Mid-term evaluation of the project Strengthening ... · ES4 The Mid-Term Evaluation process covered...

OFFICE OF EVALUATION

Project evaluation series

July 2015

Mid-term evaluation of the project Strengthening

the National Knowledge and Information Framework

to Subsidize Policies on Sustainable Management

of Forestry ResourcesFinal Report

PROJECT EVALUATION SERIES

Mid-term evaluation of the project Strengthening the National Knowledge and

Information Framework to Subsidize Policies on Sustainable Management of Forestry Resources

FINAL REPORT

FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONSOFFICE OF EVALUATION

July 2016

Food and Agriculture Organization of the United Nations

Office of Evaluation (OED)

This report is available in electronic format at: http://www.fao.org/evaluation

The designations employed and the presentation of material in this information product do not imply the expression of any opinion whatsoever on the part of the Food and Agriculture Organization of the United Nations (FAO) concerning the legal or development status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries. The mention of specific companies or products of manufacturers, whether or not these have been patented, does not imply that these have been endorsed or recommended by FAO in preference to others of a similar nature that are not mentioned. The views expressed in this information product are those of the author(s) and do not necessarily reflect the views or policies of FAO.

© FAO 2015

FAO encourages the use, reproduction and dissemination of material in this information product. Except where otherwise indicated, material may be copied, downloaded and printed for private study, research and teaching purposes, or for use in non-commercial products or services, provided that appropriate acknowledgement of FAO as the source and copyright holder is given and that FAO’s endorsement of users’ views, products or services is not implied in any way.

All requests for translation and adaptation rights, and for resale and other commercial use rights should be made via www.fao.org/contact-us/licence-request or addressed to [email protected].

For further information on this report, please contact:

Director, Office of Evaluation (OED)Food and Agriculture OrganizationViale delle Terme di Caracalla 1, 00153 RomeItalyEmail: [email protected]

GCP/BRA/079/GFF

Photo credits: cover (top to bottom) ©FAO/Roberto Faidutti; ©FAO/Giuseppe Bizzarri; ©FAO/Giuseppe Bizzarri; ©FAO/K. Boldt; ©FAO/Giuseppe Bizzarri; ©FAO/Alberto Conti

mailto:[email protected]

Mid-term evaluation of Strengthening the National Knowledge and Information Framework

iii

Contents

Acknowledgements .......................................................................................................................................viAcronyms and abbreviations .....................................................................................................................vii

Executive summary ..................................................................................................................1

1. Introduction ..........................................................................................................................6

1.1 Project description ............................................................................................................6

1.2 Purpose of the mid-term evaluation and scope of evaluation...........................8

1.2.1 Purpose ...................................................................................................................8

1.2.2. Criteria for the evaluation and key issues to be analyzed ........................8

1.3 Evaluation methodology ..............................................................................................9

1.4 The Brazilian general context ......................................................................................9

1.4.1 Issues the project tried to address .................................................................12

2. Analysis of the project concept and design .............................................................13

2.1 Project design ..................................................................................................................13

2.1.1 Main actors involved in the project formulation ........................................13

2.2 Logical frame analysis ..................................................................................................14

2.3 Identification of the project partners and beneficiaries ....................................14

2.4 Analysis of gender equality and human rights ....................................................15

2.4.1 Gender equality ..................................................................................................15

2.4.2 Indigenous population rights .........................................................................16

3. Project implementation analysis .................................................................................17

3.1 Project management ...................................................................................................18

3.1.1 Internal functioning ...........................................................................................18

3.1.2 Project monitoring .............................................................................................19

3.2 Financial resources management ............................................................................19

3.3 Institutional arrangements and partnerships ......................................................21

4. Analysis of the project result background and contribution to the final objective ............................................................................................................ 23

4.1 Phase 1: Institutional arrangements and planning (Aug 2011 to Dec 2012) ....................................................................................................... 23

4.2 Phase 2: Training and field data collection (Jan 2013 to Dec 2013) ................24

4.3 Phase 3: Data collection and analysis (Jan 2014 to Dec 2014) ..........................25

4.4 Results and contribution to the final objective ....................................................27

5. Analysis according to the evaluation criteria ......................................................... 29

5.1 Relevance ....................................................................................................................... 29

5.2 Efficiency ....................................................................................................................... 30


iv

5.3 Effectiveness and efficacy .......................................................................................... 30

5.3.1 Efficacy .................................................................................................................. 30

5.4 Impact ..............................................................................................................................32

5.5 Sustainability ..................................................................................................................33

5.6 The GEF ranking table ................................................................................................ 34

6. Conclusions and recommendations .......................................................................... 35

6.1 Overall conclusions .......................................................................................................35

6.2 Conclusions about the development objectives and global environmental objectives of the project ........................................................................ 36

6.2.1 Project development objective (PDO) ......................................................... 36

6.2.2 Global environmental objective (GEO)........................................................ 36

6.3 Recommendations ...................................................................................................... 36


v

Tables and figures

Tables

Table 1: Costs per project component ............................................................................ 20

Table 2: Financial execution as of June 2014 ................................................................ 20

Figures

Figure 1: Project activity schedule ...................................................................................13

Figure 2: Project BRA/079/GEF execution flowchart ..................................................19

Figure 3: Main activities developed by periods and phases

of Project BRA/079 as of 2014 ...........................................................................................27


vi

Acknowledgements

The evaluation team would like to thank all persons involved in the mid-term evaluation (MTE) process. We would also like to thank the contribution of all those who devoted their time to provide information about the implementation of the project components with comments about the products and results achieved.

We hope the conclusions and recommendations ensuing from the evaluation process can contribute to improve the project implementation and to reach its objectives and results.

Evaluation teamMary Dayse Kinzo, Team LeaderLiviam Cordeiro Beduschi, Team MemberRaquel Cabello, Evaluation Manager (OED)


vii

Acronyms and abbreviations

AAJBC Association of the Friends of the Botanic Garden and Botanic Museum of Curitiba

ABC Brazilian Cooperation AgencyTCA Technical Cooperation AgreementAM Amazonas StateBA Bahia StateCE Ceará StateCEPLAC Executive Commission of the Cocoa Crop PlanCP Activity funded with Counterpart contribution resourcesTC Technical CommissionDF The Federal DistrictEMBRAPA Brazilian Agricultural Research CompanyES Espírito Santo StateFAO Food and Agriculture Organization of the United Nations FAPEG Foundation of Support to Agricultural Research and

Development Edmundo GastalGHG Greenhouse GasesGEF Global Environment Facility GEIF Executive Management on Forestry Information.GEF AF Activity funded with the GEF Agency Fee resourcesGO Goiás StateIFN Brazilian National Forest InventoryINPA Brazilian National Institute of Amazonian ResearchIDAM Institute of Agricultural and Forestry Sustainable

Development of AmazonasINPE Brazilian National Institute of Spatial ResearchJBRJ Botanic Garden of Rio de JaneiroMA Maranhão StateMPEG Emílio Goeldi Museum of ParáMT Mato Grosso StateMS Mato Grosso do Sul StatePA Pará StateCerPan Network Network of Permanent Parcels of Cerrado and Pantanal BiomesRedeflor Network to Monitor the Forest Systems in the Brazilian

Amazon RegionRedeMaP Network of Permanent Parcels of the Atlantic Jungle and

Pampa BiomesRMFC Caatinga Forestry Management NetworkRJ Rio de Janeiro StateRN Rio Grande do Norte StateRO Rondonia StateRS Rio Grande do Sul StateSE Sergipe StateSFB Brazilian Forestry ServiceSisPP Permanent Parcels System


viii

SNIF National Forestry Information SystemTO Tocantins StateUAP Landscape Sample UnitUESB State University of the Southeast portion of BahiaUFAM Federal University of AmazonasUFC Federal University of CearáUFCG Federal University of Campina GrandeUFERSA Rural Federal University of the Semiarid RegionUFES Federal University of Espírito SantoUFPA Federal University of ParáUFPR Federal University of ParanáUFRA Rural Federal University of the AmazonUFRN Universidade Federal do Rio Grande do NorteUFRPE Rural Federal University of PernambucoUFRRJ Rural Federal University of Rio de JaneiroUFS Federal University of SergipeUFSM Federal University of Santa MariaPMU Project Management UnitUNIR Federal University of Roraima


1

Executive summary

Information about the evaluation

ES1 This report is the result of the Mid-Term Evaluation (MTE) of Project GCP/BRA/079/GEF, “Strengthening National Policy and Knowledge Frameworks in Support of Sustainable Management of Brazil’s Forest” also called the GEF NFI Support Project. In this report it is also referred to as Project BRA 079.

ES2 The project was signed by the parties in August 2011 and is jointly funded by the Global Environment Facility (GEF) and the Brazilian Government. Implementation of the project is being handled by the Food and Agriculture Organization of the United Nations (FAO/ONU) and execution is being performed by the Brazilian Forest Service (BFS), a body run by the Ministry of the Environment.

ES3 The aim of the MTE is to analyse the project’s performance between 2011 and 2014. The MTE was carried out between November 2014 and February 2015 and was performed by a team of two consultants.

ES4 The Mid-Term Evaluation process covered the action performed in Project BRA 079 locally and nationally, analysing, pointing out gaps and proposing useful, corrective or performance improvement recommendations.

ES5 The basis of the evaluation report is data gathered through interviews, meetings, field visits and relevant technical and administrative/financial documents provided by the project teams.

ES6 The scope of Project Bra 079’s objectives involves supporting improved decision-making by those concerned by supplying information and credible, opportune and relevant policy analysis about:

i the state and dynamics of Brazil’s forests;

ii management of natural resources, with an emphasis on forestry resources (including tree biodiversity), and soil cover, use and alterations;

iii opportunities for integrating conservation of biodiversity in policies and investments in the sector;

iv the role of factors that affect forestry contributions and forestry areas in reducing poverty and improving subsistence;

v preserving biodiversity in protected areas, as well as in decision-making and land use;

vi forest carbon stocks, flows and emissions reduction potential through better use of forestry and soil resources; and

vii soil degradation in forests and potential for reduction.

ES7 The data and information gathered by the National Forest Inventory will be analysed by setting up a National Forestry Monitoring and Assessment System (NFM & AS) and through activity planned by the Brazilian Forestry Service, which should continue after Project BRA 079 ends.

Main conclusions

ES8 Performance of the GCP/BRA 079/GEF Project is Moderately Satisfactory overall. However, it is necessary to highlight the main fragility found, which is a delay in processing data and information gathered for the National Forest Inventory, which should inform public policies for Sustainable Management of Forest Resources.

ES9 The project’s execution basically focusses on activities to support the National Forest Inventory (NFI) with data gathered in the field nationally so the NFI becomes established


2

as a project in itself. In spite of this, the NFI is an important instrument for subsequently making available data and information for access by interested parties and to inform policy.

ES10 Our main conclusion is that the aforementioned fragility has hindered achievement of the objectives in the project component concerning policy formulation to expand the contribution made to Sustainable Forestry Management.

ES11 The evaluation has rated the success of the project on the GEF six-point scale system: Highly Satisfactory (HS), Satisfactory (S), Marginally Satisfactory (MS), Marginally Unsatisfactory (MU), Unsatisfactory (U), and Highly Unsatisfactory (HU). Sustainability have been assessed in terms of Likelihood: Likely (L): There are no risks affecting this dimension of sustainability. Moderately Likely (ML). There are moderate risks that affect this dimension of sustainability. Moderately Unlikely (MU): There are significant risks that affect this dimension of sustainability Unlikely (U): There are severe risks that affect this dimension of sustainability

Item Rate

Achievement of objectives S

Attainment of outputs and activities MS

Cost-effectiveness MS

Impact MS

Risk and Risk management MU

Sustainability MU

Stakeholder participation MS

Country ownership MS

Implementation approach MS

Financial planning MS

Replicability L

Monitoring and evaluation MS

Recommendations

Recommendation 1: PMU and FAO Brazil

Establish systematic dialogue between governmental institutions and other partners (organizations or corporations) working on municipalities and states to monitor and support field inventory-related activities.

ES12 The field activities performed by companies cannot be just outsourced activities, with no involvement of local institutions and participation of the key actors to show potential areas to be considered in the inventory.

ES13 The evaluation team suggests that, by the time of hiring the company in charge of the inventory, an official meeting should be held with the participation of the local government (environment and agriculture secretariats, local education and research institutions) to introduce the team. With this, the local government will get acquainted to the IFN methodology to be used locally, will know the demand for information and will be able of providing support with field resources and logistic. Moreover, the local governments will be involved in the project implementation to ensure that Component 4 (Public Policies) is effective and guides actions in that region.


3

ES14 In this sense, the evaluation team also suggests celebrating more efficacious partnership agreements with the SFB, company and local institution. The technical and institutional agreements must be efficient to comply with deadlines, with no risk of losing information, data and material collected on field. The MTE recommends simplifying how agreements are celebrated with herbariums and municipal secretariats. Botanic materials and soils may be damaged and lost due to the delay and incompliance with agreements within the time scheduled for the activities.


