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National Capacity Self-Assessments

Results and Lessons Learned forGlobal Environmental Sustainability

Global Support Programme to the National Capacity Self-AssessmentsGlobal Environment FacilityUnited Nations Development ProgrammeUnited Nations Environment Programme

AUGUST 2010

Table of Contents 1

TAble of ConTenTS

lIST of TAbleS, fIGUReS, AnD boXeS 2lIST of AbbReVIATIonS AnD ACRonYMS 3ACKnoWleDGeMenTS 5 foReWoRD 6PRefACe 7eXeCUTIVe SUMMARY 8SoMMAIRe eXÉCUTIf 11ReSUMen eJeCUTIVo 14

1. InTRoDUCTIon 17

2. THe nATIonAl CAPACITY Self-ASSeSSMenTS 18 2.1 POLICYFRAMEWORKFORCAPACITYDEVELOPMENT 18 2.2 CONCEPTUALFRAMEWORKFORCAPACITYDEVELOPMENT 20 2.3 PROGRAMMINGCAPACITYDEVELOPMENT:THENCSAAPPROACH 23 2.4 OVERVIEWOFTHENCSAIMPLEMENTATION 25

3. nCSA ReSUlTS 28 3.1 ASSESSMENTSBYFOCALAREAS 29 3.1.1 Biodiversity 30 3.1.2 LandDegradation 31 3.1.3 ClimateChange 32 3.1.4 FreshwaterandCoastalEcosystems,includingFisheriesandWetlands 32 3.1.5 OtherEnvironmentalPriorities 33 3.1.6 SynergiesacrossFocalAreas 34 3.2 CROSS-CUTTINGASSESSMENTS 35 3.2.1 StakeholderEngagement 37 3.2.2 InformationManagementandKnowledge 38 3.2.3 OrganizationalCapacities 38 3.2.4 EnvironmentalGovernance 39 3.2.5 MonitoringandEvaluation 40 3.2.6 OtherTargetsofCapacityDevelopment 41 3.2.7 GlobalEnvironmentalPriorities 41

4. leSSonS leARneD 43 4.1 STAKEHOLDERENGAGEMENT 44 4.2 INFORMATIONMANAGEMENTANDKNOWLEDGE 45 4.3 ORGANIZATIONALCAPACITIES 46 4.4 ENVIRONMENTALGOVERNANCE 46 4.5 MONITORINGANDEVALUATION 48

5. CRoSS-CUTTInG CAPACITY DeVeloPMenT In Gef-5 49 5.1 CROSS-CUTTINGCAPACITYDEVELOPMENTFRAMEWORK 50 5.2 CROSS-CUTTINGCAPACITYDEVELOPMENTPROJECTGUIDELINES 53

2 National Capacity Self-Assessments: Results and Lessons Learned for Global Environmental Sustainability

6. DISCUSSIon 55

7. RefeRenCeS 57

AnneXeS 59ANNEX1: OVERVIEWOFADAPTIVECOLLABORATIVEMANAGEMENT 59ANNEX2: SELECTNCSAANDCB2PROFILES 63

lIST of TAbleS, fIGUReS, AnD boXeS

TAbleSTable1: ListofRegionalandSub-RegionalWorkshops 25Table2: ListofFollow-upProjectsbyCountry 27Table3: NCSAalignmentwithMEAsobligations 28

fIGUReSFigure1: TheFiveNCSASteps 24Figure2: NCSAProjectsbyRegion 25Figure3: NCSAreportlengthvs.quality 26Figure4: Numberofcountriesidentifyingtheirpriorityenvironmentalconcern(n=119) 29Figure5: Numberofcountriesidentifyingprioritybiodiversityneedsandactions(n=119) 30Figure6: Numberofcountriesidentifyingprioritylanddegradationneedsandactions(n=119) 31Figure7: Numberofcountriesidentifyingpriorityclimatechangeneedsandactions(n=119) 32Figure8: Numberofcountriesidentifyingprioritywater-relatedresourceneedsandactions(n=119) 33Figure9: Typesofcapacitiescountriesidentifiedaseitherstrong,aconstraint,aneed,orasa prioritycross-cuttingdevelopmentaction. 36Figure10: Countries’assessmentofstakeholderengagement 37Figure11: Countries’assessmentofinformationandknowledgemanagementcapacities 38Figure12: Countries’organizationalcapacitypriorities 39Figure13: Countries’environmentalgovernancecapacities 40Figure14: Countries’capacitydevelopmentprioritiesonmonitoringandevaluation 40Figure15: Summaryofcountries’cross-cuttingcapacityconstraints 41

boXeSBox1: SearchingforsynergieswasembeddedintotheNCSAprocess 34

List of Abbreviations and Acronyms 3

lIST of AbbReVIATIonS AnD ACRonYMS

ACM AdaptiveCollaborativeManagementbD BiodiversityCb CapacityBuildingCb-2 Cross-CuttingCapacityDevelopmentProjectsCbD UnitedNationsConventiononBiologicalDiversityCbo Community-BasedOrganizationCbPAR CommunityBasedParticipatoryActionResearchCCA CommonCountryAssessmentCCD UnitedNationsConventiontoCombatDesertificationCD CapacityDevelopmentCDG CapacityDevelopmentGroupCDI CapacityDevelopmentInitiativeCoP ConferenceofthePartieseCIS EasternEuropeandCommonwealthofIndependentStateseeG EnergyandEnvironmentGroupeIA EnvironmentalImpactAssessmenteU EuropeanUnionfCCC UnitedNationsFrameworkConventiononClimateChangeGef GlobalEnvironmentFacilityGHG GreenhouseGasGSP GlobalSupportProgrammelAC LatinAmericaandCaribbeanlDC LeastDevelopedCountryMDG MillenniumDevelopmentGoalsMeA MultilateralEnvironmentalAgreementMenA MiddleEastandNorthAfricanCSA NationalCapacitySelf-AssessmentnGo Non-GovernmentalOrganizationoeCD OrganizationforEconomicCooperationandDevelopmentPeI Poverty-EnvironmentInitiativePoPs PersistentOrganicPollutantsReDD ReducingEmissionsfromDeforestationandForestDegradationinDevelopingCountriesSeA StrategicEnvironmentalAssessmentSIDS SmallIslandDevelopingStatesSlM SustainableLandManagementSPReP SouthPacificRegionalEnvironmentalProgrammeSWoT Strengths,Weaknesses,Opportunities,andThreatsUn UnitedNationsUnDAf UnitedNationsDevelopmentAssistanceFrameworkUnDG UnitedNationsDevelopmentGroupUnDP UnitedNationsDevelopmentProgrammeUneP UnitedNationsEnvironmentProgramme

Chapter Name Here 5

AcknowledgementsThisreportwaspreparedbyJean-JosephBellamyandKevinHill,withimportantcontributionsfromateamofreviewers,whopainstakinglysurveyed119NCSAFinalReportsandActionPlans:PrakashBista,TeresaBosques,DieterBouma,JohnCherry,EricChu,AmritaKumar,CullenNaumoff,FrankSzollosi,ChrisTheriot,AllisonTowle,andJesseWorker.Thisreportwouldhavebeenpossiblewithoutthem.TheNCSAandCB-2projectprofilesweredraftedbyeithertheProjectCoordinators,UNDPCountryOfficestaff,oranindependentreviewer.PeerreviewofthedraftSynthesisReportwasprovidedbyUNDP’sCapacityDevelopmentAdvisoryGroupandanumberofexternalreviewers.Thereportwascopy-editedbyStJohnMcKayanddesignedbyRebeccaButtrose.Artwork©byPaulCoseo.

ThereportwaspreparedundertheoversightofTomTwining-WardattheEnergyandEnviron-mentGroup,BureauforDevelopmentPolicyatUNDP(Pretoria).

Theviewsexpressedinthisreportandanyerrorsinit,arethoseoftheauthorsanddonotnecessarilyrepresentthoseoftheUnitedNations,includingUNDP,oritsmemberstates.

Pleasecitethisdocumentas:Bellamy,Jean-JosephandKevinHill(2010),“NationalCapacitySelf-Assessments:ResultsandLessonsLearnedforGlobalEnvironmentalSustainability”,GlobalSupportProgramme,BureauforDevelopmentPolicy,UnitedNationsDevelopmentProgramme,NewYork,USA.

©2010UNDPBureauforDevelopmentPolicy

They are beautiful in their peace, they are wise in their silence. They will stand after we are dust. They teach us, and we tend them. Galeain ip Altiem MacDunelmor

The misty forests of Sierra Gorda, Mexico. Photo by Kevin Hill.


ForewordIn2002,adecadeaftertheRioEarthSummit,policymakersinboththedevelop-inganddevelopedworldwerelookingtoprovidegreaterclaritytocountrieswhowantedefficientandmeaningfulwaystosupportsustainabledevelop-mentatthelocallevelforglobalbenefit.

EntertheGlobalEnvironmentFacility(GEF),whichinitscapacityasthefinancialmechanismforkeyUnitedNationsenvironmentalagreements,fundedthefirstNationalCapacitySelf-Assessments(NCSA).Ourvisionthenwastohelpcoun-triesfindthebestwaytoframeresourcesbyfirstdeterminingtheirowncapac-itydevelopmentneedstoimplementconventionsrelatedtobiodiversity,climatechange,desertification,andotherglobalchallenges.

In2003,theGEFCounciladoptedtheStrategicApproachtoEnhanceCapacityBuilding,whichoutlinedguidingprinciplesandaprogrammaticapproachtodevelopandsustainachievementsthatmeettheobjectivesofthese‘Rio’Conventions.Tothisend,NCSAsarefirstandforemostlocallydriventoolsthathelppolicymakerspinpointthechallengesthatcontinuetocomplicatecommitmentstoglobalenvironmentalobjectives.

Today,throughourfinancialsupportoftheNCSAsto146countries,theGEFhasplayedapivotalroleinensuringthatcapacitydevelopmentprioritiesandrecommendationsarefullycountry-owned,coherentwithexistingcountrysystems,andpromotepartnerships.Atthesametime,GEFinvestmentstotheNCSAshavebeenacost-effectiveinvestmentfordonorsandtaxpayersasguidedbytheprinciplesandgoalsoftheParisDeclarationonAidEffectivenessandtheAccraAgendaforAction.Thisisnotjustabureaucraticexercise:NCSAsrecognizethateachcountryhasitsownenvironmentalprioritiesbuttheseassessmentsalsohelpsdecision-makersbetterrecognizetheimportantlinksbetweentheconventionsformaximumimpact.

Overtime,NCSAshaveidentifiedprioritycapacitydevelopmentneedstomeetRioConventionobjectives.Theyhavealsohighlightedthefactthatthesesamecapacityneeds,whethertheybestakeholderengage-ment,informationmanagementandknowledge,environmentaleducation,organizationalcapacity,environ-mentalfinancingormonitoringandevaluation,cutacrossallfocalareas.

ThroughtheNCSAexperience,weknowthatsomeeffectivewaysforwardcanincludeagreateremphasisonenvironmentaleducation,environmentalfiscalreforms,andstrategicenvironmentalmainstreaming.Anumberofcountriesalsohavetakentheadditionalstepofassessingandprioritizingcapacitydevelopmentneedsofotherinternationalenvironmentalconventions,suchasthoseframedbytheStockholmConventiononPersistentOrganicPollutantsandMontrealProtocolonOzoneDepletion.

Inthislight,weareproudtopresentthissynthesisreporttoyou,whichrepresentsanimportantsummarybaselineofcountries’keycapacitydevelopmentprioritiesinnear-term.ThefindingsfromtheNCSAsalsoreinforcethestrategicinvestmentsthatweplantopursueduringtheGEF5businesscycleinordertohelpcountriesmeetandsustainglobalenvironmentalcommitments.

Monique barbut, Ceo and Chairperson of the Gef

Foreword 7

YAnnICK GleMAReC

executive CoordinatorGlobal environment facility Unitenergy and environment Group,

bureau for Development Policy United nations Development

Programme

MARYAM nIAMIR-fUlleR

DirectorDiv. of Global environment

facility operationsUnited nations environment

Programme

PrefaceThisreportisanimportantmilestoneoftheCapacityDevelopmentInitiative(CDI)thatbeganin1998.Atthetime,governments,donorsandpractitionersrecognizedthatachievingenvironmentalsustainabilityofdevelopmentinterventionsrequiredamoretargetedandin-depthassessmentofcountries’underlyingcapacities.Withafocusonmeetingandsustain-ingglobalenvironmentalobjectives,asframedbytheRioConventionsonbiodiversity,climatechange,anddesertificationanddrought,theCDIsetthestagefortheGlobalEnvironmentFacility’sStrategicApproachtoEnhanceCapacityBuildingin2003.Asthefirstnewprogram-maticpathwayoftheStrategicApproach,theNationalCapacitySelf-Assessment(NCSA)wasacountry-drivenEnablingActivitythatcatalyzedasystematicandcross-cuttinganalysisofindividual,organizationalandsystemiccapacities.TheseEnablingActivitieswerebuiltontheprincipleoflearning-by-doingasastrategytoinstitutionalizethecapacityassessmentprocess.Tosupportcountries’NCSA,aGlobalSupportProgramme(GSP)wasestablishedin2005andjointlyimplementedbytheUnitedNationsDevelopmentProgramme(UNDP)andUnitedNationsEnvironmentProgramme(UNEP).

WithmostoftheNCSAsnowcompleted,andalmostadecadeafterinceptionofthefirstNCSAs,importantlessonsaretobelearnedoncountries’challengesandopportunitiestomeetandsustainglobalenvironmentalobjectives.Asasummaryoftheresultsandlessonslearnedfrom82%ofthe146NCSAs,thisreportisacriticalcontributiontoourknowledgeofthetypesofcapacitiescountriesneedtomeetRioConventionobjectives.Whencomparedtothestrategicprogrammingofdevelopmentsupport,theresultsandanalysisinthisreportreaf-firmsthesupportbeingprovidedbyUNDPandUNEPwithfundingfromtheGEF,nottomentionthesupportbeingprovidedbymanyotherdevelopmentpartnersanddonorsthroughouttheNCSAprocess.

Therehavebeenanumberofimportantstudiesandassessmentsofcountries’environmentalcapacities,andthisreportservestocomplementthese.Inparticular,thisreportservestoupdatethe“stateofglobalenvironmentalsustainability”,providingastrongrationaleforthenewstrategicGEFprogrammingofforthe2010-2014period.Wehaveknownforalongtimethatcountriesneedtoimprovepublicawarenessoftheglobalenvironment,mainstreamenvironmentalprioritiesintosectoraldevelopmentpolicies,programmesandplans,andundertakeenvironmentalfiscalreform.Whatwehavelearnedfromthisreportistheextentoftheglobalneedanddemandofthecriticalcross-cuttingcapacitiesthatarecentraltomeetingandsustainingglobalenvironmentalobjectives.

Thenextpathwayofthecapacityassessmentphasefocusesontargetedcross-cuttingcapacitydevelopment,otherwiseknownasCB-2s,with23projectsinitiatedunderGEF-4.ThisreporthighlightstheneedtobetterlinktheprogrammingofCB-2sduringGEF-5tootherstrategiccross-cuttingprogrammingbycountriesforgreatersynergiesandcost-effectiveness.TheresultsoftheNCSAshaveclearlydemonstratedthatintheGEFcapacitybuildingshouldnotbeseenasaseparatesilo,butpartofastrategicsetofinterventionstoenablecountriestomeetsharedglobalenvironmentalobjectives.


Executive Summaryacrossfocalareas;and(iii)thecapacitydevelopmentprogrammeinLeastDevelopedCountries(LDCs)andSmallIslandDevelopingStates(SIDS).

Since2002,atotalof153outof166eligiblecountriesreceivedGEFfundingtoimplementanNCSA.UNDPwastheimplementingagencyfor76%oftheseNCSAprojects,followedbyUNEPwith23%.TheWorldBankwasresponsibleforNigeria’sNCSA.In2004,theGEFapprovedtheGlobalSupportProgramme(GSP)toprovidemethodologicalassistancetotheNCSAcountryteams,aswellastoproducelearningmaterials.ThisincludedtheNCSAResourceKit,whichoutlinedthebasicapproachestoNCSAimplementation,includingconsultativerequirements,assessmentsandanalysestobeundertaken.TheGSPalsoproducedguidelinestomonitorandassesscapacitydevelopment,whichwouldbeusedasthefirststageofathree-point,time-seriesoutcomeevaluationofcross-cuttingcapacitydevelopmentprojects.

Ofthe119countriesthatcompletedtheirNCSA,23countriesareatvariousstagesintheimplementationthepriorityrecommendationsidentifiedintheirNCSAFinalReportandActionPlan.WhereastheNCSAswerefullyfundedprojects,theNCSAfollow-upprojects,otherwiseknownasCB-2projects,requireequalamountsofGEFandco-financingresources.Nine(9)ofthe23projectswereapprovedfortheEuropeanandCommonwealthofIndependentStatesregion,withtherestdistributedequallyamongtheotherregions,withtheexceptionofthePacificregion,whichdonothaveanyCB-2projectsatthetimeofthisreport.These23CB-2projectsgenerallyfocusonenvironmentalgovernancesystemsand

Astrategicpartnershipinthelate1990sbetweentheGlobalEnvironmentFacility(GEF)SecretariatandUNDPledtothecreationoftheCapacityDevelopmentInitiative(CDI).Thiswasacentralpartoftheprocesstoformulateandpromoteaconceptualframeworkfortheassessmentanddevelopmentofcountries’environmentalcapacities.BasedonanassessmentofcapacitydevelopmentintheGEFportfolio,theCDI’srecommendationsformedthebasisoftheGEF’sstrategicprogrammingoncapacitydevelopment.ThisledtothecreationoftheNationalCapacitySelf-Assessments.

ThefirstNationalCapacitySelf-Assessments(NCSA)beganin2002withfundingfromtheGlobalEnvironmentFacility(GEF),somebeingimplementedbytheUnitedNationsDevelopmentProgramme(UNDP)withothersbytheUnitedNationsEnvironmentProgramme(UNEP).TheprimaryobjectiveoftheNCSAswastodeterminethechallengesofcountries’underlyingcapacitiestomeettheirglobalenvironmentalcommitments,commitmentsthatareframedbytheConventiononBiologicalDiversity,ConventiontoCombatDesertificationandDrought,andtheFrameworkConventiononClimateChange.ThetotalvalueoftheNCSAportfoliowasUS$28.9million,withanaverageallotmentofUS$200,000perNCSA.

In2003,theGEFapprovedtheStrategicApproachtoEnhanceCapacityBuilding,whichdelineatedtheguidingprinciplesandframedtheprogrammingofGEFresources.TheStrategicApproachreaffirmedthatthecapacitiesnecessarytomeetglobalenvironmentalobjectivesarecloselyrelatedto,indeedaredependentonthosecapacitiesnecessarytomeetbroadernationalenvironmentalpriorities.InadditiontocapacitydevelopmentbeingpursuedbytheNCSAs,theStrategicApproachoutlinedthreeotherpathwaysofcapacitydevelopment:(i)thestrengtheningofcapacitybuildingcomponentsinGEFfocalareaprojects;(ii)targetedcapacitybuildingprojects,bothwithinand

The NCSAs called for countries to identify their priority environmental issues such as combating deforestation, promoting sustainable land management, or minimizing their vulnerabilities to the impact of climate change.

Executive Summary 9

Theanalysisofthe119NCSAFinalReportsandActionPlansyieldedinsightsandlessonsfromcountries’questtomeetglobalenvironmentalcommitments.Organizedunderthefivemaintypesofcapacitiestomeetandsustainglobalenvironmentalobjectives,thekeylessonslearnedare:

Stakeholder Engagement• Asenseofreadinessisnecessaryfromall

partiesinvolved,includingatthepoliticallevel,inordertoachieveandsustainglobalenvironmentalobjectives.

• Achievingenvironmentalsustainabilitynecessitatestheengagementofstakeholders,whichinturnispredicatedontheirlevelofawarenessandunderstanding,aswellashavingtheskillstotakeaction.

• NGOsandCommunity-BasedOrganizations(CBOs)mustbefullyengagedinordertoreachmarginalizedcommunities,whointurnengagecivilsocietystakeholders.

• Bestpracticemethodologiesareneededtoengagestakeholders.

• TheNCSAprocesswasinnovative,benefittingfrombroadandinteractiveparticipationofstakeholders,whichmadetheassessmentshighlyrelevant.

Information Management and Knowledge• Althoughnotcomplete,environmental

informationexists.However,thecapacitiestoaccessandmanagethisinformation,includingcoordinationwithothermanagementinformationsystemsremainweak.

• Thereisaneedtoincorporatetraditional/indigenousknowledgeintotheenvironmentalmanagementinformationsystem.

Organizational Capacities• Manycountrieslackclarityintheir

organizationalset-uptoadequatelyfinanceenvironmentalmanagement.

mainstreamingglobalenvironmentalissuesintonationaldevelopmentprogrammes.

TheNCSAscalledforcountriestoidentifytheirpriorityenvironmentalissuessuchascombatingdeforestation,promotingsustainablelandmanagement,orminimizingtheirvulnerabilitiestotheimpactofclimatechange.Theyweretoundertakearootcauseanalysistodeterminetheinstitutionalcapacities(e.g.,knowledge,decisionsupportsystems,andgovernancestructures)necessarytomeetprogrammeobjectives.Whilethethematicassessmentsforeachfocalareaidentifiedthecapacityneedsspecifictothatparticularenvironmentalconcern,thecross-cutting(orsynergy)reportstookanover-archingapproachtounderstandingmorebasicchallengescountriesfaceinmeetingandsustainingglobalenvironmentalobjectives.Thelatteranalyseswereanimportantcatalystinhelpingdecision-makersandotherstakeholdersgainabetterappreciationoftheimportantlinkagesbetweenandamongtheConventions,andthecapacitiesindicativeofresilientsystems.

Thisanalysisrevealedthatthetopfivecapacitydevelopmentneedsexpressedbycountriestoachieveandsustainglobalenvironmentaloutcomesare:1)publicawarenessandenvironmentaleducation;2)informationmanagementandexchange;3)developmentandenforcementofpolicyandregulatoryframeworks;4)strengtheningorganizationalmandatesandstructures;and5)economicinstrumentsandsustainablefinancingmechanisms.

Attheotherendofthespectrum,theNCSAanalysisshowedthatcapacitiestonegotiateattheConventions’ConferenceofthePartieswereofarelativelylowpriority,withonly17outof119NCSAsidentifyingthisasacapacityneed.Similarly,only32outof119NCSAsidentifiedintegratedecosystemmanagementasapriority.

Executive Summary


environmentalissuesintonationaldevelopmentprogrammes.ThefourprogrammaticframeworksinGEF-51are:

• Enhancingthecapacitiesofstakeholderstoengagethroughoutaconsultativeprocess

• Generating,accessing,andusinginformationandknowledge

• Strengtheningcapacitiestodeveloppolicyandlegislativeframeworks

• StrengtheningcapacitiestoimplementandmanageglobalConventionguidelines

Theseprojectswillalsobedevelopedandimplementedaspartofanoverallprogrammeofdonorsupporttocountries.InGEF-4,theGSPdevelopedguidelinestomonitortheoutcomesoftheCB-2projects2,havingproducedascorecardtoratethecapacitiesdevelopedaspartofatime-seriesevaluationexercise.Theseguidelinesareintheearlystageoftheirapplication,withtheexpectationthattheywillbeappliedtofocalareaprojects,producingavaluablesetofindicatorstomeasuretheachievementsandsustainabilityoftheGEF’sbroadersetofcountryinterventions.

Environmental Governance• Manycountriescontinuetolacka

comprehensiveandadequatesetofenvironmentalpolicies,withmissingorunenforcedlegislativeandregulatoryinstrumentsthatfurtherhinderenvironmentalmanagement.

Monitoring and Evaluation• Countriesaremonitoringandevaluatingtheir

projects,buttheknowledgethatisgeneratedisnotbeingadequatelyusedindecision-makingprocesses.

Despitesomenotableachievements,theNCSAswereaninitialsteptowardthelargerprogrammeofefforttodevelopcapacitiesinthenameoftheglobalenvironment.TheNCSAscatalyzedaheightenedagreementamongpolicy-makersandpractitionersontheoverallsetofcapacitiesnecessarytoachieveandsustainglobalenvironmentalobjectives,endorsingtheNCSArecommendationsasasetofinitialactionsforsupportfromtheinternationalcommunity.Thefocusoftargetedcross-cuttingcapacitydevelopment(CB-2)inGEF-5(2010-2014)buildsontheseNCSArecommendations.Inadditiontotheexisting23projectscurrentlyunderway,futureCB-2projectswilladdressthoseurgentcapacitychallengesandprioritiesnecessarytoenhanceacountry’sabilitytomeetitsobligationsunderthethreeRioConventions.Targetedcross-cuttingcapacitydevelopmentprojectswillfocusonstrengtheningenvironmentalgovernancesystemsthroughmechanismsandtoolsforimprovedcollaboration,managementinformationsystems,decision-making,aswellasmainstreamingglobal

1 SeeTable7,page77,SummaryofNegotiations,FifthReplenishmentoftheGEFTrustFund,GEF/C.37/3,17May,2010,GlobalEnvironmentFacility/WorldBank.

2 SeeBellamy,Jean-JosephandKevinHill(2010),“MonitoringGuidelinesofCapacityDevelopmentinGlobalEnvironmentFacilityOperations”,GlobalSupportProgramme,BureauforDevelopmentPolicy,UnitedNationsDevelopmentProgramme,NewYork,USA.

Targeted cross-cutting capacity development projects will focus on particular sets of countries’ underlying individual, organizational, and systemic capacities to meet and sustain global environmental commitments.

Sommaire Exécutif 11

Sommaire Exécutifautresvoiesdedéveloppementdescapacités:(i)lerenforcementdescomposantesenmatièrederenforcementdecapacitésdanslesprojetsdesdomainesd’interventionduFEM,(ii)desprojetsciblésderenforcementdescapacités,àlafoisdansetentrelesdomainesd’intervention,et(iii)leprogrammededéveloppementdescapacitésdanslespayslesmoinsavancés(PMA)etlespetitsÉtatsinsulairesendéveloppement(PEID).

Depuis2002,153sur166payséligiblesontreçudesfondsduFEMenvuedemettreenœuvreuneANCR.LePNUDaétél’agenced’exécutionpour76%decesprojetsd’ANCR,suivieduPNUEavec23%.LaBanquemondialeaassurélamiseenœuvredel’ANCRduNigeria.En2004,leFEMaapprouvéleProgrammemondiald’appuidestinéàfourniruneassistanceméthodologiqueauxéquipesenchargedesANCRdanslespays,ainsiquedeproduiredessupportsd’apprentissage.Laréalisationd’unKitdesressourcesd’ANCRdécrivantlesapprochesdebasepourlamiseenœuvred’ANCR,notammentlesexigencesenmatièredeconsultation,lesévaluationsetlesanalysesàentreprendre,enestunexemple.LeProgrammemondiald’appuiaégalementproduitdeslignesdirectricesafindesuivreetévaluerledéveloppementdescapacités,quipourraientêtreutiliséescommelapremièreétaped’uneévaluationdesrésultatsdetypesériechronologiqueentroispoints,deprojetsdedéveloppementintersectorieldescapacités.

Surles119paysquiontachevéleurNCSA,23sontàdesstadesdiversdelamiseenœuvredesrecommandationsprioritairesidentifiéesdanslerapportfinaldeleurANCRetdeleurPland’action.Alorsquelesprojetsd’auto-évaluationontétéentièrementfinancésparleFEM,lesprojetsdesuividesANCR,connussouslenomdeprojetsCB2,demandentautantderessourcesduFEMquedeco-financement.Surles23projets,neufs(9)ontétéapprouvéspourl’EuropeetlaCommunautédesÉtatsindépendants,leresteétantéquitablementrépartidanslesautresrégions,àl’exceptiondelarégionduPacifique,quinedisposaitd’aucunprojetCB2au

Unpartenariatstratégiquenouéàlafindesannées1990entreleSecrétariatduFondspourl’environnementmondial(FEM)etlePNUDaconduitàlacréationdel’Initiativederenforcementdescapacités(IRC),élémentcentralduprocessusdeformulationetdepromotiond’uncadreconceptuelpourl’évaluationetledéveloppementdescapacitésdespaysenmatièreenvironnementale.FondéessuruneévaluationdudéveloppementdescapacitésdansleportefeuilleduFEM,lesrecommandationsissuesdel’IRContconstituélabasedelaprogrammationstratégiqueduFEMsurlerenforcementdecapacités.Celaaconduitàlacréationdel’auto-évaluationnationaledescapacitésàrenforcerpourlagestiondel’environnementglobal(ANCR).

Lespremièresauto-évaluationsnationalesdescapacitésàrenforcer(ANCR)ontdébutéen2002avecunfinancementduFondspourl’environnementmondial(FEM),certainesayantétémisesenœuvreparleProgrammedesNationsUniespourledéveloppement(PNUD)etd’autresparleProgrammedesNationsUniespourl’environnement(PNUE).L’objectifprincipaldel’ANCRaétédedéterminerlesdéfisliésauxvéritablescapacitésdespaysàrépondreàleursengagementsmondiauxenmatièred’environnement,engagementsquisontencadrésparlaConventionsurladiversitébiologique,laConventionsurlaluttecontreladésertificationetlasécheresse,etlaConvention-cadresurleschangementsclimatiques.Lavaleurtotaleduportefeuilledel’ANCRétaitde28,9millions$US,avecuneallocationmoyennede200.000US$parANCR.

