Project information document (pid) appraisal stage report No.: Ab1831
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- Region LATIN AMERICA AND CARIBBEAN Sector
- Project ID P070867 GEF Focal Area
- Environment Category [ ] A [X] B [ ] C [ ] FI [ ] TBD (to be determined) Date PID Prepared
- Date of Appraisal Authorization March 9, 2007 Date of Board Approval
- Component 1: Integrated Ecosystem Governance
- Component 2: Integrated Ecosystem Management Practices
- Component 3. Monitoring and Evaluation, and Project Management
- Table 1: Total Project Financing Sources Source
- Total 23.06
- Safeguard Policies Triggered by the Project
| PROJECT INFORMATION DOCUMENT (PID)
APPRAISAL STAGE Report No.: AB1831
Country and Sector Background With an area of around 8,500,000 km², Brazil covers almost half of South American continent. Brazil is considered a country of megadiversity, with its territory encompassing one third of all the tropical rain forest of the world, the largest reservoir of the world’s fresh water (20 percent), the second longest coastal line with over 8,500 km, high climatic diversity, a savanna with the richest biodiversity in the world, and the uniqueness of the Caatinga biome. It is the country with the greatest diversity in flora, with approximately 20 percent of the world’s superior plant species (55,215), 578 species of mammals, 2,657 species of fish, the second worldwide in richness regarding amphibians (517), the third regarding bird species (1,712). Without counting invertebrates, Brazil is among the top five countries in the world terms of the diversity of endemic species. Brazil has also a wide range of climate zones, comprising six ecologically distinct biomes: Amazonian Forests, the world's largest standing contiguous tropical rain forest; Pantanal, the world's largest inland wetland; Pampa, or Southern grasslands; Cerrado, with vast tree and scrub woodlands; Atlantic Rainforests, with temperate climates and rich in biodiversity; and Caatinga, expanded semiarid thorn forests, a biome unique to Brazil. In few countries is the national environment as crucial to development and people’s welfare, and at the same time vital to a sustainable global ecology, as in Brazil. Yet, the richness of the Brazilian biodiversity has led to a prevailing misconception that, because abundant, biodiversity is everlasting. Since colonization, exploitation has been predatory and disorderly, particularly in three – Atlantic Forest, Cerrado and Caatinga – of its six biomes - Amazon Rainforest, Atlantic Forest, Caatinga, Cerrados, Pantanal, and Pampas. In the Caatinga, antropic elements, particularly human settlements, have deeply impacted the biological, chemical, and physical processes essential to maintaining the structure and functions of the biome. On the sub-equatorial zone, between the Amazon and Atlantic Forests, are found the "Caatingas" of the Brazilian Northeast. The word Caatinga originates from the native indigenous Tupí language, meaning ‘Mata Branca’, or white forest (caa: forest; tinga: white, open). The word Sertão, which characterizes the most known ecosystem within the Caatinga, derives from the Portuguese desertão (big desert). The Caatinga is the largest dry forest in South America and is one of the richest dry forests in the world. Comprising an area of approximately 800,000 km², it covers 11 percent of the national territory, extending throughout the states of Piauí, Ceará, Rio Grande do Norte, Paraíba, Pernambuco, Alagoas, Sergipe, Bahia and Minas Gerais. The climate is semi-arid, with average annual temperatures between 27ºC and 29ºC, and with pluviometrical averages inferior to 800 mm; rainfall is irregular in temporal and spacial distribution; rivers are intermittent; and, soils, situated over crystaline rocks, are shallow, making intense the superficial drainage. The typical Caatinga landscape is comprised of widespread inter-plateau and inter-mountain plains, penetrated by higher residual massifs. The vegetation is xerophytic, deciduous and open, well adapted to withstand the lack of water. Its most common landscape is the one it presents during the drought: despite the dry aspect of the plants, they are all alive, only losing their leaves to endure the lack of water. Even during the drought, animal life is abundant and diverse. Despite its severe conditions, the Caatinga is an remarkably rich repository of biological diversity, provided by a highly heterogeneous mosaic of vegetation types, formed of at least 1,200 vascular plants and a considerable number of endemic species: of the 598 registered arboreal and shrub species, 180 are endemic. Also endemic are at least 185 fish species, 44 lizards, 9 amphibeans, 47 snakes, 4 turtles, 3 crocodylia, 350 birds and 80 mammals. Of the ten most endangered birds in the world, two are endemic to the Caatinga: the indigo macaw and the little blue macaw. The most frequent species are Caesalpinaceae, Mimosaceae, Euphorbiaceae, Fabaceae