SUSTAINABLE URBAN DEVELOPMENT

Time: 16:55-19:25 (Mondays)Class Location: Bldg WAVE Room 569, Washington Square

Professor Sulan ChenPhone: 646-781-4350Email: sc2519@nyu.edu; sulan.chen@undp.orgOffice Hours: by appointments

Introduction

The course will examine the principles and practices of sustainable development in the context of urban development. Cities are home to 54 percent of the world’s population, and by the middle of this century that figure will rise to 66 percent (UN Habitat, 2016). Cities provide many socioeconomic benefits. By concentrating people, investment and resources, cities, with economy of scales, improve the possibilities for economic development, innovation and social interaction. Cities also make it possible to lower unit costs to provide public services such as energy, water and sanitation, health care, education, emergence services and public recreational areas. However, with rapid urbanization, cities face environmental, economic and social challenges that pose threats to sustainability of urban prosperity.

This course contains three parts. First, the course explores overall theoretical frameworks and global institutions for sustainability and sustainable development, which provides foundational analysis for urban sustainability analysis. Second, thematic issues will be explored in urban environment, including water and sanitation, waste management, climate change and disaster management, and energy and transport issues, and urban biodiversity. Third, some good experiences and lessons learnt on managing cities will be reviewed.

Required Books and Readings:

Kent E. Portney. 2013. Taking Sustainable Cities Seriously: Economic Development, the Environment and Quality of Life in American Cities. Cambridge, MA: the MIT Press.

All other readings are included here: https://drive.google.com/drive/folders/0B2gQvo_Q3Cz7bmp0bHc2NnkxeU0

Assignments and Grading:

Issue review presentation and participation as a panel member (each student is asked to choose one topic and prepare a 15-20 minutes talk each) (30%)

Development of a project proposal (up to $150,000) to be implemented by a student organization to address selected urban sustainability challenges/issues. Please see Annex 1 for the project proposal template.

Assignment 1. Situation analysis/baseline analysis of a project site (due on 17 October) (15%) Assignment 2. Project Activities and Results Framework (18 November) (15%)

Assignment 3. Final project proposal and presentation of the proposal (last two weeks of classes) (30%)

Participation (10%)

Attendance

Attendance is mandatory at all lectures and seminars. More than 2 unexcused absences will result in automatic failure of the course. Please contact me in advance about personal emergencies or difficulties.

Part I. Theoretical Concepts and Frameworks for Sustainable Urban Development

Week 1. Introduction, overview of the course, requirements &

Urban Development: World Trends, Challenges and Opportunities

Students will be invited to introduce themselves and participate in ice-breaking activities. Students will prepare a 3-minutes self-introduction about their background, their experience, and their expectations of the course and other professional and personal information they would like to share with their class. An overview of the course will be provided and requirements for the class will be presented. The second half of the class will provide an overview on the world urbanization trends, challenges and opportunities.

Readings:

UN Habitat. 2016. World Cities Report 2016 (http://wcr.unhabitat.org/)

Kent E. Portney. 2013. Taking Sustainable Cities Seriously: Economic Development, the Environment and Quality of Life in American Cities. Chapter 1.

Week 2. Environmental Governance: Theories, Practices and Institutions

This session will review the key global environmental problems the world is facing, analyze the root causes of environmental degradation from the theories of “Public Good” and the logic of collective action, and offer some hands-on development experience in addressing this global challenge. The global environment can be conceptualized as the global public good which has suffered “the tragedy of commons”, and often the state and the market (privatization) are prescribed as solutions to address the challenges. The session will discuss Elinor Ostrom’s model of community self-governance, and present the case of the Global Environment Facility (GEF) Small Grants Programme (SGP), implemented by the United Nations Development Programme as a mechanism to “think globally and act locally” in implementing environmental protection and sustainable development work.

Topics for students’ presentations: Tragedy of commons Public good Logic of collective action

Readings:

United Nations Environment Programme. 2014. Global Environment Outlook (Fifth Report). (http://www.unep.org/geo/pdfs/geo5/GEO5_report_full_en.pdf)

Ostrom, E. 1990. Governing the Commons: The Evolution of Institutions for Collective Action (http://wtf.tw/ref/ostrom_1990.pdf). Cambridge University Press.

United Nations Development Programme. 2014. 20 Years: Community Action for the Global Environment (http://sgp.undp.org/index.php?option=com_content&view=article&id=272).

Hardin, G. 1968. “The Tragedy of the Commons.” Reprinted from Science vol. 162.

Week 3. Sustainability, Sustainable Development and Characteristics of Sustainable Cities

This sessions will examine the concepts of sustainability and sustainable development. Sustainable development encompasses environmental, economic and social aspects, and will need to strike a balance to achieve harmonious relationships between various aspects of development. The session will review key United Nations documents on sustainable development, and examine sustainable urban development within the sustainable development contexts.

Topics for student presentations:

Sustainable development UN Sustainable Development Goals Relationships between Environment and Development

Readings:

Kent E. Portney. 2013. Taking Sustainable Cities Seriously: Economic Development, the Environment and Quality of Life in American Cities. Chapters 2, 4 and 5.

United Nations Commission on Sustainable Development. 1987. Our Common Future (http://www.un-documents.net/our-common-future.pdf)

United Nations. 2012. The Future We Want http://www.un.org/disabilities/documents/rio20_outcome_document_complete.pdf

UN Sustainable Development Goals https://sustainabledevelopment.un.org/

Week 4. Measuring Sustainability (Guest Lecturer: Dr. Juha Uitto, Director, GEF Independent Evaluation Office)

This session explores the measurement and evaluation of sustainability and sustainable development. Indicators of sustainability will be considered and discussed. The principles of development evaluation and their application will be discussed. After the guest lecturer gives the overall presentation, students will be divided into groups for specific topic discussions for one hour, and each group will have a rapporteur to report to the class. Preliminary topics for student group discussions:

Why is it important to measure sustainability? What are good indicators of sustainability How to design a good evaluation framework?

Readings:

Juha Uitto. 2016. “The Environment-poverty Nexus in Evaluation: Implications for the Sustainable Development Goals.” Global Policy (2016).

V. W. Maclaren. 1996. “Urban Sustainability Reporting.” From Journal of the American Planning Association (page 168-178 from “The Sustainable Urban Development Reader.” Eds by Stephen M. Wheeler and Timothy Beatley, 2014)

United Nations Economic Commission for Europe. 2009. Measuring Sustainable Development (https://sustainabledevelopment.un.org/content/documents/801Measuring_sustainable_development.pdf)

Part II. Issues in Urban Development

Week 5. Climate Change and Disaster Management for Sustainable Cities: Making Our Cities Safer and Resilient (Guest Lecturer: Dr. Jianping Yan)

Discussion about global climate change and its impact on cities and urban areas. Topics explored will include climate change mitigation and adaptation to sea level rise, extreme weather events and changes in temperature.

Student presentation topics:

Climate mitigation Climate adaptation Urban resilience

Readings:

Archer, D et al. 2014. “Moving towards inclusive urban adaptation: approaches to integrating community-based adaption to climate change at city and national scale.” Climate and Development, Vol. 6, No. 4: 345-356.

David Satterthwaite. 2007. “Climate Change and Urbanization: Effects and Implications for Urban Governance.” (http://www.un.org/esa/population/meetings/EGM_PopDist/P16_Satterthwaite.pdf). United Nations.

H. Bulkeley, V. C Bronto, and G. Edwards. 2012. “Towards Low Carbon Urbanism” from Local Development (2012). (page 101-106 from “The Sustainable Urban Development Reader.” Eds by Stephen M. Wheeler and Timothy Beatley, 2014)

W. Solecki et al. 2013. “The Urbanization of Climate Change: Responding to a New Global Challenge.” (page 107-117 from “The Sustainable Urban Development Reader.” Eds by Stephen M. Wheeler and Timothy Beatley, 2014)

Week 6. Waste Management and Urban Development

According to the World Bank, it is common for municipalities to spend 20-50 percent of their available recurrent budget on solid waste management. Yet, it is also common that 30-60 percent of all the urban solid waste in developing countries is uncollected and less than 50 percent of the population is served. In some cases, as much as 80 percent of the collection and transport equipment is out of service, in need of repair or maintenance. In most developing countries, open dumping with open burning is the norm. This session explores the challenges of waste management in urban contexts, and considers policy and institutional recommendations to improve solid waste management.

Student presentation topics:

E-waste Plastics Domestic waste management

Readings:

PROPARCO. 2012. Waste: Challenges Facing Developing Countries (http://www.proparco.fr/webdav/site/proparco/shared/PORTAILS/Secteur_prive_developpement/PDF/SPD14/revue_SPD15_UK.pdf)

Mark Roseland. 2005. “Toward Sustainable Communities”. Chapter 6 “Waste Reduction and Recycling.” Page 74-86.

John Tillman Lyle. 1994. “Waste as a Resource”. (page 224-231 from “The Sustainable Urban Development Reader.” Eds by Stephen M. Wheeler and Timothy Beatley, 2014)

M. Wackernagel and W. Rees. 1996. “What is an Ecological Footprint?” from our Ecological Footprint (1996) (page 375-384 from “The Sustainable Urban Development Reader.” Eds by Stephen M. Wheeler and Timothy Beatley, 2014)

Week 7. Water and Sanitation in Urban Development

This session explores trends in water use, wastewater treatment and water scarcity. Access to clean water and sanitation, water pollution and public health in urban areas in different regions of the world.

Student presentation topics:

Water Sanitation Waste water treatment

Readings:

Postel, Sandra. “Water: Adapting to a New Normal.” Post Carbon Reader, pp. 77-94 Jefferies, C. and Duffy, A. “The Switch Transition Manual.” Section 1 only, skim 1 or 2 case studies (pdf) Wong, T. and Brown, R. “Integrated urban water planning” in: Resilient Sustainable Cities, pp. 132-138 (pdf)

Week 8. Energy and Urban Development

This session discusses past, current and projected trends in energy production and consumption. Alternative forms of energy production. Energy use, pollution and public health.

Student presentation topics:

Renewable energy Energy efficiency Energy access for the poor: sustainable energy for all

Readings:

Kent E. Portney. 2013. Chapter 3 (page 89-122).

L. Brown. 2011. “Harnessing Wind, Solar, and Geothermal Energy.” from World on the Edge (page 205-213 from “The Sustainable Urban Development Reader.” Eds by Stephen M. Wheeler and Timothy Beatley, 2014)

Herert Girardet. 1999. “The Metabolism of Cities.” From Creating Sustainable Cities (page 197-204 from “The Sustainable Urban Development Reader.” Eds by Stephen M. Wheeler and Timothy Beatley, 2014)

Week 9. Transport and Urban Development

Discussion of sustainable transportation systems and vehicles. Trends in transportation use and modes of transportation. Discussion of innovative case studies such as the bus rapid transit system of Curitiba, Brazil and the Cable Car of Medellín, Colombia. Air pollution and public health.

Student presentation topics:

Trends in transportation use/modes Sustainable transport alternatives Good practices

Readings:

R. Cervero. 1998. “Transit and the Metropolis: Finding Harmony.” (page 153-160 from “The Sustainable Urban Development Reader.” Eds by Stephen M. Wheeler and Timothy Beatley, 2014)

P. Newman and J. Kenworth. 1999. “Traffic Calming from Sustainability and Cities: Overcoming Automobile Dependence.” (page 161-167 from “The Sustainable Urban Development Reader.” Eds by Stephen M. Wheeler and Timothy Beatley, 2014)

J. Pucher and R. Buehler. 2008. “Cycling for Everyone: Lessons from Europe.” (page 168-178 from “The Sustainable Urban Development Reader.” Eds by Stephen M. Wheeler and Timothy Beatley, 2014)

Week 10. Land Use and Urban Green Space

This session discusses how urban areas are affecting biodiversity hotspots and how urban parks and green areas can contribute to biodiversity conservation while providing environmental services for people.

Student presentation topics:

Urban green space benefits Urban green space and public health Urban green space and environmental justice

Readings:

Wolch, J., Byrne J., and Newell J.P. 201“Urban green space, public health, and environmental justice: The challenge of making cities ‘just green enough.’” Landscape and Urban Planning: 234-244.

Shah Md. Atiqul Haq. 2011. “Urban Green Spaces and an Integrative Approach to Sustainable Environment.” Journal of Environmental Protection, 2011, 2, 601-608.

Part III. Good Urban Governance

Week 11. Good Practices and Lessons Learnt from Urban Development

This session will look into some good experiences and lessons learnt from cities around the world. It will attempt to discuss the enabling environment and determining factors in sustainable urban development, and understands governance pathways or models leading to sustainability.

Student presentation topics:

Good practices of sustainable cities and lessons learnt from different regions

Readings:

Kent E. Portney. 2013. Taking Sustainable Cities Seriously: Economic Development, the Environment and Quality of Life in American Cities. Chapters 6-12.

J. Rainovich and J. Leitmann. 1996. “Urban Planning in Curitiba” from Scientific American (1996). (page 411-421 from “The Sustainable Urban Development Reader.” Eds by Stephen M. Wheeler and Timothy Beatley, 2014)

T. Beatley. 2013. “Planning for Sustainability in European Cities: a Review of Practice in Leading Cities.” (page 422-431 from “The Sustainable Urban Development Reader.” Eds by Stephen M. Wheeler and Timothy Beatley, 2014)

Week 12. The Future Cities We Want

This session will continue the discussions on good practices and examples of sustainable cities and discusses future city sustainable city models.

Student presentation topics:

Good practices of sustainable cities and lessons learnt from different regions

Readings:

P. Newman, T. Beatley, and H. Boyer. 2009. Resilient Cities: Responding to Peak Oil and Climate Change. Chapters 3, 4, 5, 6

Week 13-14. Student Presentations

Annex 1

GEF SGP OP6 PROJECT PROPOSAL TEMPLATE1

1.

TABLE OF CONTENTS2

2. COVER PAGE

Country:………………………..……………..Submission date…………………………………….

Project No. ________________ (For SGP Official Use. Do not write anything here)

Project Title: _________________________________________________________________

(The title must capture the essence of project and aligns to GEF focal areas)

APPLICANT

Name of Organization: ___________________________________________________________________

Year established _________________ Number of members ______________________________________

Number of projects implemented___________________________________________________________

Mailing Address: __________________________Physical Address: _______________________________

Telephone: ________________________________________________________________

Fax: ___________________________ E-Mail: ______________________________

Principal Officer: ______________________________________________________ (Name and Position)

Project Contact/Manager: _______________________________________________ (Name and Position)

PROJECT

GEF SGP Classification

1 This generic project template can be customized if needed in accordance with the country needs and country programme strategy.2 Details are provided in the guidelines which include what should go into the contents page

SGP Strategic Initiatives Project Category (Tick one)

Communities Landscape/Seascape Conservation

Demonstration Project

Climate Smart Innovative Agro-Ecology Capacity Development Project

Low Carbon Energy Access Co-benefits Applied Research/Policy Analysis

Local to Global Chemical Management Coalitions

CSO-Government Policy and Planning Dialogue Platforms

Promoting Social Inclusion

Global Reach for Citizen Practices-Based Knowledge Program

Proposed Start Date3: _______________________ Expected Project Duration: ______________________

FINANCES

Total GEF SGP Request: [Local currency] _____________ [US$ _______________]

Total from Other Sources: [Local currency] _____________ [US$ _______________]

Total project cost : [Local currency] ______________ [US$_______________]

UN rate of exchange___________________________ (For SGP Official Use. Do not write anything here)

3. PROPOSAL

SECTION A: PROJECT RATIONALE AND APPROACH

1.1. Project Summary

1.2. Organizational Background and Capacity to implement the Project

1.3. Project Objectives and Expected Results

1.4. Description of Project Activities

3 Four months after submission

ii

1.5. Implementation Plan and Time-frame

1.6. Plan to Ensure Community Participation

1.7. Knowledge Management

1.8. Gender Mainstreaming

1.9. Communication of Results and Replication

SECTION B: PROJECT RISKS, MONITORING & EVALUATION

2.1. Risks to Successful Implementation

2.2. Monitoring, Evaluation Plan and Indicators

2.3. Sustainability of Results Achieved

SECTION C: PROJECT BUDGET

3.1 Financial Details

3.2 Projected Expenditures

3.3 Bank Details

ANNEX 1: INDICATORS

A. GEF SGP Project Indicators

B. SGP CBA Project Indicators

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GEF SGP OP6 PROJECT PROPOSAL GUIDELINES

GENERAL REQUIREMENTS

The Project Proposal should include the standard cover sheet, a one-page table of contents and should not exceed 15 pages of text (including any charts or diagrams). The Proposal should be submitted in typed form.

Additional attachments (not more than 10 pages) may be submitted, including documents certifying the status of the organization, endorsements of the proposed project, funding commitments or other indicators of participation and support from other institutions, and evidence of community support and participation.

Please ensure that the project proposal and all attachments are legible. All supporting documents (attachments) should also have the name of the project on them. Submit one original copy of the Proposal (soft and hard copy) to the National Coordinator, GEF Small Grants Programme, [Full address of the SGP Offices]. Keep a copy of your proposal for your own records as the one you submit will not be returned.

PREPARING YOUR PROPOSAL

Key background information:

The SGP’s overall objective for Operational Phase-6 is to: “Effectively support the creation of global environmental benefits and the safeguarding of the global environment through community and local solutions that complement and add value to national and global level action”. It proposes the following strategic initiatives as multi-focal platforms for the implementation of its micro-projects at the country level:

a) Community Landscape/Seascape Conservation b) Climate Smart Innovative Agro-ecology c) Low-Carbon Energy Access Co-benefits d) Local to Global Chemicals Management Coalitions e) CSO-Government Policy and Planning Dialogue Platformsf) Promoting Social Inclusion

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g) Global Reach for Citizen Practices-Based Knowledge Program

The proposal should address one or more of the above strategic initiatives and contribute to the overall objective of SGP-OP6.

In preparing a Project Proposal, please follow the major points of the outline set forth below. Ensure that all bullet points included in the outline are addressed, as these cover the major issues which the National Steering Committee (NSC) will consider in reviewing the Proposal. It is suggested that the proposal does not exceed the total number of pages stipulated.

1. TABLE OF CONTENTS

The table of contents should be prepared in a logical and consistent manner and following the format presented.

2. COVER PAGEThe cover page provides an important summary of the project. Each project will be assigned a project number by GEF SGP as appropriate to the country. The cover page should indicate the duration and start date of the project, provide the applicant’s details, identify the SGP strategic initiatives the proposal is targeting, , and include information on project finances specifying total requested support from the GEF and co-financing available and/or expected. The co-financing can be in kind, cash or parallel in nature. The UN rate of exchange at the time of proposal submission by the grantee should be logged in by the National Coordinator (NC) regardless of the fact that projects may be evaluated and approved by the NSC at a later date.

3. PROPOSALThe proposal includes the following main sections: Project Rationale and Approach (Section A), Project Risks, Monitoring & Evaluation (Section B) and Project Budget (Section C).

SECTION A: PROJECT RATIONALE AND APPROACH This section provides the rationale and background of the project, as well as the proposed approach.

1.1 Project Summary

The Project Summary should describe the project context, including the key environmental problem to be addressed, and the proposed approach, including the rationale/justification for the project. This section should describe the project location, a profile of the project sites, as well as the target community (ies) involved. The relevance of the project to the GEF/SGP Country Programme Strategy should also be presented.

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1.2 Organizational Background and Capacity to implement the project

This section should demonstrate that the proposing organization has the experience, capacity, and commitment to successfully implement the proposed project, or, is prepared to work with SGP to build its capacity to undertake the project. The issues to be covered in this section include:

Nature of the proposing organization – is it an informal group of interested parties, a community-based organization (CBO), national or sub-national NGO, research or training institution

Purpose and core activities of the proposing organization/group Organizational approach for project implementation, i.e. how does the organization or group

intend to deliver the project? Length of existence and project management experience if any Organizational structure, governance and administrative framework: provide the number of

paid staff members if it is a well constituted organization If relevant, state membership and affiliation to associations or umbrella groupings Provide an indication of the legal status. If none, provide an elaboration of its nature of

existence. Target population group (indicate relevant community groups, women, indigenous peoples,

youth, etc.) If the organization has been in existence before, the proponents should explicitly describe

previous experience relevant to the proposed project including projects related to the strategic initiatives.

1.3 Project Objectives and Expected Results

This section can be laid out in a matrix form and should contain a clear and specific statement of what the proposed project will accomplish. Preferably this should follow a logical framework. Among the issues to address include:

The problem statement or challenge the project intends to address The primary objective and specific objectives of the proposed project The full description of the rationale (justification) for the project. The rationale should indicate

the importance of the proposed project to the GEF Small Grants Programme in terms of contributing to its overall and or specific focal area objective(s). It should also reflect the relationship of the project to other relevant programmes such as local, district or national government programmes, other GEF and UNDP projects, multilateral and bilateral aid agency projects, and other community-based, CSO, and/or private sector activities. This will ensure that the intervention is not a standalone activity.

The specific results or outcomes that the project will produce. The expected results are the measurable changes which will have occurred by the end of the project as a result of the planned intervention (e.g. land area under forest cover increasing because of tree planting and promotion of natural regeneration of vegetation etc.).

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1.4 Description of Project Activities

This section, to be included in a logical framework, should describe what will actually be done to produce the expected results and accomplish the project's objectives. There should be a clear and direct linkage between the activities and the expected results or outcomes. (The proponent must ensure that the activities are a means to achieving the results). Note that weakness in this area may be a major reason for failure to receive funding. Activity descriptions should be as specific as possible, identifying what will be done, who will do it, when it will be done (beginning, duration, completion), and where it will be done. In describing the activities, an indication should be made regarding the organizations and individuals involved in or benefiting from the activity.

1.5 Implementation Plan and Time Frame

This section may be presented in graphical (table) form and can be attached as an annex. It should indicate the sequence of all major activities and implementation milestones, including targeted beginning and ending dates for each step. Provide as much detail as possible at this stage. The Implementation Plan should show a logical flow of steps, indicating that all the things that must happen have been carefully thought through from the current to the end of project situation. Please include in the Implementation Plan the required reports, project reviews and evaluation activities.

1.6 Plan to Ensure Community Participation 4

Please describe how the stakeholder communities were involved in Project planning and design and will be involved in: i) Project implementation and ii) Project monitoring and evaluation. This information will serve a basis for assessing and understanding community participation and ownership.

1.7 Knowledge Management

Please describe how you plan to capture, share and disseminate the knowledge, lessons learned and good practices gained through the implementation of the project.

1.8 Gender Mainstreaming

Please describe how the project takes into consideration the roles and needs of men and women (with a focus on the needs of women), and how this would be reflected in the results and benefits of the project.

1.9 Communication and Replication of Project Results

Please describe how you would communicate the goals, activities and results of the project with the community members, other community-based organizations and other key stakeholders. If the project requires awareness-raising at the local level, please describe the plan/activities you would use to achieve the target results and ensure replication of project results.

4 Note that community participation means much more than how the community will benefit from the project. It refers to active involvement and ownership by the relevant stakeholders. Describe the specific steps that have been taken/planned to maximize this involvement.

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SECTION B:

PROJECT RISKS, MONITORING & EVALUATION

This section should detail the risks, issues, assumptions, sustainability strategies and also describe the project work plan and monitoring during the implementation. It should provide a full description of the issues outlined below:

2.0 Risks to Successful Implementation

Please identify and list the major risk factors that could result in the project not producing the expected results. These should include both internal factors (for example, the technology involved fails to work as projected) and external factors (for example, significant currency fluctuations resulting into changes in the resources of the project). Please also propose risk mitigation measures to address the potential risks.

Please include in this section the key assumptions on which the project plan is based (for example, government and environmental policy remaining stable) which are anticipated in project planning, and on which the feasibility of the project depends.

2.1 Monitoring, Evaluation Plan and Indicators

This section should be laid out as per table 1 below. It should contain an explanation of the plan for monitoring and evaluating the project, both during its implementation (field activities) and at completion (review and analysis).

Brief description of General Objective of Project:

Brief Description of Specific Objective No 15:

List the activities necessary to fulfil this objective. Indicate who is responsible for each activity and an indicator of activity accomplishment.

Duration of Activity in Months (or Quarters)

Activity Responsible Party

Indicator 1 2 3 4 5 6 7 8 9 10 11 12

1.1

1.2

5 Please indicate as many objectives as in the project and include rows as required for the project under preparations.

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Brief Description of Specific Objective No 2

2.1

2.2

Table 1: Activity Planning

Brief description of General Objective of Project:

Brief Description of Specific Objective No 16:

List the activities necessary to fulfil this objective. Indicate who is responsible for each activity and an indicator of activity accomplishment.

Duration of Activity in Months (or Quarters)

Activity Responsible Party

Indicator 1 2 3 4 5 6 7 8 9 10 11 12

1.1

1.2

Brief Description of Specific Objective No 2

2.1

2.2

Project monitoring schedule

The project should be monitored according to a planned schedule, in line with the milestones identified in the Implementation Plan and Time Frame (section 1.5 above).

Among the key issues to be addressed as part of M&E are:

6 Please indicate as many objectives as in the project and include rows as required for the project under preparations.

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How will the performance of the project be tracked in terms of achievement of the steps and milestones set forth in the Implementation Plan;

How will the impact of the project be assessed in terms of achieving the project's objective(s); How will the mid-course correction and adjustment of the project design and plans be facilitated

on the basis of feedback received; How will the participation of community members in the project monitoring and evaluation

processes be achieved.

Project indicators

Please propose specific and measurable indicators which help capture the achievement of project results. These indicators will form the basis for monitoring and evaluation. These indicators should be aligned with the SGP Country Programme Strategy (CPS) and may be refined in consultation with the NC and or NSC. The indicator set for the project should draw upon the set of SGP project level indicators (see Annex 1), but can also be enriched by other project-specific and or national indicators that are appropriate for the project to track. Please identify at least one biophysical indicator pertaining to the relevant GEF strategic initiative (see Annex 1).

2.2 Sustainability of Results Achieved

Sustainability is a critical aspect in all the GEF SGP funded projects. The proposal should outline the steps to be taken before, during, and at project completion to ensure that once all the SGP funds have been disbursed, the project impact will continue for many years thereafter.

The funds provided by SGP are primarily seed funds, designed to give the project a significant start. However, project proponents should envision the project three or even five years after SGP funds have been utilized, and consider the factors that could contribute to the success and continued impact of their project, and address them accordingly.

SECTION C: PROJECT BUDGET

The Project Budget is an important part of every GEF SGP project proposal and must be completed prior to consideration of a proposed project for funding. Once a project has been approved for funding, the budget information becomes part of the binding Memorandum of Agreement (MOA) between the GEF SGP and the proposing organization.

The development and management of a realistic budget is an important part of developing and implementing a successful GEF project. Careful attention to issues of financial management and integrity will enhance the effectiveness and impact of the project. In keeping with the role of the GEF SGP as a support mechanism for community-level initiatives, every effort has been made to keep financial management requirements as straightforward and non-burdensome as possible. The following important principles should be kept in mind in preparing a project budget:

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Include only costs which directly relate to efficiently carrying out the activities and producing the objectives which are set forth in the proposal. Other associated costs should be funded from other sources.

The budget should be realistic. Find out what planned activities will actually cost, and do not assume that you will be able to make do for less.

The budget should include all costs associated with managing and administering the project. In particular, include the cost of monitoring and evaluation.

"Indirect costs" or administrative overhead costs such as staff salaries and office rent are not funded by the GEF SGP. These therefore should not be part of the funding request.

GEF SGP funds should be spent according to the agreed budget.

All relevant, financial records should be made available. These may be independently audited, and may become public information.

The budget line items are general categories intended to assist in thinking through where money will be spent. If a planned expenditure does not appear to fit in any of the standard line item categories, list the item under other costs, and state what the money is to be used for.

The figures contained in the Budget should concur with those on the Proposal Cover page.

GEF SGP grant requests should not exceed fifty thousand United States Dollars (US$50,000) per project, and per Operational Phase.

3.1 Financial Details

a. Project Funding Summary

The proponent should provide a summary on how the project will be funded. This should be laid out in a matrix form as in table 2 below.

Table 2: Project funding summary

Funding Source Funding Plan, [local currency] Total [local currency]

Total US$

Year 1 Year 2

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a. GEF SGP

b. Community

c. Proposing Organization

d. Other co-financiers

Total Project Cost

b. Community Contribution

All cost-sharing contributions (cash and in-kind) should be itemized. In particular, the in-kind contributions should be estimated using the SGP methodology/guidelines and summarized as in table 3 below. This should include sources and nature of the contribution (e.g. Youth Organization contributing labour, land, cash, etc). Please indicate whether the contribution is already committed or just a projection.

Table 3: Community Contributions

Sources of Community Contribution Type (cash/in kind7)

Committed or Projected?*

Value, in local currency

1.

2.

Total

c. Proposing Organization Contribution

The GEF SGP applies the principle of co-financing the target activities between the relevant partners in the project. It is therefore important that proposing organizations make some contribution towards the operational and programmatic costs of the project. This can be laid out in a simple matrix as in table 4 below and should capture the different project partners and proponents.

Table 4: Proposing organizations contributions

Sources of Contribution Type Committed or Projected?

Value, local currency

1.

7 Refers to contributions made directly towards projects realization such as labour, materials, time and other quantifiable resources that count towards the achievement of the project results. An approximate amount should be indicated in the table.

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2.

Total

3.2 Projected Expenditures

This section will detail expenditure categories and how the funds will be dispensed over the project period. Typically, SGP projects generally do not exceed 2 years, however, the exact length of the period can be determined in consultation with National Coordinator and NSC based on project objectives. The anticipated expenditures in the project must be captured as below with clear line items.

Table 5: Projected expenditures

Expenditure Category Year 1, [local currency]

Year 2, [local currency

Total, [local currency

US$ % Total

1. Personnel / Labour

2. Equipment / Materials

3. Training / Seminars / Travel

Workshops

4. Contracts

7. Other support requested8

Total Project Cost

3.3 Bank Details

Please provide the bank account information where project funds are proposed to be received.

8 Outline other forms of support requested from SGP which are not included in the budget. This support may be for both technical and administrative matters (and not for additional funding). This may cover areas which you need to specify such as: Consultants; Procurement; and Other (specify).

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When the proponent is a well established organization, which may have multiple bank accounts, it is necessary to indicate which bank account will be used to receive SGP funds, and how these funds can be tracked and accounted for.

