FAO/GLOBAL ENVIRONMENT FACILITY PROJECT … ENVIRONMENT FACILITY PROJECT DOCUMENT Countries: Brazil...

FAO/GLOBAL ENVIRONMENT FACILITY

PROJECT DOCUMENT

Countries: Brazil Project Title: Strengthening National Policy and Knowledge Framework in

Support of Sustainable Management of Brazil´s Forest Resources

GEF Project ID: 3767

FAO Project ID: 609771

FAO Project Symbol: GCP/BRA/079/GFF

GEF Agency: Food and Agriculture Organization of the United Nations (FAO)

Other Executing Partners: Brazilian Forest Service (BFS), affiliated to the Ministry of Environment (MMA)

GEF Focal Area: Biodiversity, Climate Change

GEF Strategic Programme: BD-SP 4; CC-SP6

Duration: Five years

Estimated Starting Date: November 2010

Estimated Completion: October 2015

Financing Plan: GEF Allocation: USD 8 850 000 Co-financing: Government (cash) USD 50 808 752 Government (in-kind) USD 5 558 290 FAO (cash) USD 300 000 Sub-total Co-financing USD 56 667 042 Total Project Budget: USD 65 517 042

Operational Focal Point Endorsement:

Carlos Eduardo Lampert Costa Date of endorsement: GEF Operational Focal Point August 29, 2008 Ministry of Planning, Budget, and Management Brazil Date of Re-endorsement:

23 September 2010

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EXECUTIVE SUMMARY

Brazil’s forests constitute 13% of the global forest area and almost 30% of the tropical forest area. They account for a significant proportion of global terrestrial biodiversity and store about 20% of global above ground forest carbon. At the same time, these forests are under pressure from other land uses, resulting in the highest rate of deforestation in the world (currently -3.1 million ha per year). Brazil’s forests are also subject to widespread degradation and devastating fires. This combination of land use changes, forest degradation and fires leads to an estimated 952 Tg carbon annual emissions that account for 92% of all of Brazil’s net carbon emissions.

The project development objective (PDO) is to provide good quality information and analyses about forest resources and land use and cover to improve policies and decision making by stakeholders so as to increase Brazilian forests contribution to national sustainable development. The project's global environmental objective (GEO) is to facilitate informed and participatory strategic decision making in natural resources management, with an emphasis on minimizing unsustainable land use-changes to conserve biodiversity and carbon stocks.

The project will achieve its objectives by supporting improved decision making by stakeholders through the provision of credible, timely and relevant information and policy analysis about (i) the state and dynamics of Brazil’s forests; (ii) natural resources management, with emphasis on forest resources (including tree biodiversity), land cover, use, and changes; (iii) opportunities for mainstreaming biodiversity conservation in sector policies and investments; (iv) role of and factors affecting forest and forest land contributions to poverty reduction and livelihoods improvement; (v) biodiversity conservation in protected areas as well as in land use decision making; (vi) forest carbon stocks and flows and potentials for reduction of emissions through better use of forest resources and lands; and (vii) land degradation in forest landscape and potentials for reduction. The information will be collected and analyzed through the establishment of a National Forest Monitoring and Assessment System (NFM&AS) as a programmatic activity in the Brazilian Forest Service continuing after the end of the project. By providing different analysis of the collected data, including a baseline and periodically monitored forest resource indicators, the project will enhance the capacity of the Government of Brazil (GoB) to recognize and reduce environmental threats by adjusting policies, strategies, and interventions and demonstrate their effectiveness. Private sector and other nongovernmental decision makers will also be able to take more informed decisions which, given the appropriate policy incentives, can increase the attractiveness of forest land use, mainstreaming biodiversity conservation in production activities, and increasing and conserving carbon stocks in the forest biomass.

The initiative is designed as a five year mainly technical assistance project to build the foundational capacities and support the implementation of the NFM&AS. This is justified by the need to cover the initial costs of developing the system and make it operational. The project has been structured into four components: (i) national framework for forest resource monitoring, assessment and strategic decision making; (ii) capacity building for the management of the NFM&AS; (iii) baseline and monitoring and information system establishment; and (iv) policies to enhance the contribution of SFM to national sustainable development and global environmental benefits.

The project will be executed in five years with a total estimated budget of USD 65.5 million provided by the following sources: (i) GEF - USD 8.9 million; (ii) Government of Brazil - USD 56.4 million, and (iii) FAO – USD 0.3 million.

Strengthening National Policy and Knowledge Framework in Support of Sustainable Management of Brazil´s Forest Resources Project Document

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TABLE OF CONTENTS

1..................BACKGROUND.................................................................................................... 3

1.1 General and Sectoral Context ........................................................................................... 3

1.2 Project Background ........................................................................................................... 4

1.3 GEF Eligibility Criteria ..................................................................................................... 6

2..................RATIONALE......................................................................................................... 8

2.1 Problems/Issues to be Addressed ...................................................................................... 8

2.2 Stakeholders, Target Beneficiaries and Public Participation ........................................ 8

2.3 Project Justification –Incremental reasoning.................................................................. 9

2.4 Project Benefits................................................................................................................. 11

2.5 FAO’s Comparative Advantage...................................................................................... 12

2.6 Consistency of the project with national priorities and plans...................................... 13

3..................PROJECT FRAMEWORK................................................................................ 15

3.1 Project Impact .................................................................................................................. 15

3.2 Project Components and Outputs .................................................................................. 15

3.3 Project Outcomes ............................................................................................................. 21

3.4 Sustainability .................................................................................................................... 21

3.5 Replicability ...................................................................................................................... 22

3.6 Assumptions and Risks .................................................................................................... 22

4..................IMPLEMENTATION AND MANAGEMENT ARRANGEMENTS ............ 27

4.1 Core Commitments and Linkages .................................................................................. 27

4.2 Consultation, Coordination and Collaboration with other Initiatives in Brazil ........ 29

4.3 Institutional and Implementation Arrangements ......................................................... 32

4.4 Strategy and Methodology............................................................................................... 41

4.5 Alternatives Considered and Reasons for Rejection..................................................... 41

5..................FINANCING PLAN AND PROVISIONAL WORK PROGRAMME .......... 45

5.1 Financial Planning............................................................................................................ 45

5.2 GEF Input ......................................................................................................................... 45

5.3 Government Inputs .......................................................................................................... 46

5.4 Donor Inputs/ Co-financiers............................................................................................ 46

5.5 FAO Input......................................................................................................................... 46

6..................OVERSIGHT, MONITORING, MANAGEMENT INFORMATION AND

REPORTING.......................................................................................................................... 48

6.1 Oversight and reviews...................................................................................................... 48

6.2 Project M&E and Reporting........................................................................................... 49


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6.3 Financial Management and Reporting........................................................................... 54

6.4 Communication and Visibility ........................................................................................ 55

7..................PROJECT APPRAISAL .................................................................................... 58

7.1 Social.. 58

7.2 Stakeholder Consultation ................................................................................................ 58

7.3 Environment ..................................................................................................................... 58

ANNEXES............................................................................................................................... 59

Annex 1: Major Related Projects ......................................................................................... 60

Annex 2: Results Framework and Monitoring.................................................................... 69

Annex 3: Detailed Project Description ................................................................................. 84

Annex 4: Project Costs and Provisional Work Plan ........................................................... 94

Annex 5: Draft Terms of Reference.................................................................................... 103

Annex 6: Project Reporting, Monitoring and Evaluation................................................ 134

Annex 7: Financial Management and Reporting .............................................................. 144

Annex 8: Co-Financing Arrangements .............................................................................. 146

Annex 9: Government obligations ...................................................................................... 147

Annex 10: Project Reviews (STAP, GEF Secretariat, GEF Council) and Team Response149

Annex 11: Maps.................................................................................................................... 156

Annex 12: Causal Maps Linking Project Outputs, Outcomes, and Impacts.................. 158

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GLOSSARY OF ACRONYMS

ABC Brazilian Agency for Cooperation BD-SO Biodiversity – Strategic Objective - GEF BD-SP Biodiversity – Strategic Program - GEF BFS Brazilian Forest Service CC Climate Change CC-SO Climate Change – Strategic Objective - GEF CC-SP Climate Change – Strategic Program - GEF CENAFLOR National Center for Forest Management - BFS CITES Convention on International Trade in Endangered Species CONAFLOR National Forest Commission CT Technical Committee CSO Civil Society Organization DETER Real Time Deforestation Detection System EA Executing Agency ES Executive Secretariat - BFS EMBRAPA Brazilian Agricultural Research Corporation EMBRAPA Forestry EMBRAPA affiliate dedicated to forest related research. EPC Effectiveness Promotion Committee FAO Food and Agriculture Organization of the United Nations FNMA National Environmental Fund - MMA GEAL Administration and Logistics Manager - BFS GEBs Global Environmental Benefits GEF Global Environment Facility GEIF Forest Information Executive Management Office - BFS GEO Global Environment Objective GIS Geographic Information System GoB Government of Brazil GPA Global Programme of Action GTZ German Technical Cooperation Agency IA Implementing Agency IBAMA Brazilian Institute for Environment and Renewable Natural Resources, linked to the

MMA IBGE Brazilian Institute for Geography and Statistics ICMBio Chico Mendes Institute for Biodiversity Conservation ICR Implementation Completion Report IDB Inter-American Development Bank IICA International Institute for Agriculture Cooperation INPE National Institute for Space Research IPCC Intergovernmental Panel on Climate Change ITTO International Tropical Timber Organization KFW German Development Bank LD-SO Land Degradation – Strategic Objective LD-SP Land Degradation – Strategic Program LoA Letter of Agreement LTU Lead Technical Unit LULUCF Land Use, Land Use Change and Forestry LUS Land use/forest type sections

MDA Ministry of Agrarian Development

MMA Ministry of Environment MST Ministry of Science and Technology M&E Monitoring and Evaluation MIS Management Information System MRV Measurements, Reporting and Verification NCC National Consultative Commission NFI National Forest Inventory NFMA National Forest Monitoring and Assessment NFM&AS National Forest Monitoring and Assessment System


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NFP National Forest Programme NGO Non Governmental Organization OP Operational Programme PDO Project Development Objective PA Protected areas PIF Project Identification Form - GEF PPG Project Preparation Grant - GEF PREVFOGO National System of Forest Fire Prevention and Control PMEU Planning, Monitoring, and Evaluation Unit - BFS PROBIO Project for the Conservation and Sustainable Use of Biodiversity, within the

PRONABIO PRODES Project for Gross Deforestation Estimation in the Brazilian Legal Amazonia PRONABIO Biological Diversity National Program PRONAF National Program to Strengthen Family Agriculture PRONAF – Forestry Forest version of the National Program to Strengthen Family Agriculture PRSP Poverty Reduction Strategy Paper PY Project Year RCC Regional Consultative Commissions R&D&I Research, Development and Innovation REDD Reducing Emissions from Deforestation and Forest Degradation RTC Research Technical Committee SCC State Consultative Commissions SC Steering Committee SFM Sustainable Forest Management SINIMA National System for Environmental Information SISCOM Information Sharing System of Environmental Licensing in Rural Properties in the

Amazon SLM Sustainable Land Management SLOSS Single Large or Several Small SNIF National System For Forest Information SNUC National System of Conservation Units STAP Scientific and Technical Advisory Panel TC Technical Commissions TCI Investment Centre Division - FAO Tg Teragram. One million metric tons. ToR Terms of Reference TTL Task Team Leader UGP-GEF GEF Project Management Unit UN United Nations UNCITRAL United Nations Commission on International Trade Law UNDP United Nations Development Programme UNEP United Nations Environment Programme UNFCCC United Nations Framework Convention on Climate Change USAID United States Agency for International Development USD United States Dollar WB World Bank


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1. BACKGROUND

1.1 General and Sectoral Context

The Brazilian economic, social and environmental characteristics place the country in a unique position. The country has a moderate free market and export-oriented economy. Measured by purchasing power parity, it reaches USD 1.9 trillion, making it the 9th largest economy in the world and the 2nd largest in the Americas, after the United States. Brazil accounts for three fifths of the South American economy’s industrial production.

Brazil ranks 5th among the world’s most populated countries with slightly over 190 million inhabitants (2009). Social indicators and, consequently quality of life, have improved over the past decades as a result of modernization and social programs implemented in the country.

Brazil has a total area of 851.5 million hectares, occupying 47% of Latin America’s land area, with about 477 million hectares covered with forests, natural and planted, corresponding to around 56% of the country’s territory. A wide range of biomes are present and include the vast Amazon Rainforest, the Savannah, the Atlantic Rainforest, the Dry Shrub Land (‘Caatinga’), Southern Grasslands (‘Pampa’), and the Brazilian Wetlands. According to FAO (2009) classification of Brazilian forest resources 49.4 million ha is for biodiversity conservation (9%) and 85.1 million ha for soil protection and water resource (16%). The remaining areas are for social services (extractive and Indian reserves) with 125.5 million ha (24%); production forests with 34.1 million ha (7%), multiuse with 2.9 million ha (4%) and other uses (non-defined uses) with 207.7 million ha (40%).

About 239 million hectares of the Brazilian forests are classified as public forests, representing 28% of the Brazilian territory, and distributed equal parts between protected areas and indigenous reserves. Out of the total area that makes the National Register of Public Forests, 204 million hectares consist of protected forest within Federal Conservation Units and indigenous lands. An additional 35 million hectares are comprised of forests located in lands not legally established as public or private.

Brazil’s forests represent 12% of the global forest area and almost 30% of the tropical forest area. They account for a significant proportion of global terrestrial biodiversity and store about 20% of global above ground forest carbon. The country has 20% of the world’s biodiversity and has the largest portion the Amazon Rainforest with 3.6 million km².

The Brazilian forests and biodiversity are under pressure from other land uses, resulting in the highest amount of deforestation in the world (currently -3.1 million ha per year). Brazil’s forests are also subject to widespread degradation. Among the main causes of degradation are the uncontrolled expansion of agriculture and pasture over forests, devastating fires, and wrong policy measures and incentives. The combination of land use changes, forest degradation and fires leads to an estimated 952 Tg carbon annual emissions that account for 92% of all of Brazil’s net carbon emissions, according to Brazil’s first National Communication to UNFCCC in 2004.

It is worth noting that the rates of deforestation, despite showing some recent decrease, are still significant, especially regarding forest conversion to other unsustainable uses. Between 2006 and 2007 about 960 000 ha of rainforests had been illegally converted, according to Brazilian government estimates. Also in the Atlantic Forest biome, which has only about 7% of its original cover, nearly 95,000 hectares of deforestation were detected from 2000 to 2005, which is very significant. More recent figures, although partial, show that the rate of deforestation has decreased. Between August 2008 and July 2009, 7.008 km² have been deforested, a reduction of 45% compared to the previous period (2007-2008), when the rate


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was 12,911 km².

In addition to the importance of Brazilian forest resources for the conservation of global biodiversity and carbon stocks, the utilization of natural resources is a major element of rural livelihoods and for the economy as a whole. Maintaining high-quality forest and other natural resources is important for sustaining other important economic sectors (e.g., tourism, agriculture, others) and contributes to the general sustainable development locally and globally.

In recent decades, Brazil has made significant efforts to legitimize a more proactive involvement of different stakeholders of the society in order to consistently guide the use and conservation of natural resources in support of economic and social development. The main actors involved in this process are the public sector at federal, state and municipal levels, the private (business) sector and landowners in general, international organizations, NGOs, and research/academic sector.

Some policies, strategies and tools have been implemented to strengthen and consolidate the role of natural forest resources in Brazil and notable efforts have been done for their conservation. Among the most important efforts are the creation of the Brazilian Forest Service (BFS), established by Law # 11,284/06 and the internal regulations approved by the Ministry of Environment (MMA) Decree # 6,101/07. The mission of BFS is to reconcile the forest use and conservation, valuing the forest resources for the benefit of present and future generations, through the public forest management, knowledge building, capacity building and provision of specialized services.

Another effort also under the MMA and supported by FAO has been the National Forest Programme (NFP) established by Decree 3420/2000 with the general objective “to promote sustainable development, balancing the exploitation and protection of ecosystems and balance the forest policy with other sectors to promote the expansion of domestic and international markets and institutional development of the sector”. NFP has several instruments, with potential great value for strengthening the national forest policy in support of sustainable management of the country’s forests including: laws, decrees and regulations; credit lines and financing; technical assistance and capacity building; research and information; and monitoring and control (e.g., Action Plan for Prevention and Control of Deforestation in the Amazon, Real Time Deforestation Detection System (DETER), Information Sharing System for Environmental Licensing in Rural Properties in the Amazon (SISCOM), among others). The FAO mechanism to support the NFP aims at strengthening the state institutions responsible for co-forest management in partnership with the Department of Forests/NFP, and to promote social participation to ensure that federal agencies can, through their state forest policies, promote sustainable development of the forestry sector at local level. In this context, the NFP involves environmental, social and economic aspects of the Brazilian forest sector

It is also important to mention the existing policies aimed at rural development and related to forest resources. Under the Ministry of Agrarian Development, there are a number of policy instruments for rural development. Among these instruments, it can be mentioned the Land Legislative Act, the National Policy for Agrarian Reform, the National Program to Strengthen Family Agriculture (PRONAF and its forest version, the Forest PRONAF), the National Program of Land Credit, the Program for Sustainable Development of Rural Areas, the Family Agriculture Law, among others.

1.2 Project Background

Discussions within Brazil and with international partners have revealed that a major barrier to the implementation of sustainable forest management (SFM) and rational land use decisions is


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the lack of reliable, systematic, nationwide, comprehensive and in-depth knowledge about the forest resource (including its management, uses, users, as well as developments over time). Without this knowledge it is impossible to make wise, participatory and democratic decisions about forestry policies and other related sectors and it is very difficult to balance environmental concerns (e.g. carbon stocks and biodiversity conservation and sustainable land management) with national development goals. Furthermore, the lack of reliable and transparent information leads to speculation, at national and international levels, regarding the real contribution of forests to sustainable development goals. Moreover, it makes it difficult for stakeholders to provide support for specific measures and actions to improve management of the natural resources.

Without a national forest resource baseline and continuous monitoring of forest resource indicators (including key biodiversity indicators) it is also impossible to verify the positive impacts of SFM on carbon as well as biodiversity conservation. This prevent the country from applying a measurable outcome and results based approach to the implementation of SFM and increase national stakeholders access to carbon funding mechanisms. These mechanisms require credible MRV (Measurements, Reporting and Verification) systems for carbon stocks and fluxes related to land use changes. The nationwide scale is important in such system to be able to monitor eventual leakages from project intervention areas.1

Where information is lacking, not transparent or unreliable, disagreement over facts permeates national and international debates about the contributions that forests can make to broader sustainable development goals and it is difficult to generate broad support amongst all stakeholders for specific measures to improve natural resource management.

The future of Brazil’s forests and the implications of future land use changes on biodiversity, climate and the provision of other ecosystem services are a major concern at the national and global level. However, despite considerable investments in scientific research and institutional development, the capacity for decision making and policy formulation with respect to natural resource management remains weak at the national level.

The Government of Brazil recognizes the lack of adequate and sufficient knowledge about the country’s forest resources to support the national decision making processes, which includes policy design and formulation, strategic planning, and definition of national programs and plans, and monitor their implementation. The need for improved information on existing forest resources at national level, to guide the development and implementation of policies and measures was one of the results of a workshop conducted in 2005 by the Brazilian Ministry of Environment. During the workshop issues to be discussed further were identified and a technical committee was created to, with others, outline a national framework for forest resource monitoring and analysis.

The technical committee led the outline of a national framework for forest resource monitoring and assessment and the development of a national project for its implementation taking into account the need for strengthened coordination between all involved institution and mechanism to ensure that the information and results generated is used to promote SFM and mainstream biodiversity and carbon stock conservation in sector policies, development plans and investments. The committee consulted widely with national experts and other interest groups from various institutions at different levels and presented a first draft proposal at a second national workshop in December 2006. As part of this effort, FAO supported


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Brazil in a pilot phase to test the methodologies and approaches and further develop the national project from which this GEF proposal is drawn.

1.3 GEF Eligibility Criteria

Country Eligibility

Brazil is a party to the UN Convention on Biological Diversity ratified by the country in February 1994. Brazil has also ratified the UN Framework Convention on Climate change in 1994. In accordance with paragraph 9(b) of the Instrument for the Establishment of a Restructured GEF, Brazil is an eligible recipient of UNDP and FAO technical assistance and as such eligible for GEF resources.

GEF strategy and Policy Conformity

The project objectives and outcomes are fully consistent with relevant provisions in the GEF Operational Strategy, in particular with the Biodiversity and Climate Change Focal Area Strategies.

One of the ultimate aims of this project will be to assist with the integrating of biodiversity conservation in production landscapes. Although the project will focus heavily on forested landscapes, the use of systematic sampling and holistic approaches to data collection and analysis will ensure that forest management will be examined at the landscape level and with full attention to the social and economic drivers of current management practices and land use decision making. Thus, the project is in line with the aims and objectives of BD-SO2. The project will help to overcome several of the constraints noted in BD-SP4 (e.g. weak capacity and lack of knowledge). The improving policy, regulatory and governance framework expected to take place as the project produce its outputs should lead public and private decision makers to take biodiversity concerns into consideration in their production decisions especially with respect to forestry and other rural land uses. Therefore, the project is consistent with the approach outlined in BD-SP4 to remove critical knowledge barriers, develop institutional capacities and establish the policies, legislative and regulatory frameworks required to integrate biodiversity conservation and sustainable use objectives into the actions of the production sectors.

Given the importance of information and knowledge in several of the strategic objectives of biodiversity focal area, the project will also contribute to achieve BD-SP3; BD-SP5 and BD-SP7. By helping to identify and characterize ecosystems and measure their current situation and dynamics, the project will help to ensure better terrestrial ecosystem representation in the protected area systems. It can assist in the filling of ecosystem coverage gaps and review overlaps, in understanding the dynamics of PA protection, in improving the understanding of the effectiveness of different management forms of protected areas. These contributions will support the setting, design, establishment, and evaluation of terrestrial protected area networks, thereby contributing to achieve BD-SP3. It can enhance markets for biodiversity goods and services, as measures to encourage such markets require much better knowledge about forest resources (as a foundation for the development of national capacities and an enabling environment for such markets to thrive). Thus, it can also make a contribution to achieve BD-SP5. The data collection and analyses related to alien species supported by the project can help to measure the dynamics of the problem and in the development of policies and regulations, and in the identification of the capacity needed to prevent, control, and

1 Leakages refers to that the prevention of forest degrading activities through SFM in one project area simply

move to other areas and the net carbon and biodiversity benefits disappears.


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manage invasive alien species, as sought by BD-SP7.

A second aim of the project will be to collect and analyze data on land use and land use change with respect to forestry with a view to developing national capacity and policies, regulations and other measures that will reduce land-use changes that lead to carbon emissions or other environmental negative externalities. This aim is clearly in line with that of CC-SO7. Through the development of a systematic methodology to estimate and understand forest land use changes and the identification and implementation of policies and practices that reduce emissions from LULUCF, the activities proposed here are consistent with those stated in CC-SP6. In addition, by establishing a nationwide forest monitoring and assessment system that will include assessment of carbon storage, both above and below ground (drawing from current scientific knowledge and the IPCC Good Practice Guidance) the project will contribute to the broader aim of CC-SP6 to develop and implement such methodologies for future use across all GEF carbon-related projects. Moreover, such assessment will be made in line with guidelines for the national inventories of anthropogenic emissions and removals by sink as part of the national communications to be prepared in accordance with UNFCCC requirements and guidelines.

Even though this project’s main contribution will be to BD SP-4 and CC SP-6, it will also contribute to LD-SO2. The generation of improved forestry knowledge and subsequent policy reform will also assist with creating an enabling environment that places Sustainable Land Management (SLM) in the mainstream of development policy and practice (an objective of LD-SO2). The project will vastly increase the understanding of the inter-relations between forests, other woodlands, trees outside forests and other land uses, leading to opportunities for integrated land use policies and planning. It will also challenge current sectoral boundaries by increasing understanding about the frequent combinations of different land uses on the same site and how to manage these situations. Thus, with respect to LD-SP2, it will strengthen the national enabling policy and institutional environment for managing forest and woodland resources in the wider production landscape and assist with defining strategies to avoid the degradation of woodlands, forest margins and further forest fragmentation mainly caused by expanding cropland and grazing activities in Brazil.


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2. RATIONALE

2.1 Problems/Issues to be Addressed

Governance that can effectively seek national development and provide global environmental services based on forest resources depends on institutional capacity, a policy and regulatory framework that promotes and facilitates appropriate land use decisions by landowners, possession holders, investors, and governments. The adjustment and adoption of such policy and regulatory framework needs to be solidly based on knowledge, good quality information, and relevant analyses. This project was designed to satisfy these needs and promote the debate and adoption of a policy framework that enhances the contribution of the forest resources and lands to sustainable development at national and global levels.

Because of the importance of Brazil’s forest for global biodiversity and carbon stocks, a major concern at the national and global level is the future of these forests and the consequences of continued land use changes and deforestation rate. The lack of synergy between environmental, forestry and land policies in the country is evidenced by the lack of effective control of the forest conversion areas for other various purposes. The lack of inspection and opportunities for many farmers and rural communities, coupled with a fast-expanding timber market, has fostered illegal land occupation, illegal logging and uncontrolled advance of agricultural frontiers and pasture.

This project will address the key issue of improving information availability and management to enhance policy formulation and improve forest and forest vocation land management by supporting BFS in implementing a National Forest Management and Assessment System (NFM&AS) through four main areas:

• National framework for forest resources monitoring, analysis, and strategic decision making;

• Capacity building for the management of the NFM&AS;

• Establishing the forest resource baseline and monitoring and information system; and

• Support for policy reform to enhance the contribution of SFM to national development and global environmental benefits.

2.2 Stakeholders, Target Beneficiaries and Public Participation

The major stakeholders relevant to project objectives and its main beneficiaries can be classified into three groups: global, national and local stakeholders. Global stakeholders include multi-lateral/bi-lateral development agencies and programmes, the World Bank and the Inter-American Development Bank (IDB), FAO, United Nations Development Programme, United Nations Environmental Programme, GEF, and international NGOs. National stakeholders include federal and state government agencies, civil society organizations (CSOs), NGOs, private foundations, private sector organizations, and academic institutions. Local/beneficiary stakeholders comprise municipal government agencies, private sector firms, and local NGOs.

During project preparation these stakeholders were closely involved through participation in national consultations and workshops, and regional workshops and technical meetings. The process of designing a project for the development of a NFM&AS started in 2005, when the MMA held a national workshop to identify the main components and to suggest the methodological approaches to be considered in the project. A technical committee was subsequently created to coordinate a participatory process aimed at developing a nationwide


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project. The project’s conceptual framework resulted from contributions from experts and stakeholders from different institutions and regions collected in a series of meetings, and the international collaboration of more experienced countries and organizations, such as FAO.

A second national workshop was held in December 2006 to present the first draft of the project and the NFM&AS methodology. A one-year project was designed with the participation of selected technical stakeholders to test the inventory methodologies in five Brazilian biomes with financial and technical support provided by FAO.

In November 2009, with the support of a GEF Project Preparation Grant (PPG), a national workshop was held with participation of representatives of the main project clients and stakeholders to identify and characterize the demand for Brazilian forest resource related information and analyses, as well as to address inquiries and clarify interests of stakeholders. The demands identified will be included, to the extent feasible, as attributes or variables in data collection and analyses methodologies and ensure the focus of the NFM&AS towards the needs of the clients.

Also with support from the GEF PPG, a fourth workshop was held in December, 2009, to inform and discuss the position of a sample of federal, state, and municipal government decision-makers regarding potential procedures and institutional arrangements aimed at allowing interested states and/or municipalities to increase sampling intensity and obtain more precise information, taking into account their local scale.

During project execution these stakeholders will have ample opportunities to participate and benefit from the project, as participants in the National Framework for Forest Resource Monitoring and Strategic Decision Making to be established supported by the project’s component 1 and 4 described below in section 3.2 and, in further details, in Annex 3.

The objective of the component 1 is to establish a permanent national framework based on legal arrangements and operational instruments to allow and facilitate collaboration between the BFS and selected stakeholders from the public, non-governmental, academic, and private sectors, and promote States and Municipalities adopting of the national forest monitoring system. This inter institutional framework is needed to assure timely and cost effective resource monitoring, analysis, and strategic decision making as well as to contribute to the effective use of the information and knowledge generated.

The objective of the component 4 is to enhance policy and decision making by mainstreaming biodiversity and carbon stocks conservation in policies, land use and investment decisions and by creating incentives for SFM. This will be achieved through the promotion and dissemination of NFM&AS information and knowledge generated together with concrete recommendations on policies and instruments. In addition, the component will measure, monitor, and evaluate the effectiveness of the project results.

2.3 Project Justification –Incremental reasoning

Scenario without GEF resources:


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The high level of proposed government co-financing for this project certainly indicates that, even without GEF support, Brazil would start to gather more data and information on its forest resources and land use and cover, However, without GEF resources, it is likely that this effort will be focused on national priorities (focused mainly in the economic domain) and pay less attention to data collection, analysis and development of policies to support the generation of global environmental benefits. In particular, impacts on policy reform is likely to be more difficult with the more limited resources that would probably not be devoted to national coordination, capacity building and analysis in support of policy reforms mainstreaming biodiversity and carbon stock conservation through SFM. Efforts to develop recommendations and instruments for mainstreaming biodiversity conservation and combat adverse land-use changes impacting carbon emissions are also likely to be less effective without the strong co-ordination and significant technical benefits that the GEF resources and FAO as a GEF Agency will bring (e.g. FAO’s internationally recognized expertise as a global centre of knowledge on forest management and the scale-benefits from coordination and collaboration amongst the many different GEF projects in Brazil).

National benefits from increased sustainable forest production would probably to some extent be generated by the co-financing and baseline financing without the GEF financing. Through the proper knowledge of the forest resources, their species and composition based on the NFM&AS, it would be possible for the Brazilian authorities and other stakeholders to take advantage of the production resources, under a sustainable manner, to contribute to forest production oriented to domestic and international markets. This would not only create value to the forest resources, stimulating its production and conservation, as it would also generate income and create jobs, promote social inclusion, and improve the trade balance of the country. Other national benefits that would to some extent be generated without the GEF resources includes: (i) improved national framework for forest resources monitoring, analysis, and strategic decision-making; (ii) increased understanding of the Brazilian forest resources, land use and cover status and dynamics, and change motivators and consequences; (iii) increasing support for monitoring information system; (iv) improved livelihood of population dependant on forest resources and intervening in forest land; and (v) reformed policies for enhancing the contribution of the SFM to national development.

Scenario with GEF resources:

With GEF support, the project will enable the BFS to adopt and implement a more holistic and far-reaching assessment of the national forest resource (i.e. far beyond simply its national economic value) and strengthen the long-term sustainability of this effort through the development of coordination mechanisms and national capacity building as well as the translation of project results into policy actions that support the production of global environmental benefits. A further benefit of GEF support is the direct involvement of FAO as the Implementing and Executing Agency in the project with an USD 300 000 contribution in cash, from a FAO Technical Corporation Programme (TCP). Also the further co-ordination with other GEF projects will raise the profile of project activities amongst national and international policy makers. This will help to ensure that the improved knowledge about Brazil’s forest resources will have a bigger impact on policy decisions and should also improve information about many issues related to tropical forests at the global level.

The involvement of GEF resources supporting the integrated SFM approach will allow for the generation of global environment benefits in three interrelated arias included in the GEF strategy: (i) enhanced biodiversity conservation in the productive landscape, (ii) reduced carbon emissions from land use change, and (iii) reduced land degradation in forest landscapes and forest degradation.


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More specifically the expected global environmental benefits within these areas are:

Biodiversity conservation: Brazil has one of the largest and most diverse terrestrial ecosystems in the world. The systematic information and data collection on forest biodiversity and analyzing the human, economic and environmental factors that affect such biodiversity, through the project will likely offer Brazil an opportunity to adapt policies and develop operational strategies to maintain the habitat quality with species of global importance trough adapted sustainable forest management. This is particularly important at this moment, as Brazil is developing new arrangements for the management of production forests within public lands, which present an opportunity to ensure that biodiversity conservation is mainstreamed into these activities. Although most sampling sites are likely to be found in the production landscape, many of this areas are likely to occur in High Conservative Value Forests (and some sampling sites will fall in protected forest areas), so that the impact of the project on biodiversity conservation is expected to be significant.

Forest carbon pool management, forest and land degradation: The project will also improve the knowledge base and understanding of the driving forces of deforestation and forest degradation processes causing carbon emissions, which will ultimately lead to the adoption of more effective policy measures and other interventions to curb deforestation. The GEF resources will be critical for the measurement of carbon which is needed to monitor the effectiveness of interventions to reduce emissions and increase capture rates into forest carbon pools. By providing the baseline and carbon stock monitoring related to forest resource and land use change the project will contribute to support Brazilian forest stakeholders’ participation in carbon finance mechanisms by lowering the transaction costs related to MRV and thereby facilitate the application of carbon emission mitigation measures. Therefore, it will result in reduced carbon emissions from adverse land use change, increase carbon capture rates by making forest based land uses and cover more attractive, and will help to slow the gradual degradation of forests and associated land which reduce other forest based environmental services. An additional benefit will be the reduction in biodiversity losses that may occur with more rational land use decisions and the integration of biodiversity conservation into productive landscapes.

2.4 Project Benefits

The project has been designed to generate both national and global benefits. It will increase the quality of information and raise the level of analyses and knowledge on the state and dynamics of Brazil’s forests and tree resources, forest carbon pool, land use and cover, tree biodiversity, and resource management systems. By properly analyzing such information, the project will contribute to enhance the capacity of the Brazilian government to tackle environmental threats, improve land use and cover protecting global important biodiversity and carbon stocks through the adaptation and adoption of better policies, strategies, and regulations.

As to the national benefits of greater importance includes: (i) improved national framework for forest resources monitoring, analysis, and strategic decision-making; (ii) capacity built for strategic decision making and policy debate by stakeholders, most importantly for the BFS; (iii) increased understanding of the Brazilian forest resources, land use and cover status and dynamics, deforestation drivers and consequences; (iv) increasing support for monitoring information system; and (v) reformed policies for enhancing the contribution of the SFM to national development.


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At a worldwide level, expected global environment benefits (GEBs) from the project implementation will be: (i) enhanced biodiversity conservation in the productive landscape, (ii) increased sustainable forest production, (iii) reduced emissions from land use change, and (iv) reduced land degradation in forest landscapes and forest degradation.

Specifically on GEBs, a brief description of the expected benefits is presented as follow:

Biodiversity conservation: Brazil has one of the largest and most diverse terrestrial ecosystems in the world. The project supported systematic information and data collection on forest biodiversity and analyzing the human, economic and environmental factors that affect such biodiversity, will allow for the adaptation of policies and development of operational strategies to maintain the habitat quality of species of global importance trough SFM. This is particularly important at this moment, as Brazil is developing new arrangements for the management of production forests within public lands, which present an opportunity to ensure that biodiversity conservation is mainstreamed into these activities. Although most sampling sites are likely to be found in the production landscape, many of these will be in High Conservative Value Forests (and some sampling sites will fall in protected areas). Accordingly, the impact of the project on biodiversity conservation is expected to be significant.

Increased sustainable forest production: Through the proper knowledge of the forest resources, their species and composition based on the NFM&AS, it will be possible for the Brazilian authorities and other stakeholders to take advantage of the production resources, in a sustainable manner, to contribute to forest production oriented to domestic and international markets. This will not only create value to the forest resources, stimulating its production and conservation, but it will also generate income and create jobs, promote social inclusion, and improve the trade balance of the country.

Forest carbon pool management, forest and land degradation: The project will also improve the knowledge base and understanding of the driving forces of deforestation and forest degradation processes, which will ultimately lead to the adoption of more effective policy measures and other interventions to curb deforestation. It will be critical for the measurement of carbon which is needed to monitor the effectiveness of interventions to reduce emissions and increase capture rates in forest carbon pools. Therefore, it will result in reduced carbon emissions from adverse land use change, increase carbon capture rates by making forest based land uses and cover more attractive, and will help to slow the gradual degradation of forests and associated land which reduce other forest based environmental services such as biodiversity conservation in forest production landscapes.

An indirect GEB of the project will be the impact that improved information and analysis of Brazil’s forests and land use and cover will have on international negotiations on forests in particular related to climate change processes and on the global understanding of SFM. As Brazil accounts for such a large share of the global tropical forest resource, the knowledge generated by this project will facilitate enhanced scientific assessment and modeling of global forest resources and climate change and will enhance the international dialogue on forests and biodiversity conservation

2.5 FAO’s Comparative Advantage

FAO is mandated to assist member countries build their capacity and transfer state-of-the-art knowledge and technology to provide a range of sustainable forest management (SFM) tools, including conducting monitoring and assessment of forest resources and strengthening institutional capacity for policy dialogue.


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FAO has been instrumental in developing the concept and framework of ecosystem approaches to SFM. It made significant contribution to strengthen country capacities to overcome the obstacles to sustainable forest management through reliable information, policy advice, and technical assistance following integrated approaches involving forest and other sectors that contribute to the country’ sustainable socio-economic development.

FAO has been a key partner of member countries for policy and legal reform in forestry. FAO also functions as centre for knowledge management and dissemination of information on innovative financing mechanisms for SFM. Through these functions, FAO seeks to collaborate with Brazil in implementing its forest policy that aims at promoting sustainable forest and land management, conservation of biological diversity and mitigation of and adaptation to climate change in a coherent and complementary manner. FAO technical assistance to countries plays a very important role in the transfer of advanced technologies and replicating approaches and success stories that are adapted to different conditions of sustainable forest and tree management including information, policies, protection and genetic engineering technology.

FAO’s comparative advantage is seen in the breadth of its technical experience in designing and guiding policy and legal reform in forestry for SFM. FAO also draws from an excellent pool of experts who are able to assist in the implementation of the Brazil forestry related programmes including the NFM&AS, policy adaptation and forest management. Moreover, FAO offers an international forum for disseminating National Forest Monitoring and Assessment System results and offers linkages to on-going international processes through its programmes. FAO is also actively participating in finding solutions to soil carbon mitigation challenges.

FAO is a major actor in developing methodology for UNFCCC post Kyoto agreement on REDD. FAO also has a key normative role in forestry related issues and can therefore serve the countries in building systems and methods that also serve international reporting and potential needs in the future such as MRV.

2.6 Consistency of the project with national priorities and plans

The proposed project will provide information, knowledge and policy analyses that will support and are entirely consistent with a number of high-priority national policies and plans. In particular, the project will support Brazil’s efforts to enhance biodiversity conservation and contribute to mitigation and adaptation to climate change (using GEF funding) as well as assist with the sustainable development of forest resources (through co-financing). The project will also strengthen biodiversity conservation in other sectors closely linked to forestry and/or the use of forest resources and forest land. Further details about some of these priorities are given below

Biodiversity: Implementation of Brazil’s National Biodiversity Strategy Action Plan started in 1998 and includes (amongst others) the following priority actions: development and publication of strategic studies; elaboration of the National Biodiversity Policy; creation and implementation of the Biodiversity Information Network; and development of proposals for implementation of the National Biodiversity Policy. In collaboration with existing initiatives conducted by the Biodiversity and Forest Secretariat, such as the National Biodiversity Project (PROBIO) and vegetation mapping aimed at biodiversity monitoring, this project will respond to those priorities by filling-in data and information gaps, analysis and knowledge.


