INITIATION PLAN TEMPLATE
FOR A GEF PROJECT PREPARATION GRANT (PPG)
Project Title: BRA/13/G42 – Sustainable Land use Management in the Semi-arid Region of the
North-East Brazil (Sergipe)
Country: Brazil
Expected CP Outcome(s)/Indicator (s): UNDAF/CPD outcome #2 - Capacities for integrating
sustainable development and productive inclusion for poverty reduction. Indicator: i) Low
carbon strategies with LECRD concept adopted in Brazil and widely disseminated.
Initiation Plan Start Date: September 23rd, 2013.
Initiation Plan End Date: March 31st, 2014.
CPAP Programme Component: Output 1: Low
carbon strategies with LECRD concept adopted in
Brazil and widely disseminated.
ATLAS Project Award: X
ATLAS Project ID: x
PIMS Project ID: 3066
Management Arrangement: DEX/DIM
Total budget:
Allocated resources:

GEF

LDCF

SCCF

NPIF

Government

UNDP
US$ 124,886
US$ 84,886
US$
US$
US$
US$ 20,000 cash
US$ 20,000 in-kind
US$
AGREED BY UNDP RESIDENT REPRESENTATIVE
Jorge Chediek
Resident Representative
Signature
Date
A. Brief Description of Initiation Plan:
During the initiation plan period, a number of studies and stakeholder consultations will be undertaken with the
view to further develop the approved project concept (see GEF PIF attached in Annex 1) into a fully formulated
project document. The final output of the initiation plan will be a UNDP-GEF project document and GEF CEO
endorsement template ready for submission to UNDP and GEF.
PPG funds are being requested to undertake a series of activities essential for the further development of the
project’s design, including the collection of baseline information; confirmation of pilot sites; feasibility of proposed
strategies and targets; stakeholder analysis; final definition of targets and cost structures, and implementation
arrangements for the Full Size Project (FSP). PPG funds will be used specifically for the studies and assessments
under categories of activities detailed in this document.
B. Project preparation activities:
A. Component A: Technical review
I.
Studies:
1) Programmatic baseline data collection:
 Further analyse baseline programmes in the Sergipe state to identify specific actions most relevant to
the FSP. This should include, at least, the baseline programmes described in the PIF (see annex 1) and
respective cost structure for those.
 Hold the technical meeting with the main stakeholders from these programmes to jointly analyse
cooperation possibilities and complementarities.
 Identify information needs that can be obtained from these programmes and gaps that require
specific studies.
2) Selection of specific project sites for sustainable land management (SLM) actions to be undertaken in the
FSP (output 2.1):
 Identify land degradation levels in the rural settlements of the seven municipalities of Alto Sertão,
based on the analysis of Degradation Early Warning System (SAP), the State Action Plan for
Combating Desertification, the recent CODEVASF diagnosis of deforestation in Curituba region, and
an updated version of the State Forestry Map, among others.
 Using the LADA classification, identify sites that are representative of the different land degradation
scenarios (degree, types, causes, etc).
 Analyse the SLM project profiles developed under MMA/UNDP co-financing project and identify
those that would be appropriate for the different land degradation scenarios mapped.
 Pre-selection Workshop with different stakeholders and potential funders, in Angico, to analyse the
possible sites and project profiles, drawing a draft proposal to be discussed with local
communities/institutions.
 The final selection will be based on the following criteria to be refined once mapping is finalized:
 Soil characteristics.
 Varying degrees of land degradation and desertification (to provide the full range of
approaches for replication and samples for evaluation and monitoring).
 Representativeness of overall ecosystems (outcomes that can be extrapolated to other
areas).
 Degree that boundaries coincide with administrative and/or geographic units
(municipalities).
 Community and/or farmers interest in SLM interventions.
 Existence of a farmer’s association or an equivalent organization.
Page 2
 Baseline information that indicate technical, economical and socio-environmental
feasibility.
 Institutional presence and support over the long term.
Field visits to measure baseline data on land degradation in selected sites and collection of all
relevant baseline data, including detailed land uses.
Compile information for an annex that describes each project pilot site.


