itto...fdn fundación defensores de la naturaleza (nature advocacy foundation) - guatemala iarna...

INTERNATIONAL TROPICAL TIMBER ORGANIZATION

ITTO

PROJECT PROPOSAL

TITLE: MANAGEMENT AND RESTORATION OF THE FOREST LANDSCAPE IN SAN MARCOS, GUATEMALA AND CHIAPAS, MEXICO

SERIAL NUMBER: PD 775/15 Rev.2 (F)

COMMITTEE: REFORESTATION AND FOREST MANAGEMENT

SUBMITTED BY: GOVERNMENTS OF GUATEMALA AND MEXICO

ORIGINAL: SPANISH

SUMMARY Pine-oak forests are distributed from Mexico to Nicaragua, including in 74 municipalities of the State of Chiapas, Mexico, and 246 municipalities of Guatemala. Together with forests of pinabete (Abies guatemalensis Redher) (highland forest), an endemic species in Guatemala, these forests are characterised by high population density and high poverty and exclusion rates. Forest fragmentation and deforestation result in a diversity of land uses which in turn exert pressure on forests: agricultural and livestock encroachment, growing urbanisation and unsustainable use of resources (including firewood). Despite the presence of protected areas and community forest management in the transboundary area of both countries, there is a pressing need to design and implement public and/or private instruments and mechanisms at the local and/or regional levels to promote the management of ecosystem goods and services. To help solve the above problem, the project proposes the following development objective: “Help strengthen conservation and restoration of forests on the border between Guatemala and Mexico”, while its Specific objective is: “Implement a land management model for the restoration of the forest landscape between Mexico and Guatemala”. EXECUTING AGENCY: INTERNATIONAL UNION FOR THE CONSERVATION OF NATURE

(IUCN)

DURATION: 36 MONTHS

APPROXIMATE STARTING DATE

UPON PROJECT APPROVAL

BUDGET AND PROPOSED SOURCES OF FINANCE:

Source

Contribution in US$

ITTO

899,461

IUCN 386,614 INAB 9,500 CONAFOR

9,500

TOTAL 1,305,075

TABLE OF CONTENTS

LIST OF ABBREVIATIONS AND ACRONYMS..................................................................................................... 1 PROJECT BRIEF ................................................................................................................................................. 2 PART 1. PROJECT CONTEXT ............................................................................................................................ 3

1.1 ORIGIN .................................................................................................................................................... 3 1.2 RELEVANCE ............................................................................................................................................. 4 1.2.1 Conformity with ITTO’s objectives and priorities as well as with the CBD and the joint ITTO/CDB initiative agreed in March 2010 ........................................................................................................................ 4 1.2.2 Relevance to both transboundary countries' policies ............................................................................. 6 1.3 TARGET AREA ......................................................................................................................................... 8 1.3.1 Geographic location ............................................................................................................................... 8 1.3.2 Social, cultural, economic and environmental aspects ........................................................................... 9 1.4 EXPECTED OUTCOMES AT PROJECT COMPLETION ..................................................................................... 11

PART 2. PROJECT RATIONALE AND OBJECTIVES ........................................................................................ 12 2.1 RATIONALE ............................................................................................................................................ 12 2.1.1 Institutional set-up and organizational issues....................................................................................... 12 2.1.2 Stakeholder analysis ............................................................................................................................ 12 2.1.3 Problem analysis ................................................................................................................................. 16 2.1.4 Logical framework matrix ...................................................................................................................... 20 2.2 OBJECTIVES .......................................................................................................................................... 22 2.2.1 Development objective and impact indicators ...................................................................................... 22 2.2.2 Specific objective and impact indicator ................................................................................................ 22

PART 3. DESCRIPTION OF PROJECT INTERVENTIONS ................................................................................ 23 3.1 OUTPUTS AND ACTIVITIES ....................................................................................................................... 23 3.1.1 Outputs ................................................................................................................................................ 23 3.1.2 Activities .............................................................................................................................................. 23 3.2 IMPLEMENTATION APPROACHES AND METHODS ......................................................................................... 24 3.3 WORK PLAN .......................................................................................................................................... 26 3.4 BUDGET ................................................................................................................................................ 27 3.4.1 Master budget schedule ...................................................................................................................... 27 3.4.2 Consolidated budget by component..................................................................................................... 33 3.4.3 ITTO budget by component ................................................................................................................. 35 3.4.4 IUCN budget by component ................................................................................................................. 37 3.4.5 Estimated budget of forest services, by component .............................................................................. 38 3.5 ASSUMPTIONS, RISKS, SUSTAINABILITY .................................................................................................... 39 3.5.1 Assumptions and risks ......................................................................................................................... 39 3.5.2 Sustainability ....................................................................................................................................... 39

PART 4. IMPLEMENTATION ARRANGEMENTS ............................................................................................... 41 4.1 ORGANIZATION STRUCTURE AND STAKEHOLDER INVOLVEMENT MECHANISMS .............................................. 41 4.1.1 Executing agency and partners ........................................................................................................... 41 4.1.2 Project management team ................................................................................................................... 41 4.1.3 Project steering committee .................................................................................................................. 42 4.1.4 Stakeholder involvement mechanisms ................................................................................................. 42 4.2 REPORTING, REVIEW, MONITORING AND EVALUATION ................................................................................ 43 4.3 DISSEMINATION AND MAINSTREAMING OF PROJECT LEARNING .................................................................... 43 4.3.1 Dissemination of project results ........................................................................................................... 43 4.3.2 Mainstreaming of project learning ........................................................................................................ 43

ANNEX 1. Profile of the executing agency and collaborating agencies ............................................................... 44 ANNEX 2. Tasks and responsibilities of key experts provided by the executing agency ..................................... 53 ANNEX 3. Terms of reference of personnel and consultants and sub-contracts funded by ITTO ....................... 54 ANNEX 4: Letter of endorsement from CONAFOR ............................................................................................. 56 ANNEX 5: Letter of support from PRONATURA ................................................................................................. 58 ANNEX 6: Letter of support from the National Forest Institute – INAB ................................................................ 59 ANNEX 7: Letter of support from the delegation of the Ministry of the Environment of San Marcos ................... 60 ANNEX 8: Letter of support from CORNASAM ................................................................................................... 61 ANNEX 9: Letter of support from the Esquichá River Micro-Watershed .............................................................. 62 ANNEX 10: Letter of support from the National Council for Protected Areas - CONAP ...................................... 63 ANNEX 11: Recommendations of the 49th ITTO Expert Panel ........................................................................... 64 ANNEX 12: Recommendations of the 50th ITTO Expert Panel ........................................................................... 67

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List of abbreviations and acronyms

ALAS Alianza para las Áreas Silvestres (Partnership for Wildlife Areas) - Nicaragua

CBD Convention on Biological Diversity COFOSECH Comisión Forestal Sustentable del Estado de Chiapas (Sustainable

Forest Commission of the State of Chiapas) -Government of Mexico CONAFOR Comisión Nacional Forestal (National Forest Commission) -

Government of Mexico CONANP Comisión Nacional de Áreas Naturales Protegidas (National Natural

Protected Area Commission) - Government of Mexico CONAP Consejo Nacional de Áreas Protegidas (National Council for Protected

Areas) - Government of Guatemala EDUCA Fundación Educación para el Desarrollo de la Investigación, Ciencia y

Tecnología (Education Foundation for the Development of Research, Science and Technology) - Honduras

ENDB Estrategia Nacional de Diversidad Biológica (National Biodiversity Strategy) - Government of Guatemala

FDN Fundación Defensores de la Naturaleza (Nature Advocacy Foundation) - Guatemala

IARNA Instituto de Agricultura, Recursos Naturales y Ambiente/URL (Institute of Agriculture, Natural Resources and Environment/URL) - Guatemala

IHNE Instituto de Historia Natural y Ecología (Institute of Natural History and Ecology) - Mexico

INAB Instituto Nacional de Bosques (Forest Institute) - Government of Guatemala

ITTA International Tropical Timber Agreement ITTO International Tropical Timber Organization IUCN International Union for the Conservation of Nature M&E Monitoring and Evaluation ORMAC Oficina Regional para México, América Central y el Caribe (Regional

Office for Mexico, Central America and the Caribbean) PA Protected areas PINFOR Programa de Incentivos Forestales (Forest Incentives Programme) -

Government of Guatemala PINPEP Programa de Incentivos para Pequeños Poseedores de Tierras de

Vocación Forestal o Agroforestal (Incentives Programme for Small Landholders of Forest or Agroforestry Lands) -Government of Guatemala

PRONAFOR Programa Nacional Forestal (National Forest Programme) - Government of Mexico

Pronatura Sur Pronatura-Mexico Salvanatura Salvanatura-El Salvador SEMARNAT Secretaría de Medio Ambiente y Recursos Naturales (Secretariat of

the Environment and Natural Resources) - Government of Mexico SFM Sustainable Forest Management SIGAP Sistema Guatemalteco de Áreas Protegidas (Guatemalan System of

Protected Areas) TNC The Nature Conservancy TPWD Texas Parks and Wildlife Department URL Universidad Rafael Landívar (Rafael Landivar University) US$ Dollars of the United States of America

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PROJECT BRIEF This management and restoration project for the forest landscape in San Marcos, Guatemala and Chiapas, Mexico, is consistent with the objectives of the International Tropical Timber Organization (ITTO) and falls within the scope of the Mexico-Guatemala Technical and Scientific Cooperation Agreement. The area of intervention includes the State of Chiapas in Mexico and the Department of San Marcos in Guatemala. The areas where activities will be implemented (pilot sites) include: El Chespal, Pavencul, Aquiles Serdán, Ignacio Zaragoza, La Soledad, Peloponeso, and Toquian Chiquito in Mexico (headwaters of the Coatán River basin in México) and Esquichá, Coatancito, and Chemealon micro basins (headwaters of the Coatán River) in the Municipalities of Tacaná and San José Ojetenam, San Marcos, Guatemala; this is the location of the forests in the pine-oak Mesoamerican Biological Corridor. The project will be implemented in three phases: the first three-year phase will design the restoration plan and implementation of actions along the headwaters of the basin, consolidating business models to supply sustainable goods and services to the market (water, firewood, food, carbon, timber, power, seeds or others that show some potential). The second three-year phase will deal with the mid-stream areas of the basin and a third three-year phase will deal with the lower basin, applying the same approach used in the two previous phases and validated in the first one. To help solve the above problem, the project proposes the development objective: To help strengthen conservation and restoration of forests on the border between Guatemala and Mexico, and the Specific objective: To implement a land management model for the restoration of the forest landscape between Mexico and Guatemala. The study of the problem led to the development of the following outputs: a) Development and implementation of a strategy to restore the forest landscape in the municipalities of Tacaná and San José Ojetenam in Guatemala and Chiapas in Mexico; b) Implementation of pilot actions to manage and restore the forest landscape; and c) Development and implementation of alternative economic strategies based on forest use and restoration. The process will be implemented with a participatory and gender sensitive approach, i.e. both men and women will benefit from technical support, expertise, material and potential financial mechanisms. All the plans to be implemented at pilot sites will include validation and formulation roundtables and/or meetings. Technical support from forest authorities and environmental areas will be provided in both countries. The project will be monitored by a Steering Committee made up of representatives of ITTO, IUCN, INAB, CONAP, CONAFOR and CONANP, the project coordination unit (Coordinator) and 2 representatives of the dialogue groups of both countries. The ITTO focal point for Guatemala, INAB, will be involved in the implementation, in coordination with the ITTO focal point for Mexico, CONAFOR. Two dialogue spaces will be established: 2 dialogue and governance spaces (1 in Mexico and the other in Guatemala), with the involvement of key stakeholders such as local government, communities, ejidos, local organizations, private owners, the private sector and non-governmental organizations. The management unit will consist of 1 Project Coordinator, 2 technical officers, 1 accountant-administrator, 1 secretary, the Director of IUCN's regional office (part-time), as well as 2 advisors, one on economic valuation and business models and one on restoration. The initiative will take 3 years, with a total budget of US$1,305,075.00; the amount requested from ITTO is US$899,461.00, with the executing agency making a contribution of US$386,614.00. Forest authorities will contribute US$19,000.00. IUCN will execute the project and assume all responsibility for coordination and outputs through the activities proposed, ensuring compliance with the main indicators and assumptions in the logical framework of the proposal.

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PART 1. PROJECT CONTEXT 1.1 Origin The Partnership for the Conservation of Pine-Oak Forests of Central America (Alianza para la Conservación de los Bosques de Pino-Encino de Centroamérica) launched in 2003 was the result of an initiative of three Central American organizations concerned by the loss and degradation of these forests. This Partnership consists of the following institutions: Partnership for Wildlife Areas (ALAS, Nicaragua), Nature Advocacy Foundation (FDN, Guatemala), Education Foundation for the Development of Research, Science and Technology (EDUCA, Honduras), Institute of Natural History and Ecology (IHNE, Chiapas), Pronatura Sur (Pronatura, Chiapas), Salvanatura (El Salvador), The Nature Conservancy (TNC) and Texas Parks and Wildlife Department (TPWD). The objective of the Partnership is to promote the conservation of pine-oak forests as a habitat for threatened migratory and local species. For such purpose, National Partnerships have been established, that are promoted by the members of the Mesoamerican Partnership, thus adding major local stakeholders to the management of these forests. In 2008 a Conservation Plan was developed for the Pine-Oak Forest Eco-region of Central America in a regional effort to steer the management, conservation and sustainable development of these forests. The Ecological and Socioeconomic Diagnosis of the Eco-region, published in 20101 , showed that pine-oak forests are found in 74 municipalities of the State of Chiapas in the regions of Altos de Chiapas, Sierra Madre de Chiapas, Depresión Central de Chiapas and Montañas del Norte. In Guatemala this is one of the most represented Eco-regions, with a presence in 246 municipalities in 18 departments, in a large proportion of the central region of the country. This eco-region extends from the Departments of San Marcos and Huehuetenango to Chiquimula and Zacapa, and includes the Sierra Madre, Sierra de Chuacús, Sierra de Chamá, Sierra Santa Cruz and Sierra de las Minas mountain ranges as well as the Altiplano of Guatemala. Ten types of management categories under the Protected Area System of Guatemala (SIGAP) are present, covering 9.94% of the Eco-region. Although both protected areas as well as areas under community forest management2 are found here as strategies for the conservation of biodiversity, this system requires the complement of other public and/or private, local and/or regional instruments and mechanisms, since many sites in both countries have recorded decreasing plant cover and biological diversity as a result of habitat fragmentation and deforestation. Both countries have taken the first steps to increase the representation of this type of forest, extending connectivity areas and promoting the sustainable use of forest resources: they have drawn up maps of potential landscape restoration areas and proposals for connectivity areas3. Furthermore, there is a lack of capacity among the population to use and utilise their natural resources more rationally and sustainably, and a lack of inter-sectoral vision in the approach to the problem as well as scattered implementation of programmes and projects in the past few years; all these factors have reduced the overall impact of policies. Some actions have already been launched in the project area to promote the forest restoration process; this also involves pinabete conservation and management activities. Some farmers have used the advantages of the presence of parent plants to establish trees by making use of secondary ecological succession, resulting in higher establishment rates; this shows there needs to be a change in conventional reforestation methods. At the municipal level, and in coordination with the Municipal

1 Prepared by Centro de Estudios Ambientales y de Biodiversidad of Universidad del Valle de Guatemala, Alianza para la Conservación de Bosques de Pino-Encino de Mesoamérica and The Nature Conservancy; 335 p. 2 Type of management in an area with well-organised social structures present for many years, established around the forest sector and the management of other natural resources. There is harmony between the use and conservation of forests and in general, there is expert mentoring and/or public investment. There has been a positive impact in local organization and institutions from forest conservation actions. 3 In October 2010 the National Council for Protected Areas, The Nature Conservancy and the Commission for the Study of Gaps in the Guatemalan System of Protected Areas, published the technical document Biodiversidad Terrestre de Guatemala: Análisis de vacíos y estrategias para su conservación (Land Biodiversity in Guatemala: A study of gaps and strategies for their conservation).

