INITIATION PLAN TEMPLATE
FOR A GEF PROJECT PREPARATION GRANT (PPG)
Project Title: Sustainable Development of the Ecuadorian Amazon: Integrated Management of Multiple Use
Landscapes and High Value Conservation Forests
Country: Ecuador
UNDAF OUTCOME: By 2018, support has been provided to strengthening institutional and citizen capacities
to promote the rights of nature, create conditions for a sustainable low-emission development, and improve
the resilience and risk management facing the impacts
UNDP Strategic Plan Environment and Sustainable Development Primary Outcome: Inclusive and
sustainable growth and development incorporating production capacities that generate employment and
lifestyles for the poor and excluded
Output 1.3. Solutions developed at national and sub-national levels for sustainable management of natural
resources, ecosystem services, chemicals and waste
Programme Period:
ATLAS Project Award:
ATLAS Project ID:
PIMS Project ID:
GEF ID:
Start date:
End Date
Management Arrangement:
2015 – 2018
00089047
00095453
5606
9055
July 2015
December 2016
DIM
Total budget:
US$ 263,000
Allocated resources:

GEF

Government

UNDP
US$ 198,000
US$ 60,000
US$ 5,000
AGREED BY UNDP RESIDENT REPRESENTATIVE
Diego Zorrilla
Resident Representative
Signature
Date: day/month/year
Page 1
A. Brief Description of Initiation Plan:
The purpose of the Initiation Plan, is to execute Project Preparation Grant (PPG) resources to develop an FSP
proposal that will engage stakeholders and will support specific studies and analyses which will result in the full
preparation of the project “Sustainable Development of the Ecuadorian Amazon: Integrated Management of
Multiple Use Landscapes and High Value Conservation Forests” (see GEF PIF attached in Annex 1). The final result
of these analyses and consultations will be the Full Project Document in both UNDP and Government of Ecuador
(GOE) formats and the GEF CEO Endorsement Request for the above mentioned project, which will be submitted to
GEF Sec within the agreed upon timeframe and with all the supporting documentation required; including cofinancing confirmation letters.
The overall approach for the project strategy and main components of the project were identified during the
preparation of the PIF. However, to enable the final assessment, definition and costing of the priority actions, the
PPG resources will be used to support more detailed analyses and consultation and to define the roles and
responsibilities of different institutions for project implementation. PPG resources will be supplemented with
resources mobilized for co-funding and will support activities under the following five components:
-
-
-
Component A: Technical review and studies including validation and baseline analyses; targeted studies for
design of specific project outputs and selection of target landscapes; analysis of national and local capacities
related to sustainable forest management, governance and sectorial production platforms in the Amazon; and
stakeholder and participation plans.
Component B: Institutional arrangements, monitoring and evaluation: Finalisation of the project intervention
strategy and indicators; preparation of project activities work plan, timeframe, responsibilities and budget; the
definition of institutional arrangements for project implementation; preparation of pending completion of
consultation strategy
Component C: Financial planning and co-financing investments: including the total Budget and Work Plan:
Component D: Validation workshop to present, discuss and validate the final draft project document.
Component E: Completion of final documentation in GEF (CEO endorsement template) UNDP Prodoc and GOE
formats (SENPLADES)
B. Project preparation activities:
Component A: Technical review and studies
I. Assessment and technical studies related to baseline, barriers and specific outputs of the expected project
These include specific studies required to provide detailed and quantified information on the barrier description
outlined in the PIF; to develop more detailed technical basis for designing specific outputs, for collecting the baseline
data for indicators and to address specific technical issues and questions raised by the GEF Sec; Council members
and STAP +
1.1 Analysis of existing baseline initiatives and data availability at national and local to confirm gaps and further
define the terms of reference of consultancies required to provide the technical basis and ensure integration of the
full project with development plans, policies, budgets and complementary projects
 Confirm and expand the description of baseline initiatives and the expected investments (in USD) over the
project period; identify other initiatives not included in the PIF and their expected investments (USD).
