Country: Republic of Kazakhstan

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PRODOC_EA_BD_4877_Kazakhstan



1























UNDP Project Document


Country: Republic of
Kazakhstan




Project title:


National Biodiversity Planning to Support the implementation of the CBD
2011
-
2020 Strategic Plan in Republic of
Kazakhstan


UNDAF Outcome(s):


UNDAF Outcome
2
:

By 2015 communities, national and local authorities use
more effective mechanisms and partnerships that promote environmental
sustainability and enable them to prepare, respond and recover from natural
and man made disasters.


Expected CP Outcome(s)

Government, communities and civil society practice an integrated approach to
natural resources management in national and transboundary perspectives

(Those linked to the project



and extracted from CPAP)

Implementing Partner:

Forestry and Hunting Commi
ttee of the Ministry of Agriculture


Responsible party:


United Nations Development Programme















PRODOC_EA_BD_4877_Kazakhstan



2


Programme Period:


2010
-
2015


Key Result Area (Strategic Plan):

Biodiversity


Atlas Award ID:


00065109

Atlas Project ID


00081748

PIMS #


4877


Start
date:



April

2012

End Date


February 2014

PAC Meeting Date


6 February 2012

Management Arrangements


NIM




Brief description


This project is part of the second generation of Biodiversity Enabling Activities
(BD EA)
under the GEF
.
Republic of
Kazakhstan

has been Party to the Convention on Biological Diversity (CBD) since
October 1995.
The project addresses

the
country’s
need to continue

to fulfill

its obligations under the CBD,
with

particular
focus on the Convention’s

Article 6

and
the
CBD COP Decision X/2
. Above all, the project is

a significant

contribution to

Kazakhstan
’s
efforts towards implementing the CBD Strategic Plan 2011
-
2020 at the national
level.
The project
builds on

the current
status and
achievements
of
Kazakhstan
with respect to
biodiversity
planning and reporting. I
t
aims to integrate

Kazakhstan
’s
obligations
under the CBD into its national
development and sectoral planning frameworks through a renewed and participative ‘biodiversity planning’
and strategizing process
. This process is expected to produce

measurable
targets for
biodiversity c
onservation
and sust
ainable use. It will equally ensure that
the value of ecosystems’ goods and services, as well as the
challenges and opportunities for ecosystem
-
based adaptation and resilience

are taken into consideration in the
process
.
The project will achieve its object
ive
through the implementation of three components, whose
activities are thoroughly described in the GEF approved proposal for BD EA
. They are
: (
1) A participative
stocktaking exercise on biodiversity planning takes place and national biodiversity targets
are developed in
response to the global Aichi Targets; (2) The NBSAP is
developed an
d it fully integrates new aspects of the
CBD strategic plan, such as mainstreaming and anchoring the implementation of the plan into national
development frameworks, valuing ecosystem services and promoting ecosystem
-
based adaptation and
resilience; and (3
) National frameworks for resource mobilization, Convention reporting and exchange
mechanisms are strengthened.
















Agreed by
:




_____

Yerlan

Nysanbayev
,

Chair FHC
,
Ministr
y

of M
oA RK

Date:




Agreed by
:

Stephen Tull, UNDP Resident Representative

Date:


Total budget:




$
485,000

Total required:




$
485
,000

Total Allocated resources:


$485,000

-

UNDP:




$20,000

-

GEF:




$220,000

-

In kind c
ontribution:

o

Governm
ent (in kind):


$170,000

o

NGO (in kind):



$30,000

o

UNDP (in kind)
:



$45,000


PRODOC_EA_BD_4877_Kazakhstan



3


Table of Contents


SECTION I: Elaboration of the Narrative

................................
................................
................................
.......

5

PART I: Situation Analysis

................................
................................
................................
...........................

5

Point of Departure

................................
................................
................................
................................
.....

5

Stakeholder
Analysis and Engagement

................................
................................
................................
....

5

PART II: Strategy

................................
................................
................................
................................
..........

7

Project Goal, Objective, Outcomes and Outputs/activities

................................
................................
....

7

Collaboration with the EU/UNDP Project Transformative Biodiversity Policy and Financing

.........

8

Project Ri
sks

................................
................................
................................
................................
..............

8

PART III: Management Arrangements

................................
................................
................................
.......

9

PART IV: Monitoring and Evaluation Plan and Budget

................................
................................
.........

11

Monitoring and reporting

................................
................................
................................
.......................

11

Communications and visibility requirements

................................
................................
.......................

12

PART V: Legal Context

................................
................................
................................
...............................

12

SECTION II: STRATEGIC RESULTS FRAMEWORK (SRF) AND GEF INCREMENT

.....................

14

PART I: Strategic Results Framework, SRF (formerly GEF Logical Framework) Analysis

...............

14

Indicato
r framework as part of the SRF

................................
................................
...............................

14

SECTION III: TOTAL BUDGET AND WORKPLAN
……………………………………
…………..
.......16

SECTION IV: ADDITIONAL INFORMATION

................................
................................
..........................

19

Annex I: Other agre
ements/Co
-
financing Letters

................................
................................
.....................

19

Annex II: Approved GEF proposal for BD EA

................................
................................
.......................

20
0

Annex III. GEF CEO Letter of Approval

................................
................................
................................
..

48

Annex IV. Minutes of the Local Project Appraisal Committee (LPAC) Meeting

................................
..

49

Annex V. Regulations of the National Project Board

................................
................................
..............

52
2



Overview of headings in the original proposal included in Annex II


PART I: PROJECT IDE
NTIFIERS

A.

EA

F
RAMEWORK

B.

C
O
-
F
INANCING
F
OR
T
HE
E
A
B
Y
S
OURCE
A
ND
B
Y
N
AME

C.

G
RANT
R
ESOURCES
R
EQUESTED BY
A
GENCY
,

F
OCAL
A
REA AND
C
OUNTRY

D.

EA

M
ANAGEMENT
C
OST


PART II: ENABLING A
CTIVITY JUSTIFICATIO
N

A.

E
NABLING
A
CTIVITY
B
ACKGROUN
D AND
C
ONTEXT

B.

E
NABLING
A
CTIVITY
G
OALS AND
O
BJECTIVES

C.

D
ESCRIBE THE
EA

AND
I
NSTITUTIONAL
F
RAMEWORK FOR
P
ROJECT
I
MPLEMENTATION

D.

D
ESCRIBE
,

IF POSSIBLE
,

THE EXPECTED COST
-
EFFECTIVENESS OF THE

PROJECT

E.

D
ESCRIBE THE BUDGETED

M&E

P
LAN

F.

E
XPLAIN THE
D
EVIATIONS FROM TYPIC
AL
C
OST
R
ANGES
(
WHERE APPLICABLE
):


PART III: APPROVAL/
ENDORSEMENT BY GEF O
PERATIONAL FOCAL POI
NT(S) AND GEF AGENCY
(IES)

A.

R
ECORD OF
E
NDORSEMENT OF
GEF

O
PERATIONAL
F
OCAL
P
OINT
(
S
)

ON
B
EHALF OF THE
G
OVERNMENT
(
S
):


B.

C
ONVENTION
P
ARTICI
PATION

C
.

GEF

A
GENCY
(
IES
)

C
ERTIFICATION



Annex

A:

CONSULTANTS TO BE HI
RED FOR THE
E
NABLING
A
CTIVITY

Annex B:
C
HRONOGAM OF
A
CTIVITIES

Annex
C
:
T
OTAL
B
UDGET AND
W
ORKPLAN
(
NOW INCLUDED ONLY IN

THE
PRODOC
)

A
NNEX
E.

O
UTPUT
B
ASED
C
ONSULTANCIES AND
S
ERVICE
P
ROVISION
:

TOR

FOR LAUNCHING A
R
EQUEST FOR
Q
UOTES


PRODOC_EA_BD_4877_Kazakhstan



4


Acronyms


APR/PIR

Annual Project Review / Project Implementation Report

BD EA

Biodiversity Enabling Activities

CBD

Convention on Biological Diversity

CDR

Combined Delivery Report

CHM

Clearing House
Mechanism

CO

Country Office (UNDP)

COP

Conference of the Parties

FHC

Forestry and Hunting Committee of the MoA RK

GEF

Global Environment Facility

MEP

Ministry of Environment Protection

MoA RK

Ministry of Agriculture of the Republic of Kazakhstan

NBSAP

National Biodiversity Strategy and Action Plan

PoWPA

CBD
’s

Programme of Work on Protected Areas

QOR

Quarterly
Operational

R
eports

TBW

Total Budget and Workplan

TEEB

The Economics of Ecosystems and Biodiversity

UNDP

United Nations Development
Programme













PRODOC_EA_BD_4877_Kazakhstan



5


SECTION I: Elaboration of the Narrative

PART I:
Situation Analysis

P
OINT OF
D
EPARTURE


1.

This Project Document
(PRODOC)
serves to
operationalize

at the level of UNDP and
government,
the

proposal for Biodiversity Enabling Activities approved by the GEF on
January 5,
2012
.

This proposal is
appended to the PRODOC

in
Annex
II

and the GEF
CEO L
etter of
A
pproval in
Annex
III
.



2.

