Agreement No. - care.pe file · Web view151 Ellis Street, Atlanta GA 30303. Dear Mr....

Agreement ES41

December 16, 2009

GRANT AGREEMENT

Jean Michel Vigreux, SVP Program Quality and Impact Cooperative for Assistance and Relief Everywhere (CARE) Inc. 151 Ellis Street, Atlanta GA 30303

Dear Mr. Vigreux:

It is my pleasure to inform you that World Wildlife Fund, Inc., (WWF), on behalf of itself and of the international network of WWF organizations, is pleased to offer the following grant:

GRANT DETAILS

A. NAME OF GRANTEE ("Grantee"): CARE B. NAME OF PROJECT: Sustainable Conservation Approaches in Priority EcosystemS (SCAPES)

(See Detailed Project Description, Attachment 1.)

C. TERM OF GRANT: Starting Date: 9/26/09Ending Date: 7/31/14

(Subject to the incorporated Terms and Conditions, including Paragraph 8)

D. AMOUNT OF GRANT: The total anticipated amount of this Grant is Eight Hundred and Twenty Nine Thousand Nine Hundred and Twenty Five U.S. Dollars (US$829,925). WWF hereby commits (obligates) the amount of One Thousand Sixty six Hundred and Ninety Three U.S. Dollars (US$__166,093____) for program expenditures during the estimated period of one year as set forth in the detailed budget in Attachment 2. Until the workplan is approved, expenditures are limited to workplan development and administrative costs; WWF will notify Grantee in writing once the Primary Donor has approved the workplan. Under no circumstances shall WWF be obligated for reimbursing Grantee for costs in excess of the committed (obligated) amount (US$ 166,093_[obligated amount]) under this Project unless this Agreement is modified to increase the amount. Additional funds up to the total anticipated amount of the Grant may be obligated by WWF subject to the availability of funds made available to WWF by the Funding Source.

Grantee hereby agrees to contribute the amount of Three Hundred and Thirty Three Thousand Nine Hundred and Ninety Four US Dollars (US$333,994) as its cost share for the total amount awarded by WWF. The total amount of cost share funds contributed over the life of the project will be -40% of the total committed (obligated) amount made available by the Funding Source to Grantee through WWF.

E. FUNDING SOURCES (“Primary Donor”) : USAID FUNDING SOURCE AGREEMENT NUMBER(S): USAID/EM-A-OO-09-00006-00

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CFDA NUMBER AND TITLE: 98.001 USAID Foreign Assistance for Programs OverseasEFFECTIVE DATE OF PRIMARY AGREEMENT: September 25, 2009

All terms of the Primary Agreement between WWF and the Primary Donor are incorporated by reference into this Agreement. This includes applicable USG Provisions, Office of Management and Budget (OMB) Circulars A-122, A-110, and A-133, or other applicable USG regulations.

F. TRANSMITTAL OF FUNDS [choose one option]:

By Bank wire in the name of the Grantee.Sun TrustAccount Number 880149294625 Park PlaceAtlanta GA 30303

G. PAYMENT PROVISIONS

a. Upon receipt and acceptance of interim deliverables, payments will be disbursed in installments based on the quarterly fund requests submitted through the quarterly financial reports up to 95% of the agreement (obligated) amount.

b. The final payment will be disbursed upon receipt and acceptance of the final deliverables based on the final expenditures and reconciliation of any funds advanced.

H. PERSONS DESIGNATED TO ACT ON BEHALF OF PARTIES

1. WWF CONTACTSa. Technical Director:

Kimberley Marchant, Director, Field ProgramShubash Lohani, Senior Program Officer, Eastern HimalayasCaroline Simmonds, Senior Program Officer, Coastal East AfricaMeg Symington, Managing Director Amazon

b. Administrator: : Gina Villafan, Program Administrator

2. GRANTEE CONTACTSa. Technical Director: Marcos Neto, Director of Partnership & Special Initiatives

b. Administrator: Getahun Amare, Accountant/analyst

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DELIVERABLES

1. Annual Technical Reports Period: September 26, 2009 – September 30, 2010; Due: July 31, 2010, first draft for the period

through June 30; August 31, 2010 for the period through September 30, 2010. Period: October 1, 2010 – September 30, 2011; Due: July 31, 2011, first draft for the period

through June 30; August 31, 2011 for the period through September 30, 2011.

Period: October 1, 2011 – September 30, 2012; Due: July 31, 2012, first draft for the period through June 30; August 31, 2012 for the period through September 30, 2012.

Period: October 1, 2012 – September 30, 2013; Due: July 31, 2013, first draft for the period through June 30; August 31, 2013 for the period through September 30, 2013.

[Note: It is recognized that some program data for the entire year may not be available in time for inclusion in the Annual Report to be submitted by August 31. The Recipient shall make its best effort to produce a comprehensive Annual Report, but there may be occasions when some program activities and results are carried over for reporting in the subsequent year. The August 31 deadline for Annual Report submission by WWF to USAID is necessary to meet USAID reporting requirements and minimize ad hoc requests for performance and impact data.]

Annual Reports should include, but are not limited to, the following: Summary of Experience with Program Implementation Explanations of Deviations from Expectations for Performance Indicators Major Impacts and Accomplishments over the Reporting Period Major Implementation Problems

2. Semi-Annual Technical Reports due March 15, 2010; March 15, 2011; March 15, 2012; and March 15, 2013.

The report should include a brief update on progress on the annual work plan and a discussion of any implementation issues or opportunities. It should also include any success stories that may be suitable for a broad audience.

3. Final Technical Report Period: October 1, 2013 – July 31, 2014; Due: August 30, 2014

4. Interim Signed Financial Reports: July – September due October 15 October – December due January 15 January – March due April 15 April – June due July 15 (the last quarterly financial report of the project is the final report)

5. Final Signed Financial Report due August 30, 2014

6. Monitoring and Program Performance Reports due September 15 annually.

Reports should include data on Performance and Impact Indicators for each site/policy activity, including gender disaggregated statistical data on indicators. In addition to reporting on USAID

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indicators, the performance reports are required to present the information contained in 22 CFR 226.51(d).

7. Workplans due August 31 annually

8. Other work products (If any):

Ad Hoc Reporting shall be provided by Grantee as requested by the Agreement Officer and/or the USAID AOTR through WWF. Ad hoc reporting will not be required but will be requested in response to urgent requests for information that the USAID AOTR may not have immediate access to (e.g., what funds are going to specific groups in a country, what kind of work is being done with specific species or issues).

9. An equipment inventory list is due within 90 days of project expiration _X___Not Applicable

10. Audits

__X__If Grantee is subject to the audit requirements of USG OMB Circular A-133 or A-128, a copy of its A-133 or A-128 audit, or a letter stating that there were no material findings, is due to WWF within (9) months following the end of Grantee's fiscal year.

____Annual organizational audit. Due six months after the close of the Grantee’s fiscal year for each year of the project: ____Project audit. Due, for the term of the project, six months after the close of the project; this audit must substantiate that all funds provided under this Agreement were spent in compliance with the purpose, terms and conditions of this agreement. Sample scope is available upon request: (

____ Other. ______________________________________________________

____ No audit deliverables

11. Adherence to the Branding Strategy and Marking Plan (see Attachment xx) and demonstrative means of compliance on a periodic basis as requested by WWF.

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TERMS AND CONDITIONS

1. Use of Funds .

1.1. Except as otherwise agreed in writing by World Wildlife Fund, Inc. (hereinafter "WWF"), Grantee agrees to carry out the Project Activities and to use funds provided under this Agreement ("Funds") solely for Project Activities.

1.2. Only expenditures for reasonable, approved, and documented costs are allowable. All expenditures must be incurred during the period of the Agreement. All salary costs funded by government aid agencies must be supported by adequate documentation. Grantee may reallocate the amounts designated for any major budget category in the approved budget provided if the scope of the project remains unchanged, unless disallowed by a Primary Donor (see Attachment 3 if applicable). However, purchases of any equipment, use of subrecipients not approved in the original budget, air travel other than economy class, or creation of major budget categories not approved in the original budget require prior written approval from WWF.

1.3. Grantee agrees that none of the Funds will be used to attempt to influence legislation or the outcome of any public election or to undertake any activity for a purpose that is not exclusively charitable, scientific, literary, or educational.

1.4. Grantee agrees to return to WWF any unexpended portion of the Funds at the expiration or earlier termination of this contract.

1.5. Any funds provided under this Agreement in U.S. Dollars which are exchanged to local currency must be exchanged at the best available rate through the channels authorized by applicable laws and regulations. Transactions must be verified through bank receipts or other documentation sufficient to demonstrate the legality of such transactions.

2. Lobbying . Unless WWF otherwise consents in writing, Grantee agrees that no Agreement funds will be used for lobbying. "Lobbying" is defined as communications directed to government officials (or which encourage other persons to contact government officials) and which state or strongly imply a position on specific legislation.

3. Financial Records . Grantee agrees to keep separate and accurate financial records in accordance with generally accepted accounting principles and procedures so that payments received and expenditures made pursuant to this Agreement can be readily identified. Grantee agrees to maintain such records for a period of at least three (3) years after the expiration or earlier termination of this Agreement. .

4. Audits . 4.1. The books of account and other financial records of Grantee that are relevant to this Agreement

shall at all reasonable times be available for inspection, review, and audit by WWF and the Primary Donor (if identified herein).

4.2. Grantee agrees to reimburse WWF, at Grantee's sole expense, the amount of any expenditures disallowed by auditors, through an audit exception or other appropriate means, based upon a finding that such expenditures failed to comply with a provision of this Agreement.

5. Copyrights, Etc . The term "Works" shall refer to all works of authorship created by Grantee pursuant to this Agreement, including, but not limited to, films, photographs, graphic works, video recordings, computer programs and computerized materials, books, articles, writings, and audio recordings (and all materials embodying such works of authorship) whether produced during or after the term of this Agreement. Grantee shall own all right, title and interest in the Works; however, WWF (and the Primary Donor if required by the Primary Donor) shall have a perpetual, nonexclusive, royalty-free license to use the Works, including their modification and/or reproduction, in whole or in part.

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6. Credits and Public Awareness . 6.1. Grantee agrees to acknowledge WWF , and the Primary Donor if required by Attachment 3,

whenever Grantee writes an article or report, participates in an interview with the media, gives a lecture, or otherwise makes a public appearance with respect to projects covered by or significantly relating to this Agreement, unless otherwise agreed by the Technical Director.

6.2. Grantee agrees to provide WWF with copies of all written materials that mention or relate to the Project Activities, including those published after the report due dates or grant expiration date.

6.3. Grantee agrees that any use of the WWF panda logo will comply with the following restrictions:6.3.1. Grantee may display the WWF panda logo on the cover or title page of noncommercial

publications written and issued by Grantee as a result of Project Activities. Any such display must, however, be accompanied by the words "Assisted by WWF" and must not give the impression that the publication is issued or endorsed by WWF.

6.3.2. Except as permitted above, Grantee agrees not to make any use of the WWF panda logo except as expressly authorized in writing by WWF.

6.4. Notwithstanding the preceding paragraphs, Grantee shall immediately cease to use the WWF panda logo and the name of WWF, orally or in writing, in connection with the project activities in any public context, upon WWF's written request, whether made during the term of this Agreement or thereafter.

7. Relationship of Parties . The relationship between WWF and Grantee is solely that of grantor and Grantee. WWF and Grantee are not engaged in an employer-employee relationship, partnership, joint venture or agency contract of any kind. Neither party has authority to create any obligations, express or implied, on behalf of the other.

8. Termination . 8.1. For Cause. If WWF shall determine at any time that Grantee has failed to materially comply with

any term of this Agreement, WWF may thereupon terminate the Agreement, in whole or in part, by giving written notice to Grantee and providing thirty (30) days to cure, the sufficiency of such cure to be determined at the reasonable discretion of WWF. WWF shall not be obligated to pay for any expenses incurred by Grantee after the effective date of any notice of termination. Upon its effective date, Grantee shall stop work and take all reasonable steps to preserve and protect all work product produced to date and comply with instructions from WWF as to the disposition thereof. Upon termination, Grantee shall promptly submit to WWF a final technical report, a final financial report, and any unexpended project funds.

9. Indemnification . Grantee hereby indemnifies WWF, together with its officers, directors, employees, and agents, against any claims, losses, damages, and other liabilities (including reasonable attorney's fees and other expenses), arising in connection with this Agreement, except to the extent the claim, loss, damage, or other liability is due to the fault of WWF.

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10. Assignment . Grantee recognizes that Grantee's special expertise was important in inducing WWF to enter into this Agreement. Grantee may not assign its rights, subgrant, or delegate its obligations under this Agreement without WWF’s prior written consent which WWF may withhold in its absolute discretion. Grantee is responsible for including in any subagreement related to the project described herein all clauses and provisions necessary to fulfill Grantee's obligations under this Agreement

11. Arbitration . Any controversy or claim arising out of or relating to this Agreement, or the breach thereof, shall be settled by arbitration before one (1) arbitrator in Washington, D.C., in accordance with the Commercial Arbitration Rules of the American Arbitration Association in effect at the time of commencement of the arbitration, and the parties agree that judgment upon the award rendered by the arbitrator may be entered in any court having jurisdiction thereof.

12. Controlling Law . This Agreement shall be deemed a contract made under, and shall be construed and enforced in accordance with, the laws of the District of Columbia, U.S.A., applicable to contracts fully executed and performed therein.

13. Taxes . Grantee shall be liable for all taxes arising out of payments made to Grantee pursuant to this Agreement.

14. Compliance with Laws . Grantee agrees to comply with all applicable laws, including all local labor and social laws. Further, Grantee accepts sole responsibility for any claims arising from any alleged non-compliance with laws.

15. Government Officials & Employees Grantee hereby certifies that no assistance, payments, or anything of value (monetary or non-monetary), shall be made, promised, offered to or accepted by any government employee or official (1) in contravention of any U.S. or other applicable law (including, but not limited to, the U.S. Foreign Corrupt Practices Act) or regulation; (2) without the express consent of the government for which the employee or official works; and (3) that is not reasonable, bona fide, and directly related to the activities funded under this Agreement. It is Grantee's responsibility to ensure compliance with this clause, and to maintain, and provide at WWF's request, documentation demonstrating such compliance. Grantee hereby certifies that no payments or other form of assistance shall be accepted by or made by grantee to any government employee or official in contravention of any applicable law, , (a) to influence any official government act or decision, (b) to induce any government employee or official to do or omit to do any act in violation of his or her lawful duty, or (c) to obtain or retain business for, or direct business to any individual or entity. If Grantee is a government official or employee, Grantee shall recuse himself or herself from any governmental act or decision affecting WWF, and shall not influence any governmental act or decision affecting WWF. Under no circumstances shall any payments or anything of value be made, promised, or offered to any U.S. Federal, State or local employee or official.

16. Waiver . The failure by either party to this Agreement to enforce any of the provisions of this Agreement shall in no way be considered a waiver of such provisions or in any way affect the validity of this Agreement.

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17. Severability . In the event that any provision of this Agreement shall for any reason be held to be invalid or unenforceable by any adjudicative body of competent jurisdiction, unless such provision goes to the root of this Agreement, this Agreement shall continue in full force and effect and shall be interpreted as if such provision had never been contained herein. In the event the provision goes to the root of this Agreement, the parties shall attempt in good faith to negotiate an amendment to this Agreement as necessary to fulfill the purpose of the Agreement.

18. Force Majeure . Neither party shall be responsible for any inability or failure to comply with the terms of this Agreement due to causes beyond its control and without the negligence or malfeasance of such party. These causes shall include, but not be restricted to: fire, storm, flood, earthquake, explosion, acts of the public enemy, war, rebellion, insurrection, mutiny, sabotage, epidemic, quarantine restrictions, labor disputes, embargoes, acts of God, acts of the United States or any other government, including the failure of any government to grant export or import licenses or permits.

19. Equipment . If equipment is included in the approved budget of this agreement, then title to equipment and other property will be in the name of Grantee until disposition instructions for those items requiring disposition under 22 CFR 226.30-37 are provided by WWF after consultation with Grantee at the end of the Agreement term. Grantee agrees to provide insurance for and proper maintenance of all equipment and other property funded under this Agreement. If Grantee desires to use the equipment or other property for any purposes other than for the project funded under this Agreement, Grantee must seek prior approval from WWF.

20. Entire Agreement/Modification . This Agreement, including all referenced Attachments, each of which is incorporated herein and made a part hereof, represents the entire agreement between the parties on this subject matter. All modifications to this Agreement must be in writing and signed by persons designated to act on behalf of Grantee and WWF.

21. Terrorism Financing . The Grantee is reminded that US Executive Orders and US law prohibit

transactions with, and provision of resources and support to, individuals and organizations associated with terrorism. It is the legal responsibility of the Grantee to ensure compliance with these Executive Orders and laws. This provision must be included in all subcontracts/subawards issued under this Agreement.

22. Special Provisions.

22.1. Foreign Government Delegations to International Conferences: Funds in this Agreement may not be used to finance the travel, per diem, hotel expenses, meals, conferences, fees, or other conference costs for any member of a foreign government's delegation to an international conference sponsored by a public international organization, except as provided in ADS Mandatory Reference "Guidance on Funding Foreign Government Delegations to International Conferences" (http://www.usaid.gov/policy/ads/300/303maa.pdf) or as approved by the Agreement Officer or Cognizant Technical Officer.