 Further review the most relevant baseline projects and information to determine the full extent of additional
data collection needed. Special attention should be paid to the data that was produced during the UNREDD
project and ensuing National REDD+ Strategy and Action Plan; the Amazonian Productive Transformation
Agenda (ATPA) of the Ministry of Agriculture, Livestock, Aquaculture and Fisheries (MAGAP); the advances of
ECORAE and the integrated development plan for Amazonia and the results of the consultation on the SDSNAmazonia; all GEF and other national and regional projects with direct or indirect influence in the Amazon
Page 2

region; the National Strategy for Biodiversity and its Action Plan (to ensure the proposal is well aligned with the
goals and targets) as well as BIOFIN, PSF-SNAP, amongst other.
In the context of gaps and constraints for mainstreaming a landscape approach, further analyze how the project
will build on the baseline initiatives and the potential contribution of the initiatives to the project. This should
include the review of past and on-going programs and projects for lessons to build on.
1.2. Targeted technical assessment to develop Outcome 1 of the project multi-level governance frameworks.
This will be undertaken in conjunction with capacity assessments outlined in item 1.3 of this IP. It will examine
existing models for multi-level governance frameworks in the country and elsewhere. Particular attention will be
paid to an analysis on dialogue and decision making mechanisms including a review of the current inter-institutional
coordination mechanisms in the country (horizontal – between institutions at the same government level, and
vertical – between national and territorial levels) taking into account those structures already set up in the
Constitution and other national policy instruments such a COOTAD, the National Development Plan, etc. This will
enable the detailed assessment of on the gaps and constraints to optimize coordination and for mainstreaming of
the landscape approach as per the Ministerial agreement. An assessment of the current dialogue and decisionmaking mechanisms for land use planning and sustainable production will also be undertaken to identify critical gaps
and constraints to mainstream landscape approach and environmental criteria in LUDPs and IP Life Plans. This will
include a review of UNREDD, ART, Green Commodities and other relevant documentation (see item 1.1) and
potential decision-making tools that could be included in the project to support sustainable production (opportunity
costs assessments, Target Scenario Analyses etc).
Based on the above reviews, and on the consultation through item II of this component , planning and institutional
development actions will be defined to be included in Output 1.3 of the full project (Land-use planning strengthened
with multi-sectoral dialogue & decision-making mechanisms) and also for Outputs 1.1 (National multi-sectoral
coordination & policy) and Output 1.2 (Decentralized institutional structures strengthened for management and
surveillance of sustainable production in MULs). These actions should include a balance of top-down and bottom-up
approaches and address rights including those related to land use plans taking into account opportunity costs that may
be incurred through land use restrictions. It should also include the consideration of alternatives such as bottom-up
regulatory framework for natural resources incentives and participation. Propose and cost specific actions to be
included in the Project for setting up these multi-level governance frameworks considering actions needed in different
provinces of the Amazon and within the 3 targeted landscapes.
Results from this review should also be used to complete the Socio and economic Assessment in the section related
to rights. (See initial screening in Annex 4)
1.3 Institutional, policy and regulatory framework assessment
In coordination with and to complement the assessment for detailing actions on multi-level governance and provide
inputs to other Outcome of the project, a broad assessment will be undertaken to determine: (i) the current
institutional, policy and legal framework relevant to land use planning, biodiversity conservation and use, land
degradation, sustainable forest management, indigenous peoples; ii) policy and legal constraints that may facilitate
or hinder implementation of measures for sustainable natural resources management, production of NTFP and
deforestation-free production at national and local levels; (iii) identify critical gaps and constraints to mainstream
landscape approach and environmental criteria in national/local policy and regulatory instruments.
1.4 Targeted technical studies to detail Outcome 2 of the project on markets and financial instruments
The study will include 3 specific aspects (market assessment; incentives and credit services. It will detail the proposal
of specific elements for each and their costs to be included in the project both at national level and application more
specifically in each of the target landscapes and at national level. (further details are provided in Annex 2 )
Page 3



Market assessments: to confirm and further detail information on access to markets for a) deforestation free
commodities (cacao, palm oil, coffee and beef); and for b) non-timber products (NTFP) and biodiversity related
products. This includes summarizing information on supply chains and the further definition of entry points to
improve market demand for sustainable production. Based on this further identify and provide details and
costing for actions needed (eg traceability systems) to be proposed under Output 2.1 and 2.2 for Outcome. Close
coordination should be made with the results of the information availability in activity 1.1 and with the MAE,
ECORAE, ATPA, PSF-SNAP and TS UNREDD teams and those working on the GCF proposal.
