PROMOTING ECOTOURISM TO STRENGTHEN THE...
Transcript of PROMOTING ECOTOURISM TO STRENGTHEN THE...
PROMOTINGECOTOURISMTOSTRENGTHENTHE
FINANCIALSUSTAINABILITYOFTHE
GUATEMALANPROTECTEDAREASSYSTEM(SIGAP)
PROMOVIENDOELECOTURISMOPARAFORTALECER
LASOSTENIBILIDADFINANCIERADEL
SISTEMAGUATEMALTECODEÁREASPROTEGIDAS(SIGAP)
PRMTodosSantosCuchumatán
TERMINALEVALUATIONREPORT
SílviaR.Ziller,Forester,M.Sc.Dr.
InternationalEvaluator
OCTOBER27,2017
SUMMARY
TitleofprojectsupportedbytheUNDPandfinancedbyGEF..............................................iExecutivesummary............................................................................................................iiProjectsummarytable..........................................................................................................iiBriefdescriptionofproject...................................................................................................iiiEvaluationratingstable........................................................................................................iiiSummaryofconclusions,recommendationsandlessonslearned.......................................iv
1Generalconclusions.....................................................................................................................iv2Conclusionsandrecommendationsonthedesign,implementation,monitoringand
evaluationoftheproject......................................................................................................ivConclusionsonprojectdesign....................................................................................................ivRecommendationsonprojectdesign.........................................................................................ivConclusionsonprojectimplementation.....................................................................................ivRecommendationsonprojectimplementation.........................................................................ivConclusionsonmonitoringandevaluation.................................................................................vRecommendationsonmonitoringandevaluation......................................................................v
3Conclusionsandrecommendationstofollow-uporreinforceinitialbenefitsfromtheproject..vConclusions..................................................................................................................................vRecommendations.......................................................................................................................v
4Conclusionsandrecommendationsforfuturedirectionsunderliningmainobjectives..............viConclusions.................................................................................................................................viRecommendations......................................................................................................................vi
5Summaryofbestandworstpractices.........................................................................................viBestpractices.............................................................................................................................viWorstpractices..........................................................................................................................vii
6Summaryoflessonslearned.......................................................................................................viiAbbreviationsandacronyms............................................................................................viii1Introduction....................................................................................................................11.1Purposeoftheevaluation..............................................................................................11.2Scopeandmethodology.................................................................................................1
1.2.1Revisionofdocumentsandinceptionreport.........................................................................11.2.2MissiontoGuatemala:informationgathering,interviewsandfieldvisits.............................21.2.3Informationanalysis,conclusions,recommendationsandlessonslearned...........................21.2.4FinalreportsinSpanishandEnglish.......................................................................................3
1.3structureoftheevaluationreport..................................................................................32ProJectdescriptionanddevelopmentcontext.................................................................42.1Projectstartandduration...............................................................................................42.2Problemstheprojectsoughttoaddress.........................................................................42.3Immediateanddevelopmentobjectivesoftheproject.................................................42.4baselineindicatorsestablished.......................................................................................52.5Mainstakeholders..........................................................................................................52.6Expectedresults..............................................................................................................5
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3Findings..........................................................................................................................73.1Projectdesign/formulation...........................................................................................7
3.1.1AnalysisofLogicalFramework................................................................................................73.1.2Assumptionsandrisks............................................................................................................83.1.3Lessonsfromotherrelevantprojects.....................................................................................83.1.4Plannedstakeholderparticipation..........................................................................................93.1.5Replicationapproach............................................................................................................103.1.6UNDPcomparativeadvantage..............................................................................................103.1.7Linkagesbetweenprojectandotherinterventionswithinthesector..................................113.1.8Managementarrangements.................................................................................................12
3.2Projectimplementation................................................................................................133.2.1Adaptivemanagement.........................................................................................................133.2.2MonitoringandEvaluation:designatentryandimplementation*.....................................153.2.3FeedbackfromM&Eactivitiesusedforadaptivemanagement...........................................163.2.4Partnershiparrangements....................................................................................................173.2.5Projectfinance......................................................................................................................173.2.6UNDPandImplementingpartnerimplementation*,coordinationandoperationalissues.22
3.3Projectresults...............................................................................................................233.3.1Overallresults(attainmentofobjectives)*.........................................................................23
Result1......................................................................................................................................23Result2......................................................................................................................................25AnalysisofLogicalFramework...................................................................................................26
3.3.2Relevance*...........................................................................................................................323.3.3Effectivenessandefficiency*...............................................................................................32
Effectiveness..............................................................................................................................32Efficiency...................................................................................................................................33
3.3.4Countryownership...............................................................................................................343.3.5Mainstreaming......................................................................................................................353.3.6Sustainability*......................................................................................................................37
Financialsustainability...............................................................................................................38Socioeconomicsustainability.....................................................................................................38Sustainabilityofinstitutionalframeworkandgovernance........................................................39Environmentalsustainability.....................................................................................................40
3.3.7Catalyticrole.........................................................................................................................403.3.8Impact...................................................................................................................................42
4Conclusions,recommendationsandlessons..................................................................454.1Generalconclusions......................................................................................................454.2Conclusionsandrecommendationsonthedesign,implementation,monitoringand
evaluationoftheproject............................................................................................45Conclusionsonprojectdesign.......................................................................................................45Recommendationsonprojectdesign............................................................................................45Conclusionsonprojectimplementation........................................................................................46Recommendationsonprojectimplementation.............................................................................46Conclusionsonmonitoringandevaluation...................................................................................46Recommendationsonmonitoringandevaluation........................................................................47
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4.3Conclusionsandrecommendationstofollow-uporreinforceinitialbenefitsfromtheproject.........................................................................................................................47
Conclusions....................................................................................................................................47Recommendations.........................................................................................................................47
4.4Conclusionsandrecommendationsforfuturedirectionsunderliningmainobjectives48Conclusions....................................................................................................................................48Recommendations.........................................................................................................................48
4.5Bestandworstpracticesinaddressingissuesrelatingtorelevance,performanceandsuccess........................................................................................................................49
Bestpractices.................................................................................................................................49Worstpractices..............................................................................................................................50
4.6Lessonslearned............................................................................................................505Annexes........................................................................................................................535.1Evaluationconsultantcodeofconductagreementform.............................................545.2EvaluationcriteriamatrixfromTor(Spanish)...............................................................555.3Terminalevaluationtermsofreference(Spanish).......................................................595.4Questionnaireusedandsummaryofresults................................................................675.5Listofdocumentsreviewed..........................................................................................735.6Travelitinerary..............................................................................................................755.7Listofpersonsinterviewed...........................................................................................765.8Summaryoffieldvisits..................................................................................................795.9NewspaperarticlepublishedduringthemissiontoGuatemala...................................815.10SummarytableofManagementEffectiveness(METT)analysis.................................83
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TITLEOFPROJECTSUPPORTEDBYTHEUNDPANDFINANCEDBYGEF
“PROMOTING ECOTOURISM TO STRENGTHEN THE FINANCIAL SUSTAINABILITY OF THE
GUATEMALANPROTECTEDAREASSYSTEM(SIGAP)”
UNDPOutputID:81367
PIMSN°:3374
GEFSECID:4191
Evaluationperiod:August–October2017
DateofTerminalEvaluationreport:27October2017
Regionandcountriesincluded:Guatemala
GEFOperationalProgram:Biodiversity
Stakeholdersandotherpartners:CONAP–ConsejoNacionaldeÁreasProtegidas
Evaluationteam:SilviaR.Ziller,internationalconsultant
Acknowledgements: The UNDP Office in Guatemala City was key in supporting and providingguidance and information for the development of this terminal evaluation and for facilitatingmeetings with the UNDP Regional Technical Advisor and the GEF Focal Point; the ProjectManagement Unit organized all the logistics of travel to project sites and meetings for datacollection;theauthoritiesandtechnicalstaffwereverygenerousinallowingmetimeforconsultingwiththemabouttheprojectandtheirimpressions,experienceandactivities.IwouldliketothankINGUATrepresentativesandprivatesectorentrepreneursforhavingreceivedmeandreportedtheirexperiencewiththeproject.TheCoordinatorAlejandroCalventeaccompaniedmetoallprojectsitesand meetings to introduce the evaluation process and could not have been more dedicated inprovidinginformation,documentsandclarificationsthroughouttheevaluationprocess.Iwouldliketothankall thepeoplewhocontributedtimeand informationtotheevaluation,especially thosewhoareonlyindirectlyparticipatinginprojectactivities,suchastouroperatorsandbeneficiariesoftheImpulsaProgram.Ithankallthepeopleinterviewedfortheirhonestyandopenness,whichhavefacilitatedtheevaluationprocess,ensuredtransparencyandallowedmetodrawpotentiallyusefulconclusionsandrecommendationsforfutureprojects.
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EXECUTIVESUMMARY
PROJECTSUMMARYTABLE
Projecttitle: PomotingecotourismtostrengthenthefinancialsustainabilityoftheGuatemalanProtectedAreaSystem(SIGAP)
GEFSECProjectidentificationnumber: 4191
CommittedatthemomentofprojectapprovalbyGEF(MillionsofUSDollarsUSD)
Attheendofproject(MillionsofUSDollarsUSD)
UNDPProjectidentificationnumber: 81367/PIMSN°3374 GEFfinancing: 1,295,455 1,295,455
Country: Guatemala UNDPsupport: 0 0Region: LatinAmericaandtheCaribbean Governmentsupport: 1,050,000 1,097,854.87
GEFFocalarea:
Biodiversity
Otherstakeholders: 971,851.79 2,390,021.82
GEFfocalareaobjectives(Operationalprogram/StrategicPriority):
GEF4BD-SP1Financing;BD-SP3PA
Networks
Totalco-financing: 2,021,851.79 3,575,073.56
Executingagency: NationalProtectedAreaCouncil(CONAP) Projecttotalcost: 3,317,306.79 4,783,331.69
Otherstakeholders:
InstitutoGuatemaltecodeTurismo(INGUAT);MunicipalidadesdeSibinal,TodosSantosCuchumatán,SanMarcos,SanPedroySantiagoAtitlán;AsociacióndeAgricultoresEcológicos(ASAECO);AsociaciónAgropecuariayArtesanalparaelDesarrolloLaGuadalupana;MinisteriodeEconomía(MINECO);MinisteriodeCultura(MICUDE);ONGs(Helvetas,TNC,RainforestAlliance,FCG,AsociaciónVivamosMejor,FUNDAECO).
ProjectDocumentsignature(Projectstartdate): 22-Jan-2013
(Operational)Projectenddate:
Enddateatbeginningofproject:22-Jan-2017
Enddateafterextension:31-Oct-2017
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BRIEFDESCRIPTIONOFPROJECT
Theoverallaimoftheproject istocontributetotheconservationofbiologicaldiversityofglobalimportance in Guatemala. The objective is to strengthen the financial sustainability of theGuatemalanProtectedAreaSystem(SIGAP)bydevelopingnewfinancialmechanismsinthetourismindustrywhileensuringthattheobjectivesofecotourismarealignedwiththoseofenvironmentalconservation.
Inordertofulfilltheseobjectives,thefollowingoperationalstrategiesweredesigned:(i)reviewandstrengthen legal regulations at the national level to develop ecotourism as part of a strategy topromote the sustainability of the Guatemalan Protected Area System (SIGAP); (ii) improve theinstitutional framework tomanage ecotourism in protected areas, including a pilot program forimplementing ecotourism in seven protected areas in the Western Highlands; (iii) strengtheninstitutionalcapacityatthenational,municipalandlocallevelsinprotectedareamanagement.
Theexpectedresultshaveallbeenachieved.Thelegalandinstitutionalframeworkswereimprovedto favor the development of ecotourism, and an alliance between CONAP and the GuatemalanNationalTourismInstitute(INGUAT)involvingtheprivatesectorwasconsolidated.Documentsandguides for theapplicationof legal regulations,management,publicuse,andbusinessplansweredeveloped for the seven protected areas in the pilot program. A proposal to harmonize legaldocuments and regulations was produced to consolidate a reference framework for thedevelopmentoftourismbasedonenvironmentalsustainabilitycriteria.Thislegacyhasstartedtobeappliedinthesevenpilotareas,butextendstotheentireSIGAPandwillserveasamodelforfutureprojectsinGuatemalaandbeyond.
EVALUATIONRATINGSTABLE
Criteria:1.MonitoringandEvaluation Rating 2.IAandEAexecution: Rating
OverallqualityofM&E S ImplementingAgencyexecution-UNDP HS
M&Edesignatprojectstartup S ExecutingAgencyexecution-CONAP HS
M&Eplanimplementation HSOverallqualityofprojectimplementation/execution: HS
3.Outcomes 4.Sustainability
Overallqualityofprojectoutcomes HS OveralllikelihoodofriskstoSustainability ML
Relevance R Financialresources L
Efectiveness HS Socio-economic ML
Efficiency S Institutionalframeworkandgovernance L
5.Impact Environmental L
Environmentalstatusimprovement M
Environmentalstressreduction M
Progresstowardsstress/statuschange M 6.Overallprojectresults S
Note:Ratingsare:HighlyUnsatisfactory (HI),Unsatisfactory (U),ModeratelyUnsatisfactory (MU),ModeratelySatisfactory (MS),Satisfactory(S)andHighlySatisfactory(HS).Relevanceratingsare:Relevant(R)orNotRelevant(NR).Sustainabilityratingsare:Unlikely(U),ModeratelyUnlikely(MU),ModeratelyLikely(ML)andLikely(L).Impactratingsare:Significant(S),Minimal(M)andNegligible(N).
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SUMMARYOFCONCLUSIONS,RECOMMENDATIONSANDLESSONSLEARNED
1Generalconclusions
ThegeneralobjectiveoftheprojectwasachievedbecausethefinancialsustainabilityofSIGAPwaseffectivelystrengthenedbytheestablishmentofnewfinancialmechanismsandwaysofpromotingecotourisminGuatemalainalignmentwiththeconservationofbiodiversityofglobalimportance.
Result 1 was fully achieved and left an array of policies, regulations and additional products(manuals,guides,regulations,aproposalforharmonizingotherlegaldocuments)thatconsolidateanimportantbaseforthedevelopmentoftourisminGuatemala.
AlthoughResult2onlypartiallyachievedsomeoftheindicatorgoals inthelogicalframework,astheseweredependentuponexternalcooperation,theaccomplishmentandproductsgeneratedareconsideredexcellent.Amongtheproductsare21plansforthesevenpilotprotectedareaswhicharebeingimplementedandserveasreferencefortheentireSIGAPandbeyond.
2Conclusionsandrecommendationsonthedesign,implementation,monitoringandevaluationoftheproject
Conclusionsonprojectdesign
The lack of written memory and register of decisions made in the design phase of the projectrequired adaptations and corrections during implementation, but did not jeopardize theachievementofresults.
Recommendationsonprojectdesign
(1)Compilea registryof referencesused inprojectdesignandcompareactivitieswithexisting
projectstoavoidduplicationofefforts.Especiallyregisterthedatausedtodefinethebaselineofindicatorsandotherinformationthatsupportsprojectgoals.
(2) Identifyneedsof stakeholders andbeneficiariesduringprojectdesignand include funds tosupportfeasibleactivitiesinthebudget.Evenifmodestinvestmentsaremade,supportingthedevelopment of activities of special interest increases cooperationwith project activities andgoals.
Conclusionsonprojectimplementation
Project implementationwasconsideredHighlySatisfactory(HS),especiallyconsideringtheneedforadaptivemanagementinrecalculatingindicatorbaselines,reductionofCONAPpersonnelduetobudgetary losses and political instability. The coordination between CONAP and the UNDP onoperationalissueswasconsideredHighlySatisfactory(HS).NomajorissuesthatwouldhaverequiredaninterventionfromtheUNDPathigherlevelsoccurredduringprojectimplementation.
Recommendationsonprojectimplementation
(3)Projectsmustinvesteffortsandresourcesinestablishinginstitutionalcooperationinordertosharebenefitsaswellasresponsibilitiesforthesustainabilityofactivities.Thegoalsofthisprojectwere achieved mainly through cooperation agreements with relevant partners, whichcompensatedforpoliticalinstabilityandinstitutionaldifficulties.
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Conclusionsonmonitoringandevaluation
Project monitoring and evaluation used all tools available except for co-financing activities andvalues,whichendedwithanincompletefollow-up.
MonitoringandevaluationwereconsideredSatisfactory(S).TheMonitoringandEvaluationPlanwas satisfactorily designed. Although a specific M&E plan was not developed beyond what isdescribedinthePRODOC,severalmechanismswereinplace.ApartfromtheCoordinator’sroutineresponsibilities, quarterly meetings with the UNDP and one annual meeting of the tripartitecommissionwereheld.GEFmonitoringinstrumentswerethoroughlyused:AOP,QPR,PIR,annualreports,reportsonsteeringcommitteeandco-financingpartnermeetings,aswellastheTrackingToolsforInstitutionalCapacity,FinancialSustainabilityandManagementEffectiveness(METT).
The lack of written memory and register of decisions made in the design phase of the projectrequired adaptations and corrections during implementation, but did not jeopardize theachievement of results. Follow up of cofinancing activities was not satisfactorymainly due to aspecificcontextoftheproject.Duetothetimeelapsedbetweenprojectdesignin2010andstartin2013, part of the plans for the joint implementation of activities were lost, as organizationsimplemented their projects before the project started. Thiswas compensatedby instating otherpartner organizations. Although the activities of co-financing partners contribute to the generalprojectobjectiveandwereimplementedinthesameregion,mostofthesewerenotdirectlylinkedtospecificprojectobjectives.
Recommendationsonmonitoringandevaluation
(4)Ensurefollowupofpartnerco-financingcommitments.
3Conclusionsandrecommendationstofollow-uporreinforceinitialbenefitsfromtheproject
Conclusions
The replication potential of the main project activities is ensured by the vast referencedocumentationdevelopedandavailable.Theproject ismostlyatthereplication level,aspoliciesandregulationsareapprovedtosupportthedevelopmentofecotourisminGuatemala.Theselegaldocumentsensure the replicationofbenefitsapplied to thesevenpilotprotectedareas tootherareas within SIGAP and can be used as models for similar legislation in other countries whereecotourismisadevelopmentpriority.
The sustainability of the most relevant project activities and products is sufficiently ensured topromote the development of ecotourism in Guatemala. Formal agreements that ensure thecontinuityofprojectresultsand,inmanycases,assurefinancialsustainabilityweresigned:ImpulsaProgram(CONAP,INGUAT),Q-GreenCertificationProgram(CONAP,INGUAT,MinistryofCultureandSports),andMonitoringProgram(CONAP,municipalitiesandcommunityassociationsmanagingpilotprotectedareas).
Recommendations
(5) CONAP and INGUAT must ensure continuity of the development of ecotourism with
sustainabilitycriteriainGuatemalaandapplytheproductsgeneratedbythisprojectthroughoutSIGAP, expandingbiologicalmonitoring and themonitoringof impacts from tourist visitation.
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CONAPmustdevelopanonlinetoolforthecalculationofvisitorentryfeesbasedonoperationalcostsofprotectedareassoitiswidelyavailabletoSIGAPandbeyondGuatemala.
(6)CONAPtechnicalstaffmustfollowupandsupporttheimplementationofmanagementplans,
publicuseandbusinessplansinthepilotprotectedareasbenefittedbytheproject,including
biologicalmonitoringandmonitoringofimpactsfromtouristvisitation.
(7)CONAPmustdefineacontinuedcapacitybuildingstrategywithsupportfrompeoplewhowerecapacitated as facilitators through this project to ensure the maintenance and increase oftechnicalcapacityattheregionallevel.
4Conclusionsandrecommendationsforfuturedirectionsunderliningmainobjectives
Conclusions
TheprojectconsolidatedthelegalandinstitutionalframeworksforthedevelopmentofecotourisminGuatemala.Moreconcreteresultswillbevisibleaspolicies,regulationsandmodelsofpublicuseandbusinessplansareextendedtootherprotectedareaswithinSIGAP.
ThelackofprofessionalexpertsinsustainabletourismisarelevantlimitationinGuatemala.
Thelossoftechnicalstaffbyinstitutionsduetopoliticalchangesnegativelyaffectsthecontinuityofactivitiesinitiatedthroughprojectsandcontributestothelossofcapacityimprovedthroughprojectworkshops.
Recommendations
(8)CONAPshouldreconsiderthecomplexityofapprovaloflegalandtechnicaldocumentssuchasmanagementplans andpublic useplans,whichhave tobe submitted to repeatedanalysis atdifferentinstitutionallevelsthattakelongandcausedelaysintheimplementationofprojects.
(9) INGUAT should consider offering second time participants in the Impulsa Program private
tutoringinsteadofgenericcapacitybuilding.Beneficiariesareinterestedinhavingsupporttodevelopspecificissuesintheirbusinesses.
(10)CONAP and INGUAT must design and disseminate more tourist destinations that include
protectedareastopromotevisitationandsupportthedevelopmentofecotourism.
(11)AnefforttoregulateaccessoftouroperatorstoprotectedareasthroughCONAPisimportant
to avoid unregistered services without adequate safety conditions and qualified guides fortourists.
(12)As possible, CONAP should hire tourism experts for the Regional Offices to promote thedevelopmentoftourismactivitieswithsustainabilitycriteriaandsocialparticipation.
(13)FutureprojectsmustsecurestronginvolvementofNGOsandresearch/educationinstitutionsforownershipofprojectknowledgeandproductsaswellassustainability.
5Summaryofbestandworstpractices
Bestpractices
ConsolidatingecotourismintheagendaofCONAP,associationsandmunicipalitiesasafinancial
mechanismforthemaintenanceofprotectedareasandtheconservationofbiologicaldiversity.
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Promoting tourism with sustainability criteria includingmonitoring of biological indicators andimpactsfromvisitationasessentialcomponentstopreventthedegradationofnaturalconditionsandgeneratedata.
Involving the private sector in the development of ecotourism andmaintenance of protected
areas.
Participationofpersonnelfromthe10CONAPRegionalOfficesincapacitybuildingworkshops.
ThecommitmentbyCentralCONAPtodevelopanonlinetoolforcalculatingvisitorentryfeesin
protectedareas.
Capacity building and involvement of park rangers and regional technical staff in biological
monitoring.
Not treating the project as though it were an institution, always acknowledging activities andproductstotheexecutingagencyandstakeholders.
Worstpractices
Thelackofmemoryofdatausedinprojectdesign.
6Summaryoflessonslearned
Institutional coordination is essential for best results in the development of tourism withenvironmentalsustainabilitycriteriainprotectedareas.
Itisveryimportanttoadjustprojectstoinstitutionalcapacitiesoftheexecutingagency.
Anassessmentofstakeholderprioritiesiskeytofacilitateprojectownershipandachievementofgoals.
ItisimportanttoinvolveCONAPdirectorsandtechnicalstaffofCONAPRegionalOfficesfromthedesignphaseofprojectssotheycancontributetoconceptsandprovidenotionsofregionalreality.
Involvementoftheprivatesectorincreasesthesustainabilityofprojectactivitiesandprograms.
Theimplementationofmonitoringofbiologicalindicatorsandimpactsofvisitationinprotectedareasmustbeadjustedtolocalcapacity.
It is important that the increase in capacity to performevaluationsof impact causedby touristvisitationisfollowedbyincreasedknowledgeinpossiblemitigationalternative.
Municipalitiesandassociationsdemonstratebetterabilitytoparticipateinprocessesandprojectsand, in second place, to generate, access and use information and knowledge to developstrategies, policies and legislation, while capacity for management and implementation ofactivitiesandformonitoringandevaluationaresignificantlylower.
Capacity building workshops should include open hours to allow participants to exchangeinformationandexperience.
Localcapacitybuildingworkshopsaremoreeffectiveforaddressingparticularneedsofaregionorprotectedarea.
Avoiddisseminatingaperceptionoftourismasthegreateconomicsolutionforthesurroundingsofprotectedareasandtoworkwithintherealitythatitcancreateadditionalincomeopportunitiesforsomepeople,communitiesandtheprivatesectoraswellasforthemaintenanceofprotectedareas.
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ABBREVIATIONSANDACRONYMS
Abbreviation/acronym DescriptionAGN GuatemalanNewsAgencyAOP AnnualoperationalplanASAECO LagunaChicabalEcologicalFarmersAssociationASOCUCH AssociationofCuchumatanesOrganizationsCAMTUR GuatemalaTourismChamberCECON ConservationStudiesCenterCONAP NationalProtectedAreaCouncilFCG GuatemalaFoundationfortheConservationofNaturalResourcesandEnvironmentGEF GlobalEnvironmentalFacilityFONACON NationalConservationFundFUNDAECO FoundationforEcodevelopmentandConservationIDAEH AnthropologyandHistoryInstituteIDB InteramericanDevelopmentBankINAB NationalForestInstituteINGUAT NationalGuatemalanTourismInstituteMAGA MinistryofAgriculture,CattlefarmingandFoodMARN MinistryofEnvironmentandNaturalResourcesMETT ManagementeffectivenesstrackingtoolMICUDE MinistryofCultureandSportsMIPYMES Micro,smallandmedium-sizeenterprisesMTR Mid-termReviewOCRET StateTerritorialReservesControlOfficeNGO Non-governmentalorganizationPBZ PermanentBanZonePA ProtectedAreaPIF ProjectidentificationformPIR ProjectimplementationreportPNUD UnitedNationsDevelopmentProgramPPG ProjectPreparationGrantPRM MunicipalRegionalParkPRODOC ProjectDocumentPROSOL ProjectfortheDevelopmentofSololáQ Quetzales,thecurrencyinGuatemalaQPR QuarterlyProgressReportRNP PrivateNaturalReserveRUMCLA LakeAtitlánMultipleUseReserveSEGEPLAN PresidencyGeneralSecretaryforPlanningandProgrammingToR TermsofReferenceTNC TheNatureConservancyPMU ProjectManagementUnitUNEG UnitedNationsEvaluationGroupWWF WorldWildlifeFund
1INTRODUCTION
1.1 PURPOSEOFTHEEVALUATION
ThemainobjectivesoftheTerminalEvaluationare:
• verifyifthereweredesignflaws,especiallyintheformulationofobjectives,resultsandlogicalframeworkindicators,andhowtheyaffectedimplementation;
• assess general implementation and achievement of results as planned in the ProjectDocumentandrecommendationsinthemid-termreview(MTR);
• assessthepertinenceandrelevanceoftheprojectregardingnationalpriorities,aswellasstrategicobjectivesofGEFandUNDP;
• assesseffectivenessandefficiencyinprojectimplementation;• assessprojectaccomplishmentsandoutcomesaccordingtologicalframeworkindicators
andGEFTrackingTools;• criticallyassessprojectimplementationandmanagement;• assessfinancialexecutionandcompareco-financingarrangementswithoriginalplanning;• assess thesustainabilityofprojectactions in financial, socio-economic,environmental,
governanceandinstitutionalterms;• document achievements and limitations, impacts, lessons learned, best and worst
practices, and products generated in terms of project design, implementation andmanagement;
• assesspotentialreplicationofbestpracticesandlessonslearnedtootherprojectsinthecountryandbeyond.
Theevaluationisbasedoncriteriaofrelevance,effectiveness,efficiency,sustainabilityandimpact,accordingtotheProject-LevelEvaluationGuidanceforConductingTerminalEvaluationsofUNDP-supported,GEF-financedprojects.Thedocumentationoffindingsisbasedon(a)projectdocumentsandproducts, fromthePRODOCtoTrackingTools(METT, financialsustainabilityand institutionalcapacityscorecards)andproductsgenerated;(b)interviewswithstakeholdersand(c)visitstopilotareasbenefittedbytheproject.Allproceduresandinterviewsconductedatthehighestethicallevels,inaccordancewiththeprinciplesestablishedintheEthicalGuidanceforEvaluationsoftheUnitedNationsEvaluationGroup(UNEG).Allinformationreceivedduringinterviewsandmeetingsarrangedforthepurposeofthisevaluationwasdeclaredconfidentialatthebeginningofeverymeeting.TheConsultantAgreementFormandAcceptanceoftheCodeofConductareincludedintheevaluationreport(Annex5.1).
1.2SCOPEANDMETHODOLOGY
1.2.1Revisionofdocumentsandinceptionreport
Theinitialfifteen(15)daysofwork,betweenAugust2ndand18,2017,wereusedforthereviewofmainprojectdocumentsandevaluationquestions(Annex5.2)intheTermsofReference(Annex5.3),designofquestionsfortheinterviewsonthemissiontoGuatemala(Annex5.4)andpreparationoftheinceptionreport.ThelistofdocumentsisavailableinAnnex5.5andincludesproductsandothermaterialsreviewedduringandafterthemission.InitialmeetingswereheldviaskypewiththeprojectCoordinator,AlejandroCalvente,andwiththeUNDPRegionalTechnicalAdvisor,SantiagoCarrizosa.Thelistofpeopletobeinterviewedonthemissionaswellastheagendaforthefieldvisitswereconsolidated.
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1.2.2MissiontoGuatemala:informationgathering,interviewsandfieldvisits
Themission toGuatemala lasted21days,betweenAugust20andSeptember09,2017.ThevisitbeganwithawelcomemeetingattheUNDPOffice,afterwhichtheCoordinatorprovidedadetailedaccountoftheprojectendeavorsbasedonthelogicalframework,indicatorsandexpectedoutcomes.On the second day, the UNDP Office staff was interviewed about the project and their role asimplementingagency.
ThefieldtripbeganwithameetingthatconvenedthethreeCONAPRegionalDirectorsalongwithtechnical staff in San Pedro Sacatepéquez. Six of the seven pilot protected areas were visited.Interviewswerearrangedwithmanagers,rangersandotherstaff,aswellasmunicipalauthoritiesandcounsellorsandfarmerassociationsinchargeoftwoprotectedareas.
After the field trip, work was concentrated in Guatemala City formeetings and interviewswithstakeholders, especiallywith CONAP and INGUAT authorities and technical staff, theMinistry ofEnvironmentandNaturalResources(GEFFocalPoint)andtheUNDP.WorkwascarriedoutinnarrowcollaborationwiththeprojectCoordinatortoensurethatallrelevantdocumentswerereviewedandall relevant stakeholders were consulted. Three key employees (Secretary General, TechnicalDirectorandChiefofEcotourismandCulturalHeritageSection)whoworkedatCONAPwhentheprojectwasdesignedandapprovedwerealsointerviewed,aswellasrepresentativesoftheprivatesector benefittedby the Impulsa Programand tour operatorswho signed agreementswithpilotprotectedareas.Onthelastdayofthemission,apresentationofinitialfindingswasmadetotheUNDPOfficestaffandtheprojectCoordinatortoexposethemostrelevantissuesandseekfeedbackonpointsofview,clarifications,andconsiderationstorefinethefinalreport.
Thetravelitinerary,thelistofpersonsinterviewedandthesummaryoffieldvisitsarerespectivelyavailableinAnnexes5.6,5.7and5.8.
Themethodologicalchoiceofclosedinterviews,preferablywithafewpeopleatatime,isduetotheperceptionthatpeoplefeelmoreateasetomaketruthfulcommentsandexpresstheirimpressions,expectationsand frustrations,whichare important referencematerial for theevaluationand forfutureprojects.Thefactthatallinformationisdeclaredconfidentialalsofacilitatestheexpressionofrealisticdata.Thequestionspreparedduringtheinitialdaysofworkwereadjustedaccordingtothebackground of the interviewees, but repeating content is important to derive themost relevantissuesfromthewholeofparticipants.Frustrationsandprivateinterestsalsobecomevisibleintheinterviews, as well as the difficulty of most people in understanding the structure and lack offlexibilityofGEF-fundedprojectsintermsofbudgetallocationstoactivitiesthatmayseemhighlydesirabletoparticipants.
1.2.3Informationanalysis,conclusions,recommendationsandlessonslearned
Allinformationgatheredininterviews,meetingsandfieldvisitswasorganizedonadailybasis,exceptfor a few very long travel days. The information received from participants was compared toinformation in project documents and products. As days went by and the number of peopleinterviewed increased, themostrelevantconcerns,positiveresults,expectationsandfrustrationsstoodoutby repetition.General impressionsaboutoutcomes, limitations, expectationsandbestpracticesthatweremorerelevanttothemajorityofstakeholderswasregisteredinthisway.
Once the mission to Guatemala ended, the information gathered was carefully inserted in therespective topics in theEvaluationReport in twoweeks, fromSeptember11 to22nd, 2017. The
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ManagementEffectivenessTrackingTools(METT),institutionalcapacityandfinancialsustainabilityscorecards,andespeciallytheevaluationrankingswereanalyzedasthelastelementstoaddtothereport to ensure that all other documents had been reviewed and that the deepest level ofknowledgeof theprojecthadbeenachievedbeforeadecision couldbemadeon the requestedrankings.ThedraftTerminalEvaluationreportwassubmittedonSeptember22nd,2017.
1.2.4FinalreportsinSpanishandEnglish
TheUNDP staff andProjectManagementUnit sent the draft reportwith commentsback to theevaluatoronOctober11,2017.Thecommentswereusedtoimprovethereport,andsuggestionswereincorporatedandexplanationsregisteredasresponsestoissuesraised.TheSpanishandEnglishversionsoftheTerminalEvaluationFinalReportweresenttotheUNDPonOctober18,2017.MinorchangesweremadefromnewcommentsreceivedfromtheUNDPandtheCoordinator,andthefinalreportsinbothlanguagesweresubmittedonOctober27,2017,fourdaysbeforeprojecttermination.
1.3STRUCTUREOFTHEEVALUATIONREPORT
TheTerminalEvaluationreportisstructuredtocontainacompleteoverviewoftheproject,fromthedesignphasetoprojecttermination.
AnExecutiveSummary is included inthebeginningofthereport, includingtheRankingsTableofUNDP-supported,GEF-fundedprojects.
Thefirstsectionofthereportcoversprojectobjectives,scopeandmethodology.Thesecondpartincludesabriefdescriptionofthelogicalframeworkindicatorsandprojectcontext.