The project
builds on
the current status and achievements

of
Kazakhstan

with respect to its
obligations vis
-
à
-
vis the Convention on Biological Diversity (CBD), in particular the country’s
biodiversity planning and
Convention
reporting

processes, and its commitment to implement, at the
national level, the CBD’s Strat
egic Plan for the period 2011
-
2020. These processes and achievements
are
outlined
in
the 4
th

National Report on Biological Diversity and in Annex II of the ProDoc
under the
heading

Enabling Activity Background and Context

.


3.

In particular, the NBSAP for

Kazakhstan

is outdated.
This version of the NBSAP does not
include
a number of

elements of the CBD Strategic Plan’s Aichi Targets

and newer COP guidance.
The new CBD Strategic Plan, adopted at CoP
-
10 in 2010

in
Nagoya, clearly addresses the need for
updat
ing NBSAPs, stating in Target 17 that “By 2015, each Party has developed, adopted as a policy
instrument, and has commenced implementing an effective, participatory and updated national
biodiversity strategy and action plan.” The strategic plan also covers

a range of issues that will need to
be incorporated into the revised NBSAPs, including guidance to countries to: a) fully realise the value
of biodiversity and ecosystem services, and incorporate these values into national and local
development and povert
y reduction strategies (Targets 1 and 2); b) increase the global terrestrial
protected area estate from 12% to 17% and the marine estate from 6% to 10% (Target 11); c) restore
and safeguard key ecosystem services, especially for water, health and livelihoo
ds (Target 14); and d)
strengthen ecosystem resilience to climate change and promote ecosystem
-
based approaches to climate
change adaptation and mitigation (Target 15).


4.

The

achievements and

shortcomings of previsous biodiversity planning processes in
Kaza
khstan

ar
e described in the GEF proposal, Annex II,
under heading ‘
The Baseline Project: The
Current NBSAP and the new CBD Strategic Plan
’.



5.

Together, all of the above elements constitute the ‘Point of Departure’ and general context for
the current Biodiv
ersity Enabling Activities project of
Kazakhstan
.


S
TAKEHOLDER
A
NALYSIS

AND
E
NGAGEMENT


6.

In its guidance to Parties on the organization of NBSAPs and preparation of national reports
,

the COP has repeatedly stressed that, if the necessary transition from biodiversity planning to
biodiversity implementation is to be made, then everyone with a stake in the outcome of the NBSAP
needs to be engaged.


7.

The stakeholder engagement process
in

Kazakhstan

will

start with
the CBD national focal
points, the NBSAP responsible authority
which is the
Forestry and Hunting Committee of the Ministry
PRODOC_EA_BD_4877_Kazakhstan



6


of Agriculture RK
,

mandated

with
NBSAP coordination

and

the preparation of CBD national reports;
and there
after it
will

expand to include a much broader range of national actors.

Developing

and
implementing

Kazakhstan
’s
NBSAP will be a widely inclusive and participative process.


8.

A

national
Project Board

(see Annex V)

and one
w
orking groups will
be proposed
for
accompanying the process of developing national targets, updating the NBSAP and preparing the
national reports. As far as possible, the st
eering committee should include representatives of all
sectors.
Below is an overview of the potential role of diff
erent stakeholders and the rationale for their
involvement in the project.


Table
1
. Stakeholder Matrix

Sector

Agency/department

Potential role in the project and rationale for involvement

Government

Ministry of
Environment
Protection

Current role of the Ministry of Environment Protection (MEP) is to
develop state policies and programs on environmental conservation and
sustainable development, and to coordinate with the secretary of the
CBD convention. The Ministry of Environ
ment will contribute to the
project by making joint decisions on biodiversity conservation
activities and by linking biodiversity conservation actions with
Kazakhstan’s commitments to international conventions. Kazakhstan is
a signatory to 22 international

nature protection conventions, including
the Convention on Biological Diversity, the RAMSAR Convention, the
Bonn Convention (having also signed a MoU concerning the protection
of Saiga along with Uzbekistan and Mongolia), and CITES.

Also MEP and Oblast br
anches of MEP are responsible for
Environmental impact assessments, which are needed for any of the
planned activities related to conservation or use of nature resources.

Government

Ministry of
Agriculture

Equally, the line ministry responsible for
finance, planning and
economic development will be important partners in the project due to
the project’s approach of anchoring the new NBSAP in national
development. The Ministry of Agriculture will be involved in the joint
development of biodiversity str
ategy and conservation initiatives, and
will also play a role in the development of sustainable use alternatives.
Key units include:

(i)

Committee of Forestry and Hunting

(ii)

National protected areas administration

Government

The Agency for Land
Resource
s
Management

At national level, the Agency for Land Resources Management is
responsible for development and implementation of state policy and
programmes on land use planning and land management, geodesies and
cartography. Oblast branches of the Agency for

Land Resources
Management are responsible for key decisions related to zoning and
allocation of land use permits for agriculture, mining, etc at oblast
level.

Government

Ministry

of Economy

and Trade

Approves national budgets, develops the country’s econ
omic sectors,
and promotes the effective realization of social and economic
development priorities. The Ministry of Economics will consult and
recommend economic incentives for conserving steppe ecosystems,
and will provide financial advice and monitoring
of investment projects
related to steppe conservation.

Scientific and
production
associations
(non
-
government
research and
analytical center

The Eurasian
National University
and the Al
-
Farabi
Kazakh National
University
;

Work with local NGOs communities
to conserve and restore
biodiversity in selected locations. Promote the use of biodiversity
friendly alternative energy sources. Research and biodiversity
conservation activities. Support PA operations; provide expert
assistance to PA staff. Actively engag
e students in biodiversity
conservation work within PAs and outside their territories

Non
-
governmental
Royal Society for the
Protection of Birds
Currently RSPB, in cooperation with ACBK, is developing an IBA
progra
mme for Kazakhstan, Uzbekistan and Turkmenistan. RSPB is
PRODOC_EA_BD_4877_Kazakhstan



7


Sector

Agency/department

Potential role in the project and rationale for involvement

Organizations

(RSPB)

(International
NGO)

willing to support IBA related activities within project territory.

Non
-
governmental
Organizations

Association for
Biodiversity
Conservation in
Kazakhstan (ACBK)

(National NGO)



Currently ACBK is the largest conservation NGO in Kazakhstan and
runs several conservation programmes and projects.
Engagement of
local NGOs will be considered for all components, to provide support
on ecological research and participatory approach in deve
loping the
biodiversity strategy, thus achieving informed conservation planning.
Representatives of the bigger NGOs and CBOs will become members
of the Project Board, and will thus have a complete insight into all
aspects of project execution, and will hav
e the opportunity to steer the
process. The NGOs will be involved in the advocacy and public
awareness activities. ACBK is providing co
-
financing to the project

Non
-
governmental
Organizations

The Biodiversity
Trust Fund of
Kazakhstan (BTF)
(National NGO)

NGOs and CSOs that participated in the preparation of previous
national reports to the CBD remain relevant for biodiversity planning
in Kazakhstan and will be engaged.

Non
-
governmental
Organizations

REMIZ and a number
of other organisations
linked to the
umbrella
CSO EcoForum of
Kazakhstan.

NGOs and CSOs that participated in the preparation of previous
national reports to the CBD remain relevant for biodiversity planning
in Kazakhstan and will be engaged.


PART II:

Strategy

P
ROJECT
G
OAL
,

O
BJECTIVE
,

O
UTCO
MES AND
O
UTPUTS
/
ACTIVITIES


9.

The project’s goal

is
to

enable
Kazakhstan

to integrate its CBD
obligations into national
planning processes
, in light of the CBD’s Strategic Plan 2011
-
2020
.


10.

The project objective
is
to integrate
Kazakhstan
’s
obligations under the Convention on
Biological Diversity (CBD) into its national development and sectoral planning frameworks through a
renewed and participative ‘biodiversity planning’ and strategizing process
,
in a manner that is in line
with

the global
guidance contained in the CBD’s Strategic Plan for 2011
-
2020.


11.

In order to achieve the above objective,
three

‘outcomes’
(corresponding to GEF components)
are expected from the project:




Outcome 1


A participative stocktaking exercise on biodiversity
planning takes place and
national biodiversity targets are developed in response to the global Aichi Targets




Outcome 2


The NBSAP is revised/updated and it fully integrates new aspects of the CBD
strategic plan, such as mainstreaming and anchoring the im
plementation of the plan into
national development frameworks, valuing ecosystem services and promoting ecosystem
-
based adaptation and resilience




Outcome 3


National frameworks for resource mobilization, Convention reporting and
exchange mechanisms are e
stablished and strengthened


12.

The Outcomes of the project,
as well as
the expected outputs and activities under
those,
are
thoroughly described in the GEF proposal in
Part II
-
B

and C
.


PRODOC_EA_BD_4877_Kazakhstan



8


C
OLLABORATION WITH TH
E
EU/UNDP

P
ROJECT
T
RANSFORMATIVE
B
IODIVERSITY
P
OLI
CY AND
F
INANCING


13.