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Climate change: Brazil has already instigated a number of projects, programmes and policy measures to monitor and prevent climate change. Examples related to forestry include the Project for Annual Gross Deforestation Estimation in the Brazilian Legal Amazonia (PRODES), the National System of Conservation Units (SNUC) and the National System of Forest Fire Prevention and Control (PREVFOGO). This project is consistent with the aims and objectives of these programmes and will contribute to them through their participation in the project as Executing Partners. Furthermore, the design of site surveys´ methods and its linkage with national vegetation mapping will contribute to provide data necessary to develop harmonised data with IPCC guidelines to the national inventories of anthropogenic emissions and removals as part of national communications to be prepared in accordance with UNFCCC.

SFM and National Forestry Policy: The new forest law (Forest Law 11.284, 2006) defined the modalities for forest resource management, including the creation of the Brazilian Forest Service (BFS) within the Ministry of Environment, and establishes the National Forest Development Fund. The activities planned under this project are indicated as a high priority in the Law and its implementation strategy and this project has been designed in collaboration with the BFS to meet this need. The project is expected to contribute to the design of policies and procedures that will be required to implement the new law, as well as support a wise approach to long-term planning of forestry sector expansion, taking into account the current state of the natural resources in the country and their contribution to social, economic and environmental development.

Other national policies: Numerous other national policies in areas such as environment, land reform, agriculture, energy, tourism and transport have linkages to forestry and can have major impacts on forests and the global environmental benefits that they produce. The project has been specifically designed to ensure that it is consistent with the aims and objectives of these numerous policies and programmes in the areas where there are strong cross-sectoral linkages with the forestry Sector.


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3. PROJECT FRAMEWORK

3.1 Project Impact

The project development objective (PDO) is to provide good quality information and analyses about forest resources and land use and cover to improve policies and decision making by stakeholders so as to increase Brazilian forests contribution to national sustainable development. The project's global environmental objective (GEO) is to facilitate informed and participatory strategic decision making in natural resources management, with an emphasis on minimizing unsustainable land use-changes to conserve biodiversity and carbon stocks.

3.2 Project Components and Outputs

The Detailed Project Description can be found in Annex 3.

The project has been structured into the following four interlinked components and subcomponents, as described below:

1. National framework for forest resource monitoring, assessment and strategic decision making

1: Institutional Partnerships: 2: Programme Consultative Framework 3: State or Municipal Adhesions

2. Capacity building for the management of the NFM&AS

1. Technical support and implementation development 2. Capacity for data collection, processing and analysis

3. Baseline and monitoring and information system establishment

1. Data collection 2. Vegetation Mapping 3. Data processing and analysis

4. Policies to enhance the contribution of SFM to national development and global environmental benefits

Component 1: National framework for forest resource monitoring, assessment and

strategic decision making (GEF USD 84 632 - GoB USD 908 026 – FAO USD 60 000).

The objective of the component is to establish a permanent national framework based on legal arrangements and operational instruments to allow for and facilitate collaboration between the BFS and selected stakeholders from the public, non-governmental, academic, and private sectors, and promote States and Municipalities adopting of the NFM&AS. This inter institutional framework is needed to assure timely and cost effective resource monitoring, analysis, and strategic decision making as well as to contribute to the effective use of the information and knowledge generated.

Main component outputs: Output 1.1: Institutional Partnerships established to assure forest monitoring; Output 1.2: Programme Consultative Framework established and technical support and advise to BFS provided; Output 1.3: State or municipal adhesions negotiated and established.

The component’s activities are described in each of its three subcomponents:


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Subcomponent 1.1: Institutional Partnerships. The objective of the subcomponent is to establish partnerships with national institution with mandates of interest for the monitoring of forest. To achieve this objective, the component supports the following activities: (i) to establish a Technical Cooperation Agreement (TCA) with Brazilian Institute for Geography and Statistics (IBGE); (ii) to establish a TCA with Brazilian Agricultural Research Corporation in charge of forestry research (EMBRAPA-Forestry); (iii) to define a National Framework Operational Manual; and (iv) to implement an Extranet site to facilitate cooperation among stakeholders.

Subcomponent 1.2: Programme Consultative Framework. The objective of this subcomponent is to set up a consultative framework to allow for the participation in the NFM&AS programme and to provide technical support and advice to the BFS in the management of the programme. To accomplish this objective the following activities will be undertaken: (i) to establish the National Consultative Commission; (ii) to establish the Regional Consultative Commissions; (iii) to establish the National Technical Committee; (iv) to establish the Thematic Committees as needed..

Subcomponent 1.3: State or Municipal Adhesions. The objective of this subcomponent is to promote the State’s and Municipalities’ adoption of the NFM&AS framework as basis for their forest resources monitoring. The following activities will be held to accomplish the objectives: i) to provide technical assistance to states and municipalities interested in obtaining more precise data for their jurisdictions; (ii) to define procedures and protocols for interested states and/or municipalities to adhere to BFS data collection procurement processes; (iii) to define institutional arrangements for joint follow up of data collection contract execution by the BFS and involved state-municipal authorities; (iv) to define instruments and protocols for access to raw data for involved state-municipal authorities; and (v) to conduct two pilot studies, at State and Municipality level, respectively, to demonstrate potential applications of NFM&AS methodologies at these levels.

Expected Outputs: For subcomponent 1.1: (i) formalized collaboration arrangements with major stakeholders; (ii) National Framework Operational Manual prepared and serving as basis for the NFM&AS, and; (iii) Extranet site to facilitate cooperation among stakeholders established and operating. For subcomponent 1.2: (i) national consultative commissions established; (ii) regional consultative commissions established; (iii) the National Technical Committee established and operating; and (iv) thematic committees established as needed. And for subcomponent 1.3: (i) all states and some municipalities are aware of the potential for SFM and managing and developing their territories based on sound and accurate information; and (ii) demonstration studies for states and/or selected municipalities demonstrating the application of the BFS methodology for data collection, analysis and presentation of information facilitating strategic decision making.

Component 2: Capacity building for the management of the NFM&AS (GEF USD 1 846 683 - GoB USD 9 309 308 – FAO USD 60 000).

The objectives of the component are to strengthen BFS capacities to support the sustainability of the NFM&AS after the end of the project including capacities needed to undertake research and continuous methodological development activities; and to assure the availability of well trained professionals able to properly collect and process primary data, and to develop and calculate general indicators relevant for the analysis of major forest management, land use, biomass related carbon accounting, and biodiversity issues.

Main component outputs: Output 2.1: Technical support and implementation development


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established and operating; Output 2.2: Capacity for data collection, processing and analysis assured.

The component’s activities are described in two subcomponents:

Subcomponent 2.1: Technical support and implementation development. The objective of the subcomponent is to assure that the BFS counts with the capacity to manage the technical and operational aspects of the implementation and operation of the NFM&AS. To achieve this objective, the subcomponent will support the following activities: (i) to establish the Executive Secretariat of the NFM&AS, including human resources, equipments, and materials in adequate quality and quantity, and in time; (ii) to update and/or validate the protocols for field data collection (NFM&AS Field Manual and field forms) considering the methodological differences among biomes and methodological evolution; (iii) to strengthen selected herbaria and develop innovative tree species identification mechanisms; (iv) to harmonize and define terminology for vegetation classification, land use and forest systems quality; and v) to establish a technical unit within the Executive Secretariat of the NFM&AS to support the main technical activities.

Subcomponent 2.2: Capacity building for data collection, processing and analysis. The objectives of the subcomponent are to assure that there will be a well qualified number of professionals in the country capable of applying the NFM&AS data collection protocols, technical parameters and innovative procedures and technologies, and to collect, organize and document annual indicators related to forest resource that are not covered by the national forest monitoring sampling and main sources of data. To achieve these objectives, the subcomponent supports the following activities: (i) to train data collectors, project team and stakeholders; (ii) to undertake research and methodological development activities; (iii) to control data quality; and (iv) to develop and calculate general indicators relevant for the analysis of major forest management, land use, biomass related carbon accounting, and biodiversity issues.

Expected Outputs: For subcomponent 2.1: (i) Executive Secretariat of the NFM&AS including the Technical Unit, is operating; (ii) a glossary of technical terms and acronyms; (iii) detailed field manuals considering the peculiarity of the six Brazilian biomes and manuals on socioeconomic interviews; (iv) manual of procedures for collecting plants for the identification and botanical filing; (v) manual for monitoring procedures and quality control; (vi) manual containing the procedures for sampling and analysis of the landscape; (vii) innovative tree pieces identification mechanism and strengthened selected herbaria; and (viii) harmonized terminologies for vegetation classification, land use, and forest system quality. And for subcomponent 2.2: (i) field teams, BFS team and selected stakeholders trained in data collection, quality control procedures, calculation and monitoring of annual forest resource indicators applying innovative methodologies and technologies; (ii) parameters, fitted equations, adequate procedures and advanced and innovative methodologies and technologies developed; and (iii) general indicators relevant for the analysis of major forest management, land use, biomass related carbon accounting, and biodiversity issues developed, calculated, and disseminated.

Component 3: Baseline and Monitoring and Information System establishment (GEF USD 5 846 740 - GoB USD 41 753 095 - FAO USD 60 000).

The objective of the component is to support activities needed to assure the timely collection and processing of NFM&AS data.


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Main component outputs: Output 3.1: Data collection under execution; Output 3.2: Vegetation mapping carried out and available; Output 3.3: Data processing and analysis carried out and information available.

The component’s activities are described below by subcomponent.

Subcomponent 3.1: Data collection. The objective of the subcomponent is to establish the Brazilian forest resources baseline through field data collection and a strategy to spatial information gathering using high resolution satellite imagery. The subcomponent aims, furthermore, at establishing mechanisms for periodic data collection as a permanent programmatic activity of the GoB. To achieve these objectives, the subcomponent supports the following activities: (i) to prepare ancillary information regarding each field data collection area, including the preparation of operational maps (image maps) for field data collection planning purposes; (ii) to prepare standard terms of reference, protocols, and other procurement documents to hire firms for field data collection including previous area checking and field data collection supervision; (iii) to prepare standard terms of reference and protocols, and other procurement documents, to hire firms to perform landscape sampling using satellite imagery; (iv) to prepare standard terms of reference and protocols, and other procurement documents to hire firms for annual preparation of operational maps for field data collection planning purposes; (v) to prepare standard terms of reference and protocols, and other procurement documents to hire firms for quality control of field data collection for planning purposes; (vi) to prepare standard terms of reference and protocols, and other procurement documents to hire firms for quality control of landscape sampling for planning purposes; (vii) to acquire, prepare and interpret high resolution imagery for the landscape sampling analysis; (viii) to collect field data; (ix) to produce landscape data; (x) to perform quality control of the field data collection and for the landscape sampling; and (xi) to collect soil samples. The BFS will work closely with the Ministry of Science and Technology to ensure that data needed to report emissions using the Good Practice Guidance for Land Use, Land-use Change and Forestry of the IPCC (2003) or guidance provided by the United Nation Framework Convention on Climate Change will be made available.

Subcomponent 3.2: Vegetation Mapping. The objective of the subcomponent is to evaluate the existing mapping sources and current status of geospatial data, to support the updating of the current vegetation mapping, and to prepare a strategy for further vegetation mapping and monitoring. Additionally, the subcomponent aims at defining procedures to integrate the collected field and landscape data with mapping for regional and national purposes. To achieve these objectives, the subcomponent supports the following activities: (i) to evaluate the current status of the PROBIO vegetation mapping; (ii) to prepare standard terms of reference and protocols, and other procurement documents, to hire firms for one-time adaptation of PROBIO maps; (iii) to identify geospatial data available in federal and state institutions to evaluate its applicability to the NFM&AS purposes; (iv) to define strata based on ecological, economical and rare events criteria; (v) to support the vegetation mapping updating especially in areas with high ecological, economical and social values; (vi) to define national parameters and terminology for the vegetation mapping; (vii) to elaborate a new national project for the vegetation mapping supporting NFM&AS purposes; (viii) to define methodology and procedures to integrate the collected field and landscape data with mapping for regional and national purposes; and (ix) to define methodology and procedures for land cover monitoring changes.


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Subcomponent 3.3: Data processing and analysis. The objective of the subcomponent is to process the primary data collected, prepare general analyses, and make data and information available to clients and stakeholders. To achieve these objectives, the subcomponent supports the following activities: (i) to develop an information system for storing and processing the collected data, to generate standardized results, and also specific results derived from research carried out in the database including the acquisition of equipments and software and hiring personal for the system operation; (ii) to perform data storing and processing and system maintaining; (iii) to perform soil sample processing and analysis; (iv) to prepare procedures and protocols for data processing and general analysis; (v) to create procedures and protocols for data and information access by users, including data security and source protection; (vi) to develop policies and procedures for data access including financial aspects such as cost structures and charging prices for tailor made access to database by licensed analyses service concessionaries; (vii) to develop analysis of the results and transform them into information accessible to stakeholders; (viii) to plant preparation and exsiccates maintaining and species identification in herbarium; (ix) to perform analysis of forest resources status at national, regional and state level; (x) to perform and analyze biodiversity indicators; (xi) to perform and analyze forest biomass, carbon and emissions indicators analysis; (xii) to perform and analyze socioeconomic indicators analysis; and (xiii) to develop analysis of the results and transform them into information accessible to stakeholders.

Expected Outputs: For subcomponent 3.1: (i) report on ancillary information regarding each field data collection area prepared, kit of operational maps for field data collection prepared; (ii) standard terms of reference, protocols and documents to hire firms for field data collection prepared; (iii) standard terms of reference, protocols and documents to hire firms to perform landscape sampling prepared; (iv) standard terms of reference, protocols and documents to hire firms for annual preparation of operational maps for field data collection prepared; (v) standard terms of reference, protocols and documents to hire firms for quality control of field data collection prepared; (vi) standard terms of reference, protocols and documents to hire firms for quality control of landscape sampling prepared; (vii) high resolution imagery for the landscape sampling analysis acquired, prepared and interpreted; (viii) high quality field data collected; (ix) good quality landscape data produced; (x) quality control of the field data collection and for the landscape sampling performed; and (xi) soil samples collected. For subcomponent 3.2: (i ) report on the current status of the PROBIO vegetation mapping prepared; (ii) standard terms of reference, protocols and documents, to hire firms for one-time adaptation of PROBIO maps prepared; (iii) report on available geospatial data and evaluation of its applicability to the NFM&AS purposes prepared; (iv) report on definition of strata based on ecological, economical and rare events criteria prepared; (v) support on the vegetation mapping updating in areas with high ecological, economical and social values performed; (vi) report on national parameters and terminology for the vegetation mapping prepared; (vii) project for a new national vegetation mapping giving support to the NFM&AS purposes elaborated; (viii) report on the methodology and procedures to integrate the collected field and landscape data with mapping for regional and national purposes elaborated; and (ix) report on methodology and procedures for land cover monitoring changes prepared.


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And for subcomponent 3.3: (i) information system for storing and processing the collected data developed and operating; (ii) data storing and processing and system maintaining performed; (iii) reports on soil sample processing and analysis prepared; (iv) reports on procedures and protocols for data processing and general analysis prepared; (v) reports on procedures and protocols for data and information access by users, including data security and source protection prepared; (vi) reports on developing policies and procedures for data access for tailor made access to database by licensed analyses service concessionaries prepared; (vii) reports on analysis of the results and accessibility to stakeholders prepared; (viii) species identified and exsiccates maintained in herbarium; (ix) reports on analysis of forest resources status at national, regional and state level prepared; (x) reports on biodiversity indicators prepared; (xi) reports on forest biomass, carbon and emissions indicators analysis prepared; (xii) reports on socioeconomic indicators analysis prepared; and (xiii) reports on analysis of the results and accessibility to stakeholders prepared.

Component 4: Policies to enhance the contribution of SFM to national development and global environmental benefits (GEF USD 187 373 - GoB USD 2 026 703 - FAO USD 60 000).

The objective of the component is to provide reliable, accurate and updated information to enhance policy and decision making so as to increase the contribution of the SFM and forest lands to national development and the global environment. This will be achieved through the promotion and dissemination of the NFM&AS information and knowledge generated. In addition, the component will measure, monitor, and evaluate the effectiveness of the project results.

Main component output: Output 4: Policies to contribute to SFM and enhanced carbon stock and biodiversity conservation improved.

To achieve this objective, the component supports the following activities: (i) to establish and operate an Effectiveness Promotion Committee (EPC) (ToR in Annex 5); (ii) to design and implement an Effectiveness Promotion Plan (EPP) including effectiveness, communication and marketing activities such as publications and marketing of NFM&AS products; (iii) to develop and maintain an Internet site for the dissemination of NFM&AS products; (iv) to monitor the use of project results in the media (Internet, printed press, TV, radio), in academic studies, in policy debates, and others; (v) to evaluate the uses of NFM&AS products by different stakeholders through periodic surveys on NFM&AS products use by stakeholders; (vi) to establish a licensing mechanism whereby NFM&AS raw data and information can be accessed by information-oriented license holders to provide analysis services to stakeholders; and (vii) to develop 10 policy oriented studies a year to be presented at Annual Forest Policy and Effectiveness Seminars; and (viii) to undertake yearly Seminars and participate in events to present or promote project results.


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Expected Outputs: The expected results will be: (i) the Effectiveness Promotion Committee (EPC) established and operational; (ii) the five-year Effectiveness Promotion Plan (EPP) completed and implemented, encompassing the effectiveness of the project results; implementation of communication and marketing activities; and measurement, monitoring and evaluation of the effectiveness of NFM&AS products use by stakeholders; (iii) an Internet site of the project fully operational; (iv) periodical publications such as annual project reports, regional and state reports, technical reports, survey results, catalog and marketing materials, and thesis/dissertation related and not limited to the following topics: erosion risk areas, forest changes/recovery or conversion, carbon emission, others; (v) monitoring reports on the use of NFM&AS products in the media; (vi) survey of the use of NFM&AS products by decision makers; (vii) signed legal arrangements with licensees for access to NFM&AS raw data and information; (viii) at least 5 policy-oriented studies prepared including recommendations on policies and instruments to reduce carbon emissions and biodiversity loss from adverse land-use changes; (ix) at least 5 policy-oriented studies prepared including recommendations on policies and instruments to strengthen biodiversity conservation in production forest and to support local livelihoods; (x) 4 Annual Forest Policy and Effectiveness Seminars; (xi) annual seminars and effectiveness evaluation report prepared including review of the integration of recommendations in national development policies and instruments in recognition of the cross-sectoral linkages between SFM and other development objectives.

3.3 Project Outcomes

OUTCOME 1: National framework for forest resource and land monitoring and assessment (including biodiversity and carbon in forest), analysis and strategic decision making is established and operating

OUTCOME 2: BFS and partners have the capacity to collect and analyse information about forest resources and influence development of policies more effectively.

OUTCOME 3: Information about forest resources, and land use and cover is improved and widely used by clients at the national and local levels and for reporting to international fora.

OUTCOME 4: Biodiversity conservation, SFM and CC adaptation/mitigation measures are mainstreamed into policies, plans and practices in relevant sectors at the national and sub-national levels.

3.4 Sustainability

The sustainability of the Programme and the continuation of its benefits after completion of project implementation is addressed through the inclusion of the following activities and commitments: (i) institutional: (a) establishment of permanent institutional and legal framework at national level involving all types of stakeholders to promote and facilitate inter institutional cooperation, and (b) building institutional capacity within BFS, which, combined with other arrangements, will allow the continuous undertaking of programmatic activities of the NFM&AS initiated with the support of the project; (ii) financial: (a) GoB commitment to support the programmatic activities through national budget allocations, (b) identification and promotion of legal and institutional arrangements that facilitate state or municipal adhesion to NFM&AS activities; and (c) developing a strategy and mechanism to concession value added service providers to pay for access to data banks and charge for tailor made analysis to clients;


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and (iii) social-economic and political: (a) undertaking of Annual Forest Policy and Effectiveness Seminars to discuss forest policies and evaluate project’s impacts on policy change and stakeholders’ decision making; and (b) provision of data and analyses will allow stakeholders and clients to make better decisions which are expected to improve national sustainable development contributing to the social sustainability of the project.

In addition, since the project and the programmatic activities will result in improvement of sector policies and investments related to SFM, land use and cover, biodiversity, and carbon sequestration and stocks, environmental impacts are expected to be positive.

3.5 Replicability

The project is a programmatic operation that will be established and consolidated with the help of GEF funds and will be a continuous activity of the GoB. As such, replicability over time is assured at the federal level. The procedures and institutional arrangements developed by subcomponent 1.3 will allow the replication at state or municipal level in the periodic data collection efforts.

The project design also includes component 4 whose objective is to disseminate information to national stakeholders and interested groups elsewhere. Specific activities include: (i) establishing a dedicated website, (ii) press releases, (iii) development of promotional materials, (iv) undertaking of Annual Forest Policy and Effectiveness Seminar to discuss forest policies and evaluate project’s impacts on policy change and stakeholders’ decision making; and (v) the design and dissemination of state specific audio-visual materials.

In additional, the availability of methodological information in the Internet might contribute to the replicability of similar initiatives in neighboring LAC countries as well as elsewhere.

3.6 Assumptions and Risks

The most important assumptions are those about whether project outputs will be translated into positive outcomes and impacts. The key assumptions behind this project are as follow: (i) government institutions (national and sub-national) have the capacity to influence forest management and forest conversion through policies and plans arising as an outcome of this project (i.e. policy and institutional factors outside the control of the project do not alter in a way that would adversely affect project objectives); (ii) incentive structures outside the control of the project do not perversely influence investment decisions (or, at least, not more than at present); (iii) stakeholders are willing to agree to data collection methodologies and protocols based on science and current “state-of-the-art”; (iv) strategic decision-making is based on robust and unbiased analysis of data and information about forest resources; (v) stakeholders trained by the project continue to work in appropriate areas and have access to decision-makers; (vi) project team and partners gain adequate access to the forest to achieve a high level of coverage of sampling points; (vii) there is sustained political and public commitment to change and adopt policies in land-use sectors to reflect biodiversity, SFM and climate change objectives; (viii) partners agree with the framework and formalize their participation on time; (ix) stakeholders participate effectively in consultative committees and commissions; (x) states and municipalities engage in project activities; (xi) data collecting is carried out accordingly to schedule; (xii) information quality is guaranteed by the designed quality control programme; (xiii) GoB funding is adequate and timely available; (xiv) conditions for field data collecting are assured; and (xv) stakeholders and partners participate actively in the monitoring tasks, seminars and survey evaluations.


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The main risks associated with this project are that some of these assumptions may be over-optimistic or that conditions may change during project implementation. At a broad level, these risks have been addressed during project preparation by consultations with stakeholders and reviews of past activities in the countries (to avoid appraisal optimism). During project implementation, they will be addressed through the project’s monitoring system, which will check whether these risks have changed so that corrective action can be taken. Most potential risks can be identified and addressed early before beginning to affect implementation. The chances of early detection of project risks is increased by BFS’ and FAO’s long experience working in the forestry sector in Brazil and the multi-stakeholder partnerships that will be used to facilitate project implementation.

Specifically, potential risks that may affect project success and their respective mitigation measures incorporated into project design are those of environmental, economic, and social and institutional nature as described below and summarized in Table 1.

- Environmental Risks

Climate change

Impact: In recent years, the climate change at global level, including Brazil, has been increasing, and it is expected that such trend will continue in the years to come. At a broad sense, climate change could result in a number of changes to the local and regional environment, including: change in rainfall pattern; increased average temperatures and longer, hotter dry or rainy seasons; increasingly unpredictable weather; and a higher occurrence of damaging weather events. Of more relevance to the project implementation is the unpredicted pattern of rainfall (in intensity and distribution along the year) across the country. In recent years, the country has registered the unexpected occurrence of tropical cyclone in Southern Brazilian coast with impact inland, higher rainfall in densely populated areas of the South and Southeast and concentrated high rainfalls in the Amazon in some years. This could affect the project through increased cost for data collection resulting from more adverse environmental conditions.

Probability: Climate change is a long-term phenomenon, so the probability of this risk is still unknown, and is expected to be quite small as mitigation measures will be taken into account to reduce the risks.

Mitigation: As this is a long-term effect, mitigation of this risk will focus mostly on taking preliminary measures to adapt to climate change. These will include: (i) planning data collection in accordance with the most feasible seasons in each region, and (ii) maintaining flexible scheduling of data collection. The project will also attempt to utilize available information as to weather forecasts for upcoming seasons in advance of the data collection for different regions.

Biodiversity

Impact: Biodiversity is a matter of concern in all projects undertaken by the BFS. In this project, this may be a risk related to possible legal restrictions that may be in place as for biodiversity impacts originating from access to federal and state protected areas, and Indian lands.

Probability: Although these lands are spread across the country, they represent just a small portion of the country’s territory and therefore the probability of this risk is considered low.


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Mitigation: The project will address this risk in the cases where such situation is found, by establishing, previous agreements with federal and state conservation agencies and the Indigenous Agency to assure timely access to PA and Indian lands as well as guarantee that the biodiversity will not be impacted. Proper training of the team directly involved with these areas will be also taken into account.

- Social and Institutional Risks

Sustained political and public commitment

Impact: There is a social/institutional risk of non-sustained political and public commitment to the project. Such risk is associated with the following possible impacts that may affect the project’s results and objective: (i) associated policy, legal and institutional changes may not occur as expected; (ii) low chance of long-term sustainability; and (iii) the progress on the project is delayed.

Probability: The probability of this risk has been assessed as low to medium for the project as a whole.

Mitigation: The project will address this risk by considering various strategies. They include: (i) awareness raising within government and amongst the general public; (ii) promotion of project results among stakeholders; (iii) proper training of state and local forest authorities; (iv) working in close partnership with other agencies and stakeholders for the benefit of the project; (v) undertaking Annual Forest Policy and Effectiveness Seminars to discuss forest policies and evaluate project’s impacts on policy change and stakeholders’ decision making; and (vi) regularly monitoring the project effectiveness and taking immediate corrective actions as needed.

IBGE or EMBRAPA-Forestry do not support project activities

Impact: The main reason that other government agencies such as IBGE and EMBRAPA-Forestry are involved in this project is that they can significantly contribute to the outcomes that this project envision to achieve. In addition, because many of the benefits of this project are public goods, their participation is important to ensure that the project is in line with achieving local and global welfare. If the needed support from IBGE and EMBRAPA-Forestry to the project is not in place, there will be a perceived loss of knowledge base and technical advice on the state-of-art. Moreover, there will be a lower chance that the project will not progress as planned.

Probability: These institutions have been, since the project concept and design, fully supportive and committed key experts, so the risk of limited support is considered low.

Mitigation: The project will address the risk of limited support by the key partners by establishing and signing formal collaboration agreement with IBGE and EMBRAPA-Forestry, as well as other relevant institutions to collaborate with the project. Moreover, the BFS will motivate collaboration with these institutions whenever it is necessary, raising awareness of continuous participation. Another mitigation measure will include the strategy of complementing partners’ funding for additional activities of interest to the project.

Information quality risk


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Impact: Among other aspects, this project relies on systematically collecting quality data in sample points, following a methodological approach across a large area of the country, under various local conditions, and within a limited time frame. It is worth noticing that, under adverse and uncontrolled conditions there is the risk of not getting proper data, compromising the information quality. The associated impact of such risk is the generation of a number of sample points without data collected.

Probability: The probability of this risk within the time frame of the project is considered only low.

Mitigation: The project will address this risk in several ways. First it will promote ample dissemination of information about the project to communities and landowners to guarantee large participation and collaboration of these stakeholders in data collection. Secondly, it will, request in advance access authorization to access to these stakeholders from land controllers. Finally, it will carry out proper training of the team directly involved with data and information collection.

Stakeholders do not participate actively in the consultative committees

Impact: There is an inherent risk that stakeholders do not actively participate in the consultative committees organized along the project implementation. This is a general risk that would have an impact on the long-term objective and sustainability of the project. The main impact of this would be that the low participation in the project execution process will consequently drive the results to be less useful for stakeholders and for the society as a whole.

Probability: The orientation to detailed planning of the project activities as for the organization of consultative committees and adequate communication with all stakeholders involved in the projects places the probability of this risk as low.

Mitigation: This risk will be mitigated a number of measures. They include for instance the establishment of a clear ToR for the commission with transparent procedures and participation opportunities for all stakeholders, the formalization of committees and the project dissemination and communication among stakeholders.

In short, as mentioned above, most potential risks can be identified and addressed early before beginning to affect implementation or through the project’s monitoring system which will allow for early corrective action. The BFS’ and FAO’s long experience working in the forestry sector in Brazil and the multi-stakeholder partnerships increase the chances of early detection of project risks. Furthermore, both BFS and FAO will draw on its wide range of expertise on the topic to provide assistance with risk management during the implementation phase.


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Table 1: Risk Matrix for the Project

Risk Impact Probability Mitigation

Environmental risks:

Climate change. 1) Increased cost for data collection resulting from more adverse environmental conditions.

Unknown 1) Planning of data collection in accordance with seasons in

each region. 2) Flexible scheduling of data collection.

Biodiversity 2) Access restriction into state protected areas and Indian lands.

Low

1) Establish previous agreements with state conservation agencies and Indigenous Agency to assure timely Access to PA and Indian lands

2) Proper training of the team directly involved with these areas in safeguarding biodiversity during data collection

Social and institutional risks:

Sustained political and public commitment.

1) Policy, legal and institutional changes may not occur.

2) Lower chance of long-term sustainability.

3) Progress on the project will be delayed.

Low to medium

1) Awareness rising within government and amongst the general public.

2) Promotion of project results among stakeholders. 3) Undertaking of Annual Forest Policy and Effectiveness

Seminar. 4) Training of state and local forest authorities. 5) Working in partnerships with other agencies and stakeholders. 6) Regular monitoring of project effectiveness and taking

corrective actions if necessary.

IBGE or EMBRAPA-Forestry do not support project activities

Loss of knowledge base and technical advice on the state of art

Low

1) Formal collaboration agreement signed with partners and partners included in the National and Regional Consultative Committee.

2) Complement partners’ funding for additional activities of interest to the project.

Information quality risk Number of sample points without data collected

Low

1) Ample dissemination of information about the project to communities and land owners

2) Request previous access authorization from land controllers 3) Proper training of the team involved with data and

information collection

Stakeholders do not participate actively in the consultative committees

Low participation in the project execution process and results less useful for society

Low

1) Clear ToR for the commission with transparent procedures and participation opportunities

2) Formalization of committees 3) Dissemination of project among stakeholders.


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4. IMPLEMENTATION AND MANAGEMENT ARRANGEMENTS

4.1 Core Commitments and Linkages

Core commitments

National government: The GoB has demonstrated its commitment to biodiversity conservation and climate change by its early signature and active participation in all of the main international conventions covering these topics (see Table 2). It’s commitment to sustainable forest management as demonstrated in its national forest policy and national forest programme, as well as a number of other policies, plans and programmes at the national and sub-national levels (for further details, see Sections 1.1 and/or 2.5).

Table 2: Selected relevant international conventions and agreements

Convention/agreement Status

Convention on Biological Diversity Ratified: 5 Jun 1992

Cartagena Protocol on Biosafety Accession: 24 Nov 2003

United Nations Framework Convention on Climate Change Ratified: 28 Feb 1994

Kyoto Protocol Ratified: 23 Aug 2002

United Nations Convention to Combat Desertification Ratified: 25 Jun 1997

Convention on International Trade in Endangered Species Ratified: 6 Aug 1975

Convention on Wetlands of International Importance Entry into Force: 24 Sep 1993

World Heritage Convention Accession: 1 Sep 1977

Specifically with reference to this project, Brazil’s commitment to meeting the objectives of the project is demonstrated by its prioritisation of the project for GEF funding from its national GEF resource allocation and its significant national contribution to the project as co-financing. It has also demonstrated that there is a broad consensus of support for this project through the active participation of a number of national institutions in project preparation.

Global Environmental Facility: As a substantial financial contributor to this project, the GEF has demonstrated their commitment to the incremental benefits that will be produced in terms of enhancement of global environmental benefits. GEF’s commitment to supporting the conservation and wise use of forest resources in Brazil is also shown by the considerable number of past and current projects supporting this issue in Brazil, the significant allocation of GEF resources to the country overall and, most recently, the development of the “Tropical Forest Account” designed to support sustainable forest management and with a heavy emphasis on a few major forested regions of the World (including the Amazon).

FAO: FAO's vision is a world free of hunger and malnutrition where food and agriculture contributes to improving the living standards of all, especially the poorest, in an economically, socially and environmentally sustainable manner.

Among the aims of FAO’s Strategic Framework is: Sustainable management and utilisation of natural resources, including land, water, air, climate and genetic resources, for the benefit of present and future generations. To support the work towards this aim FAO has defined and planned the Strategic Objective (SO) for forestry titled: Sustainable management of forests and trees. This SO is implemented through six Organisational Results where the relevant to the project are:

� OR E1: - Policy and practice affecting forests and forestry are based on timely and


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reliable information

� OE E3: Institutions governing forests are strengthened and decision-making improved, including involvement of forest stakeholders in the development of forest policies and legislation, thereby enhancing an enabling environment for investment in forestry and forest industries. Forestry is better integrated into national development plans and processes, considering interfaces between forests and other land uses

Linkages within Brazil

The project is establishing a series of mechanisms whereby clients and other stakeholders will be able to participate in the execution of project as well as to express their opinions, needs and requirements for information and analyses (see components 1 and 4). In the execution process, qualified stakeholders will be able to participate in data collection, training, supervision, and research service providers if selected through competitive procurement mechanisms.

Selected stakeholders will be invited based on mandate or merit to be part of consultative commissions at national, regional, and state levels; and to assist in the project methodological development by participating in thematic technical committees (see Annex 5 for further details).

Stakeholders will also be able to participate in the Annual Forest Policy and Effectiveness Seminar. This event seeks to promote the results of the project, discuss policy issues based on 10 studies contract out every year and voluntary contributions. The seminar will discuss the effectiveness of the project by discussing measurements of project results uses as evidenced in the professional and popular media; as well as the results of stakeholder’s satisfaction surveys. From this exercise, an annual effectiveness evaluation report will be prepared and corrective measures, if needed, will be identified to be adopted by the project.

Other instruments that the project will use include dissemination through the Internet, publications, joint workshops and training events; and communications from the project through their networks of partners and stakeholders.

FAO internal linkages

The project will be technically supervised by FAO staff working on national forest monitoring and assessment in the Forest Management Team within the Forest Assessment, Management and Conservation Division of the FAO Forestry Department. This group will lead the coordination of technical inputs and liaison with FAO headquarters based technical groups, in particular other staff working on biodiversity and climate change within the Division and staff working on forestry policy within the Forest Policy and Economics Team.

The involvement of other departments within FAO (the Technical Cooperation Department and GEF Coordination Unit (TCI), the Legal Office, the Agriculture Department, etc.) will be planned and initiated as required. In order to facilitate interaction with these various departments, FAO will maintain throughout the project, an internal multidisciplinary Task Force that will be called upon as a group or individually to consider project progress and advice on specific questions that arise.


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Through these institutional connections, the project can interact with a number of other FAO activities linking data collection and knowledge generation to biodiversity conservation, climate change and sustainable development in rural settings. In this way, the project can benefit from the wide and dynamic experiences and expertise available at FAO, in particular with staff outside the Forestry Department working on the dynamics of land-use changes from different perspectives.

FAO is also currently implementing (or has recently completed) a number of projects that are very relevant to this project (further details of these projects are presented in Annex 1). These projects were reviewed during project preparation to ensure that this project will build upon existing knowledge and information. Three main types of linkage were identified and are described below and indicated in Table 3:

• Foundation: past projects on similar topics that provide basic information, techniques and methodological developments that this project can build upon.

• Collaboration: current projects on similar topics that this project can collaborate and coordinate with to avoid duplication and competition.

• Clients: current and past projects that may participate in this project (to express their information needs) and can use the outputs of this project to assist and enhance their activities.

These potential linkages were taken into account during project preparation and were discussed with many of the agencies implementing and executing these other projects. These linkages will also be strengthened during project implementation through the project management and institutional arrangements described below as well as other mechanisms such as regular sharing of information, joint activities and other forms of collaboration.

Table 3: Current and recent FAO projects in Brazil with relevance to this project

Project title Agency Status Relevance Linkage Establishing methodological basis and building partnerships for Brazil’s National Forest Inventory

FAO-BFS Operational High Foundation

Management of Forests, Support to Sustainable Production and Strengthening of Civil Society in the Brazilian Amazon

FAO-BFS Operational High Client

Project for consolidation of policy and institutional instruments for the implementation of the national forest programme

FAO-BFS Operational High Client

Strengthening forest resources management and enhancing its contribution to sustainable development, land-use and livelihoods

FAO (global project)

Operational Medium Collaboration

Integrated Management of the Ilha Grande Bay Ecosystem

FAO-GEF Preparation Medium Client

National Forest Programme Facility FAO Operational Low Collaboration

Conservation and management of pollinators for sustainable agriculture through an ecosystem approach

FAO-GEF Operational Low Client

4.2 Consultation, Coordination and Collaboration with other Initiatives in Brazil

Linkage with GEF and GEF supported programmes


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Brazil has a large portfolio of past and current GEF projects on biodiversity, climate change and land degradation that are relevant to this project. A summary of these projects and potential linkages is given in the Table 4 below and further details can be found in Annex 1. Many of these projects are sub-national, and have only limited relevance to this project, but many of the past and current projects could benefit from the outputs of this project and may be involved as collaborators on some activities (e.g. work on policy development). Of particular interest are a number of past and current projects dealing with measurement and monitoring of biodiversity and carbon stocks and the project anticipates developing strong linkages for collaboration with the Brazilian institutions involved in these projects.

The project will link with these other projects in two main ways:

• Coordination and collaboration on methodological development, measurement and monitoring activities, capacity building and information dissemination with highly relevant projects (e.g. joint workshops and training events, collaboration on awareness raising activities and sharing of project data, lessons learned and other information).

• Participation in this project of staff working more generally on GEF biodiversity, climate change and sustainable land management projects. Participation could be as project clients (i.e. participating in stakeholder consultation mechanisms such as the proposed committees and commissions) or, where appropriate, include capacity building activities in monitoring and assessment.

