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United Nations Development Programme

PROJECT DOCUMENT

Project title: Strengthening Guatemala´s the transparency framework through capacity building to Implement the Paris Agreement.

Country(ies): Guatemala Implementing Partner (GEF Executing Entity1): Tropical Agronomic Center for Research and Education (CATIE)

Execution Modality: NGO execution

Contributing Outcome (UNDAF/CPD, RPD, GPD): The CBIT project contributes to the UNDP Strategic Plan for 2018-2021, specifically: “b) The acceleration of structural transformations for sustainable development, in particular through innovative solutions that have an multiplier effects across all Sustainable Development Goals” , “ c) Building resilience to crisis and shocks, in order to safeguard development achievements”, and Flagship Solution 4: promote nature-based solutions for a sustainable planet.

UNDP Social and Environmental Screening Category: Low risk.

UNDP Gender marker: GEN2

Atlas Award ID: 00114829 Atlas Project/Output ID: 00112705

UNDP-GEF PIMS ID number: PIMS 6436 GEF Project ID number: 10305

LPAC meeting date: TBD

Last possible date to submit to GEF: 15 March 2021 (PIF approved 15 January 2020)

Last possible CEO endorsement date: 15 July 2021

Project duration in months: 48

Planned start date: November 30, 2021 Planned end date: November 30, 2025

Expected date of Mid-term review: N/A (medium sized project)

Expected date of Terminal evaluation: August 30, 2025

Brief project description: Currently, Guatemala has a weak National Greenhouse Gas Inventory System (NGHGIS) with a lack of accurate and official statistics and coherent activity data for some sectors that

1 Executing agencies in GEF Terminology are named as implementing partners in UNDP ProDoc terminology.

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emit GHGs; there is a weakness in the mechanisms to ensure the quality of the data and analysis of uncertainties; nor are there subsystems for the collection, storage and processing of GHG estimates for different sectors. This results in limitations in the development of climate fore-cast scenarios for decision-making and in the capacity and quality of national and international reports. Additionally, due to institutional weaknesses and limited national capacities, there is still no integrated MRV system to record, process and analyze data on mitigation, adaptation and support provided and received. By establishing a holistic and robust MRV system, through the CBIT project, the country will be able to: (i) Improve the quality of its NGHGI, (ii) Improve the quality of its reports, (iii) Monitor with more precision mitigation and adaptation actions contemplated in the NDC, (iv) More effectively link provided support to national climate change policy priorities, and (v) Reduce overlaps and duplication in actions against the effects of climate change.

FINANCING PLAN

GEF Trust Fund (GEFTF) USD 1,500,000.00

(1) Total Budget administered by UNDP USD 1,500,000.00

CO-FINANCIERS THAT WILL DELIVER PROJECT RESULTS INCLUDED IN THE PROJECT RESULTS FRAMEWORK (FUNDS

NOT ADMINISTERED THROUGH UNDP ACCOUNTS)

UNDP (in kind) 100,000 USD

MARN (in kind) 200,000 USD

(2) Total confirmed co-financing 300,000 USD

Grand Total Project Financing (1) + (2) USD 1,800,000.00

SIGNATURES2

Signature:

Agreed by Government Development Coordination Authority

Date/Month/Year: within 25 days of GEF CEO endorsement

Signature:

Agreed by IP Date/Month/Year: within 25 days of GEF CEO endorsement

Signature: Ana María Díaz Resident Representative UNDP

Agreed by UNDP Date/Month/Year: within 25 days of GEF CEO endorsement

Key GEF Project Cycle Milestones: Project document signature: within 25 days of GEF CEO endorsement First disbursement date: within 40 days of GEF CEO endorsement Inception workshop date: within 60 days of GEF CEO endorsement Operational closure: within 3 months of posting of TE to UNDP ERC Financial closure: within 6 months of operational closure

2 If a CSO/NGO is the implementing partner, the Government Development Coordination Authority and UNDP sign the project document and attached it to the Project Cooperation Agreement to be signed by the CSO/NGO and UNDP.

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I. TABLE OF CONTENTS I. Table of Contents ................................................................................................................................................ 3 II. Development Challenge ...................................................................................................................................... 7

2.1 Problem with its underlying causes and barriers that need to be addressed .............................................. 7 2.2 Consistency with national priorities .............................................................................................................. 7

III. Strategy ............................................................................................................................................................. 11 3.1 Strategy ....................................................................................................................................................... 11

3.2 Theory of Change ........................................................................................................................................ 11

3.3 Alignment with the GEF focal area strategy and / or Impact Program strategies ...................................... 12

3.4 Incremental/additional cost reasoning and expected contributions from the baseline ............................ 12

IV. Results and Partnerships................................................................................................................................... 13 V. Results Framework ........................................................................................................................................... 26 VI. Monitoring and Evaluation (M&E) Plan ............................................................................................................ 29 VII. Governance and Management Arrangements ................................................................................................. 32 VIII. Financial Planning and Management ................................................................................................................ 37 IX. Total Budget and Work Plan ............................................................................................................................. 39 X. Legal Context .................................................................................................................................................... 44 XI. Risk Management ............................................................................................................................................. 45 XII. Mandatory Annexes .......................................................................................................................................... 48 Annex 1: GEF Budget ................................................................................................................................................... 49 Annex 2: Map of Guatemala ........................................................................................................................................ 49 Annex 3: Multiannual Plan .......................................................................................................................................... 51 Annex 4: Monitoring and Evaluation Plan ................................................................................................................... 56 Annex 5: UNDP Social and Environmental Screening Procedure ................................................................................ 69 Annex 6: UNDP Risk Registry ....................................................................................................................................... 71 Annex 7: Overview of Project Staff and Technical Consultancies................................................................................ 74 Annex 8: Terms of Reference ...................................................................................................................................... 80 Annex 9: Stakeholder Engagement Plan ...................................................................................................................... 86 Annex 10: Gender Analysis and Action Plan ................................................................................................................ 86 Annex 11: Problem Tree ............................................................................................................................................ 134 Annex 12: Theory of Change...................................................................................................................................... 135 Annex 13: Procurement Plan (first year) ................................................................................................................... 136 Annex 14: Co-financing Letter UNDP ......................................................................................................................... 138 Annex 15: GEF Core Indicators .................................................................................................................................. 141 Annex 16: GEF 7 Taxonomy ....................................................................................................................................... 142 Annex 17: Partner Capacity Assessment Tool (PCAT) ................................................................................................ 148 Annex 18: Harmonized Approach to Cash Transfer Evaluation (HACT) ..................................................................... 148 Annex 19: UNDP Project Quality Assurance Report .................................................................................................. 148

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ACRONYMS AND ABBREVIATIONS ACOFOP Association of Forest Communities of Petén (acronym in Spanish) ACR Association for Renewable Energy (acronym in Spanish) AECID Spanish Agency for International Development Cooperation AFOLU Agriculture, Forestry and Other Land Use AGAAI Guatemalan Association of Mayors and Indigenous Authorities (acronym in Spanish) AGEXPORT Guatemalan Association of Exporters (acronym in Spanish) AMCO Association of Rural Women of Olopa (acronym in Spanish) ANACAFÉ National Coffee Association (acronym in Spanish) ANAM National Association of Municipalities (acronym in Spanish) ASIES Association for Research and Social Studies (acronym in Spanish) ASOCUCH Association of Organizations of the Cuchumatanes (acronym in Spanish) ASORECH Association Regional Campesina Ch´ortí (acronym in Spanish) AZASGUA Sugar Association of Guatemala (acronym in Spanish) BANGUAT Bank of Guatemala (acronym in Spanish) BAU Business as Usual BMUM German’s Federal Ministry for the Environment, Nature Conservation, Building and Nuclear Safety BPPS UNDP’s Bureau for Policy and Programme Support BUR Biennial Update Report CACIF Coordinating Committee of Agricultural, Commercial, Industrial and Financial Associations

(acronym in Spanish) CAMAGRO Chamber of Agriculture of Guatemala (acronym in Spanish) CATIE Tropical Agronomic Center for Research and Education (acronym in Spanish) CEAB/UVG Center for Environmental Studies and Biodiversity of the Universidad del Valle de Guatemala

(acronym in Spanish) CECON/USAC Sustainable Economic Observatory of the UVG, the Center for Conservation Studies of the

Universidad de San Carlos de Guatemala (acronym in Spanish) CEDAW Convention on the Elimination of All Forms of Discrimination Against Women CIV Ministry of Communication, Infrastructure and Transportation (acronym in Spanish) CNCC National Climate Change Council (acronym in Spanish) CONADUR National Council for Urban and Rural Development (acronym in Spanish) CONAP National Council for Protected Areas (acronym in Spanish) COP Conference of Parties CPRG Political Constitution of the Republic of Guatemala (acronym in Spanish) CTA Technical Advisory Committee (acronym in Spanish). CTB Climate Budget Tagging (acronym in Spanish) CTCN Climate Technology Centre and Network DCC Directorate of Climate Change (acronym in Spanish) DP Development Partner EAP Economically Active Population ENCA Central National School of Agriculture (acronym in Spanish) ENERGUATE Electricity Company-Guatemala City (acronym in Spanish) ENREDD+ National Strategy for the Reduction of Deforestation and Forest Degradation in Guatemala

(acronym in Spanish) FAO Food and Agriculture Organization of the United Nations FAO Food and Agriculture Organization of the United Nations FCG Foundation for the Conservation of Natural Resources and the Environment in Guatemala

(acronym in Spanish) FCPF Forest Carbon Partnership Facility FDN Foundation for the Defense of Nature (acronym in Spanish) FEDECOCAGUA Federation of Agricultural Cooperatives of Coffee Producers of Guatemala (acronym in Spanish) FEDECOVERA Federation of Cooperatives of the Verapaces (acronym in Spanish),

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FEWS NET Famine Early Warning System Network FLACSO Latin American Faculty of Social Sciences (acronym in Spanish) FOLU Forestry and Other Land Use FUNDAECO Foundation for Eco Development and Conservation (acronym in Spanish) GBV Gender Based Violence GCF Green Climate Fund GCI Inter-institutional Coordination Group (acronym in Spanish) GDP Gross Domestic Product GEF Global Environment Facility GHG Greenhouse Gas GIMBUT Inter-institutional Group for Forest and Land Use Monitoring (acronym in Spanish) GIZ German Corporation for International Cooperation GP Green Development (acronym in Spanish), GRM Grievance Redress Mechanism HACT Harmonized Approach to Cash Transfer Evaluation IARNA/URL Institute for Research and Projection on Environment, Nature, and Society of the Rafael Landivar

University (acronym in Spanish) ICC Private Institute for Climate Change (acronym in Spanish) IDB Inter-American Development Bank IFAD International Fund for Agricultural Development IGSS Guatemalan Social Security Institute (acronym in Spanish) IICA Interamerican Institute for Agriculture Cooperation IMF International Monetary Fund INAB National Forest Institute (acronym in Spanish) INE National Institute for Statistics (acronym in Spanish) INFOM Municipal Development Institute (acronym in Spanish), INSIVUMEH National Institute of Earthquake Meteorology and Hydrology Volcanology Logistics (acronym in

Spanish) IP Implementing Partner IPPU Industrial Processes and Product Use IT Information Technology IUCN International Union for the Conservation of Nature KfW State Development Bank of the Federal Republic of Germany LEDS Low Emissions Development Strategy LMCC Framework Law to regulate the reduction of vulnerability, obligatory adaptation to the effects of

climate change and the mitigation of greenhouse gases (acronym in Spanish) MAGA Ministry of Agriculture, Livestock and Food (acronym in Spanish) MARN Ministry of Environment and Natural Resources (acronym in Spanish) MEM Ministry of Energy and Mines (acronym in Spanish) MER Monitoring, Evaluation and Reporting MESAFORQ Forest Coordination Board of Region VI (acronym in Spanish), MICCG Guatemalan Indigenous Peoples Climate Change Committee (acronym in Spanish) MINECO Ministry of Economy (acronym in Spanish) MINFIN Ministry of Public Finance (acronym in Spanish) MNCC National Climate Change Board (acronym in Spanish), MRV Monitoring, Reporting and Verification MSPAS Ministry of Public Health and Social Assistance (acronym in Spanish) NAMA National Appropriate Mitigation Actions NC National Communication NDC Nationally Determined Contribution NGHGI National Greenhouse Gas Inventory NGO Non-Governmental Organization ODP UNDP Country Office (acronym in Spanish)

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OSAR Observatory of Sexual and Reproductive Health PAM Platform for Global Action PANCC National Action Plan on Climate Change (acronym in Spanish) PB Project Board PC Project Coordinator PCAT Partner Capacity Assessment Too PIF Project Identification Form PIR GEF Project Implementation Report PMU Project Management Unit PND National Development Plan K'atun: Our Guatemala 2032 (acronym in Spanish) PNPDIM/PEO National Policy for the Promotion and Integral Development of Women and the Equal

Opportunities Plan of SEPREM (acronym in Spanish) POPP Programme and Operations Policies and Procedures PQAR Project Quality Assurance Report QA/QC Quality Assurance and Quality Control QPR Quarterly Progress Reports RA Rainforest Alliance REDD+ Reducing emissions from deforestation and forest degradation REDFIA National Network for Environmental Training and Research (acronym in Spanish) RENAP National Registry of Persons (acronym in Spanish) SAT Superintendency of Revenue Administration (acronym in Spanish) SDG Sustainable Development Goals SECU Social and Environmental Compliance Review Unit SEGEPLAN Secretariat of Planning and Programming of the Presidency (acronym in Spanish) SENACYT National Secretariat for Science and Technology (acronym in Spanish) SEPREM Presidential Secretariat for Women SES Social and Environmental Standards SESP Social and Environmental Selection Procedure SGCCC Guatemalan System for Climate Change Science (acronym in Spanish) SNICC National Climate Change Information System (acronym in Spanish) SNIGT System for National GHG inventories (acronym in Spanish) SRM Stakeholder Response Mechanism STC Sectoral Technical Commissions T3CN Third National Communication TE Terminal Evaluation TNC The Nature Conservancy TOR Terms of Reference UG Galileo University (acronym in Spanish) UIACC Environmental Information and Climate Change Unit (acronym in Spanish) UMG Mariano Gálvez University (acronym in Spanish) UNDAF United Nations Development Assistance Framework UNDP United Nations Development Program UNDP/ERC UNDP Evaluation Resource Center UNFCCC United Nations Framework Convention on Climate Change URL Rafael Landivar University (acronym in Spanish) USAC San Carlos University of Guatemala (acronym in Spanish) USAID United States Agency for International Development UVG University of the Vallee of Guatemala (acronym in Spanish) WB World Bank WHO World Health Organization WWF World Wildlife Fund

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II. DEVELOPMENT CHALLENGE 2.1 Problem with its underlying causes and barriers that need to be addressed Based on the principle of common but differentiated responsibilities, the need for improved transparency frameworks as defined in Article 13 of the Paris Agreement, and the current national capacities, Guatemala needs to establish a robust transparency framework in order to create and implement reliable processes to effectively comply with and report on the Nationally Determined Contribution (NDC). These reports must provide clear and objective information on climate change mitigation and adaptation activities, including a rights-based and gender perspective, at the national, local and sectoral levels, as well as on the financial support received from international cooperation agencies.

The commitments assumed by the country when ratifying the Paris Agreement on June 5, 2017 3 , require an immediate and coherent response in order to strengthen national transparency mechanisms that contribute to the planning of a low emissions development. Existing national capacities need to move from scattered methodologies and uncoordinated monitoring and reporting to a robust and integrated management information system with the purpose of tracking the implementation of the NDC.

To date, Guatemala, despite the progress made, still faces barriers that hinder the achievement of the commitments assumed by the country (problem tree in Annex 11). At the level of the National Greenhouse Gas Inventory (NGHGI), one of the problems has been the lack of accurate and coherent statistics and activity data for some of the Greenhouse Gas (GHG) sectors. In addition, the current National Greenhouse Gas Inventory system has weaknesses in the mechanisms required to ensure the quality of the data and analysis of uncertainties; also, there are no subsystems for data collection, storage and processing of GHG estimates for different sectors. In the absence of these elements and a platform for the NGHGI, it is difficult to develop climate forecasting scenarios for decision-making and for improving the quality of national and international reports (including reports to the UNFCCC).

In addition, at the level of Monitoring, Reporting and Verification (MRV) 4 of the mitigation, adaptation, and support provided and received NDC components, there is no integrated system to record, process and analyze data. This situation is worsened by a lack of national experts in MRV systems, with ample knowledge of the IPCC guidelines and reporting on climate finance. Similarly, there are institutional weaknesses in this area that make it difficult to develop activities related to transparency, the development of a national MRV strategy, which in turn limits the national capacities to track progress of implementation of institutional and national plans on climate change. As a consequence of institutional weaknesses, to date the existing Sectoral Technical Commissions (STC) that exist for mitigation (7) and adaptation5 (6) have not yet been institutionalized, nor a consensus has been reached in the way GHG data can be exchanged between and private and public sectors, amongst others. This situation results in that climate change actions and its financing are not adequately monitored and are disconnected from making decision regarding public policies, programs and projects important to achieve the goals in the NDC and the Paris Agreement on transparency issues.

In short, Guatemala faces barriers that hinder the fulfillment of the commitments the country has assumed. National capacities are not prepared to monitor, report, nor verify actions related to adaptation and mitigation, policies and climate finance in a robust and institutionalized way, nor is it possible to generate climate projections and scenarios and evaluate strategic information with a rights-based and gender perspective, necessary for policy development, and for achieving transformational change.

2.2 Consistency with national priorities Guatemala ratified the Paris Agreement on June 5, 2017. Within the national regulatory and political framework there are different elements that provide a background and a frame for climate change activities, such as: The General Government Policy 2020-2024 , which includes climate change as a strategic action within numeral 4.1.2.4.1 denominated: "Comply with the reduction of Greenhouse Gases (GHG) of the National Determined Contribution presented under the Paris Agreement in September 2015"; this strategic action is associated with sector objective

3 Ratified by the Congress of the Republic of Guatemala through Decree 48-2016. 4 When mentioning in this PRODOC “MRV”, reference is made to both Monitoring, Reporting and Verification for mitigation and Monitoring, Evaluation and Reporting (MER) for adaptation. 5 With exception of the Technical Group on Coastal Marine Management which was institutionalized through a Ministerial Agreement of the Ministery of Environment and Natural Resources.

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numeral 4.1.2.4. "Promote the development of renewable and non-renewable energy sources compatible with the conservation of the environment".

Other national policies and strategies that seek to respond to the effects and vulnerability of the country to climate change and comply with international commitments acquired under the UNFCCC are:

The “National Policy on Climate Change Guatemala” (Governmental Agreement 329-2009), which aims at: the State of Guatemala, through the Central Government, the municipalities, organized civil society and the general public, adopting actions towards the reduction of vulnerability, improving adaptation to climate change, contributing to the reduction of greenhouse gas emissions in its territory, contributing to the improvement of the quality of life of its inhabitants, and strengthening of its capacity to influence the international climate change negotiations.

The framework “Law to regulate the reduction of vulnerability, obligatory adaptation to the effects of climate change and the mitigation of greenhouse gases” (LMCC, acronym in Spanish), as a tool to enable national efforts towards sustainable development (Congress of the Republic of Guatemala, 2013). The LMCC appoints the Ministry of Environment and Natural Resources (MARN, acronym in Spanish) as leader of the NGHGI and the National Climate Change Information System (SNICC, acronym in Spanish), and requires different entities in the country to provide information on GHG emissions and removals.

The “K'atun National Development Plan: Our Guatemala 2032” (PND, acronym in Spanish), which was approved by the National Council for Urban and Rural Development (CONADUR, acronym in Spanish) through “decision numeral 03-2014”. The PND constitutes a long-term planning instrument that sets out the country's vision, and which in turn constitutes the roadmap that defines the structural transformations necessary to close the inequality gaps that persist in Guatemala. This instrument contains 5 axes, 36 priorities, 80 goals, 123 results and 730 guidelines (SEGEPLAN/SISCODE, 2016). The PND is an instrument that guides and organizes the work of the public sector at all levels, with a gradual perspective that defines priorities, goals, results and guidelines. Chapter 13 on “Natural Resources today and for the future” sets out the need to protect and enhance natural resources in balance with social, cultural, economic and territorial development, so that they allow meeting the current and future demands of the population in conditions of sustainability and resilience to the impact of the phenomena that nature presents. Three of the priorities are directly related to information on GHG emissions and removals, these priorities are: (i) Adaptation and mitigation in view of climate change, (ii) Conservation and sustainable use of forests and biodiversity for adaptation and mitigation of climate change ; and (iii) Increase in the participation of renewable energy in the energy matrix, considering citizen participation and the views of the Mayan, Xinka, Garífuna, and Mestizo peoples.

The “Agenda for Sustainable Development Goals” (SDG), by signing together with 192 countries around the world the Declaration “Transforming our world: the 2030 Agenda for Sustainable Development”. An Agenda that defines a plan of action to eradicate poverty, protect the planet and achieve sustainable prosperity for all. There areas are expected to be implemented through a set of 17 objectives, 169 goals and 241 indicators, which are expected to be achieved in the 2030 (SEGEPLAN/SISCODE, 2016). In this context, in the year 2016 through Act 7-2016 (numeral six), the CONADUR, decides to prioritize the agenda taking into consideration the lessons learned from the implementation of the Agenda for the Millennium Development Goals. With this objective, it approves the “Strategy for the articulation of the Agenda for Sustainable Development Goals with the K'atun National Development Plan: Our Guatemala 2032”, which allowed prioritizing objectives, goals and indicators (SEGEPLAN / SISCODE, 2016). Within this framework, the National Development Priorities related to the Environment and Natural Resources were defined, specifically the availability and access to water and management of natural resources and the economic value of natural resources. It also contains a description and analysis of the conceptual model, linked to the main direct causes that give rise to the key problems of the environment and natural resources in Guatemala, defining this as the accelerated degradation of natural resources, and increased environmental vulnerability, identifying as a primary cause the vulnerability of the population to the effects of climate change. In addition, the document defines the intervention strategy, which is based on a chain of results linked to the different Strategic Development Goals of the Priorities in question. It also contains an analysis of the legal framework linked to the environment and development, and finally a proposal for monitoring and evaluating the strategy in general.

The Nationally Determined Contribution. Faced with the urgency of taking collective action, necessary to avoid a dangerous increase in temperature and climate variability, Guatemala presented its NDC to the UNFCCC Secretariat in 2015. In terms of mitigation, the NDC presents quantifiable unconditional and conditional proposals, as follows:

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• Unconditional proposal: Guatemala plans to achieve a reduction of 11.2 % of its total GHG emissions from the base year 2005 projected to the year 2030. This reduction implies that emissions, in a scenario of Business as Usual (BAU) of 53.85 million tCO2 eq by 2030, will be reduced to 47.81 million tCO2 eq for that year.

• Conditional proposal: Guatemala proposes a more ambitious reduction than the previous one, up to 22.6 % of its total GHG emissions from the base year 2005 projected to 2030. This reduction implies that emissions, in a Business as Usual scenario (BAU) of 53.85 million tCO2 eq by the year 2030, would be reduced to a value of 41.66 million tCO2 eq for that year. As a condition, it will be necessary receive the necessary new and additional technical and financial support from public and private international resources.

The “National Low Emissions Development Strategy” (LEDS), published in 2018. The LEDS promotes the construction of tools for individual, sectoral and national application, oriented towards a low emission development, which strengthens at the same time the economy, improves efficiency and increases the profitability of small, medium and large-scale production, in addition to facilitating access to international markets and new sources and financing mechanisms. Through this, it contributes directly to mitigation and compliance with the country's commitments under the UNFCCC (MARN, 2018). The LEDS includes a baseline of GHG emissions for the energy, transport, industry, agriculture and livestock, forestry and other land uses, and waste management sector and presents 43 mitigation options and includes for each option: objectives, goals, articulation with existing policies and programs, economic analysis, implementation cost, estimate of GHG reduction potential, and expected impact on the Guatemalan economy.

The “National Strategy for the Reduction of Deforestation and Forest Degradation in Guatemala” (ENREDD+, acronym in Spanish), published in 2018 (second version in 2020). The ENREDD+ seeks to fulfill the constitutional mandate to consider forest conservation and reforestation in the country as actions of national interest, through the systematization and articulation of the main policies, programs and projects implemented in the country. The objective of ENREDD+ is “to articulate forest governance to create or implement the main existing public policy instruments that allow the incorporation of different actors and social and productive processes in the reversal of causes of deforestation and forest degradation through recovery actions and protection of the country's forest cover”. The ENREDD+ is a policy instrument aimed at reducing deforestation and increasing carbon stocks.

The “National Action Plan on Climate Change” (PANCC, acronym in Spanish), second edition in 2019, is a document of a programmatic nature which contains, in an orderly manner, all the actions that the State of Guatemala intends to carry out in order to cope with the effects of climate change and climate variability. The elaboration of the PANCC, took into consideration the LMCC, LEDS and Guatemala´s NDC. The PANCC orients government institutions and other sectors regarding the actions they should carry out in order to effectively contribute to the reduction of the vulnerability which is affecting the majority of the national population, to expand the country's adaptation capacity and to reduce GHG emissions.

In the context of this national regulatory and political framework, Guatemala has carried out different initiatives that seek to comply with the commitments acquired when ratifying the Paris Agreement. These include:

National Communications 2001 and 2015. These documents represent a reference base for the MRV system and have been the first exercises that the country has developed in this matter, including the 1990, 1994, 2000 and 2005 GHG inventories. However, the information was not compiled in a systematic or coordinated way with the different institutions that provide and use the information. Currently Guatemala, is developing the Third National Communication (T3CN) and the First Biennial Update Report (BUR) through the project known as: "First Biennial Report and Third National Communication on Climate Change (GEF ID 9844-PIMS/6120). Through a participatory process with the various governmental institutions leading mitigation and adaptation, a database has been established and the 2010, 2014 and 2016 GHG inventories are being updated. The first methodologies for elaborating Inventories and the development of National Communications have been documented and the providers and users of information have been identified. Although the data has not been integrated in an MRV system, the information has been obtained and produced in order to develop the Third National Communication early 2021. Furthermore, a proposal on governance has also been developed through institutional arrangements.

The MARN has started the design of the up-front and end-front structure of the National Climate Change Information System (SNICC) which is conceived as a cross-cutting information platform in all sectors and institutions. The SNICC is created by Article 9 (Decree 7-2013 Climate Change Law) and its administration is governed by the Ministerial

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Accord No. 5-2016 (SNICC internal regulatory framework). The MARN is also in the process of developing a System for national GHG inventories (SNIGT) that stores the GHG Inventory information, but which needs to improve on the structure of its Information Technology (IT) platform, governance and institutionalization. With the support of the World Bank, MARN has developed a matrix of main categories and all GHG emission sources and sinks, and implemented a training program on the 2006 IPCC Guidelines and on National Inventories, which ended earlier than planned due to mobility restrictions that emerged in the country when the first COVOD-19 cases were reported. The file system that makes up the SNIGT was also generated. Furthermore, in cooperation with FAO, MARN is developing the methodology for activity data collection and for preparing inventories for the AFOLU sector (Agriculture, Forestry and Other Land Use).

Regarding transparency in adaptation mechanisms, Guatemala has developed a Monitoring, Evaluation and Reporting (MER) system for the Agriculture, Livestock and Food Security sector with the support of the Integrating Agriculture in National Adaptation Plans (NAP-Ag) program. This is a joint FAO-UNDP work funded by German’s Federal Ministry for the Environment, Nature Conservation, Building and Nuclear Safety (BMUM). Likewise, the MARN developed a MER system for the Marine Coastal Areas, with the assistance of the Regional Climate Change Program for Latin America and the Caribbean to support the implementation of NDC led by UNDP and funded by the Spanish Agency for International Development Cooperation (AECID). This MER includes metrics and indicators to measure the current status of actions related to adaptation to climate change within two biological priority sites in both Guatemalan coastal marine areas (Pacific and Caribbean). With support from the Climate Technology Centre and Network (CTCN), MARN has recently developed a proposal of vulnerability and adaptation indicators to support the measurement, evaluation and reporting of sectors prioritized in the PANCC. The development of Guidelines for Vulnerability Reduction is financed by the alliance of 5 organizations, recognized as the Alliance for Resilience. These are: 1) Dutch Red Cross, 2) CARE, 3) Cordaid, 4) Red Cross / Red Crescent Climate Center, and 5) Wetlands International.

Concerning climate finance, Guatemalan Government has recently finished a Review of Public and Private Expenditure on Climate Change according to the adaptation and mitigation sectors prioritized in the PANCC, the existing financial gap for its implementation was estimated, and a Strategy for Mobilization and Optimization of Financial Resources to reduce the financial gap was also developed.

In order to institutionalize the monitoring and reporting of climate-related expenditures in the national budget system, the UNDP Regional Climate Change Program for Latin America and the Caribbean to support NDC implementation is providing technical assistance to the MARN, the National Forestry Institute (INAB, acronym in Spanish), the National Council for Protected Areas (CONAP, acronym in Spanish) to implement the Climate Budget Tagging (CTB) and design a CBT implementation guidelines so the rest of government agencies related to climate change will be also able to adopt the CTB in their budget system. This process will provide comprehensive data on climate change, relevant spending, monitoring and tracking of climate-related expenditures in the national budget system; therefore, enabling Guatemalan government authorities to make informed decisions and prioritize climate strategic investment. The CBIT project represents an opportunity to scale up the results of the above-mentioned initiatives, fill strategic gaps in methodologies, indicators, the collection, storage and analysis of transparent, accurate, consistent, comparable activity data, endowing the country with a robust MRV system, and strengthening the capacities of associated institutions. It is also an opportunity to train governmental, civil society, and private sector technicians and academics on GHG inventory-related topics, IPCC methodologies, monitoring and tracking mitigation and adaptation actions and their importance in decision-making. Strategically, the CBIT project also offers an opportunity to strengthen national capacities in monitoring climate change financing provided and received, allowing the country to know and optimize its expenditure of national and international sources.

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III. STRATEGY 3.1 Strategy The objective of the proposed CBIT project is assisting the country with the "Establishment and implementation of a holistic MRV system in Guatemala” that will allow the country to monitor the implementation of its NDC and meet the requirements under the Article 13 of the Paris Agreement; specifically: (i) the NDC and climate change actions are tracked appropriately, contributing to strategic decision-making in favor of promoting programs, projects, and policies that contribute to reaching the Paris Agreements; (ii) the country has the capacity to comply with the Paris Agreement in relation to transparency mechanisms; (iii) the country complies with the national reporting requirements under the UNFCCC; and (iv) the quality of the reports presented by the country improves. The focus of the CBIT project is to move from ad hoc reporting to an ongoing MRV process that captures with transparency mitigation and adaptation activities and enables the country to track its progress against its commitments outlined in its NDC. The CBIT project is essential for Guatemala to comply with its commitments on transparency issues and has a single component that seeks to establish and implement a holistic MRV System in Guatemala. This component has five outcomes, that will be achieved by the end of year 4 of the project:

1. An MRV system to improve the calculation of the GHG inventories is designed and implemented 2. A system to monitor the NDC mitigation component is designed and implemented 3. A system to monitor the NDC adaptation component is designed and implemented; 4. A system to monitor the NDC support provided and received component is designed and implemented; 5. Climate change Sectoral Technical Commissions integrate the MRV component.

By establishing the holistic MRV system, the country will be able to improve the quality of its NGHGI, improve the quality of its reports, track more accurately mitigation and adaptation actions, as well as national and international climate finance, and more effectively link received support to national priorities and policies on climate change. The MRV system will also contribute to reducing overlaps and duplicities in actions against the effects of climate change, freeing up resources for additional measures; this being particularly relevant for Guatemala as it is considered a country highly vulnerable to climate change effects. Finally, gender mainstreaming in the MRV system and the use of data disaggregated by sex, will provide decisionmakers new and clear information with respect to the different impacts of climate change on women and men, allowing new policies, actions and climate finance to include gender considerations. The strategy of establishing a holistic MRV system, has been selected as the most suitable path for the country to adequately monitor its NDC and comply with the requirements of Article 13 of the Paris Agreement in terms of transparency.

3.2 Theory of Change The theory of change for this project is presented in Annex 12. In response to the problems and their causes previously identified (section 2.1), Guatemala requires the establishment of a robust transparency mechanism, coordinated and institutionalized, accompanied by effective and functional governance procedures that will allow institutions to improve their capacities in the collection, analysis and use of information, as well as reporting methodologies in order to strengthen decision-making processes and their relationship with national policies and national and international climate finance. This will be achieved, on the one hand, through improving on the NGHGI estimates for the different sectors, which includes mechanisms to improve the quality of the data and uncertainty analysis, as well as the development of methodologies, mechanisms and the interagency coordination for data collection, continuous and periodic report generation for estimating activity data, the development of sectoral subsystems for the collection, storage and processing of data, and strengthening of national capacities in the IPCC guidelines for the calculation of uncertainties. On the other hand, through the design and implementation of an MRV system and strengthening capacities in MRV for adaptation, mitigation and climate finance data reporting (national, public and private and international) in the public and academic sectors. This includes personnel from government entities that lead the different Sectorial Technical Commissions, and other relevant institutions such as SEGEPLAN and MINFIN. The MRV systems to monitor mitigation and adaptation components and the support provided and received from the NDC will be implemented in some prioritized sectors. In addition, a National MRV Strategy with gender considerations

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will be designed in a participatory manner and a legal mechanism will be designed and put into practice to institutionalize the existing Sectorial Technical Commissions and their role in the operation of the MRV System; these are considered important elements for the institutionalization of the results generated by the CBIT project. For the theory of change the following assumptions were identified: (i) there is political will to update, implement and monitor the NDC, (ii) the MARN and other key governmental institutions will assign personnel to lead and participate in the MRV building process, (iii) relevant government institutions encourage the participation of their technical staff in activities related to the development of the MRV system, (iv) government officials attend training workshops, are interested in the contents presented and apply what they have learned in the daily activities, (v) the private sector, civil society, including indigenous peoples organizations, and academia promote the participation of their technical staff and decision makers in the activities of the Sectoral Technical Commissions and the development of the MRV system; and (vi) under the leadership of the MARN, there is articulated coordination between SNIGT, SNICC, and the MRV system.

3.3 Alignment with the GEF focal area strategy and / or Impact Program strategies The Project is aligned primarily with GEF Focal Area CCM-3-8, “Foster enabling conditions for mainstreaming mitigation concerns into sustainable development strategies through capacity building initiative for transparency”. It provides special attention to entry points in the development of capacity building regarding transparency and enabling activities. On the basis of this context, the GEF-CBIT funding will contribute to a better understanding of the implementation of governance mechanisms to achieve transparency in adaptation and mitigation measures, their associated financing, including monitoring, reporting and verification of the progress made towards Guatemala’s NDC. The methodologies for the generation of information, management, use and exchange, and the identification of needs and gaps to report and comply with the obligations derived from the Paris Agreement are also part of the contribution that the Project will develop.

3.4 Incremental/additional cost reasoning and expected contributions from the baseline The national climate change efforts have demonstrated Guatemala´s commitment towards the implementation of mitigation and adaptation related policies in order to meet all international requirements. However, the monitoring and reporting requirements, national and sectoral policy planning and implementation capacity needs related with international pledges exceed country´s current and future capacity. Under this business-as-usual scenario, Guatemala cannot rely on isolated, quality-varying data with restricted applicability to climate change policy updating and planning, inexistent mechanisms to design a monitoring, reporting and verification systems in the mitigation component, as well as disintegrated metrics and indicators for the adaptation component. To face this status quo, Guatemala will create national capacities for the development of a robust domestic MRV system that will meet transparency mechanisms requirements under the Paris Agreement.

The establishment and implementation of a holistic MRV system aimed at in this GEF-CBIT proposal will build on initiatives related to: i) the National GHG Inventory System (SNIGT), linked to the National Climate Change Information System (SNICC); ii) the development of national methodologies for monitoring mitigation and adaptation components; iii) the metrics and indicators prepared for the Marine-Coastal Zone and Agriculture, livestock and food security sectors; and iv) formalizing an inter-institutional governance structure. In doing this, the CBIT project will provide the leverage of ongoing and future initiatives, reducing the gaps identified in the Second National Communication.

Without the GEF-CBIT financing, actions related to NDC accomplishment would remain weakly implemented, even though Climate Change related reporting and evaluation actions are priority within overarching National Development Policy (2020-2024). Therefore, the GEF-CBIT proposal represents an opportunity to the country to transit from a business as usual reactive data system to a new and innovative state of solid national capacities to implement and institutionalize methodological tools that can generate high quality data in a robust and coherent domestic MRV system.

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IV. RESULTS AND PARTNERSHIPS Expected Results: In establishing the holistic system of MRV, the country will improve the quality of their NGHGI, just as that of their reports, monitor more closely mitigation and adaptation actions, national and international climate spending, and link to more effectively provided and received support to national policy priorities on climate change. The MRV system would also contribute to reducing overlaps and duplications in actions against climate change effects, freeing up resources for additional measures, which is particularly relevant for Guatemala as a highly vulnerable country to the threats of climate change. Finally, the incorporation of the rights-based and gender perspective in MRV and the generation of data disaggregated by sex, will provide decision-making information new and clear information with respect to the different impacts of climate change on women and men, which in turn can inform the elaboration of new climate change policies, actions and finance.

The CBIT project would contribute to UNDP efforts in assisting Guatemala's progress in achieving the Sustainable Development Goals (SDGs). In particular, the project will contribute to the achievement of SDG 13: “Adopt urgent measures to combat climate change and its effects”, in its goals: 13.2 “Incorporate measures related to climate change in national policies, strategies and plans”, 13.3 “Improve education, awareness-raising and human and institutional capacity regarding climate change mitigation, adaptation, reduction of its effects and early warning”, and 13.b “Promote mechanisms to increase capacity for planning and management, effective in relation to climate change and climate change in least developed countries and small island developing states, with a particular focus on women, youth, and local and marginalized communities”.

Sector prioritization: The prioritization of GHG sectors for the different outcomes was foreseen in the PIF. Through decisions made by MARN, Guatemala has prioritized for Outcomes 1 and 2, the following two sectors: 1. Agriculture, and 2. Industrial Processes and Product Use. The reason being that according to the 2005 NGHGI of 2005, agriculture was the largest GHG emitter, while for the sector of industrial processes, MARN has identified a considerable increase in the emissions, and considers it is important to complete the data for both sectors and populate the MRV system with these data within the framework of the CBIT project. Furthermore, for the Forestry and Other Land Uses sector, starting in 2021, MARN will receive the support of a regional CBIT managed by FAO, but this is specifically and only for the FOLU sector, which is why for the present project MARN prioritizes also Agriculture. For Outcome 3, four sectors were prioritized: 1. Coastal marine areas, 2. Agriculture, livestock and food security, 3. Human health, and 4. Water resources. MARN, in coordination with other government entities, is working hard in the coastal marine zones and agriculture, livestock and food security sectors, and the CBIT project would mainly fill some gaps and in validating methodologies, indicators, amongst others. Whereas for the Human Health and Water Resources sectors, both considered strategic and with information gaps, the CBIT project will develop methodologies, indicators, collect data, amongst others. For all four sectors, data will be input into the MRV system. All prioritized sectors are key to the country´s current process of updating the NDC.

The Project Objective is: Establishing and implementing a MRV system in Guatemala to monitor the implementation of its NDC and to meet the requirements defined under the Article 13 of the Paris Agreement.

To achieve this objective, the following component will be carried out. Component 1: Establishment and implementation of a holistic MRV system in Guatemala. The component has five Outcomes (each with outputs and activities) and are described below:

Outcome 1.1 An MRV system to improve the calculation of the GHG inventories is designed and implemented.

This will be achieved by developing the following outputs:

Output 1.1.1 Capacities in the public and academic sectors to implement the 2006 IPCC Guidelines for calculating Greenhouse Gases (GHG) inventories are improved.

This includes the following activities: 1.1.1.1 Establish interinstitutional agreements by signing cooperation agreements between the public sector (MARN) and the academic sector in order to participate in the design and implementation of a capacity building program on the development of national inventories of greenhouse gases for all sectors, seeking their compatibility and integration with the System for National GHG Inventories (SNIGT) and National Climate Change Information System (SNICC). 1.1.1.2 Training of trainers, members of the academy and government in the use of the 2006 IPCC Inventories Guidelines. 1.1.1.3 Design a program for capacity building in

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NGHGI for the 5 GHG inventory sectors, linked the SNIGT and SNICC. This will be done through working with the seven (7) existing Sectoral Technical Commissions related to mitigation: a) Industrial Processes (MINECO); b) Waste management (MARN); c) Agriculture (MAGA); d) Livestock (MAGA); e) Forestry and Other Land use (INAB and CONAP); f) Energy (MEM); and g) Transportation (CIV) 1.1.1.4 Adapt knowledge materials for the capacity building program, including digital, written, audiovisual material, among others. These materials will be uploaded to the SNIGT, SNICC, and made available to all the entities participating in the Sectoral Technical Commissions. And 1.1.1.5 The trained pilot team, will implement the training program with the support of the project, using the seven Sectoral Technical Commissions related to mitigation.

Output 1.1.2 (was 1.1.4 in PIF): Gap analysis in activity data are developed and improved in two sectors: 1. Agriculture, 2. Industrial Processes and Product Use.

In order to improve the procedures and the quality of the activity data, it is necessary to develop the following activities: 1.1.2.1 Implement a gap analysis of activity data and make the necessary improvements on procedures and quality in two prioritized sectors: 1. Agriculture and 2. Industrial Processes and Use of products. This will build on the experiences and lessons learned arising from the analyses of the characterization and methodology improvements of livestock data, organic and synthetic nitrogen fertilizer, and transport subsector from the energy sector developed by the TNC and 1BUR project. In order to obtain recommendations for improvements in data collection and exchange, it is necessary to review with the support of experts, the emissions estimates for Agriculture and IPPU.

Output 1.1.3: Quality Assurance (QA) and Quality Control (QC) methodology, and uncertainty analysis are designed and implemented.

This output will ensure consistency, transparency, accuracy, coherence, comparability and integrity of future National GHG inventories. The following activities will be carried out: 1.1.3.1 Design and validation of a national QA / QC methodology and uncertainty analysis in the 5 sectors of the NGHGI: a) Agriculture, b) Forestry and Other Land Uses, c) Energy (including Transportation), d) Waste management and e) Industrial Processes, and their link to the SNIGT and SNICC Quality Control Sub-System. 1.1.3.2 Implement the methodology for quality control and uncertainty analysis in two prioritized sectors: a). Agriculture, b). Industrial Processes and Product Use, and their link to the SNIGT and SNICC Quality Control Sub System. 1.1.3.3 Develop and adapt knowledge materials for the capacity building program that will include digital, written, audiovisual material, among others. These materials will be uploaded to the SNIGT, SNICC, and made available to all the entities participating in the Sectoral Technical Commissions. And 1.1.3.4 Implementation of training workshops for QA / QC and uncertainty analysis and its link with the SNIGT and SNICC.

Output 1.1.4 (new): Methodology for information gathering for preparing of GHG inventories, including data from different sectors, designed and implemented in all sectors.

The activities will be implemented through the seven mitigation Sectoral technical Commissions. Its aim is to make the methodologies and tools for collecting information available to the mitigation sectors. For this, the following activities will be implemented: 1.1.4.1 Review and validate the methodology for collecting GHG inventory data in SNIGT and SNICC. 1.1.4.2 Review and validate standardized sector formats to collect data from the NGHGI sectors used by SNIGT and SNICC. 1.1.4.3 Review and update when appropriate, interagency agreements that were developed by the Project T3CN and 1BUR project in order to improve on methodologies and formats. And 1.1.4.4 Implementation of training workshops on data collection.

Output 1.1.5 (was 1.1.2 in PIF): Inventory data collection and exchange methodology including gender disaggregated information amongst different sectors is designed and implemented.

The implementation of data collection methodologies be executed by exchanging information between entities and generating a computing IT platform 6 for the MRV system. To achieve this, the following activities will be developed: 1.1.5.1 Improve and validate the exchange methodology guidelines for all sectors in order to enable the exchange of GHG information. 1.1.5.2 Improve and validate methodological processes to exchange GHG inventory activity data between sectors and with the IT platform, used by the SNIGT and SNICC. 1.1.5.3 Review and update, when appropriate, interinstitutional agreements within the inventory sectors that were developed by Project T3CN

6 Refers to an information management system, integrated and linked to SNIGT and SNICC, to store and analyze NGHGI data, mitigation, adaptation and support provided and received (Output 1.1.6).

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and 1BUR in order to improve the exchange of information on inventories. And 1.1.5.4 Implementation of workshops and information exchange and exercises between the IT platform, the MARN (GHG Inventories) and the mitigation sectors.

Output 1.1.6 (was 1.1.5 in PIF): IT system to store and exchange data, including data disaggregated by sex, has been designed and implemented within the framework of the National System of Information on Climate Change (SNICC) for all sectors and components of mitigation, adaptation and support provided and received.

It is recognized that there are still needs related to technology and information gaps that impede strengthening transparency framework under the Paris Agreement and the forthcoming biennial transparency reports (BTRs)” as these documents will be a requirement from 2024 onwards. Therefore, a user-friendly and gender-sensitive IT system that stores data, methodologies and models associated with data generation, processing, and reporting is needed for tracking the national inter-sectoral progress towards the NDC. For that purpose, the CBIT project will reinforce SNIGT and SNICC implementation progress through the development of the following activities: 1.1.6.1 Validate the technical bases of the IT architecture and the interfaces of the SNICC with governmental institutions that lead different mitigation related Sectoral Technical Commissions. 1.1.6. 2 Designing a user-friendly IT system, linked to and compatible with SNIGT and SNICC, for NGHGI, mitigation, adaptation and support provided and received data. 1.1.6. 3 Implement an analysis of computer equipment, existing capacities and needs. 1.1.6.4 Upload to the IT system (linked to SNIGT and SNICC) updated information from NGHGI for two prioritized sectors: 1. Agriculture, 2. Industrial Processes, and Product Use. And 1.1.6.5 Implement workshops to create capacities for the two (2) prioritized sectors: 1. Agriculture, 2. Industrial Processes and Product Use, on the use and management of the IT System, SNIGT and SNICC, which includes remote access, how to upload data, and generation of reports.

The long-term sustainability of the operation of the IT system is guaranteed through the leadership of MARN and their coordination of the SNICC as well as the SNIGT managed by MARN's Climate Change Directorate. The MARN´s Directorate of Climate Change role in the implementation and monitoring of the other CBIT project outcomes is essential for achieving sustainability in the MRV of mitigation, adaptation, and support provided and received components. These outcomes are described as follows.

Outcome 1.2. A system to monitor the NDC mitigation component is designed and implemented.

Output 1.2.1 Metrics, indicators and methodologies (gender sensitive) for monitoring the NDC mitigation component are designed and validated for two priority sectors: 1. Agriculture and 2. Industrial Processes and use of products.

The objective is to develop a robust system for monitoring, reporting and verification of mitigation actions that includes metrics, formats and guides. The following activities to be carried out: 1.2.1.1 Designing of methodological guidelines, including indicators based on national circumstances aiming at standardizing the measurements of mitigation actions and their impact, gender sensitive, in the two prioritized sectors. The methodology will include indicators for measuring and evaluating national progress as well as ensuring comparability and consistency in GHG emission projections. 1.2.1.2 validating of evaluation and reporting methodologies with the Sectoral Technical Commissions for the two prioritized mitigation sectors. These methodologies will also outline decision-making key elements to facilitate the alignment and/or reorientation of the implementation of national mitigation actions towards the country´s NDC. And 1.2.1.3 Develop and disseminate documents, including gender sensitive forms and guidelines, adapted towards different audiences.

Output 1.2.2 Methodologies for assessing and reporting mitigation actions in NDC is implemented in two prioritized sectors: 1. Agriculture and 2. Industrial Processes and use of products.

The objective is to implement in these two sectors the methodologies designed and validated in the previous output. For which the following activities will be carried out: 1.2.2.1 If necessary, adapt the methodology for the evaluation and reporting (gender sensitive), of the mitigation actions of the two prioritized sectors. 1.2.2.2 Implement the methodology for the evaluation and reporting of the mitigation actions for the prioritized sectors. 1.2.2.3 Collect and exchange the information of the two priority sectors and upload data to the IT system. And 1.2.2.4 Generate and socialize with all the institutions/organizations involved in the sectors, the evaluation reports of the mitigation actions; this can be done digitally, printed and/or audiovisual. These reports will ensure institutionalization and will support the mitigation sectoral technical commissions low emissions work approach by meeting, reviewing and updating their economic low emission mitigation options prioritized in the National Low

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Emissions Development Strategy, as well as updated information for subsequent reviewing and reporting process on NDC, and NC and BUR.

Output 1.2.3 Capacities in the public, private and academic sectors for monitoring and evaluation of mitigation actions are strengthened in two prioritized sectors; 1. Agriculture and 2. Industrial Processes and use of products.

The Project will establish a better definition of roles and responsibilities for sectoral members including the private mitigation sector with the purpose of strengthening its functionality and operability through the development of the capacity building program. This program includes the application and use of monitoring, evaluating and reporting methodology concerning mitigation actions and associated impacts. For this, the following activities will be implemented: 1.2.3.1 Designing a capacity building program regarding the use of MRV, for the public and private sectors, academia, and civil society. The proposed training approach is “learning by doing”; and the aim is to ensure that stakeholders become familiar in the use of the methodology for assessing and reporting. 1.2.3.2 Develop and produce knowledge materials (manuals, webinar, virtual platform meetings, other infographics deemed necessary) for use in workshops, delivery to the operational units of the sectorial actors and for uploading to the SNIGT and SNICC. And 1.2.3.3 Implement the capacity building program on methodologies to evaluate/assess and report mitigation actions with the members representing the two prioritized sectors. The program includes specific training on gender and MRV of mitigation actions. The training program will be developed as a Diploma course and will have a minimum number of hours of participation as well as approval criteria in order to receive a Certificate.

Outcome 1.3. A system to monitor the NDC adaptation component is designed and implemented.

Output 1.3.1 Metrics, indicators and methodologies (gender sensitive) for monitoring the NDC adaptation component are designed and validated for four sectors: 1. Coastal marine areas, 2. Agriculture, livestock and food security, 3. Human health, 4. Water resources.

There is already important progress made in the development of the Monitoring, Evaluation and Reporting systems (MER) in two sectors: 1. Coastal marine zones and 2. Agriculture, livestock and food security. These sectors have indicators, information collection protocols and a baseline. They also represent an important source of lessons learned and will require only a process of updating and socialization. However, for the other two sectors: 3. Human health and 4. Water Resources it is necessary to develop the complete process. Therefore, this output includes the following activities: 1.3.1.1 Design of indicators, metrics and protocols (gender sensitive) for Human health and Water resources sectors, and 1.3.1.2 Review, improve and validate the metrics and indicators in the Coastal Marine Zones and Agriculture, livestock and food security sectors.

Output 1.3.2 Baselines of adaptation actions implemented in four sectors: 1. Coastal marine areas; 2. Agriculture, livestock and food security; 3. Human health; and 4. Water resources.

By using the designed and validated methodologies, protocols, indicators and metrics, the reference or baseline values will be established in the four indicated sectors, which will serve for the subsequent evaluation of adaptation actions at the sector level. To achieve this output, the following activities will be carried out: 1.3.2.1 Establish and/or update the reference values for the baseline of the four prioritized adaptation sectors in a participatory process including the Adaptation Sectoral Technical Commissions. These commissions play an important role in generating, providing, and endorsing sectoral metrics, indicators and methodologies. 1.3.2.2 Collect and upload data on the four sectors of adaptation to the IT system, linked to the vulnerability and adaptation module to the SNICC. 1.3.2.3 Generate baseline data reports for the four prioritized adaptation sectors and disseminate through Adaptation Sectoral Technical Commissions and at the national level.

Output 1.3.3 Capacities of the public and academic sectors related to the monitoring and evaluation of adaptation measures with a gender perspective, strengthened, in four sectors: 1. Coastal marine zones; 2. Agriculture; livestock and food security; 3. Human health; and 4. Water resources.

It is necessary to establish a program to strengthen technical capacities of actors who participate in the Sectoral Technical Commissions related to adaptation. This strengthening program will be implemented through a Diploma-course that will include a combination of class-room based, virtual and practical training sessions. The following activities will be carried out: 1.3.3.1 Design the training program on monitoring and evaluation of adaptation measures with a gender perspective in the four sectors. 1.3.3.2 Develop and adapt knowledge materials for the capacity building program that will include virtual, written, printed, audiovisual material, among others (manuals, guides, webinar, infographics, others). These materials will be uploaded to the SNICC, and made available to all

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entities participating in the Sectoral Technical Commissions. 1.3.3.3 Implement the capacity building program through training sessions pertaining the adoption of methodologies to evaluate and report on adaptation actions with members representing the four adaptation sectors through the Adaptation Technical Commissions. It includes specific training in the approach to gender and MRV of adaptation actions.

Outcome 1.4. A system to monitor the NDC support provided and received component is designed and implemented.

In Guatemala, there the need to consolidate a system that integrates information on climate finance, including data managed by the Ministry of Public Finance (MINFIN) as well as the Secretariat for Planning and Programming of the Presidency (SEGEPLAN). This outcome not only refers to climate finance (as mentioned in the PIF), but also includes all that is known as "support provided and received" and as such also considers capacities and technology transfer.

Output 1.4.1 Assessment of needs, constraints and gaps on the support provided and received, both nationally and internationally, are developed.

For this output, the following activities will be developed: 1.4.1.1 Development of a participatory analysis to identify needs, limitations and gaps in the MINFIN and SE GEPLAN systems (includes information needs and gaps on gender and indigenous peoples). 1.4.1.2 Prepare and implement an Action Plan to improve the monitoring of provided and received support. The Action Plan will include actions related to national climate spending as well as support received from international cooperation.

Output 1.4.2 Methodologies (gender sensitive), to strengthen the use and availability of support provided and received data, developed and implemented.

This output aims at strengthening the functioning of the support provided and received systems by improving the transparency, availability and use of information. It is expected that through an interinstitutional agreement between MARN, MINFIN and SEGEPLAN, the continuous flow of information into the IT system can be established. The following activities will be implemented: 1.4.2.1 Design and implement the methodology, including standardized gender sensitive formats, for data on climate finance, capacities and technology transfer, as managed at the level of government, civil society and international cooperation agencies. 1.4.2.2 Gathering of information on climate finance, capacities and technology transfer, including data managed by MINFIN and SEGEPLAN. 1.4.2.3 Information on support provided and received, entered into the IT system, linked to SNICC. To this end, arrangements will be established that allow MINFIN and SEGEPLAN to exchange and enter information directly into the IT system. And 1.4.2.4 Prepare and publish the Institutional Guide for gender sensitive reporting on climate finance (including national and international climate spending), capacities and technology transfer.

Output 1.4.3 Capacities support provided and received data reporting in the public sector, civil society and international cooperation are improved.

The aim is to generate institutional capacities in different sectors to report data on support provided and received, for which the following activities will be implemented: 1.4.3.1 Develop a training plan in order to create capacities to implement the elements of the previous outputs. 1.4.3.2 Socialize the Implementation Guide for Climate Budget Tagging (CTB) and develop knowledge tools (manuals, webinar, infographics, etc.) for use in workshops and for use by the operational units of the different institutions and participating organizations, as well as uploading to SNICC. And 1.4.3.3 Implement the capacity building program through training sessions on the use and availability of climate finance data, capacities and technology transfer. This includes specific training on gender and MRV of support provided and received. The training program will be developed under the figure of a Diploma course and will have a minimum number of hours of participation and approval criteria to receive a Certificate.

Outcome 1.5. Climate change Sectoral Technical Commissions integrate the MRV component.

Climate change Sectoral Technical Commissions play a key role in Information management, institutional arrangements and decision making. Full and effective participation of government, (MARN, MAGA, MEM, INAB, CONAP and MSPAS), private and academic institutions, through STC, will raise awareness at the technical and political level about the importance of monitoring, reporting and verification of the country's progress in actions to comply with the NDC. A legal mechanism based on the mandates of governmental institutions and the national legal framework for the NDC is presently nonexistent, but essential as it will define responsibilities of the Sectoral Technical Commissions in implementing the MRV. The strategy will describe the MRV System, its governance structure, according to national circumstances, and how National Climate Change Information System SNICC will

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inform decision-making in the design and implementation of public policies, programs and projects in support of the implementation of the NDC.

Output 1.5.1 A legal mechanism to formalize the Sectoral Technical Commissions and define responsibilities for the operation of the MRV system, designed and implemented.

The country has a total of thirteen Sectoral Technical Commissions on climate change, seven for mitigation and six for adaptation 7 . Under the leadership of MARN, it is expected to formalize and operationalize these Commissions to clarifying mandates, roles and responsibilities towards the institutionalization of the domestic MRV system; strengthening NDC’s coordination governance framework and improve coordination amongst key ministries and other stakeholders; and developing permanent and transparent gender sensitive and participatory mechanism to incentivize public participation and stakeholders engagement. The following activities will be implemented: 1.5.1.1 Raise awareness at the technical and political level about the importance of monitoring, reporting and verification of the country's progress in actions to comply with the NDC. 1.5.1.2 Develop a legal mechanism based on the mandates of governmental institutions and the national legal framework for the NDC to define responsibilities of the Sectoral Technical Commissions in implementing the MRV. 1.5.1.3. Establish inter-institutional cooperation agreements between the entities that make up each sector for the proper management of information in the implementation of MRV. And 1.5.1.4 Support the full and effective participation of organizations representing indigenous peoples and women, as well as of the Gender Units of the main institutions such as MARN, MAGA, MEM, INAB, CONAP and MSPAS in the Sectorial Technical Tables. This will be achieved through the involvement the CBIT project processes of the Indigenous Peoples Commission on Climate Change (MICCG, acronym in Spanish) and their organizations. Women's organizations as well as the Gender Units will also be included in the Sectorial Technical Boards.

Output 1.5.2 A gender sensitive National Monitoring and Reporting Strategy is designed and adopted by the Sectoral Technical Commissions.

With the aim of adopting a robust monitoring, reporting, and verification system that improves transparency in mitigation actions, adaptation and support provided and received, it is expected that the institutionalized Sectoral Technical Commissions will become the strategic in the sustainability of the functioning of the MRV system. To achieve this output, the following activities will be implemented: 1.5.2.1 Develop, in a participatory manner, with the Sectoral Technical Commissions a National strategy for monitoring and reporting of NDC implementation progress; this strategy will be gender sensitive and culturally relevant and appropriate. 1.5.2.2 Dissemination of the National Strategy on monitoring and reporting in Sectoral Technical Commissions. And 1.5.2.3 Disseminate the National Strategy on monitoring and reporting amongst other stakeholders with an interest in climate change, using an intercultural approach.

Output 1.5.3 Capacities of the public and private sectors, civil society, and international cooperation involved in the Sectoral Technical Commissions and the MRV system, are strengthened.

Stakeholder engagement according to their agreed upon roles and responsibilities will be key throughout the training processes implemented by the Project. National capacities will be created with regard to the usefulness and scope of the implementation of the MRV system. The following activities will be carried out: 1.5.3.1 Design a socialization and dissemination program about the usefulness and scope of the MRV system, particularly for members of the Sectoral Technical Commissions. 1.5.3.2 Develop knowledge materials (manuals, webinar, infographics, videos,) for use in the workshops, operational units of public entities, the participants in the Sectoral technical Commissions and uploading in SNIGT and SNICC; including the development of materials that are culturally and popularly adapted for indigenous peoples. And 1.5.3.3 Implement the socialization and outreach program through workshops on the use and management of the MRV System. The training program will be developed under the figure of Diploma course and will have a minimum number of hours of participation and approval criteria to be certified.

Output 1.5.4 Knowledge management to support the implementation of the domestic MRV system is enhanced.

7 Mitigation: 1) Industrial Processes (MINECO); 2) Waste management (MARN); 3) Agriculture (MAGA); 4) Livestock (MAGA); 5) Forestry and Other Land use (INAB and CONAP); 6) Energy (MEM); and 7) Transportation (CIV) and four out of six are prioritized for Adaptation: 1. Coastal marine areas (MARN), 2. Agriculture, livestock and food security (MAGA), 3. Human health (MSPAS), 4. Water resources (MARN).

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The aim is to generate materials for capacity building in the areas of methodologies, manuals, guides, lessons learned, experiences, case studies, among others, as well as the exchange of experiences and South-South or triangular cooperation. This will allow the country to generate a knowledge base that can be shared among the climate mitigation, adaptation and financing sectors, maximizing learning opportunities and improving professional and institutional capacities. It is important to emphasize that through the IT System and SNICC these materials may be available to a large variety of stakeholders. To achieve this, the following activities will be implemented: 1.5.4.1 Document and disseminate lessons learned and systematization of experiences, processes, results and relevant cases. 1.5.4.2 Prepare and disseminate a systematization of Guatemala´s experience with mainstreaming gender considerations throughout the design and implementation of the MRV system. 1.5.4. 3 South-South exchange of knowledge and experiences and/or other CBIT initiatives (includes the use of the Platform Galaxy for South-South knowledge exchange and PANORAMA8. And 1.5.4. 4 Design and implementation of a communication program for stakeholders (see stakeholder engagement plan) with information on the MRV system, project implementation progress and opportunities for participation (including the development of a project Web page and the socialization of the Grievance Redress Mechanism).

Partnerships:

Guatemala´s Climate Change Law (Decree 7-2013), Article 9, establishes the creation of the National Information System on Climate Change (SNICC) and led by MARN. The Ministerial Agreement of MARN 66-2015 establishes that the Environmental Information and Climate Change Unit (UIACC) will be in charge of the SNICC in coordination with the Directorate of Climate Change (DCC), and that the DCC is in charge of the National Greenhouse Gases Inventories (NGHGI) and responsible for the follow up on National Communications, Biannual Update Reports, and other information in adaptation and mitigation, to which the country is bound under the UNFCCC. The SNICC is considered as the basis for the development of the framework for national transparency to be created through the domestic MRV System, for the purpose of providing accurate and reliable information which will allow the updating of climate change policies such as the PANCC, the NDC and National Development Plan Katún “Our Guatemala 2032”. It must be stated however, that at present, the SNICCC is not fully operational, and not all IT platforms have been created.

In this context, different actions are carried out in the country in order to achieve transparency and the succeed with the implementation of the NDC, both in mitigation, adaptation, as well as in support provided and received (climate financing, capacities and technology transfer). These are relevant for the CBIT project, because they prepare the basis for an MRV system and can generate synergies during project implementation. The main national actions and those with international support are listed below.

Currently, the MARN with the support by the UNDP is developing the First Biennial Update Report (1BUR) and the Third National Communication (T3NC) on Climate Change GEF funded project (GEF ID number 9844). Its main objective is to support Guatemala in the construction of the T3NC and 1BUR to comply with the commitments of the UNFCCC. The base years for National GHG Inventories to be reported in the 3NC are 2010 and 2014 whereas the base year for 1BUR is 2016. Both reports are expected to be submitted on December 2020, although there may be some delay due to circumstances caused by COVID-19.

Currently, MARN, with the support of the World Bank, is preparing a proposal (started in 2015) for the National Inventory System of Guatemala (SNIGT); this includes the development of a matrix with main categories and GHG emission sources and sinks and a SNIGT System file. In support of these efforts, is should be mentioned that strengthening of special capacities is of the Department of Science and Metrics of MARN, receives additional support from the Latin American Network for National GHG Inventory (Redl INGEI, acronym in Spanish), of which Guatemala has been a member since March 2020.

Also, proposals currently being negotiated, by the World Bank (WB) through the Forest Carbon Partnership Facility (FCPF) and the InterAmerican Development Bank (IDB) concerning the draft National Strategy for the Reduction of Deforestation and Forest Degradation in Guatemala (ENREDD+) seek to design and implement the National REDD + Strategy and develop the MRV-REDD+ system that will help strengthen the SNICC to monitor and report on net reductions of GHG emissions. The development of the MRV-REDD + System takes into consideration the proposal of

8 https://panaorama.solutions/es

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National and Institutional Governance for the Monitoring, Reporting and Verification System (MRV) proposed by CEAB-UVG.

Currently, the AFOLU sectors receive support from FAO and the Green Climate Fund (GCF) through the project known as "READINESS" (GCP / GUA / 031 / GCR-2019/2021) which aims at: (i) developing an MRV system for AFOLU, (ii) developing tools and institutional arrangements for the collection, analysis, and reporting of AFOLU sector data; and (iii) strengthening capacities for MRV. In addition, starting in 2021, the country will also have the support of FAO through a regional CBIT project, specifically and only for the FOLU sector.

The Low Emission Development Project funded by USAID (2014-2019), created the Sectoral Technical Commissions for mitigation9; these represent the sectors of GHG Inventory and functioned at the time as a consultive, inclusive and participatory mechanism in designing the National Low Emissions Development Strategy (LEDS). The LEDs project also achieved the following sectoral related results: i) GHG inventories consolidated until 2010, using the 2006 IPCC Guidelines for the calculation GHG inventories, ii) GHG baseline developed from 1990 to 2015 and GHG projections for the period from 2016 to 2050, iii) country protocols designed to calculate the national GHG inventory according to the 2006 IPCC Guidelines for calculating GHG inventories, and iv) development of gender considerations for mitigation options prioritized by the Sectoral Technical Commissions.

Additionally, the country has established two National Appropriate Mitigation Actions (NAMA): (i) Efficient Use of Firewood and Alternative Fuels in Indigenous Communities and (ii) Low Emission and Sustainable Bovine Livestock Production, which is promoted by MAGA, the MARN, the private sector dairy, the academic sector and independent professionals.

With respect to transparency adaptation mechanism, Guatemala is currently working on the following initiatives:

a) Integrating Agriculture in National Adaptation Plans (NAP-Ag) program. This is a joint FAO-UNDP work funded by German’s Federal Ministry for the Environment, Nature Conservation, Building and Nuclear Safety (BMUM). Within the UNDP’s component, the following output is under construction: developing the monitoring, evaluation and reporting system for the agriculture, livestock and food security sector led by the Ministry of Agriculture, Livestock and Food (MAGA). This involves capacity building and designing metrics and indicators aiming at measuring the current status (baseline data) of the actions related to adaptation to climate change in the aforementioned sector. The system consists of 5 components, 102 indicators and base line data important for decision making and setting priorities in this sector for adaptation;

b) Regional Climate Change Program for Latin America and the Caribbean to support the implementation of the Nationally Determined Contributions led by UNDP, and funded by the Spanish Agency for International Development Cooperation (AECID). The MARN with support from Rainforest Alliance (RA) develop activities towards the strengthening of institutional capacities of the MARN and coastal marine related institutions in designing the monitoring, evaluation and reporting system which also includes metrics and indicators to measure the current status on the actions related to adaptation to climate change within two biological priority sites in both Guatemalan coastal marine areas (Pacific and Caribbean);

c) The Climate Technology Centre and Network (CTCN) which is the operational arm of the UNFCCC Technology Mechanism has recently completed a technical assistance in response to an official request submitted by the MARN. This process contributed in proposing vulnerability and adaptation indicators to support the measurement, evaluation, and reporting of the adaptation sectors prioritized in the PANCC; and

d) Development of Vulnerability Reduction Guidelines funded by five (5) organizations alliance known as Alliance for Resilience. There are: 1) The Netherlands Red Cross, 2) CARE, 3) Cordaid, 4) the Red Cross/Red Crescent Climate Centre, and 5) Wetlands International.

On the subject of climate governance, Guatemala participates in EUROCLIMA+. This program seeks to: (i) create regionalized scenarios climate in Central America, (ii) encourage dialogue between parties in order to enhance the implementation of NDCs in Latin America, (iii) strengthen the monitoring and evaluation of climate policies, and (iv) have access to an advisory and monitoring platform on climate finance for the implementation of NDCs, among others.

9 1) Agriculture, 2) Livestock, 3) Forestry and Other Land Use, 4) Energy, 5) Transportation, 6) Waste management, and 7) Industrial processes.

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In order to institutionalize the monitoring and reporting of climate-related expenditures in the national budget system, the UNDP Regional Climate Change Program for Latin America and the Caribbean to support NDC implementation is providing technical assistance to MARN, INAB, CONAP to implement the Climate Budget Tagging (CTB) and design a CBT implementation guideline so the rest of government agencies related to climate change will be also able to adopt the CTB in their budget system. This process will provide comprehensive data on climate change, relevant spending, monitoring and tracking of climate-related expenditures in the national budget system; therefore, enabling Guatemalan government authorities to make informed decisions and prioritize climate strategic investment.

In summary, the progress made to date and expected results of the aforementioned initiatives have been considered during the design phase of the proposed CBIT project in order to avoid duplication and to promote synergy. This is evidenced among others, by the decision of MARN regarding the prioritization of certain mitigation and adaptation sectors under the present CBIT project proposals.

While it is true that progress is made in different areas, without the appropriate involvement of relevant institutions in the design, adoption and implementation of methodologies, metrics, indicators and other tools to improve transparency, monitoring and reporting of adaptation and mitigation actions and support provided and received, Guatemala will continue to develop a partial and ad hoc analysis and will not be able to integrate a coherent and comprehensive monitoring system that guarantees compliance with the requirements of the UNFCCC. In view of this, the country needs to orient its efforts towards strengthening institutional capacities to improve the NGHGI and a domestic MRV system to properly track the progress of its NDC.

Risks: The Social and Environmental Selection Procedure (SESP), presented in Annex 5, does not identify social or environmental risks. The risks that could prevent project results from being achieved and the management of these risks are presented below. (UNDP Risk register in Annex 6).

Table 1:

Risks and Risk Management

Risk Risk level Management of the risk

Due to administrative changes in the institutions, trained personnel can be replaced by new officers and technical staff, thereby losing the learning curve.

Moderate 1. Involve as much as possible personnel from 011 or similar positions in the training workshops. 2. The trainings must be documented and the training materials must be officially made available to the operational offices of governmental entities to be safeguarded and disseminated. 3. Generate video, webinars, infographics or manuals that permit for the duplication of their contents. 4. Develop, as far as possible, online training programs that permanently available y can be taken by new staff.

In 2023, change of government authorities

Moderate 1. Socialization meetings will be repeated with new authorities to regain political and technical support. 2. Trainings must be documented, and the training materials must be officially made available to the operational offices of governmental entities to be safeguarded and disseminated. 3. Develop, as far as possible, online training programs that permanently available y can be taken by new staff.

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Table 1:

Risks and Risk Management

Risk Risk level Management of the risk

COVID pandemic restrictions might pose a limitation for capacitation and consultation processes

Low 1. Virtual meetings will be held to reduce virus propagation 2. In case of face-to-face meetings, government guidelines will be adopted such as: frequent handwashing or disinfection with alcohol-based hand sanitizer, respiratory hygiene, physical distancing, wearing of masks will be obligatory. 3. Frequent and effective communication through virtual platforms will be promoted. 1. Opportunity: Iterative digital tools will be used to document and receive feedback. These tools have made it easier to document and store all comments and record discussions. 2. After one year under Covid restrictions, key stakeholders are familiar with digital platforms, online exchanges and virtual activities. Distance is not an obstacle, international experts can join meetings and provide technical assistance, when needed.

Changes in metrics and indicators of ecosystems due to Climate Change, might require review and update of MRV and MER systems including protocols for different mitigation and adaptation sectors

Moderate 1. review metric and indicators when MER and MRV systems require to assess whether the climate change variables (temperatures, rainfall, etc.) affects methodological protocols. If so, metrics and indicators need to be adjusted as they are crucial for decision-makers to effectively understand, prepare for, and respond to climate change impacts. 2. Develop workshops with key stakeholders of the STC for adaptation and mitigations to better understand the impact of climate change in metrics and indicators and how this might affect reports to inform decision makers.

Complications in an articulated coordination between the MRV system under-development, SNIGT and SNICC and limited technological capability to link information from government entities databases with the IT platform.

Moderate

1. Involve the IT units of the government institutions from the initial design stages of the modules, request their feedback and follow-up during the process until the link to the SNICC and SNIGT has been established. 2. Perform the analysis of computer equipment and infrastructure and technology capabilities in order to fill gaps.

The institutions or entities responsible for providing the information and data do not do so in a timely manner.

Moderate

1. Develop Institutional agreements that establish the roles and responsibilities of the institutions. 2. Validate the agreements through a legal instrument that guarantees compliance with said agreements. 3. Promote that SEGEPLAN establishes the generation of information for the NDC in the planning processes.

There is no consensus on the definition of sectoral targets / indicators for adaptation.

Moderate

1. Promote that, under the leadership of MARN, an adaptation goals are established and that it implements its Plan to update the NDC.

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Table 1:

Risks and Risk Management

Risk Risk level Management of the risk

Lack of articulated coordination between institutions involved in each of the sectors.

Moderate

1. Develop Institutional Agreements that establish the roles and responsibilities of each of the institutions.

No consensus on the legal mechanism for institutionalizing Sectoral Technical Commissions to define responsibilities for the operation of the MRV system.

Moderate

1. Request support from the CTA, to influence reaching consensus for the legal mechanism. 2. Promote that MARN leads the formalization and establishment of the legal mechanism for the Sectoral Technical Commissions with top officials of participating institutions involved in the Commissions. 3. Involve the legal offices of the institutions from the beginning of these processes to avoid that the legal opinion is different from technical interests, with the aim of creating a route that facilitates consensus regarding the legal mechanism.

Stakeholder engagement and south-south cooperation: The Stakeholder Engagement Plan is presented in Annex 9. In order to prepare the Plan, a mapping exercise was first carried out with stakeholders related to various activities on the issues of climate change, mitigation and adaptation in Guatemala. In total, the mapping exercise involved around 120 actors, who were then placed into six categories of Stakeholders: Central Government, Local Government, Private Sector, Civil Society Organizations, Academia, and International Cooperation. The Plan includes a description of each and an analysis according to: (i) whether they are directly and / or indirectly affected by the project, (ii) "interests" in the project, and (iii) the potential to influence the results or project interventions. It is expected that the government entities that lead the Sectoral Technical Commissions on mitigation and adaptation, as well as the members of these Commissions from the private sector, academia and civil society, including indigenous peoples, will be key actors in the design and implementation of the MRV system, including the contribution of essential, reliable and solid data to the System and strengthening their technical capacities (NGHGI estimates, methodologies, metrics, indicators, baseline, reporting, among others). The academy will play an important role in the design and implementation of the key capacity building program. Staff of the Department of Climate Change and the Department of Science and Metrics of MARN are directly involved in the implementation of project activities and MARN has made time from several professionals available to directly participate in the implementation of the Project. SEGEPLAN and MINFIN will play an important role in the design of the monitoring of support provided and received component from the NDC, and their technical capacities for the implementation of this component of the MRV System will be strengthened. The International Cooperation and civil society will also participate by contributing data to the support component provided and received from the MRV System. Project beneficiaries and of civil society (indigenous peoples) participate in the decision-making of the project through their representation in the Technical Advisory Committee (CTA); in particular the participation of the SGCCC and MICCG can be mentioned. Stakeholders will have access to relevant information, which includes: (i) any significant change in the project that may generate new risks and impacts (during the years of project execution); (ii) the implementation of different environmental and social instruments (annually); (iii) the Grievance Redress Mechanism (GRM). The GRM is a valuable instrument for stakeholder participation. Through the Project's and MARN website, the public is informed of a periodic summary of the complaints received through the GRM and how they were resolved, but without the information that identifies the individuals or groups, in order to protect their identities (the information will be updated on the web pages every Quarter); and (iv) progress of the Project in the achievement of objective, outcomes and outputs, experiences and innovations, as well as the environmental and social performance of the

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project. The above information is disclosed on the websites of the Development Partner (MARN), the Implementing Partner (CATIE) and the Country Office of UNDP in Guatemala. Based on the results of a survey carried out with interested parties during the design phase of the CBIT project, it has been determined that the channels and media to maintain fluid and agile communication with stakeholders include: e-mail, virtual platforms, messages via WhatsApp, face-to-face meetings, and web pages. The main formats to share information and promote participation include: holding events, Webinars and virtual conferences, technical papers and case studies, events and conferences/lectures, as well as by brochures and newsletters. Gender equality Women 's Empowerment: The full Gender Analysis and Action Plan is presented in Annex 10. For the preparation of this document several interviews were conducted, literature was reviewed and made a survey was carried out under stakeholders. The survey showed amongst others, that 93% of the Stakeholder considered that training on the relevance of gender equality in MRV and how gender can be mainstreamed, is essential. In the CBIT project, the gender approach is reflected, among others, in the outcomes, outputs and activities, indicators and the budget. In the Results Framework, the gender perspective is reflected mainly in the outcomes related to mitigation, adaptation, support provided and received, and governance (outcomes 2 to 5). It is through these outcomes, outputs and activities, that data disaggregated by sex will be generated, which is important to fill current gaps in NC, BUR and national reports on the implementation of the PANCC, NAMA and the Low-Emission Development Strategy (LEDS). In the MRV system to be developed under the CBIT project, the gender disaggregated data would make it feasible amongst others to: (i) understand and analyze the vulnerability to climate change differentiated for men and women; (ii) determine whether adaptation programs respond to the differentiated interests of men and women; and (iii ) analyze contributions by men and by women to GHG mitigation, their access to mitigation technologies, and analyze co-benefits from a gender perspective. In addition, this information can be used for the development of for instance future gender sensitive climate change policies and NDC updates.

The project results framework includes an indicator that requires data to be disaggregated by sex as well as a gender-specific indicator. Additionally, a consultancy is planned throughout the project execution period to ensure that the implementation of the various activities for the development of the MRV system take into account gender considerations; this includes specific training sessions on gender and MRV, the mainstreaming of gender in the development of the National strategy for monitoring and reporting, the development of methodologies and formats that are gender sensitive, amongst others. In addition, the development of a specific knowledge product on “Gender and MRV: Guatemala's experience and results” has been planned and budgeted for. To support the integration of the gender approach there will be a consultant on gender that accompanies the Project during the 4 years of implementation and the Gender Units from MARN, MEM, CONAP, INAB, MSPAS will be integrated into Sectoral Technical Commissions for adaptation and mitigation. It is expected that the project will contribute to gender equality, improving the participation and decision-making of women. The project includes various affirmative actions to address gender gaps, empower women and promote gender equality. The Gender Action Plan includes the following gender affirmative actions: (i) training on how the gender approach is related to MRV and how it will be integrated across the board in the MRV system (mitigation, adaptation, support provided and received); (ii) promoting participation of women, as stakeholders, beneficiaries and experts in the MRV process; opportunities for participation, such as for example , the Sectoral Technical Commissions should have at least 30% of female participation; and (iii) make an explicit effort to identifying and inviting women who know the subject, to participate in the CBIT project activities. South-South and triangular cooperation: Learning opportunities and technology transfer from peer countries will be further explored during project implementation. In order to present opportunities for replication in other countries, the project will codify good practices and facilitate dissemination through ongoing global South-South platforms and global platforms such as the Galaxy Platform for South-South knowledge sharing of Nations United and PANORAMA. In addition, to bring the voice of Guatemala to global and regional fora, the project will explore opportunities for meaningful participation in specific events where UNDP could support engagement with the global development discourse around adaptation and mitigation of climate change. The project will furthermore provide opportunities for regional cooperation with countries that are implementing initiatives on NDC Monitoring, Reporting and

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Verification in geopolitical, social and environmental contexts relevant to the proposed project in Guatemala. Sharing experiences with for instance Uruguay and other countries where CBIT projects are implemented in the region, such as Costa Rica might be interesting opportunities. Guatemala will be an active member of the Global Platform for Coordination CBITs, exchanging experiences and lessons learned with other countries. This exchange of information will help the country align its projects with other national, regional and / or global projects related to transparency. Innovation, Sustainability and Potential for Scaling Up: The innovation is in the design and implementation of the MRV system for NGHGI, adaptation and mitigation actions and of the support provided and received; a system that does not currently exist and that will allow Guatemala to comply with the Paris Agreement on transparency. The potential for scaling up is based on the capacity created to be able to include in the MRV system, after the project closure, the other mitigation and adaptation sectors that were not prioritized under the CBIT project. The sustainability and exit strategy are based on the institutionalization of the MRV system, which in turn is based on the following four pillars: (1) Local capacities: The project invests heavily in the creation of local capacities of key Stakeholders for the MRV system, such as the public sector, academia, the private sector and civil society. The capacities of technical staff from the Directorate of Climate Change and the Department of Science and Metrics of MARN, of the Climate Change Units from other key government entities, MINFIN and SEGEPLAN and of the institutional representatives of the Sectorial Technical Commissions are strengthened in the main topics, such as: INVGEI, mitigation, adaptation and support provided and received reporting, gender mainstreaming in MRV, and the use and operation of the MRV system. An essential element for the sustainability of the project is the commitment by MARN of making available several professionals from the Directorate Change Climate and the Department of Science and Metrics to participate directly in the implementation of activities, thus creating local capacities and ensuring the functioning of the MRV system, beyond the closure of the project. Also relevant are the in-kind contributions from the Implementing Partner (CATIE) in support of the institutionalization of the MRV system, by providing post graduate training opportunities, short courses and/or diploma courses relevant to the CBIT project. (2) Governance: The National strategy on monitoring and reporting, interinstitutional agreements and a legal mechanism concerning the Sectoral Technical Commissions are expected to establish and clarify roles and responsibilities that ensure an important step towards a long-term sustainability and operation of the MRV system. (3) Methodologies: Information collection methodologies, protocols, indicators, baselines and databases (gender sensitive) are documented and uploaded in the MRV´s IT system for future use and access to the necessary knowledge regarding operation of the MRV system. (4) Technology: The MRV system is developed in close coordination with the (emerging) relevant national systems such as SNIGT and SNICC and from the initial stages of design of the MRV´s IT system, it is ensured that its architecture and interface are compatible with the SNICC and SNIGT.

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V. RESULTS FRAMEWORK Table 2:

Results Framework

This project will contribute to the following Sustainable Development Goal(s): 13: Take urgent action to combat climate change and its impacts.

This project will contribute to the following country outcome (UNDAF/CPD, RPD, GPD): UNDP Strategic Plan for 2018-2021, specifically: “b) The acceleration of structural transformations for sustainable development, in particular through innovative solutions that have an multiplier effects across all Sustainable Development Goals”, “c) Building resilience to crisis and shocks, in order to safeguard development achievements”, and Flagship Solution 4: promote nature-based solutions for a sustainable planet.

Objective and Outcome Indicators

Baseline

Mid-term Target

End of Project Target

Project objective: Establishing and implementing a MRV system in Guatemala to monitor the implementation of its NDC and to meet the requirements defined under the Article 13 of the Paris Agreement.

Indicator 110: Number of Direct project beneficiaries as co-benefit of GEF investment (number of people, disaggregated by sex, disaggregated by institution, that have received training, produce or are users of the MRV system)11.

Persons: 0 Mitigation Sectors: 0; Adaptation Sectors: 0

N/A Target at project end: 220 persons (disaggregated: 143 men (65%), 77 women (35%)): Mitigation: 140 persons; and Adaptation: 80 persons.

Indicator 2: Rating achieved for the evaluation of quality of MRV systems from the CBIT Tracking Tool.

112 N/A Changes to 5: “Measurement systems are strong for a limited set of activities and periodically report on key GHG related indicators i.e. mainstreamed into the activity implementation; reporting is improved through few pathways but limited audience and formats; verification limited”.

Indicator 3: Rating achieved regarding the evaluation of institutional capacities of quality of MRV systems from the CBIT Tracking Tool.

213 N/A Changes to 3: “Designated transparency institution has an organizational unit with standing staff with some capacity to coordinate and implement transparency activities under Article 13 of the Paris Agreement. Institution has authority or mandate to coordinate transparency activities under Article 13. Activities are not integrated into national planning or budgeting activities.”.

Project Component 1 Establishment and implementation of a holistic MRV system in Guatemala.

Outcome 1.1 An MRV system to improve the calculation of the GHG

Indicator 4: Number of sectors that have a repository at the MRV IT System,

0 N/A 5 sectors of the NGHGI have a repository within the IT platform which allows information management from

10 GEF Core Indicator. 11 Note: For Project progress report, it is recommended that information is also disaggregated by Indigenous Peoples (Maya, Garifuna, Xinka, and Mestizo or non-indigenous). 12 1. Very little measurement is done; reporting is partial and irregular and verification is not there. 13 2. Designated transparency institution exists, but with limited staff and capacity to support and coordinate implementation of transparency activities under Article 13 of Paris Agreement. Institution lacks authority or mandate to coordinate transparency activities under Article 13.

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Table 2: Results Framework

inventories is designed and implemented.

linked to SNICC and SNIGT in relation to NGHGI information management.

year 2 of project implementation onwards.

Outputs to achieve Outcome 1.1

Output 1.1.1: Capacities in the public and academic sectors to implement the 2006 IPCC Guidelines for calculating Greenhouse Gases (GHG) inventories are improved. Output 1.1.2: Gap analysis in activity data are developed and improved in two sectors: 1. Agriculture, 2. Industrial Processes and Product Use. Output 1.1.3: Quality Assurance (QA) and Quality Control (QC) methodology, and uncertainty analysis are designed and implemented. Output 1.1.4: Methodology for information gathering for preparing of GHG inventories, including data from different sectors, designed and implemented in all sectors. Output 1.1.5: Inventory data collection and exchange methodology including gender disaggregated information amongst different sectors is designed and implemented. Output 1.1.6: IT system to store and exchange data, including data disaggregated by sex, has been designed and implemented within the framework of the National System of Information on Climate Change (SNICC) for all sectors and components of mitigation, adaptation and support provided and received.

Outcome 1.2 A system to monitor the NDC mitigation component is designed and implemented.

Indicator 5: Number of sectors that implement monitoring action with regard to the mitigation component of the NDC.

0 N/A 2 sectors, implement monitoring action with regard to the mitigation component of the NDC in year 4 of project implementation.

Outputs to achieve Outcome 1.2

Output 1.2.1: Metrics, indicators and methodologies (gender sensitive) for monitoring the NDC mitigation component are designed and validated for two priority sectors: 1. Agriculture and 2. Industrial Processes and use of products. Output 1.2.2: Methodologies for assessing and reporting mitigation actions in NDC is implemented in two prioritized sectors: 1. Agriculture and 2. Industrial Processes and use of products. Output 1.2.3: Capacities in the public and academic sectors for monitoring and evaluation of mitigation actions are strengthened in two prioritized sectors; 1. Agriculture and 2. Industrial Processes and use of products.

Outcome 1.3 A system to monitor the NDC adaptation component is designed and implemented.

Indicator 6: Number of sectors that implement monitoring action with regard to the adaptation component of the NDC.

0 N/A 4 sectors, implement monitoring action with regard to the adaptation component of the NDC in year 4 of project implementation.

Outputs to achieve Outcome 1.3

Output 1.3.1: Metrics, indicators and methodologies (gender sensitive) for monitoring the NDC adaptation component are designed and validated for four sectors: 1. Coastal marine areas, 2. Agriculture, livestock and food security, 3. Human health, 4. Water resources. Output 1.3.2: Baselines of adaptation actions implemented in four sectors: 1. Coastal marine areas; 2. Agriculture, livestock and food security; 3. Human health; and 4. Water resources. Output 1.3.3: Capacities of the public and academic sectors related to the monitoring and evaluation of adaptation measures with a gender perspective, strengthened, in four sectors: 1. Coastal marine zones; 2. Agriculture; livestock and food security; 3. Human health; and 4. Water resources.

Outcome 1.4. A system to monitor the NDC support provided and received component is designed and implemented.

Indicator 7: Number of institutions from public sector, civil society and international cooperation that provide data to the monitoring system for support provided and received of the NDC.

0 N/A 20 institutions provide data to the monitoring system for support provided and received of the NDC, in year 4 of project implementation: Public sector: 2 International Cooperation: 10 Civil society: 8

Outputs to achieve Outcome 1.4

Output 1.4.1: Assessment of needs, constraints and gaps on the support provided and received, both nationally and internationally, are developed.

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Table 2: Results Framework

Output 1.4.2: Methodologies (gender sensitive), to strengthen the use and availability of support provided and received data, developed and implemented. Output 1.4.3: Capacities support provided and received data reporting in the public sector, civil society and international cooperation are improved.

Outcome 1.5 Climate change Sectoral Technical Commissions integrate the MRV component.

Indicator 8: Number of Climate change Sectoral Technical Commissions integrate the MRV system for the NDC.

General 0 Adaptation: 0 Mitigation: 0

N/A 11 Sectoral Technical Commissions integrate the MRV system for the NDC, in year 4 of project implementation: 7 mitigation Commissions and 4 adaptation Commissions.

Indicator 9: Number of institutions that provide information to the MRV system at the end of project implementation.

0 N/A 35 institutions that provide information to the MRV system at the end of project implementation: Private Sector: 5 Public Sector: 12 Civil Society: 8 International Cooperation: 10

Outputs to achieve Outcome 5 Output 1.5.1: A legal mechanism to formalize the Sectoral Technical Commissions and define responsibilities for the operation of the MRV system, designed and implemented. Output 1.5.2: A gender sensitive National Monitoring and Reporting Strategy is designed and adopted by the Sectoral Technical Commissions. Output 1.5.3: Capacities of the public and private sectors, civil society, and international cooperation involved in the Sectoral Technical Commissions and the MRV system, are strengthened. Output 1.5.4: Knowledge management to support the implementation of the domestic MRV system is enhanced.

Gender Action Plan

Gender Indicator: Number of persons, disaggregated by sex and institution, that have received training concerning the development of the MRV system with a gender perspective.

0 N/A Total: 90 persons trained in MRV system development with gender perspective, at the end of project implementation: Private Sector: 10 Public Sector: 35 Civil Society: 30 Academic staff: 15

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VI. MONITORING AND EVALUATION (M&E) PLAN The project results, corresponding indicators and end-of-project targets in the project results framework will be monitored annually and evaluated periodically during project implementation. If baseline data for some of the results indicators is not yet available, it will be collected during the first year of project implementation. The Monitoring Plan included in Annex 4 details the roles, responsibilities, and frequency of monitoring project results.

Project-level monitoring and evaluation will be undertaken in compliance with UNDP requirements as outlined in the UNDP POPP and UNDP Evaluation Policy. The UNDP Country Office is responsible for ensuring full compliance with all UNDP project monitoring, quality assurance, risk management, and evaluation requirements.

Additional mandatory GEF-specific M&E requirements will be undertaken in accordance with the GEF Monitoring Policy and the GEF Evaluation Policy and other relevant GEF policies14. The costed M&E plan included below, and the Monitoring plan in Annex 4, will guide the GEF-specific M&E activities to be undertaken by this project.

In addition to these mandatory UNDP and GEF M&E requirements, other M&E activities deemed necessary to support project-level adaptive management will be agreed during the Project Inception Workshop and will be detailed in the Inception Report.

Additional GEF monitoring and reporting requirements:

Inception Workshop and Report: A project inception workshop will be held within 60 days of project CEO endorsement, with the aim to:

a. Familiarize key stakeholders with the detailed project strategy and discuss any changes that may have taken place in the overall context since the project idea was initially conceptualized that may influence its strategy and implementation.

b. Discuss the roles and responsibilities of the project team, including reporting lines, stakeholder engagement strategies and conflict resolution mechanisms.

c. Review the results framework and monitoring plan.

d. Discuss reporting, monitoring and evaluation roles and responsibilities and finalize the M&E budget; identify national/regional institutes to be involved in project-level M&E; discuss the role of the GEF OFP and other stakeholders in project-level M&E.

e. Update and review responsibilities for monitoring project strategies, including the risk log; SESP report, Social and Environmental Management Framework and other safeguard requirements; project grievance mechanisms; gender strategy; knowledge management strategy, and other relevant management strategies.

f. Review financial reporting procedures and budget monitoring and other mandatory requirements and agree on the arrangements for the annual audit.

g. Plan and schedule Project Board meetings and finalize the first-year annual work plan.

h. Formally launch the Project.

GEF Project Implementation Report (PIR):

The annual GEF PIR covering the reporting period July (previous year) to June (current year) will be completed for each year of project implementation. Any environmental and social risks and related management plans will be monitored regularly, and progress will be reported in the PIR. The PIR submitted to the GEF will be shared with the Project Board. The quality rating of the previous year’s PIR will be used to inform the preparation of the subsequent PIR.

Knowledge management:

The PMU will ensure the compilation and dissemination of lessons learned and good practices in view of adaptive management and scaling up or replication at local and global levels. The results will be shared with and made available to stakeholders through networks, academic networks, and other available communication channels. (see also annex 9 Stakeholder Engagement Plan).

14 See https://www.thegef.org/gef/policies_guidelines

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GEF Core Indicators:

The GEF Core indicators included as Annex 15 will be used to monitor global environmental benefits and will be updated for reporting to the GEF prior to TE. Note that the project team is responsible for updating the indicator status. The updated monitoring data should be shared with TE consultants prior to required evaluation missions, so these can be used for subsequent ground-truthing. The methodologies to be used in data collection have been defined by the GEF and are available on the GEF website.

Terminal Evaluation (TE):

An independent terminal evaluation (TE) will take place upon completion of all major project outputs and activities. The terms of reference, the evaluation process and the final TE report will follow the standard templates and guidance for GEF-financed projects available on the UNDP Evaluation Resource Center.

The evaluation will be ‘independent, impartial and rigorous’. The evaluators that will be hired to undertake the assignment will be independent from organizations that were involved in designing, executing or advising on the project to be evaluated. Equally, the evaluators should not be in a position where there may be the possibility of future contracts regarding the project being evaluated.

The GEF Operational Focal Point and other stakeholders will be actively involved and consulted during the terminal evaluation process. Additional quality assurance support is available from the BPPS/GEF Directorate.

The final TE report and TE TOR will be publicly available in English and posted on the UNDP ERC by 30 August 2025. A management response to the TE recommendations will be posted to the ERC within six weeks of the TE report’s completion.

Final Report:

The project’s terminal GEF PIR along with the terminal evaluation (TE) report and corresponding management response will serve as the final project report package. The final project report package shall be discussed with the Project Board during an end-of-project review meeting to discuss lesson learned and opportunities for scaling up.

Agreement on intellectual property rights and use of logo on the project’s deliverables and disclosure of information: To accord proper acknowledgement to the GEF for providing grant funding, the GEF logo will appear together with the UNDP logo on all promotional materials, other written materials like publications developed by the project, and project hardware. Any citation on publications regarding projects funded by the GEF will also accord proper acknowledgement to the GEF. Information will be disclosed in accordance with relevant policies notably the UNDP Disclosure Policy15 and the GEF policy on public involvement16.

In addition, on all publications and other written and/or audiovisual materials produced within the framework of the CBIT Project, the MARN and CATIE logos shall also appear, as well as the logos of other institutions involved in the activity.

Table 3: Monitoring and Evaluation Plan and Budget

GEF M&E requirements

Indicative costs (US$) Time frame

Inception Workshop 3,000.00 Within 60 days of CEO endorsement of this project.

Inception Report None Within 90 days of CEO endorsement of this project.

M&E of GEF core indicators and project results framework

40000.00 Annually and at closure.

GEF Project Implementation Report (PIR) 0 Annually typically between June-August.

Monitoring of Stakeholder Engagement Plan and Gender Action Plan

0 On-going (to be carried out by PMU).

15 See http://www.undp.org/content/undp/en/home/operations/transparency/information_disclosurepolicy/ 16 See https://www.thegef.org/gef/policies_guidelines

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Table 3: Monitoring and Evaluation Plan and Budget

GEF M&E requirements

Indicative costs (US$) Time frame

Project Board and CTA M&E meetings 2,350.00 At least annually

Supervision missions None Annually

Independent Terminal Evaluation (TE) 22,000.00 May-Aug 2025

TOTAL indicative COST 67,350.00

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VII. GOVERNANCE AND MANAGEMENT ARRANGEMENTS Roles and responsibilities of the project´s governance mechanism:

The project will be implemented by a Non-Governmental Organization (NGO) as Implementing Partner and technical implementation will receive the support of a Development Partner (DP) in the form of the Ministry of Environment and Natural Resources (MARN), who will chair the Project Board (PB) and the Technical Advisory Committee (CTA, acronym in Spanish).

Implementing Partner (Project Executive): The Implementing Partner for this project is the NGO " Tropical Agronomic Center for Research and Education” (CATIE). The Implementing Partner is the entity to which the UNDP Administrator has entrusted the implementation of UNDP assistance specified in this signed project document along with the assumption of full responsibility and accountability for the effective use of UNDP resources and the delivery of outputs, as set forth in this document.

The Implementing Partner is responsible for executing this project. Specific tasks include:

• Project planning, coordination, management, monitoring, evaluation and reporting. This includes providing all required information and data necessary for timely, comprehensive and evidence-based project reporting, including results and financial data, as necessary. The Implementing Partner will strive to ensure project-level M&E is undertaken by national institutes and is aligned with national systems so that the data used and generated by the project supports national systems.

• Risk management as outlined in this Project Document;

• Procurement of goods and services, including human resources;

• Financial management, including overseeing financial expenditures against project budgets;

• Approving and signing the multiyear workplan;

• Approving and signing the combined delivery report at the end of the year;

• Signing the financial report or the funding authorization and certificate of expenditures;

Development Partner: The Ministry of Environment and Natural Resources, in particular the Vice ministry for natural resources and climate change will be the Development Partner for this project. Specific tasks include:

• Create conditions for the Project Management Unit (PMU) to operate efficiently within the Ministry.

• General technical guidance of the PMU (Project Coordinator and Technical Team).

• Convene and chair the Technical Advisory Committee (CTA) and the Project Board (PB) during the implementation of the CBIT project.

• Follow up on CTA and PB guidelines throughout the implementation of the Project.

• Lead inter-institutional coordination, in particular with Sectoral Technical Commissions and governmental entities such as MEM, MAGA, MSPAS, INAB, CONAP, MINFIN and SEGEPLAN.

• Promote and maintain constant and fluid communication with the Implementing Partner-CATIE, as well as facilitate communication and coordination mechanisms with the ministries´ officials assigned to the CBIT project.

• Contribute to institutional arrangements required to implement the MRV system linked to and fully compatible with the SNICC.

• Review the terms of reference of the studies or consultancies to be developed within the framework of the CBIT project document.

• Follow-up on the implementation of the multi-year plan (PRODOC) and annual plans as approved by the PB.

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• Review and endorse annual operational plans and technical progress and financial reports, prior to certification by the Implementing Partner and their submission to UNDP.

• Support the technical review and dissemination of materials and knowledge products produced under the CBIT Project.

• Support the PMU in coordinating with other climate change processes in the country.

Project stakeholders and target groups:

Key stakeholders are the Sectoral Technical Commissions already established in the country, although they are currently not institutionalized by any legal instrument. Each Commission is led by a government agency and involves the participation of representatives of the public and private sectors, academia and civil society (including Indigenous Peoples). There are seven mitigation related Commissions: 1. Industrial Processes (MINECO), 2. Waste management (MARN), 3. Agricultural (MAGA), 4. Livestock (MAGA), 5. Forestry and Other Land Use (INAB and CONAP), 6. Energy (MEM), 7. Transportation (CIV); and four prioritized in adaptation: 1. Coastal Marine Zones (CONAP), 2. Agriculture, Livestock and Food Security (MAGA), 3. Human Health (MSPAS), 4. Water Resources (MARN). The design of indicators, metrics and protocols and data collection, among others, will be done within the framework of these Commissions and with the support of national consultants. The governmental entities leading the Sectoral Technical Commissions in mitigation and adaptation, as well as the members of these Commissions (public and private sector, academia and civil society), will be key players in the design and implementation of the MRV system, including the provision of essential, reliable and robust data to the System and in strengthening their technical capacities (in calculation of NGHGI, methodologies, metrics, indicators, baseline, report, among others). SEGEPLAN and MINFIN, will participate in the design of the monitoring component for support provided and received and their technical capacities for the implementation of this component of the MRV System, will be strengthened. In addition, the international cooperation and civil society will also participate by providing data to the support provided and received component from the MRV System.

Personnel from the Directorate of Climate Change and the Department of Sciences and Metrics of the MARN will participate directly in the implementation of project activities and MARN has allocated time of six professionals to the implementation of the Project: two professional advisors in Science and Metrics (40% of the time of each), an advisor in mitigation (20% of the time), an advisor in adaptation and vulnerability (20% of the time), and a climate change advisor (20% of the time). The Gender Units of the MARN, MAGA, INAB, MEM, CONAP, MSPAS, among others, are also important stakeholders and will be integrated n the different Sectoral Technical Commissions.

The project's target groups participate in project decision-making through their representation in the Technical Advisory Committee (CTA).

UNDP: UNDP is accountable to the GEF for the implementation of this project. This includes oversight of project execution to ensure that the project is being carried out in accordance with agreed standards and provisions. UNDP is responsible for delivering GEF project cycle management services comprising project approval and start-up, project supervision and oversight, and project completion and evaluation. UNDP is also responsible for the Project Assurance role of the Project Board.

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Project organization structure:

Project Board: The Project Board (PB) is responsible for taking corrective action as needed to ensure the project achieves the desired results. In order to ensure UNDP’s ultimate accountability, Project Board decisions should be made in accordance with standards that shall ensure management for development results, best value money, fairness, integrity, transparency and effective international competition. The PB should meet at least once a year.

In case consensus cannot be reached within the Board, the UNDP Resident Representative (or their designate) will mediate to find consensus and, if this cannot be found, will take the final decision to ensure project implementation is not unduly delayed.

The composition of the Project Board is the following:

a. MARN: as Development partner and beneficiary representative; represents ownership of the project and chairs the Project Board.

b. CATIE: as Executive, representing the interest of stakeholders including the project financiers. c. UNDP: who performs the quality assurance and supports the Project Board and Project Management Unit by

carrying out objective and independent project oversight and monitoring functions. This role ensures appropriate project management milestones are managed and completed, and conflict of interest issues are monitored and addressed. The Project Board cannot delegate any of its quality assurance responsibilities to the Project Manager. UNDP provides a three – tier oversight services involving the UNDP Country Offices and UNDP at regional and headquarters levels. Project assurance is totally independent of project execution.

Specific responsibilities of the Project Board include:

• Provide overall guidance and direction to the project, ensuring it remains within any specified constraints;

• Address project issues as raised by the project manager;

• Provide guidance on new project risks, and agree on possible mitigation and management actions to address specific risks;

• Agree on project manager’s tolerances as required, within the parameters set by UNDP-GEF, and provide direction and advice for exceptional situations when the project manager’s tolerances are exceeded;

Sectoral Technical

Commissions - adaptation

Project Board

Development Partner

MARN

Project Executive

CATIE

Project Assurance:

UNDP

-Country Office

-RTA/MPU in regional hub

-PTA Climate change in HQ

CBIT Project

Coordinator

Project organization structure

Project Support Team

Sectoral Technical

Commissions - mitigation

Beneficiary Representatives

MARN

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• Advise on major and minor amendments to the project within the parameters set by UNDP-GEF;

• Ensure coordination between various donor and government-funded projects and programs;

• Ensure coordination with various government agencies and their participation in project activities;

• Track and monitor co-financing for this project;

• Review the project progress, assess performance, and appraise the Annual Work Plan for the following year;

• Appraise the annual project implementation report, including the quality assessment rating report;

• Ensure commitment of human resources to support project implementation, arbitrating any issues within the project;

• Review combined delivery reports prior to certification by the implementing partner;

• Provide direction and recommendations to ensure that the agreed deliverables are produced satisfactorily according to plans;

• Address project-level grievances;

• Approve the project Inception Report and Terminal Evaluation reports and corresponding management responses;

• Review the final project report package during an end-of-project review meeting to discuss lesson learned and opportunities for scaling up.

• Ensure highest levels of transparency and take all measures to avoid any real or perceived conflicts of interest.

Technical Advisory Committee: In addition to the Project Board, the Project will benefit from a Technical Advisory Committee (CTA, acronym in Spanish) which has beneficiary and stakeholder participation and which The CTA will meet at least twice a year. The CTA initial composition is:

• Development Partner: MARN (Chair of CTA).

• Representatives from stakeholders and beneficiaries:

(i) The Guatemalan System for Climate Change Science (SGCCC, acronym in Spanish);

(ii) The Guatemalan Indigenous Peoples Climate Change Committee (MICCG, acronym in Spanish);

(iii) The Presidential Planning and Programming Secretariat (SEGEPLAN, acronym in Spanish); y

(iv) The Ministry of Finance (MINFIN, acronym in Spanish).

• The United Nations Development Program (UNDP).

Additional members can integrate the CTA during project implementation, as long as the members agree. The CTA´s main role is strategic, political and coordinating, including:

• General supervision of the Project.

• Advise according to the expertise of the members.

• Monitoring the progress of outcomes according to the stipulated times.

• Support, if required, interinstitutional coordination.

Project Management Unit: To coordinate, implement and monitor all project activities and interventions on a daily basis, the project will have a Project Management Unit (PMU) that will be physically located in the MARN. The PMU consists of a Project Coordinator, an M&E Officer and an Administrative Assistant.

Project Coordinator: The Project Coordinator (PC) is responsible for the overall management of the project, including the mobilization of all project inputs, supervision over project staff, consultants and sub-contractors. He/she has the authority in name of the Implementing Partner, within the limits established by the Project Board. The Implementing Partner assigns (contracts) the Project Coordinator who has to be a person different from the representative of the Implementing Partner in the Project Board. The main PC´s responsibility is to ensure that the project produces the outcomes as specified in this Project Document, within the agreed quality standards, times and budget. The PC will inform the PB about delays or difficulties encountered during project implementation so that corrective measures can be taken. The Project Coordinator will remain under contract until the Terminal Evaluation and corresponding Management Response have been finalized and activities required for the closing of the Project operations and transference of assets has been fully completed. Specific duties and Responsibilities include:

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• Manage the overall conduct of the project.

• Plan the activities of the project and monitor progress against the approved workplan.

• Execute activities by managing personnel, goods and services, training and low-value grants, including drafting terms of reference and work specifications, and overseeing all contractors’ work.

• Monitor events as determined in the project monitoring plan, and update the plan as required.

• Provide support for completion of assessments required by UNDP, spot checks and audits.

• Manage requests for the provision of UNDP financial resources through funding advances, direct payments or reimbursement using the FACE form.

• Monitor financial resources and accounting to ensure the accuracy and reliability of financial reports.

• Monitor progress, watch for plan deviations and make course corrections when needed within project board-agreed tolerances to achieve results.

• Ensure that changes are controlled and problems addressed.

• Perform regular progress reporting to the Project Board as agreed with the board, including measures to address challenges and opportunities.

• Prepare and submit financial reports to UNDP on a quarterly basis.

• Manage and monitor the project risks – including social and environmental risks - initially identified and submit new risks to the Project Board for consideration and decision on possible actions if required; update the status of these risks by maintaining the project risks log;

• Capture lessons learned during project implementation.

• Prepare revisions to the multi-year workplan, as needed, as well as annual and quarterly plans if required.

• Prepare the inception report no later than one month after the inception workshop.

• Ensure that the indicators included in the project results framework are monitored annually in advance of the GEF PIR submission deadline so that progress can be reported in the GEF PIR.

• Prepare the GEF PIR;

• Assess major and minor amendments to the project within the parameters set by UNDP-GEF;

• Monitor implementation plans including the gender action plan, stakeholder engagement plan, and any environmental and social management plans;

• Monitor and track progress against the GEF Core indicators.

• Support the Terminal Evaluation process.

• Supervise PMU staff.

• Coordinate with MARN, the Implementing Partner (CATIE), Stakeholders, and Consultants.

• Ensure that the Gender Action Plan and the Stakeholder Engagement Plan are properly monitored. Project extensions: The UNDP Resident Representative and the UNDP-GEF Executive Coordinator must approve all project extension requests. Note that all extensions incur costs and the GEF project budget cannot be increased. A single extension may be granted on an exceptional basis and only if the following conditions are met: one extension only for a project for a maximum of six months; the project management costs during the extension period must remain within the originally approved amount, and any increase in PMC costs will be covered by non-GEF resources; the UNDP Country Office oversight costs in excess of the CO’s Agency fee specified in the DOA during the extension period must be covered by non-GEF resources.

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VIII. FINANCIAL PLANNING AND MANAGEMENT The total cost of the project is USD 1,800,000.00. This is financed through a GEF grant of USD 1,500,000.00 administered by UNDP, and additional support of USD 100,000.00 (UNDP in kind), and USD 200,000 (govt. - MARN, in kind). UNDP, as the GEF Implementing Agency, is responsible for the oversight of the GEF resources and the cash co-financing transferred to UNDP bank account only.

Confirmed Co-financing: The actual realization of project co-financing will be monitored during the terminal evaluation process and will be reported to the GEF. Note that all project activities included in the project results framework that will be delivered by co-financing partners (even if the funds do not pass-through UNDP accounts) must comply with UNDP’s social and environmental standards. Co-financing will be used for the following project activities/outputs:

Table 5: Co-financing

Co-financing source

Co-financing type

Co-financing amount

Planned Co-financing Activities/Outputs

Risks Risk Mitigation Measures

UNDP In kind USD 100,000.00

Technical orientation, Institutional support and administrative/ technical assistance, as well as providing theoretical and practical knowledge at national level towards effective project implementation.

None N/A

MARN In kind USD 200,000 The Ministry of Environment and Natural Resources will dedicate staff time, 2 technicians (50%) and 3 technicians (25%) to assist for five years in the project implementation, coordination with various government agencies, and providing follow up and monitoring. The ministry will also provide office space for the project management unit.

COVID -19 restrictions might reduce availability of office space.

Workdays with differentiated schedules can be carried out. Part of the team will be able to work from home.

Budget Revision and Tolerance: As per UNDP requirements outlined in the UNDP POPP, the Project Board will agree on a budget tolerance level for each plan under the overall annual work plan allowing the project manager to expend up to the tolerance level beyond the approved project budget amount for the year without requiring a revision from the Project Board.

Should the following deviations occur, the Project Coordinator and UNDP Country Office will seek the approval of the BPPS/GEF team to ensure accurate reporting to the GEF:

a) Budget re-allocations among components in the project budget with amounts involving 10% of the total project grant or more;

b) Introduction of new budget items that exceed 5% of original GEF allocation.

Any over expenditure incurred beyond the available GEF grant amount will be absorbed by non-GEF resources (e.g. UNDP TRAC or cash co-financing).

Audit: The project will be audited as per UNDP Financial Regulations and Rules and applicable audit policies. Audit cycle and process must be discussed during the Inception workshop. If the Implementing Partner is an UN Agency, the project will be audited according to that Agencies applicable audit policies.

Project Closure: Project closure will be conducted as per UNDP requirements outlined in the UNDP POPP. All costs incurred to close the project must be included in the project closure budget and reported as final project commitments presented to the Project Board during the final project review. The only costs a project may incur following the final project review are those included in the project closure budget.

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Operational completion: The project will be operationally completed when the last UNDP-financed inputs have been provided and the related activities have been completed. This includes the final clearance of the Terminal Evaluation Report (that will be available in English) and the corresponding management response, and the end-of-project review Project Board meeting. Operational closure must happen with 3 months after posting the TE report to the UNDP ERC. The Implementing Partner through a Project Board decision will notify the UNDP Country Office when operational closure has been completed. At this time, the relevant parties will have already agreed and confirmed in writing on the arrangements for the disposal of any equipment that is still the property of UNDP.

Transfer or disposal of assets: In consultation with the Implementing Partner and other parties of the project, UNDP is responsible for deciding on the transfer or other disposal of assets. Transfer or disposal of assets is recommended to be reviewed and endorsed by the project board following UNDP rules and regulations. Assets may be transferred to the government for project activities managed by a national institution at any time during the life of a project. In all cases of transfer, a transfer document must be prepared and kept on file17. The transfer should be done before Project Management Unit complete their assignments.

Financial completion (closure): The project will be financially closed when the following conditions have been met: a) the project is operationally completed or has been cancelled; b) the Implementing Partner has reported all financial transactions to UNDP; c) UNDP has closed the accounts for the project; d) UNDP and the Implementing Partner have certified a final Combined Delivery Report (which serves as final budget revision).

The project will be financially completed within 6 months of operational closure or after the date of cancellation. Between operational and financial closure, the implementing partner will identify and settle all financial obligations and prepare a final expenditure report. The UNDP Country Office will send the final signed closure documents including confirmation of final cumulative expenditure and unspent balance to the BPPS/GEF Unit for confirmation before the project will be financially closed in Atlas by the UNDP Country Office.

Refund to GEF: Should a refund of unspent funds to the GEF be necessary, this will be managed directly by the BPPS/GEF Directorate in New York. No action is required by the UNDP Country Office on the actual refund from UNDP project to the GEF Trustee.

17 See https://popp.undp.org/_layouts/15/WopiFrame.aspx?sourcedoc=/UNDP_POPP_DOCUMENT_LIBRARY/Public/PPM_Project%20Management_Closing.docx&action=default.

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IX. TOTAL BUDGET AND WORK PLAN Total Budget and Work Plan

Atlas Award ID: 00114829 Atlas Output Project ID: 00112705

Atlas Proposal or Award Title: Strengthening Guatemala´s the transparency framework through capacity building to Implement the Paris Agreement.

Atlas Business Unit GTM10

Atlas Primary Output Project Title Transparencia Acuerdo de Paris CBIT UNDP-GEF PIMS No. PIMS 6436

Implementing Partner Tropical Agronomic Center for Research and Education (CATIE)

Table 6: Total budget, by outcome, by year

GCF Output/Atlas

Activity

Responsible Party

Fund ID

Donor Name

Atlas Budgetary Account

Code

ATLAS Budget Description

Amount Year 1 (USD)

Amount Year 2 (USD)

Amount Year 3 (USD)

Amount Year 4 (USD)

Total (USD) See

Budget Note:

(Atlas Implementing

Agent)

COMPONENT 1:

Establishment and

implementation of a holistic MRV

system in Guatemala.

CATIE 62000 GEF

74200 Audio Visual&Print Prod Costs

5,500 12,100 13,200 23,100 53,900 1

71400 Contractual Services - Individual

72,849 72,849 72,849 72,850 291,397 2

72100 Contractual Services-Companies

31,900 24,200 194,700 121,645 372,445 3

72800 Information Technology Equipment

9,000 - 23,000 - 32,000 4

71300 Local Consultants 55,000 213,400 57,200 117,700

443,300 5

75700 Training, Workshops and Confer

19,250 13,750 25,695 21,450

80,145 6

71600 Travel 1,650 16,500 1,650 3,300

23,100 7

TOTAL Component 1

195,149 352,799 388,294 360,045 1,296,287

COMPONENT 2: CATIE 62000 GEF

71200 International Consultants

- - - 22,000 22,000 8

71400 Contractual Services - Individ

10,000 10,000 10,000 10,000 40,000 9

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Monitoring and Evaluation and

Knowledge Management

75700 Training, Workshops and Confer

2,600 550 550 550 4,250 10

74500 Miscellaneous Expenses

1,100 - - - 1,100 10

TOTAL Component 2

13,700 10,550 10,550 32,550 67,350

COMPONENT 3: Project

Management CATIE 62000 GEF

71400 Contractual Services - Individual

29,671 29,671 29,671 29,670 118,683 11

72500 Supplies 550 550 550 550 2,200 12

72200 Equipment and Furniture

2,280 - - - 2,280 13

71400 Professional Services

3,300 3,300 3,300 3,300 13,200 14

TOTAL

Component 3 35,801 33,521 33,521 33,520 136,363

PROJECT TOTAL 244,650 396,870 432,365 426,115 1,500,000

Table 7:

Summary of funds, including co-financing (USD)

Amount Year 1

Amount Year 2

Amount Year 3

Amount Year 4

Total

GEF grant administered by UNDP 244,650.00 396,870.00 432,365.00 426,115.00 1,500,000.00

UNDP (in kind) 25,000.00 25,000.00 25,000.00 25,000.00 100,000.00

MARN (in kind) 50,000.00 50,000.00 50,000.00 50,000.00 200,000.00

TOTAL 319,650.00 471,870.00 507,365.00 501,115.00 1,800,000.00

Table 8: Budget Notes

Budget note No.

Description

(i) The Budget includes the 10% overhead from the Implementing Partner (CATIE) in each line of spending.

(ii) The number of days and daily fees are indicative and will be defined during Project implementation on the basis of needs and in relation to the fees on the labor market.

1 Costs of audiovisual products, printed materials, documents ($53,900). This includes lay-out and in some cases printing of knowledge products, methodological and conceptual documents for digital or physical distribution to project beneficiaries and stakeholders. In addition, the production of virtual workshops and their recordings, manuals, mediated

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methodologies that will be used in capacity building processes will be made available to stakeholders, this is particularly important to will help mitigate the risk of loss of knowledge and learning curve in government technicians, in the case of rotation and/ or change of personnel.

• Lay-out and printing of materials for different audiences for use in workshops and uploading in SNIGT and SNICC (protocols, methodologies by sector and NDC component (NGHGI, mitigation, adaptation, support provided and received). $5,500 + $2,200+$2,200+$2,200=12,100

• Documents for different audiences, including gender sensitive formats and manuals. Including also two videos for dissemination and socialization of mitigation MRV methodologies and results. $6,600

• Printing and socializing of reports of results of evaluating mitigation actions. $6,600

• Lay-out and printing of manual on support provided and received Manual. $6,600

• Lay-out and printing of lessons learned. $11,000

• A video to raise awareness at technical and political level of the importance of monitoring and evaluating the country's progress in actions related to NDC compliance. $5,500

• Lay-out and printing of Guatemala's experience with the integration of the gender approach into the MRV system. $5,500

2

Contractual services- Individual $ 291,397

• Project Coordinator. 68.4%. Total: $108,357 (Complement is covered in note No. 13) Besides project management activities, the PC is responsible and directly involved in several technical activities (see list of technical tasks in ToR, annex 8).

• Monitoring and Evaluation Officer. 57.91%. Total: $55,040 (Complement is covered in note No. 9)

• National Expert on mitigation: for methodological design and indicators of mitigation actions, validation of methodologies and indicators of 2 prioritized sectors. (Agriculture and 2. Industrial Processes and use of products), design/adapt and implement the evaluation and reporting methodology. This specialist will provide technical advice on mitigation, climate change and MRV. 100% Total $ 128,000.

3

Contractual Services-Companies ($ 372,445)

• Services for the design and implementation of the IT system, its architecture, interface with SNICC, SNIGT. MARN IT infrastructure capabilities and needs analysis to implement IT. $ $ 96,800

• Services for communication with other Stakeholders, includes development and implementation of project Website, socialization of Grievance Redress Mechanism. $6,600

• Services through subcontract with academic entity (or consortium) to design and implement the training program for GHG Inventories, Mitigation and Adaptation; Training for trainers; Implementation of the training program by trainers at all mitigation and adaptation Sectoral Technical Commissions. Training workshop costs and the hiring of national and international experts is included. $ 269,045

4

IT Equipment ($32,000)

• 3 computers for the Project Coordinator, the Administrative Assistant and the Monitoring and Evaluation Officer, 1 Printer, and 1 Projector. $9,000

• Based on MARN's IT infrastructure capabilities and needs analysis to implement IT, it will be decided whether the purchase of Computer Equipment, a Server, or similar (Hardware) is required for the proper management of the MRV IT, SNIGT, SNICC data and reporting. Total $23,000.

5

Local Consultants (Total $443,300) Local Consultants Outcome 1: (94,600)

• National Expert in Quality Assurance and Control and Verification: A consultant to design and validate QA/QC methodology, $31,900/ design for all sectors and implementation for two prioritized sectors. (180 days/ $170)

• National expert in gap analysis. Responsible for performing gap analysis in the agriculture and industrial processes and product use sectors. $8, 800. (44 days/ $200)

• National expert in collection and data exchange methodologies: responsible for reviewing and validating methodology and formats for data collection of NGHGI, improving and validating the methodology for the exchange of inventory data, training of information collection, implementation of data collection workshops and exchange of information: Total amount $ 53,900. (350 days/ $154)

Local Consultants Outcome 2: ($36,300)

• Gender consultancy to support: the design of methodological guidelines including indicators based on national circumstances in order to standardize gender sensitive measurements of mitigation actions and their impacts, and the design of a training program related to the use of MRV. Total amount USD 12,100 (55 days / $ 220)

• Technician for uploading mitigation data into the MRV IT system: the digitizer will enter data on mitigation of prioritized sectors. Agriculture and 2. Industrial processes and use of products. (1 person x 12 months) $13,200.

• National Expert to produce evaluation reports of mitigation actions and socialize these with all institutions/organizations involved in the sectors. $11,000. (88 days/ $125)

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Local Consultants Outcome 3: ($159,500)

• National experts for design, validation indicators and metrics on adaptation, reviews and validates indicators, estimates the baseline for human health sector $ 44,000. (352 days/ $125)

• National experts for design, validation indicators and metrics on adaptation, reviews and validates indicators, estimates the baseline for water resources sector $ 33,000. (220 days/ $150)

• Technicians for uploading adaptation data into the MRV IT system: $26,400. One person per sector (1. Coastal marine areas, 2. Agriculture, livestock and food security, 3. Human health, 4. Water resources.) (4 people x 6 months)

• National expert to produce 4 evaluation reports of adaptation actions and socialize these with all institutions/organizations involved in each of the four sectors: ($11,000/sector) $44,000. (88 days/ $125 for 4 sectors)

• Gender consultancy to support the design of sensitive gender indicators, metrics, and protocols, for the following sectors: 1. Coastal marine Zones, 2. Agriculture, livestock, and food security, 3. Human health, 4. Water resources; and to support the formulation of a training program related to monitoring and evaluation of adaptation measures with a gender perspective. USD 12,100 (55 days / $ 220)

Local Consultants Outcome 4: : ($56,100)

• National expert in climate change planning who will identify information management needs and governance arrangements in SEGEPLAN and MINFIN systems; and develop an action plan to improve the reporting system for the support provided and received. $11,000. (88 days/ $125)

• National expert in charge of the design and implementation of the methodology for systematization of climate finances, capabilities and technology transfer, with the different actors and collect information related to the topic. $22,000. (176 days/ $125)

• One (1) technician in charge of uploading the information and data collected into the MRV IT system 6,600 (1100/month x 6 months).

• National Planning Expert: to develop, the sensitive gender institutional guide to the reporting on climate finance (including national and international climate spending), capacity and technology transfer. $11,000. (88 days/ $125)

• Gender consultancy to support the design and implementation of a gender-sensitive methodology that includes standardized formats for the systematization of climate finance, capacities, and technology transfer for the government sector, private sector, and cooperation agencies. Total amount USD $ 5,500 (25 days / $ 220)

Local Consultants Outcome 5 ($96,800)

• National Expert in legal aspect, to develop a legal mechanism to formalize the Sectoral Technical Commissions and define responsibilities for the operation of the MRV system. $11,000. (88 days/ $125)

• National Expert for the participatory development of a (gender sensitive) national strategy for monitoring and reporting progress of NDC implementation. . $22,000. (176 days/ $125)

• National Expert(s) to document and disseminate lessons learned and systematize different processes supported by the project in the scope of the development of a domestic MRV system. $ 12,100 (96 days/ $125)

• National Expert to develop and implement a communication and participation program with stakeholders to maintain them informed about project progress, MRV system and promote participation. $ 22,000. (176 days/ $125)

• • Gender consulting to support the participatory development of the national strategy for Monitoring and reporting progress for compliance with the NDC, with a gender perspective; Design the program of socialization and dissemination of the use and management of the national MRV System with the sectoral technical tables; implement the program of socialization and dissemination of the use and management of the national MRV System; Prepare and disseminate how in Guatemala gender has been integrated into the MRV system and the results obtained. This consultant will be throughout the 4 years. Total amount USD $ 29,700 (135 days / $ 220)

6

Workshops ($93,510):

• Coordination meetings for the establishment of institutional agreements. $1,100

• Workshops for QA and QC and uncertainty analysis $6,600 ($20.62 x 5 sectors x 8 people x 8 events)

• Information collection training workshops. $11,000 ($22.45 x 7 sectoral task forces x 14 people x 5 events)

• Information exchange workshops. $4,795 ($27.4 x 7 tables x 5 people x 5 events)

• Workshops to build capacities for agriculture and industrial processes and product use, on the use and management of the IT system $5,500 ($45.83x 6 days x 2 sectors x 10 people)

• Workshops: 3 design evaluation and reporting methodologies, 2 validation, 3 implementation, 2 information collection and 1 socialization ($25/day x People) (2 sectors x 11 events) $11,000

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• Workshops: cross-cutting gender approach in CBIT results for MRV mitigation ($ 2,750 - 2 sectors, 2 events and 27 people - $ 25.46 / person), adaptation ($ 5,500 for 4 sectors, 2 events and 27 people - $ 25.46 / person) and support provided and national monitoring strategy ($ 3,300 - 11 sectors, 2 events and 6 people - $ 25 / person). $2,750+ $5,500 + $3,300 = $11,550Workshops for participatory analysis and validation of the results of the Support provided and received with institutional representatives. $2,200

• Brief management workshops for institutional representatives at the technical and political level on the importance of MRV. $4,400 (2 executive meetings with 7 representatives (senior staff) from the 12 institutions that lead Sectoral Technical Commissions, at a cost of $26.19/person)

• Workshops to develop the National monitoring and reporting strategy: two central workshops (Guatemala City) and three workshops in geographical regions of Guatemala (North/Peten, West, South) $8,800 ($27.5 x 64 people, 5 events)

• Workshops to disseminate lessons learned $ 6,600 ($20 x 15 people x 11 Sectoral Technical Commissions x 2 events)

• Workshops to implement the stakeholder communication and participation program. $6,600 (27.5 x 30 people x 8 events)

7

Travel ($23,100)

• National travel for project activities. ($60/ 15 days/year) $900 transportation for 1200 km) $750; 1 person. Subtotal $1650/year. Total $6,600.

• Cost of tickets and travel for South-South Cooperation and Exchange Visits. $16,500.

8 Terminal Evaluation. Total cost: $22,000.

9 M&E Officer. 42.09% $ 40,000. Complement is covered in note No. 2.

10 Services from hotels: (i) Inception workshops ($ 3,000) and PB and CTA meetings throughout the 4 years and miscellaneous for socialization and use in the Inception workshop, for example banners, brochures ($ 1,250 + $1,100 = $2,350). Total cost: $ 5,350.

11

Individual services: Total: $118,683, including:

• 31.6% of the project coordinator: project planning, day-to-day project activity management, project reporting, maintaining key relationships between stakeholders ($65,883). Complement is covered in note No. 2.

• 100% Administrative assistant ($52,800.)

12 Supplies: ink, paper, etc. for PMU. $2,200

13 Office furniture for PMU: Desks, chairs, filing cabinet, etc. $2,280

14 External annual and final Audit. Total costs: $13,200

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X. LEGAL CONTEXT This project document shall be the instrument referred to as such in Article 1 of the Standard Basic Assistance Agreement between the Government of Guatemala and UNDP, signed on July 20, 1998. All references in the SBAA to “Executing Agency” shall be deemed to refer to “Implementing Partner.” This project will be implemented by Tropical Agronomic Center for Research and Education (CATIE) (“Implementing Partner”) in accordance with its financial regulations, rules, practices and procedures only to the extent that they do not contravene the principles of the Financial Regulations and Rules of UNDP. Where the financial governance of an Implementing Partner does not provide the required guidance to ensure best value for money, fairness, integrity, transparency, and effective international competition, the financial governance of UNDP shall apply. The designations employed and the presentation of material on this map do not imply the expression of any opinion whatsoever on the part of the Secretariat of the United Nations or UNDP concerning the legal status of any country, territory, city or area or its authorities, or concerning the delimitation of its frontiers or boundaries.

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XI. RISK MANAGEMENT 1. Consistent with the Article III of the SBAA [or the Supplemental Provisions to the Project Document],

the responsibility for the safety and security of the Implementing Partner and its personnel and property, and of UNDP’s property in the Implementing Partner’s custody, rests with the Implementing Partner. To this end, the Implementing Partner shall:

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

b) assume all risks and liabilities related to the Implementing Partner’s security, and the full implementation of the security plan.

2. UNDP reserves the right to verify whether such a plan is in place, and to suggest modifications to the plan when necessary. Failure to maintain and implement an appropriate security plan as required hereunder shall be deemed a breach of the Implementing Partner’s obligations under this Project Document and the Project Cooperation Agreement between UNDP and the Implementing Partner18.

3. The Implementing Partner agrees to undertake all reasonable efforts to ensure that no UNDP funds received pursuant to the Project Document are used to provide support to individuals or entities associated with terrorism and that the recipients of any amounts provided by UNDP hereunder do not appear on the list maintained by the Security Council Committee established pursuant to resolution 1267 (1999). The list can be accessed via http://www.un.org/sc/committees/1267/aq_sanctions_list.shtml.

4. The Implementing Partner acknowledges and agrees that UNDP will not tolerate sexual harassment and sexual exploitation and abuse of anyone by the Implementing Partner, and each of its responsible parties, their respective sub-recipients and other entities involved in Project implementation, either as contractors or subcontractors and their personnel, and any individuals performing services for them under the Project Document.

(a) In the implementation of the activities under this Project Document, the Implementing Partner, and each of its sub-parties referred to above, shall comply with the standards of conduct set forth in the Secretary General’s Bulletin ST/SGB/2003/13 of 9 October 2003, concerning “Special measures for protection from sexual exploitation and sexual abuse” (“SEA”).

(b) Moreover, and without limitation to the application of other regulations, rules, policies and procedures bearing upon the performance of the activities under this Project Document, in the implementation of activities, the Implementing Partner, and each of its sub-parties referred to above, shall not engage in any form of sexual harassment (“SH”). SH is defined as any unwelcome conduct of a sexual nature that might reasonably be expected or be perceived to cause offense or humiliation, when such conduct interferes with work, is made a condition of employment or creates an intimidating, hostile or offensive work environment.

5. a) In the performance of the activities under this Project Document, the Implementing Partner shall (with respect to its own activities), and shall require from its sub-parties referred to in paragraph 4 (with respect to their activities) that they, have minimum standards and procedures in place, or a plan to develop and/or improve such standards and procedures in order to be able to take effective preventive and investigative action. These should include: policies on sexual harassment and sexual exploitation and abuse; policies on whistleblowing/protection against retaliation; and complaints, disciplinary and investigative mechanisms. In line with this, the Implementing Partner will, and will require that such sub-parties will take all appropriate measures to:

i. Prevent its employees, agents or any other persons engaged to perform any services under this Project Document, from engaging in SH or SEA;

ii. Offer employees and associated personnel training on prevention and response to SH and SEA, where the Implementing Partner and its sub-parties referred to in paragraph 4, have not put in place its own training regarding the prevention of SH and SEA, the

18 Use bracketed text only when IP is an NGO/IGO

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Implementing Partner and such sub-parties may use the training material available at UNDP;

iii. Report and monitor allegations of SH and SEA of which the Implementing Partner and its sub-parties referred to in paragraph 4 have been informed or have otherwise become aware, and status thereof;

iv. Refer victims/survivors of SH and SEA to safe and confidential victim assistance; and

v. Promptly and confidentially record and investigate any allegations credible enough to warrant an investigation of SH or SEA. The Implementing Partner shall advise UNDP of any such allegations received and investigations being conducted by itself or any of its sub-parties referred to in paragraph 4 with respect to their activities under the Project Document, and shall keep UNDP informed during the investigation by it or any of such sub-parties, to the extent that such notification (i) does not jeopardize the conduct of the investigation, including but not limited to the safety or security of persons, and/or (ii) is not in contravention of any laws applicable to it. Following the investigation, the Implementing Partner shall advise UNDP of any actions taken by it or any of the other entities further to the investigation.

b) The Implementing Partner shall establish that it has complied with the foregoing, to the satisfaction of UNDP, when requested by UNDP or any party acting on its behalf to provide such confirmation. Failure of the Implementing Partner, and each of its sub-parties referred to in paragraph 4, to comply of the foregoing, as determined by UNDP, shall be considered grounds for suspension or termination of the Project.

6. Social and environmental sustainability will be enhanced through application of the UNDP Social and Environmental Standards (http://www.undp.org/ses) and related Accountability Mechanism (http://www.undp.org/secu-srm).

7. The Implementing Partner shall: (a) conduct project and programme-related activities in a manner consistent with the UNDP Social and Environmental Standards, (b) implement any management or mitigation plan prepared for the project or programme to comply with such standards, and (c) engage in a constructive and timely manner to address any concerns and complaints raised through the Accountability Mechanism. UNDP will seek to ensure that communities and other project stakeholders are informed of and have access to the Accountability Mechanism.

8. All signatories to the Project Document shall cooperate in good faith with any exercise to evaluate any programme or project-related commitments or compliance with the UNDP Social and Environmental Standards. This includes providing access to project sites, relevant personnel, information, and documentation.

9. The Implementing Partner will take appropriate steps to prevent misuse of funds, fraud or corruption, by its officials, consultants, responsible parties, subcontractors and sub-recipients in implementing the project or using the UNDP funds. The Implementing Partner will ensure that its financial management, anti-corruption and anti-fraud policies are in place and enforced for all funding received from or through UNDP.

10. The requirements of the following documents, then in force at the time of signature of the Project Document, apply to the Implementing Partner: (a) UNDP Policy on Fraud and other Corrupt Practices and (b) UNDP Office of Audit and Investigations Investigation Guidelines. The Implementing Partner agrees to the requirements of the above documents, which are an integral part of this Project Document and are available online at www.undp.org.

11. In the event that an investigation is required, UNDP has the obligation to conduct investigations relating to any aspect of UNDP programmes and projects in accordance with UNDP regulations, rules, policies and procedures. The Implementing Partner shall provide its full cooperation, including making available personnel, relevant documentation, and granting access to the Implementing Partner’s (and its consultants’, responsible parties’, subcontractors‘ and sub-recipients’) premises, for such purposes at reasonable times and on reasonable conditions as may be required for the purpose of an investigation. Should there be a limitation in meeting this obligation, UNDP shall consult with the Implementing Partner to find a solution.

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12. The Implementing Partner will promptly inform UNDP in case of any incidence of inappropriate use of funds, or credible allegation of fraud or corruption with due confidentiality.

Where the Implementing Partner becomes aware that a UNDP project or activity, in whole or in part, is the focus of investigation for alleged fraud/corruption, the Implementing Partner will inform the UNDP Resident Representative/Head of Office, who will promptly inform UNDP’s Office of Audit and Investigations (OAI). The Implementing Partner shall provide regular updates to the head of UNDP in the country and OAI of the status of, and actions relating to, such investigation.

13. UNDP shall be entitled to a refund from the Implementing Partner of any funds provided that have been used inappropriately, including through fraud or corruption, or otherwise paid other than in accordance with the terms and conditions of this Project Document. Such amount may be deducted by UNDP from any payment due to the Implementing Partner under this or any other agreement. Recovery of such amount by UNDP shall not diminish or curtail the Implementing Partner’s obligations under this Project Document.

Where such funds have not been refunded to UNDP, the Implementing Partner agrees that donors to UNDP (including the Government) whose funding is the source, in whole or in part, of the funds for the activities under this Project Document, may seek recourse to the Implementing Partner for the recovery of any funds determined by UNDP to have been used inappropriately, including through fraud or corruption, or otherwise paid other than in accordance with the terms and conditions of the Project Document.

Note: The term “Project Document” as used in this clause shall be deemed to include any relevant subsidiary agreement further to the Project Document, including those with the Implementing Partner, responsible parties, subcontractors and sub-recipients.

14. Each contract issued by the Implementing Partner in connection with this Project Document shall include a provision representing that no fees, gratuities, rebates, gifts, commissions or other payments, other than those shown in the proposal, have been given, received, or promised in connection with the selection process or in contract execution, and that the recipient of funds from the Implementing Partner shall cooperate with any and all investigations and post-payment audits.

15. Should UNDP refer to the relevant national authorities for appropriate legal action any alleged wrongdoing relating to the project, the Government will ensure that the relevant national authorities shall actively investigate the same and take appropriate legal action against all individuals found to have participated in the wrongdoing, recover and return any recovered funds to UNDP.

16. The Implementing Partner shall ensure that all of its obligations set forth under this section entitled “Risk Management Standard Clauses” are passed on to each responsible party, subcontractor and sub-recipient and that all the clauses under this section entitled “Risk Management” are included, mutatis mutandis, in all sub-contracts or sub-agreements entered into further to this Project Document.

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XII. MANDATORY ANNEXES

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ANNEX 1: GEF BUDGET

To be inserted

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ANNEX 2: MAP OF GUATEMALA

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ANNEX 3: MULTIANNUAL PLAN

Component Outcome Activities Year 1 Year 2 Year 3 Year 4

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16

Establishment and

implementation of a holistic

MRV system in Guatemala.

1.1 A MRV system to

improve the calculation of the GHG inventories is designed and implemented

1.1.1.1 Establishment of inter-institutional agreements MARN and academia. x x

1.1.1.2 Training of trainers 2006 IPCC Guidelines, amongst others. x

1.1.1.3 Design and implement capacity program in NGHGI x x

1.1.1.4 Adapt knowledge materials x x x x

1.1.1.5 Implement training program x x x x

1.1.2.1 Implement of gap analysis of activity data x x

1.1.3.1 Design and validate methodology for QA/QC and uncertainty analysis x x

1.1.3.2 Implement methodology for quality control and uncertainty analysis in two sectors x x

1.1.3.3 Develop and adapt knowledge materials x x

1.1.3.4 Implement training workshops for QA/QC and uncertainty analysis x x x x

1.1.4.1 Review and validate NGHGI data collection methodology x x

1.1.4.2 Review and validate standardized NGHGI data collection formats x x

1.1.4.3 Review and update inter-institutional agreements developed under T3CN and 1BUR project (methods and formats) x x

1.1.4.4 Information gathering training workshops. x x x x

1.1.5.1 Improve and validate the NGHGI data exchange methodology x x

1.1.5.2 Improve and validate methodological processes to exchange GHG inventory activity data between sectors x x

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Component Outcome Activities Year 1 Year 2 Year 3 Year 4

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16

1.1.5.3 Review and update inter-institutional agreements developed under T3CN and 1BUR project (exchange of information) x x

1.1.5.4 Information exchange workshops and exercises x x x x

1.1.6.1 Validate technical bases of the IT architecture and interfaces x x x x

1.1.6.2 IT system design, linked to and compatible with SNIGT and SNICC x x x x

1.1.6.3 Analysis of IT capacity and infrastructure needs x

1.1.6.4 Implement the IT system, uploading from two priority sectors x x x x

1.1.6.5 Training on the use/management of the IT System for 2 sectors x x

1.2 A system to monitor the NDC

mitigation component is designed and implemented

1.2.1.1 Design methodological guidelines to standardize measurements of mitigation actions and their impacts. x x x

1.2.1.2 Validate the evaluation and reporting methodologies x x x

1.2.1.3 Develop and disseminate documents and gender sensitive formats and guides. x x x

1.2.2.1 Design/adapt, methodology for evaluation and reporting, gender sensitive, of mitigation actions x x

1.2.2.2 Implement methodology for the evaluation and reporting of mitigation actions for two sectors x x x

1.2.2.3 Information collection and upload to the IT system x x

1.2.2.4 Generate and socialize evaluation reports of the mitigation actions x x

1.2.3.1 Design training program for the use of MRV x x

1.2.3.2 Develop training/knowledge materials x x

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Component Outcome Activities Year 1 Year 2 Year 3 Year 4

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16

1.2.3.3 Implement capacity building program on methodologies to evaluate/assess and report mitigation actions x x

1.3 A system to monitor the NDC

adaptation component is designed and implemented

1.3.1.1 Design of indicators, metrics and protocols (2 incipient sectors) x x

1.3.1.2 Review, improve and validation metrics and indicators (2 advanced sectors) x x x

1.3.2.1 Estimate the baseline for the 4 adaptation sectors x x x

1.3.2.2 Baseline is uploaded into the IT system and linked to the SNICC x x

1.3.2.3 Develop and disseminate baseline data reports x x

1.3.3.1 Design the training program related to monitoring and evaluation of adaptation measures x x

1.3.3.2 Develop and adapt training/knowledge materials x x

1.3.3.3 Implement the capacity building program through training sessions on the adoption of methodologies to evaluate and report on adaptation actions x x

1.4. A system to monitor the NDC support provided

and received component is designed and implemented

1.4.1.1 Identify needs, limitations and gaps in the MINFIN and SEGEPLAN systems x x

1.4.1.2 Prepare and implement an Action Plan to improve the monitoring of provided and received support x x

1.4.2.1 Develop methodology and formats to systematize climate finance, capacities and technology transfer x x x

1.4.2.2 Gathering information on climate finance, capacities and technology transfer x x

1.4.2.3 Information on support provided and received, entered into the IT system, linked to SNICC x x

1.4.2.4 Prepare and publish the Institutional Guide for gender sensitive reporting on climate finance, capacities and technology transfer. x x

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Component Outcome Activities Year 1 Year 2 Year 3 Year 4

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16

1.4.3.1 Training plan to implement the elements of 1.4.2 x x

1.4.3.2 Disseminate Climate Budget Tagging guide and develop training/knowledge tools x x

1.4.3.3 Implement capacity building program x x

1.5. Climate change

Sectoral Technical

Commissions integrate the

MRV component

1.5.1.1 Raise awareness at the technical and political level about MRV of NDC actions x x x x

1.5.1.2 Develop a legal mechanism x x

1.5.1.3 Establish inter-institutional cooperation agreements x x x

1.5.1.4 Support full and effective participation of organizations of indigenous peoples and women in the Sectoral Technical Commissions x x x x

1.5.2.1 Prepare the national monitoring and reporting strategy x x

1.5.2.2 Dissemination of the strategy with the Sectoral Technical Commissions x x x x

1.5.2.3 Disseminate the final strategy with other stakeholders x x x x

1.5.3.1 Design the program of socialization and dissemination of the use and management of the MRV System x x x x

1.5.3.2 Develop knowledge materials x x x x

1.5.3.3 Implement the program of socialization and dissemination, use and management of MRV x x

1.5.4.1 Document and systematize lessons learned x x x x

1.5.4.2 Prepare knowledge product on gender integration in MRV x x x x

1.5.4.3 South-South exchange of knowledge and experiences x x x x

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Component Outcome Activities Year 1 Year 2 Year 3 Year 4

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16

1.5.4.4 Design and implementation of a communication program for stakeholders x x x x x x x x

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ANNEX 4: MONITORING AND EVALUATION PLAN 1. Introduction

Monitoring and evaluation at the project level will be carried out in accordance with the UNDP requirements set out in the UNDP Operations and Program Policies and Procedures and in the UNDP Evaluation Policy . The UNDP Country Office is responsible for ensuring full compliance with all UNDP project monitoring, quality assurance, risk management and evaluation requirements.

Additional mandatory M&E requirements specific to the GEF will be carried out in accordance with the GEF Oversight Policy and the GEF Evaluation Policy and other relevant GEF policies19.

In addition to these mandatory UNDP and GEF monitoring and evaluation requirements, other monitoring and evaluation activities deemed necessary to support adaptive project management will be agreed upon during the Project Inception Workshop and detailed in the Workshop Report.

In this monitoring and evaluation plan, the roles, responsibilities, and frequency of monitoring project results are detailed and will guide the GEF-specific M&E and knowledge management activities to be carried out for the project.

2. Objectives of M&E and Knowledge Management

Project outcomes, corresponding indicators, and project objectives at the end of the project in the project results framework will be monitored annually and periodically evaluated during project execution.

The monitoring objective is to ensure adequate monitoring of the project's result framework indicators and to recommend adaptive management actions to achieve the project's objective.

The monitoring provides timely and reliable information on the fulfillment of the activities programmed annually, the achievements obtained and the use of the budgeted resources for decision-making that allow making the necessary corrections and reorientations during the project's progress. The progress of the activities and outputs defined in the POA is permanently monitored through progress reports, databases, meeting minutes, among other instruments.

The evaluation is key to demonstrate with solid evidence the results obtained by the project during its implementation, in terms of effects and impacts generated by the different actions / activities carried out.

The Project develops activities that allow a process of reflection to order and organize what has been the progress, the processes and the results of the project, in order to generate knowledge among the different actors involved and lessons learned. For the CBIT project, effective knowledge management is considered a strategic and a fundamental element in order to ensure that national stakeholders can share lessons learned and experiences amongst each other, but also that the knowledge gained from the experiences can be shared with others and beyond those directly involved.

Knowledge management includes the generation of materials for capacity building in the areas of methodologies, manuals, guides, lessons learned, case studies, among others, as well as systematizations and the exchange of experiences. The project will have mechanisms for the dissemination of the results and achievements of the project, through different communication channels and formats, which are established in the Stakeholder Engagement Plan (Annex 9).

19 See https://www.thegef.org/gef/policies_guidelines

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3. Monitoring

3.1 Indicators

Table 1 presents for the CBIT project the indicators, targets, description of the indicator, the source of the data and method of collection, responsible parties, means of verification, and risks and assumptions.

Table 1 Monitoring and Evaluation Plan

Monitoring Indicator End of Project Target

Description of indicator y target

Data sortuce/Collection

Methods

Frecuency Responsible for data

collection

Means of verification Risk/Assumption

Project objective: Establishing and implementing a MRV system in Guatemala to monitor the implementation of its NDC and to meet the requirements defined under the Article 13 of the Paris

Indicator 120: Number of Direct project beneficiaries as co-benefit of GEF investment (number of people, disaggregated by sex, disaggregated by institution, that have received training, produce or are users of the MRV system)21.

Target at project end: 220 persons (disaggregated: 143 men (65%), 77 women (35%)): Mitigation: 140 persons; and Adaptation: 80 persons.

Quantitative indicator GEF Central Indicator 11. At a minimum, members of the Sectorial Technical Tables and officials of the governing institutions of the Adaptation and Mitigation sectors have been included, including Climate Change Units, Gender Units and other operational Units that were considered necessary according to PANCC. Including the academic sector, private sector, international

Data source: Lists of attendance to training workshops that allow identifying the sex, and the institution to which they belong. Collection method: Participants fill in their data through a virtual or physical list. The specialists in charge of the trainings must report / enter the information of the participants into the database. All participants from outputs 1.1.1, 1.2.3, 1.3.3, 1.4.3, 1.5.3 must be included. The DPI can be used as an identifier of the users.

Quarterly By updating the databases to collect information.

M&E Officer with the support of the specialists who develop the training and the Executor.

Lists of participants disaggregated by sex and institution, agenda and photographs of the meetings / training workshops / meetings. Implementation reports from the person responsible for the activity. Project M&E Database.

Risk: Due to administrative changes in the institutions, trained personnel can be replaced by new officers and technical staff, thereby losing the learning curve. Assumptions: Government officials attend training workshops, are interested in the contents presented and apply what they have learned in the daily activities. The relevant government institutions encourage the participation of their technical staff in

20 GEF Core Indicator. M&E technician with the support of the specialists who develop the training and the Executor. 21 Note: For Project progress report, it is recommended that information is also disaggregated by Indigenous Peoples (Maya, Garifuna, Xinka, and Mestizo or non-indigenous).

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Table 1 Monitoring and Evaluation Plan

Monitoring Indicator End of Project Target

Description of indicator y target

Data sortuce/Collection

Methods

Frecuency Responsible for data

collection

Means of verification Risk/Assumption

cooperation and civil society.

activities related to the development of the MRV system.

Indicator 2: Rating achieved for the evaluation of quality of MRV systems from the CBIT Tracking Tool.

Changes to 5: “Measurement systems are strong for a limited set of activities and periodically report on key GHG related indicators i.e. mainstreamed into the activity implementation; reporting is improved through few pathways but limited audience and formats; verification limited”.

Qualitative Indicator. GEF-CBIT Tracking Tool Indicator 3.

Data source: This evaluation is developed based on expert judgment and based on the 10-level capacity scale of the GEF-CBIT tool.

At the end of the project.

Project coordinator in conjunction with the Final Evaluator.

Results of the Final Evaluation IT system Review of national reports, and agreements for the dissemination of information.

Risk: Lack of articulated coordination between institutions involved in each of the sectors. The institutions or entities responsible for providing the information and data do not do so in a timely manner. Assumption: MARN provides information to system in a timely manner. Relevant government institutions encourage the participation of their technical staff in activities related to the development of the MRV system. Under the leadership of the MARN, there is articulated coordination between SNIGT, SNICC, and the MRV system.

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Table 1 Monitoring and Evaluation Plan

Monitoring Indicator End of Project Target

Description of indicator y target

Data sortuce/Collection

Methods

Frecuency Responsible for data

collection

Means of verification Risk/Assumption

Indicator 3: Rating achieved regarding the evaluation of institutional capacities of quality of MRV systems from the CBIT Tracking Tool.

Changes to 3: “Designated transparency institution has an organizational unit with standing staff with some capacity to coordinate and implement transparency activities under Article 13 of the Paris Agreement. Institution has authority or mandate to coordinate transparency activities under Article 13. Activities are not integrated into national planning or budgeting activities”.

Qualitative Indicator. GEF-CBIT Indicator 5

Data source: This assessment is developed based on expert judgment and based on the 4-level skills scale of the GEF-CBIT tool. Collection method: Consult the IT system

At the end of the project

Project coordinator in conjunction with the Final Evaluator.

Results of the Final Evaluation IT system Review of national reports, and agreements for the dissemination of information.

Risk: Complications in an articulated coordination between the MRV system under-development, SNIGT and SNICC and limited technological capability to link information from government entities databases with the IT platform.

Outcome 1.1 A MRV system to improve the calculation of the GHG inventories is designed and implemented.

Indicator 4: Number of sectors that have a repository at the MRV IT System, linked to SNICC and SNIGT in

5 sectors of the NGHGI have a repository within the IT platform which allows information management from year 2 of project

Quantitative Indicator. Existence of a repository (module) for each sector of INVGEI for the storage, exchange, systematization and analysis of

Data source: The MRV system implemented must be capable of generating reports of the information that has been stored, the exchange processes that are developed

Annual. The first two years of the project

Project coordinator with M&E Officer support.

1) IT system linked to SNIGT and SNICC. 2) Completed and socialized access and use guides for the platform. 3) Reports / Queries developed through the computer modules.

Risk: MARN and other key governmental institutions will assign personnel to lead and participate in the MRV building process. Assumption: The reporting of information from

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Table 1 Monitoring and Evaluation Plan

Monitoring Indicator End of Project Target

Description of indicator y target

Data sortuce/Collection

Methods

Frecuency Responsible for data

collection

Means of verification Risk/Assumption

relation to NGHGI information management.

implementation onwards.

information, particularly Activity Data, emission factors, GHG inventories, among others.

and the analysis of the information related to NGHGI. Collection method: Consult the IT system

institutions involved is done timely and accurately.

Outcome 1.2 A system to monitor the NDC mitigation component is designed and implemented.

Indicator 5: Number of sectors that implement monitoring action with regard to the mitigation component of the NDC.

2 sectors, implement monitoring action with regard to the mitigation component of the NDC in year 4 of project implementation.

Quantitative Indicator. Monitoring actions include the generation, exchange and management of information according to the methodologies, indicators and metrics established for the mitigation component, evaluation and reporting methodologies and generation of reports.

Data source: The MRV system implemented must be capable of generating reports of the information that has been stored, the exchange processes that are developed and the analysis of the information related to the mitigation component. Collection method: Consult the IT system

Annual. From the third year

Project coordinator with M&E Officer support.

1) Query the system about the information of the two sectors stored in the IT system.

Risk: The institutions or entities responsible for providing the information and data do not do so in a timely manner.

Outcome 1.3 A system to monitor the NDC adaptation component is designed and implemented.

Indicator 6: Number of sectors that implement monitoring action with regard to the adaptation component of the NDC.

4 sectors, implement monitoring action with regard to the adaptation component of the NDC in year 4 of project implementation.

Quantitative Indicator. Monitoring actions include the generation, exchange and management of information according to the methodologies, indicators and

Data source: The MRV system implemented must be capable of generating reports of the information that has been stored, the exchange processes that are developed and the analysis of

Annual. From the third year.

Project coordinator with M&E Officer support.

1) Query the system about the information of the four sectors stored in the IT system.

Risk: The institutions or entities responsible for providing the information and data do not do so in a timely manner. Assumption: There is political will to update (adaptation

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Table 1 Monitoring and Evaluation Plan

Monitoring Indicator End of Project Target

Description of indicator y target

Data sortuce/Collection

Methods

Frecuency Responsible for data

collection

Means of verification Risk/Assumption

metrics established for the adaptation component, and the baseline value in at least 4 sectors.

the information related to the adaptation component. Collection method: Consult the IT system

target), implement and monitor the NDC.

Outcome 1.4. A system to monitor the NDC support provided and received component is designed and implemented.

Indicator 7: Number of institutions from public sector, civil society and international cooperation that provide data to the monitoring system for support provided and received of the NDC.

20 institutions provide data to the monitoring system for support provided and received of the NDC, in year 4 of project implementation: Public sector: 2 International Cooperation: 10 Sociedad civil: 8

Quantitative Indicator. Include public sector, civil society and cooperation institutions that carry out activities related to CC mitigation and adaptation. A from international funding and national funding, capacity building and technology transfer. This list should be updated periodically

Data source: The MRV system implemented must be capable of generating reports of the information that has been stored, the exchange processes that are developed and the analysis of the information related to the support component provided and received. Collection method: Consult the IT system and SEGEPLAN and MINFIN documents.

Annually From the third year

Project coordinator with M&E Officer support.

1) Query the system about the information of the sectors stored in the IT system. 2) Relevant SEGEPLAN and MINFIN systems.

Risk: The institutions or entities responsible for providing the information and data do not do so in a timely manner. Assumption: MINFIN and SEGEPLAN are interested to become involved.

Outcome 1.5 Climate change Sectoral Technical Commissions integrate the MRV component.

Indicator 8: Number of Climate change Sectoral Technical Commissions integrate the

11 Sectoral Technical Commissions integrate the MRV system for the NDC, in year 4 of project implementation:

Quantitative Indicator. Define the role that the Tables will play through the legal mechanism, which allows monitoring the design of the Monitoring and

Collection method: Documentation and monitoring of the agreements and discussions developed through this governance mechanism.

Annual Project coordinator with M&E Officer support.

1) Minutes of meeting of the sector tables. 2) Agreements reached through the sector tables. 3) Legal Mechanism approved. 4) National Monitoring Strategy Document

Risk: No consensus on the legal mechanism for institutionalizing Sectoral Technical Commissions to define responsibilities

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Table 1 Monitoring and Evaluation Plan

Monitoring Indicator End of Project Target

Description of indicator y target

Data sortuce/Collection

Methods

Frecuency Responsible for data

collection

Means of verification Risk/Assumption

MRV system for the NDC.

7 mitigation Commissions and 4 adaptation Commissions.

Reporting strategy, including the gender perspective. As a quality standard, the sector tables must meet periodically to know the progress of the implementation of the Monitoring and Reporting strategy, provide technical assistance and endorse specific products. Define the role they will have in the exchange of information, the definition of the metrics, indicators and methodologies to be applied in the monitoring system.

for the operation of the MRV system. Assumption: The private sector, civil society, including indigenous people’s organizations, and academia promote the participation of their technical staff and decision makers in the activities of the Sectoral Technical Commissions and the development of the MRV system.

Indicator 9: Number of institutions that provide information to the MRV system at the end of project implementation.

35 institutions that provide information to the MRV system at the end of project implementation: Private Sector: 5 Public Sector: 12 Civil Society: 8

Quantitative Indicator. Includes entities registered under indicator 7. When defining the roles and responsibilities of the entities through the Sectoral Technical Commissions, the

Documentation and monitoring of the agreements and discussions developed through this governance mechanism.

Annual Project coordinator with M&E Officer support.

Report generated through the IT system that describes the institutions that report to the system.

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Table 1 Monitoring and Evaluation Plan

Monitoring Indicator End of Project Target

Description of indicator y target

Data sortuce/Collection

Methods

Frecuency Responsible for data

collection

Means of verification Risk/Assumption

International Cooperation: 10 Civil society: 8

roles of information providers, quality control, users, decision makers, among others, will be defined.

Gender Action Plan

Gender Indicator: Number of persons, disaggregated by sex and institution, that have received training concerning the development of the MRV system with a gender perspective.

Total: 90 persons trained in MRV system development with gender perspective, at the end of project implementation: Private Sector: 10 Public Sector: 35 Civil Society: 30 Academic staff: 15

Quantitative indicator. At a minimum, members of the Sectorial Technical Tables and officials of the governing institutions of the Adaptation and Mitigation sectors have been included, including Climate Change Units, Gender Units and other operational Units that were considered necessary according to PANCC. Including the academic sector, private sector, international cooperation and civil society.

Data source: Lists of attendance to training workshops that allow identifying the sex, and the institution to which they belong. Collection method: The participants fill in their data through a virtual or physical list. The specialists in charge of the trainings must report / enter the information of the participants into the database. All participants in outputs 1.2.3, 1.3.3, 1.4.3, 1.5.3 must be included. The DPI can be used as an identifier of the users.

Quarterly By updating the databases to collect information.

M&E Officer with the support of the specialists who develop the training.

Lists of participants disaggregated by sex and institution, agenda and photographs of the meetings / training workshops / meetings. Project M&E Database.

Assumption: The Gender Action Plan is implemented.

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3.2 Collection of information

The collection of information on the indicators will be responsibility of the M&E Officer 22 of the Project Management Unit, who will report progress with compliance of indicators on a quarterly basis. Under the supervision of the Project Coordinator, the data for each of the indicators will be compiled in accordance with the provisions of the monitoring plan. The collection of information will be done according to the established protocols, using formats to collect the information. The frequency of information collection will be based on the nature of the indicator information. In the case of some data such as the participation of beneficiaries, the participation of men and women, these will be compiled quarterly according to the activities carried in that timeframe out under each of the project outcomes.

For the core indicators the methodologies to be used in data collection have been defined by the GEF and are available on the GEF website.

3.3 Information analysis

The information on the indicators will be analyzed annually by the M&E Officer and will be approved by the Project Coordinator and the Project Board. These data may be shared with the project beneficiaries for their follow-up and feedback, and thereby improve those indicators where progress has not been made.

3.4 Use of the results

As mentioned, the results of the progress of the indicators and activities will be carried out periodically, from the quarterly reports to the annual reports (PIR). They will serve for reporting to the GEF and for evaluation missions, as well as for the Project Coordinator decision making on measures that would enhance project implementation performance.

4. Evaluation

4.1 Supervision Missions

The annual supervision missions will be carried out according to the schedule described in the annual work plan. The reports of the supervision mission will be distributed to the team and the Project Board no later than one month after the mission takes place.

4.2 Terminal Evaluation:

An independent terminal evaluation (TE) will take place upon completion of all major project outputs and activities. The terms of reference, the evaluation process and the final TE report will follow the standard templates and guidance for GEF-financed projects available on the UNDP Evaluation Resource Center.

The evaluation will be ‘independent, impartial and rigorous’. The evaluators that will be hired to undertake the assignment will be independent from organizations that were involved in designing, executing or advising on the project to be evaluated. Equally, the evaluators should not be in a position where there may be the possibility of future contracts regarding the project being evaluated.

The GEF Operational Focal Point and other stakeholders will be actively involved and consulted during the terminal evaluation process. Additional quality assurance support is available from the BPPS/GEF Directorate.

The final evaluation report and the final evaluation ToRs will be published in English in the UNDP CRE no later than August 30, 2025. The response of management to the final evaluation recommendations will be published in the CRE at the within six weeks from the completion of the final evaluation report.

4.3 Reports

GEF Project Implementation Report (PIR):

The annual GEF PIR covering the reporting period July (previous year) to June (current year) will be completed for each year of project implementation. Any environmental and social risks and related management plans will be monitored regularly, and progress will be reported in the PIR. The PIR submitted to the GEF will be shared with the Project Board. The quality rating of the previous year’s PIR will be used to inform the preparation of the subsequent PIR.

22 Terms of Reference in Annex 8.

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Quarterly Progress Reports (QPR):

Short progress reports regarding headway made with project implementation will be prepared by the Project Management Unit (PMU) on a quarterly basis to the UNDP Country Office and UNDP/GEF Regional Office. These reports Will also be made available to the MARN, Implementing Partner (CATIE), and CTA members.

Knowledge management:

The PMU Will ensure the compilation and dissemination of lessons learned and good practices in view of adaptive management and scaling up or replication at local and global levels. The results will be shared with and made available to stakeholders through networks, academic networks, and other available communication channels. (see also annex 9 Stakeholder Engagement Plan).

GEF Core Indicators:

The GEF Core indicators included as Annex 15 will be used to monitor global environmental benefits and will be updated for reporting to the GEF prior to TE. Note that the project team is responsible for updating the indicator status. The updated monitoring data should be shared with TE consultants prior to required evaluation mission, so these can be used for subsequent ground-truthing. The methodologies to be used in data collection have been defined by the GEF and are available on the GEF website.

Final Report:

The project’s terminal GEF PIR along with the terminal evaluation (TE) report and corresponding management response will serve as the final project report package. The final project report package shall be discussed with the Project Board during an end-of-project review meeting to discuss lesson learned and opportunities for scaling up.

4.4 Roles, responsibilities

For the evaluation, there are several actors with different and complementary roles, which are described below.

Project Coordinator: The project coordinator is responsible for the periodic monitoring of project results and risks, including social and environmental risks. He/She will ensure that all project staff maintain a high level of transparency, responsibility, and accountability in monitoring, evaluating and reporting project results. The Project Coordinator will inform the Project Board, the UNDP country office and the UNDP-GEF regional technical advisor on delays or difficulties that may arise during implementation so that appropriate support and corrective measures can be taken.

The project coordinator will also ensure that the relevant monitoring and evaluation requirements of UNDP and GEF are met with strict adherence to quality. This involves, for example, ensuring that the results framework indicators are monitored annually in time for evidence-based reporting in the GEF project implementation report, and that risk monitoring and the various plans and strategies developed to support project implementation (e.g. gender action plan, stakeholders engagement plan, knowledge management, etc.) occur regularly.

Project Board: The Project Board (PB) will take corrective action as necessary to ensure that the project achieves the desired results. The PB will conduct reviews of the project to assess its performance and will evaluate the Annual Work Plan for the following year. In the final year of the project, the PB will conduct a final project review to identify lessons learned and analyze possibilities for scaling up the project, as well as highlighting project results and lessons learned with relevant audiences. This final review meeting will also discuss the findings outlined in the project's final evaluation report and the response from management.

Implementing Partner and Development Partner: They are responsible for providing all information and data necessary for the timely and comprehensive submission of empirically-based project reports, including economic data and results, as necessary and appropriate.

UNDP Country Office: The UNDP Country Office (ODP) will support the Project Coordinator where necessary, including through annual supervision missions. The annual supervision missions will be carried out according to the schedule described in the annual work plan. The reports of the supervision mission will be distributed to the team and the Project Board no later than one month after the mission takes place. ODP will initiate and organize essential GEF monitoring and evaluation activities including the annual project implementation

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report and the final independent evaluation. ODP will also ensure that UNDP and GEF standard monitoring and evaluation requirements are met in accordance with strict quality criteria.

ODP is responsible for complying with all project-level UNDP and GEF monitoring and evaluation requirements outlined in the UNDP Operations and Program Policies and Procedures. This means ensuring that the quality assurance evaluation during UNDP implementation is carried out annually; annual product targets developed and monitored and recorded using UNDP corporate systems; that the ATLAS risk register is periodically updated; and that the UNDP gender marker be updated annually based on the progress made in incorporating the gender perspective as reported in the GEF's annual project implementation report and in the UNDP's annual results report. The PDO and the Project Coordinator should address any quality concerns that are identified during these monitoring and evaluation activities (for example, the GEF Project Annual Implementation Report Quality Assessment rating).

ODP will retain all monitoring and evaluation records for this project for up to seven years after the economic closure of the project to support ex post evaluations conducted by the UNDP Independent Evaluation Office and the GEF Independent Evaluation Office.

UNDP-GEF Unit: The UNDP-GEF Regional Technical Advisor and the UNDP-GEF Directorate will provide additional monitoring and supervision and troubleshooting support as needed.

5. Inception workshop

A project inception workshop will be held within 60 days of project CEO endorsement. The workshop should be prepared by the Implementing Partner, with the support of the Development Partner, the Project Coordinator and in coordination with the Technical Advisory Committee (CTA) and the UNDP Country Office. Key stakeholders for project implementation are expected to participate in the workshop (see annex 9: Stakeholder Engagement Plan). The aim of the inception workshop is to:

a. Familiarize key stakeholders with the detailed project strategy and discuss any changes that may have taken place in the overall context since the project idea was initially conceptualized that may influence its strategy and implementation.

b. Discuss the roles and responsibilities of the project team, including reporting lines, stakeholder engagement strategies and conflict resolution mechanisms.

c. Review the results framework and monitoring plan.

d. Discuss reporting, monitoring and evaluation roles and responsibilities and finalize the M&E budget; identify national/regional institutes to be involved in project-level M&E; discuss the role of the GEF OFP and other stakeholders in project-level M&E.

e. Update and review responsibilities for monitoring project strategies, including the risk log; SESP report, Social and Environmental Management Framework and other safeguard requirements; project grievance mechanisms; gender strategy; knowledge management strategy, and other relevant management strategies.

f. Review financial reporting procedures and budget monitoring and other mandatory requirements and agree on the arrangements for the annual audit.

g. Plan and schedule Project Board meetings and finalize the first-year annual work plan.

h. Formally launch the Project.

The report of the inception workshop will be prepared by the Project Coordinator with the support of the M&E Officer. The report must include the meeting minutes, participation list and photographs. The minutes should present the points addressed and the main discussions, conclusions and recommendations made by the participants, as well as how feedback received from stakeholders will be addressed and/or integrated into the project planning and implementation.

The report should be presented to the GEF-UNDP Regional Office, PB, CTA and stakeholders who participated in the workshop.

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6. Knowledge management

6.1 Strategy

The project team will ensure the extraction and dissemination of lessons learned and good practices to enable adaptive management and scaling up or replication at the local and global levels. A specific knowledge product "Gender and MRV: Guatemala's experience and results" will also be developed. The results will be disseminated to stakeholders, and through the Sectorial Technical Commissions, SGCCC, and other national and scientific networks related to climate change.

The objective is to generate materials for capacity building in the areas of methodologies, manuals, guides, lessons learned, experiences, case studies, among others, as well as the exchange of experiences and South-South cooperation. This will allow the country to generate a knowledge base that can be shared among the climate mitigation, adaptation and financing sectors, maximizing learning opportunities and improving professional and institutional capacities.

6.2 Generation and socialization of knowledge products

The project will document and disseminate lessons learned and systematization of experiences, processes, results, considered relevant for sharing locally and/or globally. There will be a dissemination of the Guatemalan experience on the integration of the gender approach in the MRV system (included in the Gender Action Plan, Annex 10). The process of systematizing of experiences will be carried out as the implementation of the project progresses. The M&E Officer may carry out the systematization with the support of external consultants. This process can be carried out annually. Platforms such as SNICC may be used for the socialization of knowledge products produced by the Project. In addition, the Project will have its own Website for the socialization of results and knowledge products; furthermore, communication channels such as social networks (Facebook and Twitter) can also be used. The project Website could be linked to the MARN´s Website. All knowledge materials generated, infographics and documents will be shared through the websites. Other means of communication and formats are presented in Annex 9: Stakeholder Engagement Plan.

6.3 Budget for knowledge management

Project Component 1 includes a Budget of USD 38,250.00 specifically for knowledge management, documentation and dissemination of knowledge products, lessons learned and systematizations of processes carried out under the Project with regard to the development of the MRV system on NGHGI, mitigation, adaptation, support provided and received, as well as knowledge generated on governance issues related to MRV.

6.4 Agreement on intellectual property rights and use of logo on the project’s deliverables and disclosure of information

To accord proper acknowledgement to the GEF for providing grant funding, the GEF logo will appear together with the UNDP logo on all promotional materials, other written materials like publications developed by the project, and project hardware. Any citation on publications regarding projects funded by the GEF will also accord proper acknowledgement to the GEF. Information will be disclosed in accordance with relevant policies notably the UNDP Disclosure Policy23 and the GEF policy on public involvement24.

In addition, on all publications and other written and/or audiovisual materials produced within the framework of the CBIT Project, the MARN and CATIE logos shall also appear, as well as the logos of other institutions involved in the activity.

7. Budget M&E

The monitoring and evaluation budget includes the inception workshop, 42.9% of the cost of the M&E Officer (the other 57.1% is charged to Component 125), yearly audits, the cost of Project Board and Technical Advisory Committee meetings, and the Terminal Evaluation. The total M&E cost are USD $ 74,550 for the four years of

23 See http://www.undp.org/content/undp/en/home/operations/transparency/information_disclosurepolicy/ 24 See https://www.thegef.org/gef/policies_guidelines 25 Notas al presupuesto No. 2 y 9.

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project implementation. As mentioned, the cost of knowledge management is included in the budget for Component 1, under Outcome 5.

Table 2: Monitoring and Evaluation Plan and Budget

GEF M&E requirements

Indicative costs (US$) Time frame

Inception Workshop 3,000.00 Within 60 days of CEO endorsement of this project.

Inception Report None Within 90 days of CEO endorsement of this project.

M&E of GEF core indicators and project results framework

40,000.00 Annually and at closure.

GEF Project Implementation Report (PIR) 0 Annually typically between June-August.

Monitoring of Stakeholder Engagement Plan and Gender Action Plan

0 On-going (to be carried out by PMU).

Project Board and CTA M&E meetings 2,350.00 At least annually

Supervision missions None Annually

Independent Terminal Evaluation (TE) 22,000.00 May-Aug 2025

TOTAL indicative COST 67,350.00

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ANNEX 5: UNDP SOCIAL AND ENVIRONMENTAL SCREENING PROCEDURE

Justification for the SESP exemption- CBIT Guatemala Capacity Building Initiative for Transparency (CBIT) is an initiative that supports developing countries to build institutional and technical capacity to meet the new requirements of the enhances transparency framework defined in Article 13 of the Paris Agreement. The CBIT has three broad aims:

• Strengthen national institutions for transparency-related activities in line with national priorities;

• Provide relevant tools, training, and assistance for meeting the provisions stipulated in Article 13 of the Agreement;

• Assist in the improvement of transparency over time.

The main focus of this CBIT project is to assist the Government of Guatemala in providing support for building institutional and technical capacities to meet these enhanced transparency requirements as defined in Article 13 of the Paris Agreement. It will use a capacity strengthening approach to shift from ad hoc reporting to a continuous process of monitoring, reporting, and verification (MRV) that will capture transparency activities and allow the country to track its progress against its commitments under its National Determined Contribution (NDC). The project has indeed two components:

1. Establishment and implementation of a holistic MRV system in Guatemala. 2. Monitoring and Evaluation (M&E) and Knowledge Management.

Also, the project has 5 outcomes in line with Article 13 of the Paris Agreement: 1.1 An MRV system to improve the calculation of the GHG inventories is designed and implemented. 1.2 A system to monitor the NDC mitigation component is designed and implemented. Capacity

building to support transparency-related activities over time, e.g. enhancing capacities to

calculate greenhouse gas inventories.

1.3 A system to monitor the NDC adaptation component is designed and implemented.

1.4 A system to monitor the NDC support provided and received component is designed and

implemented.

1.5. Climate change Sectoral Technical Commissions integrate the MRV component.

All project activities fall under SESP exemption criteria as broadly shown here:

• Preparation and dissemination of reports, documents and communication material (National Communication, Biennial Update Reports and National Determined Contributions: all project components)

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• Organization of an event, workshop, training (creating capacities for climate reporting: project component 1)

• Strengthening capacities of partners to participate in international negotiations and conferences (supporting and enforcing a technical baseline for UNFCCC negotiations: all project components)

• Partnership coordination (including UN coordination) and management of networks (specially a coordination with other GEF projects and activities in the country on climate mitigation and adaptation: all project components)

The combined implementation of those outcomes will allow Guatemala to be able to better strength the National Climate Change Information System through the five project outcomes to prepare its climate reporting and tracking documents to be submitted through Biennial Transparency Reports and National Communications (both EAs) to the UNFCCC facilitating the monitoring of the Guatemala´s NDC implementation, and it is in line with the exemption criteria presented above. Based on the exemption criteria, this project is considered exempted from the SESP screening

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ANNEX 6: UNDP RISK REGISTRY # Description Risk category Impact &

probability Risk Treatment / Management Measures Risk Owner

1 Due to administrative changes in the institutions, trained personnel can be replaced by new officers and technical staff, thereby losing the learning curve.

Operational

It reduces the effectiveness and makes it difficult to reach the objective. Moderate Probability: 3 Impact: 3

1. Involve as much as possible personnel from 011 or similar positions in the training workshops. 2. The trainings must be documented and the training materials must be officially made available to the operational offices of governmental entities to be safeguarded and disseminated. 3. Generate video, webinars, infographics or manuals that permit for the duplication of their contents. 4. Develop, as far as possible, online training programs that permanently available y can be taken by new staff.

MARN / Vice Ministry of Natural Resources and Climate Change. Project Coordinator (UEP). Implementing Partner. UNDP Country Office.

2 In 2023, change of government authorities

Operational

Moderate Probability: 4 Impact: 3.

1. Socialization meetings will be repeated with new authorities to regain political and technical support. 2. Trainings must be documented, and the training materials must be officially made available to the operational offices of governmental entities to be safeguarded and disseminated. 3. Develop, as far as possible, online training programs that permanently available y can be taken by new staff.

MARN / Vice Ministry of Natural Resources and Climate Change. Project Coordinator (UEP). Implementing Partner. UNDP Country Office

3 COVID pandemic restrictions might pose a limitation for capacitation and consultation processes

Environmental Low Probability: 2 Impact: 2

1. Virtual meetings will be held to reduce virus propagation 2. In case of face-to-face meetings, government guidelines will be adopted such as: frequent handwashing or disinfection with alcohol-based hand sanitizer, respiratory hygiene, physical distancing, wearing of masks will be obligatory. 3. Frequent and effective communication through virtual platforms will be promoted. 1. Opportunity: Iterative digital tools will be used to document and receive feedback. These tools have made it easier to document and store all comments and record discussions. 2. After one year under Covid restrictions, key stakeholders are familiar with digital platforms, online exchanges and virtual activities. Distance is not an obstacle, international experts can join meetings and provide technical assistance, when needed.

MARN / Vice Ministry of Natural Resources and Climate Change. Project Coordinator (UEP). Implementing Partner. UNDP Country Office

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# Description Risk category Impact & probability

Risk Treatment / Management Measures Risk Owner

4 Changes in metrics and indicators of ecosystems due to Climate Change, might require review and update of MRV and MER systems including protocols for different mitigation and adaptation sectors

Environmental Moderate Probability: 3 Impact: 3

1. review metric and indicators when MER and MRV systems require to assess whether the climate change variables (temperatures, rainfall, etc.) affects methodological protocols. If so, metrics and indicators need to be adjusted as they are crucial for decision-makers to effectively understand, prepare for, and respond to climate change impacts. 2. Develop workshops with key stakeholders of the STC for adaptation and mitigations to better understand the impact of climate change in metrics and indicators and how this might affect reports to inform decision makers.

MARN / Vice Ministry of Natural Resources and Climate Change. Project Coordinator (UEP). Implementing Partner. UNDP Country Office

5 Complications in an articulated coordination between the MRV system under-development, SNIGT and SNICC and limited technological capability to link information from government entities databases with the IT platform.

Others: Technological

The possibility of the MRV System being functional, useful and used by various users is reduced. Moderate Probability: 2 Impact: 4

1. Involve the IT units of the government institutions from the initial design stages of the modules, request their feedback and follow-up during the process until the link to the SNICC and SNIGT has been established. 2. Perform the analysis of computer equipment and infrastructure and technology capabilities in order to fill gaps.

MARN / Vice Ministry of Natural Resources and Climate Change. Project Coordinator (UEP). Implementing Partner. UNDP Country Office.

6 The institutions or entities responsible for providing the information and data do not do so in a timely manner.

Organizational The effectiveness and functionality of the MRV system is reduced. The credibility of the CBIT project may be lost. Moderate Probability: 2 Impact: 4

1. Develop Institutional agreements that establish the roles and responsibilities of the institutions. 2. Validate the agreements through a legal instrument that guarantees compliance with said agreements. 3. Promote that SEGEPLAN establishes the generation of information for the NDC in the planning processes.

MARN / Vice Ministry of Natural Resources and Climate Change. Project Coordinator (UEP). Implementing Partner. UNDP Country Office.

7 There is no consensus on the definition of sectoral targets / indicators for adaptation.

Strategic Limits achievement of Outcome 3 of the project. Moderate Probability: 2 Impact: 3

1. Promote that, under the leadership of MARN, an adaptation goals are established and that it implements its Plan to update the NDC.

MARN / Vice Ministry of Natural Resources and Climate Change. Project Coordinator (UEP). Implementing Partner. UNDP Country Office.

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# Description Risk category Impact & probability

Risk Treatment / Management Measures Risk Owner

8 Lack of articulated coordination between institutions involved in each of the sectors.

Organizational Reduces the effectiveness and makes it difficult to reach the objective. Moderate Probability: 2 Impact: 4

1. Develop Institutional Agreements that establish the roles and responsibilities of each of the institutions.

MARN / Vice Ministry of Natural Resources and Climate Change. Project Coordinator (UEP). Implementing Partner. UNDP Country Office.

9 No consensus on the legal mechanism for institutionalizing Sectoral Technical Commissions to define responsibilities for the operation of the MRV system.

Political Limits achievements of Outcome 5 of the project and the operational sustainability of the MRV system. Moderate Probability: 2 Impact: 4

1. Request support from the CTA, to influence reaching consensus for the legal mechanism. 2. Promote that MARN leads the formalization and establishment of the legal mechanism for the Sectoral Technical Commissions with top officials of participating institutions involved in the Commissions. 3. Involve the legal offices of the institutions from the beginning of these processes to avoid that the legal opinion is different from technical interests, with the aim of creating a route that facilitates consensus regarding the legal mechanism.

CTA. MARN / Vice Ministry of Natural Resources and Climate Change. Project Coordinator (UEP). Implementing Partner. UNDP Country Office.

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ANNEX 7: OVERVIEW OF PROJECT STAFF AND TECHNICAL CONSULTANCIES26 Consultant Time Input Tasks, Inputs and Outputs

For Project Management

Local / National contracting

Project Coordinator $39,600/year

4 years The Project Coordinator (PC) is responsible for the overall management of the project, including the mobilization of all project inputs, supervision over project staff, consultants and sub-contractors. The main PC´s responsibility is to ensure that the project produces the outcomes as specified in this Project Document, within the agreed quality standards, times and budget. The PC will inform the PB about delays or difficulties encountered during project implementation so that corrective measures can be taken. Specific duties and Responsibilities include:

• Manage the overall conduct of the project.

• Plan the activities of the project and monitor progress against the approved workplan.

• Execute activities by managing personnel, goods and services, training and low-value grants, including drafting terms of reference and work specifications, and overseeing all contractors’ work.

• Monitor events as determined in the project monitoring plan, and update the plan as required.

• Provide support for completion of assessments required by UNDP, spot checks and audits.

• Manage requests for the provision of UNDP financial resources through funding advances, direct payments or reimbursement using the FACE form.

• Monitor financial resources and accounting to ensure the accuracy and reliability of financial reports.

• Monitor progress, watch for plan deviations and make course corrections when needed within project board-agreed tolerances to achieve results.

• Ensure that changes are controlled and problems addressed.

• Perform regular progress reporting to the Project Board as agreed with the board, including measures to address challenges and opportunities.

• Prepare and submit financial reports to UNDP on a quarterly basis.

• Manage and monitor the project risks – including social and environmental risks - initially identified and submit new risks to the Project Board for consideration and decision on possible actions if required; update the status of these risks by maintaining the project risks log;

• Capture lessons learned during project implementation.

• Prepare revisions to the multi-year workplan, as needed, as well as annual and quarterly plans if required.

• Prepare the inception report no later than one month after the inception workshop.

• Ensure that the indicators included in the project results framework are monitored annually in advance of the GEF PIR submission deadline so that progress can be reported in the GEF PIR.

• Prepare the GEF PIR;

• Assess major and minor amendments to the project within the parameters set by UNDP-GEF;

• Monitor implementation plans including the gender action plan, stakeholder engagement plan, and any environmental and social management plans;

• Monitor and track progress against the GEF Core indicators.

• Support the Terminal Evaluation process.

26 The values mentioned include 10% Overhead costs from Implementing Partner (CATIE). The number of days and daily fees are indicative and will be defined during Project implementation on the basis of needs and in relation to fees on the labor market.

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Consultant Time Input Tasks, Inputs and Outputs

• Supervise PMU staff.

• Ensure smooth coordination with MARN, CATIE, Stakeholders, and Consultants. The PC is also responsible for carrying out several technical activities (see annex 8 ToR).

Administrative Assistant $17,160/year

4 years Under the general guidance and supervision of the Project Coordinator, the Administrative Assistant will provide support with tasks associated with the day-to-day management and operation of the project. He/she will be responsible for the administrative support functions to project management and will perform the following tasks:

• Assist the Project Manager in day-to-day management and oversight of project activities;

• Provide PMU-related administrative and logistical assistance;

• Assist in the preparation of progress reports;

• Ensure all project documentation (progress reports, consulting and other technical reports, minutes of meetings, etc.) are properly maintained in hard and electronic copies in an efficient and readily accessible filing system, for when required by PB, TAC, UNDP, project consultants and other PMU staff;

• Keep records of project funds and expenditures, and ensure all project-related financial documentation are well maintained and readily available when required by the Project Manager;

• Review project expenditures and ensure that project funds are used in compliance with the Project Document and GoI financial rules and procedures;

• Validate and certify FACE forms before submission to UNDP;

• Provide necessary financial information as and when required for project management decisions;

• Provide necessary financial information during project audit(s);

• Review annual budgets and project expenditure reports, and notify the Project Manager if there are any discrepancies or issues;

• Consolidate financial progress reports submitted by the responsible parties for implementation of project activities;

• Liaise and follow up with the responsible parties for implementation of project activities in matters related to project funds and financial progress reports;

• Prepare draft correspondence; clarifies, follows up, responds to requests for information, ensuring adequate communication and exchange of information with the Development Partner/MARN, Implementing Partner/CATIE, UNDP, institutional partners and other stakeholders;

• Provide support for the preparation of the agenda, invitations, materials and presentations required for PB and CTA meetings, briefings, workshops, among others;

• Prepare draft documentation required by the Implementing Partner/CATIE in relation to suppliers, consultants and payment requests, to ensure the smooth financial management of activities stated in the annual operational plan;

• Carry out preparatory work for mandatory and general budget reviews, annual physical inventory, audits and assist external evaluators in fulfilling their mission;

• Make logistical arrangements for supervision missions and visits; and

• Ensure the use and care of the instruments, equipment and furniture of the Project.

For Technical Assistance

Component 1 (Outcomes 1 to 5)

Contractual Services - Company

International Company $96,800

Contract by deliverables

• Analysis of MARN´s IT infrastructure and needs to implement MRV IT platform.

• Analysis of the structure of SNIGT and SNICC to ensure linkage and compatibility with MRV IT platform.

• Design the IT system, including NGHGI, mitigation, adaptation and support provided and received NDC components.

• Validate the technical bases of the MRV IT architecture.

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Consultant Time Input Tasks, Inputs and Outputs

• Identify SNICC interfaces with sectoral governing institutions and link MRV IT platform.

• Operationalize the IT system (linked to SNIGT and SNICC) for all NGHGI, mitigation, adaptation and support provided and received NDC components.

• Implement IT system, uploading information for 2 prioritized mitigation sectors: 1. Agriculture, 2. Industrial Processes and Product Use, 4 adaptation sectors: 1. Coastal marine zones 2. Agriculture, livestock and food security, 3. Human health, 4. Water resources, and the Support provided and received.

• Build capacities on the use and management of the IT System, with entities managing information in the 2 priority mitigation sectors, 4 adaptation priority sectors and those related to support component provided and received.

During the development of these activities, the company must work together with the units that manage the SNICC and SNIGT. It is essential that this subcontract leaves local capabilities installed in different institutions, including the ability and access in MARN to make adjustments to the software (IT) of the MRV system in order to avoid dependence on the subcontracted company.

Local Contracts

Contractual services with academic entity $269,045

Contract by deliverables

A contract will be signed with an academic entity or consortium; the contract will include training workshop costs and the costs of national and international experts, to:

• Design a capacity building program in: 1. NGHGI for all 5 inventory sectors, linked SNIGT and SNICC. 2. Adoption or adaptation of methodologies for assessing and reporting mitigation actions with institutions representing the two prioritized sectors: 1. Agriculture and 2. Industrial processes and use of products, including members of the academic, public and private sector sectors; 3. Monitoring and evaluation of adaptation measures (gender-sensitive); 4. Importance of MRV, oriented to government sector, academia, civil society, including indigenous peoples, private sector; 5. Socialization and dissemination program for the use and management of the domestic MRV System with Sectoral Technical Commissions.

• Adapt knowledge materials (webinar, virtual platform meetings, infographics) for use in workshops, delivery to operating units and uploading to SNIGT and SNICC for monitoring and reporting on the various components: 1) GHG Inventories, 2) mitigation, 3) adaptation, 4) support provided and received.

• Training of trainers (academic and government staff in amongst other the use of the 2006 IPCC Guides. Includes workshop costs.

• Support the trained pilot team, that with accompaniment of the project will implement training program, oriented to the members of the seven mitigation related Sectoral Technical Commissions: 1) Industrial Processes (MINECO); 2) Waste management (MARN); 3) Agriculture (MAGA); 4) Livestock (MAGA); 5) Forestry and Other Land Use (INAB and CONAP); 6) Energy (MEM); 7) Transportation (CIV). Includes workshop costs.

• Implement the capacity building program through training sessions in: o Methodologies to evaluate and report mitigation actions with members representing the two prioritized sectors: 1. Agriculture

and 2. Industrial processes and use of products, including members of the academic, public and private sector sectors. Includes workshop costs.

o Methodologies for assessing and reporting adaptation actions with members representing the 4 adaptation sectors: 1. Coastal marine zones 2. Agriculture, livestock and food security, 3. Human health, 4. Water resources. Includes workshop costs.

o Methodologies to strengthen the use and availability of support provided and received data, including climate finance data.

• Implement the socialization and dissemination program concerning the use and management of the domestic MRV System. Includes workshop costs.

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Consultant Time Input Tasks, Inputs and Outputs

National Expert in mitigation. $32,000/year

4 years

• Inter-institutional coordination of the mitigation sectors.

• Generation of strategic documents related to mitigation, national commitments, and Climate Change.

• Design of methodologies and indicators for mitigation actions.

• Validation of methodologies and indicators for 2 prioritized sectors (1. Agriculture and 2. Industrial Processes and Product Use);

• Design and adaptation of evaluation and reporting methodology.

• Implement evaluation and reporting methodology; and

• Produce and socialize with all institutions/organizations involved in the sectors, evaluation reports of mitigation actions.

• Technical support for Component 1 and monitoring of actions associated with mitigation, training, information management and national circumstances.

Gender equality Consultancy $–59,400

270 days x $220, throughout the 4 years of project implementation

Under the supervision of the Project Coordinator and in close coordination and collaboration with the MARN, and consultants hired for Outcomes 1 to 5, provide in the following support, including gender in:

• The design of methodological guidelines and indicators with the purpose of standardizing measurements of mitigation actions and their impacts in 2 prioritized sectors;

• The design of the MRV/mitigation training program and implement training sessions for MRV/mitigation actions/gender focus.

• The design of indicators, metrics and protocols, for 4 prioritized sectors;

• The design of the MRV/adaptation training program and implement sessions of the MRV/adaptation actions/gender focus;

• The design of the methodology that includes sensitive gender standardized formats for the systematization of climate finance, capacity and technology transfer and implement training sessions on the subject;

• The participatory development of the national strategy for monitoring and reporting;

• The design of the training program for the Sectoral Technical Commissions in the MRV System;

• Implement gender sessions in the scope of the socialization and dissemination program of the use and management of the national MRV System.

Also, develop a systematization of how the gender approach was integrated into Guatemala's MRV system.

National Expert in QA/QC and uncertainty analysis. $31,900

180 days x $170 • Design and validate a national methodology of QA, QC and uncertainty analysis in the 5 sectors of INVGEI: 1) Agriculture, 2) Forestry and other Land Uses, 3) Energy (including Transport), 4) Waste and 5) Industrial Processes, linked to the SNIGT and SNICC Sub Quality Control System.

• Implement the methodology for quality control and uncertainty analysis in two prioritized sectors: 1. Agriculture, 2. Industrial Processes and Product Use, connected to the SNIGT and SNICC Sub Quality Control System.

• Develop and adapt knowledge materials (webinar, virtual platform meetings, infographics) for use in workshops, delivery to operating units and uploading to SNIGT and SNICC.

• Development training workshops on QA, QC and uncertainty analysis and its connection with SNIGT and SNICC.

National Expert in gap analysis. $8,800

44 days x $200 • Implement a gap analysis for 1. Agriculture, 2. Industrial Processes and Product Use sectors.

National Expert in NGHGI. $53,900

350 days x $154 • Review and validate methodology and formats for NGHGI data collection;

• Improve and validate the methodology for the exchange of GHG inventory data;

• Information gathering training; and

• Implement workshops on information collection and exchange.

Digitizers $46,200

1x1100/month x 12 month;

• One (1) to enter data on mitigation priority sectors into the MRV IT system: 1. Agriculture and 2. Industrial processes and use of products.

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Consultant Time Input Tasks, Inputs and Outputs

4x1100/month x 6 months; 1x1100/month x 6 month.

• Four (4) to enter adaptation data into the MRV IT system: 1. Coastal marine zones, 2. Agriculture, livestock and food security, 3. Human health, 4. Water resources.

• One (1) to enter the information collected about support provided and received into the MRV IT system.

National Expert in adaptation and health. $ 44,000

352 days x $125 • Design and validate indicators and metrics on adaptation, review and validate indicators, and estimate the baseline for the human health sector.

National Expert in adaptation and water resources. $ 33,000

220 days x $150 • Design and validate indicators and metrics on adaptation, review and validate indicators, and estimate the baseline for the water resources sector.

National Expert in adaptation. $44,000

$11,000/Sector • Produce and socialize with all institutions/organizations involved in the 4 priority sectors, evaluation reports of adaptation actions for 1. Coastal marine zones, 2. Agriculture, livestock and food security, 3. Human health, 4. Water resources.

National Expert in planning and Climate change. $44,000

352 days x $125 • Identify information management needs and governance arrangements in SEGEPLAN and MINFIN systems;

• Develop an action plan to improve the reporting system for support received and provided;

• Design and implement a methodology for systematization of climate finances, capacity and technology transfer, with the different actors;

• Collect information on support provided and received; and

• Develop an Institutional manual to (gender sensitive) reporting on support provided and received (climate finance, including national, and international climate spending), capacity and technology transfer.

National Expert in legal aspects. $11,000

88 days x $125 • Develop a legal mechanism to formalize the Sectoral Technical Commissions and define responsibilities for the operation of the MRV system.

National Expert. $22,000.

176 days x $125 • Participatory development of a (gender sensitive) national strategy for monitoring and reporting progress of NDC implementation.

National Expert. $12,100

60 days x $200 • Document and disseminate lessons learned and systematize different processes supported by the project in the scope of the development of a domestic MRV system.

National Expert. $ 22,000

220 days x $125, throughout the 4 years of project implementation

• Develop and implement a communication program with stakeholders to maintain them informed about project progress, MRV system and promote participation.

Component 2: M&E y KM

M&E Officer $ 23,760/year

4 years Under the general guidance and supervision of the Project Coordinator, the M&E Officer will provide support for the implementation of the tasks associated with the day-to-day management and operation of the project, in particular monitoring and evaluation. He/she will perform the following tasks:

• Assist the Project Coordinator in the day-to-day management and supervision of project activities;

• Assist in M&E-related matters;

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Consultant Time Input Tasks, Inputs and Outputs

• Assist the Project Coordinator, in the preparation of the Annual Operational Plan and its corresponding budget; and

• Assist the Project Coordinator, with budget reviews and monthly, quarterly and annual technical and financial reports required by UNDP, MARN, key partners and GEF, indicating, inter alia, progress in meeting the indicators included in the project results framework. These include PIR (Annual Reports July - June), QPR (Quarterly Progress Reports), Atlas (Quarterly Reports on Monitoring, Progress in Indicators, Risks and Lessons Learned), SIGEACI (Bi-Monthly Report for MARN and SEGEPLAN) and others defined.

• Coordinate the preparation of forms, questionnaires and other tools to collect information on the ground as part of the M&E of the project Results Framework.

• Update these instruments based on experiences, the results they generate and lessons learned that are identified during their implementation.

• Update project information, including data collection for each indicator in accordance with the Monitoring and Evaluation Plan, using data reported by stakeholders, as well as data reported in consult reports; ensuring means of verification, monitoring visits, among others that the Officer deems necessary to verify data.

• Coordinate with the different technical and administrative units of MARN, and other key partners the programming and development of M&E activities.

• Develop and maintain up-to-date a project database that allows monitoring of project Results Framework indicators.

• Coordinate and monitor the implementation of the Stakeholder Participation Plan and the Gender Action Plan;

• Prepare knowledge management products; and

• Provide support with the development of digital, printed and/or audio-visual materials in the scope of the project.

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ANNEX 8: TERMS OF REFERENCE 1. Project Coordinator (male/female) He/she has the authority to manage the project on a day-to-day behalf of the Implementing Partner/CATIE, within the limitations established by the Project Board. The Coordinator will perform its functions in close collaboration and coordination with the Directorate of Climate Change and the Department of Science and Metrics of the MARN. He is responsible for supervising the M&E Technician and Administrative Assistant who are part of the Project Management Unit. The Project Coordinator (PC) is responsible for the overall management of the project, including the mobilization of all project inputs, supervision over project staff, consultants and sub-contractors. The main PC´s responsibility is to ensure that the project produces the outcomes as specified in this Project Document, within the agreed quality standards, times and budget. The PC will inform the PB about delays or difficulties encountered during project implementation so that corrective measures can be taken. Specific duties and Responsibilities include:

• Manage the overall conduct of the project.

• Plan the activities of the project and monitor progress against the approved workplan.

• Execute activities by managing personnel, goods and services, training and low-value grants, including drafting terms of reference and work specifications, and overseeing all contractors’ work.

• Monitor events as determined in the project monitoring plan, and update the plan as required.

• Provide support for completion of assessments required by UNDP, spot checks and audits.

• Manage requests for the provision of UNDP financial resources through funding advances, direct payments or reimbursement using the FACE form.

• Monitor financial resources and accounting to ensure the accuracy and reliability of financial reports.

• Monitor progress, watch for plan deviations and make course corrections when needed within project board-agreed tolerances to achieve results.

• Ensure that changes are controlled and problems addressed.

• Perform regular progress reporting to the Project Board as agreed with the board, including measures to address challenges and opportunities.

• Prepare and submit financial reports to UNDP on a quarterly basis.

• Manage and monitor the project risks – including social and environmental risks - initially identified and submit new risks to the Project Board for consideration and decision on possible actions if required; update the status of these risks by maintaining the project risks log;

• Capture lessons learned during project implementation.

• Prepare revisions to the multi-year workplan, as needed, as well as annual and quarterly plans if required.

• Prepare the inception report no later than one month after the inception workshop.

• Ensure that the indicators included in the project results framework are monitored annually in advance of the GEF PIR submission deadline so that progress can be reported in the GEF PIR.

• Prepare the GEF PIR.

• Assess major and minor amendments to the project within the parameters set by UNDP-GEF.

• Monitor implementation plans including the gender action plan, stakeholder engagement plan, and any environmental and social management plans.

• Monitor and track progress against the GEF Core indicators.

• Support the Terminal Evaluation process.

• Ensure smooth coordinate with MARN, CATIE, Stakeholders, and Consultants.

• Supervise PMU staff.

Technical activities that are responsibility of the PC:

• Support the establishment of interinstitutional agreements between the public sector (MARN) and academia with the aim of defining a subcontract for the design and implementation of a capacity building programme on the subject of National GHG Inventories.

• Support in obtaining institutional endorsement of national standardized methodologies and formats for the management of information of the different components: NGHGI, mitigation, adaptation and support provided and received.

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• Review/update where appropriate, interinstitutional agreements that were developed by the T3CN and 1BUR Project with the aim of improving the implementation of methodologies and formats.

• Accompany the training teams in obtaining the institutional approval for staff participation in the different training processes.

• Provide technical advice regarding metrics and indicators, ensuring the quality of the products.

• Lead and technically support the dissemination of the Climate Budget Tagging implementation guide and develop knowledge tools (webinar, virtual platform meetings, other infographics deemed necessary) for use in workshops, delivery to operating units and uploading to SNICC.

• Raise technical and political awareness of the importance of monitoring, evaluating and reporting of the country's progress of mitigation and adaptation actions for achieving NDC commitments.

• Support the establishment of interinstitutional cooperation agreements with the institutions involved in each sector for the proper management of information.

• Implement activities required for achieving the full and effective participation of indigenous peoples' and women's organizations at Sectoral Technical Commissions.

• Lead and actively participate in the socialization of the final version of the National strategy for Monitoring and Reporting Progress for NDC Compliance, with partners and other stakeholders.

• Lead and support the implementation of the communication and stakeholder participation program on the MRV system, project progress and promotion of participation of stakeholders.

Profile:

Academic Qualifications:

• Bachelor's degree: Engineer, Agronomist, Renewable natural resources, Environment, Forestry, Biology or related to the natural sciences.

• Academic degree at the postgraduate level in natural sciences, climate change or related. Experience:

• At least 5 years of demonstrable experience in project management.

• At least 5 years of demonstrable experience working in public sector, ministerial level, or national or international agencies in environmental management and climate change issues.

• At least 5 years of demonstrable experience in climate change, with demonstrable knowledge of NGHGI, adaptation and mitigation.

• Preferably at least 3 years of demonstrable experience with data management, IT platforms and statistics.

• Active Collegiate. Competencies:

• Strong leadership, management and coordination skills, with the ability to effectively manage technical and administrative teams.

• Proven ability to effectively coordinate the implementation of multi-stakeholder projects in various sectors and at all levels to develop lasting partnerships with institutional partners.

• Ability to manage budgets, as a trainer, and work effectively with counterpart staff at all levels and with multi stakeholders.

• Ability to coordinate and monitor the implementation of technical activities in partnership with a variety of stakeholder groups, including government, the private sector, academia, civil society and international cooperation.

• Strong writing and reporting skills.

• Strong communication and writing skills in both Spanish and English.

• Strong computer skills, particularly mastering all MS Office package applications. 2. M&E Officer (male/female) Under the general guidance and supervision of the Project Coordinator, the M&E Officer will provide support for the implementation of the tasks associated with the day-to-day management and operation of the project, in particular monitoring and evaluation. He/she will perform the following tasks:

• Assist the Project Coordinator in the day-to-day management and supervision of project activities;

• Assist in M&E-related matters;

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• Assist the Project Coordinator, in the preparation of the Annual Operational Plan and its corresponding budget; and

• Assist the Project Coordinator, with budget reviews and monthly, quarterly and annual technical and financial reports required by UNDP, MARN, key partners and GEF, indicating, inter alia, progress in meeting the indicators included in the project results framework. These include PIR (Annual Reports July - June), QPR (Quarterly Progress Reports), Atlas (Quarterly Reports on Monitoring, Progress in Indicators, Risks and Lessons Learned), SIGEACI (Bi-Monthly Report for MARN and SEGEPLAN) and others defined.

• Coordinate the preparation of forms, questionnaires and other tools to collect information on the ground as part of the M&E of the project Results Framework.

• Update these instruments based on experiences, the results they generate and lessons learned that are identified during their implementation.

• Update project information, including data collection for each indicator in accordance with the Monitoring and Evaluation Plan, using data reported by stakeholders, as well as data reported in consult reports; ensuring means of verification, monitoring visits, among others that the Officer deems necessary to verify data.

• Coordinate with the different technical and administrative units of MARN, and other key partners the programming and development of M&E activities.

• Develop and maintain up-to-date a project database that allows monitoring of project Results Framework indicators.

• Coordinate and monitor the implementation of the Stakeholder Participation Plan and the Gender Action Plan;

• Prepare knowledge management products; and

• Provide support with the development of digital, printed and/or audio-visual materials in the scope of the project.

Profile: Academic Qualifications: • Bachelor's degree in environmental sciences, agronomy, water resource management, engineering or other similar areas.

• Studies in Project Monitoring and Evaluation, Project Management and/or Planning.

Experience:

• Active Collegiate.

• At least three (3) years of demonstrable work experience, preferably in a project involving natural resource management and/or climate change. Previous experience with a UN project will be an advantage.

• At least three (3) years of experience in demonstrable project monitoring and evaluation, prior work with an GEF project is considered an advantage;

• At least two (2) years of demonstrable experience in managing databases and/or platforms for information exchanges, data analysis, publications and/or reports based on field data;

• At least one (1) experience with the implementation of results-based management. Competencies:

• Ability to coordinate and monitor the implementation of technical activities in partnership with a variety of stakeholder groups.

• Strong writing and reporting skills.

• Strong communication skills.

• Strong computer skills, particularly mastering all applications in the MS Office package. 3. Administrative Assistant (male/female) Under the general guidance and supervision of the Project Coordinator, the Administrative Assistant will provide support with tasks associated with the day-to-day management and operation of the project. He/she will be responsible for the administrative support functions to project management and will perform the following tasks:

• Assist the Project Manager in day-to-day management and oversight of project activities;

• Provide PMU-related administrative and logistical assistance;

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• Assist in the preparation of progress reports;

• Ensure all project documentation (progress reports, consulting and other technical reports, minutes of meetings, etc.) are properly maintained in hard and electronic copies in an efficient and readily accessible filing system, for when required by PB, TAC, UNDP, project consultants and other PMU staff;

• Keep records of project funds and expenditures, and ensure all project-related financial documentation are well maintained and readily available when required by the Project Manager;

• Review project expenditures and ensure that project funds are used in compliance with the Project Document and GoI financial rules and procedures;

• Validate and certify FACE forms before submission to UNDP;

• Provide necessary financial information as and when required for project management decisions;

• Provide necessary financial information during project audit(s);

• Review annual budgets and project expenditure reports, and notify the Project Manager if there are any discrepancies or issues;

• Consolidate financial progress reports submitted by the responsible parties for implementation of project activities;

• Liaise and follow up with the responsible parties for implementation of project activities in matters related to project funds and financial progress reports;

• Prepare draft correspondence; clarifies, follows up, responds to requests for information, ensuring adequate communication and exchange of information with the Development Partner/MARN, Implementing Partner/CATIE, UNDP, institutional partners and other stakeholders;

• Provide support for the preparation of the agenda, invitations, materials and presentations required for PB and CTA meetings, briefings, workshops, among others;

• Prepare draft documentation required by the Implementing Partner/CATIE in relation to suppliers, consultants and payment requests, to ensure the smooth financial management of activities stated in the annual operational plan;

• Carry out preparatory work for mandatory and general budget reviews, annual physical inventory, audits and assist external evaluators in fulfilling their mission;

• Make logistical arrangements for supervision missions and visits; and

• Ensure the use and care of the instruments, equipment and furniture of the Project. Profile:

Academic Qualifications:

• Bachelor's degree in Business Administration, Economy, Finance or related fields.

Experience:

• At least three (3) years of demonstrable work experience, preferably in an international cooperation project. Previous experience with a UN project will be an advantage.

• Active Collegiate. Competencies:

• Very good interpersonal skills.

• Very good organizational skills; and

• Competence in the use of computer applications, especially MS Word and MS Excel.

4. National Expert in Mitigation to Climate Change (male/female) Under the general guidance and supervision of the Project Coordinator, National Expert in Mitigation to Climate Change will provide technical assistance and develop key activities related to the Mitigation component.

• Assist the Project Coordinator in the supervision of project activities related to Mitigation;

• Design methodologies and indicators of mitigation actions according to National circumstances

• Develop the Validation process of proposed methodologies and indicators for prioritized sectors. (Agriculture and 2. Industrial Processes and use of products),

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• Design/adjust the evaluation and reporting methodology for the MRV Mitigation component

• Implement the evaluation and reporting methodology.

• Provide technical advice on mitigation, climate change and MRV.

• Coordinate the preparation of forms, questionnaires and other tools to collect information.

• Coordinate with the different technical units of MARN, and other key partners intersectoral actions related to the project implementation.

• Prepare knowledge management products Academic Qualifications: • Bachelor's degree in environmental sciences, agronomy, water resource management, engineering or other similar areas.

Experience:

• Active Collegiate.

• At least three (3) years of demonstrable work experience related to mitigation and climate change. Previous experience with a UN project will be an advantage.

• At least one (1) experience with the implementation of results-based management. Competencies:

• Ability to coordinate and monitor the implementation of technical activities in partnership with a variety of stakeholder groups.

• Strong writing and reporting skills.

• Strong communication skills.

• Strong computer skills, particularly mastering all applications in the MS Office package. 5. Gender equality Consultant-MRV (male/female) Under the supervision of the Project Coordinator and in close coordination and collaboration with the MARN, and consultants hired for Outcomes 1 to 5, provide in the following support, including gender in:

o The design of methodological guidelines and indicators with the purpose of standardizing measurements of mitigation actions and their impacts in 2 prioritized sectors;

o The design of the MRV/mitigation training program and implement training sessions for MRV/mitigation actions/gender focus.

o The design of indicators, metrics and protocols, for 4 prioritized sectors; o The design of the MRV/adaptation training program and implement sessions of the MRV/adaptation

actions/gender focus; o The design of the methodology that includes sensitive gender standardized formats for the

systematization of climate finance, capacity and technology transfer and implement training sessions on the subject;

o The participatory development of the national strategy for monitoring and reporting; o The design of the training program for the Sectoral Technical Commissions in the MRV System; o Implement gender sessions in the scope of the socialization and dissemination program of the use and

management of the national MRV System.

• Develop a systematization of how the gender approach was integrated into Guatemala's MRV system.

• Provide support to the bringing up-to-date and implementation of a Diploma course in gender perspective in adaptation and mitigation of Climate change.

• Support the Project Coordinator and the M&E Officer with the implementation and monitoring of the Gender Action Plan.

Profile:

Academic Qualifications:

• University degree (MSc or PhD) in a topic related to the natural sciences or social sciences. Experience:

• At least 10 years of demonstrable experience in mainstreaming gender approach in development projects.

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• At least 5 years of demonstrable experience in national gender capacity building in government entities, civil society organizations, the private sector and/or academia.

• Active Collegiate. Competencies:

• Demonstrated understanding of the links between social and gender issues and climate change, MRV, NGHGI, adaptation and mitigation.

• Ability to work as a team.

• Excellent communication, presentation, analysis, and writing skills.

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ANNEX 9: STAKEHOLDER ENGAGEMENT PLAN 1. Introduction UNDP is committed to the meaningful, effective and informed participation of Stakeholders in the design and implementation of all UNDP projects. Effective Stakeholder engagement is a cornerstone for achieving sustainable development. Civil society actors and organizations, indigenous peoples, local communities and other key stakeholders are crucial partners in promoting human rights-based development. The effective participation of Stakeholders is essential to achieve the Sustainable Development Goals (SDGs) and the principle of "leaving no one behind" in the fight against inequality and guaranteeing equity and non-discrimination in all areas of programming.

The objectives of stakeholder engagement include the following: i) strengthening development results through partnerships; (ii) identify Stakeholders' priorities to better tailor project activities, opportunities, and benefits; (iii) identify possible limitations and conflicts that could affect the effectiveness of the project; (iv) learn and incorporate lessons learned to improve project design in order to avoid and mitigate project-related risks and impacts; (v) provide a feedback and monitoring mechanism to ensure that the project is achieving its intended results, and identify possible undesired results; and, vi) provide real access to dialogue and decision-making in development processes. This Stakeholder Engagement Plan was prepared in response to the requirements outlined in GEF and UNDP policies27, for the project: "Strengthening Guatemala´s the transparency framework through capacity building to Implement the Paris Agreement". In Guatemala, the Ministry of Environment and Natural Resources (MARN), with technical support from the United Nations Development Program (UNDP), negotiated with the Global Environment Facility (GEF) support so that Guatemala can comply with the Article 13 of the Paris Agreement on “common but differentiated responsibilities and an enhanced transparency framework”. In January 2020, the GEF approved the project idea (PIF) and during 2020, the CBIT project was designed and the Project Document (PRODOC) and the Endorsement request to the CEO of the GEF were developed including all annexes, as required by UNDP and the GEF. With the implementation of the CBIT project, the country will have access to a robust and holistic Monitoring, Reporting and Verification (MRV) system, which will allow the country to monitor the implementation of its Nationally Determined Contribution (NDC), improve the quality of its National Greenhouse Gases Inventory (NGHGI), the quality of its reports, and will be able to monitor public policies and better link them with national priorities on climate change. A participatory process was followed for the design of this Plan as well as for development of the PRODOC. All meetings and workshops with Stakeholders were held virtually, due to the COVID-19 Pandemic and in compliance with the respective presidential provisions in Guatemala. 2. Regulations and requirements This Stakeholder Engagement Plan is developed in the scope of in the regulations of the Republic of Guatemala, which is governed by the Political Constitution of the Republic of Guatemala (1985). The main national legal instruments relevant to the project are the following: the Peace Accords (1996), the Framework Law of the Peace Accords (Decree 52-2005 of 1/IX/2005), the National Policy for Integral Development and Promotion of Women 2008-2023 (2008), the National Development Plan K'atun “Nuestra Guatemala 2032” (2014), the Environmental Gender Policy of MARN (2012), the Law for the Promotion of the Establishment, Recovery, Restoration, Management, Production and Protection of Forests in Guatemala (2013), the Framework Law to Regulate the Reduction of Vulnerability, the Mandatory Adaptation to the Effects of Climate Change and the Mitigation of Greenhouse Gases (Decree 7-2013), the National Policy on Climate Change (Government Agreement 329-2009) and the National Action Plan on Climate Change (PANCC).

Likewise, the project is aligned with the country's international commitments to Sustainable Development and other and international treaties ratified by Guatemala. Specifically, the following international instruments can be mentioned: the Universal Declaration of Human Rights (1948), the International Convention on the Elimination of all forms of Racial Discrimination (1967), the Convention on the Elimination of all forms of Discrimination Against Women (1979), ILO Convention 169 on Indigenous and Tribal Peoples in Independent Countries (1989), the

27 Guidance Note UNDP Social and Environmental Standards (SES). Stakeholder Engagement, October 2017.

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Convention on Biological Diversity (1992), the United Nations Framework Convention on Climate Change (1992) , the Inter-American Convention to Prevent, Punish, and Eradicate Violence Against Women (1994), the UNESCO Universal Declaration on Cultural Diversity (2001), the Declaration and Plan of Action of the III Durban World Conference against Racism, Discrimination and Xenophobia and all forms of intolerance (2007), the United Nations Declaration on the Rights of Indigenous Peoples ( 2007), the Sustainable Development Goals/Agenda 2032 (national SDG targets: 1, 2, 8 and 10 (2015) and the Declaration of Iximuleu and Ibero-American Action Plan for the implementation of the Rights of Indigenous Peoples (2018) . 3. Summary of activities carried out for the involvement of Interested Parties For the design of the CBIT project, a participatory process was followed, taking as a basis the actors and interested parties identified in the Stakeholder Engagement Plan. All meetings and workshops were held virtually, due to the COVID-19 Pandemic and the respective national regulations. This meant in the case of Guatemala, the instruction of the President of the Republic to the entire population to stay at home, the prohibition of holding meetings of more than 10 people, a curfew with hours that varied 28 , and for several months the ban on traveling outside the department where one resides. This resulted in that, during the design process, face-to-face meetings or workshops could not be held. MARN's official liaison with CBIT participated in the entire design process and several meetings were held with MARN authorities. For the selection of the Implementing Partner (CATIE), interviews led by MARN were held with the two pre-selected bodies after an analysis of six possible candidates: UVG and CATIE (June 25 and 26). Three meetings were also held with the CTA (July 2 and 31 and August 14) to present progress on the design, the PRODOC draft and the draft of the PRODOC annexes. The feedback from the CTA was taken into account to enrich or complement the PRODOC. There are minutes of all meetings and workshops. Two workshops were organized with Focus Groups to present and obtain feedback on the Results Framework, the first with the staff of the Climate Change Directorate and the Department of Sciences and Metrics of MARN (July 9) and the second with the other government organizations that lead mitigation and adaptation Sectoral Technical Commissions and representatives of the SGCCC (July 10). Regarding gender, an interview was held with the Coordinator of the MARN Gender Unit (July 10) and a Focus Group discussion concerning the draft Gender Analysis and Action Plan was held with the GCI Gender Thematic Group (August 26). A Survey was also developed and sent to more than 80 stakeholders, thus socializing the design process and creating opportunities for participation. The results of the survey enriched this Stakeholder Engagement Plan as well as the Gender Action Plan.

There were 32 responses to the survey (format in Appendix 2), which was sent to 80 mapped actors (40% response). Those that responded the survey, included among others SEGEPLAN, MARN, MAGA, MAGA/Gender, INAB, INE, CONAP, USAC, FCG, RA, ACR, Chamber of Milk Producers, USAC, CEAB/UVG, SGCCC, IICA, Intersectoral Table of Land and Environment, GEOAMBIENTE, ASOREMA/CEMAT, Association for Sustainable Development SINERGIAS and several Producer Associations. There was participation of all categories of Stakeholders: (i) central government (40.6%), local government (12.5%), private sector (12.5%), Academia (6.3%), civil society organizations (25.0%) and international cooperation (3.1%), see graph 1.

28 From 6-9pm to 4-5am.

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Graph 1:

Response to the survey in CBIT design phase, by stakeholder category

Finally, it is important to mention that, in compliance with UNDP requirements, the draft of the CBIT Project Document with all its annexes was shared with the stakeholders for review, comments and contributions. The PRODOC was reviewed by MARN, CTA and by other stakeholders in the “Validation Workshop” that was held on September 8. At the Workshop, the PRODOC draft was presented (an electronic copy was sent to participants by email one week before the workshop date); 35 people participated and the comments contributed to improve the PRODOC (the report of the validation workshop is presented in appendix 1).

4. Stakeholder 4.1 Identification of Stakeholder This chapter presents the Stakeholders for the CBIT Project, including stakeholders who:

a) Are directly and / or indirectly affected by the project. b) Have "interests" in the project. c) Have the potential to influence the project results or interventions.

The stakeholder mapping exercise was an extensive work, based on documents and communication with professionals related to various activities on mitigation and adaptation issues in Guatemala. Likewise, communication was established with experts on the subject of climate change, who provided information and important complements to the mapping of actors. In total, the stakeholder mapping contains 120 actors, with the observation that the municipalities (340) were registered as a single actor, likewise the Mancomunidades (there are several in the country) were taken as a single actor. The Stakeholders by category are the following:

1. Central government

2. Local government

3. Private sector

4. Civil society organizations (including Indigenous Peoples organizations)

5. Academy

6. International cooperation

Central government. According to the Political Constitution of the Republic of Guatemala (CPRG, acronym in Spanish), the executive body is in charge of ensuring the correct application of the laws for the common welfare of the population. In this mapping of governmental institutions, the Ministries of State, Secretariats, decentralized institutions, Lake Authorities and some relevant intergovernmental coordination bodies (for example, the National Climate Change Council (CNCC, acronym in Spanish), the Inter-institutional Coordination Group (GCI) and the Inter-institutional Group for Forest and Land Use Monitoring (GIMBUT, acronym in Spanish), were taken into account29.

29 Refiere una institución que no depende jerárquicamente del gobierno central y que tiene ciertas competencias y facultades autónomas.

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In particular, the Ministry of Environment and Natural Resources (MARN) should be mentioned as it is the governing body in matters of climate change and official liaison to the United Nations Framework Convention for Climate Change (UNFCCC), as well as governmental institutions that lead Sectoral Technical Commissions both in mitigation (7 Commissions) and in adaptation (6 Commissions); these are presented in table 1. However, there are other important actors, including: (i) institutions that participate take in these Commissions, (ii) entities relevant as providers of data to the MRV system, or (iii) potential users of the MRV reporting, such as the National Institute of Earthquake Meteorology and Hydrology Volcanology Logistics (INSIVUMEH, acronym in Spanish), the Guatemalan Social Security Institute (IGSS, acronym in Spanish), the National Institute for Statistics (INE, acronym in Spanish), the Bank of Guatemala (BANGUAT, acronym in Spanish), the Superintendency of Revenue Administration (SAT, acronym in Spanish), the Secretariat of Planning and Programming of the Presidency (SEGEPLAN) or the Ministry of Public Finance (MINFIN), to name a few. In total, 32 central government instances were mapped.

Table 1: Leaders of mitigation and adaptation Sectoral Technical Commissions, by sector

Sectoral Technical Commission Mitigation Adaptation

Agriculture MAGA -

Livestock MAGA -

Forestry and Other Land Use INAB and CONAP -

Energy MEM -

Transportation MICIVI -

Industrial Processes MINECO -

Waste management MARN -

Coastal Marine Zones - MARN

Agriculture, livestock and food security

- MAGA

Water resources - MARN

Human health - MSPAS

Infrastructure - CIV

Forest resources, ecosystems and protected areas

- INAB and CONAP

Local government. Guatemala is administratively divided into 22 departments and 340 municipalities, the municipalities by law have autonomy from the executive branch or central government. Therefore, the municipal council is exclusively responsible for exercising the government of the municipality. The law allows municipalities to group together on the basis of convenience; these are known as “Mancomunidades” and are legally registered under the figure of Associations. In addition to the municipalities and mancomunidades, the Guatemalan Association of Mayors and Indigenous Authorities (AGAAI) and the National Association of Municipalities (ANAM) were included in the mapping exercise of stakeholder. The AGAAI is important as a representation of all municipalities with indigenous and ancestral governance bodies; the ANAM on the other hand is a political and coordinating body between the municipalities and the central government, complementary to the Municipal Development Institute (INFOM, acronym in Spanish), which acts as technical and administrative advisor, has its own financial resources, and provides financial support (in the form of loans) for the implementation of specific projects of the interest of municipalities.

Private sector. On the one hand, relevant companies for the CBIT project, such as “Cementos Progreso”, “Guatemala Steel”, “Central American Beer Brewer SA”, “Multi Investment Coprporation”, Enel Green Power, Electricity Company-Guatemala City (ENERGUATE, acronym in Spanish) were identified: (i) for being private sector companies that have shown interest in participating in the Sectorial Technical Commissions, (ii) are implementing mitigation measures, and (iii) are important to provide primary GHG emission data to the MRV system. On the other hand, the mapping includes also second- and third-degree private sector entities, using different legal figures, but all legal within the Guatemalan legal system. Hence, the Guatemalan Chamber of Construction (GCC, acronym in Spanish),

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the Chamber of Agriculture of Guatemala (CAMAGRO, acronym in Spanish), the Coordinating Committee of Agricultural, Commercial, Industrial and Financial Associations (CACIF, acronym in Spanish), the Chamber of Industry (Companies of Cement, Lime and Glass), several Trade Unions (Rubber, Forestry, Specialized Transportation of Fuels, Agricultural Supplies, among others) and Associations (Sugar Association of Guatemala (AZASGUA, acronym in Spanish), Association for Renewable Energy, or the Gremial Association of Exporters (AGEXPORT, acronym in Spanish), among others. In total, there are 34 different and complementary private sector actors included in the stakeholder mapping.

Academy. This includes the academic and research institutions (Universities and Research Centers) that carry out activities (research, projects, diploma or postgraduate degrees) related to climate change, such as the Private Institute for Climate Change (ICC, acronym in Spanish), the Center for Environmental Studies and Biodiversity of the Universidad del Valle de Guatemala (CEAB/UVG, acronym in Spanish), the Sustainable Economic Observatory of the UVG, the Center for Conservation Studies of the Universidad de San Carlos de Guatemala (CECON/USAC, acronym in Spanish), the Institute for Research and Projection on Environment, Nature, and Society of the Rafael Landivar University (IARNA/URL, acronym in Spanish), the National Secretariat for Science and Technology (SENACYT, acronym in Spanish), as well as second-degree entities, such as the Guatemalan System of Climate Change Sciences (SGCCC, acronym in Spanish). In total, there are 17 stakeholders from the academy identified.

Civil society. Refers to organizations that by law in majority are constituted under the figure of association. The stakeholder mapping includes, among others, the Association of Forest Communities of Petén (ACOFOP, acronym in Spanish), the Association of Rural Women of Olopa (AMCO, acronym in Spanish), the Association of Organizations of the Cuchumatanes (ASOCUCH, acronym in Spanish), the Association Regional Campesina Ch´ortí (ASORECH, acronym in Spanish) and the Sotzi´l Association. These organizations activities include: (i) environment and natural resources, forest management, reforestation and community forestry programs, projects and services, (ii) support to the agricultural productive sector, and (iii) advocate for the role of the indigenous peoples in adaptation and mitigation to climate change. Two other relevant civil society bodies for the CBIT project are: (i) The National Climate Change Board (MNCC, acronym in Spanish), which is a civil society initiative that seeks full and effective participation in all national bodies on change climate change and in the bodies and procedures established under the UNFCCC, including risk management, mitigation and adaptation, climate finance and technology transfer, and (ii) the Guatemala Indigenous Peoples Commission on Climate Change (MICCG, acronym in Spanish), which is a non-profit organization of a technical-political nature, made up of around forty organizations of linguistic communities in Guatemala, dedicated to advocacy of the rights of indigenous peoples in the laws and public policies of national and international character related to climate change. Third-degree instances were also registered, under the figure of Federations; most are active in various lines of agricultural production, and include: the Federation of Agricultural Cooperatives of Coffee Producers of Guatemala (FEDECOCAGUA, acronym in Spanish) and the Federation of Cooperatives of the Verapaces (FEDECOVERA, acronym in Spanish), and in terms of political incidence, the Forest Coordination Board of Region VI (MESAFORQ, acronym in Spanish), among others. The stakeholder mapping also includes NGOs such as the Foundation for the Conservation of Natural Resources and the Environment in Guatemala (FCG, acronym in Spanish), the Foundation for the Defense of Nature (FDN, acronym in Spanish) and the Foundation for Eco Development and Conservation (FUNDAECO, acronym in Spanish). In total, there are 18 actors from civil society in the stakeholder mapping. International cooperation. This stakeholder category refers, among others, to some of the United Nations System Agencies, especially those with a clear orientation to integral development, climate change, natural resources and the environment, such as: the Food and Agriculture Organization of the United Nations (FAO), the United Nations Program United Nations for Development (UNDP) and the International Fund for Agricultural Development (IFAD). In addition, bilateral cooperation was included, in particular those who provide funding for climate change programs or projects, such as the Spanish Agency for Cooperation International for Development (AECID), the United States Agency for International Development (USAID) and the German Corporation for International Cooperation (GIZ). Also, stakeholders such as multilateral financial institutions and development banks are included, such as the Inter-American Development Bank (IDB), the World Bank (WB) and the State Development Bank of the Federal Republic of Germany (KfW). And finally, some international NGOs involved in international cooperation on climate change, including: The Nature Conservancy (TNC), the International Union for the Conservation of Nature (IUCN), World Wildlife Fund (WWF) and Rainforest Alliance (RA). In total 14 international cooperation stakeholders have been mapped.

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4.2 Stakeholders directly and / or indirectly affected by the project Among the Stakeholders directly affected are the government institutions that lead the Sectoral Technical Commissions on mitigation and adaptation (table 1), as well as the Directorate of Climate Change, the Department of Sciences and Metrics and the Gender Equity Unit of MARN. These stakeholders, together with the private sector, the academy and the civil Society members of that integrate the Sectorial Technical Commissions, will be positively affected and represent the direct beneficiaries of the CBIT project. They will also be key actors in the design and implementation of the MRV system, including the contribution of key, accurate and solid data to the System and their technical capacities (in calculating NGHGI, methodologies, metrics, indicators, baseline, among others) will be strengthened. SEGEPLAN and MINFIN will also be directly affected, due to their essential role in the design of the monitoring component of the support provided and received (climate finance, capacities and technology transfer) from the NDC; also, their technical capacities for the implementation of this component of the MRV System, will be strengthened. An important key stakeholder for the project will be the Guatemalan System of Climate Change Sciences (SGCCC, acronym in Spanish), made up of various actors. Among them: Association for Research and Social Studies (ASIES, acronym in Spanish), Latin American Faculty of Social Sciences (FLACSO, acronym in Spanish), National Institute of Seismology, Volcanology, Meteorology and Hydrology (INSIVUMEH, acronym in Spanish), Private Institute for Climate Change Research (ICC, acronym in Spanish), Ministry of the Environment and Natural Resources (MARN, acronym in Spanish), University of the Vallee of Guatemala (UVG, acronym in Spanish), San Carlos University of Guatemala (USAC, acronym in Spanish), Galileo University (UG, acronym in Spanish), Mariano Gálvez University (UMG, acronym in Spanish), and Rafael Landivar University (URL, acronym in Spanish); in addition, there are other participating entities who are not founders: National Network for Environmental Training and Research (REDFIA, acronym in Spanish), National Coffee Association (ANACAFÉ, acronym in Spanish), Guatemalan Association of Exporters (AGEXPORT, acronym in Spanish), BIOS Association, Tropical Agronomic Center for Research and Education (CATIE, acronym in Spanish), Central National School of Agriculture (ENCA, acronym in Spanish), Famine Early Warning System Network (FEWS NET, acronym in Spanish), Foundation for the Defense of Nature (FDN, acronym in Spanish), Green Development (GP, acronym in Spanish), National Forestry Institute (INAB, acronym in Spanish), Ministry of Energy and Mines (MEM, acronym in Spanish), Municipality of Guatemala (Muni Guate), Secretariat of Planning and Programming of the Presidency (SEGEPLAN, acronym in Spanish), German Society for International Cooperation (GIZ), The Nature Conservancy (TNC) and several Independent Consultants. It is expected that indirectly, local governments will be positively affected, as well as other members of the academy and civil society not participating in the Sectoral Technical Commissions, foreseeing that the information generated will serve to enhance their performance on climate change issues. The previously mentioned “mancomunidades” are not necessarily directly affected by the project, but as they group together several municipalities, their participating may be relevant to the CBIT project in facilitating communication between the project and local governments.

Among other entities indirectly affected are the technical coordination and management bodies

such as the National Climate Change Council (CNCC, acronym in Spanish), the Inter-

institutional Coordination Group (GCI, acronym in Spanish) and the Inter-institutional Group for

Forest and Land Use Monitoring (GIMBUT, acronym in Spanish). The CNCC and GCI are

important for inter-institutional coordination and supervision of the implementation of the

Framework Law on Climate Change (Decree 7-2013) and the GIMBUT with the contribution of

data to the MRV System. 4.3 Stakeholders who have "interests" in the project The main entities with interests in the CBIT project will be the central government and the private sector. They are the key interested parties in that ad hoc reporting moves to a continuous process of MRV, which at the same time allows an effective monitoring of their progress, within the framework of the commitments in the NDC and that Guatemala fulfills its transparency commitments.

By developing an MRV system that allows improving the calculation of the NGHGI of the different sectors, which includes mechanisms to strengthen the quality of the data and uncertainty analysis, as well as the development of methodologies, mechanisms and inter-institutional coordination for data collection, generation of continuous and

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periodic reports for the calculation of activities and the development of sectorial subsystems for the collection, storage and processing of data, the private sector will be able to use the information for its mitigation and adaptation strategies and to increase its competitiveness, by reducing costs production as a co-benefit of mitigation actions. Stakeholders such as the academy and international cooperation have an interest, as the establishment of a holistic MRV System, will enable the country to improve the quality of its NGHGI, improve the quality of its reports, monitor more accurately mitigation and adaptation actions, national and international climate spending, and more effectively link support to national policy priorities on climate change. For international cooperation, it is relevant that the MRV System contributes to reducing overlaps and duplications in actions against the effects of climate change, possibly freeing up resources for additional measures, which is particularly relevant for Guatemala, as it is highly vulnerable to threats caused by climate change. Incorporating the gender perspective in the MRV System and having access to data disaggregated by sex, will provide stakeholders such as the central government, civil society and international cooperation, clearer and unmistakable information on the differentiated impacts of the Climate change on women and men, with such information the new climate policies, actions and financing, can be oriented with the gender equality approach. 4.4 Stakeholders that have the potential to influence project outcomes or interventions Among the stakeholders that have the potential to influence the results of the CBIT project, is the central government. In particular MARN as the project Development Partner and national governing body for climate change. Secondly, the governmental institutions that lead the mitigation and adaptation Sectorial Technical Commissions for (MARN, MAGA, MEM, MINECO, CIV, MSPAS, INAB, CONAP), as well as SEGEPLAN and MINFIN (the latter especially for the issue of climate financing). Thirdly other governmental institutions that have the potential to influence the project success are: INE, SAT, BANGUAT, INSIVUMEH, as they manage essential data for the MRV System. As such, the actors that make up the Stakeholder category known as “Central Government” are transcendental for the success of the Project's interventions related to the strengthening of capacities, the design of the MRV System and its compatibility with the SNICC, inter-institutional coordination, as well as institutionalization of the System in the Sectorial Technical Commissions, and the sustainability of the operation of the MRV System. The private sector, particularly the companies included in the mapping and some second-tier private organizations also have the potential to influence the success of the CBIT project, since they handle primary GHG emission data essential for the NGHGI and MRV System in general. On the part of the Academy, the key actor is the Guatemalan System of Climate Change Sciences (SGCCC), since it integrates all the academic centers and relevant research institutions and will play a significant role in the design of the MRV System. The International Cooperation is an important Stakeholder due to its role of providing primary data to the monitoring the support provided and received. 4.5 Analysis of the interests of the interested parties When analyzing the categories of Stakeholders, the main beneficiaries of the project are identified as the members of the Sectoral Technical Commissions for mitigation and adaptation. These Sectorial Technical Commissions are led by government entities (central government) and are made up of representatives (authorities, managers, technical staff, researchers, among others) from the private sector, the academy, and civil society. They will be key actors in the design and implementation of the MRV system, they will be the main users of the System and their technical capacities will be strengthened. Other direct beneficiaries will be officials and technical personnel from SEGEPLAN and MINFIN, since their technical capacities for the implementation of the climate finance monitoring component of the NDC will be strengthened. Under the CBIT project, there is no evidence of Stakeholders requiring special support to participate in the project. Neither have any Interested Parties been identified that are negatively affected by the project or that have interests that conflict with the project's objectives and therefore could put the project at risk. The stakeholder analysis also asks the question, how will the project affect women and men differently? The design of the MRV system for Guatemala suggests gender mainstreaming, which must take into account current institutional and sociocultural conditions in the country. The CBIT project, as it is an institutional strengthening project, will not affect women and men differently, but it can have a positive effect on existing gender gaps. Among other things, the MRV system is expected to generate clearer and new information regarding the different impacts of climate change on women and men, contributing to making new climate policies, actions, and financing, gender sensitive (see also Gender Analysis and Action Plan (Annex 10). It is expected that the CBIT project will strengthen

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the knowledge on the relation gender-climate change-MRV and that it will contribute somewhat to the empowerment of women working on climate change and / or gender equality. Table 2 presents the interests at stake of the different Stakeholders, the effect of the Project on these interests, as well as the importance of the stakeholder for the success of the Project and their level of influence.

Table 2: Interests, importance and influence of Project stakeholder

Stakeholder category

Interests at stake in relation to the project

Effect of the project on their interests (+)

(-) or N (neutral)

Importance of the actor for the success

of the project: 1 = Small/not

important 2 = Some importance

3 = Moderate importance

4 = Very important 5 = Critical actor

Level of influence of the actor on the

project 1 = Small/no

influence 2 = Some influence 3 = Moderate influence

4 = Significant influence

5 = Very infuencial

Central government

MARN: To comply as a governing body with its mandate in climate change; strengthen national capacities; complement the SNIGT; monitoring of the actions implemented in support of the NDC commitments; improve the quality of (inter)national reports; comply with the Paris Agreement and UNFCCC obligations on transparency issues.

(+) 5 5

Governmental organizations leading Sectoral Technical Commissions, SEGEPLAN and MINFIN: strengthen their capacities; access to an MRV system capable of monitoring progress within the framework of NDC commitments in mitigation, adaptation and monitoring the support provided and received.

(+) 5 4

Other Executive bracnhes (INE, BANGUAT, SAT, INSIVUMEH, among others): greater efficiency by having clarity in the data required for the MRV system.

(N) 4 2

CNCC: MRV system to monitor the implementation and compliance of the Climate Change Framework Law, PANCC and LEDS; enhanced monitoring and connection between climate actions, programs and projects and climate change policies.

(+) 2 5

Local government

Data and information from different sectors to guide Municipal Low Emissions Development and Adaptation

(+) 3 3

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Policies and Strategies (gender sensitive).

Private Sector

Improved and more reliable NGHGI (SNIGT) and MRV system, with data to guide business decision making and internal policies on climate change. Co-benefits of new mitigation practices and technologies. In addition, strengthening its capacities in the design and use of the MRV System.

(+) 5 4

Civil society organizations

Several organizations are part of Sectoral Technical Commissions. Main interest: an MRV system that allows to monitor mitigation and adaptation actions and support provided and received, is of the interest of the civil society as it will contribute to the evaluation of public policy, and generate data for the formulation of new programs and projects to increase the resilience of important population segments in the country, in particular the most vulnerable population. In addition, several civil society organizations (including the MICCG) will strengthen their capacities in the use of the MRV System.

(+) 3 3

Academy

SGCCC: To help develop an MRV System and IT platform, compatible with the SNICC; contribute on a scientific basis to the design of the MRV system (improve the calculation of NGHGI, apply mechanisms to improve data quality and uncertainty analysis) and the development of sectoral subsystems for data collection, storage and processing; strengthen their capacities in the design and implementation of the System.

(+) 5 3

International Cooperation

Have a System to monitor climate finance, reduce duplications in actions against the effects of climate change. More accurate data about progress in meeting the SDGs on climate change.

(+) 4 2

4.6 Prioritization, importance and influence of Stakeholders Table 3 shows the degree of influence and importance of each stakeholder group on the results and success of the CBIT project.

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The stakeholders (interested parties):

Following the UNDP Guide30, stakeholders are described in each of the following four groups:

Group 1: important for the success of the CBIT project, but with little influence on the process. It mainly refers to those governmental institutions that are not leaders of Sectorial Technical Commissions, local governments, the SGCCC and international Cooperation. They are important because they provide data to the MRV System and the SGCCC has technical capacities to contribute to the design of the System. Even so, the direct influence on the implementation of the Project is limited. No problems are foreseen due to their participation in the Project and they do not require special support, since they are empowered entities.

Group 2: fundamental for achieving the outputs, outcomes and the success of the Project, and they have influence. This group includes MARN, the GOs that lead the Sectorial Technical Commissions and representatives of the private sector and civil society that participate in the Sectoral Technical Commissions. They are to be considered the main allies of the Project.

Group 3: these are not the central stakeholders of the project and have little influence on its success or failure. It refers to civil society organizations that are not part of the mitigation and adaptation Sectoral Technical Commissions for and are unlikely to play a decisive role in the overall process.

Group 4: these are not very important for the implementation of the Project, but they can exert significant political influence; referring particularly to the National Council on Climate Change, which has political influence, however, its role is weak in the direct implementation of project activities and in achieving CBIT project outcomes.

30 Guidance Note UNDP Social and Environmental Standards (SES). Stakeholder Engagement, October 2017.

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Graph 2: Importance and influence of stakeholder groups

5. Stakeholder Engagement Plan In Chapter 3, the stakeholder engagement process in the project design phase was described. It is also expected that, during the implementation phase of the project, there will be various moments of information dissemination and stakeholder participation. UNDP Social and Environmental Standards (SES) require that Project Stakeholders have access to relevant information, which includes:

• Any significant change in the project that may generate new risks and impacts. It is the obligation of the Development Partner / MARN and Implementing Partner / CATIE, through the Project Management Unit (PMU) to inform the different stakeholders if new risks and unforeseen negative impacts appear during project implementation, as well as the proposed mitigation measures.

• Implementation of different environmental and social instruments. The purpose here is to inform Stakeholders about the final social and environmental evaluation of the project (SESP) and the main guidelines included in the Stakeholder Engagement Plan and its implementation and reports of eventual consultations with Stakeholders.

• The Grievance Redress Mechanism (GRM). The GRM is a valuable instrument for stakeholder participation. Through the Project's website and MARN, the public is informed of a periodic summary of the complaints received through the GRM and how these were resolved, but without revealing the information of the individuals or groups, in order to protect their identities. The information will be updated on the web pages every quarter.

• Project progress. Also, Stakeholders will be informed about progress in the achievement of project objectives and outcomes, subprojects in execution, experiences and innovations, as well as the environmental and social performance of the project.

The above information will be disclosed on the websites of the Development Partner / MARN, Implementing Partner / CATIE and the UNDP Country Office in Guatemala.

X Civil society org. in mesas

técnicas sectoriales

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Based on the results of the Survey carried out during the design phase of the CBIT project, it has been determined that the most accessible and viable channels and means to maintain timely, fluid and agile communication to facilitate the participation of Interested Parties are: email, virtual platforms, WhatsApp, face-to-face meetings and Web pages. The main formats for sharing information and promoting participation are: events, webinars and virtual conferences, technical documents and case studies, as well as events and face-to-face conferences, followed by brochures and newsletters (graphs 3 and 4).

Graph 3: Communication channels preferred by stakeholders

Graph 4: Formats to inform stakeholders about CBIT Project progress, experiences, innovations and results

Regardless of the formats or communication channels used, whenever there is participation of indigenous peoples that do not speak or prefer not to speak Spanish, simultaneous translation at events in Mayan languages is very important. Tables 4 and 5 present the most appropriate media and formats for each category of stakeholders, taking into account the context of each one and as indicated by stakeholders in the survey.

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Table 4: Channels to socialize and share information, communicate with stakeholders and enhance their participation

Stakeholder category / Communication channel

Phone call WhatsApp E-mail Existing virtual platforms (e.g.

Zoom) Project Website

MARN - CATIE Website

Central government X - X X X X

Local government - X X X X -

Private Sector - - X X X -

Civil Society Organizations - X X X X -

Academy - X X X X -

International Cooperation - - X X X X

Table 5: Formats to inform stakeholders about CBIT Project progress, experiences, innovations and results

Stakeholder category / Information formats

Brochures and bulletins

Press releases and

articles

Case studies and technical documents

Virtual Conferences

Events, Expositions,

Exchange visits (face-to-face)

Project monitoring

reports

Informative messages

Informative meetings, personal

communication

Central government X - X X X X - X

Local government X X - X - - X -

Private Sector - X - X X - - X

Civil Society Organizations X X X X X - X -

Academy - X X X X - - X

International Cooperation X - X X X - - -

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6. Timeframe The following is the timeframe for the Stakeholder Engagement Plan.

Table 6: Stakeholder Engagement Plan Timeframe

Activity Año

1 2 3 4

Inform about any significant change in the project that may generate new risks and impact.

As required

Inform Stakeholders about the final social and environmental evaluation of the project (SESP) and the main guidelines included in the Stakeholder Engagement Plan.

X

Socialize the GRM. X

Periodic summary of the complaints received through the GRM and how these were resolved.

4 times/year 4 times/year 4 times/year 4 times/year

Inform about progress in the achievement of project objectives and outcomes, subprojects in execution, experiences and innovations, as well as the environmental and social performance of the project.

annually annually annually annually

7. Resources and responsibilities The Project Coordinator and the M&E Officer of the Project Management Unit will be in charge of the implementation of the Stakeholder Engagement Plan, in close collaboration with the staff of the Climate Change Directorate and the Department of Science and Metrics of MARN. For the implementation of the Plan, a budget (Table 7) has been prepared and resources have been integrated in the overall Project budget.

Table 7: Budget for the implementation of the Stakeholder Engagement Plan31

Activity Amount (in USD)

Project Website development and socialization. 2,000.00

Dissemination of Project progress and results: radio, television y supplements in newspapers.

5,000.00

Training and socialization in the fiunctioning of the GRM. 3,000.00

Total (in USD) 10,000.00

8. Grievance Redress Mechanism 8.1 UNDP Accountability Mechanisms The UNDP Social and Environmental Standards (SES) recognizes that, even with sound planning and stakeholder involvement, unforeseen complaints or grievances can still arise. Therefore, the SES is supported by an Accountability Mechanism with two key components:

1. A Social and Environmental Compliance Review Unit (SECU) to respond to complaints when UNDP does not comply with applicable environmental and social policies; and 2. A Stakeholder Response Mechanism (SRM) that ensures that individuals, peoples and communities affected by projects have access to adequate complaint resolution procedures, to hear and address complaints and disputes related to the projects.

31 The values do not include the 10% Overhead by CATIE; the overhead was added to each activity when integrating this partial budget in the general project budget.

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The UNDP Accountability Mechanism is available to all Stakeholders of UNDP projects. More information on how to apply to SECU or SRM at www.undp.org/srm and www.undp.org/secu. The claimant may also use another national or international mechanism. 8.2 CBIT project Grievance Redress Mechanism This section describes the process through which people affected by the Project can raise their complaints, grievances and concerns with the PMU, and how they are considered and addressed. It also describes the time that the affected parties might have to wait for their claims to be acknowledged, responded to and resolved; as well as the GRM management structure and those responsible.

There are different ways and channels through which affected parties can submit their claims and complaints; these are detailed in the box below. The GRM functions free of costs and if a complaining party wishes so, it can be anonymous. The GRM contains an appeal process for those who file complaints and claims and are not satisfied with the solution. The GRM is a tool that allows to know and address the questions, concerns, worries and manifestations that may arise from the implementation of the Project, and allows to:

a) Establish a formal communication channel between any person who may be affected by the actions of the project and the PMU and relevant government entities to resolve complaints and claims, according to the level and complexity of the problem identified. b) Attend and resolve claims and complaints that may arise from the implementation of the Project. c) Monitor the implementation of the agreements reached to resolve complaints and claims and implement improvements in their processes and procedures.

Although the GRM refers more directly to complaints and claims, the mechanism can be used to express other considerations. The following are the different considerations that can be received through the GRM:

• Suggestion: a proposal presented to improve on an activity or a project process;

• Request: a request regarding a specific issue or question related to the implementation of the Project;

• Concern: a concern raised by the implementation of a project intervention or activity;

• Complaint: an expression or manifestation of the disagreement generated by any of the Project activities; and

• Claim: an objection presented in order for the Project to specifically review and evaluate any action related to its services or activities.

All complaints and claims should be addressed to the PMU of the CBIT project. The Project will design a Form to present complaints or claims; which will be available in printed version at the Project office, the MARN and Project website. If the complaint / claim comes in a format other than the pre-established Form, the PMU will contact the complainant to fill out the corresponding Form together. In the Survey that was carried out during the Project design process, the different Stakeholders were asked to give their opinion on the GRM (graph 5), for example, the ways to submit complaints, and the corresponding adjustments were made. Respecting the stakeholders´ opinion, the ways to submit complaints and claims are as follows:

o In writing:

-Sending an email to the PMU or completing the Form available online on the MARN and Project website. -Sending a message by WhatsApp (highly accessible to all stakeholders) to a number of the CBIT project, specific for this purpose. In this case, the PMU sends the claimant the Form by WhatsApp and the claimant can send the filled-out Form back the same way.

o By telephone: by calling a telephone number at the PMU. The information will be used to complete the Form. Claimants with limitations to fill out the Form themselves, can use this modality to file a complaint and obtain a follow-up of the complaint in a similar way.

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Graph 5: Ways for affected parties to submit complaints and claims

If the complaint or claim comes in a different format, the PMU will contact the complainant to fill out the standard Form together. In Guatemala, due to the multiethnic and multicultural nature of the population, it is recommended, when conditions require it, that a person who speaks the Mayan language can attend the claimant and assist in submitting the complaint. With the GRM, the aim is to substantially improve the transparency and the social and environmental results of the Project. From the date of receipt, the PMU will respect the following times to keep the claimant informed about the attention their complaint or claim is receiving (table 8). During the implementation of the CBIT project, MARN, with the support of the PMU and the Implementing Partner (CATIE), will prepare detailed regulations on the functioning of the GRM, which will then be shared with the stakeholders, through the channels and formats described in chapter 5.

Table 8: GRM timeframe for addressing complaints and claims

Action Key content of communication with the claimant Timing

Receipt of the compliant The PMU Assistant registers the complaint and sends confirmation of receipt to the complainant. Also informs who will analyze the complaint and the expected time for the response. The communication includes contact details for use and follow-up by the complainant.

Maximum a week after the complaint has been received.

Request for additional information

More information may be needed for the analysis and to better understand the context of the complaint. Further information may be requested from the complainant or affected party.

As required

Information regarding the decision (ruling)

The PMU informs the complainant of the decision (ruling): who took it, the arguments, measures to be taken, responsible and its follow-up. Confirmation from the complainant of acceptance of the measures to be taken is requested. The communication includes information about any appeal process.

Maximum two weeks after the complaint has been received.

Closing The PMU sends the complainant a settlement letter, requesting it to be returned signed.

Once agreed measures have been implemented and finalized.

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9. Monitoring, Reports and evaluation The monitoring and follow-up of the Stakeholder Engagement Plan is the responsibility of the Development Partner / MARN and Implementing Partner / CATIE, through the PMU (PC and M&E Officer). The Stakeholder Engagement Plan implementation process will be duly documented, systematized and reported. UNDP will be informed about the implementation of the PPPI, together with the project progress reports.

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Appendix 1: Report of the Validation Workshop 8 September 2020

-Virtual- 1. Methodology

The Validation Workshop was carried out on September 8, 2020 from 13:30 to 15:00 hours. It was carried out virtually through the Zoom Platform, thus complying with the COVID-19 Pandemic restrictions. Through the Zoom platform a presentation of the CBIT project design was made to the Plenary and several participation opportunities for feedback from the stakeholder representatives were created:

1. Zoom platform chat (questions, comments and answers by the PPG Team);

2. Interactive questions during the presentation, using the Slido.com;

3. A space at the end of the presentation for discussion and feedback (facilitated by David Barrera of MARN); and,

4. A short follow-up survey, using the Google forms app, which was shared via chat and sent after the event to stakeholder representatives by email (including the PowerPoint presentation of the CBIT project). The survey was available on-line for three more days and the results have been incorporated into this report.

Through these options, it was possible to promote stakeholder participation in the Validation Workshop, in spite of the fact that for many people it is more difficult to express themselves in virtual spaces, in comparison to the face-to-face meetings to which they are accustomed.

2. Workshop objectives

1. Socialize the design of the CBIT project.

2. Receive feedback from stakeholders to enrich project design and encourage participation throughout the implementation of CBIT.

3. Identify potential obstacles or risks that could affect the implementation of the project and how to mitigate them.

4. Tap into stakeholder experiences, proposals and lessons learned to improve project design.

3. Workshop invitation

The MARN Climate Change Directorate sent a week in advance of the Workshop an invitation to 75 representatives of stakeholder groups. In a first survey carried out during design (August 2020) there was relatively little participation from the private sector and international cooperation, which is why particular attention was paid to the representation of these stakeholders when sending out the invitations to the Validation Workshop. At the time of preparing the list for the invitations, special attention was also given to ensure the participation of people who are participating in Sectoral Technical Commissions on behalf of various organizations, as these professionals are more knowledgeable of mitigation and adaptation processes and more informed feedback on the design could be expected. In order to stimulate participation, a reminder was sent on the day of the Workshop.

4. Participation In the Workshop, 35 people (31% women and 69% men) participated on behalf of Stakeholders: 31% of the private sector, 29% international cooperation (including PPG Team), 20% of civil society, 17% of the central government and 3% of the academy (Figures 1 and 2).

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5. The Workshop On behalf of the MARN, Ing. David Barrera opens the Workshop, thanking stakeholder representatives for their participation and interest in the project. Through SLIDO, participants are asked to share the name of the institution they represent. The design team also thanks the participants for their presence and presents, supported by a PowerPoint presentation, the key elements of the CBIT project design: background, participatory design process, moments of review of the documents by the Technical Advisory Committee. Also explains who the direct beneficiaries will be, including institutions such as MARN, MEM, MAGA, INAB, CONAP, MSPAS, CIV and the Sectoral Technical Commissions for mitigation and adaptation (including private sector and civil society members). Furthermore, the theory of change, expected benefits of the project, the benefits of an MRV system and the benefits of a gender-focused MRV are presented. The results framework, indicators, targets and potential risks and mitigation measures are shared with participants. Then, participants are consulted through SLIDO what role they consider their institution/organization could play in the Project. A majority self-identifies as a user of the MRV system, but

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50% of participating entities also see a role as providers for data to the MRV system on both mitigation, adaptation and climate finance actions. Subsequently, the Stakeholder Engagement Plan and GRM are described. The presentation concludes with a summary of the gender mainstreaming strategy and the affirmative actions included in the design of the CBIT project. The design team explains what information, according to UNDP standards, the Project is required to share during its implementation and participants are consulted through SLIDO, what information is of interest to them. The vast majority indicate interested in learning about the progress and results of the Project.

Once the plenary session was finalized, participants were requested to answer a short survey made available through: https://forms.gle/CpUWugczUSMeuiBx5 which in addition to 15 questions related to the design also allowed them to send written comments and recommendations for the final design documents.

Afterwards, time for questions and discussion was opened. Daniel García from the Chamber of Industry, asked why the "Forestry and Other Land Uses" sector, was not prioritized, why this sector will receive support from FAO and why the energy and transport sectors were not prioritized. David Barrera, MARN, replies and explains that the Industrial Processes and Agriculture sectors are a priority for the MARN, but have little support. Barrera also explains that, even though FAO through FAO's READINESS project the AFOLU Sector was supported, Agriculture was prioritized as a sector still

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requiring further strengthening with the development of information and data. On the part of representatives of the Chamber of Industry, it was also mentioned that they hope that during the implementation of the Project they will be taken into account as an actor who can make contributions. Rosa Sunum of INAB mentioned that with respect to outcomes 2 and 3 associated with the MRV system, the CBIT support focuses on mitigation. She noted that the forestry sector was not prioritized under the CBIT project adaptation outcome and requested to leave this sector out of the adaptation related interventions. MARN states again the criteria used to prioritize sectors, including the fact that the country will receive FAO support through a FOREST-CBIT, soon to be launched. Regarding outcome 4 and specifically climate finance, Rosa Sunum states that monitoring of international financing is important, but that it is equally important to identify national funding and public spending. The PPG Team, shares that on this subject the Third Communication is working on international financing, but experience shows that domestic financing has been more complicated. There are two studies developed by UNDP and Biofin, and the methodologies they have applied are not comparable, so there is an opportunity in the CBIT project to develop these methodologies. Reference is also made to the climate classifier managed by MINFIN. Rosa Sunum recommends unifying efforts and not repeating actions. Finally, she refers to synergy between the CBIT project and the actions of the Emission Reduction Program under the Cooperative Fund for Forest Carbon, which is being managed with support from the World Bank. Sergio Guzmán, of ACOFOP/Guatecarbon, also makes a call to seek synergies and not duplicate efforts. Finally, there is an intervention by Melissa Calvo of the Chamber of Industry who asks how the project is linked to climate change targets in the National Development Plan Katu´n Nuestra Guatemala 2032. David Barrera of the MARN and Fernando García of UNDP, explain that there is an alignment of mitigation and adaptation targets between the Katu´n 2032 and the current NDC and the process planned for updating the NDC. Fernando Garcia further explains that the MRV is not only for mitigation, but also includes monitoring, evaluation and reporting (MER) of adaptation actions. Without further interventions, David Barrera, on behalf of the MARN, thanked everyone for their participation, inviting them at the same time to send more contributions through the survey, and proceeds to close the Workshop. 6. Main results of the survey: The following organizations responded to the post-closing survey of the Workshop: ACOFOP/Guatecarbon, CONFECOOP, Rainforest Alliance, Cervecería Centro Americana S.A., GEPSA, Ministry of Public Health and Social Assistance, GIZ, Fundación Defensores de la Naturaleza, and INE. These stakeholders identify as an additional benefit(s) of the CBIT project: (i ) Improving decision-making; (ii) Support to the development of a data registration, monitoring, and evaluation culture; (iii) Identification of improvement actions; (iv) Improved consistency between country goals stated in the NDC commitment of the Paris Agreement and promote clear and fair rules for each sector on a scientific basis; (v) Have consistent and scientifically valid information; (vi) Improve interinstitutional communication and coordination mechanisms; (vii) Definition of information standards; and (viii) Improve available information and define mechanisms for filling information gaps. As measures to maximize expected benefits, they recommend the following:

• Leave capacity to develop an MRV system installed in governmental institutions; • Capacity building of leading institutions in the territories, i.e. working with regional/departmental

delegations; • Effective involvement of the parties; • Professional participation and not just for filling space; • Clearly define indicators and their metadata; design an interinstitutional communication and

coordination system; national MRV dissemination strategy; and • Improve interinstitutional coordination, allocate more resources for operational and operational

expenses, develop regulations and develop plans under the Framework Law on Climate Change, improve information collection.

Six potential risks that could affect implementation have been identified in the design. The following figure shows the perception of stakeholder how likely it is for the risks that might have a significant impact on the Project implementation to occur.

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In addition, participants identified the following potential risks and mitigation measures:

• Lack of financing both for further technological development and for the payment of technical personnel who collect and analyze and prepare reports the information. Mitigation: allocating of national funds to these activities (or request donor support)

• That CBIT it is not just implemented as a project, but from the beginning looking towards sustainability. Mitigation: Ensure implementation based on results.

As benefits of having a gender-focused MRV system, stakeholders mainly consider options A and D (see figure). As additional benefits of having a gender-focused MRV system, stakeholders mention:

• Compliance with safeguards.

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• More socialization of gender issues.

• Access to information for women is an empowerment tool, and will give them the option to transfer their knowledge and experiences in climate change mitigation and adaptation.

• Opportunity for women we can contribute to the development of the country with capacity and leadership.

• Promote gender equity in terms of participation in different actions related to an MRV system.

• Proper management of natural resources is family and not just men.

• Generate opportunities and entrepreneurship in Guatemalan society.

To the question what other information would you be interested in receiving during the implementation of the CBIT project?, the answers were:

• Progress made in mainstreaming gender considerations and the perspective of indigenous peoples in MRV.

• Alignment with national goals.

• Data, metadata and standards.

Additional Comments from Stakeholders:

• Clarify whether all mitigation and adaptation components will be taken into consideration. In the case of mitigation, it speaks only of two sectors (agriculture and industrial processes).

• Measurement methods must be approved and accredited by national or international certification body that provide validity to the results. Otherwise this would lack scientific validity and plausibility.

• Ideally statistics and monitoring should be led by the academy.

• Broader participation of private sector (second-tier entities) in the Sectoral Technical Commissions should be promotes.

• Tax incentives for actors in sectors that comply with their GHG emission reduction measures, ISR rebate, import tax exemption from low-emission equipment and technology, etc.;

• Good project, we are to support.

As part of the feedback to the CBIT Project Design Validation Workshop, INAB emailed the following comments and inquiries:

1. According to the presentation made, INAB is mentioned as a direct beneficiary as one of the governmental entities leading the Sectoral Technical Commissions. I would appreciate it if you could confirm which of the components and results of the project INAB has been considered as a beneficiary.

2. As indicated during the workshop, for the result regarding the system to monitor the support provided and received. We suggest to pay special attention to the design of a robust methodology for measuring public spending for climate change. Currently, it has been possible to monitor international support received, but not so public spending. This is an issue of particular interest given that in the NDC we have a conditional commitment and an unconditional one, and as a country we seek to be in a condition to report both the support received (conditioned target) and the expected one (unconditioned goal).

3. For sectors that were not prioritized in this proposal, specifically the forestry and other land use sector for results 2 and 3, how do you plan to link them to the national MRV? Is there any confirmation that the adaptation component for the forests sector will be included in the CBIT forest project?

In response to INAB's questions and observations, the PPG Team replied as follows: 1. The CBIT project has a single component with five outcomes. INAB will play an important role in the

development and achievement of all outcomes and is considered a beneficiary of all activities that lead to the strengthening of technical and institutional capacities, especially, as it is jointly with CONAP the leading entity of the FOLU Sectoral Technical Commission on mitigation (outcome 1 and 2). It is also an essential participant in outcomes 4 and 5: as activities include the development of methodologies, formats, etc. and implementation in the IT system of the support provided and received both internationally and public spending; INAB will benefit mainly from institutional capacity building, workshops, technical support, etc. However, INAB will also benefit from the general

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improvements resulting from a domestic MRV system. In outcome 5, INAB would benefit, among others, from the development of a National monitoring and reporting Strategy (including FOLU) and the legal mechanisms and agreements that aim at the institutionalization of the Sectoral Technical Commissions (including FOLU).

2. For the final PRODOC we will take in account your observation, regarding the issue of monitoring "public spending", especially because of the relationship with the goal in the "unconditional" NDC.

3. We understand that FAO and MARN have already reached agreement on FOREST-CBIT. Having been assured that the project will be launched soon, MARN decided to not prioritize FOLU under this GEF/UNDP CBIT proposal. Hence avoiding duplication of efforts and use of resources. It is very likely that both projects start a few months apart, which would contribute greatly to the required coordination. Both projects are directly linked to the MARN Climate Change Directorate, which also contributes to the essential linkage of the MRV-Forestry with the national MRV and its IT system. I copy this email to Mr. David Barrera who can provide more details in this regard.

SUMMARY CHAT: 3:46:08 De Dunia lopez: https://app.sli.do/event/en74zuub/live/polls 13:49:32 De Dunia lopez: Este es el código 87468 13:53:17 De Sergio Guzman: comparto con ustedes un vínculo relevante al tema de NDCs y el acuerdo

de Paris 13:53:19 De Sergio Guzman: herramienta digital NDC LAC www.ndclac.org, primera plataforma en

idioma español para conocer el estado de avance de la ambición y acción climática de América Latina y el Caribe:

13:53:40 De Sergio Guzman: www.ndclac.org 13:53:53 De Mario Buch: Gracias Sergio Guzmán. 13:54:43 De Fernando Garcia Barrios: Gracias por compartir Sergio

14:05:52 De Jose Furlan: 14:08:36 De Sergio Guzman: ¿Podrian compartir la presentación power point? 14:11:15 De Dunia lopez: Sí, Sergio. Al finalizar se compartirá la ppt. 14:25:23 De Dunia lopez: https://app.sli.do/event/en74zuub/live/polls 14:30:22 De Sergio Guzman: Estimados, ¿porque no se incluyó el sector de uso y cambio de uso de la

tierra y silvicultura? 14:31:19 De Mario Buch: Gracias Sergio. Hay un CIBT especifico que estará trabajando FAO con el

MARN, en este tema. 14:33:17 De Cesar Martinez para Dunia lopez (En privado): este tema está relacionado con las mesas

de trabajo del Proyecto de desarrollo con bajas emisiones? 14:33:41 De Kenset Rosales: Saludos Sergio, te estaré invitando a la próxima reunión de presentación

del plan de acción en el sector AFOLU, que menciona Mario. 14:34:04 De Sergio Guzman: perfecto 14:34:34 De Kenset Rosales: o si es de interés de este grupo, también se estará socializando dicho

plan 14:34:52 De Julio López payés: excelente, gracias 14:42:09 De Dunia lopez para Cesar Martinez (En privado): Cesar, sí. Se está dando seguimiento a las

mesas. Actualmente se ha reactivado la mesa de Zonas Marino Costeras 14:42:30 De Dunia lopez para Cesar Martinez (En privado): Como parte de las acciones de MARN y el

proyecto NDC 14:42:45 De Dunia lopez para Cesar Martinez (En privado): Se espera poder reactivar a todas las mesas

sectoriales 14:43:35 De Dunia lopez: Gracias Kenset. 14:50:53 De Cesar Martinez para Dunia lopez (En privado): compartirán las presentaciones? 14:51:18 De Dunia lopez para Cesar Martinez (En privado): Sí. Cesar, al finalizar la compartiremos 14:52:04 De Dunia lopez: Vínculo para la encuesta: https://forms.gle/CpUWugczUSMeuiBx5 14:52:20 De Dunia lopez: Les agradecemos por sus comentarios y respuestas 15:04:48 De Rosa Sunum: Gracias David por la respuesta

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15:08:01 De Ingrid Schreuel: Hola Rosa, se tuvo que priorizar. No duplicar esfuerzos y aprovechar y buscar sinergia con otras iniciativas que tiene el MARN. otro criterio que el MARN tomó en cuenta en la priorización de 4 sectores en adaptación es: post COVID-19, atención a salud humana y recursos hídricos

15:10:43 De Rosa Sunum: Gracias Ingrid por su respuesta. Como le decía considero importante fortalecer el sistema MRV en adaptación para el sector silvicultura. Si aún es posible considerarlo en la propuesta de proyecto. O, sino, considerar el apoyo de MARN en incluirlo en otras iniciativas!

15:13:45 De Ingrid Schreuel: gracias Rosa 15:14:45 De Ingrid Schreuel: Gracias Melissa. Las metas de Katún serán importantes también para el

proceso de actualización de la NDC de Guatemala 15:18:27 De Dunia lopez: Vínculo para la encuesta: https://forms.gle/CpUWugczUSMeuiBx5

Les agradecemos por sus comentarios y respuestas 15:18:42 De Julio López payés: gracias, saludos 15:18:54 De Abigail Alvarez: Gracias, y buenas tardes 15:18:57 De Carmen Rosa Godoy M.: carmenrosagodoy@gmail.com 15:19:01 De Rosa Sunum: Muchas gracias! 15:19:21 De Dunia lopez: Feliz tarde!!!

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Agenda

Horario Descripción de temas Responsable

13:30-13:40 Palabras de bienvenida

Luisa Fernanda Tabin. Directora, Dirección de Cambio Climático, MARN

13:40-14:25 Presentación del diseño proyecto CBIT Miembros Equipo PPG

14:25-14:55 Retroalimentación de Partes Interesadas sobre lo presentado

Participantes Facilitación: David Barrera, MARN

14:55 Cierre Luisa Fernanda Tabin. Directora, Dirección de Cambio Climático, MARN.

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No Nombre Apellido Email Puesto Categoría Parte Interesada Organización Sexo

1 Jose Furlan jfurlan@gmai l .com Coordinación de Proyecto Sociedad civi l RA Mascul ino

2 Kenset Rosales krosa les01@gmai l .com Gobierno Centra l MARN Mascul ino

3 Michel le P mich_p13@hotmai l .com Ingeniera Sociedad civi l Organizacion Femenino

4 Rodolfo Orozco rodolcoop@gmai l .com Director Ejecutivo Sector privado Confecoop Mascul ino

5 Yovani Alvarado yovani .a lvarado@gmai l .com Director Ejecutivo Sociedad civi l Asociación Utz Ché Mascul ino

6 Abiga i l Alvarez aalvarez@ra.org Especia l i s ta en gestión del

conocimiento e inclus ión socia l

Sociedad civi l Ra inforest Al l iance Femenino

7 Ursula Quintana ursulaquintana@gmai l .com Asesor Sector privado CIG Femenino

8 Arnoldo Melgar sostenibi l idad@grepalma.org coordinador sostenibi l idad Sector privado Grepalma Mascul ino

9 Mel issa Calvo mel issa .ca lvo@biotrash.com Vicepres identa Sector privado GEPSA Femenino

10 Flor Calderón Fmcalderon@marn.gob.gt Asesora Gobierno Centra l MARN Femenino

11 Diego Incer djincer@uvg.edu.gt Especia l i s ta SIG Academia UVG Mascul ino

12 Marlene Mazariegos mmazariegos@camaradelagro.orgGerente del Área Jurídica Sector privado Cámara del Agro Femenino

13 Rosa Sunum rosa.sunum@inab.gob.gt Especia l i s ta en cambio cl imático Gobierno Centra l INAB Femenino

14 Ludwin Alvarez a lvarezludwin@gmai l .com Ingeniero Sociedad civi l Organización Mascul ino

15 Martin Leal mluccmaga@gmai l .com Coordinador Gobierno Centra l MAGA Mascul ino

16 Natanael Xamines amsclae.cl ima@gmai l .com Técnico Gobierno Centra l AMSCLAE Mascul ino

17 Mel issa Calvo mel issaca lvo2012@gmai l .com Vicepres identa Sector privado GEPSA-CIG Femenino

18 Oscar Rojas orojas@ra.org Director CA Sociedad civi l Ra inforest Al l iance Mascul ino

19 Jerson Quevedo jerson.quevedo@gmai l .com Especia l i s ta en cambio cl imático Cooperación Internacional PNUD Mascul ino

20 Daniel García dgarcia@industriaguate.com Gerente Sector privado CIG Mascul ino

21 Sergio Guzman saguzmanb@gmai l .com Gerente Sociedad civi l ACOFOP - Guatecarbon Mascul ino

22 Cesar Ruiz cruiz@ine.gob.gt Asesor Estadis ticas Ambienta les Gobierno Centra l INE Mascul ino

23 Jul io López payés jlopez@catie.ac.cr Representante pa is Cooperación Internacional CATIE Mascul ino

24 Jorge Uribe jorge.uribe@giz.de Coordinador Trinacional Selva Maya Cooperación Internacional Cooperación Alemana - GIZ Mascul ino

25 Carmen Rosa Godoy Méndez carmenrosagodoy@gmai l .com Sector privado Cámara del Agro Femenino

26 Rudy Herrera rudyherrerap@gmai l .com Coordinador GT Cooperación Internacional GIZ Mascul ino

27 Edwin Delgado edwinldelgado@gmai l .com Tecnico Sector privado CONFECOOP Mascul ino

28 Mauricio Alvarado mauricio.aar@anacafe.org Asesor técnico de ambiente y cambio cl imáticoSector privado Anacafé Mascul ino

29 Fernando Garcia giovanni .garcia@undp.org Oficia l de Cartera Energia y Medio AmbienteCooperación Internacional PNUD Mascul ino

30 Cesar Martinez cesarmartinez@icasa.com.gt Gerente de servicios Sector privado CCA Mascul ino

31 Juan Sacayon juan.sacayon@undp.org Especia l i s ta en Gestión del conocimientoCooperación Internacional PNUD Mascul ino

32 Dunia lopez dunia .lopez@undp.org.gt M&E Cooperación Internacional PNUD Femenino

33 Mario Buch mariosamuelbuch.gt@gmai l .comConsultor Equipo Equipo PPG Mascul ino

34 Ingrid Schreuel schreuel@gmai l .com Consultora Equipo Equipo PPG Femenino

35 Timoteo Lopez timolopez@gmai l .com Consultor Equipo Equipo PPG Mascul ino

Listado de participantes taller de validacion diseno CBIT partes interesadas 8/9/2020

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Appendix 2: Format Survey carried during design General information

1. Your name (optional):_______________________________________________

2. Your email and / or telephone (optional):___________________________________

3. The name of the organization you represent:________________________________

4. What sector does your organization belong to?: o Central government o Local government o Private sector o Civil society organizations o Academy o International cooperation

5. The name of the Unit, Department or Directorate that it represents (optional):________

6. Do you consider that your organization can contribute information to the MRV System?:

o Yes___ o Not___ o Does not know:____

7. Do you think that your organization might be interested in being a user of the MRV System ?:

o Yes___ o Not___ o Don´t not know___

8. What are your expectations of the CBITs project? _______________________________

Social inclusion and gender equality

9. Of the people in your organization who work on Climate Change, what percentage have extensive knowledge of how gender equality and climate change are related?:

o 0-24% o 25-50% o 51-75% o 76-100%

10. Of the people in your organization who work on Gender Equality, what percentage have extensive knowledge of climate change ?:

o 0-24% o 25-50% o 51-75% o 76-100%

11. In the framework of the MRV System, do you consider it necessary for the technical staff in your organization to receive training on how to integrate gender equality into an MRV System?

o Yes___ o Not___ o I don´t know___

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12. In Guatemala what stereotypes and gender inequalities can negatively influence the interventions and expected results of the CBIT project?:_____________________________________

13. Mention affirmative actions to mitigate the negative effect of these existing gender stereotypes and inequalities on the interventions and expected results of the CBIT project:____________

14. Indicate a concrete action that the CBIT project can implement to promote the participation and empowerment of women, as well as the participation of youth and representatives of indigenous peoples in its implementation:______________________

15. How can the CBIT project contribute to closing existing gender gaps?:________________

Participation of affected parties and other interested parties

16. Select the options that you consider effective to establish a fluid and agile communication between you and the Project:

o Phone call o Messaging through WhatsApp o Email o Bilateral face-to-face meetings o Virtual platforms o MARN website and / or CBIT Project o Others: __________________________

17. Select the options of your preference to keep you informed about experiences, innovations, results of the Project:

o Technical documents and case studies o Articles in newspapers o Brochures, newsletters o Events, Webinars and Virtual Conferences o Events and face-to-face conferences

Complaints and claims mechanism

18. If you want to make a complaint, claim or suggestion of the CBIT project, what is your preference to address it? Please select an option:

o Mailbox in the MARN Office o Visit the project office o Phone call to a person from the project o WhatsApp message to a person in the project o Email o CBIT project website

19. If you have other comments or suggestions, please indicate them:

__________________________________________________________________________________________________________________________________________________________________________________________

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ANNEX 10: GENDER ANALYSIS AND ACTION PLAN

A. GENDER ANALYSIS 1. Introduction Guatemala is signatory of international conventions that guarantee the commitment of the State in favor of the human rights of women. The Convention on the Elimination of All Forms of Discrimination against Women (CEDAW), and the Platform for Global Action (PAM) emanating from the IV World Conference on Women (Beijing 1995), the Peace Accords and the different national legal, public and sectorial instruments are all instruments that allow institutionalizing a gender approach and eliminating the barriers that hinder the effective women´s enjoyment of their human rights. The foregoing represents, without a doubt, an advance in the matter, however, there are still great inequalities and gender gaps that hinder the full exercise of these rights. Guatemalan society is still strongly contrasted by gender inequality, which materializes in the exclusion of women. As a patriarchal society, asymmetric social and power relations between men and women persist, leaving women without inclusion and full and effective participation in decision-making, which at the same time adversely impact the lives of women and men. Although the socio-cultural context varies from one place to another in the national territory, women, with emphasis on the rural and indigenous population, live in an environment of exclusion that prevents them from enjoying citizenship rights and prevents society from taking advantage of women´s and their organizations potential. The condition, situation and position of women are determined by social, political, economic and cultural models that reproduce inequalities and hierarchies, admitted as an accumulated historical product and supported by schemes, norms and practices that outline roles assigned to women and men, leading to a disadvantageous situation for women, added to which is the discrimination by linguistic community, territories and forms of socio-cultural organization, which in the dynamics of daily life, perversely combine with gender inequality. Gender inequalities are also reflected in climate change and how its effects affect men and women differently. Within the framework of the Paris Agreements, the importance of incorporating gender equality and the empowerment of women in relation to the climate is emphasized; indicating that "all aspects of global warming, the causes, impacts and policies to combat it, have different effects on women and men". If not taken into consideration, the effects of climate change deepen gender inequalities, hence all policies and actions aimed at mitigating and adapting to climate change have to include the needs and interests of women. In correspondence with the above, it is important to note that the Paris agreement (COP 21) “obliges countries to incorporate the gender perspective in their climate policies. (Articles 7.5 and 11.2. Ratified by 175 nations, including Guatemala). This document presents a Gender Analysis and Action Plan for the CBIT project, for which several interviews, a bibliographic review and a survey among Stakeholders were conducted. This document responds to GEF policy32of promoting gender analysis in new projects and developing gender-sensitive results-based frameworks is key to ensuring that the needs, voice, leadership and participation of women are taken into account in the design, implementation and evaluation of projects. 2. International, national and institutional legal framework 2.1 National legal framework on gender equality and empowerment of women The national legal framework, starts with the recognition of human rights, are rights inherent to all human beings, without any distinction of nationality, place of residence, sex, national or ethnic origin, color, religion, language, and/or any other human condition. They are interrelated, interdependent and indivisible rights. Human rights were established and recognized in the Political Constitution of the Republic of Guatemala (CPRG), which is conceived as the fundamental and supreme legal norm of the State, therefore, it has a superior rank compared to other laws. The CPRG determines that in Guatemala all human beings are free and equal in dignity and rights. Men and women, whatever their marital status, have equal opportunities and responsibilities. No person may be subjected to servitude or to any other condition that undermines his dignity. Human beings must keep fraternal behavior among themselves (Article 4. Freedom and equality). Other important relevant instruments available to the country are mentioned below:

32 GEF Policy on Gender Mainstreaming (GEF/: SD/PL/02).

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• National Development Plan “K'atun Our Guatemala 2032”. This plan establishes five priority axes 1.

Urban and rural Guatemala, 2. Well-being for the people, 3. Wealth for all and for all, 4. Natural resources for today and for the future; and 5. State as guarantor of human rights and driver of development.

• National Policy for the Promotion and Integral Development of Women and the Equal Opportunities Plan of SEPREM (PNPDIM and PEO 2008-2023), created under the Government Agreement 200-2000. The Policy and the Plan seek to promote the integral development of women, Maya, Garifuna, Xinka and Mestiza in all economic, social, political and cultural spheres. Within the framework of the PNPDIM - PEO, it is the responsibility of the SEPREM to advise and coordinate public policies, to promote the integral development of Guatemalan women and the promotion of a democratic culture. Its function is eminently technical in terms of advice and depends directly on the Presidency of the Republic.

• Environmental Gender Policy of the Ministry of Environment and Natural Resources. The general objective of this Policy is “to promote within MARN the gender equity approach in all policies, programs, projects and action plans that are issued in the different dependencies of the institution. MARN has a Gender, Women and Youth Unit, that has institutional support.

• Institutional Policy for Gender Equality and Strategic Implementation Framework 2014-2023 of the Ministry of Agriculture, Livestock and Food (MAGA, acronym in Spanish). The institutionalization of the gender approach is a fundamental element so that the agencies and institutions of the public administration develop actions that allow them to incorporate gender equality criteria into their policies, systems, procedures and programs as part of their institutional work. MAGA is committed to working for the comprehensive development of women and closing existing gender gaps in combination with territorial gaps between urban and rural, as well as those linked to age and the possession of economic resources.

• Gender Equity Strategy with Cultural Pertinence of the National Council of Protected Areas (CONAP, acronym in Spanish). The strategy is based on an institutional situational analysis and an analysis of the participation of Mayan, Garifuna, Xinka and Mestizo women in CONAP's institutional actions, as well as institutional policies, plans, programs, projects and mechanisms (Technical Document No. 2. CONAP, 2017).

• Institutional Strategy for Gender Equity with Cultural Relevance of the National Forestry Institute, 2015 (INAB, acronym in Spanish), which seeks to promote gender equality with cultural relevance, prioritizing the participation of women groups in the management of natural forests, establishment and maintenance of forest plantations and agroforestry systems and the commitments that should be translated into institutional practices.

• The Social Development Law, Decree 42-2001, establishes gender equality and equity, promotes equal rights for men and women, responsible fatherhood and motherhood, reproductive health and healthy motherhood as basic principles that must be promoted the state.

• Law for the Dignification and Integral Promotion of Women, Decree 7-99 fosters the integral development of women and their participation in all levels of economic, social and political life in Guatemala.

• Peace Accords/Agreement on Socioeconomic Aspects and Agrarian Situation, B: regarding the participation of women in economic and social development: The active participation of women is essential for the economic and social development of Guatemala and it is the obligation of the State to promote the elimination of all form of discrimination against them. To this end, the Government takes into account the specific economic and social situation of women in development strategies, plans and programs, and to commits to training civil service personnel in analysis and planning based on this approach. This includes: a) Recognizing the equal rights of women and men in the home, at work, in production, and in social and political life and assuring them the same possibilities as men, in particular for access to credit, the adjudication of lands and other productive and technological resources, and education and training; b) Guarantee that women have equal opportunities and conditions for study and training, and that education contributes to banishing any form of discrimination against them in

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educational content. Regarding the principles of the conservation of natural resources, the document states that without worldview of indigenous peoples, especially women, their participation, knowledge, and their well-being, there can hardly be historical continuity, especially regarding the management and conservation of the country's natural resources.

2.2 The legal and institutional framework related to climate change and environmental management The Guatemalan State has a broad and solid base of policies and laws in force for environmental management and climate change, but few make explicit reference to existing gender inequalities in environmental matters or climate change. The main instruments are described below:

• Framework Law to Regulate the Reduction of Vulnerability, the Mandatory Adaptation to the Effects of Climate Change and the Mitigation of Greenhouse Gases (Decree 7-2013).

• National Policy on Climate Change (Government Agreement 329-2009).

• National Action Plan for Adaptation and Mitigation to Climate Change (PANCC), updated in 2018.

• Development Strategy with Low Emissions (LEDS, 2019).

• National Environmental Policy of Guatemala (Government Agreement 189-2017).

• National Policy for Disaster Risk Reduction in Guatemala. Second Edition (Agreement number 02-2016, resolution 03-2016).

• National Policy on Biological Diversity. (Government Agreement 220-2011).

• Policy for the Comprehensive Management of the Coastal Marine Zones of Guatemala, (Government Agreement No. 328-2009).

• Policy for the Conservation, Protection and Improvement of the Environment and Resources (Government Agreement number 63-2007).

• Law for the Protection and Improvement of the Environment (1986). 2.3 Marco legal internacional relevante ratificado por Guatemala Guatemala participated in the Convention on the Elimination of All Forms of Discrimination Against Women (CEDAW) which was adopted on December 18, 1979 by the United Nations General Assembly and ratified by the Guatemalan State on August 12, 1982. CEDAW is an international instrument that specifies the details of discrimination against women and establishes the necessary guidelines to eradicate it. By ratifying the Convention, the States commit to undertake measures to eliminate human rights violations against women. Also, the United Nations Framework Convention on Climate Change (UNFCCC) urges the Parties to take the necessary measures to promote the full participation of women at all decision-making levels relevant to climate change (decision 36 / CP.7). On the other hand, in decision 3 / CP.23, of the year 2017, it establishes the gender action plan so that women are part of the projects and decision-makers on climate change at the international and national level. Decisions 36 / CP.7, 1 / CP.16, 23 / CP.18, 18 / CP.20, 1 / CP.21 and 21 / CP.22, as well as the Paris Agreement, the Plan of Gender Action in the Conference of Parties 23 (COP), define 5 priority areas: (i) Strengthening capacities, sharing knowledge and communication, (ii) Gender balance, participation and leadership of women, (iii) Coherence, (iv) Responsive and meaningful gender implementation, and (v) Monitoring and Reporting. In 2004, the Intergovernmental Panel on Climate Change (IPCC), an entity that provides services to the Convention, publishing exhaustive assessment reports on the situation of climate change and scientific knowledge in this field, makes reference, for the first time, to the gender approach. Specifically, it recognizes that, among others, gender inequalities increase vulnerability to climate change: “[…] Differences in vulnerability and exposure derive from factors other than climate and from multidimensional inequalities often produced by disparate development processes (very high confidence level). […] Among these social processes, it is worth mentioning, for example, discrimination based on gender, class, ethnicity, age and (dis)ability” (IPCC, 2014; pg 5733)34. The Guatemalan State is also a signatory to the Inter-American Convention to Prevent and Eradicate Violence Against Women, which addresses that the right to the environment is of collective interest and is above individual right, so it is the State's obligation to take positive action to preserve the environment and prevent it from being destroyed.

34 IPCC, 2014. Cambio climático 2014: Informe de síntesis. Contribución de los Grupos de trabajo I, II y III al Quinto Informe de Evaluación del Grupo Intergubernamental de Expertos sobre el Cambio Climático [Equipo principal de redacción, R.K. Pachauri y L.A. Meyer (eds.)]. IPCC, Ginebra, Suiza, 157 págs.

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Furthermore, Convention 169 of the International Labor Organization (ILO) has also been ratified; this convention promotes the contribution of indigenous and tribal peoples to cultural diversity, social and ecological harmony of humanity, giving them the right to decide their own priorities of life, beliefs, spiritual well-being and the earth, also its economic, social and cultural development. Therefore, they must participate in the formulation, execution and evaluation of national and regional development plans and programs. In 2015, all United Nations Member States, including Guatemala, approved 17 Goals as part of the 2030 Agenda for Sustainable Development. The 2030 agenda seeks to face the great challenges of poverty, inequality, climate, environmental degradation, prosperity, peace and justice. Goal 5 specifically seeks gender equality and the empowerment of women and girls, as a fundamental human right, while Goal 11 focuses on sustainable cities and communities and 13 with adopting urgent measures to combat climate change and its effects. 3. Institutional capacities to promote gender equality in climate change activities in general and MRV in particular 3.1 The MARN Gender Unit MARN's Gender Unit depends directly on the Office of the Minister; this placement in the institutional structure ensures the political support of the ministerial authorities. Experience shows that the signature of the minister is sufficient and does not allow for discussion, however, it should be noted that for those who receive the order, although they operate or abide by it, it does not necessarily come from or raise a personal motivation, so the process awareness-raising at MARN is ongoing. To comply with gender mainstreaming in climate change policies and actions mandated by the UNFCCC, greater coordination and collaboration between the Gender Unit and the Climate Change Directorate is necessary. At the request of MARN and with the support of international cooperation, there has been progress with including the gender approach in different projects executed by the Ministry, for example, the project to support “The Third National Communication”, the “GHG Inventories” project, and the project to develop the strategy to include gender in the NDC or the development of the “Gender Road for REDD +”. The Gender Unit was created in 2003 as “Gender and Multiculturalism Unit”, but as of 2015 it was divided into two units: (i) gender; and (ii) multiculturalism. The main role of the Gender Unit is to coordinate and design actions and mechanisms to institutionalize the environmental gender policy and provide technical assistance to the MARN dependencies, for compliance with the PNPDIM and PEO. The Unit consists of: a) Coordinator, b) Advisor, and c) Assistant, prepares its annual operational plan, and executes it with budget assigned by the authorities. MARN currently has an Environmental Gender Policy (2015) and the implementation of MARN's Gender Action Plan will be evaluated and updated later in 2020. As a result of its gender policy and plan, MARN creates a “Gender Impulse Group” which oversees the implementation of actions in the twenty ministerial dependencies represented in this group. Each Dependency has at least one gender action in the Ministry's Gender Plan. For several participants of the Gender Impulse Group more training and awareness on the subject would be convenient. In addition, an “Environment and Gender Roundtable” was created, in which besides MARN approximately 13 government entities participate. Its also worth mentioning that a Gender Thematic Group of the GCI is active, in which the gender coordinators of MARN, MAGA, INAB and CONAP participate (recently MEM also integrates this group). In addition, to strengthen the gender institutional framework, the Unit receives the support of the SEPREM, within the scope of a Cooperation Agreement between MARN-SEPREM; which objective is to follow up on the gender and climate change strategy, the PNPDIM, PEO 2008-2023 and the MARN Environmental Gender Policy. Although the Gender Unit receives political and institutional support from SEPREM, the Secretariate does not have expertise in environmental or climate change issues, hence technical support to mainstream gender in these issues is limited. Currently, MARN uses the gender budget classifier. This was achieved jointly with the MARN Planning Directorate, and since 2020 all gender related spending by all dependencies is now registered (previously only expenses from the Gender Unit were recorded). 3.2 Other Gender Units in central government related to environmental management In accordance with Government Agreement number 260-2013 (published on July 5, 2013), Article. 1. Implementation, all the Ministries and Secretariats of the Executive Branch shall implement within their organizational structure, attached to the Superior Office, a Gender Unit, which shall be the coordination and technical liaison of with the Specific Cabinet for Women. Article. 2. Coordination. The SEPREM will coordinate the actions of the Gender Units, based on the PNPDIM - PEO 2008-2023, approved in Government Agreement number 302-2009. For the CBIT project, the following are of particular interest:

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• Ministry of Energy and Mines: Gender and Multicultural Unit. On April 8, 2014, the Gender and Multicultural Unit of the Ministry of Energy and Mines was created through Ministerial Agreement number 064-2014. Article 2. The Gender and Multicultural Unit will be the entity responsible for advising the Ministry, to monitor and comply with cross-cutting gender equity issues as well as those expressly assigned by the Office of the Minister. Gender Committee: Made up of representatives of the Support Units of the Superior Office and the General Directorates of the Ministry of Energy and Mines.

• Ministry of Agriculture, Livestock and Food: Gender Unit, created through Ministerial Agreement 128-2011, and its reform Ministerial Agreement 78-2016, attached to the Office of the Minister, is the institutional mechanism that promotes processes to achieve equity between men and women, basing its actions on the Institutional Policy for Gender Equality 2014-2023 and its Strategic Implementation Framework 2014-2023. The general objective of the Gender Unit is to socialize, implement and execute actions aimed at reducing the exclusion gaps that women have been subjected to, facilitating their access to different institutional activities, such as: Programs, Subprograms, Productive projects within the framework of the National Policy for the Promotion and Integral Development of Women (PNPDIM) and its Equal Opportunity Plan (PEO), in order to achieve the expected goals and impacts of the activities carried out.

• National Council of Protected Areas: Gender Unit. In 2013, the National Council of Protected Areas (CONAP), through Resolution 04-17-2013, resolved the creation of the Gender Unit, attached to the Superior Office. Likewise, in the Internal Organic Regulations, the Gender Unit is incorporated as a Technical Support body, through Resolution 03-13-2015, with specific functions.

• National Forest Institute: Derived from the Institutional Strategy for Gender Equity with Cultural Relevance of the INAB (2014-2018), the position of Gender and Equity Officer was created in 2016, and is located at the Forest Development Directorate in the Department of Municipal and Community Strengthening. The objective of INAB´s Strategy is to contribute to the comprehensive development of men and women through equal participation in the programs and services provided by INAB. As a consequence of the positive results obtained from the implementation of the action plan, the Strategy is in the process of being updated and its implementation is expected to begin in 2021. INAB's Gender and Equity Officer is the technical link in different strategic spaces, allowing the orientation of affirmative actions in the territory.

3.3 Institutional capacities of Stakeholders on gender and climate change In order to know, from the perspective of the Stakeholders and actors identified in the mapping exercise (Annex 9), the capacities currently installed to contribute to the integration of the gender approach in the MRV system to be developed through the CBIT project, a survey was carried out. To the survey, which was sent in July 2020 to approximately 80 stakeholders, there were 32 responses. Responses came from, among others SEGEPLAN, MARN, MAGA, MAGA/Gender, MAGA/DIPESCA, MAGA/Climate Change, INAB, INE, CONAP, MINFIN, USAC, CEAB-UVG, SGCCC, IICA, Intersectoral Committee for Land and Environment , ACOFOP, ASOREMA, Sustainable Development Association SINERGIAS, FCG, GEOAMBIENTE, Rainforest Alliance, Chamber of Milk Producers, Chamber of Industry of Guatemala, Association of Renewable Fuels of Guatemala and several “”Mancomunidades. There was participation of all categories of Stakeholders: central government (40.6%), local government (12.5%), private sector (12.5%), Academia (6.3%), civil society organizations (25%) and international cooperation (3.1%). Graph 1 shows for people who work in these organizations on climate change, the percentage that has extensive knowledge of how gender equity and climate change are related. In 37.5% of the cases, it is considered that between 0-50% of the professionals who work on climate change have extensive knowledge of the relationship with the gender approach in climate change.

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Graph 1: Percentage of people working on climate change who have extensive knowledge of the relationship

between gender and climate change Graph 2 shows for people who work in these organizations and who work on gender or social inclusion, the percentage that has extensive knowledge of climate change. In 46.9% of the cases, it is estimated that between 0-50% of the professionals who work on gender or social inclusion have extensive knowledge of climate change and gender.

Graph 2: Percentage of people working on gender or social inclusion who have extensive knowledge of climate

change To the question whether within the framework of the development of the MRV System, it is considered necessary that the technical personnel in stakeholder organizations receive training on how to integrate gender equality into an MRV System, 93.8% answered yes, whereas only 6.2% do not consider it necessary (see graph 3).

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Graph 3: Percentage of respondents from stakeholder organizations that responded that they consider training on

how to integrate gender in the MRV System to be necessary From the results of the survey, it can be concluded that strengthening of the capacities of stakeholders as it concerns the incorporation of gender considerations in the MRV system development process, is decisive for the success of the CBIT project and needs to be included in its design. 4. Gender analysis and identification of the main gender inequalities in Guatemala 4.1 Beliefs, perceptions and stereotypes Despite the fact that there are policies, laws and regulations that determine ways of achieving gender equality in Guatemala, the differences and inequalities between men and women are still broad, often difficult to understand, and a large majority of people haven’t admitted equality as a right. Guatemala, due to its multiethnic and multicultural character, shows marked differences in forms of socio-cultural organization, behaviors, beliefs, perceptions, life practices, which in essence mark inequalities in the relationships of men and women, which extend to families and communities. Addressing inequality has a major barrier, established as beliefs or prejudices, that is, they are the preconceptions and biases that women and men face on a daily basis, in areas such as home, neighborhood, work, the market, sports, church. The perceptible biases are acquired or inherited from childhood, influence observations and assessments, go beyond our intentions, and are the most important challenge to overcome in the stride towards a more equal society. The interactions and interrelationships between men and women, although they are determined by the dominant culture, are very much related to the division of roles; it is believed that the productive role corresponds to the man because he is the one who provides the resources for the families livelihood, while the reproductive role must be assumed by the woman, as she is expected to be in charge of the nutrition, health and education of the children and has a role in the social aspects of community management. By many it is still assumed that women do not have technical knowledge and that they are not capable of doing the tasks that men perform, for instance in the agricultural sector. This results in the invisibility of the varied and complementary contributions actually made by women. The society in which Guatemala operates still manages patriarchal ideas in which men are dominant, smart, dynamic, intelligent, strong, determined; and because they are men they dominate and their authority should be revered, while sometimes in the same socio-cultural context there are beliefs or prejudices that women are shy, submissive, emotional, dependent, obedient, intuitive, insecure and servile. By taking these beliefs to local or community development, it is found that women are not taken into account in the decisions that impact their lives, limiting them to develop in an integral way. Gender stereotypes harm men and women, in different ways and magnitudes, depending on the socio-cultural context, and such stereotypes could prevent or limit people´s vertical ascent and horizontal improvement for groups. 4.2 Inequalities in the socio-economic context Interrelated territorial, linguistic community and gender inequalities intensify the limitations of women to achieve full inclusion and participation in practical and strategic development tasks. Exclusion has generated various forms of violence and structural, legal and institutional discrimination, which affect even more the monolingual and

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illiterate indigenous women who live in rural areas. Added to this, the state institutions in charge of social development and inclusive economic growth are weak. Population and poverty: According to the 2018 Census35, Guatemala's population was estimated at 17 million inhabitants, of which 44 % belong to linguistic communities and the remaining 56 % are mestizos or ladinos. The distribution by sex of the total population indicates that 48.4 % are men and 51.6 % are women. Of the total population, 46.2 % live in rural areas and 53.8 % in urban areas; 59.3 % of the total population lives in poverty and, of this group, 23.4% lives in extreme poverty. Extreme poverty and inequality are rooted in the exclusion of specific groups, particularly the indigenous population of the Maya, Xinka and Garífuna Peoples; with about 80% living in poverty and extreme poverty in 2014 36 . In 2014, the departments that presented the highest percentages of multidimensional poverty were: Alta Verapaz, 80.5 %; Quiché, 71.6 %; and Huehuetenango, 68.4 %. The Gini coefficient was 0.49 in 2014, higher than in most countries in Latin America and the Caribbean. Gender inequality: Guatemala has the highest gender inequality index and the lowest rate of female labor participation in Latin America. Only 4 out of 10 women are in the workplace, less than half the rate in relation to men. Similarly, female youth unemployment is almost double that of men. Women are at a disadvantage compared to their male counterparts also in terms of access to training technical skills, as well as business opportunities and access to information, technology, financial services and markets. On average, women had a 77% participation in domestic activities in 2000, a percentage that remained in 2011, which shows that the cultural and structural aspects are a limitation and an institutional challenge to build an equitable society (INE/SEPREM, 2013; 30-31). One of the biggest problems highlighted by inequality in the workplace is that, according to comparisons of the ENCOVI 2000 and 2011, women have entered the labor market without leaving unpaid work at home, this indicates that they contribute significantly to the economy without that this contribution and the effort and implications for health and physical and mental fatigue that this represents is being measured. It is necessary to underline that indigenous Guatemalan women (Mayan, Garifuna and Xinka) suffer a triple discrimination: for belonging to indigenous peoples, for being women and for their “low” socio-economic status. According to the Presidential Commission against Discrimination and Racism against Indigenous Peoples in Guatemala, the largest number of cases of discrimination handled are women. COVID-19: On March 11, 2020, the World Health Organization (WHO) declared a pandemic of the new coronavirus outbreak. The impacts of the virus in Guatemala are expected to be significant, taking into account that the health response system is one of the weakest in the region, and safety nets, even for the most vulnerable rural population, are underdeveloped and not capable to deal with to the great expected needs. Depending on the duration of the containment measures necessary to fight the pandemic, according to projections of the International Monetary Fund (IMF, for its acronym in English), the outbreak could lead to a decrease in Gross Domestic Product (GDP) of 2% in 2020. According to official data as of July 6, 2020, the total of infected people was 23,972: 14,983 men (62.50%) and 8,989 women (37.50%). Worldwide, the lives of the majority of men and women have been upset by this phenomenon and also in Guatemala, the confinement measures implemented to reduce the spread of COVID-19 have caused women and girls to have to stay in their homes, placing them in conditions of greater vulnerability to violence and abuse. The prevention of violence against women is an essential part of the national response plans against COVID-19 and was mentioned on April 12, 2020 by the President of the Republic on the National Network when referring to the fact that the rates of domestic violence had increased during quarantine, urging women to report and denounce violence. Climate change: Guatemala is the ninth most vulnerable country in the world from climate change. In recent years, meteorological phenomena, such as floods and droughts, have had far-reaching negative human and economic consequences. Reduced rainfall and higher temperatures are expected to reduce surface water flows by 10 to 50 percent by 2030 and total water availability by 5 to 30 percent by 2050. Economic losses caused by drought, floods and other extreme weather events will negatively affect GDP between 1.3 and 3.7%, of which it is estimated that between 40 and 70% specifically affect the agricultural sector. It is expected that the magnitude and frequency of natural phenomena such as storms, droughts, and frosts will increase due to climate change and that these will especially impact populations in a state of vulnerability such as women, children, the elderly and the indigenous population. This is reflected in the Germanwatch Global Risk Index, where Guatemala ranked no. 10, for the period

35 Censo XII de Población y VII de Vivienda 2018, INE. 36 ENCOVI, 2014, INE.

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1993-2012 (Eckstein, Global Climate Risk Index 2014, 2013 in Strategy gender considerations in climate change in support of the NDC, MARN, 2020). Malnutrition: Guatemala has the fourth highest rate of malnutrition in the world and the highest in Latin America and the Caribbean. Malnutrition is widespread in rural areas and is higher than 70% in the poorest communities in rural areas, particularly in regions where the indigenous population predominates. Households headed by women also show greater food insecurity: from severe to moderate (Food and Nutrition Security Assessment. SESAN, 2018). In approximately half of the municipalities in Guatemala, the population faces high or very high levels of food and nutritional insecurity, which shows the prevalence of chronic malnutrition. In 2019, according to the Global Food Security Index, Guatemala ranked 68 in Food Safety out of 113 countries. Chronic malnutrition is high, affecting 47% of all boys and girls and 66% of boys in the lowest well-being quintile (WB, 2020). Education: Education is one of the fundamental factors for the empowerment of women. It is transformative and is directly related to the level of poverty, autonomy, fertility rate, income and participation in public spaces, among other aspects. Education is also one of the most important tools to change those cultural patterns in societies that hold back the integral development of their members. In Guatemala, the compulsory schooling period lasts 12 years. In 1993, the mandatory initial level was established from 4 years of age and only the first tranche of secondary education is compulsory. The proportion of young people who completed the intermediate level remained stable during the 2006-2016 period. By the mid-2010s, 20% of people between the ages of 25 and 35 had completed secondary education. According to the Guatemalan Gender Indicators Report, the youth literacy rate (ages 15-24), like the general rate, shows that women are at a disadvantage compared to men, mainly among the indigenous populations. However, this gap has been reduced from 21.8% in 2000 to 16.3% in 2011. For the non-indigenous population, the gap also decreased from 2000 to 2011, from 8% to 5.7%. Gender based violence and child maternity: In terms of Gender Based Violence (GBV), Guatemala has one of the highest rates of violent deaths among women in the world: 6.4 per 100,000 women in 2018, almost 5 times the world rate. According to the National Institute of Forensic Sciences (INACIF), 628 women lost their lives due to violence in 2018, almost 2 deaths per day. Lack of education, exclusion and gender inequality are among the most relevant factors of gender based violence (WB, 2020). Among the most vulnerable age groups are women between 20 and 29 years old, with 31.5% of the victims, and girls and adolescents between 10 and 19 years old, with 10.2% (UN Women, 2018). Domestic violence occurs between people who maintain a relationship (intimate), which over time can take many forms, it can be emotional, sexual, or physical abuse, even leading to death threats of the victim. In the family environment, abusive relationships normally lead to a growing imbalance of power and control over the victim and in these cases the abuser uses an intimidating and hurtful language in order to dominate and control the partner. The Observatory of Sexual and Reproductive Health (OSAR) based on the records of the National Persons Registry (RENAP), records that between 2015 - 2019 there were at least two thousand cases of mothers between 10 and 14 years old; this early age motherhood is product of rape. The records show that in the Capital in the first quarter of 2019 there were 42 cases, but in the departments of Huehuetenango, Quiché and Alta Verapaz, the records are high with 62, 43 and 39 respectively. For these girls who are forced to early motherhood, there is no public institutional support, therefore, their and their son´s or daughter´s subsistence needs are added to the family nucleus. Most of these girls do not finish primary education and have no preparation for work; limiting their access to opportunities that promote integral development. 4.3 Division of labor and workload The division of labor and gender: The Economically Active Population (EAP) in rural areas has a markedly different structure compared to the urban area. Normally, the (male) head of the house of the family unit assumes the main task of producing for family consumption using the assets they own. In the cycles of preparation of the land, the cultivation of crops and the harvest, they might hire auxiliary and punctual labor, however, the women (mothers and also the daughters) perform part of the productive work, under the consideration that it is labor of an auxiliary or support nature and without remuneration. In the agricultural sector, rural women nowadays have a greater participation, and clear roles in producing more sustainable food systems, but they are still often invisible to the entities that provide technical assistance or financial services. In addition to the productive role, there is the reproductive role that is traditionally assumed, corresponds to the women (wife – mothers); this role implies the preparation of food, health, education and the safety of the children, it is a recurrent activity and as by social standards, of mandatory nature; it is not recognized and unpaid.

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Triple role: As stated before, the workload for women is triple. Normally, women assume the triple role, despite the fact that they do not receive any remuneration for their efforts, which constitutes an asymmetry of roles and unequal. The division of the roles: productive, reproductive and community management becomes even worse in those cases where the head of the family or spouse, in search of better economic opportunities, migrates either outside or within the country, in such conditions it corresponds to the woman - wife to assume the complete burden of (agricultural) production, fulfilling the reproductive role of caring for the family and also attend to the activities that have to do with local or community development. Normally, women assume the triple role, despite the fact that they do not receive any remuneration for their efforts, which constitutes an asymmetry of roles and inequity. 4.4 Access and control of resources Although there are changes towards greater equality (according to data from the 2018 Census), private ownership of the assets of productive or family units still determines who decides on the access, use and control of resources. In productive family units, the decision-making power still corresponds to men, they are the ones who know, decide and dispose of benefits gained through productive activities. Under this productive scheme, the men are visible and the women not so much, leading to women´s invisibility when it comes to offering and contracting of technical and financial services, as well as access to the inputs required during the production cycles. Evidence of inequalities is shown in a gender analysis carried out by projects supported by USAID in the Guatemalan Highlands, which is illustrative of what is happening in the country (table 1).

Table 1: Results of the analysis of gender, natural resources and climate change by projects implemented in the

Highlands of Guatemala Results of the Gender Analysis carried out in 2013: Differences in the number of hours/day invested in:

• Domestic work: men: 0.5 hours versus women: 9.9 hours;

• Paid work: men: 8.8 hours versus women 5.5 hours;

• Free time: men: 2.3 hours versus women: 1.4 hours; and

• Time to participate during the month in social activities in the community: men 2.8 hours versus women 3.2 hours.

In 80% of households, girls are the ones who help with household chores. The girls indicated that the boys play while they do the chores around the house. Men (and women) do not allow children to do housework due to their cultural beliefs. Women (especially indigenous) do not define housework, work on their own farm, and caring for their children as “work”; they consider “work” only when they work on another farm (when they receive payment). Of the beneficiaries of the Rural Value Chains Project, 38% of indigenous women are illiterate versus 20% of indigenous men; and there are 11% more women without formal education compared to men. Monolingualism mainly affects women. 26% of women report having influence over the use of income, compared to 90% of men. The Vital Voices / AGEXPORT baseline study shows gender gaps in access to:

• Training: 73% of men versus 25% of women;

• Land title: 80% of men versus 35% of women;

• Productive inputs: 95% of men versus 50% of women;

• Technology: 90% of men versus 46% of women;

• Credit: 66% of men versus 28% of women;

• Average amount of credit: $ 1,990 for men versus $ 333 for women; and

• Work in agricultural activities: 100% of men versus 74% of women. Source: USAID, 2013

4.5 Participation of women in the public sector, power and decision-making Another existing inequality is the under-representation of women in professional positions in the public and private sectors and in decision-making positions. Guatemala is one of the 13 Latin American countries that still does not reach 20% female representation in Parliament. Representation is more critical in local powers, where only 4% of women are elected as mayors. The participation of women in decision-making spaces is key to position their needs and interests and thereby generate public policies that consider women as subjects of development (ECLAC / Observatory for Gender Equality of Latin America and the Caribbean).

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The under-representation of women in decision-making positions, also limits their active and effective participation in climate change actions, as well as in the application of adaptation and mitigation strategies. This is reflected within the National System of Development Councils, as of June 2014, the presence of women in the Community Development Councils oscillates between 8 and 20% (State Report on the declaration and platform of Beijing and the results of the XXIII session of the Assembly of United Nations. Government of Guatemala, 2014). 4.6 How climate change affects men and women differently In all societies, men and women assume different roles inside and outside the domestic sphere. Men and women are important actors in the management, access, use and control of productive and natural resources, but access and control are differentiated by sex. Also, the use of the resources is different for each group, depending on their roles in home and community. Just as men and women relate differently to productive and natural resources, they are also affected differently by the effects of climate change and adaptation and mitigation measures. In addition, they have different perspectives and experiences with which they can contribute to solutions (Good practice guide: social inclusion and gender equity in the development project with low emissions. USAID, 2017). Therefore, both rural men and women are essential agents of change in the fight against the effects of climate change, decision-making on relevant public policy and the identification and implementation of adaptation and mitigation measures. According to a study carried out by FAO37 for the agricultural sector, men and women adapt in the same way to climatic changes, for example, by changing crops and sowing periods, but they have different ways to address the problem of reduced income generated from agriculture, because of climate change. For many men it means migrating temporarily or permanently; while women are forced to get involved in micro or small (informal) enterprises to generate additional income, which is often used for family survival. Furthermore, each one describes in greater detail the effects of climate change according to the area affected and for which they are “responsible”, according to the division of roles and how it affects them the most (table 2). For example, the relationship between climate change and a reduction in pasture for cattle is mentioned by men, while women perceive that there are more and new health problems as an effect of climate change. Women, more than men, maintain high levels of stress derived from climatic changes, as it affects family food security; this is based on their role in preparing food for family members. Men, on the other hand, have an increased level of stress due to the need to obtain financial resources for investment in new technologies and the search for options for temporary migration (adapted from: Building Equity-Bulletin DBE-004/2016. USAID / LEDS, 2016).

Table 2: Concern about the effects of climate change in the

agricultural sector, by sex (FAO, 2010)

Climate change effects Concern

Men Women

Crop loss and damage x x

Reduction of pasture for cattle x -

Increase in workload x x

Investments in technology x -

Food security - x

New health problems - x

Another relevant gender aspect is that, as a consequence of the existing inequalities described above, women generally have less adaptive capacity to the effects of climate change since they have more limited access to information, services, credit and the financial capacity to invest in adaptation and mitigation measures or technologies38.

37 FAO, 2010. Farmers in a changing climate, does gender matter? 38 IICA, 2015. Género, Agricultura y Cambio Climático: Estado y perspectivas desde la institucionalidad en Latinoamérica.

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B. GENDER ACTION PLAN 1. Expected results of the action plan The gender diagnosis (Section A) shows that the division of roles, the difference in status and power relations between men and women in the family and society, influences job opportunities, decision-making opportunities, and consequently impact on the level of inclusion and participation in the actions of the Project. Project implementation has to be attentive towards real and meaningful women´s participation in development and decision spaces important to the project; ensuring that women´s participation isn’t limited to “being present”, but includes the right to make their voice heard as well as the right to vote. It will also be necessary to take into account that at present, at the technical level the hiring of men dominates over women with the same technical training in the subject. At the professional level, more women are getting involved in climate change related topics and MRV; and, although this is something relatively new, it refers to a process that has started and should be strengthened within the framework of the Project. Likewise, the lack of knowledge on the linkages between gender and climate change, among project stakeholders and those that constitute the Sectorial Technical Commissions is an element that, if not addressed, could negatively affect the success of the Project. It is in response to these aspects that the Gender Action Plan for the CBIT project is presented below, with the expectation the gender approach will be mainstreamed in the outcomes, outputs and activities of the project. 2. The gender approach and MRV In the MRV system to be developed through the CBIT project, the gender perspective will make it possible to have data disaggregated by sex which will enhance the capacity to analyze problems and vulnerability to climate change from a gender perspective, to know if adaptation programs respond in a different way to strategic interests of men and women, to include information on the contributions of men and women to mitigation, to get data on the differentiated access to mitigation technologies, and on the relationship between co-benefits and gender. It is expected that the generation of data disaggregated by sex will help fill information gaps that currently exist in National Communications (NC), Biennial Update Reports (BUR) and national progress reports on the implementation of the National Action Plan for Adaptation and Mitigation to Climate Change (PANCC), National Appropriate Mitigation Actions (NAMA) and the Low Emission Development Strategy (LEDS). In addition, this information is essential to be able to prepare future updates of the NDC and new public policy proposals on climate change, with a gender perspective. In summary, the benefits of an MRV System with a gender perspective will be:

1. Generate information on gender and climate change through the MRV System to guide decision-making in the design and implementation of public policies, programs and projects in support of the implementation of the NDC.

2. Generate information on gender and climate change for National Communications, Biennial Update Reports and NDC updates.

3. Increase institutional and analytical capacities to integrate gender considerations into adaptation and mitigation planning, budgeting and public policy, based on sex-disaggregated data from the MRV System.

4. Promote gender equity in climate finance. 5. Promote equitable access for women and men to financing for practices and technologies for mitigation

and adaptation to climate change.

3. Specific activities to encourage the participation of vulnerable groups in the project 3.1 Incorporation of the gender perspective in the project document In the project document, the gender approach is reflected, among others, in the Results Framework, Indicators, Project Budget, Monitoring and Evaluation Plan and terms of reference of the Project Management Unit. In the Results Framework, the gender approach is reflected mainly in the Outcomes referring to mitigation, adaptation, support provided and received and governance (Outcome 2 to 5), its Outputs and Activities. The project results framework includes an indicator that requires sex-disaggregated information and a gender-specific indicator. A gender consultancy will be engaged in order to support the implementation of the different activities for the development of the MRV system with gender considerations. This includes among others the following actions:

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• Support the design of methodological guidelines and indicators in order to standardize the measurements of mitigation actions and their impacts in 2 prioritized sectors39 (1.2.1.140);

• Support the design of the MRV/mitigation training program and implement training sessions on MRV/mitigation/gender (1.2.3.1);

• Support the design of indicators, metrics and protocols, gender sensitive, for 4 prioritized adaptation sectors41 (1.3.1.1);

• Support the design of the MRV/adaptation training program and implement sessions of the MRV/adaptation measures training program with a gender perspective (1.3.3.1);

• Support the design of the methodology that includes gender sensitive standardized formats for the systematization of climate finance, capacities and technology transfer and implement training workshops on the subject (1.4.2.1);

• Support the participation of Indigenous People’s organizations, women's organizations and gender units42 in the Sectoral Technical Commissions (1.5.1.4).

• Support the participatory development of the National Strategy for Monitoring and Reporting, with a gender perspective (1.5.2.1);

• Support the design of the training program for the Sectoral Technical Commissions in the MRV System (1.5.3.1); and

• Implement gender sessions within the program for socialization and dissemination of the use and management of the national MRV System (1.5.3.3).

The training materials that will be developed within the framework of these activities will be compiled within the scope of the gender consultancy in a Guide on how to mainstream gender equity in an MRV System. The Guide will be laid out and disseminated among the stakeholders participating in the CBIT project and on national and regional platforms. Finally, it is important to mention that, within the framework of the gender consultancy, a systematization will be elaborated of how in the MRV of Guatemala the gender approach was integrated and the results of this integration (1.5.4.2). This is of special importance in the framework of knowledge management and the limited documentation that currently exists on good practices in gender and MRV. 3.2 Affirmative gender actions The project also includes several gender affirmative actions to address identified gender gaps and promote gender equality and the empowerment of women. The main two are: (i) training on how the gender approach is related and how it can be included in a transversal manner in an MRV system (mitigation, adaptation, support provided and received, governance), and (ii) promoting real and meaningful participation of women, as stakeholders, beneficiaries and specialists, in the MRV development process. In addition to the training in gender and mitigation, adaptation, support provided and received, and governance, included in the activities and budget of the Project (chapter 3.1), another strategic action where the CBIT project can contribute is by updating and implementing a Diploma course for training in a gender approach and adaptation and mitigation for climate change. This Diploma course can be based on the Diploma course on Gender and Climate Change that MARN´s Gender Unit organized with the endorsement of the USAC Women's Institute in 2018. This Diploma course would be intended for the private sector, civil society, academia and public officials who work in ministries and other government entities, linked to the Sectoral Technical Commissions for mitigation and adaptation. The development (updating) of the Diploma course could be done jointly between MARNs Gender Unit and the Climate Change Directorate and would have the support from the CBIT project under the gender consultancy. Support from SEPREM could be sought. The participation of the different Gender Units of MARN, MEM, MAGA, INAB, CONAP, MSPAS in the definition of the Course content, but also as participants in the Diploma course should be considered as an opportunity to create local capacities. To promote the participation of women in the spaces for discussion and construction of the MRV system, such as, for example, the Sectoral Technical Commissions, the PMU will carry out an explicit task of identifying and inviting

39 Agriculture and Industrial Processes. 40 Refers to the numbering of Project activities in the Results Framework. 41 Agriculture, livestock and food security, Coastal marine zones, Human health, Water resources. 42 MARN, MAGA, INAB, CONAP, MEM, MSPAS.

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women who are familiar with the issues. It is hoped that the Sectoral Technical Commissions be made up of at least 30% women and that their contributions are reflected and recommendations carried out. In Terms of Reference for contracting national consultancies to achieve outcomes 2 to 5 of the CBIT project (Annex 8) and the contract to be signed with an academic entity, reference will be made to: (i) the need for close coordination with the gender consultancy, and (ii) trying to achieve a balance in the participation of men and women in the activities to be developed, as well as encourage the participation of indigenous peoples' organizations. To this end, a specific activity was included in the results framework: 1.5.1.4 “Support the full and effective participation of indigenous peoples and women's organizations in the Sectoral Technical Commissions”. It is also expected that the facilitators, trainers, teachers, etc. use a method of communication and training that includes women and men equally and that methodologies, manuals, protocols, videos, among others, are inclusive and gender sensitive. Furthermore, when socialization of the climate budget classifier, also the gender thematic classifier managed by MINFIN will be further socialized. Coordination with the different Gender Units of MARN, MEM, MAGA, INAB, CONAP and MSPAS is important.

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Table 3: Gender Action Plan

Expected result of Action Plan: gender mainstreaming in Project outcomes, output and activities.

Activities Indicator Target Baseline Budget Timeframe Responsibility

Training in integrating gender perspective in adaptation and mitigation and support provided and received MRV and climate change. Aimed at public officials who work in ministries, related bodies, professionals and technicians from private sector and civil society and members of the Sectoral Technical Commissions.

Number of people disaggregated by sex and by institution, who have been trained in the development of the MRV platform with a gender perspective.

Total: 90 Private Sector: 10 Public Sector: 35 Civil society: 30 Academy: 15 Documents to produce: -1 Gender training program in MRV / mitigation / adaptation / support provided and received; -1 Report on the implementation of the training program; -1 Guide diagrammed compiling training materials on MRV / mitigation / adaptation / support provided and received.

0 USD 32,450 Years 1 to 3 PMU/Gender consultancy

Support the design of methodological guidelines and indicators with the purpose of standardizing the measurements of mitigation actions (2 sectors) and adaptation (4 sectors) and methodology that includes gender sensitive standardized formats for the systematization of climate finance, capacity and transfer of technology.

Documents, methods, indicators, measurements, protocols for components of mitigation, adaptation, and support provided and received explicitly include the gender approach.

-1 document of gender sensitive methodological guidelines and indicators to standardize the measurements of mitigation actions. -1 document on metrics, gender sensitive indicators and adaptation protocols. -1 methodology that includes gender sensitive standardized formats for

USD 15,000 Years 1 to 4 PMU/Gender consultancy

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the systematization of the support provided and received. -1 report of gender sessions carried out within the program of socialization and dissemination of the use and management of the national MRV System.

Support gender mainstreaming in the participatory development of the National strategy for monitoring and reporting on Progress for compliance with the NDC.

Document elaborated 1 Strategy USD 6,000 Year 4 PMU/Gender consultancy

Prepare a systematization of how the gender perspective was integrated into the MRV system of Guatemala and the results obtained.

Document elaborated 1 Systematization USD 11,000 Year 4 PMU/Gender consultancy

Total Budget assigned: USD 64,450 (4.3% of total CBIT Project budget)

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4. Project contributions to closing existing gender gaps It is expected that the Project will contribute to gender equality, mainly by improving the participation and decision-making of women. In addition, the contribution of the CBIT project to closing existing gender gaps includes the following:

• Show how men and women, depending on their interests and possibilities, take adaptation and mitigation actions in different ways and compare the examples of success of each group to create synergy.

• Show who the climate finance and actions are aimed at and if there is imbalance, propose actions to achieve equality.

• Constantly socialize in the written and audiovisual media, conferences and discussions about project achievements, pending issues and determining factors to close gender inequality gaps.

5. Institutional arrangements for implementation, monitoring and evaluation of the Gender Action Plan The monitoring and follow-up of the Gender Action Plan is the responsibility of the Development Partner/MARN and Implementing Partner/CATIE, through the PMU, in particular M&E Officer. In this process, it will coordinate with the MARN Gender Unit and the PMU will present progress on the implementation of the Gender Action Plan twice a year to the GCI Gender Thematic Group to promote inter-institutional coordination. The implementation of the Gender Action Plan will be duly documented, systematized and reported. The Project Board and UNDP will be informed about the implementation of the Action Plan together with the Project progress reports of the Project. 6. Resources to implement the Gender Action Plan 6.1 Human resources Provision has been made for a national gender consultancy to accompany the CBIT project throughout the 4 years of project implementation (TOR in annex 8). It is also important to mention that several of the governmental institutions that lead Sectoral Technical Commissions have Gender Units that can offer important contributions and that will be taken into account in the execution of the Project (MARN, MEM, CONAP, INAB, MAGA, among others). 6.2 Budget During project implementation, the UNDP gender classifier will be used in financial management and financial reporting. Next, the budget for the Gender Action Plan is presented, which is integrated into the general budget presented in Chapter IX of the PRODOC43.

Table 4: Budget for the Gender Action Plan

No. Activity in Results Framework

Activity Local Consultant

(USD)

Workshop costs MRV/gender

(USD)

1.2.1.1 Consultant to support the design of gender sensitive methodological guidelines including indicators based on national circumstances in order to standardize the measurements of mitigation actions and their impacts, for 2 prioritized sectors 1. Agriculture and 2. Industrial Processes and product use.

5,000.00 0.00

1.2.3.1 Consultant to support the design of the gender sensitive training program MRV / mitigation, and implement training sessions for the use of MRV / mitigation / gender, to the government sector, academia, civil society, private sector.

6,450.00 0.00

43 The values do not include the 10% Overhead by CATIE; the overhead was added to each activity when integrating this partial budget in the general project budget.

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1.2.3.3 Workshop costs on gender / mitigation / MRV, as part of the capacity building program through training sessions on the adoption of methodologies to evaluate and report mitigation actions with members representing the two prioritized sectors: 1. Agriculture and 2. Industrial processes and product use, including members of the academic, public and private sectors.

0.00 2,500.00

1.3.1.1 Consultant to support the gender sensitive design of indicators, metrics and protocols, for the following sectors: 1. Coastal marine areas, 2. Agriculture, livestock and food security, 3. Human health, 4. Water resources.

5,000.00 0.00

1.3.3.1 Consultant to support the gender sensitive design of the MRV / adaptation training program, and implement sessions of the training program related to monitoring and evaluation of adaptation measures with a gender perspective.

5500.00 0.00

1.3.3.3 Workshop costs on gender / adaptation / MRV as part of the training program in the adoption of methodologies to evaluate and report on adaptation actions with members representing the 4 adaptation sectors: 1. Coastal marine zones 2. Agriculture, livestock and food security, 3. Human health, 4. Water resources.

0.00 5,000.00

1.4.2.1 Consultant to support the design of the methodology that includes gender sensitive standardized formats for the systematization of climate finance, capacities and technology transfer (at the level of government, civil society and international cooperation agencies) and to implement workshops on training on the subject.

5,000.00 0.00

1.4.3.3 Workshop costs for gender sessions of the capacity building program on the use and availability of climate finance data, capacity and technology transfer.

0.00 3,000.00

1.5.2.1 Consultant to support gender mainstreaming in the participatory development of the National strategy for monitoring and reporting of actions towards compliance with the NDC.

6,000.00 0.00

1.5.3.1 Consultant to support gender mainstreaming in the design of the training program for the Sectoral Technical Commissions in the MRV System.

5,000.00 0.00

1.5.3.3 Consultant to implement gender sessions within the scope of the program of socialization and dissemination of the use and management of the national MRV System.

5,000.00 0.00

1.5.4.2 Consultant to develop a systematization of how the MRV of Guatemala integrated the gender approach and the results obtained.

11,000.00 0.00

Total Gender Consultancy throughout 4 years (USD)

53,950 0.00

Total workshop cost gender and MRV (USD)

10,500

TOTAL GENDER ACTION PLAN (USD) 64,450

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ANNEX 11: PROBLEM TREE

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ANNEX 12: THEORY OF CHANGE

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ANNEX 13: PROCUREMENT PLAN (FIRST YEAR) Atlas

Budget Description

General description Contract Value (USD)

Procurement method

Advertisement method

Advertisement Date

(quarter)

International or National Assignment

71400 Project Coordinator (UEP)

36,000/year Desk review Competitive Sourcing

1 National

71400 M&E Technician (UEP) 21,600/year Desk review Competitive Sourcing

1 National

71400 Administrative assistant (UEP)

15,600/year Desk review Competitive Sourcing

1 National

71400 National Expert on mitigation:

29,090/year Desk review Competitive Sourcing

1 National

71300 Gender equality Consultant

59,400 Desk review Competitive Sourcing

1 National

72100 Contract with academic entity or consortium to: (i) design and implement capacity building programs for MRV components for priority sectors; (ii) adapt training materials; (iii) carry out training of trainers (use of IPCC 2006 Guidelines, amongst others) and assist the trained team with the replication; implement communication and outreach program and disseminate information on the use and management of the domestic MRV system. Contract includes workshop costs.

244,586 Evaluation based on proposal

Competitive Sourcing

2 National

71300 (i) Identification of gaps and needs MINFIN and SEGEPLAN for climate support provided and received reporting, and (ii) develop an action plan for support provided and received.

10000 Desk review Competitive Sourcing

4 National

71300 Develop a legal mechanism to institutionalize the Sectoral Technical Commissions and define their role and responsibilities regarding the functioning of the MRV system.

10000 Desk review Competitive Sourcing

2 National

71300 Develop the (gender sensitive) National strategy on monitoring

20,000 Desk review Competitive Sourcing

3 National

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and reporting concerning NDC implementation progress.

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ANNEX 14: CO-FINANCING LETTER UNDP

Translation content letter:

In the framework of the Project: Strengthening Guatemala´s the transparency framework through capacity building to Implement the Paris Agreement, which is funded by the Global Environment Facility (GEF), our contribution to Co-financing to meet the objective of the Project is one hundred thousand US Dollars (US $ 100,000.00) during the

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period of its execution. This in-kind co-financing will be executed during the implementation of the Project through recurring expenses in the follow-up and monitoring system of quality assurance and control on the performance of the generation of knowledge on climate change and associated transparency mechanisms. The execution of these funds will be carried out independently and as appropriate. It is worth mentioning that for our institution the aforementioned Project is relevant for the review and implementation of mitigation and adaptation strategies to climate change since they complement our institutional and territorial programmatic plans. I hereby reiterate my highest expressions of consideration and esteem,

Signed by Ana María Díaz, UNDP Resident Representative in Guatemala.

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CO-FINANCING LETTER MARN

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ANNEX 15: GEF CORE INDICATORS Core

Indicator 11

Number of direct beneficiaries disaggregated by gender as co-benefit of GEF

investment

(Number)

Number

Expected Achieved

PIF stage Endorsement MTR TE

Female 80 77 N/A

Male 80 143 N/A

Total 160 220 N/A

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ANNEX 16: GEF 7 TAXONOMY Level 1 Level 2 Level 3 Level 4

Influencing models Transform policy and

regulatory environments

Strengthen institutional capacity and decision-making

Convene multi-stakeholder alliances

Demonstrate innovative approaches

Deploy innovative financial instruments

Stakeholders Indigenous Peoples Private Sector Capital providers Financial intermediaries and

market facilitators

Large corporations

SMEs Individuals/Entrepreneurs Non-Grant Pilot Project Reflow Beneficiaries Local Communities Civil Society Community Based

Organization

Non-Governmental Organization

Academia Trade Unions and Workers

Unions

Type of Engagement

Information Dissemination Partnership Consultation Participation Communications Awareness Raising Education Public Campaigns Behavior Change

Capacity, Knowledge and Research

Enabling Activities Capacity Development

Knowledge Generation and Exchange

Targeted Research Learning Theory of Change Adaptive Management Indicators to Measure Change Innovation Knowledge and

Learning

Knowledge Management Innovation Capacity Development

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Learning Stakeholder

Engagement Plan

Gender Equality Gender Mainstreaming Beneficiaries Women groups Sex-disaggregated indicators Gender-sensitive indicators Gender results areas Access and control over

natural resources

Participation and leadership Access to benefits and

services

Capacity development Awareness raising Knowledge generation

Focal Areas/Theme

Integrated Programs

Commodity Supply Chains (Good Growth Partnership)

Sustainable Commodities

Production Deforestation-free Sourcing Financial Screening Tools High Conservation Value Forests High Carbon Stocks Forests Soybean Supply Chain Oil Palm Supply Chain Beef Supply Chain Smallholder Farmers Adaptive Management

Food Security in Sub-Sahara

Africa

Resilience (climate and shocks) Sustainable Production Systems Agroecosystems Land and Soil Health Diversified Farming

Integrated Land and Water

Management Smallholder Farming Small and Medium Enterprises Crop Genetic Diversity Food Value Chains Gender Dimensions Multi-stakeholder Platforms

Food Systems, Land Use and

Restoration

Sustainable Food Systems Landscape Restoration Sustainable Commodity Production Comprehensive Land Use Planning Integrated Landscapes Food Value Chains Deforestation-free Sourcing Smallholder Farmers Sustainable Cities Integrated urban planning Urban sustainability framework Transport and Mobility Buildings Municipal waste management Green space

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Urban Biodiversity Urban Food Systems Energy efficiency Municipal Financing

Global Platform for Sustainable

Cities Urban Resilience Biodiversity

Protected Areas and

Landscapes

Terrestrial Protected Areas Coastal and Marine Protected Areas Productive Landscapes Productive Seascapes

Community Based Natural Resource

Management Mainstreaming

Extractive Industries (oil, gas,

mining)

Forestry (Including HCVF and

REDD+) Tourism Agriculture & agrobiodiversity Fisheries Infrastructure Certification (National Standards)

Certification (International

Standards) Species

Illegal Wildlife Trade

Threatened Species

Wildlife for Sustainable

Development

Crop Wild Relatives

Plant Genetic Resources Animal Genetic Resources Livestock Wild Relatives Invasive Alien Species (IAS) Biomes Mangroves Coral Reefs Sea Grasses Wetlands Rivers Lakes Tropical Rain Forests Tropical Dry Forests Temperate Forests Grasslands Paramo Desert

Financial and Accounting

Payment for Ecosystem Services

Natural Capital Assessment and Accounting

Conservation Trust Funds Conservation Finance

Supplementary Protocol to

the CBD

Biosafety

Access to Genetic Resources Benefit

Sharing Forests

Forest and Landscape

Restoration

145 | Page

REDD/REDD+

Forest Amazon Congo Drylands Land Degradation

Sustainable Land

Management

Restoration and Rehabilitation of Degraded Lands

Ecosystem Approach

Integrated and Cross-sectoral

approach Community-Based NRM Sustainable Livelihoods Income Generating Activities Sustainable Agriculture Sustainable Pasture Management

Sustainable Forest/Woodland Management

Improved Soil and Water Management Techniques

Sustainable Fire Management Drought Mitigation/Early Warning Land Degradation Neutrality Land Productivity Land Cover and Land cover change

Carbon stocks above or below

ground Food Security International Waters Ship Coastal Freshwater Aquifer River Basin Lake Basin Learning Fisheries Persistent toxic substances SIDS : Small Island Dev States Targeted Research Pollution Persistent toxic substances

Plastics

Nutrient pollution from all sectors except wastewater

Nutrient pollution from Wastewater

Transboundary Diagnostic Analysis and Strategic Action Plan preparation

Strategic Action Plan

Implementation

Areas Beyond National

Jurisdiction

Large Marine Ecosystems Private Sector Aquaculture Marine Protected Area Biomes Mangrove Coral Reefs Seagrasses Polar Ecosystems

146 | Page

Constructed Wetlands Chemicals and Waste Mercury

Artisanal and Scale Gold

Mining

Coal Fired Power Plants Coal Fired Industrial Boilers Cement

Non-Ferrous Metals

Production

Ozone Persistent Organic Pollutants

Unintentional Persistent

Organic Pollutants

Sound Management of

chemicals and Waste

Waste Management Hazardous Waste Management Industrial Waste e-Waste Emissions Disposal

New Persistent Organic

Pollutants

Polychlorinated Biphenyls Plastics Eco-Efficiency Pesticides DDT - Vector Management DDT - Other Industrial Emissions Open Burning

Best Available Technology /

Best Environmental Practices

Green Chemistry Climate Change Climate Change Adaptation

Climate Finance

Least Developed Countries Small Island Developing States Disaster Risk Management Sea-level rise Climate Resilience

Climate information Ecosystem-based Adaptation Adaptation Tech Transfer

National Adaptation Programme of

Action National Adaptation Plan Mainstreaming Adaptation Private Sector Innovation Complementarity Community-based Adaptation Livelihoods Climate Change Mitigation

Agriculture, Forestry, and other

Land Use

Energy Efficiency

Sustainable Urban Systems and

Transport Technology Transfer Renewable Energy Financing Enabling Activities Technology Transfer

147 | Page

Poznan Strategic Programme on Technology Transfer

Climate Technology Centre & Network (CTCN)

Endogenous technology Technology Needs Assessment Adaptation Tech Transfer

United Nations Framework on Climate Change Nationally Determined Contribution

Rio Markers

Paris Agreement

Sustainable Development Goals

Climate Change Mitigation 0

Climate Change Mitigation 1

Climate Change Mitigation 2

Climate Change Adaptation 0

Climate Change Adaptation 1

Climate Change Adaptation 2

148 | Page

ANNEX 17: PARTNER CAPACITY ASSESSMENT TOOL (PCAT)

Separate file.

ANNEX 18: HARMONIZED APPROACH TO CASH TRANSFER EVALUATION (HACT)

Separate file.

ANNEX 19: UNDP PROJECT QUALITY ASSURANCE REPORT

Separate file.