In addition to this, he European Union, through the Directorate General for Environment of the
European Commission, is providing resources for a global project that will be managed by UNDP
through its Biodiversity Global Programme. The pr
oject, whose title is
Biodiversity Policy and
Financing Frameworks in Support of Enabling Activities
, will run for three years from 2012

2014,
from UNDP’s Regional Centre in Bratislava, Slovakia. Kazakhstan has been selected as one of the
participating countries for the global project, alongside with Argentina, Ecuador, Malaysia, Uganda,
South Africa, Se
ychelles and Philippines. These countries have been proposed because of their
exemplary commitment to addressing the 2011
-
2020 targets set by the Convention on Biological
Diversity, and their current engagement in seeking innovative sources of finance. Wit
h the exception
of Uganda, all of these countries are working with UNDP for their GEF Biodiversity Enabling
Activities.


14.

The EU/UNDP Project “Biodiversity Policy and Financing Frameworks in Support of Enabling
Activities” will rely on much of the work
foreseen under the current project. In particular, the
following activities will imply a synergetic implementation between the two projects:


Under Component 2:



Assessing and integrating ecosystem services through economic valuation.



Mainstreaming biodiver
sity into development policies, plans and practices and into sectoral
plans and strategies.


Under Component 3:



Securing sustainable finance for NBSAP implementation.


15.

The TOR of the Project Manager and of the National Technical Advisor will include a task

on
the synergy that is sought between the two projects.


16.


In addition, the EU
-
financed project foresees the setting up of a National Project Board. It is
proposed to the Project Appraisal Committee for this project that, in the case of Kazakhstan, both th
e
current Enabling Activities project and the EU project should share the same Project Board.


P
ROJECT
R
ISKS


Table
2
.
Project

Risks
Assessment

and Mitigation Measures

I
DENTIFIED
R
ISKS

R
ISK
A
SSESSMENT

M
ITIGATION
M
EASURES

Organizational risks

Frequent changes in the
government that caused
unpredictable changes in the key
personnel of the partners

Low

The project will mainly focus on management level, thus
providing continuity in the course of its implementation

Quality
and performance of all
interested parties both
governmental and non
-
governmental.

Low

Signing of memorandum of understanding between the key
partners and interested parties and also approval of action
plans and provision for proper information exchange and

regular meetings.

The targets will not be agreed by
the stakeholders

Low

Close consultation with the main stakeholders;
commitments assumed by the country under various
PRODOC_EA_BD_4877_Kazakhstan



9


I
DENTIFIED
R
ISKS

R
ISK
A
SSESSMENT

M
ITIGATION
M
EASURES

international conventions and treaties

The framework of the global
Aichi
targets are known by a
limited number of specialists

Medium

Technical consultations and specialised assistance should
increase the awareness on the global Aichi Targets

Late submission of the 4th
National report to CBD

Low

Sound Plan of Activities devel
oped by the PM at early
stages of project initiation

Strategic risks

Mainstreaming requires
commitment and clear methods
on how it can have an impact


this is now always shared.

Low

Close consultation with the main stakeholders; review of
the national
developing planning process at an early stage
of the project.

Lack of political will to include
vital areas in the strategy

Low

Early consultation of sensible areas with all stakeholders

Financial risks

Lack or insufficient financing by
the donor in conditions of
economical crisis, inflation,
established tradition of payment
arrearages in the industry,
deficit of budget funds.

Medium

Thorough development and preparation of documents on
the interaction of

the parties, directly involved in the
implementation of the project, and also on interaction with
involved organizations; development of scenarios of
unfavorable situations

Increase of purchase prices for
goods and services.

Medium

Raising additional fun
ds.



PART III: Management Arrangements


17.

The Forestry and Hunting Committee (FHC), Ministry of Agriculture is the Implementing
agency on the project and is responsible for implementation of the project and achievement of
expected outcomes in cooperation the UNDP and other partners.


18.

The Deputy C
hairman of the FHC is the Chairman of the National Project
Board

(NP
B
), which
will be established for the general management, coordination and political support of the project. The
NP
B

sessions are held at least twice a year for the purpose of management a
nd control over taken
measures, including approval of all important initiatives within the framework of the project and
subcontracts. NP
B

will operate as the main lobbying and coordinating agency, ensuring
implementation of the state policy, legislative an
d financial support of the project and acting as an
interface between the Project and other national and international programs, organizations and donors.



19.

The National Project Director is a state employee of the Implementing Agency (the Forestry
and Hun
ting Committee
-

FH
C
), which will be authorized to provide general management and
coordination of implementation of the project activities and guarantee participation of the Government
in support of the project goals achievement. This is a non
-
paid positio
n from the Government side as a
contribution
-
in
-
kind for the project implementation. Besides, the Government of Kazakhstan will
provide chairmen and other participants for following project bodies: National Project
Board
,
Scientific Committee on the conser
vation of the biodiversity and Public committees on the
management over national parks. The assistance to the project will be provided only if the
abovementioned conditions are met or will be met. If one or more of the expected conditions is not
met, then
UNDP may, at its own discretion, suspend or end assistance.

PRODOC_EA_BD_4877_Kazakhstan



10




20.

UNDP will be an active partner in the project implementation. UNDP will support
implementation, will work on the budget and project expenses, conclude agreements with project
personnel, expert
s and sub
-
contractors, make purchases and provide other assistance according to the
purposes and objectives of the project by demand of the National Implementing Agency. UNDP will
track the project implementation and achievement of the results and outcomes

of the project and also
ensure correct use of the UNDP funds. Financial transactions, reports and audits will be held in
accordance with the national provisions, UNDP established rules and procedures for the national
implementation of the project.


21.

Until
the
N
P
B

has met and has deliberated,

the

proposed TOR for
NPB

can be found in Annex
V.


22.

Project Organisation Structure
:





23.

Project Board
is responsible for making management decisions for a project in particular
when guidance is required by the Project Manager. The Project Board plays a critical role in project
monitoring and evaluations by qualit
y assuring these processes and products, and using evaluations for
performance improvement, accountability and learning. It ensures that required resources are
committed and arbitrates on any conflicts within the project or negotiates a solution to any pr
oblems
with external bodies. In addition, it approves the responsibilities of the Project Manager and any
delegation of its Project Assurance responsibilities.
Based on the approved Annual WorkPlan, the
Project Board can also consider and approve the quar
terly plans (if applicable) and also approve any
essential deviations from the original plans.

Project Manager


Project Board

Senior
Beneficiary:


MEP, MoA, NGOs

Executive
:

FHC MoA

Senior Supplier
:


GEF/UNDP

Project Assurance

(
by Board members or delegated
to other individuals
)


Project Support


Project Organisation Structure

TEAM I


Integration of

the
ecosystem approach into
Kazakhstan's new National
Biodiversity Strategy and
Action Plan and into its
Climate Response

TEAM II


Principle NBSAP
Advisor and national
working groups

TEAM II


Technical and Editorial
Support Working Groups
for
Target
-
setting, NBSAP,
CHM

PRODOC_EA_BD_4877_Kazakhstan



11



24.

In order to ensure UNDP’s ultimate accountability for the project results, Project Board
decisions will be made in accordance to standards that shall ensure management for development
results, best value money, fairness, integrity, transparency and effecti
ve international competition. In
case consensus cannot be reached within the Board, the final decision shall rest with the UNDP Project
Manager.


25.

Project Manager
: The Project Manager (PM)
will be hired by the Project on a full
-
time basis
and selected on

the basis of open competition in accordance with the established procedures of UNDP.
PM

has the authority to run the project on a day
-
to
-
day basis on behalf of the Implementing Partner
within the constraints laid down by the Board. The Project Manager’s p
rime responsibility is to ensure
that the project produces the results specified in the project document, to the required standard of
quality and within the specified constraints of time and cost.
PM will be responsible for routine
management over project
personnel activity, national and international consultants, the general project
strategy and coordination with other institutions and interested parties, and also act as an interface
between PIU and NPB.


26.

Project Implementation Unit (PIU)
, under the leader
ship of the Project Manager (PM), will
be established under the aegis of the FHC/UNDP for implementation of the project activity.


27.

Project Support
: The Project Support role provides project administration, management

and
technical support to the Project M
anager as required by the needs of the individual project or Project
Manager.



PART IV: Monitoring and Evaluation Plan and Budget

M
ONITORING AND REPORT
ING


28.

At the initial stage of the project, the project Monitoring and Evaluation system, composed of
fol
lowing components will be developed:

a)

Monitoring plan, with defined benchmarks, indicators and targets, based on results and
resources framework to be developed by the PM/coordinator in consultation with relevant
UNDP programme staff;

b)

Risk, issues and quali
ty logs to be created by the PM and relevant program officer;

c)

Quarterly project planning (with detailed activities and budget) and rep
orting to be conducted
by the PI
U;

d)

Quarterly project reporting and

monitoring, conducted by the PI
U and the
Project Board

(also
to include risk and issues monitoring and development of lessons learned reports);

e)

Annual project planning (with general activities and budget) and rep
orting to be conducted by
the PI
U;

f)

Annual project review to be conducted by the Executive Board
o
n the basis of monitoring
reports and products prepared by the project
(also to include proposal for eventual changes to
the project strategy or even project revision)


29.