En2003,leFEMaapprouvél’Approchestratégiquepouraméliorerlerenforcementdescapacités,définissantlesprincipesdirecteursetencadrantlaprogrammationdesressourcesduFEM.L’Approchestratégiquearéaffirméquelescapacitésnécessairespourrépondreauxobjectifsenvironnementauxmondiauxsontétroitementliées,voiredépendentdecesautrescapacitésnécessairespourrépondreàdesprioritésnationalespluslargesenmatièred’environnement.Outrelerenforcementdecapacitésmisenplacedanslecadredesauto-évaluations,l’Approchestratégiquedéfinittrois


D’autrepart,l’analysedesANCRamontréquelescapacitésànégocierlorsdelaConférencedesPartiesdesConventionsontconstituéuneprioritérelativementfaible,avecseulement17des119ANCRlesayantidentifiécommeunbesoinentermesdecapacitésàrenforcer.Demême,seules32des119ANCRontidentifiélagestionintégréedesécosystèmescommeunepriorité.

L’analysedesrapportsfinauxetplansd’actionde119ANCRapermisdedonnerunaperçuetdetirerdesenseignementssurlavolontédespaysàrépondreauxengagementsàl’échellemondialeliésàl’environnement.Organisésdanslecadredescinqprincipauxtypesdecapacitéspermettantd’atteindreetmaintenirlesobjectifsenvironnementauxmondiaux,lesprincipauxenseignementstiréssont:

L’engagement des parties prenantes• Uncertainniveaudepréparationestnécessaire

cheztouteslespartiesconcernées,ycomprisauniveaupolitique,afind’atteindreetdemaintenirlesobjectifsenvironnementauxmondiaux.

• Pouratteindreladurabilitéenvironnementale,l’implicationdespartiesprenantesestnécessaire.Celle-cidépendelle-mêmedeleurniveaudesensibilisationetdecompréhension,ainsiquedescompétencesnécessairespourprendredesmesures.

• LesONGetlesorganisationscommunautairesdebase(OCB)doiventêtrepleinementengagéesdesorted’atteindrelescommunautésmarginalisées,quiàleurtourengagentlesacteursdelasociétécivile.

• Desméthodologiessurlesbonnespratiquessontnécessairespourengagerlespartiesprenantes.

• LeprocessusdemiseenœuvredesANCRaéténovateur,abénéficiéd’uneparticipationmassiveetfructueusedespartiesprenantes,quiontpermisauxévaluationsd’êtretrèspertinentes.

Gestion de l’information et des connaissances• Bienqu’incomplètes,lesinformationssur

l’environnementexistent.Toutefois,lescapacités

momentdelarédactiondecerapport.Ces23projetsCB2seconcentrentgénéralementsurlessystèmesdegouvernanceenvironnementaleetsurl’intégrationdesquestionsglobalesliéesàl’environnementdanslesprogrammesnationauxdedéveloppement.

LamiseenœuvredesANCRapermisauxpaysconcernésd’identifierleursenjeuxenvironnementauxprioritairestelsquelaluttecontreladéforestation,lapromotiondelagestiondurabledesterres,oularéductiondeleurvulnérabilitéfaceàl’impactduchangementclimatique.Ilsaurontduprocéderàuneanalysedescausesfondamentalesafindedéterminerlescapacitésinstitutionnelles(parexemple,lesconnaissances,lessystèmesd’aideàlaprisededécisionetlesstructuresdegouvernance)nécessairespouratteindrelesobjectifsduprogramme.Tandisquelesévaluationsthématiquespourchaquedomained’interventionontpermisl’identificationdesbesoinsenmatièredecapacitésspécifiquespourcettepréoccupationenvironnementaleparticulière,lesrapportstransversaux(oudesynergie)ontadoptéuneapprocheglobalepermettantdemieuxcomprendrelesdéfisbasiquesauxquelsdoiventfairefacelespayspouratteindreetmaintenirlesobjectifsenvironnementauxglobaux.Cesdernièresanalysesontconstituéuncatalyseurimportantpouraiderlesdécideursetautresintervenantsàmieuxapprécierl’importancedesliensexistantentreetparmilesconventions,etlescapacitésrévélatricesdesystèmesrésilients.

Cetteanalysearévéléquelescinqprincipauxbesoinsenmatièrederenforcementdescapacitésexpriméparlespayspouratteindreetmaintenirlesrésultatsenvironnementauxglobauxsontlessuivants:1)lasensibilisationdupublicetl’éducationenmatièreenvironnementale;2)lagestiondel’informationetdeséchanges;3)l’élaborationetlamiseenoeuvredepolitiquesetcadresréglementaires;4)lerenforcementdesmandatsetstructuresdesorganisations,et5)lamiseenplaced’instrumentséconomiquesetdemécanismesdefinancementdurable.

Sommaire Exécutif 13

capacités(CB2)autitreduprogrammeFEM-5(2010-2014)sefondesurlesrecommandationsissuesdesANCR.Outreles23projetsactuellementencoursd’exécution,lesprojetsCB2àvenirtenterontdetraitercesdéfisurgentsentermesdecapacitésetlesprioritésnécessairespourrenforcerlescapacitésd’unpaysàrespectersesobligationsprévuesparlestroisConventionsdeRio.Lesprojetsciblésdedéveloppementintersectorieldescapacitésserontaxéssurlerenforcementdessystèmesdegouvernanceenvironnementaleàtraverslamiseenplacedemécanismesetd’outilsvisantàaméliorerlacollaboration,lessystèmesdegestiondel’information,laprisededécision,ainsiquel’intégrationdesquestionsrelativesàl’environnementmondialdanslesprogrammesnationauxdedéveloppement.LesquatrecadresdeprogrammationautitreduFEM-53sontlessuivants:

• Renforcerlescapacitésdespartiesprenantesàs’engageràtraversunprocessusconsultatif

• Produire,accéderetutiliserdesinformationsetconnaissances

• Renforcerlescapacitéspourélaborerdescadrespolitiquesetlégislatifs

• Renforcerlescapacitéspourmettreenœuvreetgérerleslignesdirectricesdesconventionsmondiales

Cesprojetsserontégalementélaborésetmisenœuvredanslecadred’unprogrammeglobald’appuidesdonateursauxpays.DanslecadreduFEM-4,leProgrammeMondiald’appuiavaitélaborédeslignesdirectricesafind’assurerlesuividesrésultatsissusdesprojetsCB24,aprèsavoirproduituntableaudebordvisantànoterlescapacitésdéveloppéesdanslecadred’unexerciced’évaluationdetypesériechronologique.Ceslignesdirectricessontàunstadeprécocedeleurapplication,maisilestattenduqu’ellessoientappliquéesauxprojetsdesdomainesd’intervention,produisantainsiunensembled’indicateursutilespourmesurerlesrésultatsetladurabilitédesinterventionsduFEMsurunensemblepluslargedepays.

pourgéreretaccéderàcesinformations,ycomprislacoordinationavecd’autressystèmesdegestiondel’information,restentfaibles.

• Ilestnécessaired’intégrerlesconnaissancestraditionnelles/autochtonesdanslesystèmedegestiondel’informationenvironnementale.

Capacités organisationnelles• Denombreuxpaysmanquentdeclartédanslamise

enplacedeleurstructureorganisationnellequipermettraitdefinancerdemanièreadéquatelagestiondel’environnement.

Gouvernance environnementale• Nombreuxsontlespaysquinedisposenttoujourspas

d’unensembledepolitiquesenvironnementalescomplètesetappropriées,avecdesinstrumentslégislatifsetréglementairesinexistantsounonappliqués,cequirendencoreplusdifficilelagestiondel’environnement.

Suivi et évaluation• Lespaysassurentlesuivietl’évaluationdeleurs

projets,maislesconnaissancesproduitesnesontpasutiliséesdemanièreappropriéedanslesprocessusdécisionnels.

Endépitdequelquesréalisationsnotables,lesauto-évaluationsontsurtoutreprésentéunepremièreétapeversunprogrammed’actionsplusvastevisantàdévelopperlescapacitéspourlagestiondel’environnementmondial.LesANCRontjouéunrôledecatalyseurdansl’accordimportanttrouvéentrelesdécideursetlesspécialistesetrelatifàl’ensembledescapacitésnécessairespouratteindreetmaintenirlesobjectifsenvironnementauxmondiaux,considérantlesrecommandationsissuesdesANCRcommeunensembledemesuresinitialesdevantêtreappuyéesparlacommunautéinternationale.L’objectifdudéveloppementintersectorielciblédes

3 Voirtableau7,page77,Résumédesnégociations,CinquièmereconstitutionduFondssubsidiaireduFEM,GEF/C.37/3,17mai2010,Fondspourl’EnvironnementMondial/Banquemondiale

4 VoirBellamy,Jean-JosephandKevinHill(2010),“MonitoringGuidelinesofCapacityDevelopmentinGlobalEnvironmentFacilityOperations”,GlobalSupportProgramme,BureauforDevelopmentPolicy,UnitedNationsDevelopmentProgramme,NewYork,USA.


Resumen EjecutivoEstratégicodelineóotrostrescaminosdedesarrollodecapacidades;(i)elfortalecimientosdeloscomponentesdedesarrollodecapacidadesenlosproyectosdeáreafocalFMAM;(ii)proyectosdedesarrollodecapacidadesdirigidostantodentrocomoatravésdelasáreasfocales;y(iii)elprogramadedesarrollodecapacidadesenlosPaísesMenosDesarrolladosyPequeñasIslasEstadosenDesarrollo.

DesdeEL2002,untotalde153de166paíseselegiblesrecibieronfinanciamientoFMAMparaimplementarlosproyectosNCSA.ElPNUDfuelaagenciaimplementadoradel76%deestosproyectosNCSA,seguidoporPNUMAcon23%.ELBancoMundialfueresponsabledelNCSAdeNigeria.Enel2004,FMAMaprobóelProgramadeApoyoGlobal(GSP)paraproveerasistenciametodológicaallosequiposdepaísdelasNCSA,asícomotambiénparaproducirmaterialdeaprendizaje.EstoincluyóelKitdeRecursosdeNCSA,quedelineabalosenfoquesbásicosparalaimplementacióndelasNCSA,incluyendorequisititosdeconsulta,evaluacionesyanálisisaserrealizados.ELPAGtambiénprodujodirectricesparamonitorearyevaluareldesarrollodecapacidades,queseríanutilizadascomolaprimerade3etapas,deunaserieprogramadaparalaevaluaciónderesultadosdeproyectostransversalesdedesarrollodecapacidades.Delos119paísesquecompletaronsuNCSA,23paísesestánendiversasetapasdelaimplementaciónderecomendacionesprioritariasidentificadasensuReporteFinalyPlandeAccióndeNCSA.MientrasquelasNCSAfueronproyectostotalmentefinanciados,losproyectosdeseguimientodelasNCSA,conocidostambiéncomoproyectosCB2,requierencantidadesigualesderecursosFMAMyco-financiamiento.Nueve(9)de23proyectosfueronaprobadosparalaregióndelaComunidadEuropeadeEstadosIndependientes,conelrestodistribuidoporpartesigualesentreotrasregiones,conlaexcepcióndelaregiónPacífica,lacualnotienenningúnproyectoCB2almomentodeestereporte.

Unaasociaciónestratégicaafinaldelosaños1990entrelaSecretaríadelFondoparaelMedioAmbienteMundial(FMAM)yelPNUDllevóalacreacióndelaIniciativadeDesarrollodeCapacidades(IDC).Estafueunapartecentraldelprocesoparaformularypromoverunmarcoconceptualparalaevaluaciónydesarrollodelascapacidadesambientalesdepaís.BasadoenunaevaluacióndeldesarrollodecapacidadesenelportafoliodeFMAM,lasrecomendacionesdelaIDCformaronlabasedelaprogramaciónestratégicadeFMAMsobreeldesarrollodecapacidades.EstollevóalacreacióndelasAutoEvaluacionesdeCapacidadesNacionales.

LasprimerasAutoEvaluacionesdeCapacidadesNacionales(NCSA)empezaronenel2002confinanciamientodelFondoparaelMedioAmbienteMundial(FMAM),siendoalgunasimplementadasporelProgramadelasNacionesUnidasparaelDesarrollo(PNUD)yotrasporelProgramadeNacionesUnidasparaelMedioAmbiente(PNUMA).ElobjetivoprincipaldellasNCSAeradeterminarlosretosdelascapacidadessubyacentesdelpaísparacumplirconsuscompromisosambientalesglobales,compromisosqueestánenmarcadosporlaConvenciónsobreDiversidadBiológica,laConvenciónparaCombatirlaDesertificaciónylaSequía,ylaConvenciónMarcosobreCambioClimático.ElvalortotaldelportafoliodeNCSAeraUS$28.9millones,conunaasignaciónpromediodeUS$200,000porcadaNCSA.

Enel2003,elFMAMaprobóelEnfoqueEstratégicoparaMejorarelDesarrollodeCapacidades,quedelineólosprincipiosguíayenmarcólaprogramacióndelosrecursosFMAM.Elenfoqueestratégicoreafirmóquelascapacidadesnecesariasparacumplirlosobjetivosdelmedioambienteglobalestánrelacionadosmuydecercacon,ysondependientesdeestascapacidadesnecesariasparacumplirprioridadesambientalesnacionalesmásamplias.EnadiciónaqueeldesarrollodecapacidadesseafomentadoporlasNCSA,elEnfoque

Resumen Ejecutivo 15

capacidad.Demanerasimilar,solo32de119NCSAidentificaronlagestiónintegradadelecosistemacomounaprioridad.

Elanálisisdelos119ReportesFinalesyPlanesdeAccióndelasNCSAdiocomoresultadomayorentendimientosobrelabúsquedadepaísparalograrcompromisosambientales.Organizadobajoloscincotiposprincipalesdecapacidadesparalograrymantenerlosobjetivosambientalesglobales,lasleccionesclaveaprendidasson:Compromiso de las Partes Interesadas:

• Esnecesarioquetodaslaspartesinvolucradastenganunsentidodepreparación,incluyendoanivelpolítico,parapoderlograrymantenerlosobjetivosambientalesglobales.

• Lograrsostenibilidadambientalnecesitaelcompromisodelaspartesinteresadas,queasuvezespredicadaensuniveldeconcienciaciónyentendimiento,asícomotenerlashabilidadesparatomaracción.

• LasONGyOrganizacionesconbaseenlaComunidad,tienenqueestarcompletamentecomprometidasparapoderllegaralascomunidadesmarginalizadas,quienesasuvezcomprometenalaspartesinteresadasdelasociedadcivil.

• Sonnecesariasmetodologíasdemejoresprácticasparacomprometeralaspartesinteresadas.

• ElprocesodelasNCSAfueinnovador,beneficiándosedelaparticipaciónampliaeinteractivadelaspartesinteresadas,quehizolasevaluacionesaltamenterelevantes.

Gestión y Conocimiento de Información• Aunquenocompleta,lainformaciónambiental

existe.Sinembargo,lascapacidadesparaaccederymanejarestainformación,incluyendocoordinaciónconotrossistemasdegestióndeinformaciónpermanecedébil.

• Hayunanecesidaddeincorporar

Estos23proyectosCB2generalmenteseenfocanensistemasdegobernabilidadambientalyenlaincorporacióndetemasglobalesdelambientealosprogramasnacionalesdedesarrollo.

LasNCSArequeríanquelospaísesidentificaransustemasambientalesprioritarioscomoporejemplocombatirladeforestación,promoverlagestiónsostenibledelatierra,ominimizarsuvulnerabilidadalimpactodelcambioclimático.Ellosdebíanrealizarunanálisisdelacausaraízparadeterminarlascapacidadesinstitucionales(ej.,conocimiento,sistemasdeapoyodedecisiones,yestructurasdegobernabilidad)necesariasparacumplirconlosobjetivosdelprograma.Mientrasquelaevaluacióntemáticaparacadaáreafocalidentificabalasnecesidadesespecíficasdecapacidadparaesapreocupaciónambientalparticular,losreportestransversales(ósinergías)tomaronunenfoquegeneralparaelentendimientodelosretosmásbásicosqueenfrentanlospaísesenelcumplimientoysostenibilidaddelosobjetivosambientalesglobales.Losúltimosanálisisfueronuncatalizadorimportante,ayudandoalostomadoresdedecisionesypartesinteresadasaobtenerunamejorapreciacióndelosimportantesvínculosentrelasConvenciones,ylascapacidadesindicativasdesistemasadaptables.Esteanálisisrevelóquelascinconecesidadesdedesarrollodecapacidadesmásimportantesparalograrymantenerresultadosambientalesglobalesson:1)concienciapúblicayeducaciónambiental;2)gestióneintercambiodeinformación;3)desarrolloycumplimientodepolíticasymarcosreguladores;4)fortalecimientodemandatosyestructurasorganizacionales;5)instrumentoseconómicosymecanismosdefinanciamientosostenible.

Alotroladodelespectro,losanálisisdeNCSAmostraronquelascapacidadesparanegociarenlaConferenciadelasPartesdelaConvenciónfuerondeunaprioridadrelativamentebaja,consolo17de119NCSAidentificandoestocomounanecesidadde

Resumen Ejecutivo


esosretosurgentesdecapacidadyprioridadesnecesariasparamejorarlahabilidaddelpaísparacumplirsusobligacionesbajolastresConvencionesdeRio.Losproyectosdirigidosdedesarrollotransversaldecapacidadesseenfocaránenelfortalecimientodelossistemasdegobernabilidadambientalatravésdemecanismosyherramientasparalamejorcolaboración,sistemasdegestióndeinformación,ytomadedecisiones,asícomolaincorporacióndetemasambientalesglobalesalosprogramasnacionalesdedesarrollo.LoscuatromarcosprogramáticosenFMAM-55son:

• Mejorarlascapacidadesdelaspartesinteresadasparacomprometerseatravésdetodoelprocesodeconsultas.

• Generar,accederyutilizarinformaciónyconocimiento

• Fortalecerlascapacidadesparadesarrollarmarcosdepolíticasylegislativos

• Fortalecercapacidadesparaimplementarymanejarlasdirectricesdeconvenciónglobales

Estosproyectostambiénserándesarrolladoseimplementadoscomopartedeunprogramaglobaldeapoyodedonantesapaíses.EnFMAM-4,elGSPdesarrollódirectricesparamonitorearlosresultadosdelosproyectosCB26,habiendoproducidounatarjetadepuntuaciónparacalificarlascapacidadesdesarrolladascomopartedeunejerciciodeevaluaciónprogramadoaplazos.Estasdirectricesestánensuetapatempranadeaplicación,conlaexpectativadequeseránaplicadasalosproyectosdeáreafocal,produciendounconjuntovaliosodeindicadoresparamedirloslogrosysostenibilidaddelconjuntomásampliointervencionesdepaísdeFMAM.

conocimientostradicionales/indígenasalsistemadegestióndeinformaciónambiental.

Capacidades Organizacionales

• Amuchospaísesleshacefaltaclaridadensumontajeorganizacionalparapoderfinanciaradecuadamentelagestiónambiental.

Gobernabilidad Ambiental• Amuchospaísesaúnleshacefaltapolíticas

ambientalescomprensivasyadecuadas,coninstrumentoslegislativosyregulatoriosfaltantesonoobligadosqueentorpecenaúnmáslagestiónambiental

Monitoreo y Evaluación• Lospaísesestánmonitoreandoyevaluandosus

proyectos,peroelconocimientoqueesgeneradonoestásiendoutilizadoadecuadamenteenlosprocesosdetomadedecisiones.

Apesardealgunoslogrosnotables,lasNCSAfueronunpasoinicialhaciaelmásgrandeprogramadeesfuerzoparadesarrollarcapacidadesennombredelmedioambienteglobal.LasNCSAcatalizaronunacuerdoexaltadoentreloscreadoresdepolíticasypracticantessobreelconjuntototaldecapacidadesnecesariasparalograrymantenerlosobjetivosambientalesglobales,sustentandolasrecomendacionesdelasNCSAcomounconjuntodeaccionesinicialesparaapoyodelacomunidadinternacional.

Elenfoquedeldesarrollotransversaldecapacidadesdirigido(CB2)enFMAM-5(2010-2014),construyesobreestasrecomendacionesdeNCSA.Ademásdelos23proyectosexistentesqueestánenoperaciónactualmente,losproyectosCB2futurosenfrentarán

5VeaTabla7,ResumendeNegociaciones,QuintoReabastecimientodelFideicomisodeFMAM,FMAM/c.37/3,Mayo17,2010,FondoparaelMedioAmbienteMundial/BancoMundial.

6VeaBellamy,Jean-JosephyKevinHill(2010)“MonitoringGuidelinesofCapacityDevelopmentinGlobalEnvironmentFacilityOperations”,ProgramadeApoyoGlobal,AgenciaparaPolíticadeDesarrollo,ProgramadelasNacionesUnidasparaelDesarrollo,NuevaYork,USA.

Introduction 17

foractiontobeundertakenthroughnationalorregionalinitiatives.

3.ThereportundertookthefollowingstepstosynthesizeandanalyzeNCSAresults:(i)areviewofallNCSAFinalReportsandActionPlanstoextractcriticalparametersfromeachNCSA.Atotalof119reports7wereanalyzedindetailbyagroupofindependentreviewers.Theyusedastandardsetofcriteriarepresentingthemaincategoriesofissuestocompileasummaryrecordofthesereports,documentingthepriorityenvironmentalissues,thecapacitydevelopmentneeds,andtheproposedactions;(ii)areviewofrelatedcapacitydevelop-mentprojectdocuments8;and(iii)semi-structuredinterviewswithadozenkeyNCSAinformantstoprovideamoreroundednarrativeofthecontextandcomplexityofapproachestoassesscapacitydevelopmentneedsandstrategizepriorities.

4.Thismethodologyservedonlytovalidatethefindings,allowingforasynthesisoftheresults.Themethodologydidnotallowforanexplanationastowhypriorityrankingswereeitherhighorlow,butthattheyraisedcertainquestionsthatdecision-makersarecertainlylikelytoask,andthusrequiringfurtherresearch.TheaudienceofthisreportincludesthecountriesthatundertookNCSAs;theGEFanditsImplementingAgencies;othermultilat-eralandbilateraldonorssupportingenvironmentalcapacitydevelopment;andothercapacitydevelop-mentpractitioners.

5.Thisreportisorganizedintofivechapters.Followingthisintroduction,anoverviewoftheNCSAprogrammeandtheconceptofcapacitydevelop-mentasusedbytheGEFarepresentedinChapter2.AsummaryoftheNCSAresultsfollowsinChapter3,withChapter4outliningsomeofthemainlessonslearned.Chapter5concludeswithadiscussionoftheNCSAprogramme.SelectNCSAandtargetedcross-cuttingcapacitydevelopment(CB-2)projectsprofilesareannexedtothisReport.

1.TheNationalCapacitySelf-Assessment(NCSA)programmewaslaunchedbytheGlobalEnvironmentFacility(GEF)inJanuary2000,withtheUnitedNationsDevelopmentProgramme(UNDP)andtheUnitedNationsEnvironmentProgramme(UNEP)astheimplementingagencies.TheNCSAinitiativeisamongthemostextensiveoftheGEF’senablingactivityinitiatives,delvingintoanassessmentofcountries’foundationalcapacitiestomeetglobalenvironmentalobjectives.Thatis,assessingthekeyindividual,organizational,andsystemiccapacitiesneededtosustainachievementsthatsatisfytheUnitedNationsConventiononBiologicalDiversity(CBD),theUnitedNationsConventiontoCombatDesertification(CCD),andtheUnitedNationsFrameworkConventiononClimateChange(FCCC),collectivelyknownastheRioConventions,andotherMultilateralEnvironmentalAgreements(MEAs).Fromanationalperspective,thedistinctionbetweenglobalandnationalenvironmen-taloutcomesismoreabstract.TheNCSAsmaythereforebeeasierunderstoodasanexercisetounderstandthekeydriversofandbarrierstosustainedenvironmentalprotectionandconservation,withparticularreferencetomeetingandsustainingobjectivescodifiedwithintheRioConventions.TheNCSAwasthereforestructuredtoproducecertainkeyrequirements,namelyanin-depthanalysisofthecoun-try’spriorityissues,capacityconstraints,aswellasopportunitiestomeetenvironmentalgoalsandobjectivesascalledforinthevariousarticlesoftheRioConventions.

2.Buildinguponeachcountry’suniquesetofexperiencesinaddressingchallengesformeetingcommitmentsundertheRioConventions,thisreportisintendedtoserveasakeytoolforthebroadsetofsocialactorsworkingtosupportcapacitydevelopmentprioritiesneededtomeetandsustainbothnationalandglobalenvironmentalobjectives.Tothisend,thisreportsummarizesthemainresultsfromtheNCSAs,identifyingthecommonissues,challenges,prioritycapacitydevelopmentneeds,andrecommendations

InTRoDUCTIon

7 Theremaining27NCSAFinalReportsandActionPlanswerenotanalyzedduetoeitherthelanguageortheirnon-availability.Inmostcases,theNCSAwasstillunderimplementation.

8 ThesearealsoreferredtoasCB-2Projects.

1

e. �Mutual�Accountability:Donorsandpartnersareaccountablefordevelopmentresults.

8. FollowingtheParisDeclaration,MemberStateshavecalledfortheUnitedNations(UN)systemtoenhanceitsefforts,particularlyatthecountrylevel,tosupportnationalcapacitydevelopment;theyviewcapacitydevelopmentasacomparativeadvantageoftheUNdevelopmentsystem.AUNDevelopmentGroup(UNDG)positionpaper,EnhancingtheUN’sContributiontoNationalCapacityDevelopment(UNDG,2006),laidoutanewframeworkfortheUN’sworkatthecountryleveltoenhanceitscontributiontonationalcapacitydevelopment.Atthecoreoftheirwork,UNcountryteamsaretointegratetheprinciplesofcapacitydevelopmentwiththeCommonCountryAssessment(CCA)andtheUNDevelopmentAssistanceFramework(UNDAF).

9. TheUNcountryteamsarealsotosituatetheircapacitydevelopmentworkwithinnationalpolicyanddevelopmentplans.Tothisend,theteamswouldassessthelevelofnationalandlocalcapacityassetswhilerespondingtotheidentifiedcapacityneedsbydrawingon,orfeedinginto,nationalorsectorcapacityassessmentsandcapacitydevelop-mentstrategies.Byunpackingcapacitydevelop-mentintotangiblecomponents,countriescoulddesignandimplementtargetedpolicyandpro-grammeinterventions.

10. InordertointegrateacapacitydevelopmentframeworkintheUNDAFandcountryprogrammes,theUNDGsuggeststhataseriesoffive(5)stepsbefollowed9:

a. Engagepartnersandbuildconsensusb. Assesscapacityassetsandneedsc. Formulatecapacitydevelopmentstrategiesd. Implementcapacitydevelopmentstrategiese. Monitorandevaluatecapacitydevelopment

efforts

2.1 Policy Framework for Capacity Development

6.TheOrganisationforEconomicCooperationandDevelopment’s(OECD)ParisDeclarationonAidEffectivenesscommittedtosupportingrecipientcountries’effortsinstrengtheningtheirnationalcapacitiesandnationaldevelopmentstrategiesin2005,whichbuiltupontheOECD’s2003DeclarationadoptedattheHigh-LevelForumonHarmonizationinRomeandthecoreprinciplesputforwardattheMarrakechRoundtableonManagingforDevelop-mentResultsin2004.TheParisDeclarationisbasedontheOECD’srecognitionthatplanningandmanagementcapacitiesarecriticaltomeetingdevelopmentobjectives,requiringconsensus-build-ingintheearlystagesofproblemidentificationandproblem-solving,withcrucialmonitoringandevaluationapproachesaspartofthedeepanalysisnecessaryforeffectiveadaptivemanagement.TheOECDalsorecognizedthatitistheresponsibilityofpartnercountriestodeveloptheirnecessarycapacitieswithinthebroadersocial,political,andeconomicenvironment,withdonorcountriesplayingasupportingrole(OECD,2005).

