Project Document Template

I. BACKGROUND

The UN Sustainable Development Goals (SDGs) set ambitious goals for sustainable development in 17 aspects of economic, social and environmental dimensions to guide all regions, including developed and developing countries, and hope to achieve economic development, social inclusion and environmental sustainability by 2030. End Poverty is the first of its goals, not only because there are still large-scale populations in extreme poverty, but because of disasters and other reasons, poverty continues to spread and occur. With regard to resilience building, goals 11 (Building Sustainable Cities and Communities) and Goal 13 (Climate Actions) clearly set out the goals of resilient communities.

The 2016 New Urban Agenda, published by the United Nations, proposes a vision for urban development: “It is possible to settle and produce in resilient and sustainable cities and human communities and to foster prosperity and quality of life for all.”. The UN Office for Disaster Risk Reduction United Nations Disaster Reduction Agency has built ten major indicators system that “make cities more resilient”, including budgeting, disclosure and update of disaster resistance data, maintenance of emergency infrastructure, safety performance assessment of key facilities, and development of education and training.

On September 19, 2016, China announced at the United Nations Headquarters the " China’s National Plan on Implementation of the 2030 Agenda for Sustainable Development”.

In 2018, China’s administrative system reform established a new emergency management department. The department insists on the integration of prevention and relief and insists on the unity of normal disaster reduction and extraordinary disaster relief to realize the transition from post-disaster relief to pre-disaster prevention. We should also realize the transition from the response to single disasters to that of comprehensive disasters and the transition from disaster losses reduction to disaster risk reduction in order to enhance the comprehensive prevention capability of the whole society to resist natural disasters. This also provides an important policy basis for the construction of China's model of resilient cities and comprehensive disaster reduction demonstration areas.

In terms of poverty reduction and development, the 19th National Congress of the Communist Party of China made major decision-making arrangements for implementing the “rural vitalization strategy”. In 2018, the Chinese government issued the " rural vitalization strategy Plan (2018- 2022)" 2 , further emphasizing the importance of rural development in terms of environmental governance, resource utilization, and industrial development. In December 2018, the Central Economic Work Conference pointed out: To lay a solid foundation for poverty alleviation, we must work hard to increase poverty-stricken areas such as the "three districts and three states" and special poverty groups to reduce poverty and prevent poverty-stricken people from returning to poverty. In ecologically fragile areas, it is necessary to explore a multi-integrated sustainable development model such as poverty alleviation, environmental protection, and resilience building, such as a sustainable development model that protects the environment.

Zhouqu County is located in the south of Gansu Province, southeast of Gannan Tibetan Autonomous Prefecture. It is located in the western Qinling Mountains, the Dieshan Mountains and the Qinghai-Tibet Plateau. It is a typical alpine valley. “Three rivers (Bailong River, Gongba River, Boao River)” run through it and the topography is complex. As a key area for constructing the national ecological security barrier in the upper reaches of the Yangtze River and a deep poverty- stricken area among the “three districts and three states”3 , Zhouqu has been affected by natural disasters. It is not only the worst-hit county in the 2008 Wenchuan earthquake, but also a rare landslide in the country. There are 77 disaster-stricken landslide points and 93 disaster-stricken mudslides in the county, with more than 80% of the villages and more than 85% of the population in the geological disaster coverage area. On August 8, 2010, a massive mudslide occurred in the

2 http://www.moa.gov.cn/xw/zwdt/201809/t20180926_6159028.htm 3 三区：西藏、新疆南疆四地州和四省藏区；三洲：甘肃的临夏州、四川的凉山州和云南的怒江州；“三区三州”是国家层面的深度贫困地区，自然条件差、经济基础弱、贫困程度深。 2 county, causing 1,557 deaths and 218 missing persons, with property losses amounting to 13.3 billion yuan. After the disaster, the State Council issued the "Overall Plan for the Recovery and Reconstruction of Zhouqu Disasters" (Guo Fa [2010] No. 38)4 . After several years of post-disaster reconstruction, Zhouqu County's comprehensive capabilities have been improved, but it still faces severe challenges in poverty reduction, environmental protection, disaster prevention, mitigation and disaster relief capabilities. To this end, it is urgent to speed up the construction of ecological civilization the mining of superior resources, the upgrading of industrial transformation and the breaking through the bottleneck of development to win the battle against poverty and to build a well-off society in an all-round way.

As the largest development agency of the United Nations system, the United Nations Development Programme always focuses on the localization of sustainable development goals, aiming to link the implementation of the Sustainable Development Goals with China’s national and regional development priorities and five-year plans. They help local level to grasp development opportunities, solve development challenges, attract public and private sector partners, promote sustainable development at the local level and provide successful examples of China's sustainable development at the international level to promote international exchanges and cooperation. In the early stage, some pilot work has been developed on localization of poverty reduction and resilience urban construction. Moreover, positive feedbacks were received.

In view of Zhouqu County's clear strategic determination and layout in the demonstration project of actively implementing the 2030 sustainable development agenda and building an organic integration of poverty alleviation and resilience, and the localization of the UNSD Sustainable Development Goals Relevance, so the project cooperation is promoted. Specifically, it will strengthen the capacity and resilience of Zhouqu government agencies and urban and rural residents to cope with climate change and natural disasters, and strengthen the ability of Zhouqu government institutions and urban and rural residents to adopt industrial employment, reduce poverty, and cope with climate change and natural disasters. Start with resilience, solve the outstanding problems in the development of Zhouqu County as far as possible scientifically and locally, establish a model of sustainable development, and play the role of men and women in different regions and age groups in the construction of resilient communities and economic development activities. The role of men and women in poverty alleviation and resilience community building and economic development activities, and in this process focus on women's empowerment and achieve comprehensive economic, social and ecological development.

4 http://www.law-lib.com/law/law_view.asp?id=329698 3

II. PROGRAMME STRATEGY

2.1 Development Challenges

As a typical high-risk developing region, Zhouqu County is constrained by many factors such as land, resources, talents, technology, hazards risks, climate change, etc..The below describe a number of serious challenges to achieve sustainable development in Zhouqu Country:

(1)Hazards risk management capabilities need to be improved. Despite the frequent occurrence of many natural hazards in history and the numerous self-rescue and external reconstruction work, the current hazards risk management capability of Zhouqu itself is still limited. The problem is mainly reflected in the lack of macro-resilient development strategies and action plans. The knowledge and awareness of relevant departments and people in hazards prevention and mitigation are low, and the frequent, long-term and harmful cognition of hazards (especially geological hazards) is insufficient. Therefore, various types of meteorological disasters often occur and cause serious losses.

(2)The ability of industry to reduce poverty needs to be improved. The agricultural population of Zhouqu County accounts for 90%, and the economic development is mainly based on the cultivation or breeding of special agricultural products. However, due to inconvenient transportation, it is difficult to connect with the consumer market for bringing great challenges to poverty reduction work before 2020. Although in 2018, Zhouqu County was identified by the Ministry of Commerce as “e-commerce integrated demonstration county”( E-commerce into rural integrated demonstration county), the Ministry of Commerce plans to invest 20 million yuan to set up the “Zhouqu County E-commerce Public Service Center”. The overall demonstration project includes the construction of the center.System engineering, system construction, capacity building, publicity and promotion, but due to geographical location, inconvenient transportation, limited arable land, especially the lack of cold chain logistics facilities, lack of leading e-commerce enterprises, making the market competitiveness of local specialty products insufficient. The ability to produce large-scale, high-quality agricultural products in large-scale production, marketing, and logistics management is stretched.

(3)Environmental governance is in urgent need of upgrading. Zhouqu was equipped with sewage treatment facilities and sanitary landfill facilities during post- disaster reconstruction. However, Zhouqu County is one of the deepest poverty-stricken areas in the country. The environmental infrastructure is aging, disrepaired, cannot be upgraded, or the original design capability is not satisfied, and the technical indicators do not satisfy the relevant requirements.

(4)Lack of renewable energy development and utilization in green development. Gannan Prefecture's “The 13th Five-Year Plan for Energy Development” 5 shows that the annual total solar radiation of Zhouqu County is 4445.56MJ/m2, which is the place with the least solar radiation in Gannan Prefecture, which is 1973.81MJ lower than the Maqu County with abundant solar resources. /m2; During the “The 13th Five-Year Plan” period, Gannan Prefecture will begin to actively demonstrate the possibility of wind energy. At present, Linxia County and Maqu County have been selected to install several wind towers (excluding Zhouqu County). Continuous wind resource data. Zhouqu County's hydropower resources are relatively abundant. It is mainly distributed in the “Three Rivers run into one region” in the Zhouqu area (the Bailong River and its tributary Arch Dam River and another tributary Boao River). As of 2014, there were 65 large and small hydropower stations built in 19 townships and towns in Zhouqu County. There are 4 hydropower stations and 1 unpowered power station with a total installed capacity of 539.21MW. The construction and operation of such a large-scale power station has extremely serious impacts on the meteorological, hydrological environment, ecological diversity, vegetation, ecology and other aspects in the region.

(5)The protection of characteristic folk culture and the development of eco-tourism need to be strengthened. Zhouqu County has a beautiful scenery and is known as “the lotus flower source” and “the south of the Tibetan town”. It also has a long history. The Shimengou Chama Ancient Road Site has been identified as one of the important new discoveries of the “Three Pu” in Gansu Province. Four intangible cultural heritage projects such as “Bazhai Chaoshui Festival”, “Dongshan Rotating Festival”, “Tiangan Lucky Festival” and “Zhouqu Pendant Dance” were listed as provincial protection projects. However, the county has not yet formed a development path for the integration of cultural protection and eco-tourism.

(6)The development of ethnic groups, women and other groups has also received much attention. As of 2011, Zhouqu County has a registered population of 139,990, of which not only the rural population is significant, but also 35.31% of the total population is Tibetan, as well as ethnic minorities such as Hui, Manchu and Mongolian. In December 2017, the National Civil Affairs Commission named the fifth batch of national national unity and progress creation demonstration zones.

Like other parts of the country, Zhouqu County is also facing the problem of left-behind women. With the rapid development of urbanization, the number of male young and middle-aged laborers in remote and underdeveloped areas has increased dramatically, and left-behind women have attracted much attention as a special group. Due to the lack of husbands in family production and life, left-behind women face multiple survival and development difficulties.

2.2 Theory of Change

As part of the most complex social ecosystem, the community has been suffering from various shocks and disturbances from the outside world and itself since its formation. It will also be built into a basic unit of social resilience and capacity building. To this end, the project will carry out relevant theoretical research and construction practices for poverty alleviation and resilient communities/cities. The introduction of resilient community/city theory can improve the response and adaptability of jurisdictional systems to uncertain factors such as disaster events, promote the transformation of resilience planning methods, and enhance community/city resilience to promote changes in poverty reduction and resilience planning methods, And organic integration of environmental protection, poverty reduction and other measures. The implementation of this project will explore the poverty reduction and resilience assessment, disaster prevention and mitigation planning strategy, climate adaptation planning technology and its diversified development under the urban perspective of disaster toughness assessment from the perspective of the above-mentioned challenges. Convergence and other content.

5 http://www.gn.gansu.gov.cn/2017/fzgh_0313/8327.html 5

(1)Start with the resilience strategy planning and action plan, improve the city's disaster risk management capabilities, and build a city's "safety line." This cooperation develops a macro-resilient development strategy, enhances management capabilities, and formulates and implements action plans. It builds Zhouqu into a development model for organic integration of poverty reduction and resilience in international development, and organizes the promotion of international conferences on resilience with international influence to promote the "Zhouqu mode".

(2)Based on the e-commerce service system ,developing a characteristic economy and promote the industry's ability to reduce poverty. Poverty reduction and economic strength are the key to achieving sustainable development. The development of regional economy directly affects the maturity of social development, the investment in infrastructure construction, the government's management of disaster prevention policies and social security. Overall, adjust local conditions, give full play to regional advantages and to the role of men and women in different regions and age groups in poverty alleviation and economic development, promote industrial restructuring, promote economic development in backward western regions, so as to enhance the ability of poverty reduction in Zhouqu County. Specifically, the project will improve the production of high-quality agricultural products and the utilization efficiency of land units through research and demonstration of industrial poverty reduction (including three-dimensional planting or aquaculture research and demonstration); based on the “e-commerce demonstration project” of the Ministry of Commerce. Supplement and improve the measures that are more suitable for Zhouqu characteristic products, so that the two can be organically combined and complement each other to avoid duplication; such as cold chain warehousing and cold chain logistics facilities, leading e-commerce enterprises, supporting the elderly and left-behind women to engage in e-commerce entrepreneurship, so that the national e- commerce poverty alleviation "standard project" more in line with local needs, effectively helping local achieve sustainable development.

(3)Innovative regional environmental governance programs. This collaborative project will start with building an ecological civilization and explore solutions to waste, sewage and other environmental issues that affect health. In particular, we will focus on promoting the formation of synergy between government and enterprises through consensus, and promote the overall protection of ecosystems in combination with resilient community/urban construction planning. At the same time, relying on a good ecological environment, we will closely integrate ecological civilization construction with the construction of ecological civilization cities or Xiaokang villages. Research and demonstration to improve the environmental infrastructure of villages and towns, improve the living environment of urban areas; do a good job in the basic protection of water quality of drinking water sources, improve drinking water safety, environment, and ecological conditions.

(4)Strengthen the use of renewable energy in green development. In June 2018, the State Council issued the "Guiding Opinions on Winning the Three Years of Fighting Against Poverty", clearly indicating: vigorously promote industry poverty reduction, focus on energy development in deep poverty-stricken areas, actively support major energy projects in poor areas, and improve the level of rural renewable energy development and utilization in poor areas. Focusing on deep poverty areas such as the “Three Districts and Three States”, to vigorously promoting the development and utilization of rural renewable energy in poverty-stricken areas. Zhouqu County has been included in the “Three Districts and Three States” to develop and utilize renewable energy. The project will carry out feasibility studies on the development and utilization of renewable energy, and carry out the application demonstration of renewable energy in cold chain logistics. The demonstration will aim at improving Zhouqu's single energy source, unreasonable structure, backward energy use mode and unbalanced ecological environment, so as to help Zhouqu get rid of poverty and become rich, and promote the construction of ecological civilization as well as the sustainable economic development of the basin.

