INTERNATIONAL TROPICAL TIMBER ORGANIZATION ITTO PRE-PROJECT PROPOSAL. PPD 7/99 Rev.l (F) SPANISH

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1 INTERNATIONAL TROPICAL TIMBER ORGANIZATION ITTO PRE-PROJECT PROPOSAL TITLE SERIAL NUMBER COMMITTEE SUBMITTED BY ORIGINAL LANGUAGE INITIATIVE TO DEVELOP A CONSERVATION PROJECT FOR THE CONDOR RANGE REGION PPD 7/99 Rev.l (F) REFORESTATION AND FOREST MANAGEMENT GOVERNMENTS OF ECUADOR AND PERU SPANISH SUMMARY This proposal envisages the development of a management plan to establish an integrated system of protected natural areas along the eastern and western slopes of the Condor Mountain Range, including the ecological protection area established during the peace process (Heads of State of Guarantor Countries' Charter and Brasilia Presidential Act), in order to strengthen the sustainable development capacity of native and local communities. The proposal has resulted from a decision jointly made by the Governments of Peru and Ecuador and the private sector, represented by Conservation International, to ensure a participatory planning process with the involvement of local stakeholders and both Ecuadorian and Peruvian national institutions. The proposal will cover the areas situated between the highlands and lowlands of the Condor Range Region, which in the case of Peru includes the areas found between the Santiago and Comaina rivers. This region comprises forests and ecosystems of significance for the conservation and sustainable use of natural resources. EXECUTING AGENCY CONSERVATION INTERNATIONAL (Cl) IN COOPERATION WITH THE MINISTRY FOR THE ENVIRONMENT OF ECUADOR AND THE NATIONAL INSTITUTE FOR NATURAL RESOURCES (INRENA) OF PERU COOPERATING GOVERNMENTS DURATION APPROXIMATE STARTING DATE BUDGET AND PROPOSED SOURCES OF FINANCE SIX (6) MONTHS UPON APPROVAL Source ITTO Ministry for the Environment (Ecuador) INRENA (Peru) Cl TOTAL Contribution inus$ 176,526 12,300 12,300 24, ,726

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3 PART I: LEGAL CONTEXT A. Relevance to ITTO 1. Compliance with ITTO objectives This project is consistent with the objective stipulated in Article 1 (I) of the ITTA, 1994, to wit: "To encourage the development of national policies aimed at sustainable utilization and conservation of tropical forests and their genetic resources, and at maintaining the ecological balance in the regions concerned in the context of tropical timber trade". Furthermore, the proposal is related to the ITIO Guidelines for the Sustainable Management of Natural Tropical Forests, Principle 7, Appendix I, Article (a), "Forests where logging is not allowed" in relation to "Protection forests on fragile lands" and "Forests set aside for plant and animal species and ecosystem preservation". In addition, the project is consistent with the ITIO Guidelines on the Conservation of Biological Diversity in Tropical Production Forests and proposes the development of a safer strategy to ensure biodiversity conservation through the establishment of large undisturbed protected areas comprising representative samples of different forest types and ecosystems. The different categories of TPAs are defined in the Appendix to the Guidelines (ITIO Policy Development Series No. 5/17). The proposal is aimed at establishing a multi-disciplinary technical team and initiating the development of a project proposal for the conservation of the Condor Range Region, in cooperation and coordination with the neighboring country Ecuador so as to ensure an integrative process. PART 11: THE PRE-PROJECT 1. Objectives The objective of this pre-project proposal is: To formulate a proposal so as to ensure compliance with the project's overall and specific objectives (see Box 1, page 2). 2. Background and justification The Condor Range is located in a significant region for transboundary conservation because of its ecological and evolutionary conditions which sustain and generate a substantial biodiversity wealth. According to studies carried out in the region by Conservation International in 1993 and 1994, this area, which is representative of the montane forests of the Cordillera Real Oriental (Ecuador) and the Andes Mountain Range (Peru), is a key element in the hydrological cycle that links the Andes to the Amazon region and is an important refuge for many taxonomic groups. The lowlands of Condor, on both sides of the mountain range, are covered by forests of a truly extraordinary flora diversity. Similarly, the local wildlife is mostly typical of the Amazon region. Lesser-known and endangered birds that are only found in a small region in the south of Ecuador include the parrot species Pyrrhura albipectus, while in Peru the Micrasti buckleyi is also an endangered species. The mammal species found in Miazi, one of the three areas where the biological survey was carried out, is predominantly Amazon in nature with a few Andean species such as the spectacled bear (oso de anteojos). In the higher altitude areas of the Condor Region, there are populations of large mammals, including tapirs, deer, peccaries, guantos, guotusas and armadillos. Special mention should be made of the presence of Ateles bezelbuth bezelbuth (spider monkey) as one of the lowland species found among the mammal fauna resources of this area. These fauna species are considered to be the most vulnerable to habitat disturbances in all of South America 1