7. Basedondonors’experience,theParisDeclara-tionisbuiltonfiveprinciplesofpartnershipcommitments,namely:

a.� �Ownership:Partnercountriesexerciseeffectiveleadershipovertheirdevelopmentpolicies,andstrategizeandcoordinatedevelopmentactions;

b.� �Alignment:Donorsbasetheiroverallsupportonpartnercountries’nationaldevelopmentstrategies,organizations,andprocedures;

c.� �Harmonization:�Donors’actionsaremoreharmonized,transparent,andcollectivelyeffective;

d.� �Managing�For�Results:Managingresourcesandimprovingdecision-makingfordesiredresults;and

THe nATIonAl CAPACITY Self-ASSeSSMenTS

18 National Capacity Self-Assessments: Results and Lessons Learned for Environmental Sustainability

9ThesearethebasedonUNDP’sapproachtocapacitydevelopment,asdescribedinCapacityDevelopment:APrimer(UNDP,2009)

2

The National Capacity Self-Assessments 19

During the late 1990s and early 2000s, the Capacity Development Initiative (CDI), a strategic partnership between the GEF Secretariat and UNDP, was a central part of the process to formulate and promote a conceptual framework for assessing and developing country capacities.

capacitydevelopmentthroughfocalareainterven-tions,theStrategicApproachnowfocusedattentiononthecross-cuttingcapacitiesthatunderpinactiontomeetglobalenvironmentalobjectives.Underthisstrategicapproach,fourpathwaysformedthebasisofGEFprogrammingoncapacitydevelopment:

I. NationalCapacitySelf-AssessmentsII. Strengtheningcapacitybuildingcomponents

ofGEFprojectsIII. Targetedcapacitybuildingprojectsboth

withinandacrossfocalareasIV. Countrycapacitydevelopmentprogrammes

inLeastDevelopedCountries(LDCs)andSmallIslandDevelopingStates(SIDS)

14. Morerecently,capacitydevelopmentwasincludedasakeyapproachintheGEFbusinessplan2008-2010.TofurtheroperationalizetheStrategicApproach,theGEFwouldsupportnovelapproachesandmodalitiesthathelpcountriesdemonstrateimpactandensurecost-effectiveness,whilestillmeetingglobalenvironmentalobjectives.Tothisend,theGEFallocatedprogrammefundstosupportthestrengtheningofclientcountries’targetedcross-cuttingcapacitydevelopmentneedsasidentifiedintheirNCSAFinalReportandActionPlans.

15. However,whilecapacitydevelopmentthroughfocalareaprogrammesisafundamentalaspectoftheGEF’swork,itremainsatthesametimeadifficultapproachtoimplement(UNDP,2002).TheassessmentphaseoftheCDIhadpreviouslyindicatedthatevenwithageneralconsensusonthebuildingblocksofcapacitiestomeetandsustainglobalenvironmentalobjectives,mostdevelopmentcooperationorganizationsstilldidnothaveaclearstrategytooperationalizethem(GEF,2001:19).Anumberofinitiativesareworkingtofurthertheconceptsandapproaches.

16. TheGEFhasandcontinuestosupportanumberofenablingactivityprojectsinclientcountries,which,throughtheirprocessofstake-

11. GuidancefromtheConventionstotheGEFalsoassignsgrowingimportancetocountries’capacities.GuidancefromtheConferenceoftheParties(COP)fortheCBDandtheFCCChaverequestedtheGEFtoprovidefundingforcountry-drivencapacitydevelopmentactivitiesindevelopingcountryparties,inparticular,LeastDevelopedCountries(LDCs)andSmallIslandDevelopingStates(SIDS).TheFCCCadoptedaframeworkforcapacitydevelopmentindevelopingcountriesandrequest-

edtheGEFandotherorganizationstosupportitsimplementation.BoththeCCDandtheStockholmConventiononPersistentOrganicPollutantshighlightedtheneedtoemphasizecapacitydevelopmenttoassistcountriesinmeetingtheircommitmentsundertherespectiveConventions.

12. Duringthelate1990sandearly2000s,theCapacityDevelopmentInitiative(CDI),astrategicpartnershipbetweentheGEFSecretariatandUNDP,wasacentralpartoftheprocesstoformulateandpromoteaconceptualframeworkforassessinganddevelopingcountrycapacities.BasedonanassessmentofcapacitydevelopmentintheGEFportfolio,theCDI’srecommendationsformedthebasisoftheGEF’sstrategicprogrammingoncapacitydevelopment(GEF/UNDP,2000).

13.TheresultingGEFStrategicApproachtoEnhanceCapacityBuildingwasapprovedin2003,withtheguidingprinciplethatthecapacitiesnecessarytoprovideglobalenvironmentalobjectivesarecloselyrelatedto,andmustbeintegratedwith,capacitiestomeetbroaderenvironmentalgoalsatthenationallevel.WhereastheGEFhadpreviouslytargeted


2.2 Conceptual Framework for Capacity Development

19. Thereisbroadagreementthatcapacityinthecontextofdevelopmentcooperationrefersto“theabilityofpeople,organizations,andsocietyasawholetomanagetheiraffairssuccessfully”(OECD/DAC2006).Capacityisthesumofaseriesofconditions,intangibleassets,andrelationships:allpartofanorganizationorsystembeingdistributedatmultiplelevels.Individualshavepersonalabilitiesandattributes,orcompetenciesthatcontributetotheperformanceofthesystem.Organizationsandlargersystemshaveabroadrangeofcollectiveattributes,skills,abilities,andexpertise,collectivelytermedcapabilities.Capabilitiescanbebothtechnical(e.g.,policyanalysis,naturalresourceassessment,financialresourcemanagement)andsocial-relational(e.g.,mobilizingandengagingactorstocollaboratetowardsasharedpurposeacrossorganizationalboundaries,creatingcollectivemeaningandidentity,managingthetensionsbetweencollaborationandcompetition).Finally,capacityreferstotheoverallabilityofasystemtoperformandsustainitself10.

20. TheOECDdefinescapacitydevelopmentas“theprocesswherebypeople,organizationsandsocietyasawholeunleash,strengthen,create,adaptandmaintaincapacityovertime”(OECD,2006).UNDPdefinescapacitydevelopmentas“theprocessthroughwhichindividuals,organizationsandsocietiesobtain,strengthenandmaintainthecapabilitiestosetandachievetheirowndevelop-mentobjectivesovertime”(UNDP,2009).

21. UNEPdefinedcapacitybuildingas“aholisticenterprise,encompassingamultitudeofactivities[thatincludes]buildingabilities,relationshipsandvaluesthatwillenableorganizations,groupsandindividualstoimprovetheirperformanceandachievetheirdevelopmentobjectives”(UNEP,2002).Theyacknowledgedthatcapacitydevelopmentencompassestheacquisitionofskillsandknowl-

holderconsultationandexpertanalyses,havehelpedbuildimportantnationalcapacitiesformanagingtheglobalenvironment.TheseincludethefocalareaenablingactivitiessuchastheNationalBiodiversityStrategyandActionPlans(CBD),theNationalActionProgrammes(CCD),andtheNationalAdaptationProgrammesofActionandNationalCommunicationsundertheFCCC.

17. OnesuchinitiativeisUNDP’sEnergyandEnvironmentGroup(EEG)withintheBureauforDevelopmentPolicy(BDP).Since2009,UNDP/BDP/EEGhasbeenundertakingaconsultativeandin-depthanalysisofthecapacityassessmentanddevelopmentprocesswithaviewtofurtherelaborateconceptualapproachesandpracticalguidanceonenvironmentalsustainabilityfortheorganizationanditspartners’practitioners.ThefinalGuidanceNoteonCapacityDevelopmentforEnviron-mentalSustainabilityisexpectedtobecompletedbylate2010.Itwillprovidepracticaltoolsforenvironmentalsustainabilityagents,whichtheycanuseateachstageofthecapacityassessmentanddevelopmentprocess.

18. UNEPisalsohighlyengagedincapacitydevelopment,withtheirover-archingapproachbeingbasedontheEarthSummit’sAgenda21,especiallytheessenceofChapter37,whichstatesthatcapacitybuildingiscentraltothequestforsustainabledevelopment.InFebruary2001,UNEP’sGoverningCouncilrequestedtheExecutiveDirectortoprepareguidelinesoncompliancewithMultilat-eralEnvironmentalAgreements(MEAs)andthecapacityneedsfortheirenforcement.TheseguidelinesrecognizethatbolsteredcapacitiesareneededforcountriestomeetandsustaintheirMEAcommitments.UNEP’sguidelinesmakespecialrecognitionofthechallengescountriesfacetomeetingthesecommitments,giventheunderlyingconditionsofpovertyandpoorgovernance,conditionsthatneedtobeaddressedthroughotherappropriateprogrammes.

10 Seethestudyon“Capacity,ChangeandPerformance”conductedbytheEuropeanCenterforDevelopmentPolicyManagement;whichexploredtheconceptsofcapacityandcapacitydevelopment(http://www.ecdpm.org/).


incrementalcostofprovidingglobalenvironmentalbenefitsinfocalareas.FurtherboundingofthisobjectiveisguidedbypolicydecisionsfromtheConferenceoftheParties(COP)oftheglobalenvironmentalConventions,andincorporatedintotheGEFstrategicprogrammesandobjectives.

24. CapacitydevelopmentintheGEFcontextisthereforethosesetsofcapabilitiesneededtostrengthenandsustainfunctionalenvironmentalmanagementsystemsatthegloballevel,recogniz-ingthatthesesystemsmustbuilduponnationalgovernanceandmanagementsystems.Foreffectivecapacitydevelopment,theGEFStrategicApproachtoCapacityBuildingidentifiedasetof11operationalprinciples:

• Ensurenationalownershipandleadership• Ensuremulti-stakeholderconsultationsand

decision-making• Basecapacitybuildingeffortsinself-needs

assessment• Adoptaholisticapproachtocapacitybuilding• Integratecapacitybuildinginwidersustain-

abledevelopmentefforts• Promotepartnerships• Accommodatethedynamicnatureof

capacitybuilding• Adoptalearning-by-doingapproach• Combineprogrammaticandproject-based

approaches• Combineprocessaswellasproduct-based

approaches• Promoteregionalapproaches

25.Reconcilingthese11principleswiththeUNDGandUNDP’scapacitydevelopmentapproach(asstatedinparagraph10above),UNDPclassifiedthefollowingfivetypesofmeasurablecapacities11:

• Capacities�for�engagement:Capacitiesofrelevantindividualsandorganizations(resourceusers,owners,consumers,commu-nityandpoliticalleaders,privateandpublic

edgeforindividuals,butalsotheimprovementsofinstitutionalstructures,mechanisms,procedures,andfinallythestrengtheningofanenablingenvironmentwithadequatepoliciesandlaws.

22. TheCDIundertakenbyUNDPandtheGEFSecretariatidentifiedtheneedforcapacitydevelop-mentactionstointerveneatthreelevels:

a. Atthe�individual�level,capacitydevelopmentreferstotheprocessofchangingattitudesandbehaviors,mostfrequentlythroughimpartingknowledgeanddevelopingskillsthroughtraining.However,italsoinvolveslearning-by-doing,participation,ownership,andprocessesassociatedwithincreasingperformancethroughchangesinmanage-ment,motivation,morale,andimprovingaccountabilityandresponsibility.

b. Attheorganizational�level,�capacitydevelop-mentfocusesonoverallperformanceandfunctioningcapabilities,suchasdevelopingmandates,tools,guidelines,andmanagementinformationsystemstofacilitateandcatalyzeorganizationalchange.Attheorganizationallevel,capacitydevelopmentaimstodevelopasetofconstituentindividualsandgroups,aswellastostrengthenlinkswithitsenviron-ment.

c. Atthesystemic�level,�capacitydevelopmentisconcernedwiththe“enablingenvironment”,i.e.,theoverallpolicy,economic,regulatory,andaccountabilityframeworkswithinwhichorganizationsandindividualsoperate.Relationshipsandprocessesbetweenorganizations,bothformalandinformal,aswellastheirmandates,areimportant.

23. Commontothesedefinitionsistheclearattributionofcapacitytoaspecificobjective:Capacityisameanstoachievesomething,notanendinitself.FortheGEF,thisobjectivemustbeinaccordancewiththeGEFInstrument,whereGEFfundsareanadditionalsourceoffundstomeetthe

11 GEF,UNDP,UNEP,2010,MonitoringGuidelinesofCapacityDevelopmentinGEFoperations


1. Capacitydevelopmentrequiresownership2. Capacitydevelopmentrequirescollaborative

agreements3. Capacitydevelopmentisacontinuous

process4. Capacitydevelopmentrequiresrelevantand

validinformationforeffectivedecision-mak-ing

5. Capacitydevelopmentrequiresincentivesandresources

6. Capacitydevelopmentneedstobepartofearlyprojectdesign

7. Capacitydevelopmentneedstobuildonexistingstructuresandmechanisms

8. Capacitydevelopmentneedsabaseline9. Capacitydevelopmentneedsbenchmarks10. Capacitydevelopmentneedstobespecific11. Capacitydevelopmentneedstobeattribut-

able

27.These11criteriapointtoasetofpracticesandapproachesthatareembodiedwithintheinnova-tiveapproachofadaptivecollaborativemanage-ment.Baselineindicators,benchmarks,andperformanceindicatorsareallacriticalpartofamonitoringandevaluationprogrammetocatalyzetheprocessofadaptivemanagement.Capacityassessmentmethodologiesshouldinstitutionalizemeasurableindicatorswithinmonitoringandevaluationmechanismsandstructuresthatarepartoftheprojectimplementationprocess.Theyshouldbemanagedinsuchawayastohelpsetandre-calibrateprojectoutputsinlinewithexpectedoutcomesunderchangingcircumstances.SeeAnnex1forfurtherdetails.

sectormanagersandexperts)toengageproactivelyandconstructivelywithoneanothertomanageaglobalenvironmentalissue.

• Capacities�to�generate,�access,�and�use�infor-mation�and�knowledge:Capacitiesofindividualsandorganizationstoresearch,acquire,communicate,educate,andmakeuseofpertinentinformation,soastobeabletodiagnoseandunderstandglobalenvironmen-talproblemsandpotentialsolutions.

• Capacities�for�policy�and�legislation�development:�Capacitiesofindividualsandorganizationstoplananddevelopeffectiveenvironmentalpolicyandlegislation,relatedstrategies,andplansbasedoninformeddecision-makingprocessesforglobalenvironmentalmanagement.

• Capacities�for�management�and�implemen-tation:�Capacitiesofindividualsandorganiza-tionstoenactenvironmentalpoliciesorregulatorydecisions,aswellasplanandexecuterelevantsustainableglobalenviron-mentalmanagementactionsandsolutions.

• Capacities�to�monitor�and�evaluate:Capacitiesofindividualsandorganizationstoeffectivelymonitorandevaluateprojectorprogrammeachievementsagainstexpectedresultsandtoprovidefeedbackforlearningandadaptivemanagement.Monitoringandevaluationservestocatalyzeadjustmentstothecoursesofactionasnecessary,enablingtherealizationofprogrammeandprojectobjectives.

26.Thefivestrategicareasofcapacitydevelopmentsupportoutlinedabovearedirectlycorrelatedtoanimproved,moreresilient,andsustainableenviron-mentalframework.Convertingtheseassumptionsintocriticalsuccessfactors,capacitydevelopmenttomeetandsustainnationalandglobalenviron-mentalobjectivesmustsatisfythefollowingcriteria:


thewidevarietyofinstitutionalarrangements,aswellastheavailabilityofhumanandinstitutionalexpertise,andtheextentofpriorandon-goingwork,countriesweretochoosetheirownmethodo-logicalapproach.

32.Respondingtoastrongdemandfromcountriesformethodologicalsupport,theGEFCouncilapprovedaGlobalSupportProgramme(GSP)in2004withabudgetofUS$2.9million(US$1.9millionfundedbytheGEF)tosupportcountriesinthedesignandimplementationoftheirNCSAs.JointlyimplementedbyUNDPandUNEP,theGSPwentontodevelopguidancematerial,providetechnicalbackstoppingtoNCSAcountryteams,analyzelessonslearnedfromtheNCSAs,anddevelopprogrammingframeworksforthesystem-aticimplementationofcross-cuttingcapacitydevelopmentpriorities.

2.3 Programming Capacity Development: The NCSA Approach

28.TheprimaryobjectiveoftheNCSAswastoidentifycountrylevelprioritiesandthecapacitiesneededtoaddressglobalenvironmentalissues(withafocusonbiologicaldiversity,climatechange,andlanddegradation).Asaprocess,theNCSAswereintendedtocatalyzedomesticorexternallyassistedactiontomeetthoseneedsinacoordi-natedandplannedmanner(GEF,2003).Inordertodelveintoanassessmentofthefoundationalcapacitiestomeetandsustainglobalenvironmentalobjectives,theNCSAsweretoexplorethesynergiesamongthethematicareas,aswellasthelinkageswithwiderconcernsofenvironmentalmanagementandsustainabledevelopment,suchaspersistentorganicpollutants(POPs)andbiosafety.

29.Althoughcountriescoulddecidehowfartoextendtheassessmentoflinkagesbetweenandamongthematicareasandothersocio-economicissuessuchaspoverty,thelevelofNCSAfundingprovidedbytheGEFwassetatUS$200,000.TheadditionalcostofassessingotherthemesandissueswithintheNCSAexercisewouldthereforerequireadditionalco-financing.

30.TheNCSAswerenotintendedtobedefinitiveorfinal,astheidentificationofneedsandprioritiesisadynamicprocess.Rather,theGEFenvisagedtheidentificationofcapacitybuildingneedsasanongoingprocess,tobetakenupwithinnationalconsultativestructuresandmechanismsdesignedtoidentifyandprogrammefutureGEFsupport(e.g.,GEFNationalSteeringCommittees).Additionally,NCSAswereneitherseenasapreconditionforGEFassistancethroughregularprojectsandenablingactivities,norasanecessaryfirststeppriortolaunchingcapacitybuildingactivitiesinparticularsectors.

31.AkeyprincipleoftheNCSAswasthattheymustbeentirelycountry-driven,undertakenbynationalinstitutionsandexpertstotheextentfeasible,andrespondtonationalsituationsandpriorities.Dueto

Responding to a strong demand from countries for methodological support, the GEF Council approved a Global Support Programme (GSP) in 2004 with a budget of US$ 2.9 million (US$ 1.9 million funded by the GEF) to support countries in the design and implementation of their NCSAs.

An Indian official and villagers in the little Rann of Kutch discuss the threats to the endangered Indian Wild Ass. Photo by Kevin Hill.


33.TheGSPdevelopedanNCSAResourceKit,whichoutlinedthebasicstepsthateachNCSAcountryteamweretofollow,allowingforsomeflexibilityinhowtheyweretobeoperationalized(SeeFigure1below):

STEP 1 - Inception: During the inception phase, the administrative, management and consultative arrangements for the nCSA are to be decided and organized, and a work plan prepared. This may involve analytical work to identify linkages of the nCSA with past and on-going processes, as well as a stakeholder analysis to see which stakeholders should be involved, and a stakeholder involvement plan, which outlines how best to engage each group.

STEP 2 - Stocktaking Exercise: This step analyzes the current situation to set out the baseline of capacity development issues to be looked at in the next steps. The aim of this step is to ensure that the nCSA is built on other local or national work related to the Conventions and on past capacity development efforts. The stocktaking report should identify all national activities and documents that were relevant to the Convention themes, as well as core national environmental priorities. These include any laws, policies, plans, strategies, programmes, and project documents that may be useful for Steps 3 and 4. This step also involves reviewing past capacity assessments and assessing the strengths and weaknesses of previous capacity development

efforts. The latter may include capacity-building projects, capacity components of broader projects, and mainstream programmes.

STEP 3 - Thematic Assessments: The main objective of the three thematic assessments is to analyze the country’s obligations and opportunities from each MeA, and the country’s performance and achievements to date. The output is to be a succinct picture of where we are now, including strengths and constraints in implementing the Conventions, as well as priority capacity needs. The thematic assessments would identify emerging cross-cutting needs that are to be analyzed in depth in Step 4. The assessments need not make recommendations, unless immediate improvements are possible.

STEP 4 - Cross-Cutting Analysis: The objective of the cross-cutting analysis is to assess capacity issues, needs, and opportunities that cut across the Conventions. This includes identifying those common needs and possible synergies that could be achieved in the country by addressing requirements across two or more themes. This analysis should also identify capacity needs that are

common to both national and global environmental management, including the possible synergies between them. This step would result in a list of priority national capacity needs and opportunities for synergies. It could also identify possible capacity development actions that are to be developed in the action plan.

STEP 5 - Capacity Development Action Plan and NCSA Final Report: Drawing on the assessment of priority thematic and cross-cutting capacity needs, the action plan would outline a strategy of developing capacities to meet global and national environmental objectives, including specifying a set of actions. It should identify priority actions, time frame, possible funding, responsibilities, and outline a monitoring and evaluation plan to assess outcomes and impacts. While the action plan is recommended, it is not required. The only document required for submission to the Gef is the nCSA final Report. This report is to summarize the work done under the nCSA, documenting the process used to produce the outputs, including the methods, tools and participants, and highlighting the major conclusions and lessons from the nCSA.

Figure 1: The Five NCSA Steps

STEP 1:Inception

STEP 2:Stock-taking

STEP 3:Thematic

Assessments

STEP 4:Cross-

Cutting Analysis

STEP 5:final

Report & Action

Plan


Among the functions of the GSP was the convening of regional and sub-regional workshops, the aim of which was to facilitate the sharing of experiences and catalyzing the work of the NCSA country teams.

34.AmongthefunctionsoftheGSPwastheconveningofregionalandsub-regionalworkshops,theaimofwhichwastofacilitatethesharingofexperiencesandcatalyzingtheworkoftheNCSAcountryteams.Atotalof14suchworkshopswereconvenedbetween2004and2009,twoofthempriortotheestablishmentoftheGSP(SeeTable1below).TheworkshopsalsohelpedclarifythebroaderdevelopmentcontextoftheNCSAs,suchasdemonstratingthelinkagesbetweentheNCSAsandothercapacitydevelopmentinitiatives,suchasthejointEuropeanCommission/UNEPprogrammeforthestrategicimplementationofMEAsinAfrica,theCaribbeanandthePacific12.

2.4 Overview of the NCSA Implementation

35.Atotalof153outof165eligiblecountries(93%)receivedGEFfundingtoimplementanNCSA.Outofthese153countries,sevenNCSAprojectswerecancelledduetothenon-deliveryofNCSAproducts,withtheremaining146projectsimple-mentedorunderimplementation.ThevalueoftheNCSAportfoliowasUS$28.7million,withanaverageallotmentofUS$200,000perNCSA.TheNCSAsdidnotrequireanyco-financing,withmostcountriescontributingin-kindsupporttotheirimplementation.

36.UNDPimplementedthelargestshareoftheseNCSAprojects(76%),followedbyUNEP(23%).TheWorldBankimplementedonlyoneNCSAproject(Nigeria).Figure2depictstherelativedistributionoftheNCSAacrossthesevensub-regions.WhilemostoftheeligiblecountriesimplementedanNCSA,only61%ofcountries(11outof18eligiblecountries)intheMiddleEastandNorthAfricaundertookanNCSA.

location Region/Sub-Region*

Date # of Participants / # of countries

bratislava, Slovakia eCIS 14-15 September, 2004 n/A

Quito, ecuador lA 15-7 December, 2004 29/13

Tunis, Tunisia MenA 17-19 June, 2005 37/10

Kingston, Jamaica lAC 28 June – 1 July, 2005 n/A

Hanoi, Vietnam Asia 26-28 october, 2005 36/8

Colombo, Sri lanka Asia 8-10 november, 2005 31/7

nairobi, Kenya e&S Africa 6-9 December, 2005 35/17

Dakar, Senegal C&W Africa 19-22 April, 2006 n/A

Apia, Samoa Pacific 2-5 May, 2006 n/A

Rabat, Morocco MenA 7-10 June, 2006 n/A

Santiago, Chile lAC 26-29 September, 2006 n/A

bangkok, Thailand Asia 20-23 november, 2006 60/9

nairobi, Kenya Africa 4-6 november, 2009 20/14

nadi, fiji Pacific 16-18 november, 2009 19/9

*�ACROnyMs

C&W Africa: CentralandWestAfricaE&S Africa: EastandSouthernAfricaECIS: EuropeandCommonwealthof

IndependentStatesMENA: MiddleEastandNorthAfricaLAC: LatinAmericanandtheCaribbean

12 FurtherinformationontheEC/UNEPProgrammeonMEAimplementationforACPcountriescanbefoundathttp://www.unep.org/AfricanCaribbeanPacific/MEAs/index.asp

Table 1: List of Regional and Sub-Regional Workshops

Figure 2: NCSA Projects by Region

Asia, 20/22

Africa C&W, 25/26

Africa e&S, 17/19

eCIS,29/32

Me/nA, 11/18

lAC, 32/33

Pacific, 12/15


Instead,asagroup,thequalityoftheirreportsreceivedanoverallratingof3.4.

39.CorrelatingthequalityoftheFinalReportsandActionPlanswiththeirlengthindicatesthatthequalityincreaseifthereportislonger.Reportswithfewerthan40pageshadanaverageratingof2.6,peakingat4.0forreportsranginginlengthbetween121and140pages.Longerreportshadaslightlylowerqualityrating13.

40.Areviewofthe119NCSAFinalReportsandActionPlans,aswellasinterviewswithkeyinform-ants,indicatethatasignificantnumberofcountriesexperienceddifficultiesinimplementingtheirNCSAs.Anecdotally,theseimplementationdifficultiescanbesummarizedintothreemaincategories:(i)NCSAguidancewastoobroad,limitingNCSAcountryteams’abilitytofocusonspecificsresultinginbroadstatementsaboutissues,constraints,andcapacitydevelopmentneedsandactions;(ii)NCSAguidancewastooproduct-orient-edanddidnotprovidestrongerguidanceonvariousmethodologicalapproaches.NCSAcountryteamswantedmoreguidanceonthe‘howto’,tohelpthemplanthevariousself-assessmentsteps;and(iii)NCSAguidanceonhowtostructurethevariousreportswasinsufficient,inparticulartheFinalReport.TheNCSAsalsocalledforculturalelementstobetakenintoaccountwhendevelop-ingamethodologyforaglobalprogramme.Thetake-awayisthat,giventheuniquecultureandsocialdimensionsofeachcountry,NCSAmethodol-ogyneedstobespecificallytailored.

41.Ofthe119countriesthathavecompletedtheirNCSA,23countriesareatdifferentstagesinimple-mentingpriorityrecommendationsidentifiedintheirNCSAFinalReportandActionPlans,whilebenefittingfromtheleveragingsupportoftheGEFthroughfollow-upcross-cuttingcapacitydevelopmentprojects,referredtoasCB-2projects.NearlyhalfoftheseprojectswereapprovedfortheECISregion,withtherestdistributedequallyamongotherregions,withtheexceptionofthePacificregion.

37.AsofApril2010,atotalof119countrieshavecompletedtheirNCSA.ThequalityoftheNCSAFinalReportsandActionPlanswereassessedbyateamofindependentreviewersandgivenanoverallratingof3.4onascalebetween1and5,rangingfrompoortoexcellent.Thisassessmentwasconductedusingsixcriteria:(i)Clearidentificationofenvironmentalissuesandobjectives;(ii)Identifica-tionofpriorityissuesforeachfocalareaandacrossfocalareas;(iii)Adequateanalysisoftheidentifiedcapacityconstraints;(iv)Capacityconstraintsaredeterminedattheunderlyingsystemlevel;(v)ActionPlanisclearandsuccinct;and(vi)ActionPlanmakesconnectionsbetweenenvironmentalobjectivesandactions.

38.Nomajordifferenceswerefoundamongthesesixcriteria,withtheaverageratingforeachcriterionrangingfrom3.1for(vi)to3.6for(iii).TheweakestaspectoftheNCSAFinalReportsandActionPlanswastheactualcontentoftheactionplansthem-selves,aswellastheconnectionbetweenenviron-mentalprioritiesandrecommendedactions.Ontheotherhand,themostpositiveaspectofthesesamereportsisthattheygaveanimpressiveanalysisoftheircapacityconstraints.Whenthedataisdisaggregatedbygroupsofcountries,suchasLDCorSIDScountries,theresultsdonotindicatesignificantdifferencesfromallotherNCSAreports.

13 Thedifferencesmaynotbestatisticallysignificant.1=poor;2=fair;3=satisfactory;4=good;5=excellent.

Figure 3: NCSA report length vs. quality

5.00

4.00

3.00

2.00

1.00

0.00

<2021-40

41-6061-80

81-100

101-120

121-140

141-160

161-180

181-200>200

Quality Rating


42.TheCB-2projectsprovideresourcesforreducing,ifnoteliminating,theinstitutionalbottleneckshamperingthesynergisticimplemen-tationoftheRioConventions.Theexpectedoutcomesoftheseprojectsare,therefore,tostrengthenmulti-sectoralprocessesthatpromotepolicyharmonization,realizecost-efficiency,andenhanceoperationaleffectivenessinConventionobligations.Accordingly,themainfocusoftheseCB-2projectsisonenvironmentalgovernancesystems,combinedwithmainstreamingglobalenvironmentalissuesintonationaldevelopmentprogrammes.TheCB-2projectsareorganizedunderfourprogrammaticframeworks:

a) Strengtheningthepolicy,legislative,andregulativeframeworksandtheirenforcement

b) Mainstreamingglobalenvironmentalprioritiesintonationalpoliciesandpro-grammes

c) ImprovingnationalConventioninstitutionalstructuresandmechanisms

d) Strengtheningfinancialandeconomicinstrumentsinsupportoftheglobalenvironment

43.Table2belowliststhe23CB-2projectsthathavebeenapprovedtodate.Areviewoftheseprojectsindicatesthatcountriestendedtofocusonstrengtheningtheirenablingpolicyandprogrammeframeworkortheirorganizationalcapacities.Eightcountriesfollowedupwithprojectstomainstreamglobalenvironmentalmanagementintonationalenvironmentalmanagementframeworks,withastrongemphasisonimprovingcoordinationofvariousfocalareas.Ninecountriesoptedtofocusondevelopingnationalcapacitiestoimproveenvironmentalgovernanceandcoordination.