Establish measures to ensure the quality of data collected and the work of the team in charge of data collection.

ES15 The Socio-environmental Survey misses information; many points are inconsistent or were abandoned. Other sources of information, additionally to the IBGE, should be considered to ensure efficient socio-environmental information.

ES16 Regarding vegetation and land use mapping, partnerships should be strengthened with NETWORKS active in specific BIOMES and territories to support data and information collection, recognizing priority areas in states, specific zoning, and master plan of municipalities.

ES17 Attention to the landscape analysis with EMBRAPA/Forests - monitor the analysis progress with more efficacy.


Reinforce the capacity of key players in the institutions and corporations involved in data collection using the IFN-BR methodology.

ES18 The companies hired consider the training course as good, mainly those professionals that have made field collection with the IFN-BR methodology for the first time. However, the TEM recommends an intermediary course, specifically to those professionals that attended previous courses and participated in the IFN implementation on the field. This way, an intermediary training course could facilitate the improvement and exchange of experiences and knowledge regarding the methodological application of the inventory, notably to specific biomes like the Amazon and Cerrado.

ES19 The training course should include key actors of local institutions like: botanic researchers to adjust the plant collection logistic and method; public managers to inform on difficulties and facilities in applying the IFN in the specific area and biome; field assistants to receive guidance on the inventory purpose and methodology.

ES20 The training content should also be updated, considering the experience accumulated up to the moment and informing participants about the IFN purpose and its context in the Brazilian forestry policy. In other words, the course should provide not only technical and methodological information, but should emphasize the importance of this project (its components and the GEF focus) so the company can disseminate and inform the audience to be hired during the implementation.


Improve the procedures of collection, processing and storage of soil and materials with more efficient methods that protect and control the quality of samples collected.

ES21 The collection of soils and botanic material demands more efficient procedures to avoid losing biophysical properties. During the field visit, the MTE observed that both the botanic


4

material and soils collected sometimes are not properly processed and stored. This way, the quality control should also be applied to the proper destination of the materials collected (botanic and soil) which are now accumulated on the field offices.


Prioritize data processing and analysis to get relevant information to decision-makers which is the main objective of the project.

ES22 From now on, the Forestry Information System implementation should be advanced to process and make available the information collected in states where the inventories have been made. This way, the MTE recommends attaching priority to this activity to enable the project to comply with the time schedule established.

ES23 For states where the IFN is more advanced, present data to users and local actors, promoting and strengthening the involvement and engagement of local actors in the process, and receiving comments and evaluations about its usefulness, form and accessibility.

Recommendation 6: PMU, FAO Brazil, Government and GEF

Strengthen the project communication to raise awareness among players required to the sustainable forestry management, and support the dissemination of materials prepared and results achieved.

ES24 Dissemination materials have been prepared and distributed in events and technical-scientific meetings. The Project website has provided the data processed, but these materials are restricted to the technical events. The project should strengthen component 4, developing activities that involve not only the academic sector, as happened in the National Symposia on Forestry Inventory.

ES25 The Project Management Unit (PMU) should have a professional responsible for the dissemination and publication of information, and should strengthen the communication with institutions and society at the sites where companies’ teams are working on data collection.

ES26 The media should be employed at national and local level to raise awareness about Sustainable Forestry Monitoring in the institutions, preferably when field teams are starting and concluding data collection on the place.

Recommendation 7: Government

Establish the National Effectiveness Committee to provide guidance on actions in the field of public policies for the forestry sector in Brazil.

ES27 Technical and scientific meetings, notably the National Symposia on Forestry Inventory, have contributed to networking professionals (academic and technical). The MTE recommends that, based on this technical-scientific capital built in the country, the effectiveness committee is established. Up to now, the committee has not been formalized to guide actions in the field of public policies.

ES28 Studies to guide Public Policies - up to now are only drafts - estimated publication about 5 topics (biodiversity, carbon emission, conservation, forestry production at local communities, guidance to Public Policies) - data should be processed to have studies elaborated and published.

ES29 The SFB Leadership should hold systematic meetings with key actors, and formalize a routine of meetings with commissions and committees to inform on the strategic importance of the inventory to plan governmental actions and environmental policies.


5

Recommendation 8: PMU

Strengthen the institutional arrangements to support the implementation of public policies, promoting the engagement of all players form the central government to states and municipalities and other institutions and projects.

ES30 The project should more emphatically invest on state and municipal institutional arrangements, notably with environment, planning and agriculture secretariats. The relationship and involvement of states and municipalities in the IFN implementation should be strengthened.

ES31 The PMU should be in charge of initial contacts, formalization of partnerships with local secretariats and institutional agreements that develop actions, projects related to public policies of the forestry sector, and biodiversity conservation. This action should not be performed exclusively by the companies, and the way it has been performed. The technical committees should be active or the project team should hire personnel to this specific purpose.

ES32 Establishment of more efficacious agreements between the SFB and local facilities: herbariums, soil laboratories, media and local government. Strengthen institutional arrangements to favor the effectiveness of data processes on political guidance (effectiveness committee).

ES33 The project implementation dialogue with other similar projects (GATI/FUNAIL; MCTI/IBAMA emissions inventory) is weak.

ES34 Political actions should consider tools of regional policy and management like: ecological and economic zoning of a region (for example, considering priority areas, ecological zoning).

Recommendation 9: FAO

Strengthen, restructure and improve the Project management, fostering an efficacious monitoring system.

ES35 The Project Management Unit still faces difficulties to formalize technical cooperation agreements with the State Secretariats, Herbariums and local institutions. Additionally to this gap, the project administration should be efficient in the stages to be developed, mainly data processing and production of results to be used in public policies. In this sense, the MTE recommends restructuring the PMU staff to carry out the activities of Sub-component 3.3 and Component 4 with efficiency.

The Project coordination (PMU + FAO) should establish dialogue with institutions that formalize the Brazilian Government counterpart, like the SEAIN and ABC, to update the project progress and avoid the Project default in the systems. Today, the project is ‘inexistent’ to ABC, and information is out-of-date to the SEAIN. There is no system to monitor the federal agencies with the project results - SEAIN and ABC. This way, the project coordination team should be attentive and establish a communication format (report or specific notes) that facilitates monitoring and recording the project activities in the institutions.


6

1. Introduction

1.1 Project description

1 The Project GCP/BRA/079/GEF, herein referred to as Project BRA/079, aims at providing reliable information and analyses about forestry resources and land use and cover to improve policies and decision-making by stakeholders, in order to increase the contribution of forests to the Brazilian sustainable development.

2 The Development Objective Project (DOP) is to provide good quality information and analyses about forestry resources and land use and cover to improve policies and decision-making by stakeholders, in order to increase the contribution of forests to the Brazilian sustainable development.

3 The project global environmental objective of Project GCP/BRA/079/GEF is to facilitate the decision-making process on forestry resources management, in a clear and participatory way, emphasizing the reduction of non-sustainable changes on land use to conserve biodiversity and carbon stocks.

4 To reach these objectives the Project tries to strengthen the proper forms of management, sustainable use and conservation of the forestry resources biodiversity in productive activities, expanding and conserving the carbon stocks in forestry biomass.

5 The project also aims at promoting social inclusion of communities through the sustainable use of natural resources in their lands, resourcing to the knowledge and information on the sustainable management of forestry resources.

6 The project is scheduled for a 5-year period, with total estimated budget of $8.9 million, provided by the following sources: (i) GEF, Government do Brazil and FAO. The project to be evaluated is part of a bigger project of the Government of Brazil totaling $65 million (including the $8.9 million).

7 The Project GCP/BRA/079/GEF closes a gap of lack of a forestry policy to promote reliable and accurate information, building a knowledge frame to subsidize the sustainable management of forestry resources and decision-making focused on the Brazilian forestry economy, its analyses and demands.

8 Some discussions held in Brazil and with international partners show that one of the main barriers to the implementation of forest sustainable management (FSM) and rational decisions on land use is the lack of reliable, systematized and detailed knowledge on forestry resources at national level. The lack of that knowledge hinders the informed, participatory and democratic decision-making about policies on forests and related sectors, considering the difficulty of harmonizing environmental priorities (such as climate change, biodiversity conservation and sustainable management of land use) and the national objectives of development.

9 Insufficient, unclear or unreliable information damage the understanding about the contribution of forests to the broader objectives of sustainable development, and also hinders the support of stakeholders regarding specific measures aimed at improving the natural resources management.

10 The future of the Brazilian forests and implications that future changes on the land uses could have on biodiversity, climate and provision of any other ecosystem service are of utmost relevance at national and global levels. However, despite investments in scientific research and institutional development, the capacity of making decisions about forests and their uses and the competence to outline policies on natural resources remain weak at national level.


7

11 In addition to these basic elements to the formulation of this Project, other weak points regarding the elaboration of policies were: lack of coordination among different institutions at state and national level; and, fragmented approach of the international support to this sector.

12 The need for more complete and better quality information, in addition to knowledge on forestry resources to leverage the policies formulation and improve forests management, were the main factors that drove the formulation of the project profile and the approval of the final Project document by the Global Environment Facility - GEF.

13 Since 2005, the environment bodies and institutions have discussed these issues in national and international seminars and conferences. By that time some of the main issues were discussed and deepened and, then, a technical commission was established to outline a national framework on monitoring and analysis of forestry resources and a national project that would provide sounder grounds to the policy on sustainable forestry management. The commission held broad consultations with national experts and other stakeholders from institutions at different levels, and presented an initial project in 2006.

14 As part of this effort, FAO provided support to Brazil in the pilot phase for the testing of methodologies and approaches, and to contribute with the development of the national project which served as basis to this GEF Project.

15 The Government of Brazil recognizes the lack of sufficient and proper knowledge about forestry resources in the country to subsidize the national decision-making processes, including the design, elaboration and adjustments of policies, plans and national programs, as well as the definition of strategies to cope with challenges posed to the forestry sector.

16 With the objective of leading the process of proper forestry knowledge and information management, the Brazilian Forestry Service (SFB) has performed the role of coordinating and supervising forestry management at national level, including the coordination of the National Forestry Inventory (IFN).

17 The SFB has supported the formulation of this project to strengthen its capacity through four components (Annex 3):

• Component 1 – a national framework to the monitoring, analysis, strategic decision-making;

• Component 2 – capacity-building to the strategic decision-making;

• Component 3 – support to the information and monitoring system;

• Component 4 – promotion of political reforms to leverage the MFS contribution of national development to the global environment.

18 Project BRA/079 aims at ensuring that information and analysis of its components are broadly applied to the decision-making processes, including the support to the review and adjustment of a national forestry policy, development strategies and formulation of a national program of forests focused on the MFS.

19 In addition, the inclusion of forestry resources and their benefits into broader processes of policy formulation will ensure that global environmental benefits originated in forests and their biodiversity are duly accounted on the planning and national decisions. The private sector actors, including land owners, can also use the information and analyses to improve their participation in debates about policies and improve the decision-making on forestry economy. As a result, the quality of life of less favored rural population will improve based on the best forest management approaches. The forest management procedures are expected to promote the effective reduction of deforestation and forest degradation, as well as of other eventual risks.

20 The SFB has actively participated in the development and implementation of the National Forest Inventory through the implementation of Project BRA/079. The main activities were the methodology development and the definition and establishment of public and


8

private institutional partnerships, in addition to the information required for execution. In collaboration with FAO, the IFN methodology was firstly tested in different Brazilian biomes and is now being applied in different regions. The results and control of the information quality have been evaluated for consistent adjustments and application at national level.

21 With the initial actions on the IFN Program implementation, the SFB in collaboration with FAO has formulated the Project Identification Form (PIF) to be co-funded by the GEF. FAO, as the Executing Agency, presented the PIF to the GEF jointly with the request of Project Preparation Grant (PPG) for analysis and consideration. The PIF was approved and the PPG promoted the Project formulation that was approved in January 2009 by the GEF Council.

1.2 Purpose of the mid-term evaluation and scope of evaluation

1.2.1 Purpose

22 The objective of this Mid-Term Evaluation (TEM) is to analyze the implementation, results and successes of the Project GCP/BRA/079/GFF - “Strengthening the National Framework of Knowledge and Information to Subsidize Policies on Sustainable Management of Forestry Resources” working out the lessons learned that could improve sustainability of actions and strengthen the management and monitoring of this project and other similar ones. It aims at identifying potential planning problems; assess progress towards the objectives; and, recommend specific actions to improve the Project BRA/079.

23 Upon the identification and analysis of the documents regarding the Project BRA/079 activities, the evaluation is also supposed to provide subsidies to the organizational efficacy, suggest better development of the Project activities based on the recommendations. Additionally to the aforementioned purposes, the AMT aims at presenting to the institutions involved in the project management all findings and recommendations resulting from field visits, interviews with outsourced professionals and those in charge of implementing the Project BRA/079.