and Cactaceae, with the genus Senna, Mimosa and Pithecellobium with the largest number of species. The most abundant plants found in the Caatinga area are Caesalpinia pyramidalis, Mimosa spp. and Croton spp., which are the pioneer species in the process of secondary succession resulting from anthropogenic action. The biodiversity of the Caatinga is threatened by overexploitation of its natural resources, which affects the integrity and diversity of its ecosystems and the quality of life of the resident population, with a major risk of irreversible atmospheric and biodiversity change. Over the last two decades, approximately 40,000 m² of the Caatinga became desert due to the interaction between human beings and the environment. The Caatinga is now threatened by increased human-induced impacts that provoke loss of biological diversity, land degradation, disruptions in water flow regimes and water quality. Institutional arrangements are weakened by gaps in existing policies, particularly sectoral policies, failure to incorporate environmental and social costs into economic decision-making, and overlaps and/or unclear institutional responsibilities for the conservation and management of biodiversity, further exacerbated by an absence of effective mechanisms for information sharing, integrated planning and collaboration among agencies and stakeholders Objectives The project’s global environmental objective and its development objective are the same: to contribute to the preservation, conservation, and sustainable management of the biodiversity of the Caatinga in the states of Bahia and Ceará, while improving the quality of life of its inhabitants, through the introduction of sustainable development practices. Rationale for Bank Involvement The states of Bahia and Ceará together encompass about 50 percent of the Caatinga biome - the only biome unique to Brazil - comprising approximately 12 million inhabitants in both states (70 percent of Ceará’s population and 50 percent of Bahia’s population). The Caatinga presents critical socioeconomic and environmental conditions. The inhabitants of the Caatinga are the poorest in Brazil: the region is marked by low educational levels, high infant mortality and life expectancy rates, and a paucity of social and physical infrastructure and basic services. The Caatinga, an exceptionally rich repository of biological diversity, has undergone severe habitat destruction and has survived mainly as small patches in relatively remote areas. Only one percent of its territory is preserved as strict conservation units. The Caatinga is severely threatened by accelerating economic processes, such as conversion of woodland to pasture, charcoal production for cooking fuels, firewood collection, and expansion of infrastructure and irrigation perimeters. Desertification is advancing quickly, caused by the removal of vegetation for pasture and crops, overgrazing, soil erosion, and the use of slash-and-burn as the prevalent agricultural system by smallholder farmers and ranchers. Another major driving force that has contributed to the present environmental and socioeconomic situation has been past rural policies, which gave priority to mono-cropping and extensive cattle-raising. The same processes that cause habitat degradation also cause significant greenhouse gas emissions and reduced net carbon sequestration. Consequently, a perverse cycle of environmental degradation/poverty/environmental degradation has been set, and if not addressed, may become irreversible. In response, the federal and state governments have established a policy agenda targeted at combating land degradation, which includes a National Policy to Combat Desertification, creation of a Caatinga biosphere reserve, a National Policy for the Environment, a National Policy for Biodiversity, and a biome-level workshop to identify the areas within the region most in need of conservation. The states of Bahia and Ceará selected Caatinga as a priority area, and are committed to the enforcement of state as well as federal environmental protection policies. Both states’ policies are consistent with the approach of this project: Bahia’s policies include three lines of action: (i) biodiversity promotion through the creation of protected areas; (ii) rehabilitation of areas in the process of desertification; and (iii) integrated management of environmental assets. Ceará’s policies include: (i) implementation of integrated systems of natural resources management; (ii) environmental education and consolidation of technological and scientific forestry management base; (iii) inclusion of local governments and communities in the protection of the environment; and (iv) rehabilitation of degraded ecosystems and creation of protected areas. Nonetheless, key constraints hinder the implementation of their agendas, in particular: (i) weak enforcement capability; (ii) limited human and institutional