Round_1_CN_Comments_Nov_15_2016_Biodiversity_Scope_of_Work_Nov_2016_Final.pdf

Draft Scope of Work

Draft Scope of Work Issue Date: November 15, 2016

Solicitation Number: SOL-520-17-000002

Response Due: Tuesday, December 6, 2016 at 5:00 pm (Guatemala time)

Attention: guatemalaproposals@usaid.gov; cnastoff@usaid.gov

This is a Draft Scope of Work (SOW) and is not to be construed as a commitment by the U.S.

Government to issue any solicitation or ultimately award a contract on the basis of this draft SOW

, or to pay for any information submitted as a result of this request. If a solicitation is released, it will be synopsized in FedBizOpps. It is the potential offeror's responsibility to monitor these sites for the release of any solicitation or synopsis. It should be noted that responding to this draft

SOW will not give any advantage to any firm or organization in the subsequent procurement.

This Draft SOW is to obtain comments from industry related to “USAID/Guatemala Biodiversity Project”.

Both U.S. and Non-US organizations may submit comments.

Responses

The information USAID/Guatemala is seeking from the public for the RFI is below:

1. Comments on Draft Outline Scope of Work

To assist in the efficiency of this process, please consider the following in preparing your input:

Please ensure comments are concise and specific to information included within the draft Scope of Work, Please ensure submitted comments make specific reference to page and section numbers.

Please note USAID is not seeking technical or cost proposals at this time. Do not submit a full proposal.

Only the information requested above will be considered.

Please send all responses to this RFI via email to guatemalaproposals@usaid.gov and cnastoff@usaid.gov by 5 pm (Guatemala time) on December 6, 2015. .

mailto:guatemalaproposals@usaid.gov;

mailto:guatemalaproposals@usaid.gov mailto:cnastoff@usaid.gov

Comments/Questions

Comments and questions regarding this announcement must be submitted in writing by e‐mail to guatemalaproposals@usaid.gov and cnastoff@usaid.gov. Verbal comments/questions will NOT be accepted. USAID will not be responding to comments/questions based on this SOW. USAID will take all comments/questions into consideration when preparing the final RFP, to be released at a later date. The Government does not guarantee that comments/questions received after December

6, 2016 at 05:00 p.m. (local time) will be taken into consideration.

Submissions become Government property and will not be returned. Thank you for your assistance and interest in USAID.

Sincerely, Charis Nastoff

Contracting Officer mailto:guatemalaproposals@usaid.govc mailto:cnastoff@usaid.gov

USAID/Guatemala Biodiversity Project

LIST OF ACRONYMS

CBD Convention on Biological Diversity

CECON Center for Conservation Studies

CEN U.S. Strategy for Engagement in Central America

CONAP National Council of Protected Areas

COP Chief of Party

COR Contracting Officer’s Representative

DCOP Deputy Chief of Party

DIPRONA Natural Resource Division of the National Police

DO Development Objective

EA Environmental Assessment

ECR Environmental Compliance Report

EMMP Environmental Mitigation and Monitoring Plan

GCC Global Climate Change

GOG Government of Guatemala

IEE Initial Environmental Examination

IR Intermediate Result

INAB National Forestry Institute

IUCN International Union for Conservation of Nature

IUU Illegal, Unreported, and Unregulated Fishing

M&E Monitoring and Evaluation

MAGA Ministry of Agriculture

MARN Ministry of Environment

MBR Maya Biosphere Reserve

MPA Marine Protected Area

NGO Non-governmental Organization

PES Payment for Ecosystem Services

PPP Public-private Partnership

SDG Sustainable Development Goals

SIGAP Guatemala’s System of Protected Areas

SMBR Sierra de las Minas Biosphere Reserve

TOC Theory of Change

UN United Nations

UNFCCC United Nations Framework Convention on Climate Change

UNIPESCA Management Unit for Fish and Aquaculture

USG United States Government

DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK

USAID/GUATEMALA BIODIVERSITY PROJECT

C.1 Activity Purpose

USAID’s environmental strategy in Guatemala seeks to improve management of natural resources to mitigate the impacts of global climate change. In support of this goal, this five-year, $15 million project will build national capacity to improve management and governance throughout Guatemala’s System of Protected Areas (SIGAP), and pilot interventions in three protected areas. This project will employ a focused strategy that improves conservation approaches through better information on key species and ecosystems, supports national and sub-national policy and legislative reforms, builds capacity for effective enforcement and prosecution, and engages local stakeholders in conservation initiatives.

C.2 Background and Development Challenge

C.2.1 Background

Biodiversity underpins ecosystem functioning and the provision of ecosystem services essential to human well-being. It contributes to food security, clean air and water, local livelihoods, and economic development.

Creating and maintaining protected areas is a fundamental approach to biodiversity conservation – maintaining key habitats, allowing for species migration and movement, ensuring the maintenance of natural processes across the landscape, and supporting livelihoods. Protected areas are also essential to meeting ambitious global conservation and climate change targets, including Nationally Determined Contributions under the United Nations

Framework Convention on Climate Change (UNFCCC) Paris Agreement and commitments to ensure ecologically representative protected areas under the Convention on Biological Diversity

(CBD). In order to be successful, protected areas must be integrated into the wider landscape and seascape, and incorporated into national accounting and decision-making. Despite their role in safeguarding biodiversity and sustaining livelihoods, protected areas are often understaffed, underfunded, and beleaguered in the face of external threats.

