UNITED NATIONS ENVIRONMENT PROGRAMME

PROJECT DOCUMENT

SECTION 1 – PROJECT IDENTIFICATION

1.1 Title of Sub-Programme: International Waters – OP 10: Contaminant-based

1.2 Project title: Addressing Land-based Activities in the Western Indian Ocean (WIO-LaB)

1.3 Project Number: [Implementing Agency Project Number not yet assigned]

1.4 Geographical Scope: Africa: Comoros, Kenya, Madagascar, Mauritius, Mozambique, Seychelles, South Africa and Tanzania

1.5 Implementing Agency: United Nations Environment Programme (UNEP)

1.6 Executing Agencies: UNOPS/Nairobi Convention Secretariat.

1.7 Duration: 48 months

Commencing: June 2004

Completion: May 2008

8. Cost:

Million US$

Cost to GEF: Project: 4,186,140

PDF-B : 0,325,000

Subtotal GEF : 4,511,140

Co-financing: UNEP (in kind): 375,000

Government (in cash & kind) : 3,131,675

Norway (in cash) : 3,395,650

Subtotal Co-financing : 6,902,325

Total Project Cost : 11,413,465

Signatures:

LIST OF ACRONYMS

CBD Convention on Biological Diversity

CD Compact Disc

CCRF Code of Conduct of Responsible Fisheries

CITES Conventional on International Trade in Endangered Species

COI Indian Ocean Commission

COP Conference of Parties

CORDIO Coral Reef Degradation in the Indian Ocean

CRC University of Rhode Island Coastal Resources Center

CZMC Coastal Zone Management Center (Rijkwaterstaat, NL)

DANIDA Danish International Development Agency

DIM Data and Information Management

EAME East African Marine Ecoregion

EIA Environmental Impact Assessment

EMPS Environmental Management Plan of the Seychelles

FAO Food and Agricultural Organization

FINNIDA Finnish International Development Agency

GCRMN Global Coral Reef Monitoring Network

GEF Global Environment Facility

GEMPA-EA Group of Experts in Marine Protected Areas for Eastern Africa

GESAMP Group of Expert on the Scientific Aspects of Marine Environmental Protection

GIS Geographic Information System

GIWA Global International Waters Assessment

GOOS Global Ocean Observing System

GPA Global Programme of Action for the Protection of the Marine Environment from Land-based Activities

HAB Harmful Algal Bloom

ICRAN International Coral Reef Action Network

ICRI International Coral Reef Initiative

ICZM Integrated coastal zone management

IMO International Maritime Organization

IMS Institute for Marine Sciences, Dar es Salaam, TZ

IOC Intergovernmental Oceanographic Commission

IUCN The World Conservation Union

IW International Waters

LEARN Learning Exchange and Resource Network

LME Large Marine Ecosystem

NBSAP National Biodiversity Strategy and Action Plan

MPA Marine Protected Area

MPRU Marine Parks and Reserves Unit

NEAP National Environmental Action Plan

NEMC National Environment Management Council (Tanzania)

NEPAD New Partnership for Africa’s Development

NFP National Focal Point

NGFPA National Government Focal Point Agencies

NGO Non-Governmental Organization

NORAD Norwegian Agency for Development Cooperation

OAU Organization for African Unity

PC Project Coordinator

PDF Project Development Fund

PIP Priority Investment Portfolio

PIR Project Implementation Review

PPER Project Performance and Evaluation Review

QA Quality Assurance

QC Quality Control

RCU Regional Coordinating Unit (supports Nairobi Contention Secretariat in Seychelles)

SADC South African Development Community

SAP Strategic Action Programme

SC Steering Committee

SEACAM Secretariat for Eastern Africa Coastal Area Management

SGP Small Grants Program

SIDA Swedish International Development Agency

SIDS Small Island Developing States

SWIOFP South Western Indian Ocean Fisheries

SMC Strategic Management Advisory Committee

TAFIRI Tanzania Fisheries Research Institute

TDA Transboundary Diagnostic Analysis

TOR Terms of References

TPR Tri-partite Review

UNCLOS United Nations Convention on Law of the Sea

UNDP United Nations Development Programme

UNEP United Nations Environment Programme

UNOPS United Nations Office for Project Services

USAID United States Agency for International Development

WB World Bank

WCS Wildlife Conservation Society

WINDOW West Indian Ocean Waters

WIO West Indian Ocean

WIO-LaB GEF Project: Addressing land-based activities in the Western Indian Ocean

WIOMSA West Indian Ocean Marine Sciences Association

WMU WIO-LaB Managing Unit

WSSD World Summit on Sustainable Development

WWF World Wide Fund for Nature

WWW World Wide Web

Identifiers of Project brief as approved by the GEF

1. Identifiers

2. Summary:

This project proposal, Addressing land-based activities in the Western Indian Ocean (including TDA and SAP updates -- WIO-LaB), has a primary concentration on some of the major environmental problems and issues of the region: degradation of the marine and coastal environment due to land-based activities. The project focus on the Global Program for Action and OP 10 will result in the adoption and domestic resourcing of National Programmes of Action for abating land-based sources, as well as a regional GPA protocol for the existing Regional Environmental Convention (Nairobi Convention) with Annexes. This project is a direct follow-on to the African Process and the World Summit for Sustainable Development (WSSD), and addresses IW strategic priorities elucidated in the Draft IW support for WSSD decisions. The project focus on addressing major land-based activities in the region represents a strong partnership between the countries, the Norwegian government, UNEP, and the GEF. The project is designed to serve as a GPA demonstration project, as identified in OP 10 guidelines, to achieve three objectives. Three objectives have been developed for this GEF project: 1) Reduce stress to the ecosystem by improving water and sediment quality; 2) Strengthen regional legal basis for preventing land-based sources of pollution through GPA; and 3) Develop regional capacity and strengthen institutions for sustainable, less polluting development. A preliminary Transboundary Diagnostic Analysis and a preliminary Strategic Action Programme have been prepared, and these serve as the basis for preparation of this project proposal. The full GEF project will complete a geographically-specific TDA, a focused SAP with policy/ legal/ institutional reforms and needed investments for the transboundary problems and areas of important biomes in a state of decline, and specific NAPS with specific laws and investments included. This project builds on the African Process through adoption of their methodology for identifying hot spots, addressing hot spots identified in the African Process, and addressing sensitive areas identified in this process. For countries not participating in the MSP for the African Process, the African Process methodology will be followed to identify hot spots and sensitive areas for demonstration projects. The project focus on broad stakeholder participation will help assure the sustainability of the GPA Plans of Action. This project also builds on the four other GEF IW activities in the pipeline that are in the region, representing a holistic approach. The private sector will be a focus for cooperation, as they also hold the key for long-term sustainability of actions.

3. Costs and Financing (Million US $)

GEF:	Project *	:	$4,186,140
	PDF - B	:	$0,325,000
	Subtotal GEF	:	$4,511,140
Co-Financing:
	UNEP	:	$0,375,000
	Governments (in cash and kind)**	:	$3,131,675
	Norway	:	$3,395,650
	Subtotal Co-financing	:	$6,902,325
Total Project Cost		:	$11,413,465

* Commitment sought by Council at its (May, 2003) session (including project support costs)

** Based on pledges at the time of project brief submission

4. Associated Financing (Million US $):

Governments (baseline)

:

$97.662,796

5. Operational Focal Point Endorsement(s):

6. Implementing Agency Contact:

Mr. Ahmed Djoghlaf, Director, UNEP/DGEF Division for GEF Co-ordination, UNEP, Nairobi, Tel: 254 20 624166; Fax: 254 20 520825; Email: ahmed.djoghlaf@unep.org

2. BACKGROUND AND PROJECT CONTRIBUTION TO THE OVERALL SUB-PROGRAMME IMPLEMENTATION

1. Background and Context (Baseline Course of Action)

1. Marine and coastal environments, and the goods and services they provide, are under threat in many regions of the world. The 2001 report, prepared by the joint Group of Expert on the Scientific Aspects of Marine Environmental Protection, highlighted that on a global scale the productive capacity and ecological integrity of the marine environment, including estuaries and near-shore coastal waters, continued to be degraded and in many places the degradation even intensified. The sustainability of the services coasts and oceans provide is increasingly compromised by unsustainable consumption and production patterns and management practices.

2. Globally, the impact of sewage, physical alteration of coastal and marine ecosystems, and high nutrient levels merits priority for action over the period 2002-2006. Addressing these priorities cannot be achieved unilaterally or in isolation of the broader objectives of sustainable development. The causative relationship between poverty, human health, unsustainable consumption and production patterns, poorly managed social and economic development and the degradation of coastal and marine environments must be addressed through regionally integrated and cooperative action.

3. In this context, Paragraph 29 of the Plan of Implementation adopted by governments at the World Summit on Sustainable Development in Johannesburg, South Africa, 26 August – 4 September 2002, states “Oceans, seas, islands and coastal areas form an integrated and essential component of the Earth’s ecosystem and are critical for global food security and for sustaining economic prosperity and the well-being of many national economies, particularly in developing countries. Ensuring the sustainable development of the oceans requires effective coordination and cooperation, including at the global and regional levels….”

4. More specifically, the Johannesburg Plan of Implementation continues in Paragraph 32 to call upon the international community to “Advance implementation of the Global Programme of Action for the Protection of the Marine Environment from Land-based Activities and the Montreal Declaration on the Protection of the Marine Environment from Land-based Activities, with particular emphasis in the period 2002-2006 on municipal wastewater, the physical alteration and destruction of habitats, and nutrients, by actions at all levels to:

(a) Facilitate partnerships, scientific research and diffusion of technical knowledge; mobilize domestic, regional and international resources; and promote human and institutional capacity-building, paying particular attention to the needs of developing countries;

(b) Strengthen the capacity of developing countries in the development of their national and regional programmes and mechanisms to mainstream the objectives of the Global Programme of Action and to manage the risks and impacts of ocean pollution;

(c) Elaborate regional programmes of action and improve the links with strategic plans for the sustainable development of coastal and marine resources, noting in particular areas which are subject to accelerated environmental changes and development pressures;

(d) Make every effort to achieve substantial progress by the next Global Programme of Action conference in 2006 to protect the marine environment from land-based activities.

5. The proposed project described below will contribute to the realization of these commitments in the Western Indian Ocean (WIO) Region. The WIO region is comprised of five coastal States (Somalia, Kenya, Tanzania, Mozambique, and South Africa) and five island States (Mauritius, Comoros, Seychelles, Reunion-France, and Madagascar). These ten Western Indian Ocean nations are at different stages of both political and economic development. These differences are reflected in the range of individual economic indicators from those with a per capita gross national product of over $ 3,500 per annum, to those with less than $ 500 per capita. Similarly National institutions reflect variations in strength and infrastructure, as seen in the recent collapse of institutions and governance structure in Somalia and the evolution of a working government in Mozambique after several decades of strife.

