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Annex 3. Model terms of reference for a Country Environmental Profile

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Background

A Country Environmental Profile (CEP) provides an analysis of the country environment and climate change context covering:

key environmental and climate related challenges and opportunities;
the way these are addressed in national policies and strategies;
an overview of how the EU and other international actors have been addressing these issues; and
the implications for future EU support and policy dialogue.

The primary objective of a CEP is to inform the programming, policy dialogue and programme implementation process from an environmental and climate change perspective. In addition, a CEP is a valuable reference document that provides a broad insight into the environmental and climate-related challenges of the country that can be used to inform the policy dialogue and the context analysis during identification and formulation of interventions, as well as the development of investment pipelines.

In the case of a Regional Environmental Profile (REP), the purpose is to inform the preparation of regional programming documents, and the focus is on environmental and climate-related challenges and opportunities that are best addressed at a regional level.

Wherever feasible, the CEP should be prepared jointly with EU member states, in a Team Europe approach.

The terms of reference proposed below are for a fully-fledged CEP, conducted by external experts. A CEP may be replaced by a lighter assessment, made by EU staff; in all cases, a good understanding of the environmental and climate context of partner countries and regions and of the related policies, is essential for an evidence-based policy dialogue, programming and implementation.

Annex 5 provides links to useful sources of data on environment, climate change and natural disasters risks, notably country/regional environmental and climate profiles/analyses and statistics.

Terms of reference

As part of the programming cycle, preferably before the programming starts, the EU Delegation prepares an analysis of the country environmental and climate change context and of past and present EU support in relation with environment and climate change.

The analysis, which can take the form of a Country Environment Profile (CEP), covers the key environmental and climate-related challenges and opportunities, the way they are addressed in the national plans and policies, and the implications for future EU support and policy dialogue. The assessment informs the evaluation of the national policy documents on which the programming will be based, the policy dialogue, the preparation of the EU response (the Multiannual Indicative Programme), its implementation and its mid-term review.

Explanations or sections to be completed according to individual circumstances are given in italics.

Terms of Reference for the preparation of the Country Environmental Profile of (country)

BACKGROUND

Give a brief overview of the country, its current socio-political situation, EU support experience on the major environmental and climate concerns and responses by the government and/or other (international) actors, the objectives and rationale for integrating the environment and climate change in the EU country analysis and programming documents and the current timetable with respect to the programming process.

OBJECTIVE AND SCOPE

The main objective of the Country Environmental Profile is to identify and assess environmental and climate change issues to be considered during the preparation and implementation of a country programme, which will directly or indirectly influence EU support to the country. The Country Environmental Profile will provide decision makers in the partner country and in the EU with clear information on the key environmental and climate change challenges and opportunities, including the implementation of the Sustainable Development Agenda 2030, the implementation of the Global Gateway, EU Green Deal and the transition to a green economy. It will cover the current policy, regulatory and institutional framework and the strategies, programmes and investments (including those of the EU, TEIs, blending operations and guarantees, and other actors) to address them.

The analysis aims to inform the EU support programme, the choice of priority areas and the development of investment pipelines, to guide the integration of environmental and climate change concerns and objectives in the policies and programmes supported by the EU and to establish the necessary environment and climate change safeguards for all relevant support activities undertaken in the country. The Profile will describe the key linkages between the environment, including climate change, and poverty reduction. It will constitute an important source of baseline information and contribute to focusing EU political dialogue and support to the country on key areas of concern including sustainable development as well as raising awareness among policy makers

The ToR can also precise:

the intended use (internal/external) of the CEP, including how it should support the EU in decision making (e.g. sectors of the EU Green Deal on which the EU Delegation shall focus) or the partner government (e.g. insights for the assistance needed for NDC updating, and subsequent reporting and implementation);
which type of support will be available from headquarters and through the Green Deal Hub / support facilities.