22.2 As a condition of receipt of this subaward, marking with the USAID Identity of a size and prominence equivalent to or greater than the Grantee's, Subgrantee’s, other donor’s or third party’s is required. In the event the Grantee chooses not to require marking with its own identity or logo by the Subgrantee, USAID may, at its discretion, require marking by the Subgrantee with the USAID Identity. The Grantee shall comply with the WWF's approved Branding Strategy and Marking Plan (see Attachment xx).

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22.3 Any International travel and equipment included in the Grantee’s approved proposal budget are hereby approved (see Attachment 2). Additional international travel or equipment needed for this project that is not included in the original proposal requires the prior approval of USAID through WWF.

22.4 For purposes of any potential Associate Award under the WWF SCAPES LWA Award, CARE will have right of first refusal as a partner with WWF. CARE will notify WWF if CARE is requested to participate in another SCAPES LWA Associate Award; WWF will respond in writing to inform CARE if CARE’s participation in another LWA Associate Award will jeopardize WWF’s receipt of said Associate Award.

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ORDER OF PRECEDENCE: Any inconsistency in this Agreement shall be resolved by giving precedence in the following order: (a) the Additional Provisions for Government/MLO or Other Funded Projects; (b) Grant Agreement; (c) the Detailed Budget; (d) the Detailed Project Description.

To acknowledge acceptance of the terms and conditions of this Agreement, including the terms and conditions of all Attachments hereto, please sign both originals in the space indicated below and return one signed original, together with the completed W-9/W-8 form if applicable, to Gina Villafan at WWF. Please retain one original, including all Attachments for your records.

WORLD WILDLIFE FUND, INC.

By: _________________________________

Name: Thomas Dillon

Title: Senior Vice President, Field Programs

Date: ________________________________

GRANTEE: Cooperative for Assistance and Relief Everywhere (CARE) Inc.

By: _________________________________

Name: Jean Michel Vigreux

Title: Senior Vice President, Program Quality and Impact

Date: ________________________________

Attachments

Attachment 1 Detailed Project Description, ProposalAttachment 2 Detailed Budget Attachment 3 Additional Grant Provisions for Government/MLO or Other Funded ProjectsAttachment 4 A-110/22 CFR 226 Provisions (USAID only for US organizations only)Attachment 5 Branding and Marketing Strategy

Enclosures

Technical Reporting FormFinancial Reporting Form

Agreement ES41Attachment 1

DETAILED PROJECT DESCRIPTION

PROGRAM DESCRIPTION

The proposal is attached for reference.

TECHNICAL APPROACH

A. EXECUTIVE SUMMARY

Earth’s biodiversity is under enormous threats from habitat destruction and fragmentation, infrastructure development, unsustainable natural resource use, and climate change. Successfully conserving biodiversity for future generations requires a targeted threats-based conservation approach that works from the local-to-global level. Effective conservation also requires adaptive management in order for programs to effectively respond to changing realities on the ground, while achieving measurable results. WWF will assume the leadership role for SCAPES – Sustainable Conservation Approaches in Priority EcosystemS, and will partner with CARE and other well qualified organizations, in three biologically significant landscapes/seascapes and one policy initiative at the regional level.

WWF operates in more than 100 countries around the world and maintains decentralized implementation capacity in-country, with technical and financial support from national offices and regional headquarters at WWF-US and WWF-International. WWF-US has identified 19 priority places on which to focus our institutional efforts and financial resources. Our comprehensive approach to conservation takes advantage of our foundation in conservation science, policy engagement at every level, expertise to transform global markets, ability to create sustainable change, and a long history of partnerships – at the corporate or community level.

Similarly, CARE is uniquely positioned to provide expertise and skills to promote innovative solutions that serve the rights and needs of people – often marginalized, poor, or indigenous – in the sites. The WWF/CARE partnership described in this proposal presents a complementary framework that integrates both social and ecological sustainability. Our partnership is built upon a long history of collaboration and continues to be a transformative one.

The SCAPES Program will address conservation threats in three of WWF-US’s priority places – the Amazon, Coastal East Africa, and the Eastern Himalayas. In each of the activities, we will address the most pressing threats to biodiversity and the resources on which people depend. As each site has identified climate change as a key threat, we will focus on developing and integrating climate change vulnerability and adaptation strategies into site- and corridor-based land-use and community-based management, national and regional economic and development planning, and regional and global policy frameworks and action plans.

The SCAPES site activities are as follows: Our Eastern Himalayas activity will focus on the Sacred Himalayan Landscape to alleviate

the imminent threats to biodiversity – habitat loss and degradation, loss of endangered species, and climate change. At the same time, WWF will work with CARE to promote social equity, good governance, and sustainable livelihoods, as well as to conduct a social


and ecological climate vulnerability assessment and develop proposed resiliency interventions.

Our Coastal East Africa activity will operationalize the first three biodiversity/wildlife corridors (Quirimbas-Niassa Reserve Corridor, Niassa Reserve-Lake Niassa Corridor, and Niassa Reserve-Selous Corridor) within the Greater Ruvuma Landscape. This will be accomplished through community and regional vulnerability and adaptation assessments and land use planning and zoning, and will involve collaboration with a range of levels of government and local stakeholders.

Our Amazon activity will focus within the Eastern Cordillera Real of Colombia, Ecuador and Peru to develop a political and institutional framework to ensure the mountain and lowland forest ecosystems’ ability to maintain resiliency in the face of climate change. WWF proposes activities including: land use planning and zoning; improving protected area management effectiveness; assisting in development of national policies, local capacity and knowledge building; and building and strengthening inter-institutional alliances with relevant organizations. WWF-US’s Field Programs unit will be responsible for the overall management and implementation of SCAPES, including staff of the coordination team, Program Director, Judy Oglethorpe, and Program Manager, Kimberley Marchant. Field Programs calls upon the various resources of our Conservation Programs, including relevant divisions with expertise in global commodity markets, conservation science, freshwater, community conservation, global climate change, government relations and macroeconomics. Other key areas of technical expertise will also be drawn from advisors and field staff within WWF-US and around the WWF Global Network. The core team will coordinate the implementation of the site/policy activities, in keeping with the technical approach and workplans; coordinate planning and implementation of the monitoring, evaluation, and learning; and provide support to scaling-up for greater impact and dissemination of best practices.

WWF has enjoyed a long, productive partnership with USAID in the evolution of innovative biodiversity conservation approaches. From BSP to GCP to LIFE, and Associate Awards such as CARPE and CTSP, WWF staff have gained expertise in developing conservation programs, applying threats-based and adaptive management approaches, seeking appropriate mechanisms to ensure sustainability, and integrating social and governance strategies in our actions. We have also had the opportunity to test measures to scale up conservation using a local-to-global approach, linking site conservation to national, regional, and global markets and policy interventions. Due to our experience and strong network of experts and strategic partners, WWF is well positioned to integrate the four technical elements – threats-based approach, sustainability, adaptive management, and scaling up – into our overall approach and the site activities.

Through SCAPES, WWF aims to work with partners such as CARE to achieve successful, measurable, and replicable biodiversity conservation outcomes and work toward long-term ecological, social, and financial sustainability of the priority landscapes.


B. TECHNICAL APPROACH

Organizational Approach and Strategy

a) Overall Organization Approach

WWF’s mission is the conservation of nature. Using the best available scientific knowledge, we work to protect biodiversity and advance sustainable and efficient use of renewable natural resources and energy. We are committed to advancing biodiversity conservation globally, while building a future in which human needs are met in harmony with nature. With decades of experience, we have long understood that conservation success requires an integrated approach to address the wide range of human activities affecting the environment. We work with many partners around the world to strengthen stewardship of threatened species and ecosystems.

WWF-US’s organizational goal is an ambitious one. By 2020, we will conserve 19 of the world’s most important places for biodiversity and significantly change global markets to protect the future of nature. These 19 places represent most major biomes and biogeographical realms and were selected by WWF-US in an extensive priority setting exercise from the original WWF Global 200 Ecoregions, based on the wealth and diversity of life they support, the threats they face, and WWF’s ability to effect change there in the next decade. In each of the 19 priority places, WWF has selected critically important landscapes and seascapes for the focus of its conservation efforts, where biodiversity is threatened by global and local drivers of biodiversity loss that cause habitat destruction and fragmentation, over-exploitation of resources, infrastructure development, and increasingly important, impacts due to climate change. While the landscapes/seascapes often include core protected areas, they also contain areas designated for other uses by a variety of stakeholders, and a major focus is on maintaining or restoring connectivity among different elements of a landscape/seascape.

b) Overarching Strategy: Local to Global, Transformative Approach

WWF, with other conservation organizations and partners, has led the development of a large scale, transformative approach to conserving globally important biodiversity. Realizing that biodiversity (including species endemism and representativeness, and ecological and evolutionary processes) is never limited to the small confines of protected areas, the large-scale approach to conservation is an evolution in geographic and temporal scale from early predecessors such as single-species conservation, integrated conservation and development projects, and community-based natural resource management. A large-scale conservation approach holds promise especially with threats such as climate change, which will shift habitats, the ranges of species, and patterns of natural resource exploitation by human communities in ways that cannot successfully be addressed on small spatial scales.

Recognizing that long-term conservation success cannot be achieved through isolated interventions, WWF has learned that to achieve lasting results in priority places and landscapes, we must carry out our work through closely coordinated activities at multiple levels: from saving area-sensitive species to creating protected areas and ensuring sustainable livelihoods to influencing national and international policies to transforming global institutions and markets. We tackle social, economic, and policy issues across different disciplines including agriculture, humanitarian assistance, governance, gender, conflict, health and population. By using this local-to-global approach, we


address issues that are critical to sustainable livelihoods for people and the ecosystems upon which they depend.

To generate meaningful results at multiple scales, WWF-US works closely with the rest of the WWF network (with presence in more than 100 countries) and a wide cast of partners. The magnitude of the challenges is simply too great for any single organization to address alone. For example, our vision in the Amazon is conservation through local and national action in priority landscapes and aquatic systems, region-wide efforts in planning, leadership and coordination, and global influence of market forces. The global World Bank/WWF Forest Alliance inspired the Brazilian government to protect 10 percent of the Amazon. That commitment spawned the Amazon Regional Protected Areas program (ARPA) and the ultimate designation of millions of hectares of new protected areas throughout the Amazon. In another example, working with IUCN and other partners in the conservation and development community, WWF is establishing the global Ecosystems and Livelihoods Adaptation Network (ELAN), a collaborative effort to develop and share knowledge of approaches for adapting to climate change that focuses on both human communities and ecosystems.

WWF has enjoyed a transformational partnership with USAID in the evolution of biodiversity conservation approaches, starting with early support to natural resource management and protected area work. USAID funded the Biodiversity Support Program (BSP), a consortium of WWF-US, TNC and WRI. BSP analyzed traditional and innovative approaches to biodiversity conservation, provided technical support to USAID and other partners, supported neutral facilitation of multi-stakeholder processes, and strengthened conservation capacity. BSP’s approaches and lessons continue to be applied today: adaptive management, governance approaches including community empowerment and benefits, and transboundary management of natural resources. BSP’s legacy provided a springboard for many developments, including Open Standards for the Practice of Conservation developed by the Conservation Measures Partnership (CMP), with support from the EGAT-funded Global Conservation Partnership (GCP).

Over the last nine years, GCP has provided critical support in the evolution of large-scale approaches to conservation. Under the GCP Leader with Associates Award, WWF was able to test and refine our ecoregion and landscape conservation approach through direct GCP support to WWF’s learning program and a total of seven biologically-important places including the Mekong, Eastern Himalayas, Southwest Amazon and Coastal East Africa, as well as through a number of Associate Awards including the Central African Regional Program for the Environment (CARPE) and the Coral Triangle Support Partnership (CTSP).

Methodologies and Conservation Program Design

a) Threats-Based Approach

WWF uses a threats-based approach in the design, prioritization and implementation of our conservation programs, similar to USAID and our partners in the CMP. This enables us to focus our limited conservation resources on those priorities which are most urgent and important, and where we have the greatest likelihood of achieving conservation success. We use a common process in landscapes/seascapes to assess all threats affecting a given place or species (the WWF Standards of Project and Program Management, developed from CMP’s Open Standards). A conceptual model is created to illustrate conservation targets and the linkages to the direct and indirect threats and drivers


they face. Each threat is analyzed against key biodiversity targets, and then ranked for each of those targets based on criteria such as scope, urgency and irreversibility. The threat assessment and ranking is one of the central and most powerful components of WWF’s planning and design standards. The ranking is used to identify the most appropriate interventions based on the most important threats, and the order in which to do them. Further information on this process is given in the adaptive management section below.

GCP I and II support – matched with leveraged support from the Moore Foundation, MacArthur Foundation, IBM and Goldman Sachs – led to the development of the WWF Standards. We have now implemented our threats-based methodology in dozens of priority places, ecoregions, and landscapes/seascapes. We also have tested and applied our Standards to thematic programs such as fishing bycatch, climate policy and market transformation. The Standards have had a big influence on WWF’s conservation approach, linking interventions much more closely to tackling key threats and monitoring their effectiveness. Our SCAPES activities are based on threat assessments undertaken with this methodology.

WWF sees climate change as a huge emerging threat, which will dominate our work for decades to come. The threat assessments in all three site activities in this proposal identified climate change as a key threat. According to the Intergovernmental Panel on Climate Change (IPCC), already-observed climate changes are having a variety of impacts on physical, biological, and socio-economic systems including earlier timing of spring events, changed migration patterns and poleward and elevational shifts in ranges of plant and animal species. During the course of this century, the resilience of many ecosystems is likely to be overcome by a combination of future changes in climate, associated disturbances (e.g., drought, flooding, wildlife, ocean acidification) and other global change drivers (e.g., land use change, pollution, over-exploitation of resources) if greenhouse gas emissions are not drastically curtailed compared to projections. If society is to save its ecosystems, and ultimately itself, adaptation options will need to be developed and widely adopted. A wider variety of more effective adaptation options are needed and their applications need to be scaled-up across the globe. This proposal therefore contains a focus on climate adaptation for biodiversity conservation. We will undertake more detailed climate threat analysis, in the form of vulnerability assessments, as a key step to developing climate adaptation and resilience strategies.

WWF is collaborating with its global and local partners in conservation and development to develop a systematic yet flexible approach for assessing climate change threats to ecosystems and livelihoods. It builds on several existing threat assessment tools, including IUCN and partners’ CRiSTAL approach, USAID’s manual Adapting to Climate Variability and Change: A Guidance Manual for Development Planning, and CARE’s Climate Vulnerability and Capacity Assessment (CVCA). This work will continue to evolve over time to better evaluate the vulnerability of ecosystems to the direct impacts of climate change, and the corresponding effects that will arise from the responses of human communities. Understanding human response is essential for success since changes in ecosystems will affect human livelihoods, especially the poor who rely most on ecosystem services.

The threat assessment approach being adopted is based on a model of vulnerability and adaptation assessment that involves participation by local human communities as well as conservation, climate and development specialists; a wide range of stakeholders and experts must participate because of the complexity of climate change impacts. The framework includes evaluation of other stresses, the incremental threats posed by climate change, and options for increasing the resilience or capacity to


resist or recover from climate-related disturbances. WWF’s work on climate vulnerability assessment and adaptation will be applied in the activities.

b) Sustainability

1. Ecological sustainability Achieving ecological sustainability in the priority places where WWF works is the foremost goal of all our work. In SCAPES we will work toward this goal by operating strategically at local to global levels. We will achieve sustainable use of natural resources by working with stakeholders to improve management where needed, seeking lasting incentives to promote sound practices. This includes work with local communities to promote community resource management with community decision-making and control over local resources, ensuring that local people derive adequate benefits and incentives to conserve and use the resource base sustainably. We are keenly aware that the poorest people in the developing world tend to be most heavily dependent on natural resources. This work will include conflict resolution and development of livelihood alternatives to halt unsustainable use. We will strengthen community institutions and capacity of local support organizations to ensure continuity of efforts, encourage and support governments to create enabling policy environments, and undertake effective law enforcement as needed. At the same time we will work to reduce outside threats by working at higher levels, including efforts to promote transformative change in major market drivers such as wildlife trade, agriculture, timber, fishing and water extraction.


In the face of climate change, WWF and partners will provide support for the development and implementation of ecosystem-based adaptation plans that promote actions to improve the ability of ecosystems, and the biodiversity they harbor, to adapt to climate change, as well as the people who are most dependent on ecosystems threatened by climate change. ELAN will provide technical support to the development of adaptation best practices in the sites.

2. Social sustainability Both WWF’s and CARE’s strategies are rooted in the need to serve people in the poorest communities of the world – to promote innovative conservation and development solutions to facilitate lasting change. The two organizations’ complementary skills provide a strong foundation for a cooperative social sustainability framework that can be replicated at scale. CARE uses a rights-based approach to expose the root causes of vulnerability and marginalization, and focuses on gender equity and empowerment offering pathways out of extreme poverty and toward dignity and security – for women, their families and whole communities. For many years WWF has worked with marginalized and vulnerable rural communities and indigenous peoples to improve livelihoods and wellbeing through sound and participatory natural resource management (for which we have an institutional policy based on an international convention on indigenous peoples, and positions on social issues, such as poverty and gender, to guide our work).