Weak governance of protected areas is a driver of ecosystem and biodiversity degradation.

Good governance is the foundation of effective, efficient, and equitable protected area management.

Protected area management that is appropriate for the context, transparent, and

1 Woodley, S., Bertzky, B., Crawhall, N., Dudley, N., Londoño, J. M., MacKinnon, K., . . . Sandwith, T. (2012, September).

Meeting Aichi Target 11: What Does Success Look Like for Protected Area Systems? Parks, 18(1), 23-36. Retrieved October 4, 2016, from https://cmsdata.iucn.org/downloads/parks_woodley_1.pdf.

2 Le Saout, S., Hoffmann, M., Shi, Y., Hughes, A., Bernard, C., Brooks, T. M., . . . Rodrigues, A. S. (2013, November 15).

Protected Areas and Effective Biodiversity Conservation. Science, 342(6160), 803-805. Retrieved October 3, 2016, from http://science.sciencemag.org/content/342/6160/803.full 3 Governance is the process by which decisions are made and carried out through formal legal and regulatory systems and informal elements at many scales and sectors of society. Governance includes the rule of law, public-sector accountability, communication with citizens, anti-corruption measures, and the ability to deliver goods and services. Governance impacts the rights, use, and access to natural resources, making it a key leverage point for conservation action. Improvements in governance can also be a clear benefit of biodiversity activities.

(https://www.usaid.gov/sites/default/files/documents/1865/USAID%20Biodiversity%20Policy%20-%20June%202015.pdf) accounts for sustainable livelihoods and the rights of the people concerned can support lasting conservation results that contribute to sustainable economic development goals.

Experience with natural resource governance suggests that decisions are most effective when they engage a wide range of stakeholders, utilize diverse information sources, and incorporate lessons learned.

Therefore, the process of understanding and improving natural resource governance is at the heart of effective conservation.

The CBD, under its Programme of Work on Protected Areas, notes the importance of protected areas to national and global biodiversity strategies, and to the achievement of the CBD’s three objectives: (i) to conserve biological diversity; (ii) sustainably use its components; and (iii) equitably share the benefits arising from biodiversity.

The growing importance of governance to protected area management was underscored by the CBD’s Strategic Plan for Biodiversity 2011-

2020, which included 20 targets collectively known as the “Aichi Targets.” Target 11 directly addresses protected areas and states that “By 2020, at least 17 percent of terrestrial and inland water, and 10 percent of coastal and marine areas, especially areas of particular importance for biodiversity and ecosystem services, are conserved through effectively and equitably managed, ecologically representative and well connected systems of protected areas and other effective area-based conservation measures, and integrated into the wider landscape and seascapes.”

This target addresses multiple facets of protected areas including increased coverage, connectivity, management, governance, and equity.

Protected areas are also important to the achievement of the United Nations (UN) Sustainable Development Goals (SDG). In particular, SDGs 14 and 15 seek to conserve and sustainably manage marine and terrestrial resources and ecosystems.

C.2.2 Development Challenge

Guatemala is one of the most ecologically diverse nations on the planet, with 14 different eco-regions ranging from mangrove forests to subtropical and tropical rainforests, cloud forests and mixed pine-oak forests. This biological diversity is due to Guatemala’s geographic position along the land bridge between North and South America and between the Pacific and Atlantic

Oceans, as well as immense altitudinal variation that has created diverse microclimates and high levels of species endemism. A total of 10 physiographic regions, seven biomes, 14 ecoregions, 66 ecosystems, and 14 life zones have been identified in the country. Guatemala is home to the largest protected area in Mesoamerica, the Maya Biosphere Reserve (MBR), which forms the heart of the Selva Maya – a tropical forest expanse spanning Belize, Guatemala, and Mexico. In eastern Guatemala, Sierra de las Minas Biosphere Reserve (SMBR) is home to the country’s

4 Borrini-Feyerabend, G., Dudley, N., Jaeger, T., Lassen, B., Pathak Broome, N., Phillips, A., & Sandwith, T. (2013).

Governance of Protected Areas: From understanding to action. IUCN. Retrieved September 20, 2016, from http://cmsdata.iucn.org/downloads/governance_of_protected_areas___from_understanding_to_action.pdf 5 Swiderska, K. (n.d.). The Governance of Nature and the Nature of Governance: Policy that works for biodiversity and livelihoods. IIED. Retrieved October 27, 2016, from http://pubs.iied.org/pdfs/14564IIED.pdf 6 Programme of Work on Protected Areas. (n.d.). Retrieved September 5, 2016, from https://www.cbd.int/protected/pow/learnmore/intro/ 7 Strategic Plan for Biodiversity 2011-2020 and the Aichi Targets. (n.d.). Retrieved October 27, 2016, from https://www.cbd.int/doc/strategic-plan/2011-2020/Aichi-Targets-EN.pdf 8 Woodley, S., Bertzky, B., Crawhall, N., Dudley, N., Londoño, J. M., MacKinnon, K., . . . Sandwith, T. (2012, September).