6. The region encompasses two geographical sub-groupings: the Mainland and Island states that reveal both similarities and differences, with similarities being closer within than between them. The island states (except Madagascar) are almost entirely coastal due to their geographical size and are much more exposed, as a whole, to the marine environment, relative to the mainland states. Urbanization pressures, poverty, structural adjustments problems and the strength of informal sector activities, are far more dominant in the mainland states, compared to the island states of Comoros, Mauritius, and Seychelles. The coastal region of the mainland states between Somalia and Mozambique is home to 25 million people. This represents 20% of the combined population of the mainland states on 12% of the land. Population trends indicate a doubling of population in about 25 years in the major coastal cities of Mombassa, Dar es Salaam, and Maputo, which are experiencing growth of 5.0%, 6.7% and 7.2% per annum, respectively.

7. The WIO is renowned for the attractiveness of its coastal zones, high marine biodiversity, and rich marine and coastal resources. In the 52 tropical inshore fish families endemism is high, 22% in the WIO region compared to 13% in the Red Sea and only 6% in the Eastern Indian Ocean. Furthermore five of the world’s seven species of marine turtle nest on beaches in the region. Signs of environmental degradation, as well as a decline in natural resources and biodiversity, are beginning to become more obvious. This fact is attributed to the growing coastal population, as well as increasing land-based activities and sources of pollution such as industrial, urban, and agricultural activities.

8. The WIO States recognize the urgent need for better and more effective management of the

coastal and marine resources for the purpose of improving the quality of life of the people, sustaining economies of the countries of the Region, and maintaining the productivity and diversity of the ecosystems. It was with this in mind that the First Meeting of the Contracting Parties to the Nairobi Convention in March 1997 approved the preparation of the Strategic Action Programme (SAP) for the Region. Preparation of the present project, together with the preliminary TDA and SAP, was facilitated through a Global Environment Project Development Facility Block-B (GEF PDF-B) grant.

9. During the past two decades, the WIO Region has received significant international support for the development of environmental management capacity, particularly in coastal areas. As a result, a number of initiatives have taken place at local, national, and regional levels which need better coordination. In 1985, the Eastern African States adopted the Convention for the Protection, Management and Development of the Marine and Coastal Environment (the Nairobi Convention). The Convention has two protocols: one for the protection of wild fauna and flora, and a second for combating marine pollution. The Convention also has an Action Plan (the Eastern African Regional Seas Action Plan). In 1993, the Ministers of Environment and Natural Resources of the Eastern African countries met in Arusha, Tanzania and signed a resolution recognizing the importance and value of the coastal zone and emphasizing the need for sustainable development and integrated management of coastal areas for the benefit of coastal communities. As a follow up to the Arusha Declaration, a Policy Conference on Integrated Coastal Zone Management in Eastern African and Island States, was convened in Seychelles in 1996. Policy makers from the region assessed the successes and failures in ICZM since the Arusha Declaration, and discussed and agreed on actions needed to improve the situation.

10. The primary objective of this project and its Preliminary SAP is to provide a firm basis to strengthen existing regional frameworks, secure policy/legal/institutional reform, attract essential investments for Transboundary issues, and catalyze regional coordination of existing and new activities within the framework of the Nairobi Convention, and to address issues such as the lack of capacity, poor coordination, overlapping responsibilities, sectoral approaches to coastal and marine resource development, and inadequate enforcement within participating states. The SAP is consistent with the objectives of the Nairobi Convention, the protocols established thereunder, and with the objectives laid out in Agenda 21, Chapter 17, of the Rio Declaration. The present project and the SAP will further complement the objectives of the Southern African Development Community (SADC) and the Indian Ocean Commission (COI) initiatives.

11. The Preliminary SAP is based on the national environmental policies, plans, and on priorities identified at a national level. Risk assessment criteria were applied to identify priority regional threats, responses, and targets. A preliminary transboundary diagnostic analysis (TDA) was carried out to identify the supra-national/transboundary threats and responses. The TDA was based on national reports and analyses, and on extensive regional technical consultations and studies which took place in the past four years. The officially approved national reports have been prepared by Inter-Ministerial committees with broad-based consultation at the national level to identify the priorities of each country. The preliminary SAP describes a regional process for coordinating existing and new regional marine and coastal environment initiatives and identifies priority actions and identifies activities and programmes in relation to specific environmental quality objectives, targets, and associated actions designed to achieve a long-term balance between our growing populations and the carrying capacity of the coastal environment.

2. Legislative Authority and Project Contribution to Overall Sub-programme Implementation

12. The design of the Preliminary SAP and the present project conform to the GEF objectives and priorities in OP 10: Contaminant based, with relevance to the coastal, marine, and freshwater ecosystems Operational Programs (including OP 9). Based on GEF guidance, the focus of this project is on the more continental countries (Kenya, Tanzania, Mozambique, South Africa, and Madagascar), although assistance is focused also on assisting the island nations (particularly Comoros) develop their respective land-based National Programmes of Action. The draft SAP attempts to address some of those problems which are particular to the WIO Region, as indicated in the TDA, namely:

1. Shortage and contamination of fresh water

2. Decline in harvests of marine living resources

3. Degradation of coastal habitats (mangroves, seagrass beds, and coral reefs), loss of biodiversity.

4. Overall water quality decline: Contamination of coastal waters, beaches and living resources.

The third and fourth problems identified above form the basis for the present GEF project, through OP 10.

13. This project conforms to the GEF objectives and priorities in the Contaminant-Based Operational Program (OP 10). In particular, this project demonstrates ways of overcoming barriers to the adoption of best practices, and contributes to the first short-term objective of OP 10: “demonstrate strategies for addressing land-based activities that degrade marine waters". This project effectively integrates portions of OP 9 with OP 10, by achieving prevention of damage to the threatened West Indian Ocean waters, through linkage to specific strategies to achieve that prevention.

14. Through implementation of this project, and ultimately the SAP, regional and by extension global environmental benefits will result, through protection of international waters and their resources, and sustainable use of resources in consistency with GEF Operational Programs. The proposed project components are essentially regional and transboundary in nature and will enable

the states of the Region to improve existing regional cooperative frameworks, adhere to international conventions, national laws, regulations, and management regimes, plus and where necessary design new and additional collaborative regional mechanisms to improve the sustainability of resource use and reduce existing and potential degradation.

15. The principal human beneficiaries of the project are the users of the freshwater, marine, and coastal water resources, and those whose livelihood depends on the rivers, coastal wetlands, the mangroves, beaches, reefs, seagrasses, and seas. National Environmental Agencies will play a key role in the implementation of project activities thus enhancing capacity within the institutions as well as complementing and strengthening existing national efforts to address environmental issues. At a global level, the project and its SAP put together regional and national activities into a coherent component of the global environmental protection effort. Implementation of the final SAP will thus assist in the conservation of marine and coastal biodiversity and assist the countries in complying with their national and regional obligations under various international legal agreements.

16. The Project Brief is also entirely consistent with the Global Program of Action for the Protection of the Marine Environment from Land Based Activities (GPA/LBA) for the Indian Ocean Region as the Project recognizes the fact that the main sources of marine pollution come from land-based activities including urbanization and coastal development, industries, and agriculture practices. Furthermore, the Project builds on the recognized priorities for action proposed in the regional approach to implementing the GPA/LBA in the West Indian Ocean Region, which include the strengthening of regional cooperative arrangements; strategies and programs for the identification of problems and causes; the establishment of targets and priorities of action; definition of specific management objectives; and the need to identify the elements required to support the proposed actions. In addition the project will assist participating states in meeting the objectives of the Nairobi Convention; the regional and global priorities identified under Agenda 21 (Chapter 17); the Convention on Biological Diversity; the Programme of Action for the Sustainable Development of Small Island Developing States (Barbados, 1994); the Pan-African Conference on Sustainable Integrated Coastal Management (Mozambique, 1998); the Arusha Resolution on Integrated Coastal Zone Management (ICZM) in Eastern Africa including the Island States (April, 1993); the Seychelles Conference Statement on ICZM (October, 1996); and the Marine Turtle Conservation and Action Plan for the WIO region..

17. The project also complements the commitments and priorities identified within the Environmental Component of the New Partnership for Africa’s Development (NEPAD), thus further strengthening the institutional capacities of existing national and regional institutional structures. In a meeting held in Dakar 24-25 October, 2002, to launch the operational phase on - Development and Protection of Marine and Coastal Environment, a coordination - mechanism for a marine and coastal component of NEPAD to be supported by Regional Coordinating Units of the Abidjan and Nairobi Conventions was established. Subsequently under the Environment Initiative of NEPAD, a Thematic workshop on Conservation and Sustainable Use of Coastal and Marine and Freshwater resources in Abuja 24-25 February, 2003 endorsed the Abidjan and Nairobi Conventions as the Implementation Mechanism for the Coastal and Marine Subtheme of NEPAD Environmental Component. There are other ongoing, or planned, GEF interventions in the region.. The African Process identified a series of hot spots and sensitive areas in their review of the sub-Saharan countries, including the countries of Kenya, Mauritius, Mozambique, Seychelles, South Africa, and Tanzania. The extensive work arising from the African Process will serve as a basis for the present project selection of hot spots and sensitive areas for demonstration projects. The present project will also adopt the African Process as a means to identify hot spots and sensitive areas for those WIO-LaB countries not participating in the MSP project.

18. Also under GEF, the World Bank is developing a PDF-B for an open sea fisheries project (Southwest Indian Ocean Fisheries – SWIOFP), while the UNDP is in PDF-A phase for two projects. The first is a WIO-LME project; the second is a coastal biodiversity project. These projects are complementary with minimal overlap. In particular, coordination will take place (see Activity IIg) to share exchange of best practices, and avoid overlap in demonstration activities. The present project will enhance capabilities and strengthen institutions, which the later projects therefore can benefit from. The formal names of the projects are:

Development and protection of the coastal and marine environment in sub-Saharan Africa

An Ecosystem Approach to the Sustainable Use of the Resources of the Agulhas and Somali Current Large Marine Ecosystems (A&S LME Program), consisting of three separate projects:

1. A regional, offshore, South Western Indian Ocean fisheries, project with components in institutional, management, and strategy development (World Bank).

2. An LME oceanographic/science data collection project (assessment of the physical, biological and chemical elements of near-shore and off-shore resources of both LMEs) that would feed information into the other two projects (UNDP). This approach is consistent with the World Bank description of the programmatic approach described in its recently approved Concept Note for the SWIOFP. While the more exact nature and description of activities to be undertaken in this project will be a subject of the proposed workshop, its intent is to begin development of country capacity for the countries of the WIO leading to similar regional capacity to that being developed by the countries that share the Benguela Current. The Benguela Current countries (Angola, Namibia and South Africa) have joined to form a regional entity called BENEFIT. The mission of BENEFIT is to provide on-going transboundary scientific advice to the three countries with regard to the Bengulea Current Large Marine Ecosystem, or BCLME. The East Coast of Africa represents a wide range of oceanographic environments and the western Indian Ocean is the site of some of the most intense upwelling systems in the world. It is therefore essential to fully describe the impacts of these currents on the physical/chemical/biological environment of the proposed project area, which is the same area of that of the Fish Stock Assessment Project, as well as linkages to inshore coastal resources. This Oceanographic Component would be implemented by UNDP.