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Forest Offices (Oficinas Municipales Forestales - OFM) and Municipal Planning Directorates (Direcciones Municipales de Planificación - DMP), work has progressed on the micro-regionalisation by micro-watersheds, which has produced management plans for each micro-region and the respective Municipal Development Plans (Planes de Desarrollo Municipal - PDM) based on Guatemala's watershed areas. In 2014 Helvetas Swiss Intercooperation launched the implementation of PD 668/12 (F) 'Integrated management of natural resources and biodiversity in the Tacaná Volcano and its range of influence in Mexico and Guatemala', a project currently under implementation in an area neighbouring the target area of this project, and which offers an opportunity to develop synergies with a view to increasing the range of action and incorporating new stakeholders into the restoration process. The project focuses its activities on the conservation of the Volcán Tacaná Protected Area and contributes to such conservation by making appropriate use of natural resources in the target area. 1.2 Relevance 1.2.1 Conformity with ITTO’s objectives and priorities as well as with the CBD and the joint

ITTO/CDB initiative agreed in March 2010 Conformity with ITTO's Strategic Action Plan (SAP) 2013-2018 The project is directly consistent with the priorities provided in its medium-term planning, especially in the following priorities: 2. Increase the Contribution of tropical forests to national and local economies, including through international trade; this includes the implementation of projects to help forest communities and companies develop their corporate and business capacities including marketing strategies, which is one of the priorities developed by this project. 3. Enhance the conservation and sustainable use of biodiversity in tropical timber producing forests; this focuses specifically on promoting projects that deal with: developing and further disseminating ITTO's Guidelines for conservation and sustainable use of tropical timber-producing forests; and promoting regional and transboundary cooperation for biodiversity conservation and sustainable timber production. In this specific case, the project will be dealing directly with the needs highlighted by ITTO. 4. Reduce tropical deforestation and forest degradation and enhance the provision of environmental services; the project provides for the development of a strategy to collaborate in the restoration of forest landscape in the transboundary area between the Department of San Marcos in Guatemala and the Department of Chiapas in Mexico, thus making a direct contribution to the conservation of forests and to the direct reduction of deforestation processes in the area. Furthermore, at its ninth meeting, the Conference of the Parties requested the Secretariat of the Convention on Biological Diversity (CBD) to work with the International Tropical Timber Organization (ITTO) to support national and regional activity implementation efforts. In March 2010, these two bodies signed an agreement to strengthen their collaboration towards their common objectives of conservation and sustainable management of tropical forest resources. They both acknowledged their relevance and ratified their collaboration through two decisions: Decision X/36 of the CBD and Decision 6(XLVI) of the ITTC4. This initiative seeks to promote guidelines5 that strengthen the conservation of forest biodiversity outside protected areas, and to recover part of the existing secondary and degraded forest area in the tropics. Furthermore, there will be support for Transboundary Conservation Areas. The project is mainly focused on achieving the following objectives of the ITTA 2006: c) Contributing to sustainable development and to poverty alleviation;

4 International Tropical Timber Council 5 ITTO/IUCN Guidelines for the conservation and sustainable use of biodiversity in tropical timber production forests and ITTO guidelines for restoration, management and rehabilitation of secondary and degraded tropical forests.

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q) Promoting better understanding of the contribution of non-timber forest products and environmental services to the sustainable management of tropical forests with the aim of enhancing the capacity of members to develop strategies to strengthen such contributions in the context of landscape planning. r) Encouraging members to recognize the role of forest-dependent indigenous and local communities in achieving sustainable forest management and develop strategies to enhance the capacity of these communities to sustainably manage such forests. Furthermore, the project will contribute to the ITTO Action Plan through the following expected outcomes: Expected outcome 5: Tropical forest resource better secured; and in particular through the following action: Action D): In cooperation with relevant organisations, support studies and activities related to reducing deforestation and degradation and enhancing carbon sinks. Expected outcome 6: Tropical forest resource sustainably managed; and mainly with the following actions: Action B): Review, revise and promote the use of the ITTO guidelines; Action E): Monitor the impacts of conservation, protection and transboundary areas and their relationships to achieving SFM. Furthermore, the project will contribute to the following targets as defined in the Strategic Plan for Biodiversity 2011-2020: Target 5: By 2020, the rate of loss of all natural habitats, including forests, is at least halved and where feasible brought close to zero, and degradation and fragmentation is significantly reduced. Target 14: By 2020, ecosystems that provide essential services, including services related to water, and contribute to health, livelihoods and well-being, are restored and safeguarded, taking into account the needs of women, indigenous and local communities, and the poor and vulnerable. Target 15: By 2020, ecosystem resilience and the contribution of biodiversity to carbon stocks has been enhanced, through conservation and restoration, including restoration of at least 15 per cent of degraded ecosystems, thereby contributing to climate change mitigation and adaptation and to combating desertification. More specifically, the project promotes the following elements, goals and objectives of the CBD Programme of Work on Forest Biological Diversity: Element 1, Goal 3, Objective 1: Restore forest biological diversity in degraded secondary forests and in forests established on former forestlands and other landscapes, including in plantations; Element 1, Goal 4, Objective 1: Promote sustainable use of forest resources to enhance the conservation of forest biological diversity; Element 1, Goal 3, Objective 3: Ensure adequate and effective protected forest area networks (including transboundary areas of biological diversity conservation). Furthermore, the project shall help achieve Decision 6(XLVI) ITTO/CBD Collaborative Initiative to Conserve Tropical Forest Biodiversity, decision 1, paragraph a: Enhanced biodiversity conservation in production forests and rehabilitation of secondary forests, including the promotion and application of the ITTO/IUCN Guidelines for the conservation and sustainable use of biodiversity in tropical timber production forests;

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It will also contribute to the following provisions: Paragraph b: Improved conservation and management of protected areas in relation to SFM6, including transboundary conservation areas; Paragraph d: Improved welfare of indigenous and local communities, based on the sustainable management and conservation of tropical forests and the sustainable use of their biodiversity. 1.2.2 Relevance to both transboundary countries' policies Both Mexican and Guatemalan policies are based on several axes, including the conservation and protection of forests and their ecosystems. In Guatemala, one of the main policy lines is the conservation of protected areas and the strengthening of the Guatemalan System of Protected Areas (SIGAP) to support institutional coordination in both fields. Mexico's forest policy includes four clear lines: productivity, conservation, social development and institutional strengthening. The Mexican legal and institutional framework is regulated by the following laws: Forest Law and its Regulations; General Law on Ecological Balance and Environmental Protection; Regulations of the General Law on Ecological Balance and Environmental Protection regarding Environmental Impact Matters; Wildlife Law; Official Rules on the Protection of Endangered Species, and Soil and Plant Protection from the Effects of Logging; Procedural Manual for the Authorisation of Forest Logging; Manuals on the Implementation of Management Methods and Systems; and Water Law. The National Forest Commission was established in 2001 as a decentralised public agency with the objective of developing, encouraging and promoting forest production, conservation and restoration activities, and taking part in the development of plans and programmes, and in the enforcement of sustainable forest development policy. In 2006 the Sustainable Forest Commission of the State of Chiapas (COFOSECH) was established in response to the need of the Chiapas population for an institution that would provide support to the development of the State through the integrated management of ecosystems, and their goods and services. Through its National Forest Programme (PRONAFOR), the Government of Mexico provides support to the owners and users of forests, rainforests, mangroves, wetlands and arid zones so that they may care for, improve and sustainably use the forest resources in those ecosystems with a view to: Fostering integrated reforestation and restoration in micro-watershed areas, Supporting timber production, Enhancing the Program of Payment for Environmental Services, and Simplifying operating rules. The National Development Plan 2013-2018, approved by the relevant Decree published on 20 May 2013 in the Official Federation Gazette, defined five National Goals and three Cross-cutting Strategies that will help Mexico achieve its maximum potential. These National Goals include: Mexico in Peace, Inclusive Mexico, Mexico with Quality Education, Prosperous Mexico, and Globally Responsible Mexico. At the same time, three Cross-cutting Strategies will be implemented: Democratizing Productivity, Close and Modern Government, and Gender Perspective. Each cross-cutting strategy will be implemented through a dedicated programme. The State of Chiapas’ Law on Sustainable Development provides its purpose in Section 1: to regulate and promote the protection, restoration, production, management, cultivation, and use of forest resources in its area. One of the general objectives of this law is to foster sustainable forest development through the promotion of conservation, protection, restoration, production, management, cultivation, and use of forest ecosystems and their resources. Furthermore, in its Section 38, it establishes the State's Sustainable Forest Development Fund to act as the financial instrument of the Secretariat. The Secretariat shall promote and encourage the formulation of programmes, projects and studies for the conservation and restoration of degraded forest ecosystems, aiming to also involve the three tiers of government as well as owners, holders and the community (Section 45).

6 Sustainable Forest Management

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Regarding Guatemalan legislation, the legal forest framework in force includes constitutional articles and international and regional treaties, as well as the Forest Law (Decree 101-96), the Law on Protected Areas (Decree 89-86) and other various similar provisions. The 1996 Decree 101-96 provided that reforestation and forest conservation were a national emergency and in the community's interest; thus it fostered forest development and sustainable use with a view to increasing productivity of existing forests according to their biological and economic potential, and to conserving the country's forest ecosystems. The Forest Incentives Programme (PINFOR) is a national forest policy tool launched in 1997 and current until 2016. The program's objective is to maintain and enhance sustainable forest production, incorporating natural forests into economically dynamic production, both to develop forest industry and to generate and maintain environmental services, including also forestlands in the sector’s activity through plantations and/or natural regeneration. The Incentive Program for Small Landholders of Forest or Agroforestry Lands (PINPEP) aims to increase the area of small landowners’ lands under reforestation and natural protection and production forest management, and the establishment and management of agroforestry systems. It also includes those who have difficulty in providing legal evidence of their official ownership of the land; and it is applied throughout the whole country. A new bill has been submitted to the Congress of the Republic of Guatemala for approval: the “Law for the promotion of the establishment, rehabilitation, restoration, management, production and protection of forests in Guatemala (Probosque)”. Section 1 provides that the objective of the law is to increase the country's forest cover through the creation and implementation of an incentives programme for the establishment, rehabilitation, restoration, management, production and protection of forests; such programme will allocate the incentives provided in the Law. The programme will be valid for 30 years from its entry into force (Section 3), and it shall be enforced throughout the entire country (Section 4). In its Section 10 the Law provides incentives for the following projects: e) management of natural forests to protect and provide environmental services, and f) restoration of degraded forestlands. Furthermore, Section 20 establishes the National Forest Fund. On the other hand, the purpose of the National Biological Diversity Policy7 is to promote cross-cutting and effective management of Guatemala’s biodiversity, stressing its conservation and sustainable use, while recognising its strategic value and potential as a crucial factor for national development. In 2012 the National Council for Protected Areas developed the National Biodiversity Strategy (ENDB) and its Action Plan (2012-2022). Three of its five strategies are strongly linked to the outputs of this project. Strategy three “Sustainable production landscapes and land planning for conservation” provides activities related to conservation and restoration of biological diversity and its ecosystem services, sustainable use, and climate change mitigation and adaptation; it includes activities to develop production models that promote the sustainable use of biological diversity components and ecosystem services. Strategy four “Confronting threats to biological diversity”, proposes activities that develop policy streams associated with biodiversity conservation and restoration, biological diversity in climate change mitigation and adaptation, such as monitoring of processes and poor practices that might result in threats to biodiversity and its ecosystem services. Also Strategy five “Restoration of biological diversity and its ecosystem services” proposes ecological rehabilitaton as an activity that can accelerate the restoration of the health, integrity and sustainability of ecosystems and their populations. One of the activities mentioned is the development of local models for the restoration of biological diversity and its ecosystem services.

7 Government agreement 220-2011.

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1.3 Target Area 1.3.1 Geographic location

The project will carry out its activities in the pine-oak ecosystem and highland forests in the Departments of San Marcos in Guatemala and Chiapas in Mexico. This area includes the Municipalities of Tacaná and San José Ojetenam of the Department of San Marcos, Guatemala and the Municipality of Tapachula on the Mexican side. Altitudes in the project area range from 1500 meters above sea level (m.a.s.l.) to 3500 m.a.s.l., with rainfall levels ranging from 1100 to 20700 mm annually and mean temperatures that range from 10°C and 27°C. According to Holdridge’s life zones classification, the project area belongs to the temperate sub-tropical moist forest life zone. The municipalities of Sibinal in Guatemala and the Councils of Cacahoatán and Unión Juárez in Mexico will not be included in this project because they are already included in PD 668/12 (F), but close coordination will be maintained between both projects.

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1.3.2 Social, cultural, economic and environmental aspects

a. Social aspects

In 2010 the National Institute of Statistics (Instituto Nacional de Estadística - INE) of Guatemala, in the Department of San Marcos, showed that the indigenous population in San Marcos represented 43.3% of the total population, with the non-indigenous group representing 56.7%. According to the 2002 Census, poverty in the Department of San Marcos affected 86.7% of the population, which positions this Department above the national average of 54.3% for that year. This situation is also reflected in the extreme poverty category which was 61.1% in this Department and, therefore, higher than the national average which was 16.8%. For the Tapachula Council, 2010 data from the National Statistics and Geography Institute (Instituto Nacional de Estadística y Geografía) showed that the population was 320,451, which placed it in the 64 inhabitants/km2 population density category. Of these inhabitants, 52.86% live in urban areas and 49.4% in the rural area. Only 1.86% is indigenous and the remainder are ladino. b. Cultural Aspects In the Department of San Marcos, the dominant ethnic group is the Mam, representing most of the population living in the rural area of the Department, particularly in the Municipalities of San José Ojetenam and Tacaná. This group has a Mayan cosmic vision of the use and conservation of natural resources: they interconnect with the sub-world and, therefore, can generate imbalances in life as we know it; as a result, their use of the forest is based on gathering consumer goods (firewood, food, posts for building houses, etc). The Council of Tapachula’s indigenous population is represented by the Mam group. The majority ladino group culture has developed agriculture as their livelihood; they have used the "ejido" structure to satisfy additional food and housing needs such as firewood, wild game, fruit and others.

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c. Economic aspects Agricultural production is the main activity in both zones. Their agricultural products include: maize, beans, wheat, barley, rice, plantains, bananas, sugar cane, cocoa, etc. Regarding livestock, they keep cattle, sheep, pigs and horses. As a result, dairy product processing may be found in some areas. In San Marcos the production of wool stands out. d. Environmental aspects Ten pine species and 42 oak species have been recorded. The genera associated with pine-oak forests include: Acacia spp., Ficus spp., Inga spp., Lonchocarpus spp., Liquidambar styraciflua and Acer saccharum subsp. skutchii, Arbutus xalapensis, Byrsonima crassifolia, Curatella americana, Dodonea viscosa, Genipa caruto, Lysiloma seemanii, Paurotis cookii and Piscidia grandiflora. There are approximately 150 species of amphibians, 204 species of reptiles, 350 species of birds and 202 mammal species, with a total of 906 species reported. There is a large number of endemic plant, mammal, bird and insect species. This region is a major trans-regional migratory route for at least 225 species of migratory birds. The forest management of these areas usually excludes native species, mainly those of the Quercus genus. The use of firewood and factors such as forest fires caused by human activities, and deforestation are other pressures for this type of forest. Both the area in Guatemala and the area in Mexico are undergoing constant changes, mostly changes in land use caused in general by the encroachment of agriculture, and degradation caused by the use of firewood as a source of heating and for cooking.