Country follow-up Project Title Category

Armenia Capacity building for optimization of information and monitoring systems A

belize Strengthening institutional capacities for coordinating multi-sectoral environmental policies and programmes

A

bhutan enhancing global environmental management in local governance systems

A

bulgaria Integrating global environmental issues into bulgaria’s regional development process

eM

Croatia Using Common data flow system and indicators to enhance integrated management of global environmental issues

A

egypt Mainstreaming global environment in national plans and policies eM

Gambia Adoption of ecosystems approach for integrated implementation of MeAs at national and divisional levels

eM

Ghana establishing an effective and sustainable structure for implementing multilateral environment agreements

A

Jamaica Piloting natural resource valuation within environmental impact assessments

feI

Jordan bridging research and policy-making Pf

Kenya Using enhanced regulatory and information systems for integrated implementation of MeAs

Pf

Kyrgyzstan Capacity building for improved national financing of global environment

feI

lao Meeting the primary obligations of the Rio Conventions through strengthened capacity to implement natural resource legislation

Pf

Morocco Mainstreaming Ge in Morocco’s nHDI eM

Moldova Strengthening environmental fiscal reform for national and global environment management

feI

Montenegro Capacity building for integration of global environment commitments in investment/development decisions

eM

namibia Developing capacities to implement the MeAs A

nicaragua Mainstreaming multilateral environmental agreements in environmental legislation

eM

Philippines Strengthening coordination for effective environmental management A

Romania Strengthening capacity to integrate environment and natural resource management for global environmental benefits

eM

Seychelles Implementing Capacity development for improved national and international environmental management

A

Tajikistan Implementing Community learning and institutional capacity building for global environmental management

eM

Uzbekistan Strengthening national capacity in Rio Convention implementation through targeted institutional strengthening and professional development

A

CAtegORy� � ��nO.��OF�PROjeCts

PF PolicyandProgrammeFormulation 3eM EnvironmentalMainstreaming 8A OrganizationalandIndividual CapacityDevelopment 9FeI FinanceandEconomicInstruments 3

Table 2: List of Follow-up Projects by Country


Type of Capacity fCCC Montreal Protocol

CbD CCD PoPs

Stakeholder engagement

Article 4Article 6

Article 9 Article 10Article 13

Article 5Article 9Article 10Article 19

Article 10

Information Management and Knowledge

Article 4Article 5

Article 3Article 7Article 9

Article 12Article 14Article 17Article 26



organizational Capacities

Article 4 Article 10 Article 8Article 9Article 11Article 16Article 20Article 21

Article 4Article 5Article 12Article 13Article 18Article 20Article 21

Article 5Article 13

environmental Governance

Article 4 Article 4 Article 6Article 14Article 19Article 22

Article 4Article 5Article 8Article 9Article 10


Monitoring and evaluation

Article 6 Article 7 Article 4Article 11Article 16

nCSA ReSUlTS

44.Asdescribedinparagraph28,theobjectiveoftheNCSAsweretoidentifycountrylevelprioritiesandassessthecapacitiesneededtoaddressglobalenvironmentalissues,inparticularbiologicaldiversity,climatechange,andlanddegradation,withtheaimofcatalyzingactionstomeetthoseneedsinacoordinatedandplannedmanner.Theseactionsincludethesearchforsynergiesandlinkagesamongtheaforementionedfocalareas,aswellasthewiderconcernsofenvironmentalmanagementandsustainabledevelopment(suchasPersistentOrganicPollutants(POPs)andbiosafety).

45.TheNCSAswerestructuredtoassessthecapacitydevelopmentobjectivesoftheRioConventions,inparticularthecross-cuttinganalyses.Consideringtheguidanceandobligationsstatedbyeachmultilateralenvironmentalagreement,thesynthesisofNCSAresultsarebasedonanassessmentofthefivetypesofcapacitiesidentifiedinparagraph25:

Table 3: NCSA alignment with MEAs obligations3

NCSA Results 29

46.ThealignmentbetweentheNCSAobjectivesandthecountrycommitmentstotheMEAsisintendedtofacilitatecountries’firststeptowardsdevelopingthecapacitiesforaneffectiveenviron-mentalmanagementframework.TherelevanceoftheNCSAsisalsostrengthenedbyidentifyingachievableeconomiesofscaleinsharedcapacitiestomeetbothnationalandglobalenvironmentalpriorities.ThevalidityandusefulnessofNCSAfindingsdependgreatlyontheownershipofthesefindingsbytherespectivecountrystake-holders,particularlytheenvironmentaldecision-makers.GreatercollaborationwiththeConven-tions,specificallytheJointLiaisonGroupcreatedtoexploresynergiesamongthethreeRioConventions,maylikelyhaveprovidedagreatervalidationandusefulnessofNCSAfindingsthroughtheCOPprocessofeachConvention.

3.1 Assessments by Focal Areas

47.TheNCSAmethodologyincludedastocktak-ingexercise,whichinvolvedtheidentificationofnationalactivitiesrelevanttoConventionthemes,aswellascorenationalenvironmentalpriorities,includingthereviewofrelatedcapacityassess-ments.Thiswasfollowedbythematicassess-mentstoanalyzethecountries’obligationsandopportunitiesarisingfromeachMEA,mirroredwiththecountry’sperformanceandachievementstodate.TheassessmentslookedatthestrengthsandconstraintsinimplementingtheRioConven-tions,aswellascountries’prioritycapacityneeds.Table4belowsummarizesthenumberofcountriesthatidentifiedpriorityenvironmentalissues.

48.Countriesidentifiedotherissuesofpriorityconcern,suchaspovertyandgenderissues,whicharesummarizedinSection3.1.5.

The alignment between the NCSA objectives and the country commitments to the MEAs is intended to facilitate countries’ first step towards developing the capacities for an effective environmental management framework.

Figure 4: Number of countries identifying their priority environmental concern (n=119)

land Use

SlM

Soil loss

Rangeland Management

Agro-biodiversity

Deforestation

Habitat Damage

Sustainable use

biodiversity Conservation

endangered Species

Invasive Alien Species

biosafety

Access and benefits Sharing

Water Pollution

Coastal erosion

Coastal Management

Unsustainable fisheries

Wetlands Conservation

freshwater Resources

Vulnerability to CC

Sea level Rise

Reduction of GHGs

Soil contamination

0 20 40 60 80 100 120

# of Countries


50.TheNCSAFinalReportsandActionPlansindicatethatthebiodiversityfocalareaisapriorityenvironmentalissueinmostcountries.Mostbiodiversitythemesarehighpriorityenvironmentalissues,withagro-biodiversityhavingthelowestpriority(26%ofcountriesstatingthisthemeasapriorityenvironmentalissue).

51.However,fewercountriesrankedprioritycapacitydevelopmentneedsforbiodiversitywhencomparedtotheirrankingofpriorityenvironmentalissues.Anaverageof44countriesidentifiedeachthemeasneedingsomecapacitydevelopmentaction,withtheexceptionofinvasivealienspecies,whichaccountedforonly28countries.Overall,75%ofthecountriesrecognizedbiodiversityconserva-tionasapriorityneedforsomecapacitydevelop-mentaction.Thepercentageofcountriesrecom-mendingactionislessthanhalf,withabout31%ofcountriesstatingatleastonebiodiversitythemeasarecommendedCCDaction.

3.1.1� Biodiversity

49.Theenvironmentalissuesrelatedtobiodiversitywereorganizedintoninecategories.Mostbiodiver-sityissuesarerelatedtobiodiversityconservation,deforestationandsustainableuse;only19countries(outof119)didnotstateanybiodiversityissuesaspriorityenvironmentalissues.

Figure 5: Number of countries identifying priority biodiversity needs and actions (n=119)

120

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0

Priority env. Issues Priority CD needs Rec. CD Actions

Agro-biodiversity

Deforestation

Habitat Damage

Sustainable use

biodiversity Conservation

endangered Species

Invasive Alien Species

biosafety

Access and benefits Sharing

Mali:l Insufficient qualified technical staffl low public awareness of local communitiesl Insufficient management capacities

Sierra Leone:l lack of a database to inventory species,

habitats and ecosystemsl Inadequate protected are coveragel Insufficient protection of wetland and marine

ecosystems

Benin:l non-involvement of development stakeholdersl Marginalization of local communitiesl overall inadequate consultative process

Cameroon:l Insuffucuent qualifies technical staffl Insufficient researchl low public awarenessl Inadequate understanding of biodivesity

values and synergies

NCSA Results 31

carryingcapacityofgrazingland.Thelandandthealreadylimitedwaterresourcesarefurtherstressedduetotheestablishmentofpermanentsettle-mentsoftheheretoforetranshumantherders.Increasingpressureongrazingresourcesduetoanincreaseoflivestockischallengingthemaximumcarryingcapacityoftheseresources.

55.InTunisia,thecapacitydevelopmentprioritiestomeetCCDcommitmentslieintheneedtoidentifyindicatorsthatmeasuretheperformanceofvariouslanddegradationprogrammesandprojects.Otherprioritiesincludetheneedtointegratelanddegradationprogrammesandprojectsintodevelopmentplans,strengthentechnicalknow-howamongdevelopmentpractitioners,andimprovecoordinationamongthevariousorganizationsandagenciesthathaveastakeinlandmanagementissues.

56.BelizefacessimilarchallengesintermsofinsufficientlytrainedcivilservantstocombatlanddegradationandmeetCCDcommitments.Animportantpriorityistogivegreaterattentiontocommunitiesatriskandtoincludetheirrepresen-tationinpolicyandprogrammingconsultations.Ofhighimportanceistheneedtodevelopandmaintainacomprehensivedatabaseforlandwaterresourcesdatastorage,analysis,anddissemination.

3.1.2� Land�Degradation

52.Therewerefivecategoriesofpriorityenviron-mentalissuessurroundinglanddegradation.Fewercountriesidentifiedsoilcontaminationandrangelandmanagementaspriorityenvironmentalissues;whereaspoorlandusepracticesandsoillosswereissuesofhigherconcern.

53.Countries’callsforactiontoaddresslanddegradationissuesappeartobecloselyaligned,withtheexceptionofsoilcontaminationandsoilloss.Whilecountriesidentifiedtheseaspriorityenvironmentalissues,fewerrecommendedcapacitydevelopmentresponses(whereas62countriesidentifiedsoillossasapriority,only46countriesrecommendedsomecapacitydevelopmentresponse).

54.Landdegradationisanimportantenvironmen-talissueincountriesthathavealargepopulationintimatelydependentontheland,suchasMongo-lia,whereover-grazingisofmajorconcernduetoincreasedlivestocknumbersthatsurpassthe

Land degradation is an important environmental issue in countries that have a large population intimately dependent on the land, such as Mongolia, where over-grazing is of major concern due to increased livestock numbers that surpass the carrying capacity of grazing land.

Figure 6: Number of countries identifying priority land degradation needs and actions (n=119)

land Use

SlM

Soil contamination

Soil loss

Rangeland Management

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59. Asanon-annex1country,SriLankaisnotboundtoreduceemissionsofgreenhousegases.Thecountry’sfocusisinsteadonassessingtheirvulnerabilitytoclimatechangeaswellasthedevelopmentandtransferoftechnologiesforadaptingtotheimpactsofclimatechange.Throughaprioritizationprocess,SriLankaidentified12requirementstoaddresstheirvulnerabilityandadaptationmeasures.Theseincludethemappingofvulnerableareastoclimatechange,theassess-mentofsea-levelriseanditsimpactonfloraandfauna,theassessmentofgroundwatersuppliesindroughtaffectedareas,andtheset-upofappliedresearchtostudytheimpactofenvironmentalissuesonhumanhealth.

60.India,ontheotherhand,determinedanumberofimportantclimatechangepriorities:theneedtoimprovethequalityofnationalgreenhousegasinventories;toimproveregionalandsectoralassessmentsofvulnerabilitiesandadaptationresponses;tocommunicateinformationonacontinuousbasis;tointegratethediversescientificassessmentsandlinkthemwithpolicy-making;andtodevelopinnovativetechnicalandfinancialmechanismsthroughpublic-privatepartnershipsforaddressingtheissueofclimatechangemitigationaswellasadaptation.

61.Fortheirpart,Belarus’legislativeframeworkisnotadequatetoenforceFCCCobligations.BelarusalsoneedstostrengthensectoralprogrammesthatwillresultinreducedGHGemissions,aswellasfacili-tateappropriatestructuraladaptationstotheimpactsofclimatechange.Muchofthesechal-lengesarealsotheresultofinsufficientnationalexpertiseandlukewarmpoliticalwillandincentivestomeetFCCCcommitments.

3.1.4� �Freshwater�and�Coastal�ecosystems,�including�Fisheries�and�Wetlands

62. Amongthisgroupofwater-relatedresources,freshwaterresourceswasthemostimportantenvironmentalpriorityandneed,with56outof119countriescallingforcapacitydevelopmentaction,

3.1.3� Climate�Change

57.Theenvironmentalissuesrelatedtoclimatechangewereorganizedinthreecategories,withmostcountriesidentifyingvulnerabilitytotheimpactsofclimatechangeandtheneedtoreducegreenhousegas(GHG)emissions(60to70countriesoutof119).Fortyoutof119countriesdidnotstateanyclimatechangeasapriorityenvironmentalissue.Interestingly,ofthe28smallislanddevelopingcountries(SIDS)onlynineidentifiedsea-levelriseasapriorityclimatechangeconcern.

58.Ifacountryidentifiedclimatechangeasapriorityenvironmentalissue,theyalsotendedtorecommendtheneedforsomecapacitydevelopmentaction.Notsointhecaseofsea-levelrise.Whilecountriesmighthaveidentifiedsea-levelriseasapriorityenvironmen-talissue,fewercountriesidentifiedaneedforprioritydevelopmentofappropriatecapacities(18countriessaidsea-levelrisewasofimmediateconcern,andyetonly15calledforsomeaction).

Figure 7: Number of countries identifying priority climate change needs and actions (n=119)

Vulnerability to CC

Sea level Rise

Reduction of GHGs

120

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NCSA Results 33

followedbywaterpollutionwith39outof119countries.Almostasmany,35outof119countriesdidnotidentifyanywater-relatedresourcemanage-mentasapriorityenvironmentalissue.

63. Whereascountriesappeartobeconsistentinprioritizingtheseenvironmentalissuesatthesamerateascapacitydevelopmentneedandrecom-mendedaction,thesamedoesnotappeartobesoforwaterpollution.Whereas39countriesidentifiedwaterpollutionasatopenvironmentalpriority,onlyhalfasmany(18countries)calledforsomecapacitydevelopmentaction.

64. Freshwaterandcoastalecosystems,includingfisheriesandwetlands,areespeciallyimportantinsmallislandssuchastheMaldives,whichhasahighpopulationdensitylivingatopatollislands.Agricul-tureplacesagreatdealofstressonthelimitedlandgroundwatercontamination,whichisexacerbatedbythepopulationdensity(duetoexcessivepumpingfromthewatertableandhighvolumesofwastewater).Asaresult,saltwaterintrusionisfurtherdegradingtheaquifers.SmallIslandsDevelopingStates,becauseoftheirparticular

geographicalconfigurationandlocation,areespeciallychallengedtomeetcommitmentsundertheMEAs,wheremanyoftheissuesnaturallyinteractandexacerbateeachother.

65.InChina,waterissuesincludewetlandpollutionandreclamation,aswellasover-exploitationofwaterresources.China’scapacitydevelopmentrecommendationsincludecarryingoutwetlandconservationandengineeringprojectstorestoreandprotectcriticalhabitatsandecosystemssuchaslakes,estuaries,bays,coastalwetlands,mangroveforests,coralreefs,andseaweedbeds.

66.ForBangladesh,floodingwashighlightedasapriorityenvironmentalissue,callingforstrength-enedfloodcontrolpoliciestominimizetheimpactofriverbankerosionandeasedrainagecongestion.ALeastDevelopedCountry(LDC),Bangladeshhasahighpopulationdensity,withalargeportionlivinginmarginallands,includingtheextensiveflood-plainsoftheGangesDeltaandnearbySundarbans.ThismayexplainwhysomanyoftheissuesidentifiedintheRioConventionsareofhighprioritytoBangladesh.

3.1.5� Other�environmental�Priorities

67.TheinitialguidancematerialforconductingtheNCSAsfocusedonathematicassessmentforeachofthethreeratifiedRioConventions(CBD,CCD,andFCCC).AstheNCSAprocessevolvedovertheyears,countrieswerealsoencouragedtolookintootherenvironmentalfocalareas,particularlythosethatarerelatedtotheglobalenvironmentalagenda.Water-relatedissueswereanadditionalfocusthatanumberofcountriesoptedtoincludeaspartoftheiranalysisofcapacityconstraints,aswellaspersistentorganicpollutants,amongothers.A

Freshwater and coastal ecosystems, including fisheries and wetlands, are especially important in small islands such as the Maldives, which has a high population density living atop atoll islands.

Figure 8: Number of countries identifying priority water-related resource needs and actions (n=119)

Wetlands Conservation

Unsustainable fisheries

Water Pollution

freshwater Resources

Coastal erosion

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0


Coastal Management


theRioConventionsaspartofthecross-cuttingthematicassessmentphase.

69.AreviewoftheNCSAsshowedthatcountrieswereabletoidentifyanumberofimportantsynergiesviatheNCSAcross-cuttinganalysis,includingrequirementsforreporting,research,training,publiceducation,awareness,andthenationalexchangeofinformation.Thecross-cuttinganalyseswereanimportantcatalystinhelpingdecision-makersandotherstakeholderstogainabetterappreciationoftheimportantlinkagesbetweenandamongtheConventions.Theyrecognizedtheneedtostrengthenthecoordinationofenvironmentalpolicyformulationandimplemen-tationamongsectoralagenciesatnationalandsub-nationallevels.

70.NotonlydidtheNCSAprocessemphasizethesearchforsynergiesamongMEAs,butalsothelinkagesbetweenglobalandnationalenvironmen-talissuesandobjectives.AnumberoftheseissuesarenotlimitedtoaspecificConvention,suchasagro-biodiversity,invasivealienspecies,sustainableuseofbiodiversity,anddeforestation.

71. ThesefindingsareinlinewiththefindingsfromtheJointLiaisonGroup(JLG)thatwasformedin2001betweenthethreeRioConventionstoexploreopportunitiesforsynergisticactivitiesandincreasingcoordination.TheCOPsofthethreeRioConven-tionshavebeenencouragingtheJLGtofacilitatecooperationatthenationalandinternationallevels,toidentifypossibleareasofjointactivities,andtoenhancecoordinationamongtheseConventions.AtitsfifthmeetinginBonn,Germany(January2004),theJLGidentifiedthreeissuesasprioritiesforjointcollaboration:adaptation,capacitybuilding,andtechnologytransfer.

72. However,therehasbeenlittlecooperationorcoordinationbetweentheNCSAGlobalSupportProgrammeandtheJLG.ThiscouldbeconsideredasalimitingfactorfortheNCSAs.AgroupsuchastheJLGwouldbeonepossiblecustodianoftheNCSAfindings,particularlyasafollow-uptothe

The nCSA was an innovative way to assessing their various capacity constraints, given that responsibility for implementing the three Rio Conventions generally fell under different ministries and agencies. Such was the case for latvia, where an understanding of the dynamic relationships among the multiple environmental themes was in of itself a capacity gap. The nCSA was specifically designed to uncover the cross-cutting aspects of capacities through the analyses and integrated discussions and deliberations among stakeholders and decision-makers. one outcome was to build a consensus on the strategic allocation of limited resources. Two main

criteria were used: a) identifying overlapping tasks, and deciding on management activities common to the three Conventions; b) activities should be managed in an adaptive and collaborative manner, raising the likelihood of sustainability. The character of an integrated assessment of challenges under the Rio Conventions therefore necessitated a broader consideration of the institutional field of social actors and stakeholders in order to prioritize management responses.

Capacity�evaluation�of�Latvia�in�Fields�of�Biological�Diversity,�Climate�Change�and�Land�Degradation�–�Final�nCsA�Report,�2005

numberofcountriesconsideredotherenvironmen-talissuesanationalpriorityofequal(ifnotgreater)importanceasthatofthecounteringglobalsignificance.Inthesecases,countriesfeltthatglobalenvironmentalcommitmentscouldnotbemetwithoutaddressingthemorevisibleandnear-termprioritiesofissuessuchashealthandsanitation.OtherkeyenvironmentalprioritieshighlightedintheNCSAsinclude:

• Airpollution:urbanairquality• Pollutionintheurbanenvironment• Toxicwastesandhazardouschemicals• Foodsecurity• Disasterpreparedness

3.1.6� synergies�across�Focal�Areas

68.Althoughaconsiderableamountofcapacitieshavebeendevelopedthroughfocalareainterven-tions,theNCSAswereuniqueinassessingthecapacitiesthatcutacross,orarecommonto,thefocalareas.TheNCSAsweretoidentifywaystopromotelinkagesamongthevariousprovisionsof

Box 1: Searching for synergies was embedded into the NCSA process

NCSA Results 35

NCSAActionPlans,incollaborationwiththeGEFanditsimplementingagencies.Acloserrelation-shipmayalsohavegiventheNCSAsagreater‘raisond’être’andguaranteedmorefollow-upactivities.

3.2 Cross-Cutting Assessments

73. HavingundertakenbothaSWOT(Strengths,Weaknesses,Opportunities,andThreats)andagapanalysisoftheindividual,organizational,andsystemiccapacitiesinmeetingfocalareaobjectivesundertheRioConventions,countriesweretoidentifyandassessthechallengesthatcutacrossthethreeConventions.Theprioritycross-cuttingcapacitydevelopmentneedsandactionscanbeorganizedaround17typesofcapacities(seeFigure9).Thereviewofthe119NCSAFinalReportsandActionPlansdeterminedthatlessthan45countries(lessthan40%)consideredthefollowingasapriority:

• CapacitytonegotiateattheConferenceoftheParties

• Capacitytomanageinternationalprojects• IntegratedEcosystemManagement

lake Phewa in nepal holds important biodiversity and socio-economic values, which includes fishing and eco-tourism. Since the 1970s, the lake has changed from oligotrophic to eutrophic as a result of sedimentation and pollution, exacerbated by accelerated glacier melting and poor land management in its watershed. Un Photo by Ray Witlin.


Figure 9: Types of capacities countries identified as either strong, a constraint, a need, or as a priority cross-cutting development action.

negotiate at CoP

Incorporate convention obligations into national frameworks

Manage international projects

Involve stakeholders in addressing global environmental issues

economic instruments & sustainable financing mechanisms

Institutional/organiszational mandates, structures & frameworks

Develpoment & enforcement of policy, legal and regulatory frameworks

Role of sub-national governance structures

Planning & management, monitoring & evaluation

Cross-sectoral coordination

Integrated ecosystem management

Information collection, management & exchange

Scientific information in policy, planning & management

Technology development & transfer

Public awareness & environmental education

Individual skills & motivation

Mainstreaming environmental sustainability

0 20 40 60 80 100 120

# of Countries

NCSA Results 37

toengagestakeholders.Thesameappliesforrelatedskillsandknowledge,where55countriesconsidereditaconstraint,andyet73and68countriesconsideredtheseascapacityneedsandrecommendedrelatedactions,respectively.Only18countriesfoundthattheircapacitytonegotiateatCOPsisaconstraint.Moreover,only17and14countriesassessedthiscapacityelementaseitheraneedorrecommendedactionrespectively.Howeverfewcountriesconsideredstakeholderengagementasastrength.

77. TanzaniaidentifiedinadequateincentivesforprivatesectorparticipationinimplementingtheConventionsasaconstraintandtheneedforstrength-eningthenationalcapacityinConventiondialogueandimplementationprocesses.Dominicaidentifiedmulti-stakeholderparticipationasarequirementfortheeffectiveimplementationofallConventions,aswellastocreatesynergiesthroughparticipatoryassessmentsandjointplanningproceduresthatwouldstrengthenownership.SãoToméandPrincipesimilarlycalledfortheadoptionofaparticipatorymethodinthedraftingofsectorpoliciesandnationaldevelopmentprogrammesandprojects,aswellasthecreationoflocalandregionalcentersfortheenviron-mentinallthecountry’sdistrictsandtheautonomousregionofPrincipe.

74. Thelowprioritygiventobuildingcapacitiestonegotiateattheconventions’COPbegsthequestion“why?”Countriesareinfactreceivingfundingfromavarietyofdonorsandprogrammes,suchastheGEFCountrySupportProgrammeandNationalDialogueInitiative,andUNEP’scoreprogrammeactivitytotrainGEFOFPs’effectiveparticipationintheCOP.Incontrast,morethan95countries(over80%)identifiedthefollowingcross-cuttingcapacitiesasapriority:

• CapacitytoincorporateConventionobligationsintonationallegislation,policy,andinstitutions

• Economicinstrumentsandsustainablefinancingmechanisms

• Institutional/organizationalmandates,struc-tures,andframeworks

• Developmentandenforcementofpolicy,legal,andregulatoryframeworks

• Informationcollection,management,andexchange

• Publicawarenessandenvironmentaleducation

3.2.1� stakeholder�engagement

75. Theover-archingcapacitytoengagestakeholderswasanalyzedthroughthefollowingthreetypesofcapacities:(i)capacitytoinvolvestakeholdersinaddressingglobalenvironmentalissues;(ii)capacitytonegotiateattheConferenceoftheParties(COP);and(iii)individualskillsandmotivation.ThereviewofNCSAFinalReportsandActionPlansfoundthat49outof119countriesdidnotstateanycapacityconstraintinengagingstakeholders.Forthosewhodididentifyaconstraint,theyaremostlydirectedatthecapacitytoinvolvestakeholdersinpolicyandprogrammeformulationandimplementation,includingtheskillsandmotivationtoengagestakeholders.

76. However,thenumberofcountriesidentifyingcapacitydevelopmentneedsandrecommendationsaregreaterthanthenumberofcountriesthatstatedthesecapacitiesasconstraints.Forexample,44countriessaidthatthecapacitytoinvolvestakeholderswasaconstraint,andyet62countriesidentifiedthistypeofcapacitybuildingasaneed,with58specificallyidentifyingsomeformofcapacitydevelopmentaction

Figure 10: Countries’ assessment of stakeholder engagement

(i) Capacity to involve stakeholders

(ii) Capacity to negotiate at CoP

(iii) Individual skills and motivation

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Strengths Constraints CD needs CD Actions


raisepublicawarenessandenvironmentaleducationisacapacitydevelopmentneedfor101countries,followedbythecapacitytocollect,manage,andexchangeenvironmentalinformation(95countries).

81.Inthesamevein,thecapacitydevelopmentactionsidentifiedintheNCSAFinalReportsandActionPlansarealsosignificant,with99countriesrecommendingcapacitydevelopmentactiontoraisepublicawarenessandenvironmentaleducation,and86countriesrecommendingactionstoimprovethecollection,management,andexchangeofenvironmentalinformation.

82. Guyanaidentifiespublicawarenessandstake-holderparticipationasacross-cuttingcapacitydevelopmentpriority.TheNCSArecommendedthedevelopmentofadetailedandintegratedpro-grammeforpublicawareness,includingstrengthen-ingenvironmentalstudieswithinschoolcurricula,increasingyouthenvironmentalparticipationinitiatives,andincreasedlinkageswiththeprivatesector,NGOs,andmedia.Jordan’sNCSAactionplanincludespriorityprogrammestostrengthenknowledgemanagementaswellastoincreaseoutreachandnetworking.Capacitydevelopmentrecommendationsincludethedevelopmentofanintegratedknowledgemanagementsystemandacomprehensiveoutreachandnetworkingpro-grammeforthethreeRioConventions(atboththenationalandregionallevels),andthedevelopmentofanintegratedpublicawarenessandeducationprogramme.

3.2.3� Organizational�Capacities

83. Thecapacityoforganizationswasanalyzedthroughfivespecifictypesofcapacities:(i)institu-tional/organizationalmandates,structures,andframeworks;(ii)economicinstrumentsandsustain-ablefinancingmechanisms;(iii)capacitytomanageinternationalprojects;(iv)technologydevelopmentandtransfer;and(v)thecapacitytoundertakeintegratedecosystemmanagement.Thereviewfoundthat37outof199countriesdidnotstateanycapacityconstraintinorganizationalcapacities.

3.2.2� �Information�Management�and�Knowledge

78.Theover-archingcapacitytomanageenviron-mentalinformationandknowledgewereanalyzedthroughthreetypesofcapacities:(i)thecapacitytousescientificinformationinpolicy,planningandmanagement,e.g.,EnvironmentalImpactAssess-ments(EIAs);(ii)thecapacitytocollect,manage,andexchangeinformation;and(iii)thecapacitytoraisepublicawarenessandenvironmentaleducation.Thereviewfoundthat40countries(outof119)didnotstateanycapacityconstraintininformationmanage-mentandknowledge.

79. Informationandknowledgemanagementisaconstraintforabouttwo-thirdsofthecountries(79)thatfinalizedtheirNCSA,withthecapacitytocollect,manage,andexchangeinformation,alongwiththecapacitytoraisepublicawarenessandenvironmentaleducation,listedastheirgreatestconstraints.