Meeting Aichi Target 11: What Does Success Look Like for Protected Area Systems? Parks, 18(1), 23-36. Retrieved October 4, 2016, from https://cmsdata.iucn.org/downloads/parks_woodley_1.pdf.

United Nations Sustainable Development Goals (n.d.). Retrieved November 8, 2016 from https://sustainabledevelopment.un.org/?menu=1300 largest remaining cloud forest as well as a diverse range of birds, mammals, amphibians, and reptiles.

Guatemala also has important ecosystems on both the Pacific and the Atlantic coasts. Along the

Pacific Coast, Guatemala’s coastal-marine zone is rich in mangrove ecosystems and is a significant nesting site for several species of sea turtles. The country’s considerable natural resource endowment is complemented by the remains of ancient Maya cities – most notably

Tikal within the MBR. Due to its significant biological and cultural diversity, Guatemala was recognized as a megadiverse country during the 10 th

Conference of the Parties to the CBD convened in Nagoya, Japan in 2010. As a signatory to the CBD, Guatemala has committed to safeguarding ecosystems, species, and genetic diversity through effective, representative, and sustainably managed protected areas.

Guatemala’s early protected areas sought to preserve areas of scenic beauty, recreational interest, and major archaeological sites. Over time, protected areas evolved in purpose to preserve ecosystem functions and conserve biological diversity. The 1989 Protected Areas Law established the Guatemalan SIGAP, as well as the National Council of Protected Areas

(CONAP). CONAP, the entity that coordinates the SIGAP, is responsible for the conservation, protection, and improvement of Guatemala’s natural patrimony. The SIGAP is the principal mechanism through which in situ conservation is implemented in Guatemala, and its objectives are to conserve biodiversity and protect representative samples of the country’s ecosystems. The

SIGAP currently includes 328 protected areas under different management categories and covers approximately 31 percent of the national territory.

These protected areas are a crucial resource for Guatemalan society, owing to the multiple ecosystem services and livelihood benefits they generate. Apart from their intrinsic beauty and importance to scientific inquiry, these natural resources represent the potential for significant income through sustainable forestry and fisheries, sustainable tourism, and other ecosystem services. Despite their rich biological resources, contribution in terms of ecosystem services, and crucial importance to livelihoods, Guatemalan protected areas are under pressure from a number of threats, and suffer from chronic underfunding, insufficient human resources for management and protection, and limited institutional capacity.

While Guatemala has several laws and policies dedicated to sustainable natural resource use and conservation of biodiversity and the environmental services it provides, institutional limitations inhibit successful conservation outcomes. Environmental policies at times lack the clarity needed for effective implementation, and there tends to be overlap in the jurisdiction of key policies.

Roles and responsibilities for planning and monitoring are dispersed among various government agencies – CONAP, the Ministry of Agriculture (MAGA), the Ministry of Environment

(MARN), the National Forestry Institute (INAB), among others – which can complicate management and enforcement of laws, regulations, and management plans. Similarly, while some non-governmental organizations (NGOs) and institutions have carried out critical scientific research, it is often in the absence of broader initiatives. Thus there is a need to define institutional responsibilities and objectives in a manner that encourages collaboration and orients activities towards shared conservation goals.

10 Aichi Biodiversity Targets. (n.d.). Retrieved October 27, 2016, from https://www.cbd.int/sp/targets/ 11 Protected Areas. (n.d.). Retrieved July 15, 2016, from http://www.conap.gob.gt/index.php/sigap/areas-protegidas.html

Beyond government institutions with a mandate to implement conservation priorities, there are various NGOs, civil society and private sector actors with a stake in protected area management.

These actors play a crucial role in implementing and sustaining conservation priorities. NGO and institutional co-administrators of parks throughout the SIGAP fill gaps where the Government of

Guatemala (GOG) has limited presence and resources. Significant benefits could be realized by ensuring greater collaboration between GOG institutions such as MARN, CONAP and INAB, and NGO and institutional partners on a number of protected area management and enforcement activities.

Further, all of the national and municipal agencies responsible for administering environmental management suffer from a severe lack of funding to carry out the extensive mandates placed upon them. Monitoring, enforcement, and decision-making are particularly constrained by the lack of reliable data on the state of key ecosystems and species and the threats impacting them.

The limited resources allocated for environmental management constrains efforts to control illegal activities, enforce existing legislation, and regulate public assets that fall under the jurisdiction of national and local governments. Guatemala’s protected areas are most directly impacted by this ongoing lack of human and financial resources. If trends impacting protected areas continue, Guatemala may lose substantial conservation gains made over the past decades.

To enhance environmental governance of protected areas in Guatemala and mitigate the threats to key ecosystems and species within, this project will build national capacity to improve management and governance throughout Guatemala’s SIGAP, and pilot interventions in three protected areas. The MBR, SMBR, and protected areas along the Pacific Coast are the pilot areas for this activity. This project will employ a targeted approach to bolster protected area management and governance by improving science-based information on key species and ecosystems, supporting national and sub-national policy and legislative reforms, increasing capacity for effective enforcement and prosecution of crimes committed within and around protected areas, and improving conservation outcomes through engagement at the local level.