(5)Beautiful rural construction and folk culture protection. Beautiful villages are an overall improvement in the development of new rural areas, including economic, political, cultural and social aspects. The cultural construction of beautiful villages, including rural civilization and clean villages, is an inevitable requirement and embodiment of spiritual civilization construction, and an important goal of building a new socialist countryside. The rural style in the folk culture is the main part of folk culture, and it is also included in the scope of new rural culture construction. Folklore protection is conducive to promoting coordinated development of society, facilitating the development of traditional culture, and facilitating the exploration of new ideas and methods. This cooperation project will start with folk culture and ecotourism, further explore how to improve the awareness of folk culture and ecological protection, how to transform folk culture and ecological resources into the advantageous resources for developing tourism; how to carry forward the local excellent folk culture and how to be in folk culture In particular, the process of protection and promotion of intangible cultural heritage promotes the active participation of men and women in different regions, educational backgrounds, economic capabilities, and age groups to promote local cultural and economic development.

(6)Cultivate the left-behind groups to become the main force to fight poverty. Zhouqu County is a farming and animal husbandry county. The terrain is complex and diverse, the natural conditions are poor, the ability of agriculture to resist natural disasters is poor. In addition, farmers'cultural quality is low, and they generally lack basic working skills and production technology. There is a big gap with the form of economic and social development. Moreover, because a large number of young and middle-aged migrant workers go out to work, the main reason for staying at home for agricultural production is left-behind women, children, or old, weak, sick and disabled. Among them, left-behind women must plant land, take care of the elderly and children, and educate their children. The burden of the family is on the shoulders of women. The lack of labor also makes it difficult to promote and apply large-scale agricultural new technologies with high technology content. Therefore, it is very important to improve the skills of left-behind women who are common in men and women of different ages, especially in most families. Providing order training, orientation training, training for rich programs and training of new agricultural technologies for this group can truly benefit the family, the community, and the county's social and economic development, and help the fight against poverty.

2.3 Strategic Approach and Guiding Principles

The project will adopt a comprehensive system perspective to organically integrate China's national strategy and the UN Sustainable Development Goal Framework, and combine the system practice of Zhouqu to build a national ecological security barrier in the upper reaches of the Yangtze River to carry out poverty alleviation and resilience community under the framework of sustainable development. Integrate localized innovation demonstration work, and refine and develop sustainable development goals to localize China model for reference by other developing countries around the world.

The project will: 1) compile the Zhouqu County Resilience Community/City Strategic Plan and Action Plan, and enhance the ability of local decision-making, management and executive levels to address climate change and disaster risk management and build a institutionalized platform and carry out corresponding domestic and international activities. In Zhouqu, we will create a tough community/city model with Chinese characteristics and international standards; 2) ensure the equalization of men and women in different regions and all ages of Zhouqu County, through the design and demonstration of industrial poverty reduction activities. Participate in economic development opportunities and play an active role in poverty alleviation, help Zhouqu County to reduce poverty and achieve sustainable development; 3) promote the construction of ecological civilization in Zhouqu County through research and demonstration of sewage and garbage disposal; 4) develop renewable energy Feasibility study on the utilization of micro-hydropower, micro-wind power, biogas, etc., to give play to the advantages of ecological resources, and finally achieve green development; 5) combine the advantages of Zhouqu County folk culture, folk art and ecological resources and climate, so that the local specialty tourism products Developed and innovated.

2.4 Strategic Approach and Guiding Principles

The project focuses on promoting international cooperation in the field of sustainable development through resilient community/urban construction, creating and sharing knowledge and experience, strengthening public sector partnerships, advancing innovative work mechanisms, and engaging more key stakeholders in the process of addressing environmental challenges, climate change and sustainable development.

This project is closely related to the following UN Sustainable Development Goals6:

Goal 1: End poverty in all its forms everywhere

Goal 3: Ensure healthy lives and promote well-being for all at all ages

Goal 5: Achieve gender equality and empower all women and girls

Goal 7: Ensure access to affordable, reliable, sustainable and modern energy for all

Goal 8: Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all

Goal 11: Make cities and human settlements inclusive, safe, resilient, and sustainable

Goal 13: Take urgent action to combat climate change and its impacts

Contribution to the Outcomes of United Nations Development Assistance Framework for the People’s Republic of China (2016-2020) 7

Outcome1:Help more people, especially vulnerable groups, improve their living conditions and enjoy more opportunities for economic, social and cultural development.

Outcome 2: More people enjoy a cleaner, healthier and safer environment as a result of improved environmental protection and sustainable green growth

2.5 Implementation Modality

The implementation of the project will be based on public-private partnerships and will be coordinated closely in the implementation phase with collaborative development projects such as environmental governance and climate change funded by governments and other funders. Through collaboration and experience sharing, the implementation of the project will be strengthened in terms of the effectiveness and influence of promotion policy and technology.

The project will have a Project Steering Committee with the participation of key stakeholders as the highest decision-making body for the project. Its members include UNDP 8 , the China International Center for Economic and Technical Exchange of the Ministry of Commerce 9 , Representative of the relevant departments of the People's Government of Gannan Tibetan Autonomous Prefecture 10and the People's Government of Zhouqu County11.

The project will involve sharing of experiences with similar projects implemented by international agencies, in particular with similar projects implemented by the United Nations Development

6http://www.undp.org/content/undp/en/home/sustainable-development-goals.html 7 http://cn.un.org.cn/info/Publications.html 8 http://www.cn.undp.org 9 http://cicete.mofcom.gov.cn 10http://www.gn.gansu.gov.cn/ 11http://www.zqx.gov.cn/ 8

Programme China Office. This will help to ensure the sustainability of the results and experience of these projects

2.6 Financial Modality

The People's Government of Gannan Tibetan Autonomous Prefecture and the People's Government of Zhouqu County shall provide funding totaling USD 2,990,000 over the course of the project from July 2019 to July 2022). The United Nations Development Programme in China shall provide $10,000 in funding for the project. The project budget and budget allocation will be described in detail in Chapter VII.

During the implementation period, the project will coordinate with the projects supported by the government's special funds to jointly promote the technical and policy objectives in the cross-over and overlapping areas, such as the Ministry of Finance's “2019 Funding for Central Development Investment Support for Small Population Development ( Notice of Grants) Cai Jian [2019] No. 161 12 , Major Natural Disaster Monitoring and Prevention, Special Fund for Air Pollution Prevention, Soil and Water Conservation Project, Clean Energy and Renewable Energy Project, Ecotourism and Livelihood Project. The project funds supported by the relevant government financial special funds will be regarded as the matching funds of the government. They will be included in the annual work plan of the project and implemented centrally without changing the way and use of funds and changing the implementation system.

During the implementation of the project, cooperation will also be open to stakeholders including the private sector, charitable foundations and other civil society groups. Based on the priority areas of the parties, newly identified opportunities, and the need for environmental governance and sustainable development in Zhouqu County,Corresponding project activities will be designed to enrich project achievements, and expand the project's influence and sustainability of its results.

New partners and newly designed project activities will be established, designed and approved in accordance with the requirements of UNDP and CICETEE project cycle management.

III. RESULTS AND PARTNERSHIPS (1.5 - 5 PAGES RECOMMENDED)

3.1 Expected Outcome13

In the next three years until July 2022, the project’s strategies are expected to be achieved through reaching the following Outcomes:

Expected Outcome 1: Enhanced capacity on climate change adaptation and disaster risk management; a model for Resilient Community/City is developed in Zhouqu and can be shared with the world.

Expected Outcome 2: Imporved capacity on poverty reduction through further developing the production and distribution capacity for local high-quality specialty agricultural products.

Expected Outcome 3: Effective environmental governance is realized; efforts are made to achieve high-quality development.

Expected Outcome 4: Research on the development and utilization of renewable energy demonstrated in pursuit of green development.

12http://jjs.mof.gov.cn/zxzyzf/jjzc/201904/t20190429_3237424.html 13 鉴于中国早于 1980 年便签署了《消除对妇女一切形式歧视公约》，且《北京行动纲领》与 1995 年通过，考虑到项目实施区域的人口特征，本项目在执行所有活动的过程中都应注重男女及所有性别的居民的平等机遇与参与。

Expected Outcome 5: Innovative development of featured tourism integrating folk cultural and ecological characteristics.

3.2 Expected Outcomes and Outputs

The project will achieve the expected outcomes and outputs by carrying out the following activities.

Expected outcomes and outputs

Expected Outcome 1: Enhanced capacity on climate change adaptation and disaster risk management; a model for Resilient Community/City is developed in Zhouqu and can be shared with the world.

Output 1: Compilation of the Resilience Community/City Strategic Plan and Action Plan for Zhouqu County

Output 2: Developed community-based smart resilience solutions that is institutionalizable for county-level emergency response management; systematically enhanced capacity for comprehensive disaster prevention and response;

Output 3: Resilience BuildingCapacity developed for gender-responsive disaster prevention and mitigation as well as climate change adaptation.

Output 4: Compiliation of the “Green Book of Resilience BuildingBuilding and Sustainable Development of Zhouqu County”;

Output 5: Establishment of a county-level coordination network for building resilient cities and a platform for international knowledge sharing and exchange.

Expected Outcome 2: Imporved capacity on poverty reduction through further developing the production and distribution capacity for local high-quality specialty agricultural products.

Output 6: Improved capacity on entrepreneurship and poverty alleviation for left-behind groups in order to provide new kinetic energy for poverty reduction in Zhouqu County through increasing the yield of high-quality agricultural products and unit landuse efficiency, as well as feasibility studies and demonstration of vertical farming and livestock farming.

Expected Outcome 3: Effective environmental governance is realized; efforts are made to achieve high-quality development.

Output 8: Feasibility study and pilots conducted to upgrade and rennovate existing waste treatment facilities in the local area, adhering to the requirements of local policies and regulations.

Output 9: Appropriate sewage treatment technology identified and piloted.

Output 10: Ensured drinking water safety for communities and students.

Expected Outcome 4: Research on the development and utilization of renewable energy demonstrated in pursuit of green development.

Output 11: Feasibility studies and pilots conducted on the utilization of renewable energy such

as micro-hydropower, biogas and micro-wind turbines in cold chain logistics system.

Outcome 5: Innovative development of featured tourism integrating folk cultural and ecological characteristics.

Output 12: Compilation of the Featured Tourism Development Plan of Zhouqu County , integrating local folk culture and ecological environment; relevant capacity enhanced.

Output 13: Innovation promoted in folk cultures and ecotourism, taking advantage of the coordination network for building resilient cities, while also regurgitating the local economy

Besides the above-mentioned outcomes, this project also includes a non-technical component which is project management, monitoring and evaluation.

3.2.1Expected Outcome 1: Enhanced capacity on climate change adaptation and disaster risk management; a model for Resilient Community/City is developed in Zhouqu and can be shared with the world.

Zhouqu County experienced a destructive mudslide hazard on 8th August 2010, one of the hardest-hit areas by the “5·12” earthquake, and another torrential rain occurred on 10th July 2018. This shows that it’s urgent need to carry out activities related to “Enhanced capacity on climate change adaptation and community resilience” in Zhouqu. This achievement will enhance the capabilities of tackling climate change and disaster risk management at different levels through various activities in combination with “going out, inviting in”concept and other measures, thus eventually to enhance community/city resilience.

In the process of achieving this outcome, the participation of different gender groups should be encouraged to strengthen the empowerment of left-behind women and other vulnerable marginalized groups, and pay attention to the collection of relevant quantitative and qualitative data (e.g. basic information on participation in relevant seminars, training sessions, and decision- making process)

Output 1: Compilation of the Resilience Community/City Strategic Plan and Action Plan for Zhouqu County

Zhouqu County faces enormous challenges brought about by climate change, frequent natural disasters and rapid urban economic development. The “Resilience Community/City Strategic Planning and Action Plan” focuses on improving resilience building in Zhouqu County, enhance the city's risk management capabilities, and strengthen the city's "safety line", and thus to improve the capacity of disaster prevention and mitigation of Zhouqu.

The output includes the following main activities: 1) To conduct in-depth research on Zhouqu with reference to the content of domestic and international resilience building frameworks, including but not limited to the following four types of indicators: health and well-being (people), economic and social (organization), urban system and its services (local), leadership and strategy (knowledge ), etc.; 2) To conduct domestic and international field visits to learn from experience of resilience building; 3) To conduct workshop on exploring the feasibility and action plan for resilience building in Zhouqu; 4) To compile Zhouqu County Resilience Community/City Strategic Plan and Action Plan.

As the most important public service level in China, the core of building a comprehensive and resilient county-level city lies in how to break through the chain of system in prevention, first response, emergency command and comprehensive recovery, especially the involvement of

11 community level and the participation of multiple subjects. Due to the uncertainty of disaster risk data, it is urgent to improve the effectiveness of real-time tracking, response and governance. Therefore, a dynamic, interactive and accurate emergency management concept and its corresponding technical platform are very important.

The new smart resilience model is comprised of the resource layer, organizational layer, operational layer, in which the resource layer represents the process of resource concentration, integration and sharing of government, market and social forces; the organizational layer means linkage across departments and regions and coordination and real-time interaction of the interests of multiple subjects; the operational layer is based on the support of the previous two layers, carrying out prevention, early warning and decision-making, throughout the whole process of governance.

Based on the risk characteristics of Zhouqu County, combined with the relevant requirements of the national comprehensive disaster reduction demonstration districts and the pilot experience of the United Nations Development Programme at home and abroad, under the guidance of relevant ministries, this project explores the establishment of a smart and resilienct community-based county-level emergency management system with fully consideration on the vulnerability and needs of people from different regions, different age groups and genders, and systematically improves the comprehensive prevention and response capabilities of disasters.