Incentives: Assess the current incentives and delivery mechanisms for SFM and SLM including Socio-Bosque
community incentives; determine gaps and propose and cost specific action for Output 2.3 for Outcome 2 and
specific recommendations for adjustment of existing incentives or creation of new incentives for example for
cacao producers in the buffer zones of PAs.
Credit services: Assess credit institutions and financial operations to identify existing “green” investments
and/or to develop proposals to be implemented in the FSP under output 2.4 for the following : a) commercial
producers of main commodities (coffee, cocoa, palm, livestock) to ensure that they adopt more responsible
production practices. This could include for example training programs for key financial institutions (banks) to
develop deforestation free investment portfolios and improve assessment of loans for sustainable production
in HVCF or degraded areas; b) improving access to capital for small producers and alternative products: microcredit schemes to support small scale producer to be part of the value adding along the supply chain of cacoa,
café and beef and also to developed alternative production such as . NTFP; ecotourism. Consultations should be
held with the key lending institutions to validate proposals.
II. Identification of specific sites for intervention- cross-referencing the assessment under item I and consultations
(item III)
2.1 Selection of landscapes
The PIF has identified the following selection of the three priority landscapes (North, Center and South Amazon). 1)
high conservation value forest and conservation gaps, 2) biomass carbon concentration, 3) deforestation risk level,
4) stakeholder willingness, and co-funding. Further selection will be undertaken through a 3 step process.
 The first step will be to confirm these selection criteria through consultations during the assessment of baseline
information and data availability (item 1.1.) and on-going dialogue processes such as that for the SDNS
Amazonia. Based on this an initial selection of possible landscapes would be defined.
 The second step will be based on further review of a pre selection of potential landscapes using as far as possible
existing information collected through UN-REDD and as part of the consultation process outlined in item 3.1.
This will further identify information gaps, collect information and describe each target landscape in generic
terms and including key information on forest types, areas of particularly high biodiversity and carbon
significance, socio-economic and production activities, livelihoods, pressures/losses of global values, drivers of
deforestation and degradation, impacts, land use planning processes underway in each landscape and activities
that constitute baseline and cofounding resources.
 Follow a second round of consultation the 3 landscapes will be determined and a more in depth study on land
uses and land use change undertaken (see below). This consultation process is described in item 3.1
2.2. Characterization of production in target landscapes (producers; practices and extension services).
In close coordination with information from the technical assessments a characterization of production will be
undertaken for each of the selected landscapes. This will include a succinct description on the following listed
characteristics and in agreed upon formats for use in the Prodoc. Furthermore and in conjunction with the design
experts this study should include baseline data for specific indicators related to land use
 Land tenure; socio-economic characteristics of small, medium and large producers and local/IP communities;
existing production practices and systems (palm, coffee, cocoa, livestock, NTFP), current and potential land
tenure conflicts, especially but not limited to the SNAP and its buffer zones
Page 4




Representative organizations / associations / cooperatives of the selected products and assess their willingness
to adopt sustainable production practices
Sustainable production practices, their area, feasibility and replication potential:
- North: best practices in cocoa, coffee and palm and conservation agreements with producers in areas
critical for connectivity and ecosystem service provision (replicable to Center and South)
- Center: SFM, sustainable use of biodiversity including NTFP, and conservation agreements with
communities and indigenous peoples (taking into account the BIOINDUSTRIA proposals of the MMA)
- South: best livestock practices and conservation agreements with producers; soil restoration, reforestation
diversification of economy in mining areas (replicable to North and Center)
Socio-economic barriers to adoption of sustainable practices including entry costs to introduce changes in
practices and production systems
Environmental and socio-economic benefits of the new sustainable production systems, and indicators and
targets; necessary investments and technical assistance.
III. Stakeholder consultations during technical review:
3.1 Consultations as part of the technical assessments: As a complement to the technical studies to be undertaken
in item I and II stakeholder consultations will be held to obtain data, to engage stakeholders during project design,
negotiate partnerships with on-going projects to align their activities and the project to build synergies and to
complete the social and environmental screening required by UNDP rules and regulations. These consultations will
be documented and reference made to them in the full prodoc.
