EN
ANNEX 1
of the of the Commission Implementing Decision on the Annual Action Programme 2016 (part 2)
Action Document: Conservation, sustainable use and good governance of biodiversity in four
vulnerable biomes in the centre of South America
INFORMATION FOR POTENTIAL GRANT APPLICANTS
WORK PROGRAMME FOR GRANTS
This document constitutes the work programme for grants in the sense of Article 128(1) of the
Financial Regulation (Regulation (EU, Euratom) No 966/2012) in the following sections concerning
calls for proposals: 5.3.1.1. and in the following sections concerning grants awarded directly without a
call for proposals: 5.4.1.2
1. Title / basic act /
CRIS number
Conservation, sustainable use and good governance of biodiversity in four
vulnerable biomes in the centre of South America
Funded by the instrument for development cooperation Global Public Goods
and Challenges (GPGC) – DCI-ENV/2016/039-631
2. Zone benefiting
from the action /
location
The action shall be implemented in one or more biomes among the Gran
Chaco, the Cerrado, the Pantanal and the Chiquitano Dry Forests shared over
Argentina, Bolivia, Brazil and Paraguay.
3. Programming
document
Global Public Goods and Challenges Thematic Programme,
Indicative Programme (MIP) 2014-2017
4. Sector of
concentration /
thematic area
5. Amounts
concerned
Biodiversity and ecosystem services
Multi-annual
Total estimated cost: EUR 12 500 000
Total EU budget contribution amount: EUR 10 000 000
This action is co-financed by potential grant beneficiaries for an indicative
amount of EUR 2 500 000
6. Aid modality(ies)
and Implementation
modality(ies)
Project modality
Direct management - call for proposals
Direct management – direct grant
7) DAC code(s)
41030-BIODIVERSITY
[1]
8. Markers (from
CRIS DAC form)
General policy objective
Participation development / good
governance
Aid to environment
Gender equality (including Women
In Development)
Trade Development
Reproductive, Maternal, New born
and Child Health
RIO Convention markers
Biological diversity
Combat desertification
Climate change mitigation
Climate change adaptation
9. Global Public
Goods and
Challenges (GPGC)
thematic flagships
Not
targeted
☐
Significant
objective
x
Main
objective
☐
☐
☐
☐
x
x
☐
x
x
☐
☐
☐
☐
Not
targeted
☐
x
☐
☐
Significant
objective
☐
☐
x
☐
Main
objective
x
☐
☐
x
Biodiversity for Life flagship initiative (B4Life) and also relevant to Global
Climate Change Alliance (GCCA+)
Executive summary
This action is part of the EU Biodiversity For Life flagship initiative. The scope of this instrument is
global. Its aim is to contribute to integrating the conservation of biodiversity and ecosystems and their
services in development strategies and poverty eradication.
In this context, an allocation of 10 million euros is mobilized
environmental values in the region covered by four vulnerable
America (Cerrado, Chaco, Dry Chiquitanian and Tucumanian
contribute to the sustainability of its development dynamic in
productive sectors.
to contribute to preserve key
biomes of the center of South
Forest and Pantanal) , and to
particular with regard to the
To this end, the intervention includes two components:

A call for proposals (EUR 9,25 million) focused on actions within the framework of an integrated
approach to land management, which will contribute to: (1) the conservation of healthy and
functional ecosystems; (2) the promotion of environmentally sustainable production systems; (3)
strengthening effective and inclusive environmental governance mechanisms. This action seeks to
contribute to the identification and the promotion of good practices. To meet this objective,
proposals should take into account experience and strategy capitalization mechanisms for the
dissemination of lessons learned. This aspect will be coordinated among the projects, with the
technical assistance provided by the complementary support.

A complementary support (EUR 750,000) aimed at strengthening regional planning and
coordination to support the task of local authorities in the development, implementation and
monitoring of public, local and regional policies and strategies for conservation and sustainable
development. This component will provide support to the regional coordinating body (Committee
for Environment, see section 1.2) through facilitating exchange of information and providing
methodological assistance in monitoring policies. It will use these inputs as part of its
communication strategy and foster political dialogue for the guidance and orientation of public
policies at regional level. As part of this task, the complementary support will contribute to
[2]
ensuring the monitoring of the impacts of the projects issued out of the call for proposals and will
promote the use of the generated information for regional policy development and update
1.
Context
1.1 Sector, country, regional context and subject area
Focus / scope of the action
The action will contribute to the sustainability of the dynamic for the development of rural areas of
four threatened biomes in the centre of South America (Chiquitanian and Tucumanian dry forest,
Chaco, Cerrado and Pantanal). To this end, actions financed through a call for proposal will promote
the conservation and proper management of wild ecosystems and their goods and services, the
promotion of environmentally-friendly economic activities including the development of a good
governance framework ensuring the sustainability of natural resources. In this context, particular
emphasis will be given to initiatives linked to protected areas and their buffer zones. These actions
seek also to contribute to the identification and promotion of good practices and measures for
adaptation to and mitigation of climate change,
Because of the limited available amount, and in order to achieve a significant impact in a region
subject to accelerated dynamics of agricultural development and land use change, the Commission has
decided to focus this action on projects that prioritize areas within four particularly vulnerable biomes
of great biological relevance such as the Gran Chaco, the Cerrado, the Pantanal and the Dry Forests
within the ZICOSUR territory. Namely, this targets the provinces of the North of Argentina, the
departments of Chuquisaca, Tarija and Santa Cruz in Bolivia, the states of Mato Grosso and Mato
Grosso do Sul in Brazil and the departments of Alto-Paraguay and Boquerón in Paraguay.
1.1.1.
Public policy and framework for EU action in the region
The beneficiary countries
Regarding the National Authorities concerned, it can be emphasized that the countries of the region
have signed the major international conventions such as the Convention on Biological Diversity
(CBD), the United Nations Framework Convention on Climate Change (UNFCCC) and the United
Nations Convention to Combat Desertification (UNCCD), and have developed strategies for their
implementation. All of them have also developed a legal framework for the environment and protected
areas sector. Some of them are developing specific instruments to promote measures to adapt to and
mitigate climate change and / or limit land use changes through land management (e.g., the Law of
Mother Earth in Bolivia and Law on Minimum Budgets for Environmental Protection of Native
Forests in Argentina).
All countries' administrations include an institution in charge of the national protected areas
management system: Administración de Parques Nacionales (APN) in Argentina, Servicio Nacional
de Áreas Protegidas (SERNAP) in Bolivia, Instituto Chico Mendes pela Biodiversidade (ICMBio) in
Brazil, Corporación Nacional Forestal (CONAF in Chile), Secretaría del Ambiente (SEAM) in
Paraguay and Servicio Nacional de Áreas Naturales Protegidas (SERNANP) in Peru. Decentralization
levels in the management of protected areas at sub-national level vary depending on the case. In
Paraguay, local governments do not manage areas; the national system is composed of national units
that depend on SEAM. In Chile, the National System of Protected Wild Areas - SNASPE, has been
managed since 1972 by an organisation governed by private law called the National Forest
Corporation CONAF. Under a regionalised approach, CONAF manages SNASPE based on the official
geographical scheme that divides the country into fifteen regions, which have some level of autonomy.
The other level of government, the municipalities, does not have significant participation in the
management of protected areas. Besides National Areas, Argentina, Bolivia, Peru and Brazil provide
[3]
for local protected areas managed by the respective autonomous authorities (departments, provinces,
municipalities, etc.). Each country also allows for different forms of legal status for private reserves
usually managed by private owners or by NGOs.
Through the Los Cabos Declaration of March 2014, Latin American and Caribbean Ministers of the
Environment agreed to join efforts to develop public policies to combat the causes of biodiversity loss
and ecosystem degradation.
The partner regional organisation: ZICOSUR
It needs to be highlighted that all sub-national bodies within the intervention área (departments, states,
provinces) are members of a regional organisation called Zona de Integración del Centro-Oeste de
Sudamérica – ZICOSUR.
This institution is a regional integration process forming a sub-region which partly lies within the
MERCOSUR. It brings together a population of about 30 million people in an area of 3 million 600
thousand square kilometres. Their members are not States, but sub-national administrative units
(Argentine provinces of Salta, Jujuy, Tucuman, Catamarca, Santiago del Estero, Formosa, Chaco,
Corrientes and Misiones; the Bolivian departments of Beni, Cochabamba, Chuquisaca, Oruro, Pando,
Potosi, Santa Cruz and Tarija; the Brazilian states of Mato Grosso and Mato Grosso do Sul; the
Chilean regions of Antofagasta, Arica and Parinacota, Atacama and Tarapaca; all the Departments of
Paraguay, and the Peruvian departments of Arequipa, Moquegua, Puno and Tacna).
ZICOSUR began in the late 1990s. It aims to strengthen the social and cultural integration of its
populations and to boost its economy through the development of a modern multimodal
communication network linking local authorities among themselves and with the international market.
To this end, the Campo Grande Protocol (2005) provides for an organizational structure composed of a
plenary assembly of authorities that adopts its general policy, a coordinating committee, an executive
secretariat pro tempore and 10 special ad-hoc working committees.