All main reports will be com
plied by the PI
U and endorsed by the
Project Board
. Regular
financial reports will be submitted to UNDP according to the UNDP financial rules and regulations.
The M&E System should include standardized formats (aligned with UNDP procedures and formats)
for the following documents:

PRODOC_EA_BD_4877_Kazakhstan



12


-

quarterly action plan

-

q
uarterly progress report, including financial report

-

quarterly monitoring report, including risk monitoring report

-

quarterly lessons learned report

-

annual action plan

-

annual report, including financial report
1

-

the s
implified Biodiversity Enabling Activitie
s Annual Project Review / Project
Implementation Report (APR/PIR)

-

PI
U monthly workplans and progress reports

-

task reports

-

final report, including lessons learned



C
OMMUNICATIONS AND VI
SIBILITY REQUIREMENT
S


30.

Full compliance is required with UNDP’s Brandin
g Guidelines. These can be accessed at
http://intra.undp.org/coa/branding.shtml
, and specific guidelines on UNDP logo use can be accessed
at:
http://intra.undp.org/branding/useOfLogo.html
. Amongst other things, these guidelines describe
when and how the UNDP logo needs to be used, as well as how the logos of donors to UNDP projects
need
s to be used. For the avoidance of any doubt, when logo use is required, the UNDP logo needs to
be used alongside the GEF logo. The
GEF logo

can be accessed at:
www.thegef.org/gef/GEF_logo
.
The
UNDP logo

can be accessed at
http://intra.undp.org/coa/branding.shtml
.


31.

Full compliance is also req
uired with the GEF’s Communication and Visibility Guidelines (the
“GEF Guidelines”). The GEF Guidelines can be accessed at:

www.thegef.org/gef
/sites/thegef.org/files/documents/C.40.08_Branding_the_GEF%20final_0.pdf
.
Amongst other things, the GEF Guidelines describe when and how the GEF logo needs to be used in
project publications, vehicles, supplies and other project equipment. The GEF Guidel
ines also
describe other GEF promotional requirements regarding press releases, press conferences, press visits,
visits by Government officials, productions and other promotional items.


32.

Where other agencies and project partners have provided support thr
ough co
-
financing, their
branding policies and requirements should be similarly applied.



PART V: Legal Context



33.

This document together with the CPAP signed by the Government and UNDP which is
incorporated by reference
constitute together a Project Document as referred to in the SBAA
and all
CPAP provisions apply to this document.

34.

Consistent with the Article III of the Standard Basic Assistance Agreement, the responsibility
for the safety and security of the implementing partner and its personnel and property, and of UNDP’s
property in the implementing partner’s custody, rests with
the implementing partner.


35.

The implementing partner shall:




1

Biodiversity Enabling Activities use an abridged

PRODOC_EA_BD_4877_Kazakhstan



13


a)

put in place an appropriate security plan and maintain the security plan, taking into account
the security situation in the country where the project is being carried;

b)

assume all risks and liabili
ties related to the implementing partner’s security, and the full
implementation of the security plan.


36.

UNDP reserves the right to verify whether such a plan is in place, and to suggest modifications
to the plan when necessary. Failure to maintain and impl
ement an appropriate security plan as required
hereunder shall be deemed a breach of this agreement.


37.

The implementing partner agrees to undertake all reasonable efforts to ensure that none of the
UNDP funds received pursuant to the Project Document are us
ed to provide support to individuals or
entities associated with terrorism and that the recipients of any amounts provided by UNDP hereunder
do not appear on the list maintained by the Security Council Committee established pursuant to
resolution 1267 (199
9). The list can be accessed via
www.un.org/Docs/sc/c
ommittees/1267/1267ListEng.htm
.
This provision must be included in all sub
-
contracts or sub
-
agreements entered into under this Project
Document.



Audit clause:

29.

The Audit will be conducted in accordance with the UNDP Financial Regulations and Rules
and a
pplicable audit policies on UNDP projects.



PRODOC_EA_BD_4877_Kazakhstan



14



SECTION II: STRATEGIC RESULTS FRAMEWORK (SRF)

AND GEF INCREMENT


PART I: Strategic Results Framework, SRF (formerly GEF
Logical Framework) Analysis

I
NDICATOR FRAMEWORK

AS PART OF THE
SRF






Objective/ Outcome

Indicator

Baseline

End of Project target

Source of
Information

Risks and assumptions

Objective



To integrate
Kazakhstan
’s
obligations under the
Convention on
Biological Diversity
(CBD) into its national
development and sectoral planning
frameworks through a renewed and
participative ‘biodiversity planning’
and strategizing process, aligning
the results of the process to the
global guidance contained in the
CBD’
s Strategic Plan for 2011
-
2020.

The inclusion of measurable
biodiversity conservation and
sustainable use targets into the
following
sectoral

planning
frameworks:



Agriculture,


Forestry


Hunting


Livestock


Tourism, Trade, Travel and
Transport


Fishery


Development Planning &
Finance


Water



Presently, partially
three

sector
al

planning
frameworks count on
measurable targets for
conservation and
sustainable use of
biodiversity are
envisaged, namely in
forestry, hunting and
fishing, however only
for use of resources
for economical



By 2014 measurable
biodiversity conservation
and sustainable use
targets
are developed and
ready to be included
in
the key
sectors

NBSAP

Risk:

The targets
will not be
agreed by the stakeholders

Assumption:

Close
consultation with


the
main stakeholders;
commitments assumed by the
country under various
international conventions and
treaties




Risk:

Mainstreaming requires
commitment and clear
methods on how it can have
an impact


this is now
always shared.

Assumption
: Close

consul
tation with the

main

stakeholders
; review of the
national developing planning
process
at an
early
stage of
the project.

The inclusion of measurable
biodiversity conservation and
sustainable use targets into the
following
development

frameworks:



Land
-
use management, including
spatial and infrastructural
development planning


Development finance


Climate change mainstreaming



Presently
none of

development
frameworks provide
measurable
biodiversity
conservation and
sustainable use targets


By 2014 measurable
biodiversity conservation
and sustainable use
targets
are
developed
and
ready to be included
up
to

3

development
frameworks

NBSAP

PRODOC_EA_BD_4877_Kazakhstan



15


Objective/ Outcome

Indicator

Baseline

End of Project target

Source of
Information

Risks and assumptions

Outcome 1


A p慲瑩捩t慴楶攠
s瑯捫瑡king ex敲捩獥n b楯d楶敲s楴y
p污lning 瑡tes p污捥 慮d n慴楯n慬a
b楯d楶敲s楴y 瑡tg整猠慲攠d敶敬ep敤
楮 r敳eons攠瑯 th攠g汯b慬aA楣hi
T慲g整e

Output 1.1

Review and stocktaking of products and results from previous biodiversity planning

processes at the national level are carried out
in participative manner.

Output
1.2

In response to the global Aichi Targets, national biodiversity targets are developed in a manner that is attuned to Kazakhsta
n’s
r敡汩lyK

併瑰u琠
NKP

qh攠慣h楥iem敮琠tf
n慴楯n慬at慲g整猬ed敶敬ep敤 楮 汩n攠w楴h 瑨攠g汯b慬aA楣h椠i慲g整猬e楳 duly mon楴ir敤 dur楮g 瑨攠proj散琠
dur慴楯n 慮d beyondI 慮d th楳 楳 r数or瑥t upon 瑯 瑨攠CB䐠瑨rough n慴楯n慬ar数or瑳 慮d o瑨敲 m敡nsK

併瑰u琠
NK4

fn 慮 楴敲慴av攠mann敲I 䭡h慫hs瑡n 瑡ts i
n瑯 usefu氠lnform慴楯n onI 慮d p慲瑩捩t慴敳⁩aI g汯b慬an整works and 楮楴楡瑩tes on
b楯d楶敲s楴y d慴愠慮d ind楣慴irs Esuch 慳⁴h攠B楯d楶敲s楴y fnd楣慴irs m慲瑮敲sh楰 I 䝬db慬aBiod楶敲s楴y fnform慴楯n 䙡c楬楴y

慮d
瑨攠tor汤 Cons敲v慴楯n 䵯ni瑯r楮g Cen瑲攠I
瑨攠d汯b慬abnv楲onmen琠tu瑬tok por瑡氠I 慭ong oth敲 r敬敶慮琠tn敳⤮

bff散瑩t攠es瑡t汩lhm敮琠tf
愠mu汴l
-
s散瑯r慬amu汴l
-
s瑡teho汤敲
w
ork楮g
group



No working group is
established

By end of 2012, a multi
-
sectoral/multi
-
stakeholder
working group is
established and it
completes the stock
-
taking exercise.









Project reports

CBD National
Reports

Risk:

Low wiliness of some
of the key stakeholders to
participate

Assumption:
Close
cooperation with the ongoing
GEF/UNDP
projects







Risk:
The framework of the
global Aichi targets are
known by a limited number
of specialists

Assumption:


Technical
c
onsultation
s

and
specialised assistance

should
increase the awareness on the
global Aichi Targets


Development of a

national targets
in response to the global Aichi
Targets

No national targets have
been developed

By 2012

/ early 2013
,
national targets in
response to the global
Aichi Targets are
developed.