Evaluationfindingsaredetailedinthethirdsection,organizedby(a)projectdesignandformulation,(b)execution,(c)resultsand(d)conclusions,recommendationsandlessonslearned.Annexesincludethe Consultant Agreement Form, Terms of Reference, evaluation questions, matrix of interviewquestions, list of documents reviewed, travel itinerary and the list of people interviewed. AnewspaperarticleabouttheImpulsaProgramfoundbychanceduringthemissionwasincluded,aswellasasummarytablecompiledtofacilitatetheassessmentofmanagementeffectivenessforthesevenpilotprotectedareas.
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2PROJECTDESCRIPTIONANDDEVELOPMENTCONTEXT
2.1PROJECTSTARTANDDURATION
Theprojectproposalwas initiallywritten in2010, duringGEFphase3,whenecotourismwas anunusualtopicinGEFprojects.TheinitialproposalwasnotapprovedandhadtoberedesignedfromabudgetofaboutUS$10milliontoabout10%oftheamount(US$1,295,455).ThissecondproposalwasapprovedandtheprojectwasinitiatedinJanuary,2013,duringGEFphase4.
The delay between the initial proposal and project start interfered mainly with co-financingarrangementsmadewithNGOs in2010,as the fundscouldnot stayunused.TheprojectdidnotincludespecificgenderorclimatechangeconcernsbecausethesewerenotGEFrequirementsatthetime.
Becausemostoftheoutcomesofthisprojectarechangesinpoliciesandregulationsthatrequirelongprocessesforapproval,andtoensurethatthepilotareaswereabletostartimplementationoftheplansdeveloped,aten-monthextensionwasrecommendedintheMid-TermReview.Theprojectwasthereforeoperativebetween22ndJanuary,2013,until31stOctober,2017,completing4yearsand 10 months of implementation. The extension was sufficient to grant the approval of legaldocumentsandnearlyallplans,consolidatepartnershipsthatwillcontinueimplementingactivitiesinitiatedduringtheprojectandbeginimplementingmanagement,publicuseandbusinessplansinthesevenpilotprotectedareasbenefittedbytheproject.
2.2PROBLEMSTHEPROJECTSOUGHTTOADDRESS
The project aimed to develop ecotourism as a financialmechanism for the sustainability of theGuatemalanProtectedAreaSystem(SIGAP).ThiswasanewapproachinGuatemala,especially intheprotectedareasaddressedbytheproject,managedbylocalstakeholders(fivemunicipalitiesandtwoassociations).
TheprojectobjectivecontributestoGEFStrategicProgram1:FinancialSustainabilityofProtectedAreaSystemsatthenationallevel;andtoStrategicProgram3:StrengthenTerrestrialProtectedAreaNetworks.ItalsocontributestothefinancialsustainabilityofSIGAPbyconsolidatingtoolsandalegalandinstitutionalframeworkforthedevelopmentoftourisminGuatemalawiththehighergoalofconservationofthebiologicaldiversityofglobalimportance.
This projectwasmainly focused on preparing a legal and institutional framework for CONAP toincreasetheopportunitiesofdevelopingecotourisminprotectedareasandinotherareasrelevantfor the conservation of biological diversity. Regulations were reviewed or created to improvemanagement options, include environmental sustainability criteria tomonitor impacts of touristvisitationandgeneratemoreworkandincomeopportunitiesatthelocalandregionallevels.
2.3IMMEDIATEANDDEVELOPMENTOBJECTIVESOFTHEPROJECT
The goal of this project is to conserve biological diversity of global relevance inGuatemala. TheimmediateobjectiveistostrengthenSIGAPbydevelopingecotourismasafinancialmechanismtocontributetobiodiversityconservation.
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2.4BASELINEINDICATORSESTABLISHED
The Logical Framework contains 15 indicators organized by objective (4 indicators), results fromstrengthening the legal and political framework for ecotourism development (4 indicators) andresults from improvements in the institutional framework at the national level for ecotourismmanagement,includingcapacitybuildingandimplementationinsevenpilotareas(7indicators).
Themain indicatorsmeasure progress on the increase of protected areas (in hectares) and theregistryof newprotected areas in SIGAP,which implies an increase in the level of protectionofrelevantareasfortheconservationofbiodiversity;onchangesinlegalregulationsatthenationalleveltocreateafavorabledevelopmentcontextforecotourismbasedoncriteriaofenvironmentalsustainability;ontheengagementoftheprivatesectorindevelopingtourisminprotectedareas;ontheincreaseintechnicalcapacityinCONAP,INGUAT,municipalitiesandotherorganizationsinvolvedin protected area management; on the decrease of the financial gap of CONAP to cover basicmanagementcostsinprotectedareas;andtoimprovedmanagementofpilotprotectedareaswithapplicationofentrancefees,implementationofmanagementplansandpublicuseplansthatincludemonitoringofbiologicaldiversityandimpactsofvisitation,andbusinessplans.
2.5MAINSTAKEHOLDERS
Themainstakeholders included intheprojectdesignwereCONAP,asexecutingagency,workingwith support from the UNDP as implementing agency; INGUAT, at first mainly for interest inimplementing the Unified Registry of Visitors (URV) in the pilot protected areas and developingprograms thatbenefit SIGAP;and themunicipalities andassociations in chargeofmanaging thesevenprotectedareasselectedbytheproject.
The NGOs Helvetas Guatemala, The Nature Conservancy, Asociación Vivamos Mejor, USAID -CounterpartInternationalandFondodeConservacióndeBosquesTropicalessignedagreementsforco-financingprojectactivitieswithwhichtheirworkhadsynergies.
2.6EXPECTEDRESULTS
Theoutcomesexpectedtocontributetothegeneralobjectiveofbiologicaldiversityconservationwerethedevelopmentofnewtourismroutes inprotectedareaswith lowlevelsofvisitation,theincrease inprotectedareaswithecotourismbenefits in theWesternHighlands, thedefinitionofspeciestobeusedasbiologicalmonitoringindicatorsandanimprovementinthefinancialcapacityofSIGAPmeasuredbytheGEFfinancialsustainabilityscorecard.
Theresultsareorganizedintwocomponents.Thefirstresult includesreviewedpoliciesandlegalregulationsthatwerenotconsideredfunctionalforthedevelopmentoftourisminthecountry,aswell as new regulations to fill legal gaps. The policy on tourism activities, the policy of co-administrationinprotectedareas,theregulationsontheconcessionofservicesforvisitorswithinSIGAPandCONAPregulationsforthecontrolofentrancefeeswerelistedforreview.Thereisoneadditionalgenericitemthatrefersto“ecotourismmanagementinstrumentswithinSIGAP”,whichwas not clearly defined in the original project design, and was subdivided into severalcomplementarydocumentsamongregulationsandpracticalmanuals.
ThesecondresultreferstoanimprovedinstitutionalframeworkwithinCONAPforthemanagementofecotourisminprotectedareas.Activitiesincludedcapacitybuildingonecotourismforprotected
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areamanagersandotherprofessionals,visitorattentionandmonitoringecotourismimpactsbasedonbiologicalindicatorsandrecordsofimpacts,theinclusionofecotourisminmanagementplansaspartoftheirfinancialstrategies,testingtheentrancefeesysteminpilotareas,andthedevelopmentofmanagement,publicuseandbusinessplansforthesevenpilotprotectedareas.
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3FINDINGS
3.1PROJECTDESIGN/FORMULATION
3.1.1AnalysisofLogicalFramework
AsnotedintheMTR,thetimeusedinprojectplanninganddesignexceededtheregulardeadlineof18months.Morethanthreeyearspassedbetweenprojectdesignandprojectstart.
The project results were, in general, well devised, and fit the GEF “SMART” criteria (specific,measurable,attainable,relevantandlimitedintime).Theflawsinindicatorsinthelogicalframeworkwerenotduetodifficultyofmeasurement,butduetolackofreference,errorsorchangesinthevaluesassignedasbaselines.
Asthelogicalframeworkisthemainmonitoringandevaluationtooloftheproject,itisimportanttonotethattherewereflawsinthebaselineof6ofthe15indicators,partiallyforcalculationerrors,butmainlyduetothelackofreferenceofhowthesebaselineswerecalculatedduringprojectdesign.Abriefanalysisoftheindicatorsthatrequiredrevisionispresentedbelow.
Indicator2(totalofprotectedareasintheWesternHighlandswithbenefitsfromecotourism)wasredefinedduringprojectimplementationbecausetheexpansionofsomeoftheprotectedareaswasmodified when CONAP reviewed SIGAP data (especially affecting the volcanoes Permanent BanZones)andbecauseupdatesinmanagementplansdevelopedbytheprojectidentifiedandcorrectederrorsforsomeprotectedareas,thereforechangingthetotalnumberofhectaresfortheWesternHighlands. A consultant was contracted to reevaluate the number of hectares consolidated asprotected areas and a new baseline was established for comparison with progress in projectimplementation.TheconceptofthebaselineinIndicator14(SIGAPfinancialgap)wasadjustedbyrecommendation of the MTR, in which this indicator was considered unrealistic. The originalindicator was set for a 15% reduction in the national financial gap of SIGAP, while the revisedindicatorconsideredtheWesternHighlands,theprojectmainregionofinfluence.Aconsultantwascontractedtoperformthecalculation.
Otherthreeindicators (indicator6,whichreferstothenumberofprotectedareas implementingpublicuseplans;indicator7,whichreferstothenumberorprotectedareasapplyingtheURV;andindicator10,whichreferstothenumberofprotectedareasintheWesternHighlandsregisteredinSIGAP)wereadjustedbecausethevalues in therespectivebaselineswerenotclearorcontainederrors.Thesechangesdidnotalterthegoalsofaddinganumberofprotectedareastothebaseline,asonlytheabsolutenumberswerechanged.Althoughthevalueofindicator12(changeinincome)wasnotchanged,itwasconsidereddifficulttoachieve,asofthe22protectedareasanalyzed,15were not directly contemplated by the project. Even with evidence of positive impact on thisindicator due to changes in national policies and regulations, a 30% increase was consideredunrealisticespeciallyastherepercussionofupdatedpoliciesandregulationswilltakelongerthantheprojectexpanseoftimeforimplementation.
ItisalsorelevanttoregisterthatthedescriptionofresultsinthePRODOCincludesthedevelopmentof economic incentives (“68. To encourage investment in the PAs, economic incentives will bedevelopedthroughtheprojectfortheprivatesectorandPAadministrators.”),butnoindicatorswereincludedinthelogicalframework.ManagementplansandbusinessplansarelistedasproductsofResult2inthelogicalframework,againwithoutrespectiveindicators.
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The lack of clarity or precision in these indicators led the projectmanagement unit to invest inredefiningbaselinesandcarefullyassessothervalues,whichimpliedtheuseofresourcesthathadnotbeenallocatedforthispurpose,aswellastheuseofextratime.AllthechangesinindicatorswereapprovedbytheSteeringCommittee.FouroftheindicatorswererevisedinaccordancewithrecommendationsmadeintheMTR.
3.1.2Assumptionsandrisks
Riskanalysiswaswelldevelopedduringprojectdesign,asthemajorweaknessthatinfluencedtheimplementationoftheprojectwascorrectly identified. It isthesameweaknessthatposesrisktoproject sustainability, and refers to political changes. Political changes in 2015 led to the loss ofCONAP employees, affecting project implementation and disconnecting staff who had receivedtrainingintourismmanagementthroughtheproject.ThesechangesalsoaffectedCONAPregionaloffices,inturnresultingindifficultiestosupportmunicipalities,associationsandcommunitieswhichmanageprotectedareas.Thiscontexthasnotimprovedsinceprojectstartandthereisnotapositivetendencyfor improvementoftheCONAPbudgetinthenearfuturenoranyperspectiveofbetterrepresentationattheregional level,whichcreatesfurtherfinancialrisksfortheinstitution.ThesechangesdonotimplylackofsupporttotheprojectonthepartofCONAP,butinstitutionalfrailtyandlackofpersonnel.
Therisksandimpactsofglobalclimatechangeintheregionarepartofaglobalriskthataggravatesthepressureonendangeredspeciesandfragileorfragmentedecosystemsaswellasonpopulationsthatarestronglydependentuponnaturalresourcesandwatersourceswithoutsupplyservices.Thisrisk,althoughidentifiedintheinitialanalysis,wasnotarequirementoftheGEFatthetimeofprojectdesign, and was not directly approached in the project. All activities that contribute to theconservation of natural areas also contribute to the stability of climate, but the project did notincludespecificactionstoimprovesuchresults.
TheriskoflackofconsensuswithintheGuatemalangovernmentaboutreinstatingvisitorentryfeeswasnotconfirmed,andtheregulationsforthemanagementofvisitoractivitiesintheSIGAPwereapprovedin2013.
IntheriskanalysesconductedbytheUNDP,theriskoflackofsupportforimplementingResult1wasconsideredlowin2012.Nochangesweremadetotheattributionofrisksfromclimatechange;thelackofconsensusaboutreinstatingvisitorentryfeesactuallycausedadelayinapprovalofthepolicy;andtheinstitutionalrepresentationofCONAPattheregionalleveldidnotimprove.Nochangesweremadetotheseriskswhentheanalysiswasupdatedin2015.Thisshowsthattheinitialriskanalysiswas realistic and coherent, having correctly identified themain factors that could have affectedprojectimplementationandresults.
3.1.3Lessonsfromotherrelevantprojects
Theproject indirectlyexchangedexperienceswithother initiatives inbiodiversityconservation. Itwas apparently designed as a continuity to the project “Consolidation of a system of RegionalMunicipalParksintheGuatemalaWesternHighlands”(Probosques,Helvetas),terminatedin2009.Lessons about creating incentiveswere taken from the project “EstablishingNational Priorities”.Someworkshopsonmonitoringprotocolsandtoolswereplannedandconductedwiththeproject“Sustainableforestmanagementwithmultipleglobalenvironmentalbenefits”.
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ThisprojectfilledagapleftbytheGEF-IDBproject“ImprovingmanagementeffectivenessintheMayaBiosphereReserve”,whichdidnotincludelegalreviewsofregulationsforincomegenerationfrom tourism toenforce their reinstatement foruse inprotectedareas.Nootheractivitiesweredevelopedwiththisprojectbecausetheywereimplementedingeographicallyseparateregions.
The GEF-UNDP regional project “Central American markets for Biodiversity (CAMBio):Mainstreaming conservation and sustainable use of biodiversity within micro, small andmedium-sizes enterprise development and financing”,mentioned in the PRODOC, aimed toconcede credit through intermediary financial institutions. It had an agricultural focus inGuatemala, but included tourism services and businesses in other countries, generating usefulconclusionsforthedesignoftheImpulsaProgram.AlthoughthealternativeofcreditwasofferedtoentrepreneurswhoenrolledintheImpulsaProgram,therequirementswereperceivedastoohighforsmallcompanies,andnonehaveappliedforcreditsofar.
The design of tourist destinations by INGUAT and Helvetas for San Marcos, San PedroSacatepéquezandSibinalwereusedasabasisforthedestinationsproducedbythisproject.AsFUNDAECOstaffhaddevelopedthemanagementplanfortheTodosSantosCuchumatánRMP,it was contracted by the project to design the public use plan and ensure coherence withconservationmeasuresalreadydefined.
3.1.4Plannedstakeholderparticipation
CONAP was the main institution involved in the project from the design phase, also to makeadaptations to the original proposal which had not been accepted by the GEF. The projectmanagementunitwascoherentlyestablishedintheCONAPCentralOfficeinGuatemalaCityatthebeginningofimplementation.
ThesevenprotectedareasparticipatinginprojectimplementationarerestrictedtotwocategorieswithinSIGAP(RegionalMunicipalParkandPrivateNaturalReserve)andonePermanentBanZone(whichisnotconsideredamanagementcategorywithinSIGAPdespitebeingaprotectedareainthesystem),noneofthemdirectlymanagedbyCONAP.
Severalorganizationsmentioned inthePRODOCaspartnersfor implementationandco-financingwereneverdirectlyinvolved(SEGEPLAN,IDAEH,MAGA,MARN,CECON,INAB,OCRET,CAMTUR,aswell as the NGOs The Nature Conservancy, WWF, Counterpart International – USAID, PROSOL,ASOCUCH).Thedelaybetweeninitialprojectdesignin2010andprojectstartin2013explainstheselosses in partnerships, as funds could not be reserved andwere spent as planned. CounterpartInternational supportedworkshops and developedmanuals in 2012, during the PPG, before theofficialprojectstart.
As implementation progressed, other more relevant partners with common objectives wereidentified. The roleof INGUATaspartner gradually gained importance; theMinistry of EconomycontributedseedfundingtotheImpulsaProgram,andtheMinistryofCultureandSportsisinvolvedinthedevelopmentofsustainabilitybasedcertification,bothworkingwithINGUAT.Thesepartners,atprojecttermination,representthebestguaranteeofsustainabilityfortheactionsinitiatedduringtheprojectforthedevelopmentofecotourisminprotectedareas,especiallyduetothesuccessoftheImpulsaProgramandthedevelopmentoftheQ-GreenCertificationLabel.Theinvolvementoftourismentrepreneursintheprivatesector,althoughnotexactlyprojectpartners,wasessentialfor
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thepracticalapplicationoftheregulationsupdatedandapprovedbytheproject,whichoffernewalternativestofacilitatethedevelopmentoftourism.
3.1.5Replicationapproach
Theexpectedresultsoftheprojectconsolidatea legaland institutional frameworkthatservesasreferenceforthedevelopmentofecotourisminGuatemala.TheyarealsousefulasmodelswithinSIGAPandothercountriesorregions.Adetailedreplicationplanwasnotdevelopedintheproject,but thepotential of replicationwasmade clear by thepotential extrapolationof thebenefits ofreviewing legal regulations andpolicies for application to protected areas in SIGAPwith tourismpotentialandreplicationofknowledgegainedincapacitybuildingworkshopsandprograms.
Thechangesandimprovementsinlegalregulationsrepresentanopeningofnewopportunitiesinprotectedareamanagement,especially for thereinstatementof revenues fromvisitorentry feesandthepossibilityofsharedmanagement.ThetechnicalreferencedocumentssuchasthemanualforthemanagementandreinstatementofvisitorentryfeesinprotectedareasmanagedbyCONAP,thetoolforassessmentoftourismpotential,theguidefordesigningpublicuseplans,theguidefordefiningvisitationfees,theguidefordesigningbusinessplansandtheprotocolsformonitoringtheimpacts of tourism and biological monitoring compose an important set of references for thedevelopmentofecotourismbeyondthesevenpilotprotectedareasintheWesternHighlands.
Aspecificbudgetforpressreleasesanddisseminationofresultsfromcapacitybuildingworkshops,approvalofregulationsandpolicies,activitiesdevelopedinpilotareas,bestpracticesandlessonslearnedwasincludedinprojectdesign.Othernetworks,publicationsanddocumentsproducedbytheUNDPandGEFwerealsoconsideredtohelpdisseminatebestpracticesandlessonslearnedfromtheprojectforuseinthedesignandimplementationoffutureecotourismprojectsinGuatemalaandinothercountries.
3.1.6UNDPcomparativeadvantage
The UNDP provides assistance to the Government of Guatemala in promoting, designing andimplementingactivitiesintheGEFmandateandnationalsustainabledevelopmentplans.TheofficeinGuatemalaCityiswellstructured,withpersonnelandexperienceintheimplementationoflargeprojects as well as in supporting the executing agency in case of problems that arise duringimplementation. The UNDP maintains a network of offices specialized in technical assistanceprojects.ConsideringGEFstrategicpriorities,theglobalnetworksoftheUNDParealsorelevantfortheirroleindisseminatingresults,bestpracticesandlessonslearnedfortheiruseinnewprojectsandregionsbeyondtheinfluenceofeachproject.
Stakeholders were consulted during themission about the UNDP performance as implementingagency. The UNDP staff experience and capacity in project implementation, support in case ofproblemsandeffortstopromotecontinuityarewellacknowledgedfromthenationaltotheregionallevel. Although, in the case of this project, no extreme situations arose that required UNDPinterventionsathigher levels, thestaffwasconstantlyavailable tohelpandensure theactivitieswerecarriedoutandreportsweretimelyproduced.UNDPstaffplayedarelevantroleinkeepingtheSteeringCommitteeinformed,requestingreportsasrequiredbyGEFandsupportingadministrativeprocesses,aswellascommunicatingwiththeGEFfocalpoint,theVice-MinisterofNaturalResourcesandClimateChangeoftheMinistryofEnvironmentandNaturalResources,andtheUNDPRegionalTechnicalAdvisor,SantiagoCarrizosa.
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TheUNDPalsohadtheroleofcommunicatingwithpublicauthoritiesinthemainagenciesinvolvedintheprojectaboutGEFprojectrequirementsandcriteriafortheirunderstandingandsupporttotheproject, functioningasmediator fromahigher level toensurecorrect implementationat thelocallevel.Thisisespeciallyrelevantgiventhatenvironmentalresponsibilitiesarescatteredinthegovernmentstructure,withtheGEFfocalpointintheMinistryofEnvironmentandNaturalResourcesandprotectedareamanagementdistributedbetweenCONAPandotherorganizationsinchargeofhistoricheritagesites (MinistryofCultureandSports, InstituteofAnthropologyandHistory)andforestareas(NationalForestInstitute).
3.1.7Linkagesbetweenprojectandotherinterventionswithinthesector
Attheinternationallevel,theprojectispartofGEFFourthOperationalPhase.Strategicpriorities,especiallyResults1and2,contributetoimprovingthemanagementofprotectedareasregisteredinnational systems by communities and the sustainable use of biological diversity in productivelandscapes,includinginnovativeapproachesandmarketingmechanismswhich,inthecaseofthisproject,refertoecotourism.
The project also contributes to the GEF Program in the Fifth Operational Phase, as StrategicObjective1forBiodiversityspecificallyproposesimprovingthefinancialsustainabilityofprotectedareasystems,whichismaintainedasapriorityintheSixthOperationalPhase.Lessonslearnedfromthis project will also contribute to Objective 4, to mainstream biodiversity conservation andsustainableuse inproductive landscapesandsectors.This is the reality in twoof thesevenpilotprotectedareasselectedintheproject,wherethemanagersareagriculturalassociationswithadrivefornatureconservation.
TheprojectcontributestotheprogrammaticareaofInclusiveandSustainableDevelopmentofthe
UN Development Assistance Framework (UNDAF) 2015-2019 for investing in “policies andinvestmentsthatpromoteandareresponsiblefortheprotection,useandconservationofnaturalresources,especiallyintheareasofbiodiversity,climatechange,watermanagementandenergy.”
TheprojectcontributestotheintegrityoftheMesoamericanEcologicalCorridoranduseslessonslearnedfromtheGEF-UNDPproject“ConsolidationofamunicipalparksystemintheGuatemala
WesternHighlands”,executedbytheNGOHelvetasGuatemala.ItindirectlycomplementedtheGEF-IDBproject“ImprovingmanagementeffectivenessintheMayaBiosphereReserve”forproposingtoreviewandupdatepoliciesandregulationsontourism,whichwasconsideredagapinthatproject.ItalsocontributestotheGEF-UNDPproject“EstablishingnationalprioritiesandassessingneedstobuildcapacityonbiodiversityinGuatemala”,especiallyforpromotingnumeroustechnicalcapacitybuildingworkshops.
The UNDP Office, in its role as implementing agency, promotesmeetings for the exchange of
experiences and lessons learned between project coordinators. The UNDP had 12 projects indevelopment during this period. Although none of the other projects were set in the WesternHighlands,thesemeetingswereconsideredusefulespeciallyfortheexchangeofexperiencesandlessonslearnedaboutdifficultprocessessuchastheapprovalofpolicydocumentsandregulationsandotherbureaucraticissues.
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3.1.8Managementarrangements
TheUNDPwasdefinedastheimplementingagencyandCONAPasexecutingagencyoftheprojectinthedesignphase.TheUNDPEnvironmentandEnergyOfficial,theFinanceOfficialandtheM&EOfficialprovided technical, financial, administrativeandmanagement support for theproject.AllpaymentsweremadedirectlybytheUNDP.AnnualauditswerearrangedbytheUNDPtoensuretransparencyandverifytheefficiencyoffinancialmanagement.
GiventhelimitationsofCONAPintermsofpersonnel,anexternalcoordinatorwashiredtoenablefulltimededicationtotheproject,aswellasanadministrativeassistant,whichformedtheProjectManagementUnit,allocatedintheCONAPCentralOfficeinGuatemalaCity.ThePMUworkedwithsupportandtotalintegrationwithCONAPtechnicalandadministrativepersonnel.
The project Steering Committee was formed by the CONAP Executive Secretary and the UNDPCountryDirector.Althoughtheguidelinesestablishedforthecompositionofthiscommitteeinthedesignphaseoftheprojectwerenotfollowed,theadaptationsdidnotaffectprojectdevelopment.TheCommitteehastheroleofmakingdecisionsabouttheprojectbasedontheconsensusof itsmembers and considering criteria of investment, equity, integrity, transparency and effectiveinternationalcompetence.Insituationswhennoconsensusisreached,thefinaldecisionlieswiththeUNDP.Inthecaseofthisproject,annualmeetingswereheldtopresentprojectresultsoftheformer year and the Annual Operational Plan (AOP) for the following year and grant approval.AdditionalmeetingswerearrangedfordecisionsonotherrelevantissuessuchasthechangesmadetologicalframeworkindicatorsandprojectextensionbyrecommendationoftheMTR.Inordertoavoidconflictsofinterest,thePMUdecidednottoappointonerepresentativeofthemunicipalitiesnoroftheNGOsbecausetherewerenootheropportunitiesforthesestakeholderstomeetinordertodiscussprojectmatters.TocompensatefortheirabsenceintheSteeringCommittee,theprojectCoordinatorestablishedaroutineofannualvisitstoallmunicipalauthoritiesviaMunicipalCouncilsandheldmeetingswith theNGOswhichcompromisedco-financing fundsto theproject tomakeprogress reports based on the AOP, gather opinions and ensure that all stakeholderswerewellinformed.Thisarrangementfacilitatedgoodrelationsandthe integrationofstakeholders.Duringtheinterviewswiththeseveralstakeholdersfromthenationaltothelocallevel,nocomplaintseverarose about the Coordinator or lack of information about the project. The Coordinator wasrepeatedlyacknowledgedforhisavailabilityandwillingnesstointeractandrespondtoanydemandsordoubtsaboutprojectactivities.
The projectAdvisory Committeewas formed by co-financing partners, NGOs for themost part(HelvetasGuatemala, TheNatureConservancy,VivamosMejor,RainforestAllianceand INGUAT).Follow-upmeetingswereheldeverythreemonths,butbecausetheNGOswerenotdirectlyinvolvedinprojectactivities,theirrepresentativesoftendidnotattend.So,thePMUscheduledshorterandlessfrequentmeetingstoincreaseparticipation,andincludedtheNGOsintheperiodicfieldvisitstoensuretheywerekeptwellinformed.Wheneverchangesinplannedactivitieswerenecessary,theAdvisoryCommitteemaderecommendationsfordecisionsbytheSteeringCommittee.
TheGEFFocalPoint,Vice-MinisterofNaturalResourcesandClimateChange,aswellastheUNDPRegionalTechnicalAdvisor,weresystematicallyinformedaboutprogressonprojectactivitiesbytheUNDPProjectOfficialinGuatemala.
The fact that there was no mention of lack of information or communication with the projectCoordinator during themission and interviewswith stakeholders shows that thesemanagement
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arrangementswere efficient. The Coordinator ensured good communication by visiting partnersperiodicallyandsharingannualprogressreports.
3.2PROJECTIMPLEMENTATION
3.2.1Adaptivemanagement
Thefirstadaptivemanagementexerciseintheprojectoccurredinthephaseofprojectdesign.ItisregisteredinthePRODOCthatthegoalformerlyincludedinthePIFwhichaimedtochangeDecree4-89wasadjustedforupdatinginternalCONAPproceduresandregulationsforco-administrationofprotectedareas.Thischangefavoredtheachivementofprojectgoals,astheformerproposalwouldentitlesubmittingalegalproposaltotheNationalCongressofGuatemala,whichmighthavetakenlonger toapprove than theproject timeframewouldallow.Anotheradaptivemanagement issuecamealongastheprojectCoordinatorwasreplacedduringthefirstyearofexecution,whenonly70%oftheplannedexpenseswerefulfilled.Afterthisperiod,bothtechnicalandfinancialexecutionweretimelyandnootherdelayswereregistered.
The organizational structure and internal processes established by CONAP for the approval ofdocuments suchaspolicies, regulations,managementplansand the registrationofnewareas inSIGAP required adaptive management capacity of the PMU. CONAP is managed by a Councilrepresented by several institutionswith diversified interests. As the Council is in charge of finaldecisions,thisheterogeneitycanentailextensivenegotiationsfortheapprovalofregulationsandpolicies.Moreover, theapprovalofmanagementplans,publicuseplans and the registryofnewprotectedareasinSIGAPundergoesrevisionbysevendifferentdepartments(technicalandlegalattheregionalandcentrallevelsofCONAP)beforeitisgrantedbytheCONAPExecutiveSecretary.Themainoutputsofthisprojectarepolicies,regulationsandmanagementinstruments,suchasplansforprotectedareas,andtheregistryoftwonewprotectedareasinSIGAP(PNRCorazóndelBosqueandMiradorReyTepepulRMP).TheregistryofMiradorReyTepepulRMPisespeciallyrelevantastheprocesswas initiated in 1993 and, despite efforts organized by different institutions at differenttimes,ithadnotbeenconcludedduetovarioustechnicalandpoliticalissues.
The fact that none of the seven pilot protected areaswere directlymanaged by CONAP, but bymunicipalitiessubjecttopoliticalchangesandinterests,andassociations,demandedmoreflexibilityandnegotiationskillsoftheCoordinator inestablishingsufficientagreementsandcooperationtoreachtheexpectedresults.
The original objective, goals and products were maintained along project implementation.Restructuringatthis levelwasnotnecessary,butsomeoftheindicators inthelogicalframeworkwere recalculated or adjusted. A generic item listed as part of Result 1, “SIGAP ecotourismmanagementinstrumentsupdated”,wasdividedinseveraladditionalproductsthathadnotbeenanticipated.
Somenon-structuralchangesweremadebyrecommendationoftheMTR.Aformalagreementwassigned between CONAP and INGUAT to ensure the continuity of the Impulsa Program and thecertificationprogramforsustainability(Q-GreenCertificationLabel)withsupportfromtheMinistryofCultureandSports.Thelogicalframeworkindicators2,6,7and14wereadjustedtoreflecttherealityoftheprojectandthefeasibilityofachievingestablishedgoals.
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TheMTRrecommendedaten-monthextensiontoensurethatsomeactivitiesunderwaycouldbecompleted before the project ended. This was especially important to grant approval of legaldocumentsandfortheregistryofMiradorReyTepepulRMPinSIGAP,aswellastohavemoretimetoinitiatetheimplementationofpublicuseplansinthesevenpilotprotectedareas.TheextensionallowedthePMUtobetterconcludetheactivitiesinitiatedandensurethesustainabilityofsomeoftheprojectinitiativesbyformalizinginstitutionalagreements.ThePMUwasabletofollow-upontheapplication of approved regulations, guides andmanuals produced by the project in pilot areas,consolidate more alliances with tour operators, confirm ownership of tourism development inmunicipalitieswhichhiredstafftoimplementtourismactivitiesandmanageprotectedareas,andconsolidate an agreement between CONAP and INGUAT. The extension granted benefitted theproject because more solid arrangements were made to ensure sustainability of several of theactivities.
The recommendations in theMTRwere taken into account and implemented and registered asmanagement responses. Only recommendation number 2, which referred to supporting theconstructionofbasicinfrastructureinthepilotprotectedareas,wasnotviableduetogovernmentalagreements approved in 2016, after the MTR. The Governmental Agreement 137-2016 andMinisterial Agreement 199-2016 established that any intervention in protected areas requirespaymentofawarrantandalicensebytheadministrativeinstitution(Q5,000every3years).Thesenewregulationshavehandicappedsmallinterventionsinprotectedareassuchastheconstructionofvisitorentryboothsorbirdwatchingtrails,especiallyinsmallRegionalMunicipalParksandprivatereserves. Recognizing these measures as counterproductive for the development of sustainabletourism inprotected areas thePMU, guidedby theCONAPPlanningDepartment, requested theagreement to be repealed, causing it to be revised by theMinistry of Environment andNaturalResources.Theinstitutionsinchargeofthepilotprotectedareaswereinformedabouttheprocessandallagreedthatsmallinvestmentsinbasicinfrastructurewillentailmorelossthangainwhiletheregulationsarenotrevoked.Theyalsoagreedthatiftheregulationsarenotrevokeditisonlyworthinvestinginmoresignificantinfrastructurethatenablesopportunitiesfornewtouristservicesorasignificantimprovementofexistingservices,whichwereoutofreachoftheproject.
FiscalincentivesandaCONAPcertificationlabelhadbeenincludedinprojectdesignasmechanismstopromoteecotourism.ConsideringthelowrateoftaxrevenuebythegovernmentofGuatemalaandthevulnerabilityofCONAPintermsofensuringsufficientfundingfromthefederalgovernment,it was decided that these strategies would not be viable for development by CONAP. Theimplementationofsuchasystemrequiresasignificantbudgetandtechnicalstafffullydedicatedtoitsdevelopment.CONAPdoesnothavethiscapacity,especiallyastechnicalstaffweredismissedin2015andthebudgetwassignificantlyreduced.Establishingcollaborationwithotherstakeholdersbetterequippedtodeveloptheseinitiativesbecamemoreimportantandastrategicsolutionfortheprocesstobeviable.TheprojectestablishedanalliancewithINGUAT,whichhadbetterconditionsofinvestinginnewstrategies.TheImpulsaProgramwasdesignedtoreplacethestrategyoffiscalincentivesandoffersupportandseedfundstoentrepreneursprovidingtouristserviceswithpositiveimpactontheconservationofprotectedareas,andthecertificationofnaturalareaswasincludedinthe certification program that INGUATwas already developing (Q-Green Certification Label). Inadditiontotouristservicesinprotectedareas,aspecificlabelwasdesignedfortouristdestinations,soprotectedareasfollowingsustainabilitystandardsfortouristvisitationcanbecertified.Hadthecertification been developed exclusively by CONAP, this would not have been feasible, as the
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institutionwouldhavebecome its own judge. Part of this product added to theproject andnotincludedinthePRODOCcreatesincentivesnotonlyfortheprivatesector,butalsotoprotectedareamanagers for the development of sustainability strategies in the development of tourism. Thisstrategy had excellent results and ascertained the continuity of the programs after projecttermination.Moreover, theconceptof certification ispartof theGuatemalaMasterPlan for theDevelopmentofSustainableTourism2015-2025.AnagreementwasreachedbetweenCONAP,theMinistryofCultureandSportsandINGUAT,compromisingfundsfromINGUATforthedevelopmentofthecertificationsystem.Theagreementwassignedon27September,2017,InternationalDayofSustainableTourism,strengtheninginterinstitutionalcooperation.