1.2.2. Criteria for the evaluation and key issues to be analyzed

24 The report analyzes five evaluation criteria, as follows: relevance, effectiveness, efficiency, sustainability and impact.

25 The general key question that permeates the document intends to answer the following proposition: is the project supporting the preservation and conservation of biodiversity and natural resources of national forests, strengthening proper ways of management, sustainable use of the forest natural resources and biodiversity? Is the Project promoting the social inclusion of communities in the forest areas, promoting a policy on environmental management in those territories capable of increasing its contribution with biodiversity conservation and to the protection and security of the livelihoods of the communities and vicinities?

26 The Project can greatly contribute with the Brazilian policies on co-management, territoriality, environmental and land management, additionally to climate changes factors and consequences. Above all, the Project aims at complying with and following international rules on forest areas, as established in the Project Document (PRODOC):

• Relevance: It is assessed in relation to the problem faced in the largest context of biodiversity conservation and sustainable use of natural resources of national forests and their impact at global level. The Project conception and operational plans meet the demand for information about forest biodiversity by the federal, state and municipal governments to subsidize public policies on forest sustainable management, contributing with the sustainable development of Brazil and contributing to the public policies at global level? Or, to mention the GEF Evaluation Criteria Matrix “which is the relation between the Project and the main objectives of the focal areas of the UN Convention on Biodiversity and Climate Changes and the GEF, and with the environmental and development priorities at local, regional and national levels?”


9

• Effectiveness and efficacy: This criterion analyzes the achievement of expected results and respective products, reflecting on the contribution of the Project actions with the development of capacities of sustainable environmental and land management in forest areas, respecting the proper ways of managing forestry resources by the communities and trying to enhance the contribution of forests and sustainable use of their lands to the sustainable development, as expressed in the objectives of global environmental development of the Project. Is the Project reaching the expected results and products, promoting the development of capacities? In other words, “to which extent the expected results and objective will be reached?”

• Efficiency: is the Project disbursing the resources offered with the minimum waste to reach the results and products scheduled? Has the project been efficiently implemented according to the international and national rules and standards?

• Sustainability: does the project offer financial, institutional and governance conditions to continue its efforts during and after the execution period? Do the socio-economic and environmental tendencies point to the continuity of conservation and sustainable development? Which are the Project influences in this sense? Are there conditions to sustain the benefits and results related to the project?

• Impact: Does the project promote the preservation of ecological and cultural values and of biodiversity, while improving the socioeconomic situation of population? Which are the current and potential long-term results of the activities supported by the project?

1.3 Evaluation methodology

27 In November 2014 two consultants have been hired to perform the MTR of Project BRA/079, who have jointly defined the evaluation procedures based on the Terms of Reference - Annex 1.

28 During the MTR period interviews, meetings and field visits were held to get reliable information that has also been analyzed jointly with the documents provided by the Project administration, management and execution team. The data gathered on field enabled the use of objective questions with flexible scripts.

29 The main players involved in the Project BRA/079 management have been interviewed including players from the SFB/MMA and of other partner institutions like EMBRAPA Forests. On the field, local actors responsible for the local government forests areas and the herbarium of the university have been interviewed. The field technical officers in charge and assistant professionals of the companies hired were interviewed and contributed with inputs to the results analysis and recommendations proposed.

30 Additionally to the analysis of all progress reports and annual work plans other documents like mission meeting reports, meetings of commissions and committees, and documents of symposia on forest inventory, and reports on training courses prepared by experts of the Project and institutions involved and some related documents served to ground the analyses performed.

31 Regarding ethical aspects, the name of informers is not disclosed in this report.

1.4 The Brazilian general context

32 The Project BRA/079 - “Strengthening of the National Framework of Knowledge and Information to Subsidize Policies on Sustainable Management of Forestry Resources” comes into life in a context favorable to the search for development with sustainability. Sustainable development assumes commitment with conservation of forests and other forms of native vegetation, as well as of the biodiversity at large, just like of the soil, water resources and, ultimately, the sustainable use of natural resources for current and future generations.

33 Forests play a core role in both human and animal lives. Many communities live in forests and many depend on them. The conservation of forest, soil, water, biodiversity and other


10

environmental values deserve special attention these days. The global concern with the future of forests can be observed in the many international treaties and covenants. Forests and forestry activities are in the international agenda of governments, law formulators, corporations, academy, workers, communities, non-governmental organizations and consumers, and Brazil has played an important role and expressive participation in national and international forums.

34 The complex challenge posed to the world and to Brazil is to align the conservation of native forests and the demand for forestry products and their biodiversity. Many countries, including Brazil, have shown political will to improve forest management through the formulation and adjustment of policies and laws and the strengthening of forest-related institutions. There is a consensus about the importance of the institutional, political and legal framework to establish and guide the forestry sector advances with sustainability.

35 Brazil occupies more than 8 million km², 47% of the Latin American territory, with total population of 202,768,562 inhabitants according to data from the Brazilian Institute of Geography and Statistic (IBGE) in 2014.

36 Still according to IBGE, Brazil has nearly 516 million ha of forests, equivalent to 60.7% of the national territory. This information is found in the survey on Vegetal Extraction and Forestry Production published by the IBGE. The country has the biggest and most diversified area of rainforest in the world, with high-tech forestry industry of planted forests. The comparative and competitive advantages are opportunities of development to the whole Brazilian society.

37 The Brazilian forestry economy is in expansion and being consolidated. The products of planted forests account for 4% of the Gross Domestic Product (GDP) and generate direct and indirect jobs in the productive chain of this sector. However, the Brazilian forests and biodiversity are being pressed by other land uses, and are subject to deforestation, degradation and devastation from fire. These changes on land use, forest degradation and illegal fire generate annual carbon emissions that, according to estimates for 2004, accounted for 92% of the net Brazilian carbon emissions (First Communication of Brazil to the UNFCCC).

38 It is worth mentioning that according to the Ministry of Environment, the deforestation rates in the Brazilian Amazon have dropped 27% between August 2011 and July 2012 and keep on dropping, despite the peaks during the year mainly in some Amazonian states. According to data analyzed by the National Institute of Spatial Research (INPE), an area of forest of about 4,656km² was deforested in 12 months, while in the previous 12 months that area was 6,418 km². These data show a 76.27% reduction in deforestation, getting Brazil closer to its volunteer national goal stated in the National Policy on Climate Change of reducing deforestation in the Amazon region in 80% as of 2020.

39 However, the provision of forest, land use and biodiversity data is essential, as well as recording the greenhouse gases (GHG) emissions by Sources and Removals from Sinks and affirmation of a National Policy on Reporting of Emissions/Removals that could subsidize the formulations and reformulations of other policies, enabling better use of forests and lands.

40 Among the causes for soil degradation we could mention the expansion of agriculture and pastures on forests partially due to the improper measures of policies and incentives, among other factors. Forests sustainable management demands the implementation of proper policies based on reliable and accurate relevant information that allow deep analyses on the sector and building the knowledge to serve as basic subside to the decision-making in forest economy and a factor to strengthen the production change and generation of job and income. The Brazilian government efforts to cope with the forestry sector problems are supported with significant degree of commitment in terms of national actions and strategies. There are also efforts to engage the civil society and its segments to consistently guide the use and conservation of natural resources for the socio-economic development. The main agents involved are the public sector, private sector through entrepreneurs and land owners, non-governmental organizations and the academic and research sectors.


11

41 However, despite the decisions made by the public sector towards establishing institutions focused on forestry resources, its biodiversity and sustainable use, there is the need for knowledge about forestry resources, its dimension and characteristics, and the land uses.

42 The institutions established to meet these demands include the Brazilian Forestry Service (SFB) established by Law # 11284/06 and the regulation enacted by the Ministry of Environment (MMA) through Decree # 6.101/07. This body is tasked with the duty of harmonizing forest use and conservation, promoting the valuation of its assets on the behalf of present and future generations, through the efficient management of information and sustainable management of forestry resources, training and provision of specialized services.

43 The actions to support and strengthen the forestry sector include the National Forestry Program (PFN) bound to the Ministry of Environment with several tools that support the sustainable management of national forests, including laws, decrees and regulations, lines of credit and funding, and other instruments. The overall objective of the PNF established by Decree 3420/2000 is to promote the sustainable forestry development harmonizing the use of resources and protection of ecosystem, and aligning the forestry policy with other public policies of the government, fostering the institution strengthening of the sector.

44 It is important to emphasize that the “PNF Facility Brazil”, a mechanism of FAO to support the National Forestry Programs, aims at strengthening the institutions in charge of the shared management and promotion of the society’s participation to ensure that federal agencies, through their state forestry policies, can promote the forestry sector sustainable development at local level. In this context, the PNF involves environmental, social and economic aspects of the Brazilian forestry sector.

45 In addition, the sector strengthening was evidenced in the new Forestry Code that, in Article 71 (Law # 12651 of May 25, 2012) provides for the National Forestry Inventory:

“Art. 71. The Federal Government jointly with states, the Federal District and municipalities will carry out the National Forestry Inventory to subsidize the analysis of the existence and quality of forests in the country in private properties and public lands”.

46 This context shows the importance and need for strengthening the forestry public policies and, above all, the lack of information and knowledge about forestry natural resources to subsidize the sustainable management of the Brazilian forestry natural resources and provide forestry economy in response to the increasing demand for forestry products.

47 Some strategies of the Agricultural Policy that meet the interests of a sustainability-oriented forestry policy are also worth of notice. These include the implementation of the National Program on Land Credit, the Rural Development Program and the Public System of Land Tenure (Federal Law 10267/01) among others.

48 It is also worth mentioning the existing policies on rural development. The Ministry of Agrarian Development (MDA) works with different policy instruments such as: Lands Bill, National Policy on Agrarian Reform, National Program to Strengthen Family Agriculture (PRONAF) and its forestry version, the Forest PRONAF, the National Program on Land Credit, Program to the Sustainable Development of Rural Areas and the Law on Family Agriculture, among others.

49 Additionally to the prominent role of Brazil in the global biodiversity conservation and regulation of carbon stocks, the use of natural resources is also one of the main elements of rural livelihood and economy as a whole. Moreover, the maintenance of sustainable environment helps supporting other important economic sectors (for example, tourism and agriculture, among others) and contributes to the overall well-being of the society at local and global level.


12

50 Ensuring the society well-being is one of the main objectives of forestry policies. These recognize that forestry resources contribute to the quality of life of the population by providing goods and services required or wanted by the population. Such provision contributes with the well-being at local, regional and national levels, improving quality of life and level of satisfaction of the society as a whole.

51 The challenge posed to forestry policy is of maximizing the contribution of forestry resources to the society well-being in a sustainable way, considering the environmental, social and economic dimensions.

52 Despite the positive and negative aspects of the policies on forestry resources management, the abovementioned scenario was considered when implementing new instruments as part of the framework of forestry policies and its dissemination to subsidize the sustainable management of forestry resources, as provided for by the Project GCP/BRA/079/GEF objectives.

1.4.1 Issues the project tried to address

53 Some core issues have grounded and guided the formulation of this Project. The most important issue has to do with the weakness of effective management capable of promoting sustainable development and providing global environmental services based on forestry resources. This factor is related to the inefficiency of the institution and of rules, regulations and policies to promote conditions to know the benefits, land use and forestry resources to support the decision-making by land owners, investors and governments.

54 Therefore, the issues related to the Brazilian institutional framework weakness regarding forestry resources were considered to be the core issue of this project. In addition, the lack of knowledge and of reliable analyses and information for decisions related to land use, on the cover conversion, forestry resources management, biodiversity conservation on protected and productive areas, recovery of areas suitable for planted forests are issues that guide and justify the formulation and implementation of Project GCP/BRA/079/GEF – Forestry Project, with resources granted by the Global Environment Facility.


13

2. Analysis of the project concept and design

The elaboration of this Project counted on the intensive participation of national and international players, national and local political actors, civil society organizations, the private sector and the academy. These participations were reflected in the engagement of these groups in the project implementation.

The activities proposed by components are relevant to the expected results, despite some flaws in the preparation of the logical framework.

The project has identified and successfully established strategic and operational partnerships to ensure the participation of the main actors from the forestry sector in its implementation.

The project had no direct results to affirm that the equalitarian gender participation had impacts on the project implementation.

2.1 Project design

55 The project components present the objectives and activities to be developed, contributing to the achievement of intended results set forth in the project official document, signed in August 2011 - PRODOC.

56 The project was designed with the activities to be developed in a 5-year period. Until the Mid-Term Evaluation (TEM) the project was in the middle of its first implementation cycle. Figure 1 highlights the main activities scheduled for a cycle of about 5 years.

Ano 1 Ano 2 Ano 3 Ano 4 Ano 5

Figure 1: Project activity schedule

Source: Figure presented during the 2nd Meeting of the Steering Committee (11/20/2014)

2.1.1 Main actors involved in the project formulation

57 The Project elaboration process involved national and international actors. The national actors gradually started participating in the process through seminars and meetings to discuss the possibility of data use and collection for a new forestry inventory. Discussions to identify proper methodologies to be considered in the proposal were also started. Meetings were held in 2005 and 2006 to present the Project first version with the IFN methodology. As result, a 1 year project was designed with activities on the five Brazilian biomes, testing the inventory methodologies.

58 A national meeting in 2009 enabled the participation of actors engaged and was supported by the GEF. Participants included representatives of main clients and political actors interested in the proposal in order to identify and characterize the demands for information and data analysis related to forestry resources. The participation of political actors reflected the demand for a bottom-top policy, or of demands from the baseline to the central level of decisions.


14

59 Allied to this group of local political actors, the Project elaboration process was also supported by global political actors that included technical cooperation institutions and multilateral and bilateral programs like the World Bank, FAO, United Nations Development Programme (UNDP) and the UNEP, GEF and international NGOs. Among these, the group of national political actors was represented by agencies dealing with forestry issues at federal and state level, the civil society organizations, and organizations of the private sector and the academy.

60 These participations in the elaboration of the project proposal were reflected in the engagement of these groups with the implementation of this Project. Among the national institutions in charge of the project development there is the SFB - bound to the MMA -, the Brazilian Agricultural Research Company (EMBRAPA) Forests, state and municipal governments. In addition, universities and laboratories/herbariums, regardless if bound or not to universities, have also participated.

61 The SFB is in charge of the project coordination and implementation through the Executive Management of Forestry Information (GEIF).

2.2 Logical frame analysis

62 The analysis is based on the Logical Framework presented in Annex 1 (GEF Objectives) and Annex 2 (Components/Indicators) where the Results, Indicators and Goals are detailed.

63 The logics implied in the Project Document states that the development of capacities and institutional strengthening will contribute with the impact of the actions performed by a project.

64 According to the evaluation team, the Project BRA/079 formulation resulted from extensive and effective discussions, and the logical framework served to plan the Project structure, establishing intervention categories from the most complex to the most specific ones, as demanded by the actions of collection, processing and analysis of biophysical and socio-environmental data.

65 However, the logical matrix can lead to confusion between goals and indicators which can loose their functions of signaling problems or undesired results. Moreover, the medium and long-term monitoring of changes requires fixed and stable indicators, while goals should be flexible and subject to changes. That is why, according to the evaluation team, the Logical Framework should have included a specific column for goals and another for indicators and baselines.

66 The project logical framework needed a baseline for indicators, and missed the distinguishing between these and the project goals. According to the evaluation team, the logical framework presents flaws in the logic when it fails in separately distinguishing goals, indicators and baseline. However, they conclude that the activities proposed by component are relevant to the expected results. Moreover, the expected results are adequate to achieve the project objectives.

2.3 Identification of the project partners and beneficiaries

67 The project formulation provided for the identification of partners and beneficiaries at local, state and municipal level that would support the activities of field data collection and processing. The Project BRA/079 partner institutions were identified and Technical Cooperation Agreements (TCA) were established with the SFB.

68 The partnerships established include institutions like city halls, herbariums, soil sample analysis labs, universities, research centers and governmental sectors at federal and state level.


15

69 Relevant partnerships were found regarding the project actions monitoring, notably the Permanent Parcels Units that should be strengthened by the Project BRA/079 in its actions regarding the National Forestry Inventory. The Permanent Parcel, its networks and the Forestry Information National System are described below.

• Permanent Parcels are permanent information collection units that have been used for at least 30 years, and have been useful to study the forest behaviors in different management conditions regarding the composition, growth, entry and mortality. Moreover, these provide conditions to plan the use of forestry resources.

• There are about 2,000 Permanent Parcels spread over the Brazilian biomes.

• Information from these Parcels are systematically collected by different institutions and gathered by the following networks: Network to Monitor the Amazonian Forests Systems (Redeflor); Forest Management Network in the Caatinga; Network of Permanent Parcels in the Cerrado and Pantanal biomes (CerPan); Network of Permanent Parcels of the Atlantic Jungle and Pampa Biomes (RedeMap).

• These networks are instruments of management, information and dissemination of the Brazilian forests system, and this knowledge is supplementary to that produced by the National Forest Inventory (IFN).

• The networks were gathered under a system named National System of Permanent Parcels (SisPP) by the Ministry of Environment to permanently monitor the natural and planted forests of all biomes, obtaining relevant information to the forestry sector.

• The SisPP has the intrinsic duties of compilation, organization, processing and dissemination of data and should have more support of Project BRA/079 as relevant support to the IFN.

70 Another relevant partnership to be mentioned is the work developed by small enterprises that provide services to the IFN, with methodology defined by Project BRA/079, although the PRODOC gives little emphasis to this component. These enterprises are composed by professionals, forestry engineers, biologists, environmental managers and field experts seeking to gain experience in the labor market. It is important because Project BRA/079 has created a labor market niche to apply the IFN methodology. This way, Project BRA/079 has enabled the nurturing of specialized professionals, providing instruments and tools to groups of young professionals gathered in small enterprises.

71 The herbariums are some of the project beneficiaries granted with resources to equipment and scholarship to researchers / botanic identifiers, in order to improve infrastructure and capacities of services regarding the identification and storage of the material collected that will serve as samples of the regional flora and biodiversity.

72 The private sector actors, including land owners, will also benefit from information and knowledge about biodiversity and forestry resources, as well as any information resulting from the project execution, enabling the participation in debates about public policies and improvement of the decision-making process.

2.4 Analysis of gender equality and human rights

2.4.1 Gender equality

73 Although there are no specific goals and indicator to define the actions to guide gender relations in the Project BRA/079 Logical Framework, it is worth mentioning the project potential contribution to improve knowledge about forestry resources in the Brazilian territory, sot that several social actors, both men and women, can get good quality information to benefit from and practice the sustainable management of forestry resources.

74 At community level, as of the MTR, the Project had no direct results to affirm that equalitarian gender participation had any impact on the project implementation. By the end of the Project BRA/079 first cycle, the processed information should be disseminated in the different social participation scales, providing direct benefits to men and women that work with extractive activities and forestry management for different purposes, and thus strengthen the grounds for equalitarian social relations to reproduce traditions and the socio-cultural maintenance.


16

75 When the analysis results from the Project work and implementation, the staff involved in administrative, research or field activities has no gender distinction to these activities. Women actively participate, sometimes as leaderships, although the number of women is still short in comparison to men.

2.4.2 Indigenous population rights

76 The Project BRA/079 execution considers human rights issue as it respects rights to property and previous consultation when field professionals ask the permission of the person in charge of the property to enter it. Interviewers developing activities related to data survey to the forestry inventory follow the rules and procedures defined by the project team regarding human rights issues.

77 However, when it comes to the data collection for the IFN on indigenous lands, which has not taken place due to the lack of agreement between FUNAI and the representatives of indigenous populations, the Project BRA/079 must be attentive to the specific procedures with the governmental institutions working with the lands and the indigenous population. The evaluation team warns about the need for the project team to be aware about the national and international rules of the indigenous population’s rights.

78 Indigenous people have different ways of living and their own way of relating with forestry resources, which demands actions on conservation and sustainability of natural resources responsive to their cultural understanding and values. This view is also based on the right to information and previous consent by the indigenous people, as defined in the international rules of the UN conventions (IP Safeguarding Policy, UNDP-IPP) and of the International Labour Organization (ILO).

79 The right to previous consultation defined in the ILO 169 Convention is an opportunity to jointly build a process of understanding between indigenous peoples, their organizations and governmental institutions of the state.


17

3. Project implementation analysis

Generally speaking, the analysis of the Project GCP/BRA079/GEF implementation and activities show moderately satisfactory performance, considering a detailed analysis of each component, activity and achievement of goals.

Regarding data on financial expenditure, the expenditures incurred are proportional to the committed expenditures.

There is the need for more efficiency in the establishment of institutional arrangements and even, after establishing cooperation, stronger effort to implement these arrangements. The field visit showed interinstitutional communications flaws at local level, making formal agreements with government agencies in states and municipalities little efficient.

80 The project activities implementation have satisfactorily advanced and contributed with inputs to the national framework of information and knowledge to outline policies on sustainable management of forestry resources. In addition, it also contributes with the objectives and guidelines of the National Forests Program (PNF) which is also allied with the National Forests Commission (CONAFLOR) - a consultative collegiate body provided for in the PRODOC. The project activities started in August 2011 and are scheduled to last 05 years. Up to the MTR date, the project was in the first implementation cycle.

81 The activities performed between 2011 and 2012 were basically related to the establishment of institutional arrangements and planning, while in 2013 and 2014 the actions are focused on data collection, preceded by training and monitoring.

82 As technical support to implementation, the consultation arrangements proposed by the PRODOC included the establishment of a National Advisory Committee (CCN) which was assembled in the early stage of the project implementation; however, the committee has not been used and met regularly. The CCN should monitor the IFN implementation and define the methodological procedures to get accurate and reliable information throughout the implementation period.

83 The State Commissions were established and should guide the IFN implementation in the different Brazilian regions, and be a room to discuss issues related to the methodological fitting according to the peculiarities of each region. These commissions have met to prepare data collection in each state. As of the MTR, 13 states had been engaged and participated in meetings to establish commissions, among which: SC, CE, PR, RS, RJ, SE, RO, BA, RN, ES, AM, PA, MT. It served as room to engage the state political actors involved with the use and conservation of forestry resources and changes on land use. The Santa Catarina and Ceará state Committees are worth of notice.

84 The National Technical Committee is the proper forum to discuss relevant topics and can propose the establishment of thematic Committees. A technical committee was established to provide guidance to the IFN actions.

85 The main thematic committees established in the Project BRA/079 gathered to work on Landscape Analysis, Botanic and Soils. Other specific groups met during the National Seminars on Forestry Inventory gathering professionals from herbariums bound to universities or research centers, experts in forestry inventories, quality control and geo-processing.

86 These committees are called into action by the Project coordination, according to its needs for defining methodologies and receive guidance. However, there is no periodicity established and the participation of researchers and professionals is dynamic, not always with the same participants.


18

87 Generally speaking, the analysis on the implementation of project GCP/BRA079/GEF and its activities shows moderately satisfactory performance, considering a detailed analysis of each component, activity and achievement of goals. The implementation analysis was based on the PRODOC and its Logical Framework, and was ranked based on the score used by the GEF, which is shown in Annex 4 - Summary chart on the overall progress of results to each component.

3.1 Project management

88 The SFB is the institution in charge of the project coordination and implementation, integration of the many components and execution of the National Information System (SNIF) through the Executive Management of Forestry Information (GEIF).

89 The project Executive Secretariat (SE) was established at GEIF, the SFB unit in charge of implementing the monitoring system and for the project, notably the IFN. The SE has performed its duties of supervising the components and sub-components and includes the technical advisory by the Technical Coordination. It is also in charge of heading and coordinating the advisory committees and commissions in the Brazilian regions, according to the proposal on advisory arrangements in the PRODOC.

90 To manage financial, administrative and procurement issues, the project SE relies on the support of the Executive Management of Administration and Logistic (GEAL) and with the Project BRA/079 Management Unit (PMU-GEF) with a manager serving as unit chief.

91 The PMU - GEF has performed the financial and administrative activities in strict compliance with the procedures of the FAO local office, and has supported the SE regarding the control of budgetary, financial and procurement information demanded by the project execution, in a satisfactory way.

92 The SE technical units have performed the planning and monitoring activities, and managed information and socio-environmental and biophysical data collected in the field to the forestry inventory.

93 The management of interinstitutional coordination procedures to establish partnerships has been performed by the SE team, as well as the capacity-building workshops that are also supported by external consultants. The quality control of data collected in the field is also assigned to the SE technical team.

94 A National Advisory Committee was established to integrate the national institutions and establish a joint work with the Project coordination to implement the IFN. In addition, State Commissions have been established in 13 stated (SC, CE, PR, RS, RJ, SE, RO, BA, RN, ES, AM, PA, MT) to set institutional agreements in the states and support the collection of forestry data and information.

3.1.1 Internal functioning

95 The institutional flowchart to implement the project is presented below showing that the SFB is responsible for execution in cooperation with FAO (the implementing agency responsible for responding to the GEF).


19

Figure 2: Project BRA/079/GEF execution flowchart

Source: Document to the AMT provided by FAO/Brazil and the SFB, signed by the CEO/GEF, October 2010.

3.1.2 Project monitoring

96 Project monitoring has taken place through reports to provide information about implementation regarding deadlines and goals defined in the PRODOC. The project actions evaluation has been performed through meetings of the project Steering Committee (CD), FAO evaluations missions and this Mid-Term Evaluation (MTE). The Steering Committee is composed by representatives of the organizations responsible for the project management and administration, i.e., those that have signed the Project Document (PRODOC), composed by members of the SFB, FAO, SEAIN, ABC, MMA.

97 Following are the main reports to monitor the project activities and advance: semi-annual Project Progress Report (PPR); annual Project Implementation Review (PIR) and Back-To-Office Report (BTOR) according to the travels by the FAO officers engaged in the project. The Annual Work Plan and Budget (AWPB) is prepared in Portuguese and English, on an annual basis.

98 The monitoring and evaluation of data collected to the IFN demands systematizing and processing the field information in one single system, making up information system with data that can be accessed and used by the PMU and other professionals involved in monitoring and decision-making. The information system implementation process demands previous actions that have been performed, but are dispersed and in different formats.

3.2 Financial resources management

99 The financial management of the GEF and Co-funding resources (government, cash and in kind resources) and those from FAO is performed in strict collaboration between the PMU and FAO.

100 The resources granted by the Brazilian Government are part of the Ministry of Environment budget, with a total amount of $50,808,752 added with $5,558,290 of in kind resources that are transferred to the SFB, i.e., some expenses related to personnel, equipment and expendable material.


20

101 The resources granted by the GEF amount to $8,850,000 added to the $150,00 spent with project preparation. Regarding the governmental resources, the GEF funding accounts for 15.7% of the total 6:1. The following charts show the data for the forecasted and executed financial performance.

Table 1: Costs per project component

S/No. Component Total (USD ‘000)

% Total base costs

Total GEF (USD 000)

% GEF base costs

National framework for forest resource monitoring, analysis and decision making established and operating

1 052.66 2 84.63 1

Capacity building for the management of the NFM&AS

11 215.99 17 1 846.68 21

Baseline and Monitoring and Information System establishment

47 659.84 73 5 846.74 66

Information for Policies to enhance the contribution of SFM to national development and the global environment

2 274.08 3 187.37 2

Project management 3 314.48 5 884.57 10

Total project costs 65 517.00 100 8 850.00 100

Source: Document provided by FAO/Annex 1-Detailed background of the Project

Table 2: Financial execution as of June 2014

Name of partner or contributor(including the Private Sector)

Amount committed in project document

Additional amounts committed after project document finalization

Estimated total disbursement to30 June 2014

Expected total disbursement by end of project

GEF Contribution USD 9.00m USD 3.34m* USD 9.00m

Cash Co-financing USD 50.81m - USD 10.60m USD 50.81m

FAO co-financing USD 0.30m - USD 0.30m USD 0.30m

In-Kind co-financing USD 5.56m - USD 2.70m USD 5.56m

Total co-financing USD 56.67m - USD 13.30m USD 56.67m

Total for project USD 65.52m - USD 16.94m USD 65.52m

Source: Document provided by FAO/Annex 1-Detailed background of the Project* 3.34 m committed

102 The analysis on financial expenditure shows the proportionality between expenditures made and committed, considering that the project is concluding its first 5-year stage of the cycle.

103 However, it is worth mentioning that a new governmental period is starting with problems in the Brazilian economy, and perspectives of cuts on the Ministries’ budgets. As the percentage of GEF resources in relation to the financial resources estimated by the government is almost 6: 1, the risk of limited resources to the project activities is a reality. However, the project has other funding sources (Amazonian Fund run by the BNDES and the FIP run by the World Bank).

104 There are perspectives of additional co-funding resources to the project budget for the activities of data collection to the IFN in the Amazonian and Cerrado regions.


21

105 The project is waiting for resources from the Amazonian Fund and the Forest Investment Program (FIP) bound to the Funds of Investment in Climate (CIF). The FIP is expected to support efforts to reduce deforestation and degradation, and to promote sustainable forest management to reduce emissions and expand the stocks of forestry carbon in the Cerrado region.

106 The FIP will support the Project GCP/BRA/079/GEF by funding activities to the IFN and trying to promote the sustainable use of lands and improved forestry management in the Cerrado Biome, through coordinated actions.

107 The expected disbursement of financial resources from the Amazonian Fund is around $29.4 million, which should be available in 2015. This funding, with efficient planning, should allow starting activities in the region in 2015.

108 Regarding the FIP financial resources, the disbursement expected is $16.55 million, and should also increase the Project GCP/BRA/079/GEF budget.

109 It is worth noticing that the actions and financial performance to the Amazonian Region depend on accurate and efficient planning of activities, as the logistic and large extension of indigenous lands in the area are elements that pose technical and financial challenges.

110 A problem related to the project management by FAO concerns the procedure for systematizing the amounts spent by the project. Previously, the management used the FAS system, and has now caused difficulties and delays in the processing of requests and rendering of accounts on the project resources, thus delaying the project activities implementation.

3.3 Institutional arrangements and partnerships

111 As aforementioned, the institutional arrangements and partnerships are through the establishment of cooperation agreements with governmental and private institutions. That is so because the implementation of the project activities demands state and municipal collaboration, with logistical support or processing and analysis of biophysical data.

112 The coordination required to set institutional arrangements takes time, and legal and administrative bureaucracy. This way, the need for greater efficiency in the establishment of institutional arrangements and greater efforts to implement these arrangements were identified.

113 The institutional arrangements and cooperation agreements may facilitate the access to the definition of parcels to be methodologically worked on and the information collection. This way, these ensure sustainability to the IFN actions and the information system implemented, in addition to continuity over time.

114 Although the Project BRA/079 team has invested time and performed due diligences to set institutional arrangements with herbariums of universities or research centers, the institutional partnerships should be in tune with the collection of materials in field to prevent the loss of materials. Moreover, according to the evaluation team the activities performed by the partner institutions should be regularly monitored and followed-up.

115 Similarly, the coordination with local governments and governmental or non-governmental institutions to carry out activities to the IFN should be strengthened to ensure more efficiency to the development of activities and more efficacious cost-benefit.

116 The field visit showed failures in the interinstitutional communication at local level, with actions incipient and disconnected. This way, field data collection to the IFN is performed isolated, top-down and, thus, in a non-democratic and non-participatory way due to lack of agreement between the parties.


22

117 In this sense, the formal communication and agreements with governmental agencies in states and municipalities are little efficient. The efficiency of these agreements could ensure agility to some activities, like the permission to enter properties or to collect data in Conservation Units or to guide field routes and arrangements to obtain lodging, among others.

118 Moreover, good communications and sound institutional arrangement at state, regional, municipal and local levels can minimize the operation costs, and lay the grounds to achieve the objective of promoting the application of knowledge through the dissemination of information from the IFN.


23

4. Analysis of the project result background and contribution to the final objective

The project progress was analyzed identifying three stages, as follows:

1. Phase: Institutional Arrangements and Planning (Aug 2011 to Dec 2012). The results of Project BRA/079 in the first phase are satisfactory and resulted in new activities planning, institutional partnerships at national and state level, alignment between the SFB and FAO administrative tools use, internal structuring of a PMU.

2. Phase: Field data collection (Jan 2013 to Dec 3013); Components 0 and 1, components 2 and 3 were moderately successful and presented significant advances in the application of the IFN on the field. The establishment of cooperation agreements between some institutions faced special difficulties.

3. Phase: Data collection and analysis (Jan 2014 and Dec 2014). Satisfactory results for components 2 and 3. However, the activity related to Landscape Analysis (Component 3, activities 3.1 and 3.2.) faced difficulties. Component 4 presents progresses towards reaching the goals related to information dissemination, notably with the institutional website; however, the main objective of this component is to promote actions coordinated with public policies to improve the contribution by the Sustainable Forestry Management to the sustainable development and global environmental benefits. In this context, results are still unaccessible.

119 The project progress background was analyzed identifying three phases as follows:

• Phase 1: Institutional arrangements and planning (Aug 2011 to Dec 2012);

• Phase 2: Field data collection (Jan 2013 to Dec 2013); and,

• Phase 3: Data collection and analysis (Jan 2014 to Dec 2014). The background is detailed below.

4.1 Phase 1: Institutional arrangements and planning (Aug 2011 to Dec 2012)

120 Project BRA/079 is developed base on the logical framework presented in Annex 2 disclosing the main activities and indicators to be achieved in five years. Although the GEF has approved the project in November 2010, the official launching with the signature of the institutions involved was almost one year later, in August 2011. In this context, the first phase of the project had to undergo a project design review, adjusting its time schedule of activities, deadlines and financial resources.

121 The project starts with the Project Launching Seminar in Brasilia (September 2011), jointly with the first Meeting of the Steering Committee attended by 27 persons, including representatives of FAO, MMA, SFB, ABC, SEAIN.

122 It is not before middle 2012 that activities are coherently started with a revised work plan, with the structure of nucleus of managers in the Project Management Unit (PMU), with office at the Brazilian Forestry Service and at FAO national office in Brasilia. In this context, meetings were held with the teams to adjust the use of administrative tools and technical teams to the methodological definition of the national inventory, jointly with important partnerships that supported the first field data and materials collection. The first progress report (Project Launching Report - First PPR) was prepared showing the progress from AUG 2011 to JUL 2012, and the 2nd PPR for JUL 2012 and DEC 2012.

123 The results of Project BRA/079 in the first stage are satisfactory. The results are related to the new activities planning, institutional partnerships at national and state level, adjustment to the use of administrative tools between the SFB and FAO, internal structuring of a PMU through the hiring of consultancy services. The main advances regarded Components 1 and 0 (Management).


24

124 Still in the first phase of Project BRA079 (2012) the first institutional partnerships with universities and state and municipal governments were established, with emphasis on field activities to collect the National Inventory data. Emphasis should be attached to the partnerships with government and universities in Santa Catarina and the Federal District, resulting in a strategy crucial to replicate and fit the inventory methodology to the remainder states. Other two meetings with the Network to Monitor the Amazonian Forests Dynamics (Redeflor) aimed at the support to future works in the region are also worth of mentioning.

125 The management team efforts, jointly with the partnerships established are materialized in the First National Symposium on Forestry Inventory in Natal attended by several researchers and professionals working on the topic. During the symposium, the methodological challenges posed to the works being started in five states (CE, SE, PR, RS, RJ) were presented. By that time, forestry inventories were being concluded in SC and the DF serving as conceptual and methodological basis to the national methodology. Late in 2012 the methodology of the National Forestry Inventory was defined based on the debates between technical and scientific collaborators.

4.2 Phase 2: Training and field data collection (Jan 2013 to Dec 2013)

126 While 2012 was the year of organizational planning of the whole program of the Project BRA/079, in 2013 the activities of field data collection started being implemented, emphasizing Components 2 and 3.

127 Contracts established through tendering with corporations to the methodological application of field data collection in the states and municipalities. The activities start in the field to collect data and materials according to the methodology established to the IFN in five states (CE, SE, PR, RS, RJ).

128 From Jan to Jul 2013 several technical meetings were held and specific committees, even if temporary, were established. Among these, a meeting was held with experts in botanic, soils and socio-environmental survey (February 2013). Additionally to these topics, an agreement was entered with EMBRAPA Forests, in the south of Brazil, on Landscape Analysis (April/2013), and a committee was established to organize the II National Symposium on Forestry Inventory. Meetings were also held with state commissions, with the participation of local government and research institutes in the states of Santa Catarina and Ceará.

129 A satisfactory result is also observed with the training course on the application of the IFN on the field, mainly with the firms hired to start data survey in 5 Brazilian states. Altogether, 42 individuals from 7 states were trained to collect data on the field, including information on soil use and occupation, quality control of information, socio-environmental and biodiversity data survey, strongly contributing to reach the objectives proposed to the GEF.

130 This way, the GEF resources are allotted to cope with part of the field activities, and are an important catalyst resource to foster the initial processes of project development, and the reliability between the partnerships established in the pilot phase of the National Forestry Inventory program.

131 This phase shows a satisfactory learning process of the Project BRA/079 management, mainly in administrative activities and technical procedures oriented to field data survey, improving the operational efficiency of management and shortening the delay of administrative procedures. As a result of this operational maturation the project mobilizes additional resources from the Brazilian government through the Amazonian Fund and the FIP/IADB (approximately $23 million).

132 In November 2013 the Second National Symposium on Forestry Inventory is held in Curitiba (PR) with the presence of national and international experts. The event promoted exchange of experiences about the challenges posed to the implementation of national inventories, resulting in meetings and commissions of analysis and consultation about the


25

field procedures of the IFN program. The symposium was attended by researchers from Embrapa, INPA, IBGE and governmental institutions of the USA and Chile. By that time the FAO and SFB teams travelled to Ceará to analyze the advances on the project implementation on the field, observing the progress of field activities performed by the hired firm, enabling an analysis of the field difficulties and facilities to be replicated in other states.

133 It is worth mentioning that the activities performed in 2013 were fostered to field surveys in 5 states, focusing on actions regarding the institutional partnerships and methodological application of the IFN on the field, after hiring outsourced corporations. Additionally to Components 0 and 1, components 2 and 3 were moderately successful and presented significant progresses to the IFN application on the field.

134 Among the relevant topics in the National Forestry Inventory there is the Landscape Analysis with methodology initially designed in partnership with a team of the Embrapa Forests of Colombo (PR). In that same year, a thematic committee defined the methodology based on the RapidEye imaging procedure. A Technical Cooperation Agreement gives rise to an agreement with the FAPEG/EMBRAPA in October 2013.

135 There were some difficulties mainly to enter cooperation agreements with some institutions that should support quality control and the storage of botanic and soil material. Delays to sign agreement letters and terms of reference led to the reschedule the timetable in those states. Moreover, there was the cancellation of the contract with the company hired to the field forestry data collection in the states of Ceará and Sergipe. Despite the delays and difficulty of celebrating institutional agreements, the activities envisaged were moderately satisfactory on the field, as these partially achieved the goals established in the project planning. Another firm was hired to collect data in Ceará, and Agreement Letters were prepared to cases where the Technical Cooperation Agreement would be a time-consuming and bureaucratic process.

4.3 Phase 3: Data collection and analysis (Jan 2014 to Dec 2014)

136 In 2014 the project implementation activities were continued, mainly the field data collection started in 2013. This way, greater emphasis was attached to the launching of calls for bid to hire companies specialized in forestry inventories, enabling the conclusion of data survey and collection in the states of BA, RN, SE, ES, RJ, in addition to the others in the final stage of field data collection (CE, DF, PR, RS,SC).

137 With the strong institutional coordination between the SFB and state governments, Component 3 (Establishment of the baseline for forestry monitoring - IFN-BR) resulted in the adoption of the methodology in 14 Brazilian states (of the 27 states part of the Brazilian territory), as follows: PR, RS, SC, RJ, DF, ES, BA, SE, RN, CE, AM, PA, MT, RO. Component 3 of the project is at different stages of accomplishment and institutional agreements in those states.

138 The evaluation team found that 2,396 sample points were measured in 13 states corresponding to an inventoried area of 99,249,380 ha (11.67% of the national territory)1.

139 Component 2 also presented satisfactory results where 19 training courses were held for 281 individuals in 11 states (PR, RS, SC, DF, SE, RN, CE, PE, BA, GO, PA). Participants were trained to field data collection, quality control, and analysis of data on land use and cover, and forestry stages. Another highlight is the Botanic Course in Rio de Janeiro (May/2014).

140 Participants perceive the training course on field data survey as very good, mainly the professionals collecting field data for the first time using the IFN-BR methodology. However, there is the need for intermediary training, specifically to those professionals with field experience, which could contribute with the exchange of information to facilitate the inventory implementation on the field. Professionals interviewed during the Mid-Term Evaluation claim for the need for fitting the field methodology to specific biomes like the

1 2011 - 2014 Report on Results achieved, disseminated during the 2nd Meeting of the Steering Committee (Dec, 2014).


26

cerrado and caatinga. The evaluation team agrees with this demand as these are biomes with specific population and natural resources.

141 Information about quality, productive functions and the social and environmental function of forests and other land uses and cover were generated in 8 states (DF, SC, PR, RS, CE, SE, RN, RJ). Of these, two performed analyses (Santa Catarina and the Federal District) and six states (ES, BA, RO, PA, MT, AM) are starting to input data in the information system.

142 The result of the smooth flowing of field activities is observed in the contract for the second cycle of field data collection in the states of Paraná, Rio Grande do Sul, with the support of state governments and the first phase in the state of Bahia.

143 However, in the activity related to the Landscape Analysis (Component 3, activities 3.1 and 3.2), based on the agreement with Embrapa Forests and FAPEG in October 2013, there were difficulties regarding the proper development of the activities scheduled leading to the termination of the technical cooperation contract. The agreement was terminated due to the administrative and operational incompatibility of FAPEG which claimed to be incapable of providing technical continuity. This event had direct impact on results not achieved in landscape analysis. A team of Embrapa Forests was redeployed. From then on the team was restructured and resumed dialogue and methodological agreements with the SFB. The team participated in a workshop and technical discussion with FAO in Rome (April/2014), which strengthened and enhanced the technical capacities of the involved personnel2.

144 This way, the setback during the landscape analysis hindered achieving the goal established to this project phase. However, a methodological agreement was established between the SFB and Embrapa Forests in October 2014, generating expectations about smooth flow and understanding about the analyses to be performed. Analysis methods based on the elaboration of Landscape Analysis Units (UAP) can be inputted in the IBGE databases and the National System on Forestry Information. This goal of Component 3 deserves special attention, and the PMU team should establish procedures to follow-up on and monitoring the analysis procedures in the time schedule defined.

145 Moderately satisfactory results were found to Component 4 regarding information dissemination, notably for the work and updating of information about the IFN on the SFB institutional website. The website provides information about the IFN methodology on the field, calls for bids, reports on the results of Symposia, and can be checked at: http://ifn.florestal.gov.br/.

146 The coordination efforts to organize the Third Symposium on Forestry Inventory led to holding the symposium in Manaus (AM) in November/2014. Participants consider this a successful event, according to the reports and documents analyzed. They believe it was a moment not only to strengthen institutional relationships, but also to exchange information about some results, equivalent to the technical committee which is one of the goals of the project. Work groups and partnerships were established focusing on the topics discussed and developed in the project. The Symposium counted on the participation of experts in national inventories from countries like Uruguay, Paraguay, Ecuador, USA, Italy, additionally to institutions like the Embrapa, FAO (Rome and Brazil), and the participation of researchers from different universities of Brazil and authorities of governments from many states. The relevance of this event to strengthen Components 1 and 4 is clear.

147 Component 4 made progress in the fulfillment of goals related to information dissemination, notably with the institutional website. However, the main objective of this component is to promote actions coordinated with public policies to improve the contribution by Sustainable Forestry Management to the sustainable development and global environmental benefits. Results are still inaccessible regarding the promotion of public policies, and information is reduced to the project marketing with dissemination materials that introduce the IFN (folders and institutional website).

2 Information based on the progress report (PPR) and interview with the Embrapa Forests team on 11/11/14.

http://ifn.florestal.gov.br/

http://ifn.florestal.gov.br/


27

148 Technical and scientific meetings, notably the National Symposia on Forestry Inventory, have contributed to networking professionals (academic and technical). However, an effectiveness committee should be periodically established with participants that monitor the project implementation to consistently evaluate the project methodological advance.

149 The promotion of public policies envisaged as a goal of Component 4 is mainly dependent on the analysis of data generated from the forestry inventories on the field, demanding the feeding of forestry data information system, which is to be available to the project beneficiary audience. However, the information processed is not accessible yet for consultation by stakeholders and to influence on actions and projects.

150 The existing studies to guide Public Policies are nothing but “drafts” on the 5 priority topics (biodiversity, carbon emission, conservation, forestry production in local communications, guidance to Public Policies). The progression of these studies depends on the analysis of state inventory data, as well as on the dialogue with other projects being developed by the national government like those implemented by FUNAI and the Ministry of Science and Technology about carbon emission inventories.

151 Late in 2014, the Second Meeting of the Steering Committee (December/2014 - Brasilia/DF; 10 participants) and the Mid-Term Evaluation (Nov-Dec/2014) were carried out. These events let observing the maturation of the project team on administrative issues and performance of field activities. However, the updating on the project implementation and results achieved should be promptly reported to the partner organizations member of the Steering Committee. This argument is supported by the fact that both ABC and SEAIN - federal government institutions responsible for the signing of the project contract - miss a monitoring system, but demand adjusting the information on specific forms which are to be updated by the PMU.

4.4 Results and contribution to the final objective

152 Figure 3 shows the path run by Project BRA/079 between 2011 and 2014, where each phase is characterized by the most prominent activity.

ARRANJOS

INSTITUCIONAIS

PLANEJAMENTO

CAPACITAÇÃO e COLETA DE

DADOS

COLETA E ANÁLISE DADOS

2011 e 2012 2013 2014

Figure 3: Main activities developed by periods and phases of Project BRA/079 as of 2014

Source: Figure prepared by the MTE based on the analysis of the Project results between 2011 and 2014.

153 Based on the background of the project the most prominent activities are related to the field data survey activities from the methodological determination of the IFN, training to professionals engaged in administrative and field activities until biophysical data collection and analyses.

154 Additionally to the 10 states, additional 8 states (AM, MT, PA, GO, PI, TO, MS e RO) - some with counterpart contribution resources - are getting ready to the field data collection and survey, mainly to the Amazonian and cerrado regions.


28

155 Since late 2012 the field activities have been implemented, and there are important and good quality data and information about socio-environment values, biodiversity and forestry resources for 10 states (SC, DF, CE, part of PR and part of RS, RJ, SE, RN, BA and ES). These data have not yet been analyzed and fully processed according to the goals defined in the Project Document (PRODOC). The lack of data hinders reaching the project final objectives, mainly regarding the elaboration of policies to favor the application of Sustainable Forestry Management.

156 This way, the MTE concluded that the result reached in this first cycle of Project BRA/079 moderately contributes to the final objective.


29

5. Analysis according to the evaluation criteria

• Relevance: Satisfactory (S). The project is relevant both regarding design and implementation. It is coherent with the Brazilian reality and need.

• Efficiency: Satisfactory. The operational, administrative and financial performance of the project is efficient, free of waste. The only limitation to efficiency regards the implementation and monitoring of partnerships and formal agreements.

• Effectiveness and efficacy: Moderately Satisfactory. The project activities have achieved the expected results and products from the promotion of training to data collection and information. But it lacks cost-effective network of communication, planning, control and advocacy.

• Impact: Moderately Satisfactory. The project has potential to contribute with the organization of the forestry sector production and to the socio-economic development of local populations.

• Sustainability: Moderately Satisfactory.

5.1 Relevance

157 Project BRA/079 presents substantive and relevant arguments for its implementation in the Brazilian territory. The design includes strategies to subsidize the lack of information and knowledge about natural resources to promote the Brazilian forestry resources sustainable management.

158 The demand for reliable forestry and environmental information is justified by the problems faced regarding natural resources degradation, uncontrolled expansion of agriculture and pastures on forests, improper policies and incentives, deforestation rates and the incidence of illegal fires.

159 The proposal on the strengthening of the IFN grounds in Brazil is coherent with the local reality, since the forest sustainable management demands implementing responsive policies based on relevant, timely and reliable information that allow for proper analyses and the development of knowledge capable of strengthening and supporting the decision-making about the use of land resources.

160 The project activities implementation is relevant because it corresponds to the goals, objectives and strategic programs of GEF, FAO and SFB. Notably to GEF, Project BRA/079 directly contributes with the GEF-4 Strategic Program that corresponds mainly to two focal areas: BD-SP 4 (Strengthening of policies and the regulatory framework to prioritize biodiversity through the promotion of institutional capacity), and SP-6 (Management of land use and change on the use of land and forests - LULUCF as means to protect carbon stock and reduce the emissions of greenhouse gases - GHG). The project also contributes with the Country Program Framework (CPF) of FAO in Brazil, in its strategic area 4, and supports the implementation of the Strategic Objective.

161 The National Forestry Inventory (IFN) or Monitoring and Evaluation System of National Forests (NFM&AS), implemented through the project, uses holistic approaches that consider not only the forestry resources as part of landscape, but above all the productive and socio-environmental aspects. The data collection methodology employs samples systematically define to analyze and promote forest management at the landscape level, in and out of the protected areas.

162 In this context, the activities performed under the Project BRA/079 up to the time of the Mid-Term Evaluation were coherent and of high relevance to achieve the Project Development Objectives and the Global Environmental Objectives.

163 The MTR concludes for the following score: Satisfactory (S).


30

5.2 Efficiency

164 Through the analysis of the administrative-financial performance of Project BRA/079 the evaluation team observed that resources are being used with no waste, as the outsourcing of small companies to the work of field data collection to the forestry inventory has achieved efficient results, with continuous monitoring of data and material quality, and compliance with deadlines and less outlay of the project core team.

165 The project is being executed according to FAO rules. Moreover, the evaluation team observed that execution is following the international labor standard, respecting the forms of contract, improving professional capacities and strengthening the government role (represented by the SFB) to lead the information management and forestry resources inventory methodologies at national level.

166 This way, both FAO and the SFB, through Project BRA/079, show efficiency in technical and financial support to consolidate the National System of Forestry Information, substantially achieving the objectives proposed by BRA/079. It is worth mentioning that FAO, GEF and the Brazilian Government support fosters a commitment entered by the Brazilian forestry policy (Forest Management Law 11284 of 03/02/2006 and the New Forestry Code, Law 12651 of May 25, 2012) in a timely way, in coordination with institutions committed at the different level of works in the Brazilian territory. This level scored satisfactory.

5.3 Effectiveness and efficacy

167 The project activities have reached the expected results and products promoting training on data and information collection. However, the learning continuity through exchange of information deserves special attention. The Project execution teams have been coordinated on-site or through cooperation agreements or national meetings (seminars and symposia).

168 It lacks a cost-effective network of communication, planning, control and advocacy. This structure would be a community practice through the use of different Internet-based technologies, ranging from informal to forma, and the use of resources external to sharing among members and participation in the project activities. Communication can be personally or through other more traditional means.

169 Planning a network structure more effective and with affordable cost-benefit, that providing sustainability conditions to the project actions can lead to effective project actions.

170 The performance of this subcomponent is considered to be Moderately Satisfactory.

5.3.1 Efficacy

171 Efficacy of component 1: Institutional Structure to Forestry Monitoring is Moderately Satisfactory (MS) and is justified by the analysis of its strengths and weaknesses as follows:

a. Strengths of component 1: The strength of this component is the fulfillment of goals corresponding to decentralized governmental institutional partnerships, notably with universities and state government, in addition to the goal of an operational handbook of national participation in the IFN which was prepared to guide partners about the IFN, and the calls for bid to hire corporations. Meetings with state and municipal institutions efficiently held to introduce the IFN.

b. Weaknesses of component 1: Despite the expressive number of cooperation agreement celebrated by institutions that support the IFN, there were some difficulties to officialize these agreements (indicator 1.1). The most typical situation was the delay by the parties in signing the contracts, as the document passed by several bureaucratic instances mainly in the guest institutions. Goals were partially achieved regarding indicator 1.2 - “Advisory Structure and Working”. In this indicator, an advisory structure at national level was gathered just once to guide the IFN, in the three years of the project. The establishment of specific commissions and committees has not taken place as originally envisaged. The


31

failure in systematically establishing specific committees and commissions up to now has not hindered the IFN, as these could be established in other cycles of inventory and upon demand. For indicator 1.3 - Adherence of States and Municipalities, it is worth noticing that although the goals have been reached in terms of number of municipalities hired and informed about the IFN implementation on the field, evidences show that this involvement with local governmental institutions is superficial and insufficient to inform the local population or organizations about the project development stages at local level.

172 Component 2 - Strengthen Capacities to Manage the IFN: the analysis considers Moderate Efficacy and this finding is justified in the analysis of strengths and weaknesses, as follows:

a. Strengths of component 2: the main strength of this component is in the Establishment and working of the IFN Executive Secretariat, in the structuring and strengthening of the Project Management Unit capacities with professionals hired and skilled to development administrative duties, management and implementation on field. The team proved to be capable of carrying out the processes and activities, and was structure in the FAO system as required. Additionally to these items, component 2 is efficacious in the execution of the field Training Program (with teams engaged in data collection). Moreover, the purchase of materials, elaboration/updating of field collection handbooks (socio-environmental, botanic, soils, biodiversity), the design/creation of the project website were goals achieved with no major difficulties. The methodological definition for botanic collection was satisfactory and, despite some delay, so was the purchase of quality equipment to structure the herbariums.

b. Weaknesses of component 2: The main weaknesses have been the delays in the definition of methodology for data processing (2.1.6) and Landscape Analysis (2.1.7). Both activities are of utmost relevant to the effective consolidation of the IFN, as these are crucial for the project to present complete and consistent information to the decision-making and guidance on environmental public policies, as aimed by the project. Up to the MTE moment, the teams endeavored to consolidate these goals incorporating this concern to the Work Plan for 2015, notably with the Embrapa Forests team that faced difficulties to comply with the cooperation agreement, and the contract had to be readjusted to a new team that was trained and shows to have technical capacity to take the next steps. However, the incompliance with these activities (2.1.6; 2.1.7) can damage the project development objectives, its relevance and the global environmental objectives.

173 Component 3 - Establishment of Baseline to Forestry Monitoring - the analysis found Satisfactory Efficacy to the activities of field collection and vegetation mapping (3.1, 3.2). However, it found Low Efficacy to indicator 3.3 - Data Processing and Analysis. Following is the justification to these grades:

a. Strengths of component 3: The efficacy of this component is mainly related to sub-component 3.1 - Data Collection - which performed several IFN implementation activities on the field. The project was efficacious in this activity hiring companies (Terms of Reference), planning activities in the time scheduled, providing equipment (field kits) and providing advice to the field team regarding the development of activities mainly in the states of PR, RS, BA, ES, RN, SC3 with resources granted by the GEF. Efficacy on the collection of botanic and biophysical data, with some difficulty to collect socio-environmental data. The activities related to vegetation mapping (sub-component 3.2) and land use is also efficient, reaching the goals established with no difficulty, although this result is not fully available and accessible to the public in general and on the project platform.

b. Weaknesses of component 3: the main weakness regards the significant delay to process data and information gathered on the field (sub-component 3.3). The information and analyses about the areas inventoried in 5 Brazilian states, mainly with GEF resources, should have been organized in a digital information system accessible to the public. Only two sites, Santa Catarina and the Federal District, provide information on the web accessible to the public, but the information is incomplete. It is worth mentioning that this information should subsidize the public policies on Forestry Resources Sustainable Management which is one of the core development objectives of the project. In addition to the delay of the systematization and availability of socio-environmental and forestry data, the material collected was accumulated and not properly kept. This is observed mainly regarding soil collection that is deposited in the field teams’ offices and the SFB, waiting to be conveyed to the analysis labs that have not yet been contracted. Low efficacy to hire labs to perform soil analysis, showing inefficient quality control for this activity.

3 The GEF funds in this state were for training and quality control, monitoring.


32

174 Component 4 - Policies to Expand the Contribution of Sustainable Forestry Management - the efficacy of component 4 is considered to be Moderately Unsatisfactory.

a. Strengths of component 4: The website design has the items required to disseminate results; some results are available, but are incomplete. Among the results publicized on the website, there is the inventory of Santa Catarina and some information to the Federal District. For the item related to information dissemination, information materials like banners and folders about the IFN, in addition to pens and paper pads were prepared to the three National Symposia on Forestry Inventory organized with the GEF resources; however, this material is being disseminated in an exclusively technical and scientific community, and is hardly publicized to the municipal and local levels. As a strength, the team efficaciously presented the preliminary results and information about the IFN in 5 seminars, two of which international ones, supported with counterpart contributions.

b. Deficiencies of component 4: The production of information and systematization of results from data collected are not organized, accessible and available to guide the society, stakeholders and public policies. A Commission to promote effectiveness met just once and presents delays in the time schedule. Technical and scientific meetings and three National Symposia on Forestry Inventory were held and have contributed to networking professionals (academic and technical). However, an effectiveness committee should be periodically established with participants that monitor the project implementation to consistently evaluate the project methodological advance. Studies scheduled for five thematic areas (carbon emission, biodiversity, forestry production) have not advanced in a consistent way.

175 Component 0 - Project management and administration: moderate efficacy

a. Strengths of Component (0) - Project Management and Administration - The project administration is dully installed with satisfactory equipment and structure to work. The PMU works satisfactorily, with enough professionals, regarding its physical space, purchase of equipment and relationship with FAO, sharing tools and systems of each institution (FAO and SFB). The delayed project signing demanded a new planning of activities and resources based on the main document - PRODOC (2010), with no major difficulties. Reports are prepared biannually (PPR), annually (PIR) and a Work Plan is presented every year. With these documents, the project is being monitored by FAO Brazil, GEF focal point and FAO Rome, as well as by the SFB team. Project coordination meetings were held by FAO and the SFB at different times, reaching the goals established and updating the teams about the project development. A Steering Committee was assembled early in the project (2011) with the participation of the federal government institution, the SFB and FAO.

b. Weaknesses of the management and administration component: Despite the amount of information registered in reports, according to the specific institutional formats (GEF, FAO, SFB) and the specific period, the information management for monitoring is confused to an external evaluator and to the management team that had difficulties in finding and identifying the documents requested by the MTE. For example, two different versions of the same document, translations with different meanings and documents not found. Moreover, the files generated by the project are dispersed between the FAO and SFB units. The same is true to the identification of the Logical Framework (Annexes 2 and 3) that presents different versions over time, and different translations. There were difficulties also to identify what is the general indicator and the indicator of a period, due to different forms of presentation of reports and charts.

176 Another inconsistency regarding efficacy was a gap in the communication of the PMU and responsible institutions regarding the controllership with the federal government - SEAIN and ABC. To these institutions, the project is inoperative or in default due to the inexistence of updated information in the national internal system.

177 The summary of the analysis of this item is shown in Annex 4 - Summary Chart on the overall progress of results to each component.

5.4 Impact

178 The impacts of Project BRA/079 can be observed in three dimensions. The first one is the strengthening of a national leadership to promote valuation of forestry resources, biodiversity and of cultural values and use of resources. This national leadership, in the


33

role of the Brazilian Forestry Service and associated institutions, is building a permanent national staff capable of systematizing and monitoring official and reliable forestry information, and to promote strategic decisions at national level so that the Sustainable Forestry Management can be understood and applied in other decision-making scales.

179 The second level of impact observed is the potential of integrating different multi-level organizations, i.e., at state, municipal and local level, and governmental, academic, private and non-governmental institutions to serve as partners to obtain and monitor forestry and biodiversity information. Multi-level social participation may ensure continuity to actions implemented by the Project in the next cycles of the National Forestry Inventory.

180 We observed that for the third level, although still incipient, the potential impact of the project is the benefit to the society at large regarding the understanding on how forestry ecosystems work in different Brazilian biomes and, this way, directly contribute to the use of sustainable practices in agriculture, city planning and use and management of forestry resources of commercial value and those extracted for the livelihood of local populations.

181 This way, the impact is moderately satisfactory because of the project potential to contribute with the forestry sector production organization, and to the socio-economic development of local populations.

5.5 Sustainability

182 In 2013 there was a learning process regarding the Project BRA/079 management, notably in the administrative activities, improving the operational efficiency of management, and reducing delays in administrative procedures. As a result of this operational maturation the project mobilizes additional resources from the Brazilian government through the Amazonian Fund and the FIP/IADB (approximately $23 million).

183 The successful project implementation largely depends on the involvement of local actors and the partnerships established to provide continuity to monitoring of information on forestry resources and land use, and to the next cycles of the National Forestry Inventory. This way, the inter-institutional dimension should be strengthened in the Project BRA/079 to ensure sustainability to the Project actions.

184 The better interaction between the SFB and governmental and non-governmental actors at local level, through the execution of the IFN procedures, will serve as ground to the Project replicability.

185 As previously explained, the IFN implementation by small devoted and engaged companies could ensure data collection and the definition of other conglomerates, expanding the forestry resources areas to be continuously monitored.

186 The dissemination of information about the Project actions will be most useful to the replication of actions. This dissemination can be made but, according to evaluators, depends on a communication plan that, in turn, depends on the processing and analysis of data and information collected by the IFN. These actions of data systematization, processing and analysis will be crucial to formulate policies and to the sustainability of the next cycles.

187 Although the Project actions are being replicated, as happened with the government of the states of Ceará and Santa Catarina, one can say that information should be organized to replicate good practices in a more effective way, through broader dissemination of information.

188 The institutional strengthening process is important and positive to keep its organizational legitimacy. One should bear in mind that discontinuity, volatility and functional turnover impair the execution of a project and interfere on the sustainability.


34

189 As regards management, the concept of IFN management should be strengthened in the Ministry of Environment and local governments. Promote a methodological and managerial discussion about the forestry biodiversity monitoring means to align guidelines and strategies to the Biodiversity Conservation and knowledge of the causes and impacts of Climate Changes. These discussions and decisions should contribute with the project in a way to be shared and appropriated by the country, achieving the integration of the bodies’ agendas.

190 According to the evaluation team, regarding the personnel dealing with the Project BRA/079 actions, this should not be subject to destabilization sometimes caused by political-institutional changes since, being more permanent, they can think, discuss plan and collaborate, developing and carrying out activities to achieve the objectives and the project sustainability.

191 The performance of this subcomponent is considered to be Moderately Satisfactory.

5.6 The GEF ranking table

192 Following is the GEF projects evaluation table. It evaluates the project success following the GEF 6-points scale system: Highly Satisfactory (HS); Satisfactory (S); Moderately satisfactory (MS); Moderately unsatisfactory (MU); Unsatisfactory (U); and, Highly unsatisfactory (HU). Sustainability and Replicability are evaluated in terms of Probability: Likely (L): there are no risks affecting this sustainability dimension; Moderately Likely (ML): there are moderate risks affecting this sustainability dimension; Moderately Unlikely (MU): there are significant risks affecting this sustainability dimension; and Unlikely (U): there are serious risks affecting this sustainability dimension.

Item Grade

Objectives achievement S

Results and activities achievement MS

Cost-efficacy relation MS

Impacts MS

Risks Management MU

Sustainability MU

Stakeholders engagement MS

Appropriation MS

Implementation approach MS

Financial Planning MS

Replicability L

Monitoring and Evaluation MS


35

6. Conclusions and recommendations

6.1 Overall conclusions

193 The overall analysis performed through the Mid-Term Evaluation considers the project GCP/BRA079/GFF - “Strengthening the National Framework of Knowledge and Information to Subsidize Policies on Forestry Resources Sustainable Management - GEF Project of Support to the IFN” - is Moderately Satisfactorily. However, the particularities of each component to reach the goals and commitments originally made and established according to the GEF objectives (GEF CEO) are to be considered.