capacity; (iii) lack of compensation mechanisms for adopting more environmentally sound practices, (iv) barriers to adoption of more sustainable land use; and (v) lack of data and information available for decision-makers, and consequently, an almost complete absence of monitoring and evaluation processes. This project is fully aligned with the Brazil Country Assistance Strategy (CAS 2002), particularly with respect to the emphasis placed on the need for environmental and natural resources management and for protection of priority ecosystems. Along these same lines, the CAS stresses the need for environmental management to become an integral part of Brazil’s overall development strategy. This project would support this CAS objective at the sub-regional level, by maximizing benefits to the states of Bahia and Ceará and increasing the impact of their efforts to conserve and reduce pressures on the Caatinga biome. Concurrently, the project would also support the GEF’s Global Operational Strategy by contributing to the long-term protection of Brazil’s globally important ecosystems. Brazil’s commitment to biodiversity conservation in the Caatinga has been formalized in the Conventions on Biological Diversity and Desertification, and the states of Bahia and Ceará have shown strong commitment to this proposed operation, having crated project management units and nominated coordinators in their respective environmental agencies. Description The project is organized in three distinct components. The first component will strengthen the policy and legal framework to develop an Integrated Ecosystem Management (IEM) approach for the Caatinga biome. The second component will support IEM activities in the field with communities and other stakeholders to change the land uses and decrease land degradation. The third component will be monitoring the activities in component 2 and ensure that the goals of reducing land degradation and biodiversity loss are met. This component will include project management. This structure reflects the conceptual rationale with which the Bahia and Ceará governments approached the project since the pipeline phase1. Component 1: Integrated Ecosystem Governance (Total amount: US$ 6.7 million; GEF 3.2 million) This component promotes the adoption of an integrated ecosystem management (IEM) approach for the biome in Bahia and Ceará. It seeks to change attitudes and behaviors toward conservation, and to foster a policy and regulatory framework supportive of the IEM approach. Proposed policy reform actions under this component include (a) development of a market framework as an underlying incentive for the transition toward IEM; (b) support for the consolidation and expansion of the states’ systems of protected areas, and for improving their management; (c) development of capacity for assessment and monitoring; (d) support for efforts toward the conservation and sustainable use of biological diversity important to agriculture; (e) support for institutional strengthening of the relevant actors, including civil society stakeholders; (f) support for specific state efforts – such as the Ceará Forest Fire Monitoring and Prevention Program (PREVINE) and Bahia’s Charcoal Extraction Surveillance Program – to reduce threats to the biome; (g) development of capacity for designing and monitoring pilot projects; and (h) strengthening the capacity of agencies, NGOs, and indigenous and quilombola communities to effectively implement activities aimed at protecting ecosystems. A Strategic Environmental Assessment (SEA) would be carried out to systematically evaluate the broader environmental and social implications of government policies, plans, and programs; and to ensure that environmental considerations are mainstreamed into the early phases of planning and decision-making. The assessment would then inform efforts to strengthen the policy and legal frameworks of the two states. Component 2: Integrated Ecosystem Management Practices (Total US$ 12.1 million; GEF US$ 5.1 million) (see Annex 4 for a list of subprojects identified during preparation) This component supports implementation of cost-effective and replicable IEM demonstration projects that would focus on: (a) improvement of soil and water conservation practices; ((b) identification and dissemination of new technologies for sustainable natural resources management; (c) the recovery of vegetation in protected areas and critical landscapes, and the recovery of indigenous habitats; (d) replacing harmful agricultural and pasturing practices with improved methods and technologies; and (e) promotion of the Caatinga’s unique cultural pattern as an integrated part of the sustainable revitalization of the biome. Projects would fall into five categories: (a) rehabilitation of degraded protected areas; (b) conservation and sustainable use of biodiversity; (c) water and land resources management; (d) development of sustainable and cost-effective productive