One of these is the Committee for the Environment that started its operations in 2006. Its target is to
raise standards and promote actions to make economic development consistent with environmental
conservation and the population’s quality of life. Highlighted priorities include the integration of
environmental considerations into all land planning policies, strengthening of existing protected areas
and creation of new ones within a framework of regional conservation corridors, promotion of
sustainable activities for land use and ecosystem management, as well as the adoption of a tourism
development model compatible with conservation and the regional harmonization of evaluation
criteria and tools for evaluating the environmental impact caused by infrastructure development.
Since 2013, in order to strengthen and develop its policies, this Commission has received support from
the International Union for the Conservation of Nature through its regional office for South America in
Quito (UICN-Sur), as well as its Commission on Ecosystem Management and Protected Areas. This
support has been translated into ongoing advising and fund-raising for seminars and events. It is in this
context that impetus was provided for the implementation of the first Meeting of Protected Areas of
the ZICOSUR, which was held in Salta (October 2014). Those who participated in this event helped to
establish the basis for a regional conservation policy, which is reflected in the "Agreement of Salta".
The agreement was approved and ratified by the plenary assembly of authorities in Antofagasta in
December 2014. Its four axes were: (1) supporting the conservation of natural and cultural heritage;
(2) improving management of sub-national systems of protected areas; (3) strengthening the
governance of the areas and integrating them into the land management system; and (4) assessment
and development of the contribution of ecosystems to local and regional development. The similarities
between these guidelines and the EU priorities for the promotion of sustainable development should be
emphasized, particularly those set out in the framework of the B4Life Flagship Initiative (see next
section). Two subsequent meetings were held, the first in Santa Cruz (November 2015), where the
[4]
"Manifesto of Santa Cruz" with complementary strategic guidelines to the agreement of Salta was
drafted, and the second in Cuiabá (April 2016), where the Environment Committee validated, both the
capacity-building plan and the operating procedures developed jointly with the IUCN consultants, to
facilitate the formal implementation of the strategy.
The EU
This action is part of the thematic programme of the Instrument for Development Cooperation Global
Public Goods and Challenges - GPGC, and more specifically of one of its areas of action, the B4Life
Flagship Initiative, which should help to integrate biodiversity and ecosystem conservation with
strategies for socio-economic development and poverty eradication. Their priorities are the promotion
of ecosystem conservation in order to ensure food security and sustainable rural development, the
development of solutions based on the proper management of biodiversity and ecosystems to guide
development processes towards a green economy, and the strengthening of appropriate governance
mechanisms to ensure the sustainable management of natural capital. The grant will also contribute,
to a lesser extent, to other flagship initiatives such as Switch to Green (S2G) and Global Climate
Change Alliance (GCCA).
It also responds to the decisions taken at the EU-CELAC summit (Brussels, June 2012), where the
environment and climate change were given priority status in the context of the dialogue between
Latin America/Caribbean and the EU.
It should be noted that two of the the four prioritized countries, Bolivia and Paraguay, already benefit
from bilateral aid from the EU through the Development Cooperation Instrument (DCI) and have
integrated conservation of biodiversity and adaptation to climate change as priority cross-cutting
pillars in their recently developed Indicative Multi-Year Plan.
Although Argentina and Brazil, as "graduated" countries, no longer benefit from bilateral cooperation
programs nationwide, they are eligible recipients in the framework of thematic and regional
programmes. Taking into account the change of status by several countries in the region, the amount
allocated to the 2014-2020 regional programme increased significantly. It rises to 805 million Euros,
300 of which are intended for intervention sector 4 - Environmental Sustainability and Climate
Change.
In this context, it is worth emphasizing the complementarity of this action with the objectives of the
Regional Programme on Climate Change and Sustainable Development in Latin America
("Euroclima+"), currently being prepared in the context of the Development Cooperation Instrument
(DCI) Multiannual Indicative Regional Programme 2014-2020 for Latin-America and the Caribbean.
Its implementation plan is currently underway with the participation of representatives of the
beneficiary countries and cooperation agencies from different member countries. The conservation of
ecosystems and assessment of their contributions to the economy, supporting sustainable production
initiatives and strengthening governance mechanisms form part of the main lines of action of the
component: "forests, biodiversity and ecosystems", and one of its priority geographical areas of
intervention corresponds to the target biomes of this proposal.
All countries are also eligible for programmes of continental or global reach, such as EUROCLIMA,
RALCEA and WATERCLIMA, and many of them are target countries for FLEGT and REDD
programmes. Finally, we mention that the relations between Brazil and the EU are part of a strategic
alliance, whose main objectives are set out in the Brazil-EU Joint Action Plan - JAP. The
Environment, Biodiversity and Climate Change are among the strategic priorities of this agreement.
They are the subject of a sectoral dialogue led by DG ENV (Directorate General for Environment) by
the EU. It is intended to define the scope of cooperation between the two actors on issues of mutual
interest, including scientific research and regional cooperation.
[5]
1.1.2.
Beneficiaries
The region hosts a wide range of public and private, institutional actors or socio-economic operators.
Their activities and/or decisions can have significant impacts on ecosystems. Some of them have skills
and expertise to ensure their conservation, promote sustainable practices for using their services and
resources, report their importance for local development and raise public awareness of the problem of
global changes and their implications for the region. Due to their characteristics (legal status, solvency,
technical and organizational capacities, human resources, etc.), these are the most likely groups of
stakeholders that could submit projects in response to the call for proposals.
Indicatively, we can identify the following categories of actors eligible for funding:
 Civil society organisations, including NGOs, academic institutions and producer associations,
which are active in the field of social inclusion, environment protection and rural
development.
 Public sector administrations at the different levels of power (sub-national autonomous bodies,
municipalities, provincial or state governments)
 National authorities, including ministries or public agencies responsible for the management
of protected areas, nature conservation or land use planning.
 Formally established regional or sub-regional integration organisations, who can help
coordinate and facilitate actions to harmonize public policies and approaches to ecosystem
management and conservation in the region.
On the other hand, the action will also benefit, directly or indirectly:
 The rural communities and indigenous peoples, which are often the most vulnerable and
marginalised groups within society, whose livelihoods still depend heavily on healthy natural
ecosystems (for food security, water supply, soil protection, natural materials provision). Beyond
the protection of the natural environment they live in, preserving their knowledge and customs,
strengthening their organizations, creating opportunities for sustainable socio-economic
development are to be addressed in priority.
 The overall population, since both the productive sector and the population of many urban
settlements also need stable provision of ecosystem services, including water. Moreover, the
forests of the region play an important role in mitigating climate change: locally for the regulation
of the water cycle and micro-climate and globally for their ability to capture carbon.
 Companies, private producers and their trade associations are a major player in the regional
economy and exert an increasing power of influence and impact on land and natural resources and
the way they are used. Except in certain cases where non-profit conditions are guaranteed, they are
not likely to benefit from grants, but could be associated to or even contribute to programs or
processes to be developed; for example, by participating in think-tanks of multi-stakeholder
thematic platforms like the Round Table on Responsible Soy and on Sustainable Livestock held in
the various countries of the region.
In the call for proposals, particular interest will be given to the proposals submitted by pools of players
from different categories, in particular those aimed at the creation of partnerships between civil society
organisations and local authorities in different countries. In addition, coordination between different
levels of government (e.g., central government and local government) and dialogue and cooperation
with the private sector will also be assessed positively.
1.1.3.
Priority areas of intervention / problem analysis
While their natural characteristics make them very different, the four prioritized ecosystems have a
common history. Until very recently, they have been relatively isolated due to adverse production
conditions and distance, being far from the main population centers. Indigenous peoples and rural
communities settled in these areas with their diverse lifestyles, primarily oriented to on-farm
consumption and subsistence agriculture based on slash and burn, hunting, fishing and gathering. The
[6]
main activities of owners and private producers were extensive livestock farming, extraction (timber,
minerals...) and/or small-scale agriculture. These groups have coexisted and developed specific
cultures in each ecosystem. All have in common a close relationship with the forest, nature, land and,
in particular in the Pantanal and the Chaco, with livestock. Thanks to the low population density and
use of traditional practices based on a sound knowledge of the environment, integrity of nature has
been maintained at a high level for centuries. However, the rapid changes that have arisen in the
course of recent decades have dramatically altered this reality. Natural areas are subject to increasing
pressure and undergo a process of accelerated degradation. Soy production is booming. It has become
the main cash crop and the major factor of change in land use and deforestation.
In addition, the project to extend the Paraguay-Paraná waterway designed in the context of an
international agreement between the countries of the Plata basin, where soybeans would be the main
product to be shipped will give a new push to expand soybean cultivation in the entire surroundings
The growth of the mining and oil sector is another common feature. Either way, this accelerated
growth process is a factor contributing to social disruption and acculturation of traditional populations,
whose living space and way of life are being affected by drastic changes.
The Cerrado presents about 5% of global biodiversity and is one of the most important water sources
in South America. Its greatest extent (over 90%) is mainly found in Brazil, where it covers an area of
more than 2,000,000 km2, but it also extends into Bolivia, where it mixes with the Chiquitano Dry
Forest and northern Paraguay. Six of the 12 major hydrological regions of Brazil have sources in the
Cerrado, including the Pantanal. Nine out of ten Brazilians use electricity generated by Cerrado
waters. Approximately 20% of its extension in Brazil is located in Mato Grosso and Mato Grosso do
Sul, where the ecosystem is most represented. In those states that are part of the ZICOSUR, the
Cerrado still has significant extensions in good condition, which largely coincide with indigenous
territories. Of the four priority biomes, together with the Gran Chaco, the Cerrado has seen the highest
[7]
rate of conversion. It is estimated that in Brazil, more than 50% of its area is covered by cropland and
livestock and the rest is severely fragmented.