Table 4: Current and recent GEF projects in Brazil with relevance to this project

Project title Agency and

Focal Area Status Relevance Linkage

National Biodiversity Project (PROBIO) IBRD (BD) Completed High Foundation

Assessment of Soil Organic Carbon Stocks and Change at National Scales

UNEP (MFA)

Completed High Foundation

Improving Brazilian Capacity to Conserve and Use Biodiversity through Information Management and Use

UNEP (BD) Approved High Collaboration

National Biodiversity Mainstreaming and Institutional Consolidation Project

IBRD (BD) Approved High Collaboration

SFM Capacity Development for Climate Change Mitigation through Sustainable Forest Management in non-Annex I Countries

IBRD (MFA) Approved High Collaboration

SFM: Carbon Benefits Project (CBP): Modelling, Measurement and Monitoring

UNEP (MFA)

Approved High Collaboration

Demonstrations of Integrated Ecosystem and Watershed Management in the Caatinga, Phase I

UNDP (MFA)

Approved Medium Collaboration

Caatinga Conservation and Sustainable Management Project

IBRD (MFA) Approved Medium Collaboration

Establishing Sustainable Liquid Biofuels Production Worldwide (A Targeted Research Project)

UNEP (MFA)

Approved Medium Collaboration

Amazon Region Protected Areas Program (ARPA)

IBRD (BD) Completed Low Client

Amazon Region Protected Areas Program Phase 2

IBRD (BD) Preparation Low Client

Promoting Biodiversity Conservation and Sustainable Use in the Frontier Forests of North-western Mato Grosso

UNDP (BD) Approved Low Client

Establishment of Private Natural Heritage Reserves in the Brazilian Cerrado

UNDP (BD) Completed Low Client


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Project title Agency and

Focal Area Status Relevance Linkage

Parana Biodiversity Project IBRD (BD) Completed Low Client

Formoso River - Integrated Watershed Management and Protection

IBRD (BD) Approved Low Client

Sustainable Cerrado Initiative IBRD (BD) Approved Low Client

Effective Conservation and Sustainable Use of Mangrove Ecosystems in Brazil

UNDP (BD) Approved Low Client

Rio Grande Do Sul Biodiversity Conservation IBRD (BD) Endorsed Low Client

SFM Catalyzing the Contribution of Indigenous Lands to the Conservation of Brazil's Forest Ecosystems

UNDP (BD) Endorsed Low Client

Espirito Santo Biodiversity and Watershed Conservation and Restoration Project

IBRD (BD) Approved Low Client

Improved Certification Schemes for Sustainable Tropical Forest Management

UNEP (BD) Approved Low Client

Ecosystem Restoration of Riparian Forests in Sao Paulo

IBRD (LD) Approved Low Client

Sustainable Land Management in the Semi-Arid Sertao

IFAD (LD) Approved Low Client

Linkages with other related initiatives in Brazil

The MMA and the BFS have a portfolio of initiatives financed by the GoB and other donors that are closely related to the present project, mainly as clients. The project will coordinate during implementation with the operational projects listed below. Efforts will be made to ensure an exchange of information and data among the projects and participate in relevant meetings and committees, as appropriate. Data and results generated by this project can be utilized by the initiatives below particularly in the development and adjustment of policies and strategies and in making informed management decisions. More details on the project listed in Table 5 can be found in Annex 1.

Table 5: Other Brazilian and/or donor initiatives relevant to this project

Project title Agency Status Relevance Linkage State Plans for the Prevention and Control of Deforestation in the Brazilian Amazon and Municipal Rural Environmental Registry

MMA – Gov.

Norway Operational High Client

Sustainable production of national forests under the “regime of forest concessions”

BFS-ITTO Operational Medium Client

Support of Actions for the Implementation of the National Action Program to Combat Desertification and to Mitigate the Effects of Droughts -PANBRASIL

MMA - GTZ, IICA

Operational Medium Client

Ecological Corridors in the PPG-7 MMA - KFW

Completed Medium Client

Sustainability and Dissemination of Benefits of Biodiversity

MMA - WB Completed Medium Client

Support of Public Sustainable Development Policies

MMA – Gov.

Netherlands Operational High Client

Demonstrative Projects III - (PDA/PDPI) MMA - KFW

Concluded Medium Client

Amazon Extractivist Support Program MMA – Concluded Medium Client


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Project title Agency Status Relevance Linkage Gov. Japan

Support of Public Policies in the Area of Environmental Management and Control

MMA - IDB Operational Medium Client

4.3 Institutional and Implementation Arrangements

The project partnership arrangements and execution structure described here and shown in the Figure 1 below, were designed to ensure effective implementation of the project, facilitate stakeholder participation, and promote the use and adoption of project results in policy development and decision making, especially forest and land use public policies. The partnership arrangements comprise different levels of participation in the project, and include the establishment of thematic committees that can provide support to BFS on a range of themes related to project implementation. The organizational chart in Figure 1 illustrates the structure for project implementation, including the collaborating institutions, project committees and their relationships.


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Figure 1 - Proposed Management Structure

MMA

BFS (National Executing

Partner)

GIEF Steering

Committee (SC)

FAO (GEF Agency)

National Consultative Commission (NCC)

Regional Consultative Commissions (RCC)

State Consultative Commissions (RCC)

Project Executive Secretariat

Executive Secretary

National Technical Committee (NTC)

Effectiveness Promotion Committee (EPC)

Climate Change Committee (CCC)

Additional Technical Thematic Committees

Project guidance & oversight Progress and financial reporting

Collaboration

Planning, Monitoring &

Evaluation Unit

Methodological Procedures and Standard Unit

Information System and Data Processing Unit

Chief Technical Coordinator

Advisory

GEAL (use of Brazil co-

financing resources)

UGP-GEF (use of GEF funds)

Operational & Finance officer

GEF


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Institutional Framework for Policy and Decision Making and Information Systems:

Recognizing the importance of information for making informed decisions, the GoB has established an information system framework where forest related information is compiled. The BFS is legally mandated to create, implement, and maintain the National Forest

Information System (SNIF), in accordance with Law 11,284/2006. The SNIF is an integral part of the National Environmental Information System (SINIMA), which is coordinated by the MMA. The SNIF is responsible for collecting, organizing, classifying and disseminating information and aggregate analyses on forestry related issues such as (i) forest land cover, distribution, tree biodiversity, and forest resources quantity and quality; (ii) Land use and cover and their dynamics, (iii) forest resource management by Governments (Federal and State), including forest management, forest concessions in public lands, forest product transportation, wildfires, penalties due to illegal logging, forestry regulation and; social participation in forest policies; and (iv) education, research and development, including the existence and performance of forestry schools, forestry research centers and the existence of research projects related to sustainable forestry. The NFM&AS will be the main source of information on forest resources, directly feeding the SNIF. The availability of information on forest resources at national level, obtained in accordance with standard national methodologies, is a key step to supporting high quality decision making and forest policies.

As part of the main structure of the MMA, the Secretariat of Biodiversity and Forests will benefit from the project by having access to high quality and timely forest related information and analyses on a national scale. The information and analyses will support the monitoring, design, and evaluation of existing or alternative public policies for biodiversity conservation and SFM. It will also provide supplementary information for the preparation of the national reports on the status of biodiversity in Brazil for the Convention on Biodiversity. In a similar manner, the project will contribute to the MMA’s Secretariat of Environment Quality and

Climate Change, providing information on carbon emissions from forest related sources in all Brazilian biomes. It is important to point out that the NFM&AS is part of the Climate Change National Plan, as the source of information on biomass, carbon stocks and emissions. The Secretariat of Biodiversity and Forests participate in the project as member of the National Consultative Commission.

The Brazilian Institute for Environment and Renewable Natural Resources (IBAMA) is the national authority for environmental licensing, including forestry activities within public forests and for enforcement of environmental laws. IBAMA is responsible for managing information on forest product trade and transportation, which, in partnership with the BFS, will be strengthened by the project Component 3. Furthermore, IBAMA is the national focal point for the Convention on International Trade in Endangered Species (CITES), and, as such, also a project client for information on endangered species to support its participation in the convention. IBAMA participates in the project as a member of the National and the Regional Consultative Commissions discussed below.

The Chico Mendes Institute for Biodiversity Conservation (ICMBio) is responsible for managing the federal Protected Areas (National Parks, National Forests, etc), which at national level comprises approximately 77.3 million ha, which will also be monitored by the programme. Therefore, the ICMBio interacts with the programme as user of the information gathered and analyzed as well as in the implementation process through issuing permits for data collection within those protected areas, including authorization for collecting botanical samples for species identification. ICMBio participates in the project as a member of the National and the Regional Consultative Commissions discussed below.


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The National Forestry Commission (CONAFLOR) is the MMA’s consultative body for themes related to forest policies at national level and provides support and guidelines for the National Forest Programme. It is coordinated by the Secretariat of Biodiversity and Forests, in collaboration with representatives of the government and civil society, including academia, social movements, and the main forestry sector productive chains. CONAFLOR will be an important project client, as the information and analyses results will be used to support discussion and recommendations for designing or adjusting forest policies. CONAFLOR participates in the project’s National Consultative Committee.

Structure for Project Management and Coordination:

Due to its complexity as a countrywide effort and broad multi-stakeholders scope, the project involves local, regional and national interests, and encompasses a wide range of technical fields, all of which will require technical competence and oversight. Furthermore, in order to ensure that the long-term sustainability of the NFM&AS, the project concentrate efforts on building trust and cooperation among participating stakeholders, establishing procedures and guidelines, and developing mechanisms for disseminating results and effective use of outputs. Therefore, the project requires that considerable emphasis is placed on inter-institutional coordination and collaboration, communications and information sharing.

The management structure shown in the chart above (Figure 1) was designed to allow for broad stakeholder participation and collaboration in the design, implementation, promotion, and follow up of project activities. The structure includes programme administration, consultative, scientific and technical commissions and committees, a steering committee, and the reporting structure. The Terms of Reference (ToRs) of the different committees and commissions are provided in Annex 5. The detailed guidelines for these arrangements will be designed during the first quarter of project execution as part of the National Framework Operational Manual and is meant to be sustainable after the GEF project execution as the institutional framework supporting the NFM&AS.

The Steering Committee (SC) will be the policy setting body of the project and will provide guidance and oversight of both GEF and co-financed activities. The SC will approve the annual work plans and budget revisions, which would be prepared in accordance with GoB (for co-financing) and FAO (for GEF resources) financial procedures. The SC will play an important role in ensuring coordinating and synergies in the expenditure of GEF and co-financing resources. It shall consider all institutional frameworks when deciding on project adjustments.

Consultative Arrangements. A consultative framework will be set up to allow for the participation and collaboration of national institutions and other stakeholders in the planning, execution, monitoring and evaluation of the NFM&AS. The diversity of issues and stakeholders involved indicates the need for different levels of participation and consultation as follows:

• A National Consultative Commission (NCC) which would monitor NFM&AS and project implementation, make recommendations for the methodological standardization and harmonization with current forest policies, at international, national and state levels, and assure the quality and timeliness of information and analyses produced by the NFM&AS.


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• Regional Consultative Commissions (RCC) whose role would be to monitor NFM&AS and project implementation in each of the Brazilian regions (North, South, Southeaster, Northeastern and Midwest), as well as to discuss any necessary methodological adaptations needed to accommodate each region’s specific conditions. The relevant RCC will meet in preparation for data collection in a given region, and whenever necessary.

• State Consultative Commissions (SCC) which would provide a forum for State stakeholders, involved in forest resource use and conservation, to address issues related to the implementation of the NFM&AS in the State, including the eventual sample intensification, support for field activities, and methodological adaptation to meet State requirements. It is important to point out that the SCC composition is flexible, giving the opportunity to enhance local participation and promote the dissemination and use of the project results among local stakeholders.

Scientific and Technical Participation and Support. The programme will benefit from the technical expertise from institutions and experts through the establishment of technical committees. There will be different committees to provide the best technical support for the project, considering different kinds of required technical advice:

• The National Technical Committee (NTC) will advise the Executive Secretariat of the project about technical and methodological issues and promote consistency and methodology development.

• The Effectiveness Promotion Committee (EPC) will assist the Executive Secretariat in providing general guidance for and oversight of the implementation of the five-Year Effectiveness Promotion Plan (EPP) to be designed and implemented under component 4. The EPC will also help to ensure that all activities needed for the development of the effectiveness, communication and marketing activities agreed upon under the EPP are appropriately designed and carried out.

• The Climate Chance Committee (CCC) will advise the National Technical Committee and the Executive Secretariat of the project about technical issues to the potential impact of climate change on forestry and ensure climate change considerations are integrated into the methodology and assessments.

• Whenever needed as defined by the criteria established in the National Framework Operational Manual, the National Technical Committee can propose the creation of additional thematic technical committees that would be charged with addressing specific themes which might be needed to assure in particular to improve and ensure the quality of methodological aspects of the project, data analysis and technical recommendations.

Project Implementation Arrangement:

GEF Agency

The Food and Agriculture Organization (FAO) will be the GEF Agency of the project. As the GEF agency, FAO will be responsible for oversight of the GEF component of the project to ensure that GEF policies and criteria are adhered to and that the project meets its objectives and achieves expected outcomes and outputs as established in the Project Document, work plans and budget in an efficient and effective manner. FAO will report on the project progress to the GEF Secretariat and financial reporting will be to the GEF Trustee. FAO will closely monitor the project and provide technical support (through FAO’s Forestry Department) and carry out supervision missions.


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As the executing agency of the project, FAO will administer the GEF resources in accordance with FAO’s rules and procedures and ensure the timely deliver of project inputs and outputs, in close consultation with the Brazil Forest Service (BFS) which is the technical executing partner of the project.

The Forest Management Division (FOM) of FAO Forestry Department will be the FAO Lead Technical Unit (LTU) for the project and provide technical backstopping. The LTU will follow-up closely on implementation progress and ensure delivery of technical outputs and outcomes, and undertake regular backstopping missions. It will review and provide clearance to: i) the Terms of Reference of consultancies, letters of agreement and contracts; ii) the selection of the consultants and firms to be hired with GEF funding; iii) all technical reports, as established in the project Log Frame; iv) project progress reports, implementation reviews and financial reports. The LTU will develop the annual Project Implementation Review (PIR) to be cleared by the GEF Coordination in the Investment Center Division and submitted to GEF.

The GEF Coordination Unit in the Investment Centre Division (TCI) will review and approve project progress reports, implementation reviews and financial reports and budget revisions. The GEF Coordination will review and clear the annual PIR and undertake supervision missions if considered necessary. The PIRs will be included in the FAO GEF Annual Monitoring Review submitted to GEF by the GEF Coordination. The GEF Coordination will also participate in the mid-term and final evaluations and the development of corrective actions in the project implementation in the case needed to mitigate eventual risks affecting the timely and effective implementation of the project. The GEF Coordination will in collaboration with the FAO Finance Division request transfer of project funds from the GEF Trustee based on 6 monthly projections of the GEF component funds need

The FAO Finance Division will clear budget revisions, provide annual Financial Reports to the GEF Trustee and, in collaboration with the GEF Coordination Unit, call for project funds on a six-monthly basis from the GEF Trustee.

The FAO Representative (FAOR) in Brazil, who will be designated as the Budget Holder of the GEF component of the project and will be responsible for timely operational, administrative and financial management of the GEF component of the project. In this capacity, the FAOR will authorize the disbursement of GEF project funds. The BH will establish a multi-disciplinary Project Task Force to support the project. The FAO Representative in Brazil will work in close consultation with the FAO Project Task Manager for the management of the GEF resources. Financial reporting and operations, procurement of goods and contracting of services for the GEF component of the project will be supported by the GEF-Project Management Unit (UGP-GEF, see below) in accordance with FAO rules and procedures. Final approval of procurement, letters of agreement, and financial transactions rests with the Budget Holder.


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38

A Project Task Manager will be appointed by FAO in the FAO office in Brazil to supervise and provide technical guidance to the project supported. The Project Task Manager will be supported by the FAO Forestry Department and the multidisciplinary Project Task Force which will be constituted within FAO. BFS will report directly to the FAO Project Task Manager. The FAO Project Task Manager will review all reports and submit them to the Lead Technical Unit (LTU). Following approval by the LTU, the reports would be submitted by the LTU to the GEF Coordination Unit (TCI) as necessary and, with the support of the national operational and finance officer and the national administrative and contracting officer, will: (i) revise and give no-objection to annual work plans and budgets; (ii) review procurement and subcontracting material and documentation of processes and obtain internal approvals; (iii) conduct project supervision missions; (iv) prepare quarterly project financial and monitoring reports (QPIRs, see section 6.2 below); and (v) represent FAO in the project Steering Committee.

Brazil Forest Service BFS – National Executing Partner

The Brazil Forest Service (BFS) will be the technical executing partner for the project. BFS will be the institution responsible for coordinating and implementing the project and operation the programme, integrating its different components, and operating the NFM&AS. The BFS´s mission is to reconcile the use and conservation of forests, enhance their benefits to present and future generations, manage the public forests, increase knowledge and capacities, and provide specialized services. Its competences include forest information and analyses, dissemination of information, and the promotion of sustainable forest management at national level. The project helps to advance these competences. The BFS headquarter is located in Brasilia, the Federal District, and has four regional units. The BFS has two specialized centers, the Forest Product Laboratory and the National Center for Forest Management (CENAFLOR) both located in Brasilia, and currently employs 240 staff.

Project Executive Secretariat (ES)

The Forest Information Executive Management Office (GEIF) is the BFS unit responsible for the management of the SNIF and will also be responsible for the programmatic activities under the NFM&AS.

The BFS will create under the supervision of the GEIF an Executive Secretariat to be responsible for all activities needed to successfully implement the project including the provision of technical support, coordination of logistical support to the different consultative units, coordination of support to the project from the Logistic and Administrative Executive Management Office (GEAL) (see below) and the GEF Project Management Unit (UGP-GEF) (see below) for the project procurement, contracting and financial execution, hosting the project technical units and the Project Monitoring and Evaluation Unit (PMEU), and reporting to the BFS Director and FAO on the project execution. The project will strengthen the team through financing additional staff (UGP-GEF staff, a planning expert and a monitoring and information specialist) and consulting services to ensure that the ES has adequate capacities to plan, execute, and monitor technical, financial, procurement, administrative, and operational aspects of the project.

The ES top management team will be led by an Executive Secretary, a Chief Technical Coordinator (both financed by the Government of Brazil co-financing), and an Operational and Finance Officer (financed by GEF resources). Their main roles are listed here and are further detailed in their respective ToRs (see Annex 5):

a. Executive Secretary: The Executive Secretary has primary responsibility for the


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39

overall execution of the project’s activities, and is the principal spokesperson and advocate for the project with stakeholders. (S)he will provide guidance and supervise the tasks assigned to the technical and financial management units, act as focal point for all consultative, technical and scientific supporting bodies, and report to GEIF manager and to BFS Board of Directors about execution performance and measures needed to assure the timely implementation of project activities.

b. Chief Technical Coordinator: The Chief Technical Coordinator is the principal technical adviser to the ES. (S)he is responsible for the coordination of the day-to-day operational and technical execution of the project. In addition to providing guidance and supervising the ES units, (s)he will: report to the ES on project execution and technical matters; chair and coordinate the National Technical Committee (NTC); chair and coordinate the Regional Consultative Commissions (RCC); submit the Annual Work Plans and Budget to the Steering Committee and execute its decisions; and integrate project’s results and information into the NFM&AS.

c. Operational and Finance officer: The Operational and Finance officer will lead the UGP-GEF unit (see below) and be main responsible for the provision of guidance and direct supervision of the team and for financial management, administration and reporting of the GEF component of the project in compliance with FAO rules and procedures and as established in the project document. (S)he will also be the principal ES advisor in financial matters for the GEF component of the project.

To manage financial, procurement, contracting, and administrative issues, the ES will also have the support of two organizational units: (i) the Logistic and Administrative Executive Management Office (GEAL) which will handle all those activities related to the use of GoB counterpart funds; and (ii) the GEF Project Management Unit (UGP-GEF) which will handle all those activities related to the use of GEF funds.

(i) GEAL: The GEAL of the BFS will be responsible for the administration, procurement, contracting and financial execution of the Brazil co-financing resources. GEAL is responsible for providing logistical support for all other units of the BFS including the procurement of goods and services, financial execution, and internal administrative information system. This unit is comprised primarily of public employees and its team currently consists in 32 collaborators divided into four coordinating units.

(ii) UGP-GEF: The UGP-GEF will be created in the ES, with close links to the local FAO office. It will be guided by the ES and, in financial matters, operate in accordance with FAO rules and procedures for procurement, contracting of services, and financial management. The UGP-GEF will undertake all financial, administrative, procurement and contracting activities related to the use of GEF funds on behalf of the BFS. The ES will instruct and monitor the activities of UGP-GEF in close coordination with the GEF Task Manager and the Budget Holder of the GEF resources (FAO Representative). The Unit will consist of four staffs: an Operational and Finance Officer who will also lead the UGP-GEF team; an Administrative and Contracting Officer; an Administrative Assistant; and a Secretary. This staff will be financed by GEF resources, except the Secretary who will be funded by GoB. This unit will also assist the ES in reporting to FAO on the expenditure of GoB co-financing related to the execution of the entire programme, and will report to FAO in accordance with FAO formats and guidelines that will be provided.


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The ES will be made up of three units to address technical and monitoring issues as detailed below:

• Planning, Monitoring and Evaluation Unit: The PMEU will be organized into a core team and the members will be responsible for ensuring that progress on the project is monitored in accordance with the project’s Results Framework and indicators on a regular basis, including the systematic collection and analysis of data, considering: (i) the outcomes towards which the project is working; (ii) progress towards the production of outputs; (iii) problems and issues related to implementation; (iv) practical project-level collaboration with and monitoring of partners contribution and agencies contracted to collect forest information; and (v) resource management. The PMEU team will have two inter-linked levels of responsibility for monitoring and evaluation. First, they must capture project results (progress towards outcomes) through monitoring of indicators. Second, they must enhance project delivery of outputs through, for example, work planning, reporting, support to effective decision-making and analysis of the most effective and efficient implementation strategy.

• Information System and Data Processing Unit: This Unit’s team will be responsible for data processing and management of the information system, including: (i) receive data in its original format, perform data entry in the original system, and verify data redundancy and inconsistencies; (ii) process and analyze data at State, regional, and national levels; (iii) ensure a secure data repository. The Unit will interact with the PMEU by providing data to be used to produce reports and will incorporate information and results provided by the PMEU. The Unit will also establish the control and access policies by defining the terms and conditions of use, authentication, evaluation, preservation, and interoperability of the system by authorized users. The BFS’s Manager of Information Technology will operate the database.

• Methodological Procedures and Standards Unit: The Unit will be responsible for the production of documents on the methodological procedures for gathering and analyzing data. Some of these documents are: (i) a glossary of technical terms and acronyms; (ii) detailed field manuals considering the peculiarity of the six Brazilian biomes and manuals on socioeconomic interviews; (iii) manual of procedures for collecting plants for the identification and botanical filing; (iv) manual for monitoring procedures and quality control; and (v) manual containing the procedures for sampling and analysis of the landscape. Other main tasks of the Unit are to ensure standardization of methodology and terminology, and the interaction with the training programme so that the methodology is applied properly.

Other relevant BFS units that will contribute to the project execution are: (i) Information Technology Executive Management Office, which is responsible for information systems at institutional level, will provide technical support for the design of the NFM&AS and guidance on data management, storage and security; (ii) CENAFLOR will provide support to the organization the training activities of the project; (iii) Regional units will provide logistical and technical support for implementation of the project in their territories; (iv) the Communication Subdivision will provide guidance and support on disseminating information; and (vi) the Legal Subdivision will provide guidance on the institutional competences, including relationships with the partner institutions, and analysis of bidding procedures and resulting bids.


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4.4 Strategy and Methodology

The project will increase the availability of information on the state and dynamics of the Brazil’s forests and land use system, forest carbon stocks and flows and tree biodiversity resources. By analyzing this information, the project will also enhance the capacity of the GoB to recognize and reduce environment threats by adjusting policies, strategies, and interventions and demonstrating their effectiveness. Private sector and other non governmental decision makers will be able to take more informed decisions as well which, given the appropriate policy incentives can increase the attractiveness of forest land use, of mainstreaming biodiversity conservation in their production activities, and of capturing or keeping carbon stocks in the forest biomass (see Annex 10).

The project seeks to build broad partnerships among federal, state, and municipal governmental institutions as well as non governmental clients (academics, private sector, international organizations, and NGOs) which is essential to achieve a coordinated implementation process of the NFM&AS, taking advantage of their respective comparative advantages, interests, and responsibilities. In addition, they assure broad participation, and increase the effectiveness and usefulness of the information and analyses to be produced to help stakeholders’ policy and production decision making.

The project will implement technical and policy oriented commissions and committees. In special, the project will actively involve the existing National Biodiversity Commission and the National Forest Commission, and create and support a Climate Change Committee to facilitate collaboration with these stakeholders and promote the better use of the results of the project. For a broader outreach, the project will count with an Effectiveness Promotion Committee dedicated to identify and recommend activities to increase the impact of the project’s outputs and outcomes, including an annual forest policy seminar to discuss the results of 10 policy studies each year, realization of surveys of project clients, monitoring of the use of information and analyses generated by the project in the media and in academic works, etc.

4.5 Alternatives Considered and Reasons for Rejection

During the project design and analysis, several methodological alternatives were considered by the team of experts and advisors. The group: (i) evaluated all suggested methodological alternatives, discussing them in workshops or small thematic meetings; (ii) participated in workshops and seminars to identify information needs and analyzes demands from stakeholders; (iii) organized and participated in the methodological field tests, based on the selected approach, in the main Brazilian biomes; and (iv) participated in international field trips arranged for the discussion of methodologies and alternatives for data collection used in other countries. This section discusses 3 critical project design issues regarding data collection, and the reasons for the rejection of alternative approaches to each of them.

Data collection is technically critical and the most expensive activities of any forest inventory. The general data collection design adopted for the project is the systematic sampling, which is often proposed to lower the costs, particularly for large areas. For the whole country, a 20 by 20 km grid methodology results in 21,940 potential sample units. Visiting all the potential points (forest or non-forest) was the first alternative considered. Data collection costs estimations based on field tests for four major Brazilian biomes (Amazon, Atlantic Forest, Caatinga and Cerrado) found that unit costs are lower in Southern Brazil and increase as one


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moves towards the Northeast and the upper central region, and is greatest in the Amazonian biome. The main reasons for these differences are crew transportation and time costs to reach each sampling point.

Considering these unit costs, it was possible to calculate the total cost of visiting each one of the sampling points in the potential grid for the entire country to be almost USD 84 million. This cost was considered prohibitive and demanded the exploration of more cost effective alternatives.

The first cost saving strategy evaluated involved more detailed analyses of the number of sampling units needed to obtain the desired results without sacrificing the number of variables measured, or the precision of the results. The analyses indicated that, although the Amazon biome is not homogeneous, it is relatively less variable than the other biomes of the country. Thus, it was found that decreasing sampling intensity to a grid of 40 by 40 km2 in the Amazon region would not sacrifice the results sought significantly, but would reduce costs substantially.

With this assumption, the number of potential sample units for Amazon Region can be decreased and the new total for the whole country is expected to be 11 899. As the average total cost of each sample in the Amazon region was estimated to be USD 4 278 and for the other regions USD 3 278, this methodological change reduced the estimated total cost of field data collection to USD 41 million.

Crew composition and procedures are another major field data collection cost factors. The data in each field sample will be collected by applying two methodologies, one to measure forest resources and the other to interview land owners or users. The first crew composition alternative designed to undertake these tasks included two different and specialized teams: one for forest measurements composed by five people (one leader and four assistants) and another for the interviews composed by two people (one leader and one assistant). Both teams would work at the same grid point simultaneously. A second alternative to train the 5 forest survey teams to undertake also the interviews was also developed. The alternatives were tested in the Amazon region, in the Caatinga, and in the Cerrado.

A comparison of the costs estimated for each alternative indicated that the two field crews (five plus two people) would cost around 30% more than the other option while the quality of their work would be similar. As a conclusion, it was defined that a team of five foresters (engineer, technicians and assistants) properly trained also in socioeconomic interviewing would be more cost effective without affecting adversely the amount of information to be collected or the tasks of each individual. Additionally, they would drive just one vehicle, further reducing costs.

Besides field data collection, the advisory team also addressed methodological issues related to the measurement of forest land cover dynamics. Among the landscape attributes involved in the analysis are: forest fragmentation metrics, land cover changes and the condition of permanent protected areas required by law, as riparian vegetation, as well as “trees outside forest” (TOF). The so called landscape sampling is based on high resolution satellite images interpretation and geospatial technologies. Each landscape sampling unit will cover one 10

xlii

xlii

xlii

xlii


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km-sided square unit – 100 sq. km (10,000 hectares). Those units will be allocated systematically, with its central point defined by the intersection of the 40 km x 40 km grid line, where one field sampling unit will be allocated.

In the design of the landscape unit samples, major concerns were the availability of the satellite images with the quality required as compared to their costs. The team proceed to evaluate the technical feasibility and cost effectiveness of 3 satellite systems: the China-Brazil Resources Earth Satellite (CBERS-2B); the Advanced Land Observing Satellite (ALOS), launched by the Japan Exploration Agency; and SPOT-5 Earth observation satellite.

CBERS-2B imagery seemed to be the best technical solution for the Project but, in September 2009, the satellite Altitude and Orbit Control System had problems with its gyros and one solar sensor. The cameras were turned off for a while and when they were turned on again, they started operating with severe restrictions. This led the team to discard this imagery option.

The second option, ALOS, would also be technically adequate and have the added advantage of its images being distributed exclusively to governmental organizations by the project partner IBGE. Considering the subsidized image cost, and the acquisition of any two scene sensors (radar or optical ones), the total cost for 2,975 samples would be approximately USD 1.5 million.

The last option evaluated was SPOT 5, whose prices are much higher than for ALOS imagery. Even after governmental agreements over a large area acquisition, it would cost at least four times more, by scene, which is larger than the ALOS scene, but not enough to cover more than one landscape sample unit. As the imagery cost was already a substantial part of the landscape sampling units, the team decided to decrease the sampling intensity to 80 x 80 km, being then able to lay down approximately 750 samples, distributed in all six Brazilian biomes. This strategy would compensate the higher cost of SPOT 5 imagery, when compared to ALOS, but would reduce the quality of the results.

The team recommended therefore, that the BFS use the ALOS3 source of images for landscape sampling as the most cost effective alternative unless CBERS becomes available in the future, at no cost.

Overall the project will invest USD 65.5 million in developing the baseline and monitor forest resources and land use changes and their impact on biodiversity and carbon stock conservation covering an area of 524 000 000 ha, which gives a unit cost per hectare monitored of USD 0.125. If only the USD 8.85 million in GEF investment is considered, the unit cost is 0.017/ha. This puts the cost-efficiency of the project in line with rough estimates of USD 0.1/ha based on World Bank experiences in forest resource and carbon monitoring in the region.

An important outcome of the project will be its contribution to support Brazilian forest stakeholders’ participation in carbon finance mechanisms by lowering the transaction costs

2 For a number of motives including practicality, data quality, cost implications, the systematic sampling was chosen for forest and tree data

collection. The systematic sampling to construct the forest baseline is: (i) easily planned, (ii) faster in execution and mostly cheaper; (iii) it gives better estimates of the mean than unrestricted random sampling and even stratified random sampling in large areas, because the variation which may be considerable in such areas is better represented in the sample for which the distribution of the sample plots within the surveyed population is homogeneous; (iv) it gives thus better precision compared to random sampling. The methodology additionally implies selecting sample units starting at each 40x40 km point of the grid that would be reached after the maximum of one day walking from the most remote access point (road or river), totalizing three days per cluster. 3 The team found that the Japanese government intended to end ALOS by the end of 2009 which would mean a major constraint for the use

of these images in the Program’s future. Recent news, however, mention that the Japanese Exploration Agency decided not only to maintain ALOS but also to launch ALOS 2 in the near future. Therefore, ALOS systems seem to be a technically viable alternative for the Program.


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and thereby facilitate the application of carbon emission mitigation measures through SFM. Accordingly, the cost effectiveness, measured in the unit cost per tons of carbon stock monitored, is an important project indicator. There is still no established benchmark for what might be a reasonable monitoring cost, but this project will lay the ground for this benchmarking exercise important to the further development and analysis of international carbon finance mechanisms and the LULUCF.

During the project design an estimate of this indicator has been calculated based on the FAO Global Forest Resources Assessment 2010 (FRA 2010) figures for carbon stock in Brazil4. Total carbon stock in forest (all carbon pools -the estimate refers to carbon and not to CO2eq) in Brazil in 2010 is estimated to 121,038 Million metric tonnes. As all Brazilian 524,000,000 ha of forests will be indirectly monitored through the project the unit cost is USD 0.54/1000t carbon monitored.


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5. FINANCING PLAN AND PROVISIONAL WORK PROGRAMME

5.1 Financial Planning

The project will be partially financed by a full-size GEF grant in the amount of USD 9.9 million, with co-financing from the GoB (in cash and in-kind) and FAO (in cash). The Financing Plan, including the details inputs budget in the FAO Oracle format, can be found in Annex 4 along with the Provisional Work Programme.

Table 6: Project Cost by Component/Subcomponent

Component

Total

(USD

'000)

%

Total

Base

Costs

Total

GEF

(USD

'000)

%

GEF

Base

Costs

1. National framework for forest resource monitoring, assessment and decision making

1. Institutional Partnership 48.37 0

2. Project Consultative Framework 584.32 1

3. State or Municipal Adhesions 419.97 1

Subtotal: National framework for forest resource monitoring, analysis and decision making established and operating

1 052.66 2 84.63 1


1. Technical Support and Implementation Development 3 465.72 5

2. Capacity building for data collection, processing and analysis 7 750.27 12

Subtotal: Capacity building for the management of the NFM&AS 11 215.99 17 1 846.68 21

3. Baseline and Monitoring and Information System establishment

1. Data Collection 43 217.87 66

2. Vegetation Mapping 2,765.66 4

3. Data Processing and Analysis 1 676.30 3

Subtotal: Baseline and Monitoring and Information System establishment

47 659.84 73 5 846.74 66


Subtotal: Information for Policies to enhance the contribution of SFM to national development and the global environment

2 274.08 3 187.37 2

Project management

Subtotal: Project management 3 314.48 5 884.57 10

TOTAL PROJECT COSTS 65 517.00 100 8 850.00 100

5.2 GEF Input

The GEF resources will enable the BFS to adopt and implement a holistic and far-reaching assessment of the national forest resource (i.e. far beyond simply its national economic value) and strengthen the long-term sustainability of this effort through the development of coordination mechanisms and national capacity building as well as the translation of project results into policy actions that support the generation of global environmental benefits.

4 The FRA Brazil 2010 uses different data on biomass and average carbon levels available in various scientific articles and books to estimate

carbon in above-ground biomass, below-ground biomass, dead wood, litter, and soil in biomes and planted forests.


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Also the further co-ordination with other GEF projects will raise the profile of project activities amongst national and international policy makers. This will help to ensure that the improved knowledge about Brazil’s forest resources will have a bigger impact on policy decisions and should also improve information about many issues related to tropical forests at the global level. The GEF contribution that is requested at this present opportunity is USD 8 850 000, which will finance (i) some National Consultants for technical assistance and project management; (ii) a few Service Contracts for data collection and monitoring, research and development; (iii) Establishment and meetings of the Committees and Commissions; (iv) Equipment and software licenses; and (v) Training Programmes.

5.3 Government Inputs

National government has demonstrated its substantial commitment to the project, through provision of significant levels of co-financing in both cash (from the Federal Annual Budget) and by means of in-kind contributions from the early stages of project preparation and has actively participated in its methodological development. Confirmed sources of direct cash finance are USD 50 808 752. Confirmed sources of direct in-kind finance are USD 5 558 290. Cash contributions will be used to cover mainly the costs of: (i) The majority of the National Consultants salaries; (ii) Contracts of Services with National specialized companies; (iii) Data field collection and monitoring; (iv) Geospatial data collection; (v) Images acquisitions; (vi) Research and development; and (vii) Training Programme. In addition, state and municipal governments have been and are expected to continue to provide substantial cash and in-kind contributions which will cover the cost of sampling densification to obtain better quality information and analyses for their respective territories. These state and municipal contributions are voluntary and seek to enhance the quality and usefulness of the information to their stakeholders but are not necessary for the implementation of the project. Therefore, they are not included in the project financial accounting.

5.4 Donor Inputs/ Co-financiers

The project will be financed by funds from the GoB, a donation from GEF and funds from FAO. Additional co-financiers may be identified during the project implementation, including states in case they are interested in improving forest information precision within their respective territory. However, as additional funding sources, these eventual co-financiers will support the inclusion of new project results which are not currently part of the present project description and, therefore, do not affect the commitments or costs included in this project document.

Table 7: Sources of confirmed co-financing

Name of co-financier (source)

Classification Type Amount ($) %

Government of Brazil cash 50,808,752 89.7

Government of Brazil in kind 5,558,290 9.8

FAO GEF Agency cash** 300 000 0.5

Total Co-financing 56,667,042 100%

** FAO Technical Corporation Programme (TCP/BRA/3103 (D) “Establishing methodological basis and building partnerships for Brazil’s national forest inventory”

5.5 FAO Input

FAO is the leading international organization in the area of sustainable forestry management


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and development. FAO will provide USD 0.3 million in cash through the Technical Corporation Programme (TCP/BRA/3103 (D) “Establishing methodological basis and building partnerships for Brazil’s national forest inventory” supporting the development of methodology for forest data collection and analysis. As the implementing and executing agency of the Project, FAO will draw on its wide range of in-house expertise in the area of biodiversity and forestry resources management to support the proposed project. An interdivisional Project Task Force will be established and consist of experts in the areas of climate change, biodiversity, and forest and land use resources assessment, management, policy and planning, statistics and information, legal expertise on institutional issues, among others. The project will also benefit from FAO’s extensive work on conservation and management of forest resources, with major emphasis on the innovations and in the management of complex, multi biome and multi stakeholder situations and its links to International Plans of Action, at global and regional levels.

FAO, as the administrator of the GEF funds, will be responsible for timely operational, administrative and financial management of GEF resources. The FAO Representative in Brazil will be the Budget Holder of the GEF component of the project funds. FAO will also draw on its decentralized field operations and technical staff in the Regional Office for Latin America and the Caribbean.

Technical support

Financed by the GEF agency fee and in cash contribution, FAO will provide technical backstopping of the project implementation bringing in its wealth of experience and technical expertise in sustainable forestry management, National Forest Monitoring and Assessment System design implementation including institutional strengthening, capacity building, and forest and land use policies analysis.

FAO has already collaborated with the Brazilian Forest Service to establish the methodological basis for the NFM&AS. The GEF co-funded project will rely on the defined methodology and the organizational and partnership frameworks for the NFM&AS. This collaboration will be consolidated through component 1.

FAO will play a major role with the BFS for timely implementation of activities at the best international standards by involving a selected team of renowned international and national experts in the areas of the project. The specialised units of the Forestry Department of FAO in particular the programme of support to National Forest Monitoring and Assessment (NFMA), Forest Management, Policy and Institutions, and the National Forest Programme, will be involved in accordance with project needs.


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6. OVERSIGHT, MONITORING, MANAGEMENT INFORMATION AND

REPORTING

6.1 Oversight and reviews

Project oversight will be carried out in a balance between periodic validation by the Project Steering Committee and FAO. Project oversight will be facilitated by: (i) establishing appropriate levels of management authority to provide timely direction, coordination, control and review; (ii) ensuring project management accountability; (iii) documenting project transactions and results through traceability of related documents throughout the implementation of the project; (iv) ensuring that project is developed within the planned activities applying established standards and guidelines; (v) continuously identification and monitoring of project risks and risk mitigation strategies; and (vi) ensure all project outputs are produced in accordance with the Project Document and Log Frame.