This output includes the following main activities: 1) To organise seminars on resilience community/city builfing; 2) To establish smart resilience baseline with a sound working, coordination and safeguarding mechanisms and collect relevant data; 3) To compile a plan for community-based smart resilience building that is institutionalisable for emergency management at county-level; 4) To carry out pilots while encouraging the participation of various entities, and improve disaster preparedness and response capacity comprehensively, including monitoring, early warning, research and analysis, decision-making in emergencies etc.

Output 3: Capacity developed for gender-responsive disaster prevention and mitigation as well as climate change adaptation.

The development of this activity can serve the purpose of sharing advanced experience at home and abroad and improving disaster risk management capabilities at all levels in Zhouqu County. Specifically, in the light of the successful experience of the United Nations Development Programme and China's innovative risk management project, the following activites are proposed to promote capacity-building for disaster reduction, prevention and climate change:

1) To carry out innovative advocacy and education activities on disaster preparedness and risk reduction on the important anniversaries such as “8•8” and “7•10”, “5•12” (the National Disaster Prevention and Reduction Day and) “10•13” (International Disaster Reduction Day); to conduct activities such as “community and grassroots disaster reduction capacity”; 2) To drive specific actions on community disaster risk management capacity building, and launch tailored training and activities such as community first responders, community risk maps, and household disaster risk reduction plans; 3) Based on the International Comprehensive Safety School Framework (CSS), to conduct training and demonstration of safe school development capabilities in the region; 4) Attention is paid to nurturing leaders (or supporting their participation in employment) from vulnerable groups such as left-behind women during the process of implementing related activities,

Output 4: Compiliation of the “Green Book of Resilience Building and Sustainable Development of Zhouqu County”Resilience BuildingResilience Building

Through the compilation of "Green Book of Resilience Building and Sustainable Development of Zhouqu County", the project will stock check a series of ecological projects in Zhouqu County over the years such asimplementing ecological protection and geological disaster management, soil and water conservation, returning farmland to forests, energy conservation and emission reduction in Zhouqu County, summarizes the experience of systematically promoting resilience building and sustainable development in the process of poverty reduction, and develops resilience building for

12 similar regions. Also, this project provides references for generating more benefits for local residents (including male and female), especially left-behind women. Zhouqu County will thus become the first county-level government in China to issue a green book on resilience and sustainable development. resilience building

This output includes two activities: 1) To conduct research and workshops to sort out the development history of Zhouqu; 2) To compile the “Green Book for Resilience Building and Sustainable Development in Zhouqu County”

Output 5: Establishment of a county-level coordination network for building resilient cities and a platform for international knowledge sharing and exchange.

In the implementation process of the Zhouqu demonstration project, the project links the typical foundations of some high-risk areas in China with the implementation basis of the United Nations Development Programme and China's risk management innovation projects to jointly build a collaborative network for the building resilient cities in China. In addition, the project will organize international organizations and experts at home and abroad throught the establishment of a domestic and international institutionalized exchange platform to summarize international mature experience. The project will explore inclusive localization implementation plans with consideration on the differences in demand and vulnerability of people of different genders, ages, ethnicities and regions in terms of resilience building., and exchange and share the “Zhouqu experience” summarized through project implementation on the platform. At the same time, the synergy between county collaboration network and domestic and foreign institutionalized exchange platforms should be brought into full play in the implementation of the output, so as to realize the sharing of information, channels, partnerships and results.

This output includes four activities: 1) To organize seminars and discuss on establishing the coordination network; 2) To compile a socially inclusive and gender-responsive county-level development plan for a resilience city network ; to establish a sound working, coordination and safeguarding mechanism; to carry out relevant collaborative pilot work with both social and gender inclusiveness, and document lessons learnt; 3) To plan and establish an knowledge sharing and exchange platform for “resilient community/city building” in China and abroad, moblising the international network of UNDP; 4) To invite experts and officials in China and abroad to hold regular international conferences to exchange policies and share experiences, lessons and relevant cases (encouraging women's active participation), using the network of UNDP platform.

Expected outcome2: Imporved capacity on poverty reduction through further developing the production and distribution capacity for local high-quality specialty agricultural products.

According to the “Ten Eco-industries” industry in Gansu Province and the “Two Significant Ends” industry development strategic layout of Gannan Prefecture, vigorously developing differentiated, diversified, high-quality, high-efficiency and ecological industries so as to ensure that the masses can achieve multi-channel and multi-level income growth. Furthermore, in order to enhance the market competitiveness of products, it is necessary to improve the quality and output of local featured products from the aspects of the development, promotion, quality improvement and efficiency enhancement of people-enriching industry.

In the process of realizing this outcome, attention should be paid to the empowerment of marginalized groups such as left-behind women, and and to the collection of relevant quantitative and qualitative data (e.g. basic information on participation in relevant seminars, training sessions, and decision-making process).

This output includes the 3 activities: 1) To conduct thematic technical workshops to discuss how to further improve and optimize the quality of agricultural products of Zhouqu County and improve the yield of quality agricultural products, including but not limited to morchella, Tibetan chicken, honey, pork, walnut, Chinese red pepper, black fungus, potatos , corns and Chinese herbal medicine etc; 2) To conduct research and pilot of industrial poverty reduction (including vertical farming); 3) To obtain necessary certifications such as “certification of origin” or “green products” for high-quality agricultural products to enhance its competitiveness in the market and poverty reduction. Guiding new business to carry out quality certification of conteminant-free agricultural products, green foods and organic agricultural products, and gradually form regional brand advantages.

Output 7: A cold chain logistics system constructed and linked with the “E-commerce Demonstration County Project”; introduction of leading e-commerce enterprises to support left-behind groups to engage in e-commerce entrepreneurship, enhanced competitiveness of local quality products that accelerates of poverty reduction in Zhouqu County. Among the high-quality agricultural products in Zhouqu County, the TIbetan chicken and the pig enjoys a great reputation and high recognition in the northwest region of China and Tianjin areas. However, due to the special geographical location and the difficulty of logistics and transportation, these products can only be sold locally or seasonally. It is difficult to form a brand and become famous products in Gannan, Gansu, northwest China and other areas of China. This problem not only affects the enthusiasm of farmers, but also reduces the income of farmers. It greatly limits the potential of Zhouqu County to reduce poverty through such industries. Zhouqu County has been selected as the "comprehensive demonstration county of e-commerce in rural areas in 2018" jointly implemented by the Ministry of Finance, the Ministry of Commerce and the Poverty Alleviation Office of the State Council. Relevant information shows that the state will subsidize RMB 20 million for each selected county on e-commerce demonstration projects. This activity will combine the “Zhuqu County 2018 E-Commerce into Rural Comprehensive Demonstration Project Implementation Plan” to focus on the construction activities related to cold chain logistics and create new kinetic energy for industrial poverty reduction.

The project plan combines the actual distribution situation of local residents, especially the left- behind groups (including left-behind women), to carry out the following activities: 1) To compile the "Cold Chain Logistics System Development Plan" based on the local e-commerce and related poverty reduction policies; 2) To provide supply chain management and business administration capability development for local leading cold chain logistics companies and distributors; 3) To carry out demonstration of production and supply chain for e-commerce and poverty alleviation.

Expected outcome 3: Effective environmental governance is realized; efforts are made to achieve high-quality development.

The main purpose of this outcome is to reduce environmental pollution through waste treatment, sewage treatment and safe drinking water treatment, to further increase the comprehensive environmental management, deepen the implementation of ecological civilization ideas, strengthen ecological protection, and build an ecological security shelter.

Output 8: Feasibility study and pilots carried out to upgrade and rennovate existing waste treatment facilities in the local area, adhering to the requirements of local policies and regulations.

Limited by the level of economic and social development, Zhouqu County's household waste is mainly disposed of by centralized landfill. The Fengdi New District Landfill Site was completed and put into operation in 2013, with a designed storage capacity of 160,000 cubic meters, an effective storage capacity of 140,000 cubic meters, and a daily disposal capacity of 21.6 tons of hosehold waste. The open-air operation of this landfill site, such as in the case of heavy rains, is full of sewage and mud. The inaccessibility of garbage trucks in this situttaion, seriously affecting the normal operation of the landfill site. Such existing waste disposal facilities/sites do not meet the construction requirements of well-off villages with ecological civilization and the concept of "environmental revolution", and there are also potential hazards of leakage affecting groundwater.

According to the actual distribution situation of local residents, the following activities are carried out in Zhouqu County for building a demonstration of the upgrading of existing waste treatment facilities: 1) To organize relevant departments for carrying out investigation and research on waste treatment technologies in China and abroad, and prepare upgrading and rennovation plans for existing waste treatment facilities in Zhouqu County; 2) To compile feasibility study report on upgrading and transformation of existing waste treatment facilities; 3) To compile an “Environment Impact Assessment (EIA) Report” for waste treatment facility; 4) To compile other necessary technical documents, such as energy-saving analysis and other technical documents; 5) To obtain approval from relevant department of local government for the feasibility study report and the EIA report which developed in 2 and 3 respectively; 6) To provide technical support for the implementation of the corresponding pilots in Zhouqu County (compiling the tender letter or providing suggestions for modification of the tender letter, participating in the evaluation work, participate in the evaluation and acceptance work, etc.).

Output 9: Appropriate sewage treatment technology identified and piloted.

The Zhouqu County Old Town Sewage Treatment Plant was built after the “8•8” debris flow, and the system was upgraded and upgraded in 2016. At present, the sludge treatment technology of the sewage plant is seriously lagging behind, and the pollution parameter after treatment is less than 20% of the national standard. This problem is also reflected in the “implementation of the central environmental protection supervision feedback rectification plan”. Through the implementation of this project, the old town sewage treatment will meet the relevant national standards, and reduce the impact of outdated sewage treatment system on the health, economic activities, life and other aspects of the local residents.

The project plans to carry out the following activities: 1) To organize relevant departments for carrying out research and investigations on domestic and international sewage treatment technologies, and compile a feasibility study report for upgrading existing sewage treatment facilities; 2) To compile an EIA report for upgrading and transformation of existing sewage treatment facility; 3) To compile other necessary technical documents, such as energy-saving analysis and other technical documents; 4) To obtain approval from relevant department of local government for the feasibility study report and the EIA report; 5) To provide technical support for the implementation of the corresponding demonstrations in Zhouqu County (compiling the tender letter or providing suggestions for modification of the tender letter, participating in the evaluation work, participate in the evaluation and acceptance work, etc.).

Output 10: Ensured drinking water safety for communities and students.

Drinking water safety is a major livelihood project. Focusing on and solving the drinking water safety of the Zhouqu community and schools is the most direct matter related to the vital interests of local boys and girls, and also the most concerned issue of their parents and families. Drinking water safety is related to poverty alleviation. In September 2018, the Ministry of Water Resources issued the Notice on the Implementation Plan of the Three-year Action for Poverty Alleviation by Water Resources (2018-2020) 14, which proposes to comprehensively address the drinking water safety problem of the poor by 2020. In November of the same year, the Poverty Alleviation Office of the State Council, the Ministry of Water Resources and the State Health Commission jointly issued the Notice on “Resolutely Winning the Battle of Protecting Rural Drinking Water Safety for Poverty Alleviation"15 to ensure effective protection of centralized water sources and rural drinking water safety.

This output has following 3 activities: 1) To investigate the safety of drinking water in Zhouqu County and determine the drinking water safety demonstration site; 2) To carry out drinking water safety advocacy activities, including but not limited to advocacy activities in schools (e.g. knowledge contest on the protection of water resources and drinking water hygiene in rural areas or to organise quiz events in collaboration with other UNDP safey drinking water projects); 3) To construct demonstration sites for drinking water safety.

14 http://www.hnsl.gov.cn/sitegroup/root/html/ff80808157459c6f0157738893f031d3/3da7f2e5ba8643f088328a1676d7dbf6.html 15 http://www.mwr.gov.cn/zw/tzgg/tzgs/201808/t20180802_1044428.html 15

3.2.4Expected outcome 4: Research on the development and utilization of renewable energy demonstrated in pursuit of green development.

The results will be based on research and demonstration of micro-hydropower, biogas, micro-wind power and other measures to maximize the use of renewable energy, and make Zhouqu the first clean energy county in Gansu.

Output 11: Feasibility studies and pilots conducted on the utilization of renewable energy such as micro-hydropower, biogas and micro-wind turbines in cold chain logistics system.

This output include the following 5 activities: 1) To investigate local meteorological data, water resources data, wind resource data, etc., identify and pilot renewable energy demonstrations that are economically viable; 2) To compile feasibility study report for the demonstration of renewable energy utilization activities such as micro hydropower, biogas, and micro wind power; 3) To compile an EIA report as necessary; 4) To compile other necessary technical documents, such as energy-saving analysis and other technical documents; 5) After the feasibility study report, the EIA report and other required technical reports have been approved by the relevant local government departments, to carried out relevant constructions and skills training.

3.2.5

Expected Outcome5: Innovative development of featured tourism integrating folk cultural and ecological characteristics.

Output 12: Compilation of the Featured Tourism Development Plan of Zhouqu County , integrating local folk culture and ecological environment; relevant capacity enhanced.

Zhouqu County has not only a folk cultural activity with strong local colors such as “Dongshan Lantern Walks”, which are dominated by different groups of all ages and both sexes, but also has national-level forest parks—Beach Forest Park, Cuifeng Mountain, Lahu Mountain and other natural landscapes, as well as Qin Tombs, Han Tombs, and Tang Tombs. , Ming Tomb and other historical sites. The implementation of following activities will advocate the development of tourism featured by the combination of folk culture and ecological environment: 1) To hold Zhouqu Tourism Development Research seminars; 2) To compile the characteristic tourism development plan of Zhouqu County which combines local folk culture and features of ecological environment; 3) To design tourism demonstration products ; 4) To conduct training and promotion of Zhouqu ecotourism development ability for reducing poverty and increasing income; 5) To conduct a feasibility study for the application for world heritage of “Dongshan Zhuandeng”.