3) Institutional Capacity Assessment:
 The capacity of key institutions for SLM in Sergipe will be assessed and training needs determined in
order to establish the project baseline and identify the project’s training and capacity building targets
(outputs 1.2 – environmental permits, 1.3 – land use enforcement, and 2.2 – extension services).
 Review of systems and structures currently existing to ensure the mainstreaming of SLM practices
into local land use planning and management. This will include: (i) an analysis of the impacts of
current agricultural and livestock production practices on vulnerable areas within the scope of the
project, and (ii) detailed discussion on how LD concerns are currently incorporated into land use
planning and management at the state and municipal levels, with recommendations on how these
can be improved and strengthened. This will feed in output 1.1 of the FSP.
 A broader stakeholder analysis (a gender analysis and marking) will be undertaken. This analysis will
require consultations to gather basic information about organization and functioning of the local
society. This analysis will help identify issues, regarding to gender bias, that need to be addressed in
the FSP.
 Compile the Stakeholder Analysis annex with the above information and relevant sections of the FSP.
4) Analysis of financial needs:
 Assessment of credit lines and financing available for SLM in Brazil, in particular for the NE region of
Brazil, including financing gaps and main bottlenecks encountered, with proposed solutions.
 Identification of financing needs for the implementation of project’s activities, with respective cost
structures and calculations (budget notes).
 Further identify and confirm co-financing possibilities.
5) Studies to address any opportunities/risks identified during an environmental and social screening of the
project proposal: see attached pre-screening.
6) Completion of GEF focal area tracking tool: (list GEF Tracking Tool – LD-PMAT)
II.
Stakeholder consultations during technical review:
1) Mobilize and engage stakeholders to discuss final site selection.
2) Negotiate partnerships with on-going projects to align their activities and the project to build synergies.
3) Document these consultations.
B.
Component B: Institutional arrangements, monitoring and evaluation
The outputs of Component A will be used as technical input to Component B for the formulation of the UNDPGEF project document.
I.
Finalization of project results framework: Further define the results framework with appropriate
objective-level and outcome-level quantitative and qualitative indicators, and end-of-project targets.
Special attention will be made to include socio-economic and sex disaggregated indicators. These
indicators should include: (i) state indicators (e.g. spatial coverage, ecosystems quality, species
populations or degree of land degradation); (iii) pressure indicators (threats and drivers); and (iii)
response indicators. Baseline values for indicators should be quantified.
Page 3
II.
III.
IV.
V.
C.
Definition of monitoring and evaluation (M&E): A detailed M&E work plan will be developed,
including clear identification of responsibilities and accountabilities, as well as an appropriate M&E
budget. The plan will be based on the standard template provided in the UNDP-GEF project
document template that reflects the mandatory requirements of the GEF M&E Policy.
Define sustainability plan: The sustainability plan will outline the principles and guidelines for
ensuring the long-term sustainability of project achievements. It will also outline an exit strategy,
seeking the continuation of key activities/achievements without the need of long-term international
financing.
Definition of management arrangements: The organisational structure governing the project will be
decided. This will include identification of the project board.
Stakeholder consultations during Component B: Involve key agencies in the development of the
project strategy to ensure a strong national ownership. In close collaboration with key government
representatives and other stakeholders ensure full participation in the development of the project
results framework and ensure agreement on the project objectives and outcomes. Undertake
consultations to secure agreement(s) on project implementation arrangements; including roles,
responsibilities, and accountabilities of lead and partner agencies. Document these consultations.
Component C: Financial planning and co-financing investments:
I.
Prepare a detailed multi-year budget following the standard template provided in the UNDP-GEF
project document template that reflects the mandatory requirements of the GEF M&E Policy.
II.
Explore multilateral and bilateral co-financing opportunities: Undertake series of consultations with
