Risk Management Project risks Description Type Impact, and risk Mitigation Measures Owner Unavailability of requisite human resources and data Organizational P=2 I=4 Medium The issue of the unavailability of requisite human resources will be mitigated by recruitment of international consultants who will work closely with in-country counterparts (MAEP) and by targeted capacity building activities. Training activities of local personnel will also be part of all aspects of the work and the relevant institutions will be encouraged to expand the staff base if it is weak in particular areas. Project manager Extreme climate events such as floods and droughts could disrupt project activities and/or damage ecosystems and infrastructure. Environmental P=3 I=3 Medium Coordination will be undertaken with partners for disaster response in order to ensure that disaster relief interventions are directed towards demonstration sites impacted by extreme climatic events. Appropriate species will be used for project interventions in order to minimize the potential impacts in the medium and long-term. Where damage occurs before ecosystem management adaptation approaches can reduce the impacts of extreme events, supplementary infrastructural approaches and planting will be undertaken. Project manager The insertion of climate change resilient species (flora) could put pressure on local ecosystems and biodiversity. Environmental (See Annex C for more information) P=2 I=3 Low Careful analysis of targeted location’s ecosystem as well as presence/absence of special status species will be undertaken prior to any insertion. If the resilient specie has potential invasive characteristics, best practices in managing the spread of said specie will be implemented, along with concomitant trainings and capacity-building of the culture’s governance body. Project Manager The preparation, construction and operation of some hydrological infrastructures aimed at increasing resiliency could have temporary detrimental Environmental and social (See Annex C for more information) P=3 I=2 Low Environmental and social studies conducted prior to any infrastructure work susceptible to have an impact will identify best mitigation measures. As a general rule, contractors will have to follow the general guidelines described in the Environmental and Social Management Plan (ESMP) and develop site-specific mitigation measures. This latter element will be part of the capacity-building effort targeted at contractors. Also, surveillance and monitoring will be Project Manager
effects on physical, biological or human environments. performed by villagers with the help of qualified authorities and/or specialists. Finally, with regards to risks posed by the presence of ponds on health and safety (drowning risks and vector-based diseases proliferation), the relevant authorities will be brought into play to raise awareness on those risks and include new infrastructures in their ongoing disease control measures. The increased resiliency (and therefore productivity) of hitherto poor land could generate some tensions regarding access to the new, richer land. Social (See Annex F for more information) P=3 I=3 Medium Specific activities to address this issue are included in the project (cf Output 2.2 and 2.3) Project Manager and local/regional authorities Limited capacity within Relevant human resources. Irrigation work could generate real or perceived usage conflicts between communities as well as put pressure on ecosystems Organizational Environmental and Social (See Annex F for more information) P=1 I=3 Low A major part of the project aims to strengthen institutional and technical capacity for planning, designing and implementing local level adaptation actions. Technical and capacity building expertise will be contracted to work with and train local technical staff. A dedicated Project Manager will be assisted with short term national and international specialist support to ensure smooth and timely delivery of project outputs. Environmental and Social studies will ensure that the design of any irrigation work does not infringe on other communities’ usage of the water resource. In the same spirit, environmental studies will ensure that reserved ecological debits are respected in cases where the water withdraw is non-marginal. All such infrastructures will include a broad group of stakeholders in their design and preparation as to minimize risks of conflict. All stakeholders will have access to the governance body responsible for the infrastructure as well as formal means to voice their concerns. Project manager and national authorities Project Manager and local/regional authorities Poor provincial responses to the leadership role from MAEP Limited capacity within Relevant qualified human capacity. Organizational Organizational P=2 I=4 Medium Provincial authorities have been individually consulted during preparatory phase, and have endorsed the LDCF project. The PSC will engage with relevant provincial authorities throughout the duration of the project. A major part of the project aims to strengthen institutional and technical capacity for planning, designing and implementing local level adaptation actions. Technical and capacity building expertise will be contracted to work with and train local technical staff. A dedicated Project Manager will be assisted with short term national and Project Manager and local authorities Project manager and national authorities
handicap) project Component 3: Livelihoods diversification Outcome 3: communities’ resilience is improved by more diversified income generating activities and enabling environment for better access to finance Indicator 7: Number of women engaged in subsistence agriculture trained / strengthened on alternative livelihoods to agriculture Sex specific data 720 women At least 1640 = 50% of women in target population) women engaged in subsistence agriculture trained/ strengthened on alternative livelihoods to agriculture 3281 women (=100% of women in target population) engaged in subsistence agriculture) trained / strengthened on alternative livelihoods to agriculture Women will be willing and able to engage in training Indicator 8: number of farmers with access to finance as a result of training and more diversified activities Data disaggregated by sex (and if possible age, wealth and handicap) 0 At least 40% of people trained through the project who requested a loan got it At least 75% of people trained through the project who requested a loan got it Micro finance institutes are sensitive to better finance literacy and willing and able to lend to the trained farmers
Standard UNDP monitoring and reporting requirements as outlined in the UNDP POPP UNDP Country Office None None Quarterly, annually Monitoring of indicators in project results framework Project Manager Per year: USD 4,000 Annually GEF Project Implementation Report (PIR) Project Manager and UNDP Country Office and UNDP-GEF team None None Annually NIM Audit as per UNDP audit policies UNDP Country Office Per year: USD 3,000 – 5,000 Annually or other frequency as per UNDP Audit policies Lessons learned and knowledge generation Project Manager Annually Monitoring of environmental and social risks, and corresponding management plans as relevant Project Manager UNDP CO None On-going Addressing environmental and social grievances Project Manager UNDP Country Office BPPS as needed None for time of project manager, and UNDP CO Project Board meetings Project Board UNDP Country Office Project Manager At minimum annually Supervision missions UNDP Country Office None Annually Oversight missions UNDP-GEF team None61 Troubleshooting as needed Knowledge management as outlined Project Manager 1% of GEF grant On-going GEF Secretariat learning missions/site visits UNDP Country Office and Project Manager and UNDP-GEF team None To be determined. Mid-term GEF Tracking Tool to be updated by (add name of national/regional institute if relevant) Project Manager USD 10,000 Before mid-term review mission takes place. Independent Mid-term Evaluation (MTE) and management response UNDP Country Office and Project team and UNDP-GEF team USD 20,000 - 30,000 Between 2nd and 3rd PIR. Terminal GEF Tracking Tool to be updated by (add name of national/regional institute if relevant) Project Manager USD 10,000 Before terminal evaluation mission takes place Independent Terminal Evaluation (TE) included in UNDP evaluation plan, and management response UNDP Country Office and Project team and UNDP-GEF team USD 30,000 - 60,000 At least three months before operational closure
Translation of MTE and TE reports into English UNDP Country Office USD 2,000 – 10,000 TOTAL indicative COST Excluding project team staff time, and UNDP staff and travel expenses USD150,000 Roles and responsibilities of the project’s governance mechanism: The project will be implemented following UNDP’s national implementation modality, according to the Standard Basic Assistance Agreement between UNDP and the Government of Benin, and the Country Programme. The Implementing Partner for this project is the CePED. The Implementing Partner is responsible and accountable for managing this project, including the monitoring and evaluation of project interventions, achieving project outcomes, and for the effective use of UNDP resources. The project organisation structure is as follows: The Project Board (also called Project Steering Committee) is responsible for making by consensus, management decisions when guidance is required by the Project Manager, including recommendation for UNDP/Implementing Partner approval of project plans and revisions. In order to ensure UNDP’s ultimate accountability, Project Board decisions should be made in accordance with standards that shall ensure management for development results, best value money, fairness, integrity, transparency and effective international competition. In case a consensus cannot be reached within the Board, final decision shall rest with the UNDP Programme Manager. The terms of reference for the Project Board are contained in Annex. The Project Manager will run the project on a day-to-day basis on behalf of the Implementing Partner within the constraints laid down by the Board. The Project Manager function will end when the final project terminal evaluation report, and other documentation required by the GEF and UNDP, has been completed and submitted to UNDP (including operational closure of the project).
Project objective: To support resilient agriculture, livelihoods and mainstream climate risk considerations into national and planning processes so that local communities are less vulnerable to climate change. Indicator 1: Vulnerability assessments show decrease in vulnerability in all 9 villages as per the methodology used in the preparation phase vulnerability assessment. Survey in local communities in each target villages During MTE and Final Evaluation Reported in DO tab of the GEF PIR Project Manager M&E report As all impact indicators, this indicator is precious to follow up on the general objective of the project but is also influenced by many variables outside of the project. The effects of the projects are strong and quick enough to be reflected in a decrease in vulnerability and other factors are not too important to impede attribution. All targeted villages participate actively and implementation goes well Indicator 2: Target population’s average annual income level Data disaggregated by sex Activity reports Annually Reported in DO tab of the GEF PIR Project Manager M&E report 902 USD (586,000 FCFA) Currently, the proportion of population expenditure is less than one dollar per day in the five municipalities concerned is: Avrankou: 50.4% - Bohicon: 53.0% - Bopa: 66.6% - Ouaké: 72.0 % And Savalou: 46.0%. As an impact indicator, attribution can prove challenging, Qualitative data will have to be collected in order to be able to attribute an increase totally or partially to the project.
income generating activities and enabling environment for better access to finance Indicator 8: number of farmers who have better access to finance as a result of training and more diversified activities Data disaggregated by sex (and if possible age, wealth and handicap) Survey in target villages, survey within MFIs Annually Reported in DO tab of the GEF PIR Project Manager M&E report Micro finance institutes are sensitive to better finance literacy and willing and able to lend to the trained farmers Mid-term GEF Tracking Tool (if FSP project only) N/A N/A Standard GEF Tracking Tool available at www.thegef.org Baseline GEF Tracking Tool included in Annex. After 2nd PIR submitted to GEF Completed GEF Tracking Tool Terminal GEF Tracking Tool N/A N/A Standard GEF Tracking Tool available at www.thegef.org Baseline GEF Tracking Tool included in Annex. After final PIR submitted to GEF Completed GEF Tracking Tool Mid-term Review (if FSP project only) N/A N/A To be outlined in MTE inception report Submitted to GEF same year as 3rd PIR Independent evaluator Completed MTE
Environmental and Social risks and management plans, as relevant. N/A N/A Updated SESP and management plans Annually Project Manager UNDP CO Updated SESP Evaluation Plan: Evaluation Title Planned start date Month/year Planned end date Month/year Included in the Country Office Evaluation Plan Budget for consultants Other budget (i.e. travel, site visits etc…) Budget for translation Independent Mid-term Review (MTE) and management response June 2018 September 2018 Yes USD 20,000 - 30,000 USD 2,000 – 5,000 Terminal Evaluation March 2022 May 2022 Yes USD 30,000 - 60,000 USD 2,000 – 10,000 Total evaluation budget USD 105,000 ANNEX C: UNDP Social and Environmental and Social Screening Project information Project information
receiving environment is also rich in biodiversity and / or if threatened or endangered species are listed. However, the relative risk is reduced to a low level when the receiving environment is either (a) able no more to accommodate other flora, ( b ) sufficiently isolated as to involve no risk of spreading, or ( c) the subject of constant attention concerning its maintenance. locality, (2) their establishment in similar ecosystem zones and (3) lessons learned and best practices in environmental management measures of concerned species; Assessing the institutional and local capacities to implement the relevant mitigation measures and provide capacity building measures if necessary. (ii) Impact avoidance, mitigation or management measures Before species’ insertion, determine in a participatory fashion the roles and responsibilities (governance) of the small scale cultures and/or plantation and its short, medium and long term characteristics. Known invasive species will not be utilized. Train officials on (1) appropriate management measures for the species inserted to maximize the utility of the species and to limit the impacts on biodiversity (as applicable) and (2) the monitoring of the plantation / cultivation Establish a simple framework for monitoring culture (eg annual photograph of the site to be provided to the local authorities, not inserted specie, etc.) Disturbance of land, crops and human environment related to the development, construction and operation of stormwater retention infrastructures Ref. in the control list: Item 1.1 Item 1.8 Item 3.6 Item 5.2 I = 2 P = 3 Moderate Stormwater retention infrastructures’ main objective is to reduce the negative impacts of climate change on the physical environment (soils), the biological environment (plants and crops) and the human environment (food safety) by decreasing damage caused by torrential rains. (i) Recommended social and environmental assessments: Realizing, in a participatory manner, a multi-criteria analysis (MCA) on the various options for the insertion of storm water retention works in villages, which will notably take into account the following factors for each site: o Reduction Potential in terms of risks associated with heavy rains (erosion, human health and safety); o Impact of the work (construction and operation) on
Item 7.2 Item 2.2 complex or high water volume) will be considered. Typically, the construction of irrigation structures (beyond a certain significant size) involves risks similar to those identified in previous section concerning storm water infrastructures. Assuming that some irrigation structures (small scale) will be supplied by the usual flow of streams near the villages, the operation may disturb these streams. Beyond the disturbance to the physical environment (water flow), an effect on the biological environment through ecological flows could happen if water withdrawal amounts are significant. Ultimately, these withdrawals could generate conflicts of use with villagers or local populations living downstream. If the construction work requires an important workforce, a number of workers coming from outside the village could be attracted, presenting a risk to social cohesion and health. Finally, some impacts of climate change could make the infrastructures vulnerable once in operation, highlighting for the structure (see the previous risk on suggested criteria); Establish the ecological flow to be preserved to ensure the survival of species dependent on the river or waterway targeted by the intervention; Proceed to the inventory of uses of rivers by communities downstream of implementation sites and assess the impact of the structure on these; (ii) Impact avoidance, mitigation or management measures During the preparation phase: Determine in a participatory manner whether compensation must be offered by the community to individuals / groups that could suffer from losses related to the construction and operation of the work without drawing profits from it and establish (if applicable) a compensation and grievances mechanism. Determine in a participatory manner the roles and responsibilities (governance) over the structure; Establish (if the structure has a significant impact on the river), a communication and governance mechanism with downstream communities (if possible within the framework of an integrated approach for managing water resources); Train officials on (1) the maintenance of the structure, (2) good health / safety -related practices concerning construction work, (3) Infrastructure monitoring. During the construction phase: Require from the contractor a site-specific environmental and social management plans which will minimize, in the case where machinery would be used: o The construction impacts on the physical environment (limit the impact of machinery on soils, waterways in terms of erosion, spills,
(reduction of hazardous floods and erosion downstream during heavy rains, for example). The attractiveness of lowlands for nomadic populations could exacerbate some conflicts of usage. Historical examples of such conflicts between settled communities and nomadic groups were brought up during field visits. Under the responsibility of the lowland Governance Committee, train beneficiaries in the most effective and sustainable agro-practices, thus ensuring continuity in terms of managerial, operational, environmental and social benefits; Involve a body with authority over all the groups likely to become stakeholders (permanent or occasional) to the lowland Governance Committee. Risk of reproducing gender-based discrimination regarding the participation of women in the conception, implementation and access to the opportunities and benefits. Ref. in control list: Item 2 I = 2 P = 3 Moderate Without proper impact avoidance, mitigation or management measures, improvements related to the resilience of subsistence means and socio-economic benefits could be unequally distributed and favor men at the expense of women. (i) Recommended social and environmental assessments : Assess the beneficiary community 's capacity to integrate women and other marginalized groups in decision making regarding community assets and propose appropriate integration (empowerement) measures; (ii) Impact avoidance, mitigation or management measures Include representatives of women's groups and other marginalized groups in the various governance committees of irrigation/stormwater retention/ lowlands and resilient cultures’ structures; Utilization of pesticides as a contributor to new resilient agricultural practices could have an environmental impact. Ref. in control list: Item 7.2 I = 2 P = 2 Moderate Without the adoption of an Integrated Pest Management approach, the use of pesticide could lead to abuses with potentially detrimental effects on the human and biological environments (i) Recommended social and environmental assessments : Assess the need for pesticides (if any) taking an Integrated Pest Management perspective, in close collaboration with sanitary and agricultural authorities;
detrimental, in hydrological terms, to other usages of the water resource. Proceed to the inventory of uses of rivers by communities downstream of implementation sites and assess the impact of the structure on these; contract social and hydrological Experts Irrigation works must be properly governed as to ensure they remain true to their initial (and agreed upon) parameters with regards to water withdrawal Determining in a participatory manner the roles and responsibilities (governance) regarding the infrastructure; Establish a simple framework for monitoring the infrastructure (i.e. annual photograph of the site to provide to the authorities, noting any undue modification, wear, etc.) Train officials on (1) the maintenance of the structure, (2) good health / safety practices concerning construction work, (3) Infrastructure monitoring. Prior to commencement of work Project Management Produce terms of reference of governance body with members; Training reports. Preparation and construction work could temporarily disrupt the flow of source of water, especially if machinery is used Require from the contractor a environmental and social management plan minimizing, in the case where machinery would be used: The construction impacts on the physical environment (limit the impact of machinery on soils and waterways in terms of erosion, spills, etc.); The construction impacts on the biological environment (limit risks of pollution with a tight maintenance of machinery, prohibit poaching, restrict the work during dry periods, etc.); The construction impacts on the human environment (through a health and safety plan or workers and for the populations) Prior to commencement of work Project Management Contractor ESMP is included in project register and referenced in this overall ESMP Designate, within the community, individuals to carry out monitoring work during construction Prior to commencement of work Project Management Contact information of individuals responsible for surveillance of work INDICATOR B: Environmental Integrity
Issue Required Studies and/or Management measure Timing Responsible Monitoring and reporting Construction of infrastructures could pose risks to the health and safety of populations and workers through various vectors, such as: Air pollution caused by machinery Heightened risks of transmission of sexually transmitted diseases (STDs) such as HIV/AIDS High temperatures causing heat strokes and dehydration for workers Require from the contractor a environmental and social management plans which will minimize, in the case where machinery would be used: The construction impacts on the physical environment (limit the impact of machinery on soils, waterways in terms of erosion, spills, etc.); The construction impacts on the biological environment (limit risks of pollution with a tight maintenance of machinery, prohibit poaching, restrict the work during dry periods, etc.); The construction impacts on the human environment (through a health and safety plan or workers and for populations) In the RFPs and TORs of Contractors Contractors and Project Management Site-specific ESMP produced by contractor Designate, within the community, individuals to carry out construction monitoring work After selection of contractors Local authorities and Project Management Report to Project Management with contact details of individuals Risks of drowning and mosquito proliferation during the operation of the infrastructures Include, in the multi-criteria analysis aiming to establish the precise location of retention or irrigation structures, the safety (is the place easily accessible by children, is it securable with natural or artificial barriers, what is the risk that the work contributes to the proliferation of vector-borne diseases?, etc.) Before final selection of site Local authorities and Project Management Completed MCA Secure, where children might want to venture, the structure site with natural or artificial barriers; Include anti bathing pictograms on posters near the location; Perform special sessions with women in meetings to inform and train the villagers in the management of the structure and; Confirm the presence of a control strategy for disease vectors (e.g. mosquitoes) in the targeted Municipality, and include appropriate authorities in the supervision and monitoring of the installation, so that Before completion of infrastructure Local authorities and Project Management. Sanitary authorities Pictures of installed pictograms Training Reports Reference to disease control policies and plans