Output 13: Innovation promoted in folk cultures and ecotourism, taking advantage of the coordination network for building resilient cities, while also regurgitating the local economy.

On the occasion of the resilience summit held in Zhouqu, planning and implementing new path of poverty reduction of folk culture and ecotourism, and encouraging all genders of different regions and age groups to participate in the process, with a focus on the introduction of local tourism products combining folk culture and ecological characteristics. Specifically involved: 1) To compile a Folk Culture and Ecotourism Promotion Plan; 2) To promote folk culture and ecotourism.

3.3 Resources Required to Achieve the Expected Results All major project partners, including UNDP, CICETE ， Gannan Tibetan municipal Prefecture People's Government and Zhouqu Country People's Government. Project partner will participate in project implementation and management, monitoring and evaluation and financial management. The policy, planning and related business departments of the Zhouqu County People’s Government will participate in the work of the Project Steering Committee, including participation in annual Project Steering Committee meetings, consultation meetings and technical seminars, and provide policy and technical guidance as relevant.

The project implementation management will be handled by the “Project Implementation Office” located in the Zhouqu County Development and Reform Bureau, including the daily implementation and regular reporting of the project. The Project Implementation Office works under the leadership of the Project Director. The “Project Director” is a county leader appointed by the Zhouqu County People’s Government.

A Chief Technical Advisor will be hired specifically for the project to provide solid technical guidance. Technical support activities will be carried out in the form of procurement services and the engagement of independent experts.

3.4 Partnerships and Stakeholders Engagement The project will involve close collaboration with mutiple stakeholders, including country and local municipality departments, academic and research institutions (including universities and research institutes), non-governmental organizations, the private sector, other cities in the region or elsewhere with similar characteristics as Zhouqu, communities and the public. The project may also explore international linkages and lessons learned to best deliver its expected results. The project design will also reflect relevant UNDP end poverty, the environment, sustainable communities, etc. policies. In the project design stage, the relationship between stakeholders has been discussed and analyzed in depth, meetings and extensive consulatations have been conducted with county-level, township-level stakeholders. The identified major stakeholders are involved in the preparation of project documents and will participate in project implementation. This project design has also invovled mechanisms to support stakeholder participation.

As a major executing agency, CICETE is responsible for project coordination and management.

Major stakeholders supporting and participating project implementation include the following departments or groups: Zhouqu Development and Reform Commission, Zhouqu Financial Bureau, Zhouqu County Emergency Management Bureau, Zhouqu County Housing Construction Bureau, Zhouqu County Poverty Alleviation Office, Zhouqu County Ecological and Environmental Protection Bureau, Zhouqu County Electric Power Bureau, Zhouqu County Agriculture and Animal Husbandry Bureau (Agriculture Bureau), Zhouqu County Business Bureau, Zhouqu County Cultural Bureau, Zhouqu County Education Bureau, People's Bank of China Zhouqu Sub-branch, Zhouqu County Tourism Bureau, community and aborigines, academic and scientific institutions, media.

3.5 Assumptions The key assumptions of the project's theory of change include: 1) China's policies continue to support disaster prevention, mitigation and sustainable development; 2) China's policies continue to support environmental quality improvement and renewable energy development and utilization; 3) the demand for disaster prevention and mitigation and improvement of environmental quality is still strong;4) The government's budget support for the above priority objectives will remain at least at the current level; 5) The participating institutions will continue to contribute to achieve satisfactory project results; 6) Zhouqu County Finance has continuous ability to provide financial support for the project.

3.6 Risks According to the theory of change and the experience from similar projects, identification and analysis shows the project will mainly face the following risks:

Project risk and response measures

Description Type Countermeasures/ Management Response

Inadequate In addition to the project steering committee, the coordination among project will set up a project implementation office in the agencies. Mediu Development and Reform Bureau in Zhouqu County, m as designated by the People's Government of Zhouqu. The lack of coordination The project steering committee is responsible for the mechanisms in the review of the project schedule and the approval of the participating annual work plan, budget and the quality review of the 17

Description Type Countermeasures/ Management Response departments hinders the project results. Once the annual work plan and budget effectiveness of human are formally approved by the project steering and financial resources committee, the project implementation office will be and reduces the responsible for ensuring adequate coordination and efficiency of the policy cooperation between all units. The project process and the impact implementation office is responsible for ensuring the of project outcomes. smooth implementation of the project plan and timely identifying and handling issues affecting project implementation.

This risk has been resolved in the project design: 1) The process of policy Design targeted activities that aligns with the direction formulation and of policy planning to ensure that project-related inputs adoption could be are highly aligned with the policies and plans of each slow. department. 2) Conduct a large number of capacity building and public awareness activities for local The process of adopting Mediu management and community personnel in disaster project-related policy m prevention and mitigation, especially focusing on recommendations could preparedness, such as disaster prevention and be slow, and may mitigation such as systems and early warning. 3) The reduce the efficiency of project will also support relevant international policies and planning exchange activities to enhance the disaster prevention due to poor economic and mitigation capabilities of local decision-making, development planning. management and executive levels.

The major economic sectors have not prioritized sustainable development and environmental This risk has been resolved in the project design. 1 improvement. The design stage has been identified through consultation and consultation with the Zhouqu County The project involves a Reform and Development Bureau, the Emergency number of economic Management Bureau, the Ecology and Environmental and industrial sectors, Protection Bureau, the Natural Resources Bureau, the especially disaster Agriculture and Animal Husbandry Bureau, the prevention and Housing and Construction Bureau, the Poverty mitigation, Alleviation Office, and the Power Bureau. Opportunities environmental to work with these sectors – this is precisely the basic improvement, requirement for disaster prevention and mitigation and renewable energy Mediu environmental protection mainstreaming. 2 In addition, utilization, poverty the integration of disaster prevention and mitigation alleviation, and m and environmental protection mainstreaming into employment. Therefore, development planning is in full compliance with current there is a risk that the government policies and has received strong support project cannot be from current government policies. 3 The project design effectively integrated also includes disaster prevention and mitigation, with these industrial climate change capacity building, disposal of pollutants sectors, resulting in the such as garbage and sewage, demonstration of project's inability to renewable energy, etc., which can further enhance the achieve comprehensive resilience of disaster prevention and mitigation at all planning and providing levels and support sustainable development for a long long-term effective time. support for disaster prevention and mitigation, environmental governance and sustainable

Description Type Countermeasures/ Management Response

development.

The project will develop and implement a series of activities in the three-year (or 36-month) cycle for disaster prevention and mitigation, environmental governance, renewable energy use, and climate change response (including but not limited to seminars, other UN projects of the same kind) Share, etc.) to minimize or resolve this risk.

Activity planning: There are certain risks in disaster prevention 1) Target group: officials of township and village and mitigation, climate Medi committees, business managers, primary and change, and um secondary school students and local villagers. environmental awareness. 2) Ways and contents: 1 will be specifically designed for each target group; 2 incorporate environmental protection related legal requirements into education and publicity programs; 3 widely listen to the opinions of the public, and incorporate the opinions of villagers into the design and implementation of education and publicity activities Process; 4 is closely integrated with the government and the livelihood improvement activities funded by the project.

3.7 Assessment of Partnerships The project will be conducted through national implementation modality (NIM). UNDP and CICETE have more than 30 years of experience in cooperation in the field of sustainable development in China, and have established robust national implementation modes as well as corresponding rules and regulations. This will provide an effective institutional guarantee for the smooth, effective and compliant implementation of the project, and with referential experience for Zhouqu country to implement international cooperation projects. Based on the above analysis, the partnership of the project is perceived by both parties as solid.

3.8 Knowledge Sharing and Best Practices The project will include the system construction designed, planning and feasibility study, case sharing, disaster prevention and mitigation capacity building and strengthening at different levels, seminars and exchanges at home and abroad, and has a strong feature of “evidence-based knowledge management”. In the implementation process, the project also involves the use of provincial and national international platforms for disaster prevention and mitigation promotion and knowledge sharing activities. All of these project activities will generate a large number of case studies.

The project will systematically collect, collate and analyse successful experiences and best practices by knowledge management methods, and regularly publish relevant topics, briefings and technical reports in conjunction with national, provincial, state, and county policy processes to share projects outcomes on a larger scale. In addition, the project will share knowledge and best practices through multiple channels, including online and offline tools.

3.9 Sustainability and Scaling up The project gives priority to the interaction and sustainability of the project outcomes. In order to ensure the project's response to the latest technological advances and policy thinking and practices for expanding the partnership, integrating project resources and expanding the scope of the project.

19 the project will remain open to potential partners, including academia, stakeholders from the private sector, charitable foundations, and civil society groups.

Knowledge creation and sharing

①Based on the implementation process of the project, , the project results and a series of special research reports will be regularly published to provide referential experience and technical knowledge for relevant departments and other regions in Zhouqu and beyond.

②As the project's design and implementation are closely related and highly consistent with the relevant policies, the project outcomes will remain within the framework of the project partners and be internalized within the current system.

③The project's outcomes in disaster prevention and mitigation capacity building, environmental improvement, renewable energy utilization, poverty alleviation, employment will be incorporated into government-led multi-sector planning, which will allow project outcomes' impacts to continue beyond the project cycle to create positive impact on people’s lives.

The financial sustainability of the project outcomes does not raise a significant risk. At present, the financial resources in the field of environmental governance and promotion of sustainable development are constantly increasing in China and the Gansu Province, Gannan Tibetan Autonomous Prefecture, and it is expcted that the financial resources in this area will continue to increase in the foreseeable future. During the implementation of the project, the Project Executive Office will establish communication channels and platforms between key stakeholders, and build partnership with the County, township comprehensive functional departments and industry authorities to lay a broader and more solid foundation for environmental governance and restoration in the future.

One of the key outcomes is to enhance disaster prevention and mitigation capabilities, improve environmental sustainability, reduce poverty, employment activities and financial sustainability of measures. In addition to ensuring capacity building and the financial resources needed to effectively implement the various programs and activities, the project design is also very cost- effective. Compared with environmental governance and rehabilitation projects based on a single engineering approach, the mainstreaming approach adopted by the project, which is intended to enhance the capacity of government departments’ policies,the decision-making,and to form a scientific, reasonable, reproducible, scalable, economical and practical principle based on demonstrations, is found to be beneficial to achieve the goals of achieving environmental governance and sustainable development goals. In this sense, the project has a high cost-benefit ratio.

In addition, the project design approach is conducive to involve community and private sector in environmental governance and rehabilitation. By improving collaboration between sectors and stabilizing engagement of community and private sector, project outcomes is hoped to be more sustainable.

3.10 Communications of Results The project has incorporated public awareness, advocacy and “mainstreaming” into its project design.

The project will deepen the understanding of the importance of environmental sustainability to policy makers (government and enterprise level) and the publics through the following methods:1）Supporting the preparation and implementation for “the Resilience Community/City Strategic Plan and Action Plan for Zhouqu County”；2）Supporting the preparation of “Capacity developed for disaster prevention and mitigation as well as climate change adaptation”;3) Supporting the preparation and implementation of “Green Book of Resilience Building and Sustainable Development of Zhouqu County”

The project will also make full use of the current partners and new communication platform to communicate with stakeholders, including: 1) UNDP website; 2) CICETE website; 3) Zhouqu

Municipal Government website 4) the partnership of the project participates and contribute to the communications and advocacy of the project 5) briefings, special reports, internal reports, reports, announcements, and social medias such as WeChat and Weibo.

Expected Results

• The text under this heading should translate the strategy above into the work we will do through the project. Describe the planned interventions of the project and explain why those interventions are best suited to achieve the intended results, linking this to the theory of change. State what change we expect to see that will be attributable to the project. Expected development change should be included in the results framework and monitored regularly by the project. Link the expected results to the relevant higher level results (i.e., programme outcome, UNDAF, Strategic Plan.)

Resources Required to Achieve the Expected Results

• Describe what resources are required to achieve the expected results. Thinking about the change pathway in your theory of change, state the key inputs (people, purchases, partnerships, etc.) that are required to deliver the outputs. This should include UNDP staff time from the country, region or HQ level, which must be adequately estimated, costed, and included in the project budget.

Partnerships

• Describe how the project will work with partners to achieve results and briefly map what other stakeholders and initiatives are doing to address the development challenge. This should not be simply a list of partners, it should be linked to the theory of change. For example, what are the assumptions and expected results achieved by partners that are critical for the achievement of results of this project?

Risks and Assumptions

• Specify the key risks that can threaten the achievement of results through the chosen strategy and the assumptions on which the project results depends. Describe how project risks will be mitigated, especially how potential adverse social and environmental impacts will be avoided where possible and otherwise managed. Refer to the full risk log, which should be attached as an annex.

Stakeholder Engagement • Identify key stakeholders and outline a strategy to ensure stakeholders are engaged throughout, including:

• Target Groups: Identify the targeted groups that are the intended beneficiaries of the project. What strategy will the project take to identify and engage targeted groups?

• Other Potentially Affected Groups: Identify potentially affected people and a strategy for engagement and ensuring they have access to and are aware of mechanisms to submit concerns about the social and environmental impacts of a project (e.g. UNDP’s Social and Environmental Compliance Review and Stakeholder Response Mechanism).

South-South and Triangular Cooperation (SSC/TrC)

• Describe how the project intends to use SSC/TrC to achieve and sustain results, if applicable.

Knowledge

• Describe any specific knowledge products, besides evaluations, that will be produced by the project (e.g., publications, databases, media products, etc.) and how the project will create visibility for knowledge and lessons learned generated by the project so others can benefit. 22

Sustainability and Scaling Up

• Describe how the project will use relevant national systems, and specify the transition arrangement to sustain and/or scale-up results, as relevant. Describe how national capacities will be strengthened and monitored as relevant, and how national ownership will be ensured.

IV. PROJECT MANAGEMENT

The main activities of project management include: project planning, implementation, management, monitoring and evaluation, annual audit and project information publicity and communication, as well as knowledge sharing. Besides National Project Director, project management and implementation staff also includes Project Manager, Financial Officer.