80. Thecapacitydevelopmentneedsareevengreaterthantheconstraints.Theseresultsindicateastrongneedforgreatercapacitytomanageenviron-mentalinformationandknowledge.Thecapacityto

Figure 11: Countries’ assessment of information and knowledge management capacities

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(i) Use of Scientific Information

(ii) Information Management

(iii) Public Awareness and environmental education

NCSA Results 39

sustainablefinancingmechanisms.OneofKaza-khstan’stopcross-cuttingcapacitydevelopmentprior-itiesistheneedtoclarifyandrationalizethemandatesandallocationofresponsibilitiestomeetRioConven-tionobjectivesamonggovernmentbodies.

3.2.4� environmental�governance

87. Capacitiesforenvironmentalgovernancewereanalyzedthroughfivespecifictypesofcapacities:(i)thecapacitytodevelopandenforcepolicy,legal,andregulatoryframeworks;(ii)theroleofsub-nationalandlocalgovernancestructuresinenvironmentalmanagement;(iii)thecapacitytoincorporateConventionobjectivesintonationalpolicy,legislation,andinstitutions;(iv)themainstreamingofenviron-mentalsustainabilityprinciplesintothedevelopmentsector;and(v)cross-sectoralcoordination.Thereviewfoundthat37outof119countriesdidnotstateanycapacityconstraintinenvironmentalgovernance.

88.Capacitiesforenvironmentalgovernancewereidentifiedasatopprioritybymostcountries,withtheneedtostrengthenandenforcepolicyandlegislativeframeworksmostidentifiedbycountries(94outof119).Eventhoughcapacitiestomainstreamenviron-mentwereidentifiedbythefewestnumberofcountries,over40countriesidentifiedthisasapriorityactionforcapacitydevelopment.Anotherimportantcross-cuttingcapacitydevelopmentrecommendationfoundinhalfoftheNCSAActionPlansreviewed(55outof119countries)wastostrengthentherolesofregionalandlocalgovernancestructurestomeetglobalenvironmentalcommitments.

89. TenpercentoftheNCSAsreviewed(18outof119countries)feltthattheyhadstrongcapacitiestoincorporateConventionobligationsintonationallegislation,policy,andinstitutions.However,thismustbeseeninconnectionwithcountries’abilitiestoimplementandenforcepolicies.Forexample,Botswana’spolicyframeworkonbiodiversityconserva-tionisconsideredtobefairlyreflectiveofCBDobjectives,butthegovernment’sabsorptivecapacitytoeffectivelymanagetheirextensiveprotectedareasisinadequate.

84. Thecapacityofenvironmentalorganizationsisaconstraintforabout70%ofcountries(82)thatfinalizedtheirNCSA.Economicinstruments,sustainablefinancingmechanisms,andorganiza-tionalmandateswereamongthetopspecificcapacityconstraints.Mostcountriesidentifiedtheneedtoimprovetheirinstitutionalframeworks(90countries)andincreasetheuseofeconomicinstrumentsandsustainablefinancingmechanisms(89countries).Thecapacityformanaginginterna-tionalprojectswasnotidentifiedasamajorcon-straint(24outof199countries).

85.Syriaidentifiedtheneedtostrengthentheircapacitiesonresourcemobilizationforenvironmentalmanagement,theneedtodevelopkeyinfrastruc-turessuchaslaboratories,datacenters,herbaria,andthelike,aswellastheneedtoimprovemechanismsfortechnologytransfers.

86.Ghana’scapacitydevelopmentneedsinclude:a)thestrengtheningofinstitutionalarrangementstoensureeffectiveimplementationoftheRioConven-tions;b)accessto,andthedevelopmentofenviron-mentallysoundtechnologiesandknow-how;andc)

Figure 12: Countries’ organizational capacity priorities

(i) organizational mandates and structures

(ii) economic instruments and financial mechanisms

(iii) Capacity to manage international projects

(iv) Technology development and transfer

(v) Integrated ecosystem management

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60

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93.IndiaandJamaicaaretwocountriesthatcalledforthedevelopmentofmethodologies,tools,andmechanismstomonitorprogressinimplementingtheRioConventions.Theseexamplesshouldhelpintheanalysisofthetrade-offswhenmakingimportantdecisionsaffectingglobalenvironmentalobjectives.Similarly,thePhilippinesidentifiedtheneedtostrengthenmonitoringandevaluationcapacitiesinordertotrackprogressvialocal,regional,andnationalactions.Theirmonitoringandevaluationframeworkwouldbebasedonfour90. Montenegro,forexample,identifiedinter-institu-

tionalcooperationasaconstraint,aswellastheneedtorevisetheirlegalframework,andaninefficientenforcementofexistingConvention-relatedlawsandplans.Asarelativelynewcountry,Montenegrohasmuchworkaheadtodeveloptheirbroadergovern-ancestructures.

91.ForMauritius,acapacitydevelopmentneedofpriorityistofurtherdecentralizeactivitiesalreadyunderwayinRodriguesinthecontextofitsautonomystatus.Thisisanopportunitytointegrateglobalenvironmentalobjectiveswithinparallelnationalreformprogrammesandprojects.

3.2.5� Monitoring�and�evaluation

92.Thecapacitytomonitorandevaluateperformancetomeetglobalenvironmentalobjectivesfallsunderthefollowingcategory:thecapacitytoplan,manage,monitoringandevaluationprocesses.Although55outof119countriesidentifiedmonitoringandevaluationasacapacityconstraint,about70countriesidentifiedthisasanimportantneedforcapacitydevelopment.Onlyfourcountriesconsideredtheirmonitoringandevaluationframeworksasstrong.

Figure 13: Countries’ environmental governance capacities

Figure 14: Countries’ capacity development priorities on monitoring and evaluation

(i) Policy development and enforcement

(ii) Sub-national governance structures

(iii) Incorporating convention obligations into national frameworks

(iv) Mainstreaming environmental sustainability

(v) Cross-sectoral coordination

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Strength Constraints CD needs CD Actions

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(i) Planning & Mgmt, M&e process

Strength Constraints CD needs CD Actions

NCSA Results 41

naturaldisasters,includingpreparednessamongthegeneralpopulation,andimprovedforecastingandmodelingcapabilities.

3.2.7� global�environmental�Priorities

99.Theprioritycapacitydevelopmentactionsidentifiedineachcountry’sNCSAActionPlanshouldbeviewedasthatcountry’sparticularsetofrequirementsnecessaryforthemtoachieveandsustainglobalenvironmentalobjectives.Thisincludesboththefocalareacapacitydevelopmentactionsaswellasthecross-cuttingrecommenda-tions.However,theresultsfromthecross-cuttingassessmentsindicatethatcountriesgenerallyfeltthatallfivetypesofcapacitieswereneeded,althoughonlytwooutofthreecountriesidentifiedcapacitiesformonitoringandevaluationasapriority.TheNCSAfindingsgenerallyreinforcetheneedtodevelopthesecross-cuttingcapacities:

100. stakeholder�engagement:Themainpriorityforstakeholderengagementistheneedtodeveloptheindividualcapacitiesofkeyenvironmentalmanagersassocialfacilitators.Countriesneedmore

criteriaofviabilityandvalidity:a)legaltenability;b)simplicityandeaseofuse;c)promotinggoodgovernance;andc)fosteringnationalownershipofcapacities.

3.2.6� �Other�targets�of�Capacity��Development

94.Inadditiontotheaboveenvironmentaltargetsofcapacitydevelopment,theNCSAFinalReportsandActionPlansidentifiedotherdevelopmentobjectivesforwhichcapacitiesneedtobestrength-enedthatcountriesconsideredwerecloselylinked.Thefourmaintargetsidentifiedinthisreviewweregender,traditionalandindigenousknowledge,poverty,andnaturaldisasters.

95.InBangladeshandBurkinaFaso,promotingandimprovingtheeconomicandsocialstatusofwomenandyouthinruralareasisakeycomponentofactionsgearedtowardsthedevelopmentoftechnicalandmanagerialcapacitiestoimplementtheMEAs.

96. InCambodia,indigenousknowledgeishighlyvalued.Deployingscienceandindigenousknowledgeinenvironmentalmanagementandagro-industrialproductionwereidentifiedasimportantcross-cuttingcapacityneeds.Malawi’sFinalReportstatedthatthereismuchuntappedindigenousknowledgethatcouldhelpmeetFCCCandCBDobjectives,particularlyinforecastingenvironmentalrisksandtheplantingofindigenousspecies.

97.EthiopiaandFijiareamongthecountriesthatidentifiedtheneedtolinkenvironment,poverty,andsustainabledevelopment.Integratingenviron-mentalconcernsinpovertyalleviationstrategiesandnationalplanningprocessesareatoppriority.

98. NaturaldisastersareofparticularconcernforsmallislandssuchastheSeychelles,whichidentifiedtheneedtocreateadisastermanagementstrategy.LiketheSeychelles,Tajikistanidentifiedtheneedtodevelopcapacitiestominimizetheimpactsof

Figure 15: Summary of countries’ cross-cutting capacity constraints

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Capacity Development needs

Stakeholder engagement

Information Management and knowledge

organizational Capacities

environmental Governance

Monitoring and evaluation


103.environmental�governance:Aswithorganizational,informationmanagement,andknowledgecapacities,thesamerelativepercent-agesofcountriesidentifiedenvironmentalgovern-anceasaconstraintneedingattention.Themaingovernanceneedliesinthedevelopment,imple-mentation,andenforcementofenvironmentalpolicies,legislation,andregulation,includingthemainstreamingofMEAsintonationalenvironmentalmanagementanddevelopmentframeworks.Anotherimportantneedisthecapacityforcross-sectoralcoordination(whichcanbeconsideredanorganizationalcapacity).

104.Monitoring�and�evaluation�(M&e):�Thecapacitytomonitorandevaluateglobalenviron-mentalobjectiveswasstatedasaconstraintbylessthanhalfoftheNCSAsreviewedandasacapacitydevelopmentneedbylessthan60%.Eventhoughcountriesconsideredthisasthelowestpriorityforcapacitydevelopmentwhencomparedtothefourothertypesofcapacityoutlinedabove,71of119countriesstillconsideredM&Easacapacitytobestrengthened,particularlytoprovideaccurateandtimelyinformationtothedecision-makers.

managerswithskillsandknowledge,supportedbybettermethodologiestoengagestakeholderrepresentatives.

101.Information�Management�and�Knowledge:Thisreviewindicatesthattwo-thirdsofNCSAsreviewedidentifiedinformationandknowledgeasacapacityconstraint,withevenmorecountries(over90%)identifyingthistypeofcapacityasaneed.Thecapacitydevelopmentneedsaremostlyconcen-tratedinthemanagementofenvironmentalinformation,whichincludesthedevelopmentandappropriateapplicationofstandards,integratedtechnologies,communications,aswellasthecoordinationoftheorganizationsandnetworksinvolved.Theseneedsalsoincludeagreaterlevelofpublicawarenessactivitiesandenvironmentaleducation.

102.Organizational�Capacities:Thesamedescriptivestatisticsforinformationmanagementandknowledgeapplytoorganizationalcapacities,wheretwo-thirdsoftheNCSAsreviewedidentifiedthisasacapacitydevelopmentneed,andevenmore(92%)callforsomeactiontodeveloporgani-zationalcapacities.Thegreatestneedinthisareaisforclearermandatesandstructuresfororganiza-tionsinvolvedinenvironmentalmanagement,includingtheintegrationofMEAobligationsintonationalsystems.Countriesalsocalledforthedevelopmentofeconomicinstrumentsandsustainablefinancialmechanismsforlong-termenvironmentalmanagement.

The NCSA results indicate that 90% of countries felt that all five types of cross-cutting capacities were a top priority, although only two out of three countries identified capacities for monitoring and evaluation as a priority

Rice fields in the district of Ambatondrazaka, Madagascar. Rice is the most important crop in Madagascar, however, a rise in cyclones has devastated crops and livelihoods in the last decade. Un Photo by lucien Rajaonina.

4

Lessons Learned 43

ofunsustainableenvironmentaloutcomes.Givenitsfocusoncross-cuttingcapacities,theNCSAFinalReportandActionPlantargetsanassessmentoftheunderlyingcapacitiesneededtoachieveandsustainglobalenvironmentalobjectives14.TheNCSAFinalReportandActionPlanshouldthereforebeseenasanupdateofthecross-cuttingchallengesthatarecountry-specific,aswellasanimportantbaselinetoassessfutureachievementstowardsenvironmentalsustainability15.

107.In2008,theGlobalSupportProgrammedevelopedaCapacityDevelopmentScorecardthatbuiltuponthelessonslearnedandbestpracticestomonitorandevaluatethesustainabilityofpolicyinterventionsandotherprojects(GSP,2010).Thisscorecardwasdesignedasathree-pointtimeseriesoutcomeevaluation,beginningwithanassessmentofcorecapacitiesatthebeginningofapolicyintervention(i.e.,project),followedbyamid-termprojectassessmentofthesamecorecapacities,andfinallyanend-of-projectassessment.Amostdesirablefourthsurveypointisanexpostevalua-tionundertakenatleasttwoyearsaftertheprojecthasbeencompleted.However,thenatureofdonorfundingseriouslyconstrainsthisoption.TheCapacityDevelopmentScorecard,whenitbecomeswidelyappliedtofocalareaandcross-cuttingprojects,willtheoreticallyprovidevaluabledatatomakeanoverallassessmentofthecontributionbeingmadebyGEFinterventionstowardsthegoalofenvironmentalsustainability.

105. Awell-functioningmanagementsystemnecessitatesthedevelopmentofasetofimportantcapacities.Thischapterprovidesanoverviewofthemainlessonslearnedtoassessanddevelopcapacitiestomeetandsustainglobalenvironmentalobjectives,ascapturedintheNCSAFinalReportandActionPlans.ManyofthelessonslearnedfromtheNCSAsareinfactnotnew.Forthepast20years,practitionersandscholarshavestudiedthechallengesofenvironmentalprotectionandconservation,anddebatedthepoliticalandinstitutionalresponses.Thesechallengeshavelargelyservedtoframeandrationalizecapacitybuildingactivitiestargetedtofocalissues,suchasbiodiversityconservation,climatechange,andlanddegradation.WiththesupportofGEFanditsimplementingagencies(amongotherdonors),countrieshavereceivedsupporttodevelopfocalareastrategiesandactionplans,andfollowed-upwithpriorityimplementationoftherecommendedactions.Thepreparationofnationalstrategiesandactionplansisanon-goingprocessofstakeholderconsultations,expertanalysesandreportingthatbenefitsfromregularlyupdatedandenhancedguidancefromtheRioConventionsecretariats.Asaprocess,theenablingactivitiesthereforehelpstrengthenthelegitimacyandsustainabilityofpolicyinterventionsinthenameoftheglobalenvironment,andthusrepresentanimportantprocessofcapacitydevelopment.

106. Notwithstandingthepositiveoutcomesofpastenablingactivitiesandfocalareaprojects,manyhavenotbeensustainable,warrantinganewstrategytoassessandbuildinstitutionalsustainabil-ity.Thus,theNCSAwasasystematicapproachlegitimizedasanendeavourundertakenbynationalstakeholders,toverifyandvalidatetherootcauses

leSSonS leARneD

14 Theterm“institutionalsustainability”referstothesetofvalues,norms,rulesanddecision-makingproceduresthatareembeddedwithinsocialstructuresandmechanisms(attheindividual,organizational,andsystemiclevels)directedtomaintainsharedgoals.Environmentalsustainabilityontheotherhandisusedtoconnotetheinstitutionalsustainabilityofenvironmentaloutcomes.

15 Environmentalsustainabilitycomprisesbothnationalandglobalenvironmentalobjectives.


educationisincreasing.ThroughtheNCSAprocess,asmallnumberofcountriesfoundthatthemainbarrierforstakeholderengagementwastheirlackofunderstandingoftheenvironmentalissuesandwhatneedstobedoneaboutthem.TheNCSAsalsomentionedtheneedforabetterintegrationofenvironmentalsustainabilityintothenationaleducationsystems.Thislackofenvironmentalawarenessisespeciallytrueformattersrelatedtotheglobalenvironment,hamperingnationalactiontomeettheglobalenvironmentalagenda.

Twomechanismsshouldbedistinctlyconsideredwhenengagingcivilsocietystakeholders:NGOsandCBOs.Traditionally,programmesandprojectstoengagecivilsocietystakeholdersfocusmoreonNGOsandlessonCBOs.TheNCSAexperiencedemonstratestheneedforthisdualapproach;includingtheneedtoadapttolocalculturesandtraditionstoengagecommunities.

4.1 Stakeholder Engagement

Asmentionedearlier,stakeholderengagementisthecapacityofindividualswithparticularrolesandresponsibilitiesthatrepresentdivergentsetofattitudesaffectingoraffectedbytheissueathand,includingthosethatcanmobilizesomeformofresourcetoredresssomeportionofcapacitydeficiencies16.

Stakeholdersmaybeengaged,butifthereisinadequatepoliticalwilltoparticipate,environmentalsustainabilitywillnotbeachieved.Thisisparticularlytrueincountrieswithhighpoliticaluncertainty.Thesamelogicwouldapplyifgovernmentinstitutionswereengagedtowardenvironmentalsustainabilitybutstakeholdersfromothersectorssuchascivilsocietyortheprivatesectorwerenotengaged.Environmentalsustainabilitythusrequiresastateofreadinessbyallpartiesinsociety,andanycapacitydevelopmentprogrammeshouldbeflexibleenoughtoadaptitsactivitiestowardthebottleneckshamperingthisstateofreadiness.

Stakeholderswillengageiftheyunderstandtheconceptofenvironmentalsustainability.Asprogrammesandprojectsarefocusingontheengagementofstakeholders,theneedforenvironmentalawarenessandenvironmental

A�sense�of�readiness�is�necessary�from�all�parties�involved,�including�at�the�political�level,�in�order�to�achieve�and�sustain�global�environmental�objectives.

Achieving�environmental�sustainability�necessitates�the�engagement�of�stakeholders;�however,�this�engagement�is�conditioned�by�greater�environmental�awareness�and�education,�so�as�to�raise�their�environmental�skills�and�knowledge.

not�only�is�it�critical�to�engage�ngOs,�but�also�Community-Based-Organizations�(CBOs)�that�are�often�the�best�able�to�reach�out�to�communities�and�traditionally�marginalized�civil�society�stakeholders.

there�is�a�need�for�more�adaptive�methodologies�to�engage�stakeholders.

16 TheensuingqualitativeanalysisservestocontextualizethedescriptivestatisticsofSection3,andbasedonthefindingsofthe119NCSAFinalReportsandActionPlansreviewed.

Stakeholders in belize exchange their views and expectations

during a workshop to strengthen the policy decisions

and interventions for global environmental management.

Photo by Kevin Hill.

Lessons Learned 45

Inmostcountriestheproceduresforgatheringenvironmentaldataandinformationmayberelativelystraightforward.Thesetofenvironmentalindicatorsareidentifiedandpre-selected,followedbymeasurementstomakesomestatementsaboutenvironmentalconditions.However,themainissueremainswiththemanagementofthisinformationandthecoordinationoftheorganizationsinvolved,includingresearchinstitutionsandprogrammes.Nationalenvironmentalmanagementinformationsystemsneedtobestrengthened,aswellastheskillsetsoftheassociatedstaffsandtechnicians.

Manystakeholdersrecognizedthevalueoftraditionalknowledgeforenvironmentalmanagement.However,afewcountriesnotedthatthisknowledgeisnotwellcapturedwell(ifatall)bytheirnationalmanagementinformationsystems.Traditionalknowledgeisoftennotpartoftheknowledgebaseusedbyenvironmentalorganizationstodevelopandimplementenvironmentalpoliciesandprogrammes.

EngagingstakeholderswasanimportantmethodologicalelementoftheNCSAprocess.Theprojectimplementationteamswereaskedtoengagestakeholdersthroughouttheprocess.AnimportantaspectoftheNCSAprocess,stakeholderengagementcontributedgreatlytolegitimizingtheNCSAfindings.However,moremethodologiesareneededtohelpcountriesengagestakeholders.Thisisthecasewhenengagingstakeholdersinpre-andpost-COPactivities:Whoshouldbeinvolved?How?Experiencesvariedfromcountrytocountry.Anumberofcountriesfacedimportantdifficultiestoengagetheprivatesector:thereappearstobeagenerallackoftrustfromtheprivatesector,amongothersegmentsofcivilsociety.Anumberofothercountriesfoundtheparticipationmechanismsinefficienttoengageindigenouscommunities.

ManycountriesrecognizedthattheNCSAs’participatoryandinclusiveprocedurescontributedtotherelevanceoftheprocessandlegitimizedthefindings,includingtheActionPlans.Thisparticipationalsoincludedcoordinationmechanismsthatweretranslatedintosteeringcommitteesandworkinggroupstofacilitatecommunicationamongstakeholders.Inafewcases,theNCSAfindingsanditscoordinationmechanismswereusedtocarryoutnationalenvironmentalprogrammes.

4.2 Information Management and Knowledge

Informationmanagementandknowledgeisthecapacitytoaccessandusedataandinformationforlearninganddecision-making.Data,information,andknowledgearethecentraltothediagnosisandunderstandingoftheproblemathand,aswellasidentifyingandbuildingsolutions.

the�nCsA�process�was�innovative.��the�broad�and�interactive�participation�of�stakeholders�made�the�assessments�highly�relevant.

Assessments�conducted�under�the�nCsA�initiative�indicate�that,�though�not�complete,�environmental�information�exists.��However,�the�capacities�to�access�and�manage�this�information�are�generally�weak,�as�is�the�coordination�of�organizations�involved�its�management.

there�is�a�need�to�incorporate�traditional/indigenous�knowledge�into�the�overall�environmental�management�information�system.


influencingtheorganizationalcapacityofeachcountry,thereisalsotheneedtoconsideruncertaintyandwillingnessinthepoliticalsphereasthiscanaffectstaffretention.

4.4 Environmental Governance

Environmentalgovernanceisthecapacitytoprepare,agree,andcontroltheimplementationofmanagementstrategies.Thisincludesthestructuringandenforcementofrulesanddecision-makingprocedurestooperationalizebehaviourandpolicyresponses.AsitspecificallyrelatestotheGEF,environmentalgovernanceseekstostructureandenforcerulesanddecision-makingproceduresthatcatalyzetheintegrationandmainstreamingofglobalenvironmentalprioritiesandobjectivesintothebroaderframeworkonnationalsocio-economicdevelopment.

Despitenumerousprogrammesandprojectsaimedatdevelopingcomprehensivenationalpolicyandlegislativeframeworks,includingthosesupportedbyexternaldonors,asignificantnumberofcountriesstatedweakpolicyandlegislativeframeworksandregulatoryinstruments.Manyofthesearehamperedbypoliticalinstability,whileafewcountriesacknowledgedthatthenecessaryenvironmentallegislationissimplylacking.Inothercountries,thepolicyandlegislativeframeworkssufferedfromhavingbeendevelopedinapiece-mealfashion,resultinginoverlapandunnecessaryredundancies,mutualexclusivityofdirectives,andgaps.

4.3 Organizational Capacities

Organizationalcapacitiesfocusonthestructuresandmechanismswithinorganizationstodirectandundertakemanagementactions.Inanyonecountry,thereareanumberoforganizationsthathavesomeroleinenvironmentalmanagementforbetterorworse17.Theabilitiesoforganizationstopreventorsolvetheimpactsofenvironmentaldegradationrepresentthesetoforganizationalcapacitiesforachievingandsustainingglobalenvironmentalobjectives.

IntheirNCSAFinalReports,manycountriesmentionedorganizationalissuesasamajorconstrainttohavingawell-functioningenvironmentalmanagementsystem.Issuesincludelimitedorganizationalinfrastructure,unclearorganizationalmandates,poorcoordinationamonginstitutions,insufficientstaffnumbersorhighstaffturnover,limitedskill-setsandknowledge,unclearjobdescriptions,andlowbudgetsallocatedtoenvironmentalmanagement.Althoughorganizationalcapacityisbutonetypeofcapacity,itisacrucialpartofanoverallsetofcapacitiesnecessaryforawell-functioningsystem.Ifthesecapacitiesarenotaddressedproperly,theycancauseothercapacitydevelopmentinitiativestoachievelittleprogress.

Thegeneralstateofenvironmentalcapacitiesinmanycountriesisakeyfactorlimitingtheirabilitytomeetandsustainglobalenvironmentalobjectives.AsoneNCSAreportstated,“thereisagenerallackofknowledge,experts,equipment,aswellasweaklawenforcement”.Whenassessingthenegativefactors

the�nCsA�assessments�indicate�that�there�is�still�a�lack�of�comprehensive�environmental�policies�and�legal�frameworks�in�some�countries.

the�implementation�of�these�environmental�policies�and�legislative�instruments�is�weak.

Many�countries�lack�clarity�in�their�organizational�set-up�for�managing�the�environment�and�allocating�adequate�levels�of�human�and�financial�resources�to�meet�management�objectives.

17 Thisisknownasaninstitutionalfield.Inordertoachieveenvironmentalsustainability,asfullanunderstandingaspossibleofthecomplexdynamicsoperatingwithinthisfieldisnecessaryinordertodeveloppolicyandprogrammeresponses.

Lessons Learned 47

environmental�mainstreaming�is�happening,�but�there�is�a�long�road�ahead!

Reportstated,“theintegrationofenvironmentalpolicyconsiderationsintocoreinstitutionalthinkingwithotherpoliciesisdifficult”.Mostassessmentsrecognizedtheneedtointegrateenvironmentalsustainabilityintosectoralpolicies,andformanycountriesthiswillbealongprocess.Whilethereisnomagicsolution,countriesmustdeveloptheirownapproach.Anumberofcountrieshavealreadybeguntheirparticularapproachtoenvironmentalmainstreaming(seeSection5andCB-2profilesintheAnnex).

Onecriticalbarriertomainstreamingseemstobethenecessitytothinkdifferently,toabandonoldwaysofthinkingandadoptnewapproachesforintegratingenvironmentalsustainabilityintothedevelopmentagenda.Asonereportstated,“Mostviewdevelopmentwithpriorityoverenvironmentalissuesasopposedtothetwopairedtogethertoimproveoverallconditionsinourcountry”;anotherstated“thatsometimessustainabilitypolicyactionsmayruncountertoeconomicdevelopmentneeds”.Countriesalsofaceotherdifficulties,suchaslackofinstitutionalclarity(whoisdoingwhat)orcoordinationissuesamongsector-basedinstitutions.Othercountrieshavehigherprioritiessuchascombatingpoverty,burgeoninghealthissues,andeducationreform,whileatthesametimetryingtoapplyeconomicinstrumentstobiodiversityconservation.

ThereviewoftheNCSAFinalReportsandActionPlansindicatesabroadrangeofqualityandimplementationissuesasregardscountries’environmentalpolicyandlegislativeframeworks.Insomecases,adequateframeworksareinplace,butweakinstitutionalandindividualcapacitieslimittheireffectiveimplementation;inothercasesthelimitingfactorsforqualityimplementationarepoliticalinstability,insufficientpoliticalcommitment,orthefactthatsomelawsandpoliciesaredraftedbutneverformallyapprovedbythegovernmentinpower.Thelackofregulations,by-laws,guidelines,standardssecondarylegislationisalsomentionedinafewNCSAreportsasaconstrainttoRioConventionimplementation.Finally,afewcountriesrecognizedthedifficultiesinimplementingtheirnationalenvironmentalpolicyandlegislativeframeworksinthecontextoftheirdecentralizationprogrammes,whichincludesafurtherstretchingoflimitedhumanandfinancialresources.

WorthmentioningherearethecountriesthatjoinedtheEuropeanUnion(EU),aswellascountriesbenefitingfromthe“EU-Neighborhoodpolicy”.InadditiontohavingaccesstoresourceslinkedwiththeimplementationofMEAs,suchasGEFfunds,theyalsobenefitfromEUresourcesintheformoftechnicalandfinancialassistance.TheEUfundsareintendedtofacilitatethealignmentofrecipientcountries’environmentalgovernancewithEUenvironmentaldirectives,whicharealsocloselyalignedwiththeMEAs.

Anumberofcountrieswereabletointegratetheirenvironmentalstrategiesintotheirsustainabledevelopmentstrategy;otherswereabletointegrateenvironmentalmanagementstrategiesintotheirstrategiesforpovertyreductionandfoodsecurity.Overall,therearemanyattemptstointegratetheenvironmentalmanagementagendaandthedevelopmentagenda.However,asoneNCSAFinal

Countries�have�to�overcome�many�barriers�for�mainstreaming�environmental�sustainability.


4.5 Monitoring and Evaluation

Monitoringandevaluationencompassesthecapacitiesemployedinthedirectedsurveyingandappraisaloftheperformance,outputs,outcomesandimpactsachievedbyastrategy,policy,programme,orprojectinordertoprovidethenecessaryfeedbackfororganiclearningandadaptivecollaborativemanagement.