systems; and (e) cultural recovery. Potential activities may include reforestation of riparian vegetation; development of small ruminant grazing corridors; community co-management of protected areas; introduction of agro-forestry techniques; development of local drought management plans; fire awareness and control programs; and pilots to demonstrate sustainable land and water management practices. This component would also address issues critical to the long-term sustainability of conservation efforts, including (a) adequate planning and regular flow of financial resources; (b) incentives for establishing conservation partnerships; (c) monitoring and evaluation; (d) continuity of actions, to prepare communities for more complex projects; and (e) engagement of the local population and local governments. Component 3. Monitoring and Evaluation, and Project Management (Total amount US$ 4.36 million; GEF US$ 1.7 million). This component responds to three key sector issues: lack of effective monitoring of policy impacts; insufficient knowledge sharing and dissemination of improved technologies; and the need to build managerial capacity for IEM. It seeks to build implementation capacity for Mata Branca by establishing a monitoring and evaluation (M&E) system that would track progress toward achieving the project’s global environmental objectives. The system would utilize the GEF Tracking Tools for Biodiversity Focal Area Strategic Priority Two: “Mainstreaming Biodiversity in Production Landscapes and Sectors”; and Strategic Priority One: “Catalyzing Sustainability of Protected Areas.” This component would support: Development of an M&E system that is cost effective, measurable, reviews meaningful trends, and reveals the state of biodiversity in the project area. The system would provide the framework for answering two questions: has the activity met its objectives? and what accounts for its level of performance? Financing would be provided to develop and implement the system; construct a baseline; and implement a management information system (MIS). Dissemination of project findings and lessons learned on effective ecosystem management strategies and mechanisms; Effective project management, by strengthening the capacity of the Management Teams (MTs) in both states to coordinate and implement all project components. Financing The total budget for the GEF Caatinga Conservation and Sustainable Managament Project –is estimated at US$ 23.06 million, of which US$ 10 million would come from the GEF Grant, US$ 12.2 million from the State Governments of Bahia and Ceará combined, US$.8 million would come from non-financial resources from communities, and US$0.06 million from the Food and Agriculture Organization (FAO). The Bahia and Ceará state governments’ counterpart funds would consist of US$ 6.1 million from budget resources and co-financing through partnerships with other state- or internationally-financed projects. Table 1 displays the breakdown of project costs by financing source:
Implementation The proposed project would be implemented over a period of 4 years (2007-2011). A grant agreement will be signed between the Bank and Fundacao Luiz Eduardo Magalhaes (FLEM) and a tripartite subsidiary agreement would be signed between FLEM and the governments of Bahia and Ceara. Each state would each execute 50 percent of the GEF grant activities. Project management and implementation would be the overall responsibility of CAR in Bahia and CPMA in Ceará, where a Management Team (MT) has been established in each agency. The MTs would be responsible for the overall technical management and quality of project execution activities. They have been staffed with technical staff, including biodiversity and environmental specialists, and an administrative specialist to liaise with FLEM. The MTs would also carry out overall project oversight, coordination, monitoring, and oversight of the FLEM’s activities. Bahia In Bahia, the MT is located in the Coordenação de Estudos e Projetos Regionais e Municipais (Coordination of Regional and Municipal Studies and Projects), a section of the Companhia de Desenvolvimento e Ação Regional (Company for Regional Development and Action – CAR), and a decentralized administrative entity of the Secretaria de Desenvolvimento e Integração Regional - SEDIR. CAR is already executing the Bank’s Rural Poverty Alleviation – Produzir - and the Pró-Gavião Projects, thus counting with experience with the Bank’s procedures and with the Caatinga’s priorities. Ceará In Ceara, the MT is located in the Council of Environmental Policies (CPMA), directly subordinated to the state Governor. Other state institutional partners would collaborate, including the Fundação Cearense de Metrologia e Recursos Hidrícos (Ceará Foundation of Metrology and Water Resources – FUNCEME); the Secretaria de Meio Ambiente (Secretariat of Environment – SEMACE), which has the responsibility for protected areas; the