partners to ensure a coherent and sustainable financing package for the project including post- GEF
grant phase.
III.
Ensure completion of required official endorsement letters: An official endorsement letter will be
prepared by the GEF Operational Focal Point of the Government. A co-financing guarantee will be
collected from participating government institutions, bilateral development partners, multilateral
development partners and NGOs who wish to provide cash or in kind contributions to the project.
IV.
Stakeholder consultations during Component C: During this phase, consultation with key agencies
and government representatives, from federal and state level, is expected in order to finalize financial
planning and co-financing investment details. This can be validated at the same time as the
consultation for Component B above. Document these consultations.
D. Component D: Project Design Validation Workshop
A validation workshop will gather representatives from all relevant stakeholders to present, discuss and
validate the final draft project strategy, logical framework, roles and responsibilities, including financing
planning and co-financing results. Document this validation workshop.
E.
Component E: Completion of final documentation
I.
II.
III.
Consolidation of all technical and consultation inputs into a clearly written UNDP Prodoc document
with all relevant sections and annexes.
Completion of a CEO endorsement request form.
Translation of UNDP Prodoc document into Portuguese any further documentation required for
preparing implementation.
Note: templates may be subject to change, the person responsible for this consolidation and drafting will be
required to obtain guidance by the UNDP/GEF Regional Technical Advisor and UNDP CO on applicable formats
and templates and ensure that his/her work is compliant with UNDP/GEF and UNDP CO requirements
Page 4
C.
Project preparation activities work plan, timeframe and responsibilities:
PPG Activity
1
2
Timeframe (in months)
3
4
Inception Workshop
Pre-selection Workshop
Programmatic Baseline Data Collection
Selection of Project Sites
Institutional Capacity Assessment
Analysis of Financial Needs
Studies to address opportunities/risks
GEF Focal Area Tracking Tool Completion
Finalization of Project Results Framework
Financial Planning and Co-financing Investment
Project Design Validation Workshop
Completion of final Documentation
Responsibility
5
6
UNDP/MMA
UNDP/MMA/Sergipe
UNDP/MMA/Sergipe
UNDP/MMA/Sergipe
UNDP/MMA/Sergipe
UNDP/MMA/Sergipe
UNDP/MMA/Sergipe
UNDP/MMA/Sergipe
UNDP/MMA
UNDP/MMA/Sergipe
UNDP/MMA/Sergipe
UNDP/MMA
Page 5
D. Total Budget and Work Plan:
Award ID:
Award Title:
Business Unit:
Project Title:
Project ID:
Implementing Partner
(Executing Agency)
GEF Outcome/Atlas Activity
Project preparation grant to
finalize the UNDP-GEF project
document for project
“Sustainable Land use
Management in the Semi-arid
Region of the North-East Brazil
(Sergipe)”
X
Sustainable Land use Management in the Semi-arid Region of the North-East Brazil
BRA10
BRA/13/G42 – Sustainable Land use Management in the Semi-arid Region of the North-East Brazil (Sergipe)
X
Ministério do Meio Ambiente
Responsible
Party/
UNDP
Fund
ID
62000
Donor
Name
GEF
TRUSTEE
Atlas
Budgetary
Account Code
71200
71300
71600
72500
74500
75700
ATLAS Budget Description
Amount US$
International Consultants
Local Consultants
Travel
Supplies
Miscellaneous Expenses
Trainings
14,000
46,000
19,886
0
0
5,000
PROJECT TOTAL
84,886
Page 6
Annex 1: GEF CEO PIF approval letter
Page 7
Annex 2: Summary of Consultants Financed by the Initiation Plan
Local Consultants
Project Development Specialist
Local Coordinator
Consultant for Assessment of Institutional Capacity
Consultant for Assessment of SLM practices in Alto Sertão
Consultant for Assessment of Credit Lines and Financing available for SLM in Brazil
International consultants
Project Design Specialist
Consultancy
Estimated
Weeks
Costs
International Project Design
Specialist
4
14,000
Project Development
Specialist
12
16,000
Local Coordinator
16
20,000
Specific tasks and deliverables
Provide guidance to project design and ensure
completion of PRODOC and CEO Endorsement Form. The
expected deliverables include: (i) Overall guidance to the
Project Development Specialist and other national
consultants, including participation during Inception
Workshop meeting to be held in October; (ii) Preparation
of first PRODOC draft from PIF, with clear indication of
information needed for each section to national team;
(iii) review of draft PRODOC prior to validation workshop;
and (iv) review of PRODOC and CEO Endorsement form
after validation workshop for submission to the GEF.
Coordinate Project development and preparation of
PRODOC and CEO Endorsement Form in collaboration
with other national consultants and under guidance of