3. A series of community-based, site-specific, and results oriented demonstration projects in transboundary integrated marine and related land resources of the near-shore and coastal living resources of, initially, the Agulhas LME (UNDP).

19. As discussed in paragraphs 3 and 4 above, the present project directly addresses the conclusions of the World Summit for Sustainable Development (WSSD), by partially fulfilling the requirements outlined in Paragraph 32 of the Implementation Plan for the WSSD.

20. The present project also is consistent with the recent Draft GEF International Waters Focal Area- Strategic Priorities in Support of WSSD Outcomes for FY 2003-2006. This document lists various priorities, including:

Priority 2. Expand global coverage of foundational capacity building addressing the two key program gaps with a focus on cross-cutting aspects of African transboundary waters and support for targeted learning.

Priority 3. Undertake innovative demonstrations for reducing contaminants and addressing water scarcity issues with a focus on engaging the private sector and testing public-private partnerships.

The present project will assist in achieving the targets for these priorities for addressing African Transboundary waters and demonstration of the local feasibility of technology innovations in support of 4 or land-based pollution sources and protection of biodiversity

21. This project is entirely consistent with the priorities of the Eastern African governments as presented in the work programme for the Nairobi Convention, approved by the Contracting Parties in the Conference of the Parties held in Maputo, Mozambique, 5-7 December 2001. The project therefore, represents a strong partnership between the WIO countries, UNEP, the Government of Norway, and the GEF. The Government of Norway is providing a significant co-financing to the project, to strengthen the GPA demonstration approach.

3. NEEDS AND RESULTS

3.1 Needs

22. The Preliminary TDA identified the following list of major perceived problems and issues in the WIO region:

1. Shortage and contamination of fresh water

2. Decline in harvests of marine living resources

3. Degradation of coastal habitats (mangroves, seagrass beds, and coral reefs), loss of biodiversity

4. Overall water quality decline: Contamination of coastal waters, beaches, and living resources

The WIO countries need to address these four identified problems and issues on a region-wide basis that would permit the sustained development of natural resources to satisfy national aspirations for industrial and social development in a manner that reduces harm to the sensitive coastal and marine ecosystems. Development and implementation of the regional SAP will assist the WIO countries to address the root causes of the identified MPPIs.

23. There are a number of barriers to environmental protection and remediation in the Western

Indian Ocean. The issues raised by the preliminary TDA make it clear that the region as a whole lacks the capacity and the information base to address land-based activities affecting the coastal and marine resources of the WIO. This is the background from which the project has been formulated. The WIO states have demonstrated their commitment to regional co-operation for conservation of coastal and marine resources, however, through their approval of the Nairobi Convention.

23. The implementation of this project will complement existing national efforts to address

environmental issues in the coastal and marine areas of the WIO. These efforts are reflected in, for example, National Environmental Action Plans, regulatory regimes for fisheries and mangrove management, plus coastal zone settlement planning, and integrated coastal zone management plans. Many of these national activities and management frameworks are not designed to assess, let alone manage transboundary impacts. Therefore the project with its SAP, inter alia, contain priority actions to enhance the ability of members of the Nairobi Convention to implement existing legal frameworks for the management of coastal and marine resources as well as regionally integrated national programmes of action for the protection of the marine environment from land-based activities, thus increasing the ability of WIO states to reduce regional and transboundary environmental problems. The SAP focus is on policy/legal/institutional reform in the countries, combined with needed investments for priority

Transboundary problems including affected biota and habitats. Countries will produce National Action Plans that will provide for specific laws and investments.

3.2 Results

25. The broad development goal of this project is to contribute to the environmentally-sustainable management and development of the West Indian Ocean region, by reducing land-based activities that harm rivers, estuaries, and coastal waters, as well as their biological resources.

26. Consistent with this development goal and the primary project objective, the project is sub-divided into three major objectives, namely:

Objective 1: Reduce stress to the ecosystem by improving water and sediment quality

Objective 2: Strengthen regional legal basis for preventing land-based sources of pollution, including through the implementation of the Global Programme of Action for the Protection of the Marine Environment from land-based Activities

Objective 3: Develop regional capacity and strengthen institutions for sustainable, less polluting development, including the implementation of the Nairobi Convention and its action plan as approved by participating Governments

27. The need for these three objectives is supported by the preliminary Transboundary Diagnostic Analysis as well as by the preliminary Strategic Action Programme. The TDA identified the major perceived problems and issues, and then analyzed the root causes. In order to provide effective interventions, the three major objectives were set.

28. Practically, these objectives, when met, will produce:

• A geographically-focused, quantitative final TDA outlining priority environmental hotspots, and sensitive environments, supported by data.

• A specific SAP that is focused on policy/legal/institutional reform, with concrete investments addressing priority Transboundary concerns and problems.

• Country-specific National Action Plans that focus on specific legal reform, together with specific investments to tackle national priority problems.

• A negotiated protocol for the Nairobi Convention, with Annexes.

29. These objectives will be met through a series of interventions, focusing on:

• Demonstrations at a number of hotspots and sensitive areas, including some of those identified during the African Process

• Assistance with identifying specific laws and institutional strengthening in each country

• Broad stakeholder involvement in all phases of the project

• Private sector involvement to help secure sustainability

3.3 Assumptions to Achieve Results and Associated Risks

30. This project assumes both strong regional commitment to the project goals and objective as well as the necessary resources to carry out project activities. The WIO states have demonstrated their commitment to regional co-operation for conservation of coastal and marine resources through their approval of the Nairobi Convention, participation in the Arusha to Seychelles ICM process, and participation in the development of the SAP. There are risks, however, that some of the countries lack basic expertise necessary to successfully carry out all of the project activities. For these, the project needs to have built-in mechanisms early on to assist them. Nevertheless, the risk of non-delivery by regional experts is small. Also, despite the demonstrated political commitment, the budgetary allocations and investments to the coastal management projects have not been significant due to economic problems facing most of these countries; most of the projects have largely been donor-funded. Thus, a significant risk is the adverse socio-economic conditions existing in some of the countries. Risks and assumptions are further outlined in the Logical Framework Matrix in Annex XVII.

4. ACTIVITIES, OUTPUTS, WORK PLAN AND TIMETABLE, BUDGET AND FOLLOW-

UP

1. Project Activities and Outputs

31. The three major Objectives were developed for the Project based on the areas of threats identified by the preliminary TDA and SAP. These major objectives have associated outputs, components, and activities. These outputs will be developed not only under GEF funding, but also under the co-financing provided by the countries and the Norwegian government. Specific and more detailed Work Plans with breakdown of activities are presented in Annex II-IV.

32. The activities of this project will ensure synergies and build on ongoing programmes and initiatives in the East African region and be complementary to existing bilateral programmes of donor countries contributing to the project. For instance, the GEF medium sized project (MSP) Project on Development and Management of Marine and Coastal areas in Sub-Saharan Africa (SSA) also known as the African Process implemented by UNEP, has some synergistic objectives with the present project. Therefore, the present project will contribute to the overall implementation of the Recommendations of the African Process, by providing support for some of the proposals (e.g., demonstration projects). The present project will also build on the four GEF IW pipeline projects.

33. The major approach of this project will be that national or local authorities carry out all activities, with active support by the GPA, Secretariat for the Nairobi Convention and the EAF/RCU. While the Secretariat for the Nairobi Convention and the EAF/RCU are already playing a leading role in the region, the GPA project will further strengthen its capacity with respect to the integration of all-relevant coast and ocean-related activities at national and regional level. Thus strengthened, the Secretariat and the EAF/RCU will be able to facilitate and actively lead to the implementation of crosscutting issues identified by the GPA, African Process and the priority issues identified by Parties to the Nairobi Convention and ensure synergy in the region between each of these programme components. Simultaneously, it will coordinate project activities with all relevant stakeholders in the region, including the private sector, international and multilateral institutions, national and local governments, civil society and representatives of the freshwater community.

34. Objective 1 focuses on establishing processes by which accurate regional assessments of land-based activities can be made. At present, the differing national approaches to monitoring, to reporting, to analysis, etc. make it impossible to draw an accurate regional assessment. Major components within Objective 1 include regional capacity building through training, institutional strengthening, scientific/ monitoring activities, regional assessment, establishment of water-quality based standards (EQS), and demonstration projects. Achievement of Objective 1 will pave the way to developing a quantitative, geographically-specific TDA, which at present is quite general due to lack of concrete scientific information.

35. The demonstration projects, a major component of this Objective, are designed to show the region how to reduce stresses and threats from land-based activities, in a replicable fashion, including from wastewater and the physical alteration and destruction of habitats. Close coordination with UNDP will occur to assure complementarity of the demonstration projects in the “holistic” program for East Africa. These demonstration projects will build on the outputs of the African Process, both in terms of the hotspots and sensitive areas identified in the Process, as well as through adoption of the African Process for identifying hotspots and sensitive areas in those countries participating in WIO-LaB, but not originally part of the MSP. Hotspots and sensitive areas identified by the African Process include the following:

36. Six demonstration projects will be selected by the Project Steering Committee, based on the criteria’s described in Annex XIX, from the above lists of hotspots and sensitive areas, together with new hotspots and sensitive areas identified during this project, Annex XIX provides more information on the possible geographical locations and the type of demonstration project to be developed and implement during the project. Demonstration projects and pilot projects will be funded by the governments as co-financing, by GEF, and by the Government of Norway. The process for selecting demonstration projects and sites are covered by Activities Ig through Ii. The Demo projects will be executed by the participating countries will full support of two co-executing agencies. These demonstration projects will be designed to be replicable throughout the WIO region and beyond. A replication strategy will be developed within the context of the Nairobi Conventio, as well as focussing on the replication in western African country parties of the Abidjan Convention.

37. Components Ig), Ih) and Ii) comprise the bulk of the activities for the demonstration projects and will be coordinated and supervised by GPA. In particular, component Ig) will provide demonstration projects for major land-leased activities. Total increment for this activity is $907,180 (of which GEF funds $493,680, the remainder coming from the countries). The RCU in collaboration with Nairobi Convention Secretariat will organize this activity, and will provide contracts to individuals, organizations, and/or private sector companies to carry out the demonstration projects. The RCU will monitor the progress of these activities carefully. Component Ih) will be administered by the RCU and supported by Norway; this component has no baseline and on increment ($1,237,350) funded by Norway. Component Ih) is a pre-cursor to both Ig) and Ii). Component Ii) is another source of funding for demonstration projects, also funded by Norway in its entirety ($632,800).