RESULTS

The assignment will deliver the following results:

an assessment of the state of the environment and key environmental factors and trends, including those related to climate change, influencing the country’s sustainable development and stability;
an assessment of the main links between the state of the environment, climate change and human development in its multiple dimensions (e.g. income, consumption, health, education, security, vulnerability);
an assessment of national environmental, climate change and green transition policies and legislation/regulations, institutions and capacities, and the involvement of civil society in environmental and climate change matters (including areas relevant to the EU Green Deal and the transition to a green economy);
an assessment of available analyses on the potential impacts of increasing climate variability and climate change on different key sectors and the strategies and processes in place or under development to respond to them;
an assessment of the integration of environmental and climate change concerns in sustainable development policy and sectors (including an overview of existing institutional arrangements for mainstreaming at sector level);
an overview of past and ongoing international (including EU) relevant support in environment and climate change as an area for environmental and climate change action and integration at sector level;
recommendations and, as far as possible, guidelines or criteria for mainstreaming environmental and climate change (adaptation and mitigation) concerns in EU support focus areas. These recommendations should support the country programming and include guidance or criteria to be used for environmental and climate change integration and action in subsequent phases of the cycle of operations.

ISSUES TO BE ASSESSED

The following issues should be analysed using existing sources of information and key stakeholders’ perspectives. It is not expected that the preparation of the Profile will involve the collection of original data.

3.1. STATE OF THE ENVIRONMENT/CLIMATE CHANGE, TRENDS AND PRESSURES

This chapter should identify the state and trends of key environmental resources or components in the country, including (as relevant), but not necessarily limited to:

THEMES	ASPECTS TO CONSIDER
1. Land	Soil erosion and degradation Desertification Land use, arable land, losses due to urbanisation or infrastructure building
2. Water	Water regime Groundwater Water quality
3. Air quality	Urban air quality Indoor air quality
4. Forest, vegetation, ecosystems	Forest cover, and forest cover change Pastureland State of particular ecosystems (e.g. savannahs, mangroves, coral reefs)
5. Biodiversity, wildlife	Local status of globally threatened species/habitats Alien invasive species Fish stocks Species with special value
6. Mineral resources and geology	Mineral resources Geological risks (seismic, volcanic and related risks)
7. Landscape	Aesthetic and cultural value of landscape
8. Living conditions in human settlements	Air and water quality Sanitation Slums Environmental health Vulnerability to disasters
9. Climate trends	Temperature Precipitation Frequency of extreme weather events, natural climate-related disasters

Expected impacts of climate change should be described, focusing on key impacts affecting national and sectoral development, taking into account direct and indirect impacts. An overview should be provided of climate vulnerability for key sustainable development sectors, including an indication of the social groups that are particularly vulnerable to climate change due to their particular exposure, sensitivity or adaptive capacities.

This section will also highlight the effects of climate change in exacerbating existing environmental pressures and the linkages between environmental degradation (ecosystem services) and vulnerability, with a focus on the poorest and most exposed social groups and including a gender approach, as well as unintended consequences of risks to peace and security.

Existing national or sub-regional studies on the expected effects of climate change should be considered, including proposed responses, which may include technical, policy and institutional components.

The overall implications of climate change for focal areas of EU support should be assessed, including any safeguards or need for additional analyses to ensure that investments are adapted to increasing climate variability and predicted climate change effects.

Pressures on the environment and on climate vulnerability explaining the main negative trends should be identified, as well as pressures contributing to global environmental problems and to the atmospheric concentration of greenhouse gases (GHG), using the following table as a guiding checklist.