In2015,duetothechangeofnationalgovernment,CONAPunderwentbudgetcutsofUS$1million,whichresultedinrelevantlossesintechnicalstaffandchangesinformerprioritiesandcommitments.The CONAP Executive Secretary, who had strong ownership of the project, was dismissed. ThischangerequiredadaptivemanagementmeasuresofthePMUtoestablishmorecooperationoutsideCONAPtomakeupfor lostpersonnelandimprovethechancesofprojectsustainability.Learninghowtoapproachtheprivatesectortosignagreementswithtouroperatorshasincreasedthelevelofsupporttoprotectedareas.WiththeperspectivesofreinvestmentofvisitorentryfeesandtheopportunitiesofsharedmanagementintroducedintheCo-AdministrationPolicymoreresourceswillbemadeavailable to improve the structureand tourist servicesofprotectedareas,generatingapositiveretro-feedingcycleandafavorableenvironmentforeconomicdevelopment.
Nevertheless, the agreement to be signed between CONAP, CECON, theMinistry of Culture andSports,INABandINGUATfortheimplementationoftheUVRhadnotbeensignedatthetimeofthisterminalevaluation.TheMinistryofCultureandSportshadofficiallynominatedtheGeneralDirectorofCulturalandNaturalHeritagewhoisinchargeofsigningtheagreement.ExpectationswerethattheagreementandjointworkevolvedquicklysothattheUVRslipscanbeprocessedwithinINGUAT,wherethereisenoughcapacityandstructurefortheworktobedone.
3.2.2MonitoringandEvaluation:designatentryandimplementation*
SATISFACTORY1
TheMonitoring&Evaluationplanwasgenerallywellconceivedasactivitiesincludedtheinceptionworkshop;SteeringCommitteemeetings;annualexternalaudits;theMid-TermReviewandTerminalEvaluationoftheprojectandthesewereproperlybudgeted(US$104,525).
Theplanalsoreservedfundsforreportsonspecificaspectsorareasoftheproject,compilationofbest practices and lessons learned and the final report. The budget lacked funds for the closingworkshop,whichareespeciallyneededtosupportattendanceofstakeholders,includingtravelandlodging,inoneofthemunicipalities.FundsnotusedforworkshopsbudgetedfortheMTRandTEwererelocatedtocoverthecostsoftheclosingmeeting.
AlthoughaspecificM&EplanwasnotdevelopedbeyondwhatisdescribedinthePRODOC,severalmechanismswereinplace.ApartfromtheCoordinator’sroutineresponsibilities,quarterlymeetingswith theUNDPandoneannualmeetingof the tripartite commissionwereheld.GEFmonitoringinstrumentswerethoroughlyused:AOP,QPR,PIR,annualreports,reportsonsteeringcommittee
1AccordingtotheGuideforTerminalEvaluationsofUNDPsupportedprojectsfinancedbyGEF,M&Emustbequalifiedaccordingtoasetofsixratings:Highlysatisfactory,Satisfactory,Moderatelysatisfactory,Moderatelyunsatisfactory,UnsatisfactoryandHighlyunsatisfactory.
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andco-financingpartnermeetings,aswellastheTrackingToolsforInstitutionalCapacity,FinancialSustainabilityandManagementEffectiveness(METT).Consultantswereengagedtocarefullyreviewthecriteriaandfilloutthescorecardsatthebeginning,mid-termandfortheterminalevaluationsoprogresscouldbeclearlymeasured.Thisensuredthatsufficientfundingandtimewerededicatedtogenerateconsistentanalyses.AnotherconsultancyverifiedthenumberofhectareswithecotourismbenefitsimplementingvisitorentryfeesintheWesternHighlandsandtheincreaseofincomein22protectedareas.
Asmentionedbefore insection3.1.1,theanalysisof indicators inthe logical frameworkrequiredsome adaptive management as some of the baselines needed to be redefined. This requiredredirectingfunds,althoughnotsignificantly,andtheuseofextratimeforworkthathadnotbeenplanned,includingforconsultants,toensurethatthebaselineswouldbecomparablewithupdatedvaluesastheworkprogressed.
3.2.3FeedbackfromM&Eactivitiesusedforadaptivemanagement
At the administrative level, considering that CONAP is a Council formed by institutions in theenvironment, historic heritage, agriculture and forestry, the PMU had to exercise adaptivemanagementinordertoexplainandgrantapprovalofthemanydocumentsproducedbytheproject.TheCoordinator’scommunicationabilitiesandUNDPsupportcontributedtomaintaintheCouncilinformedandtoobtainapprovaloflegalandtechnicaldocuments.Relevantadaptivemanagementdecisions, such as revision of indicators, project extension, changes of strategy to ensure thesustainability of incentives (Impulsa) and certification programs were taken by the SteeringCommitteewithinformationprovidedbytheAdvisoryCommittee.
PoliticalchangesrequiredstrongadaptivemanagementcapacityofthePMU,asstafflosseswithinCONAPreducedthepaceofprojectimplementation.TheninetechnicalpositionsintheDepartmentfor theDevelopmentofSIGAPat theprojectstartwerereducedto five (formerlyProtectedAreaDepartment, in charge of providing support to the project). In addition, none of the currentemployeesofthisdepartmentworkedthereatthebeginningoftheprojectduetohighemployeerotationandreplacement.Thereductionofstaffintheareaoftourismisespeciallyrelevant,asonlyone out of three employees is left. Therefore, the time needed for CONAP staff to review andtechnicallyapproveproducts increasedsignificantly. Inorder toensureenoughtimetocompleteproject activities and as a management response to MTR recommendations, an extension wasrequestedtopresenttheprojecttothenewauthoritiesandgaintheirsupport;finishtheactivitiesthatweredelayedduetolossofpersonnel;supporttheimplementationofmanagementandpublicuseplans;andconsolidatecommitments forproject sustainability.The ten-monthextensionwassufficientforprojectactivitiestobecompleteddespitethechangesincurred.
AnothersourceofdelayintheimplementationofactivitiesreferstothelackofexpertsinecotourisminGuatemala,assomeoftheconsultancycontractshadtobecancelledbecausetheproductswerenot properly delivered, and thehiring process had to start over. Thesedelays did not affect theproject in terms of the delivery of expected results because the processes were well managed.Accordingtosomeoftheinterviewees,consultancieswerebetterfulfilledbyex-CONAPemployeeswhowerealreadyfamiliarwithprotectedareamanagementandtheregionalcontextoftheWesternHighlands.
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3.2.4Partnershiparrangements
NoneofthesevenprotectedareaschosenaspilotareasfortheprojectareunderdirectmanagementbyCONAP.Theyaremanagedbyfivemunicipalitiesandtwoassociations.Thesearethestakeholdersmoredirectlyinvolvedandbenefittedbyprojectactivitiesandresults.CooperationagreementsweresignedbetweenCONAPandsixofthesevenpilotprotectedareamanagers,withtheexceptionofTodosSantosCuchumatán,toensurethecontinuityofbiologicalmonitoring.
ThemostsignificantcollaborationestablishedbetweennationalinstitutionsreferstotheagreementreachedbetweenCONAPandINGUAT.Cooperationbeforetheprojectwasrestrictedtopunctualissues,while during the project INGUAT became a strategic partner to CONAP, coordinating theimplementation of strategic joint activities. INGUAT increased its support to CONAP not only bypromotingtourisminprotectedareasbutalsobyprovidingfundsforthecontinuityoftwoprojectinitiatives,theImpulsaProgramandtheQ-GreenCertificationLabelforProtectedAreas.Thisdoesnotonlyensurethefinancialsustainabilityofpartoftheprojectresults,butalsostrengthensandincreasestheirpotentialimpact.Inbothcases,formalinterinstitutionalagreementsweresignedandarevaliduntil2019.
TheImpulsaProgramiscoordinatedwithothertwoinstitutions,theMinistryofEconomyandtheGuatemalaTourismChamber.TheMinistryplaysarelevantroleineconomicdevelopment,inwhichtourismisgainingimportance,andtheChamberisthehighestrepresentationoftheprivatesectortowhichtheprogramisdirected.CoordinationofthecertificationsysteminvolvedtheMinistryofCulture and Sports, in charge of archeological sites contained in several protected areas of highinterestforpublicvisitation.
Collaboration and co-financing agreements were signed during the phase of project design. Asformerlyexplained,duetothetimeelapsedbetweenprojectdesign(2010)andstart(2013),partoftheplansforthejointimplementationofactivitieswerelost.TheNGOsthereforecontributedwithactivitiesofcommoninterestintheWesternHighlands,butthesewerenotdirectlyrelatedtotheproject. Experts from The Nature Conservancy contributed in designing biological monitoringprotocols; Asociación Vivamos Mejor contributed in the process of registry of the Mirador ReyTepepulRMPinSIGAP,andbyrebuildingthemaintrailinthepark;HelvetasGuatemalawillprovidesupportfortheimplementationofthemanagementplanandpublicuseplanattheSibinalRMP,andRainforestAlliancehasbeenpromotingtheImpulsaProgram.AnintentoffurthercollaborationwithHelvetasGuatemaladidnotcomethroughbecausetheirprojectintheTacanáareawascancelledbythefundingagency.
Althoughthenumberofstakeholders involved intheproject isnothigh, theyarerelevant in theWesternHighlands.TheNGOsarenotaffectedbypoliticalchangesinthemunicipalities,thereforeensuringthecontinuityofknowledgeandcapacitydevelopedthroughtheproject.Theyalsobecomeasourceofaccesstotheproductsdevelopedbytheproject.
Oneofthemeritsoftheprojectmentionedbysomeintervieweeswastoapproachconservationandprotectedareaexpertswithecotourismexperts,resultinginmutualbenefit.
3.2.5Projectfinance
ThefundsprovidedbyGEF(US$1,295,455.00)totheprojectwerecomplementedbygovernmentfunds(US$779,786.41incashandUS$318,068.56inkind),totalingUS$1,097,854.87asCONAPco-financingtotheprojecton31October,2017.Theamountinitiallyplannedforexpensesindeveloping
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Result1,basicallyforthereviewofpoliciesandlegalregulations,was14.1%;76.8%wereallottedforResult2,whichincludedworkinthepilotprotectedareas;and9.1%forprojectadministration.Thesepercentageschangedduringprojectimplementation.Bytheendoftheproject,36.3%hadbeenusedforResult1,56.4%forResult2andonly7.3%foradministration.
Financialexecutionstartedwithlowerexpensesthanplannedin2013.Projectactivitiesduringthefirst year were focused on updates of legal documents, which entailed relatively low expenses.Financialexecutionfromthesecondyearofimplementationwashighlysatisfactory,soitishighlylikelythat100%ofthebudgetwillbeusedbytheprojectterminationdateof31October,2017.Atthetimeofterminalevaluation,allremainingfundshadbeencommittedforexpenseson(a)anewserverforCONAP;b)theterminalevaluation;c)publicationofmaterialsdevelopedbytheproject;d)expensesfortheclosingmeetinginQuetzaltenango.
Projectexpensesaccordingtoannualbudget.
Year Annualbudget Executedbudget Annualexecution%2013 140,065.00 97,699.16 702014 290,482.00 278,902.89 962015 374,325.00 383,461.36 1022016 315.737.10 315,467.34 99.9
2017-16oct. 219,739.76 187,259.51 85.5
Audit reports donot include findings thatposeproblems to the transparencyor competenceoffinancialexecution.Onlytwoissueswerereported.Thefirstonereferstofourinvoicesthatwerepaidaftertheirexpirydatein2014.Asaresponse,thePMUdefinedverificationmeasurestoensurenoexpiredinvoiceswerepaid.In2016,theauditobservedthelackofregisterofthedatesonwhichconsultancyproductsweredelivered.ThePMUrespondedbyrequestingconsultantstosubmitworkplansthatincludeddeadlinesandbykeepingemailmessagessentalongwithproductstoensuretheregistryofdeliverydates.
The co-financing initially planned was partially lost. The partners that signed co-financingcommitments in 2010 implemented their projects before project start in 2013. CounterpartInternationalcontributedwiththeSIGAPJointAdministrationandSharedManagementPolicyandRegulationsbypromotingworkshopsandbydevelopingthe“Evaluation,preventionandmonitoringimpacts of tourism in protected areas tool” during the project preparationphase (PPG) in 2012.Whentheprojectstarted, in2013,theoffice inchargeofprojectsontourismhadbeenclosed inGuatemala.ThisisregisteredinthefirstQPRoftheproject,aswellastheco-financingcommitmentofINGUATandFUNDAECOasnewpartners,andtherenewedcommitmentofHelvetasGuatemalaand FCG, which supported the Sibinal RMP with infrastructure and technical assistance forsustainable tourism.RainforestAlliance supported commitmentsbetween theprivate sectorandprotectedareamanagers.FUNDAECOprovidedsupportforthedevelopmentofecotourisminTodosSantos Cuchumatán. As the management plan had been prepared by the Foundation, it wascontractedbytheprojecttodevelopthepublicuseplan.AsociaciónVivamosMejorrenovatedthevisitor trail atMiradorReyTepepulRMP, supported theprocessof registration inSIGAPand thedevelopmentofanurseryattheCorazóndelBosqueNPR.TheNatureConservancycontributedwithexpertsinthedevelopmentofbiologicalmonitoringprotocols.
Althoughnotalloftheseactivitiesweredirectlyrelatedtothespecificobjectivesoftheproject,theywereconsideredasco-financingandcontributedtotheoverallgoalofbiodiversityconservation.ThissituationexplainsthedifficultyofthePMUinfollowingupwithco-financingvalues,asexpenseswere
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madeinparallelprojectswithcommonconservationobjectivesintheWesternHighlands,butnotdirectly linked to the project. The co-financing table shows that the initial amount was nearlydoubled,showingasignificantinvestmentintheregionandthepilotprotectedareas,evenmakingupforthelackofprojectfundsallottedforthedevelopmentofbasicinfrastructure.
TheamountoffundingcontributedbyCounterpartInternationalduringthePPGphasein2012wasnotregisteredatthetime.Itwasnotincludedintheco-financingtablebecausetheorganizationwasunabletoreportonspecificexpensesattheendoftheproject,asfiveyearslatertherewerechangesinpersonnelandtherecordswerenoteasilyavailable.
AlthoughINGUATwasnotinitiallylistedasaco-financingpartnerintheprojectdesign,itgraduallybecamethemostrelevantorganizationforsecuringthecontinuityofseveralactivitiesinitiatedbythe project. For this reason, the table includes INGUAT as co-financing institution, as well asFUNDAECO.Consideringtheseadditionalinstitutions,atotalco-financingofUS$2,390,021.82wasachievedapartfromCONAP,morethantwicetheoriginalplanning.
The activities designed were carried out and generated the expected results as planned, withrelativelysmalldifferencesinnumericalgoals(around20%)ofthreeofthefifteenlogicalframeworkindicators.Theprojectcanthereforebeconsideredasefficientasinitiallyplanned,orevenmore,
forhavingproducednineextra referencedocuments thathadnotbeenanticipated.Besides, thenumericalgoalsweresurpassedinsixofthefifteenlogicalframeworkindicators.
Someadditional resources canbeconsideredasassignedasaresultof theproject.Threeof themunicipalitiesbenefittedbytheprojecthiredstafftooverseethedevelopmentoftourism(TodosSantosCuchumatán,SantiagoAtitlánandSibinal,thelastonehiringapersononoccasionforspecificevents)andasmanagerstoprotectedareas(TodosSantosCuchumatán,SanPedroSacatepéquezandSantiagoAtitlán).
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Detailedprojectco-financingtable
Co-financing
organization
Amountconfirmed
byCEOatmoment
ofinclusioninthe
project(US$)
Cofinancing2013–2015(Mid-TermReview)
Cofinancing2016–2017(TerminalEvaluation)
Totalco-
financing
executed
(US$)
%contribution
todate
comparedwith
expected
amount
Co-financing
type
Amount
contributedto
dateofMTR
(US$)
%contributionto
datecompared
withexpected
amount
Co-financing
type
Amount
contributed
todateofTE
(US$)
CONAP 840,000.00 Cash 530,824.07 63% Cash 248,962.24 779,786.31 92.8%
CONAP 210,000.00 In-kind 248,094.26 118% In-kind 69,974.30 318,068.56 133.3%
TheNatureConservancy
45,000.00 Cash 45,000.00 100% - 0 45,000.00 100%
HelvetasGuatemala 240,000.00 Cash 178,803.00 74% Cash 128,600.66 307,403.66 128%
FondoparalaConservacióndeBosquesTropicales
338,000.00 Cash 93,607.00 28% Cash 1,040.00 94,647.00 28%
USAID-CounterpartInternational
*
144,700.00 - - - Cash
Asoc.VivamosMejor 104,151.79 - - - Cash 116,586.00 116,586.00 111.9%
RainforestAlliance 100,000.00 Cash 256,671.00 257% Cash 217,674.00 474,345.00 474.4%
INGUAT** - Cash 349,968.00 - Cash 1,002,072.16 1,352,040.16 -
FundaciónparaelEcodesarrolloylaConservación
-FUNDAECO-**
0.00 Cash 66,796.87 - Cash 20,400.00 87,196.87 ***
TOTAL 2,021,851.79 1,769,764.20 87% 3,575,073.56 176,82%
*Theco-financingcommittedwasexecutedbeforeprojectstartduetodelayinfinalapproval.TherearerecordsofCounterpartInternationalsupporttoactivitiesrelatedtotheprojectobjectivesin2012,butitwasnotpossibletolocateofficialverifiersofexpensesmadebytheorganizationonbehalfoftheproject.
**Organizationsthatwerenotincludedasco-financingorganizationsinprojectdesign,butgainedrelevanceduringimplementation,especiallyINGUAT.
***Astheseorganizationswerenotincludedasco-financingorganizations,thereisnoinitialamountcompromisedforcomparisonwiththefinalamounttogenerateapercentageofexecution.
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Projectco-financingsummarytable
Co-financing
(type/sources)
IA-UNDPownfinancing
(USD)
IE-Governmentfunds(CONAP)
(USD)
Othersources
(USD)
Totalfinancing
(USD)
Proposed Actual Proposed Actual Proposed Actual Proposed Actual
Grants - - - - - - - -
Credit - - - - - - - -
In-kind - - 210,000.00 318,068.56 65,830.36 0 275,830.36 318,068.56
Cash - - 840,000.00 779,786.31 906,021.43 2,477,218.69 1,746,021.43 3,257,005.00
Non-grant - - - - - - - -
Total - - 1,050,000.00 1,097,854.87 971,851.79 2,477,218.69 2,021,851.79 3,575,073.56
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3.2.6UNDPandImplementingpartnerimplementation*,coordinationandoperationalissues
HIGHLYSATISFACTORY2
Projectimplementationbecameexcellentandworkedaccordingtoplanning,whichiscorroboratedbyallresultsbeingachieved.Initialdifficultiesandotherissueswereovercome,especiallythepartialuseoffundsintheAOPandreplacementoftheprojectCoordinatorinthefirstyear;theredefinitionof baselines of some logical framework indicators,which involved unplanned consultancies; andreductioninthepaceofprojectimplementationduetolossofCONAPtechnicalstaffandsignificantbudgetaryreductionfrompoliticalchanges.
Itisimportanttoregisterthatthesuccessoftheprojectdependedontheformalapprovalofmanydocuments,frommanagementplans,publicuseplansandbusinessplanstolegalregulationsandpolicies(updatedandnew).Thiscouldeasilycauseimplementationdelaysandaffecttheoutcomes,especiallybecauseofthemanydecisionmakersinvolvedintheprocessofapproval.Atthemomentof this terminal evaluation, practically all documents had been approved, even the policies andregulations which depend on higher levels. Municipal approvals were pending for plans of twoprotectedareas.Theseare ready foruse,but lack formalapproval in theminutesofaMunicipalCouncilmeeting,afterwhichtheyhavetobesenttotheregionalCONAPofficeforapproval,thentotheCentralCONAPOfficeforfinalapproval.ThePMUisfollowingtheprocess,butitdoesnotrequireexternalsupport(financialortechnical),soeveniftheprojectisterminated,themunicipalitieswillbeabletogothroughwithitindependently.
Financial auditswere conducted in2015 for theyears2013-2015and in2016.The2017audit ispendingandwillbeconductedafterprojecttermination,coveringthefullexpanseoftheproject.ThereportsrequestedbyGEFweregeneratedanddeliveredaccordingly.AnAOPwaspreparedatthebeginningofeveryyearsince2013,withonerevisionforadjustmentsperyear,exceptfor2015,whennorevisionwasnecessary.ThePIRwerewrittenbetweenJuneandJulysince2014andincludecommentsbytheprojectCoordinator,theUNDPProjectOfficerandtheUNDPRegionalTechnicalAdvisor. FourQPRwere developed per year since 2013. The Tracking Toolswere used to verifyprogress during implementation based on indicators of institutional capacity, managementeffectivenessandfinancialsustainability.AnadditionalreportwaswrittenbytheCoordinatorattheendofeachyeartoregisterprogressandinformprojectparticipants.
There were no major difficulties or obstacles during project implementation that requiredinterventionsoftheUNDPathigherlevels.ProjectmanagementwaswellharmonizedbetweentheUNDPandCONAP–PMU,withanexcellent levelofcollaborationtowardsprojectobjectivesandresults.NoneoftheintervieweesintheterminalevaluationhadanynegativecommentsabouttheCoordinatorandhisabilities,respect,attention,dedicationandcapacitytoreachagreementsthatsuitedallpartiesinvolved.Apersonwithsuchqualitiescreatesanenablingenvironmenttofacilitateachievements – a conciliatory profile might, in this case, be more important than specializedtechnicalknowledge,sofindingsomeonewhocombinestheseabilitiesmayinpracticeensurethesuccessofaproject.
2AccordingtotheGuideforTerminalEvaluationsofUNDPsupportedprojectsfinancedbyGEF,implementationbytheIAandEAmustbequalifiedaccordingtoasetofsixratings:Highlysatisfactory,Satisfactory,Moderatelysatisfactory,Moderatelyunsatisfactory,UnsatisfactoryandHighlyunsatisfactory.
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During the terminal evaluation, both the UNDP staff and the project Coordinator were keen toprovide information and documents with transparency and objectivity, impartially explainingpositive andnegativeprocesses and situations to contribute to a realistic TE report thatmaybeusefulasareferenceforfutureprojectsintermsoflessonslearned,mistakesandsuccesses.Thisisreflectedintheprojectreports,fromthePIRandQPRtoannualreportsvoluntarilywrittenbytheCoordinatortofacilitateinformationonprojectadvancestostakeholders.
3.3PROJECTRESULTS
3.3.1Overallresults(attainmentofobjectives)*
HIGHLYSATISFACTORY3
ThegeneralobjectiveoftheprojectwasachievedbecausethefinancialsustainabilityofSIGAPwaseffectively strengthened by the establishment of new financialmechanisms and alternatives forpromoting ecotourism inGuatemala in alignmentwith the conservation of biodiversity of globalimportance.OneoftheintervieweesperceivedtheinclusionofecotourismasalineofworkinsideCONAP as one of the most important outcomes of the project. A strong link was establishedbetweentheobjectivesoftourismandbiodiversityconservationwiththedefinitionofbioindicatorspeciesforeachofthesevenpilotareas.
OneoftheinitialgoalswastodeveloptwonewtouristdestinationsthatincludedprotectedareasintheWesternHighlands.IncollaborationwithINGUAT,sixnewdestinationsweredesignedwithafocus on natural areas the cultural heritage of Guatemala, available online at www.turismo-sigap.com.TheCONAPwebsitewasredesignedbetween2016and2017toincludeinformationonthesedestinations.Toaddtotheseefforts, INGUATrecentlyapprovedfundstomanufactureandinstallroadsignsindicatingthewaytothepilotprotectedareas,whichshouldcontributetoincreasevisitation.
TheSIGAP financial sustainability assessment basedon theGEF Tracking Tools shows a generalincreasefrom26.4to41.3%.Thisisduetoimprovementsinthelegalandinstitutionalframework,theconsolidationofbusinessplansanddiversificationofincomealternativesdevelopedthroughtheproject.Thelastoneisaconsequenceofapprovaloftheregulationsthatreinstaterevenuesfromvisitorentryfeestoprotectedareas,ofmoreflexibilityinmanagementarrangementsgrantedbytheregulationsonco-administrationandtotheImpulsaProgram,whichengagestheprivatesector.
Result1
The legalbase forthedevelopmentofecotourismusingenvironmentalsustainabilitycriteriawasstrengthenedduetothereviewandcreationofthefollowingnationalpoliciesandregulations,whichwereapprovedatthenationallevel:
• Co-Administration and Shared Management Policy (with supporting regulations as anadditional product). Themost important point is the inclusion of the concept of sharedmanagement,whichdidnotformerlyexistinthecountryandnowalsoappliestootherareasofrelevanceforbiodiversityconservationthatarenotprotectedareas,reachingbeyondthe
3AccordingtotheGuideforTerminalEvaluationsofUNDPsupportedprojectsfinancedbyGEF,theoverallobjectivesmustbequalifiedaccordingtoasetofsixratings:Highlysatisfactory,Satisfactory,Moderatelysatisfactory,Moderatelyunsatisfactory,UnsatisfactoryandHighlyunsatisfactory.
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SIGAPnetwork.Newworkopportunitieshavebeencreatedandthepotentialforgeneratingincomefromecotourismwasincreased;
• PolicyonVisitationActivities inProtectedAreas, inwhich theprinciplesof sustainability,distributionofbenefitsandequitableparticipationwereincluded;
• ManagementRegulationsforVisitationActivitiesinSIGAP.TheseregulationsareinnovativeespeciallyforArticles20and21,whichensurethereinstatementofrevenuesfromvisitorentry fees to protected areas, as well as for defining rules for the distribution andadministrationofthesefunds.Thisisanachievementofhighrelevancebecause,asmuchasreinstatingsuchfundsmayseemlogicalandfair,itisrarelythecaseanywhereintheworld.Visitorfeesaremostoftendepositedinacommongovernmentalfundandusedforotherprioritiesthatarenotrelatedtoprotectedareasorbiodiversityconservation.Reinstatingthesefundsimpliesprovidingmeansofimprovinginfrastructure,maintenanceandservicesforvisitors,whichinturntendstoincreasevisitation,generatingeconomicbenefitsatalllevelsandapositiveretro-feedingcycle.TheonlylimitationisthatthispolicyisonlyvalidforprotectedareasmanagedbyCONAP,which innumberare justunder20%ofthe337protectedareasinSIGAP,butrepresent88.74%oftheprotectedterritoryinGuatemala;
• RegulationsfortheconcessionofvisitorservicesinSIGAP.Theseregulationswereapprovedatthebeginningoftheproject,beforetheLawonContractswaschanged.Oncethischangebecameeffective,theregulationsbecamelimiting,asallcontractshavetobeapprovedbyNationalCongressandsmallservicesarenotseenaspriorities,sosuchprocessescantakevery longor not evenbe voted. INGUATandCONAParenowworkingon an alternativeproposalforsmallconcessionstobeviableinthefuture,suchastouristservicesprovidingfood, bike rentals, internal transport in protected areas, souvenir shops andother smallbusinesses.
Sustainability-basedenvironmentalstandardswereincludedinthecertificationprocessbyINGUATforservicesinsideprotectedareasandforprotectedareasasawhole.Theseareorganizedinfouraxes: administrative, protected areas and archeological parks, occupational security, andsustainability. These standards form the base of evaluation for INGUAT to confer the Q-GreenCertification Label to protected areas. Although no area has been granted the label so far,expectationsarethattheNaturalMonumentYax-há,Nakum,Naranjowillbethefirsttoreceiveitandwillthenbeadvertisedasamodelforotherareas.
Inaddition to theciteddocuments,whichwere listedasprojectoutputs,an important legacyofcomplementarydocumentswasproducedto facilitate theapplicationofpolicies, regulationsandplansforthedevelopmentofecotourisminprotectedareas.Thesemustbeconsideredasadded-valueproductsthatincreaseprojectsustainability:
• updateofinternalregulationsoftheTechnicalCommitteeforTourisminProtectedAreas(COTURAP);
• toolfortheevaluationoftourismpotentialinprotectedareas;• guidefordesigningpublicuseplansforSIGAP;• guidefordesigningbusinessplansforSIGAP;• practicalguidefordefiningvisitorentryfeesinprotectedareas.Duetotherelevanceand
usefulnessofthisguideacommitmentwasmadebyCONAPfordevelopinganonlineversionsothatallprotectedareashaveaccesstothetoolandareabletocalculatetheiroperationalcostsasthebaseforestimatingvisitorfees;
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• analysis of legal instruments that regulate the development of ecotourism in protectedareas;
• harmonizationstrategyoflegalinstrumentsthatregulatethedevelopmentofecotourisminprotectedareas;
• proposal formodifications incurrent legal regulations that regulate tourism inprotectedareas.
Publicuseplanshavebeendevelopedforthesevenpilotprotectedareasandwereapprovedforfiveofthem(pendingapprovalforMiradorReyTepepulRMPandTodosSantosCuchumatánRMP).Thishasledtoanincreaseinthenumberofprotectedareasimplementingmanagementandpublicuseplansfrom4to11,whiletheimplementationoftheUVRincreasedfrom2to5protectedareas.Thepilot areas where approval is pending are using the plans as management guidance, but theyacknowledgethatbetteropportunitiesforimplementationwillbeavailableoncetheseinstrumentshavelegalvalue.
IncreasedcoordinationbetweentheprivatesectorthroughINGUATgeneratedahighlysatisfactoryresultduetoincreasedinterestintheImpulsaProgram,whichwasextensivelyannouncingacallfornewprojectsduringtheterminalevaluation(Annex5.9),andforsettlingnineagreementswithtouroperators forbirdwatchingandvisits toVolcánChicabal.Someof thepilotprotectedareashavemorepotentialforlocaltourism,soatleastfornownotallofthemwerebenefittedwithagreementstoreceivetouristscomingfromfartherdestinations.Astheknowledgeimpartedbytheprojectonimprovingvisitorattentionservicesandofferingcomplementaryaspectsoftouristinterestsuchascultural heritage, and as at least some of the sustainability criteria developed for the Q-GreenCertificationLabelareapplied,moreopportunitiesfortheseprotectedareastobeincludedintouristdestinationsshouldarise.
Result2
All the expected products were generated. The capacity building goal was surpassed, with 524participants registered in 11of themain capacitybuildingworkshops. CONAP staff from the tenregionalofficesparticipatedinsomeoftheworkshops,significantlyenhancingprojectbenefitsastourism experts aremost often not part of the staff. Positive feedbackwas received frommostinterviewees,whosaidtheyweregratefulforallthenewknowledgetheygained,especiallyasmostofthemdidnothaveanybackgroundontourismmanagement.Theopportunitiesgrantedtoafewpeople to be certified as birdwatching guides and park rangers were highly valued. Children ofASAECO (the associationwhichmanages theNPRCorazóndel Bosque) associatesparticipated inworkshops,whichhelpstopassoncurrentknowledgeand involvetheyoungergeneration inthemanagement of the area. People working in protected areas that formerly received visitorsacknowledgedtheopportunitiestoimprovethequalityoftheirservicesduetoprojectworkshops.ACapacityBuildingManualforManagersandTechnicalStaffandaFacilitatorGuideonTourismandProtectedAreasweredevelopedassupporttoolsforfutureworkshopsthatwillextendthebenefitsoftheprojecttomoreprotectedareas.
Inadditiontoguidesforthedevelopmentofpublicuseandbusinessplans,21plansdevelopedforthepilotareas(includingmanagementplans)remainasmodels.ThemanagementplanforTodosSantosCuchumatánRMPhadbeeninitiatedin2004,concludedbytheprojectandapprovedin2015,before the change ofmunicipal administration. The fact that these documents have legal value
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increasesopportunitiesfor investmentandimplementation,alsograntingjudicialcertaintytotheareasandpreventingadvancesfromagriculturalorforestextractionactivities.
Biologicalmonitoringprotocolswereadjustedtoeachofthesevenpilotareas.Protocolstomonitorimpactsofvisitationwerealsodevelopedforthesevenareas.Monitoringroutineswereestablishedandimplementedinthesevenareas.
Businessplansbegantobeimplementedinallsevenpilotareas.Examplesofactiontakenare(a)implementingvisitorentryfeesinRMPQuetzalí(formerAstilleroIandII)inSanPedroSacatepéquez,promotingtheparkandfindinglocalpartnersformaintenanceandimprovement,aswellasplanningforbetterinfrastructure;(b)visitorentryfeesimplementedatSanMarcosRMPandimprovementsto the infrastructurewereapprovedby themunicipality; (c) revised feeshavebeenapprovedatVolcánChicabalandnewagreementsweresignedwithtouroperators;theassociationdistributedsmallprofitsamongassociatesforthefirsttimein2016;(d)thePNRCorazóndelBosquerevisedvisitorentryfeesandmanagedtopayoffapendingdebttotheTaxAdministration;(e)atechnicalexpert on tourismwas hired forMirador Rey Tepepul RMP, where visitor fees are about to beapprovedandavisitorentranceboothtobebuilt;(f)anincreaseinthevisitorentryfeesofSibinalRMPwasapproved,theparksecuredfundingtobuildarestaurant,andapersonishiredonoccasiontopromotevisitation;(g)inTodosSantosCuchumatánonepersonwashiredbythemunicipalitytopromotevisitation.
