Costa Rica Readiness 201803 V3

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Readiness and Preparatory Support Proposal

How to complete this document? - A Readiness Guidebook is available to provide information on how to access funding under the GCF Readiness and Preparatory Support programme. It should be consulted to assist in the completion of this proposal template. - This document should be completed by National Designated Authorities (NDAs) or focal points with support from their delivery partners where relevant. - Please be concise. If you need to include any additional information, please attach it to the proposal. - Information on the indicative list of activities eligible for readiness and preparatory support and the process for the submission, review and approval of this proposal can be found on pages 11-13 of the guidebook. - For the final version submitted to GCF Secretariat, please delete all instructions indicated in italics in this template and provide information in regular text (not italics).

Where to get support? - If you are not sure how to complete this document, or require support, please send an e-mail to [email protected]. We will aim to get back to you within 48 hours. - You can also complete as much of this document as you can and then send it to coun- [email protected]. We will get back to you within 5 working days to discuss your submission and the way forward.

Note: Environmental and Social Safeguards and Gender

Throughout this document, when answering questions and providing details, please make sure to pay special attention to environmental, social and gender issues, particularly to the situation of vulnerable populations, including women and men. Please be specific about proposed actions to address these issues. Consult page 7 of the readiness guidebook for more information.

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ACRONYMS

AECID Spanish Agency for International Development Cooperation AFO Administration and Finance Officer CAF Development Bank of Latin America CENIGA - MINAE National Centre for Geo-Environmental Information – National Ministry of Environment and Energy CIR Regional Intersectoral Committee CNE National Commission for Risk Prevention and Emergency Management COREDES Regional Development Council DCC - MINAE Climate Change Office - National Ministry of Environment and Energy DP Delivery Partner EE Executing Entity GCF Green Climate Fund GDP Gross Domestic Product GEF Global Environment Facility ICT Costa Rican Tourism Institute IFCMDL - UNED Institute for Municipal Capacity and Training and Local Development at Distance State University IMN National Meteorological Institute INEC National Institute of Statistics and Censuses INVU National Institute of Housing and Urbanism LDC Least Developed Country LDCF Least Developed Countries Fund MAG Ministry of Agriculture and Livestock MIDEPLAN Ministry of Planning and Economic Policy MINAE National Ministry of Environment and Energy MOPT Ministry of Public Works and Transportation NAP National Adaptation Plan NAPGSP National Adaptation Plan Global Support Programme NDA National Designated Authority PC Project Coordinator PM Technical Advisor/consultant PMC Project Management Costs PMU Project Management Unit PSC Project Steering Committee REGATTA Regional Getaway for Technology Transfer and Climate Change Action for Latin America and the Caribbean ROLAC Regional Office for Latin America and the Caribbean, UN Environment SETENA National Environmental Technical Secretariat SINAC National System of Conservation Areas SINAMECC National System of Climate Change Metrics UN Environment United Nations Environment Programme UNDP United Nations Development Programme UNFCCC United Nations Framework Convention on Climate Change UNGL National Union of Local Governments VA vulnerability assessment

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SECTION 1: SUMMARY Country name: Costa Rica

Name of institution representing National Designated Authority (NDA) or Focal Point: National Min- istry of Environment and Energy (MINAE)

1. Country submitting Name of NDA/Focal Point: Carlos Manuel Rodríguez Position: Minister the proposal Telephone: +506 2257 5456/2233 4533 ext. 1162 or 1163, Email: [email protected] Full office address: Edificio Vista Palace, Calle 25, Av. 8 - 10; San José, Costa Rica

Name of official (secondary contact): Ms. Andrea Meza, Position: Climate Change Director Telephone: +506 2253 4298 / 2253 4295 / 2234 0076 Email: [email protected] Full office address: Blvd Barrio Dent, del restaurant Jürgens, 50 m sur, San José, Costa Rica 2. Date of initial sub- 05/07/2017 mission

3. Last date of resub- 27/08/2018 mission [GCF Secretariat received the latest draft of the proposal on 9 October 2018]

 National Designated Authority ⌧ Accredited Entity  Delivery Partner Name of institution: United Nations Environment Programme (UN Environment)

4. Which entity will Name of official: Ermira Fida Position: Climate Fund Coordinator implement the Readi- Telephone: +254 (20) 76 23113 (office land line), +254 714 636329 (mobile) Email: [email protected] Full Office address: UN Complex, Nairobi, Kenya ness and Preparatory Support project? Name of official: Leo Heileman Position: Regional Director and Representative for Latin America and the Caribbean Telephone: +507 305-3133 305-3100, Email: [email protected] Full Office address: Clayton, Ciudad del Saber - Avenida Morse, Edificio 103 Corregimiento de Ancón - Ciudad de Panamá, Panamá / Apto. Postal: 0843-03590 5. Title of the Readi- Building sub-national capacities for the implementation of the National Adaptation Plan in Costa ness support pro- Rica posal □ Readiness o Establishing and strengthening national designated authorities or focal points 6. Type of Readi- o Strategic frameworks, including the preparation of country programmes ness support o Support for accreditation and accredited direct access entities sought ⌧ Adaptation Planning Costa Rica has high exposure to extreme hydro-meteorological conditions and water scarcity due to its location in the Central American Isthmus. The country has made progress in the last decade in climate change adaptation planning at the national level. These advances include the National Climate Change Strategy (2009) and its corresponding Action Plan (2012), as well as sectoral vulnerability assessments, which encompass coastal zones, water resources, agriculture and food security, infrastructure, energy, and biodiversity. Although many of these assessments identify priorities for adaptation, only the biodiversity sector has developed a planning process to address this objective. The country is currently finishing its National Adaptation Strategy and National Ad- aptation Plan (NAP), as part of its commitments established in the Nationally Determined Prelimi- nary Contribution (2015). The NAP will focus on six priority sectors: infrastructure, primary produc- 7. Brief summary of tive sector, water resources, tourism, health, and biodiversity. Due to country's achievements in the request mitigation, adaptation instruments will consider creating synergies between both in the context of the so-called "climatic action."

Despite this progress, as detailed in section 3, Costa Rica urgently need to strengthen planning frameworks and processes at sub-national levels. Current sub-national plans define development goals and regulate productive activities, but do not identify and prioritize concrete adaptation measures and do not address conflicts between adaptation needs of different sectors (e.g., com- petition for water use). The strengthening of the planning frameworks must engage two sub-national and complementary levels: the cantons (municipalities) or basic government units, and the socio-economic regions (comprised by a sets of cantons, see map in annex 3) that provide the framework for development planning. In a country that still has very centralized policy-making,

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planning, and budget allocation, the regional-level approach is a necessary bridge between the central government mandates and municipal level implementation. Their respective administrative units are:

• Municipal governments (canton level) that are charged with the channeling and regulation of public and sectoral investments and the coordination of risk management actions. Cantonal level has budget. However, in spite of these responsibilities, in practice the municipal government capacities are insufficient to address these tasks properly. • Regional Development Councils (for socioeconomic regions) that link cantonal and national levels and have strong convening power. Even though these councils do not have an executive role, therefore, they lack budget, they promote synergies and identify possible trade-offs and conflicts between sectors and support the definition of central government investments at the local level.

The proposed GCF project aims to build sustainable country capacity in identifying, prioritizing, planning and implementing measures that address a diversity of local adaptation needs. The ultimate objective of the project is to reduce country´s vulnerability to the impacts of climate change and variability, by building adaptive capacity and resilience through the integration of adaptation into regional and municipal planning, including government entities, the private sector, and civil society.

The project components are: 1. Institutional capacity for effective integration of adaptation strategies in all the six socio-economic regions of the country. 2. Institutional capacity for effective integration of adaptation strategies in 20 cantons with different types of vulnerability. 3. Risk assessments and understanding for prioritizing adaptation needs at territorial level in 62 additional cantons. 4. Funding strategy available for sub-national adaptation initiatives. 5. Mechanisms for monitoring and reporting of climate change adaptation progress at the sub- national level in place.

The project seeks to achieve its objective through: ● Strengthening current planning frameworks at regional and cantonal levels, recognizing the crucial role of subnational authorities in climate change adaptation; ● Engaging key stakeholders in adaptation planning and implementation at these levels; ● Producing cantonal risk assessments to identify adaptation needs, based on i) available and pertinent knowledge, and ii) a validated and efficient methodology; ● Building institutional and technical capacity and promoting agreements at different levels; and ● Developing appropriate monitoring and reporting mechanisms for adaptation at sub-national level and link them with the national initiative for M&E of adaptation.

The project builds on existing institutions, coordination mechanisms, governmental guidelines and procedures, and legislation to avoid increasing the burden of planning instruments and foster sustainability of the progress already made. The project will be in tune with the decisions 1/CP.16 and 5/CP.17 and all elements of the NAP Technical Guidelines.

The country has received a grant from the GCF Readiness and Preparatory Support Programme to strengthen the capacity of the NDA to undertake GCF-related roles and responsibilities, develop a Country Programme and ensure complementarity between GCF initiatives. The NDA will participate in the Project Steering Committee meetings to make sure there are synergies and no overlaps with other ongoing interventions. Special attention will be paid to the inclusion of the Sub- National Adaptation Funding Strategy (including the preparation of 3 Concept Notes for the GCF) in the Country Programme. On the other hand, the Climate Change Office (DCC - MINAE) and the Ministry of Planning and Economic Policy (MIDEPLAN) are finishing the National Strategy for Ad- aptation and the National Adaptation Plan, supported by the Spanish Agency for International De- velopment Cooperation (AECID); this proposal will operationalize these outcomes at the subnational level. Costa Rica has not required support from the GCF through the Project Preparation Facility (PPF). The Project Coordinator will meet regularly with other technical staff in charge of other related adaptation proposals. Other relevant inputs for the present proposal are described in section 3. 8. Total requested US$ 2,861, 917 amount and currency

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9. Anticipated dura- 36 months tion

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SECTION 2: COUNTRY READINESS LOGICAL FRAMEWORK Please complete the table below, which enables a country to assess its capacity and set targets for advancing its NAP, including proposed outputs and activities to improve the country’s institutional capacity to achieve key objectives of NAP.

COMPONENTS, OUTCOMES, and OUTPUTS BASELINE TARGET INPUTS (including key deliverables where applicable) 1 Component 1. Institutional capacity for the effective integration of adaptation strategies in all the six socio-economic regions of the country. Outcome 1. Regional councils and committees 2 - 6 6 - 6 integrate climate change adaptation initiatives into their planning. Output 1.1 Current planning and climate infor- 0 1 2 0 1 2 1.1.1 Review of regional development plans and current work plans of Regional Development Councils and mation is assessed to facilitate the identification of their Regional Intersectoral Committees to identify opportunities for the promotion of adaptation planning adaptation options at the regional level (socio- and the integration of adaptation priorities. The reports will explore gender integration in the plans. economic regions). Deliverable: Report on the assessment of all current plans of Regional Development Councils and their Regional Intersectoral Committees Completion date: Month 6. 1.1.2 Facilitate participative processes for Regional Development Councils and their Regional Intersectoral Committees in the targeted 5 socio-economic regions to i) to analyze available climate and socio-economic information considering gender-based differences; ii) to identify adaptation options, and iii) to discuss possible institutional arrangements for implementation. The process will guarantee the meaningful participation of women, ethnic minorities, and relevant climate-vulnerable populations. Deliverable: Meeting or workshop reports. Completion date: Month 6. Output 1.2 Training and awareness raising for 0 1 2 0 1 2 1.2.1 Review and modify MIDEPLAN´s methodological guidelines on development planning, to promote the public stakeholders at national and regional levels integration of adaptation options into regional development plans. Modifications will ensure the alignment are conducted. with the Gender and Climate Change Action Plan of Costa Rica, integrating gender in adaptation priorities and effective implementation. Deliverable: Reviewed methodological guidelines for the elaboration of development plans. Completion date: Month 3. 1.2.2 Provide orientation and training for policy and decision makers and implementers from relevant institutions at the national and socioeconomic region levels on i) the importance of adaptation planning and implementation (including vulnerabilities, potential impacts, and opportunities); ii) the proposed process to develop and implement work plans, and iii) methodologies and critical issues to implement adaptation measures. Deliverable: Training sessions. Completion date: Month 6. 1.2.3 Develop regional level awareness raising campaigns for Regional Development Councils and their Regional Intersectoral Committees on i) the importance of adaptation planning and implementation (including vulnerabilities, potential impacts, and opportunities); ii) the proposed process to develop and

1 See Section 5, Annex 1 (detailed framework), and Annex 2 (timeframe) for details.

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implement work plans, and iii) methodologies and critical issues to implement adaptation measures; ensuring communications are tailored to different stakeholders (including ethnic minorities and relevant climate-vulnerable populations). Deliverable: Awareness raising campaigns for members of the Regional Development Councils and their Regional Intersectoral Committees. Completion date: Month 12. Output 1.3 Regional Development Councils and 0 1 2 0 1 2 1.3.1 Identify institutional arrangements for the elaboration and future implementation of the sectoral their Regional Intersectoral Committees work adaptation priorities at the regional level. Institutional arrangements will show meaningful participation of plans integrate sectoral adaptation priorities at the women & ethnic minorities, and relevant climate vulnerable groups. regional level. Deliverable: Meeting reports. Completion date: Month 12. 1.3.2 Provide technical assistance to Regional Development Councils and their Regional Intersectoral Committees to elaborate regional development plans that effectively integrate sectoral adaptation priorities. Deliverable: 8 Updated Regional Development Councils and their Regional Intersectoral Committees work plans integrating adaptation priorities Completion date: Month 12. Component 2. Institutional capacity for the effective integration of adaptation strategies in a set of cantons with different types of vulnerability. Outcome 2: A set of 12 cantons, with different 2 - 6 6 - 6 types of vulnerability, integrate adaptation initiatives into their planning. Output 2.1 Local plans of the 12 pilot cantons are 0 1 2 0 1 2 2.1.1 Definition of criteria and selection of the set of 12 pilot cantons, including at least one of each socio- assessed to identify opportunities to integrate ad- economic region, considering those that will have Risk assessments elaborated during 2017 and those that aptation options. will have Risk Assessments as a result of this project. Deliverable: Report on the definition of criteria and selection of pilot cantons. Completion date: Month 12. 2.1.2 Elaborate 12 risk assessments in rural and urban cantons exposed to different climatic processes containing climatic and socio-economic information, and basis to discuss adaptation measures. The IMN current methodology will be used. At least one risk assessment in each socio-economic region will be elaborated, complementing those already elaborated with other sources of funding. The Risk Assessments will include gender analysis. Deliverable: Risk assessments in 12 rural and urban cantons Completion date: Month 12. 2.1.3 Review the strategic, medium and short-term plans (including regulatory and land use plans of INVU, SETENA, and ICT) of the 12 pilot cantons using the risk assessments elaborated in 2.1.2 to identify opportunities for the promotion and the integration of adaptation options. The reports will consider gender integration into the plans. Updated regional development plans that integrate adaptation priorities at the regional level will serve as a basis for the identification of entry points for adaptation. Deliverable: Report on the 12 local plans, including identification of opportunities for climate change adaptation mainstreaming Completion date: Month 15.

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Output 2.2 Tools, training, awareness raising and 0 1 2 0 1 2 2.2.1 Review and modify IMN methodological guidelines for local (municipal/cantonal) governments to participatory processes for public and private facilitate the identification and implementation of adaptation priorities. Modifications will ensure the stakeholders at local level conducted, in pilot can- alignment with the Gender Plan and the Climate Change Action Plan of Costa Rica. tons. Deliverable: Reviewed methodological guidelines for different local plans. Completion date: Month 18. 2.2.2 Develop guidelines to prioritize and select adaptation measures through multi-criteria analyses at the municipal level. Multi-criteria qualitative analyses including social, environmental, cultural, gender, cost- effectiveness and other criteria will be used to identify and select a set of solutions or technologies. Deliverable: Technical guidelines with tools and examples, including a specific tool to prioritize adaptation solutions/technologies to be deployed to address specific prioritized adaptation impacts. Completion date: Month 15. 2.2.3 Facilitate participative processes for local governments to analyze available climate and socio- economic information (including gender) and prioritize and select adaptation measures and institutional arrangements to include adaptation initiatives in municipal development plans. The process will ensure meaningful participation of women and ethnic minorities. Deliverable: Meeting or workshop reports with adaptation priorities and institutional arrangements. Completion date: Month 24. 2.2.4 Provide orientation and training for municipal staff, NGOs, CSOs and local communities on i) the importance of adaptation planning and implementation (including vulnerabilities, potential impacts, and opportunities); ii) the proposed process to develop and implement work plans, and iii) methodologies and critical issues to implement adaptation measures. Deliverable: Training at the local level; communication will be tailored to different stakeholders using gender criteria. Completion date: Month 27. 2.2.5 Develop local-level awareness-raising campaigns for the private sector together with business organizations on the aspects mentioned in Activity 2.2.4. Ensure communications tailored to different stakeholders (including ethnic minorities). Deliverable: Awareness raising campaigns at the local level for the private sector. Completion date: Month 27. Output 2.3 Local plans of pilot cantons integrate 0 1 2 0 1 2 2.3.1 Identify institutional arrangements for elaboration and future implementation of local level development adaptation priorities. plans through participatory processes that ensure equal participation of men and woman and meaningful inclusion of ethnic minorities. Deliverable: Meeting reports. Completion date: Month 27. 2.3.2 Provide technical assistance to municipal governments to elaborate municipal development plans that effectively integrate sectoral adaptation priorities Deliverable: 20 updated municipal development plans that incorporate adaptation priorities. Completion date: Month 33. Component 3. Risk assessments and understanding for prioritizing adaptation needs at territorial level in 62 additional cantons.