4 Box 1. Introductory Framework The Project The overall objective of the project proposal is: To develop a management plan for the establishment of an integrated system of protected natural areas, including the border areas established during the peace process (Heads of State of Guarantor Countries' Charter and Brasilia Presidential Act) and the geographic area of influence of the Santiago and Comaina Rivers, Province of Condorcanqui, Department of Amazonas (Peru), in order to strengthen the sustainable development capacity of native and local communities. The specific objectives are: a) To plan the designation of Protected Natural Areas within the regional land use management framework. b) To develop biodiversity conservation policies for the Protected Natural Areas. c) To develop a renewable natural resource management system for production purposes. d) To design policies to support the native communities so as to ensure their sustainable development. e) To continue a participatory planning process involving government agencies, grassroots organizations and NGO's. Expected project outputs are: a) Implementation of administrative and technical arrangements for the establishment of Protected Natural Areas. b) Proposals for legal regulations to ensure the conservation of biodiversity at the regional and local levels with the required specifications. c) Natural resource management plan for production purposes incorporating the roles of both the Government and the local communities. d) Proposals for legal regulations to ensure the sustainable development of local communities at the local and regionallevels. e) Development of a local technical and administrative framework to ensure a participatory planning process for the conservation and sustainable development of the Condor region. This region is threatened by the advances of gold mining activities, the colonization process, timber logging and the aftermath of the war, and for this reason it is important to develop a project for the establishment of a number of protected natural areas that can provide socioeconomic benefits to the Shuar, Aguaruna and Huambisa communities, thus helping to reduce the destruction and disturbance of forests and ecosystems. This action would contribute to the achievement of ITTO's Year 2000 Objective according to which all tropical timber traded by the year 2000 should come from sustainably managed forests. Moreover, this pre-project proposal for conservation and sustainable development in the Condor Range Region constitutes a first step in the establishment of a bi-national biological corridor together with the Podocarpus National Park and the Cutucu Range (on the Ecuadorian side) and the Tabaconas-Namballe National Sanctuary, the Santiago-Comaina Reserve, the Campanquiz Range and the Pastaza-Morona-Maranon lowland protection forest (on the Peruvian side). This proposal has been developed with the aim of exploring the feasibility of establishing an integrated system of protected natural areas under different management categories, which can not only contribute to the conservation of forest species and ecosystems but can also be used for other purposes such as socio-economic development, with the participation of the local and regional communities. The model to be established should be extended to the level of regional cooperation between Peru and Ecuador. 2

5 The Condor Range region is closely linked to the livelihood of the local Shuar, Aguaruna and Huambisa communities, as they rely on the sui generis_climatic and geographic processes of the area which act as a life supporting system along the watersheds of the Nangaritza and Zamora Rivers and to the south of the Santiago River (in Ecuador), and the Santiago, Comaina and Marafion Rivers (in Peru) respectively. 3. Outputs The expected outputs are as follows: a. Biological and socio-economic baseline information on the Condor Range region, including current status, threats and trends. b. Consensus among local stakeholders in the Condor Region regarding priority actions for forest and ecosystem conservation. c. Transboundary conservation priorities within the framework of policy planning and development in relation to protected natural areas between Ecuador and Peru. 4. Activities A technical framework will be established in each country under the responsibility of a binational Coordinator. An assistant coordinator, a biologist, an interviewer and a local guide will also be required from each country (see Appendix 1). a. Preparation of update reports based on workshop results, and drafting of proposal (drafts 1, 2 and final) These activities will be carried out during the six-month proposal development stage. The project to be developed will be defined during this period. b. Collection of information This activity will involve the collection of documents and implemented studies, field visits to update information on biodiversity and economic aspects, and data analysis and compilation. These activities should be implemented during the first three months. c. Convening of local and national stakeholders This activity will involve the organization of at least two workshops in order to reach a consensus among the various stakeholders. These workshops will be held in the Condor Range Region of each country and it is estimated that a group of ten people from government and non governmental organizations in Lima and Quito will attend. d. Convening Ecuadorian and Peruvian counterparts Drafts 1 and 2 of the proposal will be submitted and exchanged on two occasions. These meetings will be held at a bi-national level in a location convenient to both delegations (Ecuadorian and Peruvian), in an effort to reach a consensus on conservation and sustainable development actions and parameters for the Condor Range Region. 3