Project oversight will take into account: (i) schedule; (ii) planned versus budgeted expenses; (iii) actual versus planned expenses; (iv) cost projections; (v) timely deliver of inputs; (vi) timely achievement of outputs and outcomes; (vii) review of risks and assessment of risk mitigation strategies; and (viii) stakeholder feedback. At any time during project execution, underperforming subcomponents may be required to undergo additional assessments, implement changes to improve performance or be halted until remedies have been identified and implemented. Additionally, oversight activities provide information, judgments, and recommendations to the project management team during project reviews and in support of project decision milestones.

FAO will provide oversight and monitor the progress of the GEF component of the project largely through the recording and verification of inputs, including financial disbursements and technical levels-of-effort, and the quarterly project implementation reports (QPIRs), six-monthly project progress reports (PPRs) and periodic supervision and backstopping missions. Financial inputs (disbursements) will be largely drawn from FAO’s financial management system, while technical inputs will be drawn from QIRS, PPRs, and reports produced by the project M&E Unit. The monitoring system will specifically compare financial disbursements to technical activities programmed in the ARWP and identify and assess any significant discrepancies between the two.

A detailed schedule of project reviews will be developed by the project management, in consultation with FAO and other project implementation partners, during the early stages of project initiation, and incorporated in the Project Inception Report. Such a schedule will include methodologies and tentative time frames for project progress, reviews and evaluation reports.

Project Revisions

The following types of revisions may be made to this project document with the approval of the FAO GEF Coordination Unit only, provided that the Brazilian Forest Service and other signatories of the PCG Agreement express their no-objection to the proposed changes: 1. Minor revisions that do not involve significant changes in the immediate objectives, outputs or activities of the project, but are caused by the rearrangement of inputs already agreed to or by cost increases due to inflation. These minor amendments are changes in the project design or implementation that could include, inter alia, changes in the specification of


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project outputs that do not have significant impact on the project objectives or scope, changes in the work plan or specific implementation targets or dates, renaming of implementing entities, or reallocation of grant proceeds not affecting the project’s scope. 2. Revisions in, or addition of, any of the annexes of the project document. 3. Mandatory annual revisions which rephrase the delivery of agreed project inputs or take into account agency expenditure flexibility. All minor revisions shall be reported in the annual Project Implementation Review (PIR) report that will be submitted by FAO to the GEF Evaluation Office.

6.2 Project M&E and Reporting

Systematic and day-to-day monitoring will be undertaken by the Executive Secretariat through the Planning, Monitoring, and Evaluation Unit. The Executive Secretariat will establish project monitoring and evaluation procedures acceptable to FAO and GEF monitoring and evaluation policies and practices, and will semi-annual project progress reports, together with work plans, and inputs for the annual Project Implementation Review (PIR). To make the monitoring system cost-effective, the project will give priority to the use of remote tools, such as Intranet and Extranet (i.e. WebEx, etc.).

Indicators

Project progress will be monitored based on the outcome and output indicators and timeframe for delivery as stated in the Annex 2 (Project Log Frame). Considering that the main focus of the project is improving the availability and quality of information for strategic decision making and SFM by building the technical and operative capacities for a National Forest Monitoring and Assessment System (NFM&AS), the indicators are mainly process and institutional indicators. These indicators capture:

a) tools developed (data collection and quality control procedures and standard terms of reference for field data collection, methodology and procedures to integrate the collected field and landscape data with mapping to monitor land cover changes, information system for storing and processing the collected data, and indicators relevant for monitoring major forest management, land use, biomass related carbon accounting, and biodiversity issues);

b) institutional framework and capacities built (beneficiaries trained in technical and operative aspects of the management of the NFM&AS, inter-institutional technical corporation agreements, consultative and technical committees operating, and National Framework Operational Manual consolidated and serving as basis for the NFM&AS), and

c) quality and usefulness of the generated information for strategic decision making and

mainstreaming of carbon stocks and biodiversity conservation in policies and

development plans (policy studies and recommendation, policies, plans and projects in productive sectors adjusted to enhance biodiversity conservation and carbon sequestration, new policies and/or plans to promote biodiversity conservation and avoid carbon emissions in land-use activities, percentage of the users assessing the information as high quality, comprehensive and relevant).


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On-the-ground biodiversity conservation and carbon sequestration and avoided emissions impacts of the project will be indirect and measurable in the medium and long term. The building of the NFM&AS will assure the establishment and monitoring of indicators to capture these impacts after the end of the project and to guide future strategic decisions on SFM in Brazil continuously improving these indicators. The project will monitor the area influenced by the project in terms of the geographical coverage of the NFM&AS, applying the BD SP-4 tracking tool and the cost effectiveness of the NFM&AS in terms of cost per tons CO2eq monitored relevant for LULUCF climate change mitigation feasibility.

Monitoring

The project’s M&E system would monitor the implementation progress of project supported activities as well as measure their impact on stakeholder’s decision making. Information generated by the M&E system will be made available for real time project management, project external evaluations (mid-term and final evaluations) as well as for use by stakeholders and decision makers.

The Annual Work Plan and detailed budget, based on the project’s Log Frame, are the central tools for guiding the work of the project and ensuring compliance of project activities. They will be prepared by the Executive Secretariat, reviewed by FAO and submitted to the Steering Committee for endorsement within two months of the commencement of each calendar year.

Under the M&E system the following activities will be developed: (i) establish the Planning, Monitoring, and Evaluation Unit including the provision of training to the team to facilitate accurate execution data collection and reporting to the Executive Secretariat and Consultative Committees; (ii) recruitment of a monitoring and information specialist; (iii) definition of specific methods and tools to monitor project indicators; (iv) undertaking of strategic planning, and the monitoring and evaluation of project activities (operational progress, outputs, and outcomes); and (v) develop a systematic supervision system of the contracted agencies for forest data collecting; (vi) support the Executive Secretariat to carry out mid-term and final project evaluations.

Project progress monitoring will assess whether the management and supervision of project activities is efficient, whether output targets are achieved as planned in the Log Frame, and seek to improve efficiency and the overall effectiveness of project implementation when needed. It is a continuous process, during which information about the implementation of activities programmed in the annual work plans is collected and monitored. This activity will be the direct responsibility of Planning, Monitoring, and Evaluation Unit assisted by the Executive Secretariat.

Project’s success in achieving its outcomes will be monitored continuously through the project semi-annual project progress reports, annual summary progress reports, a mid-term evaluation and final evaluation. Key outcome indicators are those identified in the project Log Frame and will guide and provide evidence of achievements. The outcome indicators will be tested and refined, if necessary during the inception workshop. The FAO Project Task Manager will give technical support to the Executive Secretariat in monitoring activities.


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Reporting

Specific reports that will be prepared under the M&E programme are: (i) project inception report; (ii) quarterly project implementation reports (QPIRs); (iii) semi-annual project progress reports (PPRs); (iv)annual project implementation review (APR); (v) project implementation review (PIR); (vi) technical reports; (vii) co-financing reports; and (viii) terminal report.

a) Project Inception Report – After FAO approval of the project an inception workshop will be held. Immediately after the workshop, BFS will prepare a project inception report in consultation with the FAO Project Task Manager and other project partners. The report will include a narrative on the institutional roles and responsibilities and coordinating action of project partners, progress to date on project establishment and start-up activities and an update of any changed external conditions that may affect project implementation. It will also include a detailed First Year Annual Work Plan and Budget (AWP/B) divided into monthly timeframes detailing the activities and progress indicators that would guide implementation during the first year of the Project. As part of the AWP/B, a detailed project budget for the project’s first full year of implementation will accompany the inception report and include all monitoring and supervision requirements. The draft report will be circulated to FAO and the Project Steering Committee for review and comments before its finalization, no later than three months after project start-up.

b) Quarterly Progress Implementation Reports - The FAO Project Task Manager, with inputs from the BFS Project Executive Secretariat will prepare short quarterly reports which entail regular review of the project to compare approved work plans with actual performance, and to take corrective action as required. The QPIR is used to identify constraints, problems or bottlenecks that impede timely implementation and take appropriate remedial action. These reports will be submitted one month after the end of each quarterly reporting period (31 March, 30 June, 30 September and 31 December). The reports are submitted to the Field Programme, Monitoring and Coordination Service (TCDM) and to the GEF Unit/Investment Centre Division for information and uploading in FAO’s Field Project Management Information System (FPMIS).

c) Semi-annual Project Progress Report – BFS will submit to the FAO Project Task Manager, six-monthly project progress reports. The FAO Project Task Manager will review the reports and submit them to the Lead Technical Unit (LTU) and the GEF Coordinator in the Investment Centre Division (TCI). These reports will be submitted no later than one month after the end of each six-monthly reporting period (30 June and 31 December)..

d) Annual Project Progress Report – BFS will submit to the FAO Project Task Manager an annual project progress report (APR) (January-December) to accompany the following year’s draft annual work plan (AWP), for review and approval. This will be done no later than the end of February. The APR will serve as the main input to the Project Implementation Review (PIR) to be prepared by the FAO Project Task Manager.

e) Project Implementation Review - The FAO Project Task Manager, with inputs from BFS, will prepare an annual Project Implementation Review (PIR). The PIR include a narrative on project activities and eventual implementation barriers and difficulties and will assess progress in achieving project global environmental objectives, outcomes and outputs and their sustainability, and risk factors and their mitigation measures. The PIR will be submitted to the FAO Lead Technical Unit (LTU) and the GEF Coordinator in TCI for review and approval. The GEF Unit will submit the final report to the GEF Secretariat.


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f) Technical Reports – Technical reports will be prepared as established in the project Log Frame. The drafts of any technical reports must be submitted by BFS to the FAO Project Task Manager and LTU for review and clearance, prior to finalization and publication. Copies of the technical reports will be distributed to the Project Steering Committee and other project partners as appropriate. These will also be posted on the FAO FPMIS.

g) Project Terminal Report – Within two months of the project completion date BFS will submit to FAO a draft Terminal Report, including a list of outputs and outcomes, summery of activities concluded including any deviations from original project document, “lessons learned” and any recommendations to improve the efficiency of similar activities in the future. This report will in particular include the findings of the final evaluation as described above and will be the definitive statement of the project’s activities over the five-year duration. A final project review mission is expected to take place in the beginning of 2015.

h) Co-financing Reports – BFS will be responsible for collecting the required information and reporting on in-kind and in cash co-financing provided by the GoB in a timely manner and will transmit such information to FAO. The report will be provided to FAO on an annual basis, effective for the period 1 July to 30 June, and will be included in the annual Project Implementation Review.

i) GEF-4 Tracking Tool Reports - Following the GEF orientation and procedures, the tracking tool for biodiversity focal area will be submitted at three moments: (i) with the project document at CEO endorsement; (ii) at the project’s mid-term evaluation; and (iii) with the project’s terminal evaluation or final completion report.

Table 8 contains tentative project monitoring and evaluation costs.

Evaluation

An independent Mid-Term Evaluation will be undertaken at the end of the third year of the project to review progress and effectiveness of implementation in terms of achieving project objective, outcomes and outputs. Findings of this review will be incorporated as recommendations and will be instrumental for bringing improvement in the overall project design and execution strategy for the remaining period of the project’s term if necessary. FAO will arrange for the Mid-Term Evaluation in consultation with project management. The review will, inter alia:

a) review the effectiveness, efficiency and timeliness of project implementation;

b) analyze effectiveness of implementation and partnership arrangements;

c) identify issues requiring decisions and remedial actions;

d) identify lessons learned about project design, implementation and management;

e) highlight technical achievements and lessons learned; and

f) propose any mid-course corrections and/or adjustments to the implementation strategy as necessary.

An independent Final Evaluation will be carried out three months prior to the terminal review meeting of the project partners and will focus on the same issues as the Mid-Term Evaluation. The final evaluation would aim to identify the project impacts and sustainability of project results, and the degree of achievement of long-term results. This evaluation would also have the purpose of indicating future actions needed to assure continuity of the process of forest monitoring and sustainable forest management.


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Some critical issues to be emphasized in both evaluations will be: (i) the level of participation of national and sub-national key stakeholders in the national and regional consultation committees; (ii) the level of awareness among stat and municipalities of potential forest resources and land use issues related to their territories and SFM opportunities, and their use of the information generated by the NFM&AS methodologies in strategic decisions about zoning, land-use planning and forest conversion; (iii) how and to what extent public and private sector use the information in development of policies, projects and plans and for targeting forestry development towards forest areas of high commercial value, (iv) how the users assess the quality and usefulness of the NFM&AS and the information generated; (v) the level of capacities and skills in data collection, quality control and analysis and updating and development of new methodologies using innovative technologies among BFS staff and other stakeholders trained by the project; (vi) user assessment of data collection, analysis and information management tools developed by the project; and (v) effectiveness of incorporation of instrument and policy recommendations for mainstreaming carbon stocks and biodiversity conservation in sector policies and development plans.

The Terms of Reference (TOR) for the Mid-term and Final Evaluations will be prepared by BFS and finalized in close consultation with the FAO Project Task Manager placed at the FAO Office in Brazil, the FAO Lead Technical Unit and under the ultimate responsibility of FAO Office of Evaluation, in accordance with FAO evaluation procedures and taking into consideration evolving guidance from the GEF Evaluation Office. The TOR and the report will be discussed with and commented upon by the project partners.

Table 8: Monitoring and evaluation plan and budget

Type of M&E

activity Responsible Parties

Budget USD

Excluding

project team

Staff time

Time frame

Inception Workshop

Steering Committee; Executive Secretariat; Planning, Monitoring, and Evaluation Unit; FAO; FAO country office

30 000 Within first two months of project start up

Inception Report Executive Secretariat; Planning, Monitoring, and Evaluation Unit; FAO

None (there is always a cost, but it may not be an additional cost)

Immediately following Inception Workshop

Supervisory visits/missions

FAO Brazil Office with participation from HQ LTU in case needed and with support from the Project Executive Secretariat

Fee financed Quarterly

Quarterly monitoring of implementation progress

FAO with support from the Project Executive Secretariat

Fee financed Submitted before end of May, July, October and January

Semiannual and annual project progress report

BFS, Project Executive Secretariat None Submitted before end of July and end of January


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Type of M&E

activity Responsible Parties

Budget USD

Excluding

project team

Staff time

Time frame

Measurement of indicators for Project Progress and Performance (measured on an annual basis) + workshop for dissemination

Oversight by Executive Secretariat, responsibility of Project M&E staff and, with assistance from FAO technical divisions; measurements by partners, contract institutions and other team members to assess project impact

100 000 To be determined as part of the Annual Work Plan’s preparation.

Annually prior to Annual Progress Report and Project Implementation Review and to the definition of annual work plans

Semiannual, Annual Project Implementation Review

Project Team; FAO; FAO GEF Unit Steering Committee

None Annually

Mid-Term External Evaluation

FAO country office; Executive Secretariat; Independent external consultants (i.e. evaluation team)

50 000 At the mid-point of project implementation

Final External Evaluation

FAO country office; Executive Secretariat; Independent external consultants (i.e. evaluation team)

70 000 At the end of project implementation

Terminal Report Project team; FAO 10 000 At least one month before the end of the project

Visits to field sites

FAO and FAO country office; Government representatives; Project staff

An integral part of project activities, not a separate cost

As required

TOTAL indicative COST (Excluding project team staff time and FAO staff and travel expenses)

260 000

6.3 Financial Management and Reporting

Financial Records

FAO shall maintain a separate account in United States dollars for the GEF component of the project showing all income and expenditures. Expenditures incurred in a currency other than United States dollars shall be converted into United States dollars at the United Nations operational rate of exchange on the date of the transaction. FAO shall administer GEF component of the project in accordance with its regulations, rules and directives

Financial Reports

The Budget Holder, supported by the Operational and Finance Officer, shall prepare six-monthly project expenditure accounts and final accounts for the GEF component of the project, showing amount budgeted for the year, amount expended since the beginning of the year, and separately, the unliquidated obligations as follows:

1. Details of project expenditures on a component-by-component basis, reported in line with project budget codes as set out in the Project Document, as at 30 June and 31 December each year.

2. Final accounts on completion of the project on a component-by component cumulative basis, reported in line with project budget codes as set out in the Project Document.

3. A final statement of account in line with FAO Oracle project budget codes, reflecting


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actual final expenditures under the GEF component of the project, when all obligations have been liquidated.

The Budget Holder will submit the financial reports for review and monitoring by the LTU, and the GEF Coordination and certification the Finance Division..

Financial reports for submission to the donor will be prepared in accordance with the provisions in the GEF Financial Procedures Agreement.

Budget Revisions

Semi-annual budget revisions will be prepared by the Budget Holder supported by the operational and Finance Officer in accordance with FAO standard guidelines and procedures.

Responsibility for Cost Overruns

The Budget Holder is authorized to enter into commitments or incur expenditures up to a maximum of 20 percent over and above the annual amount foreseen in the GEF component of the project budget under any budget sub-line provided the total cost of the annual budget is not exceeded.

Any cost overrun (expenditure in excess of the budgeted amount) on a specific budget sub-line over and above the 20 percent flexibility should be discussed with the FAO GEF Coordination Unit with a view to ascertaining whether it will involve a major change in project scope or design. If it is deemed to be a minor change, the budget holder shall prepare a budget revision in accordance with FAO standard procedures. If it involves a major change in the project’s objectives or scope, a budget revision and justification should be prepared by the Budget Holder for discussion with the GEF Secretariat.

Savings in one budget sub-line may not be applied to overruns of 20 percent in other sub-lines even if the total cost remains unchanged, unless this is specifically authorized by the FAO GEF Coordination Unit upon presentation of the request. In such a case, a revision to the project document amending the budget will be prepared by the Budget Holder.

Under no circumstances can expenditures exceed the approved total project budget for the GEF component or be approved beyond the NTE date of the project. Any over-expenditure

is the responsibility of the Budget Holder.

Audit

GEF component of the project shall be subject to the internal and external auditing procedures provided for in FAO financial regulations, rules and directives and in keeping with the Financial Procedures Agreement between the GEF Trustee and FAO.

The audit regime at FAO consists of an external audit provided by the Auditor-General (or persons exercising an equivalent function) of a member nation appointed by the governing bodies of the Organization and reporting directly to them, and an internal audit function headed by the Inspector-General who reports directly to the Director-General. This function operates as an integral part of the Organization under policies established by senior management, and furthermore has a reporting line to the governing bodies. Both functions are required under the Basic Texts of FAO which establish a framework for the terms of reference of each. Internal audits of imprest accounts, records, bank reconciliation and asset verification take place at FAO field and liaison offices on a cyclical basis.


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6.4 Communication and Visibility

A communication and visibility plan will be established as part of the Effectiveness Promotion Plan during project inception phase. The plan will include (i) general communication strategy (overall communication objectives, target groups, specific objectives for each target group); (ii) communication activities (main activities that will take place during the execution of the plan, communication tools chosen); (iii) indicators of achievement – consistent with those set out in the logical framework - (completion of the communication objectives, provisions for feedback); (iv) resources (human and financial resources). The communication approach will be based on three channels:

a) Outward channel – To communicate with Brazil’s Government and FAO-GEF about highlight issues, risks and exceptions. Tools to be used: exception reports, semi-annual progress reports, e-mail updates, face-to-face reviews and communication plan and remote tools (Extranet, p.e. WebEx, etc.)

b) Inter-party channel – Communicate to national and local partnerships and stakeholders. It involves negotiation of budgets, work plan execution, reporting and information availability. Tools to be used: communication plan, statement of work, signed agreements, Intranet and Extranet (i.e. WebEx, etc.), e-mail.

c) Intra-team channel –Provide direction to project team. Involve highlights tasks pending, schedule tasks, dates, and general team briefings. Tools to be used: verbal exchanges, agendas, minutes, Intranet, Extranet (i.e. WebEx, etc.), e-mail, project brief, project plan, issue logs, communication plan and monitoring reports. Internal communication within the project team will be used to meet four major communication needs, such as: (i) responsibility of each team member for different parts of the project; (ii) coordination information that enables team members to work together efficiently; (iii) status information tracking the progress, identifying problems and enabling team members to take corrective action; (iv) authorization information that relates to the project and its environment, and enables the team members to keep all project decisions synchronized.

Proposed tools for visibility are:

General aspects – Executive Secretariat will ensure that general aspects of project visibility are fulfilled, such as: (i) visual identity of project and partners; (ii) highlighting the project’ partners in media interviews, press releases, etc.); (iii) supporting documents such as photos of logos in the field, photos of activities, copies of press released will be included in the progress and final reports.

Basic visibility at field level – At this level visibility strategy will consider: (i) signboards, display panels and banners; (ii) operational publications and materials such as training manuals and posters; (iii) supplies and equipments.

Printed publications – Brochures, leaflets, flyers, newsletters and other publications to project activities and results.

Website and webpage – It will include: (i) partnerships and links; (ii) project information (objectives, activities, expected results, etc.).

Media contacts – It will be used to reach effectiveness in communicating to large audience, through press release, interviews and press conferences.

Photos and photos exhibitions –Panels with photos showing project activities will be used during project events.


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Audiovisual – (i) Films for distribution by the media (mainly for television, campaigns and Internet); (ii) operational films (films to provide technical information and practices to local population, project partners and authorities).

Public events – Many types of events are possible and attracting media interest will always be a key consideration in making the events cost-effective. The annual seminar regarding forest policies and participatory evaluation of project’s results and expectations from stakeholders will be part of such events. Press release will be an integral part of the events.


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7. PROJECT APPRAISAL

7.1 Social

The project does not intend to directly address the socio-economic issues of the poor only indirectly in relation to their interaction with forest resources, land use, or biodiversity issues any significant way. The project will not result in resettlement or affect adversely any community.

However, the project will provide information and analyses that can be used by stakeholders, including landowners or possession holders, investors, or public decision makers, to better allocate forest and land resources. Hereby, the project can contribute to increase job opportunities, income, and foreign exchange leading to reduced poverty. These social economic benefits can be further enhanced by an increase in forest land use as a result of an adjusted policy environment that favors sustainable forest based businesses opportunities throughout the production value chain.

The project will address the role of men and women in forest resources management and use to assess policy impacts and design national forestry programme that will place emphasis on the gender issues.

Project activities will not affect directly any stakeholder. In addition, all efforts are being made to avoid any adverse consequences to those which may be contacted during the data collection field work. Besides assurances of anonymity, the methodology will avoid misperception, imposing unacceptable opportunity costs, and other eventual adverse consequences of the direct contact with surveyors.

7.2 Stakeholder Consultation

As described in Section 2.2, the consultation process during the project formulation has been comprehensive both from national and international stakeholders and experts to identify information needs and requirements and develop best methodologies and approaches for the establishment of the NFM&AS.

Considering the complexity and diversity of the activities and subjects related to the NFM&AS, the project will be based on partnerships with other institutions, which will coordinate specific segments of the project, in order to supply the BFS with the required data or other inputs needed to operate the NFM&AS. Among the partner institutions are the IBGE, involved in the vegetation mapping segment and the EMBRAPA-Forestry, which will lead the team of advisor involved in the research program, supporting the NFM&AS. Universities may take part through the quality control programme (supervision), and private companies or organizations will be involved in field data collection and landscape level data collection through business contracts.

7.3 Environment

Since the project and the programmatic activities do not imply in any physical work and actually favor the improvement of policies related to SFM, land use and cover, biodiversity, and climate change, environmental impact is expected to be positive.

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ANNEXES

Annex 1: Major Related Projects Funded by the FAO and/or Other Agencies

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Annex 1: Major Related Projects

FAO and/or GEF related projects

Title Description/objective Location Budget

USD Operational details

FAO PROJECTS (INCLUDING FAO-GEF)

Establishing methodological basis and building partnerships for Brazil’s National Forest Inventory

Establish broad consensus at the national level on the needs and approach to National Forest Inventory taking into account the national users’ requirements and country’s obligations of reporting to the international processes. Strengthen the capability of BFS to collect and analyse information on forests needed for planning and sustainable management. Contribute to the finalization of the National Forest Inventory approach.

Brazil 440 000 TCP/BRA/3103-3202 01/09/08-30/09/010

Strengthening forest resources management and enhancing its contribution to sustainable development, land-use and livelihoods

Help to reverse deforestation through sustainable forest management, including protection, restoration, afforestation and reforestation, and increase efforts to prevent forest degradation. Enhance forest-based economic, social and environmental benefits (including by improving the livelihoods of forest dependent people) and increase the area of protected forests, other areas under sustainable management and production of forest products from sustainable managed forests.

Global 90 555 000 GCP/GLO/194/MUL 01/01/08-30/06/12

Management of Forests, Support to Sustainable Production and Strengthening of Civil Society in the Brazilian Amazon

Contribute to the prevention and control of deforestation in the Brazilian Amazon, specifically by contributing to the sustainable development of the area of influence of the BR-163 in the State of Pará. The development of this region will be particularly directed toward local, community and social development through training in conflict management and mediation as well as in sustainable production methods and support to production and marketing.

Brazil 7 969 752 GCP/BRA/070/EC 01/05/07-30/04/11

Project for consolidation of policy and institutional instruments for the implementation of the national forest programme

Assist the Brazilian Government to establish and implement appropriate policies and institutional tools to expand plantation forests, consolidate management of native public forests and promote good management of native private forests. Improve control and monitoring in forestry, promote inclusion of traditional populations and indigenous people in productive activities, improve forest productivity and strengthen the federal, state and municipal institutional capacity to deal with forestry.

Brazil 7 693 452 UTF/BRA/062/BRA 01/06/04-31/07/10


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National Forest Programme Facility

The partnership in Brazil will focus on improving social participation in the national debate on Forestry. Three components are proposed to: (i) strengthen the national commissions on Forestry, (ii) support the implementation of the process of decentralization of Forestry Administration, and (iii) improve the social organisation of communities to conduct forest management projects towards forest conservation and poverty alleviation in Amazon region.

Global 32 747 435 (300,000 in

Brazil)

GCP/INT/812/MUL 30/01/02-31/12/11

Conservation and management of pollinators for sustainable agriculture through an ecosystem approach

The immediate objective of the project is to harness the benefits of pollination services provided by wild biodiversity for human livelihoods and sustainable agriculture, through an ecosystem approach in selected countries (including Brazil). The outcomes of the project will be an expanded knowledge of pollination services, enhanced conservation and sustainable use of pollinators for sustainable agriculture, increased capacity to conserve and sustainably use pollinators, and enhanced awareness of conservation and sustainable use of pollinators for farmers, land managers and for policymakers.

Global 7 810 682 (includes

Brazil)

EP /GLO/802/GEF 01/01/09-31/12/13

Integrated Management of the Ilha Grande Bay Ecosystem

The goal of the project is to achieve the long-term conservation and sustainable use of the Ilha Grande Bay Ecosystem (BIG) and its associated terrestrial and marine biodiversity of global importance on the south coast of Rio de Janeiro State in Brazil

Brazil 2 400 000 (proposed)

n.a. (under prep.)

OTHER GEF PROJECTS

Amazon Region Protected Areas Program (ARPA)

Support expansion and consolidation of strict protected areas in the Amazonian region. Three specific objectives have been identified: (i) identify and create new strict protected areas; (ii) effective establishment of these new areas; and (iii) develop long-term sustainable management tools and mechanisms for effective protection within all Amazonian strict protected areas.

Brazil 30 000 000 GEF Project ID 771 Project Closure

Amazon Region Protected Areas Program Phase 2

Expand and consolidate the protected areas system in the Brazilian Amazon and implement mechanisms for its financial sustainability.

Brazil 16 000 000 (proposed)

GEF Project ID 4085 PIF

National Biodiversity Project (PROBIO)

The project will consist of: a series of workshops to set biome-level priorities for biodiversity conservation and development of a national biodiversity strategy; establishment of a national biodiversity information network; and funding of model biodiversity projects involving various combinations of public and private sector organizations.

Brazil 10 000 000 GEF Project ID 58 Project Completion


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Promoting Biodiversity Conservation and Sustainable Use in the Frontier Forests of North-western Mato Grosso

The long-term goal of this project is the consolidation of an integrated matrix of different land uses consisting of contiguous blocks of intact primary forest cover on private lands, corridors of secondary regeneration and more intensive agroforestry systems and permanent forest management. The project will demonstrate a widely replicable, integrated approach to the protection and sustainable use of biodiversity on private lands. There will also be strengthened municipal planning, development of supportive policies and instruments and monitoring through the incorporation of biodiversity conservation values.

Brazil 6 983 950 GEF Project ID 834 IA Approved

Establishment of Private Natural Heritage Reserves in the Brazilian Cerrado

This project aims at the expansion of the protected areas in the Cerrado Region in order to enhance biodiversity conservation. The project will (i) establish four Private Natural Heritage Reserves (RPPNs) with management plans; (ii) prepare and implement an awareness programme in order to disseminate to other landowners and associations the best practices and lessons learned; (iii) prepare and implement an awareness programme viewing local communities support in the participation of the RPPN project; (iv) train technical staff from RPPN in protected areas planning and management, and ecotourism development; and (v) establish a RPPN support network, consisting of RPPN managers, NGOs, relevant government staff members and local communities.

Brazil 750 000 GEF Project ID 868 Project Closure

Parana Biodiversity Project The project will assist the State of Parana to conserve two globally significant biomes, the interior Atlantic Forest and the Araucaria forest ecosystems. It will do so by (i) upgrading management of protected areas and buffer zones; (ii) resolving threats and underlying causes of biodiversity loss; (iii) establishing a framework to encourage community and private sector participation in conservation by employing sustainable development production systems; and (iv) implementing a system of disseminating information on the value of protected biomes.

Brazil 8 000 000 GEF Project ID 1287 Project Closure

Formoso River - Integrated Watershed Management and Protection

The specific objectives of the proposed project are to: (i) promote the strengthening of local environmental and agricultural institutions and communities, by providing them with land-use planning tools for the formulation and initial implementation of an integrated watershed management plan; (ii) promote the integrated management of existing public and private protected areas; and (iii) support the implementation of sustainable activities on a pilot and demonstrative basis.

Brazil 974 910 GEF Project ID 1642 IA Approved


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National Biodiversity Mainstreaming and Institutional Consolidation Project

The overall objective of the proposed project is to promote mainstreaming of biodiversity and institutional consolidation at national level. The specific objectives are: - to mainstream the conservation and sustainable use of biodiversity into select economic sectors at federal and state government levels; - to mainstream the conservation and sustainable use of biodiversity in the private sector; - to support the consolidation and strengthening of Brazilian institutions working on the development and implementation of biodiversity policy; - to provide critical biodiversity information for policymaking through the monitoring of trends in biodiversity components and the assessment of the sustainability of production and consumption of biodiversity goods and services.


Sustainable Cerrado Initiative The Sustainable Cerrado Initiative Program is designed to allow executors to promote cooperation among States and/or institutions, ensure coordinated actions under a common framework, and replicate an approach to address biome-wide Cerrado conservation.


Tabuleiro State Park: Conservation of Biodiversity and Ecosystem Rehabilitation

The goal of the Project is to contribute to the conservation of the Atlantic Forest biome by strengthening the conservation and management of the Tabuleiro State Park through: implementation of emergency actions designed to increase vigilance and control capabilities; development and initial implementation of a Park Management Plan; building of a community-based conservation constituency; and increased local capacity to implement and monitor conservation activities and disseminate project results, experiences and lessons learned at the local, national and international levels.

Brazil 973 734 GEF Project ID 2817 IA Approved

Effective Conservation and Sustainable Use of Mangrove Ecosystems in Brazil

The project objective is the conservation and sustainable management of mangrove ecosystems to conserve biodiversity and key environmental services and functions important for national development and the well being of traditional and marginalised coastal communities. The immediate objective is to strengthen the existing National System of Conservation Units (SNUC) in its ability to deliver effective conservation and to promote sustainable use of mangroves.


Rio Grande Do Sul Biodiversity Conservation

To promote the conservation and restoration of biodiversity in the state’s grassland ecosystem by mainstreaming biodiversity conservation within the forestry, agriculture, and livestock productive landscapes. This will be done by: assisting farmers to restore and maintain priority areas for biodiversity conservation; strengthening the implementation of public policies that enhance the development of improved management systems; and securing the functions, dynamics and evolution of threatened ecosystems and endemic species.

Brazil 5 000 000 GEF Project ID 2450 CEO Endorsed


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SFM Catalyzing the Contribution of Indigenous Lands to the Conservation of Brazil's Forest Ecosystems

The project will catalyze the consolidation of Indigenous Lands (ILs) as essential protected areas for the conservation of biodiversity in Brazilian forest ecosystems and as a constituent part of the National Protected Areas Plan and Indigenous Peoples Environmental Management Policies.

Brazil 6 000 000 GEF Project ID 2934 CEO Endorsed

Espirito Santo Biodiversity and Watershed Conservation and Restoration Project

The objective of the project is to support the conservation of highly threatened biodiversity and the maintenance of environmental services provided by the rain forest ecosystem in the watersheds important to the state’s population and to the local economy. GEF support will direct efforts beyond water and soil conservation towards conservation of biodiversity in a globally important rainforest ecosystem. The project will also mobilize urban populations for support of private forest conservation efforts and will explore options for compensation of such efforts.


Improving Brazilian Capacity to Conserve and Use Biodiversity through Information Management and Use

The project’s objective is to provide authoritative, strategic and timely information to support decision-makers in the development and implementation of their policies and strategic planning decisions, providing the means to make better executive option choices about the conservation of globally important biodiversity.

Brazil 8 172 727 GEF Project ID 3722 Council Approved

Improved Certification Schemes for Sustainable Tropical Forest Management

The aim of this project is to develop the tools and incentives to help small forest managers, communities and NTFP collectors in the tropics to identify and protect biodiversity in the forests they manage through certification, whilst continuing to meet their own management objectives.

Global 962,000 GEF Project ID 1895 IA Approved

Demonstrations of Integrated Ecosystem and Watershed Management in the Caatinga, Phase I

The goal of the proposed project is to demonstrate the integrated ecosystem management of the Caatinga Forest and build multi-sector capacity so that development and poverty alleviation programmes for the semi-arid region contribute to the capture of global benefits in Biodiversity, Climate Change, Land Degradation, and Integrated Watershed Management. Also, appropriate actions will be explored to reduce emissions of GHGs, enhance capture of carbon via reforestation with native species and reduce desertification.


Caatinga Conservation and Sustainable Management Project

The objectives of the proposed project are to contribute to the protection of Caatinga biodiversity and reduction in carbon emissions and to improve the socioeconomic situation and quality of life of the population living in these areas. To achieve the objectives, the project will include, amongst others, activities on policy and strategy formulation, assessment, and monitoring, and education and capacity building for biodiversity conservation, carbon sequestration activities, and the use of fuel efficient technologies.



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SFM Capacity Development for Climate Change Mitigation through Sustainable Forest Management in non-Annex I Countries

Enhance the capacity of key technical staff in institutions in non-Annex I countries to secure new financing sources for sustainable forest management through climate change mitigation.

Global 1 000 000 GEF Project ID 3818 CEO Approved

SFM: Carbon Benefits Project (CBP): Modelling, Measurement and Monitoring

The objective of this project is to help the GEF promote and prove carbon as a global environmental benefit in SLM interventions by providing a cost effective, user-friendly, yet scientifically rigorous methodology for modelling, measuring and monitoring carbon and GHG mitigation benefits in GFF projects dealing with natural resources in all climate zones and land use systems.

Global 4 996 265 (includes

Brazil)

GEF Project ID 3449 IA Approved

Establishing Sustainable Liquid Biofuels Production Worldwide (A Targeted Research Project)

To identify and fully assess innovative, cost-effective, and sustainable systems for the production of liquid biofuels for transportation and stationary applications, in order to enable the GEF to set clear policies and priorities in this area and embark on investment-oriented projects.

Global 970 000 (includes

Brazil)

GEF Project ID 3224 IA Approved

Assessment of Soil Organic Carbon Stocks and Change at National Scales

To improve national assessment methodologies relating to land use options and UNFCCC requirements, and to support core activities of the GEF Integrated Ecosystem Management Operational Programme and IPCC by developing and demonstrating generic tools which quantify the impact of land management and climate scenarios on carbon sequestration in soils.

Global 978 000 (includes

Brazil)

GEF Project ID 1378 Project Closure

Ecosystem Restoration of Riparian Forests in Sao Paulo

The objective of this project is to develop tools, mechanisms and methodologies to facilitate and encourage future large scale restoration of riparian forests, in order to: support biodiversity conservation; reduce erosion; and reduce local rural poverty. The global objectives of this project are: stop and revert land degradation; increase carbon sequestration in riparian forests; and communicate the global relevance of local biodiversity threats and develop and implement mechanisms that support long term conservation of biodiversity.


Sustainable Land Management in the Semi-Arid Sertão

The objective of the proposed project is to minimise the causes and negative impacts of land degradation on the integrity of the Caatinga biome ecosystem in the North-East of Brazil through the implementation of sustainable land use systems. The development objective is to contribute to an increase in the sustainable development and the quality of life in communities affected by land degradation in the semi-arid North-East of Brazil, through promoting a pilot cross-sectoral approach in support of productive activities and poverty reduction.



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Other Brazilian and/or Donor initiatives relevant to this project

Title Description Budget USD

Operational details

GOVERNMENT OF NORWAY

BRA/08/003 – State Plans for the Prevention and Control of Deforestation in the Brazilian Amazon and Municipal Rural Environmental Registry. Norway/ UNDP Project

The overall objective of the project is to strengthen deforestation prevention and control actions in the Legal Amazon implemented by state governments in collaboration with the federal government, and reduce illegal deforestation in municipalities benefited by the environmental registry of rural properties.

4 300 000

18 April, 2008 to 31 December, 2010 MMA’s Executive Secretariat

WB FEDERAL GOVERNMENT FUNDS

BRA/00/021 Sustainability and Dissemination of Benefits of Biodiversity

To cooperate with national counterpart towards the implementation of the terms of the Convention on Biological Diversity and to Safeguard its biological assets for future generations, providing support to the Ministry of the Environment to define and execute biodiversity policy, action plan and program; establish and coordinate management actions of genetic resources; promote the sustainability of fishing resources; coordinate and integrate efforts towards the creation and management of protected areas on the municipal, state and federal levels, and develop ex-situ conservation, research and tropical botanies.

26 391 317

15 July, 2001 to 31 December, 2009 Secretariat of Biodiversity and Forests

DONATION OF THE GOVERNMENT OF THE NETHERLANDS FEDERAL GOVERNMENT FUNDS

BRA/00/022 Support of Public Sustainable Development Policies

Create or recover certain basic instruments needed to implement sustainable development, through lines of action primarily inserted in the efforts of the Ministry of the Environment to promote the adoption of sustainable development and to efficiently implement the transition from centralized control policies to new participative policies, in benefit of the environment per se; from a “nature economy” to a market economy.

19 586 601

25 June, 2001 to 30 September, 2010 Secretariat for Extractivism and Sustainable Rural Development

GERMAN DEVELOPMENT BANK (KFW)


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Operational details

BRA/03/009 Demonstrative Projects III - (PDA/PDPI)

Contribute to the conservation of the biodiversity of Brazilian tropical forests, and improve the living standards of local populations by promoting the preservation of natural resources and sustainable development in the Amazon and Atlantic Forest regions.