The Chiquitano Forest, with its greatest extent in the department of Santa Cruz in Bolivia, but also in
the state of Mato Grosso and northern Paraguay, covers an area of approximately 200,000 km2. Its
biodiversity is comparable to that of the Cerrado. It is the largest dry forest in the world and the best
preserved one in Latin America. It is still in good conservation conditions, but the growth rate of the
agricultural borders increased significantly in recent years. Its rivers feed into the Pantanal and are the
main source of drinking water for the population, since the rocky nature of the subsoil hinders deep
well drilling throughout the whole area. This ecoregion has a dense network of protected areas and
indigenous territories. Many of these are managed by local authorities and have been designed to
protect water sources.
At the borders between Brazil (Mato Grosso, Mato Grosso do Sul), Bolivia (Santa Cruz) and Paraguay
(Alto Paraguay), we find, together with the Chiquitano Forest, the Pantanal, receives water from the
Cerrado and Chiquitano Forest rivers to form one of the largest wetlands in the world (over 150,000
km2). Its biodiversity is comparable to that of the Amazon (the greatest diversity of aquatic flora
species in the world; 650 bird species recorded, many of which are endemic, and important
representative populations of large mammals in the region). It forms the upper reaches of the Paraguay
river, one of the major rivers in the headwaters of the Rio de la Plata Basin, and acts as a giant flow
regulator because it is the repository of its major tributaries’ seasonal floods, mitigating the effects of
potential flooding in potentially affected populated areas in Paraguay, Brazil and Argentina. While the
population density and the pressures are increasing around the perimeter of the wetland, it remains in
relatively good condition and has protected areas created by the three neighbouring countries to
protect its rich biodiversity and maintain its water regulation capacity. However, it is also being
threatened by the rising river traffic on the Paraguay River and related infrastructure projects.
The Gran Chaco is an extensive warm and dry plain covering an area of approximately 1,000,000 km2
in Argentina, Bolivia, Brazil and Paraguay. Like the other priority biomes, it has high levels of
biodiversity (500 bird species, 150 mammal species and 220 reptile and amphibian species) and its
central location in the heart of South America make it an important refuge for many migratory birds.
Essentially occupied by extensive livestock farming originally, it has become an important area of
agricultural production for Paraguay and northern Argentina. Its water system is highly complex.
Effective management of water sources and the maintenance of the cycle represent a great challenge to
ensure the sustainability of production in drier areas that have the best soils.
It is also important to mention its cultural diversity and to note that it is estimated that the region of the
National Park Kaa Iyaa and Defensores del Chaco, overlapping the border between Bolivia and
Paraguay, covers the territory of the last semi-nomadic indigenous groups in voluntary isolation in the
region (Ayoreos). However, together with the Cerrado biome, it is currently being subjected to the
highest pressure, particularly in the peripheral area of said Parks. In the whole project area, the specific
relation of the indigenous peoples to the concerned ecosystems will be taken into account.
Finally, we must highlight the importance of the Cerrado Forests, the Chiquitano Forest and the Chaco
to mitigate climate change. They have the common feature of retaining a surprisingly high amount of
carbon, as, due to their exposure to a marked alternation of seasons with long dry periods, they
develop deep root systems despite the limited growth of their aerial parts. Some studies show that 70%
of the tree biomass of the Cerrado is below the ground and can retain 265 tons of carbon per hectare.
Due to the gradual degradation of ecosystems in this region, a worrying loss of biodiversity and
traditional populations' social breakdown is recorded. On the other hand, most of the region is affected
by major seasonal water deficits and is particularly sensitive to the effects of climate change.
Wetlands, subhumid forests and savannahs of that region have a strong influence on local and regional
climate. Vulnerability studies indicate that forest ecosystems in many countries could be affected by
projected climatic changes. Deforestation is likely to have a negative impact on the recycling of
[8]
precipitation through evapotranspiration. Rainfall would be markedly reduced, leading to important
runoff losses in areas within and beyond the covered basins. However, population growth and the
expansion of livestock and farming areas allow for forecasting a steady growth in water consumption
needs in the future.
Of these threats, growth in the area of soybeans planted in non-flooding parts of the Upper Paraguay
Basin stands out. Currently, close to 10% of the total area in all Brazil planted with soybean is found
in this region. Unlike what occurs with sugarcane, the territorial growth of which is prohibited in the
Amazon, in the Pantanal and the Upper Paraguay Basin (UPB) there is no legal mechanism for
containing soybean expansion.
Associated with soybean expansion, not only in the UPB but also in its surroundings, is another major
threat: the project to extend the Paraguay-Paraná waterway to the city of Cáceres, in Mato Grosso,
where soybeans would be the main product to be shipped. At the same time, with the presence of the
waterway, a new push to expand soybean cultivation in the entire surroundings can be expected.
In that context, with concerns derived from the soy production system in place in the world in those
days, in May 2004, the Responsible Soy Forum was initiated in London, UK. The Round Table on
Responsible Soy is a civil organization that promotes responsible production, processing and trading
of soy on a global level. Its members include the main representatives of the soy value chain and
members of civil society from around the world. According to the Round Table philosophy, players
from different areas and with diverse interests obtain equal rights and get together with a common
purpose, thus assuring dialogue and decision-making by consensus. The Round Table created the
RTRS Standard for Responsible Soy Production applicable on a worldwide level that assures soy
production that is socially equitable, economically feasible and environmentally sound1.
For these reasons, the sustainability of regional development would be questionable without prior
planning and implementation of standards in an adaptive approach to promote the conservation and
proper use of water, soil and natural resources in general, and the preservation of ecosystems and their
services and diversity.
In this context, despite increasing pressures, the establishment of protected areas has been the only
strategy that has proven efficient to prevent land use changes in strategic sites. They continue to ensure
the conservation of wide-open natural spaces in good condition and their waters contribute to the local
economy of their geographical environment by feeding production areas and populations. The
exploitation of fauna and flora is part of the traditional production systems, contributing to food
security and small business for the most vulnerable populations. Natural and cultural attractions attract
an increasing flow of visitors, creating new revenue streams.
In this situation, although some authorities and producers still consider conservation an obstacle to
development, the perception of its potential and importance is growing among the population,
particularly where access to water has become an issue of greater interest, where climate change
effects’ impact on production becomes more significant, or tourism is emerging as a real economic
alternative.
In this situation, we can emphasize that the countries of the region have signed the major international
conventions (CBD, UNFCCC) and developed strategies for their implementation; they have a legal
framework for the environment and protected areas and are developing sector-specific instruments to
promote adaptation to and mitigation of climate change and / or limit changes in land use through land
management (the Law of Mother Earth in Bolivia, the Law on Minimum Budgets for Environmental
Protection of Native Forests in Argentina, the Forestry Code in Brazil). However, the level of
implementation of these standards and the governments’ enforcement capacity is not homogeneous
and was only partially implemented in the intervention region. The strategy developed through the
1
http://www.responsiblesoy.org/?lang=en
[9]
Salta Agreement, promoted by the Environment Committee and approved by the authorities of
ZICOSUR, seeks to respond to this problem.
The consolidation of this regional coordination structure and strengthening local capacity for the
development and implementation of this strategy could help guide the development process of the
region towards sustainability.
2.
Risks and Assumptions
Risk
Level (A /
Mitigation measures
M / B)
1.
The effects of measures to
promote conservation of ecosystems
and their services, and the sustainable
use of resources are insufficient to
offset the negative environmental
impacts of the accelerated dynamics of
productive development in the region
and of climate change.
2.
The logic of action clashes
with the interests of major economic
actors in the regional and global
productive sector
3.
Local and regional authorities
prioritize
short-term
economic
development goals.
4.
Difficult local population
ownership development process
Candidates will be advised to submit actions:
 Associating conservation objectives with
the assessment of the contribution of
protected areas’ natural resources and
ecosystem services for the local economy,
in particular, considering the role they
play in adaptation to climate change and
preservation of water resources.
 Promoting production practices and
profitable local enterprises, which are
compatible with the conservation of
environmental and cultural values in the
region
 Maximizing dialogue with the productive
sector and raising awareness of local
actors about environmental threats linked
to the currently applied production model.
 Adopting a participatory approach from
the beginning of the conceptual phase I of
the projects
A
A
M
M
Assumptions:
Compliance and harmonization of environmental regulations in the different countries of the region
are being achieved.
The level of protected areas’ protection is maintained or increases
5. Central governments’ negative
Candidates must maintain close cooperation
M
perception of EU direct support to
with the authorities involved and keep them
local authorities and civil society
informed from the design phase of its projects
Assumptions:
National governments are well informed of the objectives and intervention methods of the thematic
and regional programs through bilateral or regional political dialogue and joint committees
6. Frequent political changes and
Actions implemented by consortia made up
M
changes of authorities and
also of public and private institutions will be
personnel at national or local level
fostered. The participation of the former is
may affect the interest of national
essential to develop and implement public
or regional authorities engaged in
policies, and the involvement of the latter that
environment and climate change
have generally more stable and technically
issues, as well as their effective
skilled staff tends to ensure the strengthening
intervention in this sector
of installed capacity and greater continuity
processes
Assumptions:
[10]
Awareness of the importance of environmental sustainability and of the challenges of global change
is growing in the region's civil society. Public opinion will positively influence the decisions of
public investment in this sector.