Mexico (Chiapas) GuatemalaSocial aspects Population density: 64 inhabit/km2

22% of the total population is indigenous

Population density: 182 inhabit/km2 Depending on the region: higher percentage of indigenous (centre north and west) or ladino (centre and south) population

Cultural Aspects Community forest management successes: community ejidos 14 indigenous communities

Community forest management successes: indigenous communities in the K’iche’ and Kaqchiquel region 20 indigenous communities (in the Eco-region)

Economic aspects Marginalised population: 76% 63% of the GDP comes from the tertiary sector, 22% from the secondary sector (forest use) while the primary sector contributes 15%.

Population in poverty: 50% (with differences according to the region) Main economic activity: primary sector (55% of the economically active population)

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Mexico (Chiapas) GuatemalaEnvironmental aspects Percentage of current forest cover:

64% Pine species: 7 Oak species: 19 Fauna species: 609 Percentage of current forest cover in the Eco-region within AP: 4.69% (of the 12% potential within PA)

Percentage of current forest cover: 32% Pine species: 9 Oak species: 25 Fauna species: 696 Percentage of current forest cover in the Eco-region within AP: 4.49% (of the 10% potential within PA)

1.4 Expected outcomes at project completion

The project will be implemented in three phases: the first three-year phase will design the restoration plan and implementation of actions along the headwaters of the watershed, consolidating business models to supply sustainable goods and services to the market (water, firewood, food, carbon, timber, power, seeds or others that show some potential). The second three-year phase will deal with the mid-stream areas of the watershed and a third three-year phase would deal with the lower basin, applying the same approach used in the two previous phases and validated in the first one. The implementation of the first phase of this project will allow the establishment of binational, representative and legitimate spaces to identify and prioritise areas where strategies and actions will be implemented to restore the pine-oak and highland forest ecosystems in the transboundary area. Participating agencies in these spaces will carry out and supervise various technical and social processes to promote sustainable management in the territory. The implementation of activities will lead to the following outcomes:

By the end of the project the transboundary area will have a restoration strategy for the degraded areas in the headwaters of the watershed.

By the end of the project at least 3 community economic alternatives will be implemented in 2 pilot sites.

By its completion, the project will have helped establish community plantations for energy (400 hectares) and multipurpose agroforestry systems (400 hectares) and there will be more efficient firewood use through energy-saving stoves (400 beneficiaries), to reduce the firewood deficit by 5% (21,350 m3).

By the end of the project there will be at least 400 new beneficiaries of existing and/or proposed financial mechanisms in pine-oak forests in the transboundary area.

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PART 2. PROJECT RATIONALE AND OBJECTIVES 2.1 Rationale 2.1.1 Institutional set-up and organizational issues

The project will be implemented by the International Union for the Conservation of Nature (IUCN) through its Regional Office for Mesoamerica (ORMA). This organisation has the technical capacity and the presence in both countries to facilitate project operations. Co-implementation will use strengthening of forest and environmental authorities in protected areas; in Mexico this will be the National Forest Commission - CONAFOR and National Natural Protected Area Commission – CONANP, and in Guatemala it will be the National Forest Institute - INAB and the National Council for Protected Areas - CONAP. They will be in charge of providing the necessary conditions for the successful implementation of the project in the long term. These institutions will be members of the Project Steering Committee. Local governments, represented by the Municipal Councils of San José Ojetenam and Tacaná in Guatemala, and by Tapachula in Mexico, will set priority actions for the restoration required by their areas. They too will have direct involvement in the Project Steering Committee. The project will help set the foundations for enhanced sustainable management of pine-oak forests and highland forests in the transboundary area, with stronger land governance, and the development and implementation of economic alternatives for the communities in pilot sites in both countries. 2.1.2 Stakeholder analysis Previous activities that led to the formulation of this project included a variety of meetings with local and national groups associated with the forest resources of the area. The discussions identified the problem and examined possible solutions. A brief description of each category of stakeholder follows:

Primary Stakeholders: The ejidos El Chespal, Pavencul, Aquiles Serdán, Ignacio Zaragoza, La Soledad, Peloponeso, and Toquian Chiquito in Mexico and the Municipalities of San José Ojetenam and Tacaná in Guatemala. The project will respect the rules and customs of the communities in the ejidos and micro-basins.

Secondary Stakeholders: These are individuals or entities that provide technical,

operational and/or financial support to primary stakeholders. This category includes local government through municipal councils (municipal forest offices for Guatemala) and local councils, central government through national forest authorities (regional directorates and extension offices), local, national and/or international non-governmental organizations with a presence in the project area.

Tertiary stakeholders: These contribute knowledge by providing support to the local

community technical and/or social knowledge generation activities regarding forest resource practices in the area (universities and/or national research centres and their regional branches).

13

Group of

stakeholders Characteristics

Problems, needs, interests

Potential Involvement in

the project Primary Stakeholders

Ejidos, private owners and local organizations in Mexico El Chespal, Pavencul, Aquiles Serdán, Ignacio Zaragoza, La Soledad, Peloponeso, Toquian Chiquito

They rely on natural resources for survival, and also on forest goods and services. In other communities income may be generated through ecotourism and similar activities. They live in poverty. They own areas with forest resources; however they have limited financial capacity.

They need to implement economic alternatives for sustainable development in order to improve their livelihood; they are interested in recovering traditional forest and biodiversity conservation knowledge and practices. High environmental vulnerability and gender discrimination.

Willing to make a strong contribution to project implementation since pine-oak forest is currently a source of resources and some income and holds potential for greater benefits. Potential involvement of women to provide them with alternatives for economic self-sufficiency and reduce gender discrimination.

Direct beneficiaries of the project, with a high level of interest in being involved in its implementation.

Communities, private owners and local forest organizations in Guatemala Indigenous communities in the Municipalities of Tacaná and San José Ojetenam in the Department of San Marcos

Dependency on forest goods and services. Income is generated by activities associated with the sustainable management of forest resources. They live in poverty and extreme poverty. They may or may not be owners of areas with forest resources, with limited economic capacity, and they need to satisfy their energy and timber requirements. They have community use forests

They need to implement economic alternatives for sustainable development in order to improve their livelihoods and to value ecosystem goods and services provided by pine-oak forests. High environmental vulnerability and gender discrimination.

Willing to make a strong contribution to project implementation since pine-oak forest is currently a source of resources and some income and holds potential for greater benefits. Potential involvement of women to provide them with alternatives for economic self-sufficiency and reduce gender discrimination.

Direct beneficiaries of the project, with a high level of interest in being involved in its implementation.

Private sector Small businesses of Guatemala and Mexico

They use the goods provided by forests and provide some services associated with sustainable forest management.

Some are part of the local informal economy; however, they are interested in extending the potential activities

To encourage and be involved in developing sustainable forest management in the area, as well

Participants in the area's governance roundtables, and players and promoters of sustainable

14

Group of stakeholders

Characteristics Problems,

needs, interests Potential

Involvement in the project

associated with sustainable forest management. They need stronger forest resource management capability and technical mentoring.

as an economic chain of activities associated with conservation, restoration and protection of forest resources.

practices in the region.

Secondary Stakeholders

Mexican forest services (CONAFOR and CONANP)

They are in charge of implementing forest legislation within and outside protected areas and of promoting actions that are conducive to conservation, restoration and sustainable management of natural resources and forest development, for the benefit of the local communities and general welfare. They have financial mechanisms and technical support for sustainable forest management. CONANP and CONAFOR are a part of SEMARNAT which is in charge of environmental policy.

Need to promote and implement the tools and mechanisms designed for the conservation and sustainable management of forest cover because of high community demand. They must ensure the reduction of degradation and deforestation rates in strategic conservation areas, especially in transboundary zones. CONANP has limited resources. It has launched the implementation of binational planning with CONAP.

Strong interest in the implementation of proposed mechanisms and tools to increase the benefits of forest management, as well as of restoration, conservation and sustainable use of strategic ecosystems such as pine-oak forests. Recognised public institutions with national influence. Establish a collaboration model between Guatemala and Mexico.

Direct involvement in the management and supervision of the project.

Guatemalan forest services (INAB and CONAP)

They are in charge of implementing forest legislation within and outside protected areas, and of promoting actions that are conducive to conservation, restoration and sustainable management of natural resources and forest

Need to promote and implement the tools and mechanisms designed for the conservation and sustainable management of forest cover because of high community demand. They must ensure the reduction of

Strong interest in the implementation of proposed mechanisms and tools to increase the benefits of forest management, as well as of restoration, conservation and sustainable

Direct involvement in the management and supervision of the project.

15





development, for the benefit of the local communities and general welfare. Obligation to look after and conserve natural richness, especially that which is found in protected areas. Forest incentives for conservation, management and establishment of forest plantations.

degradation and deforestation rates in strategic conservation areas, especially in transboundary zones. CONAP has limited resources. It has launched the implementation of binational planning with CONANP.

use of strategic ecosystems such as pine-oak forests. Establish a collaboration model between Guatemala and Mexico.

Local governments (Councils and Municipalities) in Mexico and Guatemala

Top local authority and body in charge of planning and administration within the area under their responsibility; fostering coordination among local stakeholders for appropriate governance.

Need to have trained personnel that promote actions for the restoration and sustainable management of forest resources in order to enhance local community livelihood. They have limited budgets.

Medium-level local influence. Contribute to the implementation of policies and their instruments for the conservation and restoration of pine-oak forests.

Necessary and relevant involvement in the execution and monitoring of the project and secondary beneficiaries of the latter.

IUCN

Nongovernmental organization with a presence in the area and specific activities in forest landscape restoration, to support communities and government bodies. It has the capacity to implement binational actions with the support of government bodies.

Need to strengthen its actions to benefit community groups in the transboundary zone between Guatemala and Mexico

It has the technical capacity to generate processes that will improve living standards in the project areas

Executing agency

Non Governmental Organizations.

They provide support for social and environmental development; they have a lot of experience in restoration and conservation of forest ecosystems and in land governance. They

They analyse the relevance of CDB/ITTO guidelines to help restore and sustainably manage strategic ecosystems such as pine-oak ecosystems. They also have

Installed technical capacity to support restoration and conservation of pine-oak ecosystems, as well as influence on local processes

Direct involvement in implementation, monitoring and supervision of the project.

16





provide support to national policies and strategies for sustainable management of forest ecosystems.

much interest in the development of communities that receive fewer services from government bodies.

to contribute to planning and governance of those areas.

Tertiary Stakeholders

Universities (regional centres) and/or research centres

The university works in Chiapas through various schools, both in sustainable resource management and in agricultural production.

Interest in generating and providing scientific information and human resources

Competence in research, technical and social studies and surveys.

Trained human resources from various schools that may contribute to programmed studies.

2.1.3 Problem analysis The core problem lies in the unsustainable management of the pine-oak and highland forest ecosystems in the transboundary area between Mexico and Guatemala. As a result, causes and consequences were thoroughly analysed and summarised in the Problem Tree shown in Figure 3 and the Tree of Objectives in Figure 4. The four immediate causes identified include: Lack of participatory planning and management of resources

In some areas, institutional presence is still weak and certain policy rules and regulations are contrary to local reality in the transboundary area. Furthermore, land tenure conflicts increase illegal activities. There is no articulation among all these stakeholders in the management of the pine-oak and highland forest ecosystem. There is a notoriously low level of legitimate and representative stakeholder involvement in land management in the transboundary zones, as well as a lack of instruments (sectoral studies) and decision making spaces as well as a lack of capacities and effective and efficient monitoring. It is therefore important to strengthen governance through the inter-sectoral articulation of stakeholders involving mainly resource managers (communities) and institutions, as well as support for dialogue and capacity building, in order to generate more effective, efficient and equitable restoration strategies. Inefficient use of natural resources for their local development

Firewood has been valued as a generator of wealth8, employment9 and substitution of imports10.To date there is no information on the relationship between firewood consumption and mixed forest degradation. There is no information on whether the existence of these forests is endangered or whether logging for energy purposes is less than the forest's replacement ability. In Chiapas, a 2009 study showed that firewood contributed between 8 and 10% of the final energy and between 36 and 45% in the residential sector, with an average 4.7 kg of firewood/day/inhabitant. For Guatemala, the study “Oferta y demanda de leña en Guatemala/Woodfuel Integrated

8 In 2006, 23,504,326,861 cubic meters of firewood representing 3,024 million quetzals in income. 9 In 2006, 23,580,648 wages were generated, the equivalent of 87,335.73 permanent jobs per year for firewood logging. 10 In 2006, the firewood that came into the country represented 4.46 million barrels of oil that the country did not need to purchase.

17

Supply/Demand Overview Mapping, Guatemala” (Wisdom, 2012) showed that of the total annual supply of firewood, 85% came from natural forests and the remaining 15% from forest plantations and industry waste. Furthermore, it is known that 55% of the firewood is destined for industry while the remaining 45% is used for residential energy (IARNA, URL, 200911). Many of the areas without forest cover have become pastures which are over-grazed, especially by cattle. The few economic alternatives associated with the incorporation of silvicultural-livestock systems have not provided an incentive for the incorporation of trees in animal fattening systems. Lack of development of sustainable economic alternatives for landscape management. Poverty and lack of economic options are some of the main challenges in managing mixed forests. Some researchers have been able to determine that the higher the household income, the higher the combined use of propane gas and firewood. Furthermore, other factors put pressure on pine-oak forests, such as agriculture encroachment (for subsistence or export crops) and urban expansion. Forest management has also focused on producing timber products from coniferous species because of the well established extensive and competitive market.

11 Estudio de mercado de la leña: estudios de caso en Tecpán Guatemala, Chimaltenango y San Juan Sacatepéquez, Guatemala, NUFFIC Project, Guatemala, 41 p., prepared by Instituto de Agricultura, Recursos Naturales y Ambiente and Universidad Rafael Landívar.

The

Loss oland extrem

Severebasin

e Guatemalan a

Lack of pamanagemen

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Poor capaefficient lan

of infrastructure aassociated w

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18

PROBLEM TREE

mited use of pinember and oduction

sustainable nsumption of firewk forests, associansity population i

efficient use sources for local d

tensive grazing limccession and rege

Degradapine-oak

ppropriate managto market

f Guatema

Constasupply produc

E

e and oak for non-timber

use and wood in pine-

ated with high n the area

of natural development

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tion and fragmenk forests

gement to provi

ala

ant reduction of of ecosy

ts to the market

ScmPI

Laplaremaof

Poof susfor

Lacsusalteman

ntation of

ide and regulate

f the ystem

cant access to mechanisms

INFOR, PRONAFO

ack of species mans and/or gstoration, sanagement and f pine-oak forest p

oor development livelihood assoc

stainable managrest resources

ck of developstainable ernatives for nagement.

Loss of livcommunity

e forest goods an

Fall in sources athe area

incentives (PINPEP,

OR)

management uides for sustainable

protection purposes

of means ciated with gement of

pment of economic landscape

elihood for the y

nd services

employment nd income in

Reenvuex

Reduincreconsprior

Land manabuilding for relandscape

Creation of instruments and

Analyse the leframework foenforcement

Create and/oroundtables fomanagement

Develop anrestoration sheadwaters

educed socnvironmental ulnerability assoxtreme weather ev

uced erosion in eased flow availasumption througrity areas in the ba

agement capacestoration of for

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egal and regulator enhanced

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19

BJECTIVES TRE

A plan to redurazing

mplementation of manage and

ndscape

an for the use on-timber producak and pinabete ec

rewood use andan for project area

tore forest lands

ak undary

the k forest

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EE

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of timber and cts from pine-cosystems

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scape between M

Promotion of land use changeoak forests

Increased invessustainable maof pine-oak fores

Mexico and Gua

decreased es in pine-

stment in anagement sts

atemala.