National Level Approach

Sound policy and a government with the political will, capacity, and resources to maintain effective governance within and around protected areas are critical to long-term conservation success. Insufficient resources and capacity in the responsible institutions to achieve their mandates have impacted the ability to effectively formulate and carry-out GOG national-level conservation planning. In response, this project will include interventions to address gaps throughout Guatemala’s SIGAP by strengthening relevant oversight institutions, advocating national policy and legislative reform, and supporting mechanisms for institutional coordination and better use of scientific information. This national approach will also facilitate the replication of successes beyond the three pilot protected areas, and in so doing, support the achievement of national and international conservation goals.

12 This includes existing and proposed marine protected areas along the Pacific Coast: 1) Monterrico Natural Reserve (current);

2) Sipacate-Naranjo National Reserve (current); 3) La Chorrera Private Natural Reserve (current); 4) Hawaii Multiple-use Area

(current); and 5) Las Lisas-La Barrona Multiple-use Area (proposed).

Subnational Level Approach

1) Maya Biosphere Reserve

At nearly 2.1 million hectares, Guatemala’s MBR is the largest protected area in Mesoamerica and home to around 180,000 people, as well as globally important biodiversity and cultural heritage. The reserve is also the site of the community forest concessions, an internationally renowned example of forest management with the twin aims of conservation and economic development. The MBR is divided into three zones to allow for varying degrees of resource management: (1) the Core Zone (36 percent of the reserve), consisting of national parks, allowing only for scientific research and tourism; (2) the Multiple-Use Zone (40 percent), in which low-impact natural resource management activities are permitted; and (3) the Buffer Zone

(24 percent), a 15-kilometer band along the southern border of the MBR, where a range of land management activities are allowed. There is great variability in terms of the level of investment and management among Core Zone units, with parks such as Tikal benefiting from a stronger government presence. Although the MBR has received assistance from donors and local and international NGOs, it is still vulnerable to threats driving forest conversion and jeopardizing conservation outcomes. The chief driver of deforestation in the MBR is livestock ranching, in some cases believed to have connections to organized crime. Parks in the western half of the reserve are particularly vulnerable to the expansion of cattle ranching, due to the presence of extensive wetlands and a lack of resources to support monitoring and enforcement.

Forest fires, both human-induced and natural, are also a threat throughout the reserve. Historically, there has been a culture of impunity towards crimes committed within the MBR due to limited government presence and enforcement throughout the reserve. As a result of ongoing donor support to the foundations of environmental governance, and with the advent of a specialized environmental court and prosecutor’s office, there is a growing momentum for awareness and prosecution of environmental crimes committed within the MBR. Inclusion of the MBR under this project reflects the international and biological significance of this reserve.

It also reflects

USAID/Guatemala’s ongoing commitment to biological monitoring, sustainable livelihoods, and governance activities within the reserve.

2) Sierra de las Minas Biosphere Reserve

Located in eastern Guatemala, the SMBR is home to the country’s most pristine cloud forest.

Like the MBR, the SMBR is divided into three management zones: (1) the Core Zone; (2) the

Multiple-use Zone; and (3) the Buffer Zone. The reserve provides critical ecosystem services to the region and influences the climate in adjacent areas, as well as the water supply in the

Polochic and Motagua Valleys. Sixty-three rivers originate in the reserve, and serve as a water source for more than 500,000 people. The SMBR’s geographic isolation and enormous altitudinal variation have given rise to 885 species of mammals – including pumas, jaguars, and ocelots – and more than 400 bird species, including the quetzal, the peregrine falcon, and the horned guan. The mountain range also harbors rich jade and marble deposits that have been

13 Hodgdon, B. D., Hughell, D., Ramos, V. H., & McNab, R. B. (2015, February). 2000-2013: Deforestation Trends in the Maya

Biosphere Reserve, Guatemala. Retrieved October 27, 2016, from http://www.usaid-cncg.org/wp-content/uploads/2015/03/MBR-

Deforestation_150213-2.pdf 14 The Maya Biosphere Reserve is a UNESCO-recognized reserve under the Man and the Biosphere Programme.

(http://www.unesco.org/mabdb/br/brdir/directory/biores.asp?code=GUA+01&mode=all) mined throughout the centuries. Local environmental NGO Defensores de la Naturaleza co-administers the SMBR with CONAP, and has been a driving force behind conservation efforts in the reserve over the past 25 years. The threats to key ecosystems and species, however, are mounting. Forest fires have been particularly severe in recent years, along with hunting and abuse of timber harvesting licenses. Unregulated jade mining in the heart of the reserve has also become a troubling trend. Inclusion of the SMBR under this project reflects the international and biological significance of this reserve, as well as USAID/Guatemala’s ongoing commitment to the SMBR and associated biological monitoring and related activities.

3) Pacific Coast

Guatemala’s Pacific Coast includes three ecoregions – Central American dry forests, Tehuantepec-el Manchon mangroves and dry northern mangroves from the Pacific Coast, and the Chiapas-Nicaragua ecoregion. Additionally there are four ecosystems – natural scrub, deciduous and semi-deciduous forest, mangroves and wetlands – and five coastal-marine ecosystems – estuaries, herbaceous wetlands, coastal lagoons, sandy beaches, and muddy beaches. Mangroves are the most representative ecosystem along the Pacific Coast. This region also harbors an estimated 1,012 species of fauna.