TheSIGAPfinancialgapwasreducedby18.67%intheWesternHighlands,apositive indicatorofchangeduetotheincreaseofecotourismservices.
TheManagementEffectivenessTrackingTool(METT)showsthatallsevenpilotareasreachedthehighestscoreforlegalstatus,while4of7reachedthehighestscorefordefinitionofobjectivesanddesignthatfavorsspeciesconservation.Allsevenareimplementingmanagementplans,butonlytwoachievedthehighestscore.Localparticipationofindigenouscommunitiesandothersalsoreacheshighscoresintheareaswherethisisrelevant.
The only indicator in which all pilot areas remain at the intermediate level refers to adequateinfrastructure for visitors. Most of the areas are in intermediate condition for most indicators:protection,managementplans,managementofresources,staffnumberandcapacity,managementofcurrentbudget,equipmentandmaintenance,planningforwaterandresourceuse,visitorentryfees,somelevelofbenefittocommunities,monitoringandevaluationprocesses,infrastructureforvisitors and good conservation of attributes. The indicator of education and public awareness,currentbudgetandresearcharelessdeveloped(4/7),followedbymaintainingregularworkplans(seethesummaryoftheanalysisinAnnex5.10).
AnalysisofLogicalFramework
ThelogicalframeworkispresentedbelowwithcommentsfromtheTerminalEvaluationandrankingsaccordingtotheresultsachieved.TheGEFrankingscalehas6points:HS–HighlySatisfactory;S-Satisfactory;MS–ModeratelySatisfactory;MU–ModeratelyUnsatisfactory;U-Unsatisfactory,andHU–HighlyUnsatisfactory.
Thecolorscaleis:green-complete,theindicatorwassuccessfullyachieved;yellow–theindicatorshowsthattheactiontendstobecompletedbytheendoftheproject;red-theindicatorshowsscarceresults,andisunlikelytobecompletedbytheendoftheproject.
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Objectives/results
Indicator Baseline Goal(ofindicator) TerminalEvaluationcomments Ranking
ProjectObjective:StrengthenthefinancialsustainabilityoftheGuatemalanProtectedAreaSystem(SIGAP)bydevelopingnewfinancialmechanismsinthedevelopingecotourismsector,atthesametimeensuringthealignmentofecotourismwithbiodiversityconservationobjectives
1NumberoftouristdestinationsinfivepilotlandscapesintheWesternHighlands(RUMCLA-LakeAtitlán,TodosSantosCuchumatán,TacanáVolcano,TajumulcoVolcano,andVolcanoandLakeChicabal)thatcontributetotheconservationof152,146hectareswithbiodiversityofglobalimportance.
- Five(5) - Seven(7) Achieved300%-surpassed.Twonewdestinationswereexpected,whilesixweredesigned.SixnewtouristdestinationsweredesignedincollaborationwithINGUATbasedonnaturalandculturalattractions.InformationisavailablefromtheCONAPtourismwebsite,whichwasredesignedbetween2016and2017.Thedestinationsare:Thethreevolcanoes,Guate-avatar,Authenticcommunities,Adventureandscenicvisits,ThebestofCuchumatanesandWeekendsandFamilycamping.
HS
2Totalarea(ha)underprotectionintheWesternHighlandswithecotourismbenefits.
- 7,255.4hectares(RMPTodosSantosCuchumatán)
- 12,972.60hectares Achieved127.75%.
Estimatesarethat16,573.43haintheWesternHighlandsarebenefittedbyecotourism.
ThisindicatorwasrecalculatedduetoupdatesintheSIGAPregistryandtothemanagementplansdevelopedbytheproject,whichledtocorrectionsinareaofprotectedareas.TheMiradorReyTepepulRMPandthePNRCorazóndelBosqueamountto3,518.85ha.Thecomplementarynumberofhectaresconsidersother14protectedareasthathaveimplementedvisitorentryfeesandanother13withincomegeneratedbyservices(food,tours,lodging,recreationalactivities).
HS
3Numberofkeyspeciesperbiologicalgroup(mammals,birdsandplants)insevenpilotprotectedareas:
1. RMPTodosSantosCuchumatán;2. RMPAstilleroMunicipal1y2deSanPedroSacatepéquez;
3. RMPAstilleroMunicipaldeSanMarcos;
4. RMPCanjuláTocapote,LosMaijones;
5. PNRParqueEcológicoCorazóndelBosque;
6. RMPMiradorReyTepepul;7. PBZVolcánChicabal.
PA Mammals
Birds Plants PA Mammals Birds Plants Achieved100%.Biologicalmonitoringprotocolsweredefinedinaccordancewith the biological diversity of each of the seven pilotprotectedareas.Asetofspecieswasidentifiedforeachareaasbioindicators.
HS
1. 4 3 5 1. 4 3 5
2. 4 3 5 2. 4 3 5
3. 4 4 5 3. 4 4 5
4. 5 4 5 4. 5 4 5
5. 3 2 5 5. 3 2 5
6. 4 4 5 6. 4 4 5
7. 4 2 5 7. 4 2 5
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4ChangeinthefinancialcapacityofSIGAPbasedontheaveragescoreintheUNDP–GEFFinancialSustainabilityScorecard
- Legalandinstitutionalframework:39.2%
- Businessplanning:11.5%
- Toolsforrevenuegeneration:24.6%
- Total:26.4%
- Legalandinstitutionalframework:51.6%
- Businessplanning:23.7%- Toolsforrevenue
generation:42.3%- Total:41.3%
Achieved.ThisindicatorwasadjustedbyrecommendationoftheMTRbecausetheoriginalvaluesreferredtoSIGAPatthenationallevel.ItnowconsiderstheWesternHighlandsonlybecauseitistheregionwheretheprojectimplementedpracticalactionandgenerateddirectbenefits.Financialcapacitywasimprovedbecausethelegalandinstitutionalframeworkswerereviewedandcomplemented,alternativesforincomegenerationwerecreated,businessplansweredevelopedforthesevenpilotareas,theImpulsaProgrambenefittedtheprivatesectorandagreementswithtouroperatorsweresigned.
HS
Result1:LegalandpolicyframeworkstrengthenedfortheimplementationofecotourismaspartofastrategytopromotethefinancialsustainabilityofSIGAP
5Changeinlegalandpolicyframeworkatthenationallevel
- PolicyonTouristActivitiesinProtectedAreas- PolicyofCo-administrationinProtectedAreas- RegulationsfortheConcessionofServicesforVisitorsinSIGAP- ManagementinstrumentsforecotourisminSIGAP
- PolicyonTouristActivitiesinProtectedAreasreviewed
- PolicyofCo-administrationinProtectedAreasreviewed
- Regulationsforcontrolofrevenuesupdated
- RegulationsfortheConcessionofServicesforVisitorsinSIGAPupdated
- Environmentalstandardsforthecertificationlabeldesigned.
Achieved100%andsurpassed.Besidesgrantingapprovalforalllegaldocuments,whichisrelevantespeciallyduetothelongchainofapprovalsrequired,additionalproductsweredevelopedthatincreasepotentialreplicationtootherareasandthesustainabilityofthesemodels.Nine(9)additionalproductsweredeveloped:(a)SupportingregulationstothePolicyofCo-administrationandSharedManagementinProtectedAreas;(b)updateoftheinternalregulationsoftheTechnicalCommitteeofTourisminProtectedAreas(COTURAP);(c)toolfortheevaluationoftouristpotentialinprotectedareas;(d)guideforthedevelopmentofpublicuseplansinSIGAP;(e)guidefordevelopmentofbusinessplansinSIGAP;(f)practicalguideforestablishingvisitorentryfeesinprotectedareas,includingacommitmentfromCONAPtodevelopanonlineversion;(g)analysisoflegalinstrumentsthatregulatethedevelopmentofecotourisminprotectedareas;h)harmonizationstrategyoflegalinstrumentsthatregulatethedevelopmentofecotourisminprotectedareas;i)proposalformodificationsincurrentlegalregulationsthatregulatetourisminprotectedareas.
HS
6Numberofprotectedareasimplementingpublicuseplans
- Two(2)
- Nine(9)
Achieved100%.ThisindicatorwasadjustedbyrecommendationoftheMTRbecausethePMUwasunabletoidentifythe4protectedareasindicatedinthebaselinethatwereimplementingpublicuseplans.The7pilotareaswereconsideredasimplementingtheirplans,althoughtwooftheplanswerenotofficiallyapprovedatthetimeofevaluation(RMPMiradorReyTepepulandRMPTodosSantosCuchumatán).All7PAarealsoimplementingtheirbusinessplans.
HS
7NumberofprotectedareaswithUnifiedVisitorRegistry(UVR)inprojectpilotlandscapes
- Two(2)
- Five(5)
Achieved100%.FiveofthesevenpilotareasimplementedtheURV(RMPQuetzalí(AstilleroIandII),SanPedroSacatepéquez;RMPSibinal;RMPAstilleroMunicipaldeSanMarcos;RMPTodosSantosCuchumatán;andPBZVolcánChicabal).ThedifficultyofimplementationatRMPMiradorReyTepepulisthelackofareceptionbooth;andatPNRCorazóndelBosquethegroupsarrivingarelarge,soamoreexpedientprocessisneededtomakeitviable.
HS
8NumberofagreementsbetweentheprivatesectorandSIGAPauthoritiesfortourismoperationswithinprotectedareasintheWesternHighlands
- One(1):RMPCanjuláTocapote,LosMaijones(Sibinal)
- Eight(8) Achieved128,5%.Atthemomentofevaluation,9newagreementshadbeensigned.Theagreementconsideredasbaselinewasnotrenewed.TherearesixnewagreementswiththeNationalBirdwatchingAssociationandthreewithtouroperatorsinQuetzaltenangoandthecapitalfortourstoVolcánChicabal.Notall7PAwerebenefittedbyagreementssofarbecauseofdifferenttouristpotential,somebeingmoreinterestinglocallythannationallyorinternationally.
HS
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Result2:Improvedinstitutionalframeworkfortourismmanagementinprotectedareas,includingapilotprogramforimplementationofecotourismintheWesternHighlandsofGuatemala.
9ChangeinindicatorsintheGEF-UNDPinstitutionalcapacityscorecard(100protectedareamanagers[CONAP,INGUAT,co-managers,municipalities,touroperatorsandlocalcommunityorganizations]trainedintouristattentionandevaluation,monitoringandmitigationofimpactsfromecotourism)
A.Participation:(a)Municipalities76.67;(b)Associations77.78;(c)Regionalinstitutions53.33;(d)Institutionsincapitalcity55.56
B.Generate,accessanduseinformationandknowledge:(a)Municipalities51.67;(b)Associations58.33;(c)Regionalinstitutions31.67;(d)Institutionsincapitalcity33.33
C.Developmentofstrategies,policiesandregulations:(a)Municipalities40;(b)Associations66.67;(c)Regionalinstitutions35.56;(d)Institutionsincapitalcity44.44
D.Managementandimplementation:(a)Municipalities33.33;(b)Associations41.67;(c)Regionalinstitutions30.00;(d)Institutionsincapitalcity66.67
E.Monitoringandevaluation:(a)Municipalities16.67;(b)Associations41.67;(c)Regionalinstitutions0;(d)Institutionsincapitalcity0.
A.Participation:(a)Municipalities82.67;(b)Associations83.78;(c)Regionalinstitutions59.33;(d)Institutionsincapitalcity61.56
B.Generate,accessanduseinformationandknowledge:(a)Municipalities57.67;(b)Associations64.33;(c)Regionalinstitutions37.67;(d)Institutionsincapitalcity39.33
C.Developmentofstrategies,policiesandregulations:(a)Municipalities46;(b)Associations72.67;(c)Regionalinstitutions41.56;(d)Institutionsincapitalcity50.44
D.Managementandimplementation:(a)Municipalities39.33;(b)Associations47.67;(c)Regionalinstitutions36.00;(d)Institutionsincapitalcity72.67
E.Monitoringandevaluation:(a)Municipalities22.67;(b)Associations47.67;(c)Regionalinstitutions6.00;(d)Institutionsincapitalcity6.00.
Notachieved-80%.Only4outof20indicatorswerenotachieved,althoughimprovementsandprogressarenoticeableinmostofthemunicipalitiesinvolvedintheproject.ErrorswerefoundinthebaselineandgoalvaluesforDevelopmentofstrategies,policiesandregulationsfortheInstitutionsinthecapitalcityduringthepreparationofTrackingToolsfortheMTR.Thesewereadjusted,butthegoalofimproving6pointsinthisindicatorremainedthesame.
A.Participation:(a)Municipalities73.33–didnotachievethegoalforlackofinvolvementofTodosSantosCuchumatán,wheretheadministrationinplacesince2015hasnotcollaboratedeffectivelywiththeproject.(b)Associations83.33–didnotachievethegoalforonly0.45points.Thisismostlyduetothevalueofeachcriteriathatdefinesprogress;astherearefewcriteria,thenextlevelwouldreachthemaximumscore,butthatrequirestheinvolvementoflocalstakeholdersandwasnotpartoftheplan;(c)Regionalinstitutions66.00–surpassedby6.67points;(d)Institutionsincapitalcity66.67–surpassedby5.11points.
B.Generate,accessanduseinformationandknowledge:(a)Municipalities63.33–surpassedby5.66points;(b)Associations70.83–surpassesby6.5points;(c)Regionalinstitutions50.00–surpassedby12.33points;(d)Institutionsincapitalcity66.67–surpassedby27.34points.
C.Developmentofstrategies,policiesandregulations:(a)Municipalities62.22–surpassedby16.22points;(b)Associations66.67–goalnotachievedby6pointsbecausetheassociationslackcapacitytorevisetheirinternalstrategiesandpolicies,dependinguponexternalsupport;(c)Regionalinstitutions42.22-surpassedby0.66points;(d)Institutionsincapitalcity56.66–surpassedby6.12points.
D.Managementandimplementation:(a)Municipalities50.00–surpassedby10.67points;(b)Associations50.00–surpassedby2.33points;(c)Regionalinstitutions43.33–surpassedby7.33points;(d)Institutionsincapitalcity66.67–notachievedby6pointsduetotheuncertaintyoffundingandlackofpersonnelinCentralCONAPwhichinturnpreventstheactivitiesintheannualworkplantobefulfilled.
E.Monitoringandevaluation:(a)Municipalities46.67–surpassedby24points;(b)Associations50.00–surpassedby2.33points;(c)Regionalinstitutions10.00–surpassedby4points;(d)Institutionsincapitalcity33.33–surpassedby27.33points.
Anassessmentoftheseresultsshowsthatthereismorecapacityforabstracttaskssuchasparticipation,planninganddevelopmentofstrategiesthanforimplementation,monitoringandevaluation,whichneedtobeimproved.ACapacityBuildingManualforManagersandTechnicalStaffandaGuideforFacilitatorsintopicsrelatedtotourismandprotectedareasweredevelopedassupporttoolsforcapacitybuildingworkshops.ThesematerialswillbeavailablefromCONAPandprojectpartnerwebsites.
S
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10NumberofprotectedareasintheWesternHighlandsestablishedandregisteredinSIGAP
- Forty-one(41) - Forty-three(43) Achieved100%.Thisindicatorwascorrected:thebaselinewasadjustedfrom39to41,andthegoal,from41to43–thegoalofincreasing2pointsremainedthesame.Theregisterofnewprotectedareaswasachievedduetodirectactionfromtheproject.TheregisterofMiradorReyTepepulRMP,inSantiagoAtitlán,waspendingsince1993andisthereforenotedasamajoraccomplishment.Itgrantsprotectionto3,509.91haintheWesternHighlands(theareawasalreadyconsideredinSIGAPbecauseitispartoftheRUMCLA–MultipleUseReserveoftheLakeAtitlánBasin).ThePNREcologicalParkCorazóndelBosqueaddsanother8.94ha.Other19newareasintheWesternHighlandswereregisteredinSIGAPduringprojectimplementation.
HS
11NumberofprotectedareasintheWesternHighlandswithevaluation,monitoringandmitigationofimpactsfromtourisminecologicallysensitiveareas
- Zero(0)
- Seven(7)
Achieved100%.Biologicalmonitoringprotocolswereadjustedforthe7pilotprotectedareasandarebeingimplemented.Thebiologicalmonitoringprotocolshadtobesimplifiedfromtheoriginaldesigntobecompatiblewithimplementationbyparkrangers.Monitoringactivitiesareexecutedeightmonthsintheyear.Monitoringimpactsofecotourismisacomplementaryactivitythatsupportsthemaintenanceoftrailsandinfrastructure,trashcollection,etc.
HS
12Changeinrevenuesgeneratedannuallyin22protectedareasbytouristvisitation
- $1,393,123 - $1,811,060(30%increase) Notachieved-71.5%.The30%increaseinrevenuesfromtourismwasnotachievedduringthetimeofprojectimplementation;anincreaseof21.44%wasachieved.Thisindicatorwasdifficulttoachievebecausetheprojectonlyhadinfluenceon7ofthe22protectedareas.Forthisreason,theindicatorisnotconsideredrealisticinconceptionandtheprojectwasnotlongenoughtobeabletofulfillthisgoal.Althoughthegoalwasnotachieved,thisincreaseissignificantbecausetherehasnotbeenenoughtimeforthepoliciesandregulationsdevelopedandapprovedthroughtheprojecttobefullyimplemented,especiallyregardingsharedmanagementandreinstatementofrevenuesfromvisitorentryfees.Thesepossibilitiesarenewinthe7pilotareasandmoretimeisneededforconsistentresults.Thebusinessplansareready,butnotfullyimplemented,theagreementswithtouroperatorsarerecent,aswellastheincreaseincapacityforimprovingtouristattentionservices.TheImpulsaProgramhadacallforproposalsopenatthetimeoftheTerminalEvaluationandisguaranteeduntil2019.Consideringthenewopportunitiesoriginatedbytheproject,thegoalfortheincreaseofrevenuesfromtourismwillprobablybesurpassedinthecomingyears.
S
13NumberofprotectedareasintheWesternHighlandswithafunctionalsystemofvisitorentryfeesandtouristservices
- Two(2):PermanentBanZoneVolcanoandLakeChicabalandRMPConcepciónChiquirichapa
- Eight(8):baseline+6pilotareas.
Achieved200%.Sixoutofsevenpilotprotectedareashaveimplementedvisitorentryfeesaswellasother6protectedareasintheregion,withatotalof14protectedareasintheregionwhenincludingthetwodefinedasbaseline.Thisimpliesrelevantchangesforprotectedareasbecause(a)regulationsthatreinstaterevenuesfromvisitorentryfeestoprotectedareaswereapproved;(b)localpopulationsinitiallyresisttheideaofpayingentryfees,aspeopleareusedtofreeaccess;(c)animportanteffortwasmadeinseekingpoliticalsupport,asmanyauthoritiesfindtheideaofentryfeesdisagreeableforfearoflosingsupportinelections.
HS
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14ChangeinthefinancialgaptocoverbasicmanagementcostsandSIGAPinvestmentsasaresultofincreasedrevenuesinprotectedareasfromvisitorentryfeesandprovisionoftouristservices
- $1,209,132.79 - $1,054,762.87(15%reductioninfinancialgap)
Achieved124.5%.ThisindicatorwasrevisedbyrecommendationoftheMTRbecauseitinitiallyreferredtotheentireSIGAPanditwasnotfeasibletoexpecttheprojecttoimpact15%ofthefinancialgapatthenationallevelbyworkingwithonlysevenprotectedareasintheWesternHighlands.Theindicatorwasthereforeadjustedtotheregion.Thegoalwasachieved,andthefinancialgapwasreducedby18.67%.
HS
15ChangeinmanagementeffectivenessoftheselectedprotectedareasinpilotlandscapesthroughMETT
- RMPTodosSantosCuchumatán:58
- RMPAstilleroMunicipal1and2deSanPedroSacatepéquez(RMPQuetzalí):27
- RMPAstilleroMunicipaldeSanMarcos:54
- RMPCanjulá,Tocapote,LosMaijones:32
- PNRParqueEcológicoCorazóndelBosque:55
- RMPReyTepepul:48- PBZVolcánChicabal:38
- PRMTodosSantosCuchumatán:58(goal77points)
- RMPAstilleroMunicipal1and2deSanPedroSacatepéquez(RMPQuetzalí):59(goal47points)
- RMPAstilleroMunicipaldeSanMarcos:75(goal74points)
- RMPCanjulá,Tocapote,LosMaijones:63(goal52points)
- PNRParqueEcológicoCorazóndelBosque:75(goal75points)
- RMPReyTepepul:64(goal68points)
- PBZVolcánChicabal:60(goal58points)
Notachieved-71.4%-5of7protectedareasFiveofthesevenpilotprotectedareasincreasedthescoreformanagementeffectiveness.ManagementandpublicuseplansRMPMiradorReyTepepularereadyandawaitformalapprovalbytheMunicipalCouncil,fromwhereitwillbesubmittedtoCONAPattheregionalandnationallevels.ThisprocesscouldnotbeinitiatedbeforetheofficialregistryoftheParkinSIGAP.Theplanswereexpectedtobeapprovedbeforeprojecttermination;hadthishappened,thescorewouldhaveincreasedandtheoverallgoalwouldhavebeenachieved.Buttheplansarecompletedandnofurtherdifficultiesshouldariseintheprocessofapprovalaftertheprojectisterminated.NoeffectiveprogresswasmadeinTodosSantosCuchumatánforpoliticalreasons.Themunicipalityhadreached78pointsby2015,beforethelastchangeinmunicipalgovernment,butthenewadministrationdiscontinuedtheactivitiesandthepointsintheMETTscorecardwerereducedtothelevelofinitialevaluation.ThecommunitiesmanagingtheRMPhavenotestablishedafavorablerelationshipwiththemunicipalauthorities,whichdonotmanifestmuchinterestinparkmanagementbecausetheydonotperceivedirectbenefitstothemunicipality.Thedifficultyingrantingapprovaltothepublicuseplanisunfortunate,astheinfluxoftouristsgoesthroughthecityandcreatespotentialopportunitiesforrevenuefromservices,especiallyasthecityhasinterestingtourismpotentialforculturalreasons.Despitethissituation,themunicipalityhiredapersonforthedevelopmentoftourismactivities,butnoefforthadbeenmadeatthetimeoftheTerminalEvaluationtointegrateneitherthecommunitieswhoinpracticemanagetheRMP,norlocaltouristguides.
S
ProductsResult1:1.1. UpdateofCo-administrationPolicyandmanagementinstruments.1.2. UpdateofTouristActivitiesinProtectedAreasPolicy,whichregulatesinterinstitutionalcooperation,planning,investmentandmanagement.1.3. CONAPregulationsforthereinstatementofrevenuesfromvisitorentryfeesandconcessionsinprotectedareas.1.4. Environmentalstandardsandcertificationsystemforthedevelopmentofecotourismregulateprivatesectorinvestmentinprotectedareasandenablebiodiversityconservation.
ProductsResult2:2.1. Capacitybuildingprogramincreasestechnicalcapacityofprotectedareamanagers(CONAP,INGUAT,co-managers,municipalities,touroperatorandlocalcommunityorganizations)for(a)implementation
ofenvironmentalandsocialsafeguardsforecotourism;b)visitorattention;yc)evaluation,monitoringandmitigationofecotourismimpacts(acceptablelimitsofchangeinecologicallysensitiveareasinpilotareas).
2.2. Thirty(30)CONAPofficialstrainedonvisitorattentionandmonitoringimpactsofecotourism.2.3. Monitoringstrategydevelopedtoassessacceptablelimitsofchangeinecologicallysensitiveareasinpilotareas.2.4. Managementplansforprotectedareasincludeecotourismaspartoffinancialstrategies.2.5. Businessplansdefinedforprotectedareasinpilotlandscapespromotethedevelopmentofnewtouristdestinationsinareaswithfewvisitors,butwithecotourismpotential.2.6. Pilotexperienceinapplyinganvisitorentryfeesystemandconcessionsthatincludereinstating,assigningandlevellingfees.
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3.3.2Relevance*
RELEVANT4
TheprojectobjectiveiscoherentwithGEF-6StrategicObjective1forBiodiversity,whichaimstoimprovethesustainabilityofprotectedareasystems:“Improvedefficacyinthemanagementofnewandexistingprotectedareas;protectedareasystemsensureincreaseinrevenuesanddiversificationofincomesourcestocoverallexpensesnecessaryformanagementobjectives.”
The project contributes to the United Nations Sustainable Development Goals in terms ofprotection,restorationandpromotionofthesustainableuseofterrestrialecosystems,sustainablemanagementofforestsandreductionoflanddegradation,andhabitatandbiodiversityloss.ItalsocontributestoGoal7oftheUnitedNationsMilleniumDevelopmentGoals,toensureenvironmentalsustainability.
The project isperfectly suited to local and national development priorities and organizational
policies:theCONAPNationalPolicyonTouristActivitiesinProtectedAreasandRegulations(2000and2003), SIGAPEnvironmentalManagementFramework (2003), INGUATNationalEcotourism
Policy(2003),GuatemalaNationalPolicyfortheDevelopmentofSustainableTourism(2004-2014and 2012-2022), the Guatemalan Government Agendas for Change (2012-2016) andCompetitiveness(2012-2021).TheprojectisalsoalignedwiththeGuatemalaManagementPlanfor
SustainableTourism2015-2025.
TheGuatemalaGovernmentincludedtourisminoneofthefiveaxesofpresidentialprioritiesoftheGeneralGovernmentPolicy2016-2020(“supporttomicro,smallandmedium-sizeenterprises,tourism,housing,anddignifiedanddecentwork”).Theopportunitiesoffinancialimprovementandlegal certainty due to the reinstatement of revenues from visitor entry fees from ecotourism toprotectedareas,aswellasnewsharedmanagementopportunities,increasepotentialinvestmentintheconservationofprotectedareas,speciesandecosystems,contributingtotheconservationofbiological diversity of global importance, to the increase of resilience to climate change and themaintenanceofecosystemservices.
3.3.3Effectivenessandefficiency* SATISFACTORY5
Effectiveness
Effectivenessisdefinedastheextenttowhichanobjectivewasachievedorthehowlikelyitistobeachieved.
Structural changes and unforeseen situations normally occur during project implementation,requiringadaptivemanagementmeasures.Inthecaseofthisproject,someturmoiltookplaceuponthetransitionofgovernmentin2015,afterwhichtherewerereductionsinCONAPpersonneland
4AccordingtotheGuideforTerminalEvaluationsofUNDPsupportedprojectsfinancedbyGEF,theprojectmustberatedasRelevantorNotrelevant.
5AccordingtotheGuideforTerminalEvaluationsofUNDPsupportedprojectsfinancedbyGEF,Effectivenessandefficiencymustbequalifiedaccordingtoasetofsixratings:Highlysatisfactory,Satisfactory,Moderatelysatisfactory,Moderatelyunsatisfactory,UnsatisfactoryandHighlyunsatisfactory.
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budgetallocations.Politicalchangesinthemunicipalitieslinkedtotheprojectequallyrequiredneweffortstoreestablishcooperation,whichdidnotalwaysreachtheformerlevelofsupport.
At the beginning of implementation, the PMU realized that two of the goals were not feasible:developing economic incentives and an environmental certification system within CONAP. Thealternative was to establish cooperation with INGUAT, which had appropriate conditions toimplementequivalentsolutions.
Atthebeginningoftheprojectsomeofthecollaborationandco-financingcommitmentswerelostduetothetimebetweenprojectdesignandstartup.Thisledtochangesalongimplementationinthemostrelevantpartnersandstakeholders.
Adjustments were required for six of the indicators in the logical framework, some for lack ofreference to baseline calculations, others due to the initial design or to updates in SIGAP data.Baselines were recalculated and indicators adjusted to enable comparisons along projectimplementation, which required funds for consultancies and working hours that had not beenplanned.
Theavailabilityofspecializedconsultantswithexpertiseintourismwasfoundtobelimited.Someofthecontractshadtobecancelledandredrawnwithnewconsultants,extendingthetimeneededtogeneratethedesiredproducts.
Despite the several issues towhich the PMUhad to adapt and create solutions, all resultswereachieved and all products generated, including other documents that were not planned duringprojectdesign.Theonlyindicatorthatwasnotachievedrefersto30%increaseinrevenuesfrom22protectedareasintheWesternHighlands.Thisindicatorwasnotrealisticbecausetheprojectonlyhadinfluenceon7ofthe22protectedareas.Otherindicatorswereonlypartiallyachievedbecausethe scores in the Institutional Capacity Scorecard (4/20) andManagement Effectiveness did notimproveasmuchasexpected(seeanalysisoflogicalframework).
The general objectivewas also effectively achieved for creating new financing opportunities forSIGAP while respecting environmental conservation criteria. Despite unforeseen situations andpoliticalturmoil,projecteffectivenesswashighlysatisfactoryintermsofachievingtheexpected
results.
Result1wasachievedandsurpassed,asinadditiontoupdatingexistingpolicies,developingandapprovingnewpolicies and regulations,manuals and guideswereproducedas support tools forimplementation.Thisconsolidatesalegalandtechnicalbaseforthedevelopmentofecotourisminthecountryandcreatesnewworkandsocioeconomicdevelopmentopportunities,atthesametimeestablishingafinancialmechanismfortheconservationandmaintenanceofprotectedareas.
Result2wasequallyachieved,withtheinclusionofecotourismintheCONAPprogramofworkinharmonywith national development policies and plans. Institutional capacities, especially at themunicipallevel,cansurelybeimprovedinthefuture,aswellasmanagementeffectiveness,eitherthrough new projects or simply by the application of the legal base and themanagement toolsdevelopedaspartofResult1ofthisproject.
Efficiency
Efficiencyisdefinedastheextenttowhichresultshavebeendeliveredwiththeleastcostlyresourcespossible.Forreasonsalreadyexplained,astheneedtorecalculatebaselinevaluesforindicatorsin
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thelogicalframework,replacementofconsultants,financialexecutioninyearone(70%oftheAOP),andthedifficultyinfollowingupwithco-financinginstitutions,efficiencyisconsideredsatisfactory.
Nootherdifficultiesinfinancialexecutionwereobserved:thetrackingtoolswerewellusedandadjustedwhennecessaryinthelogicalframework;accountingsystemswereapprovedbyexternalaudits,whichonlyregisteredtwominorissuesthatwereimmediatelycorrected;progressreportswere punctually produced and management responses to the MTR were registered andimplemented.TheEAdemonstratedgoodadaptivemanagementcapacityespeciallyforproblemsin project design and political turmoil, as unrealistic goals for the structure of CONAP had beenplanned.Thesewereachievedthroughinterinstitutionalcooperation.
ItisrelevanttoregisterthatfinancialexecutionwascarriedoutbytheUNDP,whichensuredthatallexpenseswereverifiedandadequatelymadeaccordingtoplanning.
Result1canbeconsideredmoreefficientthanResult2,as itwas lessdependentuponexternalcooperation,andbecausenineextraproductsweregeneratedwhichofferrelevantsupportforthedevelopment of ecotourism in Guatemala. Result 2 was dependent on cooperation withmunicipalitiesandassociationsandwasmoreaffectedbyfrailtiesinprojectdesign.
3.3.4Countryownership
Theproject iswell integratedwiththeCONAPNationalPolicyonTouristActivities inProtectedAreas and regulations (2000 and 2003), which was updated as part of the project goals. OtherrelevantpoliciestowhichtheprojectisrelatedareSIGAPEnvironmentalManagementFramework(2003),INGUATNationalEcotourismPolicy(2003),GuatemalaNationalPolicyfortheDevelopmentof Sustainable Tourism (2004-2014 and 2012-2022), the Guatemalan Government Agendas forChange (2012-2016) and Competitiveness (2012-2021). The project is also aligned with theGuatemalaManagementPlanforSustainableTourism2015-2025.
TheGuatemalaGovernmentincludedtourisminoneofthefiveaxesofpresidentialprioritiesoftheGeneralGovernmentPolicy2016-2020(“supporttomicro,smallandmedium-sizeenterprises,tourism, housing, anddignified anddecentwork”). Theproject contributes to four objectives ofpriorities in the samepolicy, in components (a) financial sustainability (BiodiversityConservationStrategies),(b)developmentofecotourismandincreaseinlocalparticipationforsharedbenefitsofecotourisminprotectedareas(ManagementofGoodsandServices),(c)developmentofcapacityforthemodernizationoftheStateandapplicationofmanagementinstrumentsfortheconservationofbiodiversity(InstitutionalModernizationStrategy),and(d)socialparticipationintheapplicationofmanagementinstrumentsforthepublicuseofprotectedareas(SocialParticipationStrategy).ThispolicyisintegratedwithprioritiesestablishedintheNationalDevelopmentPlanK’atun2032,whichalsoincludestourismasamechanismofeconomicdevelopment.
TheGEF Focal Point, Vice-Minister ofNatural Resources andClimateChange, acknowledged theimportance of this project, the strategic relevance of tourism for Guatemala and the potentialcontribution of ecotourism to the sustainability of protected areas and as an additional incomegenerationopportunityforcommunitiesandpopulationsintheirsurroundings.
TheGuatemalaNational Policy for Sustainable Development of Tourism 2012-2020 designatedINGUAT the task of developing a certification program for tourist service providers consideringquality,sustainabilityandsafety.Theexistenceofthispolicyfavoredtheprojectandisreflectedin
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the increasing role of INGUAT as project partner and assurance of continuity for some of theprograms initiated through theproject. Thepostof community tourist guidewascreateddue tosignificantcommunity interest, togetherwithtrainingprovidedby INGUAT.The INGUATQ-GreenCertification Programwas expanded to incorporate the certification of protected areas and theImpulsa Program was developed to promote and support tourism services in the country. TheMinistryofEconomyandtheTourismChamberplantograntImpulsawinnerswithamembershipforaccesstoothercapacitybuildingopportunitiesandbenefits.INGUAThasdecidedtoregistertheImpulsaProgramasatrademark.Thefactthat2017istheInternationalYearofSustainableTourismforDevelopmentalsofavoredtheprojectfortheinvolvementofINGUAT,whichisworkingonthecertificationof theYaxháNakumNaranjoNationalPark,managedby theMinistryofCultureandSports,asthefirstprotectedareawithenvironmentalcertification(Q-Green)inthecountry.
