and (iii) information management.
Synergies and complementarity with other programs/projects that have to do with these crosscutting axes
are described in Annex 1.2 (4 - Cooperation Processes Related to the Program in the Region).
Respect and compliance with national and international legal frameworks and bilateral and multilateral
agreements.
All the activities developed in each component of the proposed program must comply with: the relevant
national and international legal frameworks; internal, interinstitutional, bilateral, multilateral agreements
and/or conventions; and administrative provisions in force.
For Component 1, whatever the countries define in terms of administration, validation, confidentiality and
access to information provided must obey the agreements established with ACTO for administration,
validation and publication of information.
Component 2 will take into account the legal frameworks related to automation/standardization of
administrative/permitting systems, information, IT, electronic signatures and agreements in force
nationally and internationally. In this component the countries will work with the CITES Toolkit, which
provides a guide to formatting and standardizing in accordance with the Convention and with the
international systems of the World Customs Organization and United Nations.
For Component 3 the main reference frameworks are the CITES Convention and the national regulations
for CITES implementation, the legal frameworks for wildlife, the CBD and associated legislation in
force.
Knowledge management
Although knowledge management is a priority under Component 1, it is also considered a crosscutting
topic for the program, for ACTO and for the MC. It will function as a tool to support decisions in
designing and/or implementing public policies, in this case related to prevention and mitigation of illegal
and unsustainable use or management and trade in CITES species and others endangered by
overexploitation and trade. In addition, it is directly linked to the availability of information and will
facilitate technical cooperation at the national and regional levels, as well as between the sectors involved
in the three program components.
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Component 1: National Information and Knowledge Management System
Result: Biodiversity related, interoperable national information and knowledge management systems
for the management, monitoring and control of CITES and other wild fauna and flora species
endangered by trade in the Amazon Region are strengthened and operating.
Program Component 1 focuses on strengthening information management facilities, infrastructure and
technology in ACTO MC and their respective national biodiversity and CITES-related systems. These
will support the implementation of cooperation mechanisms and an information portal to manage shared
knowledge.
The portal will have the following characteristics and functions:

Technological structure organized by specific functions and easy to access

Data and information available and public
To achieve this result, the idea is to invest in infrastructure that can host and/or query information about
biodiversity conservation and CITES implementation in the countries and region. MC must be able to use
it in administrative and operational processes, and the PS/ACTO will use it to provide support.
National infrastructure demands related to the implementation of training systems for knowledge
transmission will also be supported. In the context of subtopic 3 of the AECA "Management, Monitoring
and Control of Wild Fauna and Flora Species Endangered by Trade”, MC will continue to have access to
capacity-development initiatives and exchange in matters of enforcement, Non-Detriment Findings,
electronic permitting and traceability tools, among others.
This will be an important contribution for managing knowledge and integrated information. National,
subregional and regional capacities and infrastructure will be strengthened through joint reflection spaces,
technology transfer, research, knowledge generation, experience-sharing and training. Annex 2.2 presents
more details about how the PS/ACTO supports MC in knowledge management.
The objectives of this component are linked to some of ACTO's complementary regional information
management objectives. Those related to this program are shown in the figure below.
Figure 2.3.2 - 1 Complementary objectives for regional information management
Support ACTO MC
information systems.
COMPLEMENTARY
OBJECTIVES
Contribute by providing
infrastructure and equipment
to support actions that
combat illegal trade.
Contribute by providing
infrastructure and equipment to
promote sustainable management
and trade in species endangered by
the trade.
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Financial resources allocated to create, develop or strengthen and implement national systems according
to the needs and priorities identified by the countries will be transferred directly to the program's
executing agency, the PS/ACTO, which in turn will channel the necessary and agreed resources to the
implementing agencies in the countries. These allocations will be made according to the information
received from the respective executing agencies at the regional and national levels, which include
investment demands or requirements identified and analyzed during the consultations conducted to
prepare the detailed program study. Box 2.3.2 - 1, in end of this sub-chapter, presents a summary of
planned investments.
The investments requested by the countries, as well as those necessary for the PS/ACTO to support them
in implementing the program and other associated activities agreed in advance, are also detailed in
Chapter 4 - Program Costs and Funding.
Achieving results in this component depends on:
1) Implementing the measures and activities planned by the execution units in charge of creating,
developing and/or implementing and administrating the information and knowledge management
systems, as well as coordinating and interacting with the national institutions designated by each
country in the context of this component. Creating formal ties between participating institutions.
2) The support offered by participating institutions, which must provide the means and effectively
and voluntarily participate in defining and implementing the measures and/or activities designed
with the executing entities in the context of the program components.
Implementation strategy
This component's implementation strategy consists of supporting and strengthening the ACTO Member
Countries' CITES and biodiversity information systems. It will also facilitate management of national and
regional information related to and/or produced under the program through concerted coordination
mechanisms and systems.
Experience has shown that processing, organization, data storage, information provision and technology
transfer functions are essential for the success of national and regional biodiversity conservation and
sustainable use strategies, including strategies to combat illegal logging. They are also essential to
improve the ability of local, regional13 and national governments to formulate and implement coordinated
water management policies and strategic actions.
National information systems related to biodiversity and CITES information will be strengthened, as will
investment initiatives that support the transfer of knowledge, experience and technology to enhance the
objectives, functions and processes of regional or national institutions related to research, monitoring,
data concentration and processing, and infrastructure related to training in matters prioritized by the
countries in the program components.
13 The term regional refers to the countries' Amazon regions.
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Other environmental programs and projects developed under the AECA, like the "Forest Cover
Monitoring Project" and the project "Integrated and Sustainable Management of Transboundary Water
Resources in the Amazon River Basin", have generated and/or shared information with observatories or
national platforms like the Brazilian Observatory.
Planned investments





Studies to identify equipment, installation and operability
Construction or refurbishment of physical premises and infrastructure in general
Computer equipment, servers and IT tools for MC nodes, as well as the necessary software and
hardware
Communication equipment and development of digital tools
Complementary training
The box below summarizes the investment requirements and counterpart resources of ACTO Member
Countries.
Box 3.3.2 - 1. Investment requirements of ACTO Member Countries - Component 1
(Consultation Stage 5)
COUNTRY/INSTITUTION
Bolivia
The Vice-Ministry of Environment,
Biodiversity and Climate Change,
and Forest Management and
Development through DGBAP.
INVESTMENTS AND MEASURES
REQUESTED
- Study to determine the investments needed
to connect the National Biodiversity
Information System to the ACTO Regional
Amazonian Observatory.
- Strengthen the national biodiversity node
and implement 4 thematic subnodes linked to
the ACTO Regional Observatory.
-Purchase servers and equipment to
strengthen the national biodiversity node and
implement the national subnodes.
Subtotal
Brazil / Brazilian Forest
Service/Forest Products Laboratory
Subtotal
APPROXIMATE
COSTS (USD)
350,000
(servers and
consultancy)
350,000
Equipment to strengthen and
transfer/apply the wood identification
methodology in the field, for various users
(currently applied in the lab)14:
- Portable Phazir NIRS device, microPhazir
GP model.
- Mechanical mobile filing system
formed by steel modules
- Universal mechanical testing machine
- MICRONIR 1700 device
- Intel processor I5-3330 3.00 GHz 6M (2)
- Motherboard ASUS P8H61 (2)
- Kingston 4GB USB device (2)
- HD 500 GB (2)
- DVD-RW recorder (2)
- VAIP VP USB Cabinet (2)
- Source for CORSAIR cabinet (2)
- Apple Tablet iPad 4 Retina Display Wi-Fi
64 GB (10)
COUNTERP
ART
(USD)
110,000
110,000
150,000
24,000
104,000
6,000
650.25
210.60
121.50
222.75
61
81
256
15,000
300,603
236,434
236,434
14 Under the project "Electronic key to identify Commercially Representative Amazonian Timber Species" developed together
with the Colombian SINCHI Institute. In its first phase it will complement the management measures that the ACTO MC are
taking to establish more efficient and comprehensive control of timber species endangered by trade.
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Colombia
SINCHI
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Logistical adaptation for biological
collections15
- Servers
- 4 desktop computers
- 1 high resolution scanner
- 1 Apple iMac 21' computer
- Equipment to strengthen inventories and
monitoring
- To strengthen permanent plant cover
monitoring in the Colombian Amazon:
Lodges (cabins) - permanent land plot
Subtotal
Ecuador
MAE / Biodiversity and Forest
Directorates /
MAE provincial directorates
Subtotal
50,000
456,000
Strengthening and improving the Single
Environmental Information System and its
associated biodiversity subsystems:
- Replication Server to increase the capacity
of the data logger to 20 TB and increase
RAM memory by 50% to make applications
more agile.
- BMWRE, PENTAHO, ALFRESCO
licenses
- Hardware to expand datastore to 1 TB
- 25 computers for the people in charge of
managing the system in the provincial
directorates.
- Consultancy to systematize information
about biodiversity management and
stewardship in Ecuador using the BIS system.
Subtotal
Guyana/ Wildlife Division/
Ministry of Natural Resources and
Environment
575,589
300,000
12,500
12,000
4000
1,500
80,000
Development of a central database for the
Scientific Authority, connected to the
Environmental Protection Agency, the
Guyana Forestry Commission and the
Fishery Division of the Ministry of
Agriculture:
- Diagnostic assessment to develop an
operational database.
- Developing the database and purchasing
equipment.
- Training staff to use the database (20-30
people).
575,589
597,000
30,000
100,000
40,000
45,000
108,000
323,000
597,000
18,000
200,000
30,000
248,000
15The Colombian Amazonian Herbarium of the SINCHI Institute has a reference collection with 82,480 individuals and 7313
species of the Amazon Region that includes vascular and non-vascular plants (75% of Colombian Amazon's plant diversity). It
has been systematized and has geographic coordinates that enable the generation of timely information, and connection to global
networks through http://www.SINCHI.org.co/coleccionesbiologicas. The Herpetology and Ichthyology collections with close to
6200 individuals and an undetermined number of species is in the process of being curated. The current facilities are not big
enough to store the new collections that enrich this important heritage which supports the information generated (pers. in lit.
SINCHI - Matrix of Investment Priorities for Component 1-Colombia).
Asociación GITEC / TYPSA
November 2013
Regional Project Formulation Study
ACTO / KfW
Peru / Ministry of environment MINAM ( includes proposal from
associated entity IIAP) and
Ministry of Agriculture MINAGRI.
Asociación GITEC / TYPSA
DETAILED STUDY
(16)
National Environmental Information
System Platform (SINIA)
-Diagnostic assessment and progress in
implementing the information technology
requirements needed to ensure the SINIA's
interoperability with other existing systems
and platforms.
- Server with greater capacity and renewal of
software licenses to use it. - Acquisition of 4
computers and printers
- Acquisition of technological infrastructure
to implement a video library and electronic
room in the Environmental Documentation
Center.
Peruvian Amazon Platform:
-Acquisition of a server to ensure the
safeguarding of information.
-Improved technology and content for the
Peruvian Amazon Platform, which includes
a) assessing functionality and use; b)
updating the design and content of the
website; c) technology development to
consolidate the wild species information
sheets, prepared individually by each member
node (3 consultancies).
Infrastructure, equipment and capacitybuilding for 3 Amazonian scientific
institutions/organizations to establish new
member nodes for the platform:
3 servers, 6 computers, 3 multifunctional
equipment, training manuals for specialists
and IT experts.
Environmental and Biodiversity
Information System of the Peruvian
Amazon SIAMAZONIA - IIAP:
- Structured cabling to improve information
management: - Acquisition of 8 48 port
10/100/1000 Switch layer 3 with 4 SFP ports.
- Acquisition of 140 structured cabling points,
including materials and installation services.
Increase bandwidth and information
security.
- Single-mode optical fiber cabling running
from the ISP to the IIAP. - Acquisition of Fortigate 300C Firewall with
FSM module.
-Acquisition of MikroTik CCR1036-12G-4S
Router.
National Forestry and Wildlife
Information and Control System (SNIFFS)
- Development of new database architecture.
Consulting services for a period of one year
to restructure, strengthen and modernize the
data and information systems used by
DICFFS in all its modules in order to
interconnect with other organizations (such as
regional governments).
- Development of specific software.
Consulting services for a period of one year.
730,000
34,040
26,900
7,400
8,745
20,182
40,364
19,375
12,782
7,535
1,211
30,545
November 2013
Regional Project Formulation Study
ACTO / KfW
DETAILED STUDY
(17)
Development of solution for the online
submission of cartographic and statistical data
by regional governments, Technical Forestry
and Wildlife Administrations and the
DICFFS regarding registration requests
approved through RM 552-2010-AG, among
other complementary applications.
Required equipment shared by all modules
- 14 Servers. Features: 240 TB with
specifications equivalent to HPs ProLiant
SL4500 equivalents Gen8 Big Data Features
Modular Arquitecture.
Capacity-building for system operators
For the following course packages:
a. SQL and data modeling, database
management and SQL Server development
best practices with Transac: 3 trained.
b. Linked to .NET 4.5: 3 trained.
c. Java and PHP 5.0 : 1 trained.
d. Business processes and integrated
management or similar systems for IS or ICT
management: 1 trained and COBIT: 2 trained.
Asociación GITEC / TYPSA
19,636
108,563
37,618
November 2013
Regional Project Formulation Study
ACTO / KfW
DETAILED STUDY
(18)
Subtotal
Suriname/ Ministry of Physical
Planning, Land and Forest
Management (Ministry of RGB)
730,000
374,896
Physical facilities for recording
information and computer-based
administrative routines for CITES and
non-CITES species:
- Data Server and Operating System (OS) +
storage station (for backup/coupling).
Installation.
- Link on website where relevant stakeholders
can share their data with the Ministry of RGB
(CITES focal point).
- Consulting services and capacity-building to
review permits and research data.
- Hardware + Software : 5 PCs (Server for the
Permits Division): 2 PCs for the Research
Division: 1 PC for the Management Division:
1 PC):
Hardware:
-WS
5* $3000
-22” Monitor
5* $ 400
-UPS:
5* $ 300
Software:
-OS:
5* $ 275
-MS Office:
5* $ 700
Anti-Virus Software:
5* $ 100
- Maintenance
- Field research team: 10 handheld GPS with
camera 10 * $ 800
- Meetings with all relevant stakeholders and
customs.
- Online learning: research projects (5-10
people)
7,000
3,000
2,000
10,000
40,000
15,000
2,000
1,500
1,375
3,500
500
1,000
8,000
5,000
25,000
Subtotal
Venezuela/
124,875
Ongoing
Subtotal
Asociación GITEC / TYPSA
November 2013
Regional Project Formulation Study
ACTO / KfW
DETAILED STUDY
(19)
2.3.3 Component 2: Regional harmonization of national electronic permitting systems
Result: National mechanisms/systems/processes16 of electronic permitting are in operation,
compatibles on regional level, strengthened and harmonized with the orientation of the set of CITESTools and other tools the MC consider relevant.
Component 2 focuses on regional harmonization17 of the national electronic permitting systems through
investments prioritized by the countries. These will facilitate and improve the national infrastructure,
technology and tools needed for developing, implementing and/or strengthening existing initiatives and
systems to issue CITES electronic permits, connect them to single windows, and make them compatible
with the international standards and requirements of the World Customs Organization (OMA). A regional
concerted model that uses the CITES toolkit as a guide will be applied.
This component will contribute to making management, monitoring and control of wild flora and fauna
species endangered by trade more efficient and effective by improving the way Administrative
Authorities issue permits18. In so doing, it will reduce the time and costs involved in procedures to
issue/obtain export permits and certificates.
Activities in this component fall under one of the priority thematic axis of the ACTO Amazonian
Strategic Cooperation Agenda agreed by the MC for biodiversity conservation and management of
CITES species, which includes a short term activity to implement electronic permitting for CITES
species. This activity is implemented through the project "CITES Electronic Permitting in the Member
Countries of the Amazon Cooperation Treaty Organization (ACTO)" - Component A: Capacity
development to implement electronic permitting (E-Permit project).
This project is funded by the Amazon Regional Program (BMZ/DGIS/GIZ) and the European Union
through a cooperation agreement with the CITES Secretariat. It was developed under a Small Scale
Funding Agreement (SSFA) between the CITES Secretariat and PS/ACTO from October 2012 until
October 2013, and lays down the grounds to formulate and implement Component 2 of this program.
Sub-chapter 2.5 Cooperation Processes Related to the Program in the Region provides more details about
this project.
This component will take into account the technical recommendations issued in the Regional Meeting on
Information Management and Electronic Permitting held in Brasilia, Brazil (October 2011). It will also
consider the results of the above-referred project, as well as infrastructure, equipment and capacity needs
and conditions. Progress, limitations and possibilities offered by legal instruments and processes related
to developing, implementing and/or strengthening national electronic permitting systems and/or linking
them to single windows will also be taken into account to achieve the harmonization of the national
mecanisms/systems/processes in a concerted regional model.
Financial resources assigned to ensure system implementation and technology transfer through
investments in infrastructure, tools and training will be transferred directly to the program's executing
agency. In coordination with the national implementing agency and based on the information of MC
16
Every country will focus itself on achieving the results related to mechanisms, systems or processes according to
the national thematic circumstances
17 In this context harmonization means the improvement of national e-permitting systems to reduce the asymmetries
between the countries, to achieve a minimum, which could be considered a process model and the interchange of
regional data
18
The mechanism/system/process of the emission of permits, should be understood as part of the management,
monitoring and control of fauna and flora species endangered by trade and in articulation with component 1
(information systems) and initiatives and instruments of control (component 3)
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November 2013
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ACTO / KfW
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investment demands and requirements summarized in Box 2.3.3 -1 (see section on planned investments),
the executing agency will channel the necessary and agreed resources and arrange the purchase of
equipment.
Achieving results in this component depends on:
1) A competent national EU and an efficient mechanism to effectively implement and manage the
measures and activities foreseen in the component and agreed under the program.
2) Adequate resources for the CITES authorities to fulfill their duties and complete the activities
foreseen in the component.
3) Making sure that the institutions in charge of implementing the component make the required
dynamic and innovative institutional efforts to achieve not just the harmonization of national
systems, but also effective program implementation.
Implementation strategy
The programs will start with a baseline that reflects:

The state of development or implementation of national CITES electronic permitting systems.

Their linkage/harmonization with other systems like foreign trade single windows, relevant
agencies like customs, or other national and international mechanisms/systems/processes and the
information systems that support them.

MC advances and investment needs in the framework of the required processes, which have to do
with ongoing initiatives and available technologies, equipment or tools, as well as counterpart
resources.

Recommended best practices/lessons learned, including the actions and/or processes required to
harmonize data exchange systems and formats with relevant national and international
institutions.

The facilities and/or limitations that the national institutions have to implement the
program/component at national level, to connect or operate through online systems, to access
videoconfences or distance courses, or to transfer and store files through virtual mechanisms.
Access to available information, experiences, tools and technologies - This component will support the
investments required by the countries to facilitate documentation, access and transfer of processes and
technologies, regional information networks, training and technical assistance to use the proposed
systems and formats. It will also support experience-sharing and training related to the requirements and
application of a CITES electronic permitting mechanisms/systems/processes, which are harmonized with
the national export and control systems at a broader level.
In the initial stage of the program, the capacity-building requirements and feasibility of implementing the
proposed data and processes model will be analyzed, as will the recommended best practices. Among
others, this will include specialized technical advice in harmonizing activities related to relevant
regulations, processes and/or institutions and agreements at the regional level.
Lessons learned show that when processes are not documented—in this case those related to
administrative and operational systems, standardization processes and technological environments—it is
difficult for other users in the same institution to implement them, or to transmit or share this information
or technology and train other users in other countries appropriately.
Asociación GITEC / TYPSA
November 2013
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ACTO / KfW
DETAILED STUDY
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Planned investments
Allocation of identified and prioritized resources. - In this component investments are geared to
providing the resources, equipment and infrastructure that the countries need to develop and/or implement
electronic permitting systems. This will enable the permanent update of information, databases and/or
procedures needed to operate the information systems that are connected to electronic permitting systems,
single window systems and associated international systems (CITES, WCO).
In some countries, providing the necessary infrastructure and equipment will require studies to identify
what the country truly needs to implement the systems appropriately. There are lessons learned that show
that conducting this type of study avoids wasting money by purchasing equipment that is not appropriate
for the conditions and characteristics of the mechnisms/systems/processes to be implemented. Among the
equipment purchased will be computers, servers, software and hardware, database programs and tools to
develop processes and operate the systems. In addition, technical infrastructure will be installed for
simultaneous connections, thereby facilitating distance courses and virtual exchange.
The idea is to ensure the installation of technical infrastructure, equipment and systems, and provide
training to use or access them. Support will be provided for the development of guiding tools to operate,
automate and maintain these systems and to increase their efficacy.
The box below summarizes the investment requirements and counterpart offered by ACTO Member
Countries.
Box 2.3.3 - 1. Investment requirements by ACTO Member Countries - Component 2
(Consultation Stage 5)
COUNTRY/INSTITUTION
Bolivia/
The Vice-Ministry of Environment,
Biodiversity and Climate Change,
and Forest Management and
Development through DGBAP, the
CITES Management Authority
INVESTMENTS AND MEASURES
REQUESTED
- Design the National Electronic Permitting
System for trade in wildlife with the
capability of being linked to the foreign trade
single window system, and to the information
systems of SENASAG, ABT, National
Customs Office, local governments and
CITES Scientific Authority.
- Institutional strengthening at the national
level to implement the tools and equipment
for the system and train directly involved
public stakeholders to use the system.
- Strengthen national and sub-national
technical legal capacities to implement and
use the National Electronic Permitting
System.
Subtotal
Brazil / Brazilian Institute of
Environment and Renewable
Natural Resources - IBAMA
Subtotal
Asociación GITEC / TYPSA
- Two consultants for the creation and
documentation of the web service for the
SISCITES electronic permitting system.
- Power generation plant of at least 170 KVA.
- Uninterrupted power system (UPS) minimum module 120 KVA
Precision air-conditioning units
- Installation, including project, adaptation to
the electricity grid, equipment integration,
mainstreaming and linkage to the existing
structure.
ESTIMATED
COSTS (USD)
80,000
COUNTERP
ART (USD)
100,000
330,000
20,000
430,000
100,000
44,000
205,714
61,633
164,081
143,265
51,632
464,611
205,714
November 2013
Regional Project Formulation Study
ACTO / KfW
Colombia/
SINCHI
DETAILED STUDY
(22)
- 4 Computers per office.
- One high resolution scanner that provides
access to all CITES permits issued - Epson
Expression 11000 XL Graphic Art
- One point printer.
700
37,700
Subtotal
Ecuador/MAE19
-1 Videoconference system to be used
nationally.
- Capacity-building in electronic signatures
and acquisition of TOKEN and PFX
Certificates.
- Consultancy to prepare a BIS module that
includes a register for species kept in
captivity in the system.
Subtotal
Guyana/ Wildlife Division/
Ministry of Natural Resources and
Environment
- A study/assessment of infrastructure,
equipment and technology, platform, soft and
hardware, with characters that enable the
establishment of a permitting system and its
connection to associated national and
international electronic databases, other
agencies and/or single window.
- Design of the system and process.
- Capacity-building to implement the system
and related technology for responsible
personnel and other users.
Subtotal
Peru/ Ministry of Production
(PRODUCE)
12,000
25,000
150,000
30,000
50,000
80,000
280,000
30,000
9,000
To be defined
50,000
30,000
89,000
- Unification of processes for obtaining
permits prior to obtaining the CITES permit
and support for entering the Foreign Trade
Single Window (VUCE) and E-Permit project
(includes hardware, PCs, laptops, external
hard drives, etc., for the offices involved
(PRODUCE-GORES involved in CITES
permits).
- Online connection between Administrative
and Scientific Authorities and stakeholders to
check documents in the country of origin and
destination (includes software, assistance to
install it, and workshops for participants
(PRODUCE-GORES involved in CITES
permits).
- Development of a database with information
of administrative actions for hydrobiological
resources
interconnected
to
CITES
institutions.
- Implementation of interconnection with
VUCE and the E-Permit project.
29,000
40,000
5,000
30,000
19For
Ecuador Components 1 and 3 are directly related, which is why the counterpart resources and equipment requested in the
two components complement and integrate each other. Com. in lit. Teddy Escarabay, CITES focal point of the MAE A X.
Buitrón, August 2013.
Asociación GITEC / TYPSA
November 2013
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ACTO / KfW
Peru / Ministry of Agriculture
and Irrigation (MINAGRI)
DETAILED STUDY
(23)
- Acquisition of last generation hardware
(PCs, Laptops, external hard drives, etc.) for
employees in charge of managing the EPermit project, as well as software to support
it (approximately 20 users).
- Software to operate 02 servers donated to
the DGFFS by MINCETUR in 2009.
- Increase the bandwidth provided by the
local provider to ensure a much faster
connection and transmission of as much data
as possible.
- Capacity-building for staff in charge of the
E-Permit project to achieve optimal system
functioning (approximately 20 users).
Subtotal
Suriname/ Ministry of Physical
Planning, Land and Forest
Management (Ministry of RGB)
To deploy/implement the electronic
permitting system and/or connection to
single window:
- Consultations with relevant stakeholders.
- Capacity-building for electronic permitting
system stakeholders.
- Capacity-building for single window
through customs for all relevant stakeholders.
- Online learning: electronic permitting
projects (5 to 10 people).
480,000
50,000
25,000
20,000
289,000
Subtotal
Venezuela/
90,000
480,000
5,000
20,000
20,000
25,000
70,000
To be completedOngoing
with the results of the
E-Permit project consultancy.
Subtotal
2.3.4
Component 3: Strengthening sustainable management and
monitoring processes in chains of custody
Result: Existing and prioritized sustainable management initiatives for species strengthened through
investments requested by ACTO Member Countries20.
Component 3 will focus on strengthening sustainable management and monitoring processes in chains of
custody through investments in initiatives or processes that improve the efficiency and effectiveness of
local stewardship, strengthen traceability systems, guarantee legal origin, and foster sustainable
management and trade in CITES species and others endangered by trade. To this end, we propose
generating and/or strengthening infrastructure and technological innovations for management and
traceability projects, conducting national inventories, preparing management plans, certification
processes, managing species after they are confiscated, improving rescue centers, and providing
identification, monitoring and detection tools. Also important will be equipping regional and local centers
that offer technical assistance, training and access to information, as well as those that work with the
communities and other stakeholders.
20 Investments in building infrastructure and purchasing equipment, tools and other types of technical inputs that the countries
identified as priority for the component.
Asociación GITEC / TYPSA
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Activities under this component are related to two crosscutting axes of the AECA: (i) conservation and
sustainable use of renewable natural resources, and (ii) sustainable development. They also address the
priority thematic axis of biodiversity conservation and CITES species management. Some of the shortterm execution and implementation instruments prioritized and concerted are promoting CITES species
traceability studies and identifying mechanisms for sustainable use of wild plants and animals. Activities
are expected to increase and improve sustainable management programs for species of interest, among
others by including Amazonian species endangered by trade in CITES Appendix II, as agreed in each
case. They will also expand and enhance technical infrastructure and human and management capacities
for different sustainable management and monitoring processes (origin, traceability, chain of custody),
and actions that allow MC to improve trade and control in border areas.
This component has to do with applying the tools and systems generated in Components 1 and 2 in things
like using and updating databases, expert networks, modernizing procedures and technologies to identify
and track species, issuing permits, management systems and scenario modeling. This section describes a
few important initiatives:
Electronic timber identification key
This is an interactive identification system based on general and macroscopic characters as well as chemical and physical tests applied to wood, all of
which are contained in a database. It also includes geographic location data, botanical names, synonyms, common names and data about conservation
and marketing. The database was designed by the Forest Products Laboratory of the Brazilian Forest Service in DELTA format.
The program is easy to use, allowing users to identify a species simply by using a knife to cut the wood and a 10x magnifying glass to observe its
characteristics. This type of key contributes to sharing information and determining the types of wood species most commonly exploited and marketed.
The greatest advantage of this type of key is that it can be used in the field with cheap tools, after the person is trained to recognize wood characteristics.
Even without training, the key can be used as a source of information about species, since it provides complete descriptions, illustrations about
characters, and pictures of wood It also enables comparative analyses between species.
LFP experiences using the key have been very positive. The key has been used in training courses for inspectors of various Brazilian institutions and as
teaching material in university courses.
Source 21
DNA barcodes
Species identification is a fundamental component in research and conservation efforts, and a key aspect in monitoring sustainable management and trade.
Advances in technology and research have led to the development of initiatives that require only a single short DNA sequence to identify species easily and
quickly. This sequence represents a standard position in the genome and is called the DNA barcode. It is similar to the black barcodes of the Universal
Product Code used to distinguish commercial products (Cräutlein, Korpelainen, Pietiläinen, & Rikkinen 2011). It has an important role, since by being faster
and cheaper it can facilitate biodiversity inventories and species identification through environmental samples like soil and water (Valentini, Pompanon &
Taberlet 2009).
The Amazonian Institute of Scientific Research (SINCHI) through its Ecosystems and Natural Resources Program recognized the usefulness of this tool to
support the Colombian Amazon in 2010. Since then, it has been using the technology for the region's plants and animals with various objectives, among
them: Preparing a voucher specimen/sequence database to facilitate taxonomic identification and starting a process of characterizing Amazonian species
with any degree of endangerment or subject to illegal traffic in the Colombian Amazon by using simple standardized DNA fragments (barcodes). Using this
database as an operational instrument to facilitate monitoring and control of illegal trade in species in the Colombian Amazon.
Molecular markers
Molecular tools provide valuable data on diversity thanks to their ability to detect DNA variations. To assess species diversity it is essential for individuals
to be adequately classified. Identifying taxonomic units and endangered species whose genetic make-up is different from more abundant associated species,
requires the development of an appropriate conservation strategy that takes into account the degree of relatedness between individuals. DNA markers are
useful for both basic and applied research (Somasundaram & Kalaiselvam 2009). The Sinchi Institute has a biotechnology laboratory and molecular biology
equipment. They use techniques like microsatellites, AFLP, RAPD, ISSR, cloning, building genomic libraries and sequencing, with the aim of contributing
to biodiversity inventories at the different levels of expression of the microbial communities present in little disturbed forests of the Colombian Amazon.
SINCHI also identifies and estimates the genetic diversity of populations of vulnerable, commercially important or threatened plant and animal species, in
order to consolidate institutional and regional capacity to control illegal trafficking in species or parts thereof, and to determine the origin of Amazonian
species exports of dubious provenance. These techniques require using appropriate laboratory equipment to obtain DNA fragments and sequences (e.g.
genetic analyzer), among others, as well as ancillary services. Other countries have also expressed an interest in this type of laboratories and equipment.
Source22
21
Vera Teresinha Rauber Coradin, Environmental Analyst, Brazilian Forest Service, Forest Products Laboratory - LPF, com.
pers. A X. Buitrón, GITEC consultant, 5 July 2013.
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ACTO / KfW
DETAILED STUDY
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The financial resources assigned to strengthen sustainable management and traceability initiatives and
associated studies, processes, tools and equipment will be transferred directly to the program's executing
agency. In coordination with the national implementing agency and based on the information about
investment demands and requirements made by the MC and summarized in Box 2.3.4 -1 (see section on
planned investments), the executing agency will channel the necessary and agreed resources and arrange
the purchase of the necessary equipment.
To achieve results in this component:
1) CITES authorities and other local management stakeholders must have adequate resources to
fulfill their duties.
2) Sectoral institutions and policies in Member Countries must provide adequate support to the
Program.
Implementation strategy
This component will strengthen ongoing processes and programs that have traceability systems in place.
These must be part of a value chain that is economically relevant for the region (covering at least 2 or 3
countries), and that shows or justifies socioeconomic benefits or impacts to the local populations.
Baseline situation - Implementing this component depends on the steps that will be completed in the
program's inception phase, such as:

In view of the extent of support to be provided to each of the possible initiatives, some of the
experts may be asked to provide technical advice for specific initiatives that the program may
support through investments:
 Traceability projects
 Inventories
 Management plans
 Certification processes

Mapping proposed chains or initiatives, and processes and/or studies for requested investments
Out of the initiatives selected, the following will be analyzed:
 Local stewardship, management and traceability systems by country (state of the art of chain
of custody or management plan systems, etc.) We suggest investigating what equipment the
national management bodies need, taking into account how the countries are organized as well
as their baseline situation (servers, databases, internet infrastructure / radio communication
formats, adequacy of the environments).
 Current and new technologies available, electronic marking systems, reading equipment/chips;
available and necessary tools and manuals; technical infrastructure to store databases, servers,
monitoring equipment (radios, etc.).
 Developing intervention/investment plans and feasibility studies (budget studies for
investments).
 Prioritizing strengthening actions and investments (according to the best systems defined for
each country).
22
Dairon Cárdenas, com. in lit. a Christoph Trusen, July 2013; ACTO (s.F.)/Additional information about the CITES system in
ACTO Member Countries. Colombia. Formulation of a Regional Program on Forest Protection, Biodiversity Conservation and
Climate Change.
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- Holding national and regional exchange meetings.
- Collecting information to analyze the minimum costs involved in developing or improving
traceability systems.

On the one hand, success in implementing this component depends on securing the voluntary and
committed engagement of the various stakeholders, and creating trustworthy relations with them
in the short, medium and long terms. Sharing information about the program and component is
essential to this end and must occur in the program's inception phase. On the other hand, it
depends on making sure that the benefits generated and investments planned are clear. This will
require an analysis before discussing the program and component with the stakeholders.
Planned investments
Implementing the agreed investments - Based on the diagnostic assessments, maps and studies conducted
in all the countries, priorities will be established for technical infrastructure, equipment or systems, and
capacity-building activities to enhance or improve management and traceability.





Sharing knowledge and experience/systematizing experiences and strategies/systems
Technological innovation through electronic marking systems, keys, molecular markers, DNA
barcodes
Technical assistance in logical/managerial aspects of the management/traceability system to be
deployed (regardless of marking)
Mapping servers/databases - price quotes
Benefit sharing / analyzing experiences and incentives
Provision of infrastructure and equipment - For regional and local training and technical assistance
centers that work with the communities—CITES information access nodes, related to Components 1 and
2 for using databases, expert networks, processes to obtain and issue permits, and management systems.





Provision or improvement of database storage infrastructure to be taken care of by each
government; equipment to strengthen local stewardship, management and traceability systems.
Building/refurbishing facilities and infrastructure (checkpoints, seizure and storage facilities,
technical assistance and training centers, technology access nodes, CITES bodies or other
associated institutions).
Provision of equipment:
- Identification and reading - chips.
- To prepare and monitor management and traceability plans.
- Equipment for scenario modeling (computers, satellite internet, GPS).
- Purchase and install equipment, software and hardware to conduct inventories.
Prepare and/or update or adapt training manuals on how to use or apply these systems, and
sampling and species identification tools and guides, certification tools and processes.
Conduct georeferenced inventories of selected species and mapping of checkpoints, monitoring
and trade routes, and animal storage, rescue and rehabilitation centers.
The box below summarizes investment requirements and counterpart by ACTO Member Countries.
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DETAILED STUDY
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Box 3.3.4 - 1. Investment requirements by ACTO Member Countries - Component 3
(Consultation Stage 5)
COUNTRY/INSTITUTION
Bolivia / General Office of
Biodiversity and Protected Areas DGBAP
Subtotal
Asociación GITEC / TYPSA
INVESTMENTS AND MEASURES
REQUESTED
- Complete assessment of the national trade
system;
- Infrastructure and equipment; capacitybuilding; exchange of experience; diversified
technical assistance to reactivate and improve
the Taitetú Management Plan.
- Evaluation of the National Program for
Conservation and Sustainable Use of
Crocodiles, to strengthen, train and equip the
associations of crocodile leather artisans and
incorporate them to the national and
international market.
- Update the Non-Detriment Findings Report.
- Strengthen public institutions involved in
controlling illicit actions against wildlife
(needs assessment, capacity-building in
management and recognition of wildlife
species, using control guides and
interinstitutional administrative and local
control procedures); and equipment for
personnel participating in control operations
(toll-free number for complaints, transceivers,
computers, printers, seizure equipment,
animal care and transfer centers).
- Strengthening and equipment to manage
nesting beaches for river turtle incubation and
breeding, and equipment for centers aimed at
increasing the success of offspring hatching
and release.
- Equipment, capacity-building and
strengthening to monitor the release of turtles.
ESTIMATED
COSTS (USD)
50,000
COUNTERP
ART (USD)
392,000
200,000
100,000
85,000
150,000
80,000
20,000
685,000
392,000
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Brazil / IBAMA and Brazilian
Forest Service
DETAILED STUDY
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18,000
- Chain of custody mechanism proposed
based on the systematization of experiences
with CITES species.
- Development of a computer program
(software) for chain of custody use and
control (internet).
- Capacity-building for CITES
Administrative and Scientific Authorities and
multipliers to transfer knowledge to
managers.
Electronic markers:
- Development of RFID and barcode data
collection application (software).
- Equipment (RFID and barcode readers/data
collectors, labels) for testing.
- Report showing the advantages and
disadvantages of using this technology in
chain of custody control for CITES species.
- Consultancy (2 technicians) to assess the
feasibility of implementing a timber tracking
system - review of tracking/chain of custody
mechanisms and expected improvement in
MC scenario.
- Three models to be used by decision-makers
in wood transportation processes using the
Brazilian Forest Origin Document (DOF)
system. Hiring of an IT firm to implement the
selected proposal.
Subtotal
Colombia/
SINCHI
MAE
Investments to strengthen and improve
molecular biology techniques to support
control and chains of custody for managed
species:
Applied Biosystems 3500 Genetic Analyzer
sequencer.
- Sequencer inputs: BigDye Terminator V3.1,
BigDye XTerminator Purification Kit,
Conditioning Reagent,3500 Series, Anode
buffer Container 3500 Series, Cathode buffer
Container 3500 Series, Gene Scan 600LIZ
Size Standard.
96 well PCR Plates, 8-Strip caps for PCR
plates.
- Infrastructure for turtle breeding zoo (pond
construction, geomembrane, water pumps,
boats, GPS, camera, etc.).
- Infrastructure for the construction of a
storage facility for raw materials to
manufacture cosmetic and/or pharmaceutical
products.
- Distillers for the communities involved in
extracting oil from wild plants.
- 10 GPS
- 20 microchip readers
54,000
- Development of an area plan for a rescue
150,800
95,000
9,000
67,200
180,000
150,800
349,090
250,000
75,000
325,000
349,090
200,000
15,214.91
100,000
100,000
5,000
12,000
417,000
Subtotal
Guyana/ Wildlife Division/
30,000
615,200
Subtotal
Ecuador23/
162,000
15,214.91
50,000
23 Modified priorities - Com. in lit. David Veintimilla, CITES focal point, MAE, Ecuador, A X. Buitrón, 5 October 2013.
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Environment
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center.
- Construction of the surface.
- Construction of the building/s.
- Construction of the cages.
Subtotal
Peru/ Ministry of Agriculture and
Irrigation (MINAGRI) and Ministry
of Production (PRODUCE)
Promotion of sustainable management
initiatives
- Assessment of local management and
traceability experiences (Background Paper):
Funding needs assessment: building facilities,
equipment, developing applications and
courses. (Assessment and equipment).
- Development of a pilot certification
program for Amazonian peccary fur and
establishment of a certification committee.
Involves: Assessment, infrastructure,
equipment and software
- Program to ensure traceability of Arapaima
gigas, involves: Assessment,
infrastructure, equipment and software
- As a complementary activity, after the
assessments: Regional exchange of successful
experiences in management and traceability.
Strengthening
capacities
and
infrastructure for control operations, and
to dispose of animals seized in CITES
species trafficking operations.
Hydrobiological resources:
- Improving infrastructure and equipment.
- Assessment and equipment to determine
research and monitoring needs.
- Capacity-building to use the equipment and
exchange of experience.
Terrestrial fauna:
- Infrastructure (building physical facilities);
equipment; capacity-building and exchange
of experience.
- Assessment to determine the position of
checkpoints, main species traded illegally,
trade routes and decision-making trees and
manuals for plant and animal control
procedures: needs assessment, equipment and
software.
- Strengthening regional stewardship to
control wild fauna and flora: needs
assessment for infrastructure/equipment to
strengthen regional stewardship, management
and traceability systems, equipment and
infrastructure, capacity-building and
exchange of experience.
Subtotal
Suriname/ Ministry of Physical
Planning, Land and Forest
Management (Ministry of RGB)
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582,000
40,000
66,000
100,000
24,000
92,000
75,000
30,000
90,000
517,000
- Consultancy to develop a research
management plan for the species Red Ibis.
- Inventories of species subject to trade.
- Consultancies with the local communities.
-Training for forest guards.
- Capacity development for authorities to
identify plant and animal species subject to
trade: Customs, own personnel, veterinarian
service and police (first stage).
Subtotal
Venezuela
75,000
125,000
50,000
300,000
582,000
10,000
150,000
50,000
100,000
30,000
340,000
Ongoing
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Subtotal
2.4
Area of intervention and target population
2.4.1
Area of intervention
The program has an intervention approach in the eight MC of the Amazon region. Due to its stewardship
and implementation modalities for Components 1 and 2, the greatest investments will focus on executing
each component.
For Component 1, the main intervention will take place in the seats identified by the MC as hosting the
information and knowledge management systems and/or initiatives to be supported and strengthened. The
national executing agencies will analyze how the Amazon region stakeholders will participate as well as
their access to investments.
For Component 2, the main interventions will occur in the capital cities and directorates of the provinces
or departments where the CITES Administrative, Scientific and Enforcement Authorities operate at the
national level, including the Amazon region.
For Component 3, interventions will mainly focus in the Amazonian territory of the Member Countries,
ecoregions and border zones where the initiatives selected to strengthen sustainable management and
chains of custody operate.
2.4.2
Target Population
Efficient stewardship is a key element for conservation and sustainable development. All actions or
measures taken in the framework of the program to support improved management, monitoring and
control of wild flora and fauna species endangered by trade will mainly benefit: the CITES
Administrative, Scientific and Enforcement Authorities of the ACTO MC; the ministries in charge of 24 or
that will execute the different program components (Environment and Sustainable Development,
Agriculture, Production, Trade, Industry, Science and technology, Universities and/or research centers);
and the countless people and associated institutions in the MC. Annex 1.2 (Sections 1 and 3) details the
relevant CITES implementation stakeholders at the national level.
Investments in the three program components—related to information management, knowledge
management, training; administrative streamlining, reducing bureaucratic barriers and operating costs in
trade management; and better tools for monitoring, management and sustainable trade—are expected not
only to equip the competent authorities or associated institutions with the infrastructure, equipment and
technology they need or to improve what they have, but also to strengthen national and regional
stewardship and cooperation on the topic. In this aspect, the CITES Administrative and Scientific
Authorities, biodiversity, wildlife and enforcement authorities of the MC and the PS/ACTO itself will not
just benefit from using these tools for more effective and efficient management, but will also become a
coordination channel through which to tackle local, national and regional priorities on the matter. Chapter
24 Several countries (CITES Authorities) have decided and investments between the ministries that have jurisdiction in the
matter (whether or not they are CITES Authorities), and will jointly implement certain components in cases in which joint action
or separate but complementary investments will enable progress and improve integrated in the area. This is also the case for
countries that are working together in certain common research initiatives to improve control of trade.
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3 presents the institutions involved and implementing agencies of the program, as agreed by the MC in
the prior consultation stages for each of its components, pursuant to the matrices sent by the countries.
The local populations of the Amazon region are the ones directly affected by unsustainable wildlife
harvesting and trade, and by the consequences of using natural resources in a manner harmful to
ecosystems and lifestyles. As such, they are the indirect target population of the cooperation program's
socioenvironmental impact, and of the associated studies and initiatives aimed at achieving social
cohesion, in this case, by contributing to biodiversity conservation and strengthening local development.
2.5
Synergies and Complementarity with other Programs/Projects
Various programs and projects formerly or currently executed that contribute to the most important topics
of the AECA.
Some of the activities planned in coordination and cooperation with the Amazon Regional Program25for
the three components are:
25