Our partnership’s strategy for social sustainability in SCAPES is multifold. We will undertake broad situation analyses including stakeholder assessments in the landscapes (if not already completed), using existing CARE and WWF tools. Where needed, we will conduct socioeconomic surveys to identify and establish baselines of current livelihood and wellbeing patterns and needs. These surveys will pay particular attention to poor and marginalized groups including landless and indigenous peoples. Using Gender & Power and Underlying Cause of Poverty Analysis tools, we will map power relations in the control of natural resources and the environment at different levels, seeking opportunities for empowerment of women in local communities. Where communities are empowered to make decisions over their own resources, we will work toward building and strengthening transparent and accountable natural resource governance structures to ensure they thrive over the long term (e.g., strengthening Community Forest User Groups in Nepal). Drawing on our existing local to global programs, we will involve the private sector to help promote social responsibility (e.g., in logging, water management and infrastructure development practices). We will continue to work closely with local and national governments, partnering with and supporting them as needed (e.g., in policy reform and capacity strengthening). Where possible, we seek to resolve environmental conflict, contributing to peaceful and sustainable development solutions that enhance security in the remote rural areas where we work.

A major focus of this proposal is on reducing community vulnerability to climate change, as part of climate adaptation actions. Both WWF and CARE view long-term community resilience and adaptation as a priority for human wellbeing and conservation in the face of change. In an early phase of SCAPES, for example, we propose to pilot an integrated use of CARE’s participatory CVCA tool with local communities in Coastal East Africa, bringing in best available climate data and models. This model will enable us to work with communities to identify vulnerabilities, as well as opportunities to increase resilience and promote adaptation. Particular attention will be paid to fostering, documenting, and sharing indigenous adaptation and resilience approaches, as well as using appropriate technology to complement indigenous practices. Results will be fed into ELAN’s best practices.


3. Financial and economic sustainability Achieving financial sustainability is a centerpiece of our partnership’s overall strategy to achieve social and ecological sustainability. WWF has had considerable success in developing new and innovative sustainable financing mechanisms in many parts of the world. Field staff together with WWF’s conservation finance experts work within each ecoregion to identify opportunities and financing mechanisms to provide self-sustaining, long term (sometimes permanent) sources of revenue to support conservation. In this way, USAID’s support of this Leader Award will leverage new, expanded and long term resources to sustain programs over the long run.

Our traditional conservation finance work involved developing conservation trust funds and negotiating various sources of revenue to these funds (or to local governments) such as GAA grants, debt for nature swaps (including working closely with USAID on Tropical Forest Conservation Act swaps), and traditional private or foundation grants. In recent years, our conservation finance efforts have had a greater emphasis on establishing user or access fees, green taxes, development impact fees and compensation mechanisms, watershed management funds, carbon finance, and other payment schemes for environmental services. At a local level we work with communities to derive sustainable economic and financial benefits from their biodiversity (e.g., communal conservancies in Namibia and community forest user groups in Nepal). In our Coastal East Africa site, for example, the activity will work to promote long-term financing solutions, including payment for environmental services through Reducing Emissions from Deforestation and Degradation (REDD). In Nepal, we propose to establish non-timber forest products enterprises.

Carbon financing is emerging as a major new area of potential revenue for conservation, and WWF is a leader in the development of carbon as a critical funding mechanism for biodiversity. WWF’s first innovative carbon finance project is the Nepal biogas carbon project. This Gold Standard project will provide carbon offset credits from the use of household biogas (methane) generators and is now validated and registered on the APX Gold Standard registry. Sale of these carbon credits – estimated to be around $3 million per year for the first seven-year vintage – will go entirely back to communities and forest restoration projects in Nepal’s Terai Arc. Partnerships play a key role in WWF’s efforts to influence the course of conservation. We realize that alone we cannot hope to achieve our mission. Lasting conservation is achieved by collaborating with a range of extraordinary partners, from governments to local communities, from businesses to philanthropic donors. It is by leveraging the strengths of our collaborations and supporters that we are able to accomplish our greatest successes. We seek to work with partners who aspire to make measurable commitments and deep operational changes that transform their impact on the environment and relationships with key actors. Through our SCAPES activities, we will choose strategic partnerships that enable us to magnify the impact of USAID’s investment.

c) Adaptive Management, Including Monitoring and Evaluation Planning

Effective conservation must be results-oriented and measurable. It also must be flexible and easily adapted to changing circumstances, new threats, or unforeseen opportunities. WWF’s conservation approach starts and ends with hard biological and social science and analytical rigor. Our WWF Standards approach is an adaptive management process that identifies and tracks short, medium and long term indicators on the status of threats, socio-economic factors, biodiversity targets, and strategies. It uses a rigorous threats-based process to prioritize conservation strategies, a thorough assessment of biodiversity targets to understand current viability and set long term goals for


ecological sustainability, and a results chains process to determine short and long term metrics for evaluating both strategy effectiveness and status of each threat. The indicators developed through the Standards provide a strong basis for regular monitoring and evaluation over time by WWF and partners: to track progress, adjust strategies, and adapt to new threats, opportunities or changing circumstances.

The Standards are promoted in the WWF Network as “current best practices” rather than as a rigidly applied conservation planning and management process. WWF wants the Standards used at all scales and promotes flexibility in their use and innovation. As WWF and partners discover new ways to apply these processes for effective conservation outcomes, we are constantly learning and improving the Standards content and process. We anticipate that SCAPES activities will contribute to this iterative adaptive management process. Application of the WWF Standards is backed by a large support and training network, and a wide array of support materials and examples (publicly available at panda.org/standards).

SCAPES M&E planning will be built on existing WWF Standards-based M&E plans in the activities. We will work with our partners to develop more detailed Performance Monitoring Plans (PMPs), as per USAID guidelines and integrating required USAID indicators, to plan, document, and monitor our data collection. Based on our scientific foundation, WWF and our partners track progress on a small, representative group of biodiversity targets – species, ecosystems or ecological processes – in each place we work. In many of these places, we have added key social metrics to simultaneously understand our impact on basic human needs, such as health, wealth and community empowerment. Importantly, each biodiversity target is assigned a long-term goal reflecting the state of that target at which it can sustainably exist. In some projects we also have social targets. Indicators are assigned for each goal and target, and form the core of the M&E protocol for each place we work. Some of the goals set for biodiversity or social targets can be very long range, as far as 2050, and reflect the long term challenge of mitigating overwhelming human pressures on our planet in order to achieve sustainability.

In each of our priority programs, planning and program management involves partners and key stakeholders at every step. As a practical matter, a core team of key partners develops the strategies and plan in consultation with the broader group of stakeholders, and then works together to implement the program and track progress over time. Under the Standards, one of the principal outputs of the results chains process is a robust monitoring plan that includes indicators to track, a rough timeline of when to collect data for each indicator, and the partners and staff persons responsible for data collection. These monitoring plans are specific to each project or program. Data is collected for key indicators as resources for monitoring become available, and for some programs different partners participate in data gathering and review depending on each partner’s ability to participate. The local collection and analysis of indicator data is the heart of each program’s adaptive management process. Partners review reports on the performance of strategies, the status of threats, and the status of biodiversity and social targets. Decision making about new directions, informed by results of the monitoring, are made by the core team for that program.

The inclusion of social metrics in particular at large scales is still comparatively new in our field and to much of WWF, and thus the field program monitoring plans that have been produced to date are much heavier on biodiversity, threat and strategy performance indicators. However, a number of projects have been piloting this over the last five years (for example, our USAID-funded Community Based Natural Resource Management (CBNRM) program in Namibia and our


population-health environment projects). Over time, as our knowledge and capacity increases, WWF will build or enhance a vital social status monitoring component of each major program. Another challenge our programs’ PMPs have is to secure sufficient resources to consistently collect data over time. In many programs, the in-field data collection can involve a number of staff and partners working in remote places for many days on end. While the amount of data collected and the degree to which adaptive management is practiced has never been greater within WWF, there is still a strong feeling that we need to collect more data over a broader suite of indicators over time to get the complete picture of how the biodiversity and social targets in each place are responding to our efforts. The experiences we are gaining across activities are helping us to streamline this process more efficiently, but there will always be a tradeoff between budget and comprehensiveness of monitoring.

Under SCAPESl, the three projects will engage key partners in the development of appropriate indicators for adaptive management, monitoring, evaluation, and learning. As the WWF Standards are relatively new in their development, each program is in a different phase of development of Standards-based M&E protocols and indicators. Under SCAPES, each of the three projects may take slightly different approaches to their specific PMPs, though each of these projects will be adhering to a strict adaptive management approach regardless of the scale. In Coastal East Africa, for example, to monitor human-wildlife conflict indicators will include number of crop fields damaged per year and number of human deaths per year. Our Partnership Strategy Committee will help to develop program-wide standards for comparable data, where possible.

The greatest challenge in any large scale M&E program is to continuously gather and pool monitoring data with our government, NGOs, donor partners and communities. We rely heavily on each partner to bring in data on indicators most relevant to them, to contribute to the overall database, and to provide the most comprehensive and participatory analysis possible, to enable adaptive management. As the scale of this need has grown, so too has our engagement of strategic partners. International partners like CARE as well as local organizations and communities play an important role not just in the planning but in the execution and the monitoring of our work. For example, in Nepal’s Terai Arc, WWF works with 14 partners including the government and various NGOs and aid agencies. WWF worked with all partners and with extensive local consultation to develop the Terai Arc Landscape (TAL) strategic plan, which is now formally adopted as the government’s plan for the TAL. Many of the partners regularly monitor and report on their contributions toward specific actions and outcomes of that plan through the core team and with the government. WWF and its partners are concerned both with the success of their efforts to conserve the biodiversity of this important region as well as their efforts to improve livelihoods and wellbeing of the indigenous Tharu people and the many other communities that stretch across the Terai.

d) Scaling Up Impact, Knowledge and Learning

Over the last 10 years, we have significantly scaled up our approach to biodiversity conservation in order to achieve impact beyond the local level; we now have a local to global approach. USAID support has enabled WWF and others to develop and test broad-scale approaches, as well as to share best practices to expand conservation to broader landscapes and ecosystems over longer time frames. Mechanisms we use to promote scaling up impact include: testing elements of successful approaches and then rolling them out to larger scales; using social and behavioral change methodologies (in our


conceptual models, results chains and strategy development); promoting transformative change in global markets and influential institutions; supporting policy development and change at local, national, regional and global levels; and engaging strategic partners and key political and other actors to scale up their positive impacts.

WWF’s local-to-global approach ensures the delivery of innovative solutions that best meet the needs of a wide spectrum of stakeholders and partners for effective biodiversity outcomes. We use the local-to-global approach selectively, working at the most appropriate scales, with the most appropriate activities at each level, to maximize our impacts and gain efficiencies in the use of conservation funds. In doing this we identify key leverage points to reduce threats and take advantage of opportunities: for example, in the Congo we try to mitigate and control local bush meat hunting by supporting a single national policy or working with a small group of key timber lease holders to change their access practices, rather than supporting a widespread, expensive and less efficient field-based anti-poaching effort. In short, we work at the most appropriate scale for the different ecosystem processes and socio-economic conditions in each priority place.

WWF understands that it cannot scale up on its own – the challenges we face are too immense and we alone do not have the wide-ranging sets of skills needed. We enter into strategic partnerships at several levels to magnify positive impacts, and we also encourage governments, other NGOs, communities, private sector operators and donors to take their own actions to adopt and support sound practices. Scaling up does not mean that we neglect the local level; quite the opposite, we continue to consider this a key scale for us and our partners to work at, because it is where threats play out and where biodiversity is conserved or lost. Our landscape and ecoregion work in many parts of the world – Central Africa, Namibia, Madagascar, the Andes, Bering Sea, Nepal and Bhutan – are all good examples of this approach. Because WWF depends so strongly on various partners including local communities to carry out its work in the field, it relies heavily on partner participation for tracking progress, sharing lessons and making changes in strategies.

For example, in Nepal’s TAL, communities are deeply involved in landscape strategies to reduce deforestation, restore forests, and stop the poaching of rhinos and tigers. WWF is also very engaged in schemes to protect villages from adverse impacts of wildlife (especially elephants) and in compensation for farmers or individuals who are affected by wildlife conflicts. Communities play a key role in tracking progress in these areas; WWF provides support, and also promotes sharing of results and lessons from other villages or projects (whether good or bad), enabling partners to change course if a new problem arises. Community Forest User Groups and buffer zone communities play a large and active decision-making role in planning conservation and livelihood activities, and applying adaptive management. An entire network of community-based anti-poaching networks has been established to monitor illegal killing of rhinos and other wildlife, and to locally enforce and control poaching.


Our Namibia CBNRM program (the USAID-funded LIFE program) provides another excellent example of community engagement in natural resource management that includes robust data collection and sharing of status and results information. WWF, the Namibia Association of CBNRM Support Organizations (NACSO) and its partners work with 55 conservancies to carry out very detailed, community-level monitoring of various data about local species, quotas, conflicts, etc. This data is collected by each conservancy in a common databook, and then is compiled into an annual report by NACSO and shared with all partners, the communities and the government. A similar community-based data collection system (called Management Oriented Management System, or MOMS) has been set up at pilot sites in Mozambique, and collects similar data on wildlife conflicts, human benefits, and wildlife status.

WWF-US is committed to being a learning organization at all levels of our work, and we are currently strengthening our learning agenda. We have a sound base for this: in many ways, the contributions and best practices from BSP and GCP I and II served as the catalyst to develop a framework to improve learning within WWF-US and across our global network. Though GCP’s investment in global learning, WWF and others continue to distill lessons for the most effective large scale conservation approaches. BSP and GCP also seeded thematic learning and innovation. For example, in 2006 GCP co-funded WWF’s first Climate Camp, building capacity in conservation practitioners and catalyzing cutting edge climate adaptation projects. WWF is currently planning on holding one or more intensive, week-long training sessions to teach climate change adaptation to its conservation specialists around the world. WWF actively promotes learning between sites and among its sites and national offices. As example, WWF-US recently brought 400 local and field staff together for a Learning Week, focusing on learning and sharing across programs and operations. WWF’s learning agenda and culture within includes cross-program exchanges, with increasing emphasis on virtual learning; increased involvement in “practice centers” within WWF on emerging threats and issues such as tourism, extractives, biodiversity offsets and climate; development of a robust knowledge management system in our Network IT structure; and participation in many communities of practice with other partners such as Conservation Measures Partnership, the Conservation Finance Alliance, and the Business and Biodiversity Offset Program. The site based initiatives will contribute to and interact with ELAN in various ways. Experiences and lessons from the climate adaptation work that is piloted in the sites will feed into ELAN, where analyses across SCAPES and other sites will enable WWF and partners to develop new guidance and tools, as well as strengthening technical capacity to provide advice and support on adaptation. ELAN will also provide a vehicle to ensure that appropriate guidance and tools are made widely available for use in other parts of the world. This includes both making climate scenarios and data freely available over the internet but also efforts to look for refugia and species shifts, of wild species, crop types and fisheries, around the word.

ELAN will harvest lessons from climate adaptation projects, analyzing and distilling them in order to distribute lessons and best practices to other parts of the world. Through evaluation of evolving best adaptation practice, research, and assessment, ELAN seeks to expand on the limited existing repertoire of options for adaptation in ecosystems. The network is also developing methods to increase the participation and benefit of human communities in the sustainable implementation of adaptation actions. Thus, the knowledge exchange portion of ELAN will be a very effective way of rapidly scaling up successful SCAPES approaches, and learning from approaches that do not work so well. At the same time, the scientific base of ELAN and its learning within and across continents and biomes will enable the sites to benefit from state-of-the-art research, climate modeling, and adaptation policy and practice approaches, including technical support from WWF-US staff involved


in ELAN. This will help to accelerate sound and sustainable integrated adaptation for both ecosystems and people in the SCAPES sites. The SCAPES activities will contribute actively to testing local-level approaches to climate change adaptation, thereby contributing lessons through ELAN to be analyzed and distilled into guidance for other landscapes/seascapes, and to feed into national and international discussions on adaptation policy.

WWF-US, with CARE as a partner, will play an active role in developing a communication and technical assistance strategy in order to ensure that we capture learning, produce useful learning products, communicate lessons to target audiences, and broaden our learning from communities to landscapes to regional and global conservation. Our coordination unit will help the site and policy teams design learning activities; document case studies, learning results and tools; connect to communities of practice; and promote activities such as cross-site exchanges, and showcase results at regional and global fora. We will take full advantage of leveraging existing and proposed learning networks to scale up our learning. Most important, we will apply learning results in our future work, and encourage partner organizations and others to apply relevant lessons too. This will enable us to leapfrog forward, achieving conservation success at a faster rate and at greater scale, with greater efficiency in the use of conservation funds.

C. PROGRAM MANAGEMENT, MONITORING AND ADAPTIVE MANAGEMENT

a) Management Structure and Governance

Leader Award

The SCAPES USAID-funded Leader Award will be administered by WWF. WWF will serve as lead and Prime Grantee with USAID. WWF will appoint a Program Director, Judy Oglethorpe, with overall responsibility for directing the Leader Award. The Director will provide oversight and coordinate with each activity point person to ensure: (1) coordinated approach to the implementation of the elements presented in WWF’s technical approach; (2) coordinated implementation of activities per approved work plans; (3) coordinated planning and implementation of the monitoring, evaluation, and learning; (4) support to scaling-up for greater impact and dissemination of best practices; (5) prompt and accurate reporting with minimal burden; (6) sufficient oversight for prudent funds management with empowered activity teams; (7) overall liaison with partners; (8) staffing of a Partnership Strategy Committee; and (9) liaison with USAID and other LWA agreement holders.