PRESSURE ON ENVIRONMENT AND/OR CLIMATE VULNERABILITY	ASPECTS TO CONSIDER
1. Mining, extraction of hydro- carbons	Extraction, processing and transport of minerals and hydrocarbons, and the resulting pollution and waste
2. Water use and management	Water extraction (surface and groundwater) Wastewater discharges, water treatment Water use
3. Land use and management	Land use planning including strategic environmental implications; land use change and related GHG emissions, large-scale land conversion.
4. Forest exploitation, hunting, fisheries, biodiversity	Deforestation and forest degradation and related GHG emissions Forest product extraction; illegal logging Forest and fisheries management practices Hunting and fishing activities, poaching Wildlife trafficking Use of non-timber forest products Fires Introduction of alien species
5. Livestock	Overgrazing Rangeland management, use of fire, water management Livestock waste and pollution management
6. Agriculture	Expansion of agricultural land Shifting cultivation Intensification Irrigation and water use Pest control Agricultural practices, soil management Agricultural waste and pollution management
7. Energy supply and use	Sources of energy Supply- and generation-related waste and emissions Energy consumption and associated emissions Energy efficiency
8. GHG emissions	Emissions of main GHG and sources
9. Urbanisation, infrastructure and industry	Urban growth and sprawl, urban planning Dams, roads, ports, other major infrastructure Polluting industries, tourism
10. Transport	Transport of goods Transport of people
11.Waste disposal and management	Waste production Waste management Public behaviour and practices Hazardous waste management

As far as possible, the driving forces influencing these pressures should be identified, such as economic and fiscal incentives (including those affecting the transition to a green economy), demographic pressure, growing demand for commodities, unsustainable production systems, governance of natural resources, access rights to natural resources and land tenure systems.

Trends in the state of the environment and climate should be analysed with regard to their social and economic impact, including:

impact on the economy
decline in production or productivity (e.g. agriculture, forestry, fisheries)
threats to human health
disruptions to education and training
human exposure to environmental disasters (e.g. floods, drought, landslides)
conflicts and security issues
impact on poverty, differentiated impact on women and men, impact on vulnerable groups (including children and indigenous peoples)
sustainability of resource use
cultural values

The concluding paragraphs of this section should summarise the main problems identified, described in terms of situations or trends that are undesirable due to their current socio-economic consequences (e.g. falling productivity, health problems, natural risks, social crises, conflicts), their future consequences (e.g. decline in natural resources, cumulative pollution) or their contribution to global environmental problems. The relationship between natural resources and inclusive economic development should also highlight opportunities for positive environmental and/or climate action. The main links between the environment, climate change and human development (in its multiple dimensions: income, consumption, health, security, vulnerability ...) should be highlighted, possibly in the form of a matrix or ‘problem tree’.

As appropriate, the consultant should refer to environmental and climate change indicators that could be used for monitoring changes in key parameters in the country. To the extent that data are available, trends in relation with the sustainable development goals, targets and indicators should be provided; trends in additional indicators related to country-specific environmental issues can also be provided, as available, to highlight those that are significant.

If appropriate, the information could be organised according to eco-geographical subdivisions with the scale (regional, national, local) of the issues indicated.

3.2. ENVIRONMENTAL AND CLIMATE CHANGE POLICY, REGULATORY AND INSTITUTIONAL FRAMEWORK

A brief description and review should be provided of the main government responses to deal with key environmental and climate change issues and promote sustainable development. This section should analyse strengths and weaknesses and cover the following aspects.