The Pacific Coast provides many ecosystem services, including water filtration, protection against flooding, nurseries for commercially important fish and invertebrates, and recreational activities. However, a lack of research and valuation of these ecosystem services has led to their exclusion from economic cost-benefit analyses and decision-making processes and consequently has encouraged unsustainable practices. For example, few commercial and artisanal fishing operations are registered with

MAGA’s Management Unit for Fish and Aquaculture (UNIPESCA), and marine protected areas

(MPAs) have few park guards and field technicians available to monitor vast marine ecosystems.

Guatemala’s Pacific Coast has also been a significant nesting site for olive ridley and leatherback sea turtles, both categorized as Vulnerable by the International Union for Conservation of Nature

(IUCN) Red List.

Despite this precarious status, almost all sea turtle nests are poached and the eggs sold in local markets. Local NGOs and co-administrators, including ARCAS and the San

Carlos University’s Center for Conservation Studies (CECON), have led the initiative in sea turtle conservation and research. Despite these efforts, there is an ongoing need for scientific data, and better coverage and coordination among official and unofficial sea turtle hatcheries.

Further, mangrove forests have routinely been harvested for firewood and construction materials, with minimal regulation or oversight. MPAs have traditionally been excluded from conservation initiatives in Guatemala, and thus it is difficult to estimate ecosystem and species status. In the absence of robust, verifiable data, strong enforcement, up-to-date laws and policies, and strong engagement from local communities and the private sector, it is impossible to conserve MPAs along the Pacific Coast. The inclusion of MPAs along the Pacific Coast supports the GOG’s

CBD commitments to analyze and address gaps in representative ecosystems within the SIGAP.

It also reflects USAID/Guatemala priorities to improve management of natural resources for enhanced conservation and livelihood outcomes.

15 The Sierra de las Minas Biosphere Reserve is a UNESCO-recognized reserve under the Man and the Biosphere Programme.

(http://www.unesco.org/mabdb/br/brdir/directory/biores.asp?code=GUA+02&mode=all) 16 Biodiversidad Marina de Guatemala: Análisis de Vacíos y Estrategias de Conservación. (November 2009).

17 The IUCN Red List is the world's most comprehensive inventory of the global conservation status of biological species

(http://www.iucnredlist.org/).

Figure 1. Pilot Protected Areas for USAID/Guatemala Biodiversity Project

C.3 Biodiversity Funds

This project will be implemented primarily with congressionally mandated Biodiversity

Conservation funds. Activities using Biodiversity funding must meet the criteria of the

Biodiversity Code as outlined in the USAID Biodiversity Policy.

The Code comprises four criteria, all of which must be met to be considered eligible for a Biodiversity activity:

18 USAID Biodiversity Policy

(https://www.usaid.gov/sites/default/files/documents/1865/USAID%20Biodiversity%20Policy%20-%20June%202015.pdf)

1. The Activity must have an explicit biodiversity objective; it isn’t enough to have biodiversity conservation result as a positive externality from another program.

2. Activities must be identified based on an analysis of drivers and threats to biodiversity and a corresponding theory of change;

3. Site-based activities must have the intent to positively impact biodiversity in biologically significant areas; and

4. The Activity must monitor indicators associated with each stated theory of change for biodiversity conservation results.

Implementation of this Activity must be based on a clearly articulated Theory of Change (TOC) that explains the causal relationship connecting proposed interventions with intended biodiversity conservation results. It is also a requirement to monitor indicators associated with those TOCs, to understand the project’s progress and to allow for adaptive management. Post award, during development of annual work plans and the Monitoring and Evaluation (M&E) plan, the Contractor will work with USAID/Guatemala to fully develop and agree upon a set of

TOCs and associated indicators, subject to approval by the Contracting Officer’s Representative

(COR).

C.4 Relationship to United States Government (USG) Priorities, CDCS, & Other Projects

C.4.1 Relationship to USG Priorities

USAID/Guatemala’s Biodiversity Project supports the U.S. Congressional Directive to Conserve

Global Biodiversity, Executive Order 13648 on Combating Wildlife Trafficking, and the

Presidential Memorandum on Establishing a Comprehensive Framework to Combat Illegal, Unreported, and Unregulated (IUU) Fishing and Seafood Fraud.

USAID/Guatemala’s Biodiversity Project also supports the objectives of the U.S. Strategy for

Engagement in Central America (CEN Strategy).

The three overarching areas for action of the

CEN strategy are as follows: (i) prosperity and regional integration; (ii) enhancing security; and

(iii) improved governance. Along with the CEN strategy, the governments of El Salvador, Guatemala, and Honduras created and committed to the Plan of the Alliance for Prosperity in the

Northern Triangle

(Alliance for Prosperity), a plan that aims to create economic opportunities and address security and governance issues in the three countries. Guatemalans rely heavily on natural resources for food security and livelihoods. Conserving species and ecosystems ensures the provision of critical ecosystem services – carbon sequestration, groundwater recharge, nurseries for juveniles of marine species, among others – which in turn offer human wellbeing benefits in the form of livelihoods, food security, and local empowerment. Thus, managing and

19 Fact Sheet: Promoting Prosperity, Security and Good Governance in Central America. (2014, November 14). Retrieved

October 27, 2016, from https://www.whitehouse.gov/the-press-office/2014/11/14/fact-sheet-promoting-prosperity-security-and-good-governance-central-ame 20Acciones estratégicas: Plan de la Alianza para la Prosperidad del Triángulo Norte. (2015, March). Retrieved October 17, 2016, from http://www.mineco.gob.gt/sites/default/files/pdfs/acciones_estrategicas.pdf conserving protected areas that harbor critical ecosystem services plays an important role in economic growth, fostering security, and good governance.