The project implementation office of the project will be hosted in the Zhouqu County Development and Reform Bureau.The Project implementation Office has the overall responsibility for the implementation and management of the project,and is responsible for the implementation management, monitoring and evaluation and reporting of the project activities in accordance with the work plan.

V. RESULTS FRAMEWORK Contribution to the Sustainable Development Goals (SDGs):

The outcomes of this project will directly/indirectly promote the achievement of the following objectives in the relevant regions:

Goal 1: End poverty in all its forms everywhere

Goal 3: Ensure healthy lives and promote well-being for all at all ages

Goal 5: Achieve gender equality and empower all women and girls

Goal 7: Ensure access to affordable, reliable, sustainable and modern energy for all

Goal 8: Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all

Goal 11: Make cities and human settlements inclusive, safe, resilient, and sustainable

Goal 13: Take urgent action to combat climate change and its impacts

Contribution to the Outcomes of United Nations Development Assistance Framework for the People’s Republic of China (2016-2020)

Outcome 1: More people especially vulnerable groups have increased opportunities for economic, social and cultural development as a result of improved living conditions. Outcome 2: More people enjoy a cleaner, healthier and safer environment as a result of effectively improved ecological environment protection and sustainable green growth.

Contribution to the outcomes of UNDP Country Programme Document for China (2016-2020)

Performance indicators:

Number of feasibility recommendations for the preparation of reports, plans, feasibility studies, action plans and other intellectual property; number of direct beneficiaries and indirect beneficiaries participating in training or project activities (including males and females); batches for training; The number of poor households; the number and type of units involved in soliciting opinions; the number of relevant policies and regulations of Zhouqu and Gannan; the number of member units, the number of counties, the number of provinces linked by the collaborative network and the mechanized platform; Quantity; the type and quantity of tourism products designed.

Project Title: United Nations Development Programme – People’s Republic of China - Demonstration Project of Resilience Community Construction and Sustainable Development in Zhouqu County, Gansu Province Atlas Project Number:

Benchmark Target Methodology of Expected Outputs Output Indicators Data sources Final No. 2018 2019 2020 2021 2022 data collection results Expected Outcome 1: Enhanced capacity on climate change adaptation and disaster risk management; a model for Resilient Community/City is developed in Zhouqu and can be shared with the world. Project 1.1 To conduct in-depth research on Zhouqu with Implementation reference to the content of domestic and Office ， Report, international resilience building frameworks, Technical Annual report and including but not limited to the following four Assistance Report Quarterly Technical types of indicators: health and well-being Assistance Report (people), economic and social (organization), Output 1: urban system and its services (local), leadership Compilation of the and strategy (knowledge ), etc.; Resilience Project Annual report and Implementation Quarterly Technical Community/City 1.2 To conduct domestic and international field Office ， Report, Assistance Report Strategic Plan and visits to learn from experience of resilience Technical Action Plan for building; Zhouqu County Assistance Report Project Annual report and 1.3 To conduct workshop on exploring the Implementation Quarterly Technical feasibility and action plan for resilience building in Office ， Report, Assistance Report Zhouqu; Technical Assistance Report 1.4 To compile Zhouqu County Resilience Project Annual report and

Community/City Strategic Plan and Action Plan Implementation Quarterly Technical

Office ， Report, Assistance Report Technical Assistance Report Project Annual report and Implementation Quarterly Technical 2.1 To organise seminars on resilience Office ， Report, Assistance Report community/city builfing; Output 2: Technical Developed Assistance Report community-based Project Annual report and smart resilience 2.2 To establish smart resilience baseline with a Implementation Quarterly Technical solutions that is sound working, coordination and safeguarding Office ， Report, Assistance Report institutionalizable mechanisms and collect relevant data; Technical for county-level Assistance Report emergency response Project Annual report and management; 2.3 To compile a plan for community-based smart Implementation Quarterly Technical systematically resilience building that is institutionalisable for Office ， Report, Assistance Report enhanced capacity emergency management at county-level; Technical for comprehensive Assistance Report disaster 2.4 To carry out pilots while encouraging the Project Annual report and prevention and participation of various entities, and improve Implementation Quarterly Technical disaster preparedness and response capacity Office ， Report, Assistance Report response; comprehensively, including monitoring, early Technical warning, research and analysis, decision-making Assistance Report in emergencies etc. 3.1 To carry out innovative advocacy and Project Annual report and education activities on disaster preparedness and Implementation Quarterly Technical risk reduction on the important anniversaries Office ， Report, Assistance Report such as “8•8” and “7•10”, “5•12” (the National Technical Output 3: Capacity Disaster Prevention and Reduction Day and) Assistance Report developed for “10•13” (International Disaster Reduction Day); to gender-responsive conduct activities such as “community and disaster grassroots disaster reduction capacity”; prevention and To drive specific actions on community disaster Project Annual report and mitigation as well risk management capacity building, and launch Implementation Quarterly Technical as climate change tailored training and activities such as community Office ， Report, Assistance Report adaptation. first responders, community risk maps, and Technical household disaster risk reduction plans; Assistance Report Project Annual report and 3.3 Based on the International Comprehensive Implementation Quarterly Technical Safety School Framework (CSS), to conduct Office ， Report, Assistance Report

training and demonstration of safe school Technical development capabilities in the region; Assistance Report 3.4 Attention is paid to nurturing leaders (or Project Annual report and supporting their participation in employment) from Implementation Quarterly Technical vulnerable groups such as left-behind women Office ， Report, Assistance Report during the process of implementing related Technical activities Assistance Report Output 4: Project Annual report and Compiliation of Implementation Quarterly Technical 4.1 To conduct research and workshops to sort the “Green Book Office ， Report, Assistance Report out the development history of Zhouqu; of Resilience Technical Building and Assistance Report Sustainable Project Annual report and Development of 4.2 To compile the “Green Book for Resilience Implementation Quarterly Technical Zhouqu Office ， Report, Assistance Report County”Resilience Building and Sustainable Development in Zhouqu County” Technical BuildingResilience Assistance Report Building Project Annual report and Implementation Quarterly Technical 5.1 To organize seminars and discuss on Office ， Report, Assistance Report establishing the coordination network; Technical Assistance Report Output 5: 5.2 To compile a socially inclusive and gender- Project Annual report and Establishment of a responsive county-level development plan for a Implementation Quarterly Technical county-level resilience city network ; to establish a sound Office ， Report, Assistance Report coordination working, coordination and safeguarding Technical network for mechanism; to carry out relevant collaborative Assistance Report building resilient pilot work with both social and gender cities and a inclusiveness, and document lessons learnt; platform for Project Annual report and 5.3 To plan and establish an knowledge sharing international Implementation Quarterly Technical and exchange platform for “resilient knowledge Office ， Report, Assistance Report community/city building” in China and abroad, sharing and Technical moblising the international network of UNDP; exchange. Assistance Report 5.4 To invite experts and officials in China and Project Annual report and abroad to hold regular international conferences Implementation Quarterly Technical to exchange policies and share experiences, Office ， Report, Assistance Report

lessons and relevant cases (encouraging Technical women's active participation), using the network Assistance Report of UNDP platform.

Expected Outcome 2: Imporved capacity on poverty reduction through further developing the production and distribution capacity for local high-quality specialty agricultural products. Output 6: 6.1 To conduct thematic technical workshops to Project Annual report and Improved capacity discuss how to further improve and optimize the Implementation Quarterly Technical on quality of agricultural products of Zhouqu County Office ， Report, Assistance Report entrepreneurship and improve the yield of quality agricultural Technical and poverty products, including but not limited to morchella, Assistance Report alleviation for left- Tibetan chicken, honey, pork, walnut, Chinese behind groups in red pepper, black fungus, potatos , corns and order to provide Chinese herbal medicine etc; new kinetic energy Project Annual report and for poverty Implementation Quarterly Technical 6.2 To conduct research and pilot of industrial reduction in Office ， Report, Assistance Report poverty reduction (including vertical farming Zhouqu County Technical through Assistance Report increasing the Project Annual report and yield of high- 6.3 To obtain necessary certifications such as Implementation Quarterly Technical quality agricultural Office ， Report, Assistance Report products and unit “certification of origin” or “green products” for high-quality agricultural products to enhance its Technical landuse efficiency, Assistance Report as well as competitiveness in the market and poverty feasibility studies reduction. Guiding new business to carry out and quality certification of conteminant-free demonstration of agricultural products, green foods and organic vertical farming agricultural products, and gradually form regional and livestock brand advantages. farming. Output7:A cold Project Annual report and chain logistics Implementation Quarterly Technical 7.1 To compile the "Cold Chain Logistics System system Office ， Report, Assistance Report Development Plan" based on the local e- constructed and commerce and related poverty reduction policies; Technical linked with the “E- Assistance Report commerce Demonstration Project County Project”; 7.2 To provide supply chain management and Implementation introduction of business administration capability development Office ， Report, leading e- for local leading cold chain logistics companies Technical commerce and distributors; Assistance Report enterprises to

support left- Project behind groups to Implementation engage in e- Office ， Report, commerce Technical entrepreneurship, Assistance Report enhanced 7.3 To carry out demonstration of production and competitiveness supply chain for e-commerce and poverty of local quality alleviation. products that accelerates of poverty reduction in Zhouqu County.

Expected outcome 3: Effective environmental governance is realized; efforts are made to achieve high-quality development. Annual report and 8.1 To organize relevant departments for carrying Project Quarterly Technical out investigation and research on waste Implementation Assistance Report treatment technologies in China and abroad, and Office ， Report, prepare upgrading and rennovation plans for Technical existing waste treatment facilities in Zhouqu Assistance Report County; Output 8: Project Annual report and Feasibility study 8.2 To compile feasibility study report on Implementation Quarterly Technical and pilots carried upgrading and transformation of existing waste Office ， Report, Assistance Report out to upgrade treatment facilities; Technical and rennovate Assistance Report existing waste Project Annual report and treatment facilities 8.3 To compile an “Environment Impact Implementation Quarterly Technical in the local area, Assessment (EIA) Report” for waste treatment Office ， Report, Assistance Report adhering to the facility; Technical requirements of Assistance Report local policies and Project Annual report and regulations. 8.4 To compile other necessary technical Implementation Quarterly Technical documents, such as energy-saving analysis and Office ， Report, Assistance Report other technical documents; Technical Assistance Report 8.5 To obtain approval from relevant department Project Annual report and of local government for the feasibility study report Implementation Quarterly Technical

and the EIA report which developed in 2 and 3 Office ， Report, Assistance Report respectively; Technical

Assistance Report 8.6 To provide technical support for the Annual report and implementation of the corresponding pilots in Project Quarterly Technical Zhouqu County (compiling the tender letter or Implementation Assistance Report providing suggestions for modification of the Office ， Report, tender letter, participating in the evaluation work, Technical participate in the evaluation and acceptance Assistance Report work, etc.). Project Annual report and 9.1 To organize relevant departments for carrying Implementation Quarterly Technical out research and investigations on domestic and ， Assistance Report Office Report, international sewage treatment technologies, and Technical compile a feasibility study report for upgrading Assistance Report existing sewage treatment facilities; Project Annual report and 9.2 To compile an EIA report for upgrading and Implementation Quarterly Technical transformation of existing sewage treatment Office ， Report, Assistance Report facility; Technical Assistance Report Project Annual report and Output 9: To compile other necessary technical documents, Implementation Quarterly Technical Appropriate such as energy-saving analysis and other Office ， Report, Assistance Report sewage treatment technical documents; Technical technology Assistance Report identified and piloted. Project Annual report and 9.4 To obtain approval from relevant department Implementation Quarterly Technical of local government for the feasibility study report Office ， Report, Assistance Report and the EIA report; Technical Assistance Report 9.5 Annual report and To provide technical support for the Quarterly Technical Project implementation of the corresponding Assistance Report Implementation demonstrations in Zhouqu County (compiling the Office ， Report, tender letter or providing suggestions for Technical modification of the tender letter, participating in Assistance Report the evaluation work, participate in the evaluation and acceptance work, etc.). Output 10: 10.1 To investigate the safety of drinking water in Project Annual report and Ensured drinking Zhouqu County and determine the drinking water Implementation Quarterly Technical water safety for safety demonstration site; Office ， Report, Assistance Report

communities and Technical students. Assistance Report 10.2 To carry out drinking water safety advocacy Annual report and activities, including but not limited to advocacy Project Quarterly Technical activities in schools (e.g. knowledge contest on Implementation Assistance Report the protection of water resources and drinking Office ， Report, water hygiene in rural areas or to organise quiz Technical events in collaboration with other UNDP safey Assistance Report drinking water projects Project Annual report and Implementation Quarterly Technical 10.3 To construct demonstration sites for drinking Office ， Report, Assistance Report water safety. Technical Assistance Report Expected outcome 4: Research on the development and utilization of renewable energy demonstrated in pursuit of green development. Project 11.1 To investigate local meteorological data, Implementation Annual report and water resources data, wind resource data, etc., Office ， Report, Quarterly Technical identify and pilot renewable energy Technical Assistance Report demonstrations that are economically viable; Assistance Report Project 11.2 To compile feasibility study report for the Implementation Annual report and demonstration of renewable energy utilization Output 11: Office ， Report, Quarterly Technical activities such as micro hydropower, biogas, and Feasibility studies Assistance Report micro wind power; Technical and pilots Assistance Report conducted on the Project utilization of Implementation Annual report and renewable energy 11.3 To compile an EIA report as necessary; Office ， Report, Quarterly Technical such as micro- Technical Assistance Report hydropower, Assistance Report biogas and micro- Project wind turbines in Implementation Annual report and cold chain 11.4 To compile other necessary technical Office ， Report, Quarterly Technical logistics system. documents, such as energy-saving analysis and Assistance Report other technical documents; Technical Assistance Report 11.5 After the feasibility study report, the EIA Project report and other required technical reports have Implementation Annual report and been approved by the relevant local government Office ， Report, Quarterly Technical departments, to carried out relevant constructions Technical Assistance Report and skills training. Assistance Report

Expected Outcome5: Innovative development of featured tourism integrating folk cultural and ecological characteristics. Project Implementation Annual report and 12.1 To hold Zhouqu Tourism Development Office ， Report, Quarterly Technical Output 12: Research seminars; Compilation of the Technical Assistance Report Featured Tourism Assistance Report Development Plan Project 12.2 To compile the characteristic tourism of Zhouqu County Implementation Annual report and development plan of Zhouqu County which , integrating local Office ， Report, Quarterly Technical combines local folk culture and features of folk culture and Technical Assistance Report ecological environment; ecological Assistance Report environment; Project relevant capacity Implementation Annual report and enhanced. 12.3 To design tourism demonstration products ; Office ， Report, Quarterly Technical Technical Assistance Report Assistance Report

VI. MONITORING WORK PLAN

The project will carry out project monitoring and evaluation according to UNDP's standard procedures of monitoring, assessment and evaluation. Monitoring and evaluation are based on the expected results listed in the project results framework, the output indicators, and the multi-year work plan of the project, which are the basis for monitoring and evaluating the progress of project implementation and the achievement of project achievements. During the project start-up workshop, these indicators will be reviewed according to the changes of external environment of the project. Based on the review, it will be decided whether these indicators and the monitoring and evaluation plan need to be modified.Project Implementation Office is responsible for the daily monitoring. 6.1 Monitoring Plan In order to ensure that the strategic direction of the project and the achievement of the expected results are in line with the design of the project, the Zhouqu Project Coordination and Management Office will regularly check the implementation in cooperation with the Project Implementation Office. If the implementation of the project is off track or encounters resistance, the Zhouqu Municipal Project Coordination and Management Office will promptly report the situation to CICETE and UNDP so that timely remedial measures can be taken.