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Outcome 3. Municipal governments have 1 - 4 4 - 4 relevant information and capacities to identify adaptation priorities and implement adaptation initiatives. Output 3.1 Territorial-level Risk Assessments 0 1 2 0 1 2 3.1.1 Second round of improvement of the IMN methodology for territorial risk assessments, considering available in an accessible and relevant way for all lessons learned (initial application, Act. 2.1.2), the evaluation of capacities of municipal staff (Act. 3.2.1), cantons. and integration of gender analysis. Deliverable: IMN methodology for risk assessments (version 2) including lessons and recommendations to deliver information to municipal staff groups according to their capacities. Completion date: Month 15. 3.1.2 Prepare and disseminate territorial risk assessments for the remaining cantons (62). Ensure communications tailored to different stakeholders (including ethnic minorities). Deliverable: A complete set of territorial risk assessments based on the improved IMN methodology, with adaptation priorities identified. Completion date: Month 36. Output 3.2 Continuous training platform for local 0 1 2 0 1 2 3.2.1 Determine training needs of municipal staff and regional stakeholders, considering capacities of governments. women´s groups and other focusing on gender. Deliverable: Report with training needs of different groups of municipal and sub-regional staff, including MIDEPLAN personnel. Completion date: Month 6. 3.2.2 Insert concepts and tools for the identification of adaptation measures and their implementation in existing training programs for officials and municipal authorities, and sub-regional stakeholders. Gender- responsible criteria will be included for adaptation measures selection and implementation. Deliverable: At least one training program (preferably an ongoing distance education program) that includes concepts and tools for the identification of adaptation measures. Completion date: Month 21 3.2.3 Conduct exchange visits to 2 countries to learn lessons on adaptation planning and implementation during the preparation of the adaptation plans. Deliverable: Exchange visit report, presenting the lessons learned by the team on adaptation planning and implementation Completion date: Month 30 Component 4. Funding strategy for sub-national adaptation initiatives available. Outcome 4. A government-endorsed resource 1 - 2 2 - 2 mobilization strategy for sub-national adaptation initiatives. Output 4.1 A strategy to effectively mobilize fund- 0 1 2 0 1 2 4.1.1 Review reports produced on costing adaptation in Costa Rica – including among other things the ing resources for the implementation of priority assessment of investment and financial flows and adaptation initiatives evaluation reports – and identify actions identified through sub-national adaptation information gaps for a reliable estimation of costs for implementing adaptation measures. The report will planning processes. use gender criteria for the analysis. Deliverable: Report on the information available and non-available on adaptation costs. Completion date: Month 6. 4.1.2 Undertake an economic study to fill information gaps and estimate costs of implementing prioritized adaptation measures at sub-national levels.

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Deliverable: Economic assessment of the costs of implementing the prioritized adaptation interventions at sub-national levels. Completion date: Month 9. 4.1.3 Identify options for scaling up adaptation investments, including administrative and legal barriers removing. Identify potential new public, private, bilateral and multilateral sources of climate finance to address prioritized adaptation measures at sub-national levels. Deliverable: Technical report on options for scaling up financing for adaptation. Completion date: Month 18. 4.1.4 Include adaptation criteria in the methodological guides for public investment projects in education, irrigation, transportation infrastructure, hydro-meteorological disaster management, aqueducts, and sew- ers. Deliverable: New methodological guides for MIDEPLAN. The guides will include gender-responsive criteria. Completion date: Month 18. 4.1.5 Develop an adaptation finance strategy and at least 3 concept notes for the GCF. The finance strategy aims to i) access sources of high potential for different areas of adaptation, including international, public and private sources; ii) review and strengthen the structure of the national public funding institutions, and iii) support effective channeling of funds at sub-national levels. The 3 concept notes for the GCF will be coherent with the GCF Country Programme. Deliverable: Adaptation finance strategy containing adaptation measures and projects prioritization, and 3 concept notes for the GCF, incorporated in the Country Programme. Completion date: Month 30. 4.1.6 Develop training toolkits and provide training to strengthen the capacity of relevant stakeholders (including women´s and representatives of ethnic minorities) to initiate the implementation of the adaptation finance strategy. The structure of the national public funding institutions, including the PES Program, will be strengthened. Deliverable: Training sessions for relevant government stakeholders on the implementation of the adaptation finance strategy. Training tools including protocols for recovering and reconstruction funds assignment Completion date: Month 30. Component 5. Mechanisms for monitoring and reporting of adaptation progress at the sub-national level in place. Outcome 5. The regional councils and the munic- 1 - 6 6 - 6 ipal governments of the country are capable of reviewing, monitoring and communicating results of adaptation initiatives. Output 5.1 A monitoring system established for 0 1 2 0 1 2 5.1.1 Develop and adjust a monitoring framework, including indicators, baselines, targets, and means of the sub-national levels. verification at sub-national levels. The framework will include gender-sensitive indicators. Deliverable: Monitoring and review framework for adaptation initiatives at sub-national levels. Completion dates: Months 3, 15, 27. 5.1.2 Support the integration of the framework into the National System of Climate Change Metrics (SINAMECC). Deliverable: Guidelines for the integration process. Completion dates: Months 6, 18, 30.

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Output 5.2 Training of national and local govern- 0 1 2 0 1 2 5.2.1 Develop guidelines and tools for the staff of regional councils and municipal governments data collec- ment representatives and stakeholders to imple- tion, analysis, and dissemination. The guidelines will include gender-specific indications for analysis and ment the monitoring system. communication. Deliverable: Guidelines and tools for data collection, analysis, and dissemination for the staff of regional councils and municipal governments. Completion date: Month 9. 5.2.2 Train staff of regional councils and municipal governments in the use of these guidelines, tap into existing capacity and build skills of women's and representatives of ethnic minorities. Deliverable: Training sessions on data collection, analysis, and dissemination for the staff of regional councils and municipal governments. Completion date: Month 12. Output 5.3 Governmental and private sectors 0 1 2 0 1 2 5.3.1 Evaluate existing platforms performance regarding information sharing at different levels (national, stakeholders of national, regional, and municipal regional, and cantonal). levels know the results and products of the pro- Deliverable: Technical report of evaluation based on interviews. Interviews will include representatives of ject. different groups including women and ethnics minorities. The report will identify recommendations to deliver information and receive feedback from different groups. Completion date: Month 6. 5.3.2 Adjust selected platforms and design communication products for information sharing Deliverable: Information products delivered according to identified recommendations, including briefs of tools, assessments, results of participative processes, and other relevant products of the project. Completion dates: Months 12, 24, 36. 5.3.3 Provide feedback to sectoral adaptation plans. Deliverable: Technical report and policy briefs with lessons and key recommendations emerging from the project. Completion dates: Months 21,30.

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SECTION 3: ADDITIONAL INFORMATION

o Context

Exposure to climate change and vulnerability. The Republic of Costa Rica (nearly five million inhabitants; 51,100 square km) is a country in the Central American Isthmus, the tropical region where the biggest changes in future climate are expected (Giorgi 2006, Karmarkar et al. 2011). Its location in this region makes the country highly exposed to extreme hydro-meteorological events. Heavy rains and droughts (see Table 1) cause damages and losses mainly in the agriculture, water, and transportation infrastructure sectors, according to national statistics. Economic losses between 2006 and 2015 related extreme hydro- meteorological events have been estimated in USD 1,133 million, having been equivalent in 2007 and 2010 to 1% of the country's Gross Domestic Product (GDP) (MIDEPLAN 2017). Most affected sectors are road infrastructure and agriculture (see Table 1 below). Costa Rica has the 8th highest economic risk exposure to multiple hazards, combining hydro-meteorological and geophysical ones. Further, 78% of Costa Rica’s population and 80% of the country’s GDP production are located in high- risk areas; the fast-growing urban population also generates major stresses on limited natural resources, public utilities, and municipal services. Under these circumstances, affordable housing becomes a major socio-economic constraint that forces low-income families to relocate in higher-risk areas (GFDRR 2011).

Table 1. Economic losses in millions of US$, caused by extreme hydro-meteorological events between 2006 and 2015 (constant US$ 2015, elaborated with MIDEPLAN 2017 data) Year events Rural Urban Urban/Rural Agricul- Transport Water Others Transport Water Housing Others Housing Others ture infrastructure resources infrastructure resources 2006 heavy rains 0.21 9.05 0.01 1.67 8.52 1.79 7.31 1.91 0.94 0.03 2007 heavy rains 32.42 124.98 2.97 1.68 102.45 14.75 6.66 2.57 46.72 5.35 drought 13.09 0.69 2008 heavy rains 43.84 35.11 0.98 1.05 18.33 4.25 0.10 4.58 0.07 3.57 2009 heavy rains 12.03 5.81 11.01 1.72 8.56 2.34 3.46 0.26 drought 7.70 2010 heavy rains 58.19 81.67 9.05 5.38 66.68 58.74 8.90 13.21 57.46 12.12 2014 drought 35.63 0.40 2015 heavy rains 42.78 63.18 19.00 4.68 26.18 15.78 0.63 0.80 0.08 0.71 “Others” include health, education, emergencies, energy, telecommunications, and public buildings.

Costa Rica’s geographical location also exposes it to the progressive increase of temperature, which together with changes in precipitation patterns, could also cause damage and losses in different sectors, and eventually conflicts between sectors related to water access and other resources for adaptation. Although Costa Rica is a small country, the diversity and the complexity of its physiography, livelihoods, population distribution, and development make administrative units (socio-economic regions and cantons) very different in their degree of vulnerability. Location in areas highly exposed to extreme hydro-meteorological events or in poorly planned settlements prone to landslides and flooding are common factors of the vulnerability of populations and economic activities (The World Bank 2011).

Administrative organization. The six socio-economic regions of Costa Rica are a political-economic division carried out by Executive Decree No. 7944 of 26 January 1978 for socio-economic development planning and are the first-level sub-national entities2. The socio-economic regions (see map in Annex 3) have a certain degree of homogeneity in their policy, social and economic characteristics. the Ministry of Planning and Economic Policy (MIDEPLAN) has offices in all regions and supports the Regional Development Councils (COREDES). COREDES bring together public institutions, local governments, private stakeholders, civic- communal organizations, academic representatives, environmental stakeholders, native people’s representatives, members of the rural development council of the territories, among others. They promote regional, territorial and cantonal development with citizen participation. The Executive Decree Nº 39453-MP-PLAN of 2016 legalizes the operation of COREDES and their relationship with MIDEPLAN. COREDES are formed by a board of directors, a technical secretary and Regional Intersectoral Committees (CIR). These committees provide technical support to the implementation, follow up and evaluation of regional programs and projects. The 82 cantons of Costa Rica (see Map in Annex 4), are the second-level sub-national entities. Each canton is administered by a municipal government, and these are the country´s basic government units. Decen- tralization is a recent process in Costa Rica. The General Law of Competency Transfer from the Executive Power to the Mu- nicipalities (2010) sets up MIDEPLAN as the authority in charge of the decentralization process and establishes competencies and allocation of resources (up to 10% of national budget) subject to the approval to special laws.

Institutional framework for climate change adaptation and risk management. The Climate Change Office - National Min- istry of Environment and Energy (DCC-MINAE) 3 is in charge of implementing and following up international commitments and implementing policies. The country has also institutionalized two inter-sectoral coordination mechanisms to implement climate change policies: i) The Inter-Ministerial Council for Climate Change (created in 2010), which defines the MINAE's Organic Regulations and appoints the DCC - MINAE as entity in charge of implementing climate change policies, and ii) The Environ- ment, Energy, Sea, and Land Use Sector Council (created in 2014), which brings together 14 organizations (autonomous and

2 Politically Costa Rica is made up of seven provinces established in 1848, but they are not used for planning purposes; socioeconomic regions are used for planning. 3 DCC-MINAE was created in 2009.

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governmental) responsible for environmental policy, the DCC-MINAE works as it Secretariat. Climate change and land use planning are the cornerstones of this council.

Costa Rica has a comprehensive institutional framework for disaster risk management, being the National Commission for Risk Prevention and Emergency Management (CNE) the highest-ranked coordinating authority in this area. Moreover, CNE has a recognized experience at the municipal level (with committees organized in each of the cantons of the country) and has validated standards and manuals for the inclusion of risk management in territorial planning, municipal short-term planning and budgeting (CNE 2014 a, b).

The country has received a grant from the GCF Readiness and Preparatory Support Programme to strengthen the capacity of the NDA to undertake GCF-related roles and responsibilities, develop a Country Programme and ensure complementarity between GCF initiatives. The NDA will participate in the Project Steering Committee meetings to make sure there are synergies and no overlaps with other ongoing interventions. Special attention will paid to the inclusion of the Sub-National Adaptation Funding Strategy (including the preparation of 3 Concept Notes for the GCF) in the Country Programme. On the other hand, the Climate Change Office (DCC - MINAE) and the Ministry of Planning and Economic Policy (MIDEPLAN) are finishing the National Strategy for Adaptation and the National Adaptation Plan, supported by the Spanish Agency for International Devel- opment Cooperation (AECID); this proposal will operationalize these outcomes at the subnational level. Costa Rica has not required support from the GCF through the Project Preparation Facility (PPF). The Project Coordinator will meet regularly with other technical staff in charge of other related adaptation proposals. Other relevant inputs for the present proposal are described in section 3.

Progress in climate change planning. Costa Rica, with relatively low per capita emissions4, is a member of the United Nations Framework Convention on Climate Change (UNFCCC) since 1992 and a signatory of the Kyoto Protocol since 1998. The country has made important progress in climate change planning at the national level. First, the government launched the National Climate Change Strategy (MINAE 2009) and its Action Plan (DCC-MINAE 2012)5. The goal of these instruments is to reduce the social, environmental and economic impacts of climate change, and promoting sustainable development through economic growth, social progress, and environmental protection. These instruments gave much more weight to mitigation, reflecting the country's priorities at that time.

Since 2009 the international climate change context and the national framework have changed considerably. Internationally, the Paris Agreement and the operationalization of the GCF are crucial changes, as well as the decisions 1/CP.16 and 5/CP.17 and the development of NAP Technical Guidelines. Domestically, the proposal for mainstreaming adaptation as part of the preparation of the Intended Nationally Determined Contribution (INDC) in 2015 was crucial. Moreover, new climate scenarios, research and experience in adaptation planning and implementation are available.

The 2015-2018 National Development Plan6 sets the policy objectives of the current administration. A strategic objective of this plan is the promotion of actions against global climate change, through citizen participation, technology changes, innovation, research, and knowledge to guarantee security, human safety, and the country’s competitiveness.

The INDC (2015) establishes that Costa Rica will focus its climate change actions on increasing society’s resilience to the impacts of climate change and on strengthening the country’s capacity for a low emission development in the long term. Costa Rica has a strong record in climate change mitigation actions, and the INDC represents a turning point in the strengthening of national adaptation efforts that includes the evaluation of possible synergies and trade-offs between mitigation and adaptation.

The country has specific achievements in the planning of climate change adaptation at the national level. The National National Policy on Adaptation to Climate Change and the National Adaptation Plan7 (NAP, a commitment that Costa Rica acquired through its INDC) are in their last stages before officialization. Those documents are the result of a broad participatory process based on thematic and sectoral working groups and public events that have included representatives of the public sector and organized civil society. The formulation of these documents was lead by the DCC - MINAE and the Ministry of Planning and Economic Policy (MIDEPLAN), with support from the Spanish Cooperation Agency (AECID). These documents establish the basis of the present GCF Proposal at the national level.

There is less progress at the sectoral level; only the biodiversity sector has developed a specific planning process for this objective (BID, MINAE, SINAC, DDC 2015). Nevertheless, several sectors have developed plans in which adaptation is the

4 In 2012 the country was responsible for 12.4 MtCO2e (less than 0.1% of global emissions). The per capita emissions reached 2.6 tCO2e, which is below the average in Latin America and the Caribbean (4.9 t CO2e) but above the range that is considered sustainable (less than 2tCO2e). 5 Since the Carbon Neutrality goal was announced in 2007 (a voluntary commitment), Costa Rica has been working on early mitigation actions, in particular, through the approval of Nationally Appropriate Mitigation Actions (NAMAs) in the agriculture, waste management and urban planning sectors. 6 The National Development Plan defines the axes, objectives and action lines for each government period (4 years) and include priorities of the region's development plans. There is not a country long-term plan, but some strategic elements are defined by sectoral policies and plans. 7 This National Adaptation Plan (draft) will focus in the following areas for 2016-2030: Disaster risk reduction, community-based adaptation, ecosystem-based adaptation, local planning and management of territory adaptation, public infrastructure adaptation, environmental health, capacity building, technology transfer and finance.

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main objective or one of its pillars. The most relevant and recent are: The National Disaster Risk Management Policy 2016 - 2030 (CNE 2016); and The Strategy for Agro-Environmental and Climate Change Sectoral Articulation (SEPSA 2016). Regarding the energy sector, the country´s VII National Energy Plan (2015-2030), sets a clear path towards a low emission development pathway by strengthening policies on energy efficiency and the promotion of renewable energies (hydroelectric, geothermal and wind). Projected changes in water availability (SINAC 2013) make the adaptation in the energy sector very relevant for the achievement of the sector's long-term goals. The NAP will include methodological guides for mainstreaming adaptation in sectoral planning such as agriculture, environment, infrastructure, water resources and tourism. These documents establish the basis of the present GCF Proposal at the sectoral level.