Supporting regional thematic forums. Through activities undertaken by the Amazon Regional
Program, technical and methodological input will be provided to convene regional meetings
related to the program components.

Supporting regional training/capacity-building and exchange activities to technically and
administratively strengthen the ministries and other national authorities related to trade in species
through face-to-face courses, seminars and internships, among others.

Supporting capacity-building in techniques and information management related to use and trade
in species, with technological innovation in systems for management plans, monitoring, control,
benefit sharing, etc., so that MC have up-to-date regional information available for decisionmaking.

Providing advice to develop technical proposals related to the countries' priorities for each
component.

Encouraging the use of experience gained through the projects in developing strategies and
policies to strengthen CITES implementation and sustainable management of species subject to
trade.

Preparing and disseminating technical tools/documents/studies to manage and control species
endangered by trade.

Supporting the development of information and use of IT tools related to sustainable use,
management and trade in species of interest.

Updating online information about the electronic permitting mechanisms/systems/processes in
each country (stakeholders, existing systems, formats used, laws, etc.) for training and learning
purposes.

Training the different stakeholders of the national electronic permitting systems (local
technicians, law enforcement, customs, health services and officers responsible for controlling
transportation and trade in endangered species).

Supporting and systematizing strategic experiences related to the three components.
Com. in lit. Adriana Rivera, Technical Advisor GIZ/PRA, a X. Buitrón, October 2013.
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
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Preparing support materials and technical guides (among others by systematizing information for
reports).
2.6 Monitoring and Evaluation System
Concept: The Integrated Monitoring and Information System (IMIS) is an integral part of the
management cycle for the measure/activity. It was prepared with the purpose of conducting a quality
verification to guide the program's progress and impacts, and to adapt and improve its activities to the
changing environment.26Through the IMIS, efficient use of financial and technical resources will be
assured. This implies integrating two concepts for one same purpose: on one hand monitoring—defined
as a systematic and continuous process of verifying that certain activities or processes are taking place as
expected—, and on the other evaluation—indicated as an interpretation of changes in the environment as
a consequence of the program.
Objectives: The IMIS must fulfill the following requirements:

Improve program management and ensure that financial and technical resources are optimally
used.

Foster accountability and transparency in the management process.

Ensure that technical advice is relevant and efficient.

Strengthen the conceptual and operational framework (global and operational planning,
organizing operational work, staff integration, directing actions and redirecting processes and
actions).

Ensure that lessons and recommendations produced by the experience are applied in program
management.
Principles: The IMIS must fulfill the following principles:

An exercise for identification and rigorous qualitative and quantitative analysis applies a critical
approach to check and validate information.

A methodic and orderly way of learning from experience.

The opinion of key stakeholders is the starting point and fundamental input for monitoring and
evaluation.
Elements: The IMIS has four levels of indicators for measurement/verification:
26

Activities: Actions and concrete tasks developed to obtain the products programmed in the
General Plan of Operations (GPO) and in the Annual Plan of Operations (APO).

Products/results: Targets established and achieved through program execution (“performance”) in
the short or medium terms. The extent to which products are achieved is related to the program's
efficiency (performance, implementation).

Effects: Achievements obtained through activities and products with regard to the program's
objectives and expected results.

Impacts: Results obtained through the effects, which ensure the permanence and continuity of
achievements beyond the useful life of the program. Impacts are part of the medium and long
term consequences of the program, both desired (planned) and undesired.
Biophysical, sociocultural, economic, institutional and political environment at the micro and macro levels.
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Indicators: Two types of indicators are applied to reflect the aspects above:

Performance indicators (progress), which help to observe and evaluate the program's efficiency
and are used to determine whether the activities planned were truly undertaken and whether the
expected products were achieved in the timeframe defined and with the funds available.

Impact indicators, which make it possible to observe and evaluate the efficacy of the program and
focus on the social, economic, cultural, ecological and institutional dimensions of sustainability.
Tools: The IMIS can inter alia use the following means to compile and analyze information:

Reports

Verification/follow-up visits

Evaluation visits

Dialogues, structured interviews and surveys with key stakeholders

Technical and financial audits

Technical studies on special topics

Validation and systematization events
M&E operability: The guiding principles recommended herein for the M&E system are derived from the
program's concept and rationale. However, they may be adapted according to the circumstances that arise
during its implementation. As such, the brunt of M&E falls on the following levels:

The Execution Unit (EU),27 which is responsible for overall program M&E.

The MC institutions responsible for monitoring measures and/or activities.
Program Performance Monitoring:
Documentation/Database: Considering the variety of projects and their distribution across 8 countries, it
is important to establish a database in the EU to monitor how investment are advancing at the financial
and accounting levels.

Financial Level: The database (Excel) must contain the following information: description of the
organization, types of measures and/or activities, investment plan and amount, number of direct
beneficiaries of measures/activities, equitable access to resources, and other specific data. This
information should be collected nationally by MC institutions once per semester and sent to the
EU to be incorporated in semestrial reports.

Accounting Level : The EU will be responsible for the database, which must contain all the
information related to investments, budgets and disbursements in the various incentive lines, as
well as feedback and transfer requests from the Disposition Fund. It will also register the local
counterpart.
Information Flow: Information must flow between the main stakeholders and enable continuous
improvement of planning and decision-making. Data will be generated and turned into information by
program measures and/or activities, and feed the database at the program level. At the level of measures
and/or activities, the MC will order, incorporate and analyze the information according to pre-established
criteria. The EU is responsible for processing and verifying data received and incorporating them to the
program. It is also responsible for providing information to other institutions that request it, e.g. the
27
The agencies involved in the program are described in the Chapter 3.
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Member Countries, PS/ACTO, Regional Committee and KfW. In addition, it is in charge of selecting the
communication mechanism and updating the database continuously. The following flowchart shows the
relationships between the actors involved in monitoring.
Graph 2.6 -1 IMIS Information Flow 28
Member Country
Agencies
Planning
Database
- accounting level
- financial level
M&E
Measures and Activities level
Activities and
measures
Execution Unit
PS/ACTO
Regional Committee
Member Countries
KfW
Program level
Information
Monitoring Progress in Measures and/or Activities: Progress is monitored based on:
28

Annual Plan of Operations: Facilitates progress monitoring in measures/activities by defining the
expected targets for the next year by results, the monthly schedule for activities, indicators and
means of verification, German cooperation contributions channeled by ACTO, and MC
contributions.

Milestones: These milestones enable clear, concise and comprehensive following of expected
progress in products and sub-products; they also determine the tentative date to achieve products
and the responsibilities.

Monitoring of Investments: This activity requires careful attention from the MC institutions and
the EU. Instruments and mechanisms to collect data and analyze information about procedures to
apply for investments and contracts, follow-up on disbursements, monitor the implementation of
measures and/or activities according to quality criteria, check the results and prepare periodic
reports must be designed and included in the Program Operations Manual.