Monitoring and Evaluation Aims Frequency Expected actions Partner Fee activities To collect and analyse the progress data of outcome Quatterly If the progress is slower than expected, the Monitoring indicators listed in the results and resource PCMO will take measures to accelerate the project frameworks to assess progress in achieving project progress. implementation outputs. process To Use risk log and other tools to identify specific Update risk The Project Coordination and Management

risks that may affect the achievement of expected log annually Office identifies the risks and takes action to M&E for risk results and monitor the implementation of risk manage the risks. The risk log is updated timely management measures. Manage financial risk to track the identified risks and measures taken through auditing. According to the quality standards of UNDP, the Mid-term The project implementation office evaluates the

quality of the project will be evaluated, the strengths assessment strengths and weaknesses of the project and and weaknesses of the project will be identified, and final provides a basis for decision making to improve M&E for information will be provided for management assessment project performance. project quality decisions, and the quality of project implementation is improved, bringing better quality for the project implementation) The Project Office will submit a progress report in Quarterly,

Baseline accordance with the requirements of UNDP, half-yearly assessment including 1) progress data reflecting the degree of and annual 33

and project realization of output indicators; 2) annual project progress quality assessment; 3) risk log update and risk report management and control measures taken by the project, and 4 ) other assessments or review reports

prepared during the reporting period. The project will conduct regular performance Annually For identified issues such as quality or delayed

evaluation and review the multi-year work plan to schedules, the project management group ensure that the project budget arrangement on track should develop solutions in a timely manner, according to the actual situation. The project determine the implementation plan, and completion inspection (final assessment) will be effectively solve problems. Project Review carried out in the final year of the project, summarizing the project's experience and lessons learned, and discussing the arrangements for the promotion of the project's results in order to maximize the project results. Keep the overall implementation progress under Biannually CICETE and UNDP’s participation in field trips

control, investigate specific issues, help find ways to twice a year. Field trips solve the problem, and understand the drafting progress of the progress report.

6.2 Evaluation The mid-term evaluation will take place in the 30th month after start of the project. The mid-term evaluation will assess the progress of the expected results, identify existing problems and corresponding solutions, and identify experience and deficiencies in project design and implementation. The mid-term assessment focuses on the relevance, effectiveness, efficiency and sustainability of project implementation. The outline of the mid-term evaluation is to be jointly prepared by UNDP, CICETE and the Project Coordination and Management Office. The final assessment (completion inspection) will be conducted three months before the end of the project. The final evaluation's focus assessment will have the same focus as the mid-term review, but with a focus on the long term results of the project/ impact and sustainability of the project’s outcomes. The final assessment (completion inspection) will also provide suggestions for follow-up activities of the project. The outline (completion inspection) of the final assessment is to be jointly prepared by UNDP, CICETE and the Project Coordination and Management Office. Project Evaluation Plan

Evaluation Activities Time Planned Institution/Experts Responsible Fees

Project Implementation Office, and Workshop of project preparation and start-up 3rd quarter of 2019 10,000 Consultants and Experts,

2019 Annual Progress Report 4rd quarter of 2019 Project Implementation Office

2020 Annual Progress Report and Mid-term Evaluation Project Implementation Office and 4rd quarter of 2020 25,000 Report Consultants and Experts Project Implementation Office and 2021 Annual Progress Report 4rd quarter of 2021 Consultants and Experts 2022 Annual Progress Report and Mid-term Evaluation Project Implementation Office and 2rd quarter of 2022 20,000 Report Consultants and Experts

VII. MULTI-YEAR WORK PLAN (In the process of project establishment, the multi-year work plan in the project document should be completed by the United Nations Development Programme and the exchange center after consulting the leaders of Gannan and Zhouqu County on the project results, outputs and activities; During the implementation period, the work plan shall be organized by the project implementation office to organize relevant departments of Zhouqu County, and shall be prepared according to the project documents, combined with local actual conditions and project implementation progress, and reported to the exchange center and the United Nations Development Programme, and then the project steering committee shall be convened. After discussion and approval, the official work plan signed in English and Chinese will be submitted to the Exchange Center and the United Nations Development Program by January 15 of each year.) Responsi Planned Budget Expected Planned Activities Planned Budget by Year ble Allocation Outputs Parties Parall el Total fundin 2019 2020 2021 2022 UNDP Amount g from TRAC (USD) Gover nment 1.1 To conduct in-depth research on Zhouqu with Expected reference to the content of domestic and international Project Outcome 1: resilience building frameworks, including but not limited Implemen 6,000 6,000 6,000 18,000 18,000 Enhanced to the following four types of indicators: health and well- tation capacity on being (people), economic and social (organization), Office climate change urban system and its services (local), leadership and

Responsi Planned Budget Expected Planned Activities Planned Budget by Year ble Allocation Outputs Parties Parall el Total fundin 2019 2020 2021 2022 UNDP Amount g from TRAC (USD) Gover nment adaptation and strategy (knowledge ), etc.; disaster risk management; a model for Resilient Community/City is developed in Zhouqu and can be shared with the world. Project 1.2 To conduct domestic and international field visits to Implemen learn from experience of resilience building; 15,000 5,000 20,000 20,000 tation

Office Project 1.3 To conduct workshop on exploring the feasibility and Implemen 10,000 10,000 20,000 20,000 action plan for resilience building in Zhouqu; tation Office Project 1.4 To compile Zhouqu County Resilience Implemen 70,000 70,000 70,000 Community/City Strategic Plan and Action Plan tation Office In total (output 1):128,000 Output 2: Developed community- Project based smart 2.1 To organise seminars on resilience community/city Implemen 10,000 10,000 20,000 20,000 resilience builfing; tation solutions that is Office institutionalizabl e for county-

Responsi Planned Budget Expected Planned Activities Planned Budget by Year ble Allocation Outputs Parties Parall el Total fundin 2019 2020 2021 2022 UNDP Amount g from TRAC (USD) Gover nment level emergency response management; systematically enhanced capacity for comprehensive disaster prevention and response; Project 2.2 To establish smart resilience baseline with a sound Implemen working, coordination and safeguarding mechanisms and 10,000 8,000 18,000 18,000 tation collect relevant data; Office Project 2.3 To compile a plan for community-based smart Implemen resilience building that is institutionalisable for emergency 10,000 10,000 20,000 20,000 tation management at county-level; Office 2.4 To carry out pilots while encouraging the participation Project of various entities, and improve disaster preparedness Implemen and response capacity comprehensively, including 10,000 10,000 10,000 30,000 30,000 tation monitoring, early warning, research and analysis, Office decision-making in emergencies etc. In total (output 2):88,000 Output 3: 3.1 To carry out innovative advocacy and education Capacity activities on disaster preparedness and risk reduction on developed for the important anniversaries such as “8•8” and “7•10”, Project gender- “5•12” (the National Disaster Prevention and Reduction Implemen 5,000 4,000 5,000 14,000 14,000 responsive Day and) “10•13” (International Disaster Reduction Day); tation disaster to conduct activities such as “community and grassroots Office prevention and disaster reduction capacity”; mitigation as

Responsi Planned Budget Expected Planned Activities Planned Budget by Year ble Allocation Outputs Parties Parall el Total fundin 2019 2020 2021 2022 UNDP Amount g from TRAC (USD) Gover nment well as climate change adaptation. 3.2 To drive specific actions on community disaster risk Project management capacity building, and launch tailored Implemen training and activities such as community first 10,000 30,000 30,000 70,000 70,000 tation responders, community risk maps, and household Office disaster risk reduction plans;

Project 3.3 Based on the International Comprehensive Safety Implemen School Framework (CSS), to conduct training and 10,000 10,000 10,000 30,000 30,000 tation demonstration of safe school development capabilities in Office the region; 3.4 Attention is paid to nurturing leaders (or supporting Project their participation in employment) from vulnerable groups Implemen 2,000 2,000 2,000 6,000 6,000 such as left-behind women during the process of tation implementing related activities, Office 产出 3 合计：In total (output 3):120,000 Output 4: Compiliation of the “Green Book of Resilience Building and Project Sustainable 4.1 To conduct research and workshops to sort out the Implemen 8,000 8,000 16,000 16,000 Development of development history of Zhouqu; tation Zhouqu Office County”Resilien ce BuildingResilien ce Building 4.2 To compile the “Green Book for Resilience Building Project 30,000 30,000 30,000 and Sustainable Development in Zhouqu County” Implemen

Responsi Planned Budget Expected Planned Activities Planned Budget by Year ble Allocation Outputs Parties Parall el Total fundin 2019 2020 2021 2022 UNDP Amount g from TRAC (USD) Gover nment tation Office In total (output 4):46,000 Output 5: Establishment of a county-level coordination network for building resilient Project cities and a 5.1 To organize seminars and discuss on establishing Implemen 5,000 5,000 10,000 10,000 platform for the coordination network; tation international Office knowledge sharing and exchange.

5.2 To compile a socially inclusive and gender- responsive county-level development plan for a resilience Project city network ; to establish a sound working, coordination Implemen 7,000 15,000 14,000 36,000 and safeguarding mechanism; to carry out relevant tation 36,000 collaborative pilot work with both social and gender Office inclusiveness, and document lessons learnt; 5 Project 5.3 To plan and establish an knowledge sharing and Implemen exchange platform for “resilient community/city building” 10,000 10,000 20,000 20,000 tation in China and abroad, moblising the international network Office of UNDP; 5.4 To invite experts and officials in China and abroad to Project

hold regular international conferences to exchange Implemen 40,000 120,00 policies and share experiences, lessons and relevant 40,000 tation 120,000 40,000 0 cases (encouraging women's active participation), using Office

Responsi Planned Budget Expected Planned Activities Planned Budget by Year ble Allocation Outputs Parties Parall el Total fundin 2019 2020 2021 2022 UNDP Amount g from TRAC (USD) Gover nment the network of UNDP platform. In total (output 5):186000 Output 6: Improved capacity on entrepreneurshi p and poverty alleviation for left-behind groups in order to provide new kinetic energy for poverty reduction in 6.1 To conduct thematic technical workshops to discuss Zhouqu County how to further improve and optimize the quality of Project through agricultural products of Zhouqu County and improve the Implemen increasing the yield of quality agricultural products, including but not 6,600 6,600 6,600 19,800 19,800 tation yield of high- limited to morchella, Tibetan chicken, honey, pork, Office quality walnut, Chinese red pepper, black fungus, potatos , agricultural corns and Chinese herbal medicine etc; products and unit landuse efficiency, as well as feasibility studies and demonstration of vertical farming and livestock farming. 6.2 To conduct research and pilot of industrial poverty 182,200 400,000 40,000 Project 612,20 10,000 622200

Responsi Planned Budget Expected Planned Activities Planned Budget by Year ble Allocation Outputs Parties Parall el Total fundin 2019 2020 2021 2022 UNDP Amount g from TRAC (USD) Gover nment reduction (including vertical farming); Implemen 0 tation Office 6.3 To obtain necessary certifications such as “certification of origin” or “green products” for high-quality agricultural products to enhance its competitiveness in Project the market and poverty reduction. Guiding new business Implemen 56,778 13,000 to carry out quality certification of conteminant-free 22,000 21,778 tation 56,778 agricultural products, green foods and organic Office agricultural products, and gradually form regional brand advantages. In total (output 6):681,000 Output 7: A cold chain logistics system constructed and linked with the “E- commerce Demonstration County Project”; Project 7.1 To compile the "Cold Chain Logistics System introduction of Implemen Development Plan" based on the local e-commerce and 8,000 8,000 8,000 leading e- tation related poverty reduction policies; commerce Office enterprises to support left- behind groups to engage in e- commerce entrepreneurship, enhanced competitiveness

Project 7.2 To provide supply chain management and business Implemen administration capability development for local leading 10,000 1,000 1,000 12,000 12,000 tation cold chain logistics companies and distributors; Office

Project 7.3 To carry out demonstration of production and supply 30,000 Implemen chain for e-commerce and poverty alleviation. 12,000 10,000 8,000 30,000 tation

Office

In total (output 7):50,000 Output 8: Feasibility study and pilots carried out to 8.1 To organize relevant departments for carrying out Project upgrade and investigation and research on waste treatment Implemen 10,000 10,000 10,000 rennovate technologies in China and abroad, and prepare tation existing waste upgrading and rennovation plans for existing waste Office treatment treatment facilities in Zhouqu County; facilities in the local area,