6 e. Evaluation The technical supervisory committee will be made up of representatives from the Ministries for the Environment and Foreign Affairs (Ecuador) and the Ministries of Foreign Affairs and Agriculture and INRENA (Peru) as well as other relevant NGOs, all of which will review the draft 1 of the proposal during the six-month period as well as draft 2 of the proposal so as to formulate comments that can be incorporated into the final project proposal document. IITO will revise the project document at the beginning of the sixth month so as to facilitate the inclusion of the relevant corrections at the end of that month. 5. Inputs a. IITO Contribution Funding for a total of US$176, Evaluation of draft 2 b. Contribution of Conservation International Counterpart personnel Ing. Carlos F. Ponce, Expert in Policy Development and Protected Areas (CI Lima) Claudia Sobrevila, Expert in Planning and Financing (Cl-Washington) Specialized Support Louise H. Emmons, Mammalogist (Cl-Washington) Thomas S. Schulenberg, Ornithologist (Cl-Washington) Counterpart contributions for a total of US$24, Participation in evaluation missions c. Contribution of the Government of Ecuador through the Ministry for the Environment Personnel and other costs for a total of US$12, Participation in evaluation missions d. Contribution of the Government of Peru through INRENA Personnel and other costs for a total of US$12, Participation in evaluation missions 6. Framework for effective staff participation The general principles to be followed for project formulation are: a. Officers from the Ecuadorian and Peruvian governments will take part in the project proposal. b. Ecuadorian professionals and Ecuadorian, Peruvian and foreign Cl scientists will take part in the project proposal. The government staff and local and foreign experts will work in close cooperation making up a professional work team. 4

7 7. Institutional framework The proposed project implementing agency shall be the Ministry for the Environment (Ecuador), the National Institute for Natural Resources (INRENA, Peru) and Conservation International (Cl). The project coordinating team will be based at the Cl-Washington office. A joint Ministry for the Environment and Cl-Washington Committee will be established by Ecuador and a joint General Directorate for Protected Natural Areas and Wildlife of the National Institute for Natural Resources -INRENA and Cl-Peru Committee will be established by Peru to supervise all project proposal activities. Furthermore, the institutions related to the activities proposed in this project include the Federation of Shuar-Achuar Centres and local governments (Ecuador) and the Aguaruna Huambisa Council and local governments (Peru). 8. Work plan The proposed project implementation period is six months. The work plan proposed includes the following activities: a. Final approval of administrative, professional and technical framework for the development of the project proposal. b. Acquisition of equipment. c. Collection of information and field data. d. Data gathering. e. Organization of workshop in the area. f. Development of workshop results output. g. Preparation of draft 1 of the project proposal and evaluation by the national committee. h. Coordination meeting between Peruvian and Ecuadorian commissions. i. Preparation of draft 2 of the project proposal and evaluation by the national committee. j. Coordination meeting between Peruvian and Ecuadorian commissions. k. Evaluation by IITO officers. I. Final draft of project proposal 9. Obligations Conservation International will make the necessary administrative arrangements for the effective implementation of the project proposal and will select high level professionals and consultants to ensure the achievement of the project objective. All pre-project equipment shall remain the property of the implementing agency and the Ministry for the Environment (Ecuador) and INRENA (Peru) as appropriate. PART IV. BUDGET The estimated budget for the pre-project development initiative is US$225, comprising an IITO contribution of US$176,526.00; contributions of US$12, each from the Ministry for the Environment (Ecuador) and INRENA (Peru), and a contribution of US$24, from Cl. The budget proposals appear in Appendix 2. 5

8 PART V. SCHEDULE OF ACTIVITIES The proposed schedule of activities for the project is shown in Appendix 3. PART VI. PROJECT CONCLUSION The development of the project proposal will be concluded at the end of the sixth month as proposed. The project will subsequently be implemented at a later stage. 6