Funding for Monitoring Activities: The costs of monitoring and evaluation activities at the
different levels was included in the program budget and is partly considered national counterpart
to be provided by the entities involved.
The agencies involved in the program are described in the Chapter 3.
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Operation and Maintenance: The program must include an O&M concept for measures and/or activities
to ensure they are implemented appropriately and remain sustainable beyond the duration of the program.
O&M requirements vary according to the type of measure/activity and must be defined in the document
to apply for incentives and in the implementation plan. The MC institutions are responsible for all
operation and maintenance aspects in the context of their activities, as well as for monitoring investments
in measures and/or activities.
Impact Assessment: In order to measure program impact the IMIS must compile information on a
regular basis, building upon the logical framework and the baseline. The evaluation will be conducted at
the measure/activity level and program level.
Measure and/or Activity level: At the start of each measure/activity, a baseline must be prepared with
reference to economic, environmental and institutional indicators that affect the area. This assessment
must be conducted by the MC institutions. At the end of each measure/activity, they must conduct an
impact assessment to check whether the objective defined for the measure/activity was achieved. Finding
out what the beneficiaries think of the concrete results and factors that affected the measure/activity
positively or negatively will be key. In addition, an ex post evaluation for each type of measure/activity
must be done taking into account the duration of the program.
Program level: The impact assessment must be led by the EU, which will respond for managerial and
administrative performance in this area throughout the program's implementation, including the baseline,
intermediate activities and final evaluation. This assessment is based on the objectives, results, indicators
and risks, as defined in the logical framework. The indicators must be consistent with sustainability
dimensions/criteria (environmental, economic and institutional).
Baseline: Considering that the program will have a Monitoring and Evaluation System, the baselines
must be established at the start of the implementation period, supported by the EU and consulting firm.
Among the EU's responsibilities will be aggregating and analyzing information, and feeding the database
for program monitoring.
Final Evaluation: The result of the final evaluation will be part of the last program report. This report
will present the results in terms of program achievements and compliance. The final evaluation process
will be planned in the last Annual Plan of Operations, defining the time needed, support required and
inputs. The EU will be responsible for supervising the process and incorporating its results in the final
report.
2.7 Impact Analysis
This is an investment program that may qualify as zero damage and having a pro-development approach.
It aims to maximize the positive effects of environmental, economic, social-institutional and cultural
variables through objectives that contribute to Amazonian biodiversity conservation, especially species
endangered by trade, and specifically those listed in the CITES, in compliance with the national and
international legal provisions for sustainable use and trade of this Convention and the CBD.
Its objective is to “Increase the efficiency and effectiveness of management, monitoring and control of
wild fauna and flora species endangered by trade”, thereby stimulating the generation and/or
strengthening of local, national and regional technical capacities. To this end, it will establish linkages
with public institutions and the local productive and commercial-entrepreneurial fabric, fostering
professional development of human capital by boosting the use of technology.
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Funding will be primarily provided to the public sector and organizations that support or collaborate with
actions in the field, at the technical and policy levels. It is known that different investment modalities can
have different effects (quantitave and qualitative) in short, medium and long-term development, and that
investments in machinery and equipment have more impact on growth than other types of investments.
Through the program, an M&E system will be established that will use a baseline as starting point and
apply an ex post evaluation for each type of measure/activity. An analysis of how local investments
affected development would be based on the M&E system.
To design the program, a rapid assessment (screening) of the environmental context, climate adaptation
and reduction of CO2 emissions was performed,29 identifying and assessing possible negative and
positive impacts.
Its results showed that the program, with its proposed components and planned investments, will not
produce negative impacts on the environment, mankind or human, ecosystem or species health. As such,
no special protection, control or compensation measures will be required. Nevertheless, possible changes
will be monitored throughout the program's implementation.
The main positive expected impacts are presented below.
Box 2.7 - 1 Main impacts expected from the program
Impact
Category
Socioeconomic
Impacts
Environmental
Ecological
Impacts:
29
Impact Description
Positive Impacts
 Investments in efficient and effective management of programs to monitor sustainable use, management
and trade, as well as in information and control systems along market chains, are key to maintaining
natural resources (socially and economically important species) as a long-term source of income and
livelihood for the communities.
 The institutions, organizations and users involved benefit from improved technologies, which save time
and reduce the amount and costs of administrative procedures— especially those related to infrastructure,
equipment, technologies and professional development of human capital. Knowledge is another
subproduct of capital investments that fosters "learning by doing". The effects of technological innovation
include increased productivity and better integration of environmentally friendly products in the market
and foreign trade, in compliance with national and international norms and standards.
 The best practices generate the greatest benefits. Productive initiatives promoted in the region improve the
livelihoods of local communities.
 Provision of infrastructure, equipment, technology and research for sustainable management and efficient
and effective stewardship of CITES species and others endangered by trade is an important condition to
preserve the natural resources and ecological balance of their native ecosystems.
 Planned measures and/or activities contribute to conservation/sustainable use and sustainable trade in
prioritized species through scientific and technological development.
 Information and knowledge management facilities—and stronger biodiversity and CITES information
systems—inform decisions to prioritize and develop studies, manage species and control trade
appropriately, as well as to adequately coordinate and co-execute activities with local and international
counterparts and other initiatives.
 Opportunities to increase and/or improve programs/initiatives for sustainable management, monitoring
and control of species marketed and of interest for the region are offered.
 The program promotes an increase in the number of Amazonian species listed on CITES Appendix II that
are under management, and a decrease in pressure on biodiversity from unsustainable trade.
Pursuant to the KfW guidelines for this context contained in the document “Nachhaltigkeitsrichtlinie der KfW”.
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Impact
Category
Institutional
and Cultural
Impacts
Political
Impacts
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Impact Description
Positive Impacts
 By facilitating access to infrastructure, equipment and tools to generate and share information, the
program helps to reduce asymmetries between the different management institutions at the national level,
between the countries, and at the regional level.
 Investments strengthen CITES management capacities, in accordance with the needs of the institutions,
organizations and/or individuals in charge of administrating and/or supporting CITES implementation, by
facilitating issuance of CITES permits and certificates through harmonized systems and information
management and exchange.
 Investments in infrastructure, equipment and technological innovation produce improvements in the
quality of management within institutions.
 Planned actions facilitate interaction between the different sectors and groups—including community
producers—for management and monitoring, exchange of traditional knowledge and practices, and
adoption of new technologies to improve shared management.
 Program actions contribute to the ACTO Strategic Environmental Agenda and to MC environmental
stewardship plans, specifically concerning biodiversity management policies and actions.
 Public policies and decision-makers taken into account the information generated and shared by ACTO.
 Through shared information and knowledge management, complementary policies are implemented to
promote species management and combat illegal and unsustainable exploitation and trade.
 Planned actions also help to improve CITES and CBD implementation through adequate interinstitutional
and multidisciplinary coordination, as well as through harmonization and contribution to other associated
agreements, regulations, plans and programs.
 MC foster updating, development and/or harmonization of standards, administrative procedures, and trade
management, monitoring and control technologies.
 Cooperation between MC to oversee biodiversity management and conservation and reduce illegal and
unsustainable trade is strengthened through the program components.
 Good governance is achieved through knowledge transfer and dissemination, physical infrastructure
development, demonstration effects and implementation of good management standards.
2.8 Assumptions and Risks Analysis
The risks that may affect the achievement of the Superior Objective, Program Objective and Results, as
well as crosscutting measures, were determined based on possible changes in the underlying assumptions.
The schematic representation of the program's logical framework contains a selection of underlying
assumptions. The risk assessment, possible impacts and mitigation measures are shown in the Risk
Assessment Matrix (see Box 2.8 -1).
The risks that may affect the Superior Objective are considered average to low. Risks that may affect the
Program Objective are considered average to high and those that may affect the Program Results are
believed to be average to low.
The following paragraphs describe the main reasons for the risks to the Program Objective.
Despite the PS/ACTO's experience in executing agreed programs and policy mechanisms and the
availability of funds from strong technical and financial cooperation institutions, the high demands placed
on the technicians and administrators responsible for different areas (due to the limited number of human
resources and technicians capable of participating and effectively supporting management) may hinder
the adequate execution of the various program implementation and monitoring processes. Whoever is in
charge of coordinating the topic must simultaneously deal with the various programs and projects,
meetings, and technical, administrative, logistical and political institutional tasks from the areas
involved. In addition to being responsible for liaising with other thematic areas and programs. The
problem also has to do with the mechanisms that were established for interaction and communication.
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Both the mechanism to communicate with the countries and the arrangements to implement the program
are very complex and bureaucratic. Any decisions made by the implementing agencies or requests for
information have to go through various interinstitutional bodies. A PS/ACTO note to the countries about
information, applications or decisions of various types must be copied to approximately 35 or more
people from embassies and foreign ministries that have nothing to do with the program's implementation
or with the implementing agencies at the national level. The note is then transferred to the international
affairs staff of the direct implementing agencies, and only after this does it go to the focal points or
technicians that respond for the program in the MC. In the countries, it may take months to appoint the
focal points and establish work teams, as well as to communicate with other institutions and make
decisions. This affects the implementation timeframe and program results significantly. At the same time,
it hinders opportunities to establish partnerships, implement necessary changes, and achieve progress and
results, as well as to take advantage of eventual unexpected opportunities capable of benefiting and
promoting the program's actions and achievements. While preparing this detailed study and throughout
the consultations to prepare this program we encountered several of these situations and faced many of
the difficulties referred above.
By taking the risk mitigation measures identified, we assume it will be possible to keep the risks at an
acceptable level.
Box 2.8 -1 Risk Assessment Matrix
Risks [30]
High Average Low
Mitigation Measures
I Risks to the Superior objective
 Political decisions by MC that hinder
progress or functioning of information
and knowledge management systems,
as well as mechanisms defined to
coordinate provision and access to
information.
x
Interinstitutional coordination and communication are
promoted. Publicize the program.
 Lack of support from other regional
programs to liaise and coordinate
associated platforms so that ACTO
and the MC can access and share
information.
x
During the inception phase, publicize the program with
other programs, seeking interinstitutional alliances. Take
other initiatives and advances into account, showing added
value and mutual benefits.
 The States might change their political
priorities or support to conservation
and species management programs.
 Proposed amendments to list species
in CITES Appendix II are not
supported by other countries or certain
sectors involved.
x
Raise awareness among key stakeholders of the importance
of the priorities identified.
Strengthen the participation of ACTO and its experts in
regional decision-making spaces.
x
Provide timely technical information to decision-makers to
show that species meet the conditions to be listed in
Appendix II.
Raise awareness among key sectors/stakeholders of the
importance and implications of Appendix II for these
species.
Strengthen participation in decision-making spaces and
groups.
x
The Program Execution Unit must be very aware of
situations that might affect resource management and
duties to make the necessary adjustments.
II Risks to the Program Objective
 Political and organizational instability
within the national implementing
agencies might affect human and
[30]
Risk assessments reflect the current or potential situation that the mitigation measures are supposed to reduce or prevent.
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High Average Low
Mitigation Measures
financial resource contributions to the
program, as well as measures and/or
activities to fulfill program
implementation duties and
commitments.
 Implementing agencies lack
ownership of the organization and
programs, and have limited human
resource capacity (low number of
technicians, low time on task and/or
lack of experience) to adequately
support the program.
x
ACTO creates a commitment and accountability
mechanism related to program execution for all
implementing agencies.
Hiring consultants for different activities may be an
alternative to cover the deficit in human
resources/technicians.
 The EU does not function as
envisaged initially. The interlocution
and operability arrangement with the
countries is complex and is not
efficient enough to implement and
administer the program effectively.
x
Clear duties and mechanisms for reporting and evaluation
are established for each member of the EU.
The Program/EU proposes an alternative to the current
mechanism used for implementation and communication
with MC/implementing agencies.
III Risks to the Results
 Not all MC display the desired
ownership and cooperation in
implementing planned activities or
measures. The cooperation policy is
insufficient
x
Consensuses generate commitment by the executing
agencies and enforcement mechanisms are implemented.
Formal ties are established with and between the
participating institutions.
Institutions in charge of implementing actions are made
aware of the innovative and dynamic institutional efforts
required to achieve the expected results and effective
program implementation.
 Lack of cooperation by some
implementing institutions or teams
affect the planned execution
timeframe for measures and activities.
Changes need to be introduced in
administrative and legal procedures to
modernize management and achieve
the regional harmonization of CITES
electronic permitting systems.
x
A competent national EU and an efficient mechanism are
put in place to effectively implement and manage the
measures and activities planned and agreed under the
program.
Consensuses generate commitment by the executing
agencies and enforcement mechanisms are implemented.
Formal ties are established with and between the
participating institutions.
Institutions in charge of implementing actions are made
aware of the innovative and dynamic institutional efforts
required to achieve the expected results and effective
program implementation.
 Conflicting interests hinder interaction
between national, regional and local
executing agencies to reach
agreements about programs or
initiatives to be supported and to
introduce the necessary administrative
changes and procedures. This
complicates the integration of national
sustainable management programs and
policies.
 National executing agencies do not
keep up their willingness and
commitment to creating and/or
consolidating their management
capacity to execute the measures.
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Clear and continuous communication mechanisms are
applied between the different layers, led by the main
executing agency (ACTO) and the EU.
National and sectoral institutions are made aware of the
importance of providing adequate support to the
program/component.
The program is publicized at an early stage, before its start.
x
The main executing agency (ACTO) monitors the progress
and quality of measures and/or activities executed by the
national implementing agencies.
Financial contributions are made to depend on the good
execution of agreed measures and/or activities, which can
be done by spreading out disbursements.
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High Average Low
 Lack of cooperation from other
associated programs and projects to
share experience with and train
technicians of counterpart
organizations.
IV Global Risk Assessment
x
Mitigation Measures
To ensure their support since the start of the program, the
EU and implementing agencies are trained to use the
system.
Raise awareness among responsible parties from other
programs and projects to ensure adequate support to the
program/component.
The program is publicized at an early stage, before its start,
and partnerships are established by showing mutual
benefits.
x
3
PROGRAM ORGANIZATION AND IMPLEMENTATION
3.1
Main stakeholders
3.1.1
ACTO31 and its Bodies
ACTO is an international organization whose role is to coordinate procedures in the framework of the
Amazon Cooperation Treaty (ACT) and to dynamize the execution of its decisions. The eight countries
that form it are known as the Member Countries (MC). Detailed information about the history, objectives,
agenda and programs of ACTO and the ACT can be found in Annex 1.2 (Section 1.4). ACTO's
organizational chart is detailed in Annex 3.1 and its bodies in Annex 3.2.
Its functions include coordinating studies and pilot projects about potential economic alternatives to
generate income and opportunities in the Amazon region, thereby enabling effective
cooperation/integration among the parties to the Treaty. It is also in charge of liaising with other
initiatives in the Amazonian territory in matters of infrastructure, transportation and communication.
The Permanent Secretariat of the Amazon Cooperation Treaty Organization (PS/ACTO) 32
This is the auxiliary executive body of the political bodies of the ACT. It is entitled to sign
agreements and assume commitments on behalf of ACTO whenever unanimously authorized by
the Member Countries. It is also in charge of promoting the Organization as an exchange,
knowledge and joint projection forum, in addition to executing cooperation actions envisaged in
the ACT, as commissioned by the Ministers of Foreign Affairs and by the Amazon Cooperation
Council (ACC).
The PS/ACTO is represented and directed by the ACTO Secretary General,33 a native citizen of one of
the Member Countries, proposed by the ACC and elected by the Meeting of Ministers of Foreign Affairs.
31
ACTO (s.F.). Institutional website of the Amazon Cooperation Treaty Organization. Available in:
http://www.otca.info/portal/a-otca.php?p=otca
ACTO (s.F.). Regulations of the Permanent Secretariat of the Amazon Cooperation Treaty Organization. Available in:
http://www.otca.info/portal/admin/_upload/documentos/500-Reglamento_SPOTCA.pdf
32The PS was created in 1995 and installed in 2002.
33 The Secretary General is elected unanimously by the Member Countries for a term of three years and may be reelected only
once in row. He/she may not be of the same nationality as his/her predecessor.
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PS/ACTO Coordinating Offices
In structural terms, the PS/ACTO is formed by five Coordinating Offices that serve its main areas of
action: (i) Coordinating Office of Environment; (ii) Coordinating Office of Science, Technology
Education; (iii) Coordinating Office of Health; (iv) Coordinating Office of Transportation, Infrastructure,
Communication and Tourism; and (v) Coordinating Office of Indigenous Affairs.
The PS/ACTO's organizational chart and its functions are described in Annexes 3.3 and 3.4, respectively.
3.1.2
Institutions Involved in the ACTO Member Countries
As mentioned throughout the proposed program, different member country institutions are involved in its
implementation.
Annex 1.2 (Section 3) offers a detailed description of the MC's institutional environment, CITES
Administrative and Scientific Authorities, and Enforcement Authorities in each MC, these being the main
institutions involved.
Other institutions are involved in consultations and possibly in implementing the program in specific
components or stages. For Component 1, for example, these might be representatives of the Ministries of
Science and Technology or participants of regional meetings related to national information systems or to
the ACTO Regional Observatory.
Box 3.2.1.3-1 below, presents the institutions that the MC appointed as implementing agencies for the
various components during the consultation.
3.2
Structures and Institutional Arrangement for Program Management
In accordance with ACTO's experience executing regional projects, the Permanent Secretariat supports
the Member Countries by coordinating regional action, facilitating national coordination, and performing
the administrative and financial management of projects. These arrangements and procedures will also be
adopted in this program, with possible adjustments to comply with KfW rules and procedures. These will
be detailed in the contracts.
The graph below synthesizes the structure proposed to implement the program:
Implementation Structure
Directive
Committee
National
Coordination
Institution
PS/ACTO
Execution Unit and
International
Consulting Team
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Focal Point
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3.2.1 Assigned duties and responsibilities
The program will be managed and executed by a set of institutions at the regional level and within the
ACTO Member Countries. To ensure that the program functions appropriately, duties and responsibilities
will be defined for each designated organization.
3.2.1.1 Collegial bodies
a) Directive Committee
A directive committee will be formed to oversee compliance with the program's strategy and guide its
implementation and will count on the assistance of the PS/OTCA and of the KfW.
Main functions:

Adopt the program's strategic guidelines for the implementation.

Realize the follow-up of the implementation.

Approve the program's general strategy, Program Operations Manual, General Plan of Operations
and Annual Plan of Operations, and oversee compliance.

Support the resolution of eventual conflicts that arise during the program's execution.

Analyze external and internal audit reports and make sure that their recommendations are
followed.

Analyze the annual program progress reports prepared by the Execution Unit with the support by
the contracted consulting firm.

Creation of Regional Working Groups
Composition:

Delegates of the MC, officially appointed by the Foreign Ministries.

Member Country Representatives

KfW Representative
b) Regional Working Groups
The regional working groups will form a technical-operational collegial structure, which will assist the
Directive Committee.
Main Functions:

Execute the decisions of the Directive Committee and provide technical advice.

Provide technical advice to the Execution Unit.

Foster technical exchange between Member Countries.

Prepare input for the General Plan of Operations and Annual Plans of Operations, as well as for
progress reports and program monitoring activities.
Composition:
Technicians appointed by the Foreign Ministries
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3.2.1.2 PS/ACTO Bodies
The ACTO Permanent Secretariat is the body that KFW holds responsible for executing the program. Its
main duties are to negotiate and sign the financial cooperation contract and represent the Member
Countries in the program. The PS is responsible for ensuring that the program strategy obeys the donor's
general guidelines and the commitments assumed with the donor. It also guides the work of the Execution
Unit.
Execution Unit (EU)
The Execution Unit is the regional execution structure installed in the PS/ACTO and linked to its
political, technical and administrative implementation structures.
Main functions:

Coordinate the program's operational execution.

Promote and inform about the program´s implementation.

Prepare proposals for the Operations Manual, General Plan of Operations and Annual Plan of
Operations, and execute the DC decisions under the supervision of the PS/ACTO.

Prepare program progress reports under the supervision of the PS/ACTO.

Provide technical and financial advice to the executing agencies.

Analyze proposals of activities to be supported.

Monitor and evaluate the program's implementation.

Manage and execute activities at the regional level, including procurement of goods and services
(and consulting services), and competitive bidding processes.

Promote the application of corrective measures in methodological, technical and financial
aspects.
Composition:

EU technical and administrative staff

International consulting/advisory team
3.2.1.3 Institutions of the ACTO Member Countries
The national institutions involved include the Ministries of Foreign Affairs and their ACTO focal points.
Each Foreign Ministry has an interlocutor defined to address ACTO matters.
The focal point to implement and/or coordinate the national program is part of the corresponding ministry
or its operating body. In this case, the CITES coordinating agency or operational branches of the national
CITES Management and/or Scientific Authority are usually the Ministries of Environment, or the offices
of Agriculture or Production, Biodiversity, Forests, Ecosystems, Hydrobiological Resources, or others,
depending on the country.34 In addition to the focal point assigned to the program, each ministry also has
34See
Box 3.2.1.3-1
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an international or transboundary affairs officer or planning officer to communicate with the ACTO focal
point in the Ministry of Foreign Affairs.
Other sectoral institutions collaborate with the program's technical implementation.
Box 3.2.1.3-1 below, presents the institutions appointed by the MC during the consultation as
implementing agencies for the various components.
Box 3.2.1.3 -1 Program Implementing Agencies in Member Countries
Country
Component 1
Component 2
Component 3
Bolivia
The Vice-Ministry of
Environment, Biodiversity and
Climate Change, and Forest
Management and Development
through DGBAP - the General
Directorate of Biodiversity and
Protected Areas
The Vice-Ministry of
Environment, Biodiversity and
Climate Change, and Forest
Management and Development
through DGBAP - the General
Directorate of Biodiversity and
Protected Areas
The Vice-Ministry of
Environment, Biodiversity and
Climate Change, and Forest
Management and Development
through DGBAP - the General
Directorate of Biodiversity and
Protected Areas
Brazilian Forest Service/Forest
Products Laboratory
Brazilian Institute of Environment and Brazilian Forest Service
and Renewable Natural Resources
- IBAMA
Colombian Amazon Institute of
Scientific Research - SINCHI
Ministry of Environment and
Sustainable Development Minambiente
SINCHI
SINCHI
Ministry of Environment of
Ecuador - MAE
MAE
MAE
Wildlife Division/Ministry of
Natural Resources and
Environment
Wildlife Division/Ministry of
Natural Resources and
Environment
Wildlife Division/Ministry of
Natural Resources and
Environment
Ministry of Environment MINAM (proposal to include the
Peruvian Amazon Research
Institute - IIAP) and Ministry of
Agriculture and Irrigation MINAGRI.
Ministry of Production PRODUCE
Ministry of Agriculture and
Irrigation - MINAGRI
MINAGRI
PRODUCE
MINAM
Ministry of Physical Planning,
Land and Forest Management
(Ministry of RGB)
Ministry of Physical Planning,
Land and Forest Management
(Ministry of RGB)
Ministry of Physical Planning,
Land and Forest Management
(Ministry of RGB)
Brazil
Colombia
Ecuador
Guyana
Peru
Suriname
Venezuela
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a) National Coordination Institution
To coordinate the program's three components at the national level, a National Coordination Institution
will be created in each country that will lead its implementation. The Institutions composition depends on
each country it´s recommendable that it will be formed by representatives of the institutions involved in
implementing the three components. Its main functions on a national level are:

Coordinating the demands of each member country and supporting the program's operational
planning.

Implementing measures and/or activities at the national level in coordination with the executing
agency.

Supporting follow-up of program execution and reporting.

Realize the program monitoring and evaluation.
b) Focal Point
To facilitate communication and coordination with each Member Country, a national focal point should
be appointed for the in accordance with the national institutional arrangements. It functions as the main
technical liaison between the EU and the national implementing agencies and the National Coordination
Institution. It´s recommendable, that the focal point should be a technical operational officer. Focal points
are mainly responsible for:

Assist and facilitate the program's national technical coordination.

Maintain the communication with the Execution Unit.

In accordance with the institutional arrangements and each MC, maintain the communication
national implementing agencies and stakeholders.
Box 3.2.1.3-1 details the institutions involved by Member Country and Component.
3.2.2. International consulting/advisory services
As an integral part of the program, the PS/ACTO will hire a consulting firm to provide advice in the
program's technical execution and financial administration, based on the conditions stipulated in the
Financial Grant Contract and Separate Agreement to be signed between ACTO and KfW, as well as on
the standard contract with KfW. These consulting services will be paid by KfW with non-reimbursable
program funds provided by German financial cooperation.
The consulting firm will provide advice through an international consultant—the chief technical
advisor—, and a financial administration consultant, both of whom will provide advice in all matters
funded through financial cooperation. The consultants will work in the EU and cooperate closely with the
PS/ACTO officials. As part of their daily tasks, consultants will provide special support to the EU,
collegial and national bodies, and financial and accounting staff responsible for organizing and executing
activities and managing program funds.
In conjunction with the program's coordination bodies and administrative staff, the consultants/advisors
will support conceptualization, planning, implementation, monitoring and follow-up of all program
activities. In so doing they will help to make sure that the program develops according to the concepts
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and details laid down in the KfW Evaluation Report, Separate Agreement, Operations Manual, General
Plan of Operations and Annual Plans of Operations approved by KfW.
The box below presents the functions and responsibilities of each organization and participant in
executing the program, pointing out key tasks.
Box 3.2.2 -1 Matrix of Functions Assigned to Program Stakeholders
Institutions
KfW
ACTO Permanent Secretariat
Execution Unit
Directive Committee
Regional Working Groups
Focal Point
National Coordination Institution
Functions
Provides funds for program implementation investments.
Verifies and assesses program progress.
Within the ACTO Permanent Secretariat
Negotiates and signs the Financial Grant Contract, oversees program
implementation, makes managerial decisions.
Represents and coordinates the program.
Regional execution structure installed in the PS/ACTO and linked to
its technical and administrative implementation structures.
Regional Collegial Bodies
Collegial structure for guidance and strategic stewardship. Makes
strategic decisions.
Collegial structure with technical and operational duties.
Within ACTO Member Countries
Responsible for facilitate communications and coordination with each
MC. Technical liaison between the National Coordination Institution,
the EU and national institutions related to the program.
Leads the implementation of measures and/or activities on a national
level in coordination with the Regional Execution Unit. Supports
follow-up of program activities and reporting.
3.3 Program implementation
3.3.1 Pre-inception activities
After the proposal is delivered and accepted, KfW will assess the program and present the corresponding
report to BMZ. A bilateral negotiation will take place between ACTO and KfW, the Financial Grant
Contract and Separate Agreement will be signed, any prior conditions will be met, and the financial
resources will be released. At the same time, a consulting firm will be hired through an international
competitive bidding process to support the program during its execution.
3.3.2 Initial program activities
Installation: Once the Consulting Services Contract is signed, the firm will put its consulting/advisory
team into action to start the program's execution phase. Initially, the consultants/advisors will prepare the
program operations together with the executing agencies. This includes installing the Execution Unit,
opening the necessary bank accounts, requesting the first disbursements, hiring technical coordinators and
technicians for the EU, and hiring financial and accounting staff to administrate the program's operating
funds. The PS/ACTO will define their qualifications and technical requirements assisted by the consulting
firm. These professionals will be paid partly by the PS/ACTO and partly by KfW. Recruitment will be
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effected through a competitive examination of merits. Before signing the contracts, KfW must give its noobjection.
Operation of the Execution Unit: Installing the EU involves a series of activities to be carried out in the
first months of program implementation. With the arrival of the consulting firm's regional technical
advisor, the Execution Unit will be established and equipped. All measures needed for its functioning will
be taken, including the establishment of a communication system between stakeholders at the various
levels. Operational details of the program's implementation methodology will also be concerted with the
stakeholders.
Operational instruments: The General Plan of Operations and the Annual Operation Plan for the
program will be prepared based on the concepts and methods of the proposal, as will its Initial Plan of
Operations for the first implementation year. Simultaneously the EU, with due support from the
consultants, will prepare the Program Operations Manual, deepening, detailing and expanding it where
necessary, to suit the conditions and requirements encountered when starting to execute the program in
each PM. Among others, topics will include:

Defining the role of different stakeholders.