Strategy falternatives frestoration obeen developimplementatio

Analyse thesustainable alternatives communities

Create, foexecute complans asspromising livelihood

Facilitate incentives developmentof sustainaplans for pinabete fore

Create capaand implemplans

Means of livelihcommunities clooak forests incand services

Increased suenvironmentalgoods and serthe market

for economic for the use and of forests has

ped and is under on

e viability of economic

for local

ormulate and munity business sociated with

means of

access tothrough the

t and validationble management

pine-oak andests

city to develop ment business

ood of local ose to pine-clude goods

pply of l forest rvices to

o e n t

d

20

2.1.4 Logical framework matrix

Intervention strategy

Indicators Means of

Verification Assumptions

Development objective: To assist in the improvement of conservation and restoration of transboundary forests between Guatemala and Mexico

By 2020 there has been at least a USD 700,000 increase in investment in the recovery of forest areas in the transboundary zone between Guatemala and Mexico. By 2020 the deforestation rate in the transboundary area between Guatemala and Mexico has dropped by 10% By the year 2020, pine-oak and highland forest connectivity has been defined and maintained in the transboundary area.

National statistics on beneficiaries of financial mechanisms. Improved human development indices. Cover and Dynamics maps of forest cover. Reports on the state of forests in the region.

Bilateral cooperation relations between Guatemala and Mexico are maintained Land governance process in the Mexico-Guatemala transboundary area is maintained and strengthened. Forest-environmental institutions of both countries are maintained.

Specific Objective: To implement a land management model to restore forest landscape between Mexico and Guatemala.

By the end of the project, the transboundary area has a forest landscape restoration strategy that contributes to the implementation of Guatemalan and Mexican national policies.

By the end of the project at least 3 community economic alternatives will be implemented in 2 pilot sites. By its completion, the project has helped establish community energy plantations (400 hectares) and multipurpose agroforestry systems (400 hectares) and there is more efficient firewood use through energy-saving stoves (400 beneficiaries), to reduce the deficit of firewood by 5% (21,350 m3) By the end of the project there are at least 400 new beneficiaries of existing and/or proposed financial mechanisms in pine-oak forests in the transboundary area.

Strategy document on forest landscape restoration in the transboundary area between Guatemala and Mexico Implementation report on community economic alternatives in two pilot sites. Report on the establishment of energy plantations and agro-forestry systems and implementation of energy-saving stoves in two pilot sites. Report on beneficiaries of financial mechanisms to promote sustainable management of pine-oak forests.

There is continual involvement of all stakeholders involved in the area and in sustainable management of pine-oak forests. No socioeconomic/ climate events prevent the implementation of technical and economic activities proposed by the project. There is a stable binational relationship between both countries as well as a stable climate among stakeholders thanks to the ongoing flow of information from the respective authorities (local government and leaders and Ministry of Foreign Affairs of both countries).

21


Indicators Means of


Output 1 Forest landscape restoration strategy has been developed and implemented in the Municipalities of Tacaná and San José Ojetenam in Guatemala and Chiapas in Mexico.

By the end of the third year of the project two roundtables for basin headwaters management have been created and/or strengthened. By the end of the third year of the project a consensus-based strategy has been determined with key stakeholders, for the restoration of forest landscape in the project area.

Minutes of meetings of national roundtables. Document of analysis of laws and regulations. Training programme has been developed Agreements issued and implemented.

There is a commitment for active involvement of main stakeholders in the sustainable management of pine-oak forests in the dialogue and decision making spaces.

Output 2: Implementation of pilot activities to manage and restore forest landscape

By the end of the second year of the project there are two pilot projects for the commercial restoration of Pinabete. By the end of the third year management plans have been formulated and 600 hectares have received incentives for energy forest management. By the end of the second year of the project there is a plan for the use and consumption of firewood in the areas of the project. By the end of the first year of the project there are at least 200 hectares where extensive grazing has been reduced.

Plan for the use of timber and non-timber products implemented. Document with analysis of promotion instruments for sustainable management of firewood resources. Implementation plan for community energy alternatives. Report on the implementation of the plan in both pilot sites. Evaluation report on said plan.

There is commitment by selected communities for active involvement during the diagnosis and implementation process of the alternatives plan.

Output 3: Strategy for economic alternatives for the use and restoration of forests has been developed and is under implementation

By the end of the first year of the project 3 sustainable economic alternatives have been identified for ecosystem restoration. By the end of the third year of the project at least 3 community business plans have been created, formulated and implemented, which are associated with promising means of livelihood promoting ecosystem restoration. By the end of the second year of the project there is easier access to incentives through the development and validation of sustainable management plans for pine-oak

Report on the analysis of sustainable economic alternatives 3 economic alternative business plans associated with the sustainable management of said forest (1 for each pilot site). Implementation

There are market alternatives for new timber and non-timber products from pine-oak and highland forests and there is institutional technical support to develop such alternatives.

22


Indicators Means of


forests report of economic alternatives in each pilot site, according to priority zones selected by the strategy.

2.2 Objectives 2.2.1 Development objective and impact indicators Development objective: Assist in the improvement of conservation and restoration of transboundary forests between Guatemala and Mexico. Long-term indicators include:

By 2020 there has been at least a USD 700,000 increase in investment in the recovery of forest areas in the transboundary zone between Guatemala and Mexico.

By 2020 the deforestation rate in the transboundary area between Guatemala and Mexico has

dropped by 10%

By the year 2020, pine-oak and highland forest connectivity has been defined and maintained in the transboundary area

2.2.2 Specific objective and impact indicator Implement a land management model to restore forest landscape in the transboundary area between Mexico and Guatemala. Outcome indicators include:

By the end of the project, the transboundary area has a forest landscape restoration strategy that contributes to the implementation of Guatemalan and Mexican national policies.

By the end of the project at least 3 community economic alternatives will be implemented in 2 pilot

sites.

By its completion, the project has helped establish community energy plantations (400 hectares) and multipurpose agroforestry systems (400 hectares) and there is more efficient firewood use through energy-saving stoves (400 beneficiaries), to reduce the deficit of firewood by 5% (21,350 m3)

By the end of the project there are at least 400 new beneficiaries of existing and/or proposed financial

mechanisms in pine-oak forests in the transboundary area.

23

PART 3. DESCRIPTION OF PROJECT INTERVENTIONS 3.1 Outputs and activities 3.1.1 Outputs Outputs planned for the project include: Output 1: Forest landscape restoration strategy has been developed and implemented in the Municipalities of Tacaná and San José Ojetenam in Guatemala and Chiapas in Mexico. Output 2: Implementation of pilot activities to manage and restore forest landscape. Output 3: Strategy for economic alternatives for the use and restoration of forests has been developed and is under implementation. 3.1.2 Activities To achieve the planned outputs, the project will implement the following activities: Output 1: Forest landscape restoration strategy has been developed and implemented in the

Municipalities of Tacaná and San José Ojetenam in Guatemala and Chiapas in Mexico Activity 1.1 Organise representative and legitimate roundtables for the decision making process on forest resources management in the project area. Activity 1.2 Prepare, agree on, and establish a restoration strategy for pine-oak and highland ecosystems situated in the project area according to socioeconomic indicators and ITTO and IUCN guidelines. Activity 1.3 Strengthen land management capacities with a landscape restoration approach to pine-oak ecosystem management. Activity 1.4 Carry out sectoral studies to identify costs, benefits and co-benefits of forest landscape activities. Output 2: Implementation of pilot activities to manage and restore forest landscape Activity 2.1 Analyse the viability of sustainable economic alternatives for the commercial restoration of Pinabete, pine and/or other species in Guatemala and Mexico. Activity 2.2 Strengthen SFM and FLEG related capacity among the local communities and key project stakeholders in Guatemala and Mexico. Activity 2.3 Design, formulate and implement pilot actions for the promotion of woodfuel forests in Guatemala and Mexico. Activity 2.4 Develop and implement pilot actions to reduce extensive grazing in order to encourage ecological succession in Guatemala and Mexico. Output 3: Strategy for economic alternatives for the use and restoration of forests has been developed

and is under implementation. Activity 3.1 Formulate and implement community business plans associated with promising livelihood means that promote ecosystem restoration in Guatemala and Mexico. Activity 3.2 Build capacity for business plan development, implementation and monitoring in Guatemala and Mexico. Activity 3.3 Improve access to incentives through the development and certification of sustainable forest management plans in Guatemala and Mexico.

24

3.2 Implementation approaches and methods The project will implement a participatory gender-focused approach, creating land governance schemes based on the legitimate involvement of the stakeholders involved, including communities, Municipal Councils, ejido residents, academia, government institutions and non government organisations. Using economic, bio-physical and social criteria, these stakeholders will define and prioritise the areas where restoration processes will be implemented in project areas. The project will strive to adapt a watershed-wide approach to the restoration of the pine-oak and highland forest ecosystem, analysing the regulatory and political framework in Guatemala and Mexico in terms of promotion of forest restoration activities, and with a view to the restoration of degraded areas. To do so it will analyse the scope and conditions of each policy instrument that can foster land management and restoration. At the same time it will establish a binational committee to share experience and knowledge and improve the effectiveness of project actions. The project will study dominant livelihoods in priority areas and will implement actions to restore the ecosystem's capacity to provide fundamental goods and services for development. These actions include: the development of woodfuel producing forests, land conservation programmes, development of timber and non-timber products, management of infrastructure to capture and distribute water for consumption and irrigation. The project will prepare cost-benefit estimates for the transition, that is to say from unsuitable to suitable land uses, defining economic benefits in terms of employment, income, and co-benefits (timber, firewood, carbon, and others). Furthermore, it will assist in the development of business models and financial mechanisms that provide support to promising livelihood means in terms of the scope of socio-economic and environmental variables as indicated above. The project will manage and design structures and systems that enable the reduction of degradation factors, and encourage the production of environmental services (design of structures for irrigation, land conservation, agroforestry systems and others) and will implement its activities simultaneously building key actors' capacity to manage pine-oak and highland forest resources in the Mexico-Guatemala transboundary area. A participatory approach tailored to the interests and needs of each one of the 2 countries will be adopted in the project area: In terms of land governance, the project will strive to strengthen the existing Chiapas Advisory Council, since it currently fulfils only a purely informative role; this will involve directing efforts mostly to training key stakeholders; in Guatemala on the other hand, the project will promote the establishment of dialogue spaces (Dialogue and Governance Roundtables). Regarding actions associated with woodfuel resources, on the Guatemalan side the project will be supported by the forest authority (INAB), since the implementation plan of community energy alternatives will focus on implementing some proposals mentioned in the strategy for sustainable use and management of firewood. Because energy alternatives provide for the efficient use of firewood resources through energy-saving stoves, it is advisable that strategic partnerships be set up with banks or cooperatives to provide credit facilities to potential beneficiaries who might wish to use them. On the Mexican side proposed actions will provide proactive responses to the potential future deficit in firewood resources in the transboundary area. In terms of economic alternatives to promote the restoration and sustainable management of forest resources, the prioritisation will take into consideration local stakeholder opinions, including associations, cooperatives and women’s groups on both sides of the border. The goal is for these alternatives to generate more jobs in rural areas and greater value adding to timber and non-timber forest products supplied by this type of forests. Project actions will include the implementation of restoration practices, which will be based on the ITTO Guidelines for the Restoration, Management and Rehabilitation of Degraded and Secondary Tropical Forests, in particular, the following principles:

25

Principle1: Landscape context Principle 2: Livelihoods concerns Principle 3: Information /communication Principle 8: Stakeholder participation Principle 9: Social equity Principle10: Traditional knowledge Principle 11: Land-use options Principle 14: Adaptive management Principle 15: Socioeconomic objectives Principle 17: Forest and climate change Principle 18: Silvicultural analysis Principle 21: Biological diversity Principle 22: Local benefits from biodiversity conservation Principle 23: Low impact harvesting Principle 25: Economic viability Principle 27: Local income opportunities Principle 31: Knowledge sharing Principle 33: Simple silvicultural practices Principle 39: Role of existing plantations Principle 49: Enrichment planting

26

3.3 Work Plan

Outputs / Activities Responsible party Year 1 Year 2 Year 3

1 2 3 4 1 2 3 4 1 2 3 4 Output 1 Forest landscape restoration strategy has been developed and implemented in the Municipalities of Tacaná and San José Ojetenam in Guatemala and Chiapas in Mexico A.1.1 Organise representative and legitimate roundtables for the decision making process on forest resources management in the project area

IUCN with INAB, CONAFOR

A.1.2 Prepare, agree on and establish a restoration strategy for pine-oak and highland ecosystems situated in the project area according to socioeconomic indicators and ITTO and IUCN guidelines.

IUCN with communities, INAB, CONAFOR, universities and/or research centres

A.1.3 Strengthen land management capacities with a landscape restoration approach to pine-oak ecosystem management.


A.1.4 Carry out sectoral studies to identify costs, benefits and co-benefits of forest landscape activities


Output 2: Implementation of pilot activities to manage and restore forest landscape A 2.1 Analyse the viability of sustainable economic alternatives for the commercial restoration of Pinabete, pine and other species.

IUCN

Activity 2.2 Strengthen SFM and FLEG related capacity among the local communities and key project stakeholders in Guatemala and Mexico

IUCN

A 2.3 Design, formulate and implement pilot actions for the promotion of energy forests

IUCN with pilot site communities

A.2.4 Develop and implement pilot actions to reduce extensive grazing in order to encourage ecological succession.

IUCN with universities and/or research centres

Output 3: Strategy for economic alternatives for the use and restoration of forests has been developed and is under implementation A. 3.1 Formulate and implement community business plans associated with promising livelihood means that promote ecosystem restoration.


A.3.2 Create capacity to develop and implement business plans.


A 3.3 Improve access to incentives through the development and certification of sustainable forest management plans.

IUCN with INAB and CONAFOR

Project coordination IUCN Monitoring and review Focal points and ITTO

27

3.4 Budget 3.4.1 Master budget schedule

Output and/or Activity

Description Budget Item

Quantity

Units Unit Cost Total Cost

ITTO

EA CA

Year 1 Year 2 Year 3 Year 1 Year 2 Year 3

Output 1 Forest landscape restoration strategy has been developed and implemented in the Municipalities of Tacaná and San José Ojetenam in Guatemala and Chiapas in Mexico.

A.1.1 Organise representative and legitimate roundtables for the decision making process on forest resources management in the project area.

Workshops to establish key stakeholders in representative roundtables for decision making on the management of forest resources in Guatemala. and Mexico (8 meetings, 20 individuals, 1 day)

604 100 40 20 meeting/person/day 15 2400 1500 600 300 0 0

Moderator for the establishment of legitimate representative roundtables for decision making process

131 18 6 3 consultancy/day 140 3780 2520 840 420 0 0

Moderator and expert transport (car rental) 331 18 6 0 hire/day 70 1680 1260 420 0 0 0

DSA moderator 311 18 6 0 DSA/day 45 1080 810 270 0 0 0

DSA for 1 support expert for incorporation meetings

312 6 2 0 DSA/day 45 360 270 90 0 0 0

A.1.2 Prepare, agree on and establish a restoration strategy for pine-oak and highland ecosystems situated in the project area according to socioeconomic indicators and ITTO and IUCN guidelines.