Project reports

CBD National
Reports





Outcome 2


qh攠乂十m


r敶楳敤⽵pd慴敤 慮d 楴ifully
楮瑥gr慴敳ew asp散瑳 of th攠CB䐠
s瑲慴敧楣ip污nI such 慳a
m慩ns瑲敡ming and 慮chor楮g 瑨攠
imp汥m敮瑡瑩tn of th攠p污l into
n慴楯n慬adev敬epmen琠trame睯rksI
v慬a楮g 散osys瑥m s敲v楣敳⁡nd
promo瑩ng 散osys瑥m
-
b慳敤
慤慰瑡瑩tn
慮d r敳楬楥i捥

併瑰u琠tKN

A 乡k楯n慬aB楯d楶敲s楴y 却牡瑥gy and A捴楯n m污l E乂pAmF for 䭡h慫hs瑡nI 慮chor敤 楮瑯 n慴楯n慬ad敶e汯pm敮琠trame睯rksI 楳
upd慴敤I 楮 愠m慮n敲 th慴a楳 par瑩捩t慴楶攬 w楤敬y d楳sem楮a瑥d 慮d fu汬y in瑥gr慴敳ew asp散瑳 of 瑨攠CBa

s瑲慴ag楣ip污lI such
慳㨠a椩 m慩ns瑲敡ming㬠;楩⤠th攠v慬a楮g of 散osys瑥m goods 慮d s敲v楣is㬠;楩椩i瑨攠in捯rpora瑩tn of 捨a汬敮g敳⁡nd oppor瑵n楴
楥s
汩lk敤 瑯 散osys瑥m
-
bas敤 慤慰瑡瑩tn 慮d r敳楬楥n捥㬠;nd E楶F 䭡h慫hs瑡n椠mod敬eof 散o汯gi捡氠l整work d敶
敬epm敮t

併瑰u琠tKO

qh攠upd慴敤 慮d fu汬y endorsed 乂十ms for 䭡h慫hs瑡t is subm楴瑥t 瑯 瑨攠CB䐠pr敦敲慢汹 w楴h楮 th攠d敡d汩l攠s整eby th攠C佐K

却慴ps of 乂pAm vis
-
à
-
v楳 the
gu楤an捥 楮 th攠CB䐠却牡瑥t楣
m污l EOMNN
-
㈰㈰O

NBSAP is out of date and
does not

consider newer
guidance

By early 2014, the
Kazakhstan

NBSAP is
fully updated, it is in line
with the guidance in the
CBD Website.

Risk:

Lack of political will to
include vital areas in
the
strategy

Assumption:

Early
PRODOC_EA_BD_4877_Kazakhstan



16


Objective/ Outcome

Indicator

Baseline

End of Project target

Source of
Information

Risks and assumptions

CBD Strategic Plan
(2011
-
2020) and has been
submitted to the CBD
COP

consultation of sensible areas
with all stakeholders

Outcome 3


乡瑩kn慬aframeworks
for r敳eur捥 mob楬楳慴楯nI
Conv敮t楯n r数or瑩tg and 數ch慮g攠
m散hanisms 慲攠
敳瑡e汩lh敤 and
s瑲敮g瑨en敤

併瑰u琠tKN

乡瑩kn慬aframeworks for 乂pAm imp汥men瑡瑩tn is in p污捥 慮d 楮捬ud敳㨠e椩 楮s瑩tu瑩tn慬a汥慤敲sh楰 for imp汥men瑡瑩tn 楳
敳瑡e汩lh敤 慮d s瑲慴敧楣ip慲瑮敲sh楰s forg敤 En慴楯n慬ly and 楮瑥tna瑩tn慬ayF㬠;楩⤠愠捯s瑥t 慮d pr楯r楴楺敤 A捴楯n m污l 楳
app敮d敤
瑯 瑨攠乂医
楩椩in敥ds 慳s敳sm敮瑳 on 捡p慣楴yI 瑥捨no汯gy 慮d fin慮捥 慲攠捡rr楥i ou琻⁡nd E楶F 愠s瑲慴敧y for r敳eur捥
mob楬楺慴楯n for 瑨攠imp汥men瑡瑩tn of th攠乂pAm 楳 produ捥d 慮d 楮捬cd敳⁡ b慳敬an攠慳s敳em敮琠tf

數is瑩ng b楯d楶敲s楴y
fin慮捥K

併瑰
u琠tKO

䅮 敦f散瑩v攬 us敲
-
fr楥ndly and 敡s楬y upd慴慢汥l捯un瑲y
-
driven CHM site is developed; it is linked up to the CBD’s global CHM
n整works 慮d 瑯 o瑨敲 楮forma瑩tn 慮d know汥lg攠ex捨ang攠n整work on b楯d楶敲sityK

併瑰u琠tKP

fmm敤楡瑥iCB䐠r数or瑩tg ob汩l
慴楯ns 慲攠m整eby 䭡hakhs瑡n 楮 愠瑩m敬y m慮n敲㨠WNF by OMNO 䭡h慫hs瑡n has d敶敬ep敤 n慴楯n慬a
瑡tg整猠瑯 慣h楥v攠th攠CB䐠却p慴敧楣im污l㬠;nd EOF qh攠䙩cth 乡瑩kn慬ao数or琠瑯 瑨攠CB䐠by PN 䵡r捨 OMN4

却慴ps of th攠
n慴楯n慬a
捬敡r楮ghous攠m散han楳ms

EC䡍F

C䡍 楳 no琠t数琠tp 瑯
d慴攠慮d 楳 no琠汩nk敤 up
to the CBD’s global
C䡍 networks and 瑯
o瑨敲 楮form慴楯n 慮d
know汥lg攠數ch慮g攠
n整workK


By
early 2014
, the
national CHM is complete
to keep

up
-
to
-
date and has
been improved

CBD Website

CHM national
site(s)






Risk:

Weak financial
framework for
implementation of the
NBSAP

Assumption:

Biodiversity conservation is a
priority for
Kazakhstan


Status of the capacity, technology
and financial frameworks for
implementing the revised NBSAP

The existing framework
is out
-
of
-
date

By 2014, a complete plan
for implementing the
NBSAP, including
capacity, technology and
finance needs assessment,
has been produced and
underpins NBSAP
implementation

Project APR/PIR

Biodiversity
Support
Programme
Website (being
revamped)


The Firth National Report to CBD
prepared

and submitted



The Firth National
Report to CBD is not
available

By 31 March 2014 the
report is prepared and
submitted to CBD

CBD website

Risk:

Late submission of the
4
th

National report to CBD

Assumption:

Sound Plan of
Activities developed by the
PM at early stages of project
initiation




PRODOC_EA_BD_4877_Kazakhstan



17


SECTION III
:
TOTAL BUDGET AND WORKPLAN

Award ID:

00065109


Business Unit:

KAZ10

Project ID:

00081
7
4
8


Project Title:

National
Biodiversity Planning to Support the implementation of
the CBD 2011
-
2020 Strategic Plan in Republic of Kazakhstan


Award
Title:

National Biodiversity Planning to Support the
implementation of the CBD 2011
-
2020 Strategic Plan in
Republic of Kazakhstan


Implementing
Partner

Forestry and Hunting Committee of the Ministry of Agriculture


GEF Component
(Outcome) /Atlas
Activity

Impl. Agent

Fund
ID

Donor Name

ERP /
ATLAS
Budget
Code

Atlas Budget Description

TOTAL
Amount
(USD)

Amount
Year 1
(USD)

Amount
Year

2
(USD)

Amount
Year 3
(USD)

Budget
Notes

Comp 1. Stocktaking
and national target
setting

NIM

62000

GEF
-
10003

71200

International Consultants

2,500

2,500





a

NIM

62000

GEF
-
10003

71400

Contractual Services
-

Individ

14,400

4,800

4,800

4,800

b

NIM

62000

GEF
-
10003

71600

Travel

3,000

1,500

1,500



c

NIM

62000

GEF
-
10003

72100

Contractual Services
-
Companies

4,000

2,000

2,000



d

NIM

62000

GEF
-
10003

72200

Equipment and Furniture

3,000

3,000





e

NIM

62000

GEF
-
10003

74500

Miscellaneous Expenses

500

300

200



f

GEF Subtotal Atlas Activity 1 (Comp 1)

27,400

14,100

8,500

4,800



TOTAL ACTIVITY 1 (Comp 1)

27,400

14,100

8,500

4,800



Comp 2. NBSAP
update

NIM

62000

GEF
-
10003

71200

International Consultants

17,500

8,000

9,500



a

NIM

62000

GEF
-
10003

71400

Contractual Services
-

Individ

24,600

12,300

12,300



b

NIM

62000

GEF
-
10003

71600

Travel

2,000

1,000

1,000



c

NIM

62000

GEF
-
10003

72100

Contractual Services
-
Companies

63,000

21,000

40,000

2,000

g,h,i,d


NIM

62000

GEF
-
10003

72500

Supplies

1,000

500

500



j

NIM

62000

GEF
-
10003

74500

Miscellaneous Expenses

300

200

100



f

GEF Subtotal Atlas Activity 2 (Comp 2)

108,400

43,000

63,400

2,000



TOTAL ACTIVITY 2 (Comp 2)