Costa Rica has begun to mainstream the gender perspective in climate change policies and planning through the Gender and Climate Change Action Plan (2011) and the National Climate Change Action Plan (2012). The preparation process of the NAP has prioritized the gender approach to build national capacities and promote exchange among government officials who are involved in the implementation of the INDC and the NAP outcomes in public health, tourism, biodiversity and forestry, agriculture and fisheries, infrastructure and water resources. Although there is progress on gender and climate change in international commitments and in country's legal framework, there is still the challenge of making it operational. However, there are some advances. For example, the Payment for Environmental Services Program has set a fee to ensure that some of the program's profits support women who want to acquire land (Casas 2017). Also, the risk assessments developed by the IMN have been carried out in cantons with indigenous population (Ministry of Foreign Affairs & MINAE 2017). The Gender and Climate Change Action Plan and the NAP will guide the gender approach integration in the present GCF Proposal.

Support for adaptation planning and monitoring. Risks and vulnerability assessments8 are the basis for identifying adaptation priorities. Efforts in this field include vulnerability assessments9 encompassing coastal zones (BIOMARCC, SINAC, GIZ 2013), water resources (IMN-MINAE 2012a), agriculture and food security (IMN-MINAE 2014a), infrastructure (ProDUS – UCR 2014), energy (IMN-MINAE 2014b) and biodiversity (SINAC 2013). Some of these assessments identify priorities for adaptation. In 2017 IMN-MINAE presented the risk assessments of 4 cantons with high exposure to drought and floods. Specific advances in methodologies and tools for the analysis of risks at the level of the canton are presented under Component 3.

o Barriers, challenges and baseline information

Although the country has made advances in the construction of an institutional, policy and planning framework to address climate change adaptation, its capacity to implement planned adaptation at the sub-national level is limited for various reasons. These include:

o Lack of institutional capacity to integrate the needs and interests of governmental and private sectors with adaptation through a territorial approach. Governmental guidelines for planning under different timeframes and degrees of access to public funds lack criteria for identifying priorities for adaptation. o Limited key stakeholder capacities and engagement at municipal level: most of them lack basic notions regarding climate change and its current and projected impacts. o Insufficient information analysis to support adaptation planning and decision-making. o Limited financial resources mobilization to adaptation: the potential sources of funding for adaptation actions are not coordinated, and there are no mechanisms for accessing most of them. o Limited inclusion of climate change adaptation criteria in current mechanisms for monitoring and reporting at sub- national levels.

These barriers are discussed further below.

Component 1: Institutional capacity for the effective integration of adaptation strategies in all the six socio-economic regions of the country

COREDES and their Regional Intersectoral Committees facilitate the discussion of regional governmental agendas and agreements among local governments, private and civil sectors. Even though they do not perform government functions, COREDES function as intermediaries between central and local governments. As mentioned above, this function becomes a baseline for common identification of adaptation needs and potential conflicts. Development plans and platforms for coordination between actors in the socio-economic regions represent an opportunity for intersectoral coordination, more so if they consider public project financing guidelines. However, without a comprehensive vision of the territory, there is a risk that adaptation measures were taken by one sector (e.g., crop relocation, agriculture) may pose adaptation problems for another (e.g., reduction or deg- radation of water recharge areas). However, actions of Regional Intersectoral Committees to facilitate adaptation to climate

8 Vulnerability and risk analysis, under this context, they respectively assume the IPCC Fourth Assessment Report (AR4 2007) and the IPCC Fifth Assessment Report (AR5 2014) conceptual frameworks. In the AR4, vulnerability is a function of the exposure, sensitivity and adaptive capacity. The AR5 moves closer to the disaster risk concept, and proposes risk evaluation as a hazards, exposure and vulnerability function; under this conceptual framework vulnerability is an adaptive capacity and sensitivity function. 9 The country follows the concept of risk analysis promoted by IPCC (2014), to estimate the risk of a socio-environmental system based on hazard and vulnerability variables.

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change are largely reactive activities following extreme climate events. This is one of the main problems identified in Costa Rica´s National Policy on Adaptation to Climate Change (MINAE, MIDEPLAN, CNE 2017).

Reasons for the limited inclusion of climate change adaptation priorities into regional plans are: i) technical staff of MIDEPLAN and members of the regional instances of coordination (COREDES and their Regional Intersectoral Committees) lack of specific tools and knowledge to identify adaptation priorities and options, ii) As a consequence of the previous point, MIDEPLAN methodological guidelines for planning at regional level do not integrate climate change adaptation criteria.

These barriers will be addressed under Component 1 by i) facilitating the identification of adaptation priorities at the regional level using available information and participative processes, ii) conducing training and awareness raising processes for public stakeholders, at national and regional levels to promote the integration of adaptation priorities into the regional development plans, iii) supporting the integration of adaptation priorities into the regional development plans and workplans of the Regional Development Councils and their Regional Intersectoral Committees, including the identification of institutional arrangements with meaningful participation of women and ethnic minorities, and relevant climate vulnerable groups..

Baseline initiatives o One of the objectives of Costa Rica´s National Policy on Adaptation to Climate Change (MINAE, MIDEPLAN, CNE 2017) is devoted to the integration of climate change adaptation in the planning and management of the territory, with special emphasis on regional and participatory processes. o DCC-MINAE and MIDEPLAN are leading the Huetar Norte Regional Adaptation Plan, with support from the National Commission for Risk Prevention and Emergency Management (CNE) and the participation of the Institute for Municipal Education and Training and Local Development of the State University for Distance Learning (UNED). As a result of this experience, lessons learned have been identified to facilitate understanding and stakeholder participation, such as i) the retrieval of historical information to identify vulnerability hot spots within regional and local areas, ii) the use of available information on damages and losses, iii) the use of simple tools like multicriteria-analysis to present the benefits of different adaptation strategies, and the requirements for the selection and insertion of each strategy in different agendas and plans. These lessons learned will be used to benefit processes in other socioeconomic regions.

Component 2: Institutional capacity for the effective integration of adaptation strategies in a set of cantons with different types of vulnerability

Adaptation policy guidelines, which will come into force soon, refer to the promotion of community-based adaptation into municipal planning, through investments and participation instruments, especially through the inclusion in territorial planning instruments at the cantonal scale. Local governments are critical for facilitating climate change adaptation, but they lack specific tools and knowledge for this task, and their participation is mainly reactive to extreme events. Also, there are different types of plans at the cantonal level related with development goals and productive activities regulation, and in some cases, they have governance structures that facilitate the participation of actors from different sectors. However, all these plans lack the bases to identify adaptation priorities, and funds for its implementation; despite the impact of climate change on primary productive sectors and infrastructure.

Main limitations are: i) efforts to assess hydrometeorological risks at cantonal level, led by IMN-MINAE, are very recent and focused on rural cantons of two socioeconomic regions, and have a strong technical and scientific basis, but little local stakeholder’s participation; ii) climate adaptation criteria are not included in current guidelines for regulatory and land use plans, iii) lack of awareness of public and private stakeholders of climate trends, impacts, and adaptation options.

These barriers will be addressed under Component 2 by i) assessing local plans of representative cantons of the country (at least one in each socio-economic region, including rural and urban, consider the diversity of vulnerability elements of the country) to identify opportunities to integrate adaptation options, ii) developing tools and conducting training, awareness raising and participatory processes for public and private stakeholders at local levels in the representative cantons; and iii) integrating adaptation priorities in the local plans. The idea is not to produce additional climate change adaptation plans but to incorporate climate change adaptation priorities in the current ones.

MIDEPLAN and CNE will collaborate with DCC-MINAE in the execution of Components 1 and 2, seeking the inclusion of adaptation criteria and guidelines in their standards and procedures in a simple, efficient and sustainable way. Key support for Component 2 will be the introduction of climate change criteria into the municipal land planning guidelines, through technical assistance provided to the National Environmental Technical Secretariat (SETENA) of MINAE. The stakeholder engagement at the sub-national levels will be addressed under Components 1 (regional level, Regional Development Councils, and their Regional Intersectoral Committees) and 2 (local governments) of this proposal.

Baseline initiatives • The component “Climate scenarios and risk assessment at cantonal level” of the project “Support to the Climate Change National Program in Costa Rica: Improvement of the mitigation and adaptation capacities of the country”, supported by the Spanish cooperation, generated important products: i) the adequacy of the conceptual framework for risk assessment proposed by the IPCC in its Fifth Assessment Report (AR5 2014), ii) the generation of climate change scenarios with the PRECIS model (gradual climate change, average temperature and precipitation for 2030, 2050, 2080 y

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2100), iii) the evaluation of the magnitude, frequency and impacts of heavy rains and droughts (climate variability), and iv) the integration of climate variability and socioeconomic indicators to produce and validate risk assessment in four cantons (two in the Chorotega Region, two in the Huetar Atlantica Region). Future climate, climate variability, and socioeconomic information is available for all the 82 cantons in the country and offers the appropriate detail to design risk assessments at the cantonal level. • The project “Implementation of climate change adaptation measures of water resources in cantons of the Chorotega Region,” with the support of Fundecooperación (Adaptation Fund), complements the initiative described in the previous paragraph and offered risk assessments for an additional four cantons. The risk assessment methodology em- ployed for both initiatives uses secondary sources with a great geographical detail to define a historical analysis of extreme hydrometeorological events (droughts and extreme rainfall events) and combines them to identify and characterize areas and sectors of the population that are most likely to be impacted by these events. The project will review and modify the methodology with the support of a multidisciplinary team to include steps for participatory identification of priority adaptation actions, including the needs and interests of minority groups and women. This final step is essential for the transformation of diagnoses into action. • The project “Designing adaptation initiatives in a land use planning context at local government level in Costa Rica” supported by CTCN is providing technical assistance to build capacity in order to introduce the issue of climate change into land use planning, forging links with the following sectors: conservation of biodiversity, reducing vulnerability to natural disasters, planning and governance, water, coastal areas, infrastructure and urban areas10. This initiative will benefit from the technical guidelines for including the vision of climate change adaptation and mitigation in the technical guidelines in land use plans, a mandatory legal instrument to be used when developing land use plans in the country.

Component 3. Risk assessments and understanding for prioritizing adaptation needs at territorial level in 62 additional cantons.

CNE refers to the responsibility of municipal governments in climate risks management (CNE 2014a). Also, IMN remarks that cantonal risk assessments are the best platform to understand and design real climate change adaptation strategies and that any adaptation process must be based on risk studies (vulnerability and threats). If these are omitted, adaptation actions may be based on false assumptions (IMN 2017). In fact, adaptation is a local process performed in specific territories, where the needs of government, the private sector and communities are addressed. Therefore, risk evaluations should identify potential conflicts and adaptation alternatives with the participation of key stakeholders, and the information used should go beyond diagnosis.

Despite the importance of local planning and decision-making for risk management, there are several shortcomings regarding knowledge management in the country, some of the summarized in Costa Rica´s National Policy on Adaptation to Climate Change. These include: i) limitations of financial and human resources implies an inadequate analysis of available information on future climate scenarios and climate variablity, on a scale that is useful and relevant, and integrated with socio-economic conditions of development that affect society’s vulnerability, ii) current risk analysis suffers from an overly scientific-academic approach, with very little local participation, and is carried out for use as diagnostic tools; iii) high personnel turnover and variable capacity among endusers such as municipalities and local stakeholders (including women´s organizations and ethnic minorities). Additionally, these people have very limited access to training or information related to climate change adaptation.

These barriers will be addressed under Component 3 by i) improving the IMN methodology for territorial risk assessments, considering lessons learned (initial application, Act. 2.1.2), the evaluation of capacities of municipal staff, and integration of gender analysis, ii) producing risk analysis for the remaining 62 cantons of Costa Rica, involving resources in a more efficient manner, and iii) establishing adequate and sustainable training mechanisms for municipal teams as well as other regional and local stakeholders. In summary, this proposal will fill an important gap for adaptation planning at local scale through the elaboration of tailored and participative risk assessments for all the cantons of the country.

Table 1. process of improving the risk assessment methodology, and the scope of its application

Current situation Contributions of the project Methodology IMN – MINAE (2017) methodology Improved methodology (Com- Improved methodology ponent 2) (Component 3) Information and • Combination of climate variability • Incorporation of gradual • Reduction of time and cost methodological re- (intensity, frequency, and im- climate change (average tem- of the assessment sources pacts of droughts and heavy perature and precipitation rains) and socioeconomic varia- scenarios) variables bles • Participative and inclusive processes for analysis and identification of adaptation options and priorities.

10 https://www.ctc-n.org/system/files/response_plans/plan_respuesta_costa_rica_2015000095_v6062016_en.pdf

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• Processes will include municipal government staff and other local stakeholders. Results • Emphasis on diagnosis • Emphasis on adaptation priorities and options • Technical-scientific language • Adequate language, supported by graphics • Delivery of results to different stakeholders Risk assessments • RAs prepared for 8 rural cantons • RAs prepared for additional • RAs prepared for the re- (RAs) use (6 in the Chorotega Region and 12 cantons urban and rural, maining 62 cantons of the 2 in the Huetar Atlántica Region) distributed in the 6 socioeco- country in a more efficient nomic regions way. • RA identify adaptation options and priorities in 20 cantons

Baseline initiatives o Risk and vulnerability assessments prepared at sectoral level (please see “Support for adaptation planning and monitoring,” Context section). o Risks assessments will be shared through different mechanisms, such as the platform for information exchange within the GEF Project “Development of Costa Rica´s capacities to meet the requirements of the transparency framework under the Paris Agreement on Climate Change” (Project Information Document already approved). o The Institute for Municipal Education and Training and Local Development of the State University for Distance Learning (UNED) is a continuous training platform, specialized in strengthening the capacities of local governments. This institute has participated in the Huetar Norte Region Adaptation Plan. The Project will contribute to the integration of concepts and climate change adaptation tools in this already well-consolidated platform. o Other Readiness and Preparatory Support Projects supported by UN Environment Regional Office for Latin America and the Caribbean (ROLAC) (e.g., Dominican Republic), will be considered to conduct exchange visits to learn lessons on adaptation planning and implementation. o The Community of Practice to support the preparation process of the National Adaptation Plans (NAPs), an initiative of UN Environment ROLAC, will also be a source of lessons learned and an exchange of experiences.

Component 4: Funding strategy for sub-national adaptation initiatives available.

Costa Rica has not yet fully identified domestic and international opportunities to make adaptation financing available at the sub-national level. Currently, the MINAE supports other ministries regarding access to climate finance, but the country needs a robust strategy for funding local adaptation efforts in the short, medium and long-term. The facilitation of private and public financial resources is one of the objectives of Costa Rica´s National Policy on Adaptation to Climate Change. To reach this target, Costa Rica should face a number of challenges. These include: i) the lack of financial information to select adaptation measures (mainly Ecosystem-based Adaptation masures); ii) the lack of adaptation criteria in the public sector annual budget exercises, plans, compensation mechanisms (the Environmental Services Payment Program11 does not incorporate the provision of environmental services for climate change adaptation, although they include water services), and post-disaster recovery and reconstruction investments (generating perverse incentives for adaptation and putting in danger the provision of public services to the most vulnerable people); iii) the complexity of the administrative process involved in the execution of government funds at the local level (Morales 2010), iv) lack of information of funding sources of high potential for different areas of adaptation, including international, public and private sources. This situation is especially serious for populations in disadvantaged conditions, like ethnic minorities.

These barriers will be addressed under Component 4 by designing a strategy to effectively mobilize funding resources for the implementation of priority adaptation actions. The finance strategy aims to i) access sources of high potential for different areas of adaptation, including international, public and private sources; ii) review and strengthen the structure of the national public funding institutions, and iii) support effective channeling of funds at sub-national levels. The strategy will be accompanied by with three concept notes for the GCF in accordance to the Country Programme.

Component 4 will include two preliminary steps to design the funding mobilization strategy. The first is the identification of information gaps for a reliable estimation of costs for implementing adaptation measures; the second, the filling of information gaps through economic assessment, and the third, the identification of options for scaling up adaptation investments. As a first step to remove barriers, Component 4 will also include adaptation criteria in MIDEPLAN’s methodological guidelines for the formulation of public investment projects.

Baseline initiatives

11 The PES Program in Costa Rica is a national mechanism to incentivize carbon storage and the conservation of hydrological services and biodiversity. This scheme has been credited with reducing the rate of deforestation in Costa Rica. Between 1997 and 2004, approx. US$ 200 million was invested in PES to protect over 4600 km2 of forests, to establish forestry plantations and to provide additional income to more than 8,000 forest owners (Rodricks 2010).

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• Government capacities developed with the support of the GCF Readiness and Preparatory Support grant12 will support the Project to identify options for scaling up adaptation investments. • Estimation of ecosystem-based adaptation (EbA) measures costs. The project will benefit from the inventory and the systematization of experiences on EbA in Costa Rica, carried out between 2016-2017 by MINAE with UNDP support, as well as the lessons from the Adaptation Fund project “Reducing Vulnerability in Critical Sectors (Agriculture, Water Resources, and Coastlines) to Lessen the Negative Impacts of Climate Change and Improve Resilience”. • Methodological guidelines for the formulation of public investment projects. These guidelines include risk management issues and were elaborated in 2012 by MIDEPLAN with the support of the Latin American Institute for Eco- nomic and Social Planning of the Latin American Planning Centre (ILPES-CEPAL). The project will update these documents with climate change adaptation criteria.