Consultant with experience in forest restoration and strategic planning.

132 6 0 0 Person/Month 2100 12600 12600 0 0 0 0

Roundtables to define and agree on forest restoration strategy in Guatemala and Mexico (12 workshops, 20 individuals, 1 day)

605 120 120 0 person/day 15 3600 1800 1800 0 0 0

Printing of restoration strategy for forest landscape of transboundary area

606 0 0 300 plan 15 4500 0 0 4500 0 0

1 support expert (INAB/CONAFOR) to provide mentoring during meetings to define and agree on plan

122 6 6 0 person/day 40 480 0 0 0 0 480

DSA for 1 support expert during workshops to develop and agree on plan

312 6 6 0 DSA/day 45 540 270 270 0 0 0

28



Quantity


ITTO

EA CA


A.1.3 Strengthen land management capacities with a landscape restoration approach to pine-oak ecosystem management.

Consultant to prepare programme and contents of training on land management

133 4 0 0 person/month 2100 8400 8400 0 0 0 0

Training workshops to acquire technical knowledge on sustainable management of pine-oak and highland forests (36 workshops, 30 individuals, 1 day).

607 300 300 300 workshop/person/day 15 13500 4500 4500 4500 0 0

Consultant with experience in forest restoration to implement training on forest landscape restoration

132 24 24 24 person/day 90 6480 2160 2160 2160 0 0

Printing of training material on basin-wide land management.

608 300 300 300 Material 10 9000 3000 3000 3000 0 0

DSA moderator 311 24 24 24 DSA/person 45 3240 1080 1080 1080 0 0


1 support expert (INAB/CONAFOR) to provide support during training workshops

122 12 12 12 person/day 40 1440 0 0 0 0 1440

DSA for 1 support expert for training workshops 312 12 12 12 DSA/person 45 1620 540 540 540 0 0

Steering Committee meetings 602 1 1 1 meeting 1500 4500 1500 1500 1500 0 0

Consultative committee meetings Guatemala and Mexico

603 4 4 4 meeting 1500 18000 6000 6000 6000 0 0

A.1.4 Carry out sectoral studies to identify costs, benefits and co-benefits of forest landscape activities.

Consultant to carry out the study, who selects the priority areas where forest landscape restoration actions will be implemented in the project area

134 5 0 0 person/month 2100 10500 10500 0 0 0 0

Consultant for cost-benefit activities for the forest landscape restoration and to propose local implementation mechanism

136 5 0 0 person/month 2100 10500 10500 0 0 0 0

29



Quantity


ITTO

EA CA


Workshops to disseminate sectoral study findings (6 workshops, 30 individuals, 1 day)


1 support expert (INAB/CONAFOR) to provide support during validation workshops

122 2 4 0 person/day 40 240 0 0 0 0 240

DSA support expert during workshops for validation of energy plans

312 2 4 12 DSA/person 45 810 90 180 540 0 0

Sub-total 129510 72720 27570 27060 0 2160

Output 2 Implementation of pilot activities to manage and restore forest landscape

A 2.1 Analyse the viability of sustainable economic alternatives for the commercial restoration of Pinabete, pine and/or other species in Guatemala and Mexico.

Consultant with experience in market and economic alternatives including sustainable forest management, to analyse local economic alternatives associated with forest landscape restoration activities

137 6 0 0 person/month 2100 12600 12600 0 0 0 0

A.2.2 Strengthen SFM and FLEG related capacity among the local communities and key project stakeholders in Guatemala and Mexico

Trainer in Sustainable Forest Management and FLEG.

136 24 24 24 person/day 80 5760 1920 1920 1920 0 0

Training workshops to acquire basic knowledge on sustainable forest management and FLEG (36 workshops, 30 individuals, 1 day)



122 12 12 12 person/day 40 1440 0 0 0 0 1440

A.2.3 Design, formulate and implement pilot actions for the promotion of energy forests in Guatemala and Mexico

Sub-contract to develop management plans for energy purposes (4000 hectares)

21 0 6 4 person/month 1500 15000 0 9000 6000 0 0

2 pick-up type vehicles for monitoring of all activities (1 Mexico -1 Guatemala, by each technical expert)

43 2 0 0 vehicle 27000 54000 27000 0 0 27000 0

A.2.4 Develop and implement pilot actions to reduce extensive grazing in order to encourage ecological succession

30



Quantity


ITTO

EA CA


Consultant with experience in small livestock husbandry and forest management to prepare guidance plans to reduce extensive grazing and propose best practices.

138 3 0 0 person/month 2100 6300 6300 0 0 0 0

Computer equipment (2 laptops, 1 assigned to each technical expert)

441 2 0 0 computers 1700 3400 3400 0 0 0 0

Printing of local management guides for small livestock husbandry and the importance of in situ management.

611 0 250 250 Material 15 7500 0 3750 3750 0 0

Training workshops on best practice to reduce extensive grazing (4 workshops, 30 individuals, 1 day)


DSA moderator 311 2 2 24 DSA/person 45 1260 90 90 1080 0 0


Sub-total 125360 56850 20300 19770 27000 1440

Output 3 Strategy for economic alternatives for the use and restoration of forests has been developed and is under implementation

A.3.1 Formulate and implement community business plans associated with promising livelihood means that promote ecosystem restoration.

Consultant with experience in business plan development

139 6 6 0 person/month 2400 28800 14400 14400 0 0 0

Validation workshops for community business plans (6 workshops, 30 individuals, 1 day)

613 180 0 0 workshop/person/day 15 2700 2700 0 0


122 6 0 0 person/day 40 240 0 0 0 240

DSA 1 support expert during validation workshops for community business plans

312 6 0 0 DSA/person 45 270 270 0 0 0 0

A.3.2 Create capacity to develop, manage and implement business plans.

31



Quantity


ITTO

EA CA


Training assistant for capacity building in business plan design and implementation.

142 5 5 0 person/month 400 4000 2000 2000 0 0 0

A.3.3 Improve access to incentives through the development and certification of sustainable forest management plans.

Printing of training material on existing financial mechanisms for forest restoration.

614 200 200 100 Material 10 5000 2000 2000 1000 0 0

Information workshop on incentives for sustainable forest management (10 workshops, 40 individuals, 1 day)

615 160 160 80 person/day 15 6600 2400 2400 1200 0 0

1 support expert (INAB/CONAFOR) to provide mentoring at information workshops on incentives

122 4 4 2 person/day 40 400 0 0 0 0 400

DSA 1 support expert during information workshops

312 4 4 2 DSA/day 30 300 120 120 60 0 0

Sub-contract to prepare management plans for protection, sustainable management, and restoration of forest cover and agro-forestry systems (4000 hectares)

21 1 1 1 Total amount 30000 30000 10000 10000 10000 0 0

2 technical experts (1 INAB, 1 CONAFOR) to provide support in the development of sustainable forest management plans

123 72 72 72 person/day 40 8640 0 0 0 0 7280

Sub-total 86,950 33,890 30,920 12,260 0 7,920

A0.0 Non-activity based expenses

Project operations coordinator - part time 111 12 12 12 person/month 1800 64800 21600 21600 21600 0 0

Secretarial support 112 12 12 12 person/month 1000 36000 12000 12000 12000 0 0

Accountant – Administrator 113 12 12 12 person/month 0 54000 0 0 0 54000 0

2 technical experts (1 Mexico-1 Guatemala) 121 24 24 24 person/month 2800 201600 67200 67200 67200 0 0

Manager, Regional Office 114 3 3 3 person/month 3200 38400 0 0 0 38400 0

32



Quantity


ITTO

EA CA


Economic valuation and business model advisor 115 3 3 3 person/month 4000 48000 0 0 0 48000 0

Restoration advisor 116 3 3 3 person/month 4000 48000 0 0 0 48000 0

Project monitoring specialist 117 12 12 12 person/month 1700 61200 0 0 0 61200 0

Participation of representatives in Executive and Consultative Committees

601 24 24 24 person/day 90 6480 0 0 0 2160 4320

A0.12 Office costs (Capital Items) 41 12 12 12 Month – rental 600 21600 0 0 0 21600 0

Office supplies (Equipment for workshops) 442 12 12 12 Equipment

depreciation 150 5400 0 0 0 3600 1800

A0.14 Office costs (Consumable Items) 541 12 12 12 Monthly amount 450 16200 5400 5400 5400 0 0

A0.15 Fuel 51 12 12 12 Monthly amount 1500 54000 18000 18000 18000 0 0

Vehicle spare parts and insurance 52 12 12 12 Monthly amount 500 18000 6000 6000 6000 0 0

A0.16 Duty Travel (Coordination) 313 12 12 12 Monthly amount 1000 36000 12000 12000 12000 0 0

International travel 32 1 1 1 Annual amount 1200 3600 1200 1200 1200 0 0

A0.17 Miscellaneous 61 12 12 12 Monthly amount 450 16200 5400 5400 5400 0 0

A0.18 Utilities 53 12 12 12 Monthly amount 450 16200 0 0 0 16200 0

A0.20 Materials and Supplies 54 12 12 12 Monthly amount 450 16200 0 0 0 16200 0

A0.2 Audits (annual and final) 62 1 1 1.5 person/month 3500 9750 3000 3000 3750 0 0

SUB-TOTAL 771,630 151,800 151,800 152,550 309,360 6,120

A0.5 Monitoring and review

ITTO monitoring and review 82 1 1 1 Lump sum 10,000 30,000

Ex-post Evaluation 84 0 0 1 Lump sum 15,000 15,000

ITTO programme support costs 85 0 0 0 Lump sum 96,371 96,371

IUCN Management Costs 71 0 0 0 lump sum 50,454 50,454

SUB-TOTAL 191,825

TOTAL 1,305,275

33

3.4.2 Consolidated budget by component

Budget Item Description TOTAL YEAR 1 YEAR 2 YEAR 3 10 Personnel

111 Project coordinator - part time 64800 21600 21600 21600 112 Secretarial support 36000 12000 12000 12000 113 Accountant Administrator 54000 18000 18000 18000 114 Manager, Regional Office 38400 12800 12800 12800 115 Economic valuation and business model advisor 48000 16000 16000 16000 116 Restoration advisor 48000 16000 16000 16000 117 Project monitoring specialist 61200 20400 20400 20400 121 Technical experts (1 Mexico-1 Guatemala) 201600 67200 67200 67200 122 2 support technical experts (1 INAB, 1 CONAFOR) during workshops and meetings 4240 1680 1520 1040 123 Support technical experts for development of management plans (INAB, CONAFOR) 8640 2880 2880 2880 131 Moderator for establishment of legitimate representative roundtables for decision making process. 3780 2520 840 420 132 Consultant with experience in forest restoration and strategic planning. 19080 14760 2160 2160 133 Consultant to prepare programme and contents of training on land management. 8400 8400 0 0

134 Consultant to carry out the study, who selects the priority areas where forest landscape restoration actions will be implemented in the project area

10500 10500 0 0

135 Consultant for cost-benefit activities for the forest landscape restoration and to propose local implementation mechanism

10500 10500 0 0

136 Moderator for training on Sustainable Forest Management and FLEG 5760 1920 1920 1920 137 Consultant with market and economic alternatives experience involving sustainable forest management. 12600 12600 0 0

138 Consultant with experience in small livestock husbandry and forest management to prepare guidance plans to reduce extensive grazing and propose best practices.

6300 6300 0 0

139 Consultant with experience in business plan development 28800 14400 14400 0 1391 Training assistant for capacity building in business plan design and implementation 4000 2000 2000

19 Component Total 674,600 272,460 209,720 192,420 20 Sub-contracts

21 Sub-contract to prepare management plans for protection, sustainable management, and restoration of forest cover and agro-forestry systems (2000 hectares)

45000 10000 19000 16000

29 Component Total 45,000 10,000 19,000 16,000 30 Duty travel

311 DSA trainer-moderator 6180 2430 1590 2160 312 DSA support experts 3900 1560 1200 1140 313 Duty travel 36000 12000 12000 12000 32 International travel 3600 1200 1200 1200

331 Transport for trainer and moderator to workshops 12040 3920 3080 5040 39. Component Total 61,720 21,110 19,070 21,540

40 Capital items 41 IUCN office supplies (rent) 21600 7200 7200 7200 43 2 vehicles for monitoring of project activities (4x4 dual cabin truck) 54000 54000

441 Portable computer equipment (4G RAM, 500 hard drive, 2.5 GHZ Processor laptop) 3400 3400 442 Equipment for training, validation and construction workshops 5400 1800 1800 1800

49 Component Total 84,400 66,400 9,000 9,000 50 Consumer Goods 51 Fuel 54000 18000 18000 18000 52 Vehicle spare parts and insurance 18000 6000 6000 6000 53 Utilities IUCN 16200 5400 5400 5400 54 Materials and Supplies 16200 5400 5400 5400

34

Budget Item Description TOTAL YEAR 1 YEAR 2 YEAR 3 541 Office supplies 16200 5400 5400 5400

Component Total 120,600 40,200 40,200 40,200 60 Miscellaneous 61 Sundry 16200 5400 5400 5400

601 Representatives of executing-collaborating agencies before executive and consultative committees 6480 2160 2160 2160 602 Steering Committee meetings 4500 1500 1500 1500 603 Consultative committee meetings 18000 6000 6000 6000

604 Workshops to establish key stakeholders in representative roundtables for decision making on the management of forest resources (8 meetings, 20 individuals, 1 day)

2400 1500 600 300

605 Roundtables to define and agree on forest restoration strategy (12 workshops, 20 individuals, 1 day) 3600 1800 1800 0 606 Printing of restoration strategy 4500 0 4500 0

607 Training workshops to acquire technical knowledge on sustainable management of pine-oak and highland forests (36 workshops, 30 individuals, 1 day).

13500 4500 4500 4500

608 Printing of training material on basin-wide land management. 9000 3000 3000 3000 609 Workshops to disseminate sectoral study findings (6 workshops, 30 individuals, 1 day) 2700 900 1800 0 610 Training workshops to acquire basic expertise in sustainable forest management and FLEG 13500 4500 4500 4500

611 Printing of local management guides for small livestock husbandry and the importance of in situ management.

7500

3750 3750

612 Training workshops on best practice to reduce extensive grazing (4 workshops, 30 individuals, 1 day) 1800 900 900 0 613 Validation workshops for community business plans (6 workshops, 30 individuals, 1 day) 2700 2700 0 0 614 Printing of training material on existing financial mechanisms for forest restoration. 5000 2000 2000 1000

615 Information workshop on incentives for sustainable forest management (10 workshops, 40 individuals, 1 day)

6000 2400 2400 1200

62 Audits (annual and final) 9750 3000 3000 3750 69 Component Total 127,130 42,260 47,810 37,060 70 National administration costs 71 IUCN Management Costs 50454

79. Component Total 50,454 80 Project monitoring and administration 82 ITTO monitoring and review 30000 84 Ex-post evaluation 15000 85 ITTO programme support costs 96371 89 Component Total: 141,370.8

100 GRAND TOTAL 1,305,275

35

3.4.3 ITTO budget by component

Budget Item Description

Total Year 1 Year 2 Year 3

10 Personnel 111 Operating Coordinator of the project 64800 21600 21600 21600 112 Secretarial support 36000 12000 12000 12000 121 Technical experts (1 Mexico -1 Guatemala) 201600 67200 67200 67,200 131 Moderator for establishment of legitimate representative roundtables for decision making process. 3780 2520 840 420 132 Consultant with experience in forest restoration and strategic planning. 19080 14760 2160 2160 133 Consultant to prepare programme and contents of training on land management. 8400 8400 0 0

134 Consultant to carry out the study, who selects the priority areas where forest landscape restoration actions will be implemented in the project area

10500 10500 0 0

135 Consultant for cost-benefit activities for the forest landscape restoration and to propose local implementation mechanism 10500 10500 0 0 136 Moderator for training on Sustainable Forest Management and FLEG 5760 1920 1920 1920 137 Consultant with market and economic alternatives experience involving sustainable forest management. 12600 12600 0 0

138 Consultant with experience in small livestock husbandry and forest management to prepare guidance plans to reduce extensive grazing and propose best practices.