Partnership

WWF is partnering with CARE to the extent possible across the site and policy programs. The two partners will collaborate for mutual success of the program (see Letter of Commitment, Annex H). As CARE’s level of involvement is different in each site and in some cases of a technical assistance nature, we have chosen not to form a consortium. Our partnership with CARE adds critical social expertise (see below) to complement WWF’s conservation capacity. WWF and CARE will form a Partnership Strategy Committee which will be comprised of two representatives from each organization. It will guide and consult on implementation of the partnership components of the Program to: (1) monitor adherence to the goals and objectives; (2) provide guidance for ongoing monitoring and evaluation; (3) identify and concur on adaptive management measures; (4) strategize on new donor/partner engagements.


Associate Awards

The Program Director will advise WWF staff and field offices on opportunities that the mechanism of Associate Awards presents, and provide support in the development of Associate Award concepts as appropriate. WWF will work with CARE to seek opportunities for our two organizations to partner in Associate Awards.

WWF Institutional Capacity

WWF operates in more than 100 countries around the world, and maintains decentralized implementation capacity in-country, with technical and financial support from both national offices and regional headquarters at WWF-US and WWF-International. WWF’s network has unique operational and institutional strength as we often have decades of autonomous, government-supported in-country presence where we work. WWF-US has identified 19 priority places – including Amazon, Eastern Himalayas, and Coastal East Africa – on which to focus our institutional efforts and financial resources. WWF-US’s comprehensive approach to conservation incorporates our foundation in conservation science, policy engagement at every level, expertise to transform global markets, and a long history of partnerships at the corporate, government and community levels.

WWF’s Field Programs division manages the US contributions for these places within the structure of our overall WWF network, and will be responsible for the overall management and supervision of SCAPES, including Program Director, Judy Oglethorpe, and Program Manager, Kimberley Marchant. This division also is the locus of institutional learning, community conservation, and partnerships with humanitarian organizations. Field Programs calls upon the various resources and experts of our Conservation Programs (Site leaders Shubash Lohani, Jon Miceler, Caroline Simmonds, Meg Symington, and Michael Wright) including US and Global Network units and key staff such as Market Transformation (Karen Luz), Conservation Finance and Conservation Planning and Design (Eric Swanson), People and Conservation Program (Judy Oglethorpe), Humanitarian Partnerships (Anita van Breda), Conservation Science and Freshwater Programs (Bart Wickel), Macroeconomics Program Office (Sarah Davidson), Policy (Jason Patlis) and our Global Climate Team (Richard Moss and Jeff Price (both Nobel Prize awardees for IPCC work); Jonathan Cook, John Matthews, and Geoff Blate).

Climate change has been a priority for WWF for more than 20 years, and the organization is a globally respected voice on climate change. WWF’s climate program focuses on (1) shaping international policy through science, (2) reducing atmospheric carbon through forest programs, (3) helping high-risk ecosystems adapt to unexpected change, and (4) helping corporations reduce their carbon emissions. WWF produced the pioneering publication Buying Time: A Users Manual to Building Resistance and Resilience to Climate Change in Natural Systems. The organization has biodiversity adaptation and resilience building projects around the world and are a major contributor to the science on climate change impacts on habitats and species, oceans and coral reefs, marine and freshwater fish and fisheries, human health, and the number and intensity of natural disasters. With IUCN, WWF is leading the Ecosystem and Livelihoods Adaptation Network (ELAN) to build capacity, accelerate application of existing knowledge, create new knowledge and additional adaptation options, and inform national, regional, and international bodies about adaptation needs and solutions.


WWF staff in the US and in the field will be instrumental in integrating SCAPES’s four technical elements – threats-based approach, sustainability, adaptive management, and scaling up – into the overall technical approach and the site activities. WWF-US, our Global Network and field staff include experts with skills in biological and social science, climate change and freshwater policy, community conservation, humanitarian assistance, institutional design, monitoring and evaluation, and financial and program operations. WWF-US, through the core Program team and site leads, will provide oversight to the management of SCAPES. Staff in WWF’s program offices in India, Colombia, Nepal, Mozambique, Tanzania, and Peru will implement, monitor, and report on the activities. In cases where WWF subgrants to community-based organizations, WWF program offices will provide technical support in designing and overseeing activities. WWF program office staff, with the support of the core team, will also organize and participate in exchange visits and regional transboundary meetings and workshops. The program offices use a Project Operation Manual and USAID Strategy Guide that will guide many of the operating standards for how they will conduct their work. Core staff will receive regular updates on site implementation and will help guide adaptive management as the program evolves, as well as ensuring that US-based leaders and field staff are fully engaged in our network for adaptive management and learning initiatives.

CARE Partnership Capacity

Few development organizations match CARE’s geographic scale, diversity and implementation capacity. Similar to WWF’s Global Network, CARE boasts a global CARE confederation with CARE International members, including CARE USA. Given the global presence of both organizations and our history of collaboration in areas of globally important biodiversity and extreme poverty, we believe that our SCAPES partnership will be powerful in working toward significant biodiversity outcomes while also meeting the needs of people.

CARE is uniquely skilled in empowering women and, thereby, entire communities. Through technical assistance to SCAPES, CARE will bolster our capacity to deliver on social sustainability objectives through their expertise in gender and women’s empowerment, governance capacity building, and community-based climate change vulnerability. In addition, CARE and WWF will work together on innovative approaches to integrating both social- and ecological-based frameworks in climate change adaptation activities at various levels.

This partnership is built on a history of collaboration in various developing countries, including Borneo, Galapagos, Mozambique, Tanzania and Nepal. In Nepal the USAID Mission is funding the SAGUN (Strengthen Actions for Governance in Utilization of Natural Resources) program to strengthen community governance structures and empowerment at the local level and promote the peace process in Nepal by improving livelihoods. The organizations also recently formed a new institutional alliance in northern Mozambique and southern Tanzania to address escalating threats to landscapes/seascapes and to the livelihoods of the people who depend on them.

CARE-USA will call on expertise from across the CARE International confederation, including but not limited to CARE’s Program Manager for SCAPES, Marcos Athias Neto (CARE USA), Becky Myton and Jay Goulden (CARE Mozambique), Alka Pathak (CARE Nepal), Bruce Ravesloot (CARE Thailand), and Phil Franks and Char Ehrhart (CARE USA).

b) Monitoring, Evaluation and Adaptive Management


As noted in the Technical Approach, WWF uses the WWF Program Management Standards to assess threats, set priorities, develop strategies, and create the set of indicators by which our interventions, activities and results will be monitored and assessed. Adaptive management is the core of our large scale ecoregional conservation approach. The process of developing priority interventions and determining performance and status indicators was developed with considerable USAID support and participation, in particular under the GCP projects. The indicators and objectives used in our projects are derived from a results chain process. These indicators are used to track short-term performance of strategies, medium- and long-term status of threats, and long-term biodiversity and social status as well. The Standards provide a mechanism for designing and carrying out regular monitoring and evaluation over time. WWF and CARE staff working in each priority landscape will design interventions for key threats, launch projects that may have some calculated risks, and learn both from our experiences and the experiences of those working in the other sites to improve our effectiveness over time. Some of these indicators will be common across sites, including gender sensitive indicators and sex-disaggregated data where possible. Other indicators will be specific to each site and project, depending on the nature of the top-ranked threats, interventions, specific actions and desired results in each project.

As part of an overall framework, we will create a plan to evaluate each project to assess the effects and impacts of our actions, track the intended results in each project, and adapt strategies and actions in each project as needed. As part of evaluating performance in each place, we will ask what is working, what is not working, what else could be done, and what is the most efficient and effective way to do it. In this way, we will continuously test innovative approaches to achieving greater conservation outcomes at various scales. We will share these lessons among other SCAPES leaders to improve overall program actions and results.

A unifying theme under SCAPES is that each of the projects will have strong learning components to ensure that the lessons from each are shared, not just to the other SCAPES projects, but to the broader network within WWF and to outside collaborators and partners as well. Through the life of SCAPES, the Program Director and Partnership Strategy Committee will lead the support and expansion of mutual learning and capacity building among regions and ecoregional initiatives. The CARE collaboration will aim to increase the capabilities of government, civil society, and community partners. We will act in a collaborative, transparent, and respectful manner with partners to advance understanding of conservation measures and achieve measurable long-term conservation success.


D. LEADER AWARD SITES Sacred Himalayan Landscape

a) Site Description

The Sacred Himalayan Landscape (SHL) is the crowning glory of the Eastern Himalayas Complex. Stretching over nine and a half million acres, the landscape extends from Langtang National Park in Central Nepal through India’s Kangchenjunga Complex to the Toorsa Strict Nature Reserve in Western Bhutan (see Annex B). It also links with one of the largest protected areas in Asia, the vast Quomolongma Nature Reserve in the Tibet autonomous region of China. Within the landscape lies an enormous variation in elevation – from the subtropical lowlands to the highest peaks of Mount Everest. The high topographic complexity and related climatic variability give rise to significant ecological gradients, and thus high ecosystem diversity over a relatively small area. Many habitats in this complex mosaic are unique to this mountain system.

SHL includes two globally important contiguous ecoregions: the Eastern Himalayan Alpine Scrub and Meadows, and the Eastern Himalayan Broadleaf and Conifer Forests (Global 200 Ecoregions, WWF 2000). These habitats support remarkable assemblages of flora including oaks, rhododendron and Himalayan larch, as well as globally threatened, endemic fauna including snow leopard, musk deer, red panda and several pheasant species. The landscape also supports ecological services critical for maintaining biodiversity, human lives and livelihoods. It hosts about 6 million people and includes a diverse array of ethnic groups.

While WWF work in all critical sites within SHL, USAID’s support will be concentrated on securing the east-west connectivity between the Kangchenjunga Conservation Area (KCA) in Nepal and Khangchendzonga Biosphere Reserve in Sikkim, India, and north-south connectivity with some of the last remaining areas of subtropical and temperate forests outside protected areas. Transboundary protection of this complex is critical to maintain biological and ecological connectivity for long-term survival of snow leopard and red panda.

b) Threats to Biodiversity

As part of WWF’s strategic planning, a threats analysis (see Table 1) and conceptual model (see Figure 2) identified the most immediate threats and drivers to biodiversity loss.

1. Habitat loss and degradation One cause of habitat loss and degradation is conversion of forests and grasslands due to agricultural expansion and encroachment. Abject poverty in the mountain communities has elevated problems related to land-use change and unchecked agricultural expansion. Much of the important critical ecosystem spaces in mountain areas fall outside protected areas. These areas, which are rich in biodiversity and connect corridors among the scattered conservation areas, face the highest degree of agricultural encroachment. Consequently, land degradation in the region is seriously affecting the predominant agro-pastoralist practices, such as slash and burn or shifting cultivation, resulting in large-scale deforestation, soil and nutrient loss and invasion by alien species.

Another threat is unregulated and unsustainable grazing practices. Pastures are an important


component of mountain ecosystems. Besides supporting globally endangered biodiversity such as snow leopards and their prey base, they provide forage for a large number of livestock, especially those of the transhumant herders in the SHL. However, the increasing number of livestock in the region is degrading the quality of available pastures through overgrazing. As a consequence, invasion of unpalatable species, soil erosion and desertification are intensifying the problems in an already climate-vulnerable ecosystem. This not only affects the productivity of livestock but also has potential to displace the wild ungulates such as blue sheep, Himalayan tahr, etc. – principal prey species of snow leopards from their preferred habitats.

The pattern of unequal access to resources and inequity in benefit sharing is the major cause of resource-based conflict in the region. Women and poor, indigenous and marginalized communities are mostly excluded from decision making processes related to resource management and benefit sharing. A lack of good governance practices like participation, transparency and accountability cuts across all non-government and government institutions. As a result of diminished access to resources and decision making processes, the indigenous and marginalized communities have very low ownership in conservation of biodiversity.

2. Loss of endangered species (flora and fauna) Poaching of endangered species, along with illegal collection and trade of wildlife parts and economically important, rare and threatened plants, is a serious problem in and outside the protected areas and across the border. Often poachers and traders cross the border through the trans-border villages, where community vigilance and border surveillance are minimal. Although acts and laws are in place and have been successful in deterring criminals to some extent, breaking the vicious network of in-country and cross-border trade is a great challenge.

Another threat is the over-exploitation of non-timber forest products (NTFPs) and medicinal and aromatic plants (MAPs) such as Cordyceps sinensis, Swertia chirayita, Allium spp. Trade in NTFPs and MAPs is the basis of livelihoods for a large number of rural people, and their collection is likely to continue for a long time to come. These resources provide local safety nets against unpredictable livestock and agricultural yields. Yet, their collection is unregulated and indiscriminate. Anecdotal evidence suggests that unsustainable harvesting has reduced the quantity and quality of many NTFPs in the wild.

Finally, human-wildlife conflict is a serious concern where communities and wild animals share mutual territories. With habitat destruction on the rise due to overgrazing and an increase in livestock populations within the predator areas, there is increasing incidence of livestock depredation and killings of snow leopard and red panda populations. Protecting the endangered red panda is important to the preservation of EHEC’s natural heritage and global biodiversity (Government of Nepal’s SHL Strategic Plan, 2006-2016). As such it is protected nationally by National Parks and Wildlife Conservation Act 1973 and internationally through the Appendix I of CITES.

3. Climate change Climate change is emerging as a major threat to the biodiversity of the SHL and can exacerbate the impacts of other threats. Climate impacts have been reported more frequently in recent years, including unpredictable weather patterns, water scarcity, decreased food productivity, increased intensity and frequency of landslides, increased numbers of stormy snowfall events and flash flooding. Climate change effects are causing environmental degradation, including biodiversity loss, loss of grass productivity and medicinal herbs due to alien invasive species, disease in fodder tress, and agriculture crop damage. Additionally, the risks of glacier lake outburst floods


are mounting as the glaciers in the Himalayas are retreating at a faster pace. Communities in the area are already being affected by climate change, and as these impacts intensify, destructive practices may increase (for example, becoming more dependent on natural resources if crops fail). Increasing human pressure will make it more difficult for biodiversity to adapt, especially as habitats become more fragmented and critical corridors are cut, preventing species from moving to higher altitudes and local refuges as conditions change.

c) Objectives and Activities

The WWF and CARE partnership will address imminent threats to biodiversity while promoting social equity, good governance and sustainable livelihoods. In Nepal, activities will be concentrated in KCA, the first community managed conservation area in South Asia, and the adjoining forest corridors of four village development committees (Papung, Surumakhim, Kalikhola and Phalaicha).

In India WWF will work in Kangchendzonga Biosphere Reserve, including Kangchendzonga National Park, and forested areas in west and north Sikkim. The Government of India is a partner in the project. Their concerns, needs and expected outcomes have informed each step of this program design. Specifically, their keen interest in participatory approaches to biodiversity conservation in the projects sites have been fully taken into account.

WWF’s strength in biodiversity conservation in the region is complemented by CARE’s strength in the areas of good governance, social inclusion, policy analysis, and Climate Vulnerability and Capacity Assessment (CVCA). This project will build on the experiences from both the Terai Arc Landscape program implemented with GCP I and GCP II funding, and the strategies identified in the government endorsed Sacred Himalayan Landscape Strategic Plan for Nepal.

Objective One: Mobilize communities for participatory resource management. WWF will build capacity of 75 existing community-based organizations to minimize

immediate threats with between half to two thirds of these groups based in the Nepal and the remaining groups based in Sikkim, India. In Nepal, the groups are Conservation Area User Groups, Community Forest User groups, Mothers’ Groups and Snow Leopard Conservation Committees (SLCCs); in India, the groups are Himal Rakshaks (guards of the mountain), Joint Forest Management committees and Eco-development committees.

Management of alpine pastures is fundamental to conserve the snow leopards and their habitats. Therefore science-based pasture management plans will be prepared for the selected most critical pastures, especially focusing on sustainable utilization of alpine meadows; and local user groups will be engaged in participatory management (rotational grazing, pastureland restoration) of these pastures. Alpine meadows are key habitats for both wild ungulates and livestock in these montane ecosystems. Revival of the traditional rotational grazing system in these pastures has been successful in the past at bringing about coexistence between wild and domestic ungulates through the spatio temporal partitioning of food and habitats in this region. Promotion of such methods in Sikkim and Nepal will serve as a successful model for other communities in both countries to replicate.

Conservation Area User Groups, Community Forest User groups in Nepal and Joint Forest Management committees in India will be supported to undertake forest and grasslands restoration (afforestation of indigenous species in the severely degraded lands, grazing regulation, fire breaks, controlled slash burn, bio-fencing) activities in potentially viable


habitats . Afforestation will be carried out by planting indigenous varieties such as Alnus nepalensis, Dendrocalamus spp., and Arundinaria spp. in severely degraded slopes (for example in landslides). This will contribute to slope stabilization while concurrently promoting natural regeneration over the long run.