Component 5: Mechanisms for monitoring and reporting of adaptation progress at the sub-national level in place.

Efficient monitoring and reporting mechanisms are critical to adjust planning for climate change adaptation; lessons learned through these mechanisms can be disseminated to relevant stakeholders. Costa Rica currently has at least three initiatives to monitor municipal performance, none of which includes adaptation criteria to guide local strengthening and follow-up on effectively implemented initiatives. The Municipal Management Index (Comptroller General of the Republic) integrates data provided by the municipal governments in 61 indicators related to five axes of management: institutional development; planning, citizen participation, and accountability; environment; economic services (road management) and social services. The Municipal Risk Management index (CNE) integrates information related to municipal capacities and weaknesses that affect adequate risk management (administrative capacity, financial capacity, capacity to encourage social participation, planning capacity and generation of risk management tools). Finally, the Ecological Blue Flag Program, managed by an alliance between government entities and the private sector, is a voluntary certification program that recognizes municipal environmental efforts for environmental management.

Many factors underlie the limited inclusion of climate change adaptation criteria in mechanisms for monitoring and reporting. Among these are: i) the lack of experience in the selection of indicators to support local planning, appropriate for application by staff with widely varying levels of technical training, at national level, and during a long-term period; and ii) limited technical skills to put into practice monitoring and reviewing systems; and iii) limited awareness of M&E implementation amongst decision- makers.

These barriers will be addressed under Component 5 by i) establishing a monitoring system adequate for the sub-national levels, considering the end-users and data providers characteristics; ii) providing training for national and local government representatives and stakeholders to implement the monitoring and reviewing system; and iii) adjusting available communication platforms (seeking sustainability) to disseminate results and products of the project.

Baseline initiatives • Support the integration of the framework into the National System of Climate Change Metrics (SINAMECC). DCC- MINAE and the National Centre for Geo-Environmental Information of the National Ministry of Environment and Energy (CENIGA, another MINAE department) lead the implementation of a system for the monitoring, reporting, and verification of adaptation and mitigation metrics, with a demand-driven design that facilitates decision-making. The system will include a set of indicators focused on contributing to adaptation metrics, co-benefits, and losses caused by climate events while recommending the necessary hardware and software to implement the SINAMECC. This initiative receives support from the Climate Technology Centre & Network (CTCN) and will capitalize on experiences related to adaptation and mitigation metrics from other countries in the region (e.g., Mexico, Colombia, and Chile). The integration of the project monitoring framework in SINAMECC will consider indicators, baselines, goals, and means of verification, including its incorporation in the Web page. The monitoring framework at the regional and local levels will benefit from this integration: from the lessons learned during the development of SINAMECC, from the reduction of operational costs, and from the probable synergies with other elements of climate action (for example, mitigation measures implemented in the municipalities).

c) Objectives, outcomes, and impacts.

The proposed project will address the lack of information, capacity and sources to incorporate climate change adaptation in the short, medium and long-term planning and monitoring frameworks and processes in the socio-economic regions and cantons of the country. Therefore, the proposed project supports the efforts of the Government of Costa Rica to vertical integration of adaptation planning. According to a proposal of the NAP Global Network, “vertical integration facilitates coordination and collaboration on adaptation among national and sub-national actors, with a particular focus on enabling access to information, resources, and capacity for sub-national actors to implement adaptation actions.”

The consideration in the project of both sub-national levels, socioeconomic regions and cantons, seeks complementarity between sectoral planning (whose budget, monitoring and evaluation depend on the central government) and local planning (a much recent system, with decentralized budgets and management tools).

Objectives: The proposed GCF project aims to build sustainable country capacity in identifying, prioritizing, planning and implementing measures that address adaptation needs at the sub-national level. The ultimate objective of the project is to reduce

12 https://www.greenclimate.fund/documents/20182/466992/Readiness_proposal_-_Costa_Rica___CAF___NDA_Strengthening_and_Coun- try_Programming.pdf/b635533b-7227-44c5-b1fc-ef869a4f14b8

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the vulnerability of the country to the impacts of climate change and variability, by building adaptive capacity and resilience through the integration of adaptation into planning and implementation within all relevant sectors at regional and municipal levels.

Outcomes: This project will identify and use multiple ways to integrate adaptation options into operative plans at the regional (socio-economic regions) and municipal (cantonal) levels. Outcomes from this project are as follows: o Socio-economic Regional councils and committees integrate adaptation initiatives into their plans, o A set of local governments (cantonal or municipal governments), with different types of vulnerability, integrate adaptation initiatives into their plans, o Risk assessments and understanding for prioritizing adaptation needs at territorial level in 62 additional cantons. o A central government-endorsed resource mobilization strategy for cantonal and regional adaptation initiatives o The cantons and socio-economic regions are capable of reviewing, monitoring and communicating results of adaptation initiatives.

The project seeks to achieve its objective through:

o Strengthening current planning frameworks at regional and municipal levels, recognizing the key role of subnational authorities for the Adaptation to Climate Change; o Engaging key stakeholders in adaptation planning and implementation at these levels; o Producing territorial risk assessments that identify adaptation needs, based on the integration of available and pertinent knowledge; o Building capacity and promoting agreements at different levels; and o Developing appropriate monitoring mechanisms for adaptation at sub-national level and link them with the national initiative for M&E of adaptation.

Impacts: This project will have multi-fold impacts in integrating adaptation into sub-national planning processes. The expected impacts are: o Different types and degrees of vulnerability are addressed, and climate-resilient development promoted in Costa Rica by building capacity in national, regional and municipal institutions; o The use of adaptation finance for vulnerable populations, regions, and cantons is enhanced by bringing synergies and avoiding duplication of efforts through coordination among ministries and partnerships with private sector.

Theory of change: Figure 1 illustrates the linkages between the activities and outcomes of the proposed project and how they contribute towards overcoming the current barriers to adaptation planning at the sub-national level in Costa Rica.

Component 1 aims to integrate the adaptation of climate change into 5 regional development plans (for 5 socio-economic regions), to cover the entire national territory (there are 6 socio-economic regions namely: Central, Brunca, Pacífico Central, Huetar Atlántica, Huetar Norte, Chorotega, but for the Huetar Norte Region there is already a project developed by DCC-MINAE and MIDEPLAN, as mentioned). To this end, existing development plans will be reviewed, opportunities for the integration of climate change considerations will be identified, and the current methodological guides of Regional Development Councils and their Regional Intersectoral Committees 13 will be adapted, given that they do not include references to Adaptation to Climate Change. The provision of technical assistance for the preparation of the plans at the end of year 1 is also foreseen, as well as the training events and awareness-raising campaigns, to strengthen the capacities that will facilitate their implementation and updating in later years. Tools, training, and participative processes under this component focus on organizations in socio-economic regions, including councils and their committees that bring together regional representatives from government (health, agriculture, water, energy, among others) and the private sector. These organizations are not executors of actions on the ground, but they are a space for the conclusion of sectoral policies. Agreements between sectors are accomplished at this level and support the congruence between policies and actions at the central and municipal levels. It is important to note that risk assessments will not be prepared for socio-economic regions. At this level, the project will work with the available climate change scenarios and other secondary information. This component will be developed during year 1 of the project to facilitate the inclusion and coordination of adaptation measures in sectoral government plans throughout the national territory, in each of the six socio-economic regions of the country. This component lays the ground for the development of component 2 given that the process of decentralization is very young in the country.

Component 2 focus on planning at the municipal level. 12 additional cantons will be identified to have 20 cantons with plans at the end of the project (including the 8 cantons that already have risk assessments).

This component includes a complete planning cycle in these 20 cantons. The project will use the risk assessment methodology developed for the previous 8 risk assessments. This process will help to improve this methodology to respond better to the cantons needs and specificities. This process will also help to define specific recommendations to improve the conceptual guidelines established for the elaboration of i) regulatory plans, supervised and approved by National Institute of Housing and Urbanism (INVU) and the Costa Rican Institute of Tourism (ICT) and, ii) land use plans, supervised and approved by the National Environmental Technical Secretariat (SETENA-MINAE). To ensure that this is not an isolated effort, this initiative will also pay special attention to the analysis and improvement of the methodological process for generating risk assessments, so that they

13The list and type of methodological guidelines that will be modified to mainstream adaptation to climate change by the project activities are show in table 1.

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are a tool that can be updated cheaply and efficiently, maintaining the necessary quality. Risk assessments will use already available information and participatory processes. Resources will be used to organize available information to help decision- makers to identify and invest in actions. Also, a multi-criteria qualitative analysis including social, environmental, cultural, gender, cost-effectiveness, and other criteria will be used to identify and select a set of solutions or technologies. The provision of technical assistance for the preparation of 20 municipal plans by the end of year 3 is also foreseen. Tools, training and participative processes under this component focus on municipal governments, which are implementing entities.

Components 1 and 2 of this proposal have similar intervention logic, but they seek changes at complementary levels. In a country that still has very centralized policy-making, planning, and budget allocation, the regional-level approach is a necessary bridge between the central government mandates and municipal level implementation.

In parallel, during year 1, Component 314 will address the integration of climate and socio-economic information for the development of risk assessments, in the remaining cantons of the country (62), to make it available to all local governments by the end of the project (Output 3.1). This component will consider the needs and characteristics of these sub-national actors to design demand-driven processes and products (Activity 3.2.1). Finally, it will also take these aspects into account to develop training processes for the effective use of vulnerability analysis in planning and decision-making for climate change adaptation (Output 3.2 Continuous training platform for local governments). The objective is to insert concepts and tools for the identification of adaptation measures and their implementation in existing training programs for officials and municipal authorities of the Institute for Municipal Education and Training and Local Development of the State University for Distance Learning (UNED). This institution is specialized in strengthening the capacities of local actors (including municipal officials) and has already participated in the Huetar Norte Region Adaptation Plan. Exchange visits to 2 countries will also be conducted to learn lessons on adaptation planning and implementation during the preparation of the Adaptation Plans.

It is important to highlight that territorial risk analysis is a key element to remedy existing gaps in territorial planning, to combine information from different sources, to share vulnerability information and to define adaptation priorities, not by sector, but by the most critical livelihoods of each municipality. The investment in risk analysis is not focused on collecting new information, but on analyzing and sharing it in an efficient way. In that sense, this proposal is an opportunity to bring available technical and scientific information to support the local decision-making. However, it is necessary to complement these sources with the participation of local actors, not only because of the importance of legitimizing local knowledge both because it will supply other points of view and information.

Component 4 intends to elaborate a strategy to mobilize funding resources for the implementation of priority actions identified through sub-national adaptation planning processes. One of the deliverables is, therefore, the development of concept notes for concrete interventions (Activity 4.1.5). At this point, coherence with the activities under the ongoing Readiness project, in particular with the development of the Country Programme, is particularly relevant. To ensure complementarity and avoid duplication with the Readiness support grant delivered by the CAF, the following points will be taken into consideration: o The implementation of the first Readiness project of the GCF delivered by the CAF will support the definition of general priorities in adaptation and mitigation and the definition of a Country Program by the end of 2019. Thanks to the analysis of information and results of the implementation of this NAP Readiness project, Costa Rica will be able to update the Country Program and develop more specific adaptation Concept Notes in the future. o The NAP Readiness project proposed here will develop concept notes with a territorial approach (integrating diverse actors from diverse sectors located in the same territory), which will be mentioned in the Country Programme, but will not be formulated through the Readiness grant delivered by the CAF. The CAF-lead initiative will focus on developing broader concept notes. . o During the whole process the project management system (described in section 6 of this document) is conceived to ensure coordination between both ongoing initiatives.

Moreover, adaptation criteria will be integrated into the methodological guides for public investment projects in different sectors (Act. 4.1.4), and the structure of the national public funding institutions, including the PES Programme, will be strengthened through training activities and training toolkits, including protocols for recovering and reconstruction funds assignment (Act. 4.1.6).Local-level awareness-raising campaigns for the private sector together with business organizations will include participative mechanisms, with emphasis on resources mobilization. Those results of the campaigns will be integrated into outcome 4 to help strengthen Costa Rica’s mobilization strategy beyond public resources.

Component 5 intends to provide a monitoring and follow-up framework for adaptation and, on the other hand, to obtain lessons for subsequent planning cycles. This component builds on an initiative led by DCC-MINAE and CENIGA-MINAE, with the support of CTCN, for capacity building and the implementation of the National System of Climate Change Metrics (SINAMECC).

“Vertical integration of monitoring systems involves capturing sub-national adaptation process, outcomes, and learning, while also ensuring that national-level learning informs sub-national action” (Dazé 2017). UN Environment will provide expertise and technical support in integrating adaptation options into existing methodological guidelines and capacity building.

Other experiences of monitoring adaptation, developed with the support of the CTCN in Chile and Colombia, point two main lessons. The first one is the importance of an user-oriented design to promote the more effective use of the results of the monitoring process. The second one is the generation of protocols and agreements for the exchange of information between

14 There are different municipal training initiatives, the most stable being the Institute for Municipal Capacity and Training and Local Development at Distance State University (IFCMDL) which is part of the State University for Distance Education (UNED).

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public and private sources so that the monitoring of priority indicators happens. This approach will guide the technical assistance of the CTCN in Costa Rica for the development of the SINAMECC, as well as the design of Component 5.

The project builds on existing institutions, coordination mechanisms, processes and legislation to avoid duplication and foster sustainability of the progress already made. Indeed, the project will consider the new international climate change architecture and commitments, the forthcoming National Adaptation Policy and National Adaptation Plan and newly available scientific information, employing the experience and lessons in adaptation planning (Huetar Norte Regional Adaptation plan) and implementation (p.e. Adaptation Fund project “Reducing Vulnerability in Critical Sectors (Agriculture, Water Resources, and Coastlines) to Lessen the Negative Impacts of Climate Change and Improve Resilience”,). The project is also complementary to the GCF readiness project, exploiting synergies and avoiding duplication.

Through the different components of this project, climate change adaptation will be mainstreamed across several governmental guidelines that influence the planning at different scales and time frames. Likewise, through its various components, the project will ensure that learned lessons and projects concepts are integrated into the national regulatory and planning framework.

Table 2. Methodological planning guidelines related to the outputs of the proposal

Type of document Timeframe Scope Institution Output Methodology for territorial risk assessments Strategic Municipal IMN 2, 3 Guidelines for the preparation of public investment projects Strategic National MIDEPLAN 4 Guidelines for land use plans Strategic Municipal SETENA - MINAE 2 Guidelines for regulatory plans (infrastructure) Strategic Municipal INVU 2 Guidelines for the preparation of CIRs and COREDEs op- Short-term Regional MIDEPLAN 1 erational plans Guidelines for the preparation of municipal operational Short-term Municipal Municipal governments 2 plans

o Stakeholder consultation

The Costa Rican government has established policies that favor public consultation, such as the policy for citizen participation and open data in line with OECD guidelines, and an Open Government National Commission by executive decree (http://go- biernoabierto.go.cr/estrategia/cnga/). Both were considered in the formulation of the National Adaptation to Climate Change Policy using workshops and open public consultation (http://mideplan.go.cr/mideplan/preguntas-frecuentes/282-uncatego- rised/1795-consulta-publica-politica-nacional-de-adaptacion-al-cambio-climatico-costa-rica). These guidelines and mechanisms will also be implemented in this initiative.

An extensive consultative process has taken place throughout the preparation of this proposal (A list of the consulted stakeholders is presented in Annex 5). Meetings have been conducted with relevant directorates and departments of the MINAE and MIDEPLAN, as well as with government agencies in charge of risk management (CNE), urban planning (National Institute of Housing and Urbanism) and public agencies assessment (Comptroller General of the Republic). The consultative process has also entailed meetings with the AECID, which supports the formulation of the Strategy and the National Adaptation Plan, and Fundecooperacion, a national foundation in charge of the implementation of the Adaptation Fund (Kyoto Protocol), which fi- nances adaptation projects and programs. Also, the consultant participated in a workshop, organized by the DCC-MINAE, where strategic frameworks on ecosystem-based adaptation developed in Costa Rica were presented.

The implementation of the project will also be broadly participatory and will serve to strengthen existing mechanisms for participation in adaptation initiatives. While activities 1.1.2 and 2.2.2 will focus on sub-national governmental levels, activities 1.2.3 and 2.2.4 will contribute to enhanced participation of civil society and the private sector through awareness raising. Activities 1.2.2, 1.3.2, 2.2.3, 2.3.2 and 3.2.1 will contribute, among other activities, to strengthen the capacity of MIDEPLAN and municipal governments.

This process will further ensure transparency, inclusiveness, broader acceptance and ownership in making regional and local adaptation planning gender-responsive and promote the involvement of most climate vulnerable people. All the processes supported by the project will accord high priority to inclusiveness. Following national policy documents, the adaptation planning process at sub-national level will ensure that the needs of disadvantaged communities, indigenous and traditional groups, dis- ables, migrants, women, and youth are carefully considered and addressed. In this light, the project will fully involve these groups through consultation and validation workshops, ensuring their participation in all stages of the process. This general framework will ensure a gender-sensitive process, as well as gender-sensitive results in terms of the actions that are prioritized for implementation. During the project implementation, the same stakeholders will continue to be involved. The scope and scale of the consultative process will, however, become broader and more comprehensive. The sub-national adaptation planning process will follow a participatory approach that strengthens the existing mechanisms for participation in adaptation decisions.