Under the leadership of the National Heritage Directorate and UNDP, the PPG coordinator will engage other key
stakeholders in the Ministry of the Environment during project design particularly the National Socio-Bosque Incentives
Programme and the National REDD+ Strategy and Action Planteam. This latter is in final stages of completion but will be
extended through targeted support and possibly a UNREDD phase II. It will also include engage closely with the GCF
proposal under formulation and at the technical level with teams working on the most relevant baseline project including
amongst others ECORAE, the Ministry of Agriculture, Livestock, Aquaculture and Fisheries (MAGAP) particularly the team
working on the Amazonian Productive Transformation Agenda (ATPA); the FAO to review advances in the project with the
Government of Napo to improve environmental governance in the; UNDP´s Territorial Development area (formerly ART)
that supports local governance and decentralization processes and promoting sustainable human development at local
level. In addition consultations will be held with technical staff in financial institutions such as BanEcuador and the
National Financial Corporation (CFN) that are public lending institutions to the productive sector, benefiting mainly
medium and large-scale producers who are able to comply with the lending requirements. Stakeholders related to
potential microcredit and incentives for small and medium producers will also be consulted.
These consultations will be reinforced through meeting of the Consultation will also be held during project design
on a regular with the inter-institutional technical committee that will accompany the design phase. This includes
MAGAP, MINTUR, ECORAE, SENPLADES, and IKIAM alongside MAE and UNDP.
To the extent possible consultation on specific technical issues will also be made with the GADs of the Amazon
provinces. Full consultation with them on broader project design will be undertaken through Component C. Similarly
a specific approach will be developed for technical consultation with Indigenous groups. This will include dialogues
with representatives of the main in peoples and nationalities in the Amazon and their representative organisations
3.2 Stakeholder analysis and Capacity Assessments
Stakeholder analysis and capacity assessments will be undertaken as a complementary action to the above
mentioned consultations and in close coordination with the technical studies under item1. These will involve:
Page 5
3.2.1.
Stakeholder mapping: identification and description of roles, functions and responsibilities of key
stakeholders; assessment of stakeholder interest and participation and identification of key areas for more
in detail capacity assessment
3.2.2.
Capacity assessments and related proposals for strengthening capacities for at least the following themes
and related stakeholder groups
Government institutions Application of the UNDP Capacity Scorecard to access current level of staffing and
broad understanding for SFM and capacity needs (MAE; MGAP and GADS)
Agricultural production: Assess (i) capacity building needs of producers; and develop a training and capacity
building plan for producers (communities, small, medium and large) on best practices and standards for
market access; access to incentives and credits, inputs, technology and other services for production; and
(ii) Technical assistance capacities of extension services and capacity building needs; develop a training and
capacity building plan for extension services
Protected areas: Assess capacity building needs and identify measures to strengthen conservation areas in
particular theKutuku Shaimi Reserve that has been pre-identified as one priority area. An assessment would
also be made of Bosphere Reserves located in the Amazon to aassess capacity building needs and identify
measures to strengthen conservation within the landscape (for example Podocarpus - El Cóndor, Yasuní
and Sumaco reserves)
Land use enforcement structures: Existing capacities, procedures and framework for monitoring and
surveillance; identify barriers for the effective implementation of these procedures; assess capacity building
needs to optimize enforcement of regulations (early warnings systems on deforestation, monitoring and
surveillance linked to the national forest monitoring system, equipment, GIS, land-use reports)
Academia in conjunction with the SDNS Amazon consultation assess capacity levels of academic institutions
to deliver solutions for SFM and including in the IKIAM Amazonian Regional University established in 2013
to generate bio-knowledge, research potential





3.2.3.
Define participation mechanisms / develop a stakeholder participation and outreach plan for the full project
with particular attention to gender and IP: assess the organization and functioning of local/IP communities;
role of men and women in production / use of forests and biodiversity; develop gender / IP strategies
3.2.4.
Propose specific principles and approaches for capacity building in the project including field-level forums
were accountable; scientific inputs and translating on-the-ground successes into formal tools, guidelines,
etc. to be adopted at higher levels of governance.