Manyofthepersonsinterviewedforthisterminalevaluationconsideredthatthemostimportantresult of this project is to have institutionalized a program of work for the development of
ecotourismasafinancialmechanismfortheconservationofprotectedareaswithinSIGAP.Atthemunicipal level, interviewswith authorities revealed a clear understandingof the relevance andopportunities that tourismoffersasa sourceof regionaleconomicdevelopment.Evidence is thesearchforfundsandpartnerstoimproveinfrastructureinprotectedareasandsupportmanagement,includingvolunteeringschoolstudents,scoutsandcommunitiesforenvironmentaleducationandreforestationactivities.
Within CONAP, among authorities and technical staff, ecotourism is perceived as an importantfinancial mechanism that can help balance institutional shortcomings in the conservation ofprotectedareas.Forseveralpeople,thisprojecthasbrokenaninstitutionalparadigm,asprotectedareaswereoftenseenassuitableexclusivelyforconservationpurposes.Ecotourismisnowseenas
compatibleduetotheintroductionofmonitoringprotocolsforimpactsoftourismandbiological
monitoring,asthesetoolshelpsetlimitsforvisitation.Thepotentialofincreaseofworkandbenefitsfor nearby communities is acknowledged. Another benefit is that project implementation hasstrengthenedtheimageofCONAP,facilitatingcooperationfortheprotectionofnaturalareasandthe development of sustainable tourism. Positive project results as well as a conceptual baseprovidedthroughcapacitybuildinghavecertainlycontributedtoprojectownershipbypeopleatalllevelsofparticipation.
Havingstronglyinvestedinpolicies,regulationsandotherdocumentsdevelopedwithCONAPstafftoimprovetheexistinglegalframework,theprojectleavesasolidlegalbaseforthedevelopment
oftourismwithavisionofsustainabilitythatincludesmonitoringimpactsonbiologicaldiversity,
akeyelementtoassuretheconservationofthenaturalheritage.Governmentrepresentativesatthemunicipal,regional(CONAP)andnationallevelswereinvolvedintheprocessofapprovaloflegalandotherdocuments.Theselegaldocumentsfunctionasguidanceforprotectedareamanagementandare innovative for creating new shared management opportunities and eliminating formerlimitations.
3.3.5Mainstreaming
TheprojectcontributestotheprogrammaticareaofInclusiveandSustainableDevelopmentofthe
UN Development Assistance Framework (UNDAF) 2015-2019 for investing in “policies andinvestmentsthatpromoteandareresponsiblefortheprotection,useandconservationofnaturalresources,especiallyintheareasofbiodiversity,climatechange,watermanagementandenergy.”
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TheprojectisalignedwiththeUNDPCountryProgramforGuatemala2015-2019forthecomponenton inclusive and sustainable development, which includes strengthening alliances betweengovernmentinstitutions,includingtheMinistryofEnvironmentandNaturalResourcesandCONAP.ThisiscontinuedfromtheUNDPCountryProgramforGuatemala(2010-2014),whichincludestheobjectiveof incomegenerationopportunities fromecotourismandprovisionof tourist services,contributingtotheenvironmentandsustainabledevelopmentcomponent.Thiscomponentincludessupporttostrengthenlocalandnationalinstitutions,tothecivilsocietyforimprovedinter-sectorialanddecentralizedenvironmentalmanagementandtothedevelopmentofecologicallysustainableproduction projects that benefit rural populations. Although no specificmention ismade in thisdocumentabouttourismasagoaloftheprogram,someprojectactivitieshavecorroboratedtheinterestofthegeneralpublicandtheprivatesectorindevelopingecotourismasasourceofincome.The project therefore contributes to the components of poverty alleviation, environmental
conservationandsustainabledevelopment.TheSibinal–CanjuláRMP,forexample,hadrevenuesofQ26,000in2016,withthesameamounthavingbeengainedbyAugust2017duetothereviewofvisitorentryfees,structuralimprovementsandpromotionoftheparktoincreasevisitation.AtthePBZ Volcán Chicabal visitor entry feeswere increased after the assessment of operational costsprovidedbytheproject, increasingthe levelof income.ASAECOthereforemanagedtodistributeprofitsforthefirsttimein2016tothe19associatedfamilieswhohadalwaysonlydonevoluntaryworksincetheareawaspurchasedin1999.Themanagementplandevelopedthroughtheprojectwasusedtoorganizevisitation,establishingrulestopreventtouristsfrommakingnoiseduringthenightandensuringthelakeiskeptfreeoflitter.TheNPRCorazóndelBosquealsoreviewedvisitorentry fees. Themanaging committee acknowledged the importance of the protected area plansprovidedandthebiologicalandimpactmonitoringefforts,especiallybecausetheyformerlyworkedwithout planning. They also acknowledged that, with support from the project, more efficientcommunicationwasestablishedwiththeCONAPRegionalOffice,whichprovidesthemwithbettersupportformanagementinthefuture.
Theapprovalofmanagementregulationsforvisitationactivities,whichreinstatesrevenuesfrom
visitorentryfeestoprotectedareasmanagedbyCONAPisofnationalrelevance,astheyimprovemaintenancepossibilitiesandinvestmentsintouristservicestoincreasevisitationandrevenues.TheapprovalofSIGAPregulationsforco-administrationandsharedmanagement isalsorelevantforallowing specific services tobeprovidedbyothers, facilitatingcooperationwithassociationsandcommunities,andcreatingnewincomeopportunities.
Despitepolitical instabilityand lossofCONAPpersonnel, theprojecthasproventhatecotourism
initiativesandservicespromoteeconomicdevelopment.Forexample,646newbusinesseswerelegalizedand/orestablishedbetween2013and2017byindirectinfluenceoftheprojectornot.OneoftheImpulsaProgrambeneficiariesreportedthat,beingtheonlytouroperatorinhisarea,tourismnowbenefitsthelocalpopulationbecausetouristarrivalshaveledtotheopeningofnewbusinesses.Anotherbeneficiaryreportsa15-20%increaseofrevenuestohisbusinessafterhewasselectedbytheImpulsaProgram.Thesearepositiveindicatorsforthepromotionofecotourisminotherareasofthecountry,creatingopportunitiesofincomegenerationforlocalpopulationsandforprotectedareas while improving visitor infrastructure in cooperation with the private sector, indirectlyimprovingthefeasibilityoftheconservationofprotectedareas.
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ClimatechangemitigationwasnotpartoftheGEFprogramwhentheprojectwasdesigned.Theincrease inprotectedareas inSIGAP,biologicalandvisitor impactmonitoring,aswellascapacitybuilding for protected areamanagement focused on sustainable tourism indirectly contribute toincreaseresilienceandmitigateeffectsofclimatechange,butnospecificactivitieswereplannedorexecutedforthispurpose.
ProjectdesigndidnotincorporatecriteriaofgenderequalityascurrentlyrequiredbytheGEF,asthesewerenotrequiredatthetime(GEF3-4).Ananalysisofcapacitybuildingworkshopscarriedoutthroughtheprojectrevealstronggenderinequalityforculturalreasons.EvenifthePMUhadtriedtohaveequalnumbersofmenandwomenintheworkshops,thiswouldhardlybeachieved.Parkrangers are nearly all men, so very few women were available to participate. Six of the sevenprotectedareamanagerslinkedtotheprojectaremen,withanexceptiontoQuetzalíRMP(formerAstillero I and II San Pedro Sacatepéquez), where the manager is a woman with a degree inAgronomicalEngineering;themayorsandmunicipalcouncilmembersaremen.Theparticipationofwomeninprojectactivitiesinthepilotsiteswasnotedintraditionallyfemaleroles.AfewpositionswithinCONAPareoccupiedbywomen,butnotthehigherones;thethreeregionaldirectorsintheWesternHighlandsaremen.AlthoughthePMUmadeeffortstoimprovegenderequalityfromtheyear2016,thepercentageoffemaleparticipationinworkshopspromotedbytheprojectreached20.8%.Ahigherpercentageoffemaleparticipationisregisteredinworkshopsdirectedtotechnicalstaffthantootherpositionssuchasparkrangers,directorsandprotectedareamanagers.
Examplesoffemaleparticipationwereregisteredinactivitiessuchasprovisionoffoodinfestivitiespromotedinprotectedareas,suchasthePrayerforRainatPBZVolcánChicabal;anathleticracepromotedatQuetzalíRMP(formerAstilleroIandIIinSanPedroSacatepéquez);andmanagementoftherestaurantatPNRCorazóndelBosque.
AGender Equality Strategy for CONAP is in development since 2015. The Council requested anumberofchangesuponreviewofthedocument,butthepersoninchargewasdismissedwhenthegovernmentchanged.Anewpersonwashiredin2017tooverseegenderissuesinCONAP,soatthetime of the Terminal Evaluation the document “CONAP Gender Equality Strategy with CulturalConsiderations2017-2022”wasbeingprepared forpresentation to theCouncil.Thedocument isorganizedaccordingtofourstrategies:(a)mainstreaminggenderissueswithculturalconsiderationsinto the CONAP institution; (b) promote the principles of equality and equity with culturalconsiderations in planning, policies, strategies, plans, programs and projects implemented byCONAP;(c)improvingtheknowledgeoftechnicalandadministrativestaffintopicsofhumanrightsandwomenrights,withculturalconsiderations;(d)promotionanddisseminationofmanagementpractices in public services focused on gender equality and cultural considerations. These areimportant references for future projects and to help change public perception ofmasculine andfemalerolesinthecountry.
3.3.6Sustainability*
MODERATELYLIKELY6
Project sustainability was considered moderately likely especially due to political and socio-economic instability, insufficient budget and personnel in Central CONAP, Regional Offices and
6AccordingtotheGuideforTerminalEvaluationsofUNDPsupportedprojectsfinancedbyGEF,Sustainabilitymustbequalifiedaccordingtoasetoffourratings:Likely,Moderatelylikely,ModeratelyunlikelyorUnlikely.
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municipalitiesandassociationsthatmanagethepilotprotectedareas.Thelackoftecnicalcapacityin the country to take responsibility for the development of ecotourism with environmentalsustainabilitycriteriaisanotherweaknessthatwasexperiencedduringprojectimplementation.
Financialsustainability
Likely
Several measures are in place to ensure the continuity of activities initiated during projectimplementation:
a) consolidationof legal framework for thedevelopmentof ecotourism inprotectedareas,withtourismembeddedinnationalpoliciesasapriorityfordevelopment;
b) approvalofManagementRegulationsforVisitationActivitieswithinSIGAP,whichreinstatesrevenuesfromvisitorentryfeestoprotectedareas;
c) approvaloftheCo-AdministrationandSharedManagementPolicy,creatingnewworkandincomegenerationopportunitiesfromtouristservices;
d) visitorentryfees inprotectedareasare institutionalizedbasedonoperationalneedsandprojectedincome.AlthoughMiradorReyTepepulRMPhasnotyetestablishedvisitationfeesforlackofinfrastructure,conditionsarebeingimprovedforshort-termimplementation;
e) ownershipoftheImpulsaProgrambyINGUAT,withacontinuitycommitmentofthreeyearssince2017,aswellasoftheCertificationofProtectedAreaswithcriteriaofenvironmentalsustainability(Q-GreenLabel);
f) developmentofbusinessplans andpublicuseplans for the sevenpilotprotectedareas,whichserveasmodelsfortheentireSIGAP;
g) institutionalcapacitiesstrengthenedatthenational,regionalandmunicipal levelsforthedevelopment of ecotourism, changing the perception project participants about thepotentialofecotourismasa financialmechanism forprotectedareas,municipalitiesandcommunities.
Socioeconomicsustainability
Moderatelylikely
At themoment of the terminal evaluation, ownership of project products andbenefits is strongwithin themainorganizations involved.The risk lies inpolitical instability that can lead toamplechanges in personnel with exception to a few positions within CONAP that have been grantedstability.Thissituationcreatestheriskoflossofinstitutionalmemory,technicalcapacityandtoolsproducedbytheproject.Afterthelastelectionsin2015andlossesofCONAPpersonnel,thePMUstrategicallyinvestedmoreeffortsinconsolidatingexternalcollaborationtoachieveprojectgoals.These alliances favor the continuity of project activities and the register of project memory byallocatingcapacityandknowledgebeyondinstitutionsthataremorepoliticallyunstable.
CommunitiesandassociationsinvolvedintheprojectandCONAPpersonnelattheregionallevelandmunicipalitiesacknowledgethebenefitsoftheprojectintermsofcapacitybuilding,especiallyforimprovingtouristattentionservices(ex.PNRCorazóndelBosque)andmanagementplans(ex.PBZVolcánChicabal).Participantsalsoacknowledgethevalueofmanagementandpublicuseplans,asmanyrealizethattheirformerworkwasdoneatrandomandthattheydidnothaveplanswithlegalvalue to support implementation. Benefits go beyond associations managing protected areas
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becauseotherpeoplefromnearbyareashadopportunitiestoprovideservicestovisitors,especiallyonspecialoccasions.Thepublic ingeneraldemonstrated interest in thedevelopmentof tourismespecially once sacred areas were protected to ensure respect for cultural traditions, and thatincomeopportunitieswerecreated.Thisbecameevident in thepilotareas,aseven localvisitorsacceptedtopayentryfeessothatmoreinvestmentscouldbemadeandmorevisitorservicesweredeveloped.
Notwithstandingpoliticalinstability,participationoftheprivatesector,ofNGOs,localassociationsanduniversitiesincapacitybuildingworkshopspromotedbytheprojecthelpsafeguardcapacities,productsandthememoryofwhatwasachieved,atleastintheWesternHighlands.InTodosSantosCuchumatán,forexample,tourismcommissionsretainthepresidentoftheformeradministrationintheroleofsecretaryforthenewadministrationtoensurethecontinuityoftheworkwithoutlosingpreviousreferences.
TheconsolidationofcooperationagreementsbetweenCONAPandINGUATinDecember,2016,forthecontinuityoftheImpulsaProgram,andinSeptember,2017,forthedevelopmentoftheQ-GreenCertificationLabel,justbeforeprojecttermination,isanimportantpillartoensurethesustainabilityofprogramsatleastuntilanationalpoliticalchangeinterferes.Althoughthischangeispossible,thelessonslearnedfromcooperationandthevalueithasbeengivenbyCONAPandINGUATpersonnelmight suffice to further promote continuity throughout new governments, especially becausetourismisembeddedinnationalpoliciesasanengineforeconomicandsocialdevelopmentstronglylinkedtotheGuatemalannaturalheritage.
Sustainabilityofinstitutionalframeworkandgovernance
Likely
Policies and regulations have been updated as well as the institutional framework to promoteecotourism in protected areas. The Co-Administration and Shared Management Policy and theManagementRegulationsforVisitationActivitieswithinSIGAPareespeciallyrelevant.Theselegaldocumentsarealignedwithnationalplansandpolicies,withtourismasapriorityfordevelopment.ThemostrelevantnationalreferencesaretheGeneralGovernmentPolicy2016-2020,theINGUATNational Ecotourism Policy (2003), the Guatemala National Policy for the Development ofSustainable Tourism (2004-2014 and 2012-2022) and the Guatemala Management Plan forSustainableTourism2015-2025.The sustainabilityof legaldocumentsupdatedor createdby theproject is ensured by their official approval and by the inclusion of ecotourism as a financialmechanismfortheconservationofprotectedareas.
ThesustainabilityensuredinchangesintheCONAPinstitutionalframeworkismoreatriskduetoinsufficientfundsorpersonnelforproperimplementation,as85-90%ofthecurrentCONAPbudgetisused for institutionalmaintenance.There isuncertainty in thereinstatementof revenues fromvisitor entry fees to protected areasmanagedbymunicipalities, as the funds are deposited in acommonmunicipalfundandmostoftenusedforotherpurposes,astheregulationsapprovedonlyrefer toareasmanageddirectlybyCONAP. Instability inpersonnel inregionalCONAPofficesandmunicipalitiescouldhinderthecontinuityofbiologicalmonitoring.TheagreementsestablishedwithNGOsandeducationalinstitutionsarerelevantespeciallybecausetheyarenotaffectedbypoliticalchanges.TheinternallimitationsofCONAParemorerelatedtofinancialissuesthantothelegalorinstitutionalframework,whichhavebeenconsolidatedbytheproject.
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Therisktotheinstitutionalframeworkandgovernanceislowbecausethelegalframeworkisnowadequate and includes criteria of environmental sustainability. The likelihood of sustainabilityincreasedwithcapacitybuilding,whichbenefittednotonlytheWesternHighlandsbuttheentireSIGAP, as staff from all 10 Regional CONAP Offices, communities, stakeholders, NGOs anduniversities participated in workshops. The Universidad del Valle requested copies of the “BestPractices Manuals for Protected Areas”, upon their publication in September, 2017, for use asteachingmaterials in amaster degree course on sustainable tourism. INGUATbecame themostrelevantstakeholderforembracingbusinessconceptslinkedtotheconservationofprotectedareasandensuringthecontinuityofprojectprogramsbasedonlegaldocuments,manualsandguidesthatbenefitSIGAP.
Environmentalsustainability
Likely
Themainenvironmental risks tosustainabilityareassociatedtoclimatechange,suchasextremeevents,aswellasthemisuseofnaturalresourcesthatcausesdegradation.Conversionofforeststootherusesandilegalwoodextractionarethemostcommonproblems.Althoughtheprojectdidnotwork directly on these threats to protected areas, a decline in illegalwood extraction has beenobservedintheprotectedareaswheretheareasformerlyservedthispurposeforthepopulation(SanPedroandSanMarcos,butalsoinSibinal).TheincreasedlevelofprotectionattheMiradorReyTepepulRMPalsocontributestoenvironmentalsustainabilityandmayleadtoagradualdecreaseinagricultural cultivation, especially as organized visitation increases and visitor entry fees areimplemented.
The measures introduced by the project to increase the level of protection in some areas andimplementmonitoring to detect significant changes in biological diversity are relevant for SIGAPbecausetheyincludeenvironmentalcriteriathatcanbeusedtolimittouristactivitiesandvisitationinecologicallysensitiveareasbasedonchangesofbehaviororpresenceof indicatorspecies.ThesustainabilityofthemonitoringsystemisensuredbyitsinclusioninmanagementplansofthesevenpilotprotectedareasandbytheenthusiasmandcommitmentwithwhichparkrangersandCONAPstaffareimplementingit.
Themain limitationforsustainabilityexpressedduringthe interviewsfortheTerminalEvaluationreferred to lack of personnel in CONAP Regional Offices to continue biological monitoring andespeciallyforthereplicationofprojectactivitiestootherprotectedareasinSIGAP.Althoughthelackof technical personnel in Regional Offices is a budgetary issue, it is also a political issue withconsequencesforenvironmentalsustainability.So,eventhoughpeopleatthedirectiveandtechnicallevelshavetakenownershipoftheprojectconceptsandgoals,theyfeellimitedintheircapacitytoexpandtootherareas.
3.3.7Catalyticrole
Ratingsforthecatalyticroledependonthelevelofreplicationachievedandisevaluatedaccordingtothefollowingcriteria:(a)scalingup-approachesdevelopedthroughtheprojectaretakenuponaregional/nationalscale,becomingwidelyaccepted,andperhapslegallyrequired;(b)replication-activities,demonstrations,and/ortechniquesarerepeatedwithinoroutsidetheproject,nationallyorinternationally;(c)demonstration-stepshavebeentakentocatalyzethepublicgood,forinstancethroughthedevelopmentofdemonstrationsites,successfulinformationdisseminationandtraining;and(d)productionofpublicgood-thelowestlevelofcatalyticresult,includingforinstancedevelopmentofnewtechnologiesandapproachesornosignificantactionsweretakento
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buildonthisachievement,sothecatalyticeffectisleftto‘marketforces’.
Theprojectismostlyatthereplicationlevel,aspoliciesandregulationsareapprovedtosupportthedevelopmentofecotourisminGuatemala.TheselegaldocumentsensurethereplicationofbenefitsappliedtothesevenpilotprotectedareastootherareaswithinSIGAPandcanbeusedasmodelsforsimilarlegislationinothercountrieswhereecotourismisadevelopmentpriority.
Becausethemainoutputsoftheprojectarepoliciesandlegalregulations,theywillbenecessarilyreplicatedthroughoutSIGAP,andcanbeusedasmodelsbyothercountries.Inalongertimeframe,theseresultsmaybescalingup.Thefivepoliciesandregulationsupdatedordevelopedintroducenewalternatives for themanagementof protected areas and the increase and reinstatementofrevenuesfromtourism.Inthisspecificcase,theratingshouldbe“scalingup”,asthesemeasuresarebeingimplementedinthepilotprotectedareas.
Theguides for thedevelopmentofplans and the tools toestimate tourismpotential anddefinevisitorentryfeesbasedonoperationalcostsareconsideredofhighreplicationpotentialforofferingresourcesnotformerlyavailable.Thesameappliestothecapacitybuildingmanualformanagersandtechnicalstaffandtherespectiveguideforfacilitatorsintopicsoftourism.
Nineadditionaldocuments to support themanagementofecotourismnot initiallyplannedwereproduced. These include an update of the COTURAP regulations, guides for the development ofpublic use plans and business plans. A formal agreement was signed with CONAP for thedevelopmentofanonlineversionofthetoolforestimationofvisitorentryfeesbasedonoperationalcostsofprotectedareasandpaymentcapacityofvisitors.Oncethistool isonline,protectedareamanagersinanyregioninGuatemala,aswellasinothercountries,canusethesystemtoorganizetheircostsandadjustvisitorentryfees,atthesametimegainingasolidviewofwhatisneededtoachieveself-sustainability.Althoughnotenoughtimehaspassedforthistooltobeusedbyotherprotectedareas,institutions,projectsorcountries,thesevenpilotprotectedareasareusingitanddevelopingpublicuseandbusinessplans,reachingthedemonstrationranking.
The biological monitoring protocols are available for replication throughout SIGAP, with sevenconsolidated examples in the pilot areas. The protocols are currently being replicated to otherprotectedareasintheHuehuetenangoDepartmentwithfundsfromthe“Lifeweb”projectfinancedbytheGermanBankKfW.ThisprojectaimstoconsolidateSIGAPinthedepartmentbyinvestinginimprovements for 38,000 hectares of protected areas. As more time goes by, the results frombiologicalmonitoringwillgenerateimportantdatasetsfortheWesternHighlands,basedonwhichitwillbepossibletoassesspositiveandnegativeaspectsoftheecologicalconditionofecosystemsandprovideinformationtoguideenvironmentalmanagement.Inthiscase,therepetitionrankingwasachieved.
Apart from the expected outputs, including staff from the 10 CONAP Regional Offices to learnconceptsandprinciplesofecotourismdevelopmentandprojectimplementationincapacitybuildingworkshopswasastrategicdecision.SomepersonnelwithinCONAPstatedthattheprojectbrokeaninstitutional paradigm by changing their perception on tourism as beneficial for environmentalconservation.Thismentalitychangeisbeneficialforgraduallymainstreamingtourismmanagementas a financial mechanism for the maintenance of protected areas. This initiative is attributed ademonstrationranking.
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Professionalsinchargeofpromotingtourismwerehiredbythreeofthemunicipalitiesbenefittedbytheproject,anotherindicatorofreplication.AsignificantnumberofnewbusinessesintourismwasopenedorlegalizedduringprojectimplementationintheWesternHighlands.Evenifnotbydirectinfluence of the project, this demonstrates a favorable perception of the general public for thedevelopmentoftourismwhich, inturn,willbesupportedbythelegalframeworkupdatedbytheproject.
TheprivatesectorwasofferedopportunitiesfordevelopingbusinessesintourismwiththeImpulsaProgram,createdbytheprojectincollaborationwithINGUATtobenefittwentywinnersperyearin2017.ThecertificationofnaturalareasdefinedasQ-GreenLabel,alsoundertheresponsibilityofINGUAT,promotes theadoptionof regulations,manualsandguidesdevelopedby theprojectbythosewillingtoimprovethequalityoftourismservicesinprotectedareas.Thisleadstomoreinterestin visitation, increasing revenues and positively affecting the development of ecotourism inGuatemala.
Ninenewagreementswithtouroperatorsweresignedwithpilotprotectedareas.Touroperatorsinterviewed during the Terminal Evaluation see these agreements as leverage in their servicesbecausetheycanassuretheirclientsthatthevisitswillworkoutasplanned,astheyareofficiallyauthorized.Beforetheagreements,eachvisithadtobearrangedseparately,whichconsumedmoretimeandcreated insecurity.TheGo2Guate touroperator, forexample, isgoing to increase thenumberofannualtourstoVolcánChicabal.Theseinitiativesqualifyasscalingupespeciallybecausetheyareindevelopmentregardlessoftheexistenceoftheproject.
TheachievementpotentialofprojectresultswillbeincreasediftheyaredisseminatedthroughtheUNDPandGEFnetworks,aswellasiftheyareusedinuniversitycoursesintheareaoftourismandmadeavailablefromwebsitesofuniversities,NGOsandotherinstitutionsthatworkontourisminGuatemala.
3.3.8Impact
Impactwasratedasminimalduetothenatureofthisproject,whichdidnotincludedirectactions
for ecosystem improvement.Due to the lack of direct intervention on ecological status duringproject implementation itwas not possible to devise improvements at the time of the TerminalEvaluation.Theresultsoftheprojectcannotbedirecltylinkedtotheecologicalstatusofecosystemsinthepilotareasintheshortterm.Asolidbasisforthedevelopmentofecotourismandafinancingmechanismfortheconservationofprotectedareaswasestablishedbystrengtheningthepoliticalandinstitutionalframeworks,buildingcapacityandprovidingsupportto7pilotprotectedareasbydesigning planning instruments. Direct impacts on the ecological status of ecosystems will be
observed in themid-long term, as policies and regulations arewidely applied and revenues areinvestedintheconservationandmanagementoftheprotectedareaswheretheyweregenerated.
ThetotalprotectedareainSIGAPincreasedduetotheregistryoftwoofthepilotprotectedareas
(3,518.85ha). This prevents public land from being donated to private owners through politicalmisconduct. The development and implementation of management plans, public use plans andbusinessplansestablishmorefavorableconditionsfortheconservationofspeciesandecosystemservices and create pressure for action and support by the municipalities in charge of theirmanagement.Besides,theplansserveasmodelsforotherprotectedareas.Allchangesunderway,fromtheimplementationofvisitorentryfeestotheprohibitionofpracticesformerlyallowed,such
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aswoodharvesting,contributetoconservation,butitwillbeawhilebeforecommunitiesunderstandand accept the new rules and stop illegally extracting natural resources from these areas. Theincreaseintheinvestmentonservicesandrecreationoptionsshouldbeinstrumentaltoexpediteacceptanceofrules,disseminateconservationobjectivesandenvironmentaleducation initiatives.After a longer period of biologicalmonitoring it will be easier to draw conclusions about the
ecologicalconditionoftheseareas,defineandmitigatethreatstotheconservationofspeciesand
ecosystem services. A few years of biological monitoring will provide data for the definition ofecologicalbaselinesintheWesternHighlands,wherethistypeofinformationisnotyetavailable,accordingtoCONAPtechnicalstaff.
Themanagementeffectivenesstrackingtools(METT)demonstrateincreasedmanagementcapacity
forallpilotprotectedareas,althoughtwoofthesevenmunicipalitiesdidnotachievetheexpectedscores.Ananalysisofthescorecardsclearlyshowsmorecapacityinparticipationandplanningthanin implementationandmonitoring.Although theexpected scoresweremostlyachieved, there iscertainlyroomforfutureimprovementinmanagementcapacity.
TheresultslistedbelowindirectlyimpacttheconservationoftheecologicalstatusofprotectedareasinSIGAPand,particularly,ofthesevenpilotprotectedareasintheproject.
Thelegalframeworkwasadjustedtofacilitatethedevelopmentofecotourisminprotectedareas,especially the Management Regulations for Visitation Activities within SIGAP and the Co-administrationandSharedManagementPolicyandsupportingRegulations.Theimpactofthefirstisonensuringasourceofincomeforprotectedareasfromthereinstatementofrevenuesfromvisitorentryfees,whichisinitselfanincentivefortheimprovementofconditionsandtouristservicestoincreasevisitation.Theimpactofthepolicyis increatingnewopportunitiesforserviceproviders,consequentlyforincomegeneration,throughsharedmanagement,whichdidnotformerlyexist,andfortheadministrationofotherareasofrelevancefortheconservationofbiodiversitythatarenotprotectedareas.Theselegalregulationsarecomplementaryandcreateafavorableenvironmentforthe development of ecotourismwhich, in turn, creates better conditions for investments in theconservationofprotectedareasandthebiodiversitytheywereestablishedtoprotect.
Interviewees stated changes of vision on the part of protected areamanagers and institutionsinvolvedinmanagementintermsoftheirperceptionofecotourismasafinancialmechanismforthemaintenanceofprotectedareasandbiodiversityconservation.
MiradorReyTepepulRMPwasregisteredinSIGAP.Asthiswaspendingsince1993,itisconsideredbymostof the intervieweesawareof the situationasa triumphat thenational level. The3,509hectares are especially important becauseoneof the last knownpopulations of spidermonkeys(Ateles geoffroyi) along thePacific Coast ofGuatemala lives there.Although this parkdoesnotrepresentanincreaseinthenumberofhectaresinprotectedareasinSIGAPbecauseitwasalreadyconsidered for being part of the Multiple Use Reserve of the Atitlan Lake Basin, the registryrepresentsachangeinthelevelofprotectionwhichisrelevanttoensuretheconservationofthearea.TheregistryofthePNREcologicalReserveCorazóndelBosque(8.94ha)inSIGAPisrelevantforrepresentingamodelofmanagementbyanassociationoffarmerswhohaslongunderstoodtheimportance of conserving natural areas, especially for its value inwater production and speciesconservation.
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Thenumberofprotectedareasimplementingvisitorentryfeesincreased.Thisresultbecameclearasstudiesweredevelopedbytheprojecttoestimatetheiroperationalcosts.Thisisadirectimpact
onthe increaseofrevenuesfortheconservationofprotectedareaswhichhaveadoptedorwilladopt this model. The seven pilot protected areas benefitted by the project also startedimplementingbusinessplans.
Biological monitoring and monitoring for impacts of ecotourism became part of the SIGAP
institutionalframework.Monitoringroutinesareimplementedinthesevenpilotprotectedareasandserveasmodelsforotherareas.
Practical actions have been registered from the implementation of planning documents
(management plans, public use and business plans). The pilot protected areas implemented orreviewedvisitorentryfees;promotedeventsinprotectedareastoincreasevisitation;searchedforpartnersandsignedagreementswithtouroperatorstoincreaserevenuesandbuildinfrastructure;andimprovedtrailsforvisitationandbirdwatching.Thesearepositivecircumstancesthatputtheecotourismmarketinmotionbasedonsustainabilitycriteriatoavoidnegativeimpacts.
Investmentandrevenuegenerationopportunitieswerecreatedbasedonsustainableecotourism
throughtheImpulsaProgramandthecertificationforservicesandprotectedareas(Q-GreenLabel).
Atthemunicipal level,changesduetoprojectactivitiesaredemonstratedby investments inSanPedroSacatepéqueztocreateatechnicalpositionforthemanagementoftheQuetzalíRMP(formerAstilleroIandII);inTodosSantosCuchumatánthemunicipalityhiredapersontodeveloptourismactivities in protected areas; the Santiago Atitlánmunicipality hired amanager forMirador ReyTepepulRMPandacoordinatorforthedevelopmentoftourism;aninSibinalapersonishiredonoccasion to promote tourism events. Considering the limitations of staff and funding, theseinvestmentsconfirmpoliticalinvolvementandabroaderviewoftourismasasourceofsocialandeconomicdevelopment.
Illegalwoodextractiondeclinedinthepilotprotectedareas.ThisisespeciallyrelevantinQuetzalí(formerAstilleroIandIISanPedroSacatepéquez)andSanMarcosRMP,whichwerelongusedforthe purpose of wood extraction by nearby communities. The administration of these areas asprotected areas based on management plans is gradually decreasing impacts due to externalinfluence and increasing their potential for self-sustainability and conservation for futuregenerations.
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4CONCLUSIONS,RECOMMENDATIONSANDLESSONS
4.1GENERALCONCLUSIONS
ThegeneralobjectiveoftheprojectwasachievedbecausethefinancialsustainabilityofSIGAPwaseffectivelystrengthenedbytheestablishmentofnewfinancialmechanismsandwaysofpromotingecotourisminGuatemalainalignmentwiththeconservationofbiodiversityofglobalimportance.
Result 1 was fully achieved and left an array of policies, regulations and additional products(manuals,guides,regulations,aproposalforharmonizingotherlegaldocuments)thatconsolidateanimportantbaseforthedevelopmentoftourisminGuatemala.
AlthoughResult2onlypartiallyachievedsomeoftheindicatorgoalsinthelogicalframework,asthegoalsweredependentuponexternalcooperation,theaccomplishmentandproductsgeneratedareconsideredexcellent.Amongtheproductsare21plansforthesevenpilotprotectedareaswhicharebeingimplementedandserveasreferencefortheentireSIGAP.
4.2 CONCLUSIONS AND RECOMMENDATIONS ON THE DESIGN, IMPLEMENTATION,
MONITORINGANDEVALUATIONOFTHEPROJECT
Conclusionsonprojectdesign
The lack of written memory and register of decisions made in the design phase of the projectrequired adaptations and corrections during implementation, but did not jeopardize theachievementofresults.
Recommendationsonprojectdesign
(1)Compilea registryof referencesused inprojectdesignandcompareactivitieswithexisting
projectstoavoidduplicationofefforts.Especiallyregisterthedatausedtodefinethebaselineof indicatorsandother informationthatsupportsprojectgoals.Lackofreferencedataonthebaselinecalculationsforseveralindicatorsinthisprojectrequiredthemtoberedefinedattheexpenseofextrafundsandtime.