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Figure 1. Theory of change. Outcomes 1 and 2 strengthen governmental institution capacities at the sub-national level to identify, prioritize and include adaptation measures in their plans, they also facilitate arrangements among different stakeholders to implement these measures. Outcome 3 provides technical inputs for planning, by the integration of existent information. Outcomes 4 and 5 are focused on the sustainability of the project results, from the financial and learning point of view. Colors highlight the technical analysis sequence: technical reviews (brown cells), the establishment of methodological criteria and guidelines coming from this analysis (orange cells), spaces for its dissemination (green cells) and participation and inquiry spaces for adjustments and adoption (blue cells). For further explanation see next page. Building adaptive capacity and resilience through the integration of adaptation into regional and municipal planning, including government entities, private sector and civil society

Outcome 4. A government-endorsed resource mobilization strategy for sub-national adaptation initiatives

Strategy to access Training on the ad- sources and chan- aptation finance Outcome 5. The regional councils and the munici- Outcomes 1 & 2. Regional councils, nelling of $. strategy. Outcome 3. Municipal governments pal governments of the country are capable of re- committees and a set of pilot mu- have relevant information and capaci- viewing, monitoring and communicating results of nicipal governments, integrate ad- ties to identify adaptation priorities Adaptation criteria in guides for adaptation initiatives aptation initiatives into their plans. and implement adaptation initiatives. public investment.

New public, private, bilateral Develop & dis- Integration and multilateral sources of cli- seminate an- of the Participative process to Concepts and tools for the mate finance identified nual progress framework include adaptation initi- identification of adaptation reports on ad- into atives in sub-national measures and their implemen- Technical guides for com- aptation SINAMECC planning. tation integrated in training parison and selection of ad- programs aptation measures

Training and improvements Train regional committees and mu- Awareness campaigns (training) for Business plans & financial needs of municipal and re- nicipalities in the use of these regional councils and committees, models to demonstrate gional stakeholders guidelines. technical staff of municipalities and value of ecosystem services private sector. for adaptation. Territorial RAs for remaining Guidelines and tools for regional municipalities (62) and regions Benefits of adaptation committees and municipalities on Methodological guidelines to facilitate (8) measures systematised. data collection, analysis and dis- adaptation planning & implementation semination. at sub-national levels. Costs of adaptation Reviewed RA methodology measures estimated. Develop and adjust a monitoring framework for adaptation Technical review of regional plans using cli- Detailed RAs for a diverse set Gaps identified for a reliable mate scenarios and sectoral risk assess- of rural and urban municipali- estimation of adaptation costs Current performance monitor- ments (Ras) and aa set of municipal plans ties measures ing initiatives review using territorial RAs

Limited institutional and technical capacity Limited financial resources mobili- Limited financial resources mobilisa- Monitoring efforts at subnational levels do sation to adaptation. tion to adaptation. not include adaptation criteria.

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Component 1 (Outcome 1) will be developed during the first year of the project to facilitate the inclusion of adaptation measures in sectoral government plans in each of the country's socioeconomic regions. • These adaptation measures are based on public consultations led by the National Directorate of Climate Change and MIDEPLAN as part of the formulation of the National Adaptation Strategy and the National Adaptation Plan during 2017 and are centered on six thematic axes: agriculture and fisheries, biodiversity and forests, infrastructure, water resources, health, and tourism. • This component lays the ground for the development of component 2 given that the process of decentralization (municipalization/cantonalization) is very young in the country, and consequently, policies formulation and budget allocation are very centralized. The regional-level approach in socio-economic regions is a necessary bridge between the mandates of the central government and the municipal level implementation of adaptation to climate change because it ensures that: o the priorities of adaptation are reflected holistically in the plans of the sectoral regional offices (agriculture and fisheries, biodiversity and forests, infrastructure, water resources, health, and tourism); o the representatives of these sectors at the socioeconomic regional level discuss and agree on how to implement them in each socioeconomic region, and o the representatives of these sectors at the regional level have clear guidelines and priorities to support the municipal governments in each socio-economic region (see list in Annex 3) • The two-levels of planning (municipal/cantonal and socioeconomic regions) complementing each other reflect the experience of MIDEPLAN in promoting human development priorities. MIDEPLAN supports the development of Cantonal (Municipal) Plans for Local Human Development and Regional Development Plans.

Component 2 (Outcome 2) addresses adaptation planning at the municipal level. • Outcome 2.1 includes a complete planning cycle in the cantons that already have risk analysis, or that can complete it within a year. In the rest of the cantons of the country, the project will manage to organize risk analysis with an optimized methodology and using already available information and participatory processes (budget will be used in consolidating available information to help decisions makers to identify and invest in adaptation actions.

Component 3 (Outcome 3) will address the integration of climate and socio-economic information for the development of risk assessments, in the remaining cantons of the country (62), to make it available to all local governments in the country. Risk assessments are a crucial element to remedy existing gaps in territorial planning, to combine information from different sources, to share vulnerability information and to define adaptation priorities, no longer by sector, but by the most critical livelihoods of each municipality. The investment in risk analysis is not focused on collecting new information, but on analyzing and sharing it.

Component 4 (outcome 4) intends to elaborate a strategy to mobilize funding resources for the implementation of priority actions identified through sub-national adaptation planning processes.

Component 5 (Outcome 5) intends to provide with a monitoring and follow-up framework for adaptation that will allow the country to show progress made in adaptation) and, on the other hand, to obtain lessons learned for subsequent planning cycles.

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4.1. Budget Plan COST CATEGORIES EXPENDITURE AND IMPLEMENTATION SCHEDULE TOTAL OUTPUTS ACTIVITIES Consultants or Workshops/ COST Travel Others 6m 12m 18m 24m 30m 36m service contract Trainings 1.1 Current plan- 1.1.1 Review of regional development plans and cur- 42,300 33,000 9,300 42,300 ning and climate rent work plans of Regional Development Councils and information is as- their Regional Sectoral Committees. sessed to facilitate 1.1.2 Facilitate participative processes for Regional 52,300 33,000 9,300 10,000 52,300 the identification of Development Councils and their Regional Sectoral adaptation options Committees in the targeted 4 socio-economic regions at the regional and 4 sub regions. level. 1.2 Training and 1.2.1 Review and modify MIDEPLAN´s methodological 44,250 33,000 1,250 10,000 44,250 awareness raising guidelines on development planning. for public stake- 1.2.2 Provide orientation and training for policy and de- 16,950 13,200 3,750 16,950 holders at national cision makers and implementers from relevant institu- and regional levels tions at the national and socioeconomic region level. are conducted. 1.2.3 Develop regional level awareness raising cam- 88,000 59,400 18,600 10,000 88,000 paigns for Regional Development Councils and their Regional Sectoral Committees. 1.3 Regional De- 1.3.1 Identify institutional arrangements for the elabo- 9,300 9,300 9,300 velopment Coun- ration and future implementation of the sectoral adap- cils and their Re- tation priorities at the regional level. gional Sectoral 1.3.2 Provide technical assistance to Regional Devel- 33,050 13,200 18,600 1,250 33,050 Committees work opment Councils and their Regional Intersectoral Com- plans integrate mittees to elaborate regional development plans that sectoral adapta- effectively integrate sectoral adaptation priorities. tion priorities at the regional level. 2.1 Local plans of 2.1.1 Definition of criteria and selection of a set of 12 2,200 2,200 2,200 12 pilot cantons pilot cantons, including at least one of each socio-eco- are assessed to nomic region. identify opportuni- 2.1.2 Elaborate 12 risk assessments in rural and urban 312,400 158,400 111,600 26,400 16,000 120,160 192,240 ties to integrate cantons exposed to different climatic processes. adaptation op- 2.1.3 Review the strategic, medium and short-term 33,000 33,000 33,000 tions. plans of 12 pilot cantons using the Risk Assessments elaborated in 2.1.2 to identify opportunities for the promotion and the integration of adaptation options. 2.2 Tools, training, 2.2.1 Review and modify IMN methodological guide- 34,250 33,000 1,250 34,250 awareness raising lines to facilitate the identification of adaptation priori- and participatory ties and the implementation of adaptation strategies.

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4.1. Budget Plan COST CATEGORIES EXPENDITURE AND IMPLEMENTATION SCHEDULE TOTAL OUTPUTS ACTIVITIES Consultants or Workshops/ COST Travel Others 6m 12m 18m 24m 30m 36m service contract Trainings processes for pub- 2.2.2 Develop guidelines to priorities and select adap- 27,000 19,800 2,200 5,000 27,000 lic and private tation measures through multi-criteria analyses at the stakeholders at lo- municipal level. cal level con- 2.2.3 Facilitate participative processes for local gov- 133,000 92,400 18,600 22,000 133,000 ducted, in pilot ernments. cantons. 2.2.4 Provide orientation and training for municipal 86,800 46,200 18,600 22,000 86,800 staff, NGOs, CSOs and local communities. 2.2.5 Develop local-level awareness-raising cam- 31,300 9,300 22,000 31,300 paigns for the private sector together with business organizations. 2.3 Local plans of 2.3.1 Identify institutional arrangements for elaboration 1,100 1,100 1,100 pilot cantons inte- and future implementation of local level development grate adaptation plans. priorities. 2.3.2 Provide technical assistance to cantons to elabo- 113,950 79,200 31,000 3,750 56,975 56,975 rate municipal development plans that effectively integrate sectoral adaptation priorities. 3.1 Territorial-level 3.1.1 Second round of improvement of the IMN meth- 19,125 13,000 3,925 2,200 19,125 risk assessments odology for territorial risk assessments. available in an ac- 3.1.2 Prepare and disseminate territorial risk assess- 797,600 475,200 248,000 70,400 4,000 4,000 198,400 198,400 198,400 198,400 cessible and rele- ments for the remaining cantons (62). vant way for all cantons. 3.2 Continuous 3.2.1 Determine training needs of municipal staff and 11,250 6,600 4,650 11,250 training platform regional stakeholders, considering capacities of for local govern- women´s groups and other focusing on gender. ments. 3.2.2 Insert concepts and tools for the identification of 23,200 13,200 10,000 23,200 adaptation measures and their implementation in existing training programs. 3.2.3 Conduct exchange visits to 2 countries to learn 27,000 27,000 13,500 13,500 lessons on adaptation planning and implementation. 4.1 A strategy to 4.1.1 Review reports produced on costing adaptation 21,800 21,800 21,800 mobilize funding in Costa Rica. resources for the 4.1.2 Undertake an economic study to fill information 30,900 26,200 4,700 30,900 implementation of gaps and estimate costs of implementing prioritized priority actions adaptation measures at sub-national levels. identified through 4.1.3 Identify options for scaling up adaptation invest- 39,700 32,800 4,700 2,200 11,910 27,790 ments.

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4.1. Budget Plan COST CATEGORIES EXPENDITURE AND IMPLEMENTATION SCHEDULE TOTAL OUTPUTS ACTIVITIES Consultants or Workshops/ COST Travel Others 6m 12m 18m 24m 30m 36m service contract Trainings sub-national adap- 4.1.4 Include adaptation criteria in the methodological 32,050 30,800 1,250 32,050 tation planning guides for public investment projects processes 4.1.5 Develop an adaptation finance strategy and at 137,250 105,600 27,900 3,750 72,742 64,508 least 3 concept notes for the GCF. 4.1.6 Develop training toolkits and provide training to 38,600 26,400 2,200 10,000 38,600 strengthen the capacity of relevant stakeholders. 5.1 A monitoring 5.1.1 Develop and adjust a monitoring framework, in- 50,700 33,000 13,950 3,750 16,900 16,900 16,900 system estab- cluding indicators, baselines, targets, and means of lished for the sub- verification at sub-national levels. national levels. 5.1.2 Support the integration of the framework into the 9,300 3,300 6,000 3,100 3,100 3,100 SINAMECC. 5.2 Training of na- 5.2.1 Develop guidelines and tools for the staff of re- 18,800 8,800 10,000 18,800 tional and local gional councils and municipal governments data government repre- collection, analysis, and dissemination. sentatives and 5.2.2 Train staff of regional councils and municipal 13,100 4,400 6,200 2,500 13,100 stakeholders to governments in the use of these guidelines. implement the monitoring system. 5.3 Governmental 5.3.1 Evaluate existing platforms performance 13,200 13,200 13,200 and private sec- regarding information sharing at different levels (na- tors stakeholders tional, regional, and municipal). of national and 5.3.2 Adjust selected platforms and design communi- 31,800 19,800 12,000 10,600 10,600 10,600 sub-national levels cation products for information sharing. know the results 5.3.3 Provide feedback to sectoral adaptation plans. 38,600 26,400 2,200 10,000 38,600 and products of the project. TOTAL ACTIVITIES 2,415,125 1,510,600 595,225 216,300 93,000 276,110 480,200 357,325 518,132 458,783 324,575 Project Manage- Coordinator full time 60,000 60,000 ment Finance and admin officer full time 38,000 38,000 Audits 12,000 12,000 Equipment 5500 6,500 Steering committee 5,250 3,000 3,000 TOTAL PCM 120750 110,000 3,000 3,000 6,500 Contingency (up to 5% of total activities) 120,756 Delivery Partner Fee (up to 8.5% of total activities) 205,286

TOTAL

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4.1. Budget Plan COST CATEGORIES EXPENDITURE AND IMPLEMENTATION SCHEDULE TOTAL OUTPUTS ACTIVITIES Consultants or Workshops/ COST Travel Others 6m 12m 18m 24m 30m 36m service contract Trainings

2,861,917

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4.2 Procurement Plan For goods, services, and consultancies to be procured, please list the items, descriptions in relation to the activities in section 2, estimated cost, procurement method, relevant threshold, and the estimated dates. Please include the procurement plan for at least the first tranche of disbursement requested below. Also, please feel free to replicate this table on Excel spreadsheet if needed. THRESHOLDS (Min-Max monetary PROJECTED ESTIMATED PROCUREMENT ESTIMATED ITEM ITEM DESCRIPTION value for which indicated CONTRACT- COST (US $) METHOD START DATE procurement method ING DATE must be used) Goods and Non-Consulting Services Stationary and of- Personal computers (10) for Risk Assessments and other project ac- 20,000 Request for quotations > US$ 10,000 Y1Q1 Y3Q4 fice supplies tivities. Workshops and Request for quotations > US$ 10,000 Workshops and trainings for various activities 216,300 Y1Q1 Y3Q4 trainings Low value procurement < US$ 10,000 Request for quotations > US$ 10,000 Travels Travels for various activities15 595,225 Y1Q1 Y3Q4 Low value procurement < US$ 10,000 Audits Annual audits 12,000 Request for quotations > US$ 10,000 Y1Q1 Y3Q4 Steering Committee Steering committee travel expenses 6,000 Low value procurement US$ 10,000 Y1Q1 Y1Q1 Request for quotations > US$ 10,000 Service contract Publication and printing costs, Webpages16 73,000 Y1Q1 Y3Q4 Low value procurement < US$ 10,000

SUB-TOTAL (US $) 1,027,025 Consultancy Services Consultant National consultant (Adaptation planning 1), Outputs 1 & 2 105,600 Recruitment N/A Y1Q1 Y3Q3 Consultant National consultant (Disaster Risk Management 1), Outputs 1 & 2 188,100 Recruitment N/A Y1Q1 Y1Q3 Consultant National consultant (Gender 1), Outputs 1, 3, 4 & 5 169,400 Recruitment N/A Y1Q1 Y3Q4 Consultant National consultant (Training and Communication), Outputs 1, 2 & 5 105,600 Recruitment N/A Y1Q2 Y3Q4 Consultant National consultant (Coordinator Risk Assessment), Output 2 211,200 Recruitment N/A Y1Q1 Y3Q4 Consultant National consultant (Socio-demographic planning), Output 3 211,200 Recruitment N/A Y1Q1 Y3Q4 Consultant National consultant (Geographer), Output 2 & 3 105,600 Recruitment N/A Y1Q1 Y3Q4 Consultant National consultant (Gender 2), Output 2 83,600 Recruitment N/A Y1Q1 Y3Q4 Consultant International consultant (Risk & Vulnerability Assessment), Output 3 13,000 Recruitment N/A Y2Q1 Y2Q1 Consultant National consultant (Local government), Output 3 19,800 Recruitment N/A Y1Q2 Y2Q3 Consultant International consultant (Adaptation financing), Output 4 39,000 Recruitment N/A Y1Q2 Y2Q2

15 Travel budget will be used mainly for the development of the regional level plans (the 84 cantons or municipalities of the country). The government staff travel cost, if they join in the NAP related missions will be borne from Government internal resource and not from NAP's project fund. However, Government personnel (MINAE, MIDEPLAN, etc.) can be invited as participants in some of the workshops planned, receiving the local DSA from the project funds as any other participant, according to the regulations of the Government of Costa Rica. 16 The costs of publications (USD 73,000) include a) the design and printing of training and dissemination materials for different audiences (including ethnic minorities appropriate design and translation into minorities’ languages), and b) design and implementation of an electronic platform for monitoring, evaluation, and dissemination (Component 5, $ 18,000).