IV. Completion of GEF required tracking tools and Social and Environmental Safeguards SESP:
In conjunction with the technical studies undertaken in item I, PPG stakeholders will complete the social and
environmental screening required by UNDP rules and regulations and the GEF focal area tracking tool: LD-PMAT;
SFM-TT and BD4. For biodiversity and specifically related to the indigenous, community, local government and
private reserves in addition to application of the METT other more appropriate indicators will be developed and
baselines established.
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 UNDP-GEF
project document. For this the following activities will be undertaken under the guidance of the MAE and UNDP.
I.
Finalization of project results framework: Further define the results framework with appropriate objective-level
and outcome-level quantitative and qualitative SMARTError! Bookmark not defined. indicators, and end-ofproject targets. Special attention will be made to include socio-economic and sex disaggregated indicators. This
should include e: (i) state indicators (e.g. spatial coverage, ecosystems quality, species populations or degree of
Page 6
land degradation); (iii) pressure indicators (threats and drivers); and (iii) response indicator; (iv) carbon
estimates. Baseline values for indicators should be quantified.
II.
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 and GOE templates that reflects
the mandatory requirements of the GEF and GOE M&E Policies. In addition an outline of the M6E system to be
undertaken in the project will be developed including suggested formats for pluri-annual planning; annual
operational planning; tracking of co-funding; formats for reporting on actions in each sub-regions etc.
III.
Define sustainability plan: The sustainability plan will outline the principles and guidelines for ensuring the longterm 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.
IV.
Definition of implementation and management arrangements:
As this is a large and complex project the definition if management and implementation arrangements will be
undertaken in detail to ensure that these are appropriate to deliver this project within the planned resources
and time frames.
In terms of implementation modalities specific issues to be addressed should be consideration of the fact that
at least 60% of the resources would be delivered through full NIM and only up to 40% through UNDP supported
NIM modalities. Also to the fact that the project will be implemented in a large and remote geographical area;
and that key stakeholders will be indigenous people and communities. The definition of implementation
arrangements will consider the different potentials such as multiple responsible parties including for example:
public entities through the PGE ; SGP delivery mechanism and procurement needs. For this latter a full
assessment will be undertaken of support needed to ensure expedited procurement. An overall procurement
plan will be developed for the project and a detailed one for at least the first year. Terms of references for the
main studies and contracts will be developed.
A Pre-LPAC will be held several months before submission is envisaged to review these implementation
arrangement to allow finalisation within the timeframe for project development
As regards management arrangement during the PPG the organisational structure governing the project will be
decided. This will include identification of the project board.
V.
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.
These consultations will include different levels and will be documented
To facilitate dialogue and validation both on technical issues and for the final project strategy and design an interinstitutional committee will be set up to work MAE and UNDP in the IP. This is likely to include members from the
different divisions in the MAE; representatives of the MAGAP; of ECORAE; Ministry of Foreign Affairs, IKIAM; MICSE
and local government conglomerates.
Component C: Financial planning and co-financing investments:
Page 7
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 national, local, 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
private sector, NGOs who wish to provide cash or in kind contributions to the project.
IV.
Stakeholder consultations during Component C
Component D: Validation workshop
A validation workshop will gather representatives from all relevant stakeholders to present, discuss and validate the
final draft project document. It is expected that this will be undertaken in each different sub-regions.
Component E: Completion of final documentation
I.
Consolidation of all technical and consultation inputs into a clearly written UNDP Prodoc document with all
relevant sections and annexes
II.
Development of a project document in the national format in Spanish in parallel to the regular GEF/UNDP
format.
III.
Completion of a CEO endorsement request form
IV.
Translation of UNDP Prodoc document into host country language and 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 8
C.