ASPECTS	EXAMPLES OF ISSUES TO CONSIDER
1. Policies⁽¹⁾	Existence of national policies, strategies and action plans for the environment, including possible national strategy for sustainable development and green transition, national climate change strategy, national environmental action plan, Adaptation Plans, low carbon, green economy or green growth strategies, NDC/LTS, NAP and Adaptation Communications, National Biodiversity Strategy and Action Plan (NBSAP) Policy responses to global issues, sustainability issues (depletion of natural resources), and specific environmental and climate change issues identified above Consistency between policies Policies on gender and environment, and on fair and equitable management of natural resources Important measures taken by the government to address environmental climate vulnerability concerns and types of policy instruments used for implementation Effectiveness in achieving targets Alignment with the EU Green Deal
2. Regulatory framework, including Environmental Impact Assessment (EIA) and Strategic Environmental Assessment (SEA) legislation	Ratification status and implementation of Multilateral Environmental Agreements such as those concerning climate change, biodiversity and desertification (with reference to any official plans, programmes, communications or reports issued in the context of these conventions) Adequacy of environmental legislation, including on land tenure and land reform, access rights to natural resources, management of natural resources, requirements for environmental assessment such as for EIA and SEA, pollution control, area development control Provision and procedures for public participation in environmental decision-making Effectiveness of legislation enforcement Use of other (non-legislative) instruments, e.g. ‘green budgeting’, environmental fiscal reform and market-based mechanisms, voluntary schemes (e.g. environmental management systems, environmental labelling, voluntary industry–government agreements) Potential impact of non-environmental legislation
3. Institutions with environmental and climate change responsibilities	Identity and quality of institutions involved in policy making, legislation, planning, environmental protection, monitoring and enforcement Level of coordination and decentralisation Strength and capacities of individual institutions Influence on other institutions Good governance practices Capabilities, means, functioning of environmental services Major NGOs, institutes or other organisations involved in environmental/climate change management or policy
4. Public participation	Transparency and access to environmental information Role of NGOs and civil society in environmental decision-making Effectiveness of participation Participation by women and traditionally less represented groups Access to justice in environmental matters
5. Environmental services and infrastructure	Protected areas: number, areas, relevance, effectiveness of protection Sanitation and waste treatment infrastructure Disaster risk reduction systems Emergency response mechanisms
6. Environmental and climate resilience monitoring system	Relevance of selected indicators, particularly those linked to the SDG targets Measurement of the indicators: periodicity, reliability Integration in the general sustainable development indicators

(1) Note that climate-related policies and strategies may be briefly described here but are also covered in more detail in section 4.3.

3.3. INTEGRATION OF ENVIRONMENTAL AND CLIMATE CHANGE CONCERNS INTO KEY POLICIES AND SECTORS

The analysis should examine the integration of environment and climate change in the main national strategies and in sector policies, particularly those that might be identified for EU support, taking into account the focal areas in the current programming document as well as any pre-identified option for future EU support.

This section should examine whether Strategic Environmental Assessments (or similar assessments) are available for the sustainable development strategy and for the sectors of interest. If such SEAs exist, they should be briefly described including the main recommendations. The main legislation, institutional arrangements and measures that address environmental issues in the sector, especially those identified in section 4.1 above, should be examined.

3.4. EU SUPPORT FROM AN ENVIRONMENTAL AND CLIMATE CHANGE PERSPECTIVE

This section should briefly review the past and current EU experience related to environment, natural resource management, climate change and the green and circular economy, as well as the steps taken to integrate the environment into other sectors (e.g. SEA or EIA studies conducted in the context of EU-funded programmes/projects). Where information is available, the environmental impacts or potential risks of past or ongoing EU support should be identified for the benefit of future programmes. The relevant findings and conclusions of existing evaluations/reviews should be summarised.

3.5. INTERNATIONAL FUNDING WITH AN ENVIRONMENTAL AND CLIMATE CHANGE PERSPECTIVE

This section should review the past and current involvement of other international actors (including EU Member States, the EIB, EDFIs, but other significant actors should also be included) and their experience in the country and include a list of recent and planned projects/programmes with an environmental, climate change and/or green economy focus or anticipated impact. Coordination mechanisms between relevant actors and the EU with respect to the environment, climate change and green economy should be assessed.

CONCLUSIONS AND RECOMMENDATIONS

The key environmental and climate change aspects in the country (state, trends and pressures), and the policy, regulatory and institutional opportunities and challenges should be identified as clearly as possible, indicating how these affect national and sectoral development, including vulnerability. These key aspects may be presented in a matrix, comparing environmental/climate change concerns and the main sectors or policies.