Besides snow leopards, regions around the KCA are known to host the key populations of endangered red panda. In fact approximately 80% of red panda habitats are located outside of KCA. Red panda is a priority species for the Eastern Himalayan Ecoregion Complex (EHEC). Habitat destruction and a low level of awareness among local people and poaching have been identified as the key issues for its conservation. In order to address this, WWF will strengthen and institutionalize community based habitat and population monitoring/anti-poaching mechanism to ensure long-term survival of this species. Community managed red panda habitat projects will be piloted in two community forests known to be critical habitats (Topke Gola and Papung) for red panda outside the KCA within four VDCs. This concept builds on conserving wildlife while establishing the revenue sources for the communities from promotion of ecotourism. Members of Himal Rakshaks in India will be trained in ecotourism to minimize the impacts of unregulated tourism on natural resources. This initiative involves proposed habitat management of Red Panda instead of other aspects of snow leopard and its prey base management, as these aspects (mainly population ecology) are covered by ongoing initiatives in the proposed area. Also piloting community managed red panda habitat management provides us with the unique opportunity to establish financial sustainability of the local communities and also management of the red panda habitat through red panda eco-tourism.

WWF will strengthen the existing seven Snow Leopard Conservation Committees (SLCCs) and eight community based anti-poaching operations (CBAPOs) with in the KCA and five Himal Rakshaks in India, for participatory biodiversity/snow leopard monitoring and anti-poaching operations. This successful initiative will be expanded to four new sites in Nepal and India. Regular monitoring and patrolling by SLCCs, CBAPOs and Himal Rakshaks will lead to a decrease in illegal activities, including poaching and cross border trade.

Guidelines on sustainable harvesting of prized NTFPs/MAPs such as Cordyseps sinensis (Chinese caterpillar fungus), Swertia chirayita, Allium spp., Dactylorhiza hatagirea, Nardostachys gradiflora, etc. will be developed. At least 100 people will be trained on sustainable management and marketing (enterprise development, market linkage, Management Information System) of NTFPs/MAPs to ensure conservation of plant resources and improvement of local livelihoods.


Objective Two: Enhance transboundary cooperation and learning. The SHL initiative comes under the broader vision known as the Living Himalayas Network

Initiative (LHNI) that WWF is implementing within Nepal, India and Bhutan – and to a lesser extent, China (Tibet). In this region, the LHNI is specifically focused on using a series of small transboundary initiatives, such as are outlined here, to facilitate our larger, long term goal of regional cooperation with common understanding among these governments on landscape and eco-regional level environment conservation. WWF Nepal and India are already actively working towards institutionalization of transboundary cooperation and field implementation in geographically contiguous parts of SHL on matters such as biodiversity conservation, illegal trade and good governance on natural resource management. Examples of ongoing activities are regular meetings to discuss transboundary issues such as controlling grazing and encroachment, and sharing of information about illegal activities such as timber smuggling. Thus, the activities are intended to build upon the ongoing community led conservation and livelihood initiatives in KCA. In addition, ongoing work that Critical Ecosystem Partnership Fund (CEPF) has been implementing through WWF will supplement this initiative. These civil society, governmental and community linkages forged by WWF form the foundation of an already dynamic working committee centered in Sikkim, Darjeeling and Nepal. The Mountain Institute (TMI), which is implementing CEPF supported field projects that require transboundary collaboration, is a further support to WWF’s efforts and will greatly enhance implementation of the larger SCAPES project.

The gap in border law enforcement will be addressed through improved coordination and information sharing between the countries’ enforcement agencies. Communities and enforcement agencies in both countries will be mobilized to control illegal cross-border grazing, poaching and wildlife trade. Two community level and one government level transboundary meeting will be organized to enhance coordination.

This project will provide an annual opportunity to share best practices of biodiversity conservation and community mobilization between Nepal and Sikkim. Proposed meetings between the two government and community representatives are formal events to enhance the transboundary cooperation. WWF has already facilitated informal contacts and information sharing between communities in the border areas and local government officials from implementing agencies on a regular basis. Such practices will be continued through this initiative as well.


Objective Three: Pilot community based climate change adaptation projects. A community climate change adaptation project will be piloted to strengthen traditional

adaptation practices with scientific knowledge, so ecosystems and communities are more resilient to climate change. WWF will develop an integrated approach to ecosystem and community adaptation using the best practices of Ecosystem and Livelihoods Adaptation Network (ELAN) and from USAID’s Adaptation Guidance Manual. CARE will provide technical assistance.


WWF will identify and implement climate adaptation activities based on vulnerability assessment recommendations (promoting alternative energy, eco-tourism, and sustainable livelihood alternatives; promotion of multiple water use models; and monitoring climate sensitive species) in four communities that will benefit both people and ecosystems, and that recognize the interactions between the two. A computer simulated model for climate change vulnerability and its future impacts on biodiversity, water towers and hydrological flows will also be developed. Currently WWF is employing PRECIS (Providing Regional Climates for Impact Studies) model in collaboration with the Department of Hydrology and Meteorology (DHM, Government of Nepal) in the Everest region to understand climate scenarios in the Himalayas. This model will be useful in devising science based adaptation strategies that WWF is in process of piloting. For example, a habitat simulation model is being developed which will bring understanding of the potential shift in snow leopard and blue sheep habitats due to climate change. This activity will reinforce ongoing effort in gathering additional data and more rigorous data analysis, for application in adaptation planning. WWF plans to mobilize the expertise available within WWF Network and other national and international partners to achieve this. Besides WWF, the model will be used by Department of Hydrology and Meteorology (DHM), Government of Nepal and other NGOs working in climate change sector and communicated locally and nationally to generate Climate Change awareness and understanding. WWF will initiate this activity, but will also try to garner additional support as available and required. WWF will collaborate with DHM and WWF US in the same manner. In addition to this, WWF is one of the strategic partners of ICIMOD, and therefore have both mandate and nurtured relationship to collaborate in this regard.

Objective Four: Ensure equitable benefit sharing and access to natural resources. CARE will provide technical expertise on good governance, community empowerment and gender equity based on experience from the USAID funded SAGUN project. Activities will focus on empowerment and capacity building of women, as well as indigenous, marginalized, and poor people to build awareness of policies and institutional mechanisms related to management, equitable benefit sharing and access to natural resources.

WWF will provide leadership skills training to 40 potential leaders from traditionally excluded communities, enabling them to take on leadership functions in user groups, conservation committees and buffer zone councils.

WWF will promote a rights-based approach with particular focus on securing rights of indigenous people to natural resources.

Best practices on gender analysis, inclusion, equity and good governance in biodiversity conservation and natural resource use will be shared across project staff and partners. Civil society actors will be oriented on social dynamics, power relations, good governance and conflict management at local and landscape levels.

Policy discourse will be organized between indigenous and local communities, civil society actors, government authorities and policy makers to make policies pro-poor.

d) Sustainability

The project adopts a landscape approach and will take appropriate measures to maintain a viable population of snow leopard, conserving the species within its large range. Additionally, the


management plan and NTFP sustainable harvesting guidelines produced will continue to guide the communities in sustainable natural resource management, ensuring ecological sustainability. The project will gradually work toward connecting the mountain protected areas with viable corridors to ensure long-range ecosystem function and survival of endangered flora and fauna. Reducing human pressures in the area will also assist biodiversity adaptation to climate change.

WWF intends to build measurable capacity within community-based organizations that will extend beyond the life of the project. Resource personnel trained through this project will promote replication of sound land and resource use practices in the wider community, thus facilitating and sustaining the changes brought about by the program. In Nepal, the Kangchenjunga Conservation Area Management Council (KCAMC) now has the authority to design and implement biodiversity conservation projects on its own. Being a project implementer will enhance their skills and boost their confidence in managing the conservation area. Further, institutionalization of good governance, gender equity and community empowerment in community-based organizations will help establish sustainable management systems and an equitable society.

Sustainable resource management, NTFP enterprises and ecotourism initiatives will establish a regular revenue stream for community based organizations, ensuring their financial sustainability to continue conservation activities in the future. Endowments from matching funds will be created mainly to support community based snow leopard monitoring systems and community based anti-poaching operations. KCMAC’s enhanced capacity will stand it in good stead to raise funds from national and international institutions to support its future operation.

e) Adaptive Management

As a part of the WWF Network, WWF field offices in Nepal and India practice WWF program standards based on an adaptive management approach. The project will adopt a three-tier monitoring system – participatory monitoring of activity progress by project beneficiaries; monitoring of progress, effectiveness and results by field offices; and output level monitoring by country offices. Overall monitoring will assess progress, quality and effectiveness of project inputs, implementation processes, results and outcomes and lessons learned. Findings will be used to track progress, adjust strategies when needed, and adapt to new threats, opportunities or changing circumstances. Monitoring will be based on output and impact indicators defined in the M&E framework developed in the beginning of project implementation.

f) Scaling Up

The KCA offers an excellent “best practice” pilot for building local conservation capacity throughout the region, and its success can inform the management of other areas within the SHL. The activities of this project can be scaled up to secure connectivity between KCA and the Makalu Barun National Park to the west in Nepal. The outcomes of this project will be significant in scaling up our work in other sites with relation to climate change adaptation, and will also feed into Nepal’s National Adaptation Plan of Action (NAPA). Innovative ideas like community managed red panda habitat will be scaled up the initiative to a regional level (both in other sites in Nepal and India) to benefit red panda and the communities. Experience sharing visits are also anticipated to generate ideas for scaling up best practices in Sikkim and Nepal.

g) Project Implementation in Sikkim


Sikkim has been politically sensitive since 1974, but the situation has changed with China’s recognition of Sikkim as a part of India in the last several years. Though USAID has not funded projects in Sikkim before, there is a working relationship between the USAID India Mission and WWF India, through WWF’s CEO Mr. Ravi Singh, and Director of Conservation Ms. Sejal Worah. Throughout the duration of this project the point person will be Dr. Dipankar Ghose, Head, Eastern Himalayas and Terai Arc programs. Dipankar is based in the WWF India Secretariat in New Delhi. Prior to moving to Delhi this year, Dipankar spent the last four years running WWF’s multidonor sponsored field projects in Sikkim based out of Gangtok. WWF India does have an FCRA account and has received funds from dozens of international organizations for years.

WWF India has a well established working partnership with the State Government of Sikkim and has already acquired a permission letter to work in Khangchendzonga Biosphere Reserve from the relevant government agency. A scanned copy of this permit is attached to this proposal. They are our partner in this project. Their concerns, needs and expected outcomes have informed each step of this program design. Specifically, their keen interest in participatory approaches to biodiversity conservation in the projects sites have been fully taken into account. They will also take part in M&E throughout the project.

All foreign nationals need a Restricted Area Permit (RAP) to visit Sikkim. When and if USAID affiliated foreigners or foreign national from other WWF offices wish to visit Sikkim, such permits can be easily procured from Sikkim House in Delhi or Kolkata and today, given the lax situation, one can also get them in Siliguri located just an hour or so drive from the Sikkim border. WWF-India will keep USAID (including staff both in DC and the Mission in Delhi) informed at all stages of the project and will assist USAID staff in procuring the permits at the time of project site monitoring visits.


Table 1. Threat assessment and ranking for the Sacred Himalayan Landscape.


Figure 1. Conceptual model of the threats and drivers affecting biodiversity targets in the Sacred Himalayan Landscape.


Ruvuma Landscape

a) Site Description

The Great Ruvuma Landscape of Northern Mozambique and Southern Tanzania is an extensive transfrontier area flanking the Ruvuma River (see Annex D). It embraces outstanding parts of four WWF Global 200 ecoregions: the Southern Inhambane-Zanzibar Coastal Forest, East African Mangroves, Eastern Africa Marine Ecoregion, and Eastern Miombo Woodlands and Savannahs. The landscape spans part of southern Tanzania, and northern Niassa and Cabo Delgado provinces in Northern Mozambique. Two prominent wildlife corridors connect the Selous Game Reserve in Tanzania with Niassa GR in Mozambique, and another corridor connects Niassa Reserve and Quirimbas National Park (PNQ). The Selous Reserve is the largest protected area in Africa, forming a major wilderness area with high plant, bird, reptile and mammal species diversity. Vegetation is dry miombo woodland bordering on East African coastal forests, an important ecoregion that also is adjacent to the East Africa Marine Ecoregion to the east. The botanically rich Coastal Forests and vast Miombo Woodlands provide the largest remaining unfragmented range for threatened wild dog, lion, leopard, eland, roan, black rhino and savannah elephants. Isolated inselbergs (rock hills or knobs) in the area contain rare and endemic plant species. Endemic fish species have recently been discovered in the Ruvuma River.

The full economic potential of this biological wealth has not yet been attained by the populations of Mozambique and Tanzania. In Mozambique, life expectancy is 38 years, and per capita income is $150 per year, with many in rural areas living on less. In Tanzania, life expectancy is 51 years and 80 percent of the population derives their livelihoods through agriculture. Food insecurity is a characteristic of the landscape, exacerbated by human-elephant conflict.

The project will work in the following areas (see Annex D): Quirimbas – Niassa Reserve Corridor in Cabo Delgado Province. Niassa Reserve – Lake Niassa Corridor in Niassa Province, consisting of the Chipanje Chetu

community managed hunting concession area. Niassa Reserve – Selous Eastern Corridor in Tanzania.

These corridors include: Several villages in the Nairoto area of western Cabo Delgado Province (15,000 residents). 6,000 residents of the Chipanje Chetu community-managed concession. Community-based Conservation areas (CBCs) are under development that will benefit over

10,000 community members on the Tanzanian side of the border.


The Ruvuma Landscape is undergoing an extraordinary transformation that could either lead to ecological and social degradation seen elsewhere in Africa, exacerbated by climate change, or a more secure future through protection, management, and sustainable use of the unique natural assets now at risk. The demands on this landscape are so great that trade-offs among the services and values have become the rule. The challenge is compounded as growing degradation reduces the landscape’s ability to support livelihoods, economic development, and economic opportunities. This combination of ever-growing demands seriously diminishes the prospects for achieving core development and sustainability goals, including those of the Millennium Development Goals and Millennium


Ecosystem Assessment. The need to identify and mediate these trade-offs is critical in securing sustainable ecosystems and livelihoods (see Figure 3).


1. Changing land use patterns The Governments of Mozambique and Tanzania are undertaking a new pace and approach to economic development. Along with Malawi and Zambia, they signed the Mtwara Development Corridor Agreement, which commits them to development of the region. Programs are underway to pave north-south and east-west roads in Tanzania and Mozambique. The Mtwara Corridor development initiative also increases east to west development across the landscape, including a railway line, port development, large scale tree plantations for pulp and paper production and large biofuels plantations. Petroleum exploration has begun on both sides of the border, with natural gas extraction underway north of the border and exploratory drilling to the south. Current and proposed investments in the region could present a major opportunity for livelihood improvement to the rural communities located in the region. However, identification and management of trade-offs among various uses of resources is key to ensuring sustainable development of the region. Unmanaged growth can lead to ecological devastation, increased exhaustion of the resource base, fragmentation of habitats and isolation of populations and increased economic imbalances. To avoid this and promote sustainable solutions, it is critical to promote a process that ensures transparency and good governance, as well as equitable use and distribution among stakeholders of the benefits or resources derived from the landscape.

2. Climate change Climate change is a threat to biodiversity and is already felt in the Ruvuma by communities whose livelihoods are tied to its natural resources. Greater rainfall variability, with an increasing number of violent storms, means a higher risk of stochastic events such as floods and droughts. For example, just south of the Ruvuma in Angoche, Cyclone Jokwe caused widespread havoc in 2008, including loss of the entire island of Buzio, with 400 houses, 1,000,000 cashew trees and uncounted forest trees. In the Quirimbas National Park in 2005–6, variable rains meant that farmers planted twice and watched their crops die when the rains failed. Severe weather events force poor rural people to resort to emergency hunger alleviation alternatives, largely based on direct use of natural resources (i.e., hunting, fishing, or wild food gathering).

3. Resource extraction The expansion of large scale agriculture, along with the exploration and extraction of petroleum, is driving habitat loss and fragmentation. At particular risk are the East African coastal forests, a set of tiny forests found on the coastal belt, often imbedded within a larger habitat mosaic of farmland, savannah-woodland, and thickets. The small size and fragmented nature of these forests means they will come under increasing stress. If habitat is further fragmented by human development, there will be no gradients along which species can migrate and survive; and connectivity, which is vital for wide-ranging species and local endemics, may be lost.


The goal of this program is to make three wildlife corridors operational, thereby providing connectivity between areas with critical biodiversity value within the Ruvuma Landscape. This is part of WWF’s overall threats-based conservation strategy in the Coastal East Africa ecoregion (see Figure 4). Corridor development is an important first step in developing sustainable land-use planning for conservation of wide-ranging species, buffering climate change effects, reducing habitat fragmentation, and promoting compatible economic activities to promote development alongside sustainable resource use and management. Biodiversity corridors also maintain home


range areas for species like elephants and wild dogs and other predators, thus reducing the risk of biodiversity loss, while providing space to reduce human-wildlife conflicts.