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Consultant National consultant (Adaptation financing), Outputs 2 & 4 101,200 Recruitment N/A Y1Q2 Y3Q2 Consultant National consultant (Ecosystem based Adaptation), Output 2 4,400 Recruitment N/A Y2Q1 Y2Q1 Consultant National consultant (Adaptation planning 2), Outputs 4 & 5 139,700 Recruitment N/A Y1Q3 Y3Q4 Consultant National consultant (Risk Assessment 2), Output 5 13,200 Recruitment N/A Y2Q3 Y3Q3 SUB-TOTAL (US $) 1,510,600

TOTAL COST (US $) 2,537,625

Brief description of the specific tasks of each consultant Consultant Activities Brief description of the specific tasks of each consultant. Nat. consultant, Adaptation planning 1 Output 1 & Output 2 Responsible of the integration of climate change adaptation (with emphasis on EbA approach) into the planning of regional organizations (councils and committees, Year 1) and the planning or municipal governments (Years 2 and 3). Equivalent to a full position during all the project. Support to Outputs 3 and 4. Nat. consultant, Disaster risk management Output 1 & Output 2 Responsible for the integration of disaster risk management into the planning of regional organizations (councils and committees, Year 1) and the planning of municipal governments (Years 2 and 3). Equivalent to a full position during all the project. Nat. consultant, Gender 1 Output 1/Output 2/Output 4/Output 5 Responsible of the integration of climate change adaptation and disaster risk management with gender criteria the planning of regional organizations (councils and committees, Year 1) and into the planning of municipal governments (Years 2 and 3). Support for the integration of gender criteria and practices in Output 4 and 5. Equivalent to a full position during most of the project Nat. consultant, Training & communications Output 1/Output 2/ Output 5 Responsible for the organization of training processes and awareness raising campaigns at regional and cantonal levels. Design or review of publications Nat consultant, Risk assessment coordination Output 2 Team leader for the elaboration of Risk Assessment in urban and rural cantons. Nat. consultant, Socio-demographic planning Output 3 Responsible for the integration of socio-economic criteria, information, and analysis in the municipal risk assessments. Nat. consultant, Geographer Output 2 Responsible for the SIG and integration of biophysical criteria, information, and analysis in the municipal RAs. Nat. consultant, Gender 2 Output 2 Responsible for the integration of gender criteria, data, and analysis in the municipal RAs. Int. consultant, Risk & Adaptation assessment Output 3 Adaptation or current IMN Risk Assessment methodology evaluation and optimization considering lessons learned, capacities of municipal staff and integration of gender analysis. Nat. consultant, Local governments Output 3 Responsible for the design of continuous training platform for local governments. Int. consultant, Adaptation financing Output 4 Technical leader of the assessment of costs and benefits of meeting integrated adaptation priorities at sub-nationals’ levels. Nat. consultant, Adaptation financing Output 2 & Output 4 Technical support of the assessment of costs and benefits of meeting integrated adaptation priorities at sub-nationals’ levels. Responsible for the technical guide to help the selection of adaptation measures through multi-criteria analysis. Responsible for identifying potential new sources of climate finance and defining a strategy to mobilize funding resources to implement adaptation priorities. Support the preparation of 3 concept notes for the GCF Nat. consultant, Ecosystem-based Adaptation Output 2 Scientific support to the development of a technical guide to help the comparison and selection of adaptation measures. Nat. consultant, Adaptation planning 2 Output 4 & Output 5 Responsible of the integration of climate change adaptation (with emphasis on Ecosystem-based Adaptation approach) into adaptation monitoring systems, training modules for municipal governments staff, systematization and feedback to national, regional and municipal levels (Outcome 5) Support the preparation of 3 concept notes for the GCF. Int. consultant, Risk & Adaptation assessment 2 Output 5 Support of systematizations regarding RAs formulation and application.

Brief description of workshops types and size Workshop type Activities and number Indicative number of participants for each workshop Small consultation workshops (16) Output 1 20 participants in each workshop. Workshops will be organized in each socio-economic region (Central Region comprises 4 sub-regions). Region Huetar Norte will be not included (a previous project has been developed there) Large consultation workshop (30) Output 2 40 participants in each workshop. Workshops will be organized in each of the pilot cantons, in some cases includes 2 cantons. Small validation workshops (7) Outputs 1, 2, 3, 4 and 5. 20 participants in each workshop. Small workshops to validate technical analysis results, methodological guideless and other tools Large validation workshops (9) Outputs 2, 3, 4 and 5. 40 participants in each workshop. Large workshops to validate and disseminate Risk Assessments at cantons level, validation of analysis approaches and tools. Small training workshops (9) Outputs 1, 2and 5. 20 participants in each workshop. Training for technical staff of MIDEPLAN, CIRs, COREDES, and municipal governments.

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Large training workshop (1) Output 4. 40 participants. Training for high-level technical staff (MIDEPLAN, MINAE, other ministries) related to the funding strategy.

Notes: National consultants Adaptation planning 1, Disaster risk management and Gender 1 integrates the team in charge of the activities of Outcomes 1 and 2. Activities in parenthesis are not charged in the budget because the participation of the consultant is charged to another simultaneous activity. Detailed costed log frame is provided in Annex 1.

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The national project coordinator and the international project manager will be in charge of monitoring the indicators and updating the log-frame on an annual basis, for review by senior management at MINAE and UN Environment, with support from the administration and finance officer.

Interim and final progress reports will be submitted to the GCF within one month of completion of the reporting period in accordance with the terms of the of Framework Readiness and Preparatory Support Grant Agreement between GCF and UN Environment. Given the proposed project duration of 36 months, it is proposed to submit the reports as follows:

● Interim report (months 1-12): to be submitted by the end of Month 13, ● Semi-annual portfolio reports by 30 July and 30 January, ● Mid-term review report (covering months 1-18): to be submitted by the end of Month 19, ● Interim report (months 13-24): to be submitted by the end of Month 25, ● Final report (months 25-36): to be submitted by the end of Month 37, along with a final evaluation report.

Please note that the timeframe (Annex 2) presents when each activity will be conducted and therefore when each input is required.

The types of procurement and process to be followed for this readiness and preparatory support project is presented below:

Procurement Type Procurement Item Project Project TOTAL US$ Procure- Activities Management ment Timeframe Low-value procurement of goods Contractual services 289,300 12,000 301,300 Y1Q1-Y3Q4 and services Travel 595,225 6,000 601,225 Y1Q1-Y3Q4 Equipment and furniture 20,000 6,500 26,500 Y1Q1-Y3Q4 Recruitment of services of interna- International experts 52,000 52,000 Y1Q1-Y3Q4 tional and local experts National experts 1,458,600 98,000 1,556,600 Y1Q1-Y3Q4 Total 2,415,125 122,500 2,537,625

The tasks of the consultants have been programmed in such a way to reduce the number of personnel hired, and ensure its continuity over time. To reduce the burden of the hiring process, management of individual consult-ants, and eventually reduce operative costs, at least two teams could be formed for hiring through consulting firms. A team can assume the activities of Outputs 1, 2, 4 and 5 (directly supervised by the DCC, and other activities of Output 3 (supervised jointly by the DCC and the IMN).

Overall financial management and procurement of goods and services under this readiness and preparatory support proposal will be guided by UN Environment’s regulations, rules, policies, and procedures, as well as its program manual. Further, procurement of goods and services will follow the general principles stated under clause 7 of Framework Readiness and Prepar- atory Support Grant Agreement (Framework Agreement) between GCF and UN Environment17.”

For this readiness and preparatory support proposal, services of a technical nature will be recruited, or acquired, and directly managed by UN Environment, in consultation with MINAE, the GCF’s National Designated Authority (NDA) of Costa Rica. Recruitment and management of consultants will be in accordance with UN Environment rules, policies and procedures.

UN Environment will procure goods and services in delivering activities at the national level [for example meetings, workshops, etc.] in accordance with the agreed procurement management plan.

4.3. Disbursement schedule UN Environment as the Delivery Partner for this R&P Support Proposal will submit requests to the GCF for disbursement of approved grants as per the Framework R&P Support Grant Agreement between the GCF and UN Environment. Disbursement requests will be signed by the authorized representative of the UN Environment and will include details of the bank account into which the grant will be deposited.

UN Environment, the Delivery Partner for this R&P Support Proposal for Costa Rica, will administer the grant disbursed by the GCF in accordance with UN Environment’s regulations, rules, and procedures including maintenance of records of grant, dis- bursements, and expenditure. UN Environment will follow the disbursement schedule as per the Framework R&P Support Grant Agreement between the GCF and UN Environment.

UN Environment will allocate the grant proceeds as appropriate, in accordance with its obligations under clause 5 (Use of Grant Proceeds by the Delivery Partner) of Framework Readiness and Preparatory Support Grant Agreement between GCF and UN

17 UN Environment will comply with its obligation under clause 7(a) of the Framework Agreement, which states “The procurement of Goods and Services for Approved Readiness Support Proposals, whether by the Delivery Partner or by a third party, shall be done in accordance with the rules, policies and procedures of the Delivery Partner

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Environment. Disbursement schedule will follow the indicative yearly budget provided in the table above and in accordance with the procurement plan (costed log frame) presented in Annex 1.

4.4. Additional information

“Other costs” category includes equipment and furniture (computers) and publication and printing costs.

SECTION 5: IMPLEMENTATION ARRANGEMENTS AND OTHER INFORMATION 5.1. Please attach an “implementation map” or describe how funds will be managed by the NDA/FP or delivery partner

UN Environment will manage the funds for the activities under this readiness agreement. UN Environment will agree on a plan with the MINAE to monitor the implementation of the activities using the grant proceeds. However, UN Environment will be responsible for the implementation of the activities under this readiness and preparatory support proposal

UN Environment, through its Regional Office for Latin America and the Caribbean (ROLAC), will be responsible for overall coordination, oversight of the implementation of activities and evaluation of the project, which will be done in coordination with the Project Steering Committee (PSC) and the national Project Manager (PM). UN Environment will also be responsible for preparing progress, monitoring and evaluation reports as appropriate. A UN Environment Programme Officer (PO) will be responsible for project supervision to ensure consistency with GCF and UN Environment policies and procedures. The PO functions will consist on the following: a) Participate in the annual Project Steering Committee (PSC) meetings; b) Facilitate the mid-term review and final evaluation (as appropriate); c) Clear the Progress Reports; and d) undertake the technical review of project deliverables.

UN Environment will submit interim and final progress reports to the GCF within one month of completion of the reporting period in accordance with the terms of the Framework Readiness and Preparatory Support Grant Agreement between GCF and UN Environment.

The Project Steering Committee (PSC) will be composed by MINAE, MIDEPLAN, CNE and UN Environment. The PSC will have decision-making capacity and will primarily serve to provide guidance and advisory support, including (a) provide guidance and support project implementation, and (b) reviewing annual budget and work plans. The PSC will meet at least once a year – with ad hoc meetings held as and when necessary – to discuss the project's main performance indicators and provide strategic guidance. A representative of UN Environment will also sit in the PSC. Also, there will be an Advisory Committee composed by the Ministry of Foreign Affairs, the Comptroller General of the Republic, and the National Union of Local Governments (UNGL) to provide strategic advice to the PSC. The Advisory Committee will meet once a year, with ad hoc meetings held as and when necessary. In addition to this, a Technical Committee will be constituted under the chairmanship of MINAE to provide technical guidance and ensure ownership, communication and reporting on the project process with national adaptation communities strengthened through the National Adaptation Policy and National Adaptation Plan building process. The Technical Committee will be composed by the adaptation focal points of the following institutions: the Ministries of Economy, Planning (MIDEPLAN), Agriculture (MAG), and Public Works and Transportation (MOPT); the Costa Rican Institute of Tourism (ICT), the National Institute for Statistics and Censuses (INEC), the National Institute of Housing and Urbanism (INVU), the National Groundwater, Irrigation and Drainage Service (SENARA), the National System of Conservation Areas (SINAC), SETENA, IFCMDL, IMN, CNE, Fundecooperacion, NGOs, and academic and private sector organisations. The Technical Committee will also punctually invite other stakeholders to provide specific technical support. The Technical Committee will meet once a year, with ad hoc meetings held as and when necessary.

A Project Management Unit (PMU) will be established for day to day management of the project. Based in the MINAE, the PMU will consist of a national Project Coordinator (PC), an international Technical Advisor/consultant (PM), a national Opera- tions Assistant, and an Administration and Finance Officer (AFO). The PMU will coordinate activities between the project’s DP, EE, and various partners to oversee the implementation of the project’s activities, reports, including approval of any changes to the project’s targets, activities or timelines.

Following the request of the Government of Costa Rica, UN Environment will manage the funds in collaboration with a third party who will manage the project funds locally. UN Environment will enter into an execution agreement with this third party (Funds Management Local Agency), which will clarify each party´s roles and responsibilities in accordance with UN Environment rules and regulations and due diligence process18.

The following figure illustrates the institutional arrangements.

18 Concerning the consultant hiring process the third party will prepare and manage ToR, contracts and MoU with consultants and project partners using appropriate legal instruments. ToR and selection process will be done in consultation with the PMU (clearance), and according with the project´s work plan and budget. ToRs will be cleared by UN Environment as well.

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Advisory Committee Project Steering Committee Ministry of Foreign Affairs MINAE, MIDEPLAN, CNE National Union of Local Governments UN Environment Comptroller General of the Republic

Technical Committee

Project Management Unit Ministry of Economy MIDEPLAN, MAG, MOPT ICT, INEC, IMN, INVU SETENA, Fundecooperacion Funds Management Local Agency IFCMDL, SINAC, NGOs, academic and private sector organisations Figure 3. Project institutional structure

The country was awarded a GCF Readiness and Preparatory Support grant of USD $300,000 to strengthen the capacities of the Ministry of Environment and Energy (MINAE) team to comply with the Ministry's role as NDA, and to create the tools and procedures to communicate information related to the GCF to different stakeholders, including private sector. The Development Bank of Latin America (CAF) is the country’s delivery partner for the development of the Country Program. The development of the Country Programme will establish the framework for strategic engagement with the Fund. This proposal for adaptation planning at the sub-national level will develop synergies with this and other proposals in the field of climate change adaptation, to ensure complementarity and avoid duplication of effort. Especially in relation to the Country Program and other proposals granted by GCF, close coordination with the NDA will take place to trigger proper mechanisms to reach this objective. Coordi- nation will be achieved through participation in Project Steering Committee meetings and follow up from the regular team planning meetings. Special attention will be dedicated to the coordination of the financial strategy and concept notes that are foreseen as products of this proposal.

5.2. Other relevant information

Other UN Environment NAP initiatives in the region. Costa Rica´s NDA for the GCF has requested UN Environment to support the country and act as a delivery partner to access GCF readiness and preparatory support for building capacity to advance adaptation plan processes at sub-national levels. This request from the Government of Costa Rica falls within the approved Programme of Work Outputs 2016‐2017 of UN Environment; specifically, output number 4 “Technical support provided to countries to address UNFCCC adaptation planning and reporting requirements” under expected accomplishment EA(a). Please also note that UN Environment and UNDP are jointly implementing the National Adaptation Plan Global Support Programme (NAPGSP) both for Least Developed Countries (LDCs) and Other Developing Countries with financial support from the LDCF under the Global Environment Facility (GEF), in collaboration with UN Environment’s REGATTA initiative. This context provides enhanced knowledge about the NAP process and specifically the support required under different areas for countries to advance their adaptation planning processes, as well access to a wealth of technical expertise among NAPGSP partners.

Exit strategy. The financial sustainability of the project is ensured through i) the inclusion of key activities in the national budget; and ii) the mobilization of climate finance (GCF concept notes). Every four years, Costa Rica draws up a National Development Plan for the Public Sector. This Plan establishes the priorities to be addressed by the different governmental entities and is accompanied by annual budgets. In this context, MIDEPLAN and MINAE will:

• Provide guidelines for the promotion and Establishment of Adaptation Measures to Climate Change in its annual budgets to allow the continuity of the activities initiated by this project. • Provide advice to public institutions linked to the NAP to include in their planning and budgets adaptation activities that have been identified under this plan. • Support regional councils and local governments in access to climate finance, as the designated National Authority to the GCF and focal point to other climate change funds. • Support the training platform for local governments (located in a public university for the sake of sustainability) strengthened through this project.

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These mechanisms will facilitate the revision and updating of regionals and local adaptation measures and continuous training of public institutions linked to the NAP funding strategy. In financial terms, not only the project will estimate the cost of implementing priority adaptation interventions in the medium and long-term, but also will identify, analyze and recommend policy options for scaling up financing for adaptation, including through public-private partnerships.

The project’s exit strategy is based on building capacity at institutional, legal, policy, planning, technical, financial and governance levels for planning and implementing adaptation in a sustainable way. In this sense, this proposal provides holistic support to ensure the existence of an adequate enabling environment for adaptation well beyond the duration of the project so that medium and long-term adaptation needs are consistently and effectively addressed over time.

Institutionally, the project will strengthen the adaptation planning and management framework and the institutional links between climate change institutions and the institutions responsible for other cross-cutting issues at the sub-national level. In legal, policy and planning terms, the project will be supported by the development and approval of key instruments, such as the National Adaptation Policy and the NAP. The project will involve the development of GCF concept notes based on the plans ensuring the implementation of their key priorities.

In technical terms, the project will raise awareness and provide training, as well as produce methodological guides for sub- national levels. Regarding governance, the project will contribute to increasing the involvement of the civil society, the academia, and the private sector. Workshops will be organized to raise the awareness of these stakeholders, but also to get their inputs and ensure full ownership of adaptation planning and implementation. Indeed, these workshops will take place throughout the project. Importantly, the project will use technical inputs from other initiatives (e.g., for the M&E framework through a CTCN technical assistance).