C.4.2 Relationship to USAID/Guatemala Country Development Cooperation Strategy

The goal of USAID/Guatemala’s FY 2012-2018 Country Development Cooperation Strategy

(CDCS) is “a more secure Guatemala that fosters greater socio-economic development in the

Western Highlands and sustainably manages its natural resources.”

The CDCS includes three

Development Objectives (DOs). DO3 seeks to “improve natural resources management to mitigate the impacts of global climate change.” This objective will be met through three

Intermediate Results (IRs):

IR1 Market-driven conservation and management strategies implemented

IR2 Vulnerability to the effects of global climate change reduced

IR3 Environmental governance strengthened

The project will contribute directly to IR1 and IR3 by promoting local and institutional capacities in public use planning and best management practices in or near protected areas, facilitating/strengthening long-term monitoring and evaluation of ecological integrity in key priority sites, strengthening the capacity of the GOG to understand and enforce environmental laws and regulations, facilitating a comprehensive review of environmental rules and regulations, enhancing collaboration among stakeholders involved in protected area management, and building on local conservation efforts. Activities related to climate change mitigation and adaptation are addressed under separate mechanisms.

C.4.3 Coordination with Other Projects

USAID/Guatemala recognizes ongoing USG and other donor activities that have provided critical support to the foundations of environmental governance and protected area management in Guatemala. At a minimum, this project will coordinate with, complement, and build on the following initiatives:

● The U.S. Department of Interior’s International Technical Assistance Program (DOI-

ITAP) – DOI-ITAP has provided ongoing support to enhance environmental governance and management of the MBR and transboundary areas. Specific activities include efforts to strengthen multi-sector and cross-border communication, strengthen governance and enforcement capabilities, and information generation to support decision making and improved conservation outcomes.

● United Nations Development Programme, Conservation and Sustainable Use of

Biodiversity in Coastal and Marine Protected Areas – This project promotes the conservation and long-term sustainable use of marine-coastal biodiversity of global importance through effectively and equitably managed marine-coastal protected areas, which will contribute to improving the economic welfare of the Guatemalan population.

21 USAID/Guatemala CDCS (https://www.usaid.gov/guatemala/cdcs)

● USAID/Guatemala’s Security and Justice Sector Reform Project (SJSRP) – The purpose of SJSRP is to support the implementation of key legislation throughout Guatemala.

SJSRP includes a specific component that supports improved investigation and prosecution of environmental crimes in the MBR.

● USAID Guatemala’s Climate, Nature and Communities (CNCG) in Guatemala – The purpose of CNCG is to assist Guatemala in the development of a process to mitigate the negative effects of climate change through an integrated approach that includes improved management of natural resources and conservation of biodiversity, building institutional and technical capacity, and establishing and/or fortifying the policy and legal framework related to climate change.

Where appropriate, this activity will also coordinate with other USAID bilateral missions in the region and, particularly, USAID’s Central America and Mexico Mission on regional biodiversity conservation initiatives. Ongoing collaboration will build more effective, broad-reaching and sustainable interventions.

C.5 Development Hypothesis & Situation Model

C.5.1 Development Hypothesis

Weak environmental governance and management at the national and sub-national levels exposes key ecosystems and species within Guatemala’s SIGAP to threats impacting their conservation and limiting their capacity to generate ecosystem services and contribute to livelihoods. The encroachment of agriculture and cattle-ranching into protected areas, growing pet trade and hunting trends, overfishing, and illegal timber and mangrove extraction are just a few threats. These threats are driven by unregulated development, lack of financial and human resources, and a dearth of data on key ecosystems and species. In order for SIGAP to realize its objectives to conserve biodiversity and protect representative samples of the country’s ecosystems, and for Guatemala to fully realize the potential of its biodiversity to contribute to livelihoods and ecosystem services, it must improve natural resource governance and management throughout the protected area system. This activity rests on the hypothesis that if the interventions supported by USAID/Guatemala are focused on improving conservation approaches through better information on key species and ecosystems, supporting national and sub-national policy and legislative reforms, building capacity for effective enforcement and prosecution of crimes committed within protected areas, and building on local conservation efforts, then improved environmental governance and biodiversity outcomes throughout

Guatemala’s SIGAP will be achieved.

Figure 2. USAID/Guatemala Biodiversity Project Results Framework

C.5.2 Situation Model & Theory of Change Approach to Project Design

USAID/Guatemala has adopted a special approach to the design of the Biodiversity Project, based on the Open Standards for the Practice of Conservation, which reflects ongoing USAID work with the conservation community. More information on utilizing this approach can be found at http://cmp-openstandards.org/.

The first step in the program design process was the development of an overall

USAID/Guatemala Biodiversity Project Situation Model (see Figure 3 for simplified Situation

Model).

A situation model is a graphical representation of a problem or context analysis and illustrates in a logical fashion the major forces that are influencing the biodiversity that is intended to be conserved. This model identifies the intended ecosystems and species (focal interests), the underlying threats to their conservation, and the drivers of those threats. Situation models serve as the foundation for formulating a detailed TOC, which indicates how the selected strategic approaches will reduce threats and ultimately conserve biodiversity focal interests. The model also identifies the ecosystem services that are provided by those focal interests and the well-being benefits that are derived from them. For each of these interventions a TOC can then be developed which articulates the relationships between what the program intends to do and the changes and results it hopes to accomplish. In the TOC, the intermediate results expected to come from each intervention are depicted as well as the links to those results with the project’s expected higher level outcomes. These TOCs can identify critical assumptions of causality to be tracked during project implementation, as well as the appropriate indicators to test those

Management & Governance of Guatemala's

SIGAP Improved

Conservation approaches improved through better information on key species & ecosystems

National & sub-national policy & legislative reforms improved

Capacity for effective enforcement & prosecution built

Local stakeholders engaged in conservation efforts http://cmp-openstandards.org/ assumptions. Indicators linked to TOCs help to demonstrate progress towards outcomes and should form the basis of the project’s monitoring plan.

The Contractor will use the situation model for the USAID/Guatemala Biodiversity Project, as it forms the basis for procured tasks and deliverables under this project. USAID/Guatemala recognizes this is a generalized model and that the degree and types of interventions will vary according to site location. Following Award, the Contractor will have 90 days to prepare and submit a refined situation model, TOCs for each intervention, and an M&E plan that identifies for monitoring the relevant indicators associated with major outcomes. USAID/Guatemala, together with relevant USAID/Washington staff, will collaborate with the Contractor on the refinement and design of these documents. TOCs will be reviewed on an annual basis and amended as the situation in Guatemala changes.

Figure 3. USAID/Guatemala Biodiversity Project Simplified Situation Model

22 A more detailed Situation Model will be included as an Annex

C.6 Scope & Interventions

C.6.1 Geographic Focus, Species, and Ecosystems

In order to prioritize resources to achieve the expected results, the scope of the activity will include targeted, national-level interventions, and pilot activities in three protected areas. The

MBR, the SMBR, and protected areas along the Pacific Coast are the pilot areas for this activity.

The Situation Analysis outlines broad categories of at-risk terrestrial and marine species, priority ecosystems, and threats. Suggested categories of species include, but are not limited to: species susceptible to the pet trade, species susceptible to human-wildlife conflict, species targeted for subsistence hunting and fishing and local markets, species targeted by sport fishing, and commercially fished species. Suggested ecosystems include, but are not limited to: forests, other terrestrial ecosystems, mangroves, beaches and littoral zones, and other coastal marine ecosystems.

C.6.2 Interventions

The overall goal of the project is to improve environmental governance and management of

Guatemala’s SIGAP at the national level and in pilot protected areas through a measurable reduction in drivers and pressures to key ecosystems and species. To achieve this, the Contractor will implement, monitor, and adapt activities based on four interventions with corresponding

TOCs, results, and activities. Activities will be refined through a rigorous, evidence-based and highly participatory approach, ensuring causality between activities and results, and testing assumptions.

1. Improve conservation approaches through better information on key species and ecosystems – Advance research and build a robust information base that addresses gaps in the status and threats to key ecosystems and species, cultivates the necessary staff and competencies to collect and analyze scientific information, and presents information in a manner that facilitates decision-making and improved conservation outcomes.

2. Support national and sub-national policy and legislative reforms – Support needed reforms and updates to absent, inadequate, or contradictory laws, policies and regulations governing natural resource use, leading to improved enforcement of existing laws.

3. Build capacity for effective enforcement and prosecution of crimes committed within protected areas – Target the capacities and resources needed to monitor and enforce existing laws, regulations and management plans, as well as to investigate and prosecute crimes committed within and around protected areas.

4. Engage local stakeholders in conservation efforts – Engage local communities and the private sector in protected area management, monitoring and outreach activities, and facilitate participation in tourism ventures and other sustainable economic activities within and around protected areas to ensure the success and sustainability of conservation outcomes.

These interventions are mutually reinforcing and should be pursued in a strategic manner that reinforces the synergies among them. For instance, the provision of enhanced information on threats and trends impacting key species and ecosystems (Intervention 1) will underpin necessary policy and legislative reforms (Intervention 2) and bolster enforcement efforts and better management of protected areas (Intervention 3). Similarly, improved protected area enforcement and management that does not account for local communities’ needs for sustainable livelihoods and desires to participate in conservation initiatives (Intervention 4) will jeopardize the sustainability of conservation outcomes. The extent to which the full range of each intervention is implemented will, however, vary by protected area. This is in recognition of ongoing efforts by other donors.