108,400

43,000

63,400

2,000



Comp 3. National
frameworks for
NBSAP
implementation, CDB
reporting and
exchange
mechanisms

NIM

62000

GEF
-
10003

71200

International Consultants

10,000

5,000

5,000



a

NIM

62000

GEF
-
10003

71400

Contractual Services
-

Individ

24,800

12,400

12,400



b

NIM

62000

GEF
-
10003

71600

Travel

2,000

1,000

1,000



c

NIM

62000

GEF
-
10003

72100

Contractual Services
-
Companies

18,000

10,000

6,000

2,000

k,d

NIM

62000

GEF
-
10003

72200

Equipment and Furniture

2,000

2,000





e

NIM

62000

GEF
-
10003

72400

Communic & Audio Visual Equip

2,000

2,000





l

NIM

62000

GEF
-
10003

72500

Supplies

1,200

700

500



j

NIM

62000

GEF
-
10003

74100

Professional Services

7,000



7,000



m

NIM

62000

GEF
-
10003

74200

Audio Visual&Print Prod Costs

2,500

1,000

1,500



n

NIM

62000

GEF
-
10003

74500

Miscellaneous Expenses

700

350

350



f

GEF Subtotal Atlas Activity 3 (Comp 3)

70,200

34,450

33,750

2,000



TOTAL ACTIVITY 3 (Comp 3)

70,200

34,450

33,750

2,000



4. Project Mgt

NIM

62000

GEF
-
10003

71400

Contractual Services
-

Individ

9,600

4,300

4,300

1,000

b

PRODOC_EA_BD_4877_Kazakhstan



18


GEF Component
(Outcome) /Atlas
Activity

Impl. Agent

Fund
ID

Donor Name

ERP /
ATLAS
Budget
Code

Atlas Budget Description

TOTAL
Amount
(USD)

Amount
Year 1
(USD)

Amount
Year

2
(USD)

Amount
Year 3
(USD)

Budget
Notes

NIM

62000

GEF
-
10003

72200

Equipment and Furniture

3,000

3,000





e

NIM

62000

GEF
-
10003

74200

Audio Visual&Print Prod Costs

1,000

600

400



o

NIM

62000

GEF
-
10003

74500

Miscellaneous Expenses

400

300

100



f

GEF Subtotal Atlas Activity 4 (Proj Mgt)

14,000

8,200

4,800

1,000



NIM

04000

UNDP TRAC
-

00012

71400

Contractual Services
-

Individ

1
3
,
3
00


9,100

4
,
2
00

p

NIM

04000

UNDP TRAC
-

00012

71600

Travel

6
,
7
00


6
,
7
00



c

TRAC Subtotal Atlas Activity 4 (Proj Mgt)

20,000

0

15
,
8
00

4,20
0



TOTAL ACTIVITY 4 (Project
Management)

34,000

8
,
2
00

20
,
6
00

5
,
2
00









.






SUB
-
TOTAL GEF

220,000

99,750

110,450

9,800




SUB
-
TOTAL UNDP TRAC

20,000

0

15
,
8
00

4,20
0
















GRAND TOTAL (in cash)

240,000

99
,
7
50

1
26
,
2
50

14
,
0
00




Budget Notes

a

Principle NBSAP Advisor (int.) approx 10 weeks @43000 per week divided among Components 1, 2 and 3.

b

Nat. Enabling Activity Technical Coordinator (lumpsum

$52,800, of which approx. 82% of the work is technical and the rest managerial). The technical inputs share of the
costs is broken down among all three components.

c

Domestic and international travel in connection with project activities.

d

Output based

consultancy: Technical and Editorial Support Working Groups for Target
-
setting, NBSAP, CHM development and National Reporting. See brief Service
Provision TOR in Annex E
-
II.

e

Laptop computer for project staff, software license and peripherals.

f

Misce
llaneous expenses, bank charges, insurance etc.

g

Output based consultancy (national and international): Support and knowledge management services for integrating the ecosyste
m approach into Kazakhstan's new National
Biodiversity Strategy and Action Plan and into its Climate Response. See brief Service Pr
ovision TOR in Annex E
-
I.

h

Technical and logistical support to consultations in connection with the NBSAP update.

i

Output based consultancy (national and international): Support and knowledge management services for integrating the ecosyste
m approach

into Kazakhstan's new National
Biodiversity Strategy and Action Plan and into its Climate Response. See brief Service Provision TOR in Annex E
-
I.

j

Supplies; mainly stationary and other consumable goods.

k

Output based professional services (national):

Web
-
design support for the development of the CHM. Service provision TOR remains to be prepared by the EA Technical
Coordinator.

l

Data projector.

m

Translation of the NBSAP and other documents. Audit.

n

Publications, desktop review of documents,
mapping.

o

Publications, desktop review of documents, mapping.

p

Project Assistant approx. 52 weeks at $350/week.


PRODOC_EA_BD_4877_Kazakhstan



19



SECTION IV
: ADDITIONAL INFORMATION

Annex
I:

Other agreements
/
Co
-
financing
Letters

[Refer to separate file in
PDF]


PRODOC_Letters_4877 GEF5 BD EA Kazakhstan.pdf




PRODOC_EA_BD_4877_Kazakhstan



20



Annex
I
I:
Approved GEF proposal for
BD EA




PART I: PROJECT IDE
NTIFIERS



EA Title:

National Biodiversity Planning to Support the implementation of the CBD 2011
-
2020 Strategic Plan in
Kazakhstan

Country(ies):

Kazakhstan

GEF Project ID:

4719

GEF Agency(ies):

UNDP

GEF Agency Project ID:

4877

Other Executing
Partner(s):

Forestry and Hunting Committee of the
Ministry of Agriculture

Submission Date:

1
st

submission: November 9, 2011

2
nd

submission:
December 12, 2011

3
rd

submission:
December 27, 2011

GEF Focal Area (s):

Biodiversity

Project Duration (Months)

27

Check if applicable:

NCSA

NAPA

Agency Fee ($):

22,000


A.

EA

FRAMEWORK


EA Objective:
To integrate Kazakhstan’s obligations under the Convention on Biological Diversity (CBD) into its national
development and sectoral planning frameworks through a renewed and participative ‘biodiversity planning’ and strategizing pro
cess,
in a manner that i
s in line with the global guidance contained in the CBD’s Strategic Plan for 2011
-
2020.


EA Component

Grant
Type


Expected Outcomes

Expected Outputs

Grant
Amount

($)

Confirmed
Co
-
financing

($)

1) Stocktaking
and national
target setting

TA

-

By end of 2012,

a multi
-
sectoral/multi
-
stakeholder
working group is
established and
it completes the
stock
-
taking
exercise.


-

By 2012,
national targets
in response to
the global Aichi
Targets are
developed.


1.1 Review and stocktaking of products and results from
previous

biodiversity planning processes at the national
level are carried out in participative manner.


1.2 In response to the global Aichi Targets, national
biodiversity targets are developed in a manner that is
attuned to Kazakhstan’s reality.


1.3 The
achievement of national targets, developed in line
with the global Aichi Targets, is duly monitored during the
project duration and beyond, and this is reported upon to
the CBD through national reports and other means.


1.4 In an iterative manner, Kazakhst
an taps into useful
information on, and participates in, global networks and
initiatives on biodiversity data and indicators (such as the
Biodiversity Indicators Partnership
2
,
Global Biodiversity
Information Facility
3

and the World Conservation
Monitoring
Centre
4
, the Global Environment Outlook
portal
5
, among other relevant ones).


27,400

34,000

2) NBSAP
update

TA

-

By early 2014,
the Kazakhstan
NBSAP is fully
updated, it is in
2.1 A National Biodiversity Strategy and Action Plan
(NBSAP) for Kazakhstan, anchored into national
development frameworks, is updated, in a manner that is
participative, widely disseminated and fully integrates new
108,400

120,000




2

www.bipindicators.net


3

www.gbif.org

4

www.unep
-
wcmc.org


5

geodata.rrcap.unep.org


REQUEST FOR BIODIVER
SITY ENABLING ACTIVI
TY

P
ROPOSAL FOR
F
UNDING
U
NDER THE
GEF

T
RUST
F
UND

PRODOC_EA_BD_4877_Kazakhstan



21


EA Component

Grant
Type


Expected Outcomes

Expected Outputs

Grant
Amount

($)

Confirmed
Co
-
financing

($)

line with the
guidance in the
CBD Strategic
Plan (2011
-
2020) and has
been
submitted
to the CBD COP

aspects of the
CBD strategic plan, such as: (i)
mainstreaming; (ii) the valuing of ecosystem goods and
services; (iii) the incorporation of challenges and
opportunities linked to ecosystem
-
based adaptation and
resilience; and (iv) Kazakhstani model of ecological
network
development


2.2 The updated and fully endorsed NBSAPs for
Kazakhstan is submitted to the CBD preferably within the
deadline set by the COP.