9 Appendix 1. Terms of Reference 1. Protected Natural Areas Planning Officer (Pre-project Coordinator) Cl-Peru Counterpart QUALIFICATIONS Preferably with an advanced academic degree at Master's or PhD level. A minimum of 15 years experience in the formulation and implementation of projects for Protected Natural Areas management, research and/or participatory planning. Experience and leadership qualities in the coordination of international cooperation projects. RESPONSIBILITIES Coordinate the technical and administrative aspects of pre-project implementation. Coordinate the technical consultants team for the implementation of the pre-project. Formulate the design of the Protected Natural Areas System based on baseline information and local, national and transboundary consensus. Plan and coordinate the participatory workshops and seminars for pre-project analysis and discussion. Design the research proposal to be implemented by the technical team on biological diversity and socio-economic aspects. Prepare, in conjunction with the other members of the technical team, the project drafts to be discussed at the workshop and meetings. Prepare, in conjunction with the Assistant Coordinator, the final project proposal in coordination with the ITIO expert on project formulation. 2. Regional Planning Officer (Assistant Coordinator) - Appointed by ITTO A. QUALIFICATIONS Preferably with a Master's Degree in Environmental Planning and Community Development, and experience in socio-economic surveys of Amazon communities. B. RESPONSIBILITIES Coordinate the socio-economic survey to identify the economic activities of the communities located within the territories of the Natural Reserve and other neighbouring areas. Support the coordinator in the organization and implementation of workshop and meetings. Assist in the drafting of project documents. Assist the coordinator in the planning of the Protected Natural Areas System to support the development of local communities. Assist the Project Coordinator on an ongoing basis. 7

10 3. Biologist - Appointed by ITTO A. QUALIFICATIONS Preferably with a Master's degree or 2/3 years experience in biodiversity studies. B. RESPONSIBILITIES Carry out biological samplings to assess the biological diversity in areas where no background information is available. Assist the Coordinator in the preparation of the proposal for the integrated system of Protected Natural Areas to identify other significant areas for the conservation of the Condor Range Region. 4. Interviewer - Appointed by ITTO A. QUALIFICATIONS Preferably with 3/2 years experience in the conduction of surveys with native communities. Good command of native languages. B. RESPONSIBILITIES Conduct socio-economic surveys. Assist in the collection of biological samples. 5. Local Guide - Appointed by ITTO A. QUALIFICATIONS Preferably with 4/3 years experience in guiding scientific teams through the Condor Range Region. The local guide must be a native of the region and must have a perfect command of the Jibaro language. B. RESPONSIBILITIES Guide the technical team for the conduction of both socio-economic surveys and biological studies. 8

11 Appendix 2. Budget proposals for the pre-project: "Initiative to develop a conservation project for the Condor Range Region in Peru" A. NATIONAL CONTRIBUTION CODE BUDGET COMPONENT TOTAL 10 PROJECT PERSONNEL 11 Cl-Counterparts: Coordinator and 2 experts 16, Administrative support personnel (Cl) 8, Evaluation and support staff from the Ministry for the Environment (Ecuador) 12, INRENA evaluation and support staff (Peru) 12, Component Total 49, TOTAL - NATIONAL CONTRIBUTION FROM ECUADOR AND PERU 49,200 B. EXTERNAL CONTRIBUTION Code BUDGET COMPONENT ECUADOR PERU 10 PROJECT PERSONNEL 11 Assistant Coordinator 6m/m 9,600 9, Scientific Consultants (3) 3m/m 4,500 4, Biologist 2m/m 2,000 2, Local guide (1) 3m/m 900 ' ITIO Expert in Project Formulation 1-3m/m 10,000 10, Local interviewer (1) 1 m/m Component Total 27,300 27, ORGANIZATION OF WORKSHOPS AND MEETINGS 21 Local workshops (2) 3,000 3, Meeting between Ecuadorian and Peruvian counterparts 4,000 4, Component Total 7,000 7, DUTY TRAVEL (technical team, scientific consultants and guests) 31 DSA 12,000 12, Transport costs 15,000 15, Component Total 27,000 27, CAPITAL ITEMS 41 1 office computer + printer + scanner 4,000 4, Component Total 4,500 4, CONSUMABLE ITEMS 51 Third party services 3,000 3, Office supplies 2,000 2, Component Total 5,000 5, MISCELLANEOUS 61 Sundry (accident insurance, field material, workshop proceedings) 1,000 1, Contingencies 7,260 7, Component Total 8,260 8, ITIO MONITORING AND EVALUATION 71 Monitoring and evaluation 5,000 5, ITIO Program support costs 4,203 4, Component Total 9,203 9, GRAND TOTAL - EXTERNAL CONTRIBUTION US$ 176, C. TOTAL COST I Total pre-project cost US$225,

12 Appendix 3. Schedule of activities No. Activities M1 M2 M3 M4 M5 M6 1. Establishment of admin. framework xx] 2. Acquisition of equipment xx] 3. Data collection xx xxxx x] 4. Data compilation xx] 5. Preliminary draft of proposal x] 6. Consensus workshop x] 7. Workshop results output x] 8. Draft 1 of proposal and evaluation x] 9. Consensus workshop x] 10. Workshop results output x] 11. Meeting between Ecuad. and Peruv. counterparts x] 12. Draft 2 of project proposal and evaluation x] 13. Meeting between Ecuad. and Peruv. counterparts x] 14. Evaluation by ITTO officers xx x] 15. Final draft of project proposal xxx] 10

13 Appendix 4 LOGICAL FRAMEWORK MATRIX PROJECT ELEMENTS INDICATORS MEANS OF VERIFICATION IMPORTANT ASSUMPTIONS To formulate a proposal so as to ensure Draft plan to establish a protected natural Three reports on preliminary project There is a bi-national institutional and compliance with the project's overall and areas system along the eastern and drafts over the six-month period. economic framework that supports the specific objectives of developing a western slopes of the Condor Range and development of this project proposal. management plan for the establishment of the Santiago-Comaina regions an integrated system of protected natural areas in the geographic area of influence of the Condor Range, including the Santiago and Comaina rivers, Province of Condorcanqui, Department of Amazonas (Peru), including the border areas established during the peace process (Heads of State of Guarantor Countries' Charter and Brasi/ia Presidential Act), in order to strengthen the sustainable development capacity of native and local communities. Output 1 Biological and socio-economic baseline Pre-diagnosis information on the current Technical document completed and The technical team is able to develop a information on the Condor Range region, status of biological and socio-economic published. project proposal for the protected including current status, threats and trends conditions. natural areas system. Activity 1.1 Gathering of both quantitative and Workshops in the area, second-hand Records of the work carried out. The technical team is able to carry out qualitative cartographic, socio-economic information, literature reviewed and key the pre-diagnosis. and biological information individuals interviewed. Activity 1.2 Preparation of pre-diagnosis report Pre-diagnosis information for the area to Technical document completed and The technical team is able to develop a derive possible solutions to be integrated published. project proposal for the protected into a PNA System. natural areas system. 11

14 PROJECT ELEMENTS INDICATORS MEANS OF VERIFICATION IMPORTANT ASSUMPTIONS Output 2 Consensus among local stakeholders in Various local and national stakeholders' Documents and proposals by Local, national and international the Condor Region regarding priority participation and agreement participants representing different stakeholders are interested in actions for forest and ecosystem sectors. Attendance records. promoting sustainable development in conservation the area. Activity 2.1 Convening local and national stake holders Two consensus workshops held in the Preparation of report on consensus Participation of native Shuar, Aguaruna area. results based on the pre-diagnosis and Huambisa communities, local information submitted by the mestizo communities, and officers from technical team. local and national government agencies. Activity 2.2 Meeting between Ecuadorian and Peruvian Si-national meeting. Preparation of report on meeting Si-national efforts to implement the counterparts results based on draft 1 of the approved peace agreement. proposal. Output 3 Project proposal considering Final project proposal incorporating Technical report completed to be The technical team is able to develop a transboundary conservation priorities within agreements adopted during workshops submitted to ITIO for relevant project proposal following the the framework of policy planning and and meetings. evaluation. provisions of the ITIO Manual for development both at the national and Project Formulation. international levels. Activity 3.1 Meeting between Ecuadorian and Peruvian Si-national meeting. Preparation of report on meeting The technical team is able to prepare a counterparts results based on draft 2 of the technical document incorporating proposal. applicable transboundary agreements. 12