Despiteattemptstoimprovethecapacitiesofcountriestomonitorandevaluatetheimplementationofmanagementplans,programmes,andprojects,anumberofcountriesmentionedinadequatesurveyingandanalyticalskillsandresources.Thistypeofcapacityisalsocloselyrelatedtothecapacityformanagingenvironmentalinformationandknowledge:aneffectivemonitoringsystemrequiressuperiorperformanceindicatorscoupledwithscientificallyrobustmethodologiesfordatagatheringandanalysis.Asstatedabove,thiscapacityisalsoweakinmanycountries.Equallyimportantifnotmore,thepurposeofmonitoringandevaluationisaboutprovidinginformationforgooddecision-making,whichwasnotlostonthecountriesasreflectedintheirNCSAs.AnumberofcountriescalledforimprovingthesesystemstostrengthenboththepreparationoftheirEIAs,aswellastousetheseimprovedtoolsforbetterdecision-makingintermsofmeetingglobalenvironmentalcommitments.

Monitoring�and�evaluation�is�recognized�as�an�important�step�for�an�effective�environmental�management�system.

5

EnvironmentalManagementinLocalGovernanceSystems”(SeeAnnex).

AnimportantchallengeinmeetingglobalenvironmentalobjectivesthroughGEFinterventionsarisesfromthebottlenecksfacedinattemptingtosecuretherequiredlevelofco-financing.Thiswasanareathatthepanelistsandparticipantsfelttheimplementingagenciesneededtoimprovetheirsupportingrole.Giventhepre-conditionssetbydonorsanddevelopmentagencies,thecapacitiesneededtodevelopandimplementinternationaldevelopmentprojectsextendbeyondcountries’absorptivecapacities,andmustalsoincludethecapacitiesofthepartnerdevelopmentagencies.

ThepanelistsalsodiscussedtheneedtoimprovethestrategicnatureoftheGEF’sapproachtocapacitydevelopmentbylinkingitwithrelevantregionalinitiativessuchasUNEP’sBaliStrategicPlanonTechnologyTransferandCapacityBuilding.InasmuchasstrengtheningregionallinkswillhelpstrengthencountryownershipofGEFinterventions,panelistsandparticipantsfeltthataccessingGEFfundingwasbeingunderminedbytheinadequatecapacityofnationalinstitutionstodevelopGEFproposals,thusrequiringtheuseofinternationalconsultants.

InGEF-5,theobjectivesandfocusoftargetedcross-cuttingcapacitydevelopmenthaveeffectivelyremainthesame:toaddressthoseurgentcapacityneedsthatwillenhanceacountry’sabilitythroughthecreationofsynergiestomeetitsobligationsundertheConventions,whileatthesametimecatalyzingthemainstreamingofmultilateralenvironmentalagreements(MEAs)intonationalpolicyframeworks.However,greatereffortswillbegiventotargetingspecificcomponentsofacountry’soverallenvironmentalgovernancesysteminsuchawaythatallowsforamorepracticableapproachtowardsmeetingRioConventionobjectivesandachievingenvironmentalsustainability.CB-2projectsarenotintendedtobeenablingactivityprojects,butratherinterventionsthatraisethesustainabledevelopmentbaselineofcountrycapacitiesto

SincethebeginningoftheGlobalSupportProgramme,on-goingassessmentsofNCSAfindingshavebeencollectedandanalyzed,beginningwiththepreliminaryanalysesthatwereundertakenin2006-7,aswellasthroughthevariousregionalandsub-regionalworkshops.ThesefindingscomplementedtheStrategicApproach‘spolicyandprogrammingoftargetedcross-cuttingcapacitydevelopment(otherwiseknownasCB-2)inGEF-4,andnowforprogramminginGEF-5.Thefourprogrammingframeworksoutlinedinparagraphs41to43wereupdatedtoreflecttheoverallcorporatestrategyoftheGEFonCapacityDevelopmentfor2010-2014.

InMay2010,asideeventwasconvenedduringtheGEFAssembly,structuredasapanelofGEFOperationalFocalPointstopresentanddiscussthechallenges,lessonslearned,andprioritiesforcapacitydevelopment.Attendedbyover40participants,thediscussionshighlightedtheimportantdistinctionthatcountriesneedtobuildtheircapacitiestobettermanageglobalenvironmentalissuesbasedontheirparticularprioritiesandneeds,andnotonlyontheglobalprioritiesasstatedbytheGEF.ThiswasindeedthemainrationalebehindtheNCSAprocess,inthatcountrieswouldundertaketheirownassessmentsoftheprioritycapacitydevelopmentneeds,ratherthantheseprioritiesbeingsetbydonors.Inthisrespect,countriesseetheresultsoftheNCSASynthesisReportassummarizingcountry-specificpriorities,whichinturnwouldplayanimportantroleinhowtheGEFshiftspriorityfunding.

Anotherissuediscussedduringthesideeventwastheneedtoincreaseandimprovestakeholderengagementintheprocessofdesigning,implementing,andfollowing-uponGEF-fundedinterventions.Inparticular,theextenttowhichlocalstakeholdersandpoliticiansareengagedremainsanunder-developedcapacity,particularlygiventhatthesestakeholdersareattheforefrontofboththeproblemandthesolution.Inresponsetothispriority,afewcountriesarepursuingthedevelopmentofcapacitiestoreflectthispriorityneed,suchasBhutan’sCB-2project,“EnhancingGlobal

CRoSS-CUTTInG CAPACITY DeVeloPMenT In Gef-5

Cross-Cutting Capacity Development in GEF-5 49


A.��enhancing�the�Capacities�of�stakeholders�to�engage�throughout�the�Consultative�Process

CapacitydevelopmentunderthisframeworkwillbeimplementedthroughtheGEFCountrySupportProgramme(CSP)andNationalDialogueInitiative(NDI).Throughthesetwoprogrammes,seminars,nationalconsultations,anddialogueswilltakeplacetoenableallkeystakeholderstoparticipateinconsultativeprocessestodeliverglobalenvironmentalbenefits.Theaimistoestablishorstrengthenconsultativemechanismsforproactiveandconstructiveengagementofallstakeholders.Thisconsultativemechanismwillbeusedbycountriestocoordinatein-countryGEFinvestments,includingthefollowingactivities:

• GEFconstituency-levelworkshopsandmeetings

• Countrydialogueworkshopsandseminars• Constituencymeetingsorganizedthroughthe

SmallGrantsProgramme’sNationalSteeringCommittee

• NationalFocalGroupsactivelyparticipatinginGEFnationalcoordinationmechanisms

Whilethisframeworkisnoteligibleasaseparatemedium-sizeproject,countrieswishingtostrengthentheirconsultativeprocesstomeetglobalenvironmentalcommitmentsmaydevelopatargetedcross-cuttingcapacitydevelopmentprojectunderFrameworkD,StrengtheningCapacitiestoImplementandManageGlobalConventionGuidelines.

B.��generating,�Accessing,�and�Using�Information�and�Knowledge

Thesetypesofcross-cuttingcapacitydevelopmentprojectstargettheneedfortheimprovementofmanagementinformationanddecisionsupportsystemsfortheglobalenvironment.Thishadbeenidentifiedasaseriouscapacityconstraintandneedfrom90%oftheNCSAsreviewed.Theoutcomeofacross-cuttingcapacity

implementactiontowardsmeetingRioConventionobjectivesinpreciselydefinedareas.

InGEF-5,cross-cuttingcapacitydevelopmentprojectswillprovideresourcesforreducing,ifnoteliminating,theinstitutionalbottlenecks(e.g.,barrierstodatagathering)tothesynergisticimplementationoftheRioConventions.Theexpectedoutcomesoftheseprojectsarethereforetostrengthenmulti-sectoralprocessesthatpromotepolicyharmonization,realizecost-efficiency,andenhanceoperationaleffectivenessunderConventionobligations.Tothisend,GEF-fundedcross-cuttingcapacitydevelopmentprojectswouldfocusonstrengtheningtheenvironmentalgovernancesystemandmainstreamingglobalenvironmentalissuesintonationaldevelopmentprogrammesthroughfourprogrammaticframeworks.

5.1 Cross-cutting Capacity Development Framework

Theelaborationofprogrammingframeworksthatstructurethedesignofcross-cuttingcapacitydevelopmentprojectsison-going.AspartofGEF’sprogrammingdocumentforGEF-5,theseframeworksforcapacitydevelopmentfallunderfivemainobjectives,withthefirsttobeimplementedaspartoftheGEF’sCountrySupportProgrammeandtheNationalDialogueInitiative18.ObjectivesBthroughEformthebasisofthefourcross-cuttingcapacitydevelopmentframeworks:

A. Toenhancethecapacitiesofstakeholderstoengagethroughouttheconsultativeprocess

B. Togenerate,access,anduseinformationandknowledge

C. Tostrengthencapacitiesfordevelopingpolicyandlegislativeframeworks

D. TostrengthencapacitiesforimplementingandmanagingglobalConventionguidelines

E. Toenhancecapacitiesformonitoringandevaluatingenvironmentalimpactsandtrends

18SeeTable7,page77in“SummaryofNegotiations:FifthReplenishmentoftheGEFTrustFund”,GEF/C.37/3,GEFCouncilMeeting,24May2010,PuntadelEste,Uruguay,141pp.http://www.thegef.org/gef/node/3046


cross-cuttingcapacitydevelopmentprojectswouldseektoeliminatetheunintendedconsequencesofpolicyimplementation,asappliedwithinthebroaderframeworkofenvironmentalgovernance.Theywouldseektomaximizesynergiesamongthepolicies,rules,anddecision-makingproceduresgoverningthemanagementofbiodiversity,climatechange,andlanddegradation,amongotherenvironmentalissues.Thisframeworkisthusaboutenvironmentalmainstreaming,withthecross-cuttingcapacitydevelopmentprojectsseekingtointegrateglobalenvironmentalprioritiesintonationalpolicies,plans,andprogrammes,particularlymacro-economicandpovertyreductionstrategies/programmes.

C.1: At the systemic level, a cross-cutting capacity development project would focus on formalizing the institutional linkages between heretofore separate and distinct programme activities with the on-going core activities of existing organizations.Therationaleofsuchaprojectisthatglobalenvironmentalbenefitscanbemoreefficientlydeliveredbyintegratingrelevantactivitiesintothosethatsetouttomeetothernationalenvironmentalanddevelopmentgoals.Forexample,projectscouldharmonizenaturalresourcemanagementpoliciestoimprovetheeffectivenessandefficiencyofMEAimplementationatthenationallevel.Bulgaria’sCB-2project,forexample,istargetingsystemiccapacitybuildingattheregionallevel,integratingglobalenvironmentalprioritiesfordecentralizeddecision-makingandaction.

C.2: At the organizational level, a cross-cutting capacity development project could focus on improved management and compliance with multilateral environmental agreements. Suchaprojectwouldstrengthenrelevantorganizationalcapacitiestocreateeconomiesofscale,andeliminateinefficienciesinenforcementstructuresandmechanisms.Forexample,thecurrentimplementationofseparateprotectedareamanagementsystemsforforestecosystems,archaeologicalsites,andmarineecosystemsmayinfactresultinconflictingormutuallyexclusivemanagementpoliciesandprocedures.This

developmentprojectunderthisframeworkwouldseektoimprovedecision-makingfortheglobalenvironmentthroughtheimproveduseofinformationandknowledge.

B.1: A cross-cutting capacity development project under this framework would harmonize existing information systems, integrating internationally accepted measurement standards and methodologies, as well as producing consistent reporting on the global environment. Theseprojects,whichincludeaCB-2projectinJordan,wouldhelpcountriestocreatevalidbaselinestudiesagainstwhichtomeasureachievementstowardsglobalenvironmentalobjectives.Thisframeworkistargetedtothedevelopmentofcapacitiesattheindividualandorganizationallevel,whilestrengtheningtechnicalskillstocollectdataandtransforminformationintoknowledge.ThisframeworkshouldbeimplementedasoneoftwocomponentsthatincludeFrameworkE.

B.2: Alternatively, a country could target the development or piloting of innovative tools for decision-making, such as an economic valuation of the global environment increment of natural resources and services.Thecommodificationofnaturalresourceswould,theoretically,helpcreategreaterincentivesforenvironmentallysoundandsustainabledevelopment,resultinginglobalenvironmentalbenefitsunderthethreeRioConventions.Jamaica,forexample,isundertakingaprojecttodevelopandpilottheusenaturalresourcevaluationtoolsaspartoftheEIAprocessandplanningdecisionprocessesthatareintendedtogenerateincreasedglobalenvironmentalbenefits.

C.��strengthening�Capacities�to�Develop�Policy�and�

Legislative�Frameworks

Thesetypesofprojectswouldtargetthepolicy,legislative,orregulativeframeworksforimprovingthemanagementoftheglobalenvironment.WhereasFrameworkAtargetsthecapacitiesattheindividuallevel,thisframeworkfocusesonstrengtheningorganizationalandsystemiclevelcapacities.These


Drought is ravaging the continent of Africa. famine is a harsh reality for millions of people living there and animals are also suffering greatly - dry lands are abandoned as man and wildlife seek refuge elsewhere. Un Photo e. Darroch.

constraint/need.Ghana,forexample,istargetingtheirCB-2tostrengthenthesetoforganizationalstructuresandmechanismsnecessarytosustainconcertedactiontoimplementtheMEAs.Inthisinstance,aswithmanyothercountries,thepaucityofgovernmentfundingrequiresthatallopportunitiesbesoughttoreduceredundanciesandraiseefficiencies.

D.2: A cross-cutting capacity development project may wish to target the improvement of sound standards for good environmental management. WhereasFrameworkB.1looksatmeasurementstandards,thesetypesofprojectswouldfocusonstrengtheningtheadaptivecollaborativemanagementoftheenvironment.Thesestandardswouldbebuiltuponprocesscriteriaforthedesignandimplementationofmanagementresponsestoglobalenvironmentalobjectives,withaviewtosupportingthelong-termdevelopmentofprogrammeindicatorsofdeliveredglobalenvironmentalbenefits.ThesetypesofprojectsmustthereforebeconstructedandimplementedinamannerconsistentwithanacceptablebaselineofcapacitiesthatsatisfyFrameworksB.1andE.

D.3: This type of project would focus on critical financial, fiscal or economic aspects of countries’ capacities to meet their obligations under the three Rio Conventions. Projectswouldtargetparticularinstitutionalstructuresandmechanismsthatwillproducecost-effectiveandlong-termsustainabilityofenvironmentalprogrammes,andplansthatservetomeetnationalandglobalenvironmental

frameworkfocusesonharmonizingandreconcilingoverlappingmanagementapproaches,whichwouldthenbecomplementedbyasufficientbaselineofcapacitiestomonitorandevaluateimplementationandcompliance(FrameworksB.1andE).

D.��strengthening�Capacities�to�Implement�and�Manage�global�Convention�guidelines

Thistypeofcross-cuttingcapacitydevelopmentprojectwouldfocusonimprovingthesynergisticimplementationofthethreeRioConventions.Projectactivitieswouldfocusononeofthefollowing:a)improvingcross-institutionalcoordinationandstrengtheningcapacitiestoemployanintegratedapproachtoimplementingsharedprovisionsofthethreeRioConventions;b)developingstandardsofgoodenvironmentalmanagement;orc)strengtheningsustainablefinancingmechanismsinsupportoftheglobalenvironment.

D.1: Activities of a cross-cutting capacity development would be directed to improving organizational structures and mechanisms that catalyze coordination of multi-sectoral environmental policies and programmes, and improve their associated governance structures.Forexample,governmentdepartmentsresponsibleforreportingtotheRioConventionsareoftenlimitedbythenumberoftrainedstaffs,andareundertakingtheirresponsibilitiesinanuncoordinatedmanner.Byre-structuringorganizationalrelationshipsandforgingstrongerrelationships,partnershipsandcommitments,theresultingimprovedcoordinationandcollaborationshouldhelpreducetheoverlapandduplicationofactivities,catalyzetheeffectiveandefficientexchangeofinformation,andimprovethecountry’simplementationofthethreeRioConventions.

ManyoftheCB-2projectscurrentlyunderwayaredevelopingsomekeyaspectoftheirorganizationalcapacity,whichasmentionedabove,waswidelycitedasamajorcapacitydevelopment


FinalReportandActionPlanistobeundertakenalongsideareviewofinternational,regional,andnationalpolicyframeworks.InordertomeetGEFeligibilityrequirements,theprojectobjectivesmustbestronglycorrelatedwiththefollowinginternationalenvironmentalagreements:

• ConventiononBiologicalDiversity(CBD)• ConventiontoCombatDesertificationand

Drought(CCD)• FrameworkConventiononClimateChange

(FCC)• MillenniumDevelopmentGoals(MDG)

TheCB-2projectshouldspecificallyidentifythearticlesofthethreeConventionstowhichtheprojectobjectiveshelpimplement,aswellastherelevantguidancefromtherespectiveConferencesoftheParties.TherelevantMillenniumDevelopmentGoals(MDGs)shouldbeidentifiedinthesamemanner.TheProjectIdentificationForm(PIF)shouldalsoreferencetheextenttowhichtheprojectwillhelpimplementtherecommendationsofthenationalreportstothethreeRioConventionsandtheirrespectiveactionplans.

Regionalenvironmentalagreements,suchastheBarbadosProgrammeofActionandthe2003ProtocolonStrategicEnvironmentalAssessment,shouldalsobeidentifiedandtiedtotheproject.Particularattentionshouldbegiventohowtheproposedprojectbuildsuponthelessonslearnedandbestpracticesbysimilartypesofactivitiesbycountriesinthesameregion.Theprojectshouldalsoidentifyandpursueopportunitiesforregionalcooperationinthesamevein.

ProgrammelinkagesarealsotobeexploredanddevelopedwithinUNDP,aswellaswithotherUNandinternationalorganizations.TwokeyprogrammesincludethePoverty-environment�Initiative�(PeI)�andtheUn�Collaborative�Programme�on�Reducing�emissions�from�Deforestation�and�Forest�Degradation�in�Developing�Countries�(Un-ReDD).ThesearebuttwoprogrammesofpotentiallystrongrelevancetotheachievementoftheproposedCCDMSPobjectives.

priorities.Forexample,projectscouldidentifyanddevelopinnovativefinancialstrategiesforthejointimplementationofkeyprovisionsofthethreeRioConventions.Projectscouldalsoseektoexploreundertakingenvironmentalfiscalreformmeasurestofurthertheglobalenvironmentalgoals.InthecaseofKyrgyzstan,theirCB-2projectseekstodopreciselythat,focusingonreformingtheincentivesandmodalitiesbywhichenvironmentalfeesandfinesarecollectedforregionalenvironmentalprojectsthathaveaglobalenvironmentalincrement.

e.��enhancing�Capacities�to�Monitor�and�evaluate�environmental�Impacts�and�trends�

WhereasFrameworkB.1targetsthestrengtheningofindividualandorganizationalcapacitiesforimprovedmanagementinformationanddecisionsupportsystemsfortheglobalenvironment,FrameworkEtargetsamoreholisticconstructofmonitoringandevaluationsystems.BuildinguponasufficientlevelofcapacitiesunderB.1,activitiesunderthisframeworkwouldstrengthentheinstitutionalizationofthesesystemsasameanstoincorporatelessonslearnedandbestpracticesfromprojectsandinterventionsundertheFrameworksAthroughD.

AnumberofcountriesaredesigntheirCB-2projectunderthisframework.Egyptisfocusingontheirmonitoringandreportingstructuresandmechanismstocatalyzethemainstreamingoftheglobalenvironmentintonationalenvironmentalpolicyframeworks.Avariationunderthisframeworkisafocusonindicators.Morocco,forexample,isseekingtoincorporateglobalenvironmentalindicatorsintothemonitoringsystemoftheirNationalHumanDevelopmentIndex.Montenegrowillbedevelopingasimilarproject.

5.2 Cross-cutting Capacity Development Project Guidelines

Earlyintheformulationofthecross-cuttingcapacitydevelopmentproject,areviewoftheNCSA

6


TheNCSAinitiativeispartofaGEFfour-prongedstrategytosupportcountriesinenhancingtheircapacitytoachieveandsustainglobalenvironmentalobjectives(GEF,2003).InadditiontotheNCSAs,itincludesthestrengtheningofcapacitieswithinthecontextofGEFprojects,theimplementationoftargetedcapacitybuildingprojectswithinandacrossfocalareas,andcountry-basedcapacitydevelopmentprogrammesforLDCsandSIDS.BasedontheNCSAFinalReportsandActionPlans,nationalstakeholdersrecognizedthattheemphasisonthesearchforsynergiesamongMEAsandlinkagesbetweentheglobalenvironmentalagendaandnationalenvironmentalagendasarevaluableprocesses.Onceunderstood,theywouldcontributetobetterdecisionsformanagingtheenvironment.However,despitepositivefeedbackfromstakeholdersontheNCSAprocess,thevalidityandusefulnessoftheNCSAwouldbegreateriftheinitiativeweremorecloselyconnectedwiththeotherdevelopmentstrategiesbeingimplementedsuchaspovertyreductionprogrammesandothernationalsustainabledevelopmentprocessesunderway.

Nevertheless,theapproachproposedbythisinitiativewaswellalignedwiththeParisDeclarationprinciples,inparticulartheprinciplesofownership,alignment,andmutualaccountability.TheNCSAapproachcontributedtothestrengtheningofeffectiveenvironmentalleadershipinparticipatingcountries,includingagreatercoordinationofenvironmentalactions.Byitsnature,theNCSAstrategywasalsoverymuchalignedwiththerespectivecountry’spolicies,strategiesandprogrammes,aswellasamutualaccountabilityoftheNCSApartners(countrygovernments,GEF,andimplementingagencies),allofwhichwerebuiltintothedesignoftheNCSAprocess.TheNCSAprocessalsodemonstratedthefeasibilityofnationallycenteredprocessesthatemphasizedtheenvironmentallysounduseofnaturalresourcesby

linkingtheglobalenvironmentalagendatonationalenvironmentalanddevelopmentagendae.

Despitesomepositiveachievements,theNCSAinitiativeremainsmostlyaninitialsteptowardthedevelopmentofbettercapacitiestomanagetheenvironment.Aspolicy-makersandpractitionersagreemoreandmoreontheoverallsetofcapacitiesnecessarytoachieveandsustainglobalenvironmentalobjectives,countriesarestillfacedwithmanyenvironmentalchallenges.TheNCSAfindingsprovidedecision-makerswithinitialnationalsetsofrecommendationsforthewayforward.EvenbeforethefirstNCSAfollow-upprojectsbegan,theNCSAscatalyzedanumberofthecross-cuttingcapacitydevelopmentprojectsunderimplementation.ThisincludesUNEP’sregionalprojecttopilotintegratedprocessesandapproachestofacilitatenationalreportingtotheRioConventions19.

Whenthedataisdisaggregatedbycategoryofcountries(i.e.,SIDSandLDCs),somedifferencescanbeobservedwhenanalyzingthecapacityconstraints.Overall,62%ofcountriesstatedatleastonecapacityconstraint.However,whenthedataisanalyzedforSIDScountries,thisfallsto56%,butrisesto81%forLDCs14.Thatis,LDCsappeartohavemorecapacityconstraintsthantheoverallaverage,whereasSIDScountriesappeartohavefewercapacityconstraintsthantheentiregroupofcountriesstudied.Similarresults,thoughnotstatisticallydifferent,areobservedwhenlookingatcountries’identifiedcapacityneeds:84%forallcountries;86%forLDCcountries,and74%forSIDScountries.

Nevertheless,theNCSAshighlightthemanychallengescountriesfacetoachieveandsustainglobalenvironmentalobjectives.Althoughstakeholdersmaybeengagedinaddressingglobalenvironmentalissues,moreawarenessand

DISCUSSIon

19 Formoreinformation,seehttp://rioconventionsreporting.net/unep-wcmc-and-harmonization-of-national-reporting/20 Thepercentagesarebasedonareviewof119NCSAs,outofthetotal146NCSAsthatwereundertaken.

Discussion 55

improvetheirlocalenvironment.Thisactionreverberatesfromthelocaltotheglobal.Achievingandsustainingdevelopmentoutcomesalsorequiresleadership,andinmanycases,innovativeinstitutionalarrangementsinordertoaddresscountries’uniquecomplexandcross-sectoralpriorities.Thisinturnrequiresamoreintellectualandpoliticalunderstandingofacountry’sinstitutionalhistoryandevolutionthatimpartimportantnationalandinternationalrealities,withverypracticalimplicationsontheinstitutionalreformsneededtoachievedevelopmentgoals.

Ontheheelsofthisconference,CDGfinalizedandrecentlypublishedMeasuringCapacity(July2010),whichupdatestheirframeworktomeasurecapacitybasedonlessonslearnedandbestpractices.Basedonthisframework,thereportalsoprovidesdetailsonhowtomeasurechangethatcontributestoinstitutionalsustainabilityofdevelopmentgoals,alongwithexamplesofoutcomesandindicators,illustrativecases,anddiscussesimplicationsforprogrammeformulation.

educationisneededforgreaterstakeholderinvolvement.Whilesomeenvironmentalinformationexists,morecoordinationandagreatercapacityoforganizationsinvolvedinenvironmentalinformationarenecessary.Mostcountriesbenefitfromarelativelygoodsetofenvironmentalpoliciesandlegislationexist,andyettheyarenotascomprehensiveasneededtomeetandsustainglobalenvironmentalbenefits,particularlyintheabsenceofeffectiveenforcement.Thisisnottodaythatthereisnomonitoringandevaluation.Certainly,mostcountriesaresuchsystemsinplace.However,theyarewhollyinadequateintermsofmeetingglobalenvironmentalneeds,andthecomplexityofenvironmentalissuesoftenoverwhelmstherelativelysmallstaffstrackinglimitedperformanceandoutputindicators.

TheprogrammingframeworkforcapacitydevelopmentunderGEF-5willprovideresourcestoaddressmanyofthesebarriers.TheexpectedoutcomesoftheseCB-2projectsarethereforetostrengthenmulti-sectoralprocessesthatpromotepolicyharmonization,realizecost-efficiency,andenhanceoperationaleffectivenessinConventionobligations.Tothisend,cross-cuttingcapacitydevelopmentprojectswillfocusontheenvironmentalgovernancesystemandmainstreamingglobalenvironmentalissuesintonationaldevelopmentprogrammes.

Fortheirpart,implementingagenciesarepushingtheenvelopeintermsofidentifyingstrategicapproachestoaddressingcountries’capacitydevelopmentneeds.OnesuchexampleisUNDP’sglobaleventinMarch2010inMoroccoon“CapacityisDevelopment”.OrganizedbyUNDP’sCapacityDevelopmentGroup(CDG),thisconferencediscussedthecriticallinkagesbetweenpolicychoicesandinvestmentdecisionsthatunderpininstitutionaltransformationandtherealizationofdevelopmentobjectives.ThiseventreiteratedmanyofthelessonslearnedfromtheNCSAs,includingtheneedtomobilizepeople.Ultimately,capacitydevelopmentisaboutthechangepeoplecanandarewillingtomaketo

Abject poverty in Haiti has led to extensive deforestation, exacerbating land degradation and more poverty. Photo by Kevin Hill


TogetherwithUNDP’sPracticeNotesonCapacityAssessmentandCapacityDevelopment,thispublicationaddstosetofresourcesforpractitionersanddecision-makers.

Complementingthevarioussetsofguidancematerial,thisSynthesisReportrepresentsauniquelookoftheunderlyingchallengesandprioritiescountriesfacetoachieveinstitutionalsustainabilityofglobalenvironmentaloutcomes.Thatis,theSynthesisReportsummarizesthe“capacityforwhat”,whereastheknowledgematerialsarevaluableinhelpingusunderstandthewhy,whenandhow.ThisReportalsoraisesanumberofimportantquestionsaboutcountries’challengesandneedsthatwerenotpossibleduetothelimitationsofthisstudy.AlthoughthisstudycomplementstheGEF’sOverallPerformanceStudies,furtherresearchisneededtoevaluatetheimpactsoftargetedcapacitydevelopmentinterventions,suchasanin-depthstudyonstakeholderengagementtomeetandsustainglobalenvironmentalobjectives.UNDP/GDG’sMeasuringCapacityisthenewestresourcetoaddtoanypractitioner’ssetoftoolkits.

Donorsandcountriesmustrecognizethatachievingglobalenvironmentalobjectivescannotbeeasilydefinedornarrowedbyalimitedsetofinstitutionalstructuresandarrangements.Instead,thereisaninextricablerelationshipbetweenenvironmentanddevelopment,withthecasehavingbeenmadeover20yearsagoandreaffirmedbynumerousmultilateralfora.Onecannotaddresstheglobalchallengesandprioritieswithoutunderstandingandframingthemfromanationalperspective.

7

References 57

OrganisationforEconomicCooperationand Development(2005).TheChallengeofCapacity

Development:Workingtowardsgoodpractice.DevelopmentAssistanceCommitteeGuidelinesandReferenceSeries,Paris,France,48pp.

UNDP(2007).CapacityAssessmentMethodology: User’sGuide.CapacityDevelopmentGroup/Bureau

forDevelopmentPolicy,UnitedNationsDevelop-mentProgramme,NewYork,USA,May2007,77pp.

UNDP(2008).CapacityAssessmentPracticeNote. CapacityDevelopmentGroup/BureauforDevelop-

mentPolicy,UnitedNationsDevelopmentProgramme,NewYork,USA,October2008,31pp.

UNDP(2009).CapacityDevelopment:AUNDP Primer.CapacityDevelopmentGroup/Bureaufor

DevelopmentPolicy,UnitedNationsDevelopmentProgramme,NewYork,USA,64pp.

UNDP(2009).SupportingCapacityDevelopment: TheUNDPApproach.CapacityDevelopmentGroup/

BureauforDevelopmentPolicy,UnitedNationsDevelopmentProgramme,NewYork,USA,January2009,18pp.

UNDP(2010).CapacityisDevelopment:AGlobal EventonSmartStrategiesandCapableInstitutionsfor

2015andBeyond.Marrakech,Morocco,17-29March2010,15pp.

UNDP(2010),MeasuringCapacity.Capacity DevelopmentGroup,BureauforDevelopment

Policy,UnitedNationsDevelopmentProgramme.

UNEP(2001).GuidelinesonCompliancewithand EnforcementofMultilateralEnvironmentalAgree-

ments.DivisionofEnvironmentalLawandConven-tions,UnitedNationsEnvironmentProgramme,Nairobi,Kenya,14pp.

Bellamy,Jean-JosephandK.Hill(2010).Monitoring GuidelinesofCapacityDevelopmentinGEFOpera-

tions.GlobalEnvironmentFacility/UnitedNationsDevelopmentProgramme/UnitedNationsEnvironmentProgramme.

EuropeanCentreforDevelopmentPolicy Management(2008).Capacity,Change,and

Performance:Insightsandimplicationsfordevelop-mentcooperation.PolicyManagementBriefNo.21,Maastricht,ECDPM.

Fukuda-Parr,S.,C.Lopes,etal.(2002).Capacityfor development:Newsolutionstooldproblems.United

NationsDevelopmentProgrammeandEarthscanPublications,London,284pp.

GlobalEnvironmentFacility(2003).Strategic ApproachtoEnhanceCapacityBuilding.GEF,

Washington,D.C.,USA,December2003,21pp.

GlobalEnvironmentFacility(2010),Summaryof Negotiations,FifthReplenishmentoftheGEFTrust

Fund.GEF/C.37/3,17May,2010,GlobalEnviron-mentFacility/WorldBank,141pp.

GlobalSupportProgramme(2005).National CapacitySelf-Assessment:ResourceKit.Global

EnvironmentFacility/UnitedNationsDevelopmentProgramme/UnitedNationsEnvironmentPro-gramme,85pp.

Lafontaine,A.(2000).CapacityDevelopment Initiative:Assessmentofcapacitydevelopmentefforts

ofotherdevelopmentcooperationagencies.GlobalEnvironmentFacilityandUnitedNationsDevelop-mentProgramme,NewYork,USA,160pp.

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Effectiveness.Paris,France,March2005,13pp.

RefeRenCeS


UNEP(2002).CapacityBuildingforSustainable Development:AnoverviewofUNEPenvironmental

capacitydevelopmentactivities.UnitedNationsEnvironmentProgramme,Nairobi,Kenya,164pp.

UNEP(2004).BaliStrategicPlanforTechnology SupportandCapacityBuilding.UnitedNations

EnvironmentProgramme,23December2004,UNEP/GC.23/1,Nairobi,Kenya,9pp.

UNEP(2005).OptionsforEnhancedCooperationamong theThreeRioConventions.UnitedNationsEnviron-

mentProgramme,15December2005,UNEP/CBD/SBSTTA/10/INF/9,Nairobi,Kenya,11pp.

Annex 1 59

Thereissomedegreeofoverlapbetweenadaptivemanagementandcollaborativemanage-ment.Adaptivemanagementincludestheearlyimplementationofmanagementobjectiveswithaviewtotheirmodification,basedonearlylessonslearned.Collaborativemanagementontheotherhandfocusesonmobilizingkeysocialactorstoimplementmanagementobjectives.Withaheightenedtheemphasisontheparticipatoryprocesses,collaborationisincreasinglyseenasinvaluabletothedecision-makingprocess,asopposedtolimitedtoassignedresponsibilitiesorraisingexpectations.Anessentialemphasisofcollaborationisthestrengtheningoflocalresidentparticipationtoredresstheirtraditionalmarginaliza-tiontoplanningprocesses(Borrini-Feyerabend1996:8;Fisher2001:83-4).Adaptivecollaborativemanagementcombinesthesetwoseparate

Adaptivecollaborativemanagement(ACM)istheprocessofmulti-disciplinarygroupworkthatstimulatesholisticprocessesandmakesdeeperconnectionsandrelationships(Borrini-Feyerabend1996:6;GillinghamandLee1999:15;BlumenthalandJannink2000:4;Sterman2000:21;FalsBorda2001:33;Brechin,Wilshusenetal.2002:49-50).ACMbuildsonthecomparativestrengthsofadaptiveandcollaborativemanagementapproaches,eachofwhichservestomitigatetheother’sdeficienciestosomedegreeaswellastofillincertaingaps.Thefollowingdiagramservestomakethesedistinctionsmoreclear.

AnneX 1: oVeRVIeW of ADAPTIVe CollAboRATIVe MAnAGeMenT

Kevin�Hill

Annex 1

Adaptive Management:l emphasis on collaboration to help

help formulate management objectives

l Assessment of information through gathering (not�monitoring)

Collaborative Management:l emphasis on collaboration to help

help implement management objectives

l Monitoring and evaluation

Adaptive collaborative management:l Synergistic relationship between collaboration and

adaptive approaches to learning

Formulation through experimentation Full implementation and replication

Figure 1.1: Adaptive Collaborative Management: A Synergy of Adaptive Management and Collaborative Management


formulationofmanagementobjectives.However,sincethisislikelytotranslateintoheightenedconflict,whichmaycatalyzeparticipation(Lee,1993:88),conflictresolutionandmanagementskillsareconsideredinvaluabletoconservationpracti-tioners(ChristiansenandDinerstein2001:55).

AdaptivecollaborationmanagementisanattempttoaddressthedeficienciesinherentinmanyconservationprojectsthatBrechinetal(2002)describe.Theyarguethatbiodiversityconservationshouldnotbeseenasasymbolofpost-modernvaluesandauthoritarianprotectionism,butasamorecomplexsetofsocialandpoliticalinteractionscoupledwithconcernsofpoverty,landtenure,andjustice(Brechin,Wilshusenetal.2002:42-4).Intheory,ACM’sgreateremphasisonlocalactiveparticipationearlyintheformulationofmanage-mentobjectivesshouldincreasethelegitimacyoftheprocessforlocalstakeholders.Additionally,bybringingtheadaptiveapproachtotheprocessofscalingupandreplication,throughtheinstitution-alizationofmonitoringandevaluationstructures(asdouble-loopfeedbackmechanisms),learningisenhancedandincorporatedintodecisionsconcern-ingmodificationstoexistinggovernancestructures(Sterman2000:18-9;ChristiansenandDinerstein2001:54-5;Uphoff2001:xx;Brechin,Wilshusenetal.2002:50).

Adaptivecollaborativemanagementalsofocusesontherootmechanismsofdecision-makingincomplexsystemsbycorrectingtheinformationprocessingdeficienciesinherentinadaptivemanagement,emphasizingcapacitybuildingthroughalearningprocess(adaptivemanagement).Thisisachievedbyuncoveringpreferencesthroughaction,asopposedtorelyingonpreferencesalone(collaborativemanagement).Kingdon(1984:89)concurswithLindblom(1959)thatpeopledonothavewell-definedpreferences,andthattheactionstheytakearehelpedbysubjectivelysubordinatingcertainpreferencesandexpectations.Thenatureofparticipationisthereforecentraltothedecision-makingprocess(Kingdon,1984).Sincedifferentstakeholderswillemphasizecertainpreferences

approaches,emphasizingthattheformulationofmanagementobjectiveswouldbemoresustainable(andlegitimate)ifstakeholders’(primarilylocalpeople)needsandobjectiveswerefullytakenintoaccountataveryearlystage(Fisher2001:88).Adaptivecollaborativemanagementalsostrength-ensthemethodologyduringthestageoffullimplementation,whilefullyrealizingthedynamicnatureofcomplexsystems.

Althoughadaptivemanagementitselfwasnotini-tiallyseenasablueprint,itsapproachhasbeenincreasinglytreatedassuch,withtheresultbeingthatthesubsequentimplementationofmanage-mentobjectiveswasnotasflexible.Thereasonforthisisthatadaptivemanagementhadledtoagreedrevisionsofmanagementobjectivesthatshouldnolongerbemodifiedintheinterestoftheirfulfill-ment.Althoughasaframeworkadaptivemanage-menthasbeenuseful,itdoesnotfullyhelpdefinelocalmanagementneeds(Sayer2001:75).Thelearningthattookplacethroughadaptivemanage-mentservedtherestrictednatureoffixedmanage-mentobjectivesandurgenttimeframes(largelyduetotheaccountabilitysystemsemployedbydonoragencies)(Sayer2001:70).Whatadaptivecollabora-tivemanagementsuggestsisthatmanagementobjectivescancontinuetobemodifiedbeyondthetimelimitssetbypolicy-makers.However,theonlywaytodothisisthroughtheapproachesespousedbycollaborativemanagement.

Adaptivecollaborativemanagementisthusimportantwhenscalinguppilotconservationprojects,temporallyandspatially.Oneofthechallengesofconservationactivitiesariseswhenattemptsaremadetolookmorecomprehensivelybeyondconservationareas,andtoaddressthebroadersocio-economicandpolicyforcesthatwillinfluencethesustainabilityofconservationefforts(ChristiansenandDinerstein2001:51,65).Forthisreason,monitoringandevaluationbecomesacriticalcomponentofimplementation.Bystrength-eningcollaborationmechanismsintheformulationphase,adaptivecollaborativemanagementstrengthensthevalueofinformationinthe

Chapter Name Here 61

Annex 1 References

Blumenthal,D.andJ.L.Jannink(2000).A ClassificationofCollaborativeManagement

Methods.ConservationEcology,4(2):17-26.Borrini-Feyerabend,G.(1996).Collaborative ManagementofProtectedAreas:Tailoringthe

ApproachtotheContext,41pp.Brechin,S.R.,P.R.Wilshusen,etal.(2002).Beyond theSquareWheel:TowardaMoreComprehensive

UnderstandingofBiodiversityConservationasSocialandPoliticalProcess.Society&NaturalResources,15(1):41-64.

Brown,L.D.andR.Tandon(1983).Ideologyand PoliticalEconomyinInquiry:ActionResearchand

ParticipatoryResearch,JournalofAppliedBehaviouralScience,19(3):277-294.

Chesler,M.(1998).PlanningMulticulturalAuditsin HigherEducation,inToImprovetheAcademy:

ResourcesforFaculty,Instructional,andOrganizationalDevelopment.M.KaplanandD.Lieberman.Stillwater,OK,NewForumsPress,Inc.17:171-202.

Christiansen,S.andE.Dinerstein(2001).Eco- RegionalPerspectivesinConservation:Recent

LessonsandFutureDirections,inBiologicalDiversity:BalancingIntereststhroughAdaptiveCollaborativeManagement,L.E.Buck,C.C.Geisler,J.SchelhasandE.Wollenberg,pp.51-68.

Colebatch,H.K.(1995).OrganizationalMeaningsof ProgramEvaluation,PolicySciences28(2):149-

164.FalsBorda,O.(2001).Participatory(Action)Research inSocialTheory:OriginsandChallenges,in

HandbookofActionResearch:ParticipativeInquiryandPractice,P.ReasonandH.Bradbury.London;ThousandOaks,Sage:468pp.

overothers,theroleofperformanceevaluationasamechanismistoensurethatbehaviour,preferences,andexpectationsaretakenintoaccountinthetransformationoforganizationalprocesses(Cole-batch1995:161-2).

Theinstitutionalizationofcollaborativeandadaptivemechanismscoveringthefulllife-cycleofpolicy/programmeformulationandimplementationtranslatesintotheinstitutionalizationofmechanismsthatbodewellforenhancingeffectiveness,perform-ance,andsustainability.ACMaimstodomorethansimplyaddtoorstrengthenstructuresofcollabora-tion/monitoring/evaluation,butratheraimstotakeamoreholisticandinter-connectedapproachtothedynamicplacementandnatureofthesestructureswithinamanagementsetting(Margerum2001:422-3).ThechallengeofACMisinitsabilitytoeffectthese(performanceevaluation)institutionalchanges.

Onewayadaptivecollaborativemanagementcouldbeoperationalizedisthroughcommunity-basedparticipatoryactionresearch(CBPAR)thatRappaport(1970:499)definesas“actionresearch[that]aimstocontributebothtothepracticalconcernsofpeopleinanimmediateproblematicsituationandtothegoalsofsocialsciencebyjointcollaborationwithinamutuallyacceptableethicalframework”(BrownandTandon1983:278).CBPARalsoaimstoemphasizethelegitimacyofresourcedistributionandauthorityinorderthattheactionresearchstrategiesareusedappropriately,aswellasforthestakeholderstoaccepttheprojectmanage-mentteamascredible(BrownandTandon1983:290-1).CBPARalsorequires“thoughtfulplanning,specificexpertise,carefuldatacollectionandanalysis,andclearreportsandrecommendations”(Chesler1998:172).

Adaptive collaborative management places greater emphasis on active participation of local stakeholders early in the formulation of management objectives, thereby increasing the legitimacy and sustainability of policy interventions.


Fisher,R.J.(2001).Experiences,Challengesand ProspectsforCollaborativeManagementof

ProtectedAreas:AnInternationalPerspective,inBiologicalDiversity:BalancingIntereststhroughAdaptiveCollaborativeManagement,L.E.Buck,C.C.Geisler,J.SchelhasandE.Wollenberg,pp.81-96.

Gillingham,S.andP.C.Lee(1999).TheImpactof Wildlife-RelatedBenefitsontheConservation

AttitudesofLocalPeoplearoundtheSelousGameReserve,Tanzania,EnvironmentalConservation26(3):218-228.

Kingdon,J.W.(1984).Process:Origins,Rationality, Incrementalism,andGarbageCans,Agendas,

Alternatives,andPublicPolicies,Boston,LittleBrown,pp.75-94.

Margerum,R.D.(2001).OrganizationalCommitment toIntegratedandCollaborativeManagement:

MatchingStrategiestoConstraints,Environmen-talManagement,28(4):421-431.

Sayer,J.A.(2001).LearningandAdaptationfor ForestConservation,inBiologicalDiversity:

BalancingIntereststhroughAdaptiveCollabo-rativeManagement,L.E.Buck,C.C.Geisler,J.SchelhasandE.Wollenberg,pp.69-80.

Sterman,J.(2000).BusinessDynamics:Systems ThinkingandModelingforaComplexWorld.

Boston,Irwin/McGraw-Hill,982pp.Uphoff,N.(2001).Foreword,BiologicalDiversity: BalancingIntereststhroughAdaptiveCollabo-

rativeManagement,L.E.Buck,C.C.Geisler,J.SchelhasandE.Wollenberg,pp.v-viii.

Annex 2 63

AnneX 2: SeleCT nCSA AnD Cb2 PRofIleS

TheNCSAprofilesarebasedoninformationcontainedintheNCSAprojectdocumentandNCSAFinalReportandActionPlan.TheCB2profilesarebasedoninformationcontainedintheCB2projectdocuments.TherearenoCB2profilesfromthePacificasnonehadbeenapprovedatthetimeofthisreport

nCSA ProfilesCostaRicaEgyptPapuaNewGuineaThailand

Annex 2

Cb2 ProfilesBhutanBulgariaCroatiaEgyptGhanaJamaicaKyrgyzstanNicaraguaPhilippinesSeychelles

View of the Arctic polar ice rim during Secretary-General ban Ki-moon’s visit to witness firsthand the impact of climate change on icebergs and glaciers. Un Photo by Mark Garten.


Project Objective: To increase awareness of the capacity challenges and opportunities in Costa Rica, so as to tackle commitments Costa Rica has assumed that relate to the Rio Conventions.

Project Strategy: TocomplywiththeinternationalcommitmentsderivedfromthethreeConventions,itwasnecessarytoincludeactionsdirectlyrelatedtotheminCostaRica’snationaldevelopmentplans.Thisstrategywasconsideredthemosteffectivewaytoallocatehuman,financial,andtechnicalresourcestocomplywiththecommitments.ItrequiredasocializationprocesstoincreasetheawarenessofpublicofficialsaboutnationalresponsibilitiesassociatedwiththeConventions.Alsocriticalwasthecreationofinstitutionalcapacitiestoaddresssustainabledevelopmentpoliciesbeyondtheenvironmentalsector.

Costa RicaCosta Rica’s national Capacity Self-Assessment

Gef Contribution : US$ 200,000

Implementation period : December 2004 – September 2007

Gef Agency : UnDP or UneP

Partners : Ministry of environment and energy

Expected Outcomes:Themainoutcomesexpectedfromthisproject

were:1. Improvedawarenessandpoliticalcommit-

mentamongministerswithenvironmentalmanagementresponsibilities,specificallyabouttheimportanceofmeetingRioConven-tioncommitments.

2. Inter-agencycooperationtoimproveplanningforenvironmentallysoundandsustainabledevelopment

3. DevelopmentofamanualtoguideCostaRica’sparticipationatnationalandinterna-tionalforarelatedtotheRioConventions.

4. InventoriesofprogrammesandprojectsplannedorunderwaythatcontributetoRioConventionobjectives.

5. IdentificationandinstitutionalizationofsustainablefinancingmechanismstomeetRioConventioncommitments.

6. ResourcesmadeavailabletothemassmediaforpublicityfocusedonCostaRica’sinterven-tionsastheyrelatetotheglobalenvironment.

The Challenge: Costa Rica has not explicitly integrated Rio Convention commitments into the country’s set of national development and environmental strategies and plans.Notwithstanding, a few national legal instruments do translate certain international commitments into a selection of working programmes. In a number of cases, national agencies’ mandates and functions as they relate to Rio Convention objectives either overlap, causing a duplication of efforts, or do not adequately ensure coverage, creating substantial policy gaps. This situation posed formidable challenges, and was due to the lack of both inter-agency coordination and a national legal environmental framework that defined the distributive responsibilities among governmental organizations. Moreover, there are discrepancies between national and international environmental priorities.

1. Provided information to parliamentarians and government officials concerning the challenges and barriers to addressing international commitments

2. Engaged representatives from academia to share their contributions, in order to develop human capital for international environmental law

3. Identified the human and financial resources needed to ensure Costa Rica’s participation in the activities related to the Rio Conventions

4. Identified and shared public information, including published work by a variety of media and fora relating Costa Rica’s activities in support of the Rio Conventions

5. Collected and maintained updated inventories of the resources necessary to address international environmental commitments

Key Activities:

Annex 2 65

committeewithrepresentativesfromrelevantlineministries,thematicexperts,andNGOstooverseetheimplementationoftheGEFportfolioatthenationallevelthroughamoreconsultativeprocess.

Project Strategy: Theprojectbuiltuponthevariousnationalinstitutionalstructuresandmecha-nismsrelatedtotheRioConventions.Althoughthesestructuresdifferintheirinstitutionalhierarchy,theprojectsoughttoidentifythemanagementcapacitiesnecessarytotacklethechallengestomeetnationalandglobalenvironmentalobjectives.TheNCSAwassuccessfulincatalyzingresponsesinthreeareascriticaltoachievingenvironmentalsustainabil-ity:stakeholderengagementandcommitment;informationmanagement;andtheintegrationwithinnationalplanningframeworks.

EgypteGYPT’s national Capacity Self-Assessment


Co-financing : US$ 35,000

Implementation period : June 2005 – December 2008

Gef Agency : UnDP

Partners : egyptian environmental Affairs Agency

Expected Outcomes:1. Stocktakingandidentificationofcapacity

developmentchallenges,barriers,andgapstomeetglobalenvironmentalobjectives

2. Prioritizationofcapacitydevelopmentneeds3. In-depthanalysisoftheinstitutionalframe-

worksurroundingactiontomeetglobalenvironmentalobjectives.

4. Developmentandlaunchingofacapacitydevelopmentstrategyandactionplan.

5. IncreasedawarenessofthecomplexlinkagesamongRioConventionobjectivesandnationaldevelopmentpriorities.

Duringthefocalareaandcross-cuttingassessmentphase,theprojectsteeringcommitteeidentifiedthemainconstraintstothedevelopmentandimplemen-tationofnationalandinternationalactionplans:publicparticipation;legislationandenforcement;technologytransfer;financing;andmonitoringandevaluation.

DuringthetwoyearsofNCSAimplementation,theprojectsupportedtheintegrationoftheMillenniumDevelopmentGoal7intonationalplanningproc-esses,usinganagreed-uponsetofprogressindica-torsfromdifferentsectors.OnekeyoutcomeoftheNCSAwastheformulationofaGEFnationalsteering

The Challenge: Egypt experiences capacity deficiencies at all levels, including over-burdened staff, under-utilized strengths, and high staff turn-over, leading to a loss of institutional memory and investments in trained staff. Moreover, the synergies between the three thematic areas of the Rio Conventions have not yet been properly addressed, as called for by the Conventions. An assessment exercise needed to take place to assess capacities at the individual, organizational, and systemic levels in order to meet global environmental commitments.

1. Reviewed the obligations of each Rio Convention, particularly the guidance related to capacity development.

2. Prepared a report assessing the synergies between the three thematic areas, identifying priorities for building capacities.

3. Produced in-depth studies focusing on the priority environmental issues.

4. Produced a detailed report for each of the identified priorities, analyzing its nature, contributing factors, and linkages.

5. Identified a methodology to catalyze the full and active engagement of stakeholders.

6. Prepared a National Capacity Development Strategy and Action Plan as an action-oriented response to the key capacity constraints.

7. Produced educational and promotional materials specific to the Egyptian environ-mental context.

Project Objective: To assess constraints, measure national capacities, and define priorities with regard to meeting national environmental priorities and Rio Convention objectives.

Key Activities:


Project Objective: To assist PNG in assessing its effectiveness in meeting its commitments under the three Rio Conventions.

Project Strategy: TheNCSAprojectbuildsuponcurrentgovernmentpoliciesandstrategies,identify-ingboththelimitsofnationalcapacitiesaswellastheopportunitiestoimprovecapacities.Thisincludesidentifyingopportunitiestostrengthenpolicyandprogrammecoordinationandcooperationamongkeystakeholderagencies.

Athoroughassessmentofcapacitiestomanagepriorityenvironmentalchallengesbuildsuponthegovernment’senvironmentallyrelatedpolicies,e.g.,fisheriesandmining.Theassessmentexercisegeneratedvaluableknowledgethatcouldbeusedtostrengthencapacitiesthroughoutthegovernment,andwhichcouldleadtobetterenvironmentaloutcomes.

Papua New GuineaPapua new Guinea’s national Capacity Self-Assessment



Implementation period : february 2005 – october 2006

Gef Agency : UnDP

Partners : Department of environment and Conservation (DeC)

: Department of national Planning and Rural Development

: Department of environment and Heritage, Government of Australia

ThemaincapacitydevelopmentchallengesandbarriersinPapuaNewGuineaare:

1. AninadequatepartnershipbetweenthegovernmentandtheNGOsonenvironmentalmanagement

2. LimitedknowledgeoftheMEAs,aswellasinsufficientlevelsofeducationandawarenessonenvironmentalissuesandchallenges

3. AnabsenceofintegratedandappropriateenvironmentalpoliciesthatguidetheagenciesimplementingtheMEAs

4. InsufficientfinancialandhumanresourcestoundertakekeymonitoringandcomplianceactivitiesrelatedtotheMEAs

5. Limitedpoliticalwillandsupport.Emphasisismainlyoneconomicdevelopmentprioritiesratherthanonenvironmentalpriorities

Expected outcomes:TheNCSAproducedapolicydocumentandassociatedactionplanthatoutlinedthepriorityenvironmentalissues,constraintsandopportunitiesforbuildingthecapacitiesneces-saryfortheeffectiveandsustainableimplementationoftheRioConventions,includingotherMEAs.

The Challenge: While Papua New Guinea has well-established institutional structures for environmental management, very little coordination and cooperation occurs through these formal bodies. A study endorsed by the Government of PNG recommended that a comprehensive assessment of national capacities to meet global environmental objectives would help identify those capacity constraints and opportunities also related to national environmental management.

1. Establishment of a Project Management Office and Coordinator within the DEC

2. An Inception Workshop was held in 2006.3. Key institutional reforms to enhance

Papua New Guinea’s capacity to pursue an agenda of environmental sustainability and economic growth were the basis of decisions to delay project implementation between 2006 and 2009.

4. NCSA activities resumed in September 2009 with a Stocktaking and Thematic Assessment Workshop, with support from the South Pacific Regional Environmental Programme (SPREP)

5. A workshop took place in February 2010 to validate the results and recommenda-tions of the NCSA

6. The NCSA Final Report and Capacity Development Action Plan were finalized in June 2010.

Key Activities:

Annex 2 67

wereestablishedundertheNCSA.ThiscouldbepotentiallyexpandedtoenhancecoordinationandcollaborationpertainingtoConventionimplemen-tation.TheNCSAalsointroducednewapproachestoassessinganddevelopingcapacitiestowideraudiences,providingavenuesforbetterengage-mentandparticipation,aswellasproposedactions.

Project Strategy and Outcomes: Thailand’sNCSAfacilitatedregularconsultationsamongRioConventionfocalpointsandinvokedrelevantauthoritiestoenhancecoordinationamongprogrammeactivities.Theprojectalsoenhancedstakeholderparticipationinimplementationactivities.Theprojectalsostrengthenedstakehold-ers’awarenessoftheinter-connectednessamongthethreeenvironmentalfocalareas.Thisreaffirmedtheneedformoremulti-disciplinaryresearchandtherolethatstakeholdersplayincontributingtoamoreholisticconceptionofthechallengeandalternativesolutions.

ThailandThailand’s national Capacity Self-Assessment



Implementation period : october 2008 - november 2009

Gef Agency : UnDP

Partners : office of natural Resources and environmental Policy and Planning

land Development Department

EnforcementofrelevantlawstoimplementtheRioConventions,particularlytheCCD,hadnotbeenadequatelyevaluatedandnoassessmenthadbeenundertakenonlegislativebillsthatcouldpotentiallycomplementtheexistinglegislativeframeworkrelevanttotheRioConventions.

Similarly,mostawarenessbuildingeffortsrelatedtotheRioConventionswerenotadequatelyevaluated,effectivelypreventingthenecessaryfollow-uptocomplementpasteffortsandavoidduplicationofeffort.MoststakeholderswithoutbackgroundknowledgeoninternationallawswerealsofoundtobeindifferenttotheConventions.Ontheotherhand,thenationalfocalpointscontinuedtoexerciseauthorityonhowtheirrespectiveConventionswereinterpretedandoftenpre-deter-minedtherolesofthestakeholdersintheimple-mentation,asopposedtoemployingmoreparticipatory-orientedapproaches.

ImplementationoftheRioConventionscontin-uedtosufferfromthepaucityofmulti-disciplinaryresearchersandmechanismstofacilitatethesescientificworks.Thisincludes,forexample,theinadequacyofapplicablemodelsontheimpactsofclimatechangeonbiodiversityandlandresources.

Regularconsultationsamongthefocalpoints

The Challenge: National focal points for the Rio Conventions were found to be without adequate levels financial and human resources. An important obstacle in securing sufficient financial resources through government budgetary processes can be attributed to a relatively low level of political commitment.

1. Collected stakeholder input on implementation challenges and needs for each of the Rio Conventions and recommendations to catalyze synergies.

2. Organized additional stakeholder consultations to review synthesis of the assessments.

3. Developed an action plan based on areas of common interested among the Conventions

4. Introduced the action plan to stakeholders and conducted revision accordingly

Project Objective: To identify gaps in capacities to meet Rio Convention commitments, and develop an action plan to strengthen the existing and needed individual, organizational and systemic capacities to meet Rio Convention objectives.

Key Activities:


andindividualcapacitiestomeetglobalenvironmen-talobjectiveswithintheconstructoflocalgovern-ancestructuresfordecentralizeddecision-makingontheenvironment.Thus,theprojectwouldenhancetheenforcementofenvironmentallegislativemandatesthatmeetdistrict,nationalandglobalenvironmentalobjectives.

Expected Outcomes: 1. Anationalframeworktoenhancedecentralized

capacityforenvironmentalmanagementandimplementationoftheprovisionsofthethreeRioConventions

2. Decentralizedinstitutionalframeworkandpersonneltoenhancelocalenvironmentalmanagement,whichincludeimplementationoftheRioConventions’provisions.

3. EnhancedEnvironmentalInformationManage-mentSystemtobackstopnationalpolicyanddecisionmakinginresponsetoglobalenvironmentalmanagementneedsaspertheprovisionsoftheRioConventions

Bhutanenhancing Global environmental Management in bhutan’s local Governance System



Implementation period : September 2007 – August 2010

Gef Agency : UnDP

Partners : DAnIDA: national environment Commission

Secretariat (neCS)

Bhutan’sNCSAidentified22capacitydevelopmentneedsthatwerecommontothethreeRioConven-tions.Anin-depthanalysisandbroadstakeholderconsultationprocessidentifiedtheneedtomain-streamglobalenvironmentalprioritiesanddecentral-izedecision-makingasatoppriorityfortargetedcross-cuttingcapacitydevelopment.Thedecentrali-zationprocessinBhutanisanotablechallengeduetothelackoflocalindividualcapacitiesintermsofknowledge,skills,experienceandinstitutionalsupport.

TheNCSAstressedtheimportanceoftheon-goingdecentralizationprocessandthesignificantanduniqueopportunitiesthatitoffersformainstreamingcross-cuttingenvironmentalmanagementprioritiesintoon-goingplanningandcapacitydevelopmentinitiatives.

Project Strategy: Thisprojectwasdesignedtocomplementon-goingandplannedactivities,inparticulartheDANIDA-supportedEnvironmentandUrbanSectorProgramme.TheCB2projectwouldfillremaininggapsinthemuch-neededorganizational

The Challenge: Over the last decade, Bhutan has increasingly become an active player in the global environmental arena, becoming a party to all three Rio Conventions and undertaking various projects to better understand the context of threats to environmental sustainability.

1. Establish a functional and sustainable Dzongkhag (District) Environmental Committee (DEC) Focal Point Secretariat within the National Environmental Commission Secretariat with the capacity to manage and coordinator the DEC environmental management tasks and responsibilities.

2. Develop a training curriculum and related action plan for the DEC.

3. Create Training-of-Trainers learning material on environmental management awareness as well as developing and conducting training workshops.

4. Further develop existing Environmental Information Management Systems to enhance backstopping capability.

5. Development of uniform indicators and guidance for M&E.

Project Objective: To enhance global environmental management by mainstreaming the provisions of the Rio Conventions into enhanced decentralized environmental management.

Key Activities:

Annex 2 69

Expected Outcomes:1. Developmentofadequateskillsofkeyofficials

atallplanninglevelsfortheireffectiveroleinmainstreamingglobalenvironmentalissuesintoregionaldevelopmentpolicies.

2. Developmentofappropriatesystemsoftrainingandlearningtomaintainacontinu-ousskillsupgradeofexistingandnewstaffatthetwotargetministries.

3. Developmentofasetofstrategicindicatorsandapilotgeographicinformationsystemthatcanbeusedtoassesstheimpactofdevelopmentandspatialplanningattheregional,districtandmunicipallevelsontheachievementofthethreeConventions’objectives.

4. Developmentofmodelstrategicplanningdocuments.

BulgariaIntegrating Global environmental Issues into bulgaria’s Regional Development Process


Co-financing : US$ 1,029,000

Implementation period : June 2006 – September 2010

Gef Agency : UnDP

Partners : Ministry of Regional Development and Public Works of bulgaria (MRDPW)

: Ministry of environment and Waters of bulgaria (MoeW)

Project Objective: To embed global environmental concerns into the processes of regional and local development, as well as into spatial planning.

Project Strategy: Thisprojectwillbeginbystrengtheningtheactiveinvolvementandownershipofabroadersetofstakeholdersassociatedwithlocal,regionalandglobalenvironmentalplanninganddevelopmentprocesses.Thiswillincludemunicipalleaders,localNGOsandrepresentativesfromtheprivatesector.Withtrainingonmethodologiesandapproachestoimprovespatialplanning,pilotprojectswillinvolveplannersanddecision-makersintheuseofrealcasestoapplynewintegratedmunicipal-regional-globalenvironmentaldevelop-mentandplanningguidelinesandindicators.

The Challenge: Bulgaria’s NCSA determined that global environmental issues were conspicuously absent from the process of regional and local planning, despite the recognition of their close relationship. This absence is due in part to the insufficiency of knowledge, expertise, and experienced technical staff, especially at the lower planning levels, to integrate Rio Conventions objectives in their strategic planning documents. A contributing factor is the lack of uniform data necessary to satisfy the information demands of decision-makers so as to enable their monitoring and reporting on progress towards meeting global environmental objectives. Neither are there models or blueprints as to the practical integration of global environmental priorities into local, regional and national planning frameworks.

1. Development of a package of training programmes on the integration of global environmental objectives into strategic planning processes (330 experts from MRDPW, MoEW, municipalities and district administrations attended the training courses).

2. Seven strategic indicators for monitoring integrated local and regional strategic planning/global environmental objectives were developed and incorporated into the MRDPW’s official methodological and planning guidelines.

3. Development of a prototype geographic information system application based on the seven indicators to improve the monitoring of integrated local-regional-global environmental and development concerns at the MRDPW.

4. One district development strategy based on the seven indicators was modeled.

5. A study tour to Cornwall, UK for experts from MRDPW and MoEW and involvement of MRDPW in three follow-up projects with UK partners would capitalize on project achievements and ensure the sustainability of project results beyond its official end.

Key Activities:


networkofmonitoringstations,andthenationalbiologicaldiversitymonitoringsystem.

Project Strategy:Thisprojectwillnegotiatetheintegrationoftherelevantdatabasesandmanage-mentinformationsystemsintoacommondataflowsystem(DFS)andmodelindicators,andtesttheirapplicationonasmall-scalepilotprojectwithinanendangeredcoastalhabitatexhibitingkarsttopogra-phy.Theselectedsiteisaffectedbyfiresthatdestroygloballysignificantbiodiversity,exacerbateserosion,andaddsgreenhousegasestotheatmosphere.Thepilotprojectwillcontributetotherefinementofafull-scaleDFStobeimplementedatthenationallevel.

Expected Outcomes:1. EnhancedCEISthroughimprovedindicators

coveringglobalenvironmentalpriorities2. Amorecost-effectiveandefficient,cooperative

institutionalframeworkforacommondataflowsystem

3. ThecommonDFSandmodelindicatorsarepiloted,withorganizationalandindividualcapacitiesbuiltthroughlearning-by-doing

4. AsustainablenationalcapacitybuildingprogrammeforthemanagementofcommondatarequirementsfortheRioConventionsdeveloped

CroatiaData flow System and Indicators to enhance Integrated Management of Global environmental Issues


Co-financing :

Implementation period : november 2008 – September 2011

Gef Agency : UneP

Partners : Croatian environment Agency

AlthougheachofthethreeConventionsdemandssomespecificdata,asignificantportionoftheprogrammesanddataissharedbyallthree.Theprogrammesarealsoimplemented,anddatafrequentlycollectedandprocessedbythesamescientificandspecializedinstitutions.However,thesamedataneededforallthreeconventionsarefrequentlyresearchedandprocessedwithinseparateresearchprojectsandprocedures.Thus,thereismuchunnecessaryduplicationofeffortandineffi-cientuseoflimitedfinancialresources.Also,insomecases,thedatabeingcollecteddoesnotmeetconsistentanduniformmeasurementstandards.

Theorganizationofaresearchsystemthatresultsincoordinatedstaffactivitiesandjointprogrammes(includingresearch,collecting,processingandmonitoringofthesamedata)wouldconsiderablycontributetotheuniformityofsuchdataandprobablyresultinlowercosts.ItisparticularlyimportantconsideringcapacityconstraintsandlogisticstoscientificandprofessionalworkinCroatia.Theinitialeffectofsuchpoolingcouldbegainedbythealreadyinitiatedprojectssettingupthenational

The Challenge: In the past decade since Croatia became a signatory to the Rio Conventions, considerable efforts have been undertaken, particularly on strengthening the legislative framework, reporting, as well as building organizational capacities for environmental management.

1. Identification of data and indicators common to the three Rio Conventions, including their institutional sources

2. Institutional analysis of current databases and recommendations for an improved, integrated common data flow system

3. Development of a common DFS and interactive web-site and model indicators

4. Pilot testing of DFS through the coopera-tion with local stakeholders and public in a pilot site

5. Analysis of pilot project results and improvement of DFS

6. Development of a national capacity building programme for wider application of a common DFS for improved decision-making.

Project Objective: To develop a comprehensive data flow system (DFS) and model indicators model for the sustained collection and management of data needs common to the CBD, CCD, and FCCC.

Key Activities:

Annex 2 71

globalenvironmentalissuesintheNationalSustainableDevelopmentCommittee;andsecondtosupportthepreparationoftheAnnualStateofEnvironmentreportthatmoreaccuratelyreflectsEgypt’sfulfillmentoftheirMEAcommitments.

Expected outcomes:1. Anenhancedoperationalmonitoringand

managementinformationsystemforMEAsatthepolicy,organizationalandindividuallevels.

2. Establishedcoordinationmechanismsthatcomplywiththereportingobligationsundertheglobalenvironmentalconventions.

3. Securedlong-termfinancingtoundertakemonitoring,evaluation,andreportingpracticesonasustainableandconsistentbasis.

EgyptMainstreaming global environmental issues in national plans and policies by strengthening the monitoring and reporting systems of MeAs



Implementation period : January 2009 - present

Gef Agency : UnDP

Partners : egyptian environmental Affairs Agency: Desert Research Center: Ministry of Agriculture: Ministry of International Cooperation: Ministry of economic Development: national competiveness council

Thechallengesattheorganizationalleveloverlapwiththoseattheindividuallevel,wherethereisanambiguityandabsenceofjobresponsibilitiesconcerningmonitoring,evaluationandreporting.Egyptisalsochallengedinbeingabletosecureandretainthenecessarycapacitiesformonitoring(includingdatacollectionandmanagement)andreporting(abilitytodeveloptheStateofEnvironmentReportthroughconsultativeprocessandbasedonclearsetofnationalindicators).

Project Objective: To strengthen Egypt’s monitoring capabilities and reporting requirements of the Multilateral Environmental Agreements (MEAs)

Project Strategy:BuildingupontheNCSAresults,thisprojectseekstodevelopthegovern-ment’scapacitiestoundertakeimprovedmonitor-ing,evaluation,andreportinginordertomeetglobalenvironmentalobjectives.Thisprojecttakesatwo-prongedapproachtoenvironmentalsustainability:First,tostrengthentheimportanceof

The Challenge: Egypt’s policy and planning framework that guide socio-economic development is very sectoral, within which important environmental considerations and priorities are not integrated. This includes national environmental priorities as well as those of a global nature. Achieving sustainable development and environmental sustain-ability requires a holistic set of enabling conditions at the systemic level.

1.1: A database and management information system developed to include all data categories for global environmental management.

1.2: Necessary legislative and regulatory changes developed for streamlining integrated monitoring and evaluation for global environmental management.

1.3: Capacity of the Egyptian Environmental Affairs Agency and other institutions strengthened through necessary technical assistance and targeted training for improved monitoring and evaluation.

2.1: Necessary legislative and regulatory changes developed for involving sectoral agencies in national reporting to the global environmental conventions in a consistent manner.

2.2: Communication and feedback mecha-nisms established for the reporting process to contribute to national policy development and decision-making.

3.1: Funding scenarios developed for monitoring, evaluation and reporting.

3.2: Necessary legislative and procedural changes developed for implementing funding mechanisms for sustainable monitoring, evaluation, and reporting.

Key Activities:


EnvironmentalConventionsCoordinatingAuthority(GECCA)andaSecretariat.Theprojectwillstrength-encoordinationcapacitybyperformingkeytasksanddirectlyimplementingConventionrelatedactivities.Additionally,itwilldevelopthecapacityoftheGECCAandtheSecretariattosupport,inacoordinatedmanner,thedistrictlevelstakeholders.

Expected outcomes:1. Functionalnationallevelstructureand

mechanismsforcoordinatingactivitieswithinandacrosstheRioConventions

2. NationalstakeholdersresponsiblefortheRioConventionsarecoordinatingtoperformprioritytasks

3. Stakeholdersinfivediverseandrepresentativedistrictspilotedthecoordinationofimplemen-tationoftheConventionsatthedistrictlevel

Ghanaestablishing an effective and Sustainable Structure for Implementing Multilateral environmental Agreements



Implementation period : June 2008 – June 2011

Gef Agency : UnDP

Partners : Ministry of local Government, Rural Development and environment

Apriorityrecommendationofthethematicassessmentswastostrengthencoordinationinordertomoreeffectivelyaddresstheneedsofimprovedreporting,participation,knowledgemanagement,resourcemobilizationandmainstreaming.Thecross-cuttingassessmentalsonotedthatthisappliestoallConventions,notjusttheRioConventions.

TheproposedprojectwillhelptheGovernmenttointegrateexistingmanagementstructuresandmechanismsatthenationalleveltocreatesynergies,economiesofscale,andachievecost-effectiveness.Theprojectwillthenenhancetheoperationofthesestructuresandmechanismbybuildinguptheircapacitytoperformspecifictasks.Theprojectwillpilottheimprovedarrangementsinfivepilotdistrictsasameanstobuildoverallnationallevelcapacitytosupportthedistricts.Giventheintimaterelationshipbetweenpovertyandenvironmentaldegradation,andGhana’scommitmenttopovertyalleviation,theaimofthisprojectistostrengthentheinstitutionalarrangementsinsuchawaythatmeetingglobalenvironmentalobjectivescanbemetwhilesimulta-neouslymeetingthegoalsofpovertyalleviation.

Project Strategy:TheprojectwillbringtheexistinginstitutionalstructuresforthethreeConven-tionsintoonestructureconsistingofasingleGhana

The Challenge: Ghanaian stakeholders undertook a comprehensive, participatory assessment of the capacities needed to implement the Rio Conventions. Through this process, they recognized that they have common functions and tasks, have shared resources, and face common challenges and constraints. It quickly became obvious that they should work more closely together, to pool resources and to fuse much of their work programmes.

1. Raise awareness and develop a draft Law for this GECCA.

2. Develop, in a detailed manner, the business plan for the Secretariat.

3. Provide training and technical assistance to sectoral agencies, starting with the agriculture, water, forestry and energy sectors.

4. Undertake a review of existing data management systems and gaps.

5. Identify and assess sources of finance (international, national, private sector) to finance the transfer of climate change technology and strengthen the Clean Development Mechanism.

6. Work with district stakeholders and planners to modify the ongoing district planning process.

7. Develop a multi-Convention participation strategy.

Project Objective: To improve the institutional structures and mechanisms for implementing the Rio Conventions within a framework of poverty alleviation.

Key Activities:

Annex 2 73

Project Strategy: Theprojectwilldemonstratetheuseofvaluationtoolsandtechniquestoimprovethedecision-makingprocessconcerningeconomicdevelopmentprojectsthatmaypoten-tiallyaffecttheenvironment.TheprojectwilldevelopandapplynaturalresourcevaluationtoolsthatareparticulartotheJamaicancontext,providetrainingontheuseofthesetools,andnegotiatepolicyandinstitutionalchangestoinstitutionalizetheuseofthesetools.

Expected outcomes:1. Toolstocreateasetofactuarialdatathatfully

reflectsthevalueofecosystemgoodsandservices,naturalresourcecommodities,aswellastheopportunitycostofenvironmentaldamagearisingfromlanddegradation

2. IncorporationofnaturalresourcevaluationtoolsintotheEIAprocess

3. StrengthenedcapacityofJamaica’sNationalEnvironmentandPlanningAgencytousenaturalresourcevaluationwithintheEIAprocessinacost-effective,transparent,andtimelymanner

JamaicaPiloting natural resource Valuation within environmental Impact Assessments




Gef Agency : UnDP

Partners : Ministry of land and environment: Ministry of economic Development: national competiveness council

Ascribingandmaintainingnaturalresourcevaluesaredifficultgiventhenationalpriorityofsocio-eco-nomicdevelopmentandJamaica’sexistinginstitu-tionalframeworkgoverningnaturalresourceuseandenvironmentalmanagement,whichisheavilybiasedagainstprotectioninfavourofextractionandexploitationforshort-termeconomicgains.

ThisprojectwillstrengthentheimplementationofEnvironmentalImpactAssessments(EIA),aswellascontributetotheimplementationofStrategicEnvironmentalAssessments(SEAs)throughthedevelopmentandapplicationofnaturalresourcevaluationtools.

Project Objective: To develop a set of natural resource valuation tools, and incorporate these into policies and procedures governing the preparation and use of EIAs.

The Challenge: Jamaica’s NCSA identified the issue of governance as a key area that needed strengthening. Capacity constraints include an inadequate appreciation by decision-makers of the importance of environmental services in making sound and sustainable economic development decisions. This comes from decision-making processes that are heavily weighted in favour of economic metrics. This is also coupled with inadequate policy coordination and weak implementation, as well as an insufficient assessment and understanding of the impact of implementing and not implementing various environmental policies.

1. Develop methods and approaches to undertake natural resource valuation

2. Develop monitoring systems and validation tests

3. Integrate natural resource valuation tools and techniques within guidelines for the implementation of EIAs

4. Develop an implementation plan for undertaking an EIA with the use of natural resource valuation tools and techniques

5. Develop a training module on natural resource valuation

6. Provide training on the interpretation of natural resource valuation data and information to government agency staffs.

7. Hold sensitization workshops to raise the level of understanding and importance of the potential socio-economic costs of natural resource degradation that may arise from proposed developments

Key Activities:


thatwillaccruetotheregionfromthisdemonstrationprojectwillfaroutweighthebenefitsthataccruetothefewindividualsandthestate,allowingforthesereformstobeinstitutionalizedandsustained.

Expected outcomes:1. Developmentofataxinstrumentforcontrol-

lingandmanagingindustrialpollution2. Developmentofaclear,transparentand

manageablestrategyandguidelinesforsoundfiscalmanagementofnaturalresources

3. Strengtheningthehumanandinstitutionalcapacitiesforassessing,calculatingandcollectingfinesforindustrialpollution

KyrgyzstanCapacity building for Improved national financing of Global environmental Management



Implementation period : october 2008 – December 2011

Gef Agency : UnDP

Partners : State Agency for environmental Protection and forestry

However,Kyrgyzstanhasnotdevelopedasystemthatprovidessufficientincentivesforenvironmentalconservation.Environmentalfiscalreformisneces-saryforthecreationofasystemforcollecting,managing,andallocatingrevenuesfromfinesforenvironmentaldegradation.

Kyrgyzstan’scurrentsystemofcollectingfeesandfinesandgovernmentbudgetaryallocationtothelocalandregionalgovernmentsisnotadequatetooffersufficientfundingforarangeofservicesneededtomeetnationalandglobalenvironmentalobjectives.

Thisprojectapproachesenvironmentalfiscalreform‘vertically’,targetingcapacitydevelopmentatmultiplelevelsofthedecision-makingchainforassessing,collectingandmanagingrevenuesfromenvironmentalfines.

Project Strategy: Takinganadaptivecollabora-tivemanagementapproach,theprojectwillensurethatkeystakeholders,suchastheprivatesector,localgovernment,andcivilsocietyrepresentatives,areinvolvedearlyandthroughoutprojectexecutionaspartnersfordevelopment.Thiswillgreatlyenhancethelegitimacyofthenegotiatedfiscalgovernancereformsandalsoensurethatthecapacitydevelop-mentactivitiescontinuetoberelevantandappropri-atelytargeted.Theprojectexpectsthatthebenefits

The Challenge: Kyrgyzstan’s national sustainable development framework, both at the policy and institutional levels, represents an important positive opportunity to further the goal of environmental fiscal reform. In particular, recent reforms of budget and tax policies have helped reduce enabling conditions for corruption (such as the elimination of separate agency funds).

1. Undertake a SWOT analysis on industrial pollution control

2. Identify and develop improvements to tax instrument for IPC

3. Develop operational programme and guidelines for resource mobilization

4. Develop operational arrangements for managing environmental fines

5. Prepare guidelines for managing indus-trial pollution control fines

6. Develop and publicize procedures for identifying corruption

7. Develop procedures for internal auditing of environmental revenues

8. Training workshops on the interpretation of environmental fiscal measures

9. Public awareness and policy dialogue sessions with industry representatives

10. Test and apply new and improved guidelines and procedures for environ-mental fiscal reform in one okmotu (region)

Project Objective: To help allocate revenues for biodiversity conservation, create incentives for clean technologies, and adopt techniques and practices that minimize the risks of land degradation.

Key Activities:

Annex 2 75

throughsharingoflessonslearned.ThishasalreadybeenfacilitatedbythesignedagreementsduringtheNCSAphasebytheCentralAmericanEnviron-mentCommission(CCAD)andnaturalresourcesmanagementagenciesofGuatemala,Honduras,ElSalvador,CostaRicaandPanamá.

Expected outcomes:1. Effectiveenforcementofenvironmental

legislationrelatedtoMEAs,withemphasisontherecentlypassedSpecialCrimesagainsttheEnvironmentandNaturalResourcesAct

2. Organizationaldevelopmentandinter-institu-tionalstrengtheningonenvironmentalmainstreaminginlinewiththeMEAs

3. IncreasedtechnicalandmethodologicalcapacitiesintheMinistryofEnvironmentandNaturalResourcestomonitortheimpactofamoreeffectiveenforcementofenvironmentallegislationandtheabilitytoactincompliancewithMEAs.

NicaraguaMainstreaming the Multilateral environmental Agreements into the Country’s environmental legislation




Gef Agency : UnDP

Partners : Ministry of environment and natural Resources

Nicaraguafacesinsufficientinstitutionalcapacityandtrainedhumanresourceswithwhichtofollowuponandpromotecompliancewiththemultilateralenvi-ronmentalagreements.Theabsenceofinstitutionalcapacity,standardizedmethodologies,reliableindicatorsandappropriateandsustainableenviron-mentalinformationmanagementsystemshaveallcontributedtoalackofeffectiveandsystematicmonitoringandevaluationregardingcomplianceandobservanceofMEAcommitments.

Project Objective: To strengthen the country’s judicial systems in order to improve compliance with global environmental objectives.

Project Strategy: Thisprojectwillreviewcurrentlegislationandsubsequentlyadaptadministrativepracticestopresentdaycircumstances,withparticularemphasisonintegratingglobalenviron-mentalpriorities.Theprojectwillincreaselocalandnationalcapacitiestoenforceenvironmentallegislation,inparticulartheSpecialLawonCrimesagainsttheEnvironmentandNaturalResourcesinsupportoftheRioConventions.Theprojectwillalsocontributetothereplicabilityoflegislativereformsandenforcementtoothercountriesintheregion

The Challenge: Despite past and on-going efforts in Nicaragua, much remains to be done to effectively implement the Rio Conventions at the national level and mainstream environment into local and national policies. Enforcement of current environmental laws is lacking and there is a capacity deficiency in the ability to apply legal instruments to increase compliance levels.

1. Awareness-raising workshops for high-level officials of the judicial system

2. Training workshops for the personnel of courts, ombudsman offices, among others having a direct role in enforcement procedures.

3. Production of court manuals on the application of environmental norms

4. Development of a compliance framework at the local level in selected areas

5. Provide equipment, connectivity and physical documentation banks for each MEA focal point

6. Improve information flow and inter-institu-tional coordination mechanisms to increase synergies in the compliance of MEAs

7. Define a set of parameters to create monitoring indicators on the effective-ness of MEA compliance.

8. Evaluate direct and indirect impact of enforced legislation on compliance levels.

9. Regional seminar co-sponsored by CCAD to share lessons learned and best practices.

Key Activities:


Project Strategy: Theprojectstrategyistobeginwiththedevelopmentofcoordinationtoolsandmechanismsbetweenfocalagencies.Thetoolswillthenbepilotedatarepresentativelocalsite,andfinalizedthroughanin-depthanalysisoflessonslearned.Coordinationmechanismswillbeappliedtospecifictasks,andthenrefinedthroughadaptivecollaborativemanagementtoensuretheirlegiti-macy,resilience,effectivenessandsustainability.

Expected outcomes:1. Governmentagenciesareeffectivelycoordi-

natingthepreparationandimplementationofrelatedpolicies,programmes,projectsandactivities.

2. Localandnationalstakeholdersareaddress-ingkeyglobalenvironmentalissuesinandaroundPuertoPrincesaSubterraneanRiverNationalParkinacoordinatedmanner.

3. International,nationalandlocalpartnershaveadoptedthetoolsdevelopedundertheproject.

PhilippinesStrengthening Coordination for effective environmental Management




Gef Agency : UnDP

Partners : Department of environment and natural Resources

However,theNCSAdeterminedthatwhilemanycommittedstakeholdersatalllevelsareundertakingvarioustasksrelatedtothethreeConventions,alackofcoordinationisleadingtowastedresources,lossofsynergy,lossofeconomiesofscale,andduplication.

Thegovernmenthasalargenumberofcoordinat-ingmechanismsinthenaturalresourcessector,mostlyfocusingonspecifictechnicalissues.Howevercoordinationhastendedtobetechnical,informal,orlimitedtopreparingpolicypositionsforinternationalmeetings.Someofthemechanismsalsolacksufficientrepresentationfromtheprivatesector,NGOS,andacademia.Inter-agencymechanismsareorganizedtoworkwithinspecificfocalareasinsteadofbetweenfocalareas.

Project Objective: To strengthen local and national institutional structures and mechanisms for improved coordination of programme activities, creating economies of scale and synergies in achieving Rio Convention objectives.

The Challenge: The government of the Philippines introduced innovative institutional and legal reforms for sustainable natural resources management. These included the strengthening of the natural resources function in government agencies, and a comprehensive decentralization process. The Philippines also quickly moved to ratify the Rio Conventions and establish an implementation framework.

1. Establish a permanent National Technical Coordination Committee with an adequately funded office

2. Develop a medium-term business plan for the Committee

3. Support national stakeholders in the design of a national system of incentives for coordinated implementation of the Rio Conventions

4. Develop tools to support the coordination of policies, programmes and projects at the local level

5. Support and facilitate the piloting of the tools and incentive system at the local level

6. Institutionalize an incentive system to sustain the application of tools and implementation of the business plan

7. Support activities to disseminate the tools and lessons learned to local government units across the country

Key Activities:

Annex 2 77

willfocusonstrengtheningindividualandorganiza-tionalcapacities,targetingthestructure,functionsandcapacitiesoftheEMPStomeetglobalenviron-mentalconcerns,broadeningthenon-governmentalpartnershipsinvolvedinthedeliveryoftheEMPSprogramme,andprovidingimprovedoperationalcapacity(e.g.,adaptivemanagementofenvironmen-talinterventions)todeliverexpectedresults.

Expected Outcomes:TheprojectisintendedtoachievethefollowresultsthatwereidentifiedintheNCSA:1. Mulltilateralenvironmentalagreementsare

moreeffectivelymanaged.2. Donor-fundedprojectsarebetterdesignedto

helpSeychellesmeetinternationalandnationalenvironmentalcommitmentsandpriorities.

3. Internationalandnationalenvironmentalcommitmentsarefinancedthroughmoresustainablesourcesandmechanisms.

4. Seychelles’institutionalframeworkisbetterenabledtoimplementtheEMPS.

SeychellesCapacity Development for Improved national and International environmental Management



Implementation period : December 2009 – november 2011

Gef Agency : UnDP

Attheorganizationallevel,theEMPScoordinatingunitdoesnothaveadequatecapacitytoproperlyfulfilitssecretariatdutiesandprovidethenecessarysupportandguidancetoimplementtheEMPS.Thereisinsufficientdataandnocentralizeddatabasetoguidetheplanning,informdecision-making,orfacilitatenationalreportingofactivitiestoimplementtheRioConventions.Initscurrentform,theEMPSisviewedasagovernment-dominatedprocessthatisneithersufficientlyparticipatorynoreffectiveinguidingenvironmentalpolicyorimplementingprogrammesandprojects.

ThereisalsoinadequateknowledgeinSeychellesabouthowtotranslatetheRioConventioncommit-mentsintolocalandnationalactionoutsideofthepublicsector.Thisincludesinsufficientknowledgeonthedesignofprojectsandsystemsthatincorpo-rateglobalenvironmentalobjectivesintolocaldevelopmentinitiatives.Thereisaninadequatebaselineoffieldexperienceinapplyingintegratedenvironmentalmanagementregimes.Relativelyfewhavebeenprovidedthebasicgenerictoolstofacilitatetheirpracticalapplication.

Project Strategy: ThisprojectisbasedonboththeneedtomainstreamglobalenvironmentalobjectivesintotheEMPSaswellastostrengthennationalcapacitiestoeffectivelyapplyintegratedenvironmentalmanagementapproaches.Theproject

The Challenge: While the 2000-2010 Environmental Management Plan for Seychelles (EMPS) addresses key local priorities, it does not adequately reflect international commitments. The EMPS as the guiding planning framework for environmental management in the Seychelles is not adequately integrated with the broader socio-economic development policy and planning frameworks. Additionally, the capacities of civil society are not properly harnessed to the betterment of local and global environmental objectives.

1. Development of the 2011-2020 EMPS that fully incorporates Rio Convention commitments.

2. Increased training and staffing of the EMPS secretariat for the cost-effective implementation of the EMPS, including direct linkages with national centres of excellence.

3. Establishment of a centralized database containing key data and information directly relevant to the Rio Conventions. The database will enable the develop-ment and publication of Seychelles’ first State of the Environment Outlook.

4. Pilot projects will be implemented to test the integration of global environmental practices at the district level. Training will be provided for government resource management agencies, NGOs, local resource users and other local stakehold-ers on new land-use planning processes and their relevance to and incorporation of obligations under the Rio Conventions.

Project Objective: To sustain global environmental management by strengthening the national institutional framework and developing the necessary technical skills and related capacities to manage global environmental commitments within the framework of national environmental objectives.

Key Activities:

United nationsDevelopment Programmeone United nations Plazanew York, nY 10017www.undp.org

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