(2)Identifyprioritiesofstakeholdersandbeneficiariesduringprojectdesignandincludefundsinthe project budget to support feasible activities. Even if modest investments are made,supportingthedevelopmentofactivitiesofspecial interest increasescooperationwithprojectactivitiesandgoals.Thisisespeciallyrelevantinenvironmentalprojectsinvolvingmunicipalitieswhere conservation is often not seen as a priority. Authorities often prioritize actions thatgenerate outcomes that are visible, politically interesting and focused on economic growth.Includingactivitieswiththesecharacteristicscanbeaninterestingstrategyinprojectdesign.Inadditiontospecificenvironmentalconservationneedsofpartnersandbeneficiaries,identifyingprioritiesofotherstakeholdersandincludingfundstosupportcompatibleactivitiescansecuretheirinterestandincreasetheviabilityofactivitiesthatarekeyfortheachievementofprojectgoals.Someoftheintervieweessuggestedthatprojectsshouldhaveregionalfocalpointsforpilotareastoensurelocalcommitmenttotheproject.Inthecaseofthisproject,itwouldhavebeenimportanttoprovideequipmenttoCONAPregionalofficesandmunicipalities,suchaswaterproofclothingforbiologicalmonitoring,aswellassupporttheconstructionofverybasicinfrastructurein pilot protected areas and take pilot areamanagers to visit other protected areas that areadvanced in tourismmanagement. Identifyingsynergies thatarepriorities for theprojectand
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stakeholdersincreasespotentialachievementandthesustainabilityofactivitiesinitiatedduringproject implementation. This issue was brought up repeatedly during interviews during theterminal evaluation. Many people involved in protected area management maintained theimpressionthat,oncetheprojectprovidedmanagement,publicuseandbusinessplans,itwouldhavebeenessentialtoincludesomefundingatleastforbasicinfrastructure.Smallinvestmentswouldhavehelpedtoconsolidateandapplyguidelines,aswellasjustifiedtheimplementationofvisitorentry fees.Complementarily,hadsuch fundsbeen included in theprojectbudget, itwouldhavebeeneasier tonegotiate agreements and increase collaborationespecially at themunicipallevel,aswellastostartimplementationofmanagementandpublicuseplans,includingthe application of visitor entry fees and approved policies and regulations in the pilot areas,yieldingmoresubstantialresultsinthefield.
Conclusionsonprojectimplementation
Project implementationwasconsideredHighlySatisfactory(HS),especiallyconsideringtheneedforadaptivemanagementinrecalculatingindicatorbaselines,reductionofCONAPpersonnelduetobudgetary losses and political instability. The coordination between CONAP and the UNDP onoperationalissueswasconsideredHighlySatisfactory(HS).NomajorissuesthatwouldhaverequiredaninterventionfromtheUNDPathigherlevelsoccurredduringprojectimplementation.
Recommendationsonprojectimplementation
(3)Projectsmustinvesteffortsandresourcesinestablishinginstitutionalcooperationinordertosharebenefitsaswellasresponsibilitiesforthesustainabilityofactivities.Thegoalsofthisprojectwere achieved mainly through cooperation agreements with relevant partners, whichcompensatedforpoliticalinstabilityandinstitutionaldifficulties.
Conclusionsonmonitoringandevaluation
Project monitoring and evaluation used all tools available except for co-financing activities andvalues,whichendedwithanincompletefollow-up.
MonitoringandevaluationwereconsideredSatisfactory(S).TheMonitoringandEvaluationPlanwas satisfactorily designed. Although a specific M&E plan was not developed beyond what isdescribedinthePRODOC,severalmechanismswereinplace.ApartfromtheCoordinator’sroutineresponsibilities, quarterly meetings with the UNDP and one annual meeting of the tripartitecommissionwereheld.GEFmonitoringinstrumentswerethoroughlyused:AOP,QPR,PIR,annualreports,reportsonsteeringcommitteeandco-financingpartnermeetings,aswellastheTrackingToolsforInstitutionalCapacity,FinancialSustainabilityandManagementEffectiveness(METT).
The lack of written memory and register of decisions made in the design phase of the projectrequired adaptations and corrections during implementation, but did not jeopardize theachievement of results. Follow up of cofinancing activities was not satisfactorymainly due to aspecificcontextoftheproject.Duetothetimeelapsedbetweenprojectdesignin2010andstartin2013, part of the plans for the joint implementation of activities were lost, as organizationsimplemented their projects before the project started. Thiswas compensatedby instating otherpartner organizations. Although the activities of co-financing partners contribute to the generalprojectobjectiveandwereimplementedinthesameregion,mostofthesewerenotdirectlylinkedtospecificprojectobjectives.
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Recommendationsonmonitoringandevaluation
(4)Ensurefollowupofpartnerco-financingcommitments.Inthecaseofthisproject,co-financingcommitmentswerepartially lostdueto thedelaybetweenprojectdesignandstart.ActivitiesdevelopedbypartnerorganizationsintheWesternHighlandsinsynergywithprojectobjectiveswerestillconsideredasco-financing,butastheywerenotdirectlylinkedtotheproject,followupwasnotprioritized.TheamountofexpensesmadebyCounterpartInternationalonbehalfoftheprojectduringthePPG,in2012,waslostforlackofregistryandthereforenotincludedintheco-financingcontributions.
4.3CONCLUSIONSANDRECOMMENDATIONSTOFOLLOW-UPORREINFORCEINITIAL
BENEFITSFROMTHEPROJECT
Conclusions
The replication potential of the main project activities is ensured by the vast referencedocumentationdevelopedandavailable.Theproject ismostlyatthereplication level,aspoliciesandregulationsareapprovedtosupportthedevelopmentofecotourisminGuatemala.Theselegaldocumentsensure the replicationofbenefitsapplied to thesevenpilotprotectedareas tootherareas within SIGAP and can be used as models for similar legislation in other countries whereecotourismisadevelopmentpriority.
The sustainability of the most relevant project activities and products is sufficiently ensured topromote the development of ecotourism in Guatemala. Formal agreements that ensure thecontinuityofprojectresultsand,inmanycases,assurefinancialsustainabilityweresigned:ImpulsaProgram(CONAP,INGUAT),Q-GreenCertificationProgram(CONAP,INGUAT,MinistryofCultureandSports),andMonitoringProgram(CONAP,municipalitiesandcommunityassociationsmanagingpilotprotectedareas).
Recommendations
(5) CONAP and INGUAT must ensure continuity of the development of ecotourism with
sustainabilitycriteriainGuatemalaandapplytheproductsgeneratedbythisprojectthroughoutSIGAP, expandingbiologicalmonitoring and themonitoringof impacts from tourist visitation.CONAPmustdevelopanonlinetoolforthecalculationofvisitorentryfeesbasedonoperationalcostsofprotectedareassoitiswidelyavailabletoSIGAPandbeyondGuatemala.
(6)CONAPtechnicalstaffmustfollowupandsupporttheimplementationofmanagementplans,
publicuseandbusinessplansinthepilotprotectedareasbenefittedbytheproject,including
biological monitoring and monitoring of impacts from tourist visitation. The support fromCONAPishighlyvaluedinprotectedareasandisespeciallyimportantincasepoliticalchangesinthemunicipalities result in thedismissalofpersons currently in chargeofmanagement.Datageneratedthroughbiologicalmonitoringmustbeadequatelyprocessedandpreferablymadeavailableonlineforthebenefitofallwhoworkinbiodiversityconservation.
(7)CONAPmustdefineacontinuedcapacitybuildingstrategywithsupportfrompeoplewhowerecapacitated as facilitators through this project to ensure the maintenance and increase oftechnical capacityat the regional level. This is especially relevantaspolitical changes incur inlossesofpersonnelbenefittedbycapacitybuildingworkshopsdeliveredbytheproject.Forthesamereasonandtoincreasethechanceofperpetuationandwideruse,practicalmanualsand
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guidesgeneratedbytheprojectshouldbemadeavailablefromwebsitesbeyondCONAP,suchasin universities providing courses linked to tourism and environmental management, partnerNGOs,INGUATandotherorganizationsworkingonecotourism.
4.4CONCLUSIONSANDRECOMMENDATIONSFORFUTUREDIRECTIONSUNDERLINING
MAINOBJECTIVES
Conclusions
TheprojectconsolidatedthelegalandinstitutionalframeworksforthedevelopmentofecotourisminGuatemala.Moreconcreteresultswillbevisibleaspolicies,regulationsandmodelsofpublicuseandbusinessplansareextendedtootherprotectedareaswithinSIGAP.
ThelackofprofessionalexpertsinsustainabletourismisarelevantlimitationinGuatemala.
Thelossoftechnicalstaffbyinstitutionsduetopoliticalchangesnegativelyaffectsthecontinuityofactivitiesinitiatedthroughprojectsandcontributestothelossofcapacityimprovedthroughprojectworkshops.
Recommendations
(8)CONAPshouldreconsiderthecomplexityofapprovaloflegalandtechnicaldocumentssuchasmanagementplans andpublic useplans,whichhave tobe submitted to repeatedanalysis atdifferentinstitutionallevelsthattakelongandcausedelaysintheimplementationofprojects.TheapprovalofplansfortheprotectedareasmanagedbymunicipalitiesfirstrequireswrittenmentionintheminutesofaMunicipalCouncilmeeting.TheplansthenhavetobeprotocoledattheCONAPRegionalOffice,wheretheyaretechnicallyandlegallyreviewed.FromtheRegionalOffice,theyaresenttoCentralCONAP,wheretheyareagaintechnicallyandlegallyreviewed.Ifapprovalisgrantedatalllevels,theplansaresenttotheExecutiveSecretaryforratification.Ifatany instance the documents are not approved they are returned to the municipality forimprovementwithoutfurtherassistanceprovidedbyCONAPtoensureapproval.ConsideringthereducedtechnicalstaffinCONAPandthenumberofprotectedareaslackingmanagementplans,timewouldbebestemployedinsupportingthedevelopmentofmoreplansthanreviewingthemmorethanonce.Optimizingtheseprocedureswouldbebeneficial toCONAPtechnicalstaff intermsoftheirworkloadand,iftheyareinsteadabletosupportthedevelopmentofplans,bythetimeplansare ready there shouldbenoobstacle for approval and lessneedof revision. It isimportanttooptimizetheseprocessessothatdifferentdocumentscanbeapprovedeitherbytheRegionalorCentralOffice,with criteriadefined foreach case. In the caseof thisproject,expeditedapprovalwouldhavemeantmoretimeforimplementationofmanagementandpublicuseplanswithsupportfromtheproject.
(9) INGUAT should consider offering second time participants in the Impulsa Program private
tutoringinsteadofgenericcapacitybuilding.Beneficiariesareinterestedinhavingsupporttodevelop specific issues in their businesses. Some of the topics offered in capacity buildingworkshops in the Impulsa Program seemed fairly basic to beneficiaries who had long termexperienceintourismbusiness.Amoreflexibleprogramwouldhelpthemdevelopnewbusinessperspectivesandvisionaswellasseekcomplementaryexpertisemorerelevanttotheirindividualenterprises.
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(10) CONAP and INGUATmust design and disseminate more tourist destinations that include
protected areas to promote visitation and support the development of ecotourism. TheAssociationinchargeofthePBZVolcánChicabalperceivestheneedforpromotingtheareaasitsmainweaknessandgreatlywelcomesanyformofsupport.PersonnelattheMiradorReyTepepulRMPpresumethattheparkwasonlyincludedinatouristdestinationbecauseitwaspartofthisproject,whichcorroboratestherelevanceofexternalsupporttopromotevisitationtoprotectedareasthatarenotwidelyknown.
(11)AnefforttoregulateaccessoftouroperatorstoprotectedareasthroughCONAPisimportant
to avoid unregistered services without adequate safety conditions and qualified guides fortourists, as well as to prevent disloyal competition with tour operators who are formallyregisteredandfollowlegalobligations,suchasthosecontemplatedbytheImpulsaProgram.
(12)As possible, CONAP should hire tourism experts for the Regional Offices to promote thedevelopment of tourism activities with sustainability criteria and social participation. Theseexpertswouldideallyprovidesupporttomunicipalitiesandcommunitygroupsinpromotingtheprotectedareastheyareinchargeof.Ananalysisofexistingprotectedareasandtheirtourismpotential should help prioritize regions where experts would have more potential fordevelopment.
(13)ConsideringtheinstabilityofpublicpositionsinGuatemala,themainthreattothememoryandsustainabilityofprojectbenefits,futureprojectsmustsecurestronginvolvementofNGOsand
research / education institutions for ownership of project knowledge andproducts. Thiswillincreasethepotentialofsustainabilitygiventhattheseinstitutionsarenotsusceptibletopoliticalchanges.
4.5BESTANDWORSTPRACTICESINADDRESSINGISSUESRELATINGTORELEVANCE,
PERFORMANCEANDSUCCESS
Bestpractices
ConsolidatingecotourismintheagendaofCONAP,associationsandmunicipalitiesasafinancial
mechanism for the maintenance of protected areas and the and conservation of biological
diversity. This is evinced by funds allotted for tourism by protected area managers. Themunicipalities of San Pedro Sacatepéquez, San Marcos, Todos Santos Cuchumatán, Sibinal andSantiagoAtitlán,theAssociationofEcologicalFarmersinQuetzaltenango(VolcánChicabal)andLaGuadalupana Agricultural and Artisanal Development Association in Sololá (Corazón del Bosque)improvedtheirknowledgeandvisionofthepotentialoftourismatthesametimetheperspectivesof biodiversity conservation improve due to monitoring biological indicators and impacts fromtourism.Pilotprotectedareamanagersattributemorevaluetoecotourismandaremoreawareofthepotentialself-sustainabilityandgenerationofrevenuesformunicipalitiesandlocalpopulations.
Promoting tourism with sustainability criteria includingmonitoring of biological indicators andimpactsfromvisitationasessentialcomponentstopreventthedegradationofnaturalconditionsandgeneratedatathatshouldbeusedtodefinevisitationlimits,especiallyinecologicallysensitiveareasthathostendemicorthreatenedspecies.Thisiscorroboratedbytheinclusionofprinciplesofsustainability, benefit sharing andegalitarianparticipation in thePolicyonVisitationActivities inProtectedAreas”.
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Involvingtheprivatesectorinthedevelopmentofecotourismandmaintenanceofprotectedareasiskeyforthistypeofproject.Theprivatesectorincreasesthechancesofsustainabilityofprojectactionsandproductsbyapplyingtheminpracticeandnotbeingaffectedbypoliticalchanges.
Participationofpersonnel fromthe10CONAPRegionalOffices incapacitybuildingworkshops,whichextendsbenefitsoftheprojecttotheentirecountry,complementingthescopeofpoliciesandregulations,increasingreplicationpotentialandcontinuityofprojectactions.Thenationalbiologicaldiversity information system (in development) and the review of the CONAP internalmanual ofprocedureswiththeinclusionofguidesandmanualsdevelopedbytheprojectwillcomplementarilyensurethetechnicalreferencesarenotlostduetopoliticalchanges.
ThecommitmentbyCentralCONAPtodevelopanonlinetoolforcalculatingvisitorentryfeesin
protectedareas.Thiswillfacilitatetheuseofthetoolthroughoutthecountry(SIGAP)andbeyond,helpingprotectedareamanagerstoreviewfeesbasedonoperationalcosts.To increasestability,thistoolshouldalsobemadeavailablefromotherwebsitessuchasINGUAT,theTourismChamberandotherinstitutions.
Capacity building and involvement of park rangers and regional technical staff in biological
monitoring.Inadditiontoacknowledgingthevalueoflocalcapacityandknowledge,ahighlevelofsatisfactionwasobservedduringtheTerminalEvaluationonthepartofparkrangersbecausetheylearnedtoperceiveelementsofnaturetheydidnotnoticebefore.Someparkrangersweretakingphotographs and making videos to share their monitoring experiences, which demonstrates anincreaseintheirappreciationofnatureandtheprotectedareaswheretheywork.Thisenthusiasmisimportantasitispassedontocommunitymembers,creatingreplicationeffectsandmoreinterestinconservation.
Not treating the project as though it were an institution, always acknowledging activities andproductstotheexecutingagencyandstakeholders.Hadreferencebeenmadeoftheprojectasaplayerinimplementation,especiallyinformaldocumentsthatwillcontinueinuse,thePMUavoidedtheriskofcreatingtheimpressionthatthesedocumentswouldnolongerhavevalueoncetheprojectended.Thesamereferstonothavingdevelopedaspecificwebpagefortheproject,whichhelpedtoaddrelevanceandvisibilitytotheCONAPwebsite.HavingintegratedprojectactivitiesaspartoftheCONAPagendagavetheseactionsaninstitutionalplacementandhelpedthestakeholders,andeventheexecutingagency,toseethemasactionsthatmustbesustained.
Worstpractices
Thelackofmemoryofdatausedinprojectdesign,whichpreventedthePMUfromunderstandingandbeingabletousesomeofthe logicalframeworkindicators.Someofthebaselinevaluesthatreferredtofinancialamountsandprotectedareashadtoberecalculatedtoenablecomparisonwithprogressmadeinimplementation.
4.6LESSONSLEARNED
Institutional coordination is essential for best results in the development of tourism withenvironmental sustainabilitycriteria inprotectedareas.Thiswasexpressedby representativesofINGUATandCONAPwhounderstoodandsawtheadvantagesofcooperationtoboth institutionsduetotheimplementationofactivitiesofmutualinterestfacilitatedbytheproject.
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Itisveryimportanttoadjustprojectstotheinstitutionalcapacityoftheexecutingagency.Largeprojects generate many new activities and an extra work load to employees, who are ofteninsufficientinnumber.Simultaneousprojectsarealsocommon.Theseconditionscreaterisksfortheprojectsintermsofachievingexpectedresults.
Activities thatmaystrengthenenvironmental institutions shouldbeconsidered for inclusion in
projects. Especially large projects should support specific activities focused on strengtheninginstitutionalbudgetaryrequirements.TodevelopspecificstudiesonconservationissuesconsiderednationalprioritiesforpresentationtotheNationalCongress,suchasnaturaldisastersduetoclimatechangeor themaintenanceof ecosystem services essential for production,mayhelp authoritiesbetetrperceivethevalueofinstitutionsinchargeofenvironmentalissues.
Anassessmentofstakeholderprioritiesiskeytofacilitateprojectownershipandachievementof
goals. This applies more specifically to municipalities, but also to protected areas not directlymanaged by CONAP. Such an analysis would identify activities and needs that could have beenincludedintheprojecttofavortheestablishmentofagreementsandbettercooperationtoachieveexpected results. Although such an assessmentwas carried out in the design phase, changes inpersonnelandintheexternalcontextoftheprojectoftencomplicatepracticalapplication.
ItisimportanttoinvolveCONAPdirectorsandtechnicalstaffofCONAPRegionalOfficessincethe
designphaseofprojectssotheycancontributetoconceptsandprovidenotionsofregionalreality.Thispromotesprojectownershipasimplementationprogresses,aswellassustainabilityoncetheproject isterminated.Technicalstaffwithregionalexperienceshouldalsobe involved incapacitybuilding workshops so they can later function as facilitators. Staff in CONAP Regional Officesexpressedsomeregretfornothavingbeeninvolvedintheselectionofconsultants.ThisismorethananythingduetothefactthatsomeoftheconsultancyreportsthatwerenotconsideredsatisfactoryrequiredrevisionandcorrectionsbyCONAPstaff.Althoughqualityissuesinconsultancyreportswillmost likely not be solved if technical staff participate in selectionprocesses, participationwouldincreasecollaborationandengagementinimprovingunsatisfactoryproducts.
Involvementoftheprivatesectorincreasesthesustainabilityofprojectactivitiesandprogramsforapplying,inpractice,whatwasdesignedandapprovedindocumentsandproducts,whilereducingtheimpactofpoliticalchanges.
Theimplementationofmonitoringofbiologicalindicatorsandimpactsofvisitationinprotected
areas must be adjusted to local capacity. Simple protocols are more easily adopted andimplemented,whilecomplementarydatacanberequestedinthelongtermafterparkrangersandothersinchargehavegainedmoreexperience.
It is important that the increase in capacity to performevaluationsof impact causedby tourist
visitation,objectiveofseveralcapacitybuildingworkshopsorganizedbytheproject,isfollowedbyincreasedknowledgeinpossiblemitigationalternativessothatprotectedareamanagersareabletotakeimmediatecorrectiveactiononceproblemsaredetected.
Managersof thepilot protectedareas representedbymunicipalities andassociationsevaluatedusingtheUNDPInstitutionalCapacityScorecardclearlydemonstratebetterabilitytoparticipateinprocesses and projects and, in second place, to generate, access and use information and
knowledge to develop strategies, policies and legislation, while capacity formanagement and
implementationofactivitiesandformonitoringandevaluationaresignificantlylower.Thesethree
PromotingecotourismtostrengthenthefinancialsustainabilityoftheGuatemalanProtectedAreaSystem
52
groups of criteria are clearly separated in the scorecard,whichmight be related to the span ofpolitical administration in municipalities: four years grants enough time for participation inprocesses,useofinformationandplanningstrategies,butnotenoughtimeforimplementation.Thissubstantiates the relevanceof conserving technical staff forpracticalapplicationofdevelopmentplans. It is importantforfutureprojectstoconsiderexistingcapacityso investmentsaremadetoimprovetheweakestpoints.Inasimilarway,applicationoftheinstitutionalcapacityscorecardatthebeginningofprojectscanidentifyfrailtiesofprojectpartnersandstakeholdersthatshouldbeaddressedbyprojectactions.
Capacity building workshops should include open hours to allow participants to exchangeinformationandexperience,identifycommonagendasandopportunitiesforcollaborationbetweenregionsand/orinstitutions.
Localcapacitybuildingworkshopsaremoreeffectiveforaddressingparticularneedsofaregionorprotectedarea,whichcontributestosolvingpracticalproblemsandincreasesthelevelofinterest.Inaddition,travelandlodgingcostswhichoftenpreventpeoplefromparticipatingarespared.
Itisveryimportanttoavoiddisseminatingaperceptionoftourismasthegreateconomicsolution
forthesurroundingsofprotectedareasandtoworkwithintherealitythatitcancreateadditional
income opportunities for some people, communities and the private sector aswell as for the
maintenanceofprotectedareas.Althoughpracticallyallgoalsdesignedintheprojectwereachievedand that ecotourism gained importance in the perception of the general public and institutionsinvolved for creating income alternatives for communities, families and people living aroundprotected areas, this process is still in its initial phase. For example, in the PBZVolcán Chicabal,although revenueswere distributed for the first time among 19 families in 2016, theywere notsignificantintermsofprovisionofincome.
PromotingecotourismtostrengthenthefinancialsustainabilityoftheGuatemalanProtectedAreaSystem
53
5ANNEXES
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54
5.1EVALUATIONCONSULTANTCODEOFCONDUCTAGREEMENTFORM
Evaluators:
1. Must present information that is complete and fair in its assessment of strengths andweaknessessothatdecisionsoractionstakenarewellfounded.�
2. Mustdisclosethefullsetofevaluationfindingsalongwithinformationontheirlimitationsand have this accessible to all affected by the evaluationwith expressed legal rights toreceiveresults�
3. Should protect the anonymity and confidentiality of individual informants. They shouldprovidemaximumnotice,minimizedemandson time, and: respectpeople’s rightnot toengage.Evaluatorsmustrespectpeople’srighttoprovide information inconfidence,andmustensurethatsensitive informationcannotbetracedto itssource.Evaluatorsarenotexpectedtoevaluateindividuals,andmustbalanceanevaluationofmanagementfunctionswiththisgeneralprinciple.�
4. Sometimesuncoverevidenceofwrongdoingwhileconductingevaluations.Suchcasesmustbereporteddiscreetlytotheappropriateinvestigativebody.Evaluatorsshouldconsultwithotherrelevantoversightentitieswhenthereisanydoubtaboutifandhowissuesshouldbereported.
5. Shouldbesensitivetobeliefs,mannersandcustomsandactwithintegrityandhonestyintheir relationswithall stakeholders. In linewith theUNUniversalDeclarationofHumanRights, evaluatorsmust be sensitive to and address issues of discrimination and genderequality. They should avoid offending thedignity and self-respect of those personswithwhomtheycomeincontactinthecourseoftheevaluation.Knowingthatevaluationmightnegatively affect the interests of some stakeholders, evaluators should conduct theevaluation and communicate its purpose and results in a way that clearly respects thestakeholders’dignityandself-worth.�
6. Are responsible for their performanceand their product(s). They are responsible for theclear,accurateandfairwrittenand/ororalpresentationofstudylimitations,findingsandrecommendations.�
7. Shouldreflectsoundaccountingproceduresandbeprudentinusingtheresourcesoftheevaluation.�
Evaluationconsultantagreementform7AgreementtoabidebytheCodeofConductforEvaluationintheUNSystemNameofconsultant:SÍLVIARENATEZILLER
Nameofconsultancyorganization(whererelevant):UNDPGUATEMALAI confirm that I have received and understood and will abide by the United Nations Code ofConductforEvaluation.
SignedinFlorianópolis-SC,Brazil,02August,2017.
Firma:
7 www.unevaluation.org/unegcodeofconduct
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5.2EVALUATIONCRITERIAMATRIXFROMTOR(SPANISH)
Criteriosdeevaluación Preguntas Indicadores Fuentes Metodología
Relevancia:¿CómoserelacionaelproyectoconlosobjetivosprincipalesdeláreadeinterésdelFMAMyconlasprioridadesambientalesydedesarrolloanivellocal,regionalynacional?
¿Esrelevanteelproyectoparalos
objetivosdeláreafocaldebiodiversidady
paralasprioridadesestratégicasdel
FMAM?
¿Cómorespaldaelproyectoaláreade
interéssobrebiodiversidaddelFMAMylas
prioridadesestratégicas?
Existenciadeunaclararelaciónentrelosobjetivos
delproyectoyeláreafocaldebiodiversidaddel
FMAM.
Documentosdelproyecto.
Estrategiasydocumentosdelárea
focalbiodiversidaddelFMAM.
Análisisdedocumentos.
SitioWebdelFMAM
EntrevistasconpersonaldelPNUDy
delproyecto.
¿Esrelevanteelproyectoparael
ambienteylosobjetivosdedesarrollo
sostenibledeGuatemala?
¿Elproyectohatomadoenconsideración
lasrealidades(culturales,socio-
económicosetc.)delazonade
intervencióntantoensudiseñocomo
implementación?
¿Cómoelproyectoapoyalasprioridades
ambientalesydedesarrolloanivel
nacional?
¿Cuálhasidoelniveldeparticipaciónde
losinteresadoseneldiseñodelproyecto?
¿Elproyectotomaenconsideraciónlas
realidadesnacionales(marcodepolíticase
institucional)tantoensudiseñocomoen
suimplementación?
¿Cuálhasidoelniveldeparticipaciónde
losinteresadosenlaimplementacióndel
proyecto?
Existenciadeunaclararelaciónentrelosobjetivos
delproyectoyelobjetivodemanejosostenible
delmedioambientedelaPolíticayEstrategia
NacionaldeDesarrollo.
Apreciacióndeinteresadosclaveconrespectoal
niveldeadecuacióndeldiseñoeimplementación
delproyectoalasrealidadesnacionalesy
capacidadesexistentes.
Coherenciaentrelasnecesidadesexpresadaspor
losinteresadosnacionalesyelcriterioPNUD-GEF.
Niveldeinvolucramientodefuncionarios
gubernamentalesyotrossociosenelprocesode
diseñodelproyecto.
PolíticaNacionaldeDesarrollo
(SEGEPLAN,K´atun2023)
PolíticaNacionalparaelDesarrollo
TurísticoSostenibledeGuatemala
2012-2022.
Documentosdelproyecto.
Socioseinteresadosclavedel
proyecto.
Análisisdedocumentos.
EntrevistasconpersonaldelPNUDy
delproyecto.
Entrevistasconinteresadosclave.
¿El proyecto es internamente coherente
ensudiseño?
¿Existenvínculoslógicosentreresultados
esperadosdelproyectoyeldiseñodel
proyecto(entérminoscomponentesdel
proyecto,eleccióndesocios,estructura,
mecanismosdeimplementación,alcance,
presupuesto,usoderecursos,etc.)?
¿Esladuracióndelproyectosuficientepara
alcanzarlosresultadospropuestos?
¿Lasáreasdeintervencióndelproyecto
presentanlascaracterísticasnecesarias
paraalcanzarlosresultadospropuestos?
Niveldecoherenciaentrelosresultados
esperadosyeldiseñodelalógicainternadel
proyecto.
Niveldecoherenciaentreeldiseñodelproyectoy
suenfoquedeimplementación.
Niveldecoherenciaentrelasáreasdeintervención
ylosresultadosesperados.
Documentosdelproyecto.
Socioseinteresadosclavedel
proyecto.
Análisisdedocumentos.
EntrevistasconpersonaldelPNUDy
delproyecto.
Entrevistasconinteresadosclave.
¿El Proyecto proporciona lecciones y
experiencias relevantes para otros
proyectossimilaresenelfuturo?
¿Laexperienciadelproyectohabrindadola
posibilidaddeobtenerleccionesrelevantes
paraotrosproyectosfuturosdestinadosa
objetivossimilares?
Datosrecolectadosentodala
evaluación
Análisisdedatos
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56
Efectividad:¿Enquémedidasehanlogradolosresultadosyobjetivosprevistosdelproyecto?
¿Hasidoelproyectoefectivoenalcanzar
losresultadosesperados?
¿Sealcanzaronlosresultadosprevistos? Indicadoresenelmarcoderesultados
estratégicos/marcológicodelproyecto.
Documentosdelproyecto.
Reportesdeavancetrimestraly
anual.
Análisisdedocumentos.
Entrevistasconinteresadosclave.
Entrevistasconelequipodel
proyecto.
¿Cómosemanejaronlosriesgosy
supuestosdelproyecto?
¿Enquémedidasegestionaron
adecuadamentelosriesgos?
¿Cuálhasidolacalidaddelasestrategias
demitigacióndesarrolladas?
¿Existenestrategiasclarasparala
mitigacióndelriesgorelacionadasconla
sostenibilidadalargoplazodelproyecto?
Integridaddelaidentificaciónderiesgosy
supuestosdurantelaplaneaciónyeldiseñodel
proyecto.
Calidaddelossistemasdeinformación
establecidosparaidentificarriesgosemergentesy
otrascuestiones.
Calidaddelasestrategiasdemitigacióndelriesgo
quesedesarrollaron
Documentosdelproyecto.
Reportesdeavancetrimestraly
anual.
Equipodelproyecto,PNUDe
interesadosclave.
Análisisdedocumentos.
Entrevistas.
Eficiencia:¿Elproyectoseimplementódemaneraeficienteenconformidadconlasnormasylosestándaresinternacionalesynacionales?
¿Elproyectoestuvorespaldadode
manerasuficiente?
¿Seutilizóonecesitóelmanejoadaptativo
paraasegurarunusoeficientedelos
recursos?
¿Hansidoutilizadoscomoherramientasde
gestióndurantelaimplementacióndel
proyectoelmarcológico,losplanesde
trabajoocualquiercambiorealizadoa
estos?
¿Hansidolossistemasfinancierosy
contablesadecuadosparalagestióndel
proyectoyparaproducirinformación
financieraprecisayatiempo?
¿Hansidolosreportesdeprogresos
adecuados?¿Respondenalos
requerimientosdereporte?
¿Hasidolaejecucióndelproyectotan
efectivacomofuepropuestaoriginalmente
(planeadovs.real)?
¿Elcofinanciamientohasidosegúnlo
planeado?
¿Losrecursosfinancieroshansidousados
eficientemente?
¿Cómohasidousadoelenfoquedegestión
basadaenresultadosdurantela
implementacióndelproyecto?
Disponibilidadycalidaddelosreportesfinancieros
ydeprogreso.
Puntualidadyadecuacióndelosreportes
entregados.
Cofinanciamientoplaneadovsreal.
Cuánadecuadashansidolasopciones
seleccionadasporelproyectoenfuncióndel
contexto,lainfraestructurayelcosto.
Costoasociadoalmecanismodedeliveryy
estructuradegestión,encomparaciónconotras
alternativas.
Documentosdelproyecto.
Equipodelproyecto.
PNUD.
Análisisdedocumentos.
Entrevistasclaves.
PromotingecotourismtostrengthenthefinancialsustainabilityoftheGuatemalanProtectedAreaSystem
57
Sostenibilidad:¿Enquémedidahayriesgosfinancieros,institucionales,socioeconómicosoambientalesparasostenerlosresultadosdelproyectoalargoplazo?
¿Lascuestionesdesostenibilidadse
encuentranadecuadamenteintegradasen
eldiseñodelproyecto?
¿Hansidointegradasestrategiasde
sostenibilidadeneldiseñodelproyecto?
Evidencia/calidaddelaestrategiade
sostenibilidad.
Documentosdelproyecto.
Análisisdedocumentos.
¿Hansidointegradasestrategiasde
sostenibilidadenlaimplementacióndel
proyecto?
Evidencia/calidaddelasaccionesllevadasacabo
paraasegurarlasostenibilidad.
Evidenciadecompromisodesocios
internacionales,gobiernosyotrosinteresados
paraapoyarfinancieramentesectores/actividades
relevantesluegodelafinalizacióndelproyecto.
Equipodelproyecto,PNUDe
interesadosclave.
Análisisdedocumentos.
Entrevistas.
Sostenibilidadfinanciera ¿Hansidointegradasestrategiasde
sostenibilidadfinanciera?
¿Sonsosteniblesloscostosrecurrentes
luegodelafinalizacióndelproyecto?
Nivelyfuentederespaldofinancierofuturoque
debeproporcionarseaactividadesysectores
relevantesluegodelafinalizacióndelproyecto.
Compromisosdesociosinternacionales,gobierno
uotrosinteresadosenrespaldarfinancieramente.
Documentosderespaldode
acuerdos.
Socioseinteresadosclavedel
proyecto.
Entrevistas
Sostenibilidadinstitucionaly
gubernamental
¿Existeevidenciadequelossociosy
beneficiariosdelproyectodarán
continuidadalasactividadesmásalládela
finalizacióndelproyecto?