Beneficiaries. . The project is focused on institutional strengthening to ensure effective integration of climate change into development planning. The project results will contribute to the adaptive capacity enhancement of Costa Rica’s most vulnerable people throughout the country. Enhance of adaptive capacity will help to maintain ecosystem services and maintain/or increase production and productivity of major economic sectors such as agriculture, energy, and tourism; thereby contributing towards national income and human development. To achieve this goal, the project focuses will work with beneficiaries at different and complementary levels:

Level Name of main benefi- Main strengthening areas ciaries Na- Agriculture and Live- Inclusion of adaptation to climate change criteria into policies, methodologi- tional stock Ministry (agricul- cal guidelines and processes. ture), MINAE (water resources, energy, biodiversity) INVU, SETENA (infrastructure), ICT (tourism) MIDEPLAN Public In- vestment Unit IMN Territorial risk assessment methodology improvement (reduction of time and cost of the assessment, incorporation of new variables, participative and in-

clusive processes for analysis and identification of adaptation options and priorities, emphasis of adaptation priorities and options, adequate delivery of

results to different stakeholders) zation Re- Regional Development Training, plans review, and participative process. Planning using available gional Councils and Regional information and participative processes, orientation and training. Members Sectoral Committees include regional representatives of priority sectors for adaptation (agriculture, biodiversity, health, infrastructure, and others), mayors, local development committees, representatives of ethnic minorities and women’s organizations. Local All 84 local governments Territorial risks assessments and planning using available information and (mu- participative processes, orientation and training (see IMN). Monitoring and nici- evaluation. pal) NGOs, CSOs, private Orientation and training of adaptation planning and implementation, work sector and business or- plans development, methodologies and critical issues to implement adapta-

ganizations, communi- tion measures of implementation and identification for arrangements Institutional ties mobili- resources funding effective the including priorities, adaptation

Gender considerations. More impoverished populations suffer most of the impacts of extreme weather events and the least likely to innovate their livelihoods to adapt them to new conditions imposed by climate and other drivers. So, by definition, defining priorities for territorial adaptation and seeking institutional arrangements for its implementation is already a process that

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considers gender priorities, considering women, migrant population, and different ethnic groups and age groups. Gender considerations of this initiative will be guided by the National Policy for Gender Equality and Equity and the National Policy on Adaptation to climate change. The latter includes approaches to human rights, gender equality, indigenous rights and community adaptation that correspond to the approach on which the governmental interest of climate change adaptation is based. This policy shows the growing concern of the Costa Rican government to formulate and implement state policies that can guide public action on gender and indigenous issues, such as the extensive use of the System of Statistical Indicators of Gender (SIEG) implemented by the Institute of Statistics and Censuses (INEC)19.

To effective mainstream gender in this policy and the National Adaptation Plan, the preparation process included a workshop on Human rights, gender and climate change in San Jose in August 2017 (Ministry of Foreign Affairs & MINAE 2017). The recommendations of this workshop have been considered in the definition of general gender aspects of this initiative.

During the project execution, the team in charge will use the following practical guidelines (Lentisco 2017) to integrate gender into activities and outputs, as well as criteria and activities checklists (IUCN 2011).

A. Lay the ground and • Align with conventions and laws on gender equality address gaps • Ensure meaningful participation of women and partners • Identify, consult stakeholders with knowledge of gender issues • Explore gender integration in existing adaptation measures • Conduct gender climate change adaptation Situation Analysis • Identify useful communication pathways • Promote the gender-Climate change adaptation nexus B. Prepare an adaptation • Identify Socio-economic scenarios in impact assessments planning framework • Conduct gender analysis in territorial risk assessments • Identify gender-responsive criteria in adaptation option selection • Ensure communications tailored to different stakeholders C. Develop implementa- • Continue stocktaking tion strategies • Design gender-responsive implementation criteria • Tap into existing capacity and build skills of women’s groups and others focusing on gender D. Monitor, review, re- • Design gender-responsive M&E framework, reporting, and gender-sensitive indicators port and communicate • Communicate findings on gender

Gender aspects will be taken into consideration when i) procuring consultants, ii) establishing the composition of the PSC, and iii) designing indicators within the monitoring and reviewing system under Component 5. In particular, the following process and products lines will consider gender aspects:

• Processes o Meaningful participation of women and ethnic minorities in participative processes to identify adaptation options and institutional arrangements for adaptation implementation o Tailored communications for different stakeholders (including ethnic minorities) o Training needs considering capacities of women´s groups and ethnic minorities

• Products o Gender criteria integration in planning instruments o Gender criteria integration in risks assessment methodology and multi-criteria analyses to identify and select adaptation measures o Alignments of methodological guidelines with the Gender and Climate Change Action Plan of Costa Rica o Monitoring framework with gender-sensitive indicators o Progress reports including gender findings and recommendations.

Learning and knowledge exchange. The project has a substantial learning and knowledge generation outcome around the vertical integration of climate change adaptation planning in the country. The project will contribute to generating knowledge for: i) the development of tools to foster adaptation in for regional and local development plans, ii) territorial risk assessments. The project will boost scientific, technological, and social research and will establish monitoring and a follow-up framework for adaptation, including an M&E mechanism, to learn from the process of preparing, developing, and implementing adaptation measures in the country. Knowledge and learning will generate in two ways. First, Costa Rica will learn from other countries through country visits under a South-South cooperation scheme will allow understanding of the context and meetings with stakeholders from different sectors in the field, in a personal face-to-face, direct and interactive way. The choosing of the countries for the South-South cooperation will be based on the identification of necessities of Costa Rica to advance in their efforts around the vertical integration of adaptation planning at a regional and local scale. Additionally, the learning process will be complemented through continuous participation in information platforms and videoconferences that will enable further information and lessons sharing. In return, Costa Rica will share its lessons with other relevant stakeholders in the interaction opportunities previously mentioned and through the production of annual and biannual reports for the UNFCCC, which will include

19 Available at: http://www.inec.go.cr/content/indicadores-genero

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a section on lessons learned and experiences. will also be shared in adaptation communities such as the NAPs Community implemented by UN Environment together with the Regional Gateway for Technology Transfer and Climate Change Action in Latin America and the Caribbean (REGATTA) and the South-South Cooperation Forum and Platform, among others. Im- portantly, updated knowledge and lessons learned from internal processes and international exchange will be used to revise adaptation planning and implementation. To that end, the project will establish a system to revise this every two years.

Risks and mitigation measures

Lack of Involvement of relevant stakeholders. Low. A possible risk is the lack of engagement from relevant stakeholders. To mitigate this risk, the project will ensure high participation through awareness raising workshops and awareness raising campaigns and will offer different ways of participation (see activities 1.2.2, 1.2.3, 2..25), ensuring that communications tailored to different stakeholders, including ethnic minorities. The institutional arrangements of the project, with all key ministries repre- sented both in the Steering Committee and the Technical Committee, and with a PMU in charge of coordinating implementation, will ensure the political, technical and operational leadership and the alignment of the NAP process with the main development planning instruments in the country, also contribute to ensure institutional ownership across sectors.

Lack of Availability of data on climate scenarios, exposure and vulnerability at sub-national and sectoral level. Medium. The project requires these data in order to carry out risk assessments analysis. The project will use existing data, taking into account that information has been generated recently as part of the project “Support to the Climate Change National Program in Costa Rica: Improvement of the mitigation and adaptation capacities of the country”, supported by the Spanish cooperation and the risk and vulnerability assessments prepared at sectoral level (please see “Support for adaptation planning and monitoring,” Context section); also information from the project “Implementation of climate change adaptation measures of water resources in cantons of the Chorotega Region,” (Fundecooperación -Adaptation Fund) will be used.

Weak technical capacity of government staff and other stakeholders. Medium. The project needs the technical capacities of governmental staff in order to advance. As a mitigation measure, the project includes the provision of training to a range of stakeholders as well as the development of technical guides. Importantly, the M&E mechanism will ensure a learning by doing, so that government staff and other stakeholders gain technical capacity as a result of being reflective about what they are doing, achieving and failing to achieve.

Untimely funding and disbursement. Low. At this regard, the NDA of the country before the GCF, has proved capacity to manage international projects. The involvement of UN Environment as the implementing agency further ensures delivery. The institutional structure and procurement process have been carefully designed to warranty proper financial management so that the political and technical process can take place as planned.

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Annex 1. Detailed logical framework

OUTPUTS ACTIVITIES Type of input Unitary Units Total COST CATEGORIES EXPENDITURE AND IMPLEMENTATION SCHEDULE cost

Consultants or Travel Work- Others Total 6m 12m 18m 24m 30m 36m service con- shops/ tract Trainings 1.1 Current 1.1.1 Review of re- National Consultant (Adaptation Planning 1) 220 120 26,400 33,000 9,300 42,300 42,300 planning and gional development National Consultant (Gender Specialist 1) 220 30 6,600 climate infor- plans and current DSA (elsewhere outside San José) 155 60 9,300 mation is as- work plans of Re- sessed to fa- gional Development cilitate the Councils and Re- identification gional Sectoral of adaptation Committees. options at re- 1.1.2 Facilitate par- National Consultant (Adaptation Planning 1) 220 120 26,400 33,000 9,300 10,000 52,300 52,300 gional level ticipative processes National Consultant (Gender Specialist 1) 220 30 6,600 (socio-eco- for Regional Devel- DSA (elsewhere outside San José) 155 60 9,300 nomic re- opment Councils Small workshop 1,250 8 10,000 gions). and Regional Sec- toral Committees in the targeted 4 socio-economic regions and 4 sub regions. 1.2Tools, 1.2.1 Review and National Consultant (Adaptation Planning 1) 220 120 26,400 33,000 1,250 10,000 44,250 44,250 training and modify MIDE- National Consultant (Gender Specialist 1) 220 30 6,600 awareness PLAN´s methodo- Small workshop 1,250 1 1,250 raising for logical guidelines Publication and printing costs (new set of guide- 5,000 2 10,000 public stake- on development lines) holders at na- planning. tional and re- 1.2.2 Provide orien- National Consultant (Training & Communica- 220 60 13,200 13,200 3,750 16,950 16,950 gional levels tation and training tion) are con- for policy and deci- Small workshop 1,250 3 3,750 ducted. sion makers and implementers from relevant institutions at the national and socio-economic region level. 1.2.3 Develop re- National Consultant (Adaptation Planning 1) 220 120 26,400 59,400 18,600 10,000 88,000 88,000 gional level aware- National Consultant (Gender Specialist 1) 220 120 26,400 ness raising cam- National Consultant (Training & Communica- 220 30 6,600 paigns for Regional tion) Development DSA (elsewhere outside San José) 155 120 18,600 Councils and Re- Small workshop 1,250 8 10,000 gional Sectoral Committees. 1.3 Regional 1.3.1 Identify institu- DSA (elsewhere outside San José) 155 60 9,300 9,300 9,300 9,300 Development tional arrangements Councils and for the elaboration

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OUTPUTS ACTIVITIES Type of input Unitary Units Total COST CATEGORIES EXPENDITURE AND IMPLEMENTATION SCHEDULE cost

Consultants or Travel Work- Others Total 6m 12m 18m 24m 30m 36m service con- shops/ tract Trainings Regional Sec- and future imple- toral Commit- mentation of the tees work sectoral adaptation plans inte- priorities at regional grate sectoral level. adaptation pri- 1.3.2 Provide tech- National Consultant (Training & Communica- 220 60 13,200 13,200 18,600 1,250 33,050 33,050 orities at re- nical assistance to tion) gional level. Regional Develop- DSA(elsewhere outside San José) 155 120 18,600 ment Councils and Small workshop 1,250 1 1,250 Regional Sectoral Committees to elaborate regional development plans that effectively integrate sectoral adaptation priorities. 2.1Local plans 2.1.1 Definition of National Consultant (Disaster Risk Assess- 220 10 2,200 2,200 2,200 2,200 of 12 pilot mu- criteria and selec- ment 1) nicipalities are tion of a set of 12 pi- assessed to lot municipalities (at identify oppor- least one of each tunities to inte- socio-economic re- grate adapta- gion). tion options. 2.1.2 Elaborate 12 National Consultant (Risk Assessment) 220 240 52,800 158,400 111,600 26,400 16,000 312,400 120,160 192,240 risk assessments in National Consultant (socio demographic 220 240 52,800 rural and urban mu- planning) nicipalities exposed National Consultant (Geographer) 220 120 26,400 to different climatic National Consultant (Gender Specialist 2) 220 120 26,400 processes. DSA (elsewhere outside San José) 155 720 111,600 Large workshop 2,200 12 26,400 Equipment and furniture 2,000 8 16,000 2.1.3 Review the National Consultant (Disaster Risk Assess- 220 120 26,400 33,000 33,000 33,000 strategic, medium ment 1) and short-term National Consultant (Gender Specialist 2) 220 30 6,600 plans of the 12 targeted municipalities using the Risk As- sessments elaborated in 2.1.2 to identify opportunities for the promotion and the integration of adaptation options. 2.2Tools, National Consultant (Disaster Risk Assess- 220 120 26,400 33,000 1,250 34,250 34,250 training, ment 1)

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OUTPUTS ACTIVITIES Type of input Unitary Units Total COST CATEGORIES EXPENDITURE AND IMPLEMENTATION SCHEDULE cost

Consultants or Travel Work- Others Total 6m 12m 18m 24m 30m 36m service con- shops/ tract Trainings awareness 2.2.1 Review and National Consultant (Gender Specialist 2) 220 30 6,600 raising and modify IMN meth- Small workshop 1,250 1 1,250 participatory odological guide- processes for lines for local gov- public and pri- ernments to facili- vate stake- tate the identifica- holders at lo- tion of adaptation cal level con- priorities and the ducted, in pilot implementation of municipalities. adaptation strategies. 2.2.2 Develop National Consultant (Adaptation Financing) 220 30 6,600 19,800 2,200 5,000 27,000 27,000 guidelines to priori- National Consultant (EBA) 220 20 4,400 tize and select ad- National Consultant (Training & Communica- 220 20 4,400 aptation measures tion) through multi-crite- National Consultant (Gender Specialist 2) 220 20 4,400 ria qualitative anal- Large workshop 2,200 1 2,200 yses and costs- benefits analyses at Publication and printing costs 5,000 1 5,000 municipal level. 2.2.3 Facilitate par- National Consultant (Disaster Risk Assess- 220 240 52,800 92,400 18,600 22,000 133,000 133,000 ticipative processes ment 1) for local govern- National Consultant (Gender Specialist 2) 220 60 13,200 ments. National Consultant (Training & Communica- 220 120 26,400 tion) DSA (elsewhere outside San José) 155 120 18,600 Large workshop 2,200 10 22,000 2.2.4 Provide orien- National Consultant (Disaster Risk Assess- 220 120 26,400 46,200 18,600 22,000 86,800 86,800 tation and training ment 1) for municipal staff, National Consultant (Gender Specialist 2) 220 60 13,200 NGOs, CSOs and National Consultant (Training & Communica- 220 30 6,600 local communities. tion) DSA(elsewhere outside San José) 155 120 18,600 Large workshop 2,200 10 22,000 2.2.5 Develop local- DSA(elsewhere outside San José) 155 60 9,300 9,300 22,000 31,300 31,300 level awareness Large workshop 2,200 10 22,000 raising campaigns for the private sector together with business organizations. 2.3 Local 2.3.1 Identify institu- National Consultant (Disaster Risk Assess- 220 5 1,100 1,100 1,100 1,100 plans of pilot tional arrangements ment 1) municipalities for elaboration and

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OUTPUTS ACTIVITIES Type of input Unitary Units Total COST CATEGORIES EXPENDITURE AND IMPLEMENTATION SCHEDULE cost

Consultants or Travel Work- Others Total 6m 12m 18m 24m 30m 36m service con- shops/ tract Trainings integrate ad- future implementa- aptation priori- tion of local level de- ties. velopment plans. 2.3.2 Provide tech- National Consultant (Disaster Risk Assess- 220 240 52,800 79,200 31,000 3,750 113,950 56,975 56,975 nical assistance to ment 1) municipalities to National Consultant (Gender Specialist 2) 220 60 13,200 elaborate municipal National Consultant (Training & Communica- 220 60 13,200 development plans tion) that effectively inte- DSA (elsewhere outside San José) 155 200 31,000 grate sectoral adap- Small workshop 1,250 3 3,750 tation priorities. 3.1 Territorial- 3.1.1 Second round International Consultant (Risk and vulnerabil- 650 20 13,000 13,000 3,925 2,200 19,125 19,125 level Risk of improvement of ity assessment) Assessments the IMN International flight 1,600 1 1,600 available in an methodology for DSA (elsewhere outside San José) 155 15 2,325 accessible territorial Risk Large workshop 2,200 1 2,200 and relevant assessments. way for all so- 3.1.2 Prepare and National Consultant (Risk Assessment) 220 720 158,400 475,200 248,000 70,400 4,000 797,600 4,000 198,400 198,400 198,400 198,400 cio-economic disseminate territo- National Consultant (socio demographic 220 720 158,400 regions and rial Risk assess- planning) municipalities. ments for the re- National Consultant (Geographer) 220 360 79,200 maining municipali- National Consultant (Gender Specialist 1) 220 360 79,200 ties (62). DSA(elsewhere outside San José) 155 1600 248,000 Large workshop 2,200 32 70,400 Equipment and furniture 2,000 2 4,000 Output 3.2 3.2.1 Determine National Consultant (local government) 220 30 6,600 6,600 4,650 11,250 11,250 Continuous training needs of DSA(elsewhere outside San José) 155 30 4,650 training plat- municipal staff and form for local regional stakehold- governments. ers, considering capacities of women´s groups and other focusing on gender. 3.2.2 Insert con- National Consultant (local government) 220 60 13,200 13,200 10,000 23,200 23,200 cepts and tools for Communication product design 10,000 1 10,000 the identification of adaptation measures and their implementation in existing training programs. 3.2.3 Conduct ex- International flight 1,600 10 16,000 27,000 27,000 13,500 13,500 change visits to 2 DSA( Average outside Costa Rica) 220 50 11,000 countries to learn lessons on adaptation planning and