When the proponent is a new community group, details should be provided on how the book keeping will be done and if necessary include a capacity building element within the project proposal that will enable the proponent to operate financially. If the community group is successful in receiving an SGP grant, a separate bank account would have to be opened for handling of grant funds. This should be done in the shortest time frame possible.

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ANNEX 1: INDICATORS

A. GEF SGP Project Indicators

GEF SGP project indicators in strategic initiatives: Community Landscape/Seascape Conservation; Climate Smart Innovative Agro-ecology; Low-Carbon Energy Access Co-benefits; Local to Global Chemicals Management Coalitions; CSO-Government Policy and Planning Dialogue Platforms; Promoting Social Inclusion; and Global Reach for Citizen Practices-Based Knowledge Program are presented below. Proponents are advised to select relevant indicators from the table below

GEF SGP OP6 Results Indicators

Communities Landscape and Seascape Conservation

o Hectares and number of significant ecosystems conserved or sustainably managedo Hectares and number of degraded ecosystems restoredo Hectares of production landscapes / seascapes applying sustainable use practices o Hectares of degraded land restored and rehabilitatedo Hectares of river/lake basins applying sustainable management practices o Hectares of marine/coastal areas or fishing grounds managed sustainablyo Number of significant species maintained or improved conservation statuso Number of communities managing landscapes/seascapeso Total value of biodiversity products/ecosystem services produced (US dollar equivalent)

Climate Smart Innovative Agro-Ecology

o Hectares of land under improved land use and climate proofing practiceso Number of CSA technologies identified and adoptedo Number of communities adopting Climate Smart Agro-ecology technologieso Tonnes of CO2 mitigated through improved land use and climate proofing practiceso Hectares of land applying sustainable forest, agricultural and water management practices o Number of communities demonstrating sustainable land and forest management

practiceso Hectares of degraded agriculture land restored and rehabilitatedo Number of significant agrobiodiversity species maintained or improved conservation

statuso Number of diversified agrobiodiversity products leading to improved conservation and

sustainable useo Number of sustainable livelihood and income generation opportunities promoted

Low Carbon Energy Access Co-benefits

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GEF SGP OP6 Results Indicators

o Number of improved/efficient energy options or renewable energy sources adoptedo Tonnes of CO2 avoided by implementing low carbon technologies:

Renewable energy measures (please specify) Energy efficiency measures (please specify) Low carbon transport practices (please specify) Other (please specify)

o Number of communities demonstrating or deploying low-GHG technologieso Tonnes of land-based pollution avoidedo Number on PPP models on solid/liquid waste managemento Number of communities with improved access to low cost and renewable energy sourceso Total value of energy or technology services provided (US dollar equivalent)o Total value of transport services provided (US dollar equivalent)

Local to Global Chemical Management Coalitions

o Tons of solid waste prevented from burning by alternative disposalo Kilograms of obsolete pesticides disposed of appropriatelyo Kilograms of harmful chemicals avoided from utilization or releaseo Number of national, regional and international chemical management coalitions formed

CSO-Government Policy and Planning Dialogue Platform

o Number of CSO-Government policy and planning dialogue platforms establishedo Number of NGOs/CBOs formed or registeredo Number of CSO network established or strengthenedo Number of local or national policies influenced o Number of regional policies influenced

Promoting Social Inclusion

o Number projects supported addressing the needs of gender/youth/persons with disabilities

o Number of employment and livelihood opportunities provided to youtho Number of women-led projects supported o Number of indigenous peoples directly supported/fellowships providedo Number of polices influenced promoting social inclusion

Global Reach for Citizen Practice-Based Knowledge Program

o Number of innovative approaches identified and adopted for documenting community innovations and practices

o Number of digital libraries established and accessedo Number of community innovations documented and sharedo Number of South-South community innovation exchange platform establishedo Number of UN forums participated by local communities/youth/indigenous people

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GEF SGP OP6 Results Indicators

B. SGP Community Based Adapation (CBA) Project Indicators

These indicators are to be used only in SGP Country Programmes which have access to GEF SPA-CBA and/or Aus-Aid co-funded CBA programmes for grant-making in the area of Community Based Adaptation to Climate Change.

Community Based Adaptation (CBA)

CBA

o Number of households, businesses engaged in vulnerability reduction or adaptive capacity development activities, as a proportion of households in the community or region targeted by the project.

o Percent change in stakeholders’ behaviors utilizing adjusted practices or resources for managing climate change risks.

o Number of beneficiaries of project receiving training in implementation of specific adaptation measures or decision-support tools

o Number of CBA“lessons learned” from the project

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