¿Cuáleselgradodecompromisopolítico
paracontinuartrabajandosobrelos
resultadosdelproyecto?
¿Esadecuadalacapacidadexistenteanivel
nacionalylocalparagarantizarla
sostenibilidaddelosresultados
alcanzados?
Gradoenquelasactividadesdelproyectoylos
resultadoshansidoasumidosporlascontrapartes
ybeneficiarios.
Equipo del proyecto, PNUD e
interesadosclave.
Análisisdedocumentos.
Entrevistas
Sostenibilidadambiental ¿Existenriesgosparalosbeneficios
ambientalesquefueronocasionadosque
seesperaqueocurran?
¿Existenamenazasambientalesqueel
proyectonohayaabordado?
Pruebasdelasposiblesamenazas.
Evaluacióndelasamenazas
Documentos y evaluaciones del
proyecto
Evaluacionesdeamenazas
Equipo del proyecto, PNUD e
interesadosclave.
Análisisdedocumentos
Entrevistas
Desafíosalasostenibilidaddelproyecto ¿Cuálessonlosprincipalesdesafíosque
puedendificultarlasostenibilidaddelos
esfuerzos?¿Sehanabordadodurantela
gestióndelproyecto?
¿Quépotencialesmedidaspodrían
contribuiralasostenibilidaddelos
esfuerzoslogradosporelproyecto?
Cambiosquepodríansignificardesafíosal
proyecto.
Equipo del proyecto, PNUD e
interesadosclave.
Análisisdedocumentos.
Entrevistas.
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58
Impacto:¿Hayindiciosdequeelproyectohayacontribuidoareducirlatensiónambientaloamejorarelestadoecológico,oquehayapermitidoavanzarhaciaesosresultados?
¿Seprevéqueelproyectoalcancesu
objetivodeconservarlabiodiversidadde
importanciaglobalenSistema
GuatemaltecodeÁreasProtegidas?
CambioenlasostenibilidadfinancieradelSistema
GuatemaltecodeÁreasProtegidas
EvidenciadeimplementacióndePlanesMaestroy
PlanesdeGestiónyManejodeVisitantes
Cambioenlascapacidadestécnicasdelpersonal
deCONAPysociosadministradores
Equipo del proyecto, PNUD e
interesadosclave.
TrackingTools
Análisisdedocumentos.
Entrevistas.
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5.3TERMINALEVALUATIONTERMSOFREFERENCE(SPANISH)
ContratoparaunContratistaIndividual
INTRODUCCIÓN
DeacuerdoconlaspolíticasylosprocedimientosdeSeguimientoyEvaluación(SyE)delPNUDydelFMAM,todoslos
proyectosdetamañomedianoyregularrespaldadosporelPNUDyfinanciadosporelFMAMdebensometerseauna
evaluación final. Estos términos de referencia (TdR) establecen las expectativas de la Evaluación Final (EF) del
proyectoPromoviendoelEcoturismoparaFortalecerlaSostenibilidadFinancieradelSistemaGuatemaltecodeÁreas
Protegidas–SIGAP-(PIMS:3374),ejecutadoporelConsejoNacionaldeÁreasProtegidas(CONAP)eimplementado
porelProgramadelasNacionesUnidasparaelDesarrollo-PNUD-condotaciónfinancieradelFondoparaelMedio
AmbienteMundial(FMAM).
CUADROSINÓPTICODELPROYECTO
TítulodeProyecto:Promoviendo el Ecoturismopara Fortalecer la Sostenibilidad Financiera del SistemaGuatemalteco de
ÁreasProtegidas
Identificacióndel
proyectodelFMAM: 3374
almomentodeaprobación(millonesdeUSD)
almomentodefinalización(millones
deUSD)Identificacióndel
proyectodelPNUD: 81367
Financiacióndel
FMAM: 1,295,455
“Pendiente de
determinar al cierre
deproyecto”
País:
Guatemala
IA8yEA
9poseen:
CONAP:1,050,000
“Pendiente de
determinar al cierre
deproyecto”
Región:
Centroamérica
Gobierno:
-
“Pendiente de
determinar al cierre
deproyecto”
Áreadeinterés:
Biodiversidad
Otro: TNC:45,000
Asociación Vivamos Mejor:
104,151.79
HelvetasGuatemala:240,000
FCG:338,000
USAID:144,700
RainforestAlliance:100,000
“Pendiente de
determinar al cierre
deproyecto”
Programaoperativo:
GEF-3
Cofinanciacióntotal:
2,021,851.79
“Pendiente de
determinar al cierre
deproyecto”
Organismode
Ejecución:
Consejo Nacional
de Áreas
Protegidas
Gastototaldel
proyecto: 3,317,306.79
Otrossocios
involucrados:
INGUAT
MICUDE
MINECO
Municipalidades
ONGs
Firmadeldocumentodelproyecto(fechadecomienzo
delproyecto):22/01/2013
Fechadecierre
(Operativo):
Propuesta:
31/01/2017
Real:
Pendiente de Cierre.
Fecha prevista:
31/10/2017
OBJETIVOYALCANCE
ElSistemaGuatemaltecodeÁreasProtegidas–SIGAP-,integradopormásde330áreas,ocupaalrededordel30%del
territoriodelpaís.EnlaregióndelAltiplanoOccidentaldeGuatemala,lasáreasprotegidasocupanaproximadamente
2,490km²,aproximadamenteel2%delterritorionacional.Estaregiónalbergagranvariedaddeespeciesendémicas
graciasasuvariaciónaltitudinalydiversidaddemicroclimas.ElSIGAPesclaveparalaconservacióndelabiodiversidad
enGuatemala,lacualesconsideradadeimportanciaglobal.Sinembargo,enlaactualidadelSIGAPcuentaconuna
importantebrechafinancieraquelimitasucapacidaddeadministrartanimportantepatrimonio.
8AgenciaImplementadora
9OrganismoNacionaldeEjecución
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60
Por otro lado, el turismo es una industria de creciente importancia, tanto a nivel mundial como nacional. La
OrganizaciónMundial del Turismo,organismode lasNacionesUnidasencargadode lapromocióndeun turismo
responsable, sostenibleyaccesiblepara todos,en su informe“PanoramaOMTdel turismo internacional.Edición
2016”estimóqueelturismosuponeel10%delProductoInteriorBrutoMundial,yque1decada11empleosestán
relacionadosconlaindustriaturística.Asuvez,prediceuncrecimientocontinuadodelturismo,yproyectaqueenel
2030sealcancenlos1,800millonesdellegadasdeturistasinternacionalesanivelmundial.
Guatemalacuentaconunaltopotencialturístico,ymuyespecialmentesusáreasprotegidas,sirviendodeejemplo
quetresdeloscuatroprincipalesdestinosturísticosdelpaíssonenlaactualidadáreasprotegidas.Enestecontexto,
el turismosuponeunaoportunidadparagenerar ingresosquepuedanserdestinadosa lareducciónde labrecha
financieradelSIGAPyendefinitivaalaconservacióndelabiodiversidad.
Elproyecto“PromoviendoelEcoturismoparaFortalecerlaSostenibilidadFinancieradelSistemaGuatemaltecode
ÁreasProtegidas”,comenzósu implementaciónenelaño2013con lametadecontribuira laconservaciónde la
biodiversidadde importanciaglobalexistenteenGuatemalaa travésde fortalecer lasostenibilidad financieradel
SistemaGuatemaltecodeÁreasProtegidas–SIGAP–medianteeldesarrollodenuevosmecanismosfinancierosenel
sectordelecoturismo.
Paralograrsumeta,elproyectocontemplalossiguientesresultadosyproductos:
Resultado1: Marco legal y político fortalecido para la implementación del ecoturismo como parte de una
estrategiaparapromoverlasostenibilidadfinancieradelSIGAP
Producto1.1:ReformadelaPolíticadeCo-administracióndeAPsysusinstrumentosdegestiónactualizadaProducto 1.2: Política sobre la Actividad Turística en Áreas Protegidas que rige la cooperacióninterinstitucional,laplanificación,lainversiónyelmanejoactualizadaProducto1.3:NormativodelCONAPparalarecolecciónyreinversióndelastarifasdeentradayconcesionesenAPsdiseñado.Producto1.4:EstándaresambientalesysistemadecertificaciónparaeldesarrollodelecoturismoregulanlasinversionesdelsectorprivadoenlasAPsyposibilitanlaconservacióndelabiodiversidad.
Resultado2: Unmarcoinstitucionalmejoradoparaelmanejodelecoturismoenlasáreasprotegidasincluyeun
programapilotodeimplementacióndeecoturismoenAltiplanoOccidentaldeGuatemala
Producto2.1:ProgramadeentrenamientoincrementalacapacidadtécnicadelosadministradoresdeAPs.
Producto2.2:Treinta(30)oficialesdelCONAPentrenadosenlaatencióndevisitantesyenelmonitoreode
losimpactosdelecoturismo
Producto2.3:Estrategiademonitoreodesarrolladaparaevaluarloslimitesaceptabledecambioenáreas
ecológicamentesensiblesenlospaisajespiloto
Producto2.4.PlanesMaestrosparaAPsincluyenelecoturismocomopartedesusestrategiasfinancieras.
Producto2.5:PlanesdenegociodefinidosparaAPsenlospaisajespilotopromueveneldesarrollodenuevas
rutasturísticasenáreasconpocosvisitantesperoconpotencialecoturístico.
Producto2.6:Experienciapilotoparalaaplicacióndeunsistemadetarifasdeentrada.
LaEFserealizarásegúnlaspautas,normasyprocedimientosestablecidosporelPNUDyelFMAM,segúnseestablece
enlaGuíadeEvaluacióndelPNUDparaProyectosFinanciadosporelFMAM.Losobjetivosdelaevaluaciónsonanalizarellogrodelosresultadosdelproyectoeidentificarleccionesaprendidas
quecontribuyanalasostenibilidaddelosbeneficiosdelproyectoyquecontribuyanamejorarlaprogramacióndel
PNUD.
ENFOQUEYMÉTODODEEVALUACIÓN
Sehadesarrolladoconeltiempounenfoqueyunmétodogeneral10pararealizarevaluacionesfinalesdeproyectos
respaldadosporelPNUDyfinanciadosporelFMAM.Seesperaqueelevaluadorenmarqueeltrabajodeevaluación
utilizandoloscriteriosderelevancia,efectividad,eficiencia,sostenibilidadeimpacto,segúnsedefineyexplicaenla
GuíapararealizarevaluacionesfinalesdelosproyectosrespaldadosporelPNUDyfinanciadosporelFMAM.Se
redactóunaseriedepreguntasquecubrencadaunodeloscriteriosincluidosenestosTdR(AnexoC).Seesperaque
10Paraobtenermásinformaciónsobrelosmétodosdeevaluación,consulteelManualdeplanificación,seguimientoyevaluación
delosresultadosdedesarrollo,Capítulo7,pág.163
PromotingecotourismtostrengthenthefinancialsustainabilityoftheGuatemalanProtectedAreaSystem
61
elevaluadormodifique,completeypresenteestamatrizcomopartedeuninformeinicialdelaevaluación,ylaincluya
comoanexoenelinformefinal.
Laevaluacióndebeproporcionarinformaciónbasadaenevidenciaqueseacreíble,confiableyútil.Seesperaqueel
evaluadorsigaunenfoqueparticipativoyconsultivoqueasegureparticipaciónestrechaconhomólogosdegobierno,
enparticularelCentrodeCoordinacióndelasOperacionesdelFMAM,laOficinaenelPaísdelPNUD,elequipodel
proyecto,elAsesorTécnicoRegionaldelFMAM/PNUDeinteresadosclave.Seesperaqueelevaluadorrealiceuna
misióndecampoenGuatemala,incluidoslossiguientessitiosdelproyecto:
• MunicipiodeSibinal,SanMarcos
• MunicipiodeSanPedroSacatepéquez,SanMarcos
• MunicipiodeSanMarcos,SanMarcos
• MunicipiodeTodosSantosCuchumatán,Huehuetenango
• MunicipiodeSantiagoAtitlán,Sololá
• MunicipiodeSantaLucíaUtatlán,Sololá
• MunicipiodeSanMartínSacatepéquez,Quetzaltenango
Lasentrevistassellevaránacaboconlassiguientesorganizacioneseindividuoscomomínimo:• DirectordelProyecto
• OficialdeProgramadeAmbienteyEnergíadelPNUD
• CoordinadordeProyecto
• AsesorTécnicoRegionaldelPNUD/FMAM
• FuncionariosdeCONAPanivelcentralyregional
• SociosclavedelProyecto:
a. RepresentantesdelInstitutoGuatemaltecodeTurismo-INGUAT-
b. Representantesdegobiernoslocales:MunicipalidadesdeSibinal,TodosSantosCuchumatán,SanMarcos,
SanPedroSacatepéquezySantiagoAtitlán.
c. Representantes de áreas protegidas administradas por asociaciones comunitarias: Asociación de
AgricultoresEcológicosde laLagunaChicabal–ASAECO-yAsociaciónAgropecuariayArtesanalparael
DesarrollolaGuadalupana.
d. SociosCo-financistas
Elevaluadorrevisarátodaslasfuentesdeinformaciónrelevantes,talescomoeldocumentodelproyecto,losinformes
delproyecto,incluidoselPIR11anualyotrosinformes,revisionesdepresupuestodelproyecto,examendemitadde
período,informesdeprogreso,herramientasdeseguimientodeláreadeinterésdelFMAM,archivosdelproyecto,
documentosnacionalesestratégicosy legales,ycualquierotromaterialqueelevaluadorconsidereútilparaesta
evaluaciónconbaseempírica.EnelAnexoBdelos"TdR"deestosTérminosdeReferenciaseincluyeunalistade
documentosqueelequipodelproyectoproporcionaráalevaluadorparaelexamen.
Se espera que el/la contratista elabore y presente en su oferta técnica, unametodología detallada sobre como
conducirálaevaluación.Estapropuestametodológicadebeincluirlosinstrumentosdeevaluaciónaserutilizados.
CRITERIOSYCALIFICACIONESDELAEVALUACIÓN
Sellevaráacabounaevaluacióndelrendimientodelproyecto,encomparaciónconlasexpectativasqueseestablecen
enelMarcológicodelproyectoyelMarcoderesultados(AnexoA),queproporcionaindicadoresderendimientoe
impactoparalaejecucióndelproyecto,juntoconlosmediosdeverificacióncorrespondientes.Laevaluacióncubrirá
loscriteriosde:relevancia,efectividad,eficiencia,sostenibilidadeimpacto.Lascalificacionesdebenproporcionarse
deacuerdoconlossiguientescriteriosderendimiento.Sedebeincluirlatablacompletaenelresumenejecutivode
evaluación.LasescalasdecalificaciónobligatoriasseincluyenenelAnexoDdelosTdR.
Calificacióndelaevaluación:
1.SeguimientoyEvaluación calificación Comentarios
DiseñodelSeguimientoyEvaluaciónaliniciodelproyecto
EjecucióndelplandeSeguimientoyEvaluación
CalidadgeneraldeSeguimientoyEvaluación
2.EjecucióndelosIAyEA: calificación Comentarios
CalidaddelaimplementacióndelPNUD
Calidaddeejecución:organismodeejecución
Calidadgeneraldeaplicaciónyejecución
3.Evaluacióndelosresultados calificación Comentarios
11ProjectImplementationReview
PromotingecotourismtostrengthenthefinancialsustainabilityoftheGuatemalanProtectedAreaSystem
62
Relevancia
Efectividad
Eficiencia
Calificacióngeneraldelosresultadosdelproyecto
4.Sostenibilidad calificación Comentarios
Recursosfinancieros:
Socio-políticos:
Marcoinstitucionalygobernanza:
Ambiental:
Probabilidadgeneraldesostenibilidad:
5.Impacto:Considerable(C),Mínimo(M),Insignificante
(I)
Mejoradelestadoambiental
Reduccióndelatensiónambiental
Progresohaciaelcambiodelatensiónyelestado
Resultadosgeneralesdelproyecto
FINANCIACIÓN/COFINANCIACIÓNDELPROYECTO
Laevaluaciónvalorarálosaspectosfinancierosclavedelproyecto,incluidoelalcancedecofinanciaciónplanificaday
realizada.Serequeriránlosdatosdeloscostosylafinanciacióndelproyecto,incluidoslosgastosanuales.Sedeberán
evaluar yexplicar lasdiferenciasentre losgastosplanificadosy reales. Debenconsiderarse los resultadosde las
auditoríasfinancierasrecientes,siestándisponibles.El/lacontratistarecibiránasistenciadelaOficinaenelPaís(OP)
ydelEquipodelProyectoparaobtenerdatosfinancierosafindecompletarlasiguientetabladecofinanciación,que
seincluiráenelinformefinaldeevaluación.
Cofinanciación
(tipo/fuente)
Financiaciónpropia
deCONAP
(USD)
Organismo
asociado1
(USD)
Organismo
asociado2
(USD)
Total
(USD)
Propuesto Real Propuesto Real Propuesto Real Propuesto Real %ejecutado
Subvenciones
Préstamos/
concesiones
Ayudaen
especie
Otrotipo
Totales
INTEGRACIÓN
Los proyectos respaldados por el PNUD y financiados por el FMAM son componentes clave en la programación
nacionaldelPNUD,asícomotambiénenlosprogramasregionalesymundiales.Laevaluaciónvaloraráelgradoen
queelproyectoseintegróconotrasprioridadesdelPNUD,entreelloslareduccióndelapobreza,mejorgobernanza,
laprevenciónyrecuperacióndedesastresnaturalesyelgénero.
IMPACTO
El/lacontratistavaloraránelgradoenqueelproyectoestálograndoimpactosoestáprogresandohaciaellogrode
impactos.Losresultadosclavealosquesedeberíallegarenlasevaluacionesincluyensielproyectodemostró:a)
mejorasverificablesenelestadoecológico,b)reduccionesverificablesenlatensióndelossistemasecológicos,y/o
c)unprogresodemostradohaciaellogrodeestosimpactos.12
CONCLUSIONES,RECOMENDACIONESYLECCIONES
Elinformedeevaluacióndebeincluiruncapítuloqueproporcioneunconjuntodeconclusiones,recomendacionesy
lecciones.
ARREGLOSDEIMPLEMENTACION
LaresponsabilidadprincipalparagestionarestaevaluaciónradicaenlaOPdelPNUDenGuatemala.LaOPdelPNUD
contrataráalevaluador(a)yapoyaraenlosarreglosdeviajedentrodelpaís(solicituddereunionesyconfirmación).
ElEquipodelProyectoseráresponsabledemantenerseencontactoconel/lacontratistaparaestablecerentrevistas
conlosinteresados,organizarvisitasdecampo,coordinarconelGobierno,etc.
12UnamedidaútilparamedirelimpactodelavancerealizadoeselmétododelManualparalaRevisióndeEfectosDirectosa
Impactos(RoTI,porsussiglaseninglés)elaboradoporlaOficinadeEvaluacióndelFMAM:ROTIHandbook2009
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63
PLAZODELAEVALUACIÓN
Laduracióntotaldelaevaluaciónseráde90díasdetrabajo,enuntiempode5meses,deacuerdoconelsiguiente
plan:
Actividad Díasdetrabajo
efectivo
Preparación 10díasReunionesconequipodeproyecto,personaldelaOPdePNUDyasesortécnicoregional 5días
Misióndeevaluación(visitasdecampo) 20días
Reunionesconpersonasclave 7días
Presentaciónderesultadosiniciales13 1día
Borradordelinformefinal 15días
RevisiónycomentariosdelaOPdePNUD 5días
RevisiónporCentrodeOperacionesdelGEFyotrosinteresados 5días
Informefinal 7días
Informefinaleninglés 15días
PRODUCTOSDELAEVALUACIÓN
Productosesperados:
No Resultadofinal Contenido Período Responsabilidades
1 Informeinicial Elevaluadorproporciona
aclaracionessobrelos
períodosymétodos
15díasdelafirmadelcontratoy
previoalamisiónalterreno
El/lacontratistaloenvíaalaOP
delPNUD
2 Borradordel
informefinal
Informecompleto,(por
plantillaanexoF)con
anexos
21díasdehaberfinalizadola
misiónalterreno
AserrevisadoporOP(Oficialde
ProgramayOficialde
Monitoreo),AsesorTécnico
Regional
3
Informefinal* Informerevisado 10díastrashaberrecibidolos
comentariosdelPNUDsobreel
borrador
AserrevisadoporOP(Oficialde
ProgramayOficialde
Monitoreo),AsesorTécnico
Regional
Informefinal
eninglés
Informetraducidoa
idiomainglés
14díastrashaberrecibido
aprobacióndelinformefinalpor
partedePNUD
AserrevisadoporOP(Oficialde
ProgramayOficialde
Monitoreo),AsesorTécnico
Regional
*Cuandosepresenteelinformefinaldeevaluación,tambiénserequierequeelevaluadorproporcioneun'itinerariodelaauditoría',dondesedetallecómosehanabordado(ono)todosloscomentariosrecibidosenelinformefinaldeevaluación.
PERFILDELCONTRATISTA
El/lacontratistadeberátenerexperienciapreviaenevaluacióndeproyectossimilares. Esunaventajacontarcon
experienciaenproyectosfinanciadosporelFMAM.El/lacontratistaseleccionadonodebenhaberparticipadoenla
preparaciónoejecucióndelproyectonidebentenerningúnconflictodeinteresesconlasactividadesrelacionadasal
proyecto.Disponibilidadparaviajarazonasrurales.
El/lacontratistadebereunirlassiguientescalificaciones:
a) Formaciónacadémicaü Títulouniversitarioencienciasambientales,ingenieríaencienciasambientalesounadisciplinarelacionada.
ü Estudiosdemaestríaengestióndeproyecto,evaluación,ocarreraafin.
b) ExperienciaGeneral:• 5añosdeexperienciaenevaluandoproyectos
• 5añosdeexperienciaendirigirsesionesdecapacitación,incluyendocapacidadesparafacilitar
talleres,reunionesycapacitaciones
• 5añosdeexperienciaengestióndeproyectosc) Experienciaespecifica:
• Dos experiencias comprobadas sobremanejo práctico y teórico de los enfoques de sostenibilidad
ambientalyturismoenáreasprotegidas.
13Alfinalizarlamisiónenterrenoel/lacontratistapresentaralosresultadosdelamisiónqueincluyenvaloracionesiniciales.
PromotingecotourismtostrengthenthefinancialsustainabilityoftheGuatemalanProtectedAreaSystem
64
• Dosexperienciascomprobadassobreelabordajeyconceptosdelagestiónbasadaenresultadosy
gestióndeconocimientos.
• Competenteenambosidiomas,españoleinglés.
• Completamentecompetenteenlaaplicacionesdelsiguientesoftware:Word,Excel,Powerpoint.
d) Competenciasyvalorescorporativos• Cualidadesdeliderazgoytrabajoenequipo
• Conocimientodeplanificaciónestratégica
• Conocimientoyhabilidadenelmanejodeprogramasdecómputo
• Excelentecomunicaciónyhabilidadpararedactardocumentoseinformes
• Habilidaddeanálisis,redacciónycomunicación.
• Habilidadpararedactarpublicaciones,reportesypresentaciones.
• Habilidadparamanejarytrabajarconequiposmultidisciplinariosymulticulturales.
• Fuertemotivaciónyhabilidadparatrabajarbajopresiónyconlímitesdetiempos.
• Experienciaendirigirsesionesdecapacitación, incluyendocapacidadesparafacilitartalleres,reuniones,
etc.
• Capacidaddetrabajardemaneraindependienteoconpocasupervisión.
• Familiarizaciónconelcontextogubernamental(deseable).
• Excelenteshabilidadeseneláreafinancieraydemanejodepresupuestos.
• Integridadyética
• Respetoporladiversidad
• Excelentesrelacioneshumanas
• Actituddeservicio
• Efectividadoperacional
ÉTICADELEVALUADOR
LosconsultoresdelaevaluaciónasumiránlosmásaltosniveleséticosydeberánfirmarunCódigodeconducta(Anexo
E)alaceptarlaasignación.LasevaluacionesdelPNUDserealizandeconformidadconlosprincipiosquesedescriben
enlas'Directriceséticasparaevaluaciones'delGrupodeEvaluacióndelasNacionesUnidas(UNEG).
MODALIDADESYESPECIFICACIONESDEPAGO
% Hito
10% TraslaaprobacióndelInformeInicial
40% Despuésdelapresentaciónyaprobacióndelprimerborradordelinformefinaldeevaluación.
50% Despuésdelapresentaciónyaprobación(OPdelPNUDyATRdelPNUD)delinformefinaldefinitivo
deevaluaciónenespañolyeninglés.
LafacturaseemitiráanombredeProgramadelasNacionesUnidasparaelDesarrollo,NIT312583-1,enQuetzales
[cuandoaplique,altipodecambiodelasNacionesUnidasalafechadefacturación].ElPNUDnoesagente
retenedordeimpuestos,porloqueelProveedordeberáprocederconformelalegislacióntributariaqueleaplique.
Ladescripcióndelafacturadeberáincluirlosiguiente:“PagocorrespondientealproductoNo.xxdexx,según
contratoxxx”.
“LospagosacontratistasnacionalesseharánefectivosenQuetzales,ycuandoaplique,seemitiráexencióndeIVA”.
LospagosacontratistasubicadosenunpaísdistintoaldelComprador,seefectuaránenDólaresdelosEstados
UnidosdeAméricayserealizarápormediodetransferenciabancaria,presentandolafacturacorrespondiente.El
costodelatransferenciaserádeducidodelpagoyaqueesresponsabilidaddelcontratistacubrirlo.
DOCUMENTACIÓNREQUERIDAPARALAPRESENTACIÓNDELAOFERTA
Los Contratistas Individuales interesados, deben presentar su propuesta en digital (física es opcional, en sobre
cerrado), foliada, con índice del contenido en el orden solicitado, y debe incluir los siguientes documentos para
demostrarsuscalificaciones:
1. CartadelOferentedirigidaaPNUDconfirmandointerésydisponibilidad(formatoadjunto).
Anexos:
PromotingecotourismtostrengthenthefinancialsustainabilityoftheGuatemalanProtectedAreaSystem
65
1.1. Curriculum Vitae o Formulario P11 firmado, que incluya fechas de inicio y fin, experiencias en
actividadessimilares,detalledelastareasyunmínimodetres(3)referenciasprofesionalesfácilmente
localizables.
1.2. Propuesta Financiera que indique el precio fijo total de la oferta –todo incluido–, expresado en
Quetzales o Dólares de los Estados Unidos de América (para extranjeros no domiciliados en
Guatemala) y sustentadoconundesglosede los costos según formatoadjunto,el cualpuede ser
modificadosegúnlosrubrosqueelContratistaconsiderepertinente.
1.3. TérminosdeReferenciafirmados.
2. PropuestaTécnica:
2.1. Cartaexplicandoporquéseconsideracomoelcandidatomásidóneoparadesarrollarlosservicios.
2.2. DocumentoquedescribasustantivamentelaMetodologíapormediodelacualenfocaráyconducirá
lasactividadesparacumplirconlosserviciosdeConsultoría.
2.3. Plandetrabajoqueincluyacronogramadetalladodelasactividadesmínimasespecificadasenestos
TdRyotrasqueelContratistaenbasea suexperiencia considereconvenientes; fechasenbasea
duracióndelosserviciosestipuladaparalaconsultoría,considerandoentregayrevisióndeproductos.
3. Documentosadicionales:
3.1FotocopiadeDocumentoPersonaldeIdentidad(DPI)oequivalente
3.3Fotocopia(s)decredencialesacadémicas:Constancia(s)deTítulosUniversitario(s)y/o Diplomaspor
cursosdeespecializaciónycursosuniversitariosaprobados.
3.5Fotocopiadeporlomenostres(3)cartasdereferenciaslaborales/contratos/finiquitosporactividades
similaresalasrequeridasenestostérminosdereferencia.
CRITERIOSPARALASELECCIÓNDELAMEJOROFERTA
La evaluación de las ofertas se hará por medio del método de puntuación combinada, en donde la evaluación
curricularylapropuestatécnicaseponderaránconunmáximode70%,combinándoseconlaofertafinanciera,que
seponderaráconunmáximode30%.
CriteriosPuntuación
Niveles Máxima
Formación
académica
Títulouniversitarioencienciasambientales,ingenieríaenciencias
ambientalesounadisciplinarelacionada.10
15Estudiosdemaestríaengestióndeproyecto,evaluación,ocarrera
afin5
Experiencia
General
5añosdeexperienciaenevaluandoproyectos 10
40
5 años de experiencia en dirigir sesiones de capacitación,
incluyendo capacidades para facilitar talleres, reuniones y
capacitaciones
10
5añosdeexperienciaengestióndeproyectos 10
Dosexperienciascomprobadassobremanejoprácticoyteóricode
los enfoques de sostenibilidad ambiental y turismo en áreas
protegidas.
5
Dosexperienciascomprobadassobreelabordajeyconceptosdela
gestiónbasadaenresultadosygestióndeconocimientos.5
Propuesta
Técnica
Metodológica
Plenamente armónica con Términos de Referencia y con sólido
nivel técnico. Presenta propuesta metodológica que demuestra
sólidoconocimientoycorrectaaplicacióndelatécnicaenelalcance
deresultados.
35
35
Armónica con los Términos de Referencia y técnicamente
aceptable. Presenta propuesta metodológica que demuestra
conocimientoyaplicacióndelatécnicademaneraaceptablepara
elalcancederesultados.
30
ArmónicaconlosTérminosdeReferencia,perotécnicamentedébil.
Débilpropuestametodológicaquedemuestradébilaplicacióndela
técnicaenelalcancederesultados.
20
No armónica con los Términos de Referencia. Propuesta
metodológicayaplicacióndelatécnicadébilyfueradecontextoen
cuantoalosTdR.
0
PromotingecotourismtostrengthenthefinancialsustainabilityoftheGuatemalanProtectedAreaSystem
66
Plandetrabajo
yCronograma
Incluye cronograma y plan de trabajo descriptivo ajustado a la
realidad del proyecto, considerando las actividades a realizar de
maneraintegradaycoherente.
10
10Incluyecronogramayplandetrabajocondescripcióndébildelas
actividades, no presenta las actividades de forma integrada y
coherente.
7
Soloincluyecronograma 1
Sub–Total Sub–TotalporEvaluaciónCurricularyPropuestaTécnica 100 70%
PropuestaFinanciera (Propuestamásbaja/PropuestaEvaluada)*30% 30%
TOTALPUNTUACIONDEOFERTA 100%
FIRMADELCONTRATISTAINDIVIDUAL
Laevaluacióndelasofertasseharápormediodelmétododepuntuacióncombinada,endonde
Declarodeconformidadquetodoslostérminosdereferenciasostenidoshansidocomprendidosperfectamente,queseránsostenidosycumplidosanteelContratante,encasodeseradjudicado/da.
NombredeOferente:___________________________________________________
Firma:______________________________Fecha:___________________________
PromotingecotourismtostrengthenthefinancialsustainabilityoftheGuatemalanProtectedAreaSystem
67
5.4QUESTIONNAIREUSEDANDSUMMARYOFRESULTS
Stakeholders Questions Indicators Sources Methodology
Relevance
UNDP,CONAP,INGUAT,ProtectedAreamanagers
Howcantheprojectorcontinuedactionschangetherealityintheregionofintervention?Generatingworkopportunitiesintourisminprotectedareasforlocalpeople.
Evidenceofchangesofperceptionandprojectactivitiesindevelopment Interviews;PIRs;METT
Closedinterviewsandrevisionofprojectdocuments
Effectiveness
UNDP,PMU,NGOs
Doestheprojectinvolvestakeholdersbyinformationexchangeandfeedback,andwastheirparticipationpromotedinthedesign,implementationandM&E?Yes,althoughstakeholderschangedalongimplementationforoperationalissuesandimportantopportunitiestoconsolidatealliancesandcooperation.
Stakeholdersdeclaretoparticipateinprojectdesignandtakerolesinimplementation
PRODOCcomparedwithPIRsandprojectreports;interviews
Closedinterviewsandrevisionofprojectdocuments
UNDP,PMU,NGOs
Didtheprojectconsultwithandmakeuseofabilities,experienceandknowledgefromcompetentgovernmentalinstitutions,NGOs,communitygroups,privatesectorenterprises,localgovernmentsandacademicinstitutionsinthedesign,implementationandevaluationofprojectactivitiesinordertogenerateeffectiveenvironmentalandsocialimpacts?Yes,especiallyfromCONAPfortheexperienceinmanagingprotectedareas,alsofromINGUAT,NGOs,communityassociationsandmunicipalities. Informationduringprojectdesign
PRODOC,UNDPCountryProgram,GEFStrategiesandObjectives
Revisionofprojectdocuments
UNDP,PMU,INGUAT,NGOs
Didstakeholderstakeownershipoftheproject?Yes,ahighlevelofownershipwasverified,includingcommitmentsforthecontinuityofactionsstartedthroughtheproject.
Stakeholdersknowtheprojectwell,participateinimplementationandhaveavisionofprojectsustainability
Interviews;listofstakeholdersfromPRODOCandPIRs
Closedinterviewsandrevisionofprojectdocuments
Efficiency
UNDP,CONAP,INGUAT,regionalauthoritiesandprotectedareamanagers,NGOs
Howeffectivewasprojectcoordination?Itwasexcellentanddemonstratedrelevantabilityinestablishingcooperationatalllevels.NoneofthepeopleinterviewedexpressedanythingbutpositiveremarksabouttheCoordinator.
Examplesofcoordinationandintegrationwithstakeholders
Interviewswithstakeholders;PIRs;QPRs
Comparisonofprogressinproductsinlogicalframework;reviewofscorecardsandanalyses
PromotingecotourismtostrengthenthefinancialsustainabilityoftheGuatemalanProtectedAreaSystem
68
Coordinator,CONAP,INGUAT,MinistryofEnvironmentandNR
HowdoyouseetheUNDPasImplementingAgency?Excellent,forthestructureinGuatemalaandexperience.