38. Objective 2 focuses on improving the policy and legislative basis for effective controls on land-based activities. It focuses on improving national policy and legislation, assisting countries in developing their National Plans of Action for Land-Based Activities, implementing the Global Programme of Action, reviewing the text of the Nairobi Convention and developing a regional protocol with annexes for the Nairobi Convention, on Land-Based Activities, and promoting ICARM principles.

39. Objective 2 will also result in a regional coordination mechanism to encourage the establishment of links to other regional GEF International Waters projects and network between the projects to share best practices in Sub-Saharan Africa. The projects already identified include the UNDP-facilitated WIO-LME project, the UNDP-facilitated coastal biodiversity project, and two World Bank-facilitated projects – SWIOFP and the Western Indian Ocean Oil Spill Contingency Planning.

40. Objective 3 represents the Stakeholder and institutional strengthening components, focusing on training, education, public-private sector partnerships, and small-grants program. Additionally, the objective provides for the establishment of a Project Coordination Unit in Nairobi, within the Nairobi Convention Secretariat, and strengthening the existing EAF/RCU, partly as an institutional strengthening operation. It also provides for the preparation of a geographically-specific, quantitative TDA, a concrete SAP with identified policy/legal/ institutional reform and specific investments, and the development of a regional GPA clearinghouse mechanism.

41. Objective 3 will prepare an updated TDA and SAP. These activities will be coordinated with the four other GEF IW pipeline projects. If all projects are on a similar schedule, all can contribute to the TDA and SAP at the same time. If these projects are phased, then the TDA and SAP can be viewed as “living documents” subject to periodic updating.

42. Project activities are outlined in the Detailed Activities in Annex I. The activities are summarized briefly in the table on the next page.

Major Objectives and Project Components

4.2 Project Risks and Sustainability

43. The WIO states have demonstrated their commitment to regional co-operation for conservation of coastal and marine resources through their approval of the Nairobi Convention, participation in the Arusha to Seychelles ICM process, and participation in the development of the SAP. The First Meeting of the Contracting Parties to the Nairobi Convention held in March 1997 approved the project on preparation of the TDA and SAP for the marine and coastal environment of the WIO region. The regional governments have demonstrated their political commitment and contribution to the project through the preparation of the national reports which were the basis for the preliminary TDA and the draft SAP. Furthermore, the governments have endorsed their respective national reports and draft SAP. An earlier version of the SAP was adopted by a Meeting of Ministers in 1998, showing their commitment to the GEF Project.

44. The nature of risks and measures adopted in the Project to reduce risks are summarised in Table 1. These risks are of two types, national (or internal) and international (or external).

Table 1

Possible Risks

N – not significant

S - significant

45. As noted previously in Section 3.3 of this document, one set of internal risks associated with the Project relate to social and economic conditions within the Eastern African Region. Difficult social, economic, and environmental conditions will continue to stress the focus of the countries on the environment. However, the WIO-LaB project contains significant outreach and intergovernmental/ interministerial cooperation and coordination, to help secure broad support and sustainability for this project.

46. The second types of risks are those associated with external factors bearing on the Project, particularly the need for continuing support by the African States. This is essential in order to ensure both a sympathetic international context for the Project and adequate co-financing. The Project is bound with the Global Programme of Action for the Protection of the Marine Environment from Land-Based Activities. The Intergovernmental BPA Review in Montreal confirmed the importance of the measures undertaken to protect the world seas from contamination for the implementation of the entire GPA. The priorities related to the GPA are unlikely to change during the life of the Project. Thus, overall, the external risks to the Project appear not so serious as to endanger its satisfactory execution and completion.

47. Many of the national considerations relating to internal risks bear equally on the issue of sustainability. Moreover, adoption and implementation of a Strategic Action Programme (SAP) within the current Project will help assure a legacy of sustained and systematic national interventions with a view of environmental protection following the completion of the Project. There is little doubt that the demonstration of the Project’s successes and the associated social and political benefits of a national and international nature should be a valuable incentive for the continuation of the targeted efforts of the Project. The life of the Project is long enough to provide a basis for institutional sustainability including provisions for the maintenance of environmental sustainability and management of ecologically viable use of resources.

48. Risks are further discussed in the Logical Framework Matrix, Annex B. Here, risks for each individual Objective and Component are addressed. Annex B also lists indicators for evaluating the success of implementation of each objective and component, as well as the source of verification (e.g., reports, RCU files, etc.)

.

4.3 Work Plan and Timetable

49. The work plan for the co-ordination and management of the Project is shown in Annex 2

Timetable for Implementation

4.4 Budget

50. The summary budget (output-based) as presented in the Project Brief is shown Annex III.

4.5 Cash Advance Requirements

51. An initial cash advance from the UNEP contribution will be made upon signature of the project document and will cover expenditures expected to be incurred by the Project Office during the first three months together with some lead time for the processing of the subsequent quarter’s cash advance. Subsequent cash advances are to be made quarterly, subject to:

(i) Confirmation by the Project Office, at least two weeks before the payment is due, that the expected rate of expenditure and actual cash position necessitate the payment, including a reasonable amount to cover “lead time” for the next remittance, using format in Annex IV;

(ii) The presentation of:

o a satisfactory financial report showing expenditures incurred for the past quarter, under each project using the format in Annex XII;

o timely and satisfactory progress reports on project implementation.

4.6 Follow-Up

52. During the Project, a donor exit strategy will be developed to ensure that ongoing activities begun as a part of the Project will continue past the Project end. The resolution of the problems encountered during the Project implementation will undoubtedly require considerable investments. Replicability of Project activities, including demonstration projects, will be a key focus in order to gain the most benefits from the Project. It appears unlikely that any requests for additional GEF interventions in this field will be forthcoming following the completion of the Project.

5. INSTITUTIONAL FRAMEWORK

5.1 Institutional Framework

53 The GEF supported the development of the WIO-LaB project through an initial PDF B grant of USD 325,000 and approved, in 2002 a full-scale project for an additional USD 4,186,140. The Government of Norway is providing counterpart funding amounting to USD3,395,650. In addition in-kind contribution, valued at USD 3, 132,000 will be provided by the countries participating in the project and will cover office space and furnishings, staff time office equipment etc. UNEP co-financing will amount to USD375,000 and consists mainly of technical assistance and supervision. The UNOPS and Nairobi Convention Secretariat will jointly execute the project under the overall supervision of the UNEP/GEF and UNEP/GPA Coordination Office. The Nairobi Convention Secretariat will establish a small project office to manage the day-to-day running of the project. A Program Manager, a Scientific Officer and a secretary/administrative assistant will staff the project office. The project office reports to UNOPS, the Nairobi Convention Secretariat and ultimately to the UNEP/GEF Executive Coordinator and Coordinator of the GPA. All activities under this programme will be carried out in cooperation with Governments, international organizations, the National Focal Points for the Nairobi Convention and GEF Projects, NGO’s and national and international consultants. With regard to the planned collaboration between UNEP and UNOPS reference is hereby made to the Memorandum of Understanding dated 12/02/2001 between UNEP and UNOPS covering all respective issues. Annex XVIII represents Institutional Arrangements for the implementation of the project.

54 The project will cover related personnel costs of staff of UNOPS, the project office of the Nairobi Convention Secretariat and the GPA Coordination Office. It also covers the costs of the activities as detailed in the project document and the UNON Programme Support Costs.

55 A Steering Committee consisting of National Focal Points, and representatives of the donor organizations will be established to provide strategic guidance on the implementation of the project. The Steering Committee will meet regularly to review annual work plans and facilitate coordination between the various implementing partners and stakeholders. Representatives of the private sector and civil society will be encouraged to participate in the Steering Committee.

56. The work will be carried out by a series of national consultants and national organizations, including educational, research, governmental, NGO, and so on. This network will work closely through the National Focal Points to assure the government will endorse their work products, but the Nairobi Convention Secretariat and the project office will retain some independence in naming these individuals to assure a broad representation across the stakeholders. A few international consultants will be involved where there is a need for capacity building.

57. The development of the draft SAP has been a participatory process demonstrating the broad commitment of the WIO States. National reports were prepared for WIO States with the direct involvement of diverse local experts from a range of disciplines. During the implementation, governments will be directly involved in the regionally co-ordinated activities through the participation of national institutions and experts in activities planned under this project. Regional and international NGOs such as IUCN and WWF will also be involved as appropriate.

58. In particular, the private sector will be actively involved in this process. Without the buy-in of the private sector, effectiveness and sustainability will be at risk. Therefore, the RCU will work with the countries to include the private sector in their activities.

5.2 Co-Executing Agencies Arrangements

59. The Project shall be executed through the support of the United Nations Office for Project Services, transitioning with time to the Nairobi Convention Secretariat Office as capacity is built there. Overall Financial Responsibility for the GEF funds will remain under the supervision of UNOPS for the entire project, though as many execution tasks should be transitioned to the Nairobi Secretariat Office as soon as possible, with active capacity-building undertaken by the UNOPS. Nairobi Convention Secretariat will be responsible for the technical issues related to the implementation of the whole project.

5.3 Management and Administrative Structure

60. The management and administrative structure for the Project shall consist of the following elements: Co-executing Agencies, Steering Committee, and Project Office in Nairobi.

5.4 Project Office

61. The administration and implementation of the project will take place through a network of national agencies responsible for various activities, operating according to a common workplan. A small Project Office will be established within the Nairobi Convention Secretariat in Nairobi, consisting of a Project Manager, a Project Scientific Officer, and a Secretary. The Secretariat for the Nairobi convention will support the project office as need arises through national or regional consultants. This Project Office will be responsible for managing daily activities of the project. The GPA will provide guidance to the project office in the implementation of the activities that are co-financed by Norway. The Project Office will report to the Executing Agencies and operate within the work programme of the Nairobi Convention, and will work closely with the Secretariat to help develop capacity even further.

5.5 Steering Committee

62. The Steering Committee will be composed of senior government officials chosen by the participating governments to act as the National Focal Points for the Nairobi Convention and the GEF Project, or their designees, as well as representatives from the international partners, NGO representatives, and the Civil Society. The Steering Committee shall be convened annually. The Steering Committee for the Project will be responsible for approving strategic decisions and annual workplans, setting program direction, reviewing WIO-Lab progress, and identifying new and additional funding related to implementation of projects under the WIO-Lab. A regional or local NGO and the private sector will be invited as observers to sit at the Steering Committee Meetings. The Steering Committee will provide policy-level liaison to national governments, through Intersectoral Coordination in each country, regarding implementation of the program on the country level, and will provide direction to the Project Office regarding preparation of the Regional Strategic Action Programme (SAP) and National Action Plans (NAPs). The Steering Committee will be chaired by an elected senior government official (one year term) from the participating countries. The Project Manager will serve as the Secretary to the Steering Committee.

Each country will have its Ministerial Coordinating Committee, facilitated by the National Focal Point, to help assure effective coordination and communication amongst all ministries, at all project stages. The National Focal Points (NFP) will help assure intersectoral coordination within their countries, as a step towards sustainability.