Determining basic technical-administrative procedures for the EU.

Preparing technical-administrative procedures and their formats, in accordance with the ACTO
Administrative and Financial Instrument.

Designing a managerial information system with its elements.

Defining the scope and contents for program reports.

Parameters and mechanisms used in quality control.
Establishing regional and national bodies: this is one of the first steps and an important pre-condition
to implement the program.
Other activities include eventual courses on administrative and managerial aspects for the national
institutions involved, establishing the program's monitoring and evaluation system, and collecting data
for the baseline. Efforts to publicize the program will also start at this point.
3.3.3 Program implementation activities on a national level
Activities: After installing the EU begins the process of arranging and administrating the program's
operating funds, preparing the General Plan of Operations and the first Annual Plan of Operations.
Supported by the consulting firm, the national and regional operating structures can then start to execute
the activities. The program's governance structures will also begin to function and other partnerships will
be sought for specific topics and actions. Operation, follow-up and monitoring of executed activities will
also be conducted.
Important events: Events that correspond to the implementation phase include: convening regular
Directive Committee meetings during the first months to get the program underway, and then once a year
to discuss and approve the annual reports and plans of operation, regional working group meetings,
progress oversight missions by KfW (expected to be once a year) and external program audits. Moreover,
the consulting firm will present monthly digital summarized reports as defined and approved at the start
of the program's execution.
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Administrative procedures and resource allocation
Based on the status it enjoys as an international organization and on the duties assigned to it by the
Member Countries, the PS/ACTO can function as the Program's financial manager. This way the project
can be implemented through one single contract (the separate agreements and contract with KfW will be
signed by the PS/ACTO).
The PS/ACTO has a financial management unit whose operational rules and procedures are consolidated
in the PS/ACTO Administrative and Financial Instrument. This instrument allows the PS to adapt to the
rules and procedures of specific donors. The PS/ACTO is just starting to develop a new administrativefinancial management system.
The PS/ACTO can procure goods and services for the program directly in compliance with KfW
regulations and deliver them to project executors in loco, dispensing the need to transfer funds to other
bodies. The acquisitions and contracts will be planned in coordination with the National Coordination
Institution. According to the Amazon Cooperation Treaty, no other contractual instrument is needed to
transfer goods and services to project executors, besides the patrimonial control and the registers of
responsability. Goods and services may partly be procured in the PS/ACTO host country; in some cases
procedures will need to be carried out in the Member Countries. To facilitate things in such cases, we
propose for the consulting firm to provide administrative-financial support to Member Countries through
its administrative consultant or through short-term mobile consultancies capable of providing expeditious
support.
Administrative procedures can be grouped into:
a) Procurement of goods and services, including services from third parties and legal entities,
permanent equipment and materials, consumables and works.
b) Hiring personnel, including consulting firms and services from individuals.
c) Payment of travel expenses: after a selection process based on an assessment of client services,
the PS/ACTO is now serviced by a travel agency that takes care of this aspect.
d) Payment of per diems obeys the current per diem table in force in the PS/ACTO, obtained from
the United Nations International Civil Service Commission (ICSC).
Payments by the PS/ACTO are made in the currency of the contract signed. All payments in Brazil are
made in Brazilian reais. All payments made abroad are in U.S. dollars. Payments abroad are made
through bank wire transfer. The PS/ACTO is authorized to operate accounts in foreign currency and make
payments abroad through its bank.
In accordance with the ACTO Administrative and Financial Instrument, each project in execution must
have its own bank account where its funds will be deposited.
3.3.5
Operation and maintenance of investments
Operating and maintaining investments should be an important concern for the program. Once
investments are made, the beneficiaries should continue to conserve them and care for them, protecting
and improving the practices, works, technologies and/or methodologies applied. The intention is to ensure
their sustainability and to allow investments to achieve the impacts expected after the program's end. In
this sense, O&M aspects constitute a crosscutting element that must be taken into account when
investments are requested.
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To achieve this sustainability based on O&M elements, specific management commitments must be
incorporated to the program design. This will be an aspect to consider and include in applications for
investments, capacity-building and technical assistance. Support agreements must include a commitment
clause to that end. O&M must also be part of the verification process when monitoring progress in the
execution of measures and/or activities. The Program Operations Manual will provide details of the
above-referred elements.
O&M of investments is the exclusive responsibility of the beneficiary institutions in ACTO Member
Countries. These will be informed of the importance of achieving sustainable results, which requires each
of the beneficiary institutions to take responsibility and contribute to the program by providing
counterpart resources as an O&M commitment. To facilitate O&M, complementary activities like
preparatory studies for investments and training courses, among others, are planned to ensure adequate
use of new technologies and equipment.
4
PROGRAM COSTS AND FUNDING
4.1
Program Costs
4.1.1
Costs by components and measures
In response to consultations made in Program Formulation Stage 5, each Member Country and the
PS/ACTO indicated investments and measures required by component through the executing agencies.
Component 1 – National Information and Knowledge Management Systems
In terms of investment costs, Component 1 is divided in two parts:
A – Support to PS/ACTO technical capacity and infrastructure.
B - Equipment and measures to strengthen national capacity and infrastructure through the Biodiversity
and CITES information systems and equipment to support spaces for joint reflection, research and
knowledge generation, dialogue, exchange of experience and training.
The total cost of Component 1 is EUR 2,617,989. Below are the detailed costs of providing technical
capacity and infrastructure support to the Permanent Secretariat:
Box 4.1.1 - 1 Component 1 - Measures/Investments, projected quantities and funds
A – Support to PS/ACTO
Type of investment
Description
Construction or refurbishment
of physical premises and
infrastructure
Works
Cabling
Cat6E
unit
Server Rack
Computer equipment, servers,
Sonicwall
technological tools, hardware,
Firewall
software.
NL SAS Storage
Services config.
/ install.
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m2
quantity
unit costs
(Reais)
Subtotal (€)
400
2,500
327,869
unit
1
35,000
11,475
unit
2
25,000
16,393
unit
1
30,000
9,836
unit
1
50,000
16,393
Serv.
1
10,000
3,279
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Nobreak 20kVA
8 hours autonomy unit
Computers and
licenses
unit
Complementary training
Specialized technical service
Air conditioning
Capacitybuilding
DI/PS/ACTO
Specialized
services
1
25,000
8,197
5
4,000
6,557
un
1
10,000
3,279
unit
4
5,000
6,557
Serv.
1
80,000
26,230
Total
436,066
B - Costs of infrastructure/equipment and complementary training requested by Member
Countries - Component 1
Total Estimated Costs
EUR35
Type of investment
Studies to identify equipment
109,541
Infrastructure
340,071
IT equipment and tools
Complementary
assistance
training/
To define and prioritize36
Total costs of Component 1
1,043,278
technical
185,091
503,942
2,181,923
See details in Chapter 3.3 Components and Measures Planned
Annex 4.1 details the costs of infrastructure/equipment and complementary training estimated by country.
Component 2: Regional harmonization of the national electronic permitting systems
Component 2 will receive a total EUR 2,325,855 37 grant from KfW, to be disbursed for measures and/or
activities according to previously established agreements. Box 4.1.1 -2 below details the
allocated/estimated financial resources for the different measures/investments of the component.
Box 4.1.1 - 2 Component 2 - Measures/Investments, projected quantities and funds
Type of investment
Total
Estimated
Costs EUR
Studies to identify equipment
171,538
Infrastructure
270,408
IT equipment and tools
585,216
35
Exchange rate EUR-USD: 1:1.3
For MC that have not yet defined or prioritized all investments, the total amount per component was estimated at EUR 300,000. The figures
will be adjusted as the countries complement the information or define their priorities/investment through the assessments/studies to identify
equipment. See also Annex 5.1
37
Based on the sum of investments estimated for Component 2 by the Member Countries.
36
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Complementary training/ technical assistance
250,000
To define and prioritize38
1,048,693
Total costs of Component 2
2,325,855
See details in Chapter 3.3 Components and Measures Planned
Annex 4.2 details the costs of infrastructure/equipment and complementary training estimated by country.
Component 3: Strengthen sustainable management and
monitoring in chains of custody
Component 3 will receive a total EUR 2,760,922 grant from KfW, to be disbursed for measures and/or
activities according to previously established agreements and progress.
Box 4.1.1 -3 below details the allocated/estimated financial resources for the different
measures/investments of the component.
Box 4.1.1 - 3 Component 3 - Measures/Investments, projected quantities and funds
Total Estimated Costs
EUR
Type of investment
Studies to identify equipment
435,154
Infrastructure
536,538
IT equipment and tools
Complementary
assistance
training/
To define and prioritize
Total costs of Component 3
1,054,230
technical
435,000
300,000
2,760,922
See details in Chapter 3.3 Components and Measures Planned
Annex 4.3 details the costs of infrastructure/equipment and complementary training estimated by country.
4.1.2
Program Management and Operation
Costs of the Execution Unit
As mentioned in Chapter 3.2, the Permanent Secretariat (PS/ACTO) will be the program's administrative
and financial manager, for which it will be endowed with an Execution Unit (EU) to implement the
program and channel funds.
38
For MC that have not yet defined or prioritized all investments, the total amount per component was estimated at EUR 300,000. The figures
will be adjusted as the countries complement the information or define their priorities/investment through the assessments/studies to identify
equipment. See also Annex 4.1
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Likewise, as mentioned in Chapter 3.3.2, establishing the EU office will involve providing human and
physical resources and taking measures to ensure its functioning. This includes establishing a
communication system and several additional costs with things like equipment, transportation,
management meetings and regional travel, translation, as well as program audits, monitoring and
evaluation, and contingencies.
EU staff funded by KfW includes an information system expert and an administrative assistant.
The information system expert must be a regional native with extensive experience in designing and
implementing information systems, preferably related to the environment and biodiversity. It is important
for the person to be experient in using information technology and managing natural resources.
The administrative assistant must be a professional trained in administration or associated areas, with
experience in financial modalities and procedures, managing funds for projects, and internal audits. The
candidate must have at least 5 years experience in similar positions, preferably with bi- and/or multilateral
development agencies. The work location will be the PS/ACTO headquarters in Brasilia.
Box 4.1.2 -1 details the costs of the Execution Unit for program management and operation.
Box 4.1.2 - 1 Program Management and Operation Costs of the PS/ACTO - Execution Unit:
Position
Unit
Quantity
Unit
Costs
EUR
Information System Expert
h-m
48
€ 4,500
Administrative Assistant
h-m
48
€ 1,500
Total Costs
€
216,000
€
72,000
€ 288,000
Sub total
EU Office
Rent
month
48
€ 3,000
€ 144,000
Operating expenses
month
48
€ 1,500
€ 72,000
Equipment (computers, furniture,
etc.)
set p 539
1
Regional Travel (Flight Tickets,
local travel costs, hotel,
alimentation).
Travel
*
€ 1,500
€ 144,000
Translations
month
40
€ 1,500
€ 60,000
€ 30,000
€ 450,000
Sub total
Management Meetings
Directive Committee
Meeting
4
€ 30,000
€ 120,000
Regional workshops
Workshop
8
€ 30,000
€ 240,000
Subtotal
Monitoring and Evaluation
€ 360,000
€ 50,000
39
Including international consulting staff
* Estimated values which could be adjusted with the Operational Planning during the program implementation
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Contingencies
€ 151,234
Sub Total
€ 201,234
Total
€ 1,299,234
These costs include the purchase of office equipment, rental of office space in the city of Brasilia,
operating costs of the office (electricity, water, cleaning) and regional communication costs. The office
that the PS/ACTO will rent in Brasilia must have at least four separate spaces to be occupied by five
permanent staff members, with access to a space for temporary consultants and/or visitors (not
permanent), as well as to a meeting room (needed occasionally). It must have at least two telephone lines
and internet access. Communication costs are expected to be high due to the need to communicate
extensively with various stakeholders in different countries of the region.
Regional travel costs include air and land fare, as well as lodging and food (per diem). They were
calculated assuming one air trip to each MC per year (except Brazil) involving a delegation of three
people with an average duration of four days each. Twelve trips were calculated in total for special visits.
The travels are related to advisory activities in technical, administrative and financial matters and the
follow up of the implementation of the program.
The EU must count with resources to move around the region and facilities to hold Directive Committee
meetings. Four meetings are planned in total (one per year). Another nine regional workshops are planned
for the three components.
Monitoring and Evaluation: Monitoring activities will target progress and impacts. Progress monitoring
costs will be covered by the program under operating costs and advisory services. The program will also
cover the costs of establishing the baseline and performing the final evaluation as part of the consulting
services contracted, for which a short term expert with be hired.
4.1.3 Costs of international consulting/advisory services
Contracting international consulting/advisory services
One of the actions planned in the new program is to provide consulting services to advise the PS/ACTO,
the collegial and national bodies, and the EU in performing their duties. There are two options
(modalities) to hire an international consulting firm:

Contract of Mandate: ACTO charges KfW with conducting the competitive bidding process and
hiring the consulting firm on its behalf, reserving the right to withhold its no-objection. This
modality applies only in exceptional cases.