Evidenceofconflictandproblemsolvingduringprojectimplementation Interviewswithstakeholders
CollectionofevidenceininterviewsandPIRs
UNDP,INGUAT,regionalauthoritiesandprotectedareamanagers,NGOs
Didtheexecutingagencyadequatelyrespondtosignificantimplementationproblems(inyourcase)?Yes,buttherewerenoproblemsthatrequiredinterventionathigherlevels.
Evidenceofconflictandproblemsolvingduringprojectimplementation Interviewswithstakeholders
Collectionofevidenceininterviewsanddocuments:PIR,coordinatorreports,QPRs
UNDP,INGUAT,NGOs
Wastheexecutingagencyadequatelychosentoimplementtheproject,basedonprojectdesign?Yes,despitecurrentpersonnelandbudgetarylimitations.
Evidenceofconflictandproblemsolvingduringprojectimplementation
Documents:PRODOC,PIR,QPR,otherreports
Collectionofevidenceinreviseddocuments
UNDP,CONAP
Pleasetellmewhatyouthinkofthequalityanddifficultiesofriskmanagement.Riskswerewellassessedatthebeginningandcoherentlyfollowedupduringprojectimplementation.
Comparisonbetweeninitialriskassessmentandsituationsduringprojectimplementation Interviews
Sustainability
UNDP,CONAP,INGUAT,PMU,NGOs
Aretheresocialorpoliticalrisksthatthreatenthesustainabilityofprojectresults?Yes,especiallypoliticalinstability.
Evidenceofpoliticalorfinancialinstability
Interviews,projectdocuments,PIR,QPR,MTR
Closedinterviewsandrevisionofprojectdocuments
UNDP,CONAP,INGUAT,PMU,NGOs
Isthereenoughawarenessandownershipbystakeholders?Yes,includingexpressionsofchangeofvisionregardingtourismasafinancialmechanismandatthelocallevelpeopleexpressedsatisfactionwithcapacitybuildingprogramsandinimplementingmonitoringprotocols.
Evidenceofownershipandchangesofattitudeorinitiativeinpilotprotectedareas
Interviews,projectdocuments,PIR,QPR,MTR
Closedinterviews,revisionofprojectdocuments,visittoprotectedareasandreportsonchangesbyregionalauthoritiesandPAmanagers
UNDP,CONAP,INGUAT,PMU
Aretherefinancialaspectsthatmaythreatenthesustainabilityofproject results?Are theremechanisms inplace toensurefinancial and economic sustainability once GEF fundingceases?Several mechanisms are in place to ensure continuity,especially the inclusion of tourism in national policies andplans.
Evidenceofpoliticalorfinancialinstabilityorinsufficientprojectownershipbygovernment
Interviews,projectdocuments,PIR,QPR,MTR
Closedinterviews,revisionofprojectdocuments,visittoprotectedareasandreportsonchangesbyregionalauthoritiesandPAmanagers
UNDP,CONAP,INGUAT,PMU
Arethererisksfromthelegalandinstitutionalframeworksthatthreatenthesustainabilityofbenefitsfromtheproject?Sustainability is best ensured in legal documents due to theupdate and development of policies and regulations thatfacilitatethedevelopmentofecotourisminGuatemala.
Evidenceofpoliticalorfinancialinstabilityorinsufficientprojectownershipbygovernment
Interviews,projectdocuments,PIR,QPR,MTR
Closedinterviews,revisionofprojectdocuments,visittoprotectedareasandreportsonchangesbyregionalauthoritiesandPAmanagers
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UNDP,CONAP,protectedareamanagers,regionalauthorities,NGOs
Howwillactionsstartedduringtheprojectbecontinued?Whatrisksarethere?Why?Theactivitiesinitiatedwillbecontinuedduetoformalcommitmentsandtotheirrelevance,althoughtheriskofchangeofpersonnelandlossofpeoplewhowerecapacitatedexistsateveryelection.Lackoffundsisanotherrealisticrisk.
EvidenceofincorporationofconceptsandactionsinpilotprotectedareasaninSIGAP
Interviews,projectdocuments,PIR,projectoutputs
Closedinterviews,revisionofprojectdocuments,visittoprotectedareasandreportsonchangesbyregionalauthoritiesandPAmanagers
Resultsandimpacts
ALL
Whatarethemainoutcomesoftheproject?Achievementofthegeneralobjectiveofestablishingecotourismasafinancialmechanismfortheconservationofprotectedareas;approvalofpoliciesandregulations;increasedtechnicalandinstitutionalcapacity;developmentofplansforpilotprotectedareas;reductionofSIGAPfinancialgapintheWesternHighlands;theImpulsaProgramandprocessofcertificationofnaturalareas;thealliancewithINGUAT;theinvolvementoftheprivatesector.
Evidenceofpositivechangesofvision,attitude,andlogicalframeworkresults Interviews,logicalframework
Comparisonofindicationsfrominterviewsandexpectedprojectresults,andlessonslearned
ALL
Whatarethemainlimitationsoftheproject?Nothavingfundstosupporttheconstructionofbasicinfrastructureinpilotprotectedareas;lackoffollow-upofco-financingcommitments;logicalframeworkindicatorswithproblems;policiesandregulationsarelimitedtoprotectedareasunderdirectmanagementbyCONAP;difficultytograntsmallconcessions.
Difficultiesfoundandhowtheyaffecttheresultsandthesustainabilityoftheproject Interviews,logicalframework
Comparisonofindicationsfrominterviewsandexpectedprojectresults,andlessonslearned
Monitoring&Evaluation
UNDP,PMU,CONAP
TheM&Eplanwasadequatelybudgetedandfinancedduringprojectimplementation?Yes,thefundswerewellplannedandwellapplied.
EvidencethattheM&Eplanwaswellobservedandhadadequateresponses
Interviews;scopeofco-financing;adaptivemanagement
EvaluationofanswersandchangestofindingsinMTR
UNDP,PMU,CONAP
Weremanagementresponseoradaptivemanagementactionscarriedoutbyrecommendationofprojectreports(PIRs)andtheMTR?Yes,recommendationswereimplemented. Indicationsofneedforadaptation
Interviews;managementresponsesandchangesrecommendedbyMTR
Evaluationofdocumentsthatregisterchanges(PIR,managementresponsetoMTR)
UNDP,PMU,CONAP
WasthelevelofevaluationinthePIRsconsistentwiththefindingsintheMTR?Ifnot,why?Yes,thePIRreflectrealityandthereportsaretransparent. Coherenceofevaluations PIR,MTR
ComparisonofPIRswithMTRfindings
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UNDP,PMU,CONAP
HoweffectivewastheSteeringCommitteeinfollowingprojectadvancesandsupportingtheproject?TheSCsupportedimplementationandapprovedallextraordinarychangesrequestedbythePMU,suchasadjustmentsinlogicalframeworkindicators.
EvidenceofparticipationandactionbytheSteeringCommittee
Interviews;projectdocuments
CollectionofevidenceofactionbySteeringCommittee
Countryownership
UNDP,PMU,CONAP,INGUAT,NGOs
Did the government publish laws or develop policies andregulationsalignedwithprojectobjectives?Yes,thesewerethemaingoalsoftheprojectandallpolicies,regulationsandtechnicaldocumentswereapproved. Listoflaws,policiesandregulations
createdorupdatedProjectoutputs;logicalframework
Comparisonofobjectivesandexpectedresultswithproductsandtheirapplication,verifiedinpilotprotectedareasandininterviews
UNDP,PMU,CONAP,INGUAT,NGOs
Whatchangesdidtheprojectproduceinthecountrylegalstructurethatcanensurethatecotourismwillbemoredevelopedinnewareasinthefuture?Themorerelevantchangesarethereinstatementofrevenuesfromvisitorentryfees,thepossibilitiesofsharedmanagementandtheinclusionofareasofrelevanceforbiodiversitythatarenotprotectedareasformanagementbythirdparties.
Listoflaws,policiesandregulationscreatedorupdated;capacitybuilding
Projectoutputs;logicalframework
Comparisonofobjectivesandexpectedresultswithproductsandtheirapplication,verifiedinpilotprotectedareasandininterviews
Projectfinance
UNDP,PMU,CONAP,NGOsandotherco-financists
Weretheresignificantdifferencesbetweenexpectedco-financingandtheamountcontributedand,ifso,why?Co-financingcontributionsmorethandoubledtheexpectedamountespeciallyduetotheallianceestablishedwithINGUATandinvestmentsintheImpulsaProgrammadebytheMinistryofEconomy.
Expectedandactualco-financingdata
Projectco-financingtable;interviewstoverifydiscrepancies
Comparisonbetweenexpectedandobtained;co-financingtableatendofproject
UNDP,PMU,CONAP
WereprojectcomponentsexternallyfinancedadequatelyintegratedwithcomponentsfinancedbyGEF?Notreally,mainlyduetothedelaybetweenprojectdesignandstartup,whichmadeco-financingorganizationsuseupthefundscommittedbeforeimplementationbegan.Furthercontributionswereconsidered,butwerenotdirectlyrelatedtoprojectactivities,althoughcontributingtothehighergoalofbiodiversityconservation.ThissituationwascompensatedalongprojectimplementationbythealliancewithINGUAT.
Externalfinancingisconvergentwithprojectoutputs Interviews;QPR,PIR
Evaluationoffinancialsourcesthatledtoproductsandresults
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UNDP,PMU,CONAP
Were there other financial contributions obtained duringprojectimplementation(FONACON,NGOs,others)?Yes,especiallybyINGUATandtheMinistryofEconomyasseedcapitalfortheImpulsaProgram.
Additionalco-financingobtainedduringprojectimplementation
Projectco-financingtable;detailsofadditionalfunds
Co-financingdocumentationbeyondamountplannedorexpected
Mainstreaming
UNDP,PMU,CONAPINGUAT,regionalauthoritiesandprotectedareamanagers,NGOs
Didtheprojectproducepositiveornegativeimpactsonlocalpopulationsandtheirlivelihoodstodate?Yes,butthesearenotyetsignificantimprovementsbecausethelegalchangesarerecentandtherehasnotbeenenoughtimeforimplementationofnewincomegeneratingopportunitiessuchasvisitorentryfees,sharedmanagementandmoreinvestmentformtheprivatesector.
Evidenceofchangesinvision,ecotourismconceptsandeffectivechangesinpilotprotectedareas
Interviews,visittopilotprotectedareas Documentationofchanges
UNDP,PMU,CONAP
Weregenderequalityissuestakenintoaccountduringprojectdesignandimplementation?Ifso,howandtowhatextent?No,becausetheseissueswerenotpartoftheGEF3-4directiveswhentheprojectwasdesigned.
Percentageofmenandwomeninvolvedandbenefittedbytheproject
Participantlistsinworkshops,inchargeofprojecttasksandinvolvedinprojectactivities
Verificationofpercentagesinreportsonworkshopsoractivities;visittopilotprotectedareas
UNDP,PMU,CONAPNGOs
Isthereevidenceofthatprojectresultscontributedtoincreasetheresilienceofnaturalareastonaturaldisastersintheregionofintervention?OnlyindirectlyfortheregistryoftwoprotectedareasinSIGAP.Nospecificactivitiesforthispurposewereincludedinthedesignoftheproject.
Evidenceofimplementationofbiologicalmonitoring,increasedprotectionandconnectivityofnaturalfragmentsandknowledgeofinterventionsites
Interviews,visittopilotprotectedareas,PAconnectivitymaps,monitoringdocuments
Recordsofimprovedconnectivityandprotectionofnaturalremnants,monitoringimplemented,peoplewithknowledge
Lessonslearnedandrecommendations
UNDP,PMU,CONAPINGUAT,regionalauthoritiesandprotectedareamanagers,NGOs
Whatarethelessonslearnedasaresultofthisproject?Betterunderstandtheneedsofstakeholdersandbeneficiariestoincludefundsthatcansupportthemandincreaseintegrationandownership.Institutionalcoordinationiskeyforsuccess.Itisimportanttoinvolveregionalstakeholdersfromthedesignphase.Involvementoftheprivatesectorincreasesthechanceofsustainabilityofactionsinitiatedthroughtheproject.Monitoringprotocolsmustbeadjustedtolocalcapacity.
Intervieweesknowtheprojectwellenoughtosuggestrelevantissues
Interviews;reportsonlessonslearned,MTR
Collectionoflessonslearnedwithmorerelevancetothosemostoftenrepeated
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UNDP,PMU,CONAPINGUAT,regionalauthoritiesandprotectedareamanagers,NGOs
Whatarethebestpractices?Consolidation of ecotourism in the agenda of CONAP,associationsandmunicipalities.Promotion of ecotourism with criteria of environmentalsustainability.Involvingtheprivatesectorinthedevelopmentofecotourismandtheconservationofprotectedareas.Participationofpersonnelfrom10CONAPRegionalOfficesincapacitybuildingworkshops.The commitment of CONAP to develop an online tool forcalculatingvisitorentryfeesbasedonoperationalcosts.Involvement of park rangers and regional technical staff inbiologicalmonitoring.Nottreatingtheprojectasthoughitwereaninstitution.
Intervieweesknowtheprojectwellenoughtosuggestrelevantissues
Interviews;reportsonlessonslearned,MTR
Collectionoflessonslearnedwithmorerelevancetothosemostoftenrepeated
UNDP,PMU,CONAPINGUAT,regionalauthoritiesandprotectedareamanagers,NGOs
Whatshouldbedifferentinfutureprojects?Ensurethatinadditiontoplanningtheoreticalactivitiesfundsare budgeted for practical implementation to consolidateresults.Leavearegistryofdocumentsanddatausedinprojectdesignandthedefinitionofindicatorsandotherreferences.
Intervieweesknowtheprojectwellenoughtosuggestrelevantissues Interviews
Recordofopinionsindicatingfutureneedsorrequirementsaswellaslimitationsoftheproject
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5.5LISTOFDOCUMENTSREVIEWED
Document Generalcontents
UNDAFGuatemala Guatemala:UnitedNationsDevelopmentAssistanceFramework
GEFPrioritystrategies ProgramdocumentwitheligibilitycriteriaforGEF4-5-6BiodiversityFocalArea
UNDPProgramDocumentforGuatemala
UNDPActionprogramforGuatemala2010-2014y2015-2019andCountryProgramActionPlans2010-2014and2015-2019
Initiationplan Projectstart-upplan
ProjectIdentificationForm(PIF) Projectsummary
ProjectDocument(PRODOC) PRODOCsignedbytheUNDPandtheGuatemalaGovernment
LogicalFramework Objectives,expectedresults,indicatorsandprogress
ProjectImplementationReports(PIR) Annualreport:2014–2017
AnnualOperationalPlan(AOP) Annualworkplans:2013–2017
QuarterlyProgressReports(QPR) Reports2013-2017
Auditingreports Financialaudits2014-2016
Mid-TermReviewReport Report
ManagementresponsesManagementresponsestoMTRRequestformodifyingindicatorsrespondingtotheMTRJustificationforprojectextension(MTRrecommendation)
UNDPRiskanalysis Projectprogressreportandprojectrisks2013-2017
Budgetrevisions ApprovedbytheGovernmentandUNDP
Co-financingrecords Co-financingresultsobtainedforprojectimplementation
GEFTrackingtools Evaluationofprogressininstitutionalcapacity,managementeffectivenessandfinancialcapacityoftheSIGAP
Nationalpolicies
PolíticaNacionalparaelDesarrolloTurísticoSostenibledeGuatemala2012-2022;PlanMaestrodeTurismoSostenibledeGuatemala2015-2025;PolíticaGeneraldeGobiernodeGuatemala2016-2020;PlanNacionaldeDesarrolloK’atun–nuestraGuatemala2032(SEGEPLAN);EstrategiadeEquidaddeGéneroconpertinenciaculturaldelConsejoNacionaldeÁreasProtegidas2017-2022
Coordinatorreports Annualrecordsofprojectimplementation
Media
Severalmaterials:inceptionworkshop,capacitybuildingseminarsandworkshops,coursefordesigningtourismprojects,biologicalmonitoring,visitstopilotareas,SelloQVerdeCertificationSystem,ImpulsaProgram,exchangeofexperiencesbetweenprotectedareamanagers,deliveryofmanagement,publicuseandbusinessplanstothesevenpilotprotectedareas,presentationofreviewedpolicies,celebrationoftheinternationaldayforbiologicaldiversity,launchoftheRMPQuetzalí(formerAstilleroIandII)andthePNRCorazóndelBosque,projectfolders
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Documentsandproductsresultingfromtheproject
� Policyonvisitationactivitiesinprotectedareas2015-2025PolicyonjointadministrationandsharedmanagementinprotectedareasandsupportingRegulations
� ManagementregulationsforvisitationactivitieswithinSIGAP� RegulationsontheconcessionofvisitorserviceswithinSIGAP� COTURAPRegulations� OfficialregistrydocumentsofthePAMRPMiradorReyTepepulandPNRParque
EcológicoCorazóndelBosqueinSIGAP� Newtouristdestinations(6),includingCONAPandINGUATwebsites� EnvironmentalstandardsoftheCertificationProgram� Studyonvisitorentryfeesforprotectedareasandnewbusinesses(since2013)and
touristservicesthatpromotetourismintheWesternHighlandsconductedfortheTerminalEvaluation
� Biologicalmonitoringagreementsandprotocols� Logicalframeworkandtrackingtoolsforinstitutionalcapacity,management
effectivenessandfinancialsustainabilityofSIGAP,includingthefinancialsustainabilityscorecardforSIGAPthatconsidered19protectedareasforindicator12ofthelogicalframework
� ReportandagreementCONAP–INGUATfortheImpulsaProgram� Manualforthemanagementandinvestmentofvisitorentryfeesontourist
visitationinprotectedareasmanagedbyCONAP� Toolfortheevaluationoftouristpotentialinprotectedareas� Toolfortheevaluation,preventionandmonitoringofimpactsinprotectedareas� GuideforthedevelopmentofpublicuseplanswithinSIGAP� Practicalguidefortheestablishmentofvisitorentryfeesinprotectedareas� Guideforthedevelopmentofbusinessplansforprotectedareas� Managementplansofthe7pilotprotectedareas� Publicuseplansofthe7pilotprotectedareas� Businessplansofthe7pilotprotectedareas� Diagnosticoflegalinstrumentsthatregulatethedevelopmentofecotourismin
protectedareas� Harmonizationstrategyforlegalinstrumentsthatregulatethedevelopmentof
ecotourisminprotectedareas� Proposalforchangestothelegalinstrumentsthatregulatethedevelopmentof
ecotourisminprotectedareas� Capacitybuildingmanualontourisminprotectedareasformanagersandtechnical
staff� Guideforfacilitatorsoncapacitybuildingontourismandprotectedareas� Fluxogramoftheprocessofrevisionofprojectproducts� Reportonthedesignandimplementationofamonitoringsystemforimpactson
biologicaldiversityfromtouristvisitation� ConsultancyreportontheUVR–UnifiedVisitorRegistry� Reportwithsummarytableoninstitutionalcapacity� Reportsoncapacitybuildingworkshops(several)� Reportonbiologicaldiversity,sustainabletourismandthreatstoconservationin
theWesternHighlandsofGuatemala� AgreementssignedbetweenPAmanagersandtouroperators� CONAPparkrangermanual� Bestpracticesmanualsinprotetedareas:ManagementofSustainableTourism,
Lodging,Foodservices,TourismOperatorsandGuides,andTransportation� Callforproposalsforthedesignofanonlinesystem/webapplicationforthe
calculationofvisitorentryfeesinprotectedareas(2017)� Summaryoflessonslearned(PowerpointpresentationbytheCoordinator)� Mapofprojectinterventionsites� Lettersofco-financingcommitmentsbyFUNDAECOandFCG� Co-financingtables2013-2015and2016-2017
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5.6TRAVELITINERARY
From21Augustto09September,2017
21/08 22/08 23/08 24/08 25/088:30hUNDPInitialmeeting–GuatemalaCity
8:00-12:00hOfficework
8:00hTraveltopilotprotectedareas
10:00hRMPQuetzalí(AstilleroIandII),SanPedroSacatepéquez
8:00hRMPCanjulá,Sibinal
11:30-17:00hMeetingwithprojectCoordinator
14:00hInterviewwithUNDPstaff
14:00hCONAPOficinasregionales
15:00hAuthoritiesSanPedroSacatepéquez
16:00hAuthoritiesSibinalmunicipality
26/08 27/08 28/08 29/08 30/0810:00hRMPLagunaChicabal,ASAECOAssociation
9:00hNPRCorazóndelBosque11hManagementCommittee
6:00hPRMTodosSantosCuchumatán11hAuthoritiesandtechnicalstaffTodosSantosC.
6:00hRMPMiradorReyTepepul11:30hAuthoritiesSantiagoAtitlán
8:00-12:00hOfficework–GuatemalaCity
Travel Travel Travel Viaje–ReturntoGuatemalaCity
14:00hExCONAPstaff,GuatemalaCity16:00hTouroperatorGo2Guate
31/08 01/09 02/09 03/09 04/09Officework 10:30hGEFFocal
Point–Vice-MinisterMERN
Officework Officework 10:00-13:15hCONAPCentral
Officework–meetingwithCoordinadorforclarifications
Officework Officework Officework Officework
05/09 06/09 07/09 08/09 09/099:00hClarificationswithCoordinator10-12hINGUAT
8:00hBeneficiariesofImpulsaProgram
Officework 08:30hUNDPPresentationinitialfindings
10:00hArrivalatFlorianopolis,Brazil
16:00-17:00hUNDPFlordeMaríaBolañosyNelyHerrera
Officework Officework 14:00hAirport16:00hDeparturefromGuatemala
---
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5.7LISTOFPERSONSINTERVIEWED
Names Organization PositionCONAPRegionalOffices,WesternHighlands23.08.2017
CristinaVásquez CONAP-AltiplanoOccidentalOffice SIGAPTechnicalStaffSamuelEstacuy CONAP-AltiplanoOccidentalOffice DirectorEnriqueMérida CONAP-AltiplanoNor-OccidentalOffice DirectorEliezerPeralta CONAP-AltiplanoCentralOffice Directora.i.GlendyCuztalChavajay CONAP-AltiplanoCentralOffice SIGAPTechnicalStaffAstilleroIyIISanPedroSacatepéquezRegionalMunicipalPark24.08.2017
KarinaPoxtorGonón SanPedroMunicipality CoordinadoradeÁreasProtegidas
ConsejoMunicipalSanPedroSacatepéquez-24.08.2017
MynorEmilioNavarro SanPedroMunicipality CouncilMemberIIIAroldoOrozco SanPedroMunicipality CouncilMemberI-EnvironmentCarlosBautista SanPedroMunicipality MayorSibinal–CanjuláRegionalMunicipalPark25.08.2017
ElfidoPérez SibinalMunicipalityCoordinatorforProtectedAreas,EnvironmentandTourism
IldebertoRoblero SibinalMunicipality CouncilMemberIIISibinalMunicipalCouncil25.08.2017
SilvestrePérezOrtiz SibinalMunicipalityCouncilMemberfortheEnvironment
AmilcarRoblero SibinalMunicipality MayorVolcánChicabalPermanentBanZone/ASAECO26.08.2017
JuanGarcíaGarcía ASAECO LegalRepresentativePNRCorazóndelBosque/laGuadalupanaAssociation27.08.2017
JuanAlfonsoGarcía LaGuadalupanaAssociation ManagementCommitteeJuanOmocht LaGuadalupanaAssociation ManagementCommitteePantaleónAndrésDeLeón LaGuadalupanaAssociation ManagementCommitteeJoséTimiteos LaGuadalupanaAssociation ManagementCommittee
AntonioCamiloTai LaGuadalupanaAssociation ManagementCommitteeManuelTrinidadAjú LaGuadalupanaAssociation ManagementCommitteeRafaSantosSaloj LaGuadalupanaAssociation ManagementCommitteeAndrésVasquez LaGuadalupanaAssociation ManagementCommitteeSelvyPérez Ut'zeAssociation TodosSantosCuchumatánRegionalMunicipalPark28.08.2017
EstebanMarías CONAP ParkRanger
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TodosSantosCuchumatánMunicipalCouncil28.08.2017
OliverHernández TodosSantosMunicipality MunicipalAdvisorFortunatoMendoza TodosSantosMunicipality CouncilMemberJuanOrtiz TodosSantosMunicipality EnvironmentCoordinatorDanielPabloBautista TodosSantosMunicipality CouncilMemberHilarioNmaríasCarrillo TodosSantosMunicipality CouncilMemberMiradorReyTepepulRegionalMunicipalPark29.08.2017DiegoArmandoPabloMendoza SantiagoAtitlánMunicipality ProtectedAreaCoordinatorPedroChiviliu CONAP ParkRanger
DanielReandaEsquivel SantiagoAtitlánMunicipalityEnvironmentandNaturalResourcesOffice
JoséArnaldoOrtíz SantiagoAtitlánMunicipality ParkRangerRolandoTolGozález IndependentBirdwatchingGuide SantiagoAtitlánMunicipalCouncil29.08.2017
LucíaAcertia SantiagoAtitlánMunicipality DiegoArmandoPabloMendoza SantiagoAtitlánMunicipality ProtectedAreaCoordinatorPedroChiviliu CONAP ParkRangerDiegoSosotYatas SantiagoAtitlánMunicipality CouncilMemberJonatanSay SantiagoAtitlánMunicipality DirectorPlanningOfficeRobertoMendoza SantiagoAtitlánMunicipality TechnicalstaffMarvinPetzey SantiagoAtitlánMunicipality CouncilMemberAngélicaMendoza SantiagoAtitlánMunicipality MunicipalSecretaryCONAPCentralOffice30.08.2017
MinorGarcía CONAP ExecutiveSub-Secretary
AndreaFernández CONAPDirectorInternationalCooperation
ElderFigueroa CONAP ExecutiveSecretaryAndreaDíaz CONAP FinancialDirectorCONAPextechnicalstaffandauthorities30.08.2017
DafneEdithDomínguez ExDirectorofDevelopmentforSIGAP
ManuelAlbertoHenry ExProjectandTechnicalDirectorManuelBenedictoLucas ExExecutiveSecretaryTouroperator30.08.2017
GustavoMorales Go2Guate Director
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GEFFocalPoint–MinistryofEnvironmentandNaturalResources01.08.2017
CarlosFernandoCoronado
MinistryofEnvironmentandNaturalResources
Vice-MinisterofNaturalResourcesandClimateChange
CentralCONAPTechnicalstaff04.08.2017
LucilaPérez CONAPSustainableTourismTechnicalstaff
LuisQuiyuch CONAP CooperationwithmunicipalitiesMelisaOjeda CONAP BiodiversityTechnicalstaffFernandoCastro CONAP DirectorSIGAPDevelopmentSamyPalacios CONAP SIGAPCoordinatorEulaliaCamposeco CONAP LegalDepartmentLeonelaMauricio CONAP LegalDepartment
AnaLuisadeLeón CONAPDirectorEducationforSustainableDevelopment
INGUAT05.08.2017
JorgeMarioSamayoa INGUATDirectorNaturalResourcesSection
EdithAnavisca INGUATInternationalCooperationandInvestmentPromotion
SandyTello INGUAT CertificationLabelsImpulsaProgrambeneficiaries06.08.2017
MarvinPop JardínlasConchas IndependentEntrepreneurOscarCampollo ONCA IndependentEntrepreneur
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5.8SUMMARYOFFIELDVISITS
23August,2017
CiudaddeGuatemala-SanPedroSacatepéquez
MeetingwiththeDirectorsofthethreeCONAPRegionalOfficesandtheirtechnicalstaff:SamuelEstacuyandCristinaVásquez,WesternHighlandsregion;EnriqueMérida,North-WesternHighlandsregion;EliezerPeraltaandGlendyChavajay,CentralHighlandsregion.
ThismeetingwasveryimportanttoprovidetheevaluatorwithanoverviewoftheregionsandtheresponsibilitiesandchallengesoftheCONAPRegionalOffices,aswellastocollecttheirimpressionsandexperienceintheproject.
24August,2017
Quetzalí(formerAstilleroIandII)RegionalMunicipalPark,SanPedroSacatepéquez
Morning:meetingwiththeParkManager,AgronomicalEngineerKarinaPaxtor,andwalkalongthevisitortrail.Illegalharvestingoftreeswasobservedduringthevisit.
Afternoon:meetingwith theMunicipal Council in San Pedro Sacatepéquez,with theMayor, theSecretaryofEnvironment,andthePresidentoftheCouncil.
25August,2017
SibinalRegionalMunicipalPark-Canjulá
Morning:walkalongthevisitor trailwiththeCoordinatorof theEnvironmentDepartment,ÉlfidoPérez,the2ndCouncilMemberGerardoGarcíaMiguelandtheparkrangerIldebertoRoblero.
Afternoon:meetingwiththeMayorandCouncilMemberfortheEnvironment.
26August2017
VolcánChicabalPermanentBanZone,SanMartínSacatepéquez
MeetingwiththeLegalRepresentativeofASAECO,JuanGarcíaGarcía,visittothevisitorreceptioninfrastructureandaccommodations.
Walktothevolcanocrateraccompaniedbythesonofoneoftheassociates,whoisgettinginvolvedinthemanagementofthearea;reviewofinfrastructure,trailsandritualareas.Muchgarbageisseenalongtrailsdespiteeffortsofawarenessbythemanagers.
27August,2017
PNRCorazóndelBosque,Quetzaltenango
WiththeManagementCommitteeoftheLaGuadalupanaAssociationwewalkedaroundthereserve,visitingtherestaurant,theswimmingpoolunderconstruction,theenergygenerationplant,thenewnurseryandthevisitortrailwithrestingandritualareas.Duringthewalkthememberssharedtheirvisionandexperienceof theproject, and their viewsofnature conservation.Once thewalkwasfinishedwewerejoinedbySelvynPérezAju,thesonofoneoftheassociates,arepresentativeoftheyoungergenerationwhoisgettinginvolvedinthemanagementofthearea.
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28August,2017
TodosSantosCuchumatánRegionalMunicipalPark,TodosSantosCuchumatán
The interviewwith theCONAPParkRanger,EstebanMatías,wasconducted in theRegionalParkduring a birdwatching exercise. Thiswasmeant tomix data collectionwith one of the practicalapplicationsdevelopedunderinfluenceoftheproject.
Laterintheday,ameetingwasheldwithrepresentativesoftheMunicipalCouncilinTodosSantosCuchumatán.TheMayor,whoisstilltosignoffontheparkmanagementandpublicuseplans,didnotattendthemeeting.
29August,2017
MiradorReyTepepulRegionalMunicipalPark,SantiagoAtitlán
Thevisitstartedwithahikealongthebirdwatchingtrailwithacertifiedbirdwatchingguide,theParkManager, two park rangers and a Park Ranger of the CONAP Regional Office. Interviews wereconductedalongthewaybutespeciallyonthewoodenplatformlookoutsbuiltalongthewayforvisitors.
Laterintheday,ameetingwasheldintownwiththeDirectorofPlanning,theParkManager,the1stCouncil Member, who represented the Mayor, a Park Ranger of the CONAP Regional Office, atechnical representative of the municipality and other three Council Members, as well as theSecretarywhoregisteredthemeeting.
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5.9NEWSPAPERARTICLEPUBLISHEDDURINGTHEMISSIONTOGUATEMALA
This newspaper articlewas foundby chanceon “Prensa Libre” during themission toGuatemalawithoutanyinfluenceofprojectmanagers.
It covers theplantingofnative trees inoneof thesevenpilotprotectedareasandopportunitiesofferedbytheImpulsaProgramtoprivateentrepreneursinecotourism.Itwasconsideredapositiveindicatorofprojectimpactsforhavingbeenpublishedwithoutdirectinfluenceoftheproject,astheCoordinatorwasnotawareofitbeforeIshowedittohim.
Date:September1st,2017.
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5.10SUMMARYTABLEOFMANAGEMENTEFFECTIVENESS(METT)ANALYSIS
No. CriterionRMPSibinal
CorazóndelBosque
RMPReyTepepul
RMPSanMarcos
RMPSanPedro
RMPTodosSantos
PBZChicabal
1 Legalstatus 3 3 3 3 3 3 32 Regulations 2 2 2 3 2 2 23 Lawenforcement 2 2 2 2 1 2 24 PAobjectives 2 3 2 3 3 3 25 PAdesign 2 3 3 3 2 3 26 Boundarydemarcation 2 3 2 2 2 2 27 Managementplan 2 3 2 3 2 2 27a 1 1 1 1 1 1 17b 1 1 1 1 1 1 17c 1 1 1 1 8 Regularworkplan 2 1 2 2 2 1 19 Resourceinventory 2 2 2 2 2 1 1
10 Protection 3 2 1 2 2 2 111 Research 1 2 2 1 1 112 Resourcemanagement 1 2 2 2 2 2 113 Staffnumbers 1 2 2 2 2 1 214 Stafftraining 3 2 2 2 2 2 215 Currentbudget 1 2 2 1 2 1 116 Securityofbudget 1 2 2 2 2 1 217 Managementofbudget 1 2 2 2 2 218 Equipment 2 2 1 2 2 1 2
19Maintenanceofequipment 1 2 2 3 2 2 2
20Educationandawareness 2 1 1 2 1 1
21Planningforlandandwateruse 2 2 2 2 2 2 1
21a 1 1 1 1 1 1 121b 1 1 1 1 1 121c 1 1 1 1 1 1
22Stateandcommercialneighbours 2 1 2 2 1 2 2
23Participationofindigenouspeoples 3 2 1 1 3 3
24Localcommunities+management 1 2 3 2 2 2
24a 1 1 1 1 1 124b 1 1 1 1 1 1 24c 1 1 1 1 1
25Economicbenefittolocalcomm. 2 1 2 2 1 2 2
26Monitoringandevaluation 2 1 2 1 2 2
27 Visitorfacilities 2 2 2 2 2 2 2
28Commercialtouroperators 1 2 2 1 2
29 Fees 2 3 2 1 1 230 Conditionofvalues 2 3 2 2 2 1 230a 1 1 1 1 1 30b 1 1 1 1 30c 1 1 1 1 1
Totalscore 63 75 64 75 59 57 60