5 881 925

11 November, 2003 to 31 December, 2009 Secretariat of Extractivism and Sustainable Rural Development

DONATION OF THE JAPANESE GOVERNMENT FEDERAL GOVERNMENT FUNDS

BRA/99/025 Amazon Extractivist Support Program

To coordinate governmental and non-governmental agroextractivist support initiatives, implement and define sector-specific public policies, and organize and disseminate information on agroextractivist production and trade. By demonstrating the economic and social importance of this activity, the project aims to create the conditions to change how extractivism is regarded by government agencies and funding institutions, thus generating direct results for the communities, the environment and the domestic economy.

39 344 073

13 December, 1999 to 13 December, 2009 Secretariat of Extractivism and Sustainable Rural Development

INTER-AMERICAN DEVELOPMENT BANK (IDB) FEDERAL GOVERNMENT FUNDS

BRA/00/020 Support of Public Policies in the Area of Environmental Management and Control

To support the implementation of environmental control mechanisms, jointly with the MMA, regarding the proposal of policies and strategies, as well as the development of programs in the following areas: urban and rural environmental policy; different forms of environmental pollution, degradation and risks; waste hazardous to health and the environment; territorial arrangements; and integrated management of marine and coastal environments.

12 436 474

18 July, 2001 to 30 June, 2011 Secretariat of Climate Change and Environmental Quality

INTERNATIONAL TROPICAL TIMBER ORGANIZATION (ITTO)

Project pd 142/02 rev.2(f) Sustainable production of national forests under the “regime of forest concessions”

Contribute to the increase of the production of timber from sustainable management of native forests in the Brazilian Legal Amazon.

1 325 394

1 May, 2004 to 31 June, 2011 BFS

GERMAN TECHNICAL COOPERATION AGENCY (GTZ) INTERNACIONAL INSTITUTE FOR AGRICULTURE COOPERATION (IICA)


68


Operational details

BRA/IICA/05/004 Support of Actions for the Implementation of the National Action Program to Combat Desertification and to Mitigate the Effects of Droughts -PANBRASIL

Establish legal and institutional directives and instruments to optimize the formulation and execution of public policies and private investments in Areas Susceptible to Desertification, to combat desertification, mitigate the effect of droughts, and promote sustainable development.

25 000 000

20/12/2005 a 20/02/2012 Secretariat of Extractivism and Sustainable Rural Development

KFW FEDERAL GOVERNMENT FUNDS

BRA/01/022 Ecological Corridors in the PPG-7

Contribute to the conservation of biodiversity in the Brazilian rain forests through the participation in a pioneering experiment to establish ecological corridors in the central Amazon region and the Atlantic forest.

2nd phase R$ 80 million

4 December, 2001 to 30 December, 2009 Secretariat of Biodiversity and Forests

Annex 2: Results Framework and Monitoring

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Design summary Indicators/targets1 Data sources Assumptions

IMPACTS: Global environment objective: To facilitate informed and participatory strategic decision making in natural resources management, with an emphasis on minimizing land use-changes to conserve biodiversity and carbon stocks.

1. Forest management outside protected areas is based on better information about environmental attributes of forest resources (particularly their value for biodiversity conservation and climate change mitigation and adaptation).

2. Conversion of forest areas important for biodiversity conservation is reduced.

3. Key biodiversity and carbon stock indicators are systematically monitored in 524,000,000 ha of Brazilian forest

4. Carbon stock and fluxes are systematically monitored in Brazilian forests.

1. Report of the final independent evaluation of the project (synthesis of the evaluation of outcomes and interviews with representatives of the major stakeholders).

1. Government institutions (national and sub-national) have the capacity to influence forest management and forest conversion through policies and plans arising as an outcome of this project (i.e. policy and institutional factors outside the control of the project do not alter in a way that would adversely affect project objectives).

Project development objective:

To provide good quality information and analyses about forest resources and land use and cover to improve policies and decision making by stakeholders so as to increase Brazilian forests contribution to national sustainable development.

1. Commercial and socio-economic values of forest resources are measured and integrated into investments in the sector.

1. Report of the final independent evaluation of the project (synthesis of the evaluation of outcomes and interviews with representatives of the major stakeholders).

1. Incentive structures outside the control of the project do not perversely influence investment decisions (or, at least, not more than at present).

Design summary Indicators/targets Data sources Assumptions

OUTCOMES:

1. National framework for forest resource and land monitoring and assessment (including biodiversity and carbon in forests), analysis and

1.1 All relevant agencies (national and sub-national) gather and share compatible information about forest resources.

1.1 Independent ex-post assessment of the institutional arrangements for gathering, sharing and using information about forest resources.

1.1 Stakeholders agree to data collection methodologies and protocols based on science and current “state-of-the-art”.


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strategic decision making is established and operating.

1.2 Forestry development is targeted more effectively towards forest areas of high commercial value.

1.3 Information produced by the NFMA&AS is used in strategic decisions about zoning (ZEE), land-use planning and forest conversion.

1.4 A nationally agreed standard for monitoring and estimating carbon stocks in forests is applied by states and municipalities.

1.2 Examples of strategic decisions about forestry development (by public and private sectors and recorded in project MIS).

1.3 Examples of strategic decisions about zoning, land-use planning and forest conversion (by public and private sectors and recorded in project MIS).

1.4 National Standard published by Government of Brazil.

1.2 Strategic decision-making is based on robust and unbiased analysis of data and information about forest resources.

2. BFS and partners have the capacity to collect and analyse information about forest resources and influence development policies more effectively.

2.1 Training in forest resource assessment and monitoring meets the needs of stakeholders.

2.2 Methodologies are continuously upgraded to place Brazil at the forefront of tropical forest resource assessment.

2.3 Stakeholders trained by the project use their skills to influence development policies.

2.1 Evaluation of training activities (questionnaires/surveys at end of training events).

2.2 Analysis of citations, peer review and participation in high-level technical events (evaluation and analysis in final year of project).

2.3 Follow-up evaluation of impact of training with a sample of participants (in final year of project).

2.1 Other non-staff resources remain adequate to support and maintain capacity of human resources developed by the project.

2.2 Stakeholders trained by the project continue to work in appropriate areas.

2.3 Stakeholders trained by the project have access to decision-makers.

3. Information about forest resources, and land use and cover is improved and widely used by clients at the national and local levels and for reporting to international fora.

3.1 Stakeholders assess the information provided by the project as high-quality, comprehensive and relevant.

3.2 Stakeholders (public and private sectors) use the information in the development of policies, projects and plans.

3.3 Reports to international fora use the information produced by the project.

3.1 Evaluation of project data and information use and quality (annual reviews/surveys report).

3.2 Website hits and downloads (quantity of information used); annual reviews/surveys of where and how the information has been used.

3.3 Reports to conventions and other international bodies.

3.1 Project team and partners gain adequate access to the forest to achieve a high level of coverage of sampling points.

3.2 Data and information needs (already assessed during project preparation) do not change significantly during implementation.1

4. Biodiversity conservation, SFM and climate change adaptation/mitigation

4.1 Number of policies and plans in productive sectors that are changed

4.1 GEF BD SO2 Tracking Tool. 4.2 Policies/laws/plans/regulations that

4.1 There is sustained political and public commitment to change and

1. Impacts and outcomes will be achieved by the end of the project and the timing of activities and outputs is shown as number of months (M) until completion.


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measures are mainstreamed into policies, plans and practices in relevant sectors at the national and sub-national levels.

to enhance biodiversity conservation and support SFM.

4.2 Number of new policies and plans to adapt to and mitigate climate change in land-use activities.

support biodiversity conservation, SFM and climate change adaptation/mitigation (from national/sub-national government and recorded in project MIS).

adopt policies in land-use sectors to reflect biodiversity, SFM and climate change objectives.


OUTPUTS:


Output 1.1: Institutional Partnerships established to assure forest monitoring

1.1.1 - Formalized collaboration arrangements with major stakeholders by M3

1.1.2 National Framework Operational Manual prepared and serving as basis for the NFM&AS by M3

1.1.3 - Extranet site to facilitate cooperation among stockholders established and operating by M9

National partnership framework proposal document approved

Legal agreements signed by the partners

NFM&AS Operational Manual

Committee’s coordination extranet site reports

Extranet site for the dissemination of system’s operating

Output 1.2: Programme Consultative Framework established and technical support and advise to BFS provided

1.2.1 – A National consultative commission established by M3

1.2.2 – 5 Regional consultative commissions established by M9

1.2.3 – A National Technical Committee established and operating by M3

1.2.4 – 3 Thematic committees established as needed

Minutes of the Commissions and Committee’s installation

Meetings´ reports

Output 1.3: State or municipal adhesions negotiated and established

1.3.1 - All 27 States and some municipalities aware of the potential for SFM and managing and developing their territories based on sound and accurate information

1.3.2 – At least two demonstration studies for states and/or selected municipalities completed demonstrating the application of the BFS methodology for data collection, analysis and presentation of information facilitating strategic

Studies reports

1. Partners agree with the framework and formalize their participation on time

2. Stakeholders participate effectively in consultative committees and commissions

3. Political and public commitment guarantee

4. States and municipalities engaged in the project activities


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decision making, by M24


Output 2.1: Technical support and implementation development established and operating

2.1.1 – Executive Secretariat of the NFM&AS, including the Technical Unit, operating by M9

2.1.2 – Data collection and quality control procedures organized in Field Manuals by M9

2.1.3 - Data and information on definition and terminology organized in a glossary , by M9

Enterprises and Consultant’s reports

Field Manuals

Output 2.2: Capacity for data collection, processing and analysis assured

2.2.1 – 60 field team members, BFS team and selected stakeholders trained annually accordingly to schedule

2.2.2 - Parameters, fitted equations, adequate procedures and advanced and innovative technologies developed accordingly to research programme

2.2.3 - General indicators relevant for the analysis of major forest management, land use, biomass related carbon accounting, and biodiversity issues developed and disseminated

Training reports and trainee’s assessment forms

Allometric equations available for different forest typologies

3. Baseline and monitoring and information system establishment

Output 3.1: Data collection under execution

3.1.1 - Five reports on ancillary information and five kits of operational maps for field data collection available by M3, M13; M25; M37; M49

3.1.2 - Two standard terms of reference and two protocols for field data collection by M3

3.1.3 - Two standard terms of reference and two protocols for landscape sampling by M3

3.1.4 - One standard terms of reference and

Reports and kits of operational maps

ToR, Protocols

5. Data collecting is carried out accordingly to schedule

6. Information quality is guarantee by the designed quality control programme

7. GoB funding is adequate and timely available

8. Conditions for field data collecting are


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one protocol for annual preparation of operational maps by M3

3.1.5 - Two standard terms of reference and two protocols for quality control of field data collection by M3

3.1.6 - Two standard terms of reference and two protocols for quality control landscape sampling by M3

3.1.7 - Scenes of high resolution images for the landscape sampling analysis acquired – 250 by M2, 600 by M14, 854 by M26,1732 by M38, 1294 by M50

3.1.8 – High quality field data collected by M12, M24, M36, M48

3.1.9 – Good quality landscape data produced - 125 by M5, 300 by M17, 427 by M29, 866 by M 41, 647 by M53

3.1.10 - Quality control executed accordingly to schedule, by M15, M27, M39, M51, and M60

3.1.11 - Soil samples collection carried out and information available by M12, M24, M36, M48, and M60

Images

Reports on field data collection

Reports on landscape sampling

Quarterly reports on quality control

Quarterly reports on soil sampling collection

Output 3.2: Vegetation mapping carried out and available

3.2.1 - One report on the current status of the PROBIO vegetation mapping by M3

3.2.2 – Standard terms of reference, protocols and documents, to hire firms for one-time adaptation of PROBIO maps by M3

3.2.3 - One report on available geospatial data and evaluation of its applicability to the NFM&AS purposes prepared by M3

3.2.4 – One report on definition of strata by M3

3.2.5 - One-time adapted PROBIO map by

Reports and maps

assured


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M9 and support to five initiatives on the vegetation mapping updating by M6; M14; M26; M38; M50

3.2.6 - One report on national parameters and terminology for the vegetation mapping prepared by M6

3.2.7 – Terms of Reference for a new national vegetation mapping to support the NFM&AS purposes by M18

3.2.8 - One report on support on the methodology and procedures to integrate the collected field and landscape data with mapping by M25

3.2.9 - One report on methodology and procedures for land cover monitoring changes by M36

Output 3.3: Data processing and analysis carried out and information available

3.3.1 - Information system for storing and processing the collected data developed and operating by M3

3.3.2 - Data storing and processing and system maintaining performed by M13, M25, M37 and M49

3.3.3 - Ten reports on soil sample processing and analysis by M13, M25, M37, M49, M60

3.3.4 - One report on procedures and protocols for data processing and general analysis prepared by M9

3.3.5 - One report on procedures and protocols for data and information access by users, including data security and source protection prepared by M12

3.3.6 - One report on developing policies and procedures for tailor made access to database by licensed analyses service

Information system

Reports


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concessionaries prepared by M13

3.3.7 - Four reports on analysis of the results and accessibility to stakeholders prepared by M15, M27, M39, M51

3.3.8 - Annual report on species identified and exsiccates by M12, M24, M36, M48, M60

3.3.9 - Four reports on analysis of forest resources status at national, regional and state level by M18, M30, M42, M54

3.3.10 - Four reports on biodiversity indicators by M18, M30, M42, M54

3.3.11 - Four reports on forest biomass, carbon and emissions indicators analysis by M18, M30, M42, M54

3.3.12 - Four report on socioeconomic indicators analysis by M18, M30, M42, M54

3.3.13 - Four reports on analysis of the results and accessibility to stakeholders delivered at M18, M30, M42, M54


Output 4: Reliable, accurate and updated information for Policies to contribute to SFM and enhanced carbon stock and biodiversity conservation improved

4.1 - Effectiveness Promotion Committee (EPC) established by M3 and operational thereafter

4.2 - Five-year Effectiveness Promotion Plan (EPP) by M9 and implemented thereafter

4.3 – An internet site developed by M6 and updated as needed

4.4 – Publications, marketing materials and reports made available from M9

4.5 - Monitoring reports on the use of NFM&AS results in media by M21 and annually (M33, M45 and M57)

Established plan for monitoring and reports

Reports and outputs of the studies

Seminars reports

Reports of surveys and evaluation

Quarterly reports

9. Stakeholders and partners participate actively in the monitoring tasks, seminars and survey evaluations.


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4.6 - Evaluation of the use of NFM&AS products by M21 and annually (M33, M45 and M57)

4.7 - Licensing for access of NFM&AS raw data and information by license holders from M12 and on as demanded

4.8 - At least 5 policy-oriented studies prepared including recommendations on policies and instruments to reduce carbon emissions and biodiversity loss from adverse land-use changes

4.9 - At least 5 policy-oriented studies prepared including recommendations on policies and instruments to strengthen biodiversity conservation in production forest and to support local livelihoods

4.10 – 4 Annual Forest Policy and Effectiveness Seminars undertaken by M21 and annually (M33, M45 and M57)

4.11 - Annual report and seminars of NFM&AS products undertaken by M21 and annually (M33, M45 and M57)


INDICATIVE ACTIVITIES:

1. National framework for forest resource monitoring, analysis and strategic decision making

1.1.1 To establish a TCA with IBGE - Completed during inception by M3 Inception report

1.1.2 To establish a TCA with EMBRAPA-Forestry

- Completed during inception by M3 Inception report

1.1.3 To define a National Framework Operational Manual


1.1.4 To implement an Extranet site to facilitate cooperation among stockholders

- Completed by M9 Quarterly report


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1.2.1 To establish the National Consultative Commission


1.2.2 To establish Regional Consultative Commissions

- Completed during inception by M9 Quarterly report

1.2.3 To establish the National Technical Committee

- Completed by M3 Inception reports

1.2.4 To establish Thematic Committees as needed - As needed Quarterly reports

1.3.1 To provide technical assistance to states and municipalities interested and obtaining more precise data for their jurisdictions

- Initiated by M3 and thereafter Inception report

Quarterly reports

1.3.2 To define procedures and protocols for interested states and/or municipalities to adhere to BFS data collection procurement processes

- Carried out by M6 Procedures and protocols available

1.3.3 To define institutional arrangements for joint follow up of data collection contract execution by the BFS and involved state-municipal authorities

- Defined by M9 Quarterly reports

Protocols

1.3.4 To define instruments and protocols for access to raw data for involved state-municipal authorities

- Defined by M13 and thereafter Instruments and protocols available

1.3.5 To conduct two pilot studies, at State and Municipality level, respectively, to demonstrate potential applications of NFM&AS methodologies at these levels

- Carried out by M24 Studies reports

Quarterly reports

2. Capacity building for the management of NFM&AS

2.1.1 To establish the Executive Secretariat, including human resources, equipments, and materials in adequate quality and quantity, and in time

Established by M9

Inception report

Quarterly reports

Protocol

2.1.2 To update and/or validate the protocols for field data collection

Carried out by M9 Quarterly reports


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(NFM&AS Field Manual and field forms) considering the methodological differences among biomes and methodological evolution

2.1.3 To strengthen selected herbaria and develop innovative tree species identification mechanisms

Carried out by M15 Quarterly reports

2.1.4 To harmonize and define terminology for vegetation classification, land use and forest systems quality

Completed by M9 Quarterly reports

2.1.5 To establish a technical units within the Executive Secretariat to support the main technical activities

Established by M6

Inception report

Quarterly reports

Protocol

2.2.1 To train data collectors, project team and stakeholders

- Carried out by M6, M18, M30, and 42 - Training reports and training evaluation

- Quarterly reports

2.2.2 To undertake research and methodological development activities

- Established by M3 and developed thereafter accordingly to demand

- Quarterly reports

- Research results reports

2.2.3 To control data quality - Established by M3 and developed thereafter accordingly to demand

- Quarterly reports

- Quality control reports

2.2.4 To develop and calculate general indicators relevant for the analysis of major forest management, land use, biomass related carbon accounting, and biodiversity issues

- Carried out by M15, M27, M42, and M54

- Quarterly reports

- Indicators report

Component 3: Baseline and Monitoring and Information System establishment

3.1.1 To prepare ancillary information regarding each field data collection area, including the preparation of operational maps (image maps) for field data collection planning purposes

- Executed by M3, M13, M25, M37 and M49

Reports

Kits of maps

3.1.2 To prepare standard terms of reference, protocols, and other procurement documents to hire firms for field data

- Completed by M3 ToR protocol


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collection including previous area checking and field data collection supervision

3.1.3 To prepare standard terms of reference and protocols, and other procurement documents, to hire firms to perform landscape sampling using satellite imagery


3.1.4 To prepare standard terms of reference and protocols, and other procurement documents to hire firms for annual preparation of operational maps for field data collection planning purposes


3.1.5 To prepare standard terms of reference and protocols, and other procurement documents to hire firms for quality control of field data collection for planning purposes


3.1.6 To prepare standard terms of reference and protocols, and other procurement documents to hire firms for quality control of landscape sampling for planning purposes


3.1.7 To acquire, prepare and interpret high resolution imagery for the landscape sampling analysis

- Images available by M2, M14, M26, M38, and M50

Images (digital format)

3.1.8 To collect field data - High quality field data collected by M12, M24, M36, and M48

Annually reports

3.1.9 To produce landscape data - Good quality landscape data produced by M5, M17, M29, M41, and M53

Annually reports

3.1.10 To perform quality control of the field data collection and for the landscape sampling

- Quality control carried out by M15, M27, M39, M51, and M60

Annually reports

3.1.11 To collect soil samples - Soil data collected and information available by M12, M24, M36, M48, and M60

Annually reports

3.2.1 To evaluate the current status of the - Completed by M3 Report


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PROBIO vegetation mapping

3.2.2 To prepare standard terms of reference and protocols, and other procurement documents, to hire firms for one-time adaptation of PROBIO maps

- Prepared by M3 ToR protocol

3.2.3 To identify geospatial data available in federal and state institutions to evaluate its applicability to the NFM&AS purposes

- Completed by M3 Report

3.2.4 To define strata based on ecological, economical and rare events criteria


3.2.5 To support the vegetation mapping updating especially in areas with high ecological, economical and social values

- Carried out by M6, M14, M26, M38, M50 (one-time adaptation of PROBIO map by M9)

Maps

3.2.6 To define national parameters and terminology for the vegetation mapping


3.2.7 To elaborate a new national project for the vegetation mapping supporting NFM&AS purposes

- Completed by M18 Specific project

3.2.8 To define methodology and procedures to integrate the collected field and landscape data with mapping for regional and national purposes

- Carried out by M25 Methodology and procedure guidelines available

3.2.9 To define methodology and procedures for land cover monitoring changes

- Carried out by M36 Methodology and procedure guidelines available

3.3.1 To develop an information system for storing and processing the collected data, to generate standardized results, and also specific results derived from research carried out in the database including the acquisition of equipments and software and hiring personal for the system operation

- Completed by M3 Information system

3.3.2 To perform data storing and processing and system maintaining

- Completed by M13, M25, M37 and M49

Report


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3.3.3 To perform soil sample processing and analysis

- Completed by M13, M25, M37, M49, and M60

Report

3.3.4 To prepare procedures and protocols for data processing and general analysis

- Procedures and protocols prepared by M9

Procedures and protocols guidelines

3.3.5 To create procedures and protocols for data and information access by users, including data security and source protection

- Procedures and protocols prepared by M12

Procedures and protocols guidelines

3.3.6 To develop policies and procedures for data access including financial aspects such as cost structures and charging prices for tailor made access to database by licensed analyses service concessionaries

- Policies and procedures developed by M13

Policies and procedures guidelines

3.3.7 To develop analysis of the results and transform them into information accessible to stakeholders

- Completed by M15, M27, M39, and M51

Reports

3.3.8 To plant preparation and exsiccates maintaining and species identification in herbarium

- Carried out by M12, M24, M36, M48, and M60

Reports

3.3.9 To perform analysis of forest resources status at national, regional and state level

- Completed by M18, M30, M42, and M54

Reports

3.3.10 To perform and analyze biodiversity indicators

- Completed by M18, M30, M42, and M54 Reports

3.3.11 To perform and analyze forest biomass, carbon and emissions indicators analysis


3.3.12 To perform and analyze socioeconomic indicators analysis


3.3.13 To develop analysis of the results and transform them into information accessible to stakeholders


Component 4: Policies to enhance the contribution of SFM to national development and global environment benefits


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4.1 To establish and operate an Effectiveness Promotion Committee (EPC)

- EPC established and fully involved with BSF in the promotion of NFM&AS results from M3

- APPR

4.2 To design and implement a five-year Effectiveness Promotion Plan (EPP) including effectiveness, communication, and marketing activities, such as publications and marketing of NFM&AS products

- Five-year Effectiveness Promotion Plan (EPP) by M9

- Provide stakeholders with effective communication and marketing of NFM&AS products results by M12 and thereafter

- APPR

- Quarterly reports

4.3 To develop and maintain an Internet Site for the dissemination of NFM&AS products

An internet site developed by M6 and updated as needed

- Supervision of service provided according to timetable of each contract beginning in M6

- APPR

- Quarterly reports

4.4 To monitor the use of project results in the media (Internet, printed press, TV, radio), in academic studies, in policy debates, and others

- Annual monitoring report on the use of NFM&AS results in media by M21 and annually (M33, M45 and M57)

- APPR

- Quarterly reports

- Annual monitoring report

4.5 To evaluate the uses of NFM&AS products by different stakeholders through periodic surveys on NFM&AS products use by stakeholders

- Stakeholders use of NFM&AS products and information surveyed and report available by M21 and annually (M33, M45 and M57)

- Strategies for improving effectiveness of stakeholder uses or NFM&AS products by M21

- APPR

- Quarterly reports

- Annual survey report

4.6 To establish a licensing mechanism for access to NFM&AS raw data and information by information-oriented license holders to provide analysis services to stakeholders

- NFM&AS data and information available to licensees from M12 as demanded

- Stakeholders benefiting and mainstreaming project products in their decision-making process by M12

- APPR - Quarterly reports

4.7 To develop 10 policy oriented studies a year to be presented at Annual Forest Policy

- At least 10 policy-related studies on NFM&AS results disseminated to

- APPR

- Quarterly reports


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and Effectiveness Seminars stakeholders by M21 and annually thereafter (M33, M45 and M57)

- Policy-related seminar fully contributing to communication and dissemination of the NFI results

- Study reports

4.8 To undertake yearly Seminars and participate in events to present or promote project results

- 4 -Annual Forest Policy and Effectiveness Seminars held by M21 (and annually by M33, M45 and M57)

- Participation in scientific and technical events for diffusion of the project results annually as needed

- APPR

- Quarterly reports

- Seminars’ and events’ proceedings

Annex 3: Detailed Project Description

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The project will be executed in five years has a total estimated budget of USD 65.5 million. Total project costs distributed by funding source are: (i) GEF - USD 8.9 million; (ii) Government of Brazil - USD 56.4 million, and (iii) FAO - USD 0.3 million. It has been structured into the four components and subcomponents, as described below:


1: Institutional Partnerships: 2: Programme Consultative Framework 3: State or Municipal Adhesions


1. Technical support and implementation development 2. Capacity building for data collection, processing and analysis

3. Baseline and Monitoring and information system establishment

1. Data collection 2. Vegetation Mapping 3. Data processing and analysis


Detailed Description of Components

Component 1

National framework for forest resource monitoring, analysis and strategic decision

making

(GEF USD 84 632; GoB USD 908 026; FAO USD 60 000).

Objectives: The objective of the component is to establish a permanent national framework based on legal arrangements and operational instruments to allow and facilitate collaboration between the BFS and selected stakeholders from the public, non-governmental, academic, and private sectors, and promote States and Municipalities adopting of the national forest monitoring system. This inter institutional framework is needed to assure timely and cost effective resource monitoring, analysis, and strategic decision making as well as to contribute for the effective use of the information and knowledge generated.

Main component output: National framework for forest resource and land monitoring and assessment (including biodiversity and carbon in forests), analysis and strategic decision making is established and operating

The component’s activities are described in each of its three subcomponents:

Subcomponent 1.1: Institutional Partnerships

Objectives: The objective of the subcomponent is to establish partnerships with national institution with mandates of interest for the monitoring of forest.


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Activities: To achieve this objective, the component supports the following activities: (i) to establish a Technical Cooperation Agreement (TCA) with Brazilian Institute for Geography and Statistics (IBGE); (ii) to establish a TCA with Brazilian Agricultural Research Corporation in charge of forestry research (EMBRAPA-Forestry); (iii) to define a National Framework Operational Manual; and (vi) to implement an Extranet site to facilitate cooperation among stakeholders.

Geographic scope: The subcomponent sets the national framework for inter institutional collaboration among stakeholders on a countrywide basis. It also allows establishing institutional arrangements for coordination at a regional basis and designs recommendable mechanisms to facilitate the coordination of stakeholders at state level.

Target populations: The primary target groups are government institutions involved in natural resource monitoring at national and regional scale, and stakeholders of different interest groups of society, who can be seen as the clients of the project main outputs, basically information on forest resources.

Expected Outputs: (i) formalized collaboration arrangements with major stakeholders; (ii) National Framework Operational Manual prepared and serving as basis for the NFM&AS, and; (iii) Extranet site to facilitate cooperation among stakeholders established and operating.

Subcomponent 1.2: Programme Consultative Framework

Objectives: The objective of this subcomponent is to set up a consultative framework to allow the participation in the NFM&AS programme and to provide technical support and advice to the BFS in the management of the programme.

Activities: To accomplish this objective the following activities will be undertaken: (i) to establish the National Consultative Commission; (ii) to establish Regional Consultative Commissions; (iii) to establish the National Technical Committee; (iv) to establish Thematic Committees as needed.

Geographic scope: The sub component sets the national framework for project consultation at different scales and nature. It allows the main national institutions related to forest resource use and management.

Target populations: The primary target groups are government institutions involved in natural resource use and management at national and regional scale.

Expected Outputs: (i) national consultative commission established; (ii) regional consultative commissions established; (iii) the National Technical Committee established and operating; and (iv) thematic committees established as needed

Subcomponent 1.3: State or Municipal Adhesions

Objectives: The objective of this subcomponent is to promote the State´s and Municipalities’ is to promote the State’s and Municipalities’ adoption of the NFM&AS framework as basis for their forest resources monitoring.


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Activities: The following activities will be held to accomplish the objectives: i) to provide technical assistance to states and municipalities interested and obtaining more precise data for their jurisdictions; (ii) to define procedures and protocols for interested states and/or municipalities to adhere to BFS data collection procurement processes (iii) to define institutional arrangements for joint follow up of data collection contract execution by the BFS and involved state-municipal authorities;( iv) to define instruments and protocols for raw data access to involved state-municipal authorities; (v) to conduct two pilot studies, at State and Municipality level, respectively, to demonstrate potential applications of NFM&AS methodologies at these levels.

Geographic scope: The subcomponent works at the national framework, potentially with 27 States and with municipalities manifest interest in establish the national forest monitoring system with customization of sampling intensity and additional variables.

Target populations: The primary target groups are States and Municipalities, represented by their personal or institutional representatives.

Expected Outputs: (i) all states and some municipalities are aware of the potential of the potential for SFM and managing and developing their territories based on sound and accurate information; and (ii) demonstration studies for states and/or selected municipalities demonstrating the application of the BFS methodology for data collection, analysis and presentation of information facilitating strategic decision making.

Component 2

Capacity building for the management of the NFM&AS

(GEF USD 1 846 683; GoB USD 9 309 308; FAO USD 60 000).

Objectives: The objectives of the component are to strengthen BFS capacities to support the sustainability of the NFM&AS after the end of the project including capacities needed to undertake research and continuous methodological development activities; and to assure the availability of well trained professionals able to properly collect and process primary data, and to develop and calculate general indicators relevant for the analysis of major forest management, land use, biomass related carbon accounting, and biodiversity issues.

Main component outputs: Output 2.1: Technical support and implementation development established and operating; Output 2.2: Capacity for data collection assured

The component’s activities are described in two subcomponents:

Subcomponent 2.1: Technical support and implementation development

Objectives: The objective of the subcomponent is to assure that the BFS counts with the capacity to manage the technical and operational aspects of the implementation and operation of the NFM&AS.

Activities: To achieve these objectives, the subcomponent supports the following activities: (i) establish the Executive Secretariat of the NFM&AS, including human resources, equipments, and materials in adequate quality and quantity, and in time; (ii) to update and/or validate the protocols for field data collection (NFM&AS Field Manual and field forms) considering the methodological differences among biomes and methodological evolution; (iii) to strengthen selected herbaria and develop innovative tree species identification mechanisms; (iv) to harmonize and define terminology for vegetation classification, land use and forest systems quality; and v) to establish a technical unit within the Executive Secretariat of the NFM&AS to support the main technical activities.


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Geographic scope: The component sets the technical activities for supporting data collection by enterprises and institutions, as well as to manage the different technical unities. The geographic scope is national.

Target populations: The primary target groups are partner institutions, consultants, enterprises and stakeholders.

Expected Outputs: (i) Executive Secretariat of the NFM&AS, including Technical Unit, is operating; (ii) a glossary of technical terms and acronyms; (iii) detailed field manuals considering the peculiarity of the six Brazilian biomes and manuals on socioeconomic interviews; (iv) manual of procedures for collecting plants for the identification and botanical filing; (v) manual for monitoring procedures and quality control; (vi) manual containing the procedures for sampling and analysis of the landscape; (vii) innovative tree pieces identification mechanism and strengthened selected herbaria; and (viii) harmonized terminologies for vegetation classification, land use, and forest system quality.

Subcomponent 2.2: Capacity for data collection, processing and analysis

Objectives: The objectives of the subcomponent are to assure that there will be a well qualified number of professionals in the country capable of applying the NFM&AS data collection protocols, technical parameters and innovative procedures and technologies, and to collect, organize and document annual indicators related to forest resource that are not covered by the national forest monitoring sampling and main sources of data.

Activities: To achieve these objectives, the subcomponent supports the following activities: (i) to train data collectors, project team and stakeholders; (ii) to undertake research and methodological development activities; (iii) to control data quality; and (iv) to develop and calculate general indicators relevant for the analysis of major forest management, land use, biomass related carbon accounting, and biodiversity issues.

Geographic scope: The component sets the activities at national scale.

Target populations: The primary target is people and groups involved with data collection, institutions involved in research activities and governmental institutions involved with forestry activities.

Expected Outputs: (i) field teams, BFS team and selected stakeholders trained in data collection, quality control procedures, calculation and monitoring of annual forest resource indicators applying innovative methodologies and technologies; (ii) parameters, fitted equations, adequate procedures and advanced and innovative technologies developed; (iii) general indicators relevant for the analysis of major forest management, land use, biomass related carbon accounting, and biodiversity issues developed, calculated, and disseminated.

Component 3

Baseline and monitoring and information system establishment (GEF USD 5 486 740; GoB USD 41 753 095; FAO USD 60 000)

Objectives: The objective of the component is to support activities needed to assure the timely collection and processing of NFM&AS data.

The component’s activities are described below by subcomponent.

Subcomponent 3.1: Data collection


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Objectives: The objective of the subcomponent is to establish the Brazilian forest resources baseline through field data collection (a cluster plot distribution over a systematic grid and local people interviews - being carried out simultaneously at the same plot locations) and a strategy to spatial information gathering using high resolution satellite imagery. The subcomponent aims, furthermore, at establishing mechanisms for periodic data collection as a permanent programmatic activity of the GoB.

Activities: To achieve these objectives, the subcomponent supports the following activities: (i) to prepare ancillary information regarding each field data collection area, including the preparation of operational maps (image maps) for field data collection planning purposes; (ii) to prepare standard terms of reference, protocols, and other procurement documents to hire firms for field data collection1 including previous area checking and field data collection supervision; (iii) to prepare standard terms of reference and protocols, and other procurement documents, to hire firms to perform landscape sampling using satellite imagery; (iv) to prepare standard terms of reference and protocols, and other procurement documents to hire firms for annual preparation of operational maps for field data collection planning purposes; (v) to prepare standard terms of reference and protocols, and other procurement documents to hire firms for quality control of field data collection for planning purposes; (vi) to prepare standard terms of reference and protocols, and other procurement documents to hire firms for quality control of landscape sampling for planning purposes; (vii) to acquire, prepare and interpret high resolution imagery for the landscape sampling analysis; (viii) to collect field data and obtain landscape data; (ix) to perform quality control of the field data collection and for the landscape sampling; and (x) to collect soil samples1.

Target populations: The primary target groups are forestry consulting small firms or large corporations, specialized in collecting field data and in supervising field data collection, spatial information groups, foresters, landowners and local people (to be interviewed), universities and research centers, BFS public and private partners.

1 The entire country will be covered by the data collection activities within a five-year cycle. For the project execution period, the first cycle,

the tentative sequencing of states is the following: year 1 – Rio Grande do Sul, Santa Catarina, Rio de Janeiro, Sergipe and Distrito Federal; year 2 – Paraná, São Paulo, Minas Gerais and Espírito Santo; year 3 –Bahia, Alagoas, Pernambuco, Paraíba, Rio Grande do Norte, Ceará Piauí, and Maranhão; year 4 – Pará, Amapá, Tocantins, Goiás, Mato Grosso e Mato Grosso do Sul; and year 5 – Amazonas, Roraima, Acre and Rondônia. The subsequent cycles, as parto f programatic activities of the BFS, will be undertaken in the following sequence: year n+1 (where n is a multiple of 5) – Rio Grande do Sul, Santa Catarina, Paraná, São Paulo, Minas Gerais and Espírito Santo; year n+2 – Mato

lxxxviii

lxxxviii

lxxxviii

lxxxviii


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Expected results: The expected results will be: (i) report on ancillary information regarding each field data collection area prepared, kit of operational maps for field data collection prepared; (ii) standard terms of reference, protocols and documents to hire firms for field data collection2 prepared; (iii) standard terms of reference, protocols and documents to hire firms to perform landscape sampling prepared; (iv) standard terms of reference, protocols and documents to hire firms for annual preparation of operational maps for field data collection prepared; (v) standard terms of reference, protocols and documents to hire firms for quality control of field data collection prepared; (vi) standard terms of reference, protocols and documents to hire firms for quality control of landscape sampling prepared; (vii) high resolution imagery for the landscape sampling analysis acquired, prepared and interpreted; (viii) high quality field data collected; (ix) good quality landscape data produced; (ix) quality control of the field data collection and for the landscape sampling performed; and (x) soil samples collected.

Subcomponent 3.2: Vegetation Mapping

Objectives: The objective of the subcomponent is to evaluate the existing mapping sources and current status of geospatial data, to support the updating of the current vegetation mapping and to prepare a strategy for further vegetation mapping and monitoring. Additionally, the subcomponent aims at defining procedures to integrate the collected field and landscape data with mapping for regional and national purposes.

Activities: (i) evaluate the current status of the PROBIO vegetation mapping; (ii) prepare standard terms of reference and protocols, and other procurement documents, to hire firms for one-time adaptation of PROBIO maps; (iii) identify geospatial data available in federal and state institutions to evaluate its applicability to the NFM&AS purposes; (iv) define strata based on ecological, economical and rare events criteria; (v) support the vegetation mapping updating especially in areas with high ecological, economical and social values; (vi) define national parameters and terminology for the vegetation mapping; (vii) elaborate a new national project for the vegetation mapping giving support to the NFM&AS purposes; (viii) define methodology and procedures to integrate the collected field and landscape data with mapping for regional and national purposes;(ix) define methodology and procedures for land cover monitoring changes.

Target populations: The primary target groups are remote sensing, mapping and monitoring providers, universities and research centers, BFS public and private partners.

Grosso do Sul, Mato Grosso, Goiás and Distrito Federal; year n+3 – Bahia, Alagoas, Sergipe, Pernambuco, Paraiba, Rio Grande do Norte, Ceará, Piauí and Maranhão; year n+4 - Pará, Tocantins and Amapá; and year n+5 – Amazonas, Roraima, Acre and Rondônia. See State and Regions map of Brazil in annex 14.

1 The strategy to access information on soil carbon establish data collection in two phases, the first one to characterize strata on a national level, followed by the establishment of soil profiles on selected areas and data collection on soil density.


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Expected results: The expected results will be: (i ) report on the current status of the PROBIO vegetation mapping prepared; (ii) standard terms of reference, protocols and documents, to hire firms for one-time adaptation of PROBIO maps prepared; (iii) report on available geospatial data and evaluation of its applicability to the NFM&AS purposes prepared; (iv) report on definition of strata based on ecological, economical and rare events criteria prepared; (v) support on the vegetation mapping updating in areas with high ecological, economical and social values performed; (vi) report on national parameters and terminology for the vegetation mapping prepared; (vii) project for a new national vegetation mapping giving support to the NFM&AS purposes elaborated; (viii) report on the methodology and procedures to integrate the collected field and landscape data with mapping for regional and national purposes elaborated; and (ix) report on methodology and procedures for land cover monitoring changes prepared.