6300 6300 0 0

139 Consultant with experience in business plan development 28800 14400 14400 0 1391 Training assistant for capacity building in business plan design and implementation 4000 2000 2000 0

Component Total 412,120 184,700 122,120 105,300 20 Sub-contracts

21 Sub-contract to prepare management plans for protection, sustainable management, and restoration of forest cover and agro-forestry systems (2000 hectares)

45000 10000 19000 16000

29 Component Total 45,000 10,000 19,000 16,000 30 Travel

311 DSA trainer-moderator 6180 2430 1590 2160 312 DSA support experts 3900 1560 1200 1140 313 Duty travel 36000 12000 12000 12000 32 International travel 3600 1200 1200 1200

331 Transport for trainer and moderator to workshops 12040 3920 3080 5040 Component Total 61,720 21,110 19,070 21,540

40 Capital items 43 1 vehicle for monitoring of project activities (4x4 dual cabin truck) 27000 27000 0 0

441 Portable computer equipment (4G RAM, 500 hard drive, 2.5 GHZ Processor laptop) 3400 3400 0 0 Component Total 30,400 30,400 0 0

Consumable items 51 Fuel 54000 18000 18000 18000 52 Vehicle spare parts and insurance 18000 6000 6000 6000

541 Office supplies 16200 5400 5400 5400 Component Total 88,200 29,400 29,400 29,400

60 Miscellaneous 61 Sundry 16200 5400 5400 5400

602 Steering Committee meetings 4500 1500 1500 1500 603 Consultative committee meetings 18000 6000 6000 6000

604 Workshops to establish key stakeholders in representative roundtables for decision making on the management of forest resources (8 meetings, 20 individuals, 1 day)

2400 1500 600 300

605 Roundtables to define and agree on forest restoration strategy (12 workshops, 20 individuals, 1 day) 3600 1800 1800 0 606 Printing of restoration strategy 4500 0 4500 0

36

Budget Item Description

Total Year 1 Year 2 Year 3

607 Training workshops to acquire technical knowledge on sustainable management of pine-oak and highland forests (36 workshops, 30 individuals, 1 day).

13500 4500 4500 4500

608 Printing of training material on basin-wide land management. 9000 3000 3000 3000 609 Workshops to disseminate sectoral study findings (6 workshops, 30 individuals, 1 day) 2700 900 1800 0 610 Training workshops to acquire basic expertise in sustainable forest management and FLEG 13500 4500 4500 4500 611 Printing of local management guides for small livestock husbandry and the importance of in situ management. 7500 3750 3750 612 Training workshops on best practice to reduce extensive grazing (4 workshops, 30 individuals, 1 day) 1800 900 900 0 613 Validation workshops for community business plans (6 workshops, 30 individuals, 1 day) 2700 2700 0 0 614 Printing of training material on existing financial mechanisms for forest restoration. 5000 2000 2000 1000 615 Information workshop on incentives for sustainable forest management (10 workshops, 40 individuals, 1 day) 6000 2400 2400 1200 62 Audits (annual and final) 9750 3000 3000 3750

Component Total 120,650 40,100 45,650 34,900 80 Project monitoring and administration 82 ITTO monitoring and review 30,000 84 Ex-post Evaluation 15,000

Sub-total 806,590 85 ITTO programme support costs 96,371

Component Total 141,371 TOTAL 899,461

37

3.4.4 IUCN budget by component

Budget Item Description Total Year 1 Year 2 Year 3

10 Personnel

114 Manager, Regional Office 38400 12800 12800 12800

113 Accounting and financial support 54000 18000 18000 18000

115 Economic valuation and business model advisor 48000 16000 16000 16000

116 Restoration advisor 48000 16000 16000 16000

117 Project monitoring expert 61200 20400 20400 20400

Component Total 249,600

40 Capital items

41 IUCN office supplies (rent) 21600 7200 7200 7200

43 1 vehicle for monitoring of project activities (4x4 dual cabin truck) 27000 27000

442 Equipment for training, validation and construction workshops 3600 1200 1200 1200


Consumable items

53 Utilities IUCN 16200 5400 5400 5400

54 Materials and Supplies 16200 5400 5400 5400


60 Miscellaneous

601 Representatives of executing-collaborating agencies before executive and consultative committees 2160 720 720 720


70 National administration costs

71 IUCN Management Costs 50454


TOTAL 386,814

38

3.4.5 Estimated budget of forest services, by component Estimated budget for the National Forest Institute (INAB)

Budget Item Description Total Year

1 Year

2 Year

3 10 Personnel

122 1 support expert during workshops and meetings 2120 840 760 520 123 Support technical experts for development of management plans 4320 1440 1440 1440


40 Capital items 442 Equipment for training, validation and construction workshops 900 300 300 300

Component Total 900

60 Miscellaneous

601 Representatives of executing-collaborating agencies before executive and consultative committees

2160 720 720 720


TOTAL 9,500 Estimated budget for the National Forest Commission (CONAFOR)

Budget Category Description Total

Year 1

Year 2

Year 3

10 Personnel 122 1 support expert during workshops and meetings 2120 840 760 520 123 Support technical experts for development of management plans 4320 1440 1440 1440


40 Capital items 442 Equipment for training, validation and construction workshops 900 300 300 300

Component Total 900

60 Miscellaneous

601 Representatives of executing-collaborating agencies before executive and consultative committees

2160 720 720 720


TOTAL 9,500

39

3.5 Assumptions, risks, sustainability 3.5.1 Assumptions and risks The project does not involve major risks. Table 7 describes the relevant mitigation actions.

ASSUMPTIONS RISKS MITIGATION ACTIONS There is continuous involvement of all stakeholders in the area and in sustainable management of pine-oak forests.

Stakeholders' interest in the project implementation wanes.

The project has planned several information, construction and training meetings and workshops to keep up interest and commitment. Furthermore, there will be a balance between contribution and benefits.

No socioeconomic/ weather events prevent the implementation of technical and economic activities proposed by the project.

Programmed implementation of activities is affected resulting in the failure to fulfil some of them.

Support from forest authorities and all stakeholders involved, as well as decentralization of project activities through consultants and/or research assistant sub-contracts will help implement technical and economic activities within the planned timeframe.

There is a stable binational relationship between both countries as well as a stable climate among stakeholders thanks to ongoing information from the respective authorities (local government and leaders and Ministry of Foreign Affairs of both countries).

Changes in the cooperation relationship between the two countries, particularly with respect to environmental matters.

There will be constant emphasis on communication and information on the processes implemented throughout the project. Furthermore, there will be capacity building for all stakeholders including local government, which is crucial for the achievement of project outputs.

There are market alternatives for new timber and non-timber forest products from pine-oak forests.

There are changes in the demand for timber and non-timber forest products considered economic alternatives.

It is expected that the diagnoses and studies done before developing business alternatives will minimise investment risk.

3.5.2 Sustainability The project will build institutional capacity to manage and implement the strategy in the area, developing social, economic and environmentally sustainable business models that will become the main instruments to improve the scope of restoration actions. At the same time, it will improve access to both public and private financial instruments for ecosystem management and conservation. The project will strengthen platforms for dialogue and development of the strategy in a participatory and legitimate manner to improve their relevance. The project aims to improve the capacity of all stakeholders in both decision-making and technical expertise relating to these forests. Building an overall restoration strategy for pine-oak and highland forest ecosystem restoration will be one of the major achievements for all stakeholders in the area. The above will help establish enabling conditions for land governance and, therefore, for the sustainability of forest resources in both countries. All stakeholders will remain interested and become even more involved in the management throughout the next two phases of the project.

40

Furthermore, the direct benefits of the project are associated with the generation of sustainable economic alternatives linked to the conservation, protection, restoration and sustainable management of lands and forests, thus generating new sources of income and employment and improving the livelihood of the beneficiaries and boosting local economies. The development of, or access to existing and/or new financial mechanisms, taking into account not only goods produced by the forests but also some ecosystem services they produce, will lead to higher rates of local investment thus resulting in turn in the sustainable management of forest resources. In this section, the synergy with CONAFOR and INAB will be particularly relevant because it will help ensure short and medium-term income flows. Furthermore, the restoration of forestlands and the maintenance of biologically significant areas become an effective alternative for the reduction of social and environmental vulnerability in these areas, and an option for climate change mitigation and adaptation. The sustainability of the project is based on three important aspects:

Social sustainability: this will be achieved through the implementation of the different social participation mechanisms currently available, in both the communities and the local governments. These mechanisms will in turn become a tool for the empowerment of the population for the management and conservation of their forest resources. Furthermore, the capacity development actions will allow them to have better access to the support programs being implemented in the project area.

Institutional sustainability: through close coordination between the different government agencies responsible for forest resources, the project will allow them to promote and increase the coverage of services and programs that are currently under implementation, in addition to generating new support options for the communities.

Economic sustainability: one of the main pillars of the project is the development of economic options aimed at improving the livelihoods of the local population. The appropriate implementation of these mechanisms will improve the provision of goods and services to the region. These actions, together with efforts made by each individual country, will contribute to ensuring that both institutions and communities have increased financial resources in the medium term.

41

PART 4. IMPLEMENTATION ARRANGEMENTS 4.1 Organization structure and stakeholder involvement mechanisms 4.1.1 Executing agency and partners IUCN will execute the project, and will be fully responsible for coordination and outputs through the activities proposed, ensuring compliance with the main indicators and assumptions contained in the logical framework of the proposal. It will be supported by the government sector through the ITTO's focal points in Guatemala (INAB) and Mexico (CONAFOR), which will perform as co-executing agencies of project activities, as well as by protected area authorities (CONANP in Mexico and CONAP in Guatemala). Government forest bodies will include those that provide technical and policy guidelines for planning and implementation of project actions. Because the project will be managed in a participatory manner, community and other stakeholder involvement at the local level (municipalities and municipal councils) will be essential throughout the life of the project. The role of Municipal Councils and Municipalities will be to ensure the successful implementation of activities in their areas, but they will be responsible for leading and providing guidance on which actions and in which specific places they should be implemented. The organization structure consists of two levels:

A Steering Committee, the maximum authority of the project;

Two Dialogue and Governance Roundtables12, one in Guatemala and one in Mexico, which will provide a space for local stakeholders with the right to speak and vote to determine priorities for their area. These will operate as consultative committees for the project.

4.1.2 Project management team The project management team will be in charge of moderation, coordination, administration, implementation and monitoring of activities under the supervision of the Project Coordinator. The team will include a coordinator, 2 technical officers (1 for Guatemala and 1 for Mexico), a secretary, and an accountant-administrator. It will be supported by two experts, the first on economic valuation and business models and the second on restoration, and will be supervised by the Director of IUCN's Regional Office. The terms of reference for the project coordinator and technical officers are detailed in the annexes which also include IUCN personnel positions that will provide support for project implementation. Internationally accepted administrative and accounting guidelines will be applied, and a duly accredited external audit will be performed at the end of each year, as well as a final audit upon completion of this first phase of the project.

12 Such roundtables will be strengthened by the sustainable management of forest resources and decision making processes, and will be established during the first months of the project. They will include local authorities, governing bodies, communities and ejidos, local and non government organisations, and other key stakeholders as identified in the transboundary area.

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43

‐ Local representatives of government institutions; ‐ Representatives of local and non-governmental organizations; ‐ Representatives of the private sector and civil society.

4.2 Reporting, review, monitoring and evaluation By the end of the third month from the start of the project, the Project Coordinator will prepare the Initial Report for the first meeting of the Project Steering Committee. This report will include the detailed Yearly Plan of Operation (YPO) for the first 12 months. The YPO will be based on the Logical Framework and on activity details such as are defined in the project proposal. It will include resources needed, assign responsibility for each activity and present the plan for the implementation of activities per month or week. Every 6 months, IUCN - through ITTO's focal point in Guatemala (INAB) - will send progress reports to the ITTO Secretariat as stipulated in ITTO's relevant requirements. The consultancy reports will also be sent to the ITTO Secretariat. The final report will be sent to the Secretariat no later than 3 months after project completion. ITTO's monitoring missions will take place according to that Organization's schedule. These missions will examine project progress on the basis of compliance with the logical framework indicators, compliance with rules and procedures relating to ITTO project management, and implementation of recommendations and decisions of the Project Steering Committee. Progress in the implementation of the project will also be reported through ITTO’s online system. The Coordinator and technical team of the project will determine the most suitable method for information gathering and processing purposes, in order to successfully monitor project progress on the basis of the logical framework matrix indicators. During project implementation, there will be regular monitoring of the activities, outputs, outcomes and assumptions, measuring the indicators in the Logical Framework. The Project coordination will submit the proposed Monitoring and Evaluation (M&E) of the project at the first meeting of the Steering Committee, defining specific dates, persons in charge and places for control and monitoring. 4.3 Dissemination and mainstreaming of project learning 4.3.1 Dissemination of project results IUCN will promote project recommendations, achievements and outcomes after its implementation, through the various instruments generated by the project and the replication of successful cases. The outcomes of the project and its achievements will be communicated by the executing agency during the following phases of the project, with the support and involvement of key stakeholders in the sustainable management of pine-oak forests in the area. The persons in charge of communication in the executing agency and other bodies (forest and protected area authorities) will release the outcomes and achievements to the communities in the area in particular and to the general public, using written material, web pages and community meetings. 4.3.2 Mainstreaming of project learning This will be done using a diversity of media, starting with the publication on the Internet in both Spanish and English, through IUCN's webpage. There will be two local presentations (Chiapas-Guatemala) of the outcomes of the project, with the involvement of key stakeholders of the transboundary area, representatives of other areas with pine-oak and highland forests, the media and expert groups. The documents to be generated by the project will be distributed to key stakeholders in the sustainable management of pine-oak forests in the transboundary area, and also to organizations involved in the project, and will also be available on the IUCN webpage in Spanish.