Instituto de Planejamento do Ceará (Institute of Planning of Ceará – IPACE), and the Empresa de Extensão Rural do Ceará (Ceará Rural Extension Enterprise – EMATERCE). The MTs would form an Advisory Committee in each state to assist the MTs with the general strategic decisions of the project. In both states, these partners would include the IBAMA, EMBRAPA, SEBRAE, academic and NGO partners. In Bahia, this Committee would also be composed of representatives of SECOMP, SEMARH, and staff from Produzir and Pró-Gavião Projects. In Ceará, this Committee would also be composed of Associação Caatinga (NGO), EMATERCE, and IPACE. The State of Ceará has already legally constituted an Advisory Committee to advise the MT during project implementation. FLEM was selected as the legal entity with procurement and administrative experience, and qualifications acceptable to the Bank, to administer the grant. It fulfilled its role effectively during the PDF-B. FLEM would enter into a tripartite agreement with CAR and CPMA. In this agreement the responsibilities of FLEM would be spelled out which include: support the project’s procurement, disbursement, and special account keeping. Through this agreement, the state governments of Bahia and Ceará would authorize FLEM to undertake, on behalf of the governments, the procurement of goods, works, and services, and bidding procedures in accordance with the procedures set forth in the Grant Agreement. FLEM will also keep separate records and accounts with respect to such goods, works, and services, assisting the MTs in all aspects related to carrying out the project and complying with the government’s obligations. Under this agreement, CAR and CPMA would authorize FLEM to keep the Special Account of the project (with sub-accounts created for each state) to effect payments undertaken with GEF funds, as agreed in the Grant Agreement. A bi-annual operational plan, containing a contract and disbursement plan, would be agreed upon between the MTs and FLEM. For the implementation of demonstration subprojects, a committee with participation of civil stakeholders and experts would be established to define which investments would be implemented. This partnership with universities, research institutions, NGOs and several governmental organizations has been tested during the implementation of the PDF-B grant with successful results. An important partner throughout project’s implementation shall be the Rede de Escolas Famílias Agrícolas Integradas do Semi-árido (Network of Schools for Agricultural Families of the Semi-arid – RAFEI). Sustainability and Replicability The following design elements will help to ensure the sustainability and replicability of the project: Results-based implementation, to enhance transparency and accountability for results. Government commitment and ownership. The governments of both states are committed to the project’s long-term strategy of promoting: (a) a comprehensive vision for conservation, involving all sectors affecting the Caatinga; and (b) sustainable landscape practices, through on-the-ground interventions. These two pillars would help ensure the sustainability of efforts within the state agencies, and the replicability and extension of initiatives to other areas of the Caatinga. The capacity-building and institutional strengthening components of the project would enhance the states’ commitment and capacity for ownership. Stakeholder awareness and involvement. The two States are highly likely to continue their financial contributions to the activities supported by the project, considered as a priority even during the fiscal adjustment both are promoting. Demonstration impacts. Demonstration projects using simple, low-cost technologies that can be easily adopted by small-scale producers, will stimulate demand for similar activities in other parts of the Caatinga. Dissemination strategy. The project design provides for the collection and dissemination of experiences and lessons in a form accessible to communities and small producers (e.g., picture books, community meetings). It also provides for the sharing and transfer of knowledge between the two states and at the national and international levels. Adaptable project design. The project design framework allows for each state to develop specific activities appropriate to local conditions. Other design considerations include: Sufficient time for capacity development. The four-year implementation period will give states enough time to develop the necessary skills and technologies to effectively manage the Caatinga; Realistic costing. State counterparts were costed based on a realistic appraisal of their financial capacity; Performance-based disbursements. Planned annual disbursements would depend on past performance. Lessons Learned from Past Operations in the Country/Sector This project builds on valuable lessons from previous biodiversity conservation and integrated ecosystem management