7. A lack of coordination and
Supported by a technical assistance team
B
communication among the funded
funded under this action (see 4.3. Intervention
initiatives hinders the development
logic), the Committee for the Environment of
of synergies, affects coherence of
ZICOSUR will facilitate the exchange of
the action as a whole and does not
information and coordination between the
allow achieving the
expected
various initiatives. It will also ensure adequate
results
monitoring of its implementation and results.
Assumptions:
ZICOSUR authorities maintain their interest in the environment and climate change. They commit to
the long-term consolidation of the sectoral committee and to developing its capacities to support the
implementation of sustainable development, mitigation / adaptation and conservation policies.
3.
Lessons learned, complementarity and cross-cutting issues
3.1 Lessons learned
The experience of numerous projects and studies completed or still underway in the region, brings a
mix of expertise which is briefly described in the following section. It is recommended that the
proposals draw on this experience. In the call for proposals, particular attention will be given to
actions aimed at complementing the results of previous experiences or creating synergies with ongoing
actions.
Some of the main lessons to be incorporated, which are worth mentioning, are:
 the need to prioritize participation of actors and local authorities from the outset of the initiative, if
possible from its very conception, and put particular emphasis in this early stage on strengthening
organizational and capacity building processes;
 the perception of the effects of climate change is increasing and drives conservation initiatives if
they are clearly presented as adaptation efforts;
 ecosystems in the region have been studied extensively. In many cases, new information of good
quality has been achieved. This information must be validated and used avoiding duplication of
efforts in new surveys;
 dialogue and partnerships should be consolidated and deepened with economic operators and trade
associations from the private sector, with them playing a role either as funding provider, as
implementing actor or as participant in coordination platforms (e.g. the "Protected Productive
Landscapes" by Pro Yungas, Ledesma and the provincial government of Jujuy in northern
Argentina; the Round Tables on Soy and Sustainable Livestock).
3.2 Complementarity, synergy and donor coordination
The European Union and other donors (Germany, FFEM, IDB, CAF, ...), large international NGOs
(WWF, WCS, TNC, ...) and the local and national governments in the region have developed and
continue to develop numerous projects and programs in the geographical environment given priority
for this intervention. The list below is not comprehensive but presents a sample of the most relevant
ones.
European Union:
In the last decade, the EU funded the integrated project management and Master Plan for the
Pilcomayo River Basin. Bolivia, Paraguay and Argentina share this river basin populated by more
than 1,000,000 inhabitants. Its waters are heavily affected by pollution and sedimentation caused by
[11]
the mines at the top of the basin in the Bolivian territory. The project generated a lot of information
about the region and contributed to the establishment of trilateral agreements for the management and
planning of the water basin. These results are of particular interest because of the importance of the
river Pilcomayo for the population and the water resources of Chaco.
To complement the financing for the construction of a section of the Santa Cruz-Puerto Suarez
road, the EU also supported the consolidation of three important protected areas created and managed
by the government of the Santa Cruz department for the protection of water sources.
In the same region, the "Tropical Forests" budget line supported the project "Forest conservation
and development of the Chiquitano Forest ecoregion (Bolivia-Paraguay)" implemented by the
Chiquitano Forest Conservation Foundation from 2007 to 2012; during this, the land use plans of 7
municipalities of Bolivia and Paraguay were developed, it contributed to planning the sustainable use
of communal forest plots managed by Chiquitano indigenous groups and contributed to the creation of
two new protected areas.
Under the PACSBio (Support Program for the sustainable Conservation of Biodiversity), the Joint
Research Centre (JRC) of the European Union is supporting the installation of the Digital Observatory
for Protected Areas in Bolivia. It also leads the BIOPAMA project that develops similar initiatives in
the ACP countries and will initiate a second phase early in 2017. The implementation of the
ZICOSUR regional observatory should draw on this experience.
The EU is also co-financer of the CEPF (Critical Ecosystem Partnership Fund), which is preparing to
launch a funding mechanism for small conservation projects in the Cerrado Brasileiro, which will also
be accessible to some border areas of Bolivia and Paraguay.
Experience and good practice sharing is also to be drawn from the currently on-going Integration of
Protected Areas in the Amazon programme, in the framework of the Amazon Vision Initiative, where
the national protected areas systems of three ZICOSUR countries are involved.
The EU's Partnership Instrument (PI) has committed resources in a trans-regional project called
"Natural Capital Accounting (NCA)" targeting a small number of emerging countries among which
Brazil. Its implementation is about to start in end 2016. As far as possible, the present Action will
search for complementarity and synergies with this NCA project.
The GIZ has traditionally been very active in the region, supporting national systems of protected
areas as well as numerous projects and natural resource management studies such as the preparation of
the South American Gran Chaco Atlas. Currently is supporting the socio environmental observatory of
the Chiquitanian dry forest and ZICOSUR run by the Foundation for the Conservation of Chiquitano
Forest (FCBC). On behalf of the German ministry, GIZ is also implementing a project for the
prevention, control and monitoring of bushfires in the Cerrado, and supporting the Brazilian
government with various biodiversity monitoring related measures.
The French Fund for Global Environment (FFEM) currently finances the Project for the
conservation and sustainable management of the Gran Chaco within the framework of the
partnership for sustainable development of the Chaco that includes a number of local NGOs and other
donors such as the GEF and the CAF.
It is also important to remember the interventions of major NGOs such as WCS and TNC that
generated large amounts of information (eco-regional planning of the Chiquitano Forest and Gran
Chaco), and promoted projects across the region in partnership with local NGOs.
The WWF is particularly active in the Brazilian, Bolivian and Paraguayan Pantanal through actions
aiming to strengthen protected areas and boost sustainable farming. This organization is currently
[12]
facilitating a dialogue process between Bolivia, Brasil and Paraguay governments for the definition of
a common strategy for sustainable management of the Pantanal.
In the global context, The Round Table on Responsible Soy (RTRS) is a civil organization that
promotes responsible production, processing and trading of soy on a global level 2. Its members include
the main representatives of the soy value chain and members of civil society from around the world.
This round table created the RTRS Standard for Responsible Soy Production applicable on a
worldwide level that assures soy production that is socially equitable, economically feasible and
environmentally sound.
It is also important to mention the RTRS Mapping projects for Brazil, Paraguay and Argentina. This is
a zoning tool aiming at guiding responsible soy production by identifying areas of greater significance
for biodiversity, where stakeholders agree there should not be any conversion, and by describing areas
of possible expansion over already consolidated areas. This tool was created aiming at preserving
areas and ecosystems for the preservation of biodiversity and High Conservation Value
Areas (HCVA), as well as at identifying opportunities for responsible expansion with low
environmental impact levels.
Finally, we must stress the importance of national and local public administrations that make up
the ZICOSUR in dealing with management of protected areas, research (among which the capabilities
of EMBRAPA in Brazil are particularly relevant), development and enforcement of environmental
regulations and promotion of resource management projects.
3.3 Cross-cutting issues
3.3.1
Gender
This action document naturally assumes that the principle of equal opportunities must be
systematically integrated into any program or project funded by the European Union, which includes
principles of gender equality. Namely, the call for proposals will promote gender equality in the
working teams of the institutions that will submit their application. Moreover, actions that take into
account the specific relationships of each gender to biodiversity and natural resources for livelihood
will be favoured. In fact, as the loss of biodiversity disproportionately affects the poorest and most
vulnerable people, it can also perpetuate or increase gender inequality, for example, by increasing the
time that women and children must spend gathering basic resources such as fuel, water and wildlife
resources for food.
3.3.2
Human rights and governance
One of the specific objectives of this action is precisely to strengthen the mechanisms of
environmental governance in the region under study, giving a particular emphasis to the participation
of the poorest and most vulnerable populations in the consultation and decision-making processes. The
funded projects and programs able to prioritize this aspect, should contribute to strengthening the
organization of these groups and their capabilities in terms of negotiation and participation in the
definition of policies and strategies with authorities and other actors at local and regional level. It
should be noted that a significant proportion of this target group is made up of native populations
(rural and indigenous communities). In particular the concept of free prior informed consent of
indigenous peoples regarding the development of their lands and resources will be taken into account
and where possible encouraged.
3.3.3
Environment and climate change
The conservation of biodiversity and adaptation and mitigation of climate change are among the main
objectives of this action; therefore, they may not be considered as crosscutting themes.
2
http://www.responsiblesoy.org/
[13]
The projects to be granted through the call for proposals will be required to produce significant
benefits in terms of conservation status of protected areas and other vulnerable ecosystems, while also
pursuing other purposes such as: addressing needs for adaptation to climate change, enhancing the
climate change mitigation potential of ecosystems, promoting practices in productive activities that
minimise negative impacts on the environment and also introducing environmental management and
green procurement principles in the implementation of the projects themselves.
4.
Description of the action
4.1.
Objectives and results
4.1.1.