Subcomponent 3.3: Data processing and analysis

Objectives: The objective of the subcomponent is to process the primary data collected, prepare general analyses, and make data and information available to the clients and stakeholders.

Activities: To achieve these objectives, the subcomponent supports the following activities: (i) to develop an information system for storing and processing the collected data, to generate standardized results, and also specific results derived from research carried out in the database including the acquisition of equipments and software and hiring personal for the system operation; (ii) to perform data storing and processing and system maintaining; (iii) to perform soil sample processing and analysis; (iv) to prepare procedures and protocols for data processing and general analysis; (v) to create procedures and protocols for data and information access by users, including data security and source protection; (vi) to develop policies and procedures for data access including financial aspects such as cost structures and charging prices for tailor made access to database by licensed analyses service concessionaries; (vii) to develop analysis of the results and transform them into information accessible to stakeholders; (viii) to plant preparation and exsiccates maintaining and species identification in herbarium; (ix) to perform analysis of forest resources status at national, regional and state level; (x) to perform and analyze biodiversity indicators; (xi) to perform and analyze forest biomass, carbon and emissions indicators analysis; (xii) to perform and analyze socioeconomic indicators analysis; and (xiii) to develop analysis of the results and transform them into information accessible to stakeholders.

Target populations: The primary target groups are forestry consulting firms the national public stakeholders, existing and future partners, and individuals who would receive benefits over the long-term.


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Expected results: The expected results will be: (i) information system for storing and processing the collected data developed and operating; (ii) data storing and processing and system maintaining performed; (iii) reports on soil sample processing and analysis prepared; (iv) reports on procedures and protocols for data processing and general analysis prepared; (v) reports on procedures and protocols for data and information access by users, including data security and source protection prepared; (vi) reports on developing policies and procedures for data access for tailor made access to database by licensed analyses service concessionaries prepared; (vii) reports on analysis of the results and accessibility to stakeholders prepared; (viii) species identified and exsiccates maintained in herbarium; (ix) reports on analysis of forest resources status at national, regional and state level prepared; (x) reports on biodiversity indicators prepared; (xi) reports on forest biomass, carbon and emissions indicators analysis prepared; (xii) reports on socioeconomic indicators analysis prepared; and (xiii) reports on analysis of the results and accessibility to stakeholders prepared.

Component 4

Policies to enhance the contribution of SFM to national development and global

environmental benefits (GEF USD 187 373; GoB USD 2 026 703; FAO USD 60 000)

Objectives: To provide reliable, accurate and updated information to enhance policy and decision making so as to increase the contribution of the SFM and forest lands to national development and the global environment. This will be achieved through the promotion and dissemination of NFM&AS information and knowledge generated. In addition, the component will measure, monitor, and evaluate the effectiveness of the project results.

Geographic scope: The component has a national framework for inter-institutional collaboration among stakeholders on a countrywide and worldwide basis, extending beyond the five-year project. Such scope allows establishing institutional arrangements for information promotion at a regional, national and international basis.

Activities: To achieve this objective, the component supports the following activities: (i) to establish and operate an Effectiveness Promotion Committee (EPC) (see Terms of Reference in Annex 5); (ii) to design and implement an Effectiveness Promotion Plan including effectiveness, communication, and marketing activities such as publications and marketing of NFM&AS products; (iii) to develop and maintain an Internet site for the dissemination of NFM&AS products; (iv) to monitor the use of project results in the media (Internet, printed press, television, radio), in academic studies, in policy debates, and others; (v) to evaluate the uses of NFM&AS products by different stakeholders through periodic surveys on NFM&AS products use by stakeholders; (vi) to establish a licensing mechanism whereby for access to NFM&AS raw data and information can be accessed by information-oriented license holders to provide analysis services to stakeholders; and (vii) to develop 10 policy oriented studies a year to be presented at Annual Forest Policy and Effectiveness Seminars; and (viii) to undertake yearly Seminars and participate in events to present or promote project results.

Promoting and disseminating the use of the NFM&AS information and results is the ultimate purpose of the effort undertaken by the project. Such information is an important decision element for decision-makers. This effort leaded by BFS is expected to contribute to the SFM to national development and for improving global environment as a whole. In a country as large and complex as Brazil, decision-makers can only make proper decisions based on the most updated and accurate information on forest resources. In order to achieve and guarantee cost-effectiveness of the promotion and dissemination efforts, and in accordance with the mandate of the BFS, this component will hire subcontracting services.


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Among the initial activities of this component is the establishment of the Effectiveness Promotion Committee (EPC) by BFS. This Committee will serve as an advisory body, while the BFS will act as the executive body for the promotion and marketing activities. It has the key objectives of orienting the promotion of the project results; implementing communication and marketing activities; and measuring, monitoring and evaluating the effectiveness of NFM&AS products use by different stakeholders. The EPC will have a five-year mandate and will define an agenda or working meetings over the project time-frame. Additional meetings may be scheduled as needed.

The Committee will have a key role in the design and effective implementation of a five-year Effectiveness Promotion Plan (EPP) of the project. Such plan needs to be defined in the inception phase of the project, in the first year of the project implementation. The EPP will serve as the guideline for the strategies and actions leading to the promotion and dissemination of NFM&AS products, the effectiveness of the project results as well as the measurement, monitoring and evaluation of the effectiveness of NFM&AS products use.

As for the communication and marketing activities, the plan will include the publication and marketing of NFM&AS products and the design and maintenance of the project’s Internet site. The establishment and maintenance of an Internet site will allow the continuous promotion of NFM&AS information and project results. Such Internet site needs to be informative and fully operational by stakeholders with the most updated information on the project results. This component also considers licensing selected NFM&AS raw data and information to license holders. These licensees can be either public or private organizations interested to prepare and provide added-value analysis services for different clients. This activity covers the definition of the operational criteria of the licensing system, preparation of the ToR for contract hiring, and the recommendation for approval of firms that qualify as licensees by the EPC. Such service providers can be selected through a BFS’s open bidding process. The regulation for the licensing process, data use conditions and contract model will be defined prior to the licensing hiring. BFS needs to guarantee that the safety and data use control mechanisms are in place. In this process, BFS will develop and follow an Operative Manual as the managing agency of the concessions. Rules for the bidding process and selection (terms of reference) will be clearly stated to guarantee that the service providers fulfill the requirements. The BFS and the EPC will define the financial aspects of the licensing as for the supervision of the licensing process and the fees and revenue management and appropriation.

As to determine the effectiveness of project results, this component considers monitoring the use of project results in the media and evaluating surveys of NFM&AS product uses by stakeholders. The EPC will measure, monitor, and evaluate the use and access to project results and information in the media (e.g., Internet, printed press, TV, radio), in academic studies, in policy debates, and others. The Committee will also evaluate the uses of NFM&AS products by different stakeholders through periodic surveys. Such monitoring and evaluation will be achieved with sub-contracting selected service providers, under the general guidance of the EPC/BFS, through BFS (ToR preparation, hiring, supervision of the contract execution, others).

Furthermore, among the specific topics to be implemented through the activities of this component are the organization of Annual Forest Policy and Effectiveness Seminars (AFPES) for promotion and marketing of the NFM&AS products. The seminars will present the results of 10-contracted studies, voluntary studies, survey results of NFM&AS products uses by stakeholder, and others. The output of the seminar will be the publication of these studies and reports of the results of workshop sections.


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As previously mentioned, extensive communication and marketing will be implemented through the hiring and publication of at least 10 technical studies a year and the publication of different project reports.

Participation in other forest policy scientific events (in Brazil and abroad) to present and promote project results is another important activity of this component. It has the purpose of disseminating NFM&AS products to different groups and stakeholders. It is also worth mentioning the role of the Extranet as a communication tool among the participating stakeholders (which will be mostly used by Component 2).

All these communication and marketing activities to enhance the contribution of SFM to national development and to the global environment are intended to continue beyond the project’s time-horizon, with adjustments as needed.

Target populations: The primary target groups are decision-makers on SFM for national development and for global environment improvement, from public and private institutions, mainly in Brazil, but not limited to the country. They are ultimately those that could benefit the most by taking into account in their decision-making processes timely and accurate NFM&AS information. Moreover, all sort of stakeholders that may need NFM&AS information are also included as target population (federal, state and municipal government institutions and agencies, academia, private companies, general public, others).

Expected results: The expected results of the activities implemented in this component will be: (i) the Effectiveness Promotion Committee (EPC) established and operational; (ii) the five-year EPP completed and implemented, encompassing the effectiveness of the project results; implementation of communication and marketing activities; and measurement, monitoring and evaluation of the effectiveness of NFM&AS products use by stakeholders; (iii) an Internet site of the project fully operational; (iv) periodical publications such as annual project reports, regional and state reports, technical reports, survey results, catalog and marketing materials, and thesis/dissertation related and not limited to the following topics: erosion risk areas, forest changes/recovery or conversion, carbon emission, others; (v) monitoring reports on the use of NFM&AS products in the media; (vi) survey of the use of NFM&AS products by decision makers; (vi) signed legal arrangements with licensees for access to NFM&AS raw data and information; (vii) at least 5 policy-oriented studies prepared including recommendations on policies and instruments to reduce carbon emissions and biodiversity loss from adverse land-use changes; (viii) at least 5 policy-oriented studies prepared including recommendation on policies and instruments to strengthen biodiversity conservation in production forest and to support local livelihoods; (ix) 4 Annual Forest Policy and Effectiveness Seminars; (x) annual effectiveness evaluation report prepared including review of the integration of recommendations in national development policies and instruments in recognition of the cross-sectoral linkages between SFM and other development objectives.

Annex 4 – Project Costs and Provisional Work Plan

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Annex 4: Project Costs and Provisional Work Plan

Summary Budget by Component and by Year

Expenditure by component Expenditure by year Oracle Code

Description (Oracle) Comp. 1

Comp. 2 Comp. 3 Comp. 4 Project Manag.

Unit Price

% GEF Share

Total GEF 2011 2012 2013 2014 2015

Total

5300 Salaries Professional Budget

5300 International Procurement and HR Advisor

2.5 mths 0 0 0 0 22,125 8,850 100 22,125 4,425 4,425 4,425 4,425 4,425 22,125

5300 International Finance Advisor

2.5 mths 0 0 0 0 22,125 8,850 100 22,125 4,425 4,425 4,425 4,425 4,425 22,125

5300 Subtotal 0 0 0 0 44,250 44,250 8,850 8,850 8,850 8,850 8,850 44,250

5500 Salaries General Service Budget

5300 National Operational and Finance Officer (UGP-GEF)

60 mths 0 0 0 0 274,860 4,581 100 274,860 54,972 54,972 54,972 54,972 54,972 274,860

5500 National Administrative and Contracting Officer (UGP-GEF)

60 mths 0 0 0 0 255,960 4,266 100 255,960 51,192 51,192 51,192 51,192 51,192 255,960

5500 Subtotal 0 0 0 0 530,820 530,820 106,164 106,164 106,164 106,164 106,164 530,820

5570 Consultant Budget

5543 National Consultants

5543 Planning experts 24 mths 0 0 0 0 57,544 2,398 100 57,544 20,000 8,000 16,000 8,000 5,544 57,544

5543 Monitoring and Information specialist

36 mths 0 0 0 0 86,315 2,398 100 86,315 30,000 12,000 24,000 12,000 8,315

86,315

5543 Technical Implementation Development experts (IT, interviews, biodiversity…)

912 mths 0 437,245 0 0 0 2,397 20 437,245 87,449 87,449 87,449 87,449 87,449 437,245

5543

Geoprocessing and vegetation mapping specialist 1 (Evaluation of vegetation maps)

2.5 mths 0 0 8,798 0 0 3,519 100 8,798 8,798 0 0 0 0 8,798

5543

Geoprocessing and vegetation mapping specialist 2 (Adaptation of vegetation maps)

2.5 mths 0 0 8,798 0 0 3,519 100 8,798 8,798 0 0 0 0 8,798

5543

Geoprocessing and vegetation mapping specialist 3 (Geospatial Data Selection)

2.5 mths 0 0 8,798 0 0 3,519 100 8,798 8,798 0 0 0 0 8,798


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Unit Price

% GEF Share

Total GEF 2011 2012 2013 2014 2015

Total

5543

Geoprocessing and vegetation mapping specialist 4 (Strata definition)

2.5 mths 0 0 8,798 0 0 3,519 100 8,798 8,798 0 0 0 0 8,798

5543

Geoprocessing and vegetation mapping specialist 5 (New National Project Mapping)

6 mths 0 0 21,115 0 0 3,519 100 21,115 12,669 8,446 0 0 0 21,115

5543

Geoprocessing and vegetation mapping specialist 6 (Field and Landscape Data integration)

25 mths 0 0 87,980 0 0 3,519 100 87,980 21,995 43,990 21,995 0 0 87,980

5543

Taxonomy and dendrology specialist (Species identification in Herbarium, plant preparation and exsiccates maintaining)

32 mths 0 0 112,360 0 0 3,511 100 112,360 33,708 19,663 19,663 19,663 19,663 112,360

5543 Administrative Assistant (UGP-GEF)

60 mths 0 0

0 0 109,460 1,824 100 109,460 21,892 21,892 21,892 21,892 21,892 109,460

5543 Secretary (UGP-GEF) 60 mths 0 0 0 0 0 940 0 0 0 0 0 0 0 0

5570 Subtotal 0 437,245 256,647 0 253,319 947,211 262,905 201,440 190,999 149,004 142,863 947,211

5650 Contracts Budget

5571 Contracts Services - Data Field Collection

15 unit 0 0 4,678,005 0 0 2,227,6

21 14 4,678,005 935,601 935,601 935,601 935,601 935,601 4,678,005

5571 Contracts Services - Landscape Data

3 unit 0 0 105,630 0 0 503,00

0 7 105,630 21,126 21,126 21,126 21,126 21,126 105,630

5571 Contracts Services - Quality Control

15 unit 0 0 236,602 0 0 225,33

5 7 236,602 47,320 47,320 47,320 47,320 47,320 236,602

5571 Contracts Services - Evaluate PROBIO

1 unit 0 0 616 0 0 8,800 7 616 123 123 123 123 123 616

5571 Contracts Services - Vegetation Mapping Updating

1 unit 0 0 104,213 0 0 1,488,7

57 7 104,213 20,843 20,843 20,843 20,843 20,843 104,213

5571 Contracts Services - Pilot studies to demonstrate NFI potential application.

2 unit 31,246 0 0 0 0 104,15

3 15 31,246 6,249 6,249 6,249 6,249 6,249 31,246

5571 Convenant - Research and Methodological Development Programme

3 unit 0 316,921 0 0 0 704,26

9 15 316,921 63,384 63,384 63,384 63,384 63,384 316,921


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Unit Price

% GEF Share

Total GEF 2011 2012 2013 2014 2015

Total

5571 Convenant - Project Quality Control

1 unit 0 75,518 0 0 0 629,31

7 12 75,518 15,104 15,104 15,104 15,104 15,104 75,518

5571 Convenant - Selected Herbaria Support

3 unit 0 340,702 0 0 0 174,71

9 65 340,702 340,702 0 0 0 0 340,702

5571 Contracts Services - National Framework Operational Manual

1 unit 3,230 0 0 0 0 6,460 50 3,230 3,230 0 0 0 0 3,230

5571 Contracts Services -Marketing activities design and implementation

30 mths 0 0 0 3,230 0 215 50 3,230 646 646 646 646 646 3,230

5571

Contracts Services - Evaluating Surveys of NFI products uses by the stakeholders

48 mths 0 0 0 75,800 0 3,158 50 75,800 0 18,950 18,950 18,950 18,950 75,800

5571

Contracts Services - Licensing mechanism of NFI raw data and information

60 mths 0 0 0 8,343 0 278 50 8,343 1,669 1,669 1,669 1,669 1,669 8,343

5650 Subtotal 34,476 733,141 5,125,066 87,373 0 5,980,056 1,455,997 1,131,015 1,131,015 1,131,015 1,131,015 5,980,056

5900 Travel Budget

5021 Travel – Non-staff 50 unit 0 0 8,750 0 0 583 30 8,750 1,750 1,750 1,750 1,750 1,750 8,750

5685 Travel Consultants - National

100 unit 0 0 35,000 0 0 1,400 25 35,000 7,000 7,000 7,000 7,000 7,000 35,000

5900 Subtotal 0 0 43,750 0 0 43,750 8,750 8,750 8,750 8,750 8,750 43,750

5920 Training Budget

5905 Establishment of the NCC 3 mths 10,163 0 0 0 0 22,584 15 10,163 10,163 0 0 0 0 10,163

5905 Establishment of the RCC 3 mths 8,701 0 0 0 0 19,336 15 8,701 8,701 0 0 0 0 8,701

5905 Establishment of the NTC 3 mths 19,837 0 0 0 0 44,082 15 19,837 19,837 0 0 0 0 19,837

5905 Establishment of the TC 3 mths 9,433 0 0 0 0 26,203 12 9,433 9,433 0 0 0 0 9,433

5905 Definition of operational guidelines for the SCC

3 mths 2,022 0 0 0 0 4,493 15 2,022 2,022 0 0 0 0 2,022

5905 Training Programme for Data Collectors

8 mths 0 621,859 0 0 0 388,66

2 20 621,859 155,465 155,465 155,465 155,465 0 621,859

5905 Committees and Commissions meetings

10 unit 0 50,000 0 0 0 10,000 50 50,000 10,000 10,000 10,000 10,000 10,000 50,000

5905 Annual Forest Policy and Effectiveness Seminar

5 unit 0 0 0 100,000 0 40,000 50 100,000 20,000 20,000 20,000 20,000 20,000 100,000

5920 Subtotal 50,156 671,859 0 100,000 0 822,015 235,621 185,465 185,465 185,465 30,000 822,015


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Unit Price

% GEF Share

Total GEF 2011 2012 2013 2014 2015

Total

6000 Expendable Equipments Budget

5929 Maps and related supplies 2,367 imagery

0 0 149,570 0 0 421 15 149,570 29,914 29,914 29,914 29,914 29,914 149,570

5927 Software Licenses 7 unit 0 0 117,282 0 15,977 19,037 100 133,259 133,259 0 0 0 0 133,259

6000 Subtotal 0 0 266,852 0 15,977 282,829 163,173 29,914 29,914 29,914 29,914 282,829

6100 Non Expendable Equipment Budget

5928 Internal Reproduction (Scanner and a large Format Plotter)

1 unit 0 0 33,983 0 0 33,983 100 33,983 33,983 0 0 0 0 33,983

5927 Data Processing Equipment - Applications and Files Folders

2 unit 0 0 53,880 0 0 26,940 100 53,880 53,880 0 0 0 0 53,880

6004 Desktop Computer 20 unit 0 0 16,000 0 0 800 100 16,000 16,000 0 0 0 0 16,000

6006 Furniture (table & chair kit) 15 unit 0 4,438 0 0 0 592 50 4,438 4,438 0 0 0 0 4,438

6007 Printing and Reproduction Equipments

2 unit 0 0 0 0 502 251 100 502 502 0 0 0 0 502

6011 4 X 4 Traction Vehicles 2 unit 0 0 50,562 0 0 50,562 50 50,562 50,562 0 0 0 0 50,562

6100 Subtotal 0 4,438 154,425 0 502 159,365 159,365 0 0 0 0 159,365

6300 General Operating Expenses Budget

6152 Miscellaneous 1 unit 0 0 0 0 39,704 39,704 100 39,704 7,941 7,941 7,941 7,941 7,941 39,704

6300 Subtotal 0 0 0 0 39,704 39,704 7,941 7,941 7,941 7,941 7,941 39,704

Subtotal - Component 1 84,632 84,632

Subtotal - Component 2 1,846,683 1,846,683

Subtotal - Component 3 5,846,740 5,846,740

Subtotal - Component 4 187,373 187,373

Subtotal - Project Management 884,572 884,572

TOTAL GEF (USD) 84,632 1,846,683 5,846,740 187,373 884,572 8,850,000 2,408,765 1,679,538 1,669,097 1,627,102 1,465,497 8,850,000


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Provisional Work Plan

Year 1Year 1Year 1Year 1 Year 2Year 2Year 2Year 2 Year 3Year 3Year 3Year 3 Year 4Year 4Year 4Year 4 Year 5Year 5Year 5Year 5

Component 1: National framework for forest resource monitoring, assessment and strategic decision making

Subcomponent 1.1: Institutional Partnerships

(i) To establish a TCA with IBGE � (ii) To establish a TCA with EMBRAPA-Forestry; � (iii) To define a National Framework Operational Manual � (vi) To implementing an Extranet site to facilitate cooperation among stakeholders.

� � �

Subcomponent 1.2: Programme Consultative Framework

(i) To establish the National Consultative Commission � (ii) To establish the Regional Consultative Commissions � � (iii) To establish the National Technical Committee � (iv) To establish Thematic Committees as needed � � � � � � � � � � � � � � � � � �

Subcomponent 1.3: State or Municipal Adhesions

(i) To provide technical assistance to states and municipalities interested and obtaining more precise data for their jurisdictions

� � � � � � � �

(ii) To define procedures and protocols for interested states and/or municipalities to adhere to BFS data collection procurement processes

� �

(iii) To define institutional arrangements for joint follow up of data collection contract execution by the BFS and involved state-municipal authorities

�

(iv) To define instruments and protocols for raw data access to involved state-municipal authorities

� � � �

(v) To conduct two pilot studies, at State and Municipality level, respectively, to demonstrate potential applications of NFM&AS methodologies at these levels

� � � �

Component 2: Capacity building for the management of the NFM&AS


99


Subcomponent 2.1: Technical support and implementation development

(i) To establish the Executive Secretariat of the NFM&AS, including human resources, equipments, and materials in adequate quality and quantity, and in time

� � �

(ii) To update and/or validate the protocols for field data collection (NFM&AS Field Manual and field forms) considering the methodological differences among biomes and methodological evolution

� � �

(iii) To strengthen selected herbaria and develop innovative tree species identification mechanisms

� � �

(iv) To harmonize and define terminology for vegetation classification, land use and forest systems quality

�

(v) To establish a technical unit within the Executive Secretariat of the NFM&AS to support the main technical activities

� �

Subcomponent 2.2: Capacity for data collection, processing and analysis

(i) To train data collectors, project team and stakeholders; � � � � � � � � (ii) To undertake research and methodological development activities � � � � � � � � � � � � � � � � (iii) To control data quality � � � � � � � � � � � � � � � � (iv) To develop and calculate general indicators relevant for the analysis of major forest management, land use, biomass related carbon accounting, and biodiversity issues

� �

� �

� � � �

Component 3: Baseline and monitoring and information system establishment

Subcomponent 3.1: Data collection

(i) To prepare ancillary information regarding each field data collection area, including the preparation of operational maps (image maps) for field data collection planning purposes

� �

�

�

�

(ii) To prepare standard terms of reference, protocols, and other procurement documents to hire firms for field data collection including previous area checking and field data collection supervision

�

(iii) To prepare standard terms of reference and protocols, and other procurement documents, to hire firms to perform landscape sampling using satellite imagery

�


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(iv) To prepare standard terms of reference and protocols, and other procurement documents to hire firms for annual preparation of operational maps for field data collection planning purposes

�

(v) To prepare standard terms of reference and protocols, and other procurement documents to hire firms for quality control of field data collection for planning purposes

�

(vi) To prepare standard terms of reference and protocols, and other procurement documents to hire firms for quality control of landscape sampling for planning purposes

�

(vii) To acquire, prepare and interpret high resolution imagery for the landscape sampling analysis

� � � � � � � � � � � � � � � � �

(viii) To collect field data � � � � � � � � � � � � � � � (ix) To produce landscape data � � � � � � � � � � � � � � � � (x) To perform quality control of the field data collection and for the landscape sampling analysis

� � � � � � � � � � � � � � � � �

(xi) To collect soil samples � � � � � � � � � � � � � � � � � �

Subcomponent 3.2: Vegetation Mapping

(i) To evaluate the current status of the PROBIO vegetation mapping � (ii) To prepare standard terms of reference and protocols, and other procurement documents, to hire firms for one-time adaptation of PROBIO maps

�

(iii) To identify geospatial data available in federal and state institutions to evaluate its applicability to the NFI purposes

�

(iv) To define strata based on ecological, economical and rare events criteria � (v) To support the vegetation mapping updating especially in areas with high ecological, economical and social values

� �

�

�

�

(vi) To define national parameters and terminology for the vegetation mapping

�

(vii) To elaborate a new national project for the vegetation mapping supporting NFI purposes

�

(viii) To define methodology and procedures to integrate the collected field and landscape data with mapping for regional and national purposes

� � �

(ix) To define methodology and procedures for land cover monitoring changes

� � �

Subcomponent 3.3: Data processing and analysis


101


(i) To develop an information system for storing and processing the collected data, to generate standardized results, and also specific results derived from research carried out in the database including the acquisition of equipments and software and hiring personal for the system operation

� � � � � � �

(ii) To perform data storing and processing and system maintaining � � � � � � � � � � � � � � �

(iii) To perform soil sample processing and analysis � � � � � � � � � � � � � � � � � �

(iv) To prepare procedures and protocols for data processing and general analysis

� �

(v) To create procedures and protocols for data and information access by users, including data security and source protection

�

(vi) To develop policies and procedures for data access including financial aspects such as cost structures and charging prices for tailor made access to database by licensed analyses service concessionaries

� �

(vii) To develop analysis of the results and transform them into information accessible to stakeholders

� � � �

(viii) To plant preparation and exsiccates maintaining and species identification in herbarium

� � � � �

(ix) To perform analysis of forest resources status at national, regional and state level

� � � � � � � �

(x) To perform and analyze biodiversity indicators � � � � � � � �

(xi) To perform and analyze forest biomass, carbon and emissions indicators analysis

� � � � � � � �

(xii) To perform and analyze socioeconomic indicators analysis � � � � � � � �

(xiii) To develop analysis of the results and transform them into information accessible to stakeholders

� � � � � � � �

Component 4: Policies to enhance the contribution of SFM to national development and global environment benefits

(i) To establish and operate an Effectiveness Technical Committee (EPC) � � � � � � � � � � � �

(ii) To design and implement a five-year Effectiveness Promotion Plan including effectiveness, communication, and marketing activities

� � � � � � � � � � � �

(iii) To develop and maintain an Internet site for the dissemination of NFM&AS products

� � � � � � � � � �

(iv) To monitor the use of NFM&AS project results � � � �

(v) To evaluate the uses of NFM&AS products by different stakeholders through periodic surveys of stakeholders

� � � �

�

�

�

(vi) To establish a licensing mechanism whereby NFM&AS raw data and information can be accessed by information-oriented license holders to provide analysis services to stakeholders

� � �


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(vii) To develop 10 policy oriented studies a year to be presented at Annual Forest Policy and Effectiveness Seminars

� � � � � � � � �

(viii) To undertake yearly Seminars and participate in events to present or promote project results

� � � �

Annex 5 – Draft Terms of Reference

103

Annex 5: Draft Terms of Reference

1. Steering Committee (SC)

Role: The SC will be the policy setting body for the project and will provide guidance and oversight of both GEF and co-financed activities. The SC will approve the annual work plans and budget revisions, which would be prepared in accordance with GoB (for co-financing) and FAO (for GEF resources) financial procedures. The SC will play an important role in ensuring coordinating and synergies in the expenditure of GEF and co-financing resources. It shall consider all institutional frameworks when deciding on project adjustments. The SC will be the policy setting body for the project.

Specifically, the SC will:

• Provide overall guidance to the GEIF and the Executive Secretariat in the execution of the project.

• Ensure all project outputs are in accordance with schedule and the Project Document.

• Review, amend if appropriate, and endorse the draft Annual Work Plan and Budget and annual Project Implementation Review (PIR) for submission to FAO.

• Facilitate the “mainstreaming” of relevant project findings and recommendations into national policy.

Membership: BFS, Brazilian Agency for Cooperation (ABC), FAO, GEF and one member of the National Consultative Commission. Additional representatives from MMA, IBAMA, ICMBio and other technical agencies and organizations working on forest monitoring, assessment and SFM will be invited to attend SC meetings, as necessary.

Meetings: The meetings will be annually or upon demand of any of its members.

Chairperson: The chairperson will be the BFS General Director.

Secretariat: The project Executive Secretariat (GEIF). The Project’s Chief Technical Coordinator will act as Secretary to the SC and be responsible for providing SC members with all required documents in advance of SC meetings, including the annual Project Implementation Review (PIR) and draft Annual Work Plan and Budget (AWP/B) and the General Director of BFS will be the Convener.

Compensation: Travel and associated travel costs incurred by BFS shall be recompensed in accordance with FAO rules and regulations. No honorarium shall be paid to any person for their participation in SC business or meetings.


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2. Consultative arrangements

a) National Consultative Commission (NCC)

Role: The NCC will monitor project implementation, make recommendations for the methodological standardization and harmonization with current forest policies, at international, national and states, and assure the quality and timeliness of information and analyses produced by the project.

Specifically, the NCC will:

• Provide overall guidance to the BFS on the national strategy of implementing the forest monitoring programme so as to ensure all project outputs are in accordance with schedule.

• Facilitate the “mainstreaming” of relevant project findings and recommendations into national policy.

Membership: The NCC will be composed by 14 representatives from the following institutions: BFS (2), MMA’s Forest Department (1), IBAMA (1), EMBRAPA-Forestry (1), IBGE (1), Ministry of Science and Technology (1), States (5, covering all regions and biomes), CONAFLOR (1), and a private forestry sector representative (1).

Meetings: The NCC is consultative and it will meet at least once a year or as needed.

Chairperson: The chairperson will be the BFS General Director.

Secretariat: GEIF manager.

Compensation: Travel and associated travel costs incurred by BFS shall be recompensed in accordance with FAO rules and regulations. No honorarium shall be paid to any person for their participation in NCC business or meetings.


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b) Regional Consultative Commissions (RCC)

Role: The RCC will monitor project implementation in each of the Brazilian regions (North, South, Southeaster, Northeastern and Midwest), as well as to discuss any necessary methodological adaptations needed to accommodate each region’s specific conditions. The relevant RCC will meet in preparation for data collection in a given the region, and whenever necessary. Specifically, the RCC will:

• Advise on the regional strategy of implementing the national forest monitoring.

• Recommend particular methodological adaptations due to regional conditions of methodology application.

Membership: Each RCC will have from 7 up to 11 members (depending on the region), from the following institutions: BFS (2, project Executive Secretary and the Regional unit chief); counterpart representatives of states of the regional (3-7), IBAMA (1, representing all regional offices), and EMBRAPA (1, representing all regional research centers).

Meetings: The RCC meetings will normally be held before data collection starts in the region, but the Chairperson will have the discretion to call an additional meeting, if this is considered necessary.

Chairperson: The Chief of the BFS Regional Unit will be the chairperson.

Secretariat: The project Executive Secretariat (GEIF)

Compensation: Travel and associated travel costs incurred by BFS shall be recompensed in accordance with FAO rules and regulations. No honorarium shall be paid to any person for their participation in RCC business or meetings.


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c) State Consultative Commissions (SCC)

Role: The objective of the SCC will provide a forum for State stakeholders involved in forest resource use and conservation to address issues related to the implementation of the NFM&AS in the State, including the eventual sample intensification, support for field activities, and methodological adaptations to meet State requirements.

SCC’s functions will be, in particular, to:

• recommend operation planning adjustments for data collection;

• propose measures for the integration and harmonization between the national methodology and the State´s whenever needed, and

• participate as local partners in field activities.

• provide recommendations on the operation planning for data collection;

• contribute for the project dissemination at state level, facilitating the field team´s work; and

• suggest integration or harmonization between the project and local forestry and environmental public policies.

Membership: It is suggested that the SCC be integrated with representatives of the following institutions: NFM&AS State´s counterpart; relevant State Secretariats (agriculture, forestry, environment, fishery, rural extension); BFS (regional representative); IBAMA (state office); private forestry sector; CSOs; NGOs; academia; and research institutions. It is important to point out that the SCC composition is flexible, giving the opportunity to enhance local participation and promote the dissemination and use of the project results among local stakeholders.

Meetings: The SCC meetings will normally be held every six months, during the period of data collection within the state, but the Chairperson will have the discretion to call additional meetings, if this is considered necessary.

Chairperson: The SCC will be coordinated by the state NFM&AS counterpart, which generally will be State Forestry or Environment Secretariat.

Secretariat: The project focal point institution will be responsible for the secretariat.

Compensation: It is recommended that no honorarium shall be paid to any person for their participation in SCC business or meetings.


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3. Scientific and Technical Participation and Support

a) National Technical Committee (NTC)

Role: The NTC will advise the Executive Secretariat of the project and GEIF about technical and methodological issues and to promote consistency and methodology development. In general terms, the NTC will: provide overall technical guidance to the GEIF in the execution of the project; ensure that all project outputs are generated in accordance with the technical specification established; and, upon request from GEIF, it may review, amend, and suggest, when appropriate, alterations in reports from hired contracts administered by BFS regarding the project.

More specifically, the EPC will assist to:

• Ensure that the previously specified technical quality is being accomplished, specifically regarding data collection, processing and analysis, mapping, research and development, training and quality control processes.

• Analyze suitability of ToRs related to GEF Project when demanded by GEIF;

• Analyze and evaluate requests for NFM&AS data from different institutions;

• Organize a session on the AFPES Seminar focusing on R&D results obtained by demand at the R&D Programme;

• Evaluate technical themes for study projects and recommend the contracting of studies to be presented in the special technical session of the Annual Forest Policy and Effectiveness Seminar (AFPES);

• Develop criteria and indicators for cost/benefices evaluation based on the hired firms annual report aiming adjusting the methodology for best efficiency;

• Support GEIF and other GEF Project components in the organization and promotion of workshops, seminars and other technical meetings;

• Analyze and validating the activities of the EPC activities;

• Identify and suggest themes for the thematic committee installation;

• Suggest the creation of thematic sub-committees based on previously identified priorities, monitor, and evaluate the recommendations of sub-committees members;

• Identify priority themes for the R&D Programme, incorporating new and innovative technologies aiming the efficiency improving;

• Encourage research and teaching institutions to develop research in the priorities themes;

• Detect alteration needs on the GEF project design, especially regarding the component 3 (data collection and processing); and

• Support technically the Effectiveness Promotion Plan (EPP) and other initiatives under guidance of Effectiveness Promotion Committee (EPC).

Membership: The NTC will be comprised of experts and advisers who assisted in the design of the methodology and supported the BFS in the whole participatory processes for developing the assessment system. All members are experienced professional with advanced graduate degrees in forestry or areas to forest monitoring. The NTC shall initially be comprise the team that worked together to setup the methodology, as follow: EMBRAPA-Forestry (4), IBGE (1), Santa Maria Federal University (1), Rio de Janeiro Federal Rural University (1), Amazonia Federal Rural University (1), the National Space Research Institute (3), Paraná Federal University (1), and the BFS (2).


108

Meetings: The NTC meetings will normally be held twice a year, but the Chairperson will have the discretion to call an additional meeting, if this is considered necessary.

Chairperson: The GEIF Executive Manager

Secretariat: The project Executive Secretariat

Compensation: Travel and associated travel costs incurred by BFS shall be recompensed in accordance with FAO rules and regulations. No honorarium shall be paid to any person for their participation in NTC business or meetings.


109

b) Effectiveness Promotion Committee (EPC)

Role: The EPC will assist the Executive Secretariat in providing general guidance for and oversight of the implementation of the five-year Effectiveness Promotion Plan (EPP) to be designed under component 4 of the project. The EPC will also help to ensure that all activities needed for the development of the effectiveness, communication and marketing activities agreed upon under the Plan are appropriately designed and carried out. The EPC will serve as an advisory body without the mandate to execute the activities needed under Component 4. Such responsibility will rely exclusively on the BFS, under the general coordination of GEIF. In general terms, the EPC will:

• Provide overall guidance to the GEIF and the Executive Secretariat in the execution of the project’s component 4 under the responsibility of EPC;

• Ensure that all project outputs are generated in accordance with schedule;

• Review and recommend amendments if appropriate, reports from hired contracts administered by BFS when demanded by GEIF; and

• Provide guidance to BFS on supervising contracts established under the guidelines of the Effectiveness Promotion Plan (EPP).

More specifically, the EPC will:

• Advise on ToRs for the preparation of the five-year Effectiveness Promotion Plan (EPP);

• Recommend the operational aspects of the NFM&AS data access licensing system;

• Assist the review the performance of licensees and approving licensees' annual reports;

• Identify themes for the 10 annual forest policy studies to be presented at the AFPES;

• Support the NTC on the organization and promotion of the AFPES;

• Review the ToR for the Internet site design;

• Assist the AFPES organization,

• Help GEIF to contract, supervise and evaluate results of the annual survey of clients;

• Assist in the monitoring of project results dissemination in various media;

• Assist in the design, contracting, and evaluation of the survey of NFM&AS products use by stakeholders;

• Advise on measures to improve the effectiveness of the project in achieving its policy adjustment and other objectives.

Membership: The EPC will count with representatives of the major project clients and stakeholders, and of agencies related to media, congress liaison, and external relations that can help in the promotion of the effectiveness of the project, such as MMA, EMBRAPA, Congress, and others. An FAO official shall be represented on the EPC, in ex-officio capacity.

Meetings: Effectiveness Promotion Committee meetings will normally be held twice a year, in the end of the first and the second halves of the year, but the Chairperson will have the discretion to call an additional meeting, if this is considered necessary (e.g. during the first year of execution, or for significant changes needed to the approved in the Effectiveness Promotion Plan). In the first and fifth years, three meetings are scheduled. No more than 8 months may elapse between EPC meetings.

Chairperson: The Chairperson will be the GEIF/BFS representative.


110

Secretariat: Executive Secretariat

Compensation: Travel and associated travel costs incurred by BFS shall be recompensed in accordance with FAO rules and regulations. No honorarium shall be paid to any person for their participation in EPC business or meetings.


111

c) Climate Change Committee (CCC)

Role: The CCC will advise the National Technical Committee and the Executive Secretariat of the project about technical issues to the potential impact of climate change on forestry and ensure climate change considerations are integrated into the methodology and assessments.

In general terms, the CCC will:

• Provide overall guidance to the GEIF, National Technical Committee, and the Executive Secretariat on issues related do climate change and forests and land cover or use as they relate to the execution of the project;

• Recommend activities and measures that can improve the impact of the project as related to climate change issues;

• Coordinate, promote, advise, and collaborate with the activities of the Effectiveness

Promotion Committee so as to assure the proper treatment and inclusion of climate change issues in its activities;

• Review and recommend amendments if appropriate, reports from hired contracts administered by BFS when demanded by GEIF; and

• Provide guidance to BFS on supervising contracts established under the guidelines of the EPP;

• Propose adjustments in the NFM&AS to comply with climate change conventions and international agreements where forests play an important role; and

• Provide information and analyses about environmental services of forest and land use as related to climate change.

More specifically, as related to climate change issues and the project, the CCC will:

• Advise on ToRs for the preparation of the five-year Effectiveness Promotion Plan;

• Identify themes for the 10 annual forest policy studies to be presented at the AFPES;

• Support the NTC on the organization and promotion of the AFPES;

• Review the ToR for the Internet site design;

• Assist the AFPES organization,

• Help GEIF to contract, supervise and evaluate results of the annual survey of clients;

• Assist in the monitoring of project results dissemination in various media;

• Assist in the design, contracting, and evaluation of the survey of project products use by stakeholders;

• Encourage specific studies to be develop under RD&I programs; and

• Advise on measures to improve the effectiveness of the project in achieving its climate change and forest policy issues adjustment and other objectives.