5.6 Coordination of the Stakeholders

63. A Stakeholder participation plan for the Project has been developed. It indicates how the various stakeholders will be involved, and at what stages. In order to attain sustainability, the activities are designed to address interests of large groups of stakeholders, and thus nearly ¼ of the budget is designed for this task.

64. The project will assist participating states in meeting the objectives of the Nairobi Convention; the regional and global priorities identified under Agenda 21 (Chapter 17); the Convention on Biological Diversity; the Programme of Action for the Sustainable Development of Small Island Developing States (Barbados, 1994); the Pan-African Conference on Sustainable Integrated Coastal Management (Mozambique, 1998); the Arusha Resolution on Integrated Coastal Zone Management (ICZM) in Eastern Africa including the Island States (April, 1993); the Seychelles Conference Statement on ICZM (October, 1996); and the Marine Turtle Conservation and Action Plan for the WIO region. The project also complements the commitments and priorities identified within the Environmental Component of the New Partnership for Africa’s Development (NEPAD), thus further strengthening the institutional capacities of existing national and regional institutional structures.

65. There are other ongoing, or planned, GEF interventions in the region, which this project will coordinate with (budget has been allocated). The “African Process” medium-sized project addressed a subset of the present countries ( focuses on sub-Saharan countries) and on ICZM activities. The African Process identified a series of hot spots and sensitive areas in their review of the sub-Saharan countries, including the countries of Kenya, Mauritius, Mozambique, Seychelles, South Africa, and Tanzania. The extensive work arising from the African Process will serve as a basis for the present project selection of hot spots and sensitive areas for demonstration projects. The present project will also adopt the African Process as a means to identify hot spots and sensitive areas for those WIO-LaB countries not participating in the MSP project.

66. Also under GEF, the World Bank is developing a PDF-B for an open sea fisheries project (Southwest Indian Ocean Fisheries – SWIOFP), while the UNDP is in PDF-A phase for two projects. The first is a WIO-LME project; the second is a coastal biodiversity project. These projects are complementary with minimal overlap. In particular, coordination will take place (see Activity IIg) to share exchange of best practices, and avoid overlap in demonstration activities. The present project will enhance capabilities and strengthen institutions, which the later projects therefore can benefit from. The formal names of the projects are:

An Ecosystem Approach to the Sustainable Use of the Resources of the Agulhas and Somali Current Large Marine Ecosystems (A&S LME Program), consisting of three separate projects:

1. A regional, offshore, South Western Indian Ocean fisheries, project with components in institutional, management, and strategy development (World Bank).

2. An LME oceanographic/science data collection project (assessment of the physical, biological and chemical elements of near-shore and off-shore resources of both LMEs) that would feed information into the other two projects (UNDP). This approach is consistent with the World Bank description of the programmatic approach described in its recently approved Concept Note for the SWIOFP. While the more exact nature and description of activities to be undertaken in this project will be a subject of the proposed workshop, its intent is to begin development of country capacity for the countries of the WIO leading to similar regional capacity to that being developed by the countries that share the Benguela Current. The Benguela Current countries (Angola, Namibia and South Africa) have joined to form a regional entity called BENEFIT. The mission of BENEFIT is to provide on-going transboundary scientific advice to the three countries with regard to the Benguela Current Large Marine Ecosystem, or BCLME. The East Coast of Africa represents a wide range of oceanographic environments and the western Indian Ocean is the site of some of the most intense upwelling systems in the world. It is therefore essential to fully describe the impacts of these currents on the physical/chemical/biological environment of the proposed project area, which is the same area of that of the Fish Stock Assessment Project, as well as linkages to inshore coastal resources. This Oceanographic Component would be implemented by UNDP.

3. A series of community-based, site-specific, and results oriented demonstration projects in transboundary integrated marine and related land resources of the near-shore and coastal living resources of, initially, the Agulhas LME (UNDP).

67. As discussed above, the present project directly addresses the conclusions of the World Summit for Sustainable Development (WSSD), by partially fulfilling the requirements outlined in Paragraph 32 of the Implementation Plan for the WSSD (include the quote).

68. The present project also is consistent with the recent Draft GEF International Waters Focal Area- Strategic Priorities in Support of WSSD Outcomes for FY 2003-2006.

The present project will assist in achieving the targets for these priorities for addressing African Transboundary waters and demonstration of the local feasibility of technology innovations in support of reducing land-based pollution sources and protection of biodiversity. By facilitating coordination amongst these various regional efforts, enhanced communications will occur.

5.7 Consultations and Communications

69. Allowance has been made within the Project Work Plan and Timetable to ensure regular communication (it is not only communication but coordination) between the project office and UNEP in Nairobi and the GPA Secretariat in The Hague. UNEP in Nairobi and the GPA Secretariat in The Hague represent the primary international co-ordination centres for the protection of the African coast and the marine environment respectively from land-based activities. They therefore provide a means of independent evaluation of Project progress and of the extent to which the goals of these two organisations are met by Project activities (GPA is actually a big part of the project itself so not sure how independent it can be). Besides the management of the Project will keep necessary consultations with UN, UNEP and GEF organisations implementing projects in the African region to exclude repetition of efforts.

70. All engaged organisations and nations (stakeholders) would be provided with regular updates of activities and progress in the execution of the Project by the Project Coordinating Unit and the Co-executing Agencies. Such distribution shall also include dissemination to national and international organisations, including those representing indigenous peoples’ interests and those having interests or responsibilities in environmental protection.

All correspondence regarding substantive and technical matters should be addressed to:

At UNEP

Mr. Ahmed Djoghlaf

Assistant Executive Director,

Director,

UNEP/DGEF Coordination

P. O. Box 30552

Nairobi, Kenya

Fax: (254) 20-624041

Phone: (254) 20-624166

Email: Ahmed.Djoghlaf@unep.org

With a copy to:

Mr. Vladimir Mamaev

Senior Programme Officer

Division of GEF Coordination (DGEF)

PO Box 30552

Nairobi, Kenya

Tel: 254 20 624607

Fax: 254 20 624041

Email: Vladimir.Mamaev@unep.org

At the Nairobi Convention Secretariat

Dixon Waruinge

Programme Officer

Regional Seas (Nairobi and Abidjan Conventions)

Division of Environmental Conventions

Tel. 254 20 622025

NAIROBI

dixon.waruinge@unep.org

And a copy to

Dr. Veerle Vandeweerd

Coordinator, GPA Coordination Office

United Nations Environment Programme (UNEP)

P. O. Box 16227

2500 BE, The Hague, The Netherlands

Project Management Officer, UNEP

To be recruited upon project approval; and

All correspondence regarding administrative and financial matters should be addressed to:

At UNOPS Nairobi:

Mr. David Rendall,

Regional Manager,

UNOPS- east and southern africa regional office ▪

p.o.box 39981,

00623 nairobi, Kenya

E-mail: DavidR@unops.org

At UNEP

Mr. S. Kurdjukov

O-I-C, Budget and Financial Management Service (BFMS)

UNON

P.O. Box 30552

Nairobi, Kenya

Tel: (254) 2 623645

Fax: (254) 2 623755

With a copy to:

Mrs. I. Njeru

FMO

Division of GEF Coordination (DGEF)

PO Box 30552

Nairobi, Kenya

Tel: 254 20 623595

Fax: 254 20 624041

Email: immaculate.njeru@unep.org

6. MONITORING, EVALUATION AND REPORTING

6.1 Project Monitoring and Evaluation

71. Monitoring and evaluation includes a series of linked activities, including a complete Project Document, Tripartite Reviews, Annual Project Reports (and hence to the UNEP Project Implementation Review Process), and mid-term and final project Evaluations. Monitoring and evaluation begins with preparation of this Project Document, complete with Logical Framework Matrix (Logframe) developed according to strict M&E procedures, including clear indicators of implementation progress and means of verification. This Project Document includes the required Logframe Matrix with progress indicators and verifiers.

6.2 Half-Yearly Progress Reports

72 Detailed half-yearly (i.e., biannual) (by 30 June and 31 December each year) reports shall be prepared and submitted to UNEP/DGEF by the Project Manager and Project Financial Management Officer. These reports shall contain a summary of progress since the previous biannual report, specification of any foreseen impediments to Project implementation and up-to-date financial information regarding GEF and co-financing expenditures.

73. The annual programme/project report (APR) is designed to obtain the independent views of the main stakeholders of a project on its relevance, performance and the likelihood of its success. The APR form has two parts. Part I asks for a numerical rating of project relevance and performance as well as an overall rating of the project. Part II asks for a textual assessment of the project, focusing on major achievements, early evidence of success, issues and problems, recommendations and lessons learned. The APR will be prepared by the Project Manager, after consultation with the relevant Stakeholders, and will be submitted to UNEP-Nairobi. The Stakeholder review will focus on the logical framework matrix and the performance indicators. Stakeholders could include a letter to the UNEP-Nairobi that they have been consulted and their views taken into account.

74. A mid-term project evaluation will be conducted. At the end of 18 months, the mid-term evaluation will be made. It focuses on relevance; performance (effectiveness, efficiency and timeliness); issues requiring decisions and actions; and initial lessons learned about project design, implementation and management. A final evaluation, which occurs at the end of project implementation, focuses on the same issues as the mid-term evaluation but also looks at early signs of potential impact and sustainability of results, including the contribution to capacity development and the achievement of global environmental goals. It should also provide recommendations for follow-up activities.

75. In summary tabular form, the M&E process for the WIO-LaB will be as follows:

Table 3. M&E Activities, Timeframes and Responsibilities

UNEP, as the Implementing Agency, shall also be responsible for monitoring Project performance to ensure conformity with Project objectives and advising the Co-executing Agencies on implementation issues.

6.3 Terminal Reports

76. A Terminal Report shall be filed jointly by the Co-executing Agencies within 60 days of the completion of the Project. The format of this report is shown at Annex XV. This report shall provide the basis for an independent terminal evaluation conducted by the Co-ordinating Office UNEP/DGEF.

6.4 External Reporting

77. The WIO-LaB project will be subject to tripartite review (TPR) once during the project (at the end of the second year). The tripartite review (TPR) is a policy-level meeting of the parties directly involved in the implementation of a project. The participants include the Government, UNEP, project management, the direct beneficiaries, and other stakeholders. On these occasions, the Project Manager will submit an updated workplan (if required) and the latest Annual Project Report (APR), and formulate recommendations for eventual adjustments of strategies and activities. A draft APR shall be prepared at least two months in advance of the TPR to allow review by UNEP prior to the meeting. The Executing Agency (UNOPS with the Nairobi Convention Secretariat) assures that the recommendations of the TPR are carried out. Full Procedures for conducting the TRP are presented in the M&E Info Kit. Annual TPRs are not required because the Steering Committee Meetings will address many of the issues normally addressed in a TPR.

78. The project will also participate in the GEF Project Implementation Review (PIR) process, in addition to the APR and TPR. The PIR is mandatory for all GEF projects that have been under implementation for at least a year at the time that the exercise is conducted. The PIR, which is carried out between June and September, contains sections on basic project data, financial status, procurement data, impact achievement and progress in implementation. The basic outline tends to follow the structure of the Logframe or PPM, with indicators assigned to development objectives, immediate objectives, means of verification, and assumptions. The PIR questionnaire is sent to the Project Coordinator, usually around the beginning of June. Project Coordinators have on average 1.5 - 2 months to collect the necessary information, and submit it to UNEP/Nairobi.

5. Financial Reports

79. Financial reports shall be prepared by UNOPS/the Project Office in accordance with normal accounting practices:

(i) Details of expenditures shall be reported on an activity-by-activity basis, in line with Project budget codes as set out in the Project Document, as at 31 March, 30 June, 30 September and 31 December, using the format given in Annex XII (Quarterly Expenditures Report). All expenditure accounts shall be dispatched to UNEP within 30 days of the end of the three-month period to which they refer, certified by a duly authorised official of the Project Office and signed by the Project Manager;

2. The expenditure account as at 31 December is to be be received by UNEP by 15 of

February each year.

2. A final statement of account in line with UNEP project budget codes, reflecting actual

final expenditures under the project, when all obligations have been liquidated.

(iv) Any portion of cash advances remaining unspent or uncommitted by the Project Office on completion of the Project shall be reimbursed to UNEP within one month of the presentation of the final statement of accounts. In the event that there is any delay in such disbursement, the Project Office shall be financially responsible for any adverse movement in the exchange rates.

81. The Project Office shall retain, for a period of three years, all supporting documents relating to financial transactions under the Project. If requested, the Project Office shall facilitate an audit by the United Nations Board of Auditors and/or the Audit Service of the accounts of the Project.

6.6 Co-Financing Report

82 A report on co-financing will be completed as of 31 December of each year using the format given in Annex XIV.

7. TERMS AND CONDITIONS

7.1 Non-Expendable (Capital) Equipment

83. The secretariat for the Nairobi convention and UNOPS will maintain records of non-expendable equipment (items costing $1,500 or more as well as items of attraction such as pocket calculators) purchased with UNEP funds (or with trust funds or counterpart funds administered by UNEP), and will submit an inventory of all such equipment to UNEP once a year indicating description, serial number (if any), date of purchase, cost and present condition of each item attached to the progress report submitted on 31December. Within 60 days of the completion of the project UNOPS will submit to UNEP a final inventory of all non-expendable equipment purchased under the project indicating description, serial number (if any), date of purchase, cost and present condition, together with UNOPS proposal for the disposal of the equipment. Non-expendable equipment purchased with funds administered by UNEP remains the property of UNEP until its disposal is authorized by UNEP, in consultation with UNOPS. The executing agency shall be responsible for any loss of or damage to equipment purchased with UNEP funds. The proceeds from the sale of equipment (duly authorized by UNEP) shall be credited to the accounts of UNEP, or of the appropriate trust fund or counterpart fund.

7.2 Responsibility for Cost Overruns

84. The executing agencies are authorised to enter into commitments or incur expenditures up to a maximum of 20 per cent over and above the annual amount foreseen in the project budget under any budget subline, provided the total cost of the UNEP annual contribution is not exceeded. This may be done without prior authorization, but once the need for these additional funds becomes apparent, a revised budget request should be submitted to UNEP immediately. Cost overruns are the responsibility of UNOPS/ The Project Office, unless a revised budget has been agreed with UNEP.

85. Any cost overrun (expenditure in excess of the budgeted amount) on a specific budget subline over and above the 20 per cent flexibility mentioned above should be met by the organization which originally assumed responsibility for authorizing the expenditure, unless a revision has been agreed to by UNEP prior to the authorization to cover it. Savings in one budget subline may not be applied to overruns of over 20 per cent in other sublines, even if the total cost to UNEP remains unchanged, unless this is specifically authorized by UNEP upon presentation of the request. In such a case, a revision to the project document amending the budget will be issued by UNEP.

7.3 Claims by third parties against UNEP

86. UNOPS shall be responsible for dealing with any claims which may be brought by third parties against UNEP and its staff, and shall indemnify UNEP and its staff against any claims or liabilities resulting from operations carried out by UNOPS under this project document, except where such claims or liabilities arise from negligence or misconduct of the staff of UNEP.

7.4 Modification

87. Any modification or change to this Project Document shall be approved in writing by the Parties to this Project Document.

5. Termination

88. Either party may terminate this Contract with sixty days’ advanced written notice to the other. In the event of such termination, each party shall provide the corresponding funding in accordance with its obligations herein to cover any Project costs up until the termination date, including, but not limited to, the costs of complying with third-party commitments made pursuant to the Project that may run beyond the termination date and which cannot be revoked without incurring liability.

8. PUBLICATIONS

89. This project document provides for printing distribution/sales of UNEP publications emanating from UNEP programmes. All publications must be produced/published, according to the UNEP publications manual with the approval of the UNEP Editorial Committee to ensure peer review of manuscripts, and distribution and marketing strategies. UNEP thereby affirms itself as copyright-holder of the said manuscripts.

90. Funds for printing/publishing will only be released upon approval by the UNEP Editorial Committee. The new book/Publications Proposal form (blue) should be countersigned by the Chief, [Information Centre] and the Fund Management Officer, as well as annexes to the project file. For publications issued under the sole imprint of UNEP and printed internally, both the cover and the title page of the publication will carry the logo of UNEP and the title United Nations Environment Programme.

91. For publications issued with cooperating and supporting agencies, both the cover and the title page of the publication will carry the logo of UNEP and the title United Nations Environment Programme, together with that of the cooperating or supporting agencies. The cooperating or supporting agency will submit three copies of any manuscript prepared under the project for clearance prior to their publication in final form. UNEP's views on the publication and any suggestions for amendments of wording will be conveyed expeditiously to the agency, with an indication of any disclaimer or recognition which UNEP might wish to see appear in the publication.

92. Copyright and royalties, as well as free copies, will normally be claimed by UNEP on publications produced under a UNEP project and financed by UNEP; the rate of royalties payable to UNEP and the number of free copies, will be negotiated with each individual commercial publisher. Royalties received from commercial publishers will be deposited in UNEP Revolving Fund (Information). Attention: Five copies of each publication need to be deposited by the responsible Division in the UNEP Library. Four copies need to be sent to the Communications and Public Information (CPI) Branch, which is the first "port of call" for

requests on publications. The UNEP Library will forward two copies of the five copies received to the UN Library in New York Headquarters.

List of Annexes

Annex I Detailed Activities of the GEF Project

Annex II Timetable for Implementation

Annex III Detailed Budget

Annex IV Format for Cash Advance Statement

Annex V Terms of Reference for Project Office (RCU)

Annex VI(a,b,c) Terms of Reference for Project Office Personnel

Annex VII Terms of Reference for Consultants

Annex VIII Terms of Reference for the Steering Committee of the Project

Annex IX Terms of Reference for the Ministerial Coordinating Committees

Annex X Format for Half-yearly Progress Report

Annex XI Format for Terminal Report

Annex XII Format for Quarterly Project Expenditure Accounts for Supporting Agencies

Annex XIII Format for Inventory of Non-expendable Equipment

Annex XIV Format for Report on co-financing

Annex XV Letters of co-financing

Annex XVI Logical Framework Matrix

Annex XVII Responses to GEF Council members comments

Annex XVIII Institutional Arrangements

Annex XIX Geographical location for Demonstration Sites, their nature and selection criteria’s.

Annex I

Detailed List of Activities and responsibilities.

Annex II

Timetable for Implementation

Annex III Detailed Budget

See Excel file

Annex IV

Format for Cash Advance Statement

cash advance statement

Statement of cash advance as of ..............................................................................

And cash requirements for the quarter of ..................................................................

Name of co-operating agency/
Supporting organisation ___________________________________________

Project No. ___________________________________________

Project title ___________________________________________

I. Cash statement

1. Opening cash balance as at ......................... US$ __________________

2. Add: cash advances received:

Date Amount

............................................... ............................................

............................................... ............................................

............................................... ............................................

............................................... ............................................

3. Total cash advanced to date US$ __________________

4. Less: total cumulative expenditures incurred US$ (_________________)

5. Closing cash balance as at ........................... US$ __________________

II. Cash requirements forecast

5. Estimated disbursements for quarter

ending ......................................................... US$ __________________

7. Less: closing cash balance (see item 5, above) US$ (_________________)

8. Total cash requirements for the

quarter ......................................................... US$ __________________

Prepared by_________________________ Request approved by_______________________

Duly authorised official of co-operating agency/ supporting organisation

Annex V

Terms of Reference for Project Office

Background: The Project Office will serve as the project management office for this project. It will have a small staff, to be co-located with the Nairobi Convention Secretariat in Nairobi, Kenya. The Project Office staff will consist of an internationally-recruited Project Manager at approximately a L4 level, an Environmental Scientist/Associate Project Officer, and a secretary. Their TORs are attached as Annex VI.

Tasks: The Project Office will have the following tasks:

• Perform project management for the WIO-LaB project;

• Create detailed TORs for all regional consultants, international consultants, and subcontracts in close coordination with GPA on specifically the Norway funding);

• Assist the Executing Agency in hiring the consultants and subcontractors, by providing technical review of qualifications;

• Create an annual detailed work plan for adoption by the Steering Committee;

• Track the work plan using project management software such as Microsoft Project, and manage actively to correct deficiencies in project progress;

• Serve as Secretariat to the Steering Committee;

• Liaise with the implementing and executing agencies, and with other international partners and participants;

• Review and approve all final work products;

• Prepare a semi-annual project newsletter for broad distribution within the region;

• Liaise with other GEF and non-GEF projects in the region, to assure synergy and minimize overlap

Annex VI (a)

Terms of Reference for Project Office Personnel

Terms of Reference for:

Project Manager - L4 (budget line 1101)

1. Overall responsibility:

The overall responsibility of the Project Manager is effective management of the UNEP/GEF Project entitled “Addressing Land-based Activities in the Western Indian Ocean (WIO-LaB)” in accordance with the signed Project Document, with a view to timely and proper implementation of the Project in its entirety.

The project has a strong partnership between the countries of the East African region, GEF, GPA and the Norwegian Government, consequently the Project Manager will maintain a strong involvement of the supporting partners in the project execution

2. Duties and Responsibilities:

Under the guidance of Programme Officer responsible for the Nairobi Convention, the Project Manager will in particular be responsible for the implementation of the GPA/GEF WIO-LaB project in close consultation with UNOPS and GEF.

Project Manager shall specifically ensure that the activities specified within the project document are carried out in such a manner as to achieve the objectives specified in the project document, and assist national institutions in the region to perform the roles assigned to them.

In general terms the Projects Manager shall undertake the following:

• Consult periodically within UNEP, and with other partners on issues relevant to the project, as well as matters related to the administrative and financial arrangements in connection with the project;

• Consult regularly with UNEP, UNON, UNOPS and the Secretariat for the Nairobi Convention and the GPA on administrative and policy matters in order to reflect UNEP’s policy in the execution of the project;

• Maintain close liaison with member states of the Eastern African Region participating in the project, and plan through correspondence with the designated national institutions of member states the activities delegated to the institutions, and assist them on implementation of the activities;

• Liase with relevant inter-governmental and United Nations agencies and other partners e.g., World Bank, IUCN, WWF etc working in the region, in order to ensure efficient implementation and use of outputs of the project;

• Develop other activities, which will enhance the objectives of the project, and present the same to the UNEP Secretariat of the Nairobi Convention for consideration.

More specifically, the Project Manager will:

1. Develop systems and processes necessary for the tracking, planning and execution of the project.

2. Identify project priority activities and their related costs within the countries of the region;

3. Request technical/legal/policy information on the implementation of the project through the Nairobi Convention Focal Points;

4. Monitor the project implementation at all stages, including the analysis of implementation difficulties and initiating remedial actions, as well as monitoring of the mid-term review and facilitation of the terminal independent evaluation;

5. Liaise with the Co-executing Agencies, Steering Committee, UNEP, GEF and other donors;

6. Oversee and maintain liaison between all parties concerned with the project to facilitate any changes or modifications and to facilitate resolution of project problems;

7. Organise and supervise expert meetings, interagency consultations and training workshops or seminars as required by the project;

8. Prepare working documents for discussion at the meetings of task teams and working groups;

9. Prepare draft reports on the status of the implementation of the project at the regional level, focusing on gaps to be filled;

10. Prepare TORs for consultancy contracts and monitoring of their execution;

11. Present the six-monthly Cash Advance Request with substantiation for the GEF funds for the Project to UNEP;

12. Present detailed draft annual work plans on the Project implementation and of the required financing to be approved by the Steering Committee;

13. Undertake technical approval of candidates for consultancy contracts with local and international experts and supervision of their work;

14. Ensure the preparation of substantive, financial and other Project reports stipulated under the Project for submission to UNEP;

15. Ensure completion of deliverables and adherence to timelines; analyse and resolve issues that have the potential to jeopardise performance and/or ability to meet agreed upon deliverables; analyse financial and operational reports;

16. Undertake any other tasks as may be assigned to him/her in the field of his/her competence.

3. Job requirements:

• Advanced university degree in the field of environment, including marine-related sciences;

• At least a minimum of 8 years of professional relevant experience;

• High level of fluency in written and spoken English and a working knowledge in French;

• Familiarity with UN system an asset;

• Demonstrated competence in the management of large international projects including budget planning, financial management, monitoring and evaluation;

• Ability to use microcomputers and related software for data management, information management and retrieval, as well as word-processing and project fund management using spreadsheets;

• Good knowledge of the countries of the region and the EAF Action Plan, and of the national marine-related institutions as well as the working environment of the region;

• Demonstrated experience in national and international negotiations;

• Demonstrated capacity for networking;

• In-depth experience in project design and formulation according to UNEP–GEF or UNDP specifications;

4. Type of contract:

Contract with the Project Manager will be for 12 months per year for the duration of the Project.

5. Supervision given to the post:

The work of the Project Manager Post will be supervised by the Co-executing Agencies, and the Steering Committee. More specifically, the Nairobi Convention Secretariat will be responsible for supervising all technical and substantive issues of the project while UNOPS will supervise and provide guidance on all administrative issues.

Project Office Personnel –VI (b)

Terms of Reference for:

Environmental Scientist / Associate Project Officer - L3 (budget line 1102)

1. Overall responsibility

The overall responsibility of the Environmental Scientist / Associate Project Officer is to assist the Project Manager and co-ordinate actions for effective management of the UNEP/GEF Project entitled “Addressing Land-based Activities in the Western Indian Ocean (WIO-LaB)” in accordance with the signed Project Document, with a view to timely and proper implementation of the Project in its entirety.

2. Duties and responsibilities

Assist the Project Manager:

• in the follow-up of the implementation of all activities specified in the Project Document and their timely completion;

• in the preparation of materials for detailed annual work plans and in the follow-up of their implementation;

• in facilitating distribution and, when required, publication of substantive reports and other materials resulting from Project activities;

• in drafting work plans for implementation of the project in the selected countries and service all meetings under the project.

• in organizing meetings to be held in the framework of the Project;

• in all financial and administrative matters including necessary coordination within UNEP; follow up on Personnel, Fund, Finance, Travel and General Services issues and with implementing agencies, participating countries and focal points;

• in drafting MOUs with collaborating agencies and partners obtain technical inputs from relevant officers, checks and verifies the proposal and cost estimates received from countries;

• in preparing draft terms of reference for consultants, progress reports, annual reports, half-yearly reports on status of implementation, annual budget reports to donor Government and ad-hoc financial reports as and when requested.

• in preparing the working documents for task teams and working groups; and

• in any other tasks which the Project Manager may deem necessary for the Project implementation.

3. Job requirements:

• University degree in social sciences or its equivalent.

• Good knowledge and familiarity with the United Nations system.

• Fluency in English with a working knowledge of French;

• At least 8 years of work experience of which 2 years in international and national projects;

• Familiarity in the work related to the coastal and marine environment an asset;

• Ability to use microcomputers and related software for data management required. Experience in project and report writing and general office management essential.

• Organizational skills;

• Good communication skills;

• Ability to take initiative;

• Ability to prioritise workload and work under pressure.

4. Type of contract:

Contract with Environmental Scientist / Associate Project Officer will be for 12 months per year for the duration of the Project

5. Supervision given to the post:

The work of the Environmental Scientist / Associate Project Officer will be supervised by the Project Manager.

Project Office Personnel- VI©

Terms of Reference for:

Project Secretary-G4/G5 (budget line 1103)

1. Overall responsibility

The overall responsibility of the Secretary is to assist the Project Manager for effective management of the UNEP/GEF Project entitled “Addressing Land-based Activities in the Western Indian Ocean (WIO-LaB)” in accordance with the signed Project Document, with a view to timely and proper implementation of the Project in its entirety.

2. Duties and responsibilities:

• Coordinate information flow by processing and drafting routine correspondence and responses in English as appropriate for supervisor's signature, take dictation and transcribe, type letters, memoranda, reports, faxes, etc;

• Assist in the organization of the supervisor's work; make travel arrangements, hotel bookings and prepare documentation required for missions;

• Handle inquiries pertaining to the substantive office (in English); answer routine queries and receive visitors for the Project Manager;

• Assist in setting up of meetings, liaise with relevant offices at UNEP regarding allocation of meeting rooms, process documents for the meetings, type the agenda, list of participants and working documents for the meetings as well as sending out invitations and paying of DSA to the meeting participants. Provide secretarial servicing by typing and distributing minutes/reports of the meetings as required;

• Filing: Establish an up-to-date and maintain suitable filing system for the office; maintain an up-dated computerized mailing list of supervisor's contacts, focal points, experts and Ministers of Environment for the Nairobi and Abidjan Conventions; disseminate public information awareness by distributing public awareness material to national institutions of participating countries;

• Assist in increasing efficiency and effectiveness of the information flow by

coordinating and processing incoming mail, e-mails and faxes, and outgoing information faster and at less cost;

• Processing and subsequent follow-up of travel authorizations, organizing for tickets in liaison with travel unit and the travel agency, application and follow-up on visa acquisition, making accommodation arrangements, arranging for travel advance with Payments Unit, preparing documentation for meetings and Missions;

• Assist in the logistics of international meetings and conferences including assisting the participants with their travel arrangements, payment of DSA and making accommodation arrangements;

• Maintain mailing links with all participating countries and advisory centres, such as, WIOMSA, IUCN, WWF, SEACAM, and maintain all the MOUs signed for the project's implementation;

• Prepare pre-encumbrance for stock requisitions for the office and ensuring adequate supplies at all times.

3. Job requirements:

• Secondary schools education or its equivalent and formal secretarial training.

• Minimum of five years working experience in secretarial related duties and office management in a busy multi-national organization.

• Fluency in written and spoken English essential and knowledge of any other UN language an advantage.

• Ability to take shorthand dictation and transcribe it into final form.

• Proficiency in the use and operation of the computer, including advanced skills in windows and its programmes.

• Ability to plan, co-ordinate and monitor own work plan, have a great sense of accuracy.

• Must have excellent interpersonal, oral and written communication and organisational skills.

• Have client orientation and satisfaction as part of the day to day duties.

• Ability to work under pressure.

3. Type of contract:

Contract with Project Secretary will be for 12 months per year for the duration of the Project

3. Supervision given to the post:

The work of the Project Secretary will be supervised by the Project Manager.

Annex VII

Terms of Reference for Consultants

And Sub-Contracts

Background: In most of the cases, activities requiring consultants will be contracted through letters of agreement and Memoranda of Understanding to selected institutions within the region that have demonstrated the capacity to undertake regional projects. Only institutions with competent human resources and infrastructure and have a regional network, will be eligible to undertake activities that are in line with the institutional mandate. International consultants will be used to coordinate and support National Consultants in the region. Though considerable capacity exists in the region for much of the work to be carried out in this project, there is still a need for internationally recruited experts to assist with specific parts of this work.

The International Experts will report to the Programme Officer responsible for the Secretariat for the Nairobi Convention, through the Project Manager and will fulfil detailed Terms of Reference to be completed by the Project Manager and his/her staff. The major consultants to be used for this project, as included in the budgeting, are listed below by component/task.

Tasks: INTERNATIONAL CONSULTANTS

Component IA - task 2: An international consultant will be hired for 15 days to assist the Project office and regional consultants in developing written guidelines for monitoring and assessment of water, sediment and biota quality (such as mussel watch projects). The international consultant will be responsible for working with national consultants to develop a comprehensive, practical monitoring protocol limited to the aims of the present project.

Component IC – task 2: An international consultant will be hired for not more than 12 days to assist at a regional workshop defining the carrying capacity of the ecotones, based on distribution of the living resources, knowledge of the water and sediment quality, and existing literature. The international consultant will be responsible for defining the notion of carrying capacity as it addresses the needs of the present project, and will facilitate the meeting to attain estimates of that carrying capacity.

Component ID – task 2: An international expert will be hired for not more than 15 days to work with local experts to synthesize information from existing reports (including national reports) to create a hot spot analysis based on land-based sources of pollution and activities, and overlay with ecological information to define major ecotones at risk.

Component IE – activities 2 and 3: An international consultant will be hired for a total of 8 days to assist local scientists in developing Environmental Quality Objectives and Standards for coastal waters and sediments, and assist at a 3-day regional workshop designed to draft these EQOs and EQSs.

Component IF – activity 1: An international consultant will be hired for a total of 10 days to assist the region to develop simple compliance and trend monitoring addressing the needs of the present project, based on the agreed EQOs and EQSs. This consultant may be the same as hired to assist in Component IE activities.

Component IG – activities 2 and 4: An international consultant will be hired for no more than 80 days to assist the Project Office in hosting a regional workshop on best available technologies and best practices addressing land-based activities; and will also assist the region in selecting and monitoring the Demonstration Projects for land-based activities under this component.

Component IIA – Activity 2: An international expert will be hired for a total of 8 days to assist the RCU in a workshop to review national environmental policy, legal and regulatory

frameworks, to identify major gaps, and to recommend specific changes to national and regional policy and legislation to fill those gaps.

Component IIB – activity 2: An international consultant will be hired for a total of 30 days to assist the region in reviewing their commitment and participation in international environmental conventions, and to assist them in developing capacity to ratify and implement those conventions.

Component IIC – activities 1 and 2: An international expert will be hired for a total of 13 days to assist the region at a workshop discussing the needs and directions for a regional EIA process, and to assist in drafting a Regional EIA for discussion/adoption at a Regional Experts Workshop, followed by approval by the Steering Committee for consideration by the governments.

Component II D – activity 2: An international expert will be hired for a total of 30 days to assist the countries in developing their national plans of action (NPA), by providing training and capacity building for those teams in each country primarily responsible for preparing the National Plans of Action.

Component IIE – activities 1 through 5: An international expert will be hired for not more than 50 days to assist regional experts with preparation of a Protocol to the Nairobi Convention, with annexes, on Land-Based Activities and Sources of Pollution. The expert will attend two working sessions on this matter, and work with regional consultants to develop a document that is to be ratified by the Conference of Parties to the Convention.

Component IIIC – activity 1: An international consultant will be hired for a total of 10 days to assist the region with identifying training needs for land-based activities. These training needs will be identified via national surveys in each country, which will be collated and then used as the basis for establishing training modules that will be subcontracted out as Activity 2.

Component IIIF – activities 1 and 2: An international expert will be hired for a total of 75 days to assist the region with developing a detailed Public Participation Plan for the Project (15 days), and 15 days each year to assist the region in carrying out and evaluating the Public Participation in the project.

Component IIIG – activities 1 and 3: An international expert will be hired for a total of five days to develop, with the Secretariat for the Nairobi Convention, TORs for a small-grants program. The Project Office, with the assistance of the international expert, will select a sub-contractor to execute the small-grants program. The international expert then will participate, for a total of 10 days for each of the last three project years, in selecting and evaluating the results of the awarded small grants. The consultant will work closely with the Project Manager in this effort.

Component IIIH – activities 2 and 4: An international expert will be hired for a total of 75 days to assist the region in developing a Final TDA and a final SAP for the project. This will include at least three trips to the region to attend workshops and working meetings, and to help present the TDA and SAP to the region.

TASKS: NATIONAL CONSULTANTS

National consultants will be hired to perform the majority of the work in the project. Needs for national consultants are summarized below. In addition to these individual tasks for national consultants, various subcontracts will be issued (see below) for larger subsets of the work to be done.

Component IA: 120 days to assist in establishing common methods for monitoring, and demonstration of those methods.

Component IC: 240 days to estimate carrying capacity of coastal waters of the WIO.

Component ID: 270 days to perform hot spot analysis of coastal waters.

Component IE: 50 days of local consultants to prepare EQOs and EQSs for the region, working with the international consultant.

Component IF: 1110 days of local consultants to perform tasks related to the data base and information management system for the project.

Component IG: 180 days of local consultants to monitor and report on the progress of the demonstration projects for reducing land-based activities.

Component IIA: 140 days of national consultants to perform review of existing national policy, legal, and regulatory frameworks, and recommend concrete improvements to those frameworks.

Component IIE: 540 days of national consultants to formulate, draft, and obtain approval by the Conference of Parties for the Protocol to the Nairobi Convention, with Annexes, for Land-based Activities and Sources of Pollution.

Component IIIC: 140 days of national consultants to identify training needs in the region for raising awareness of land-based activities and means to address land-based activities.

Component IIID: 3660 days of national consultants to develop and implement Public Participation Plan for the project, including community-driven development.

Component IIIE: 700 days of national consultants to finalize the TDA and SAP, working closely with the International Consultant. The national consultant teams will provide both national perspectives, as well as regional perspectives, on the issues of land-based activities.

TASKS: SUBCONTRACTS

Various subcontracts will be issued as part of this project. The major subcontracts are listed below:

Component IA: IAEA or IOC of UNESCO will be subcontracted for $25,000 to assist in developing a targeted monitoring program for the WIO, addressed land-based activities. This sum is expected to leverage additional IAEA resources to assist in other parts of the project. This subcontract will be developed through an interagency MOU between the Executing Agency and IAEA/ IOC of UNESCO.

Component IB – activity 1: National reports for each of the nine countries, summarizing the environmental status of the countries and their land-based activities (including gaps), will be contracted out. The Project Office will develop a detailed outline for each national report, to assure consistency.

Component IB – activity 2: IAEA or IOC of UNESCO will be subcontracted out for up to $150,000 to analyse sediment and water samples taken as part of the gap-filling of contaminant levels. The matrices of sampling and their locations will be determined following review of the national reports and their gaps.

Component IF: Subcontracts for a total of $6,000 will be let to train the Data and Information Management staff in requisite areas of database management, GIS, and information management. Training needs will be determined once the staff are selected.

Component IG: Five subcontracts will be let for a maximum of $445,000, to conduct demonstration projects on various aspects of minimizing the effects of land-based activities. This sum includes workshops and working groups to conduct a process to identify and select the demonstration projects.

Component IIB: Up to three subcontracts will be let to conduct public awareness campaigns related to the adoption and implementation of international conventions. Targets for the public awareness will be national governments, ministries, parliaments, private sector, and the Public.

Component IID: Subcontracts will be let on a need basis to assist the countries to develop National Plans of Action. These subcontracts are expected to be let to governmental stakeholder groups to assist in developing political will and adoption of the NPAs. These subcontracts will be let only to countries so far lacking NPAs.

Component IIIC: Up to two subcontracts will be let to recognized organizations having proven capacity and strengths in regional training for addressing land-based activities and sources. Training will be provided in all nine countries of the region, for broad stakeholder groups, based on priorities set in the early phases of this component.

Component IIID: Up to two subcontracts will be let to recognized organizations having proven capacity and strengths in regional education for addressing land-based activities and sources. Based on the priorities set in Component IIIC, up to two courses will be developed for school-age children on this topic, to be taught in both English and French, in all nine countries of the region. These subcontracts will pay for course and material preparation for all nine countries, and targeted demonstration in two countries of teaching methods.

Component IIIF – activity 6: Up to three subcontracts will be let to recognized organizations having proven capacity and strengths in regional training for addressing land-based activities and sources, to develop capacity in community-driven development. These subcontracts will provide demonstrations of how community-based development may occur, and will serve as demonstrations for broader implementation in all nine countries.

Component IIIG – activity 2: A matched small-grant activity will be developed and implemented in the region to foster broader stakeholder participation in the issues addressing land-based activity. The small grants will be awarded competitively in two tranches of $116,000 each. The small grants will range in value from $3000 to $20,000, and must be matched by a 50% in-kind or cash contribution. In other words, to obtain a Grant of $3000, the applicant must show in-kind or cash contribution of $1500, for a total project “cost” of $4500. The detailed terms of reference for this small-grants project will be developed under activity 1 of this Component.

Annex VIII

Terms of Reference for the Steering Committee of the Project

Background: The WIO-LaB Steering Committee will direct the activities of the WIO-LaB. The WIO-LaB Steering Committee will also act as the Steering Committee for any other projects that are incorporated under the WIO-LaB umbrella (at which time additional donors to the WIO-LaB may designate a Steering Committee member from their agency). The WIO-LaB Steering Committee will make decisions based on the consensus principle.

Membership: Initial Steering Committee membership will include a Focal Point from each of the participating countries as well as one each from GEF/UNEP, GPA, UNOPS and the Nairobi Convention Secretariat. The Project Manager will act as Secretary of the Steering Committee. Additional members can be added at the discretion of the Steering Committee. The Steering Committee will consider adding representatives from the Private Sector and NGO community at a later date.

Tasks:

• Provide overall strategic policy and management direction to the Project;

• Annually review and assess the progress of the Programme and its projects;

• Annually review and approve the work plan and comment on the budgets of the Programme and its projects, and provide strategic direction on the work plan;

• Provide guidance to the Project Office in coordinating and managing the Projects;

• Create mechanisms for interaction with the Private Sector; and

• Seek additional funding to support the outputs and activities of the WIO-LaB.

Annex IX

Terms of Reference for the Ministerial Coordinating Committees

Background: The Ministerial Coordinating Committees will provide guidance and ensure coordination of a wide range of National institutions and organizations directly responsible for the implementation of the Project at the National level. The Ministerial Coordinating Committee will have a full time, small secretariat (national and donor-supported) reporting to (under the direction of) the National Focal Points, and will serve as the liaison with the Secretariat for the Nairobi Convention.

Tasks:

• Ensure an integrated and coordinated approach to facilitating the sectoral changes need for

the long-term rehabilitation of the WIO-LaB ecosystem

• Identify national modalities for the implementation of various Components of WIO-LaB

• Coordinate and ensure timely delivery of national contributions to the Project

• Assume responsibility for national contributions to Transboundary Diagnostic Analysis

(TDA) and Strategic Action Programme (SAP), and preparation of National Action Plan (NAP)

• Develop proposals for submittal to the Nairobi Convention Secretariat

• Liaison with the Secretariat for the Nairobi Convention

• Facilitate national and donor contributions to necessary ‘baseline’ activities needed to

rehabilitate the WIO-LaB environment.

Annex X

Format for Half-yearly Progress Report

As at 30 June and 31 December

(Please attach a current inventory of outputs/Services when submitting this report)

1. Background Information

1.1 Project Number:

1.2 Project Title:

1.3 Division/Unit:

1.4 Coordinating Agency or Supporting Organization (if relevant):

1.5 Reporting Period (the six months covered by this report):

1.6 Relevant UNEP Programme of Work (2002-2003) Subprogramme No:

1.7 Staffing Details of Cooperating Agency/ Supporting Organization (Applies to personnel / experts/ consultants paid by the project budget):

8. Sub-Contracts (if relevant):

2. Project Status

2.1 Information on the delivery of outputs/services

2.2 If the project is not on track, provide reasons and details of remedial action to be taken:

3. Discussion acknowledgment (To be completed by UNEP)

Attachment to Half-Yearly Progress and Terminal Reports: Format for Inventory of Outputs/Services

a) Meetings (UNEP-convened meetings only)

List of Meeting Participants

b) Printed Materials

c) Technical Information / Public Information

d) Technical Cooperation