Project preparation activities work plan, timeframe, responsibilities and budget:
PPG Activity
Timeframe (in months)
1
2
3
4
5
6
7
8
Responsibility
9
10
11
12
Consultants & MAE
Component A: technical Studies
1.1 Analysis of existing baseline initiatives and data availability
X
1.3 Institutional, policy and regulatory framework assessment
Consultant A and B
X
1.2 Targeted assessment: Outcome 1 multi-level governance
X
1.4 Targeted studies Outcome 2: markets and financial instruments
2.1 Pre- Selection of landscapes
X
X
X
X
3.1 Consultations as part of the technical assessments
Consultant A
X
Consultant A
X
X
2.2. Characterization production in target landscapes
X
X
X
Consultant C
X
Consultant B
X
MAE/consultants
X
-
Agricultural production agencies and institutions
-
Land use enforcement structures and Protected areas
Lead Consultant D
Consultant A
X
X
X
Consultant B
X
X
4.1. GEF tracking tools and Social and Environmental Safeguards SESP
Consultant B and E
X
Lead MAE/PNUD
1. Finalization of project results framework:
Consultant A, B E
X
2. Definition of monitoring and evaluation (M&E)
Consultant B &E
X
3. Sustainability plan
Consultant B
X
4. Definition of implementation and management arrangements:
X
X
5. Stakeholder consultations during Component B:
X
Consultant A
X
Consultant B
2. Explore multilateral and bilateral co-financing opportunities
X
X
X
X
3. Ensure completion of required official endorsement letters
4. Stakeholder consultations during Component C
X
X
X
Component D: Validation workshop
Component E: Completion of final documentation
Completion of a CEO endorsement request form
3.
Translation of UNDP Prodoc document
4.
Develop Project document in the national format in Spanish
Oversight; responses- process; consultation, technical
11,220
Lead by PNUD/MAA
1. Prepare multi-year budget
2.
20,000
Consultant F
X
Component C: Financial planning & co-financing investment
Consolidate inputs and draft the UNDP Prodoc document
15,000
Consultant B
Component B Institutional arrangements, M&E
1.
19,030
Consultant D
X
3.2.2. Capacity assessments
Government institutions and Academia
28,900
Consultant B
X
3.2.1 Stakeholder mapping (gender and participation plans)
-
GEF
Budget
US$
Consultant A
10,900
Consultant A
X
X
Consultant A
7,610
Lead MAE/consultant A
23,840
Lead PNUD/consultant E
X
X
X
X
x
X
X
X
X
X
X
X
X
X
X
X
X
X
X
Consultant E (+ A/B)
X
Consultant E
Consultant- prof.services
X
X
33,100
Consultant A
Consultants A,B and E)
28,400
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 “ADD TITLE”
00089047
00095453
Ecu10
Sustainable Development of the Ecuadorian Amazon: Integrated Management of Multiple Use Landscapes and High Value
Conservation Forests
5606
Ministry of the Environment
Responsible
Fund ID Donor Name
Party/
UNDP
62000
Atlas
Budgetary
Account Code
71200
71300
71600
GEF TRUSTEE 72500
74100
74500
75700
ATLAS Budget Description
International Consultants
Local Consultants
Travel
Supplies
Professional services- Reporting (translation)
Miscellaneous Expenses
Trainings (consultations)
PROJECT TOTAL
Amount US$
27,500
100,300
34,000
5,100
5,000
3,000
23,100
198,000
Annex 1: GEF CEO PIF approval letter t
Annex 2: Summary of Consultants Financed by the Initiation Plan
Summary Tasks to be Performed
Consultancy
Estima Costs
ted
Weeks
Specific tasks and deliverables
Local Consultants leading project design
40 1,000 This would be a senior consultant with recognised expertise in institutional and
Project
Coordinator and
Amazon related issues. He/she would accompany the process throughout and be
institutional expert
responsible for the overall coordination of processes and consultations for project
development and preparation f PRODOC and CEO Endorsement Form in
collaboration with other national consultants and international consultant. The role
should include the supervision and coordination of the administrative/ logistics
assistant and the national technical design coordinator/expert; hiring technical
assessment consultancies, ensuring the delivery of necessary information to project
preparation. It also includes coordinating the consultations processes at the different
stages and communication flow between consultants involved in project preparation
including the direct link with the international design expert.
Specific tasks would include undertaking:
1. Technical assessments
- Analysis of existing baseline initiatives and data availability and Targeted
assessment (1.1)
- Outcome 1 multi-level governance (1.2)
- Institutional, policy and regulatory framework assessment (1.3) I
- In parallel and using the methodology agreed upon with the capacity
development expert a second specific technical tasks would be undertaking
capacity assessment of the following
Government staff: apply the UNDP Capacity Scorecard to access current level of
staffing and broad understanding for SFM and capacity needs (MMAE; MGAP and
GADS)
Academia in conjunction with the SDNS Amazon consultation assess capacity levels of
academic institutions to deliver solutions for SFM
2.
Consultation Functions
- A second group of specific deliverables would be the organisation and
running of the consultation processes in all components and final validation
3.
Design inputs and finance
- Full participation in finalization of project result-framework
- Explore multilateral and bilateral co-financing opportunities
- Ensure coordination with the design of other related proposals including the
GCF
- Ensure completion of required official endorsement
- Lead consultations on project strategy,
- Definition of implementation and management arrangements
- Provide institutional inputs for prodoc in required formats
- Review the Prodoc
- Prepare the Prodoc in GoE format
4.
Coordination functions
Summary Tasks to be Performed
Consultancy
Expert in local
sustainable
development with
emphasis on
SFM/agricultural
production ;
including
intercultural
approaches in the
Amazon
Estima Costs
ted
Weeks
40
900
Specific tasks and deliverables
- Liaise with national provincial and local stakeholders to ensuring information
flow and baseline data collection;
- Liaise with MAE stakeholders to ensure inputs to all stages of the process
- Liaise with the GEF design expert
- Convene and lead the intergovernmental meetings for project design
- Liaise with UNDP on budgetary aspects of the IP
- Overall responsibility for ensuring final products are delivered on time and
quality
Working in close collaboration with the Project coordinator; international design
expert provide inputs to review reports for technical quality on SFM and on
intercultural approaches and provide advice on local and cultural values and
approaches consulting where appropriate with specialists on indigenous peoples
visions. Specific tasks would include undertaking:
Review the existing information available in relevant baseline projects including
amongst other the National UNREDD Strategy and its Action Plan relating to the
Amazon; (ii) identify information gaps and refine ToR for consultants needed for
filling gaps. (iii) Complete the characterization (social, economic and environmental)
of areas for intervention along with baseline data for indicators of the project, with
definition of ideal methodologies for measuring these (iii) Revise GEF Focal Area
Tracking Tool and proposal for monitoring those and project indicators; (iv)
Preparation of Project Pilot Site Annex. ; (v) Provide inputs for preparation PRODOC
for review prior to validation workshop; and (vi) Preparation of PRODOC
1.
Technical assessments
- Analysis of existing baseline initiatives and data availability (1.1)
- Pre- Selection of landscapes (2.1)
- Characterization production in target landscapes (2.2)
- In parallel and using the methodology agreed upon with the capacity
development expert a second specific technical tasks would be undertaking
capacity assessment of the following (3.2.2)
Agricultural production (i) capacity building needs of producers; and develop a
training and capacity building plan for producers (communities, small, medium and
large) on best practices and standards for market access; access to incentives and
credits, inputs, technology and other services for production; and (ii) Technical
assistance capacities of extension services and capacity building needs; develop a
training and capacity building plan for extension services
Protected areas: Assess capacity building needs and identify measures to strengthen
conservation in the Kutuku Shaimi Reserve
Land use enforcement structures: Existing capacities, procedures and framework for
monitoring and surveillance; identify barriers for the effective implementation of
these procedures; assess capacity building needs to optimize enforcement of
regulations (early warnings systems on deforestation, monitoring and surveillance
linked to the national forest monitoring system, equipment, GIS, land-use reports)
2.
Design inputs and finance
- Development of project results framework in liaison with international
expert
- Definition of monitoring and evaluation (M&E)
Summary Tasks to be Performed
Consultancy
Estima Costs
ted
Weeks
Specific tasks and deliverables
- In coordination with international design expert collect baseline values for
SFM indicators and indigenous aspects; complete GEF TT and SESP
- Sustainability plan
- Consolidate SFM technical inputs and aspects related to working indigenous
lands for draft the UNDP Prodoc document
- Review the Prodoc and consolidate technical inputs for responses to reviews
3.
Administrative/
24
Logistics/consultati
on assistant
Procurement
/implementation
specialist (possibly
575
part time for longer
period)
Consultation and Coordination functions
- Liaise with national provincial and local stakeholders to ensuring technical
information flow and baseline data collection;
- Liaise with technical teams from relevant institutions and experts including
UNDP to ensure inputs to all stages of the process
- Participation as needed in consultations and intergovernmental meetings for
project design
- Liaise with UNDP on budgetary aspects of the FSP
Under the guidance of the project coordinator
- Support the organization and delivery of all consultations; validation
workshops; consultants travel etc
- Support the processing of hiring consultant; leasing with activities funded
through other sources including NGOs; project planning; efficient circulation
of information on logistic issues including consultations with indigenous
peoples
- Undertake a detailed assessment of governance and procurement needs for
the project implementation.
- Develop full budget and procurement plans for the project and detailed
finance data including budgets
Short term technical expertise and targeted studies
Capacity,
6
650
Working in conjunction with the project coordinator design the overall
participation and
methodology for capacity assessment, stakeholder mapping and participation
gender expert
approaches
Provide methodological guidance to
expert on technical coordinator and agricultural production and local lead design
expert; synthesize the information to assess and design capacity building
components for the following areas and to propose specific principles and
approaches for capacity building in the project
- Agricultural production Protected areas, Land use enforcement structures,
Government staff and Academia
- Undertake stakeholder mapping
- Prepare Stakeholder Analysis Annex; and gender strategy based on a review of
the different design documents and in consultation with core IP team
Agricultural
Economist/Finance
specialist
8
650
Undertake the following assessments under the guidance of the IP coordinator
- Market assessments: confirm and further detail information on access to
markets, credits and incentives for sustainable production
 Assess and describe current markets and value chains for commodities and
NTFP/biodiversity related products.
Summary Tasks to be Performed
Consultancy
Estima Costs
ted
Weeks
Specific tasks and deliverables

Diagnosis and characterization of potential markets for sustainable
products
 Identify market mechanisms and tools that could be adopted in the full size
project to increase adoption of sustainable production
 Review of current certification schemes for sustainable production applied
in Ecuador (e.g MAE Green Point) and potential certification schemes that
can be applied under the Project to commodities/NTFP, building on the
existing schemes and in line with international standards and incentives.
 Review of current plans for traceability of products in Ecuador; identify and
describe constraints and needs for developing traceability models and
systems for commodities; (North: palm, coffee and cocoa; South: livestock)
 Undertake feasibility studies to develop in the full project the value chain
for NTFP as part of the MAE´s bio-industry concept
 Feasibility analysis for establishing platforms for connecting buyers of
sustainable products (palm oil, coffee, beef, cocoa) with producers;
including stakeholder identification, roles and responsibilities of platforms.
 Costing of proposed Outputs for Outcome 2 cross referencing how these
could be applied more specifically in each of the target landscapes
Incentives
 Assess the current systems and capacities for access to, and distribution of,
Socio-Bosque community incentives; gaps and constraints at institutional
and community level regarding the best use of incentives for conservation,
restoration and sustainable production, and monitoring of the use of
incentives; develop proposals for optimizing the use of Socio-Bosque
resources.
 Modeling income distribution systems for other SFM incentives including
results-based incentives (eg REDD+).
Credit services:
 Assessment of credit institutions and financial operations; credit availability
and requirements for different production structures in the landscapes;
current constraints for accessing credits.
 Identify changes that may be required to ensure credit services are aligned
with good practices and environmental/forestry regulations.
 Identify needs for specific instruments to assess sustainable production
practices in existing/new credit lines.
 Identify mechanisms to facilitate access to credits for sustainable
production.
 Status/demand of micro-credit services for agriculture/NTFP production;
gaps and constraints for access by small producers.
 Develop proposals to be implemented in the FSP for the following : a) for
commercial producers of main commodities (coffee, cocoa, palm,
livestock): training programs for key financial institutions (banks) to develop
deforestation free investment portfolios and improve assessment of loans
for sustainable production in HVCF or degraded areas; b) For small
producers and alternative products: micro-credit schemes to support
sustainable production eg NTFP; ecotourism
Data and mapping 4
350
technician
International Consultants
In conjunction with the lead design expert develop maps and GIS material for the Project
document
Summary Tasks to be Performed
Consultancy
International
Project Design
Specialist
Estima Costs
ted
Weeks
11 2,500
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; (ii) Preparation of annotated outline of PRODOC based on
information contained in PIF, with clear indication of information needed for each section to
national team; (iii) drafting the PRODOC prior to validation workshop based on input from
eh local teams; and (iv) drafting final PRODOC and CEO Endorsement form after validation
workshop for submission to the GEF. (v) addressing specific technical issues and questions
raised by the GEF Sec; Council members
Annex 3: Approved PIF
Annex 4: Preliminary SESP