Membership: The CCC will be comprised of the experts and advisers from the GoB, academia, civil society and other stakeholders who can provide relevant insights on these issues. All members will be experienced professional with an advanced graduate degree in forestry, land management, climate change or other related topoc. The CCC will count with representatives from the following Institutions, the National Space Research Institute, MMA, EMBRAPA, Ministry of Agrarian Development, IBGE, universities, and NGOs.


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Meetings: CCC meetings will normally be held twice a year, in the end of the first and the second halves of the year, but the Chairperson will have the discretion to call an additional meeting, if this is considered necessary.

Chairperson: The Chairperson will be the GEIF/BFS representative.

Secretariat: Executive Secretariat

Compensation: Travel and associated travel costs incurred by BFS shall be recompensed in accordance with FAO rules and regulations. No honorarium shall be paid to any person for their participation in EPC business or meetings.


113

d) Additionnal Thematic Technical Committees

Whenever needed as defined by the criteria established in the National Framework Operational Manual, the National Technical Committee can propose the creation of technical committees that would be charged with addressing a specific themes which might be needed, in particular to assure improve and ensure the quality of methodological aspects of the project, data analysis and technical recommendations.

The expected themes for which there maybe need for the creation of thematic committees are:

(i) Statistics and sampling;

(ii) Remote sensing;

(iii) Biodiversity;

(iv) Geospatial modeling;

(v) Forest management;

(vi) Forest degradation;

(vii) Forest terminology, etc.

The participation in thematic committees will upon BFS invitation, predominantly to federal institutions (research, universities) and voluntary (not paid). The NTC act that creates each additional thematic technical committee will define its role, membership, meetings, chairperson, secretariat and compensation details.


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4. Executive Secretariat (ES)

The Executive Secretariat will be responsible for all activities needed to successfully implement the project. In particular, it will:

• Maintain records pertaining to the technical and financial aspects of programme operation, including the monitoring of programme activities and their outcomes;

• Supervise the project technical, M&E, financial, and procurement units and coordinate the planning of operational details, the execution, the monitoring, and the evaluation of project activities;

• Communicate with the stakeholder members of the programme’s collaborating committees and commissions, provide support for and act as secretary of meetings;

• Coordinate the monitoring plan execution by PMEU;

• Coordinate logistical support to the different consultative units;

• Coordinate the support to the project from the GEAL and the UGP-GEF for the project procurement, contracting and financial execution of financial;

• Request GEIF support on any matter needed or measure that goes beyond its authority so as to assure the proper undertaking or enhancement of project activities, outputs, outcomes, or impacts; and

• Report to BFS Director and FAO on the project execution.

The ES will count with the following organization structure or staff, which is further discussed below in the following terms of reference:

a - Executive Secretary

b - Chief Technical Coordinator

c - Financial Management and Procurement

(i) GEAL team

(ii) UGP-GEF team

d – Technical Units

(i) Planning, Monitoring and Evaluation Unit

(ii) Information System and Data Processing Unit

(iii) Methodological Procedures and Standards Unit


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a) Executive Secretary

Role: The Executive Secretary has primary responsability for the overall execution of the project’s activities, and is the principal spokesperson, and advocate for the project with stakeholders. Specifically he/she will:

• Provide guidance and supervise the tasks assigned to the technical and financial management units;

• Act as focal point for all consultative, technical and scientific supporting bodies;

• Report to GEIF manager and to the BFS Board of Directors about the execution performance and measures needed to advance timely implementation of project activities;

• Supervise and coordinate the technical units to plan, execute, and monitor project activities;

• Support all consultative´s bodies, facilitate members participation, and act as secretary of meetings;

• Supervise the operational planning, monitoring, and evaluation to be undertaken by PMEU; and

• Supervise and coordinate actions by GEAL and UGP-GEP on the management of financial resources; procurement, and administrative matters.

Requisites: The Executive Secretary must have the following skills/qualifications:

• A graduate degree in forestry;

• At least 8 years professional experience in the forest sector;

• Solid and demonstrated understanding of the technical aspects of data collection, analysis, and forest and land use policy issues;

• A minimum of 5 years of demonstrated experience in the management of complex projects, preferably in the forestry sector;

• Proven capacity to work with and establish working relationships with medium to high-level government and non-government representatives;

• Proven capacity as a team leader;

• Experience in working with international donors including bilateral donors;

• Experience in managing multi-donor projects;

• Experience in preparing project technical and financial reports for international donors; and

• Good oral and written communication skills in Portuguese as well as in English.

Duration and Commitment: The Executive Secretary will be will be hired with GoB funds for a probationary period of one year subsequent to which the contract could be extended for an additional four years assuming satisfactory performance.


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b) Chief Technical Coordinator

Role: The Chief Technical Coordinator is the principal technical adviser to the ES. and is responsible for the coordination of the day-to-day operational and technical execution of the project. Specifically he/she will:

• Provide guidance and monitor the use of all technical aspects of project implementation and fine tuning design;

• Assist and report to the Executive Secretariat on project execution and technical matters;

• Chair and coordinate the National Technical Committee (NTC) on behalf of the ES;

• Chair and coordinate the Regional Consultative Commissions (RCC) on behalf of the ES;

• Submit the Annual Work plans and Budget to the ES for approval by the Steering Committee and execute SC decisions;

• Make sure that activities approved in the Annual Work plan are technically sound and timely implemented; and

• Integrate project´s results and information into the NFM&AS.

Requisites: The Chief Technical Coordinator should have the following skills/qualifications:

• Preferably a Ph.D. with specialization in forest information system and inventory (or comparable field);

• A minimum of ten years of demonstrated work experience in the technical aspects of forest and land use surveys, SFM policy and information systems;

• Proven capacity to work and establish working relationships with government and non-government representatives;

• Ability to work as team leader;

• Ability to take initiative and to work with minimum supervision; and

• Excellent oral and written communication skills in English.

Duration and Commitment: The Chief Technical Advisor is part of the permanent staff of the BFS and will be selected through internal procedures based on the candidates’ merits.


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c) Financial Management and Procurement Structure

To manage financial, procurement, and administrative issues, the ES will also have the support of two organizational units: (i) the Logistic and Administrative Executive Management Office (GEAL) which will handle all those activities related to the use of GoB counterpart funds; and (ii) the GEF Project Management Unit (UGP-GEF0 which will handle all those activities related to the use of GEF funds.

(i) The GEAL is an existing BFS unit responsible for the administration, procurement, and financial execution of GoB co-financing resources. GEAL is responsible for providing logistical support for all other units of the BFS including the procurement of goods and services, financial execution, and internal administrative information system. This unit is comprised primarily of public employees and its team currently consists of 32 collaborators divided into four coordinating units. The GEAL unit may require temporary support of additional staff especially at peak procurement times. If needed, GEF resources will be used to hire up to 4 month-man consulting to support GEAL or associated BFS activities needed for adequate project financial, administrative, or procurement activities.

(ii) The UGP-GEF will be created in the ES, with close links to the local FAO office. It will be guided by the ES and, in financial matters, operate in accordance with FAO rules and procedures for procurement, contracting of services, and financial management. The UGP-GEF will undertake all financial, administrative, procurement and contracting activities related to the use of GEF funds on behalf of the BFS. The ES will instruct and monitor the activities of UGP-GEF in close coordination with the GEF Task Manager and the Budget Holder of the GEF resources (FAO Representative). The Unit will consist of four staffs: an Operational and Finance Officer who will also lead the UGP-GEF team; an Administrative and Contracting Officer; an Administrative Assistant; and a Secretary. This staff will be financed by GEF resources, except the Secretary who will be funded by GoB. This unit will also assist the ES in reporting to FAO on the expenditure of GoB co-financing related to the execution of the entire programme, and will report to FAO in accordance with FAO formats and guidelines that will be provided.

National Operational and Finance Officer

Role: The Operational and Finance officer will lead the UGP-GEF unit and be the main responsible for the provision of guidance and direct supervision of the team and for financial management, administration and reporting of the GEF component of the project in compliance with FAO rules and procedures and as established in the project document. S)he will also be the principal ES advisor in financial matters for the GEF component of the project. He/She will keep track of project budget, fund commitments, and expenditures for GEF funds. Specifically he/she will:

• Provide guidance, supervise, and coordinate the UGP-GEF members in all matters of its responsibilities;

• Ensure that all GEF component activities comply with FAO rules and procedures;

• Interact with FAO-BR representation as well as with FAO-Headquarters in Rome whenever necessary to get guidance and clearance;

• Request authorization from the ES whenever non routinary decisions are required, including before consultations with FAO officials;

• As a member of the Executive Secretariat, interact with the Chief Technical Advisor in order to ensure that all GEF project activities are executed properly and timely according to the Project Work Plan and Budget;


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• Supervise consultants and firms hired by UGP-GEF;

• Organize and report updated information on the project financial execution;

• Report to ES and elaborate project reports to FAO, the ES, and the Steering Committee as needed or requested;

• Collaborate in the elaboration of the Annual Work Plans and Budget;

• Seek continuously cost effective solutions and other measures to improve the performance of UGP-GEF internal tasks;

• Advise and assist the Executive Secretariat on any matter which may occur during the procurements processes or other tasks under his responsibility; and

• Maintain an updated accounting control of the programmed, committed; and expended project funds, separated by co-financing source (GoB budget or GEF funds), in collaboration with the GEAL.

Requisites: The Operational and Finance Officer must have the following skills/qualifications:

• At least a M.Sc. or an equivalent degree or professional qualification in economics, public administration, business administration, or accounting;

• Sound and clear expertise in financial budget preparation, execution, supervision, and evaluation;

• A minimum of 10 (ten) years experience in the financial area of a medium/big size company posing as a Manager or an upper post;

• Knowledge of GEF/FAO procurement rules is desirable but not a requirement;

• Knowledge of the Brazilian Federal Law no. 8666/93 for acquisitions;

• Ability to work as a member of a team;



Duration and Commitment: The Operational and Finance Officer will be hired with GEF funds for a probationary period of one year subsequent to which the contract could be extended for an additional four years assuming satisfactory performance.

Administrative and Contracting Officer

Role: Under the overall supervision of the Operational and Finance Officer, the Administrative and Contracting officer will be responsible for the procurement of all acquisitions needed for the implementation of the project and budgeted to be financed by GEF resources. He/she will apply FAO procurement policies, be responsible for preparing bidding documents including the review the Terms of Reference prepared by the correspondent technical specialists, for each procurement administrative process based on the discriminations made by BFS according each item(s) to procure. At the same time, he/she will be responsible to take the necessary initiatives in the sense of publishing the specific BFS Procurement Edictal so that the procurement processes turn public as the good practices recommend. Specifically he/she will:

• Prepare every 6 months a detailed procurement plan and schedule detailing all acquisitions anticipated for the following 12 months;


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• Prepare for approval of the ES upon the recommendation of the Financial Manager Coordinator, a draft of the bidding documents required by each procurement procedure to acquire goods or services with GEF donated funds;

• Undertake and maintain strict control over all steps of the procurement processes to assure quality and timely completion of the corresponding acquisition.

• Establish and keep an updated filing system with all documentation related to each of the procurement processes history, with the aim of future auditing or to allow anytime authorized users by BFS or by FAO to verify the correction and the honesty of the examined procurement process;

• Follow strictly and FAO rules and procedures concerning the acquisition of goods and services;

• Assist the UGP-GEF Coordinator in matters related to good and services procurements according to FAO rules and procedures; and

• Maintain a suppliers’ database so that invitation-letters should be issued to them to participate the processes when the intended NFM&AS purchases represent expenses under the amount limits established by the GEF/FAO rules.

Requisites: The candidate must have the following skills/qualifications:

• Bachelor in Law with at least three years of working experience at a Procurement Sector of a medium/big size government agency or private company;

• Good knowledge of FAO procurement rules and procedures is desirable;

• Good knowledge of the Brazilian Federal Law no. 8666/93.


• Ability to take initiative when needed and to work with minimum supervision; and

• Good oral and written communication skills in English and Portuguese.

Duration and Commitment: The Administrative and Contracting Officer will be contracted with GEF funds for a probationary period of one year subsequent to which the contract could be extended for additional four years assuming satisfactory performance.

Secretary

Role: Under the overall supervision of the Operational and Finance Officer, the Secretary will be responsible to receive, register, distribute upon instruction of the UGP-GEF Coordinator, and keep control of and file all correspondences or other documents officially delivered. She/he will also be her responsibility to file the documentation which has had final dispatch as well as for registering and filing copy of documents initiated by the Unit. Specifically, she/he will:

• Draft letters, documents and necessary reports requested by the UGP-GEF Coordinator or other team members;

• Maintain logs, files and updated records of paper documents as well as of electronic documents in the Unit’s servers;, except for the documentation related to procurement processes;

• Receive visitors, and facilitate the team activities with supporting assistance;

• Assist the Administrative and Contracting Officer when authorized by the Coordinator;

• Supervise the maintenance and cleaning services rendered to the Unit’s office space;


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• Assist in daily general administrative and secretarial tasks such as− managing reception (telephone, fax, printer, visitors), managing the library with literature of technical interest and providing support in ensuring a good communication flow between the office and various stakeholders and partners; and

• Ensure efficient office communication flow.


• Minimum of high school education or equivalent with training in secretarial services;

• Minimum of three years of experience working as a Secretary at a medium size company or government agency;

• Ability to write simple letters, emails, and other communications;

• Excellent knowledge of the Microsoft Office or equivalent as well as of using email for internal communication and navigating the Internet;

• High efficiency with little supervision, ability to define priorities;

• Ability to handle many tasks at the same time; to work under stress and pay attention to details;

• Good interpersonal and communication skills;

• Flexible, pro-active, and enthusiastic team player with an unrelenting drive to deliver results.


• Good oral and written communication skills in English and Portuguese.

Duration and Commitment: The Secretary will be contracted with GoB funds for a probationary period of one year subsequent to which the contract could be extended for an additional four years assuming satisfactory performance.

Administrative Assistant

Role: Under the overall supervision of the Operational and Finance Officer, the Administrative Assistant will be responsible for all the office’s administrative actives and support other team member in their tasks, especially as related to procurement. He/She will:

• Support the Unit’s Coordinator and the Administrative and Contracting Officer by undertaking administrative tasks related to the Unit’s responsibility as requested;

• Prepare to submission and later approval of the Financial Manager Specialist, a draft of each document put under his/her responsibility for previous elaboration;

• Act as a member of UGP-GEF Procurement Commissions when requested to do so;

• Assist the Secretary of the Unit when required by the Coordinator;

• Alert the UGP-GEF Coordinator and/or the Administrative and Contracting Officer about any matter he/she considers that might be irregular or that requires further analysis or preparation;

• Maintain updated the filing system of documents related to tasks under his/her responsibility;

• Prepare background information for use in discussions with government institutions, stakeholders, partners and other organizations

• Maintain updated the filing system of electronic documents related to tasks under his/her responsibility in the Unit’s servers; and

• Substitute the Secretary of the Unit on her eventual impediments.


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Requisites: The candidates must have the following skills/qualifications:

• Minimum of high school education or equivalent, but preference will be given to university level degree in administration or related field;

• A minimum of 3 (three) years experience at a Consultancy office working, preferably in the administration, finances, procurement; or related areas;

• Expertise with MS Office software or equivalent. In special be able to work with texts, spreadsheets, and data bases;

• Be able to use the Internet for email and navigation;

• Ability to write simple letters, emails, and other communications;

• High efficiency with little supervision, ability to define priorities;

• Ability to handle many tasks at the same time; to work under stress and pay attention to details;

• Good interpersonal and communication skills;

• Flexible, pro-active, and enthusiastic team player with an unrelenting drive to deliver results.


• Good oral and written communication skills in Portuguese.

Duration and Commitment: The Administrative Assistant will be hired with GEF funds for a probationary period of one year subsequent to which the contract could be extended for an additional four years assuming satisfactory performance.


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d) Planning, Monitoring and Evaluation Unit

Planning Expert(s)

Role: The planning expert(s) will carry out a core planning for supporting adequate project activities, through background information organization and preparation, as well as Terms of Reference elaboration. Specifically he/she will:

• Raise the necessary information for the core planning on data collection;

• Organize information on available firms, institutions and consultant experts that can potentially be involved in the project data collection;

• Establish standards for contracts in order to achieve high performance of hired firms;

• Elaborate Terms of Reference for hiring firms for data collection

• Organize the information necessary for orientate teams in field;

• Supervise contracts

• Supervise the Quality Control programme

Requisites: The planning Expert must have the following skills/qualifications:

• B.Sc. in Forestry, with at least M.Sc. title;

• Minimum 3 years experience in projects related to tree species identification;




Duration and Commitment: There will be at least 2 planning experts that are part of the BFS staff, with 80% dedication to the project. However, temporary consultants with similar profile will be contracted with GEF funds for short term periods (6 months) during the questionnaire elaboration and during the data processing, in support to the staff member responsible for the IE.

Monitoring and Information Specialist

Role: Under the overall supervision of the Regional Coordinator, the Monitoring and Information Specialist will take responsibility for planning and conducting the monitoring activities required to provide the necessary information on activities undertaken through the project and their outcomes. He/she will either undertake monitoring activities personally, or will recruit regional or international experts to do so. He/she will also supervise the monitoring activities conducted at national level by the National Coordinators. The Monitoring and Information Specialist shall also take responsibility for the operation of the programme information technology (IT) system, which will include, among other activities, a website with information on the programme, a regular printed bulletin for distribution to member governments and relevant other organizations and individuals, a financial management system, and an e-mail system for staff. He/she will directly supervise the work of the IT/Data Entry clerk and any outside contractors hired to maintain system operation. Specifically he/she will:

• Assist the Regional Coordinator in the design and establishment of the Programme’s M&E system;

• Oversee the design and production of communications and public awareness materials associated with the implementation of the programme at the regional level;


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• Coordinate the publication and/or distribution of documents, newsletters, brochures, press releases and other public awareness materials associated with the promotion of the goals of the programme;

• Support the Regional Coordinator and Chief Technical Advisor in areas related to capacity building at the national and regional levels;

• Assist the Regional Coordinator and Chief Technical Advisor in the regular monitoring and review of the execution of the Programme supported activities; and

• Provide the Regional Coordinator with quarterly progress reports and contribute to the development of annual work-plans.


• A graduate degree in informatics, computer science, management and/or mass communications or its equivalent;

• Demonstrated knowledge of marine fisheries and sustainable management of marine resources management;

• Sound and clear competence in the design and development of appropriate information modules and dissemination modes;

• A minimum of six years experience in of running information systems and planning and undertaking monitoring activities;




Duration and Commitment: The Monitoring and Information Specialist with GEF funds will be contracted for a probationary period of one year subsequent to which the contract would be extended for an additional two years assuming satisfactory performance.


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e) Information System and Data Processing Unit

Statistician

Role: The statistician will be responsible for data processing and analysis according to the statistical procedures developed for the project data processing. Specifically he/she will:

• Validate project database;

• Lead the data reception, organization, treatment, and processing;

• Interact and supervise hired consultants on statistical analysis; and

• Interact with Technology Information Executive Management on data storing and administration.

Requisites: The Statistician must have the following skills/qualifications:

• B.Sc. in Statistics and at least M.Sc. degree with specialization large data set processing and analyses in (or comparable field);


• Ability to work as a member of a team; and

• Ability to take initiative and to work with minimum supervision.

Duration and Commitment: The statistician will be part of the BFS staff, with 80% dedication to the project.

Geographic Information Expert

Role: The Geographic Information Expert will coordinate the Project geographic information system. Specifically he/she will:

• Coordinate the project GIS building, including designing and core data feeding

• Establish the project standards for managing and storing geographic information

• Interact and supervise hired consultants on geographic information and remote sensing;

• Coordinate the provision of core information production for supporting the field teams, such as sampling points and logistic support maps;

Requisites: The Geographic Information Expert must have the following skills/qualifications:

• B.Sc. in Cartography or Forestry, with specialization in geographic information systems or remote sensing;




Duration and Commitment: The Geographic Information Expert will be part of the BFS staff, with 80% dedication to the project;

Information Technology (IT) expert

Role: The Information Technology (IT) expert will support the phase of data processing and


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managing the webpage. Specifically he/she will:

• Work closely to the Statistician and GIS expert in data processing and management;

• Ensure project data and information are available in the internet;

• Interact with the IT Management team for supporting project databases maintenance

• Support users demands for project data and information access;

Requisites: The IT expert must have the following skills/qualifications:

• B.Sc. in Computer Sciences or similar;

• Minimum 3 years experience in supporting projects on data management;




Duration and Commitment: The IT expert will be contracted with GEF resources for a probationary period of one year subsequent to which the contract would be extended for an additional two years assuming satisfactory performance.


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f) Methodological Procedures and Standards Unit

Biophysical Variables Expert

Role: The Biophysical Variables Expert will support and document the development of methodological approaches, standards and Terminology on field biophysical variables. Specifically he/she will:

• Participate in the research programme and thematic committees, regarding themes related to the biophysical variables;

• Document methodological procedures, developing and updating field manuals on biophysical variables;

• Support data processing on result analysis and interpretation of biophysical variables;

• Interact with other areas experts to provide the best guidance on processing and analysis of data; and

• Supervise and participate in the Training programme.

Requisites: The Biophysical Variables expert must have the following skills/qualifications:

• B.Sc. in Forestry, with at least M.Sc. title;

• Minimum 3 years experience in projects related to forest surveys;

• Solid knowledge in forest measurement, including biomass and carbon estimates;




Duration and Commitment: The Biophysical Variables expert will be part of the BFS staff, with 80% dedication to the project. However, temporary consultant with similar profile will be contracted with GEF resources for short term periods (6 months) during the field manual elaboration and during the data processing, in support to the BE;

Landscape Analysis Expert

Role: The Landscape Analysis Expert will support and document the development of methodological approaches, standards and Terminology on landscape analysis. Specifically he/she will:

• Participate in the research programme and thematic committees, regarding themes related to the landscape analysis;

• Document methodological procedures, developing and updating field manuals on landscape variables and metrics;

• Support data processing on result analysis and interpretation of landscape analysis;

• Interact with other areas experts to provide the best guidance on processing and analysis of data;

• Supervise and participate in the Training programme

Requisites: The Landscape Analysis Expert must have the following skills/qualifications:

• B. Sc. in Biology or Forestry, with at least M.Sc. title;

• Minimum 3 years experience in projects related to Biodiversity Conservation or forest


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surveys;




Duration and Commitment: The Landscape Analysis Expert will be part of the BFS staff, with 80% dedication to the project.

Interviews Expert

Role: The Interviews Expert will support and document the development of methodological approaches, standards and Terminology on the project socio environment interviews. Specifically he/she will:

• Participate in the research programme and thematic committees, regarding themes related to the interviews;

• Document methodological procedures, developing and updating field manuals on the socio environmental questionnaire;

• Support data processing on result analysis and interpretation of interviews;

• Interact with other areas experts to provide the best guidance on processing and analysis of data;


Requisites: The Interviews Expert must have the following skills/qualifications:

• B.Sc. in Social Sciences, Agronomy or Forestry, with at least M.Sc. title;

• Minimum 3 years experience in projects related to socioeconomic surveys;




Duration and Commitment: The Interviews Expert will be part of the BFS staff, with 80% dedication to the project. However, temporary consultants with similar profile will be contracted with GEF resources for short term periods (6 months) during the questionnaire elaboration and during the data processing, in support to the staff member responsible for the IE.

Biodiversity Expert

Role: The Biodiveristy Expert will support and document the development of methodological approaches, standards and Terminology on the tree species botanical identification. Specifically he/she will:

• Participate in the research programme and thematic committees, regarding themes related to biodiversity and species identification;

• Document methodological procedures, developing and updating field manuals on the botanical samples collection and identification;

• Support data processing on result analysis and interpretation of results by tree species;

• Interact with other areas experts to provide the best guidance on processing and


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analysis of data;

• Interact and supervise herbariums involved with project species identification;


Requisites: The Biodiversity Expert must have the following skills/qualifications:

• B.Sc. in Biology, with at least M.Sc. title;

• Minimum 3 years experience in projects related to tree species identification;




Duration and Commitment: The Biodiversity expert will be part of the BFS staff, with 80% dedication to the project. However, temporary consultants with similar profile will be contracted with GEF funds for short term periods (6 months) during the questionnaire elaboration and during the data processing, in support to the staff member responsible for the IE.


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5. Other consultants to be hired with GEF funds

Geoprocessing and vegetation mapping specialist 1 (Evaluation of vegetation maps)

Role: Geoprocessing and vegetation mapping specialist 1 will evaluate the current status of PROBIO vegetation maps according to the vegetation mapping procedures developed for the project.

Specifically he/she will:

• Evaluate PROBIO digital vegetation maps (1:250.000) produced in 2006;

• Evaluate the legend and data bank structure;

• Evaluate applicability for the NFI purposes; and

• Indicate adaptation and actualization needed.

Requisites: The Engineer must have the following skills/qualifications: B.Sc. in Geoprocessing and at least M.Sc. degree with specialization in vegetation mapping and data bank processing and analyses (or comparable field); Know the Brazilian vegetation classification used by IBGE; Proven capacity to work and establish working relationships with government and non-government representatives; and Ability to take initiative and to work with minimum supervision.

Duration and Commitment: 2.5 months (10 weeks)

Geoprocessing and vegetation mapping specialist 2 (Adaptation of Vegetation maps)

Role: The Geoprocessing and vegetation mapping specialist 2 will prepare standard terms of reference and protocols and other procurement documents to hire firms for one-time adaptation of PROBIO maps according to the procedures established for the project vegetation mapping.

Specifically he/she will:

• Know the evaluation of the status of PROBIO digital vegetation maps 1:250.000 attempting to the applicability to the NFM&AS purposes and the indications of adaptation and actualization needed;

• Prepare protocols to elaborate maps with the specifications required for NFM&AS purposes;

• Prepare standard terms of reference to perform the adaptation and actualization required; and

• Prepare drafts of other documents needed to hire firms.

Requisites: The Engineer must have the following skills/qualifications: B.Sc. in Geoprocessing and at least M.Sc. degree with specialization in vegetation mapping and data bank processing and analyses (or comparable field); Know the Brazilian vegetation classification used by IBGE; Know the Brazilian technical specifications and standards to produce maps in the required scale; Proven capacity to work and establish working relationships with government and non-government representatives; and Ability to take initiative and to work with minimum supervision.

Duration and Commitment: 2.5 months (10 weeks).

Geoprocessing and vegetation mapping specialist 3 (Geospatial data selection)


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Role: The Geoprocessing and vegetation mapping specialist 3 will evaluate the current status of geospatial data available to support the current vegetation mapping update. Suggest a strategy for further vegetation mapping and monitoring, and also make them available to stakeholders.

Specifically, he or she must:

• identify and evaluate geospatial data available in federal and state institutions to evaluate its applicability to the NFM&AS purposes;

• Indicate adaptation and update needed ;

• Evaluate applicability for NFM&AS purposes; and;

• Suggest models for providing this information

Requisites: The Engineer must have the following skills/qualifications: B.Sc. in Geoprocessing and at least M.Sc. degree with specialization in vegetation mapping and data bank processing and analysis (or comparable field); Know the Brazilian vegetation classification used by IBGE; Proven capacity to work and establish working relationships with government and non-government representatives; and Ability to take initiative and to work with minimum supervision.

Duration and Commitment: 2.5 months (10 weeks).

Geoprocessing and vegetation mapping specialist 4 (Strata definition)

Role: The Geoprocessing and vegetation mapping specialist 4 will define and characterize the first NFM&AS hierarchical level, the strata "forest" and "non-forest", based on vegetation types represented in PROBIO maps,. A second hierarchical level would refer to the six Brazilian biomes. The third level comprises the typologies themselves regarding the basic strata "forest" and "non-forest." Each major stratus can be segmented in as many classes (strata) as considered by the analysis. Sources of information are the vegetation classification of FAO and IPCC but, they must be consolidated with the official Brazilian classification, from IBGE.

Specifically, he/she must:

• Evaluate the current status of the PROBIO vegetation mapping regarding strata;

• Define “forest” for each of the six Brazilian biomes (terminology) , based on FAO and IPCC definitions and consolidate the expression with IBGE interpretation on the subject;

• Define “non-forest” (terminology), here considered as the “other land use and land cover classes” and, based on PROBIO maps, make a proposition of which land use/land cover (LULUC) would be considered in the Brazilian NFM&AS LULUC classification and why. Define each of the “non-forest” classes considered;

• Analyze the hypothesis of defining strata also based on ecological, economical and rare events criteria. Search and discuss which criteria would be considered and why. Make a proposition for the Brazilian NFM&AS strata including those criteria; and

• Based on the prior analysis, suggest a classification scheme for the Brazilian NFM&AS, regarding its strata.

Requisites: The Expert should have advanced university degree, preferably at graduate level in forestry, geography, or related field, specialization in remote sensing and have at least 10 years of relevant experience. Specifically, the consultant must have the following skills and


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capabilities: computer software for remote sensing analysis, geographical information system, geostatistics, word-processing, and working with spreadsheets; strong analytical skills and experience interpreting land use and land cover theory and implications.

Duration and Commitment: 2.5 months (10 weeks)

Geoprocessing and vegetation mapping specialist 5 (New National Project Mapping)

Role: The Geoprocessing and vegetation mapping specialist 5 will prepare a project for a new national vegetation mapping to support NFM&AS purposes.


• Know NFM&AS methodology and its requirement related to mapping, specifically on vegetation and land cover identification and classification, stratification, identification of strata on the sampling point, identification of sampling point in field and other related issues;

• Study and evaluate the mapping methodology used in the lasts vegetation mapping performed in the Brazil, nationally and regionally;

• Suggest a new vegetation mapping methodology able to meet all the requirements of NFM&AS including inputs to develop procedures to integrate the collected field and landscape data with mapping; and

• Suggest a project detailing the proposed methodology, indicating possible partner institutions and the necessary step by step procedures to deploy the new project.

Requisites: The Engineer must have the following skills/qualifications: B.Sc. in Geoprocessing and at least M.Sc. degree with specialization in vegetation mapping and data bank processing and analysis (or comparable field); Know the Brazilian vegetation classification used by IBGE; Proven capacity to work and establish working relationships with government and non-government representatives; and Ability to take initiative and to work with minimum supervision.

Duration and Commitment: 6 months (24 weeks).

Geoprocessing and vegetation mapping specialist 6 (Field and landscape data

integration)

Role: The Geoprocessing and vegetation mapping specialist 6 will define methodology and procedures to integrate the collected field and landscape data with mapping for state, regional and national purposes.


• Analyze each variable being considered in the field data collection procedure, regarding its ability to be spatialized;

• Analyze each variable being considered in the landscape units procedure and its relation with the field data;

• Analyze the relationship among variables as “Trees outside Forest” (from landscape units) and volume per hectare (field data) for the same strata;

• Analyze possible consequences of the Single Large or Several Small (SLOSS) debate, regarding size of fragments (landscape unit) and volume per hectare (field data) for the same strata;


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• Analyze possible consequences of the SLOSS debate, regarding size of fragments (landscape unit) and number of species or number of trees per specie (field data) for the same strata;

• Analyze possible consequences of the SLOSS debate, regarding size of fragments (landscape unit) and rare species (field data) for the same strata;

• Analyze state and regional outputs regarding field and landscape integrated information; and

• Propose methodology to integrate field and landscape data with mapping for state, regional and national purposes.

Requisites: The Expert should have advanced university degree, preferably at graduate level in forestry, geography, or related field, specialization in remote sensing and have at least 10 years of relevant experience. Specifically, the consultant must have the following skills and capabilities: computer software for remote sensing analysis, geographical information system, geostatistics, word-processing, and working with spreadsheets; strong analytical skills and experience interpreting land use and land cover theory and implications.

Duration and Commitment: 25 months (100 weeks).

Taxonomy and dendrology specialist (Species identification in herbarium, plant

preparation and exsiccates maintaining)

Role: The taxonomy and dendrology specialist will be responsible for identifying botanical species found in the field samples, processing of botanical material collected, filling of exsiccates, storing and maintaining the NFM&AS collection, and supporting Herbaria partners.

Specifically, he or she should:

• Develop protocols for collecting botanical material, preparing, filling, storing, and maintaining exsiccates;

• Interact and train those responsible for botanical identification of species;

• Prepare lists of tree species by typology phytogeographic and region;

• Prepare digital and photographic archive of macroscopic characteristics of more frequent species;

• Interact with existing Herbaria in the data collection regions for drawing up lists of species and photo archives; and

• Validate species identification.

Requirements: Degree in Forestry Engineering, biology or Agronomy, specialist in taxonomy or dendrology and at least M.Sc. on Phytosociology or Botany; Proven ability to establish working relationships with representatives from governments and non-governmental organizations; Ability to work as a member of a team, and Ability to take initiative and work with minimal supervision.

Duration and commitment: The duration of the consultancy will be 128 weeks over a period of 5 years, with 38 weeks in the first years and 22 weeks from the second to fifth year.

International Procurement and Human Resources Advisor


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Role: The International Procurement and Human Resources Advisor will assist the Executive Secretariat of the project and the UGP-GEF to apply FAO procurement policies, prepare of bidding documents including the review of the Terms of Reference prepared by the correspondent technical specialists, for each procurement administrative process based on the discriminations made by BFS according each item(s) to procure.

Duration and commitment: The duration of the consultancy will be 2.5 months (10 weeks) over a period of 5 years.

International Finance Advisor

Role: The International Finance Advisor will assist the FAO Budget Holder in the financial management of the project via the Oracle system and applying FAO financial rules and procedures for reporting and budget revisions.

Duration and commitment: The duration of the consultancy will be 2.5 months (10 weeks) over a period of 5 years.

Annex 6: Project Reporting, Monitoring and Evaluation

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1. Monitoring Arrangements

The monitoring and evaluation structure will count with a Planning, Monitoring, and Evaluation Unit as part of the Executive Secretariat. The approach for monitoring and evaluation, including steps and activities is visualized in Figure 2.

Figure 2 – Monitoring and evaluation approach

Institutional arrangement – The day to day and systematic monitoring will be responsibility of the Planning, Monitoring, and Evaluation Unit with the support of contracted specialists if necessary. For external evaluations (Mid-Term and Final) specialized institutions will be recruited. Such institutions must have expertise and experience in similar projects evaluation. Additionally it would be desired that the contracted institution should have experience in evaluating project financed by international organisms, particularly GEF and FAO. Specific studies (forest policy studies) will be undertaken by external institutions, partners or Brazilian Forest Service, according to particular expertise needs.

Functioning of the institutional arrangement – Monitoring and evaluation system will be possible by the sum of the knowhow of each institution which integrate it. Each institution will give knowhow related to methodologies and tools and data collect and analysis. The negotiations for institution’s participation in monitoring process will consider: (i) responsibilities for conducting and executing components and sub-components activities; (ii) specific knowhow about the project and indicators; (iii) presence and interest (for project’s partners).


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Project progress monitoring - Will assess whether the management and supervision of project activities is efficient and seek to improve efficiency, when needed, so as to improve the overall effectiveness of project implementation. It is a continuous process, during which information about the implementation of activities programmed in the annual work plans. This activity will be the direct responsibility of Planning, Monitoring, and Evaluation Unit assisted by the Executive Secretariat.

Monitoring of outcomes - Project’s success in achieving its outcomes will be monitored continuously through the project semi-annual project progress reports, annual summary progress reports, and a Mid-Term Evaluation and a Final Evaluation. Key outcome indicators are those identified in the project log frame and will guide and provide evidence of achievements. The outcome indicators will be tested and refined, if necessary, and interim indicators and numerical targets with timeframes and milestones will be agreed during the inception workshop. The FAO/GEF task manager will give technical support to the Executive Secretariat for this activity.

The beneficiaries of the Monitoring and Evaluation will be: (i) the project, for management and planning; (ii) public and private stakeholders and their organizations, for decision making; (iii) the partner institutions; (iv) civil society.

2. Project Inception Phase

A Project Inception Workshop will be conducted with the full project team, relevant government counterparts including Brazilian Forest Service, key stakeholder group representatives, and FAO.

The main objective of this Inception Workshop will be for the project team to understand and take ownership of the project’s goals and objectives, as well as finalize preparation of the project's first annual work plan on the basis of the project's log frame matrix. This will require reviewing the log frame (indicators, means of verification, assumptions), imparting additional detail as needed, and on the basis of this exercise finalize the Annual Work Plan with precise and measurable performance indicators, and in a manner consistent with the expected outcomes for the project.

Additionally, the purpose of the Inception Workshop will be to: (i) introduce the project staff to FAO’s and Brazilian Forest Service’s staff working on the project; (ii) detail the roles, support services and complementary responsibilities of FAO and Brazilian Forest Service staff vis a vis the project team; (iii) provide a detailed overview of FAO’s reporting and monitoring and evaluation requirements, with particular emphasis on the Annual Project Implementation Reviews, Inception Workshop Results Templates and related documentation, as well as mid-term and final evaluations; (iv) inform the project team on FAO’s project related budgetary planning and budget reviews.

The Workshop will also provide an opportunity for all parties to understand their roles, functions, and responsibilities within the project's decision making structures, including reporting and communication lines, and conflict resolution mechanisms. The Terms of Reference for project staff and decision making structures will be discussed again, as needed in order to clarify for all concerned, each party’s responsibilities during project implementation.

3. Monitoring responsibilities and events


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A detailed schedule of project review meetings will be developed by the project management, in consultation with project implementation/execution partners and stakeholder representatives, and will be incorporated into the Project Inception Report. Such a schedule will include: (i) tentative time frames for Annual Project Reviews, Steering Committee Meetings, and relevant advisory and/or coordination mechanisms, and (ii) project related Monitoring and Evaluation activities.

Specific targets for the first year implementation progress indicators together with their means of verification will be developed at this Workshop. These will be used to assess whether implementation is proceeding at the intended pace and in the right direction and will form part of the Annual Work Plan. Targets and indicators for subsequent years will be defined annually as part of the internal evaluation and planning processes undertaken by the project team.

Day-t- day monitoring of implementation progress will be the responsibility of the Executive Secretariat, through the Planning, Monitoring, and Evaluation Unit based on the project's Annual Work Plan and its indicators. The Project Team will meet monthly to present results and difficulties found in previous month and to plan the corrective measures and inform FAO of any delays or difficulties faced during implementation so that the appropriate support can be adopted in a timely and remedial fashion.

Periodic monitoring of implementation progress will be undertaken through quarterly meetings, or more frequently as deemed necessary. This will allow parties to take stock and to troubleshoot any problems pertaining to the project in a timely fashion to ensure smooth implementation of project activities. At this level the Planning, Monitoring, and Evaluation Unit will undertake the supervision of the contracted agencies to ensure that forest and related information is being collected accordingly to schedule and standards of quality. This will be done at a quarterly basis, through randomly visits to the field sites and agencies.