Overarching Objective
The overall objective of this grant is to preserve key environmental values in the region covered by
the four targeted vulnerable biomes and to contribute to the sustainability of its development
dynamic in particular with regard to the productive sectors.
This overall objective includes strengthening protected areas in the region and their integration into the
wider landscape, as well as the assessment, conservation, restoration and sustainable use of
ecosystems with their ability to deliver goods and services. It will primarily address natural areas that
are threatened in particular by the expansion of the agricultural frontier and the effects of climate
change. In this context, it will also aim at promoting actions to guide the productive sector towards
practises with lower environmental impact and induce the adoption of climate change adaptation
measures, which particularly benefit vulnerable local communities who are highly sensitive to
environmental degradation; to improve environmental governance, and encourage its beneficiaries’
participation, awareness and organizational .
The investment made through this action can be considered as a contribution to meeting the objectives
of important international agreements (CBD, UNFCCC, UNCCD). In fact, it will have direct effects in
terms of biodiversity conservation and adaptation to climate change. It will also have a mitigating
effect through the preservation of intact forest areas and the carbon they capture. The semi-arid nature
of some of the biomes targeted by the action, in particular the Gran Chaco, also makes this action
relevant to combating desertification, as it will contribute to neutralizing land degradation.
Furthermore, it is likely to contribute to meeting the Aichi Targets 1; 4; 7; 5; 10; 11; 14 and 17 (see
details in section 4.3)
4.1.2.
Specific Objectives
For Component 1 – Call for proposals:
To meet the overall objective, the initiatives submitted in response to the call for proposals will define
their specific objectives within three strategic areas of intervention: conservation of healthy and
functional ecosystems, promotion of environmentally sustainable production systems and
strengthening effective and inclusive environmental governance mechanisms:
Area 1: Conservation of healthy and functional ecosystems
Consolidation of protected area systems in the region and their units as well as other effective area
based conservation instruments (indigenous territories, permanent forest production reserves,
connectivity corridors, ...) with particular emphasis on the assessment and preservation of their ability
to provide renewable ecosystem services that meet the needs of human settlements and the
[14]
local/regional economy, as well as their potential role in regional climate change mitigation and
adaptation strategies.
Area 2: Promotion of environmentally sustainable production systems
This priority is steered along two axes, which aim at:
 Fostering awareness and dialogue with formal productive sectors (agriculture, mining, oil
extraction) and infrastructure (roads, dams, urban settlement) to promote the adoption of good
practices that minimise the impact of their activities on the environment and enable adaptation to
climate change.
 Promoting ecosystem-based economic activities (environmental tourism, ecological agriculture,
sustainable value chain of biodiversity-derived products and resources) that enable producers – in
priority smallholder familiar "traditional" producers – to ensure the environmental sustainability
of their production system and their ability to adapt to the effects of climate change.
Area 3: Strengthening effective and inclusive environmental governance mechanisms

Strengthening the institutional framework (public administration, coordination platforms, advisory
and management committees, ...) and the regulatory framework (processes, adjustments,
dissemination, law enforcement mechanisms and other policy instruments) designed to ensure the
preservation of protected areas and the adequate and sustainable use of land, water and natural
resources, in a logic of sustainable regional development that takes into account mitigation and
adaptation to climate change constraints. Under this priority, particular emphasis will be given to
the participation of the poorest and most vulnerable populations of the areas in consultation and
decision-making processes.
Crosscutting pillars: integration, knowledge management, communication and awareness.
An underlying principle of this action is to contribute to the identification and promotion of good
practices to guide the region’s accelerated development process towards a sustainable model that is
compatible with the preservation of its main environmental values. Therefore, proposals should
contribute to the definition of new approaches, envisaging their later integration into regional policies.
They will place particular emphasis on capitalization of experience and communication. These
interventions can be strictly focused locally, though actions involving different geographical areas and
biomes will be favoured, so as to approach similar problems under different socio economic and
environmental circumstances.
In order to capitalize on the generated experience and to promote replication of successful results,
every proposal shall encompass a component of monitoring and communication to be undertaken in
coordination with the ZICOSUR Environment Committee and the technical assistance team of
Component 2.
For Component 2 – Complementary support:
This component is particularly related to Governance. Its specific objective is to support the
development, implementation and monitoring of the regional policy for conservation and
sustainable development.
For this purpose a Technical Assistance Team will support the appropriate ZICOSUR bodies
(Environment Committee, Secretary Pro Tempore, Plenary Assembly of Authorities) to finalize the
[15]
formulation of its regional policy3 and to build the necessary framework and institutional capacities
that will ensure their implementation, monitoring and regular updating.
The main expected result, will be to comply with the scheme proposed by the Environment Committee
in Cuiabá (April 2016), which provides for collaboration between the public sector (ZICOSUR
Environment Committee) and the private sector (Executive Support Unit, composed of civil society
organizations and academic institutions), for the implementation of a regional socio-environmental
observatory, the regular review and update of policies (annual meetings), strengthening capacities
and knowledge management, planning and execution of projects and channelling of local and external
funds (fig.1). As a further result, the consolidation of a Permanent Executive Secretariat of the
Environment Committee will be pursued, to assume the role of facilitation initiated by the Technical
Assistance Team.
Fig. 1: Organization chart and scheme of the Environment Committee
3
In accordance with what was established in the meetings of Salta and Santa Cruz and has already
been agreed and validated by the Plenary Assembly of the Authorities
[16]
4.2.
Principal activities
Component 1: call for proposals.
The following activities are eligible within the framework of the proposals to be submitted:
Area 1: Conservation of healthy and functional ecosystems







Strengthening protected areas systems in the region and its units (organization, planning, training,
development / implementation of monitoring and management tools ...).
Extension or creation of protected areas and other conservation tools, including connectivity
corridors, evaluating potential migration of biodiversity due to new climatic conditions.
Design and implementation of mechanisms to strengthen the financial sustainability of
conservation (environmental funds, public-private partnerships, fee collection systems for visitors
in the area and service users ...).
Inventory and assessment of the direct and indirect local and regional development impact of the
ecosystem services of the protected areas and other natural areas, with particular emphasis on
provision of water supply.
Design and implementation of mechanisms for assessment, protection and proper management of
ecosystem services.
Environmental monitoring (conservation status, ecosystem services, threats and trends ...) at local
and regional level.
Awareness of the authorities, the local population and the general public of the importance of
regional level ecosystem services for development and mitigation or adaptation to climate change.
Area 2: Promotion of environmentally sustainable production systems
Minimizing negative impacts of the productive sectors


Awareness and dialogue with the agro-industrial, mining, hydrocarbon and infrastructure sectors
(for example implementing dialogue mechanisms similar to those improved in the context of
RTRS initiatives).
Incentive to implement environmental regulations and existing land use guidelines.
Promotion of technologies and best practices to mitigate impacts, adapt to climate change and
respect key environmental and cultural values of the region.
Promoting beneficial nature-based economic activities



Identification and promotion of productive activities and services with potential to create decent
jobs and income sources for local people while valuing biodiversity-derived resources and with
low environmental impact.
Inventory, capacity, and support to design and implement local economic undertakings with low
impact on protected areas and their area of influence.
Identification, promotion and support of the implementation of traditional and innovative practices
for adaptation to climate change (adaptation of production systems, water resource management
and storage ...).
Area 3: Strengthening effective and inclusive environmental governance mechanisms


Facilitating political dialogue among authorities in the region for the development, promotion and
implementation of agreements, policies and strategies at the regional level.
Implementing and improving institutions that strengthen the participation of all sectors of society
in the local and regional environmental governance process (steering committees, coordination
platforms, roundtables ...) with particular emphasis on the participation of the poorest and most
[17]



vulnerable populations.
Developing and implementing land management instruments (land use plans, employment plans,
resource management, and management of areas ...) to guide the planning process towards a logic
of sustainable development, preservation of environmental values and adaptation to climate
change.
Updating and harmonizing the legal regulatory framework (by ZICOSUR and its bodies).
Supporting the implementation of mechanisms to facilitate the implementation of standards and
their control.
Component 2: complementary support
During the first year of the intervention, working closely with the Pro Tempore Secretariat and the
members of the Environment Committee, the technical assistance will play a leading role in:



The regional policy updating process, and its implementation planning which must be validated by
the Plenary Assembly of Authorities.
The design and implementation of a monitoring system.
Facilitating negotiations of public bodies both among themselves and between civil society
organizations and academic institutions to consolidate the implementation of the institutional
framework and the mechanisms identified in the scheme established by the Committee in Cuiabá.
Once this framework of activities has been established, consolidation of effort will shift to institutional
capacity building (organization, development of capacities...) of the committee and its support
structure, which will provide advice to carry out:




Monitoring of the implementation and regular policy updates
The development of projects and programs and channelling of international and / or local funds for
their implementation
The capitalization of experience to fuel the development of new proposals
Capacity building and facilitating communication and coordination among the ZICOSUR bodies
and in particular, those in charge of the management of protected areas.
Throughout the intervention, it will be important to ensure coherence between projects funded under
the call for proposals and the regional policy. To this end, the Technical Assistance team of
Component 2 will guide the Environment Committee and its support structure in its monitoring task
and in facilitating coordination and exchange of information among the project implementers. In
addition, it will provide advice on the implementation of efficient mechanisms for monitoring,
evaluation and capitalization of experience.
