national capacity self-assessments (ncsa)

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 eXCUTIf 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: Countriesassessmentofstakeholderengagement 37Figure11: Countriesassessmentofinformationandknowledgemanagementcapacities 38Figure12: Countriesorganizationalcapacitypriorities 39Figure13: Countriesenvironmentalgovernancecapacities 40Figure14: Countriescapacitydevelopmentprioritiesonmonitoringandevaluation 40Figure15: Summaryofcountriescross-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.PeerreviewofthedraftSynthesisReportwasprovidedbyUNDPsCapacityDevelopmentAdvisoryGroupandanumberofexternalreviewers.Thereportwascopy-editedbyStJohnMcKayanddesignedbyRebeccaButtrose.ArtworkbyPaulCoseo.

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,whichoutlinedguidingprinciplesandaprogrammaticapproachtodevelopandsustainachievementsthatmeettheobjectivesoftheseRioConventions.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,whichrepresentsanimportantsummarybaselineofcountrieskeycapacitydevelopmentprioritiesinnear-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-depthassessmentofcountriesunderlyingcapacities.Withafocusonmeetingandsustain-ingglobalenvironmentalobjectives,asframedbytheRioConventionsonbiodiversity,climatechange,anddesertificationanddrought,theCDIsetthestagefortheGlobalEnvironmentFacilitysStrategicApproachtoEnhanceCapacityBuildingin2003.Asthefirstnewprogram-maticpathwayoftheStrategicApproach,theNationalCapacitySelf-Assessment(NCSA)wasacountry-drivenEnablingActivitythatcatalyzedasystematicandcross-cuttinganalysisofindividual,organizationalandsystemiccapacities.TheseEnablingActivitieswerebuiltontheprincipleoflearning-by-doingasastrategytoinstitutionalizethecapacityassessmentprocess.TosupportcountriesNCSA,aGlobalSupportProgramme(GSP)wasestablishedin2005andjointlyimplementedbytheUnitedNationsDevelopmentProgramme(UNDP)andUnitedNationsEnvironmentProgramme(UNEP).

WithmostoftheNCSAsnowcompleted,andalmostadecadeafterinceptionofthefirstNCSAs,importantlessonsaretobelearnedoncountrieschallengesandopportunitiestomeetandsustainglobalenvironmentalobjectives.Asasummaryoftheresultsandlessonslearnedfrom82%ofthe146NCSAs,thisreportisacriticalcontributiontoourknowledgeofthetypesofcapacitiescountriesneedtomeetRioConventionobjectives.Whencomparedtothestrategicprogrammingofdevelopmentsupport,theresultsandanalysisinthisreportreaf-firmsthesupportbeingprovidedbyUNDPandUNEPwithfundingfromtheGEF,nottomentionthesupportbeingprovidedbymanyotherdevelopmentpartnersanddonorsthroughouttheNCSAprocess.

Therehavebeenanumberofimportantstudiesandassessmentsofcountriesenvironmentalcapacities,andthisreportservestocomplementthese.Inparticular,thisreportservestoupdatethestateofglobalenvironmentalsustainability,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%.TheWorldBankwasresponsibleforNigeriasNCSA.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).Thiswasacentralpartoftheprocesstoformulateandpromoteaconceptualframeworkfortheassessmentanddevelopmentofcountriesenvironmentalcapacities.BasedonanassessmentofcapacitydevelopmentintheGEFportfolio,theCDIsrecommendationsformedthebasisoftheGEFsstrategicprogrammingoncapacitydevelopment.ThisledtothecreationoftheNationalCapacitySelf-Assessments.

ThefirstNationalCapacitySelf-Assessments(NCSA)beganin2002withfundingfromtheGlobalEnvironmentFacility(GEF),somebeingimplementedbytheUnitedNationsDevelopmentProgramme(UNDP)withothersbytheUnitedNationsEnvironmentProgramme(UNEP).TheprimaryobjectiveoftheNCSAswastodeterminethechallengesofcountriesunderlyingcapacitiestomeettheirglobalenvironmentalcommitments,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

Theanalysisofthe119NCSAFinalReportsandActionPlansyieldedinsightsandlessonsfromcountriesquesttomeetglobalenvironmentalcommitments.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,theNCSAanalysisshowedthatcapacitiestonegotiateattheConventionsConferenceofthePartieswereofarelativelylowpriority,withonly17outof119NCSAsidentifyingthisasacapacityneed.Similarly,only32outof119NCSAsidentifiedintegratedecosystemmanagementasapriority.

Executive Summary


environmentalissuesintonationaldevelopmentprogrammes.ThefourprogrammaticframeworksinGEF-51are:

Enhancingthecapacitiesofstakeholderstoengagethroughoutaconsultativeprocess

Generating,accessing,andusinginformationandknowledge

Strengtheningcapacitiestodeveloppolicyandlegislativeframeworks

StrengtheningcapacitiestoimplementandmanageglobalConventionguidelines

Theseprojectswillalsobedevelopedandimplementedaspartofanoverallprogrammeofdonorsupporttocountries.InGEF-4,theGSPdevelopedguidelinestomonitortheoutcomesoftheCB-2projects2,havingproducedascorecardtoratethecapacitiesdevelopedaspartofatime-seriesevaluationexercise.Theseguidelinesareintheearlystageoftheirapplication,withtheexpectationthattheywillbeappliedtofocalareaprojects,producingavaluablesetofindicatorstomeasuretheachievementsandsustainabilityoftheGEFsbroadersetofcountryinterventions.

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-2projectswilladdressthoseurgentcapacitychallengesandprioritiesnecessarytoenhanceacountrysabilitytomeetitsobligationsunderthethreeRioConventions.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 Excutif 11

Sommaire Excutifautresvoiesdedveloppementdescapacits:(i)lerenforcementdescomposantesenmatirederenforcementdecapacitsdanslesprojetsdesdomainesdinterventionduFEM,(ii)desprojetsciblsderenforcementdescapacits,lafoisdansetentrelesdomainesdintervention,et(iii)leprogrammededveloppementdescapacitsdanslespayslesmoinsavancs(PMA)etlespetitstatsinsulairesendveloppement(PEID).

Depuis2002,153sur166paysligiblesontreudesfondsduFEMenvuedemettreenuvreuneANCR.LePNUDatlagencedexcutionpour76%decesprojetsdANCR,suivieduPNUEavec23%.LaBanquemondialeaassurlamiseenuvredelANCRduNigeria.En2004,leFEMaapprouvleProgrammemondialdappuidestinfourniruneassistancemthodologiqueauxquipesenchargedesANCRdanslespays,ainsiquedeproduiredessupportsdapprentissage.LaralisationdunKitdesressourcesdANCRdcrivantlesapprochesdebasepourlamiseenuvredANCR,notammentlesexigencesenmatiredeconsultation,lesvaluationsetlesanalysesentreprendre,enestunexemple.LeProgrammemondialdappuiagalementproduitdeslignesdirectricesafindesuivreetvaluerledveloppementdescapacits,quipourraienttreutilisescommelapremiretapedunevaluationdesrsultatsdetypesriechronologiqueentroispoints,deprojetsdedveloppementintersectorieldescapacits.

Surles119paysquiontachevleurNCSA,23sontdesstadesdiversdelamiseenuvredesrecommandationsprioritairesidentifiesdanslerapportfinaldeleurANCRetdeleurPlandaction.Alorsquelesprojetsdauto-valuationonttentirementfinancsparleFEM,lesprojetsdesuividesANCR,connussouslenomdeprojetsCB2,demandentautantderessourcesduFEMquedeco-financement.Surles23projets,neufs(9)onttapprouvspourlEuropeetlaCommunautdestatsindpendants,lerestetantquitablementrpartidanslesautresrgions,lexceptiondelargionduPacifique,quinedisposaitdaucunprojetCB2au

Unpartenariatstratgiquenoulafindesannes1990entreleSecrtariatduFondspourlenvironnementmondial(FEM)etlePNUDaconduitlacrationdelInitiativederenforcementdescapacits(IRC),lmentcentralduprocessusdeformulationetdepromotionduncadreconceptuelpourlvaluationetledveloppementdescapacitsdespaysenmatireenvironnementale.FondessurunevaluationdudveloppementdescapacitsdansleportefeuilleduFEM,lesrecommandationsissuesdelIRContconstitulabasedelaprogrammationstratgiqueduFEMsurlerenforcementdecapacits.Celaaconduitlacrationdelauto-valuationnationaledescapacitsrenforcerpourlagestiondelenvironnementglobal(ANCR).

Lespremiresauto-valuationsnationalesdescapacitsrenforcer(ANCR)ontdbuten2002avecunfinancementduFondspourlenvironnementmondial(FEM),certainesayanttmisesenuvreparleProgrammedesNationsUniespourledveloppement(PNUD)etdautresparleProgrammedesNationsUniespourlenvironnement(PNUE).LobjectifprincipaldelANCRatdedterminerlesdfislisauxvritablescapacitsdespaysrpondreleursengagementsmondiauxenmatiredenvironnement,engagementsquisontencadrsparlaConventionsurladiversitbiologique,laConventionsurlaluttecontreladsertificationetlascheresse,etlaConvention-cadresurleschangementsclimatiques.LavaleurtotaleduportefeuilledelANCRtaitde28,9millions$US,avecuneallocationmoyennede200.000US$parANCR.

En2003,leFEMaapprouvlApprochestratgiquepouramliorerlerenforcementdescapacits,dfinissantlesprincipesdirecteursetencadrantlaprogrammationdesressourcesduFEM.LApprochestratgiquearaffirmquelescapacitsncessairespourrpondreauxobjectifsenvironnementauxmondiauxsonttroitementlies,voiredpendentdecesautrescapacitsncessairespourrpondredesprioritsnationalespluslargesenmatiredenvironnement.Outrelerenforcementdecapacitsmisenplacedanslecadredesauto-valuations,lApprochestratgiquedfinittrois


Dautrepart,lanalysedesANCRamontrquelescapacitsngocierlorsdelaConfrencedesPartiesdesConventionsontconstituuneprioritrelativementfaible,avecseulement17des119ANCRlesayantidentificommeunbesoinentermesdecapacitsrenforcer.Demme,seules32des119ANCRontidentifilagestionintgredescosystmescommeunepriorit.

Lanalysedesrapportsfinauxetplansdactionde119ANCRapermisdedonnerunaperuetdetirerdesenseignementssurlavolontdespaysrpondreauxengagementslchellemondialelislenvironnement.Organissdanslecadredescinqprincipauxtypesdecapacitspermettantdatteindreetmaintenirlesobjectifsenvironnementauxmondiaux,lesprincipauxenseignementstirssont:

Lengagement des parties prenantes Uncertainniveaudeprparationestncessaire

cheztouteslespartiesconcernes,ycomprisauniveaupolitique,afindatteindreetdemaintenirlesobjectifsenvironnementauxmondiaux.

Pouratteindreladurabilitenvironnementale,limplicationdespartiesprenantesestncessaire.Celle-cidpendelle-mmedeleurniveaudesensibilisationetdecomprhension,ainsiquedescomptencesncessairespourprendredesmesures.

LesONGetlesorganisationscommunautairesdebase(OCB)doiventtrepleinementengagesdesortedatteindrelescommunautsmarginalises,quileurtourengagentlesacteursdelasocitcivile.

Desmthodologiessurlesbonnespratiquessontncessairespourengagerlespartiesprenantes.

LeprocessusdemiseenuvredesANCRatnovateur,abnficiduneparticipationmassiveetfructueusedespartiesprenantes,quiontpermisauxvaluationsdtretrspertinentes.

Gestion de linformation et des connaissances Bienquincompltes,lesinformationssur

lenvironnementexistent.Toutefois,lescapacits

momentdelardactiondecerapport.Ces23projetsCB2seconcentrentgnralementsurlessystmesdegouvernanceenvironnementaleetsurlintgrationdesquestionsglobaleslieslenvironnementdanslesprogrammesnationauxdedveloppement.

LamiseenuvredesANCRapermisauxpaysconcernsdidentifierleursenjeuxenvironnementauxprioritairestelsquelaluttecontreladforestation,lapromotiondelagestiondurabledesterres,oularductiondeleurvulnrabilitfacelimpactduchangementclimatique.Ilsaurontduprocderuneanalysedescausesfondamentalesafindedterminerlescapacitsinstitutionnelles(parexemple,lesconnaissances,lessystmesdaidelaprisededcisionetlesstructuresdegouvernance)ncessairespouratteindrelesobjectifsduprogramme.Tandisquelesvaluationsthmatiquespourchaquedomainedinterventionontpermislidentificationdesbesoinsenmatiredecapacitsspcifiquespourcetteproccupationenvironnementaleparticulire,lesrapportstransversaux(oudesynergie)ontadoptuneapprocheglobalepermettantdemieuxcomprendrelesdfisbasiquesauxquelsdoiventfairefacelespayspouratteindreetmaintenirlesobjectifsenvironnementauxglobaux.Cesderniresanalysesontconstituuncatalyseurimportantpouraiderlesdcideursetautresintervenantsmieuxapprcierlimportancedesliensexistantentreetparmilesconventions,etlescapacitsrvlatricesdesystmesrsilients.

Cetteanalysearvlquelescinqprincipauxbesoinsenmatirederenforcementdescapacitsexprimparlespayspouratteindreetmaintenirlesrsultatsenvironnementauxglobauxsontlessuivants:1)lasensibilisationdupublicetlducationenmatireenvironnementale;2)lagestiondelinformationetdeschanges;3)llaborationetlamiseenoeuvredepolitiquesetcadresrglementaires;4)lerenforcementdesmandatsetstructuresdesorganisations,et5)lamiseenplacedinstrumentsconomiquesetdemcanismesdefinancementdurable.

Sommaire Excutif 13

capacits(CB2)autitreduprogrammeFEM-5(2010-2014)sefondesurlesrecommandationsissuesdesANCR.Outreles23projetsactuellementencoursdexcution,lesprojetsCB2venirtenterontdetraitercesdfisurgentsentermesdecapacitsetlesprioritsncessairespourrenforcerlescapacitsdunpaysrespectersesobligationsprvuesparlestroisConventionsdeRio.Lesprojetsciblsdedveloppementintersectorieldescapacitsserontaxssurlerenforcementdessystmesdegouvernanceenvironnementaletraverslamiseenplacedemcanismesetdoutilsvisantamliorerlacollaboration,lessystmesdegestiondelinformation,laprisededcision,ainsiquelintgrationdesquestionsrelativeslenvironnementmondialdanslesprogrammesnationauxdedveloppement.LesquatrecadresdeprogrammationautitreduFEM-53sontlessuivants:

Renforcerlescapacitsdespartiesprenantessengagertraversunprocessusconsultatif

Produire,accderetutiliserdesinformationsetconnaissances

Renforcerlescapacitspourlaborerdescadrespolitiquesetlgislatifs

Renforcerlescapacitspourmettreenuvreetgrerleslignesdirectricesdesconventionsmondiales

Cesprojetsserontgalementlaborsetmisenuvredanslecadredunprogrammeglobaldappuidesdonateursauxpays.DanslecadreduFEM-4,leProgrammeMondialdappuiavaitlabordeslignesdirectricesafindassurerlesuividesrsultatsissusdesprojetsCB24,aprsavoirproduituntableaudebordvisantnoterlescapacitsdveloppesdanslecadredunexercicedvaluationdetypesriechronologique.Ceslignesdirectricessontunstadeprcocedeleurapplication,maisilestattenduquellessoientappliquesauxprojetsdesdomainesdintervention,produisantainsiunensembledindicateursutilespourmesurerlesrsultatsetladurabilitdesinterventionsduFEMsurunensemblepluslargedepays.

pourgreretaccdercesinformations,ycomprislacoordinationavecdautressystmesdegestiondelinformation,restentfaibles.

Ilestncessairedintgrerlesconnaissancestraditionnelles/autochtonesdanslesystmedegestiondelinformationenvironnementale.

Capacits organisationnelles Denombreuxpaysmanquentdeclartdanslamise

enplacedeleurstructureorganisationnellequipermettraitdefinancerdemanireadquatelagestiondelenvironnement.

Gouvernance environnementale Nombreuxsontlespaysquinedisposenttoujourspas

dunensembledepolitiquesenvironnementalescompltesetappropries,avecdesinstrumentslgislatifsetrglementairesinexistantsounonappliqus,cequirendencoreplusdifficilelagestiondelenvironnement.

Suivi et valuation Lespaysassurentlesuivietlvaluationdeleurs

projets,maislesconnaissancesproduitesnesontpasutilisesdemanireappropriedanslesprocessusdcisionnels.

Endpitdequelquesralisationsnotables,lesauto-valuationsontsurtoutreprsentunepremiretapeversunprogrammedactionsplusvastevisantdvelopperlescapacitspourlagestiondelenvironnementmondial.LesANCRontjouunrledecatalyseurdanslaccordimportanttrouventrelesdcideursetlesspcialistesetrelatiflensembledescapacitsncessairespouratteindreetmaintenirlesobjectifsenvironnementauxmondiaux,considrantlesrecommandationsissuesdesANCRcommeunensembledemesuresinitialesdevanttreappuyesparlacommunautinternationale.Lobjectifdudveloppementintersectorielcibldes

3 Voirtableau7,page77,Rsumdesngociations,CinquimereconstitutionduFondssubsidiaireduFEM,GEF/C.37/3,17mai2010,FondspourlEnvironnementMondial/Banquemondiale

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


Resumen EjecutivoEstratgicodelineotrostrescaminosdedesarrollodecapacidades;(i)elfortalecimientosdeloscomponentesdedesarrollodecapacidadesenlosproyectosdereafocalFMAM;(ii)proyectosdedesarrollodecapacidadesdirigidostantodentrocomoatravsdelasreasfocales;y(iii)elprogramadedesarrollodecapacidadesenlosPasesMenosDesarrolladosyPequeasIslasEstadosenDesarrollo.

DesdeEL2002,untotalde153de166paseselegiblesrecibieronfinanciamientoFMAMparaimplementarlosproyectosNCSA.ElPNUDfuelaagenciaimplementadoradel76%deestosproyectosNCSA,seguidoporPNUMAcon23%.ELBancoMundialfueresponsabledelNCSAdeNigeria.Enel2004,FMAMaprobelProgramadeApoyoGlobal(GSP)paraproveerasistenciametodolgicaallosequiposdepasdelasNCSA,ascomotambinparaproducirmaterialdeaprendizaje.EstoincluyelKitdeRecursosdeNCSA,quedelineabalosenfoquesbsicosparalaimplementacindelasNCSA,incluyendorequisititosdeconsulta,evaluacionesyanlisisaserrealizados.ELPAGtambinprodujodirectricesparamonitorearyevaluareldesarrollodecapacidades,queseranutilizadascomolaprimerade3etapas,deunaserieprogramadaparalaevaluacinderesultadosdeproyectostransversalesdedesarrollodecapacidades.Delos119pasesquecompletaronsuNCSA,23pasesestnendiversasetapasdelaimplementacinderecomendacionesprioritariasidentificadasensuReporteFinalyPlandeAccindeNCSA.MientrasquelasNCSAfueronproyectostotalmentefinanciados,losproyectosdeseguimientodelasNCSA,conocidostambincomoproyectosCB2,requierencantidadesigualesderecursosFMAMyco-financiamiento.Nueve(9)de23proyectosfueronaprobadosparalaregindelaComunidadEuropeadeEstadosIndependientes,conelrestodistribuidoporpartesigualesentreotrasregiones,conlaexcepcindelareginPacfica,lacualnotienenningnproyectoCB2almomentodeestereporte.

Unaasociacinestratgicaafinaldelosaos1990entrelaSecretaradelFondoparaelMedioAmbienteMundial(FMAM)yelPNUDllevalacreacindelaIniciativadeDesarrollodeCapacidades(IDC).Estafueunapartecentraldelprocesoparaformularypromoverunmarcoconceptualparalaevaluacinydesarrollodelascapacidadesambientalesdepas.BasadoenunaevaluacindeldesarrollodecapacidadesenelportafoliodeFMAM,lasrecomendacionesdelaIDCformaronlabasedelaprogramacinestratgicadeFMAMsobreeldesarrollodecapacidades.EstollevalacreacindelasAutoEvaluacionesdeCapacidadesNacionales.

LasprimerasAutoEvaluacionesdeCapacidadesNacionales(NCSA)empezaronenel2002confinanciamientodelFondoparaelMedioAmbienteMundial(FMAM),siendoalgunasimplementadasporelProgramadelasNacionesUnidasparaelDesarrollo(PNUD)yotrasporelProgramadeNacionesUnidasparaelMedioAmbiente(PNUMA).ElobjetivoprincipaldellasNCSAeradeterminarlosretosdelascapacidadessubyacentesdelpasparacumplirconsuscompromisosambientalesglobales,compromisosqueestnenmarcadosporlaConvencinsobreDiversidadBiolgica,laConvencinparaCombatirlaDesertificacinylaSequa,ylaConvencinMarcosobreCambioClimtico.ElvalortotaldelportafoliodeNCSAeraUS$28.9millones,conunaasignacinpromediodeUS$200,000porcadaNCSA.

Enel2003,elFMAMaprobelEnfoqueEstratgicoparaMejorarelDesarrollodeCapacidades,quedelinelosprincipiosguayenmarclaprogramacindelosrecursosFMAM.Elenfoqueestratgicoreafirmquelascapacidadesnecesariasparacumplirlosobjetivosdelmedioambienteglobalestnrelacionadosmuydecercacon,ysondependientesdeestascapacidadesnecesariasparacumplirprioridadesambientalesnacionalesmsamplias.EnadicinaqueeldesarrollodecapacidadesseafomentadoporlasNCSA,elEnfoque

Resumen Ejecutivo 15

capacidad.Demanerasimilar,solo32de119NCSAidentificaronlagestinintegradadelecosistemacomounaprioridad.

Elanlisisdelos119ReportesFinalesyPlanesdeAccindelasNCSAdiocomoresultadomayorentendimientosobrelabsquedadepasparalograrcompromisosambientales.Organizadobajoloscincotiposprincipalesdecapacidadesparalograrymantenerlosobjetivosambientalesglobales,lasleccionesclaveaprendidasson:Compromiso de las Partes Interesadas: Esnecesarioquetodaslaspartesinvolucradas

tenganunsentidodepreparacin,incluyendoanivelpoltico,parapoderlograrymantenerlosobjetivosambientalesglobales.

Lograrsostenibilidadambientalnecesitaelcompromisodelaspartesinteresadas,queasuvezespredicadaensuniveldeconcienciacinyentendimiento,ascomotenerlashabilidadesparatomaraccin.

LasONGyOrganizacionesconbaseenlaComunidad,tienenqueestarcompletamentecomprometidasparapoderllegaralascomunidadesmarginalizadas,quienesasuvezcomprometenalaspartesinteresadasdelasociedadcivil.

Sonnecesariasmetodologasdemejoresprcticasparacomprometeralaspartesinteresadas.

ElprocesodelasNCSAfueinnovador,beneficindosedelaparticipacinampliaeinteractivadelaspartesinteresadas,quehizolasevaluacionesaltamenterelevantes.

Gestin y Conocimiento de Informacin Aunquenocompleta,lainformacinambiental

existe.Sinembargo,lascapacidadesparaaccederymanejarestainformacin,incluyendocoordinacinconotrossistemasdegestindeinformacinpermanecedbil.

Hayunanecesidaddeincorporar

Estos23proyectosCB2generalmenteseenfocanensistemasdegobernabilidadambientalyenlaincorporacindetemasglobalesdelambientealosprogramasnacionalesdedesarrollo.

LasNCSArequeranquelospasesidentificaransustemasambientalesprioritarioscomoporejemplocombatirladeforestacin,promoverlagestinsostenibledelatierra,ominimizarsuvulnerabilidadalimpactodelcambioclimtico.Ellosdebanrealizarunanlisisdelacausarazparadeterminarlascapacidadesinstitucionales(ej.,conocimiento,sistemasdeapoyodedecisiones,yestructurasdegobernabilidad)necesariasparacumplirconlosobjetivosdelprograma.Mientrasquelaevaluacintemticaparacadareafocalidentificabalasnecesidadesespecficasdecapacidadparaesapreocupacinambientalparticular,losreportestransversales(sinergas)tomaronunenfoquegeneralparaelentendimientodelosretosmsbsicosqueenfrentanlospasesenelcumplimientoysostenibilidaddelosobjetivosambientalesglobales.Losltimosanlisisfueronuncatalizadorimportante,ayudandoalostomadoresdedecisionesypartesinteresadasaobtenerunamejorapreciacindelosimportantesvnculosentrelasConvenciones,ylascapacidadesindicativasdesistemasadaptables.Esteanlisisrevelquelascinconecesidadesdedesarrollodecapacidadesmsimportantesparalograrymantenerresultadosambientalesglobalesson:1)concienciapblicayeducacinambiental;2)gestineintercambiodeinformacin;3)desarrolloycumplimientodepolticasymarcosreguladores;4)fortalecimientodemandatosyestructurasorganizacionales;5)instrumentoseconmicosymecanismosdefinanciamientosostenible.

Alotroladodelespectro,losanlisisdeNCSAmostraronquelascapacidadesparanegociarenlaConferenciadelasPartesdelaConvencinfuerondeunaprioridadrelativamentebaja,consolo17de119NCSAidentificandoestocomounanecesidadde

Resumen Ejecutivo


esosretosurgentesdecapacidadyprioridadesnecesariasparamejorarlahabilidaddelpasparacumplirsusobligacionesbajolastresConvencionesdeRio.Losproyectosdirigidosdedesarrollotransversaldecapacidadesseenfocarnenelfortalecimientodelossistemasdegobernabilidadambientalatravsdemecanismosyherramientasparalamejorcolaboracin,sistemasdegestindeinformacin,ytomadedecisiones,ascomolaincorporacindetemasambientalesglobalesalosprogramasnacionalesdedesarrollo.LoscuatromarcosprogramticosenFMAM-55son: Mejorarlascapacidadesdelaspartes

interesadasparacomprometerseatravsdetodoelprocesodeconsultas.

Generar,accederyutilizarinformacinyconocimiento

Fortalecerlascapacidadesparadesarrollarmarcosdepolticasylegislativos

Fortalecercapacidadesparaimplementarymanejarlasdirectricesdeconvencinglobales

Estosproyectostambinserndesarrolladoseimplementadoscomopartedeunprogramaglobaldeapoyodedonantesapases.EnFMAM-4,elGSPdesarrolldirectricesparamonitorearlosresultadosdelosproyectosCB26,habiendoproducidounatarjetadepuntuacinparacalificarlascapacidadesdesarrolladascomopartedeunejerciciodeevaluacinprogramadoaplazos.Estasdirectricesestnensuetapatempranadeaplicacin,conlaexpectativadequesernaplicadasalosproyectosdereafocal,produciendounconjuntovaliosodeindicadoresparamedirloslogrosysostenibilidaddelconjuntomsampliointervencionesdepasdeFMAM.

conocimientostradicionales/indgenasalsistemadegestindeinformacinambiental.

Capacidades Organizacionales Amuchospasesleshacefaltaclaridadensu

montajeorganizacionalparapoderfinanciaradecuadamentelagestinambiental.

Gobernabilidad Ambiental Amuchospasesanleshacefaltapolticas

ambientalescomprensivasyadecuadas,coninstrumentoslegislativosyregulatoriosfaltantesonoobligadosqueentorpecenanmslagestinambiental

Monitoreo y Evaluacin Lospasesestnmonitoreandoyevaluandosus

proyectos,peroelconocimientoqueesgeneradonoestsiendoutilizadoadecuadamenteenlosprocesosdetomadedecisiones.

Apesardealgunoslogrosnotables,lasNCSAfueronunpasoinicialhaciaelmsgrandeprogramadeesfuerzoparadesarrollarcapacidadesennombredelmedioambienteglobal.LasNCSAcatalizaronunacuerdoexaltadoentreloscreadoresdepolticasypracticantessobreelconjuntototaldecapacidadesnecesariasparalograrymantenerlosobjetivosambientalesglobales,sustentandolasrecomendacionesdelasNCSAcomounconjuntodeaccionesinicialesparaapoyodelacomunidadinternacional.

Elenfoquedeldesarrollotransversaldecapacidadesdirigido(CB2)enFMAM-5(2010-2014),construyesobreestasrecomendacionesdeNCSA.Ademsdelos23proyectosexistentesqueestnenoperacinactualmente,losproyectosCB2futurosenfrentarn

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

6VeaBellamy,Jean-JosephyKevinHill(2010)MonitoringGuidelinesofCapacityDevelopmentinGlobalEnvironmentFacilityOperations,ProgramadeApoyoGlobal,AgenciaparaPolticadeDesarrollo,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.TheNCSAinitiativeisamongthemostextensiveoftheGEFsenablingactivityinitiatives,delvingintoanassessmentofcountriesfoundationalcapacitiestomeetglobalenvironmentalobjectives.Thatis,assessingthekeyindividual,organizational,andsystemiccapacitiesneededtosustainachievementsthatsatisfytheUnitedNationsConventiononBiologicalDiversity(CBD),theUnitedNationsConventiontoCombatDesertification(CCD),andtheUnitedNationsFrameworkConventiononClimateChange(FCCC),collectivelyknownastheRioConventions,andotherMultilateralEnvironmentalAgreements(MEAs).Fromanationalperspective,thedistinctionbetweenglobalandnationalenvironmen-taloutcomesismoreabstract.TheNCSAsmaythereforebeeasierunderstoodasanexercisetounderstandthekeydriversofandbarrierstosustainedenvironmentalprotectionandconservation,withparticularreferencetomeetingandsustainingobjectivescodifiedwithintheRioConventions.TheNCSAwasthereforestructuredtoproducecertainkeyrequirements,namelyanin-depthanalysisofthecoun-tryspriorityissues,capacityconstraints,aswellasopportunitiestomeetenvironmentalgoalsandobjectivesascalledforinthevariousarticlesoftheRioConventions.

2.BuildinguponeachcountrysuniquesetofexperiencesinaddressingchallengesformeetingcommitmentsundertheRioConventions,thisreportisintendedtoserveasakeytoolforthebroadsetofsocialactorsworkingtosupportcapacitydevelopmentprioritiesneededtomeetandsustainbothnationalandglobalenvironmentalobjectives.Tothisend,thisreportsummarizesthemainresultsfromtheNCSAs,identifyingthecommonissues,challenges,prioritycapacitydevelopmentneeds,andrecommendations

InTRoDUCTIon

7 Theremaining27NCSAFinalReportsandActionPlanswerenotanalyzedduetoeitherthelanguageortheirnon-availability.Inmostcases,theNCSAwasstillunderimplementation.

8 ThesearealsoreferredtoasCB-2Projects.

1

e. MutualAccountability:Donorsandpartnersareaccountablefordevelopmentresults.

8. FollowingtheParisDeclaration,MemberStateshavecalledfortheUnitedNations(UN)systemtoenhanceitsefforts,particularlyatthecountrylevel,tosupportnationalcapacitydevelopment;theyviewcapacitydevelopmentasacomparativeadvantageoftheUNdevelopmentsystem.AUNDevelopmentGroup(UNDG)positionpaper,EnhancingtheUNsContributiontoNationalCapacityDevelopment(UNDG,2006),laidoutanewframeworkfortheUNsworkatthecountryleveltoenhanceitscontributiontonationalcapacitydevelopment.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.TheOrganisationforEconomicCooperationandDevelopments(OECD)ParisDeclarationonAidEffectivenesscommittedtosupportingrecipientcountrieseffortsinstrengtheningtheirnationalcapacitiesandnationaldevelopmentstrategiesin2005,whichbuiltupontheOECDs2003DeclarationadoptedattheHigh-LevelForumonHarmonizationinRomeandthecoreprinciplesputforwardattheMarrakechRoundtableonManagingforDevelop-mentResultsin2004.TheParisDeclarationisbasedontheOECDsrecognitionthatplanningandmanagementcapacitiesarecriticaltomeetingdevelopmentobjectives,requiringconsensus-build-ingintheearlystagesofproblemidentificationandproblem-solving,withcrucialmonitoringandevaluationapproachesaspartofthedeepanalysisnecessaryforeffectiveadaptivemanagement.TheOECDalsorecognizedthatitistheresponsibilityofpartnercountriestodeveloptheirnecessarycapacitieswithinthebroadersocial,political,andeconomicenvironment,withdonorcountriesplayingasupportingrole(OECD,2005).

7. Basedondonorsexperience,theParisDeclara-tionisbuiltonfiveprinciplesofpartnershipcommitments,namely:

a. Ownership:Partnercountriesexerciseeffectiveleadershipovertheirdevelopmentpolicies,andstrategizeandcoordinatedevelopmentactions;

b. Alignment:Donorsbasetheiroverallsupportonpartnercountriesnationaldevelopmentstrategies,organizations,andprocedures;

c. Harmonization:Donorsactionsaremoreharmonized,transparent,andcollectivelyeffective;

d. ManagingForResults:Managingresourcesandimprovingdecision-makingfordesiredresults;and

THe nATIonAl CAPACITY Self-ASSeSSMenTS

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

9ThesearethebasedonUNDPsapproachtocapacitydevelopment,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,theGEFallocatedprogrammefundstosupportthestrengtheningofclientcountriestargetedcross-cuttingcapacitydevelopmentneedsasidentifiedintheirNCSAFinalReportandActionPlans.

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

16. TheGEFhasandcontinuestosupportanumberofenablingactivityprojectsinclientcountries,which,throughtheirprocessofstake-

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

edtheGEFandotherorganizationstosupportitsimplementation.BoththeCCDandtheStockholmConventiononPersistentOrganicPollutantshighlightedtheneedtoemphasizecapacitydevelopmenttoassistcountriesinmeetingtheircommitmentsundertherespectiveConventions.

12. Duringthelate1990sandearly2000s,theCapacityDevelopmentInitiative(CDI),astrategicpartnershipbetweentheGEFSecretariatandUNDP,wasacentralpartoftheprocesstoformulateandpromoteaconceptualframeworkforassessinganddevelopingcountrycapacities.BasedonanassessmentofcapacitydevelopmentintheGEFportfolio,theCDIsrecommendationsformedthebasisoftheGEFsstrategicprogrammingoncapacitydevelopment(GEF/UNDP,2000).

13.TheresultingGEFStrategicApproachtoEnhanceCapacityBuildingwasapprovedin2003,withtheguidingprinciplethatthecapacitiesnecessarytoprovideglobalenvironmentalobjectivesarecloselyrelatedto,andmustbeintegratedwith,capacitiestomeetbroaderenvironmentalgoalsatthenationallevel.WhereastheGEFhadpreviouslytargeted


2.2 Conceptual Framework for Capacity Development

19. Thereisbroadagreementthatcapacityinthecontextofdevelopmentcooperationreferstotheabilityofpeople,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. TheOECDdefinescapacitydevelopmentastheprocesswherebypeople,organizationsandsocietyasawholeunleash,strengthen,create,adaptandmaintaincapacityovertime(OECD,2006).UNDPdefinescapacitydevelopmentastheprocessthroughwhichindividuals,organizationsandsocietiesobtain,strengthenandmaintainthecapabilitiestosetandachievetheirowndevelop-mentobjectivesovertime(UNDP,2009).

21. UNEPdefinedcapacitybuildingasaholisticenterprise,encompassingamultitudeofactivities[thatincludes]buildingabilities,relationshipsandvaluesthatwillenableorganizations,groupsandindividualstoimprovetheirperformanceandachievetheirdevelopmentobjectives(UNEP,2002).Theyacknowledgedthatcapacitydevelopmentencompassestheacquisitionofskillsandknowl-

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

17. OnesuchinitiativeisUNDPsEnergyandEnvironmentGroup(EEG)withintheBureauforDevelopmentPolicy(BDP).Since2009,UNDP/BDP/EEGhasbeenundertakingaconsultativeandin-depthanalysisofthecapacityassessmentanddevelopmentprocesswithaviewtofurtherelaborateconceptualapproachesandpracticalguidanceonenvironmentalsustainabilityfortheorganizationanditspartnerspractitioners.ThefinalGuidanceNoteonCapacityDevelopmentforEnviron-mentalSustainabilityisexpectedtobecompletedbylate2010.Itwillprovidepracticaltoolsforenvironmentalsustainabilityagents,whichtheycanuseateachstageofthecapacityassessmentanddevelopmentprocess.

18. UNEPisalsohighlyengagedincapacitydevelopment,withtheirover-archingapproachbeingbasedontheEarthSummitsAgenda21,especiallytheessenceofChapter37,whichstatesthatcapacitybuildingiscentraltothequestforsustainabledevelopment.InFebruary2001,UNEPsGoverningCouncilrequestedtheExecutiveDirectortoprepareguidelinesoncompliancewithMultilat-eralEnvironmentalAgreements(MEAs)andthecapacityneedsfortheirenforcement.TheseguidelinesrecognizethatbolsteredcapacitiesareneededforcountriestomeetandsustaintheirMEAcommitments.UNEPsguidelinesmakespecialrecognitionofthechallengescountriesfacetomeetingthesecommitments,giventheunderlyingconditionsofpovertyandpoorgovernance,conditionsthatneedtobeaddressedthroughotherappropriateprogrammes.

10 SeethestudyonCapacity,ChangeandPerformanceconductedbytheEuropeanCenterforDevelopmentPolicyManagement;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.Reconcilingthese11principleswiththeUNDGandUNDPscapacitydevelopmentapproach(asstatedinparagraph10above),UNDPclassifiedthefollowingfivetypesofmeasurablecapacities11:

Capacitiesforengagement:Capacitiesofrelevantindividualsandorganizations(resourceusers,owners,consumers,commu-nityandpoliticalleaders,privateandpublic

edgeforindividuals,butalsotheimprovementsofinstitutionalstructures,mechanisms,procedures,andfinallythestrengtheningofanenablingenvironmentwithadequatepoliciesandlaws.

22. TheCDIundertakenbyUNDPandtheGEFSecretariatidentifiedtheneedforcapacitydevelop-mentactionstointerveneatthreelevels:

a. Attheindividuallevel,capacitydevelopmentreferstotheprocessofchangingattitudesandbehaviors,mostfrequentlythroughimpartingknowledgeanddevelopingskillsthroughtraining.However,italsoinvolveslearning-by-doing,participation,ownership,andprocessesassociatedwithincreasingperformancethroughchangesinmanage-ment,motivation,morale,andimprovingaccountabilityandresponsibility.

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

c. Atthesystemiclevel,capacitydevelopmentisconcernedwiththeenablingenvironment,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.

Capacitiestogenerate,access,anduseinfor-mationandknowledge:Capacitiesofindividualsandorganizationstoresearch,acquire,communicate,educate,andmakeuseofpertinentinformation,soastobeabletodiagnoseandunderstandglobalenvironmen-talproblemsandpotentialsolutions.

Capacitiesforpolicyandlegislationdevelopment:Capacitiesofindividualsandorganizationstoplananddevelopeffectiveenvironmentalpolicyandlegislation,relatedstrategies,andplansbasedoninformeddecision-makingprocessesforglobalenvironmentalmanagement.

Capacitiesformanagementandimplemen-tation:Capacitiesofindividualsandorganiza-tionstoenactenvironmentalpoliciesorregulatorydecisions,aswellasplanandexecuterelevantsustainableglobalenviron-mentalmanagementactionsandsolutions.

Capacitiestomonitorandevaluate: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 countrys obligations and opportunities from each MeA, and the countrys 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,limitingNCSAcountryteamsabilitytofocusonspecificsresultinginbroadstatementsaboutissues,constraints,andcapacitydevelopmentneedsandactions;(ii)NCSAguidancewastooproduct-orient-edanddidnotprovidestrongerguidanceonvariousmethodologicalapproaches.NCSAcountryteamswantedmoreguidanceonthehowto,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

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,and

regulativeframeworksandtheirenforcementb) Mainstreamingglobalenvironmental

prioritiesintonationalpoliciesandpro-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 bulgarias 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 Moroccos 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.OFPROjeCts

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.ThealignmentbetweentheNCSAobjectivesandthecountrycommitmentstotheMEAsisintendedtofacilitatecountriesfirststeptowardsdevelopingthecapacitiesforaneffectiveenviron-mentalmanagementframework.TherelevanceoftheNCSAsisalsostrengthenedbyidentifyingachievableeconomiesofscaleinsharedcapacitiestomeetbothnationalandglobalenvironmentalpriorities.ThevalidityandusefulnessofNCSAfindingsdependgreatlyontheownershipofthesefindingsbytherespectivecountrystake-holders,particularlytheenvironmentaldecision-makers.GreatercollaborationwiththeConven-tions,specificallytheJointLiaisonGroupcreatedtoexploresynergiesamongthethreeRioConventions,maylikelyhaveprovidedagreatervalidationandusefulnessofNCSAfindingsthroughtheCOPprocessofeachConvention.

3.1 Assessments by Focal Areas

47.TheNCSAmethodologyincludedastocktak-ingexercise,whichinvolvedtheidentificationofnationalactivitiesrelevanttoConventionthemes,aswellascorenationalenvironmentalpriorities,includingthereviewofrelatedcapacityassess-ments.Thiswasfollowedbythematicassess-mentstoanalyzethecountriesobligationsandopportunitiesarisingfromeachMEA,mirroredwiththecountrysperformanceandachievementstodate.TheassessmentslookedatthestrengthsandconstraintsinimplementingtheRioConven-tions,aswellascountriesprioritycapacityneeds.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

100

80

60

40

20

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 ecosystems

l 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 LandDegradation

52.Therewerefivecategoriesofpriorityenviron-mentalissuessurroundinglanddegradation.Fewercountriesidentifiedsoilcontaminationandrangelandmanagementaspriorityenvironmentalissues;whereaspoorlandusepracticesandsoillosswereissuesofhigherconcern.

53.Countriescallsforactiontoaddresslanddegradationissuesappeartobecloselyaligned,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

120

100

80

60

40

20

0

Priority env. Issues Priority CD needs Rec. CD Actions


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

60.India,ontheotherhand,determinedanumberofimportantclimatechangepriorities:theneedtoimprovethequalityofnationalgreen

national capacity self-assessments (ncsa)

Documents

capacity development

list of abbreviations

list of tables

table of contentslist

ncsa results

ncsaprojectsbyregion

thefivencsasteps 24figure2

executive summary