Responsi Planned Budget Expected Planned Activities Planned Budget by Year ble Allocation Outputs Parties Parall el Total fundin 2019 2020 2021 2022 UNDP Amount g from TRAC (USD) Gover nment adhering to the requirements of local policies and regulations. Project 8.2 To compile feasibility study report on upgrading and Implemen 20,000 20,000 20,000 transformation of existing waste treatment facilities; tation Office Project 8.3 To compile an “Environment Impact Assessment Implemen 15,000 15,000 15,000 (EIA) Report” for waste treatment facility; tation Office Project 8.4 To compile other necessary technical documents, Implemen 8,000 5,000 13,000 13,000 such as energy-saving analysis and other technical tation documents; Office Project 8.5 To obtain approval from relevant department of local Implemen government for the feasibility study report and the EIA 8,000 8,000 8,000 tation report which developed in 2 and 3 respectively; Office 8.6 To provide technical support for the implementation Project of the corresponding pilots in Zhouqu County (compiling Implemen 300,00 the tender letter or providing suggestions for modification 150,000 150,000 300,000 tation 0 of the tender letter, participating in the evaluation work, Office participate in the evaluation and acceptance work, etc.). In total (output 8):366,000 Output 9: 9.1 To organize relevant departments for carrying out Appropriate Project research and investigations on domestic and sewage Implemen international sewage treatment technologies, and 10,000 10,000 10,000 treatment tation compile a feasibility study report for upgrading existing technology Office sewage treatment facilities; identified and

Responsi Planned Budget Expected Planned Activities Planned Budget by Year ble Allocation Outputs Parties Parall el Total fundin 2019 2020 2021 2022 UNDP Amount g from TRAC (USD) Gover nment piloted. Project 9.2 To compile an EIA report for upgrading and Implemen 10,000 10,000 10,000 transformation of existing sewage treatment facility; tation Office Project 9.3 To compile other necessary technical documents, Implemen such as energy-saving analysis and other technical 10,000 10,000 10,000 tation documents; Office 9.4 To obtain approval from relevant department of local Project government for the feasibility study report and the EIA Implemen 5,000 5,000 5,000 report; tation Office 9.5 To provide technical support for the implementation of the corresponding demonstrations in Zhouqu County Project (compiling the tender letter or providing suggestions for Implemen 270,00 modification of the tender letter, participating in the 270,000 270,000 tation 0 evaluation work, participate in the evaluation and Office acceptance work, etc.).

In total (output 9):305,000 Output 10:

Ensured 10.1 To investigate the safety of drinking water in Project drinking water Zhouqu County and determine the drinking water safety 5,000 5,000 Implemen 10,000 10,000 safety for demonstration site; tation communities Office and students. 10.2 To carry out drinking water safety advocacy Project activities, including but not limited to advocacy activities Implemen in schools (e.g. knowledge contest on the protection of 5,000 10,000 15,000 15,000 tation water resources and drinking water hygiene in rural areas Office or to organise quiz events in collaboration with other

Responsi Planned Budget Expected Planned Activities Planned Budget by Year ble Allocation Outputs Parties Parall el Total fundin 2019 2020 2021 2022 UNDP Amount g from TRAC (USD) Gover nment UNDP safey drinking water projects) Project 10. 10.3 To construct demonstration sites for drinking Implemen 30,000 30,000 60,000 60,000 water safety. tation Office In total (output 10):85,000 Output 11: Feasibility studies and pilots conducted on the utilization of renewable 11.1 To investigate local meteorological data, water Project energy such as resources data, wind resource data, etc., identify and Implemen 10,000 10,000 10,000 micro- pilot renewable energy demonstrations that are tation hydropower, economically viable; Office biogas and micro-wind turbines in cold chain logistics system. 11.2 To compile feasibility study report for the Project demonstration of renewable energy utilization activities Implemen 15,000 15,000 30,000 30,000 such as micro hydropower, biogas, and micro wind tation power; Office Project Implemen 11.3 To compile an EIA report as necessary; 10,000 10,000 20,000 20,000 tation Office Project 11.4 To compile other necessary technical documents, Implemen such as energy-saving analysis and other technical 10,000 5,000 15,000 15,000 tation documents; Office

Responsi Planned Budget Expected Planned Activities Planned Budget by Year ble Allocation Outputs Parties Parall el Total fundin 2019 2020 2021 2022 UNDP Amount g from TRAC (USD) Gover nment 11.5 After the feasibility study report, the EIA report and Project other required technical reports have been approved by Implemen 170,00 90,000 60,000 20,000 170,000 the relevant local government departments, to carried out tation 0 relevant constructions and skills training. Office In total (output 11)：245,000 Output 12: Compilation of the Featured Tourism Development Project Plan of Zhouqu 12.1 To hold Zhouqu Tourism Development Research Implemen County , 5,000 5,000 5,000 15,000 15,000 seminars; tation integrating local Office folk culture and ecological environment; relevant capacity enhanced. Project 12.2 To compile the characteristic tourism development Implemen plan of Zhouqu County which combines local folk culture 20,000 20,000 20,000 tation and features of ecological environment; Office Project Implemen 12.3 To design tourism demonstration products ; 20,000 10,000 30,000 30,000 tation Office Project 12.4 To conduct training and promotion of Zhouqu Implemen ecotourism development ability for reducing poverty and 20,000 20,000 20,000 60,000 60,000 tation increasing income; Office 12.5 To conduct a feasibility study for the application for Project 10,000 40,000 50,000 50,000 world heritage of “Dongshan Zhuandeng”. Implemen

Responsi Planned Budget Expected Planned Activities Planned Budget by Year ble Allocation Outputs Parties Parall el Total fundin 2019 2020 2021 2022 UNDP Amount g from TRAC (USD) Gover nment tation Office In total (output 12)::175,000 Output 13: Innovation promoted in folk cultures and ecotourism, taking Project 13.1 To compile a Folk Culture and Ecotourism advantage of the 5,000 Implemen 5,000 5,000 Promotion Plan; coordination tation network for Office building resilient cities, while also regurgitating the local economy.

Project 13.2 To promote folk culture and ecotourism. 20,000 20,000 20,000 Implemen 60,000 60,000 tation Office In total (output 13):65,000 Chief Technncial Advisor 5,000 20,000 20,000 20,000 65,000 65,000 Project Manager 100,00 Knowledge Management & Safeguards Officer 25,000 25,000 25,000 25,000 100,000 0 165,00 Total project personnel 30,000 45,000 45,000 45,000 165,000 0 Total

Responsi Planned Budget Expected Planned Activities Planned Budget by Year ble Allocation Outputs Parties Parall el Total fundin 2019 2020 2021 2022 UNDP Amount g from TRAC (USD) Gover nment Project Implemen Project Start-up and annual M&E 10,000 10,000 10,000 tation Office Project Implemen 15,000 10,000 25,000 25,000 Mid-term Assessment tation Office Project Implemen Final Assessment 20,000 20,000 20,000 tation Office UNDP GMS(3%) 8,364 33,018 30,851 11,100 UNDP 83,333 83,333 CICETE GMS(3%) 8,364 33,018 30,851 11,100 CICETE 27,778 27,778 UNDP DPC (1%) 2,788 11,006 10,284 3,700 UNDP 83,333 83,333 CICETE DPC (1%) 2,788 11,006 10,284 3,700 CICETE 27,778 27,778 1,188,64 2,990,0 3,000,00 总计 Total 301,104 1,110,648 399,600 10,000 8 00 0 Gannan Tibetan Autonomous Prefecture Available Resources 2,990,000 USD Government and Zhouqu County Government UNDP TRAC 10,000 USD Total 3,000,000 USD

VIII. GOVERNANCE AND MANAGEMENT ARRANGEMENTS

Implementation Modality The implementation and management modality of this project is National Implementation Modality (NIM). See National Implementation Project Management Manual 2019 Revision for details.

8.2 Project Governance ad Management Framework In order to ensure project compliance and effective management of the implementation, the following management, supervision and coordination agencies are established: 1) Project Steering Committee, responsible for strategic decision-making; 2) Project Implementation Office, responsible for implementation of the project activities.

Project Governance and Management Framework

8.3 Specific Roles and Responsibilities of Key Stakeholders 8.3.1 Project Steering Committee To provide policy and strategic guidance for the implementation of the project, the “Project Steering Committee” is established. The Project Steering Committee is composed of representatives from UNDP, CICETE, the Gannan Tibetan Autonomous Prefecture Municipal Government and Zhouqu County Municipal Government. The responsibilities of the Project Steering Committee include: 1) To approve the Annual Work Plan; 2) To investigate and approve the Annual Progress Report; 3) To provide technical assistance and suggestion for the project tailored to different industries; 4) To ensure policies, human resources and supporting funding resources to support the implementation of the project; 5) To ensure the coordination of member units by coordinating internal different opinions; and 6) To conduct comprehensive assessment of the project's final results. The Project Steering Committee will meet annually. UNDP and CICETE participate in the annual meeting to Review project progress, approve annual project work plans and budgets, and discuss major issues. 8.3.2. UNDP UNDP China Office will be mainly responsible for: 1) participating in compiling the Project design and project documentations; 2) carrying out supervision and evaluation activities jointly with

CICETE and expected results; 3) Providing international experience and technology to promote project results.

8.3.3 CICETE China International Economic and Technical Exchange Center is the focal point of the United Nations Development Programme's cooperation project in China designated by the Ministry of Commerce. The Exchange Center has more than 30 years of management experience in UNDP projects and has successfully organized and implemented more than 900 projects in the development field. The communication center signs the project documents on behalf of the government and works with UNDP to oversee the project to ensure the overall project quality and provide the necessary support for the project.

8.3.4 People's Government of Gannan Tibetan Autonomous Prefecture 1) Providing consultation and support for local policy and project planning; 2) Providing guidance and support for the Zhouqu County People's Government to coordinate the state's direct departments; 3) Ensuring the funds at the beginning of each year after the project steering committee approves the annual work plan.

8.3.5 People's Government of Zhouqu People's Government of Zhouqu is responsible for providing policy, organization and coordination, funding, and physical support for the implementation of the project. In view of the output of the project, the activities involved in disaster prevention and mitigation, emergency management, resilience and capacity building, industrial structure upgrading and layout, domestic and international activities, environmental governance and renewable energy utilization, involving cross-sectoral and cross-industry coordination The Zhouqu County People's Government is also responsible for related coordination work. People's Government of Zhouqu is responsible for designating the Zhouqu County Development and Reform Bureau as the supporting unit for the project implementation office, and provide office space, staff and office equipment for project implementation office.

8.3.6 Project Implementation Office Under the guidance and supervision of the project steering committee, the project implementation office is responsible for project implementation management and financial accounting. The project implementation office is located in the Zhouqu County Development and Reform Bureau. The local government determines the director of the national project and the director of the project implementation office. The project implementation office consists of: project manager, project assistant, information officer, project accountant and cashier. The responsibilities of the project implementation office include: developing work plans, technical guidance for project output implementation, preparing procurement plans, drafting monitoring reports, regularly coordinating project results, maintaining communication with stakeholders, and providing secretariat support to the project steering committee. In addition to management and coordination of responsibilities, the project implementation office will be responsible for the implementation of policy, institutional and planning projects, promote knowledge management and results sharing, and promote the promotion and application of project results at the policy level. In addition, the project implementation office responsibilities include: coordinating the project participants to compile the summary work plan and budget, daily management of the project implementation, monitoring the progress of the project implementation and funding progress, executing the project procurement plan, signing service contracts with technical service agencies and consulting experts. Regularly coordinate project output, promote experience exchange, and prepare regular project reports. 8.3.7 Project quality control All parties to the project must work in strict compliance with the project management framework to ensure project quality.

8.4. Other Arrangements During the implementation of the project, the project will seek to cooperate with other similar projects, to implement the activities specified in the project document and achieve deliverable technical results in areas where policy and technical synergies can be generated. During implementation, the project will be open to cooperation with stakeholders including the private sector, academia, charitable foundations, and other civil society groups. With new partners, new project activities will be initiated, designed and approved in accordance with the requirements of the project cycle management of UNDP and CICETE while relevant agreement procedures will be followed.

IX. LEGAL CONTEXT

[NOTE: Please choose one of the following options, as applicable. Delete all other options from the document]

Option a. Where the country has signed the Standard Basic Assistance Agreement (SBAA) This project document shall be the instrument referred to as such in Article 1 of the Standard Basic Assistance Agreement between the Government of (country) and UNDP, signed on (date). All references in the SBAA to “Executing Agency” shall be deemed to refer to “Implementing Partner.”

This project will be implemented by [name of entity] (“Implementing Partner”) in accordance with its financial regulations, rules, practices and procedures only to the extent that they do not contravene the principles of the Financial Regulations and Rules of UNDP. Where the financial governance of an Implementing Partner does not provide the required guidance to ensure best value for money, fairness, integrity, transparency, and effective international competition, the financial governance of UNDP shall apply.

Option b. Where the country has NOT signed the Standard Basic Assistance Agreement (SBAA) The project document shall be the instrument envisaged and defined in the Supplemental Provisions to the Project Document, attached hereto and forming an integral part hereof, as “the Project Document”.

Option c. For Global and Regional Projects This project forms part of an overall programmatic framework under which several separate associated country level activities will be implemented. When assistance and support services are provided from this Project to the associated country level activities, this document shall be the “Project Document” instrument referred to in: (i) the respective signed SBAAs for the specific countries; or (ii) in the Supplemental Provisions to the Project Document attached to the Project Document in cases where the recipient country has not signed an SBAA with UNDP, attached hereto and forming an integral part hereof. All references in the SBAA to “Executing Agency” shall be deemed to refer to “Implementing Partner.”

51 value for money, fairness, integrity, transparency, and effective international competition, the financial governance of UNDP shall apply.

X. RISK MANAGEMENT

[NOTE: Please choose one of the following options that corresponds to the implementation modality of the Project. Delete all other options.]