Finally, particular emphasis will be given to the consolidation of an Executive Secretariat of the
Committee and of sustainable financing mechanisms to ensure its long-term operation. This key body
will be expected to take over the role of facilitator of the Environment Committee from the Technical
Assistance team after completion of this action.
4.3.

Intervention logic
Definition of geographical area and intervention approach
Dry Forest, Cerrado, Chaco and the Pantanal are undergoing a process of gradual degradation due to
the development of an accelerated productive process and the effects of climate change. However,
local economic growth depends largely on the agro-industrial sector. Its sustainability would be
questionable in the absence of a legal framework and planning process aimed at promoting
conservation and proper management of ecosystems and their environmental services, particularly
[18]
their water sources. This is why the three strategic areas of priority intervention established are: (1) the
conservation of ecosystems and their services, through the strengthening of protected areas and
appropriate mechanisms for land management; (2) the promotion and support of the implementation of
good practices for the productive sector's production and sustainable development for local
communities; (3) the strengthening of inclusive environmental governance mechanisms to allow for
enforcement of appropriate standards.

Call for proposals
Most civil society organizations in the region have demonstrated their stability; they hold high levels
of technical skills (planning and implementation of programs and projects, environmental monitoring,
participatory processes, ...) and have gained experience working with international donors. Moreover,
several local governments have given impetus to conservation and development programs and their
involvement is indispensable for the design and implementation of public policies that the intervention
is willing to promote. To take advantage of this complementarity, within the framework of the call for
proposals, it is recommended to prioritize actions submitted by consortia made up of public bodies and
NGOs. The participation of private companies through co-funding or technical contributions should be
considered positively.
Proposals should be identified and developed in close collaboration with local stakeholders
(authorities, civil society, local communities and other beneficiaries).
Particular attention in the selection of actions to be financed will be given to those conceived in a
framework supported by results achieved by previous interventions or that provide for the
development of synergies with other actions financed by the EU or other donors in the region.

Complementary support to the Environment Committee of ZICOSUR
To ensure long-term success of the initiatives promoted under this grant, public sector intervention is
essential to define and control the implementation of policies and specific strategies. In a context of
growing concern about the negative effects of global changes, the countries of the region have signed
the major international conventions (CBD, UNFCCC,...) and have adapted their regulatory and legal
frameworks to honour the commitments established within this framework. However, the
implementation capacity of central governments is limited. These measures of general scope take a
long time to become specific actions at local level.
Nevertheless, national legislations confer sufficient powers to local authorities to act in this field
within their territorial jurisdiction. The fact that the authorities within the framework of the ZICOSUR
generate a policy of regional scope and now seek to create the enabling conditions for its
implementation is a positive sign. At local level this can lead to solutions that strengthen the measures
taken by national governments. Therefore, it is suggested to focus this action in this region and to
strengthen the initiatives of ZICOSUR through a Complementary Support component.
In this context, since 2013, the IUCN Regional Office for South America (UICN-Sur) has been
providing support to ZICOSUR local governments in conducting annual meetings regarding protected
areas, helping strengthen the Environment Committee and developing its regional conservation and
development policy. This existing partnership and consolidation process provides a basis that makes
opportune the implementation of Component 2 of this action through a direct grant award to UICNSur, with the mission to support the appropriate ZICOSUR bodies in the development of enabling
conditions (institutional framework, financial stability, capacity planning, implementation, monitoring
and fundraising) for the sustainable implementation of their policies.
[19]
5
5.1
IMPLEMENTATION
Financing agreement
In order to implement this action, it is not foreseen to conclude a financing agreement with the partner
country, referred to in Article 184(2)(b) of Regulation (EU, Euratom) No 966/2012.
5.2
Indicative implementation period
The indicative operational implementation period of this action, during which the activities described
in section Error! Reference source not found. will be carried out and the corresponding contracts
and agreements implemented, is 72 months from the date of adoption by the Commission of this
Action Document.
Extensions of the implementation period may be agreed by the Commission’s authorising officer
responsible by amending this decision and the relevant contracts and agreements; such amendments to
this decision constitute technical amendments in the sense of point (i) of Article 2(3)(c) of Regulation
(EU) No 236/2014.
5.3
Implementation modalities.
5.3.1.1 Grants: call for proposals "Conservation, sustainable use and good governance
for healthy and functional ecosystems" (direct management)
(a) Objectives of the grants, fields of intervention, priorities of the year and expected results
The major component of this action will be implemented through a call for proposals, which will
award grants to projects that meet any of the following three priority areas (see sections 4.1.2 and 4.2):
Area 1: Conservation of healthy and functional ecosystems
Consolidation of protected area systems and other conservation instruments (indigenous territories,
permanent forest production reserves, connectivity corridors, ...) in the region and their units, with
particular emphasis on the assessment and preservation of their ability to provide ecosystem services
sustainably for the productive sector and human settlements as well as their potential role in regional
climate change mitigation and adaptation strategies.
Area 2: Promotion of environmentally sustainable production systems
Promotion of environmentally-friendly economic activities, following two principles:
 Fostering awareness and dialogue with formal productive sectors (agriculture, mining, oil
extraction) and infrastructure (roads, dams, urban settlement) to promote the adoption of good
practices that minimise the impact of their activities on the environment and enable adaptation to
climate change.
 Promoting ecosystem-based economic activities (environmental tourism, ecological agriculture,
sustainable value chain of biodiversity-derived products and resources) that enable producers – in
priority smallholder familiar "traditional" producers – to ensure the environmental sustainability
of their production system and their ability to adapt to the effects of climate change.
Area 3: Strengthening effective and inclusive environmental governance mechanisms
Strengthening the institutional framework (public administration, coordination platforms, advisory and
steering committees, ...) and the regulatory framework (processes, adjustments, dissemination, law
enforcement mechanisms and other policy instruments) designed to ensure respect for the protected
areas and adequate and sustainable use of land, water and natural resources in general, in a logic of
sustainable regional development that takes into account mitigation and adaptation to climate change
constraints. Under this priority, particular emphasis will be given to the participation of the poorest
[20]
and most vulnerable populations of the areas in consultation and decision-making processes.
Further details on possible activities are displayed under section 4.2.
(b) Eligibility conditions
Eligible applicants for funding include civil society organisations2, local authorities4, national public
bodies of the ZICOSUR countries.
Non-governmental organisations from any EU Member-State as well as international or regional
organisations can participate only as co-applicant(s) with a lead applicant(s) from a ZICOSUR
country.
To be eligible in the call for proposals, the proposed projects must intervene in any of the four targeted
vulnerable biomes such as displayed on the map in page 10 (Cerrado, Pantanal, Chiquitano Dry Forest,
Chaco) and in at least one ZICOSUR country. Nonetheless, proposals that envisage interventions in at
least two ZICOSUR countries, either in neighbouring border areas, or in various non-adjacent sites
presenting similar conditions, will more favourably assessed. For interventions to be developed in
more than two countries, the inclusion of a site that does not belong to the priority biomes but that is
located within the geographical limits of ZICOSUR may be justified.
Subject to information to be published in the call for proposals, the indicative amount of the EU
contribution per grant will range from EUR 1 to 3 million and the grants may be awarded to sole
beneficiaries and to consortia of beneficiaries (coordinator and co-beneficiaries). The indicative
duration of the grant (its implementation period) should extend from 36 to 60 months.
(c) Essential selection and award criteria.
The essential selection criteria are financial and operational capacity of the applicant.
The essential award criteria are relevance of the proposed action to the objectives of the call; design,
effectiveness, feasibility, sustainability and cost-effectiveness of the action.
(d) Maximum rate of co-financing
The maximum possible rate of co-financing for grants under this call is 80%.
In accordance with Articles 192 of Regulation (EU, Euratom) No 966/2012, if full funding is essential
for the action to be carried out, the maximum possible rate of co-financing may be increased up to 100
%. The essentiality of full funding will be justified by the Commission’s authorising officer
responsible in the award decision, in respect of the principles of equal treatment and sound financial
management.
(e) Indicative timing to launch the call
1st trimester of the year 2017
5.3.1.2 Grant: direct award (direct management)
(a) Objectives of the grant, fields of intervention, priorities of the year and expected results
Component 2 of this action aims at providing a complementary support to the Environment
Commission of ZICOSUR, in order to support the development, implementation and monitoring of a
regional Biodiversity Conservation and sustainable use Policy. See sections 4.1, 4.2 and 4.3 for further
details.
4
As per definition of civil society organisations and local authorities contained in the Regulation
233/2014 of the European Parliament and of the Council of 11 March 2014 establishing a financing
instrument for development cooperation (Development Cooperation Instrument, DCI), Annex II, B.
[21]
(b) Justification of a direct grant
Under the responsibility of the Commission’s authorising officer responsible, the grant may be
awarded without a call for proposals to IUCN Regional South-American Office (UICN-Sur). IUCNSur is a different and organically autonomous office from IUCN Headquarter based in Gland, which
prevents any risk of double funding with regard to the action in Annex 2.
Under the responsibility of the Commission’s authorising officer responsible, the recourse to an award
of a grant without a call for proposals is justified because the action has specific characteristics
requiring a specific type of beneficiary for its technical competence, specialisation or administrative
power, in accordance with RAP Art.190(1)(f).