Objective 1: Help stakeholders along corridors gain a clear understanding of opportunities, risks and vulnerabilities due to climate change along corridor areas. Improved land use planning,

focused development, lower levels of crop damage, and support to communities in planning disaster risk mitigation strategies in response to climate change will mean decreasing need for local communities to resort to emergency survival strategies that inevitably lead to increased pressure on natural resources. Specifically, lowered incidence of elephant human conflict will reduce revenge killing of this species. Improved zoning of croplands and villages will mean clearer definitions of wildlife priority areas and less friction over the long term. Lastly, better food security will mean less recourse to survival strategies such as hunting and particularly trapping. Trapping of bushmeat species is very damaging as it is not selective and threatens rare, endangered female and young animals as well as the targeted older males. Improved food security will reduce the amount of indigenous forest felled for cropping, protecting timber species as well.

CARE will undertake a vulnerability assessment in 15 affected communities along corridor areas so local residents can develop adaptation strategies that take into account existing pressures on priority biodiversity. The analysis will be based on CARE’s Climate Vulnerability and Capacity Analysis tool (CVCA). This tool analyzes vulnerability to climate change, risk, and resilience; and it strengthens communities’ adaptive capacity to respond to climate change. The CVCA will: (1) analyze livelihoods of vulnerable communities and climate-related challenges they face; (2) help communities understand climate risks and identify resources available to adapt; and (3) design and carry out adaptation strategies that also consider biological risks. The CVCA uses the Participatory Research Assessment (PRA) methodology and includes well-tested tools (results are segregated by gender) to analyze vulnerability and propose adaptations to climate change, such as semi-structured interviews, resource mapping, gender/vulnerable group analysis, cash flow diagrams, community timeline, risk mapping, livelihoods strategy ranking, and vulnerability ranking. CARE’s CVCA tool and PRA activities will be the first step necessary for WWF to implement management techniques to conserve biodiversity in these corridor areas, outlined in Objective 2. Activities like resource mapping will identify key forest areas within the East African coastal forests ecoregion in need of protection, but are currently under stress from fragmentation and expanding farmland. The CVCA, when combined with WWF’s analysis of biologically significant and vulnerable areas, can help avoid adaptive strategies that work for people in the short term but increase the threat to species and ecosystem services, and hence undermine both human and ecosystem wellbeing in the longer term. For example, should the vulnerability analysis point to the need to alter cropping systems or selection of cultivars, the choices need to consider biological factors, as well as human needs.

CARE, together with the communities, will use the following analyses and activities to help communities understand the risks from climate change and to design and carry out risk reduction and adaptation strategies: climate resilient livelihoods; disaster risk reduction strategies; local capacity development; addressing underlying causes of vulnerability; and design of adaptation strategies and activities. Community adaptation


planning will address ways to reduce pressures on biodiversity, thus strengthening the resilience and adaptability of both wildlife and human communities. Results will be shared with important stakeholders in a series of seminars.

Objective 2: Assist stakeholders along corridors in implementing the management techniques necessary to establish and maintain biodiversity corridors over time, while helping to improve food security.

Land use planning that engages local communities is the basis for establishing appropriate land uses in the corridors that do not prejudice the wildlife. But selection needs to be compatible with sustainable resource use (conservation agriculture, community development activities, eco-tourism) and hence better conserve wildlife habitats and maintain population connectivity, while at the same time addressing elephant corridor needs in the region. The zoning of large areas, such as the corridors, ensures that each sub-zone has its most appropriate land use promoted and improves the separation between incompatible land use activities, such as human use areas and areas exclusive for wildlife conservation.

The project will focus on appropriate zoning for human use (which include crop fields and residential areas) and for wildlife, in areas around at least 15 villages along the corridors using participatory techniques. This zoning is done using community mapping and participatory rural appraisal techniques. The final zoning and sub-zoning plans should insure that crop field areas are well defined/grouped into defensible blocks, have room for expansion over time, and will not expand into coastal forest habitats. Zoning maps will be produced, including data from ongoing collared elephant movement studies, and will be discussed and filed with relevant departments of the Ministry of Agriculture. Elephant/biodiversity corridors are an important element of the climate change strategy in northern Mozambique, as they allow genetic movement between increasingly separated populations. While early results of radio collaring in the PNQ show that elephants in fact do not migrate along the corridor, the populations resident in the corridor do maintain a genetic link between the PNQ, the coast, and the Niassa Reserve. Data have shown that elephants migrate from the Niassa Reserve to the Selous, however, crossing the international border between Mozambique and Tanzania. As with elephants, so with smaller species and even plants, which will migrate generationally along gradients of temperature, rainfall, and elevation as climate changes. Human activity to cut or break these corridors is the main threat, and thus the focus on community engagement. Special mention must be made of coastal forest mosaics, which by their very nature are already fragments within a wider Miombo landscape. Corridors that contain a diversity of landforms and habitats offer their best hope of survival.

Human-elephant conflict mitigation (HEC) programs, including defense of zoned crop fields using chili-pepper based techniques, will be implemented according to a mitigation plan using the most appropriate methods per zone. The project goal is to keep field damage under 5 percent by year 3. The new project will apply/learn from the HEC mitigation experiences in Quirimbas National Park. Diminishing human-elephant conflict is critical both to reduce political pressure for widespread culling and to increase food security.

Human use zones will promote a conservation agricultural program developed in Quirimbas National Park that consolidates farming activities into more coherent and compact units, thereby leaving more land available for elephant corridors and making farms more easily defensible from crop raiding. Conservation agriculture ensures that fields stay fertile and have greater soil moisture, providing higher yields per hectare and producing much longer than under traditional shifting agriculture. It is expected that climate change will makes these


techniques even more essential in the future. Early management burning programs will be under way in 15 corridor villages. WWF has found patchy distribution of different populations or metapopulations of elephants

across the Ruvuma landscape, with water-driven movements across the Ruvuma River between Niassa Reserve and into Tanzania. In the Quirimbas-Niassa Reserve corridor area, collared groups have moved in an average radius of 8 km between 2007 and 2009, indicating genetic, small group movements, rather than large seasonal migrations. WWF will protect specific elephant habitats across the landscape (e.g., Quirimbas, Kiongo, Pundanhare, Niassa Reserve, and Chipandje Chetu) to ensure populations do not get isolated and that habitats are not too fragmented to stop genetic movements. Similar efforts will be undertaken in Tanzania, with experiences shared between the countries.


Objective 3: Help communities develop and implement climate change adaptation plans and strategies, and develop links to appropriate government structures through policy engagement at appropriate governance levels (local to global).

Community education and organization, crop field zoning, and wildfire management are essential for improved conservation and livelihoods, and are fundamental first steps in entering REDD carbon markets. WWF is a player in the evolution of the national REDD carbon development strategy. Now we propose to bring these components together in a focused, communicative, inter-connected way to support the wildlife corridor development initiatives, and to integrate these biodiversity corridors into policy and governance activities supporting regional development planning initiatives (e.g., the Mtwara Development Corridor). CARE will lead this.

CARE will work with community level structures to establish Risk Management Committees (CGRs) in at least 15 corridor communities. Plans will be written and signed by community representatives, and will be on file with relevant government institutions. Examples of community resilience and adaptation activities include the diversification of cropping patterns, development of early warning systems or development of seed banks to assist people who lose seeds due to flood or drought.

If necessary, the project will support communities to implement adaptation plans. WWF will monitor how the REDD carbon dialogue is progressing at the global level. REDD

discussions are quite advanced in Tanzania and within Mozambique, the REDD carbon dialogue has been gaining momentum. Several landmark events have occurred. The first was the acceptance of Mozambique into the World Bank’s Forest Carbon Partnership, with financial assistance in document production provided by the Norwegian embassy. More recently a South-South partnership between Brazil’s Bolsa Florestal and the REDD Focal point within the Ministry of the Environment has begun, with a one year timeline to establish a REDD carbon strategy, develop in-country REDD strategy, and launch several REDD carbon pilot projects. WWF sits on the steering committee for this process. If deemed feasible by WWF international experts, Bolsa Florestal experts from Brazil, and the in-country teams, three REDD carbon pilot project areas in corridor areas will be chosen for drafting project proposals. One key decision will be the selection of the carbon broker and the development of fair trade mechanisms to guarantee socially just levels of benefit to communities. If projects can be designed to provide benefits at a more local scale, REDD is especially attractive because it can then be more widely applied and provide revenue where more traditional approaches, such a safari hunting and tourism, are challenging or it can supplement those revenue streams. Failing this or in the interim,


Safari Hunting and/or community based tourism projects will be developed. The selection of the approach is a matter of both community desires and a candid analysis of the potential of the resource base to support such an enterprise. One potential partner in undertaking this analysis is Technoserve, with whom WWF is developing a collaborative relationship in Mozambique and has capacity in community tourism. These options were chosen based upon previous USAID-sponsored design and planning work implemented through the Northern Arc Tourism Project. Community Safari hunting projects also have a history in Mozambique and an extensive history in Tanzania, and WWF has ample experience to draw upon with the LIFE project in Namibia and across southern Africa. One output of the project will be a detailed feasibility study prepared for the chosen option.

d) Sustainability

A number of current or planned programs in the region provide an opportunity to sustain and leverage activities on a larger program level. For example, there is investment by the French AFD and USAID in Quirimbas National Park; a Millennium Challenge Corporation program in the landscape; and MCA-T/MCC for Policy work in Tunduru and Songea in Tanzania. Beyond donor funding, there is continued interest by private sector partners in hunting and tourism concessions. Conservation trust funds are in development in both Mozambique and Tanzania, and the French government is considering a debt for nature swap (under C2D) for Mozambique.

The current and long-term vision of the WWF-CARE Alliance in the Ruvuma basin will launch a broader institutional collaboration, to develop a transformative and replicable model for development through sustainable resource use by linking institutions, policies, markets, local-to-global governance mechanisms and stakeholders, basically linking livelihood improvement approaches and conservation approaches.

The project will work to promote long-term financial solutions including payments for ecosystem services, through REDD or local payment schemes, as well as hunting and/or tourism. The Governments of both Tanzania and Mozambique have established Designated National Authorities and are preparing to take advantage of the opportunities provided by the developing REDD carbon markets. In both countries WWF is strongly involved with the governments to provide the needed support for REDD to succeed. At the moment Tanzania is moving forward more quickly on REDD and Mozambique can learn from that experience in building this potential source of sustainable financing.

Biodiversity corridors are already key strategies adopted by governments in both countries, providing a legal environment conducive to sustaining program success. With active field and policy programs in Tanzania and Mozambique, WWF will act as a bridge, sharing positive and negative lessons with counterpart agencies and communities across the border. Experience from a culturally appropriate approach to conservation agriculture has been developed in Quirimbas National Park and can be shared with communities in the Selous-Niassa corridor. Similarly, policy insights from WWF’s work with WMAs in Tanzania can be adapted to Mozambique. The two emerging trusts funds can learn from each other. The sustainability strategies will be developed for all corridors within appropriate legal frameworks for each country.


Sustainable development is harmonious development that considers the ecology of the environment with the human ecology at hand. When discrimination and violence are present, neither humans nor ecosystems can thrive. Thus the program will promote gender equity (including a zero tolerance policy for domestic violence), equitable sharing of benefits, governance and transparency, and rights according to United Nations Universal Declaration of Human Rights. While WWF strives to address social concerns in all its work, the alliance with CARE adds critical experience with community participation, gender sensitive development and the ability to analyze sometimes invisible power relationships. At the village level, both CARE and WWF have developed strategies and policies to ensure broad based participation, the inclusion of the poorest 50% in decision making processes, and gender balancing of activities.


Transboundary issues will require special attention. This Ruvuma is a true wilderness area with only a few points of contact and the border can be difficult to cross. Divided by historical experience and language and seen as the hinterlands by distant governments in both Dar and Maputo, the Tanzania-Mozambique border has been the political divide between Eastern and Southern Africa. Yet shared cultures, ethnicities, livelihood patterns, geography, and developmental challenges all work to bring the area together. In order to work “together and yet apart,” initial planning sessions will be held with government, NGO and community partners, with regular meetings for cross-border learning and exchange to occur. The reality is that both governments share many problems and approaches in common and WWF and CARE work actively with both. WWF’s experience in numerous settings has shown that a “soft” approach, such as the development of a shared large scale conservation vision, can be an effective, indeed an essential, precursor to more formal transboundary cooperation, programming and engagement. Not only has this border area become the focus for a major CARE-WWF Alliance that will be formalized at a meeting in Dar in August, but we have open discussions with Flora and Fauna International, working in the Niassa Reserve, and the Aga Khan Development Network which is targeting the northern coast of Mozambique to broaden engagement in the visioning process. We believe that until a shared vision is built between the key governmental agencies, each country will proceed at its own pace, while we support regular moments for meeting and exchange, coming together, sharing and planning, and moving apart for some time to get the work done. A key role for WWF is to encourage and sustain this process so that shared cross-border programming and collaboration will become a key outcome, not the starting point of this project.


To facilitate institutional learning, annual risk seminars (where livelihoods and biodiversity risks are analyzed using participative methods at the community level) and at least two exchange visits will be conducted to allow Tanzanian and Mozambican communities to share experiences and strategies.

Program monitoring by WWF under WWF’s Program and Project Management Standards will be applied. The project will develop a comprehensive M&E plan that will measure the impact and achievements of the project per project goal and objective. The M&E plan will have its own budget to allow M&E activities to happen independently from project activities. Monitoring is done annually and feeds into the annual review of projects and annual planning of activities and budgets, enabling the application of results and lessons in order to adapt and increase the project’s effectiveness as it moves forward. The M&E plan will seek to monitor both social as well as biodiversity targets and indicators (a program that evaluates social metrics is currently in place in sites in Mozambique and will be built upon). The results of the monitoring will be directly used by WWF for adaptive management of its work over the life of the project but also as the basis for lessons learned to be shared by agencies and partners in both countries.


The program will have a cross-border steering committee that meets regularly and is involved in the M&E of the project as well as the annual planning and approval of larger project decisions. The key partners and stakeholders of the program will be on this committee to ensure ownership and lesson learning as well as sharing of information.

A key role for WWF is to share information gained in different settings with local partners. Broad policy experience with programs like WMAs in Tanzania and CBMRM projects across southern Africa will be shared with appropriate government agencies in Mozambique.

At the same time, for activities under Objective Two, at the field level monitoring will be implemented using existing tools developed in the Quirimbas National Park, such as the Event Book system in use in the Namibia LIFE project. Indicators will include crop fields damaged per year, human deaths per year, number of early burns per year, and others. CARE’s approaches to vulnerability or ways to address elephant-human conflict will be shared at both the community and national level. WWF-US will also provide technical support to monitoring across all objectives, for drawing lessons and adapting them to other settings.

f) Scaling Up

Work at the Ruvuma Landscape level will allow key climate change strategies to be added to existing biodiversity protection work, and will allow for testing new approaches and methodologies to “operationalize” on the ground corridor development and disaster risk mitigation policies and strategies. Lessons learned will be shared with the WWF and CARE climate networks. In turn, these networks will share experiences with program staff.

The Ruvuma project is a part of a larger effort in this landscape within which WWF, government departments, and other partners are already working. There are a number of ongoing initiatives to organize development of the Ruvuma Landscape in a biodiversity- and people-friendly manner. Partners in Mozambique include the INGC (Instituto Nacional de Gestao das Calamidades), the Society for Management of the Niassa Reserve, and the Quirimbas National Park Administration. In Tanzania, WWF has worked with GTZ in developing management interventions for wildlife corridors, as well as CBC interventions to establish Wildlife Management Areas. Currently, a joint CARE/WWF initiative is underway in the Eastern Wildlife Corridor, and a new institutional partnership between WWF-US and CARE-US is being launched in the region, providing the foundation for scaling-up the partnership to a global level.


Figure 2. Threat map of Coastal East Africa. Red represents areas under the greatest threat, while green represents the least threatened.


Eastern Cordillera Real

a) Site Description

At the crossroads of the Amazon, Andes and Pacific, the Eastern Cordillera Real (ECR) spans more than nine million hectares of the western arc of the Amazon basin, from southern Colombia to the Huancabamba depression in northern Peru (see Annex F). The ECR’s complex topography, highly variable climatic conditions and bio-geographic history have created 29 different ecosystems from mountain glaciers (Cotopaxi, Cayambe and Chimborazo), mountain grasslands (páramos) and cloud forests, to lowland forests. This complex landscape gives rise to the greatest biological diversity in South America where more than 140 species of amphibians (61 endemic), 1,145 birds (117 endemic), 250 mammals and 7,000 flowering plants have been recorded. The ecoregion maintains large expanses of unbroken forests, which are critical for the survival of vulnerable species, such as

hemispheric and regional migrants, and threatened, endangered and endemic species.2

In addition to this immense biodiversity, these montane ecosystems are strategically important for the provision of key environmental services for more than one million people of Colombia, Ecuador and Peru, in the form of drinking water, irrigation and hydroelectric generation for indigenous communities, rural settlements and small to medium sized urban centers. The páramos and cloud forests of the Amazonian slopes contribute to the hydrological regulation of major tributaries of the Amazon (Caquetá, Putumayo, Pastaza, Napo, Ucayali, Santiago, Chinchipe and Marañón), and therefore play a crucial role in the maintenance of the ecological dynamics of the Amazon biome.