One of the first tasks the Contractor must undertake is a rapid assessment of gaps and needs of

SIGAP at the national level, as well as for the three pilot protected areas. This assessment should improve understanding and identify baselines (at a minimum) for the following: the range of relevant stakeholders, protected area governance structures and coordination mechanisms, relevant laws, policies and strategies, existing information systems, institutional capacity of key stakeholders, among other factors. This assessment will pay particular attention to ongoing USG and other donor activities to ensure that interventions are complementary. The Contractor must complete this initial assessment as soon as possible, but no later than three months after project start. This exercise is an essential precursor to all of the interventions, and constitutes the project’s baseline as well as an individualized strategy for each pilot protected area. This general assessment will be followed by more focused assessments under several of the interventions.

C.6.3 Task 1: Improve Conservation Approaches through Better Information

Guatemala’s considerable natural resource base remains inadequately studied and there is a great need to enhance the capacity, equipment, and facilities for information gathering. The lack of reliable data has hindered conservation planning, decision-making, and management actions, presenting an obstacle to improved environmental governance and protected area management.

Scientific research is often executed in the absence of institutional coordination and relies on isolated information systems. Monitoring and enforcement is particularly constrained by the lack of reliable data on the threats and status of key species and ecosystems. This includes a lack of sufficient data on harvests of wildlife for subsistence or commercial hunting, the collection of live animals for sale in local, national and international markets, and overfishing and harvests of marine species. To-date, most conservation efforts in Guatemala have focused on terrestrial ecosystems, leading to a dearth of information on marine ecosystems and species.

Natural resources continue to be an important means to meet subsistence and livelihood needs for rural Guatemalans. It is believed that hunting may be used to supplement food and income needs, but this practice is inconsistently monitored.

While several studies have been carried out by NGOs, government and research institutions, much of the information has not been published or organized to indicate the magnitude of hunting pressures or to formulate recommendations for management. There is even less available information on wildlife trafficking and the impact this has had on particular species. Similarly, commercial and subsistence fishing along Guatemala’s

Pacific Coast is inadequately monitored, and little data exists to indicate the magnitude of

23Guatemala Biodiversity and Tropical Forest Assessment, May 2010 (http://pdf.usaid.gov/pdf_docs/pnaeb311.pdf) impacts on fish populations. Mangroves along the Pacific Coast are also threatened by unregulated harvesting for firewood and construction materials, as well as clearing for shrimp aquaculture. Limited data exists to assess the impact of mangrove deforestation or the equivalent loss of ecosystem services.

In the absence of robust, verifiable data, the full impact of these threats will remain unknown.

This activity seeks to establish, and where available build on, efforts to track and understand the status and threats to key species and ecosystems. Identifying gaps in data required for management decisions and documenting trends impacting species and ecosystems, securing the resources required for robust information gathering, and building the capacity of stakeholders to collect, analyze and report on data, should lead to data on species and ecosystems being gathered and analyzed with an eye towards management decisions. With time, this should generate data sufficient to answer management questions and develop recommendations for conservation actions based on reliable, science-based information. Presenting recommendations to decision-makers in a practical format, accompanied by enhanced interagency coordination and relevant policy and legislative reforms, should lead to more strategic conservation actions and improved protected area management and governance.

Illustrative Interventions (include but are not limited to)

Identification of data and competency needs to guide local and national-level conservation planning.

Technical assistance and trainings for local and national government, NGO, private sector, civil society, and other relevant stakeholders on how to generate and integrate science-based information into protected area management.

Research agendas designed for each pilot protected area.

Develop/build on comprehensive biological monitoring systems that collect, analyze and communicate information regarding ecosystems and species status and trends.

Technical assistance to facilitate improved national-level reporting and compliance with international environmental commitments.

Minimum Expected Results and Indicators

Expected Results Illustrative Indicators

GOG, NGO, universities and other relevant stakeholder competencies increased to collect, analyze, share, and report on data relevant to key ecosystems and species.

(Custom) % of target protected areas that have identified data needs and audiences for information to guide conservation planning

(EG.10.2-4) Number of people trained in sustainable natural resources management and/or biodiversity conservation as a

The Contractor should consider sources such as the MBR Biological Monitoring Roundtable

(http://www.mesaselvamaya.org/), the Biological Diversity Information Exchange Mechanism (http://chmguatemala.gob.gt/), the

MBR Governance Report, among others.

http://www.mesaselvamaya.org/ http://chmguatemala.gob.gt/ result of USG assistance

Knowledge exchange platform/s developed and institutionalized to facilitate improved data sharing, learning, and decision-making among the GOG, NGOs, universities, communities, and private sector actors.

(Custom) Roles, responsibilities and level of effort for data sharing and collaborative efforts established

(Custom) # of documented collaborative efforts across government, NGO, academia, communities and private sector stakeholders

Baseline developed for each pilot protected area outlining biophysical data and trends impacting key ecosystems and species.

Examples of baseline data include, but are not limited to: species presence and abundance within target protected area, percentage of species or ecosystems impacted by unsustainable practices, and economic benefits derived from species and ecosystems.

(Custom) Baseline developed for each pilot protected area

National information system developed that leverages existing databases and websites to track trends impacting ecosystems and species within Guatemala’s SIGAP.

Procedures and user-friendly systems to collect, store, and manage information within the GOG at both the national and sub-national levels.

(Custom) Sufficiency of data for management decisions (determined through analysis of quality and utility of data for users)

Data-informed conservation actions implemented within and around protected areas.

(Custom) # of new or…