Direct Contract: ACTO conducts the competitive bidding process and hires the international
consulting firm, and KfW reserves the right to withhold its no-objection. This is the most
frequently applied modality.
In both cases a public competition is held, herein referred to as international competitive bidding process,
in accordance with the contracting regulations in force.
The consulting services proposed include a main international technical advisor for a period of 38
months, distributed across four years of program execution, with a permanent assignment (10.5 monthsperson per year) during the first three years of the program and intermittent interventions in the last year.
This advisor will be supported by a financial administrative advisor, a national consultant who will take
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responsibility for managing program funds in conjunction with the EU staff and supported by the MC.
Specific short-term advisory services are also planned for relevant thematic areas. These will be identified
according to the baseline for each component, and may include topics related to planning/experience in
information systems, single windows, inspections, monitoring and evaluation.
The main international technical advisor must have more than 10 years of professional experience with
natural resources management and biodiversity conservation. Deep knowledge of CITES implementation
is important, as is extensive experience working in the Amazon region. Being familiar with the German
financial cooperation system is equally essential.
The administrative assistant must be a professional trained in financial administration or associated areas,
with experience in financial modalities and procedures of cooperation agencies (including the
international accounting principles), managing funds for projects, and internal audits. The candidate must
have at least 10 years’ experience in development projects, preferably with bi- and/or multilateral
development agencies. The work location will be the PS/ACTO headquarters in Brasilia, Brazil.
Purchasing a transportation vehicle, secretarial services and vehicle maintenance are also envisaged.
Box 4.1.3 -1 Costs of International Consulting/Advisory Services (EUR)
Position /Description
Unit
Amount
Unit Costs
Total Costs
Main International Technical
Advisor
h-m
38
€ 15,000.00
€
570,000
Financial Administrative Advisor
h-m
42
€ 5,000.00
€
210,000
Regional Short-Term Advisory
Services
H-m
10
€ 10,000.00
€
100,000
Vehicle purchase
Vehicle
1
€ 20,000.00
€
20,000
Miscellaneous costs: Secretarial
services, vehicle maintenance
Month
48
€
€
96,000
€
996,000
International Consultancy
2,000.00
Total
Costs with personnel include accommodation of experts (renting a house for the main technical advisor,
hotel for short-term consultants) international and regional transportation costs (air and land), and various
other smaller expenses related to the performance of their duties.
4.1.4
Program investments, management and operations (Schedule)
Costs corresponding to KFW: Non-reimbursable financial cooperation grant of EUR 10 million (USD
13,000,000) offered by Germany. This grant will be distributed as follows:
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Box 4.1.4. – 1 Distribution of German Non-Reimbursable Financial Cooperation Grant
Components
Values in EUR
Investment Components
Component 1: A) Support to PS technical capacity
and infrastructure
436,066
Component 1 B) Support to MC
2,181,923
Component 2
2,325,855
Component 3
2,760,922
Subtotal
7,704,766
Management Components
EU Costs
1,299,234
International Consulting/Advisory Services
996,000
Subtotal
2,295,234
Total
10,000,000
According to the assumptions and calculations made, 77% of this amount corresponds to investments and
23% to program management and operation.
Box 4.1.4-2 details program costs in relation to the KfW grant (in EUR/USD) for the next four years.
Box 4.1.4 - 2 Program Costs, KFW grant (in EURO)40
Program Costs KfW Grant
Component 1 - A. Regional:
Information and Knowledge
Management System
Component 1 - B. Countries:
Information and Knowledge
Management System
Component 2 - Regional
harmonization of the national
electronic permitting systems
Component 3 - Strengthening
sustainable management and
monitoring processes in chains of
custody
2015
2016
2017
2018
Total EUR
218,579
195,628
10,929
10,929
436,066
519,383
1,120,959
506,935
34,646
2,181,922
505,846
1,276,855
543,154
-
2,325,855
147,692
1,605,538
905,769
101,923
2,760,923
Program management and
operation component
537,000
536,000
536,000
535,000
2,144,000
International Consultancy
300,000
249,000
249,000
198,000
996,000
40
Estimated values which could suffer changes during implementation
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2015
2016
2017
2018
Total EUR
EU Technical and Administrative
Staff
72,000
72,000
72,000
72,000
288,000
Furbishing and operating the EU /
ITA office
135,000
105,000
105,000
105,000
450,000
30,000
110,000
110,000
110,000
360,000
-
-
-
50,000
50,000
1,928,501
4,734,980
2,502,787
682,498
9,848,766
37,809
37,809
37,809
37,809
151,234
1,966,309
4,772,789
2,540,595
720,306
10,000,000
Management Meetings
Monitoring and Evaluation
Total KfW Grant
Contingencies
General Total KfW Funds for the
Program
Investment
costs
77.05%
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Administration costs
21.44%
Contingencies
1.51%
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Costs covered by counterpart resources: Program counterpart funds will total EUR 3,967,571 (USD 5,157,842).
According to the assumptions and calculations made, 88% of this amount corresponds to investments and 12% to program management and operation.
Box 4.1.4-1 A details program costs in relation to the counterpart resources (in EUR/USD) for the next four years. Counterpart contribution per country for the duration of the
program (4 years) and 4.1.4-1B Counterpart per years.
Box 4.1.4 - 3 Program costs and counterpart contribution, by country (in EUR/USD)
Program Costs: Counterpart
Contribution
Program investment
components
Component 1 - A. Regional:
Information and Knowledge
Management System
Component 1 - B. Countries:
Information and Knowledge
Management System
Component 2 - Regional
harmonization of the national
electronic permitting systems
Component 3 - Strengthening
sustainable management and
monitoring processes in chains
of custody
Program management and
operation component
BOLIVIA BRAZIL
602,000
COLOMBIA
592,948
ECUADOR
924,679
642,215
GUYANA PERU
-
SURINAME
1,792,000
-
-
TOTAL
EUR
TOTAL
USD
VENEZUELA ACTO
-
4,553,842 3,502,955
-
110,000
236,434
575,589
100,000
205,714
392,000
150,800
349,090
-
-
-
-
597,000
30,000
15,215
-
-
-
-
-
730,000
480,000
582,000
-
-
-
-
-
-
-
-
-
-
-
-
604,000
International Consultancy
-
2,249,023 1,730,018
815,714
627,472
1,489,105 1,145,465
604,000
-
464,615
-
EU Technical and
Administrative Staff
235,200
235,200
180,923
Furbishing and operating the EU
/ ATI office
268,800
268,800
206,769
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Program Costs: Counterpart
Contribution
DETAILED STUDY
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BOLIVIA BRAZIL
COLOMBIA
ECUADOR
GUYANA PERU
SURINAME
VENEZUELA ACTO
Management Meetings
-
Monitoring and Evaluation
(Audit)
Total Counterpart Resources
TOTAL
EUR
TOTAL
USD
100,000
602,000
592,948
924,679
642,215
602,000
592,948
924,679
642,215
-
1,792,000
-
-
-
-
100,000
76,923
604,000
5,157,842 3,967,571
604,000
5,157,842 3,967,571
Contingencies
General Total Counterpart
Resources
-
1,792,000
Box 4.1.4 - 3B Program costs and counterpart contribution, by year (in EUR/USD)
Program Costs: Counterpart Contribution
Program investment components
2015
2016
2017
2018
Total EUR
TOTAL
USD
875,739
875,739
875,739
875,739
3,502,955
4,553,842
Component 1 - B. Countries: Information and
Knowledge Management System
432,504
432,504
432,504
432,504
1,730,018
2,249,023
Component 2 - Regional harmonization of the
national electronic permitting systems
156,868
156,868
156,868
156,868
627,472
815,714
Component 3 - Strengthening sustainable
management and monitoring processes in
chains of custody
286,366
286,366
286,366
286,366
1,145,465
1,489,105
Program management and operation
component
116,154
116,154
116,154
116,154
464,615
604,000
Component 1 - A. Regional: Information and
Knowledge Management System
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Program Costs: Counterpart Contribution
2015
2016
International Consultancy
EU Technical and Administrative Staff
Furbishing and operating the EU / ATI office
Total Counterpart Resources
Investment costs
88.29%
Total EUR
TOTAL
USD
-
-
-
-
-
45,231
45,231
45,231
45,231
180,923
235,200
51,692
51,692
51,692
51,692
206,769
268,800
-
-
-
-
-
-
19,231
19,231
19,231
19,231
76,923
100,000
991,893
991,893
991,893
991,893
3,967,571
5,157,842
-
-
-
-
-
-
991,893
991,893
991,893
991,893
3,967,571
5,157,842
Contingencies
General Total Counterpart Resources
2018
-
Management Meetings
Monitoring and Evaluation (Audit)
2017
Administration
costs
11.71%
Contingencies
0.00%
Total Program Costs: The total costs of the program, that is, the KfW grant plus counterpart resources from the MC and PS/ACTO, are in the order of EUR
13,967,571 (USD 18,157,842). See details in Box 4.1.4 - 4.
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Box 4.1.4 - 4 Program costs, total contribution (in EUR/USD).
Program Costs: Global Contribution
2015
Program investment components
2016
2017
2018
Total EUR
TOTAL USD
2,267,240
5,074,719
2,842,526
1,023,237
11,207,721
14,570,037
Component 1 - A. Regional: Information and Knowledge
Management System
218,579
195,628
10,929
10,929
436,066
566,885
Component 1 - B. Countries: Information and Knowledge
Management System
951,888
1,553,463
939,439
467,150
3,911,940
5,085,522
Component 2 - Regional harmonization of the national electronic
permitting systems
662,714
1,433,723
700,022
156,868
2,953,327
3,839,325
Component 3 - Strengthening sustainable management and
monitoring processes in chains of custody
434,059
1,891,905
1,192,136
388,289
3,906,388
5,078,305
Program management and operation component
653,154
652,154
652,154
651,154
2,608,615
3,391,200
International Consultancy
300,000
249,000
249,000
198,000
996,000
1,294,800
EU Technical and Administrative Staff
117,231
117,231
117,231
117,231
468,923
609,600
Furbishing and operating the EU / ATI office
186,692
156,692
156,692
156,692
656,769
853,800
Management Meetings
30,000
110,000
110,000
110,000
360,000
468,000
Monitoring and Evaluation (Audit)
19,231
19,231
19,231
69,231
126,923
165,000
2,920,393
5,726,873
3,494,680
1,674,390
13,816,336
17,961,237
37,809
37,809
37,809
37,809
151,234
196,604
Total Global Contribution
Contingencies
General Total of the Global Program
Investment costs
Asociación GITEC / TYPSA
2,958,202
80.24%
Administration
costs
5,764,681
3,532,488
18.68%
Contingencies
November 2013
1,712,199
13,967,570
1.08%
18,157,842
Regional Project Formulation Study
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FINAL REPORT
4.2
Program funding
4.2.1
German Financial Cooperation Contribution
DETAILED STUDY
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German cooperation (KfW) will cover 72% of the program management costs; the remaining 28%
correspond to the local contribution and counterpart provided by ACTO and other donors or funding
sources.
4.2.2
ACTO Counterpart
The ACTO Counterpart adds up to EUR 464,615, corresponding to 4% of total program costs.
4.2.3
Co-funding by Member Countries
Co-funding by MC amounts to EUR 1,730,018 for Component 1, EUR 627,472 for Component 2 and
EUR 1,145,465 for Component 3, totaling EUR 3,502,955, which corresponds to 25% of total program
costs.
4.2.4
Contributions from other donors and funding sources
Contributions from other donors and funding sources have not materialized yet. We hope to obtain these
contributions over the course of the program cycle.
4.3
Sustainability of investments
Basically, this involves making sure that actions have been planned to ensure that goods and services
provided through the program are delivered during its useful life, and are effectively and efficiently
arranged and used by the users/beneficiaries. As such, the following factors are key to ensuring that
investments remain sustainable:

The availability of financial resources and inputs during program execution. To cover operating
and funding we are taking into account:
o
The analysis of the organization and management arrangements to execute and operate
the program, which identified the entities responsible for operation and maintenance and
how much each one will contribute. These entities were described in Chapter 3: mainly
the PS/ACTO, the Execution Unit, the MC executing agencies and KfW. It is not enough
to have a group of entities that say they will contribute to operation and maintenance. It is
also necessary to check whether the contributions they are offering are financially
feasible, and whether together they will cover 100% of the requirements. In that sense, it
will be important for them to commit to incorporating these costs in their respective
budgets.
o
Sustainability also depends on the allocation of human resources funded by the executing
agency and by the national MC counterparts. As such, they will need to show that the
program can count on them.
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
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The organization and management proposal, both for executing investments and for operation
and maintenance. What needs to be demonstrated is that the institutional scheme and structure, as
well as the management processes and instruments, will ensure that the program is executed
efficiently and that targets and results are achieved. To this end, account is taken of:
o
The risks identified and preventive measures. In this regard, a risk assessment was
conducted and measures were included to prevent or reduce them.
o
Program ownership by the users or target population and an answer that takes their
interests into account.
o
The characteristics of the product offered. Regarding demands for goods and services,
upon defining their characteristics account will be taken with user perceptions, cultural
patterns and idiosyncrasies. Interventions will also be considered to incentivize effective
demand or use of these goods and services.
o
The ability to maintain or repair equipment, as well to adjust to technological changes,
etc.
It is important to start raising funds for the next period and counterpart resources from other donors,
projects or programs while the program is being implemented. Other ways of raising funds to ensure the
sustainability of the program and/or long term or permanent activities/needs may be analyzed. One
example would be obtaining financial compensation or counterpart resources for courses, seminars or
fora, depending on the organization's policies and agreements established.
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