UICN-Sur has a long expertise in biodiversity conservation in South-America, in particular providing
support to the development of national or regional biodiversity policies including the consolidation of
national systems of protected areas. It relies on a large network of partner or affiliated organisations all
over the continent, as well as working contacts with a wide range of stakeholders, including in the
geographic area covered by this action,. As explained under section 4.3, UICN-Sur has played an
instrumental role since 2013 in supporting ZICOSUR, namely through organising yearly meetings on
protected areas, consolidating the Committee for Environment and providing inputs to a regional
conservation and sustainable development policy. The complementary support to ZICOSUR aimed at
by Component 2 of this action would benefit from building on the work and the experience and the
networking already generated by UICN-Sur.
(c) Eligibility conditions
N/A
(d) Essential selection and award criteria
The essential selection criteria are the financial and operational capacity of the applicant.
The essential award criteria are relevance of the proposed action to the objectives of the call; design,
effectiveness, feasibility, sustainability and cost-effectiveness of the action.
(e) Maximum rate of co-financing
The maximum possible rate of co-financing for this grant is 80%.
In accordance with Articles 192 of Regulation (EU, Euratom) No 966/2012, if full funding is essential
for the action to be carried out, the maximum possible rate of co-financing may be increased up to 100
%. The essentiality of full funding will be justified by the Commission’s authorising officer
responsible in the award decision, in respect of the principles of equal treatment and sound financial
management.
(f) Indicative trimester to conclude the grant agreement
1st trimester 2017.
5.4
Scope of geographical eligibility for procurement and grants
The geographical eligibility in terms of place of establishment for participating in procurement and
grant award procedures and in terms of origin of supplies purchased as established in the basic act and
set out in the relevant contractual documents shall apply, subject to the following provisions.
In accordance with Article 8(3) of Regulation (EU) No 236/2014 and with regard to the regional or
cross-border nature of this action, the Commission decides that natural and legal persons from the
following countries, territories or regions shall be eligible for participating in procurement and grant
award procedures: Argentina, Brazil, Bolivia, Chile, Paraguay, Peru. The supplies originating there
shall also be eligible.
The Commission’s authorising officer responsible may extend the geographical eligibility in
accordance with Article 9(2)(b) of Regulation (EU) No 236/2014 on the basis of urgency or of
[22]
unavailability of products and services in the markets of the countries concerned, or in other duly
substantiated cases where the eligibility rules would make the realisation of this action impossible or
exceedingly difficult.
5.5
Indicative budget
EU
contribution
(amount in
EUR)
Indicative third
party
contribution, in
currency
identified
5.3.1.1– Call for proposals "Conservation, sustainable use and
good governance for healthy and functional ecosystems" (direct
management) – Component 1
9 250 000
2 312 500
5.3.1.2 – Direct grant to IUCN Regional South Office (direct
management) – Component 2
750 000
187 500
To be financed
by another
decision
N.A.
10 000 000
2 500 000
5.8 – Evaluation, 5.10 – Audit
Totals
5.6
Organisational set-up and responsibilities
EU Delegation in Brasilia will be responsible for the management and follow-up of this action.
EU Delegation in Brasilia will launch the call for proposals, organise the assessment of proposals and
the awarding of grants. It will be required to act in good coordination with EU Delegations in La Paz
and Asunción (EU Delegation in Brasilia has already been in charge of the EU development
cooperation with Argentina since 2014).
In case of proposals envisaging an intervention in ZICOSUR regions of Peru or Chile, the respective
EU Delegations will be consulted.
A Steering Committee and a Technical Assistance Team will be established to ensure a proper
implementation of the action.
The Steering Committee will be composed of four representatives of the EU (the respective three
Delegations and DEVCO Headquarter), one representative of UICN-Sur, and up to three
representatives of the Committee for Environment or the Secretariat Pro-Tempore of ZICOSUR.
Representatives of EU Member-State cooperation agencies or embassies present in the region of
operation may participate as observers. The Committee will meet indicatively twice a year, in person
or through video conference. Its tasks will consist mainly of providing policy and technical advice and
review, evaluate and contribute to ensuring the coherence of the projects to be granted with regard to
the regional policies.
The Technical Assistance Team will be set up by UICN-Sur with resources from the direct grant under
Component 2. Besides its specific objectives and tasks such as listed in sections 4.1 and 4.2, this TA
team will ensure sustained communication and coordination flows between ZICOSUR and the EU and
will act as Secretariat of the Steering Committee.
EU DelBra will count on the support of the "B4Life Facility" as appropriate for a proper management
and follow-up of this action.
[23]
5.7
Performance monitoring and reporting
The day-to-day technical and financial monitoring of the implementation of this action, including the
projects resulting from a call for proposals, will be a continuous process and part of the implementing
partner’s responsibilities. To this aim, the implementing partner shall establish a permanent internal,
technical and financial monitoring system for the action and elaborate regular progress reports (not
less than annual) and final reports. Every report shall provide an accurate account of implementation
of the action, difficulties encountered, changes introduced, as well as the degree of achievement of its
results (outputs and direct outcomes) as measured by corresponding indicators, using as reference the
logframe matrix (for project modality) or the list of result indicators (for budget support). The report
shall be laid out in such a way as to allow monitoring of the means envisaged and employed and of the
budget details for the action. The final report, narrative and financial, will cover the entire period of
the action implementation.
Although each grantee partner under Component 1 (call for proposals) will be responsible for the
monitoring of their own project and will be required to coordinate their monitoring activities with the
complementary support under Component 2 and to reserve a certain percentage of their budget for
monitoring-related activities (Workshops and training, experiences exchanges, monitoring tools
implementation,…).
As mentioned above, it is also a part of the tasks within Component 2 (complementary support to
ZICOSUR) to ensure the monitoring of the impacts of the projects from the call for proposals and to
promote the use of the generated information in the context of regional policy development and
update.
The Commission – the EU Delegation in Brasilia, with the support of the B4Life Facility – may
undertake additional project monitoring visits both through its own staff and through independent
consultants recruited directly by the Commission for independent monitoring reviews (or recruited by
the responsible agent contracted by the Commission for implementing such reviews).
5.8
Evaluation
Having regard to the nature of the action, a final evaluation will be carried out for this action or its
components via independent consultants contracted by the Commission.
It will be carried out for accountability and learning purposes at various levels (including for policy
revision), taking into account in particular the fact that among the results of this action, a sustainable
consolidation of the Committee for Environment of ZICOSUR is expected. Another issue to be
assessed is the responsiveness and degree of involvement of the productive private sector, namely in
agri-business and mining, with regard to the regional environmental policies promoted by ZICOSUR.
The Commission may, during implementation, decide to undertake a mid-term evaluation for duly
justified reasons either on its own decision or on the initiative of the partner.
The Commission shall inform the implementing partner – namely, the direct grant beneficiary and the
ZICOSUR Environment Committee – at least three months in advance of the dates foreseen for the
evaluation missions. The implementing partner shall collaborate efficiently and effectively with the
evaluation experts, and inter alia provide them with all necessary information and documentation, as
well as access to the project premises and activities.
The evaluation reports shall be shared with the partner country and other key stakeholders. The
implementing partner and the Commission shall analyse the conclusions and recommendations of the
[24]
evaluations and, where appropriate, in agreement with the partner country, jointly decide on the
follow-up actions to be taken and any adjustments necessary, including, if indicated, the reorientation
of the project.
Indicatively, one contract for evaluation services shall be concluded under a framework contract in 3rd
trimester of year 2021.
5.9
Audit
Without prejudice to the obligations applicable to contracts concluded for the implementation of this
action, the Commission may, on the basis of a risk assessment, contract independent audits or
expenditure verification assignments for one or several contracts or agreements.
The financing of the audit shall be covered by another measure constituting a financing decision.
5.10 Communication and visibility
Communication and visibility of the EU is a legal obligation for all external actions funded by the EU.
This action shall contain communication and visibility measures which shall be based on a specific
Communication and Visibility Plan of the Action, to be elaborated at the start of implementation and
supported with the budget indicated in section 5.5 above.
In terms of legal obligations on communication and visibility, the measures shall be implemented by
the Commission, the partner country, contractors, grant beneficiaries and/or entrusted entities.
Appropriate contractual obligations shall be included in, respectively, the financing agreement,
procurement and grant contracts, and delegation agreements.
The Communication and Visibility Manual for European Union External Action shall be used to
establish the Communication and Visibility Plan of the Action and the appropriate contractual
obligations.
Besides the elaboration of a specific Communication and Visibility Plan of the Action, to be included
in the provisions of the service contract under section 5.4.2.1, every single grant to be issued from the
Call for Proposal will be required to include provisions for communication and visibility in its own
budget.
[25]
APPENDIX - INDICATIVE LOGFRAME MATRIX (FOR PROJECT MODALITY) 5
The activities, the expected outputs and all the indicators, targets and baselines included in the logframe matrix are indicative and may be updated during the
implementation of the action, no amendment being required to the financing decision. When it is not possible to determine the outputs of an action at formulation
stage, intermediary outcomes should be presented and the outputs defined during inception of the overall programme and its components. The indicative
logframe matrix will evolve during the lifetime of the action: new lines will be added for including the activities as well as new columns for intermediary targets
(milestones) for the output and outcome indicators whenever it is relevant for monitoring and reporting purposes. Note also that indicators should be
disaggregated by sex whenever relevant.