44

ANNEX 1. Profile of the Executing Agency and collaborating agencies Official name of the international organisation: International Union for the Conservation of Nature (IUCN) Name in Guatemala: UICN Oficina Regional para México, América Central y el Caribe Address: Foundation year: 1948 Type of organization: International organization Contact person in charge of the project: German Obando Vargas, Operational Coordinator of the Forest Governance and Economics Unit Total number of permanent employees in the institution: 150 (in the regional office) Years in operation: Over 20 years in the Mesoamerican region

IUCN is the world authority on conserving nature and natural resources for people's livelihoods, setting standards, fostering policies and bringing together a diverse membership of States, government agencies and civil society for nature-based solutions to global challenges and environmental governance, aimed at sustainable development and biodiversity conservation on the ground. It produces and disseminates science-based, applied knowledge on biodiversity and its conservation, generated by its 1200 Members, its six thematic Commissions in which over 11000 members are active, and the Secretariat supported by 1000 staff in global thematic programmes and nine regional programmes. IUCN's vision is a just world that values and conserves nature. IUCN's Mission is "to influence, encourage and assist societies throughout the world to conserve the integrity and diversity of nature and to ensure that any use of natural resources is equitable and ecologically sustainable." IUCN is the foremost provider of knowledge on biodiversity and of tools and standards used to influence policies, plan conservation and guide action on the ground. The knowledge -> policy -> action link, achieved jointly through the Union, makes IUCN the world's authority on biodiversity conservation, nature-based solutions and related policy development and environmental governance. Four features summarise how IUCN works as a Union:

1. IUCN generates and disseminates credible and trusted knowledge. 2. IUCN convenes and builds partnerships for action across governments and civil society. 3. IUCN bridges local, regional and global policy and action. 4. IUCN develops standards, influences practices and builds capacity for conservation and

sustainable development. Taken together, these features make IUCN distinct from others in the conservation, environment and sustainable development arena and enable the Union, its Members and components, to deliver a common Programme. The IUCN Programme 2013–2016 aims to mobilize communities working for biodiversity conservation, sustainable development and poverty reduction in common efforts to halt biodiversity loss and apply nature-based solutions to conserve biodiversity, enhance resilience, strengthen equity, reduce poverty and so improve the wellbeing of people on this planet. During 2013-2016, IUCN will:

‐ expand efforts to halt the loss of biodiversity and link-up with efforts for poverty reduction and sustainable development;

45

‐ develop and promote nature-based solutions to global, regional and local development challenges, providing tangible livelihood benefits and conserving biodiversity;

‐ support and influence the implementation of the Strategic Plan and use the Plan to advance development goals that apply nature-based solutions to enhance people's livelihoods.

‐ The Programme builds upon IUCN’s niche as the world’s authority on biodiversity conservation, nature-based solutions and related environmental governance. It has three Programme Areas:

‐ Valuing and Conserving Nature enhances IUCN’s heartland work on biodiversity conservation, emphasizing both tangible and intangible values of nature;

‐ Effective and Equitable Governance of Nature’s Use consolidates IUCN’s work on people-nature relations, rights and responsibilities, and the political economy of nature;

‐ Deploying Nature-based Solutions to Global Challenges in Climate, Food and Development expands IUCN’s work on nature’s contribution to tackling problems of sustainable development, particularly in climate change, food security and social and economic development.

‐ The Programme promises to deliver three global results that are also adapted and applied by the IUCN regional programmes and Commissions:

1. Credible and trusted knowledge for valuing and conserving biodiversity leads to better policy and action on the ground.

2. Improved governance arrangements over natural resource management strengthen rights and deliver equitable conservation with tangible livelihood benefits.

3. Healthy and restored ecosystems make cost-effective contributions to meeting global challenges of climate change, food security and social and economic development.

For the 2013-2016 period, IUCN will continue to take active part in international environmental governance and processes, including the Strategic Plan for Biodiversity 2011-2020 and the Protocol on Access and Benefit Sharing (ABS), adopted by the UN Convention on Biological Diversity (CBD) in 2010; the UN Decade for Biodiversity; the launch of the Intergovernmental Science-Policy Platform for Biodiversity and Ecosystem Services (IPBES); efforts to meet the 2015 target for achieving the Millennium Development Goals, and negotiations under various international conventions and fora, including the UN Framework Convention on Climate Change (UNFCCC), the UN Convention to Combat Desertification (CLD), the Ramsar Convention on Wetlands, the Convention on International Trade in Endangered Species (CITES), the Convention on Migratory Species (CMS), the World Heritage Convention (WHC) and the UN Forum on Forests (UNFF). IUCN's programme builds on the Vision –a just world that values and conserves nature- and has been organised into three Programme Areas. The two Programme Areas Valuing and conserving nature, and Effective and equitable governance of nature's use, represent the heartland of IUCN's work. These are essential for biodiversity conservation and for influencing the economic, social and political processes that determine biodiversity loss, ecosystem management, nature-based livelihoods, and rights and responsibilities for nature. Under Valuing and conserving nature, IUCN will develop and use its world-class knowledge on biodiversity, and its associated tools and planning standards, to influence policy and action on the ground. Under Effective and equitable governance of nature's use, IUCN will consolidate its experience from working with people and institutions, addressing how public and private decisions on nature and ecosystems affect biodiversity and livelihoods. This will lead to a set of principles, standards and tools for nature-related rights, responsibilities, governance and equity. The third Programme Area –Deploying nature-based solutions to global challenges in climate, food and development- concerns the application of IUCN's knowledge to sustainable development, empowerment and poverty reduction. Resilient nature is fundamental to societal and economic resilience. The Programme focuses on nature-based solutions as IUCN's particular strength, not because nature provides the only solutions, but because this specialisation allows IUCN, in partnerships with others, to address a wide range of global development challenges. Nature-based solutions offer multiple benefits simultaneously to climate change (including disaster risk

46

reduction), food security, and economic and social development, but will over the course of the four-year Programme, explore opportunities to broaden this approach to sectors such as health and access to energy. The Regional Office for Mexico, Central America and the Caribbean (IUCN ORMAC) has operated continuously in the region for the past 20 years. Its main role is to coordinate and monitor the actions provided for in the Union's Programme, and to strengthen the capacities of its members, commissions and partners. Currently IUCN-ORMA has 89 members in 10 countries, including: Guatemala, Belize, El Salvador, Honduras, Nicaragua, Costa Rica, Panama, Mexico, Cuba and Dominican Republic. Members in each country usually organise National Committees to join efforts and contribute to the fulfilment of the Union's Programme. IUCN-ORMAC has the capacity to work vertically, that is to say, from the international field to the local level, and vice versa. Similarly, it is able to monitor, evaluate and support the implementation of programmes, projects, agreements and environmental regulations at the international, regional, national and local levels. It articulates scientific, technical and political capacities in order to promote its projects, provide advice and, in general, influence environmental management in the region. The Union works on every scale, from the generation of knowledge through its scientific commissions, to empowerment of local actors through field projects implemented by the Secretariat jointly with its Members, to governance which is its furthest reaching contribution, implemented through joint work with its partners to influence policy and market decision-making related to the use of natural resources. It supports government organizations throughout the region, and has worked with them to create institutions, secretariats or departments in charge of the management of natural resources and sustainable rural development; to date it has agreements and/or letters of understanding with: CONABIO-CONANP-CONAFOR-CCR in Mexico; INAB-MAGA-MARN-CONAP- Cluster Forestal in Guatemala; and others. In Mexico, IUCN is a member of the advisory committee of the National Biodiversity Council (CONABIO) and the National Forest Commission (CONAFOR) which develop and implement the National Strategy for the Restoration of Forest Landscape and implement a REDD+ pilot project in the States of Chiapas and Oaxaca. In Guatemala it is a member of the Forest, Diversity and Climate Change roundtable led by the Ministry of the Environment and Natural Resources (MARN), which develops and implements the deforestation reduction strategy. Similarly, it provides support to the National Forest Programme (PFN) in the evaluation and development of the National Forest Policy to manage instruments aimed at the improved performance of the sector and reduced deforestation, such as: the Strategy for Forest-Industry-Market Integration; the National Firewood Strategy; the National Strategy against Illegal Logging and the Development of the Forest Incentives Programme for Small Forestland Owners (PINPEP). IUCN-ORMA has been providing support to the integration of local forest manager stakeholders in the region, with whom it has extensive and recognised experience, including: Ejidos de Sur de México (southern Mexico ejidos); ACOFOP, Alianza de Organizaciones Forestales Comunitarias, Utz Che y Sotzil (Utz Che and Sotzil Community Forest Organisation Alliance) in Guatemala; and others. It also aims to integrate and support representative regional organizations such as CICA, SICA, CCAD, ACICAFOC and Alianza Mesoamericana de Pueblos y Bosques (Mesoamerican People-Forest Partnership), in order to represent them in regional and global decision fora. It supports stronger governance as the basis for the initial preparatory phase and access to funds for the formulation and implementation of REDD+ strategies by UN-REDD and the World Bank's FCPF. With the private sector, IUCN has established new partnerships leading to work with new economic agents, linking them to more efficient, effective and accountable natural resources management. In this respect, it has concluded agreements with international and regional companies including: Shell, Holcim, Minera Río Tinto, Nespresso, Danone, Panificadora Bimbo, Reforestemos México, AGEXPORT, Corporativa Cuatro Pinos, and Banrural de Guatemala. The

47

creation of these synergies has allowed IUCN to take the role of multi-sectoral dialogue roundtable that helps acknowledge the agendas of all sectors with an understanding of the magnitude and impact of each on the local, national and world population. Global Results and Indicators – IUCN Programme 2013-2016

Impact Global Results Common Impact

Indicators Global Result Indicators

The conservation status of species and ecosystems is improved.

1. Valuing and conserving nature Credible and trusted knowledge for valuing and conserving biodiversity leads to better policy and action on the ground.

The proportion of the key biodiversity areas (KBAs) effectively managed for the conservation of species, ecosystems and genetic diversity.

1.1 Extent, representativeness and connectivity of effectively managed protected areas 1.2 Proportion of identified key biodiversity areas within and outside protected areas 1.3 Number of exports of data from the IUCN Red List

Effective, just, gender responsive and equitable conservation yields tangible livelihoods benefits.

2. Effective and equitable governance of nature’s use Improved governance arrangements over natural resources deliver rights-based and equitable conservation with tangible livelihoods benefits.

Increased contribution from sustainably managed natural resources to household members.

2.1 Enhancement of institutional and governance arrangements based on a new IUCN natural resource governance framework 2.2 Extent of protected areas managed in accordance with the IUCN’s natural resource governance framework 2.3 Area (in ha.) of agriculture, fisheries and forestry managed according to IUCN’s natural resource governance framework

Global challenges (climate, food, development) are addressed through the use of nature-based solutions.

3. Deploying nature-based solutions to global challenges in climate, food, development Healthy and restored ecosystems make cost-effective contributions to meeting global challenges of climate change, food security and economic and social development.

Trends in benefits that people derive from selected ecosystem services (e.g. gender differentiated changes in security of water access and food).

3.1 Extent of incorporation of nature-based solutions in policies on climate change, food security and economic and social development at international, national and corporate levels 3.2 Extent (in ha.) of resilient and diverse landscapes sustainably managed, protected or restored for food, climate change or economic benefit 3.3 Number of governments and public/private companies that have incorporated biodiversity values into planning and/or accounting systems

48

Institutional flowchart

Comunicación

VacanteCoordinador(a)

Servicios Generales

Coordinador(a) Unidad

Unidades de Apoyo Operativo

GREG

Unidades de Apoyo Estratégico Unidades Programa Mesoamericano y Caribe

Biodiversidad y Derechos

Gobernanza Ambiental y Uso Equitativo de la

Naturaleza

Medios de Vida & Cambio Climático

María Pía HernandezCoordinador

Dirección ORMA-IC

Grethel AguilarDirectora Regional

Guillermo NavarroCoordinador

Rocío CórdobaCoordinadora

Programa

Tea García-HuidobroCoord. Regional

Gestión de Fondos

VacanteCoordinador(a)

Monitoreo y Evaluación

Jesús CisnerosCoordinador

Membresía

Ana Isabel EstradaCoordinadora

Servicios Corporativos

Viviana SánchezCoord. Regional

Unidades Directivas

Desarrollo Humano

Eugenia GuzmánCoordinadora

Finanzas

Marianella JimenezCoordinador

Oficiales Senior

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50

Name: Consejo Nacional de Áreas Protegidas (National Council for Protected Areas) - CONAP Country: Guatemala Legal grounds: Decree N. 4-89 National contact: Manuel Benedicto Lucas, Executive Secretary Telephone: (502) 2422-6700 Mission: To ensure the conservation of socially-desirable levels of biological diversity through protected areas and other conservation mechanisms in situ and ex situ, and to maintain the generation of environmental services for Guatemala's social and economic development, for the benefit of present and future generations, by developing and implementing the required policies, strategies, rules and incentives, and promoting the coordination and cooperation of stakeholders associated with biodiversity management in Guatemala. Vision: To be a modern, decentralised, autonomous and deconcentrated public person that is technically and economically sustainable, recognised nationally and internationally for its effectiveness and creativity in the conservation of the Guatemalan System of Protected Areas, SIGAP, and promoting biodiversity conservation in Guatemala. Purpose:

To foster and promote the conservation and enhancement of Guatemala's natural heritage;

To organise, lead and develop the Guatemalan System of Protected Areas, SIGAP; To plan, implement and disseminate the National Strategy for the Conservation of

Biological Diversity and Renewable Natural Resources in Guatemala; To coordinate the administration of the country's wildlife resources and biological diversity

through the relevant executing bodies; To plan and coordinate the enforcement of provisions relating to the conservation of the

biodiversity contained in international instruments ratified by Guatemala; To establish a national fund for the conservation of nature, replenished by financial

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53

ANNEX 2. Tasks and responsibilities of key experts provided by the executing agency IUCN personnel Position: Economic valuation and business models advisor Duties: To provide advice on the cost-effectiveness analysis of investments required using the restoration scheme To provide advice on the evaluation of the cost-benefit relationship of implementing management plans

with and without forest incentives and/or financial instruments (cashflow, balance and statement of income) developing projected finance needs, cost-benefit relationship, balance sheet and statement of income of identified business models

To provide advice on the formulation of business models

Requirements: Environmental / Forest sciences, conservation and restoration. Minimum three years field experience in

the development of business plans. Ability to work in a multidisciplinary team, with community involvement and inter-institutional coordination. Design and implementation of business plans and financial evaluation of projects. Proven ability to draft technical and scientific reports, process agreements and conclusions of work as a

group

Position: Restoration advisor Duties: To provide advice on the development of technical instruments to design, formulate and implement the

strategy for the restoration of the forest landscape and assess its performance. To contribute to the development of specific indicators to assess forest management in the transboundary

watershed area. To provide advice on capacity building processes relating to the restoration of forest landscape. To provide advice and guidance for the operational planning of the project

Requirements: Forester/Natural Resources engineer; desirable: Master’s degree in forest landscape management and

restoration, forest economics and governance Experience in forest management (natural and plantation forests) in Mesoamerica. Experience in aggregation processes of forest supply for industry and certification schemes. Experience working in the Mesoamerican region, particularly in the private sector, and in forest

development projects in rural and indigenous areas. Professional with high levels of initiative, commitment, a sense of responsibility and managerial skills to

formulate, manage, implement, evaluate and enhance forest development projects.

Position: Project monitoring expert Duties: To develop a tool for a monitoring and evaluation system of the pine-oak and highlands forest restoration

project at the headwaters of the Coatán River watershed between Guatemala and Mexico To moderate key personnel training in monitoring system use and input To coordinate with the Project Coordinator on the suitability of the system design. Requirements: University professional in forest, agricultural and/or environmental studies. Expertise in monitoring and evaluation systems Experience in working in forest sector activities. Expertise in computer packages.

54

ANNEX 3. Terms of reference of Personnel and Consultants and Sub-contracts funded by ITTO Position Time

Role and Activities Requirements

Project Coordinator 36 months

Officer in charge of the implementation of the project. Coordinate and supervise the project working group with a view to the delivery of intended outcomes. Prepare and implement yearly plans of operation and annual budgets. Prepare technical reports as required and participate in Steering Committee meetings. Establish and monitor working relationships with local stakeholders. Prepare terms of reference for consultants and supervise their work and delivery of products. Prepare agreements and other documents needed for the implementation of programmed activities.

Professional with regional project coordinating skills, with postgraduate degree in areas related with the project (minimum 5 years experience in project coordination). Experience in the development of tools to manage forest resources. Ability to negotiate with a diversity of groups involved in the sustainable management of forests, as well as excellent interpersonal and intercultural communication skills. Excellent organizational and leadership skills. Functional knowledge of spoken and written English. Availability to travel in the Mexico-Guatemala transboundary region.