international consultant. This should include the
supervision and coordination of the local coordinator and
technical assessment consultancies, ensuring the delivery
of necessary information to project preparation. It also
includes coordinating the communication flow between
consultants involved in project preparation. The expected
deliverables include: (i) Finalize root cause analysis,
barriers and project results framework (logframe)
detailing for discussion at Workshop; (ii) Detailing of
project strategy, execution arrangements, financing
structure (cost structures and calculations), M&E,
sustainability plan and other necessary sections of
PRODOC and CEO Endorsement form; (iii) Preparation of
the second draft PRODOC for review prior to validation
workshop; and (iv) Preparation of PRODOC, with
necessary co-financing letters, and CEO Endorsement
form after validation workshop for final review and
submission to the GEF.
Liaise with state and local stakeholders, ensuring
information flow and baseline data collection. This should
include analysing the SLM project profiles developed
under MMA/UNDP co-financing project and identifying
those that would be appropriate for the different land
degradation scenarios. Then, the refinement of
characterization (social, economic and environmental) of
the areas for intervention and indicators of the project,
with definition of ideal methodologies for measuring
those. It also entails defining roles of local stakeholders at
Page 8
Consultant for Assessment of
Governance and Institutional
Capacity
8
Consultant for Assessment of
SLM practices in Alto Sertão
8
Consultant for Assessment of
Credit Lines and Financing
available for SLM in Brazil
8
10,000
10,000
(to be paid
with cofinancing
resources)
10,000
(to be paid
with cofinancing
resources)
the site areas and obtaining appropriate mobilization,
support and co-financing letters from them, as well as
documenting local consultation exercises. The expected
deliverables include: (i) Validation of socio-environmental
technologies present in the Alto Sertão that can be
applied to potential SLM areas in the project; (ii)
Measuring baseline data on land degradation in selected
sites and collection of all relevant baseline data, including
detailed land uses; (iii) Revision of GEF Focal Area
Tracking Tool and proposal for monitoring those and
project indicators; (iv) Revision of Stakeholder Analysis
Annex; and (v) Preparation of Project Pilot Site Annex.
Assessment of governance structure for SLM and
institutional capacity needs at State level (human
resources, infrastructure, legislation and norms of
institutions related to licensing processes, among others).
This will be accomplished through the: (i) Description of
the roles of federal, state and municipal institutions in
SLM, including licensing. (ii) Capacity assessment of key
institutions for SLM in Sergipe, with detailing of training
needs. (iii) Review of systems and structure currently
existing to ensure the mainstreaming of SM practices into
local land use planning and management, with (iii.a)
analysis of impact of current agricultural and livestock
production practices on project intervention areas and
(iii.b) recommendations on how LD issues can be
improved and strengthened in land use planning and
management at the state and municipal levels. The
expected deliverables include the preparation of a
Stakeholders Analysis Annex and relevant sections of the
PRODOC.
Using the LADA classification, identify sites that are
representative of the different land degradation
scenarios (degree, types, causes, etc) for potential
project intervention. The expected deliverables include:
(i) Mapping of land degradation levels in the rural
settlements of the seven municipalities of Alto Sertão,
based on the analysis of Degradation Early Warning
System (SAP), the State Action Plan for Combating
Desertification, the recent CODEVASF diagnosis of
deforestation in Curituba region, and an updated version
of the State Forestry Map, among others; and (ii)
Preparation of GEF Focal Area Tracking Tool.
Based on information from federal and state Banks,
government pluri-annual planning and budget allocations
as well as other incentives for SLM, identify opportunities
for financing the State Program for Combating
Desertification. The expected deliverables include: (i)
Assessment of credit lines and all other financing
available for SLM in Brazil, in particular for the NE region
of Brazil, including financing gaps and main bottlenecks
encountered, with proposed solutions to those; and (ii)
Analysis of requirements for the establishment of a state
level finance facility structure, with investment baseline
data and project targets so that SLM activities are
increased in Sergipe and other LD hotspots in NE of Brazil.
Page 9