minimise conflicts of usage Determining in a participatory manner the roles and responsibilities (governance) regarding the water retention and irrigation infrastructures; Design appropriate governance mechanisms to manage increased lowlands productivity, with a special consideration for its attractiveness to new users Determining in a participatory manner whether compensation must be offered by the community to individuals / groups that could suffer from losses related to the construction and operation of some communal infrastructures or cultures without drawing profits from it and establish (if applicable) a compensation and grievances mechanism. Preserve social cohesion by empowering women and ensuring equal access to project’s benefits Design appropriate governance mechanisms to manage increased lowlands productivity, with a special consideration for its attractiveness to new users Include representatives of women's groups and other marginalized groups in the various governance committees of irrigation/stormwater retention/ lowlands and resilient cultures’ structures; Before commencement of work Project management and local authorities Governance structures and means of communications between/within groups Preserve social cohesion between communities by clarifying the governance of the infrastructures and related natural resources, as well as minimise conflicts of usage Establish (if the structure has a significant impact on the river), a communication and governance mechanism with downstream communities (if possible within the framework of an integrated approach for managing water resources); Design appropriate governance mechanisms to manage increased lowlands productivity, with a special consideration for its attractiveness to new users Involve a body with authority over all the groups likely to become stakeholders (permanent or occasional) to the lowland Governance Committee with a view on arbitrating possible disputes Before commencement of work Project management and regional and/or National authorities Governance structures and means of communications between/within groups
Municipality de Bohicon Zakamè Flooding (invasion of runoff water of neighboring municipality) Lower agricultural production Destruction of habitats 100% of homes are exposed to destruction through water invasion 80% of exposed are sensitive to floods Realization of a water tank going from Ngnanzou to Zakamè. But because of insufficient resources mobilization, the water tank will stop at Zakamè, where the risk of collected water release is high Municipality of Bopa Sèhomi Drought Lower agricultural production 90% of producers are threatened 80% of producers are sensitive to the threat, this can affect the financial safety of family No explicit capacity, but short-cycle seeds are considered, and the support of the project/of the state is requested to get these. Land tenure problems are also a limit to the development of resilience to climate change strategies Strong winds Lower productivity of fishery resources from the Ahémé lake 80% 60% Reinforcing the capacities of fisher men and territorialize fry production in order to reduce fry exportation in Ghana, like it was the case during the NAPA-1 project Disease and epizooty leading to the death of wild animals 75% of producers are threatened 40% Of producers are sensitive to these diverse threats The breeding sector faces market problems: this is an impediment for production development and therefore for the resource access Rainfall irregularity Lower agricultural production 80 to 90% of farmers are exposed, because the rain is localised and doesn’t affect everyone in the same manner 25 à 30% are sensitive to these diverse threat and could experience food insecurity No explicit capacity in this field, but request state services and local medias support in order to get information on climate change and to protect themselves from
shocks which could happen. Agbodji Drought Lower productivity and lower fertility of agricultural soils 80% of villages members are exposed 60% No specific strategy, but wish to benefit from opportunities of early short-cycle variety. Strong winds Decrease or absence of catches, in the Couffo river, especially in the locality of Tohonou 60% of inhabitants are exposed and endure the scarcity of fishery resources. 30% are sensible to these threats and don’t have access to the economic opportunities provided by the river The use of small mesh size for fishing nets enable to some family to make it through, to the detriment of the poorest. The community estimates that the bamboo (reeds) cultivation on the river banks could be useful for increasing the resilience of spawning ground for fishes and to preserve the river from disasters. Irregularity and scarcity of rainfall Decrease of production and dryness and sudden deaths of growing plants during the maturation step in the fields. 80% of villages members are exposed 60% of member are sensible, notably young people and women Agriculture development on the river surroundings as a prevention method against famine.