2 technical officers 72 months

Persons in charge of the implementation and monitoring of the activities programmed in each country. Coordinate with local stakeholders in the project areas for sustainable forest management. Compile necessary information to prepare technical-administrative reports. Prepare and moderate programmed meetings and workshops.

Professionals with the ability to coordinate and lead groups of stakeholders in decision-making processes; desirable but not indispensable: postgraduate degree in a field related to the project (at least 7 years working experience). Ability to coordinate and evaluate activities on the ground. Drafting skills for technical and administrative reports and interpersonal communication. Availability to travel in the Mexico-Guatemala transboundary region.

Secretarial support Communicate, call, and ensure the participation of relevant persons in meetings as provided by the project.

Keep physical and digital records of all project-related documents.

Receive, distribute and send project-related correspondence and other documents in a timely manner, and check that addressees have received such material.

Answer telephone calls and respond to the public or officials who come to the office requesting information on the project.

Draft correspondence as required. Check the availability of office items and stationery

needed for the project. And perform any such activities as the Coordinator

and/or Steering Committee consider necessary.

Mid-level studies: Business Secretary and/or Bilingual Secretary with university education Minimum two years experience in secretarial management and administrative processes, interpersonal relationships, document management and archives, drafting letters and reports. Excellent drafting skills and spelling. Skilled in the use of computer hardware and equipment, with full command of Windows, Microsoft Office, Internet. Organization abilities

Facilitator for establishment of legitimate representative roundtables for decision making process.

Provide support in the establishment of representative and legitimate roundtables (1 Guatemala-1 Mexico) for the decision-making process on the management of forest resources in the area. Prepare a document on the establishment process of both roundtables (including minutes of meetings and a work plan for each). Carry out activities and processes that are conducive to strengthening community organisational skills in the headwaters of the Coatán River watershed.

Professional with experience in strengthening stakeholder groups for governance of the area, and experience with diverse and inter-cultural groups. Knowledge of the project area as well as of the social dynamics in the area.

Consultant with experience in forest restoration and strategic planning.

Compile laws, regulations and State policies relating to forest restoration. Analyse the scope and limitations of current rules and strategies in terms of forest restoration. Perform a general causes/ situation and problems analysis of

Environmental / Forest sciences, conservation and restoration professional. Minimum three years experience in the field in landscape restoration work.

55

the forest landscape in the area. Jointly with the roundtables established and/or strengthened by the project, identify substantive and cross-cutting themes of the strategy, according to the map of restoration potential, context and conceptual framework. Define strategic lines and actions for the areas identified in the forest restoration map. Identify strategic (SMART) indicators, trends, and gaps, and define the desirable status (goals) of the actions to be included in the strategy for a monitoring and evaluation system.

Strategic planning and theory of change. Proven experience in designing strategic plans and/or strategies for Guatemala's environmental sector. Geographic Information Systems. Experience in leading participatory processes to develop national level initiatives. Experience in the development of monitoring and evaluation indicators for instruments of public policy in natural resources.

Consultant to prepare programme and contents of training on watershed-wide land management.

Capacity building for effective and efficient involvement of the various communities in the headwaters of the watershed situated between Guatemala and Mexico, with a view to forest restoration in pine-oak and highland forest ecosystems at the headwaters of the Coatán River watershed between Mexico and Guatemala. Define capacity gaps among the various stakeholders in terms of governance development and watershed management.

Forest sciences, economics, pedagogy professional, preferably with a Master’s degree. Wide-ranging experience in training aspects and participatory methods for the development and design of training programs. Experience working with local, national and international stakeholders involved in forest management. Ability to compile information through interviews, and to analyse the results.

Consultant for the study on prioritisation of land restoration areas and proposal on conservation structure and means

Identify the most vulnerable areas. Strengthen the water resource management process through pilot projects in strategic micro-watersheds.

Forest/agricultural engineer specialised in natural resources with experience in structures and means of land, water and forest conservation.

Consultant with experience in market and economic alternatives including sustainable forest management.

Analyse the viability of sustainable economic alternatives for local communities. Create, design and execute community business plans relating to promising livelihoods (3 economic alternatives per pilot site)

Agronomist specialising in RNR or similar, postgraduate degree in markets and marketing of forest products (minimum 8 years experience working in the forest sector), with experience in viability and market intelligence studies, as well as in the implementation of forest product business plans. Knowledge of participatory methods.

Consultant with experience in business plan development

Develop identified models to perform restoration in non-forest areas, where parent plants are already growing wild and pinabete is established.

Agronomist specialising in RNR or similar, postgraduate degree in forest management (minimum 8 years experience working in the forest sector), with experience in economic development and analysis of forest management as well as in-the-field work tools.

Training assistant for capacity building in business plan design and implementation

Train key stakeholders in all aspects relating to business models associated with forest restoration. Prepare training workshop reports (including training material).

Agronomist specialising in RNR or similar, postgraduate degree in forest management (minimum 8 years experience working in the forest sector), with experience in, and/or knowledge of mixed forests and forest management of relevant species. Ability to train diverse groups.

Preparation of management plans for protection, sustainable management, and restoration of forest cover and agroforestry systems (4000 hectares)

Prepare sustainable management plans for pine-oak and highland forests in the project area (4000 hectares).

Consultant and/or consulting company with proven experience (minimum 8 years) in the design of forest management plans and their approval by forest authorities.

ANNEX 4: L

Letter of enddorsement ffrom CONA

56

AFOR

ANNEX 5: L

Letter of support from P

PRONATUR

58

RA

59

ANNEX 6: Letter of support from the National Forest Institute – INAB

ANNEX 7: L

Letter of support from t

the Delegati

60

ion of the MMinistry of thhe Environmment of San

Marcos

ANNEX 8: CORNASA

Letter of suM

upport from

m the Institu

61

utional Coordinator of Natural Ressources of San Marcos

s,

62

ANNEX 9: Letter of support from the Esquichá River Micro-Watershed

ANNEX 10:

: Letter of suupport fromm the Nationa

63

al Council ffor Protectedd Areas - COONAP

64

ANNEX 11: Recommendations of the 49th ITTO Expert Panel

No. Recommendation Modification(s) made Page(s)

0 General comments The panel observed that the proposal will establish the foundation of joint restoration work with the communities, municipalities, government, institutions, NGOs, etc. However, it noted that close to 80% of the cost are covered by ITTO, and that the roles, responsibilities and capacities of the collaborating agencies have not been described in any detail, the maps of the project´s area of influence are small and lack of clarity, and that the both Mexican and Guatemalan environmental and forestry authorities basically sit on the sidelines and are not directly involved in the implementation of the project, not even in determining the necessary legal and regulatory frameworks for the restoration strategy as contained in output 1. In addition, even though this proposal is of a trans boundary nature in its overall context, none of the two countries ministries of foreign relations appear to be aware of it and even less expressed their support for at least the activities which are binational nature. The stakeholder analysis also appears to be incomplete, as there is no mention of IUCN as a stakeholder involved in the implementation of the project. As regards the logical framework, the indicators are quite vague, and while these are mainly focused on community-.based pilot sites, no clear descriptions of these are available in the proposal. Besides it is no clear the proposal was formulated in a participatory manner with the beneficiary communities of the project´s area of influence. The proposal also lacks any information regards land tenure, and it is no clear if the communities and/or individual families possess clear land titles on either side of the border or are considered squatters or otherwise. Current land use is also not clear described. Likewise the logical framework lacks specific qualitative and quantitative SMART indicators, both at the objectives and outputs levels. Moreover it is no clear what is to be achieved in Guatemala, and what is to be achieved in Mexico. Baseline information on forest cover and other indicators is lacking. The project´s organization chart is also missing, and should be included to clear reflect the roles the executing agency and collaborating agencies will play and the interaction between these and the all stakeholders. Besides, it is no clear how the communities and their local governments will be involved in the activities of the project. Besides of participating in the roundtables, not much more is thought of them, and are nor even included in the project´s steering committee, while the Mexican and Guatemalan environmental and forestry authorities, that do not provide any direct inputs not any counterparts

The entire document was reviewed in order to respond to the comments and recommendations made by the Expert Panel. The project title was changed to take account of binational environmental policies promoted by the Ministries of Foreign Affairs of both countries. A reduction of $190,000.00 in ITTO's budget has been made, and the IUCN's counterpart budget has been increased. The role of Collaborating Agencies has been clarified with a description of their relevant roles and duties. More basic information has been included to expand on the description of the local population in the project area, land tenure, cultural relationship with the forest, forest cover and type, as well as type of management currently implemented in the project area. The Problem and Objectives Trees and the Logical Framework of the project were analyzed, which improved and changed the objectives, outputs and their respective indicators, in order to present short-term changes and outcomes of the project more clearly, and how it will contribute to long-term changes in the area. Furthermore, the map of the project was improved to make it clear that the municipalities and municipal councils in this project are different from those in project PD 668/12 (F). However, it is believed that it is crucial to establish clear coordination processes because of the closeness of both work areas and the potential that a good coordination between both projects could generate; therefore, the project coordination will be invited to participate in governance roundtables and examine the proposal to link those that have been implemented by the other project.

N/A

65

funding, will co-manage the implementation of the project. As such, it seems that the project is structured a top-down approach in mind. Last but not least, the proposal does not mention the currently ongoing ITTO project PD 668/12(F) “Integrated Management of Natural Resources and Biodiversity in the Tacaná Volcano and Its Range of Influence in México and Guatemala”, which is basically operating in the exact same trans boundary location and implementing similar and possibly overlapping activities, such as roundtables. Every effort should be made to create synergies between these so as to tightly coordinate the implementation of their activities.

1 Explain how and to what extent the Project will contribute to the objectives of the ITTO Strategic Action Plan 2013-2018

A description has been included of the direct contribution of the project to the priorities of ITTO's Strategic Action Plan 2013-2018.

4

2 Provide baseline information regards forest cover and its degradation, and current forest management practices in place in the project´s area of influence

The description of social, cultural, economic and environmental aspects of the target area of the project has been improved to include the information requested.

9-11

3 Provide information on the specific role, responsibilities and capacities of the different institutions and agencies participating in project implementation under sub-section 2.1.1 (Institutional set-up and organization issues)

More detail has been provided on the roles and duties of agencies participating in the project. 12

4 Include IUCN as a secondary stakeholder in table 2 (stakeholder involved) The description and key project stakeholder table have been improved and now include IUCN as a secondary stakeholder.

13-16

5 Consider INAB and CONAFOR as the project´s executing agencies in Guatemala and México, rather than IUCN, due the fact that latter cannot deal with political issues and governance. IUCN should provide technical assistance and financial support

Following an analysis and discussion of the subject with INAB, this institution is not considered relevant, since it does not have jurisdiction to coordinate actions at the binational level; it is believed that IUCN can cooperate by assuming the role of moderating body for project actions, in close coordination with government bodies. This is why it has letters of endorsement from Mexican and Guatemalan bodies.

56-60

6 Provide more information on the tenure rights of the local communities participating in the project to support their community-based restoration plans

The description of social, cultural, economic and environmental aspects of the target area of the project has been improved to include the information requested.

9-11

7 Apply the ITTO Guidelines for Restoration, Management and Rehabilitation of Degraded and Secondary Tropical Forests during the implementation of the project, and include in the project activities

Reference has been made to the ITTO Guidelines with a description of the priority principles that will be specifically included in the implementation of project activities.

24,25

8 Clearly describe which activities and outputs are of a binational level, and which ones are of a national nature

The project will be implemented to respond and execute actions in the priority area, so all project actions are binational in nature. There are no activities to be implemented in one of the countries and not in the other; activities will be implemented in the target area of the project without a reference to the country where they are situated.

22,23

66

9 Provide detailed descriptions of all training/workshops components to be implemented by the project. Include these workshops as activities I the work plan. Clearly indicate the technical topics to be covered, the targets audiences and indicate number of participants, the number and duration of the courses, their importance and expected impacts among communities

As stipulated in the Manual, the project budget is broken down by number of participants, duration and theme of the workshop. Because the workshops are focused on community empowerment and capacity building to implement project actions, they are part of project activities and not separate activities.

27-38

10 Create additional activity 3.4 raising awareness of stakeholders and communities on the importance of FLEG and SFM.

The activity has been included. 22,23

11 Activity 3.3 Should use focus on developing a full plan, rather than a draft, to reduce extensive grazing, as the time frame is adequate and implementing this plan in the field

The recommendation has been included 22,23

12 Consider separate activities and ITTO Budget expenditures by country in order to facilitate ITTO monitoring and review and financial audits

Because all project actions are of a binational nature, it was not considered appropriate to make the distinction.

27-38

13 Scale down the ITTO Budget by providing a more equitable balance between the ITTO and counterpart contributions towards the overall Budget, Further include un counterpart funding all personnel that must be permanently staff the national, regional and local institutions units during and after project completion in order to provide for the sustainability of the outcomes of this project in the long term

The entire budget was revised, with a considerable reduction in the ITTO budget; furthermore, personnel costs were transferred to the IUCN budget in order to produce a more balanced budget.

27-38

14 Consider setting up the rotation of the project steering committee meetings between Guatemala and Mexico, and include representative (s) of donor (s) and other prominent stakeholder in the member list of project steering committee

This observation has been addressed by modifying the text for the rotation of the project steering committee meetings and including donor representative(s) among the steering committee members.

42

15 Provide a project organizational chart sub sections 4.1.1 (Executing Agency and Partners), highlighting the roles and contributions of all involved institutions and stakeholders

A description of the roles and contributions of all institutions has been included. 41

16 Include an Annex that shows the responses to the above overall assessment and specific recommendations and respective modifications in tabular forma. Modifications should also be highlighted (bold and underlined) in the text.

The Annex was included, and the new text was presented in bold and underlined, to respond to the Expert Panel's recommendations.

N/A

67

ANNEX 12: Recommendations of the 50th ITTO Expert Panel

No. Recommendation Modification(s) made Page(s)

1 Include information on the geographic location of the target area (Sub-section 1.3.1).

A brief description was included on the characteristics of the area where the project will be implemented, adding more details to the information contained in the following sections regarding social, economic, environmental and cultural aspects.

8

2 Reformulate Activity 2.4 so as to fully cover development and implementation of a plan and pilot actions to reduce extensive grazing, as recommended by the Panel at its previous meeting (related to Recommendation 11).

This activity was reformulated following the recommendation of the 49th and 50th Expert Panels. 23

3 Maintain consistency in the description of activities between the list of activities (Sub-section 3.1.2), work plan on page 26 (Section 3.3) and master budget schedule on Pages 27-32 (Sub-section 3.4.1)

Text consistency was reviewed and drafting errors were corrected.

23, 26,27-32

4 Reduce the percentage of personnel cost in the ITTO budget, which is currently 54.6% excluding monitoring and review cost, ex-post evaluation cost and ITTO programme support cost, by shifting the cost of some technical experts to the Executing Agency budget and/or reviewing the need of technical reports (Sub-section 3.4.3).

After a review by the team of consultants, cost adjustments were made leading to the reduction of project personnel costs, in particular those included in the ITTO budget, which now amount to only 46%.

35-36

5 Correct the number of the meeting of the Expert Panel in the title of Annex 11 from 50th to 49th

The relevant correction was made. 64

6 Further elaborate the means to ensure sustainability of the project results (Sub-section 3.5.2).

The description of the means to ensure project sustainability was improved and enhanced.

40

7 Clarify the membership of the Steering Committee (Sub-section 4.1.3). There is inconsistency in the text between Page 12 and Page 42 regarding the membership of CONANP, CONAP and municipal councils concerned.

The membership of the Project Steering Committee was increased with the participation of CONAP and CONANP, thus ensuring consistency with the text included in other project chapters.

42

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