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OUTPUTS ACTIVITIES Type of input Unitary Units Total COST CATEGORIES EXPENDITURE AND IMPLEMENTATION SCHEDULE cost

Consultants or Travel Work- Others Total 6m 12m 18m 24m 30m 36m service con- shops/ tract Trainings implementation during the preparation of the Adaptation Plans. Output 4.1A 4.1.1 Review re- International Consultant (Adaptation financ- 650 20 13,000 21,800 21,800 21,800 strategy to ef- ports produced on ing) fectively mobi- costing adaptation National Consultant (Adaptation Financing) 220 20 4,400 lize funding re- in Costa Rica. National Consultant (Gender Specialist 1) 220 20 4,400 sources for the 4.1.2 Undertake an International Consultant (Adaptation financ- 650 20 13,000 26,200 4,700 30,900 30,900 implementa- economic study to ing) tion of priority fill information gaps National Consultant (Adaptation Financing) 220 40 8,800 actions identi- and estimate costs fied through National Consultant (Gender Specialist 1) 220 20 4,400 of implementing pri- International flight 1,600 1 1,600 sub-national oritized adaptation DSA (elsewhere outside San José) 155 20 3,100 adaptation measures at sub- planning pro- national levels. cesses. 4.1.3 Identify op- International Consultant (Adaptation financ- 650 20 13,000 32,800 4,700 2,200 39,700 11,910 27,790 tions for scaling up ing) adaptation invest- National Consultant (Adaptation Financing) 220 90 19,800 ments. International flight 1,600 1 1,600 DSA (elsewhere outside San José) 155 20 3,100 Large workshop 2,200 1 2,200 4.1.4 Include adap- National Consultant (Adaptation Planning 2) 220 120 26,400 30,800 1,250 32,050 32,050 tation criteria in the National Consultant (Gender Specialist 1) 220 20 4,400 methodological Small workshop 1,250 1 1,250 guides for public investment projects. 4.1.5 Develop an National Consultant (Adaptation Financing) 220 240 52,800 105,600 27,900 3,750 137,250 72,742 64,508 adaptation finance National Consultant (Adaptation Planning 2) 220 240 52,800 strategy and at least DSA (elsewhere outside San José) 155 180 27,900 3 concept notes for Small workshop 1,250 3 3,750 the GCF. 4.1.6 Develop train- National Consultant (Adaptation Financing) 220 40 8,800 26,400 2,200 10,000 38,600 38,600 ing toolkits and pro- National Consultant (Adaptation Planning 2) 220 40 8,800 vide training to National Consultant (Gender Specialist 1) 220 40 8,800 strengthen the ca- Large workshop 2,200 1 2,200 pacity of relevant Publication and printing costs (Training materi- 5,000 2 10,000 stakeholders. als) Output 5.1A 5.1.1 Develop and National Consultant (Adaptation Planning 2) 220 120 26,400 33,000 13,950 3,750 50,700 16,900 16,900 16,900 monitoring adjust a monitoring National Consultant (Gender Specialist 1) 220 30 6,600 system estab- framework, includ- DSA (elsewhere outside San José) 155 90 13,950 lished for the ing indicators, base- Small workshop 1,250 3 3,750 sub-national lines, targets, and levels. means of verification at sub-national levels.

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OUTPUTS ACTIVITIES Type of input Unitary Units Total COST CATEGORIES EXPENDITURE AND IMPLEMENTATION SCHEDULE cost

Consultants or Travel Work- Others Total 6m 12m 18m 24m 30m 36m service con- shops/ tract Trainings 5.1.2 Support the National Consultant (Adaptation Planning 2) 220 15 3,300 3,300 6,000 9,300 3,100 3,100 3,100 integration of the Communication product design (webpage) 200 30 6,000 framework into the National System of Climate Change Metrics (SINAMECC). Output 5.2 5.2.1 Develop National Consultant (Adaptation Planning 2) 220 30 6,600 8,800 10,000 18,800 18,800 Training of na- guidelines and tools National Consultant (Gender Specialist 1) 220 10 2,200 tional and lo- for staff of regional Publication and printing costs (training materi- 5,000 2 10,000 cal govern- committees and als) ment repre- municipalities on sentatives and data collection, stakeholders analysis, and dis- to implement semination. the monitoring 5.2.2 Train staff of National Consultant (Adaptation Planning 2) 220 10 2,200 4,400 6,200 2,500 13,100 13,100 and reviewing regional commit- National Consultant (Gender Specialist 1) 220 10 2,200 system. tees and municipal- DSA (elsewhere outside Costa Rica) 155 40 6,200 ities in the use of Small workshop 1,250 2 2,500 these guidelines. Output 5.3 5.3.1 Evaluate ex- National Consultant (Training & Communica- 220 40 8,800 13,200 13,200 13,200 Governmental isting platforms per- tion) and private formance in terms National Consultant (Gender Specialist 1) 220 20 4,400 sectors stake- of information shar- holders of na- ing at different lev- tional, re- els (national, regional, and gional, and munici- municipal lev- pal). els know the 5.3.2 Adjust se- National Consultant (Training & Communica- 220 60 13,200 19,800 12,000 31,800 10,600 10,600 10,600 results and lected platforms tion) products of the and design commu- National Consultant (Gender Specialist 1) 220 30 6,600 project. nication products Communication product design (webpage) 200 60 12,000 for information sharing. 5.3.3 Provide feed- National Consultant (Adaptation Planning 2) 220 60 13,200 26,400 2,200 10,000 38,600 38,600 back to sectoral ad- National Consultant (Risk assessment 2) 220 60 13,200 aptation plans. Large workshop 2,200 1 2,200 Publication and printing costs 5,000 2 10,000 TOTAL 1,510,600 595,225 216,300 93,000 2,415,125 276,110 480,200 357,325 518,132 458,783 324,575 Project Man- Coordinator full time 60,000 60,000 agement Finance and admin 38,000 38,000 officer full time Audits 12,000 12,000 Equipment 6,500 5,500 Steering committee 3,000 3,000 5250 TOTAL 120750

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OUTPUTS ACTIVITIES Type of input Unitary Units Total COST CATEGORIES EXPENDITURE AND IMPLEMENTATION SCHEDULE cost

Consultants or Travel Work- Others Total 6m 12m 18m 24m 30m 36m service con- shops/ tract Trainings CONTIN- GENCY (UP 120,756 TO 5% OF TOTAL AC- TIVITIES) DELIVERY PARTNER 205,286 FEE (UP TO 8.5 % OF TO- TAL ACTIVI- TIES) TOTAL 2,861917

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Annex 2. Timeline of project implementation

OUTPUTS ACTIVITIES (See complete description in Section 2) EXPENDITURE AND IMPLEMENTATION SCHEDULE Q1Y1 Q2Y1 Q3Y1 Q4Y1 Q1Y2 Q2Y2 Q3Y2 Q4Y2 Q1Y3 Q2Y3 Q3Y3 Q4Y3 3 6 9 12 15 18 21 24 27 30 33 36 Outcome 1. Regional councils and committees integrate climate change adaptation initiatives into their planning. 1.1 Current planning and climate information 1.1.1 Review of regional development plans and current work plans of Regional Development is assessed to facilitate the integration of ad- Councils and their Regional Sectoral Committees aptation priorities at regional level (socio-eco- 1.1.2 Facilitate participative processes for Regional Development Councils and their Regional nomic regions) Sectoral Committees in the targeted 5 socio-economic regions. 1.2 Tools, training and awareness raising for 1.2.1 Review and modify MIDEPLAN´s methodological guidelines on development planning. public stakeholders at national and regional 1.2.2 Provide orientation and training for policy and decision makers and implementers from rele- levels are conducted. vant institutions at the national and socioeconomic region level 1.2.3 Develop regional level awareness raising campaigns for Regional Development Councils and their Regional Sectoral Committees 1.3 Regional Development Councils and their 1.3.1 Identify institutional arrangements for the elaboration and future implementation of the sec- Regional Intersectoral Committees work plans toral adaptation priorities at regional level integrate sectoral adaptation priorities at the 1.3.2 Provide technical assistance to Regional Development Councils and their Regional Sectoral regional level. Committees to elaborate regional development plans that effectively integrate sectoral adaptation priorities. Outcome 2. A set of cantons, with different types of vulnerability, integrate adaptation initiatives into their planning. 2.1 Local plans of pilot cantons are assessed 2.1.1 Define the criteria and select a set of 12 pilot cantons, including at least one of each socio- to integrate adaptation options. economic region 2.1.2 Elaborate 12 risk assessments in rural and urban cantons exposed to different climatic processes 2.1.3 Review the strategic, medium and short-term plans of the 12 pilot cantons using the Risk Assessments elaborated in 2.1.2 to identify opportunities for the promotion and the integration of adaptation options- 2.2 Training, awareness raising and participa- 2.2.1 Review and modify IMN methodological guidelines for local governments to facilitate the tory processes for public and private stake- identification of adaptation priorities and the implementation of adaptation strategies holders at local level conducted, in pilot can- 2.2.2 Develop guidelines to prioritize and select adaptation measures through multi-criteria anal- tons. yses at the municipal level. 2.2.3 Facilitate participative processes for local governments. 2.2.4 Provide orientation and training for municipal staff, NGOs, CSOs and local communities. 2.2.5 Develop local-level awareness-raising campaigns for the private sector together with business organizations. 2.3 Local plans of pilot cantons integrate ad- 2.3.1 Identify institutional arrangements for elaboration and future implementation of local level aptation priorities. development plans. 2.3.2 Provide technical assistance to municipal governments to elaborate municipal development plans that effectively integrate sectoral adaptation priorities. Outcome 3. Municipal governments have relevant information and capacities to identify adaptation priorities and implement adaptation initiatives.

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OUTPUTS ACTIVITIES (See complete description in Section 2) EXPENDITURE AND IMPLEMENTATION SCHEDULE Q1Y1 Q2Y1 Q3Y1 Q4Y1 Q1Y2 Q2Y2 Q3Y2 Q4Y2 Q1Y3 Q2Y3 Q3Y3 Q4Y3 3 6 9 12 15 18 21 24 27 30 33 36 3.1 Territorial-level RAs available in an acces- 3.1.1 Second round of improvement of the IMN methodology for territorial risk assessments, con- sible and relevant way for all socio-economic sidering lessons learned (initial application, Act. 2.1.2), the evaluation of capacities of municipal regions and cantons. staff (Act. 3.2.1), and integration of gender analysis. 3.1.2 Prepare and disseminate territorial risk assessments for the remaining cantons (62). 3.2 Continuous training platform for local gov- 3.2.1 Determine training needs of municipal staff and regional stakeholders, considering capaci- ernments. ties of women´s groups and other focusing on gender. 3.2.2 Insert concepts and tools for the identification of adaptation measures and their implementation in existing training programs. 3.2.3 Conduct exchange visits to 2 countries to learn lessons on adaptation planning and implementation during the preparation of the Adaptation Plans. Outcome 4. A government-endorsed resource mobilization strategy for sub-national adaptation initiatives. 4.1 An assessment of the costs and benefits 4.1.1 Review reports produced on costing adaptation in Costa Rica. of meeting integrated adaptation priorities at 4.1.2 Undertake an economic study to fill information gaps and estimate costs of implementing sub-national levels. prioritized adaptation measures at sub-national levels. 4.1.3 Identify options for scaling up adaptation investments, including administrative and legal barriers removing, through the Identification of potential new public, private, bilateral and multilateral sources of climate finance to address prioritized adaptation measures at sub-national levels. 4.1.4 Include adaptation criteria in the methodological guides for public investment projects. 4.1.5 Develop an adaptation finance strategy and at least 3 concept notes for the GCF. 4.1.6 Develop training toolkits and provide training to strengthen the capacity of relevant stakeholders Outcome 5. The regional councils and the municipal governments of the country are capable of reviewing, monitoring and communicating results of adaptation initiatives. 5.1 A monitoring system established for the 5.1.1 Develop and adjust a monitoring framework, including indicators, baselines, targets, and sub-national levels. means of verification at sub-national levels 5.1.2 Support the integration of the framework into the National System of Climate Change Metrics (SINAMECC). 5.2 Training of national and local government 5.2.1 Develop guidelines and tools for the staff of regional councils and municipal governments representatives and stakeholders to imple- on data collection, analysis, and dissemination. ment the monitoring system. 5.2.2 Train staff of regional councils and municipal governments in the use of these guidelines. 5.2.3 Develop annual progress reports (including financial aspects) and disseminate them using different formats. 5.3 Governmental and private sectors stake- 5.3.1 Evaluate existing platforms performance regarding information sharing at different levels holders of national, regional and municipal lev- (national, regional, and municipal). els know the results and products of the pro- 5.3.2 Adjust selected platforms and design communication products for information sharing. ject. 5.3.3 Provide feedback to sectoral adaptation plans. Mid-point and terminal evaluation Project management

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Annex 3. Socio-economic regions of Costa Rica (Map source: Costa Rican Institute of Electricity)

Socio-economic regions Municipalities (cantons) Región Central San José, Escazú, Desamparados, Puriscal, Aserrí, Mora, Tarrazú, Goicoechea, Santa Ana, Alajuelita, Vásquez de Coronado, Acosta, Moravia, Tibás, Montes de Oca, Dota, Curridabat, León Cortés, Turrubares, Alajuela (except Sarapiquí district), San Ramón (except Peñas Blan- cas district), Grecia (except Río Cuarto district), Atenas, Naranjo, Palmares, Poás, Zarcero, Valverde Vega, Cartago, Paraíso, La Unión, Jiménez, Turrialba, Alvarado, Oreamuno, El Guarco, Heredia, Barva, Santo Domingo, Santa Bárbara, San Rafael, San Isidro, Belén, Flo- res, San Pablo. Chorotega Liberia, Nicoya, Santa Cruz. Bagaces, Carrillo, Cañas, Abangares, Tilarán, Nandayure, La Cruz, Hojancha, Upala. Pacífico Central Puntarenas, Esparza, Montes de Oro, Quepos, Parrita, Garabito, San Mateo, Orotina Brunca Pérez Zeledón, Buenos Aires, Osa, Golfito, Coto Brus, Corredores Huetar Atlántica Limón, Pococí, Siquirres, Talamanca, Matina, Guácimo, Sarapiquí (Horquetas district). Huetar Norte San Carlos, Los Chiles, Guatuso, Grecia (Río Cuarto district), Alajuela (Sarapiqui district), San Ramón (Peñas Blancas district), Sarapiquí (Puerto Viejo and La Virgen districts)

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Annex 4. Classification of Costa Rican cantons according to Human Development Index categories, 2014 (Source: UNEP-UCR 2017)

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Annex 5. Stakeholders consulted during the preparation of proposal

No. Name Institution Department / Area Position Email address Meeting day 1 Andrea Meza Ministry of Environment and Energy Directorate of Climate Change Director [email protected] 22.5.17 2 Iván Delgado [email protected]

3 Pascal Girot Project “Capacity Building to mainstream National Coordinator [email protected] objectives of Multilateral Environmental Agreements” (AMAs) 4 Fabián Sánchez Ministry of Environment and Energy, Na- Strategic Environmental Assessment [email protected] 17.5.17 tional Environmental Technical Secretar- iat 5 Roberto Villalobos Ministry of Environment and Energy, Na- Climatology and Applied Research Deputy director [email protected] 19.4.17 6 Ana Rita Chacón tional Meteorological Institute Researcher [email protected] 16.5.17

7 Yalile Céspedes Ministry of National Planning and Eco- Technical Secretariat of the National Plan- Director 28.3.17 nomic Policy (MIDEPLAN) ning System 8 Francisco Tula Public Investments Director [email protected] 19.4.17 9 Rocío Chacón Institutional Planning Director [email protected] 19.4.17 10 Milagro Muñoz Regional Planning Director [email protected] 17.5.17 11 Victoria Arce Technician [email protected]

12 Jorge Arturo Arrieta Regional Director, Región [email protected] Huetar Norte 13 Carles Puigmarti Spanish Agency for International Devel- Technical Cooperation Office in Costa Programme Manager [email protected] 16.5.17 opment Cooperation (AECID) Rica 14 Juan Enrique García Project Manager [email protected] 16.5.17

15 Cintia Carpio National Institute of Housing and Urban- [email protected] 17.5.17 16 Hilda Carvajal ism [email protected] 17 Juan Luis Camacho Comptroller General of the Republic Environmental and Energy Services Director [email protected] 18.5.17 18 Daniela García Technician [email protected]

19 Alexander Segura Services for Local Development Technician [email protected] 20 Alexa Valle Technician [email protected]

21 Carlos Picado National Commission for Risk Prevention Strategic Planning Director [email protected] 16.6.17 and Emergency Management 22 Marianela Feoli Fundecooperación Manager [email protected] 9.6.17 23 Pilar Garrido Ministry of National Planning and Eco- Vice Ministry of Planning Vice Minister 15.6.17 nomic Policy (MIDEPLAN)

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Annex 6. References

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