194 For Component I - Institutional Structure to the Forestry Monitoring - the project management and administration were important activities performed, notably to enable official agreements and partnerships between the federal government and international cooperation organization. However, at state and municipal level there sere some difficulties, mainly to officialize technical cooperation agreements between municipal governments, secretariats and herbariums, causing delays on the signing and performing activities in informality, and the poor communication between institutions. That was the case for the activities performed in Espírito Santo, where activities were concluded late in 2014 and, up to then, the agreement letters had not been signed.

195 This shows the weak monitoring of field activities under the item institutional communication and partnerships. Component 1 should be strengthened to apply the IFN in the next localities and reestablish it where the IFN has already collected data; the participation of public or private institutions was incipient and should be enhanced to improve the dissemination of knowledge about the IFN. In this sense, the strengthening of Component 1 has also included the need for periodically establish a decentralized advisory or monitoring structure (state and municipal level).

196 As reported, through the actions scheduled for Component 2, several activities were planned to support the development of the capacity of those involved in the project to work on the IFN implementation, from management to field data collection.

197 Therefore, these training courses should integrate information, consider the participation of new social and technical actors active in local collection, and that the IFN standardization should be granted with the research institutions, mainly those rendering services and collaborating with analyses. Actions should be synchronized with herbariums and soil analysis laboratories, as well as agreements and partnerships to ensure technical support in the deadlines defined.

198 Activities related to Component 3 advanced well, collecting and surveying data on field. Contracted teams perform their tasks satisfactorily and advance in the methodological application of the IFN on the field. This is clearly the most prominent activity in the period analyzed.

199 The main weakness of the project regards data processing (sub-component 3.3), as it is delayed. The amount of data to be processed is a concern to the PMU. However, there is no significant advance to this sub-component. It is worth mentioning that without the organization and systematization of data processed there is no good quality information available to the project beneficiaries, damaging the project efficiency and efficacy in reaching the objectives, mainly the publication and dissemination of information, which are products of Component 4.

200 This way, evidences of this evaluation emphasize that Component 4 had not advanced enough to ensure the proposed objectives; “Policies to expand the contribution of Sustainable Forestry Management”. The products envisaged to Component 4 largely depend on the results of the remainder components. Studies to guide public policies, as provided for in Component 4, and the dissemination of good quality information will be possible when the IFN information and analyses are accessible and disseminated.


36

201 In this sense, the Mid-Term Evaluation concludes that, despite the delays in the Component 4 implementation, the project has potential to reach the results proposed due to the relevance of the IFN that is being supported by other funding agencies, a scientific community and by the Brazilian environmental policy. However, actions capable of concretizing this component deserve more attention, notably in states that have concluded data collection. The main challenge to the following years (2015 and 2016) is to focus on actions that facilitate the dissemination of information based on the information processed and analyses/studies that could guide public policies.

6.2 Conclusions about the development objectives and global environmental objectives of the project

6.2.1 Project development objective (PDO)

202 “The Project Development Objective (PDO) is to provide good quality information and analyses about forestry resources and land use and cover to improve policies and decision-making by stakeholders, in order to increase the contribution of the Brazilian forests to the sustainable development”.

203 According to the documents and interviews during the MTR, the Project Development Objectives were satisfactorily reached and should keep on improving quality information collection. In fact, there is a large number of qualified data enough to be provided to beneficiaries, mainly on the quality of forestry ecosystems, use by the population interviewed, change on soil use and cover.

204 Among other resources, there is the survey of information on socio-economic and market value about forestry resources in 7 states (SC, DF, CE, part of PR and part of RS, RJ and SE). In addition, surveys are being concluded to RJ, RN, ES, and BA. For these states, the analysis and organization of information is underway. Some states (SC and DF) already use information, even if it is not officially and fully available on the project website, facilitating local and scientific processes to elaborate projects, disseminate in congress, and facilitate the decision-making at state/municipal level.

205 Project BRA/079 has potential to reach the Project Development Objectives in the next two year. The challenge is to intensify the analyses of products that depend on lab analysis or herbariums and process data, making these available in the term established.

6.2.2 Global environmental objective (GEO)

206 The GEO is “facilitate Information and Participation to make strategic decisions on the natural resources management, notably the monitoring of soil changes and use to ensure the biodiversity conservation and carbon stock”.

207 Specific data on biodiversity conservation and carbon stock are updated for 5 states (SC, DF, CE, parte of PR and part of RS) and are being processed for 3 states (RN, RJ and SE). Although the access to this information is restrict in the institutions responsible for processing and those partner to the SFB in Project BRA/079, the project efforts related to forestry policy and conservation of areas relevant to the biodiversity, mainly in two states - Santa Catarina and the Federal District - are considered to be satisfactory. In Santa Catarina, institutional efforts have been performed to restrain and mitigate the biodiversity degradation and loss, through the proposal of a new forestry policy based on the information gathered by the IFN in the region.

6.3 Recommendations

208 During the MTE period, interviews, meetings and field visits were performed to get reliable information that have also been analyzed jointly with the documents provided by the Project administration, management and execution team. Following are the main recommendations detailed by components that the Mid Term Evaluation found during


37

the data collection from November 17 to December 11. The same recommendations and suggestions, jointly with the findings, are systematized in Annex 5.


Establish systematic dialogue between governmental institutions and other partners (organizations or corporations) working on municipalities and states to monitor and support field inventory-related activities.

209 The field activities performed by companies cannot be just outsourced activities, with no involvement of local institutions and participation of the key actors to show potential areas to be considered in the inventory.

210 The evaluation team suggests that, by the time of hiring the company in charge of the inventory, an official meeting should be held with the participation of the local government (environment and agriculture secretariats, local education and research institutions) to introduce the team. With this, the local government will get acquainted to the IFN methodology to be used locally, will know the demand for information and will be able of providing support with field resources and logistic. Moreover, the local governments will be involved in the project implementation to ensure that Component 4 (Public Policies) is effective and guides actions in that region.

211 In this sense, the evaluation team also suggests celebrating more efficacious partnership agreements with the SFB, company and local institution. The technical and institutional agreements must be efficient to comply with deadlines, with no risk of losing information, data and material collected on field. The MTE recommends simplifying how agreements are celebrated with herbariums and municipal secretariats. Botanic materials and soils may be damaged and lost due to the delay and incompliance with agreements within the time scheduled for the activities.


Establish measures to ensure the quality of data collected and the work of the team in charge of data collection.

212 The Socio-environmental Survey misses information; many points are inconsistent or were abandoned. Other sources of information, additionally to the IBGE, should be considered to ensure efficient socio-environmental information.

213 Regarding vegetation and land use mapping, partnerships should be strengthened with NETWORKS active in specific BIOMES and territories to support data and information collection, recognizing priority areas in states, specific zoning, and master plan of municipalities.

214 Attention to the landscape analysis with EMBRAPA/Forests - monitor the analysis progress with more efficacy.


Reinforce the capacity of key players in the institutions and corporations involved in data collection using the IFN-BR methodology.

215 The companies hired consider the training course as good, mainly those professionals that have made field collection with the IFN-BR methodology for the first time. However, the TEM recommends an intermediary course, specifically to those professionals that attended previous courses and participated in the IFN implementation on the field. This way, an intermediary training course could facilitate the improvement and exchange of


38

experiences and knowledge regarding the methodological application of the inventory, notably to specific biomes like the Amazon and Cerrado.

216 The training course should include key actors of local institutions like: botanic researchers to adjust the plant collection logistic and method; public managers to inform on difficulties and facilities in applying the IFN in the specific area and biome; field assistants to receive guidance on the inventory purpose and methodology.

217 The training content should also be updated, considering the experience accumulated up to the moment and informing participants about the IFN purpose and its context in the Brazilian forestry policy. In other words, the course should provide not only technical and methodological information, but should emphasize the importance of this project (its components and the GEF focus) so the company can disseminate and inform the audience to be hired during the implementation.


Improve the procedures of collection, processing and storage of soil and materials with more efficient methods that protect and control the quality of samples collected.

218 The collection of soils and botanic material demands more efficient procedures to avoid losing biophysical properties. During the field visit, the MTE observed that both the botanic material and soils collected sometimes are not properly processed and stored. This way, the quality control should also be applied to the proper destination of the materials collected (botanic and soil) which are now accumulated on the field offices.


Prioritize data processing and analysis to get relevant information to decision-makers which is the main objective of the project.

219 From now on, the Forestry Information System implementation should be advanced to process and make available the information collected in states where the inventories have been made. This way, the MTE recommends attaching priority to this activity to enable the project to comply with the time schedule established.

220 For states where the IFN is more advanced, present data to users and local actors, promoting and strengthening the involvement and engagement of local actors in the process, and receiving comments and evaluations about its usefulness, form and accessibility.

Recommendation 6: PMU, FAO Brazil, Government and GEF

Strengthen the project communication to raise awareness among players required to the sustainable forestry management, and support the dissemination of materials prepared and results achieved.

221 Dissemination materials have been prepared and distributed in events and technical-scientific meetings. The Project website has provided the data processed, but these materials are restricted to the technical events. The project should strengthen component 4, developing activities that involve not only the academic sector, as happened in the National Symposia on Forestry Inventory.

222 The Project Management Unit (PMU) should have a professional responsible for the dissemination and publication of information, and should strengthen the communication with institutions and society at the sites where companies’ teams are working on data collection.


39

223 The media should be employed at national and local level to raise awareness about Sustainable Forestry Monitoring in the institutions, preferably when field teams are starting and concluding data collection on the place.

Recommendation 7: Government

Establish the National Effectiveness Committee to provide guidance on actions in the field of public policies for the forestry sector in Brazil.

224 Technical and scientific meetings, notably the National Symposia on Forestry Inventory, have contributed to networking professionals (academic and technical). The MTE recommends that, based on this technical-scientific capital built in the country, the effectiveness committee is established. Up to now, the committee has not been formalized to guide actions in the field of public policies.

225 Studies to guide Public Policies - up to now are only drafts - estimated publication about 5 topics (biodiversity, carbon emission, conservation, forestry production at local communities, guidance to Public Policies) - data should be processed to have studies elaborated and published.

226 The SFB Leadership should hold systematic meetings with key actors, and formalize a routine of meetings with commissions and committees to inform on the strategic importance of the inventory to plan governmental actions and environmental policies.

Recommendation 8: PMU

Strengthen the institutional arrangements to support the implementation of public policies, promoting the engagement of all players form the central government to states and municipalities and other institutions and projects.

227 The project should more emphatically invest on state and municipal institutional arrangements, notably with environment, planning and agriculture secretariats. The relationship and involvement of states and municipalities in the IFN implementation should be strengthened.

228 The PMU should be in charge of initial contacts, formalization of partnerships with local secretariats and institutional agreements that develop actions, projects related to public policies of the forestry sector, and biodiversity conservation. This action should not be performed exclusively by the companies, and the way it has been performed. The technical committees should be active or the project team should hire personnel to this specific purpose.

229 Establishment of more efficacious agreements between the SFB and local facilities: herbariums, soil laboratories, media and local government. Strengthen institutional arrangements to favor the effectiveness of data processes on political guidance (effectiveness committee).

230 The project implementation dialogue with other similar projects (GATI/FUNAIL; MCTI/IBAMA emissions inventory) is weak.

231 Political actions should consider tools of regional policy and management like: ecological and economic zoning of a region (for example, considering priority areas, ecological zoning).


40

Recommendation 9: FAO

Strengthen, restructure and improve the Project management, fostering an efficacious monitoring system.

232 The Project Management Unit still faces difficulties to formalize technical cooperation agreements with the State Secretariats, Herbariums and local institutions. Additionally to this gap, the project administration should be efficient in the stages to be developed, mainly data processing and production of results to be used in public policies. In this sense, the MTE recommends restructuring the PMU staff to carry out the activities of Sub-component 3.3 and Component 4 with efficiency.

233 The Project coordination (PMU + FAO) should establish dialogue with institutions that formalize the Brazilian Government counterpart, like the SEAIN and ABC, to update the project progress and avoid the Project default in the systems. Today, the project is ‘inexistent’ to ABC, and information is out-of-date to the SEAIN. There is no system to monitor the federal agencies with the project results - SEAIN and ABC. This way, the project coordination team should be attentive and establish a communication format (report or specific notes) that facilitates monitoring and recording the project activities in the institutions.

OFFICE OF EVALUATIONwww.fao.org/evaluation

Date post:	19-Feb-2020
Category:	Documents
Upload:	others
View:	2 times
Download:	0 times

Mid-term evaluation of the project Strengthening ... · ES4 The Mid-Term Evaluation process covered...

Documents