Although 75 percent of the natural cover of the ECR is still intact, a result of the inaccessibility of the ecoregion, the ECR is poised for a potentially dramatic transformation in the coming years from multiple pressures ranging from large-scale infrastructure projects to mining and petroleum development and ill-planned agricultural projects that will likely increase current rates of ecosystem loss and fragmentation. Development projects such as these are also expected to lead to new colonization and settlement, bringing with it further loss of forest cover. Together, these transformative forces will reduce the current ecological integrity of the region and, in so doing, reduce its resiliency to the expected manifestations of climate change, while potentially exacerbating regional climate changes, the number one threat facing the region (see Figure 5).

1. Massive shifts in the distribution of ecosystems and species. In 2008, WWF and Fundación Natura completed a climate change vulnerability analysis for the ECR. The study revealed that significant shifts in precipitation and temperature will affect the distribution of ecosystems throughout the ecoregion, along with the plant and animal composition of each ecosystem. These changes may eventually result in local extinctions of vulnerable species, and will undoubtedly impair environmental flows of critical importance for the Amazon biome. According to analyses, three sites (Alto Fragua – Indi Wasi National Park in Colombia, the Sangay – Llanganates biological corridor in Ecuador, and the Tabaconas Namballe Sanctuary in Peru) and

2 Regional migrants include the golden-plumed parakeet (Leptosittaca branickii), a creature adapted to regional migrations over a wide altitudinal range. Species such as the red-bellied grackle (Hypopyrrhus pyrohypogaster) are threatened and endemic to the region. Large blocks of forest and paramo of the Amazonian


slopes of the ECR provide critical habitat for endangered and emblematic species such as the Andean bear (Tremarctos ornatus) and the mountain tapir (Tapirus pinchaque).


their buffer zones were identified as among the most vulnerable, and adaptation measures are needed for their effective management (see Annex F).

2. Large scale infrastructure development Road, waterway and port development aim to enable greater economic integration across the Andes, Amazon and Pacific, especially as part of the Initiative for Regional Infrastructure Integration in South America (IIRSA). Further compounding these threats to biodiversity is increased development of mining and oil exploitation in some areas, driven by increased demand for commodities and energy. Ecosystem fragmentation and biodiversity loss is likely to directly result from this development, while increased access from road, waterway and port development generates indirect impacts such as colonization and expansion of the agricultural frontier. Forest loss and fragmentation would limit the capacity of ecological communities to adapt to new climate regimes, potentially resulting in cascading effects of unprecedented magnitude.

3. Over-exploitation of forest resources Since the 1960s when access roads opened the ECR to colonization, over-exploitation of forest resources and unregulated extraction of natural resources have represented a serious threat to biodiversity. Poor timber extraction practices (both legal and illegal) degrade forests facilitating conversion of harvested areas to agriculture or pasture. Intensive logging leads to clear-cutting or deforestation, and is directly linked to loss of habitat and species. These practices decrease livelihood opportunities for forest based communities, increase carbon emissions, induce changes in hydrological dynamics, and further compound the impacts of climate change.

Cattle ranching, industrial forest and agricultural plantations, and unsustainable small scale agricultural practices further compound impacts on biodiversity of the three top-ranked threats described. The extensive and growing pressure from cattle ranching is of medium concern; however, it remains a threat that needs to be addressed. The growing presence of industrial forest and agricultural plantations throughout the ECR remains a medium threat to ecosystem integrity. Both the expansion of cattle herds and plantations are driven by national and regional economic development. Of slightly less importance are unsustainable small scale agricultural practices. However, this threat can be quite important locally, and can be important for indigenous communities living in the ECR. Small-scale agriculture also provides food security needs for the region and an opportunity to promote conservation friendly production systems.


The goal of this site activity is to maintain the resilience of the ECR’s mountain and lowland forest ecosystems and their biodiversity values to climate change. To achieve this goal, a climate adaptation strategy is needed that combines on the ground measures to lessen the impacts of climate change with the strengthening of a policy and institutional framework that influences the drivers of environmental change that compound the potential impacts of climate variability.

The project objectives will be achieved by working at multiple scales. WWF has chosen three areas for site-specific actions that are located in some of the most vulnerable watersheds of the ECR, according to the 2008 assessment carried out by WWF/Fundación Natura (Caquetá, Pastaza and Chinchipe river basins). Although these three areas are not transboundary or contiguous, WWF actions on the ground at these particularly vulnerable sites will be magnified by policy work at the national and regional level and will contribute significantly to conservation of the ECR ecoregion as


a whole. Actions in Objective 1 and 23 will target local institutions and stakeholders to develop and implement adaptation strategies that promote a mosaic of land uses where fragmentation is minimized and connectivity is maximized. This type of development mosaic will offer an alternative paradigm based on maintaining forest cover, encouraging the adaptation of existing protected areas to climate change, and promoting land uses that are less vulnerable to climate variation (e.g., intercropping4, soil management, and silvopastoral5 systems). Objective 2 will build capacity for proactive adaptation and broaden the impact of project actions through dissemination among a community of climate adaptation practitioners building on considerable experience in developing participatory stakeholder engagement processes and capacity for more effective citizen participation.


Objectives 3 and 4 target policy and institutional interventions at regional, national and international scales to ensure climate change considerations are included in national development policy frameworks. These actions will ensure that site-specific actions have a broader impact and that lessons learned are applied in other priority regions, reinforced through policy action. This will be achieved by working with key institutions at the national level in Colombia, Ecuador and Peru (national environmental authorities, National Parks, and the National Institutes of Hydrology and Meteorology) as well as regional financial institutions and the Community of Andean Nations (CAN). At the same time, we will work within each landscape to build capacity to influence decision making processes and land use planning as described in Objective 2.

Objective 1: Ensure protection and management of key landscapes and ecosystem services to reduce vulnerability to climate change. Maintaining current vegetation cover in the ECR’s upper

and middle portions is critical to ensure the adaptive response of local biodiversity to new climate scenarios. For example, connectivity of forest patches along altitudinal gradients is essential for enabling wildlife mobility and plant dispersal. Similarly, the maintenance and restoration of vegetation cover is necessary for regulating the hydrology and the continued provision of freshwater-based ecosystem services. Site-specific actions target the most vulnerable river basins of the ECR and given the significance of these Amazon tributaries for ecological processes at the regional scale, and for the provision of ecosystem services to downstream users, the impact of local interventions will generate regional-level impacts. With the involvement of institutional partners and indigenous communities, a two-pronged approach will be carried out to ensure that highly vulnerable landscapes and associated environmental services are adequately managed and protected in order to increase their resilience to climate change. One component will include landscape analyses and modeling, while the other will focus on on-theground conservation interventions.

Downscale climate vulnerability analyses, as well as quantify and value ecosystem services in the region under current and future land use and climate scenarios.

Identify and delimit new conservation areas and incorporate climate adaptation measures in the management plans of existing protected areas.

Support National Parks authorities for the participatory design and implementation of management plans for the region’s protected areas that incorporate actions to maintain resiliency of forest ecosystems likely to be affected by climate change, including the

3 This objective has been incorporated to make more explicit the site level actions and anticipated results related to capacities and

governance.4 Intercropping: simultaneous farming of two or more crops in the same space within the same growing season. 5

Silvopasture: practice of combining forestry and grazing in a mutually beneficial way. If done well, silvopasture can help enhance soil protection and increase long-term income resulting from the simultaneous production of trees and grazing animals.


reduction of threats derived from over-exploitation of the resource base and linking existing protected areas in a matrix of sustainable land use practices.

Implement ecological zoning and habitat restoration projects in buffer zones of protected areas to prevent further loss of ecosystem integrity in vulnerable areas and maintain the connectivity necessary to allow genetic flow and the adaptation of local biodiversity to shifting environments.

Objective 2: Build local knowledge and capacity needed to respond proactively in the face of climate variability. To achieve this objective, WWF will share the results of vulnerability

analyses and ecosystem services modeling (working together with the Natural Capital Project and InVEST modeling tool) with local stakeholders as a means of raising awareness and enhancing the understanding of climate change at multiple levels. In at least one site, WWF will develop a communications strategy early on in the project to select priority target audiences, assess their current awareness and perceptions of climate change, and determine the most effective processes and most salient information outputs for sharing with each audience. Target audiences may range from local schools to protected areas managers, community leaders and decision makers. A set of key messages will be extracted from the InVEST analyses for communications. WWF will share the analyses and work with stakeholders to make the findings available to a broader community of practitioners. As a result of WWF’s efforts, we anticipate that stakeholders will identify, assess and take action to minimize the impacts of climate change on their natural resource base, resulting in improved local livelihoods and well-being of the region. Specific actions include:

Improve local decision making capacity in the face of climate change by disseminating technical information from the 2008 WWF/ Fundación Natura climate change vulnerability assessment.

Train local leaders, with leadership from CARE, in the Cajamarca Department of Peru to design and implement specific adaptation measures to mitigate the local effects of climate change on communities. These measures may include efficient use of water resources, the adoption of new technologies, and land use planning to protect human livelihoods while maintaining ecosystem integrity. The identification of the specific adaptation measures will be the result of a participatory process, including the design of specific community based adaptation measures, through the application of the Climate Vulnerability and Capacity Analysis – CVCA tool (by CARE) or the introduction of adaptation to climate change aspects within ongoing development interventions (through CRisTAL tool).

Train national parks officers and community leaders from the target protected areas to assess and monitor local vulnerability of climate change and the impact adaptation measures can have in coping with climate change.

Assist the implementation of effective climate adaptation measures by working with local environmental authorities to adjust and implement management plans for protected areas and indigenous territories.

Build capacity for collective action for river basin management in light of climate change based on participatory planning processes and use of legal and policy tools.

Design, print and distribute materials based on vulnerability assessments to regional environmental authorities, municipalities, indigenous authorities, local schools, NGOs, and media.

Objective Three: Develop principles and criteria with national governmental agencies and economic sectors to address drivers of environmental change.


This objective will be met with actions aimed at the national level. Existing agreements with the Ministries of Environment, Territorial Planning, Transportation and agriculture, national park authorities and economic sectors (infrastructure, mining and agriculture) will be strengthened to address drivers of environmental change affecting the ECR. More specifically, WWF and CARE will work together to accomplish the following:

Integrate adaptation measures into the development of national policies. Models of this include the implementation of the Decade Environmental Plan of Colombia, the development of the chapter on Biodiversity and Climate Change for Colombia, and the construction of the Ecuadorian national climate change strategy.

Develop and strengthen planning tools for economic sectors. The project will provide a methodology to assess vulnerability to climate change, to be integrated with strategic environmental assessments (SEA), early warning systems and compensation schemes of sectors such as infrastructure, agriculture and mining. WWF will build on the development of an early warning system for development projects that is underway in Colombia. WWF Peru has been leading SEA’s with the petroleum sector. The introduction of environmental change aspects in economic and ecological zoning is also a good approach to environment mainstreaming in policy.

Facilitate the adoption of a shared vision. Build with institutional stakeholders at national level a shared adaptation strategy to environmental change. The idea is to adapt and translate technical information on climate change vulnerability and related impacts on environmental services to make it accessible to local stakeholders for decision making purposes and facilitate its inclusion in national regulations and policy framework to guide economic development in the different countries. One strategy may be the strengthening of existing multi-stakeholder working groups on climate or sustainable development, and identifying key actors that may be empowered to participate and take part in the decision making process.

Objective Four: Orient economic development in the western arc of the Amazon towards the adoption of sound governance systems and the maintenance of ecosystem resilience to environmental change.

Shifting the orientation of economic development at the regional level will require strengthening relationships with bilateral and multilateral organizations, and will include the following actions:

Build strong alliances with regional organizations such as the Community of Andean Nations (CAN), the Amazonian Cooperation Treaty Organization (ACTO), and the Corporación Andina de Fomento (CAF), aimed at reducing the synergistic effects of agriculture, infrastructure development, and climate change.

Support implementation of policy recommendations for the 2006 – 2010 Climate Change Agenda of the CAN. WWF and Fundación Natura have established an MOU to contribute to the implementation of a joint climate change agenda for the region. CARE and CAN have established a MOU for working together on diverse aspects for the Andean Evironmental Agenda, including climate change. In addition, CARE is working in Ecuador and Peru on the Adapation to Rapid Glacier Retreat in the Tropical Andes Project – PRAA with the General Secretariat of the Andean Community.


Working in collaboration with CARE, develop and disseminate a bi-national environmental education strategy along the border of Ecuador and Peru, incorporating specific measures of adaptation to climate change.

Advocate the adoption of precautionary principles regarding climate change into design and implementation of economic development projects in the western arc of the Amazon.

Advocate adoption of a shared vision of adaptation to environmental change in the western arc of the Amazon by national governments, international NGOs and multilateral agencies. This is achieved through the convening power that WWF and Fundación Natura have in the region and with multilateral agencies. WWF and Fundación Natura are leading development of a climate adaptation strategy for the ECR with active engagement of all three governments, and will build on this process.


d) Sustainability

WWF’s presence in the ECR dates back to the beginning of the Northern Andes Ecoregional Program in 1999. Since then, WWF has worked in collaboration with the Ecuadorian NGO Fundación Natura (FN) and multiple local and national partners across the landscape to develop and implement a number of conservation initiatives, including the establishment of protected areas, biological corridors and indigenous territories; technical support for effective management of existing protected areas; capacity building for local territorial planning, citizen participation and governance; geographic analyses of major threats to biodiversity conservation; promotion of sustainable agricultural practices; and more recently, the participatory design of a climate change adaptation strategy linked to the sustainable use of forest and agricultural resources.

This project will build on the foundation of work already underway in the region, building and strengthening a number of key elements of longer term social, ecological, and financial sustainability. The project will enhance and build capacity in local governance structures as means of confronting threats to biodiversity and human wellbeing. The activities will be carried out through a number of existing partnerships developed by Fundación Natura and WWF over the past six years. Together with extant partner organizations, ample attention will be given to expand the network of participating stakeholders, and to improve the conditions needed to make their own long-term conservation and adaptation decisions and commitments. Based on this previous work, 3 committees are in place to support protected areas management effectiveness that include the participation of the environmental authorities and local organizations to decide programme implementation. The idea is to include additional local partners (community members and other institutions) to determine different agreements and establish management actions to increase local governance and reduce vulnerability over the more vulnerable 3 watersheds. Furthermore, project will be focused on encouraging the equitable participation of all members of society, including women and underprivileged groups such as indigenous peoples that have been displaced from their ancestral lands.

WWF, Fundación Natura and CARE’s work is based on the principles of partnership and collective action. Our historical commitment to the ECR and the results obtained to date give us the credibility to leverage additional funds and support beyond the SCAPES program and to influence national and regional policies. All three organizations recognize the importance of building a strong, sustainable base of local capacity and long-term financing mechanisms. The project will build capacity to train, develop skills and devolve management to institutions, such as environmental authorities (national parks and regional authorities) and communities who will have ultimate responsibility for adaptation measures implementation. Priority targets will include local settlers within and around the protected areas targeted by the project, institutions and grassroots organizations engaged in the implementation of agro-forestry and sustainable agriculture systems in the buffer zones of the protected areas, and indigenous organizations developing conservation actions within their territories. CARE’s approach to adaptation to climate change is community based adaptation, and it enables the participation of the communities in the assessment and designing of adaptation measures within the scope of their communities, including an overall assessment at national, regional, local and household levels.


The actions under this project will provide an essential foundation for the development of schemes of payment for environmental services, thus leading to the financial sustainability of longer-term adaptation measures. WWF also expects to sustain results by promoting policy changes and building local capacity, thereby creating legal mechanisms and informed constituencies to advocate for and implement solutions to these issues. Particular attention will be paid to opportunities for including adaptation management criteria into regulations for valuing environmental goods and services, particularly those valuing standing natural forest ecosystems.


WWF, together with its partners, will closely monitor and assess project implementation to gauge whether the activities and budget are achieving the expected results and impacts. Three types of analysis will be carried out: (1) progress in the implementation of specific activities against the annual work plan to be monitored each semester and annually (based on standard reporting template); (2) effectiveness or results (based on the work plan) to be monitored annually, based on a combination of qualitative and quantitative data collection against a set of progress indicators; and (3) capturing oral/visual/written stories as a way to communicate results on the ground at our focal sites.

Monitoring results will be the basic learning inputs to develop adaptation within the landscape by monitoring at the impact level, the state of conservation targets selected at the landscape scale, primarily using GIS tools and biological indicators to evaluate ecological integrity (e.g., area of natural habitat cover (by biome type), representation (by area) of biomes and ecoregions in protected areas, comparison of an increase or decrease in forest cover) and whether there is continued provision of ecosystem goods and services for indigenous peoples and local communities in the region. Illustrative indicators include: 1) protected areas management effectiveness indicators; 2) coverage and type of sustainable production practices supported oriented to the protection, connectivity and restoration of habitat loss to reduce vulnerability; 3) number of inhabitants of territories benefiting from the management actions put in place to reduce vulnerability; 4) number and type of participatory agreements in place providing conservation of forest cover, increasing connectivity between forest remnants; 5) number of trainees providing leadership on consideration of climate change based on capacity building activities; 6) number and type of policies and agreements approved or in place at local, regional and national levels, incorporating the protection of environmental services provisions; 7) number of allies and partners participating in decision making and adopting shared principles to reduce vulnerability of climate change in their decision making; and 8) type of principles and criteria adopted to guide economic development at national, regional and local levels.