initiatives in Brazil and other Latin American countries; and from rural development and water resources initiatives in Bahia and Ceará. The following lessons are reflected in the project design: The need for strong institutions and governance. Weak institutions with scarce resources and a fragmented governance structure have been shown to undermine any development effort. This is especially true for environmental management and biodiversity conservation, given the systemic nature of the problem and the need for holistic approaches. Failure to achieve environmental goals in the past have been attributed, to a large extent, to the lack of inter-agency coordination at the federal, state, and local levels. For this reason, the institutional development of environmental and related agencies at all levels is a main project concern. Components 1 and 3 aim to strengthen the institutional capacity of the states to protect and manage biodiversity in the Caatinga. The need for an integrated approach. Innovative on-the-ground IEM techniques have proved to be more effective than sector-by-sector interventions, but this approach can only succeed if supported by appropriate policies and public awareness campaigns. The project design includes interventions to help create a willingness to change behaviors, policies on environmental management, and M&E techniques. The need for an inter-state coordination mechanism and an independent financial administrator to increase efficiency and transparency. These have been included in the project design. The need for ownership and continuous learning. Ongoing training of government agencies and other stakeholders is critical for building ownership of project management and the capacity to respond to issues as they arise. The need for stakeholder involvement. Public involvement is one of the key principles of GEF-financed projects. The involvement of beneficiaries throughout the entire project cycle in identifying needs, planning, training, implementation, and evaluating impacts, are critical for project success. This lesson is transversally reflected within all project components, through emphasis on community consultations, participatory planning, a variety of workshops, and participatory monitoring and evaluation. In particular, implementation of Component 2 will be based on participatory project cycles, with a strong emphasis on technical assistance, knowledge sharing, and information dissemination. Safeguard Policies (including public consultation)
No adverse or irreversible impacts are foreseen in this project. Safeguard policies that might apply to this project are: (i) OP/BP/GP 4.01: Environmental Assessment; (ii) OP/BP 4.04: Natural Habitats; (iii) OP 4.12: Involuntary Resettlement (in this case, only restrictions to access to natural resources, not physical displacement, would apply); (iv) OD 4.20: Indigenous Peoples (being revised as OP 4.10); and OP/BP 4.36: Forests. In accordance with Bank policies, these safeguard issues are being assessed and addressed in the following documents: Environmental Assessment and Management Plan; Process Framework for Sustainable Use of Natural Resources; an Indigenous Peoples Strategy, and the Environmental Section of the Operational Manual. List of Factual Technical Documents To be completed by appraisal. Contact point Contact: Claudia Sobrevila Title: Sr. Biodiversity Specialist Tel: 202.473.5004 Fax: 202. 522-0367 Email: csobrevila@worldbank.org Location: Washington, DC (IBRD)
For more information contact: The InfoShop The World Bank 1818 H Street, NW Washington, D.C. 20433 Telephone: (202) 458-5454 Fax: (202) 522-1500 Web: http://www.worldbank.org/infoshop 1 When the project entered the pipeline, it was organized in five components. During preparation, the project team and stakeholders’ decided to structure the project in three components. However, the original objectives and activities of the five components have been maintained in this updated project design. * By supporting the proposed project, the Bank does not intend to prejudice the final determination of the parties' claims on the disputed areas Directory: curated curated -> Concept stage curated -> Concept stage curated -> Republic of Côte d'Ivoire Urbanization Review curated -> Report No: aus11011 Central America curated -> Report No. 94474-pk fiscal Disaster Risk Assessment Options for Consideration curated -> Environmental and Social Management Framework for the Costa Rica Telecommunications Sector Modernization Project curated -> Environment Impact Assessment For Jiangxi Shangrao Sanqingshan Airport Beijing Guohuantiandi Environmental Technology Development Center. Ltd. Oct. 2012 Content curated -> Growth through Innovation An Industrial Strategy for Shanghai By Shahid Yusuf Kaoru Nabeshima April 22nd, 2009 curated -> Report No: 70178. People's Republic of China Download 66.41 Kb. Share with your friends:
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