Option a. Government Entity (NIM) 1. Consistent with the Article III of the SBAA [or the Supplemental Provisions to the Project Document], the responsibility for the safety and security of the Implementing Partner and its personnel and property, and of UNDP’s property in the Implementing Partner’s custody, rests with the Implementing Partner. To this end, the Implementing Partner shall: a) put in place an appropriate security plan and maintain the security plan, taking into account the security situation in the country where the project is being carried; b) assume all risks and liabilities related to the Implementing Partner’s security, and the full implementation of the security plan.

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

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

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

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

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

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

8. The requirements of the following documents, then in force at the time of signature of the Project Document, apply to the Implementing Partner: (a) UNDP Policy on Fraud and other Corrupt Practices and (b) UNDP Office of Audit and Investigations Investigation Guidelines. The Implementing Partner agrees to the requirements of the above documents, which are an integral part of this Project Document and are available online at www.undp.org. 52

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

10. The signatories to this Project Document will promptly inform one another in case of any incidence of inappropriate use of funds, or credible allegation of fraud or corruption with due confidentiality.

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

11. Choose one of the three following options:

Option 1: UNDP shall be entitled to a refund from the Implementing Partner of any funds provided that have been used inappropriately, including through fraud or corruption, or otherwise paid other than in accordance with the terms and conditions of the Project Document. Such amount may be deducted by UNDP from any payment due to the Implementing Partner under this or any other agreement. Recovery of such amount by UNDP shall not diminish or curtail the Implementing Partner’s obligations under this Project Document.

Option 2: The Implementing Partner agrees that, where applicable, donors to UNDP (including the Government) whose funding is the source, in whole or in part, of the funds for the activities which are the subject of this Project Document, may seek recourse to the Implementing Partner for the recovery of any funds determined by UNDP to have been used inappropriately, including through fraud or corruption, or otherwise paid other than in accordance with the terms and conditions of the Project Document.

Option 3: UNDP shall be entitled to a refund from the Implementing Partner of any funds provided that have been used inappropriately, including through fraud or corruption, or otherwise paid other than in accordance with the terms and conditions of the Project Document. Such amount may be deducted by UNDP from any payment due to the Implementing Partner under this or any other agreement.

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

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

12. Each contract issued by the Implementing Partner in connection with this Project Document shall include a provision representing that no fees, gratuities, rebates, gifts, commissions or other payments, other than those shown in the proposal, have been given, received, or promised in connection with the selection process or in contract execution, and that the 53

recipient of funds from the Implementing Partner shall cooperate with any and all investigations and post-payment audits.

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

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

Option b. UNDP (DIM) 1. UNDP as the Implementing Partner will comply with the policies, procedures and practices of the United Nations Security Management System (UNSMS.)

2. UNDP as the Implementing Partner will undertake all reasonable efforts to ensure that none of the [project funds]16 [UNDP funds received pursuant to the Project Document]17 are used to provide support to individuals or entities associated with terrorism and that the recipients of any amounts provided by UNDP hereunder do not appear on the list maintained by the Security Council Committee established pursuant to resolution 1267 (1999). The list can be accessed via http://www.un.org/sc/committees/1267/aq_sanctions_list.shtml. This provision must be included in all sub-contracts or sub-agreements entered into under this Project Document.

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

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

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

6. UNDP as the Implementing Partner will ensure that the following obligations are binding on each responsible party, subcontractor and sub-recipient:

a. Consistent with the Article III of the SBAA [or the Supplemental Provisions to the Project Document], the responsibility for the safety and security of each responsible party, subcontractor and sub-recipient and its personnel and property, and of UNDP’s property in such responsible party’s, subcontractor’s and sub-recipient’s custody, rests with such responsible party, subcontractor and sub-recipient. To this end, each responsible party, subcontractor and sub-recipient shall:

16 To be used where UNDP is the Implementing Partner 17 To be used where the UN, a UN fund/programme or a specialized agency is the Implementing Partner 54

i. put in place an appropriate security plan and maintain the security plan, taking into account the security situation in the country where the project is being carried; ii. assume all risks and liabilities related to such responsible party’s, subcontractor’s and sub-recipient’s security, and the full implementation of the security plan. b. UNDP reserves the right to verify whether such a plan is in place, and to suggest modifications to the plan when necessary. Failure to maintain and implement an appropriate security plan as required hereunder shall be deemed a breach of the responsible party’s, subcontractor’s and sub-recipient’s obligations under this Project Document. c. Each responsible party, subcontractor and sub-recipient will take appropriate steps to prevent misuse of funds, fraud or corruption, by its officials, consultants, subcontractors and sub-recipients in implementing the project or programme or using the UNDP funds. It will ensure that its financial management, anti-corruption and anti-fraud policies are in place and enforced for all funding received from or through UNDP. d. The requirements of the following documents, then in force at the time of signature of the Project Document, apply to each responsible party, subcontractor and sub- recipient: (a) UNDP Policy on Fraud and other Corrupt Practices and (b) UNDP Office of Audit and Investigations Investigation Guidelines. Each responsible party, subcontractor and sub-recipient agrees to the requirements of the above documents, which are an integral part of this Project Document and are available online at www.undp.org. e. In the event that an investigation is required, UNDP will conduct investigations relating to any aspect of UNDP programmes and projects. Each responsible party, subcontractor and sub-recipient will provide its full cooperation, including making available personnel, relevant documentation, and granting access to its (and its consultants’, subcontractors’ and sub-recipients’) premises, for such purposes at reasonable times and on reasonable conditions as may be required for the purpose of an investigation. Should there be a limitation in meeting this obligation, UNDP shall consult with it to find a solution. f. Each responsible party, subcontractor and sub-recipient will promptly inform UNDP as the Implementing Partner in case of any incidence of inappropriate use of funds, or credible allegation of fraud or corruption with due confidentiality.

Where it becomes aware that a UNDP project or activity, in whole or in part, is the focus of investigation for alleged fraud/corruption, each responsible party, subcontractor and sub-recipient will inform the UNDP Resident Representative/Head of Office, who will promptly inform UNDP’s Office of Audit and Investigations (OAI). It will provide regular updates to the head of UNDP in the country and OAI of the status of, and actions relating to, such investigation. g. Choose one of the three following options:

Option 1: UNDP will be entitled to a refund from the responsible party, subcontractor or sub-recipient of any funds provided that have been used inappropriately, including through fraud or corruption, or otherwise paid other than in accordance with the terms and conditions of this Project Document. Such amount may be deducted by UNDP from any payment due to the responsible party, subcontractor or sub-recipient under this or any other agreement. Recovery of such amount by UNDP shall not diminish or curtail any responsible party’s, subcontractor’s or sub-recipient’s obligations under this Project Document.

Option 2: Each responsible party, subcontractor or sub-recipient agrees that, where applicable, donors to UNDP (including the Government) whose funding is the source, in whole or in part, of the funds for the activities which are the subject of the Project Document, may seek recourse to such responsible party, subcontractor or sub-recipient for the recovery of any funds determined by UNDP to have been used inappropriately, including through fraud or corruption, or otherwise paid other than in accordance with the terms and conditions of the Project Document.

Option 3: UNDP will be entitled to a refund from the responsible party, subcontractor or sub-recipient of any funds provided that have been used inappropriately, including through fraud or corruption, or otherwise paid other than in accordance with the terms and conditions of the Project Document. Such amount may be deducted by UNDP from any payment due to the responsible party, subcontractor or sub-recipient under this or any other agreement.

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

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

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

j. Each responsible party, subcontractor and sub-recipient shall ensure that all of its obligations set forth under this section entitled “Risk Management” are passed on to its subcontractors and sub-recipients and that all the clauses under this section entitled “Risk Management Standard Clauses” are adequately reflected, mutatis mutandis, in all its sub-contracts or sub-agreements entered into further to this Project Document.

Option c. CSO/NGO/Non-UN or other IGO with no signed SBEAA with UNDP 1. Consistent with the Article III of the SBAA [or the Supplemental Provisions to the Project Document], the responsibility for the safety and security of the Implementing Partner and its personnel and property, and of UNDP’s property in the Implementing Partner’s custody, rests with the Implementing Partner. To this end, the Implementing Partner shall: a) put in place an appropriate security plan and maintain the security plan, taking into account the security situation in the country where the project is being carried;

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

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

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

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

18 Use bracketed text only when IP is an NGO/IGO 57

11. Choose one of the three following options:

Option 1: UNDP shall be entitled to a refund from the Implementing Partner of any funds provided that have been used inappropriately, including through fraud or corruption, or otherwise paid other than in accordance with the terms and conditions of this Project Document. Such amount may be deducted by UNDP from any payment due to the Implementing Partner under this or any other agreement. Recovery of such amount by UNDP shall not diminish or curtail the Implementing Partner’s obligations under this Project Document.

Option 2: The Implementing Partner agrees that, where applicable, donors to UNDP (including the Government) whose funding is the source, in whole or in part, of the funds for the activities which are the subject of the Project Document, may seek recourse to the Implementing Partner for the recovery of any funds determined by UNDP to have been used inappropriately, including through fraud or corruption, or otherwise paid other than in accordance with the terms and conditions of the Project Document.

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

14. The Implementing Partner shall ensure that all of its obligations set forth under this section entitled “Risk Management Standard Clauses” are passed on to each responsible party, subcontractor and sub-recipient and that all the clauses under this section entitled “Risk Management” are included, mutatis mutandis, in all sub-contracts or sub-agreements entered into further to this Project Document. 58

Option d. UN Agency other than UNDP, and IGO with signed SBEAA with UNDP

1. [Name of UN Agency/IGO] as the Implementing Partner will comply with the policies, procedures and practices of the United Nations Security Management System (UNSMS.)

2. [Name of UN Agency/IGO] as the Implementing Partner will ensure that the following obligations are binding on each responsible party, subcontractor and sub-recipient that is not a UN entity:

a. Consistent with the Article III of the SBAA [or the Supplemental Provisions to the Project Document], the responsibility for the safety and security of each responsible party, subcontractor and sub-recipient and its personnel and property, and of [Name of UN Agency/IGO]’s property in such responsible party’s, subcontractor’s and sub-recipient’s custody, rests with such responsible party, subcontractor and sub-recipient. To this end, each responsible party, subcontractor and sub-recipient shall:

b. [Name of UN Agency/IGO] reserves the right to verify whether such a plan is in place, and to suggest modifications to the plan when necessary. Failure to maintain and implement an appropriate security plan as required hereunder shall be deemed a breach of the responsible party’s, subcontractor’s and sub-recipient’s obligations under this Project Document.

3. [Name of UN Agency/IGO] agrees to undertake all reasonable efforts to ensure that none of the [project funds]19 [UNDP funds received pursuant to the Project Document]20 are used to provide support to individuals or entities associated with terrorism and that the recipients of any amounts provided by UNDP hereunder do not appear on the list maintained by the Security Council Committee established pursuant to resolution 1267 (1999). The list can be accessed via http://www.un.org/sc/committees/1267/aq_sanctions_list.shtml.

19 To be used where UNDP is the Implementing Partner 20 To be used where the UN, a UN fund/programme or a specialized agency is the Implementing Partner 59

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

8. [This text should be included when the Implementing Partner is a non-UN IGO: The requirements of the following documents, then in force at the time of signature of the Project Document, apply to the Implementing Partner: (a) UNDP Policy on Fraud and other Corrupt Practices and (b) UNDP Office of Audit and Investigations Investigation Guidelines. The Implementing Partner agrees to the requirements of the above documents, which are an integral part of this Project Document and are available online at www.undp.org.]

9. [This text should be included when the Implementing Partner is a non-UN IGO: In the event that an investigation is required, UNDP has the obligation to conduct investigations relating to any aspect of UNDP projects or programmes. The Implementing Partner shall provide its full cooperation, including making available personnel, relevant documentation, and granting access to the Implementing Partner’s (and its consultants’, responsible parties’, subcontractors‘ and sub-recipients’) premises, for such purposes at reasonable times and on reasonable conditions as may be required for the purpose of an investigation. Should there be a limitation in meeting this obligation, UNDP shall consult with the Implementing Partner to find a solution.]

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

11. Choose one of the three following options:

Option 1: UNDP shall be entitled to a refund from the Implementing Partner of any funds provided that have been used inappropriately, including through fraud or corruption, or otherwise paid other than in accordance with the terms and conditions of this Project Document. Such amount may be deducted by UNDP from any payment due to the Implementing Partner under this or any other agreement. Recovery of such amount by UNDP shall not diminish or curtail the Implementing Partner’s obligations under this Project Document.

Option 2: The Implementing Partner agrees that, where applicable, donors to UNDP (including the Government) whose funding is the source, in whole or in part, of the funds for the activities which are the subject of the Project Document, may seek recourse to the Implementing Partner for the recovery of any funds determined by UNDP to have been used inappropriately, including through fraud or corruption, or otherwise paid other than in accordance with the terms and conditions of the Project Document.

Where such funds have not been refunded to UNDP, the Implementing Partner agrees that donors to UNDP (including the Government) whose funding is the source, in whole or in part, 60

of the funds for the activities under this Project Document, may seek recourse to the Implementing Partner for the recovery of any funds determined by UNDP to have been used inappropriately, including through fraud or corruption, or otherwise paid other than in accordance with the terms and conditions of the Project Document.

XI. ANNEXES

1. Project Quality Assurance Report

2. Social and Environmental Screening Template [English][French][Spanish], including additional Social and Environmental Assessments or Management Plans as relevant. (NOTE: The SES Screening is not required for projects in which UNDP is Administrative Agent only and/or projects comprised solely of reports, coordination of events, trainings, workshops, meetings, conferences, preparation of communication materials, strengthening capacities of partners to participate in international negotiations and conferences, partnership coordination and management of networks, or global/regional projects with no country level activities).

3. Risk Analysis. Use the standard Risk Log template. Please refer to the Deliverable Description of the Risk Log for instructions

4. Capacity Assessment: Results of capacity assessments of Implementing Partner (including HACT Micro Assessment)

5. Project Board Terms of Reference and TORs of key management positions