Based on stories, technical reports, articles and technical data, we will evaluate how the implementation of an adaptation strategy can serve as a blueprint for action in the upper and middle reaches of the Putumayo basin. For example, by monitoring climate in the region and comparing effects in areas under protection versus degraded areas, the impact of climate variability can be monitored and communicated to local communities.


f) Scaling Up

WWF aims to scale-up from the field sites in order to have an impact on forest and water resource management at the national and region level. This involves keeping careful records of project results, dissemination of lessons learned from the focal field sites, capacity building to replicate these models, policy work to mainstream innovative approaches in government practice and to promote policy change, and environmental education and awareness raising amongst key decision-makers. For instance, CARE will support local activities in Cajamarca (Peru) but also work at the regional level in the border areas between Peru and Ecuador.

This proposal combines on the ground efforts with the engagement of local stakeholders, such as municipalities, community based organizations and environmental authorities in regional watershed planning processes and conservation in three discrete landscapes identified to be among the most vulnerable, and builds on existing actions that can be scaled up to adjacent areas and regionally. This will be achieved by building on previous experiences at the site, landscape and regional level that generate lessons that can be taken to the policy arena, either by helping to enforce existing regulations or by promoting that key gaps be addressed. Particular attention will be paid to opportunities for including adaptation management criteria into regulations valuing environmental goods and services, particularly those valuing standing natural forest ecosystems. The project also seeks to leverage these policy efforts at the international level if possible, through the endorsement of key social and environmental criteria, for example, by regional investors (e.g., IDB, CAF and/or BNDES) and regional government bodies or multi-lateral institutions (e.g., OTCA, and CAN) to reduce threats to the integrity of the ECR. For example, as part of this project, WWF will continue to work with the IDB on the implementation of a REDD scheme for compensation around a road development project. WWF engages with IDB at the national level in each country and regionally through dialogue with centrally based staff.

Table 2. Threat assessment and ranking for the Eastern Cordillera Real.

Threat Scope Severit

y Urgen

cy Total

threats Massive changes in distribution of ecosystems and species

6 5 3 14

Road, waterway, port and energy infrastructure development

1 6 6 13

Inadequate, illegal over exploitation of forest resources

5 2 4 11

Extensive cattle ranching 4 4 2 10 Expansion of industrial forest & agricultural plantations

2 3 5 10

Unsustainable small scale agriculture 3 1 1 5


Figure 4. Conceptual model of the threats and drivers affecting biodiversity targets in the Eastern Cordillera Real.


DETAILED Budget Cooperative for Assistance and Relief Everywhere (CARE), Inc. PROJECT SUMMARY - ALL COUNTRIES

Category YEAR 1 YEAR 2 YEAR 3 YEAR 4 YEAR 5 TOTAL

PERSONNEL 43,484$ 45,503$ 47,713$ 49,837$ 52,172$ 238,709$

FRINGE BENEFITS AND ALLOWANCES 17,797$ 18,355$ 18,970$ 19,488$ 20,064$ 94,675$

TRAVEL 10,061$ 11,348$ 11,539$ 11,604$ 12,428$ 56,980$

SUPPLIES 2,220$ 726$ 732$ 739$ 746$ 5,163$

CONTRACTUAL 32,546$ 29,000$ 28,700$ 27,950$ 27,800$ 145,996$

OTHER 45,147$ 45,281$ 43,177$ 41,012$ 39,642$ 214,259$

MEETINGS & WORKSHOPS 27,011$ 24,627$ 24,328$ 21,665$ 19,654$ 117,285$

OTHER DIRECT COSTS 18,136$ 20,654$ 18,849$ 19,347$ 19,988$ 96,974$

TOTAL DIRECT CHARGES 151,255$ 150,213$ 150,832$ 150,631$ 152,852$ 755,782$

INDIRECT CHARGES 14,838$ 14,736$ 14,797$ 14,777$ 14,995$ 74,142$

TOTAL USG COSTS 166,093$ 164,948$ 165,628$ 165,408$ 167,847$ 829,925$

TOTAL COST SHARE 14,997$ 13,155$ 125,843$ 180,000$ -$ 333,994$

TOTAL PROJECT COSTS 181,089$ 178,103$ 291,472$ 345,408$ 167,847$ 1,163,919$

The following international travel is incorporated into the approved budget. Any further international travel needed requires the prior approval of USAID through WWF.

One trip from Lima to Bogota to attend workplan development for one person.


Attachment 3

Attachment 3 Additional Grant Provisions for Government/MLO or Other Funded Projects

ADDITIONAL GRANT PROVISIONS FOR USAID FUNDED PROJECTS

THE USAID STANDARD PROVISIONS ARE HEREBY INCORPORATED BY REFERENCE. THE GRANTEE SHALL APPLY THESE PROVISSIONS TO ALL SUB-GRANTEES. THE TERM "RECIPIENT" SHALL INCLUDE THE GRANTEE AND ALL SUB-GRANTEES. THE GRANTEE SHALL NOT COMMUNICATE DIRECTLY WITH USAID CONCERNING THIS PROJECT DURING THE PERFORMANCE OF THE GRANT. WWF WILL PROVIDE A COPY OF THESE STANDARD PROVISIONS TO THE GRANTEE UPON REQUEST.

I. MANDATORY STANDARD PROVISIONS FOR U.S. NONGOVERNMENTAL RECIPIENTS 1. APPLICABILITY OF 22 CFR PART 226 (May 2005)2. INELIGIBLE COUNTRIES (MAY 1986)3. NONDISCRIMINATION (MAY 1986) 4. NONLIABILITY (NOVEMBER 1985) 5. AMENDMENT (NOVEMBER 1985) 6. NOTICES (NOVEMBER 1985) 7. SUBAGREEMENTS (June 1999) 8. OMB APPROVAL UNDER THE PAPERWORK REDUCTION ACT (December 2003) 9. USAID ELIGIBILITY RULES FOR GOODS AND SERVICES (April 1998) 10. DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS (January 2004) 11. DRUG-FREE WORKPLACE (January 2004) 12. EQUAL PROTECTION OF THE LAWS FOR FAITH-BASED AND COMMUNITY ORGANIZATIONS (February 2004) 13. IMPLEMENTATION OF E.O. 13224 -- EXECUTIVE ORDER ON TERRORIST FINANCING (March 2002) 14. MARKING UNDER USAID-FUNDED ASSISTANCE INSTRUMENTS (December 2005) 15. REGULATIONS GOVERNING EMPLOYEES (AUGUST 1992) 16. CONVERSION OF UNITED STATES DOLLARS TO LOCAL CURRENCY (NOVEMBER 1985) 17. USE OF POUCH FACILITIES (AUGUST 1992) 18. INTERNATIONAL AIR TRAVEL AND TRANSPORTATION (JUNE 1999) 19. OCEAN SHIPMENT OF GOODS (JUNE 1999) 20. LOCAL PROCUREMENT (April 1998) 21. VOLUNTARY POPULATION PLANNING ACTIVITIES – MANDATORY REQUIREMENTS (MAY 2006)

All provisions below marked by an “X” are hereby incorporated:

II. REQUIRED AS APPLICABLE STANDARD PROVISIONS FOR U.S., NONGOVERNMENTAL RECIPIENTS

_____1. NEGOTIATED INDIRECT COST RATES - PREDETERMINED (April 1998) _____2. NEGOTIATED INDIRECT COST RATES - PROVISIONAL (Nonprofit) (April 1998) _____3. NEGOTIATED INDIRECT COST RATE - PROVISIONAL (Profit) (April 1998) _____4. PUBLICATIONS AND MEDIA RELEASES (MARCH 2006) _____5. PARTICIPANT TRAINING (April 1998) _____6. VOLUNTARY POPULATION PLANNING ACTIVITIES – SUPPLEMENTAL REQUIREMENTS (MAY 2006) _____7. PROTECTION OF THE INDIVIDUAL AS A RESEARCH SUBJECT (April 1998) _____8. CARE OF LABORATORY ANIMALS (MARCH 2004)


_____9. TITLE TO AND CARE OF PROPERTY (COOPERATING COUNTRY TITLE) (NOVEMBER 1985) _____10. PUBLIC NOTICES (MARCH 2004) _____11. (RESERVED) _____12. COST SHARING (MATCHING) (July 2002) _____13. PROHIBITION OF ASSISTANCE TO DRUG TRAFFICKERS (JUNE 1999) _____14. INVESTMENT PROMOTION (NOVEMBER 2003) _____15. REPORTING OF FOREIGN TAXES (March 2006) __X__16. FOREIGN GOVERNMENT DELEGATIONS TO INTERNATIONAL CONFERENCES (January 2002) _____17. ORGANIZATIONS ELIGIBLE FOR ASSISTANCE (JULY 2004) _____18. PROHIBITION ON THE USE OF FEDERAL FUNDS TO PROMOTE, SUPPORT, OR ADVOCATE

FOR THE LEGALIZATION OR PRACTICE OF PROSTITUTION - ASSISTANCE (JULY 2004) _____19. ORGANIZATIONS ELIGIBLE FOR ASSISTANCE (JUNE 2005) _____20. CONDOMS (JUNE 2005) _____21. PROHIBITION ON THE PROMOTION OR ADVOCACY OF THE LEGALIZATION OR PRACTICE OF PROSTITUTION OR SEX TRAFFICKING (JUNE 2005) __X___22. USAID DISABILITY POLICY - ASSISTANCE (DECEMBER 2004) _____23. STANDARDS FOR ACCESSIBILITY FOR THE DISABLED IN USAID ASSISTANCE


APPLICABLE PROVISIONS FROM 22 CFR §226

THE FOLLOWING SECTIONS FROM 22 CFR PART 226 ARE HEREBY INCORPORATED BY REFERENCE REVISED AS NOTED BELOW. THE GRANTEE SHALL APPLY THESE SECTIONS TO ALL SUB-GRANTEES. THE TERM "RECIPIENT" SHALL INCLUDE THE GRANTEE AND ALL SUB-GRANTEES.

226.2 DEFINITIONS226.13 DEBARMENT AND SUSPENSION 226.15 METRIC SYSTEM OF MEASUREMENT226.16 RESOURCE CONSERVATION AND RECOVERY ACT226.17 CERTIFICATIONS AND REPRESENTATIONS226.21 STANDARDS FOR FINANCIAL MANAGEMENT SYSTEMS226.22 PAYMENT (incorporate subsections (i), (j), (k), and (l) only) 226.23 COST SHARING OR MATCHING226.24 PROGRAM INCOME226.25 REVISION OF BUDGET AND PROGRAM PLANS226.26 NON-FEDERAL AUDITS226.27 ALLOWABLE COSTS226.28 PERIOD OF AVAILABILITY OF FUNDS226.30 PURPOSE OF PROPERTY STANDARDS226.31 INSURANCE COVERAGE226.32 REAL PROPERTY226.33 FEDERALLY-OWNED AND EXEMPT PROPERTY226.34 EQUIPMENT226.35 SUPPLIES AND OTHER EXPENDABLE EQUIPMENT226.36 INTANGIBLE PROPERTY: in subsection (a) add "and WWF" after the reference to USAID226.37 PROPERTY TRUST RELATIONSHIP226.40-49 PROCUREMENT STANDARDS226.51 MONITORING AND REPORTING PROGRAM PERFORMANCE: incorporate subsections (a), (f), and (g) only); add "and WWF" after all references to USAID in those subsections226.53 RETENTION AND ACCESS REQUIREMENTS FOR RECORDS: in subsections (b), (c), and (e) add "and WWF" after each reference to USAID. 226.62 ENFORCEMENT: exclude subsection (b); add "and WWF" after each reference to USAID226.72 SUBSEQUENT ADJUSTMENTS AND CONTINUING RESPONSIBILITIES: in subsection (a) (1) add "and WWF" after the reference to USAID 226.73 COLLECTION OF AMOUNTS DUE: add "and WWF" after each reference to USAID226.81 PROHIBITION AGAINST PROFIT226.82 PROGRAM INCOME

APPENDIX A TO PART 226.

~~THE GRANTEE SHALL COMPLY WITH ANY ADDITIONAL REQUIREMENTS IMPOSED BY USAID~~


ATTACHMENT 4 BRANDING AND MARKING PLAN

WWF BRANDING STRATEGY AND MARKING PLAN

BRANDING STRATEGY

Positioning What is the intended name of this program, project, or activity?

The intended name of this program is “Sustainable Conservation Approaches in Priority EcosystemS (SCAPES): Biodiversity Conservation in the Face of a Changing Environment.”

Will a program logo be developed and used consistently to identify this program? If yes, please attach a copy of the proposed program logo.

A specific program logo will not be developed. WWF will use the USAID Identity as well as the WWF logo and other partners’ logos, such as CARE’s, as appropriate. WWF’s and CARE’s logos are shown below.

Program Communications and Publicity

Who are the primary and secondary audiences for this project or program?

The primary audiences for this program are local and regional governments and local and regional stakeholders.

Secondary audiences include civil society; regional and global private sector actors; international nongovernmental organizations; and bilateral and multilateral government donor agencies.

What communications or program materials will be used to explain or market the program to beneficiaries?

The project will use a variety of media materials to market and communicate with various audiences. Some of these include announcements, invitations, agendas and final reports of workshops and meetings; maps, work plans, data analyses, reports, training materials and project documents; as well as communication materials such as fact sheets, videos and other publications.


What is the main program message(s)?

“Conserve biodiversity and adapt to a changing climate to protect both ecosystems and the human livelihoods that depend on them.”

WWF will incorporate USAID’s primary message, where appropriate, in any communications products.

Will the recipient announce and promote publicly this program or project to host country citizens? If yes, what press and promotional activities are planned?

WWF will announce and/or promote the program to targeted audiences whom are citizens of the countries where program activities take place. USAID’s disclaimer language will be incorporated in any communications products, where appropriate, as follows: “This study/report/audio/visual/other information/media product (specify) is made possible by the generous support of the American people through the United States Agency for International Development (USAID). The contents are the responsibility of WWF (specify if includes partners) and do not necessarily reflect the views of USAID or the United States Government.” In addition, WWF will work with the USAID country mission and the US embassy to determine the best overall way to promote the program as appropriate to the strategy and objectives of the specific country level activities.

Please provide any additional ideas about how to increase awareness that the American people support this project or program.

WWF will work closely with the USAID country missions to identify additional opportunities to increase awareness that the American people support the SCAPES program. In general, WWF will take advantage of all situations and media – whether formal or informal – to properly recognize USAID and the American people as the supporter of the program and of the knowledge, best practices and lessons learned through implementation of this project in any country of operation.

(3) Acknowledgements

Will there be any direct involvement from a host-country government ministry? If yes, please indicate which one or ones. Will the recipient acknowledge the ministry as an additional co-sponsor ?

WWF anticipates that there will be multiple situations where it will be appropriate and necessary to co-sponsor and co-brand materials and other items with government ministries or agencies. In general, WWF will be certain to follow identity and marking guidelines – presenting the proper USAID identity either more or equally prominent, depending on the nature of the co-sponsorship.

Please indicate if there are any other groups whose logo or identity the recipient will use on program materials and related communications.

The program will also use logos of other groups wherever they co-sponsor an activity with USAID to


provide clear and effective lines of accountability and communication to consumers of any communication materials. WWF anticipates that there will be situations when the use of the identities of collaborating donors and organizations, both international and host-country, will be appropriate in marking materials or other items. These organizations will be identified in the case of co-sponsorship and when the inclusion of their identity will advance the success of the material or activity.

MARKING PLAN

WWF will mark all reports, studies, audiovisual products for sensitization, brochures and fliers with the USAID Identity and USAID’s disclaimer language as appropriate. Also, any equipment and supplies will bear the USAID Identity.

Statements such as “support for this event is provided by the American people through USAID” will be clearly made in the publicity of all events financed by USAID, e.g., workshops, training sessions, conferences, and press conferences. USAID’s Identity and disclaimer language (when applicable) will be placed on reports as outlined below. The USAID Identity may be placed at a strategic place for events, e.g., on a wall inside a conference or workshop room or on a banner.

Program Deliverables for marking with USAID Identify

At this time, WWF does not expect the need for any Presumptive Exemptions or Waivers. Should the need arise – for any public communication, commodity, program material or other deliverable, or a category of USAID-funded public communications, commodities, program materials or other deliverables – WWF will request a presumptive exemption or waiver in accordance with USAID standards.


Deliverable Type of Marking Time of marking Commissioned studies or reports

USAID Identity and disclaimer language (when appropriate) placed on reports

Upon publication

Workshop proceedings

USAID Identity and disclaimer language (when appropriate) placed on reports and materials

Upon publication

Conference proceedings

USAID Identity and disclaimer language (when appropriate) placed on reports and materials

Upon publication

Brochures, fliers, user-friendly materials

USAID Identity and disclaimer language (when appropriate) placed on materials

Upon publication

Laptops and other supplies

USAID Identity stickers placed on supplies

Upon delivery

Training workshops and seminars

USAID recognition for this event will include marking both at the venue on a banner or sign, as well as in printed materials handed out at the event

During workshops and seminars

Press conferences or communication to the public

Event venues will carry USAID Identity on banners and podium placards; printed materials will carry USAID Identity and disclaimer language (where appropriate)

At the time of the conference or communication

Agreement No. - care.pe file · Web view151 Ellis Street, Atlanta GA 30303. Dear Mr....

Documents

Transcript of Agreement No. - care.pe file · Web view151 Ellis Street, Atlanta GA 30303. Dear Mr....