FAO will provide oversight and monitor project progress and impact. Project progress will be monitored largely through the recording and verification of inputs, including financial disbursements and technical levels-of-effort. Financial inputs (disbursements) will be largely drawn from FAO’s financial management system, while technical inputs will be drawn from reports from the Quarterly Progress Implementation Reports (QPIRs) and semi-annual Project Progress Reports. Financial disbursements for technical activities programmed in the ARWP will be periodically reviewed to identify and assess any significant discrepancies between the two. Annual Monitoring will occur through the Steering Committee meetings. This is the highest policy-level meeting of the parties directly involved in the Project’s implementation/execution. The project will also be subject to an Annual Review, undertaken according to FAO’s procedures. The first such meeting will be held within the first twelve months of the start of full implementation.

Project management staff will present the Annual Project Progress Report/Project Implementation Review, highlighting policy issues and recommendations for the decision of the participants. Separate reviews of each project component may also be conducted if necessary.

The final Steering Committee meeting will be held in the last month of project operations. FAO’s project management staff will prepare the Terminal Report. It will serve as the basis for discussions at the Terminal Review. The Terminal Review will consider the implementation of the project as a whole, paying particular attention to whether the project has achieved its stated objectives and contributed to the broader environmental objective. It


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decides whether any actions are still necessary, particularly in relation to sustainability of project results, and acts as a vehicle through which lessons learnt can be captured to feed into other projects under implementation of formulation.

4. Project Monitoring Reporting

The Executive Secretariat in conjunction with FAO’s project management staff will be responsible for the preparation and submission of the following reports that form part of the monitoring process.

Inception Report: A Project Inception Report will be prepared immediately following the Inception Workshop. It will include a detailed First Year/Annual Work Plan divided into quarterly timeframes detailing the activities and progress indicators that will guide implementation during the first year of the project. This Work Plan will include the dates of specific field visits, support missions from consultants or FAO, as well as timeframes for meetings of the project's decision-making structures. The report will also include the detailed project budget for the first full year of implementation, prepared on the basis of the Annual Work Plan, and will include any monitoring and evaluation requirements to effectively measure project performance during the targeted 12 months time-frame.

The Inception Report will include a more detailed narrative on the institutional roles, responsibilities, coordinating actions and feedback mechanisms of project related partners. In addition, a section will be included on progress to date on project establishment and start-up activities and an update of any changed external conditions that may effect project implementation.

When finalized, the report will be reviewed by FAO’s project management staff and then will be circulated to project counterparts who will be given one month in which to respond with comments or queries.

Quarterly Progress Reports: Short reports outlining main updates in project progress will be provided quarterly to the FAO’s office in Brazil by the Budget Holder. The FAO Project Task Manager, with inputs from the BFS Project Executive Secretariat and the Operational and Finance Officer will prepare short quarterly reports which entail regular review of the project to compare approved work plans with actual performance, and to take corrective action as required. The QPIR is used to identify constraints, problems or bottlenecks that impede timely implementation and take appropriate remedial action. These reports will be submitted one month after the end of each quarterly reporting period (31 March, 30 June, 30 September and 31 December). The reports are submitted to the Field Programme, Monitoring and Coordination Service (TCDM) and to the GEF Unit/Investment Centre Division for information and uploading in FAO’s Field Project Management Information System (FPMIS).

.Semi-annual Project Progress Report: One month before the mid-point of each project year, the Executive Secretariat, will prepare a Semi-annual Project Progress Report (SPPR) and submit this to FAO. The SPPR will follow the standard FAO format, to address GEF objectives and concerns. It will contain the following:

a) an account of actual implementation of project activities compared to those scheduled in the AWP (including a report on project expenditure in the six months plus an estimate of co financing contributions received);

b) an account of the achievement of outputs and progress towards achieving the project objectives (based on the indicators contained in the results framework, or any agreed modifications to this);


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c) identification of any problems and constraints (technical, human, financial, etc.) encountered in project implementation and the reasons for these constraints;

d) clear recommendations for corrective actions in addressing key problems resulting in lack of progress in achieving results;

e) lessons learned;

f) a revised work plan for the final six months of the project year. Report on Co-Financing: Within 60 days of the reporting period (1 July to 30 June), BFS shall prepare a yearly co-financing report for the project for inclusion in the Project Implementation Reviewt (PIR) which would include, to the extent possible, the following information:

1. Amount of co-financing realized compared to the amount of co-financing committed to at the time of project approval, and

2. Co-financing reporting by source and by type: � Sources include the agency’s own co-financing (in-kind and cash), government

counterpart commitments (in kind and cash); contributions mobilized for the project from other multilateral agencies, bilateral development cooperation agencies, NGOs, the private sector and beneficiaries.

� Types of co-financing. Cash include grants, loans, credits and equity investments. In-kind resources are required to be:

i. dedicated uniquely to the GEF project ii. valued as the lesser of the cost and the market value of the required inputs

they provide for the project, and iii. monitored with documentation available for any evaluation or project audit

undertaken by FAO. 3. With regards to reporting on in-kind co-financing provided by government and other

institutions, FAO will encourage the partners to provide the information in a timely manner and the information will be made available upon request and without certification to the GEF Secretariat and GEF Evaluation Office.

Annual Project Progress Report - APPR and Project Implementation Review - PIR: The Project Implementation Review is an annual monitoring process mandated by the GEF. Is an essential management and monitoring tool for project managers and offers the main vehicle for extracting lessons from ongoing project. The APPR/PIR will reflect progress achieved in meeting the project's Annual Work Plan and to assess performance of the project in contributing to intended outcomes through outputs and partnership work. The format will include: (i) an analysis of project performance over the reporting period, including outputs produced and, where possible, information on the status of the outcome; (ii) the constraints experienced in the progress towards results and the reasons for these; (iii) the three (at most) major constraints to achievement of results; (iv) annual Work Plans and other expenditure reports; (v) lessons learned; (vi) clear recommendations for future orientation in addressing key problems in lack of progress.

Periodic Thematic Reports: As and when called for by FAO or Brazilian Forest Service the project team will prepare specific Thematic Reports, focusing on specific issues or areas of activity. The request for a Thematic Report will be provided to the project team in written form by Brazilian Forest Service or FAO and will clearly state the issue or activities that need to be reported on. These reports can be used as a form of lessons learnt exercise, specific oversight in key areas, or as troubleshooting exercises to evaluate and overcome obstacles and difficulties encountered. FAO will minimize its requests for Thematic Reports, and when such are necessary will allow reasonable timeframes for their preparation by the project team.


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Project Terminal Report: During the last three months of the project, the project team will prepare the Project Terminal Report. This comprehensive report will summarize all activities, achievements and outputs of the project, lessons learnt, objectives met or not, structures and systems implemented, etc. and will be the definitive statement of the project’s activities during its lifetime. It will also lay out recommendations for any further steps that may need to be taken to ensure sustainability and replicability of the project’s activities.

Technical Reports: Technical Reports are detailed documents covering specific areas of analysis or scientific specializations within the overall project. As part of the Inception Report, the project team will prepare a draft Reports List, detailing the technical reports that are expected to be prepared on key areas of activity during the course of the project, and tentative due dates. Where necessary this Reports List will be revised and updated, and included in subsequent Annual Project Reports. Technical Reports may also be prepared by external consultants and should be comprehensive, specialized analyses of clearly defined areas of research within the framework of the project and its sites. These technical reports will represent, as appropriate, the project's substantive contribution to specific areas, and will be used in efforts to disseminate relevant information and best practices at local, national and international levels.

Project Publications: Project Publications will form a key method of crystallizing and disseminating the results and achievements of the project. These publications may be scientific or informational texts on the activities and achievements of the project, in the form of journal articles, multimedia publications, etc. These publications can be based on Technical Reports, depending upon the relevance, scientific worth, etc. of these reports, or may be summaries or compilations of a series of Technical Reports and other research.

The project team will determine if any of the Technical Reports merit formal publication, and will also (in consultation with FAO, the government and other relevant stakeholder groups) plan and produce these publications in a consistent and recognizable format. Project resources will need to be defined and allocated for these activities as appropriate and in a manner commensurate with the project's budget.

GEF-4 Tracking Tool Reports: The tracking tool which has the purpose of measuring the progress in achieving the impacts and outcomes established at the portfolio level under the biodiversity focal area. It needs to be submitted at three moments, following GEF procedures: (i) with the project document at CEO endorsement; (ii) at the project’s mid-term evaluation; and (iii) with the project’s terminal evaluation or final completion report.

All technically cleared reports should be copied to [email protected] so that they can be uploaded and maintained in the corporate project database under the Field Programme Management Information System (FPMIS).

5. Independent Evaluations

In accordance with FAO’s procedures, the project will be subjected to at least two independent external evaluations as follows:

Mid-term Evaluation: An independent Mid-Term Evaluation will be undertaken at the end of the third year of implementation. The Mid-Term Evaluation will determine progress being made towards the achievement of outcomes and will identify course correction if needed. It will focus on the effectiveness, efficiency and timeliness of project implementation; will highlight issues requiring decisions and actions; and will present initial lessons learned about project design, implementation and management. Findings of this review will be incorporated as recommendations for enhanced implementation during the final half of the project’s term. The organization, terms of reference and timing of the mid-term evaluation will be decided


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after consultation between the parties to the project document. The Terms of Reference for this Mid-term evaluation will be prepared by Executive Secretariat, according to FAO’s procedures.

Final Evaluation: An independent Final Evaluation will take place three months prior to the terminal review meeting, and will focus on the same issues as the mid-term evaluation. The final evaluation will also look at impact and sustainability of results, including the contribution to capacity development and the achievement of global environmental goals. The Final Evaluation will also provide recommendations for follow-up activities. The Terms of Reference for this evaluation will be prepared by Executive Secretariat, according to FAO’s procedures.


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Summary of project’s M&E and reporting

Event and

M&E

activity Purpose

Time

frame Responsibility and

participants Output

Inception workshop

Participants will understand and take ownership of the project’s goals and objectives, as well as finalize preparation of the project's first annual work plan on the basis of the project's log frame matrix

First quarter

Responsibility: Executive Secretariat; PMEU; FAO.

Participants: Project team, relevant government counterparts, Brazilian Forest Service, key stakeholder group representatives, and FAO

Inception Report

Monitoring and oversight working meetings

For day to day project monitoring and oversight and for intra-team communication to provide direction to project team and overtake possible implementation problems

Monthly

Responsibility: Executive Secretariat; PMEU

Participants: Project team

Monthly project progress report and work plan for next month

Supervision of contracted agencies

To guarantee that the data collecting and delivery of information will occur accordingly with the schedule and established standards of quality

Quarterly

Responsibility: Executive Secretariat; PMEU Participants: Contracted agencies

Supervision reports

Periodic monitoring of implementation progress

To allow parties to take stock and to troubleshoot any problems pertaining to the project in a timely fashion to ensure smooth implementation of project activities

Quarterly Semi-annual Annual

Responsibility: Executive Secretariat support of FAO

Participants: Project parties

Quarterly Progress Report Semi-annual Project Progress Report Annual Project Progress Report

Annual review

For project annual review and present highlighting policy issues and recommendations for the decision of the participants

Annually

Responsibility: Steering Committee with support of Executive Secretariat and FAO

Participants: Steering Committee members

Project Implementation Review

Final Steering Committee meeting

For terminal project review Last month of project life

Responsibility: Steering Committee with support of Executive Secretariat and FAO

Participants: Steering Committee members

Terminal Project’s Review Report

Annual To present the results of To be Responsibility: Seminar Report


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seminar forest policies studies and to undertake a participatory evaluation of project’s results and expectations from stakeholders

undertaken during the annual reviews

Steering Committee members; FAO; Executive Secretariat Participants: Project team, Brazilian Forest Service, key stakeholder group representatives, and FAO

Mid-term evaluation

To determine progress being made towards the achievement of outcomes and will identify course correction if needed

Third year of project life

Responsibility: The Project Secretariat will prepare Terms of Reference according to FAO’s procedures. An external institution is contracted to undertake the evaluation

Mid-term Evaluation Report

Final evaluation

Focused on the same issues as the mid-term evaluation and to look at impact and sustainability of results, including the contribution to capacity development and the achievement of global environmental goals

Three months before the final review meeting

Responsibility: The Project Secretariat will prepare Terms of Reference according to FAO’s procedures. An external institution is contracted to undertake the evaluation

Final Evaluation Report

Information will follow a flow from the origin (at different M&E levels) to the clients and will be used for project management, decision making and to support policies for sustainable forest management (Figure 2). Considering the institutional engagement in the process, the roles and responsibilities of each one throughout the results chain of the project must be clear, to ensure that information will be available at the right time.


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Figure 3 – Information flow of the M&E system

To collect data and generate the information flow from the different M&E levels it should be considered:

a) Inputs: For data collecting related to day-to-day and systematic monitoring the following inputs will be used: (i) M&E plan; (ii) results framework; (iii) Annual Work Plan; (iv) results chain of the project.

b) Needs: It will be necessary: (i) create the Planning, Monitoring, and Evaluation Unit; (ii) training of project team related to M&E system; (iii) select methodologies and strategies for data collecting and reporting; (iv) definition of institutional arrangements and responsibilities; (iv) financial resources.

6. Dissemination of Results

Results from the project will be disseminated through a number of existing information sharing networks and fora. In addition: (i) the project will identify and participate, as relevant and appropriate, in scientific, policy-based and/or any other networks, which may be of benefit to project implementation though lessons learned; (ii) the project will identify, analyze, and share lessons learned that might be beneficial in the design and implementation of similar future projects. Identifying and analyzing lessons learned is an on-going process, and the need to communicate such lessons as one of the project's central contributions is a requirement to be delivered not less frequently than once every 12 months. FAO shall provide a format and assist the project team in categorizing, documenting and reporting on lessons learned.

MONITORING AND EVALUATION LEVELS

Day-to-day monitoring

Systematic monitoring and reviews

Evaluations (mid-term and final)

OUTPUTS

Monthly project progress report and work plan for next month

- Quarterly Progress Report; - Supervision reports; - Semi-annual Project Progress Report - Annual Project Progress Report; - Seminar Report; - Terminal Project’s Review

- Mid-term Evaluation Report;

- Final Evaluation Report

MAIN CLIENTS

- PMEU - Executive Secretariat;

- FAO/GEF - Steering Committee - Stakeholders and decision makers - Executive Secretariat; - External evaluations (mid-term and final)

- FAO/GEF - Steering Committee - Stakeholders and decision makers - Executive Secretariat

Annex 7: Financial Management and Reporting

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Financial Records

FAO shall maintain a separate account in United States dollars for the GEF component of the project showing all income and expenditures. Expenditures incurred in a currency other than United States dollars shall be converted into United States dollars at the United Nations operational rate of exchange on the date of the transaction. FAO shall administer GEF component of the project in accordance with its regulations, rules and directives

Financial Reports

The Budget Holder, supported by the Operational and Finance Officer, shall prepare six-monthly project expenditure accounts and final accounts for the GEF component of the project, showing amount budgeted for the year, amount expended since the beginning of the year, and separately, the unliquidated obligations as follows:

i. Details of project expenditures on a component-by-component basis, reported in line with project budget codes as set out in the Project Document, as at 30 June and 31 December each year.

ii. Final accounts on completion of the project on a component-by component cumulative basis, reported in line with project budget codes as set out in the Project Document.

iii. A final statement of account in line with FAO Oracle project budget codes, reflecting actual final expenditures under the GEF component of the project, when all obligations have been liquidated.

The Budget Holder will submit the financial reports for review and monitoring by the LTU, and the GEF Coordination and certification by the Finance Division.

Financial reports for submission to the donor will be prepared in accordance with the provisions in the GEF Financial Procedures Agreement.

Budget Revisions

Semi-annual budget revisions will be prepared by the Budget Holder supported by the operational and Finance Officer in accordance with FAO standard guidelines and procedures.

Responsibility for Cost Overruns

The budget holder is authorized to enter into commitments or incur expenditures up to maximum of 10 per cent over and above the annual amount foreseen in the GEF component of project budget under any budget sub-line provided the total cost of the annual budget is not exceeded.

Any cost overrun (expenditure in excess of the budgeted amount) on a specific budget sub-line for the GEF component over and above 10 per cent flexibility should be discussed with the FAO GEF Coordination Unit with a view to ascertaining whether it will involve a major change in project scope or design. If it is deemed to be a minor change, the budget holder shall prepare a budget revision in accordance with FAO standard procedures. If it involves a major change in the project’s objectives or scope, or in GEF component of project management budget, a budget revision and justification should be prepared by the Budget Holder for discussion with the GEF Secretariat.

Savings in one budget sub-line may not be applied to overruns of 10 per cent in other sub-lines of the GEF component budget even if the total cost remains unchanged, unless this is specifically authorized by the FAO GEF Coordination unit upon presentation of the request. In such a case, a revision to the Project Document amending the budget will be prepared by the Budget Holder.

Under no circumstances can expenditures exceed the approved total project budget for the GEF component or be approved beyond the NTE date of the project. Any over-expenditure is the

responsibility of the Budget Holder.


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Audit

GEF component of the project shall be subject to the internal and external auditing procedures provided for in FAO financial regulations, rules and directives and in keeping with the Financial Procedures Agreement between the GEF Trustee and FAO.

The audit regime at FAO consists of an external audit provided by the Auditor-General (or persons exercising an equivalent function) of a member nation appointed by the governing bodies of the Organization and reporting directly to them, and an internal audit function headed by the Inspector-General who reports directly to the Director-General. Both functions are required under the Basic Texts of FAO which establish a framework for the terms of reference of each. Local audits undertaken by independent accounting firms of imprest accounts, records, bank reconciliation and asset verification take place at FAO field and liaison offices.

Annex 8: Co-Financing Arrangements

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Annex 8: Co-Financing Arrangements

The project counts with two co-financiers: the GoB and FAO.

The contribution of FAO amounts to USD 300 000, in cash (FAO Technical Cooperation Project).

Most of the co financing will come from the Brazilian Federal Government by means of in-kind and cash contributions. The cash contribution will be originated from the GoB’s annual budget directly allocated to the MMA and transferred to the BFS, while in-kind contribution will come from normal budget allocations and from existing facilities, personal, and materials. Eventually, Brazilian states and municipalities may adhere to the project activities with their own funds, but these additional contributions will be used to obtain more information or to improve the quality of collected information. These contributions, if not forthcoming, will not affect the products defined in the project designed.

National co-financing commitment amounts to USD 56 367 042 and consists of both cash and in-kind contributions.

The GoB cash contribution is going to be USD 50 808 752 over five years, which amounts to an average of USD 10 161 750 per year. The cash contributions cover mainly:

(i) National Consultants salaries not covered by the GEF grant; (ii) Contracts of Services with National specialized companies; (iii) Images Acquisitions; (iv) Data field collection and monitoring; (v) Training programmes; (vi) Maps and related supplies acquisitions; and (vii) Research and development.

GoB’s in-kind contribution of the will be of USD 5 558 290, over five years, representing USD 1 111 658 per year. The in-kind contributions comprise:

(i) Pro rata man-power use of GEIF, GEAL and of some other BFS managerial divisions;

(ii) Pro rata man-power use of the BFS’ federal partner institutions; (iii) Pro rata time of the committees and commission members to be created as

established in Annex 5; (iv) Portion of the salaries; (v) The salaries of the UGP-GEF Secretary; (vi) UGP-GEF office space costs; (vii) All national counterpart salaries for workshops, training and local travel.

Donor Co-Financing

Name of co-financier (source) Classification Type Amount (USD)

%*

Government of Brazil Cash 50 808 752 89.7

Government of Brazil In kind 5 558 290 9.8

FAO GEF Implementing and Executing Agency

Cash 300 000 0.5

Total Co-financing 56 667 042 100%

Annex 9: Government Obligations

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Annex 9: Government obligations

1. The achievement of the objectives set by the project shall be the joint responsibility of the Government and FAO.

2. As part of its contribution to the project, the Government shall agree to make available the requisite number of qualified national personnel and the buildings, training facilities, equipment, transport and other local services necessary for the implementation of the project.

3. The Government has assigned authority for the project within the country to the Brazilian Forest Service, which shall constitute the focal point for cooperation with FAO in the execution of the project, and which shall exercise the Government's main responsibility in this regard.

4. Project equipment, materials and supplies provided out of the project funds shall normally become the property of the Government immediately upon their arrival in the country, unless otherwise specified in the agreement. The Government shall ensure that such equipment, materials and supplies are at all times available for use of the project and that adequate provision is made for their safe custody, maintenance and insurance.

5. Subject to any security provisions in force, the Government shall furnish to FAO and to its personnel on the project, if any, such relevant reports, tapes, records and other data as may be required for the execution of the project.

6. The selection of FAO project personnel, of other persons performing services on behalf of FAO in connection with the project, and of trainees, shall be undertaken by FAO, after consultation with the Government. In the interest of rapid project implementation, the Government shall undertake to expedite to the maximum degree possible its procedures for the clearance of FAO personnel and other persons performing services on behalf of FAO and to dispense with, wherever possible, clearance for short-term FAO personnel.

7. The Government shall apply to FAO, its property, funds and assets, and to its staff, the provisions of the Convention on the Privileges and Immunities of the Specialized Agencies. Except as otherwise agreed by the Government and FAO in the Project Agreement, the Government shall grant the same privileges and immunities contained in the Convention to all other persons performing services on behalf of FAO in connection with the execution of the project.

8. With a view to the rapid and efficient execution of the project, the Government shall grant to FAO, its staff, and to all other persons performing services on behalf of FAO, the necessary facilities including:

i) the prompt issuance, free of charge, of any visas or permits required;

ii) any permits necessary for the importation and, where appropriate, the subsequent exportation, of equipment, materials and supplies required for use in connection with the project and exemption from the payment of all customs duties or other levies or charges relating to such importation or exportation;

iii) exemption from the payment of any sales or other tax on local purchases of equipment, materials and supplies for use in connection with the project;

iv) payment of transport costs within the country, including handling, storage, insurance and all other related costs, with respect to equipment, materials or supplies for use in connection with the project;

Annex 9: Government Obligations

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v) the most favourable legal rate of exchange;

vi) assistance to FAO staff, to the extent possible, in obtaining suitable accommodation;

vii) any permits necessary for the importation of property belonging to and intended for the personal use of FAO staff or of other persons performing services on behalf of FAO, and for the subsequent exportation of such property;

viii) prompt customs clearance of the equipment, materials, supplies and property referred to in subparagraphs (ii) and (vii) above.

9. The Government shall deal with any claim which may be brought by third parties against FAO or its staff, or against any person performing services on behalf of FAO, and shall hold them harmless in respect of any claim or liability arising in connection with the project, unless the Government and FAO should agree that the claim or liability arises from gross negligence or wilful misconduct on the part of the individuals mentioned above.

10. The persons performing services on behalf of FAO, referred to in paragraphs 6 to 9, shall include any organization, firm or other entity, which FAO may designate to take part in the execution of the project.

Annex 10: Project Reviews (STAP, GEF Secretariat, GEF Council) and Team Response

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STAP scientific and technical screening of the Project Identification Form (PIF)

Date of screening: 6 October 2008

Screener: Guadalupe Duron

Panel member validation by: Michael Stocking

Further guidance from STAP

STAP welcomes this project in Brazil to strengthen national policy and knowledge frameworks with a view to supporting the sustainable management of forest resources. The forest situation in Brazil, especially Amazonia, is intensely political with competing institutions, mixed messages and confused science particularly in terms of the areas being deforested.9

STAP notes that this PIF comes with a PPG request ($150,000 from GEF resources) to prepare the full project. In the further development of this project, STAP advises the following scientific and technical points to be taken into consideration:

1. Climate proofing. A recent report from Brazil's National Institute of Space Research (INPE) and the Institute of Aeronautics and Space cites the estimate that global warming alone will cause an 18 per cent reduction in Amazon tropical rainforest by 2099 if the most severe scenario projected by the Intergovernmental Panel on Climate Change (IPCC) becomes reality. Yet, at the same time projected climate conditions will be favourable to the Brazilian Atlantic rainforest, with an increase in area of around two per cent. National policy and knowledge frameworks will need to include evidence of trends in the various biomes influenced by global warming, and use these to understand the role of forests in the whole production landscape. A project such as this should be more explicit as to how climate change itself will be accommodated in national forest policy.

2. Specification of outcomes. STAP finds that the expected outcomes in the Project Framework for Components #1 to 3 are expressed as activities and not as outcomes. So, for example, Component 1 is worded as “Partners are organised and collaborate to ensure that SFM is mainstreamed in development policy and practices at the national and local levels.” The Outcome should be the mainstreaming into policy and practice, and also what the mainstreaming is intended to achieve, such as new coordinating bodies for forest policy, national laws and legal instruments. The organisation and collaboration of partners is an activity that may achieve the Outcome, although the process towards attainment of SFM through these means is not specified.


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3. STAP notes that the project intends to adopt a landscape/integrated land use perspective for sustainable forest management. This is in accord with the GEF SFM Strategy that specifies an emphasis on the whole landscape and that projects should consider basic actions that will overcome any biases against conserving and producing global environmental benefits alongside the need to support local livelihoods. This may well be a contentious issue in the context of Brazil’s forest resources. STAP advises that the full project brief should attempt to be more explicit on (a) how the landscape approach will be developed, and (b) what measures will be introduced in national policy to balance potentially conflicting objectives between global and local perspectives.

4. Global environmental benefits (GEBs). The section on justifying the project in terms of delivery of GEBs notes that biodiversity conservation will be promoted and reduced emissions from forest degradation will result. These are claims that will be impossible to quantify, verify and be specific about process linkages, in a project that is designed to strengthen national SFM policy through increased knowledge about Brazil’s forest resources. STAP is more impressed by the claim that improved information and analysis of Brazil’s forests will have a positive impact on international negotiations on forests and on the global understanding of SFM and climate change processes. At a national level but with global implications, the GEF SFM Strategy also highlights the need for countries to make specific reference to biodiversity conservation and the ecological functions of forests in national operational policies, procedures, manuals and legislation. There are estimates available on the total above- and below-ground carbon in Brazil’s various biomes, and how far an initiative from Brazil might lead world opinion in biodiversity conservation, carbon sequestration and reduced emissions of GHGs from controlled deforestation and land degradation. Estimates could also be made of the number and types of national policies that could be positively influenced, thus providing evidence of mainstreaming. These would, in STAP’s opinion, provide a more convincing case for GEF funding than vague claims of direct biodiversity and climate change benefits for the global environment.

5. Cost-effectiveness of the project. STAP notes that the PIF attempts to make broad estimates of cost effectiveness in terms of delivery of direct GEBs in biodiversity conservation, reduced carbon emissions and controlled land degradation. As noted in point (4) above, the link between the Expected Outcomes of this project and direct GEBs is difficult to make. STAP would prefer to see an argument based upon the cost-effectiveness of the project in delivering Outcomes, such as mainstreamed national forest policies, knowledge and information system on forest resources, and other tangible products that the project will develop.

Response by the project team

The project team responds to these comments as follows:

1. Climate proofing. The Ministry of Environment in Brazil has a national policy for climate change (the “National Plan for Climate Change”) and the National Forest Monitoring and Assessment System that will be developed and launched under this project is mentioned as a vital source of information for the implementation of this policy. Component 3 of the project will produce the information required to provide the “evidence of trends in the various biomes influenced by global warming” referred to in

9 For example, on 30 September 2008, it is reported that the Ministry of the Environment has identified

another government department (INCRA – the Institute of Colonization and Agrarian Reform) as the agency that has deforested the largest area since 2005. INCRA disputes the accusation.


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the STAP comments and the analysis under Component 3 will, amongst other things, help the Ministry of Environment to understand the role of forests in the whole production landscape.

Component 4 of the project will contribute to the further development and implementation of the national forestry policy, with an emphasis on biodiversity and climate change (supported by the GEF) and national development objectives (supported by cofinancing). Brazil already has many policies that aim to reduce deforestation (the most obvious way in which climate change is accommodated in the national forest policy) and further developments could include other measures to reduce forest fragmentation and degradation as well as adaptation activities. However, given the current lack of information (that this project seeks to address), it would be premature to be more explicit about exactly what the project might recommend in terms of future policy developments.

2. Specification of outcomes. The outputs, outcomes and objectives have been more clearly defined in the project document and are now in line with the points raised in this comment.

3. Landscape/integrated land use approach. The sampling system developed for the resource assessment will combine the results from sample plots measured on the ground and satellite images of different landscape/land-use types, so that the results can be interpreted at the landscape/land-use level. These will then be analysed so that issues/problems in specific landscapes can be identified (e.g. forest fragmentation in different landscapes, deforestation along rivers, etc.). Once problems have been identified, they will be prioritised and may be addressed as a policy issue for the project to work on under Component 4. However, at this stage, it would be premature to state which problems would be examined and the measures that might be introduced.

4. Global environmental benefits (GEBs). Currently, much of the information about deforestation and associated GHG emissions in Brazil is based on satellite information produced and analysed by INPE.10 While these are good preliminary estimates, they are limited to the Amazon forest, they only measure gross deforestation and there is no detailed and comprehensive assessment of the situation on the ground at the national level. This project aims to go far beyond current assessment methods, in particular with the recording and analysis of forest carbon stocks and flows using an agreed national standard. This, along with the proposed continuous methodological development, aims to place Brazil at the leading edge of research and analysis of the linkages between land-use change, GHG emissions and carbon sequestration (as suggested in the STAP comments).

With respect to the comment about recording the number and types of policies that will be influenced by the outputs of the project, this has been included in the results framework as an outcome indicator for Component 4 and will be recorded on the GEF Tracking Tool.

5. Cost-effectiveness of the project. Cost-effectiveness is described in Section 4.5 of the document (Alternatives considered and reasons for rejection). As requested by STAP, the cost-effectiveness has been described in terms of the cost-effectiveness of delivering the tangible outputs of the project (and some of the outcomes) rather than the GEBs.


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GEF Secretariat review for full/medium-sized projects

1. Is the Participating Country eligible? Yes, Brazil is eligible for GEF funding.

2. Has the operational focal point endorsed the project? Yes, the GEF FP has endorsed the project and the use of RAF resources as follows: BD: USD 6million (incl. fees); CC: USD 3.85 million (incl. fees).

3. Which GEF Strategic Objective/Program does the project fit into? BD-SP4; CC-SP6.

4. Does the Agency have a comparative advantage for the project? Yes, FAO has the comparative advantage working in the field of SFM and policy and legal reform processes related to forestry in particular..

5. Is the proposed GEF Grant (including the Agency fee) within the resources available for (if appropriate): The RAF allocation? As of July 31, 2008, Brazil has the following RAF amounts still unallocated: BD: $38.724million; CC: $26.361million. The proposed GEF amounts for this project are within these available resources envelopes. The focal areas? See above, the project involves only the focal areas Biodiversity and Climate Change. Strategic objectives? n.a. Strategic Program? n.a.

6. Will the project deliver tangible global environment benefits? The project will not deliver direct global environmental benefits in terms of changes in the environmental status of forest resources. It will however, enable the GoB to make informed decisions and policy changes based on up-to date information on the status of Brazil's forest and tree resources and their management systems. By adjusting policy and investment decisions accordingly, the longer term benefits would be linked to biodiversity conservation and reduced emissions from deforestation and forest degradation.

7. Is the global environmental benefit measurable? Not Applicable at PIF/Work Programme Inclusion.

8. Is the project design sound, its framework consistent sufficiently clear (in particular for the outputs)? Yes, the proposed four components are logically linked and will set up a system in Brazil that allows decision makers to use new data and information on forest resources for their decision making process, incl. investment strategies and potentially an engagement with the emerging carbon market. Outputs are concrete and will be further refined during the development of the full proposal.

To be consistent with the GEF climate change strategy on LULUCF, it is suggested that the project framework explicitly include activities and outputs that target methodology development and application as well as data collection for GHG emissions reduction from LULUCF. This is particularly relevant in the context of Component 3 (Support to monitoring and information system), whose outputs will feed into Component 4 (Policy reform to enhance the contribution of SFM to national development and the global environment). It is expected that this point be adequately addressed during project design (PPG) and fully reflected in the final project document by CEO endorsement.

9. Is the project consistent with the recipient country’s national priorities and policies? Yes, the project is in line with the implementation of Brazil’s National Biodiversity Strategy Action Plan. It is also in line with major national climate change related projects such as the project for Gross Deforestation Estimation in the Brazilian Legal Amazonia (PRODES), the National System of Conservation Units (SNUC) and the National System of Forest Fire

10 INPE will collaborate with this project through existing mechanisms for cooperation established between

BFS and INPE.


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Prevention and Control (PREVFOGO).

The project is also directly related to a new law (Forest Law 11.284, 2006) which defined the modalities for forest resource management, including the creation of the Brazilian Forest Service (BFS) within the Ministry of Environment, and establishes the National Forest Development Fund.

10. Is the project consistent and properly coordinated with other related initiatives in the country or in the region? Partially, the PIF makes reference to some specific projects relevant to this new proposal and cites the existence of several ongoing GEF projects related to SFM. It would be useful also to make a link to the discussion on REDD, specifically UN-REDD (since FAO is a partner) and the FCPF since some Brazilian States have expressed interest to be supported through their Readiness Mechanism. Will this project look for full consistency with the methods applied through the FCPF? What role will the UN-REDD play in this project, if any at all?

11. Is the proposed project likely to be cost-effective? Yes, some first arguments on cost-effectiveness have been presented. Cost-effectiveness can also be argued form the point of view that enabling the national government of Brazil to enhance their capacity to make informed decisions on their forest resources will in the end make any future investment more focused and cost-effective since the scope can be much better defined and priorities identified.

12. Has the cost-effectiveness sufficiently been demonstrated in project design? Not Applicable at PIF/Work Programme Inclusion.

13. Is the project structure sufficiently close to what was presented at PIF? Not Applicable at PIF/Work Programme Inclusion.

14. Does the project take into account potential major risks, including the consequences of climate change and includes sufficient risk mitigation measures? Yes, a list of potential and realistic risks has been mentioned and preliminary mitigation measures identified. These will be further elaborated on during the preparation of the project.

15. Is the value-added of GEF involvement in the project clearly demonstrated through incremental reasoning? Yes, the GEF value added has been established through the role of forest ecosystem in the global environmental framework. Brazil’s forests provide ample potential for benefits in the area of biodiversity and climate change mitigation and adaptation.

16. How would the proposed project outcomes and global environmental benefits be affected if GEF does not invest? Not Applicable at PIF/Work Programme Inclusion.

17. Is the GEF funding level of project management budget appropriate? Yes, project management costs are below 10% and co-financed at a ratio consistent with overall project co-financing ratio.

18. Is the GEF funding level of other cost items (consultants, travel, etc.) appropriate? Not Applicable at PIF/Work Programme Inclusion.

19. Is the indicative co-financing adequate for the project? Yes, anticipated co-financing is $56.7million, of which 56.4million will be provided by the GoB. This is a good indicator for country driveness and ownership for the proposed project.

20. Are the confirmed co-financing amounts adequate for each project component? Not Applicable at PIF/Work Programme Inclusion.

21. Does the proposal include a budgeted ME Plan that monitors and measures results with indicators and targets? Not Applicable at PIF/Work Programme Inclusion.


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1. Methodology development (point 8): This is included under Component 2 of the project.

2. Links to UN-REDD and World Bank FCPF (point 10): At present, Brazil does not participate in UN-REDD or the FCPF. It is also understood that neither of these initiatives have clearly defined methods at this point in time. This project will develop a nationally agreed standard for the measurement and monitoring of carbon stocks in forests in Brazil. This will take note of developments in these other two initiatives (especially UN-REDD, where FAO will help the team in Brazil to keep up-to-date with developments there), but will prioritise methods and technologies that are relevant and appropriate to Brazil. Should Brazil wish to join either or both of these other initiatives at some point in the future, the project team believes that the outputs of this project will enable Brazil to participate very quickly and efficiently.

3. Risks and mitigation (point 14): As requested, these have been elaborated in more detail in the project document.

4. Project management costs and co-financing (points 17 and 19): The project has a total estimated budget of USD 65.5 million, mostly financed by the GoB. Total project costs distributed by funding source are: (i) GEF - USD 8.9 million; (ii) Government of Brazil - USD 56.4 million, and (iii) FAO - USD 0.3 million.

Comments from GEF Council members at work-programme inclusion

France

The project proposes to strengthen the information and knowledge management relating to forest management with a view to help decision makers. The general objectives are similar to those of the UNEP Brazilian information system project presented in the work program. The same questions apply: involvement of international partners? Involvement of the State level? Time needed for the measures to have some real impact? Opinion: Favourable with a request to address the above questions.

Comments on UNEP PIF (for information): The project aims to improve information

management regarding biodiversity at the national level. It proposes to focus its attention in

particular on the taxonomic capacities of Brazilian organizations. The approach proposed is

interesting but one can wonder about the time it will take for its measures to produce concrete

results and help decision makers to mainstream biodiversity in their decisions. Turning to the

partners involved, the project should clearly work with international partners of Brazil

supporting the country’s efforts to protect its biodiversity and developing important

knowledge based activities : international NGO for example. The project should make more

space also for the relevant organization at State level (and not only Federal level) working on

biodiversity. These organizations will be needed to feed the information system. They will be

users also of the tools developed. Opinion: Favourable with a request to address the above

questions.



1. International partners: International partners were invited to participate in project preparation activities (e.g. at workshops to discuss methodologies and information needs) and a number of international organisations did participate (e.g. representatives


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of the International Tropical Timber Organization, Inter-American Development Bank and Amazon Cooperation Treaty Organization). The project will continue to invite international partners to participate in project activities and would welcome such participation.

2. Involvement at the state level: Representatives of Brazilian states and municipalities will be very active participants in this project and this is explained more fully in Section 4 of the project document.

3. Time needed to have an impact: This point raised by the GEF Council member for France is very valid and has been a concern for the project team. At the outcome level, the project team has been careful to propose outcomes that are relevant, can be measured and should (at least) partly appear during the duration of the project. In particular, the decision to proceed with the project by focusing on different states/regions in each year should allow some of the impacts of project interventions in the earlier years to be measured.

At the higher impact/objective level, the project team has retreated from giving specific and quantified measures of success that would be difficult to measure and even more difficult to attribute to this project (see earlier comments from STAP and the project team’s response). More qualitative indicators of performance have been proposed, with the intention that the final evaluation can assess the ultimate success of the project through an independent, open and transparent process of peer review by key stakeholders and other knowledgeable persons. Although this is a second-best approach, the project team hopes that this is an adequate response to this concern.

Annex 11: Maps

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Annex 91: Maps

Map 1: Brazilian states and regions.

Annex 11: Maps

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Map 2: Brazilian natural vegetation.

Annex 12: Causal Maps Linking Project Outputs, Outcomes, and Impacts

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Mitigativeactionstaken

Need toadapt towarming

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welfare

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carbon pool

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capturerate

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Figure 4 - Causal map linking project outputs, and outcomes and impacts related to climate

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Global

welfare

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management

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Figure 5 - Causal map linking project outputs, and outcomes and impacts related to biodiversity

FAO/GLOBAL ENVIRONMENT FACILITY PROJECT … ENVIRONMENT FACILITY PROJECT DOCUMENT Countries: Brazil...

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