Based on a comprehensive assessment of available information and on consultations with stakeholders, conclusions and recommendations should be formulated on how the partner country and the EU can best address identified environmental/climate change challenges, enhance natural capital and promote the green economy in the programming and implementation of EU support, taking into account current programmes and any pre-identified option for future support. Conclusions and recommendations should feed into the country analysis, response strategy and possibly the identification of focal areas for EU support [taking into account that other factors intervene in the choice of EU support sectors, including past focal areas and the support of other (international) partners]. They should address (but not necessarily be limited to) the following aspects:

Rationale and possibilities for considering the environment and/or climate change as an area for EU support, and/or (more frequently) the need to integrate environmental objectives, safeguards and complementary actions in other areas of EU support and investments, to address environmental and climate change constraints and opportunities as appropriate, including opportunities to contribute to the transition towards a green economy. Measures may include, for example, proposals for institutional strengthening and capacity building (including the enhancement of the regulatory framework and enforcement capacities) particularly in relation to environmentally and climatically sensitive sector programmes and budget support programmes. Opportunities may include supporting sustainable and resource efficient production systems or low-carbon development plans and programmes.
Recommendations to ensure that projects and programmes are adapted to increasing climate variability and the anticipated effects of climate change and can thus deliver sustained developmental benefits. Information gaps preventing this work from being accomplished should be identified.
Opportunities to ensure or strengthen peace and resilience through improvement of the availability of, and equitable access to, natural resources.
Opportunities for coordination on environmental/climate change issues with other relevant actors, seeking to achieve complementarities and synergies in order to more effectively deliver sustainable development objectives.
Proposals for environment and climate change related indicators to be used in the EU support Programme or to be considered during the formulation of Actions. Wherever possible, indicators from the country results frameworks and indicators related to the Sustainable Development Goals should be used, taking account of the availability of data and actual capacity to monitor their evolution. The report should mention whether the proposed indicators are included in the performance assessment framework of national (e.g. national sustainable development plan, Nationally Determined Contributions) or sectoral strategies/programmes.

Individual recommendations should be clearly articulated and linked to the issues to be addressed and grouped according to the sector or institutional stakeholder concerned. The relative priority of the recommendations and an indication of the challenges to their implementation should be given.

Any constraints to preparing the profile resulting from limited information should be described.

WORK PLAN

The work plan should include but not necessarily be limited to the following activities:

Consultations with EC country desk officers and other relevant officials, EU Delegation, the national competent environmental and climate change authorities and a selection of national and local authorities, key international actors, plus key national and international civil society actors operating in the environmental, climate change and green economy areas.
Review of key documents and reports, including (include here a list of key documents already identified by the EU Delegation) EU programming document for the country; evaluation reports; existing environmental assessments of EU-funded projects and/or sector programmes relevant national documents (e.g. state of the environment reports); previous Country Environmental Profiles and/or Country Environmental Analysis or similar analytical reports; the current (particularly those related to potential future focal sectors); environmental and climate change literature; environmental and climate change policies, legislation and regulations; environmental and climate change monitoring data; and environmental/ climate change performance indicators.
Field visits to sites of key environmental/climate change concern and (if possible) the organisation of a national workshop attended by national authorities, international partners, experts and representatives of civil society with the aim of clarifying and validating key environmental, climate change and green economy concerns.
On the basis of the outline and time schedule given in these terms of reference, a detailed work plan should be proposed.