Overall objective:
Results chain
5
The main
environmental values
of the region are
preserved and
contribute to the
creation of a
sustainable dynamic
for productive
development.
Indicators
Baselines
(incl. reference year)
Conservation level and
contribution to local
development of ecosystems
is maintained or increased in
areas of direct intervention
The ecosystems of the
region are subject to a
high level of pressure,
However there are vast
expanses of still preserved
natural spaces
Where the specifics
intervention areas of the
projects shoud be
identified
Targets
(incl. reference
year)
Conservation
status of
ecosystems and
provision of
ecosystem
services in areas
of intervention
improved in the
areas of
intervention
between 2017 and
2020
Sources and means
of verification
Independent sources
of specialized
institutions in the
region
Regional monitoring
system regular
reports
Mark indicators aligned with the relevant programming document mark with '*' and indicators aligned to the EU Results Framework with '**'.
[26]
Assumptions
Specific objective(s):
Outcome(s)
Component 1: Call
for proposals
SO1. Conservation of
healthy and
functional
ecosystems
SO1.1. Land use change
rate (* and **)
SO1.2. Coverage of
protected/well managed
natural ecosystems (by
protected areas or other
conservation tools) (* and
**)
SO2. Promotion of
environmentally
sustainable
production systems
SO2.1. Number of good
practices for conservation
and sustainable
development identified and
tested through pilot
implementation
[27]
1.1 State of the baseline
The existing database in
each country will
provide the basis for the
collection and
consolidation of
information about
vegetation cover. They
need to be consolidated
in a unique standardized
data base during the
start fase of the action
1.2. State of the coverage
rate
The existing database in
each country will provide
the basis for the collection
and consolidation of
information about PA’s
and other conservation
tools
They need to be
consolidated in a unique
standardized data base
during the start-up
phase of the action
2.1. State of the baseline
They are several
ongoing experiences in
the region of good
1.1. Increase in
annual land use
change  0%
between 2017
and 2020
Independent sources
of specialized
institutions in the
region
Regional monitoring
system regular
reports
1.2. 5-10%
increase in the
coverage of
protected/well
managed natural
ecosystems from
2017 to 2020
2.1. A minimum
of two actions
successfully
implemented to
validate good
practices
(number of
practices to be
defined in
Independent sources
of specialized
institutions in the
region
Regional monitoring
system regular
reports
Project reports
Regional
monitoring system
reports
Interest and
commitment of
sub-national
ZICOSUR
authorities for the
development and
implementation of
regional policies
aimed to
sustainable
development
remains in place
the protected areas
and other
conservation tools
objectives coincide
with the interests of
local stakeholders
Good practices
identified of direct
interest to the
beneficiaries.
Sound promotion
by implementers of
SO3. Strengthening
effective and
inclusive
environmental
governance
mechanisms
SO3.1. Number of
participatory integrated
land use plan at landscape
scale implemented
Component 2:
Complementary
support
SO 4. Regional
policy of ZICOSUR
on conservation and
sustainable
development
accepted and applied
SO 4.1. Status of strategic
plan
SO 4.2. Percentage of goals
of strategic plan which have
been accomplished *
Practices adoption by
formal productive sector
and communities. They
need to be systematized
during the start-up
phase of the action
3.1. State of the baseline
They are some ongoing
experiences in the region
of participatory land use
planning at landscape
scale They need to be
systematized during the
start-up phase of the
action
4.1. Policy defined by
the Salta agreements.
With preliminary
definition of priority
activities
4.2. Preliminary
definition of the action
plan and priority
activities
formulation)
from 2017 to
2020
actions
Project Reports
3.1. A minimum
of three new
participatory
land
management
processes
implemented in
neighbouring
border
landscapes of the
region between
2017 and 2020
4.1. Updated
policy, agreed
upon strategic
plan in late 2017
4.2. At least
50% of the goals
of the strategic
plan
accomplished by
the end of 2020
Regional
monitoring system
reports
Regional
monitoring system
reports
Regional
monitoring system
reports
Successful
coordination
between NGOs,
public, private and
local actors
Strong
commitment of
ZICOSUR
authorities remains
in place
Proper
coordination
between authorities
Strong
commitment of
ZICOSUR
authorities remains
in place
Proper
coordination
between authorities
[28]
Outputs
Component 1: Call
for proposals
1. Land management
and implementation
of best practices
projects executed.
The specifics
outputs of the
projects will
correspond to the
Specifics objectives
1, 2 and 3.
They shall be
defined by the
institutions
submitting
proposals.
1. Number of projects
successfully executed
1. The baseline will be
zero
1. At least 3
projects and 2
land
management
best practices
executed by the
end of 2020
Project Reports
Regional
monitoring system
reports
Technical
assistance regular
reports
Monitoring
network annual
reports
Website visits
4.1. Status of social and
environmental observatory
Component 2:
Complementary
support
O4.1. Implemented
monitoring system of
policy and impacts
4.1. There are installed
monitoring capacities in
a number of institutions
in each country and they
need to be networked
4.1.1. an interinstitutional
monitoring
network
implemented in
late 2017
4.1.2.Standard
report on the
implementation
of the policy is
published
annually Since
2018
4.2. Capacity level of sub
[29]
Technical
assistance regular
reports
Minutes of
meetings of the
ZICOSUR
Environment
Committee
Sound quality
proposals
submitted to the
call for proposal
No drastic changes
occur in the
regional economic
and socio-political
context
Specialized
institutions of the
region are
organized into
networks to
generate and
exchange
information
Formal cooperation
agreements
established
between ZICOSUR
authorities and
local governments
Good coordination
with Technical
assistance and
national governments
O4.2. Installed /
strengthened power
capacities in relevant
public sector bodies
for the
implementation of
the regional policy
O4.3. New programs
and projects
developed and
financing channels
identified to ensure
implementation of
the medium-term
policy
4.2.. About 50% of subnational governments in
the region have
specialized sustainable
development and/or
conservation
department; their level
of capacity varies.
4.3. Status of new
programmes and projects
and their financing channels
4.4.. Status of the Executive
Secretariat
4.3. Outside this
initiative a strengthening
systems of protected
areas regional
programme was
presented to the IDB at
the beginning of the year
2016
4.4. Executive
Secretariat not
established
A group of experts and
officials support pro
bono the Environment
Committee.
O4.4. Consolidation
of the organization
scheme of the
ZICOSUR
Environment
4.1.3. database is
made available
online by the
beginning of
2018
4.3. at least 4
projects
formulated and
financial
resources
available to
ensure
compliance with
priority goals
(50%) of the
strategy after
completion of
the intervention
ZICOSUR
environmental
commission
Projects documents
4.2. 50% of
subnational
governments
with
strengthened
capacity are
active in the
regional policy
implementation.
4.4. Secretariat
formally
[30]
Technical
assistance regular
reports
Sound
identification of
needs, interest and
proactivity of
officials involved.
Technical
assistance regular
reports and minutes
of meetings of the
ZICOSUR
Environment
Committee
Quality programs
and projects are
developed and the
interest of the
authorities and
donors remains in
place
Political will and
support of
ZICOSUR
Committee
established in
late 2017 fully
assuming the
role of facilitator
providing
technical
assistance by the
end of 2020
[31]
authorities remains
in place
Acronyms
APN
Administración de Parques Nacionales (Argentina)
CAF
Corporación Andina de Fomento
CBD
Convention on Biological Diversity
CELAC
Comisión Económica de Latinoamérica y el Caribe
CEPF
Critical Ecosystem Partnership Fund
CONAF
Corporación Nacional Forestal (Chile)
EMBRAPA
Empresa Brasileira de Pesquisa Agrícola
FCBC
Fundación para la Conservación del Bosque seco Chiquitano (Bolivia)
FFEM
Fonds Français pour l'Environnement Mondial
FLEGT
Forest Law Enforcement, Governance and Trade
GCCA
Global Climate Change Alliance
GIZ
Gesellschaft für Internationale Zusammenarbeit
GPGC
Global Public Goods and Challenges
ICMBIO
Instituto Chico Mendes pela Biodiversidade
IDB
Interamerican Development Bank
IUCN
International Union for the Conservation of Nature
JRC
Joint Research Centre
PACSBIO
Programa de Apoyo a la Conservación Sostenible de la Biodiversidad
RALCEA
Red de América Latina de Centros de Excelencia para el manejo del Agua
REDD
Reduction of Emissions from Deforestation and forest Degradation
SEAM
Secretaría del Ambiente (Paraguay)
SERNANP
Servicio Nacional de Áreas Naturales Protegidas (Perú)
SERNAP
Servicio Nacional de Áreas Protegidas (Bolivia)
SNASPE
Sistema Nacional de Áreas Silvestres Protegidas del Estado (Chile)
TNC
The Nature Conservancy
UNCCD
United Nations Convention to Combat Desertification
UNFCCC
United Nations Framework Convention on Climate Change
WATERCLIMA Watershed and Coastal management in the context of climate change in Latin
America and the Caribbean
WCS
Wildlife Conservation Society
WWF
Word Wildlife Fund
ZICOSUR
Zona de Integración del Centro Oeste de Suramérica
[32]