3) National
frameworks
for NBSAP
implementatio
n, CDB
reporting and
exchange
mechanisms


-

By 2013,
complete the
updating and
improvement of
national
clearinghouse
mechanisms


-

By 2014,
complete plan
for
implementing
the NBSAP,
including
capacity,
technology and
finance needs
assessment

3.1 National frameworks for NBSAP implementation is in
place and incl
udes: (i) institutional leadership for
implementation is established and strategic partnerships
forged (nationally and internationally); (ii) a costed and
prioritized Action Plan is appended to the NBS; (iii) needs
assessments on capacity, technology and f
inance are carried
out; and (iv) a strategy for resource mobilization for the
implementation of the NBSAP is produced and includes a
baseline assessment of existing biodiversity finance.


3.2 An effective, user
-
friendly and easily updatable
country
-
driven
CHM site is developed; it is linked up to the
CBD’s global CHM networks and to other information and
know汥lg攠數ch慮g攠n整work on b楯d楶敲s楴yK


PKPK fmm敤楡瑥iCB䐠r数or瑩tg ob汩l慴楯ns 慲攠me琠ty
䭡h慫hs瑡n 楮 愠瑩m敬y m慮ner㨠WNF by OMNO 䭡h慫hs瑡t
h慳a
d敶敬ep敤 n慴楯n慬a瑡tg整s 瑯 慣h楥i攠th攠CB䐠却牡瑥g楣i
m污l㬠;nd EOF qh攠䙩cth 乡瑩kn慬ao数or琠瑯 瑨攠CB䐠by PN
䵡r捨 OMN4K


TMIOMM

UPIRMM

卵b瑯瑡t

OMSIMMM

OPTIRMM

bA 䵡n慧emen琠䍯st
6

14,000

27,500

Total EA Cost

220,000

265,000


a

List
the $ by EA components.




B.

C
O
-
FINANCING

FOR THE
EA

BY SOURCE AND BY NAM
E

Sources of Co
-
financing

Name of Co
-
financier

Type of Co
-
financing

Amount ($)

Government of
Kazakhstan

Forestry and Hunting Committee, Ministry of
Agriculture

grant

170,000

CSO

Association for the Conservation of Biodiversity
of Kazakhstan (ACBK)

in
-
kind

30,000

UNDP

UNDP Country Office Kazakhstan: core funds

grant

20,000

UNDP

UNDP Country
Office Kazakhstan: senior
advisory services

in
-
kind

45,000

Total Co
-
financing

265,000






6

Th
is is the cost associated with the unit executing the project on the ground and could be financed out of trust fund or co
-
financing sources.

PRODOC_EA_BD_4877_Kazakhstan



22


C.

G
RANT
R
ESOURCES
R
EQUESTED BY
A
GENCY
,

F
OCAL
A
REA AND
C
OUNTRY

GEF
Agency

Type of Trust
Fund

Focal Area

Country
Name/Global

EA Amount
(a)

Agency
Fee (b)

Total
(c)=(a)+(b)

UNDP

GEF TF

Biodiversity
Focal Area Set
-
Aside

Kazakhstan

220,000

22,000

242,000

Total Grant Resources



242,000



D.

EA

M
ANAGEMENT
C
OST

Cost Items

[GEF only]
Total Estimated
Person Weeks

Grant
Amount

($)

Co
-
financing


($)

EA Total


($)

Local
consultants*

16

9,600

20,700

30,300

International consultants*

0

0

0

0

Office facilities, equipment, vehicles and communications*



4,400

5,000

9,400

Travel*



0

1,800

1,800

Others**



0

0

0

Total


14,000

27,500

41,500


* Details to be provided in Annex A. ** Other items to be clearly specified.


A
DDITIONAL INFORMATIO
N FOR
T
ABLE
D,

IF APPLICABLE
:

If costs for office facilities, equipment, vehicles and communications, travels are requesting for GEF financing, please prov
ide justification here:

The Forestry and Hunting Committee of the Ministry of Agriculture and UNDP will share the largest share o
f project management
costs, including the salary of a Project Assistant (50% part
-
time for 2 years financed by UNDP at an estimated value of $350/week)
and the managerial inputs of the National Project Director (at an estimated value of $2,500 or approx. 2
5 working full days
throughout the duration of the project). The HR input is presented under “local consultants”, co
-
financing column and amounts to
$20.7K. The co
-
financing to the management of the project also includes travel ($1.8K financed by UNDP), of
fice facilities,
furniture and some office equipment (estimated at $5K).


GEF financing is being requested to finance the managerial part of the salary of the National Enabling Activity Technical
Coordinator, as well as two computers (one for the project
manager and one for the project assistant) plus software licenses and
peripherals.


Refer to Annex C (Total Budget and Workplan) for details on the GEF and UNDP financing of management costs.




PART II: ENABLING A
CTIVITY JUSTIFICATIO
N


A.

E
NABLING
A
CTIVITY
B
ACKGROUND AND
C
ONTEXT
(Provide brief information about projects implemented
since a country became party to the convention and results achieved):



Kazakhstan is the largest land
-
locked country in Central Asia. It covers 271,730,000 ha (or 2.72 km2) and spans 55026'
-

40026' N
and 46027`
-

87018` E. More specifically, the country is located between the Siberian taiga, the Central Asian deserts, the Ca
spian
Sea and the mountains of the Tien
-
Shan.


Kazakhstan harbours a great variety of landscapes and ecosystems. These include lowland deserts, steppes, montane forests,
meadows and wetlands. Lowland plains characterized by steppes, semi
-
deserts, and dese
rts comprise 60% of the country’s surface
area, while arid foothills represent 30% and mountains 10% of its territory. The diverse terrain and climatic conditions cont
ribute to a
great diversity of ecosystems and species. Kazakhstan is considered to be the

most important country from a biodiversity perspective
among all Central Asian countries.


In particular, a unique mosaic of microclimates and habitats of Kazakhstan’s Tien Shan mountains makes the area one of the wo
rld’s
most important centres of crop a
nd plant genetic diversity, and the place of origin of the world’s cultivated apples. Two of the
world’s major flyways and their respective branches, the Central Asian
-
Indian Flyway and the East African Flyway, converge in key
Kazakhstan’s wetlands: the Ko
rgalzhyn and Alakol
-
Sassykol lakes, and the Ural River delta. Kazakhstan’s territory includes parts of
PRODOC_EA_BD_4877_Kazakhstan



23


the Mountains of Central Asia Biodiversity Hotspot, the Altai
-
Sayan Global 200 Ecoregion, and UNESCO World Heritage Sites.


The eastern and southern part
s of Kazakhstan feature several mountain systems including the southwestern part of the Altai, the
northern and western Tien
-
Shan and the Karatau Mountains. The Altai is characterized by a typically Siberian flora and fauna, found
nowhere else in Central A
sia. Generally, the biodiversity of the Kazakhstan mountains increases in richness from the northeast
(Altai) to the southwest (West Tien
-
Shan and Karatau). Forests occupy only 4.5% of the country’s surface, mainly in the northern
p慲琠of th攠捯un瑲y and i
n 瑨e high moun瑡tn s汯p攠va汬lys 慮d r楰慲楡i 慲敡sK moun瑡tn 散osys瑥msI wh楣h 捯v敲 慢ou琠TB of the
捯un瑲yI 捯n瑡楮 mor攠瑨an

30 p污l琠捯mmun楴楥s dom楮慴敤 by wood污lds but spr楮k汥d wi瑨 shrub 污lds and mount慩a m敡dows.
Th攠v慲楥i 瑥tr慩a 慮d 捬業慴
i挠捯nd楴楯ns 捯n瑲楢u瑥t瑯 愠d楶敲s楴y of 散osys瑥ms 慮d spe捩敳⸠Th攠f慵n愠of 䭡Kakhs瑡n 楮捬cd敳e178
sp散楥猠of mamm慬猬a489 spe捩敳cof b楲ds, 104 sp散楥猠of f楳h, 49 sp散楥猠of r数瑩汥t, 慮d 12 sp散楥猠of 慭ph楢楡is. 䅮 敳瑩m
慴敤
6,000 sp散楥猠of v慳捵
污l p污l瑳 慲攠found 楮 䭡Kakhs瑡n, 慬ang w楴h 5,000 sp散楥猠of fung椬i485 sp散楥猠of 汩捨敮s, 2,000 sp散楥猠of
慬a慥, and 500 sp散楥猠of bryophy瑥s. 䅭ong th攠v慳au污l p污l瑳, 14┠慲攠endem楣i 瑯 䭡K慫hs瑡n. Th攠R敤 D慴愠Book of
䭡K慫hs瑡n 汩s瑳 125 sp散楥
s of v敲瑥tr慴敳a(15┩% 96 sp散楥猠of inv敲瑥tr慴攬 287 sp散楥猠of high敲 p污lts (4.8┩% 慮d 85 sp散楥猠of
楮s散ts.


䑥獰楴攠楴i 污lg攠s楺攬 䭡K慫hs瑡t h慳aa popu污瑩ln of only 16.6 m楬汩on p敯p汥l Th楳 楳 瑨攠汯w敳琠popu污瑩ln dens楴y in C敮
瑲慬a䅳Aa
(慢
ou琠t p敲sons p敲 sq km). 啲b慮 r敳楤敮瑳 捯mpris攠慢ou琠t3┠%f 瑨攠瑯瑡氠popu污瑩ln, w楴h 47┠%敳楤楮g in rur慬a慲敡s.