Please note that the preparation of a CEP does not entail the generation of primary data. Key sources of information and data include:

Relevant policy documents (e.g. national development strategy, Nationally Determined Contributions – NDC, national biodiversity strategy and action plan, environmental policies and strategies, sector strategies)
State of the environment reports (including those prepared by donors such as the World Bank Country Environmental Analyses or UN environmental profiles)
Other relevant literature (e.g. analyses of the costs of climate change, academic literature)
Environmental and climate-related legislation
EU project evaluation reports

Valuable information will be obtained through consultations with a broad range of stakeholders, including:

Environmental and climate change authorities (e.g. Ministry of Environment)
Sectoral ministries and authorities (e.g. environmental protection agency, ministry of planning, ministry of finance, sectoral ministries and authorities, meteorological office, local authorities)
EU Delegation, donors and relevant financial institutions
Civil society (e.g. local, national and international environmental and development NGOs)
Professional organisations (e.g. worker unions, chamber of commerce)
Representatives of the private sector
Academics
Groups affected or potentially affected by development processes and environmental degradation processes

EXPERTISE REQUIRED

The proposed mission shall be conducted by a team of (typically two) experts who should have the following profile:

Expert level I or level II with at least 10 years’ experience in environmental issues including institutional aspects, international environmental policies and management, environmental assessment techniques, climate change and experience in rapidly assessing information and developing recommendations. He/ she would be the team leader
Expert level II with 10 years’ experience and with an environment or climate change background complementary to the team leader

In addition:

Previous working experience in the country or the region is requested for at least one team member
Excellent analytical and synthesis skills
Experience in undertaking environmental and climate change analyses and preparation of international support programmes would be an asset
Familiarity with Commission guidance on programming, integrated cycle management, policy mix and integration of environmental and climate change issues into other policy areas is desirable
Experience on green and circular economy would be an asset
Experience of participatory planning processes and gender issues would be an advantage
The experts should have excellent communication skills in (specify) and knowledge of (specify) would be an asset. (Specify language) will be the working language; the final report must be presented in (specify language)

REPORTING

The results of the study should be presented based on the outline presented in Section 10 of these ToR. The draft profile, in (number) hard copies (double-sided printing on certified or recycled paper) and electronic version (Microsoft Word), should be presented to (specify) by (date) at the latest. Within (number) weeks, comments on the draft report will be received from the relevant authorities and the EU. The consultants will take account of these comments in preparing the final report (maximum 45 pages excluding appendices). The final report in (language) and (number) copies (double-sided printing on certified or recycled paper) is to be submitted by (date).

INDICATIVE PLAN OF ACTIVITIES AND PERSON-DAYS REQUIREMENTS

Activities	Expert 1 (Team Leader)	Expert 2
*Desk analysis, including briefing to the team leader in (place)*	5	2
Field phase including travel and possible workshop	15-20	15-20
*Debriefing in (place) – not later than (date)*	1	1
Report finalisation and submission (draft) (date)	3	2
*Final report after comments (date)*	1	1
Total days	26-31	21-26

REPORT FORMAT FOR A COUNTRY ENVIRONMENTAL PROFILE

Maximum length (excluding appendices): 45 pages.

The following text should appear on the inside front cover of the report:

This report is financed by the European Union and is presented by (name of consultant) for (national institution) and the European Commission. It does not necessarily reflect the opinion of (national institution) or the European Commission.

Structure of the report:

Summary
(The summary should succinctly and clearly present the key issues described in the profile following the order of headings 2 to 6 given below. The summary should not exceed 6 pages).
State of the environment/climate change, trends and pressures
Environmental and climate change policy, regulatory and institutional framework
Integration of environmental and climate change concerns into key policies and sectors
EU and international funding from an environmental, climate change and green economy perspective
Conclusions and recommendations

(Comprising the main issues presented, in no more than 4 pages).

Technical appendices

Relevant maps (e.g. environmental variables, climate projections)
Reference list of environmental and climate change policy documents, statements and action plans
Reference list of environmental and climate change legislation and regulations
Other relevant technical information
Other appendices
Study methodology/work plan (1–2 pages)
Consultants’ itinerary (1–2 pages)
List of persons/organisations consulted with their affiliation and contact details
List of workshop participants (if organised)
List of documentation consulted
Curriculum vitae of the consultants (1 page per person)
Terms of reference

Annex 2. Aid to environment, DRR and Rio markers

Annex 4. Environment and climate risk screening