The oil & gas sector dominates Kazakhstan’s economy with significant potential for further growth given the country’s intent
瑯 jo楮
t
h攠瑯p 瑥n 污lges琠o楬
-
produ捩cg 捯un瑲楥猠by OMNRK 䑥a敬epmen琠of f敲rous and non
-
f敲rous m整慬汵rgyI chemis瑲yI m慣h楮e
bu楬i楮gI 汩lh琠and food 楮dus瑲楥猠楳 progr敳s楮g bu琠慴a a s汯w敲 p慣攮 䅧r楣u汴ur攠捯n瑲楢u瑥s SKP┠of 䭡h慫hs瑡nDs 䝄d 慮d

emp汯ys
TNKO┠of i瑳 散onom楣慬iy 慣瑩te popu污瑩lnK 䙯r 慬氠signif楣慮琠pos楴iv攠r敳u汴s 楮 散onom楣 d敶敬epmen琬tthe gov敲nm敮t
still faces challenges with diversifying and moving away from the natural resource sector dependence in the country’s economi

b慳攮
qr慤楴楯n慬汹I non
-
楮dus瑲楡汩穥i r敧楯ns 慲攠beh楮d wi瑨 th攠high pov敲ty 汥v敬eup 瑯 OOKT┬Bwh楬攠瑨e n慴楯n慬 慶er慧攠pov敲ty
楮d楣慴ir 楮 OMNM 捯mpr楳敤 SKR┮B qh攠䭡h慫h 䝯v敲nmen琠r散ogn楺is th慴 數is瑩ng 污lg攠d楦f敲敮捥s in popu污瑩ln incomes amo


r敧楯ns 慲攠th攠signs of d楦f敲敮琠散onom楣i dynam楣s of reg楯ns 慮d 慢楬楴y of 汯捡氠慵thor楴楥i 瑯 prov楤攠慤敱u慴攠s敲v楣敳

瑯 瑨e
popu污瑩lnK 䭡h慫hs瑡nDs 䡄f 楮 OMNM was MKTN4I wh楣i g楶es th攠捯un瑲y 愠r慮k of SS ou琠of NSV 捯un瑲楥猠w楴i 楮捯m攠and
敤u捡瑩tn ind楣慴irs prop敬汩eg 瑨攠e䑉 grow瑨K


Specific threats to Kazakhstan biodiversity

include:
(i) Habitat / land use change

due to water level fluctuations resulting from low
levels of precipitation and withdrawal for agricultural and other purpos
es; extensive farming and land
-
use practices that cause
shrinking of natural habitats for large mammals, insufficient to sustain steady reproduction.
(ii) Overexploitation of natural resources
and ecosystems
attributable to overgrazing, especially around s
ettlements; unsustainable resource use practices such as fishing and
hunting; persisting poaching with more people having access to powerful machinery and weapons, thus improving access to
vulnerable species such as saiga, sturgeon, etc; extensive and ille
gal felling of saxaul wooded areas and pine forests;
(iii) Invasive
species
: replacement of native species of fish (marinka, perch, osman) due to introduction invasive species that gradually change
hydrofauna of lakes Balkhash, Alakol, and others; invasive

bird species (Indian myna, big titmouse) well adapted to continental
climate outcompete native bird species such as starling, Siberian azure tit;
(iv) Pollution

includes industrial pollution leading to
disruption of biological functions and destruction fl
ora and fauna (e.g. oil industries in Atyrau, Mangystau, Aktyubinsk, West
-
Kazakhstan and Kyzylorda regions; an industrial complex in East Kazakhstan, Karaganda and Pavlodar regions; a processing
industry of the South
-
Kazakhstan region); and historical pol
lution of agricultural lands by herbicides;
(v) Climate change

represents
an additional threat to Kazakhstan’s biodiversity. In particular, boundaries of wet areas are expected to shift north, increa
sing the
country’s overall aridness and potentially leadi
ng 瑯 th攠汯ss of som攠b楯d楶敲s楴y㬠汯w敲 pr散楰楴慴楯n w楬i neg慴av敬y aff散琠tr慳s污nd
produ捴楶楴y th慴amay d散r敡s攠慮ywh敲攠from PM
-
VM┮B


qo pro瑥捴t楴i b楯d楶敲s楴yI 䭡穡khs瑡n h慳aes瑡t汩lh敤 愠sys瑥m of pro瑥捴td 慲敡s 捯v敲楮g OOINONIS4N h愬 or
UKN┠of th攠瑯瑡氠污ld
surf慣攮 qh楳 楮捬ud敳ef楶攠m慩a 捡瑥tor楥猠of n慴楯n慬
-
汥v敬epro瑥捴td 慲敡s

却慴攠乡瑵r攠o敳敲v敳eEw慰ov敤niksFI 却慴攠乡瑩kn慬
乡瑵r攠m慲ksI p瑡瑥t乡kur攠oe穥rv慴猬ap瑡瑥t乡kur慬a卡n捴uar楥猠iwak慺n楫sFI 却慴攠o敳敲v敤 wones

慬氠o
f wh楣h 慲攠und敲 瑨攠d楲散琠
or 楮d楲散琠r敳eons楢楬楴y of th攠Comm楴瑥攠on 䙯r敳瑲y and 䡵n瑩ng ECc䠩K 佦 th敳攠fiv攠mA 捡瑥gor楥猬i 瑨攠mos琠impor瑡n琠fo

n慴ar攠捯ns敲v慴楯n 慲攠瑨攠firs琠瑨r敥I 慬氠of wh楣i hav攠慤m楮is瑲慴av攠off楣敳ib慳敤 in 瑨攠v楣in
楴y of th攠m䅳Ⱐ慳a睥汬w慳ar慮g敲s
(‘inspectors’) patrolling within the PAs. However, these ‘managed’ PAs cover less than 5 million ha, or 1.8% of Kazakhstan’s
territory. The remaining areas, representing more than 75% of the PA estate’s surface area, do
no琠h慶攠su捨 man慧em敮琠bod楥猠
慮d 敮joy in pr慣瑩捥tonly minim慬apro瑥捴楯nK


qwo 楮s瑩tu瑩tns hav攠prim慲y respons楢楬楴y for 捯ns敲va瑩tn of b楯汯g楣慬i d楶敲s楴y in 䭡h慫hs瑡nK 佮攠is 瑨攠Commi瑴敥t on
䙯r敳瑲y and 䡵n瑩ng EC䙈cI wh楣h 楳 on攠of s敶敲慬

捯mm楴瑥is und敲 瑨攠䵩j楳瑲y of 䅧r楣i汴lr攮 At n慴楯n慬a汥ve氬l C䙈ch慳aa
捥n瑲慬auni琬t楮捬uding d数u瑩tsI h敡d of d数慲tments and sev敲慬a數p敲瑳K f琠t汳o has ob污lt
-
汥v敬ebr慮ch敳㬠howev敲I 楴i s瑲u捴ur攠do敳e
no琠數瑥nd furth敲 瑯 汯捡氠汥v敬献eC䙈c楳

g敮敲慬ay r敳eons楢汥lfor imp汥men瑩ng na瑩tn慬apo汩ly r敬慴ed 瑯 for敳瑲yI th攠pro瑥捴楯n
and sustainable use of species and protected areas. It also has the responsibility to ensure the conservation of Kazakhstan’s

b楯汯g楣慬i
d楶敲s楴y and 散osys瑥m h敡
lth, which includes the country’s steppe zones. CFH is also responsible for management of national
-
汥v敬e
PRODOC_EA_BD_4877_Kazakhstan



24


protected areas.


In addition to the policy and operational roles played by CFH, the Ministry of Environmental Protection (MEP) has important p
olicy
an
d monitoring responsibilities. MEP is responsible for overall policy related to environmental management, including sustainab
le
development. It is also responsible for co
-
ordination with the Secretariat of the Convention on Biological Diversity (CBD). Fina
lly,
MEP is responsible for performing environmental impact assessments related to PA establishment and expansion.


Key barriers to effective implementation of the CBD Strategic Plan in Kazakhstan

include: (i) Weak law enforcement,
including incipient adoption of the 1999 National strategy and action plan on conservation and sustainable use of biodiversit
y; (ii) the
lack of mid
-
term and long
-
term government vision for the PA estate, including its m
anagement, expansion and development; (iii)
inadequate government structure for effective and sustainable biodiversity management.


1)

National Reporting to CBD

Reports

Date of Submission
to CBD Secretariat

Current Status*

Comments

National Biodiversity
Strategy and Action Plan

1999

submitted

Currently outdated

Revision of NBSAP


Not started yet

Funding being applied for under this project

1
st

National Report

01.11.2001

submitted


2
nd

National Report

30.07.2002

submitted


3
rd

National Report

04.01.2006

submitted


4
th

National Report

08.07.2010

submitted



2)

Capacity Needs Assessments carried out
YES

NO


Start Date (dd
-
Mmm
-
YY):
01
-
Mar
-
2004

End Date (dd
-
Mmm
-
YY):
31
-
Dec
-
2006


Please list all of the CBD Program of Work and cross
-
cutting themes that were addressed in


the Biodiversity Enabling Activities Capacity Needs Assessments: