1.Global Significance and Problem Statement
More effective and adaptive legal and institutional frameworks are needed to address the complexities associated with managing international waters and, in particular, to resolve those relating to priority, transboundary issues such as land and marine based pollution, water scarcity, over-fishing and invasive species, as well as to meet future uncertainties related to global climate change. Programs like IW: LEARN have assisted greatly in promoting these necessary frameworks; however, key gaps persist, especially in the areas of best practice, capacity building and training at the project level.
By directly addressing these gaps, this project will work in synergy with IW: LEARN and build on its experiences to identify, and repackage as locally adaptable transboundary waters governance tools, those successful approaches that are being effectively piloted in the GEF portfolio of IW projects (and possibly also projects in other GEF focal areas such as biodiversity) as well as in selected non-GEF IW projects.
2.Project Linkage to National Priorities, Action Plan and Programs and CP/GCF/RCF, CCA and UNDAF situation analysis
The specific objectives of this Medium Sized Project are to critically review and determine best practices and lessons learned in establishing legal and institutional frameworks from selected recent GEF and non-GEF transboundary freshwater, international groundwater and international marine project initiatives; and then to disseminate those best practices and lessons learned, consistent with GEF IW operational strategy objectives and GEF’s mission to provide “increased awareness of environmental issues.”
This project will purposefully complement the Transboundary Waters Management Experience in Europe, Caucasus and Central Asia project (TWME ECCA) currently being developed by UNDP and GEF by extending its scope geographically and focusing intently on the experiential learning dimension.
This project is linked principally to the regional SAPs, Conventions and Convention Action Plans, and (when applicable) to National Action Plans of each GEF and non-GEF transboundary waters project or program at two levels:
First, the majority of the projects to be analyzed under this proposal receive GEF funding, and the experiential learning component of this project will be targeted towards managers and government policy makers in all GEF IW projects. Hence, this project will provide programmatic and strategic benefits by increasing networking and information exchange and enhancing the effectiveness of existing projects in the International Waters portfolio for modest incremental costs.
Second, the outputs of this project are aimed at a global level where the policies, recommendations and experiential learning techniques developed will enhance and foster more effective transboundary legal and institutional frameworks generally.
This project will strategically benefit the IW community by building on ‘best practices’ identified by IW: LEARN and its partner organizations, and enhance some of the proposed activities outlined in its Operational Phase. In particular, IW: LEARN’s Institutional Mapping Tool, South East Asia Regional Learning Centre, IW Experience Notes, and public participation tools developed with the Environmental Law Institute will be used and enhanced to create locally-adaptable transboundary waters governance tools. This project will work particularly closely with IW: LEARN as one of the principle dissemination mechanisms, and targeted training will take advantage of the GEF Biennial IW conferences 2007 and 2009, amongst others.
3.Stakeholders and Beneficiaries involved in Project
The major stakeholders in this project include:
Over 140 GEF-recipient governments working to strengthen joint management of over 50 shared water-bodies; civil society organizations in these countries; existing and/or nascent transboundary waters intergovernmental bodies interested in establishing and/or strengthening transboundary waters legal and institutional frameworks.
The University of British Columbia through its Institute of Asian Research and The Dr. Andrew R. Thompson Program in Natural Resources Law and Policy, Vancouver, Canada; El Colegio de México, Mexico City, México; and The Fridtjof Nansen Institute, Polhøgda, Norway.
The GEF and UNDP, and other international donor agencies with particular interest in international water projects e.g. the World Bank (Salman Salman, Charles DiLeva); the FAO Legal Division (Stefano Burchi, Kerstin Mechlem); the Canada Department of Foreign Affairs (John Munday, Chris Plunkett); the Canadian International Development Agency (CIDA) (Catherine Coleman); the UNEP (including the Regional Seas Program); the UN-ECE; the EU; and USAID (Aaron Salzberg) and the UNESCO PCCP (From Potential Conflict to Cooperation Potential) programme http://www.unesco.org/water/wwap/pccp/index.shtml
Various research institutions throughout the world specializing in international water and energy law and policy and who have expressed particular interest in this initiative including Chulalongkorn University, Bangkok (Dr. Chaiyuth Shastri), the United Nations University for Peace (Dr. William Garner), the University of the Pacific, Sacramento, California, (Professor Dr. Stephen C. McCaffrey), the Colombia Society of Environmental Law (Jose Vicente Zapata, Bogota, Colombia), the University of Upsala (Sweden) (Dr. Ashok Swain), The Nigerian Institute of Advanced Legal Studies (Olawale Ajai); UNESCO Centre for International Water Law, Policy and Science -
University of Dundee, UK (Pat Wouters); Oregon State University - Department of Geosciences (Aaron T. Wolf).
NGOs and philanthropic foundations who have expressed particular interest in this initiative including the Canadian Water Research Society, Vancouver, Canada (Maaria Solin Curlier); the Aquatic Resources Conservation Group, Seattle, WA (Dr. Eugene [Bo] Bricklemyer); the IUCN (Dr. Ger Bergkamp); the WWF USA (Mr. Tom Grasso); the Walter and Duncan Gordon Foundation, Toronto, ON (Dr. Linda Nowlan); and the Water Initiatives Project at the Munk Center, University of Toronto, Toronto, ON (Dr. Adele Hurley).
Note: As part of project preparation, the role of various additional stakeholder communities will be thoroughly reviewed to determine an appropriate level of involvement. Additionally, a “Participation Plan for Stakeholder Involvement” will be developed as part of the initial phase of the full project.
4.Rationale for GEF Involvement and Fit with GEF Operational Programs and Strategic Priorities
More effective and adaptive legal and institutional frameworks are needed to address the complexities associated with managing international waters and in particular to resolve those relating to priority transboundary issues such as land and marine based pollution, water scarcity, over-fishing and invasive species, as well as to meet future uncertainties related to global climate change.
GEF is the world’s largest financier of multi-national fresh and marine water related trans-boundary cooperative arrangements, having invested over $722 million in international waters programs since 1991. After supporting over 95 international water projects, with 30 more presently under preparation, now is an ideal time to collect and profit from past experiences, to analyze, evaluate best practices and lessons learned and benefit from those results by building capacity through education. In important part, this will be accomplished through using state of the art experiential learning techniques, for instance by constructing and disseminating locally adaptable governance tools for IW.
5.Expected Goal, Objectives and Outcomes of Final Project and Relevance to Outcomes of CPD and UNDAF
5.1 Expected Goal
To strengthen the capacity of transboundary waters management programs in order to develop and promote more effective and functional legal and institutional frameworks for cooperation and management of international waters.
5.2 Expected Objectives, Activities and Outputs
Objective 1. Identify lessons learned and those successful approaches that are being effectively piloted in the GEF portfolio of IW projects (and as appropriate from other transboundary waters initiatives and focal areas, especially Biodi). Activities include:
· Review, analyze and synthesize various governance tools involving international waters (both selected GEF and selected non-GEF funded international water initiatives) including (as useful) investigations of frameworks in other resource sectors for comparison purposes;
· Consult with appropriate experts and IW project managers and stakeholders including use of face to face meetings, e-dialogue and web-portals; and,
· Mine the wealth of experience already generated by the IW:LEARN surveys conducted in conjunction with Biennial GEF IW conferences, and build on the demand for capacity building that IW:LEARN has identified with its ‘structured learning partners’, such as INWENT and the IUCN’s Global Marine Program.
· Convene meeting with Advisory Panel and Steering Committee to review research findings.
Output 1.1: Project Report on the identification and evaluation of lessons learned of GEF and non-GEF international waters legal and institutional frameworks and other relevant frameworks;
Objective 2. Promote facilitated exchanges of experience and findings regarding lessons learned and best practices. Activities will include:
· Findings will be made available for dissemination through IW:LEARN using established communication methods such as IW Experience Notes and IW Bridges;
· An e-dialogue system will be developed, either within the scope of IW:LEARN or through UBC, and will build on the existing tools and techniques already developed by IW:LEARN; and,
· Face to face meetings, either taking advantage of IW Conferences, or convening sub-regional meetings (see 4)
Output 2.1: Global level policy papers reflecting the findings of the analytical study useful for policy and institutional reform in programmatic and individual lending operations of the GEF, UNDP, UNEP and World Bank Group as well as appropriate national ministries and governments; and,
Output 2.2: Production of a CD-ROM and a ‘lessons learned’ report that in a pedagogical and coherent way capture all the experiences collated under activity group 1 above. The information should be compiled in such a way that it lends itself to regular updating and web-based or otherwise electronic dissemination.
Objective 3. Develop locally adaptable governance tools for experiential learning and capacity development. Activities include:
- Development of specific experiential learning tools for understanding and promoting effective legal and institutional frameworks in international waters. These tools should be promoted for use by other programs, and/or become part of GWP’s “Toolbox” on Integrated Water Resources Management. The Toolbox currently contains tools on transboundary resource management (Tool B1.02 – Transboundary Organisations), conflict resolution (Tool C5), and legislation development (Tool A2); however, the toolbox is particularly focused on ‘national’ initiatives. Tools and lessons learned from the international context would help increase its coverage.
- Create partnerships with appropriate centres and training establishments such as CAP-NET (IHE Delft), or INWENT to assist in the development of tools.
Output 3: A CD-Rom, web-based tools, and report focusing on developing experiential learning tools from the ‘lessons learned’ that can be adapted to local governance situations.
Objective 4. Accelerate learning and capacity development of transboundary waters management programs (as above) to develop and implement effective legal and institutional frameworks. Activities will include:
o Engage partners, in both developed (self-funded) and developing countries, through structured experiential learning including the use of situational case studies and role play simulation exercises;
o Network/participate at global and regional training and information exchange meetings, such as the upcoming meeting in South Africa (August 2007) of the GEF International Waters portfolio; and
o In close cooperation with IW: LEARN, design and utilize multi-media, multi-level techniques such as web-portals and discussion groups to support and complement face-to-face structured learning activities. In this regard the project will build on the already established structures and experiences from IW: LEARN’s Partner Activity Leads, such as INWENT.
o Create partnerships with appropriate training establishments, such as GWP and CAP-NET, for adaptation and delivery of tools.
Output 4: Report on Experiential learning exercise tools and their field testing at the appropriate level, either taking advantage of GEF IW Biennial Conferences, or at regional or sub-regional levels.
Objective 5. Utilize IW:LEARN[1] as an information exchange and learning tool.
· Employ IW: LEARN as one of the key methods of information exchange and experiential learning. Define specific IW: LEARN mechanisms to be deployed to disseminate and build legal and institutional capacity within the GEF project regions. While emphasis will be placed to use IW: LEARN, other dissemination mechanisms will be explored and employed as well.
Output 5: Report on mechanisms for information dissemination.
5.3 Expected Project Outcomes
· Programmatic and strategic benefits for the global environment through technical support, assessment, and derivation of lessons learnt in international waters legal and institutional frameworks across operational programs and beyond;
· Improved understanding of essential elements and modalities facilitating the development and implementation of effective legal and institutional framework arrangements for joint management of international waters;
· Enhanced capacity of GEF projects to understand legal/institutional experiences in GEF and beyond, with the goal to enhance existing framework arrangements and develop effective legal and institutional arrangements in the future, particularly focusing on an increased understanding in especially important elements of effective mechanisms;
· Development of a network of partner institutions, both within GEF portfolio and outside, for sustained communication and information exchange;
· Enhanced collaboration within and between projects and increased effectiveness in decision making by emphasizing partner engagement at all stages of the project; and
· Promotion and greater use of IW:LEARN and other water related information sites, such GWP, Water-wiki, etc.
6. Description of Preparatory Inception Stage
The key activities to be financed in through this PDF A grant application for $50K will be a face-to-face, results-oriented workshop with key actors from GEF, the UNDP, UNEP, IW:LEARN, World Bank, UBC, COLMEX and Nansen participants together with the submission of a complete Medium-Sized Project Brief.
This workshop has the specific objective of building on previous meetings undertaken in the development of this proposal and ensuring that the proposed project strongly resonates with GEF, IW:LEARN and UNDP interests.
Participants will also do further work on strategies for co-financing and the initiation of an Advisory Panel.
The precise location and timing of the workshop are yet to be conformed but will likely be in Vancouver on or before the end July 2006.
6.1. Expected Outcomes and Completion Date of PDF A project
- Further identification of proposed workshop participants and scheduling (April/May, 2006);
- Successful holding of workshop (by end of July 2006);
- Identification of key 4-6 international partners to serve as Advisory Council (by end of July 2006;
- Finalization of project selection criteria (by mid August 2006); and
- Complete and submit formal Medium-Sized Project Brief (on or before August 2006)
Specific Activities under PDF A
The PDF A funds will be used for two specific activities, and related sub-activities, directly related to the preparation of a Medium-Sized Project proposal:
1- Establish project implementation mechanisms
Drafting Terms of Reference (TOR) and selection of the Project Implementation Team (PIT), the Project Coordination Team (PCT, comprising members of the executing and implementing bodies), and an Advisory Panel of experts. Clarify roles and responsibilities, time frame for the project, and convene a Workshop to review all aspects of the proposal including:
· roles and responsibilities of Advisory Panel members;
· an internal organizational correspondence process and communication protocol;
· methodologies to determine and codify best practices including a methodology to identify, document, verify and recognize successful projects using existing project-related materials, in-depth interviews and correspondence;
· a set of criteria for meaningful appraisal of projects to add to the international database;
· initial ideas to capture, analyze, document, customize, and make available cutting-edge knowledge and critical experience from regional transboundary water governance projects, including a strategy for linking of participating environmental practitioners at all levels through IW:LEARN;
· initial strategies for ‘experiential learning’ methods to transmit results;
· global/regional public awareness/media strategies; and,
· determining regional logistical needs and developing regional budgets.
2 – Development of the Medium-Sized Project proposal
Research the above issues and prepare documentation for review in advance of the Workshop; review input from Workshop participants and other appropriate experts, develop budgets and draft a Medium-Sized Project proposal for submission, including co-financing component.
6.2. Total Cost of PDF A (including co-financing amounts and sources)
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PDF A Activity |
GEF Funding
(US$) |
Other Funding (US$) |
Completion date |
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1) Establish project implementation mechanisms. |
$50,000 |
$20,000
In Kind |
July 20th, 2006 |
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2) Draft Medium-Sized Project proposal |
-- |
$10,000
In Kind |
August 31st, 2006 |
Total Cost of PDF A: $80,000 (GEF-$50,000 and $30,000 In Kind)
Total amount of GEF contribution to PDF funding: $50,000.
Total amount of non-GEF contribution to PDF A funding: $30,000 (In Kind)
UBC, COLMEX and Nansen will make an in kind contribution of at least 30 person-days (includes time spent preparing for and attending workshop as well as time spent finalizing MSP proposal): $25,000;
UBC will donate the cost of meeting and associated facilities, secretarial and communications support for Vancouver workshop: $5,000;
7.Total Workplan and Budget:
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TOTAL PROJECT WORKPLAN AND BUDGET |
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1 |
Award ID: |
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Project Title: |
Developing and Implementing Locally Adaptable "Governance Tools" for Transboundary Waters Management Through the Identification of Best Practices and the Creation of Experiential Learning Modules. |
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Executing Agency: |
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GEF Outcome/Atlas Activity |
Responsible Party |
Source of Funds |
Atlas Code |
ERP/ATLAS Budget Description/Input |
Amount (USD) 2006 |
Total (USD)
Administered by UNDP |
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Establish project implementation mechanisms and convene Workshop |
UBC |
GEF |
71600 |
Travel |
$32,000 |
$32,000 |
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GEF |
74500 |
Miscellaneous Expenses |
$4,000 |
$4,000 |
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GEF |
71200 |
Int'l Consultants |
$16,000 |
$14,000 |
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Medium-Sized Project proposal |
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TOTAL |
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$50,000 |
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BUDGET NOTES:
Total Cost of PDF A: $80,000.
Total amount of GEF contribution to PDF A funding: $50,000.
Total amount of non-GEF contribution to PDF A funding: $30,000, in kind, as follows:
UBC, COLMEX and Nansen Institute will make in kind contributions of at least 40 person-days (includes time spent preparing for and attending workshop as well as time spent finalizing MSP proposal): $25,000;
UBC will donate the cost of meeting and associated facilities, secretarial and communications support for Vancouver workshop: $5,000.
Atlas 74500 here includes miscellaneous expenses for the 4-day workshop.
8. Management Arrangements
The cornerstone of this project will be its transparency and critical rigor. The project steering committee (SC) will be formed from key personnel from both the implementing and executing bodies, including UNDP, UNEP and WB members. The SC will meet at least every 9 to 12 months. The project management team (PMT) will be comprised of key individuals from the implementing bodies, led by the University of British Columbia and its faculty member Dr. Richard Paisley, and administered through the Institute of Asian Research at UBC. An Advisory Panel (AP) of specialists in legal and institutional aspects of shared waters management will be created to work with the coordinating body on substantive project issues and to provide guidance for work. The Chair of the AP will also be a member of the SC to ensure good communication between the two bodies. Site choice will be reviewed by the AP to ensure transparency. Analysis will be primarily conducted by the executing bodies, and reviewed by the coordinating body and AP. Some funds from the PDF Block A grant may be used to mobilize and inform the AP.
8.1 Roles and Responsibilities of the Parties, including financial and administrative modalities
The project will be implemented by the UNDP (International Waters), and executed by the Institute of Asian Research and the Dr. Andrew R. Thompson Program in Natural Resources Law and Policy, at the University of British Columbia. Dr. Richard Paisley, Director of the Andrew R. Thompson Program will lead the PMT, in collaboration with its partners.
The executing bodies will consult and collaborate with UNDP CO’s as well as with UNDP/GEF-IW project staff and partners as appropriate.
8.2 Information on applicant institutions, mandate and sources of revenue
All the applicants are academic or related institutions relying on public and private funding. They also are all “not for profit” organizations.
The Institute of Asian Research and the Dr. Andrew R. Thompson Program in Natural Resources Law and Policy, at the University of British Columbia.
The University of British Columbia, Vancouver was established in 1915. It currently has 28,000 undergraduates and 6,400 graduate students taught by over 9,000 faculty members, and it now boasts over 212,000 alumni worldwide.
Since its founding in 1978, the Institute of Asian Research has developed into the foremost research centre in Canada for the study of Asia. With a broad geographic reach extending to China, India and South Asia, Japan, Korea and Southeast Asia, the Institute conducts research and teaching in policy-relevant issues informed by language and area studies. The Institute has pursued a rich and productive research agenda on many aspects of the human experience in Asia, and Asia’s relationship to the rest of the world. The Institute's Master of Asian Pacific Policy Studies (MAPPS) program offers excellent graduate students advanced training in research and analysis on policy issues relevant to the Asia and Pacific regions. The Institute has managed many large muti-disciplinary projects for international organizations and governments in policy related areas ranging from trade and governance to environmental issues and human rights.
The Dr. Andrew R. Thompson Program in Natural Resources Law and Policy, Faculty of Law, University of British Columbia, Vancouver, was established in 1997 as a successor to the world renowned Westwater Research Centre established in 1971. The Program is named after the late Dr. Andrew R. Thompson an expert in natural resources law and policy and related areas including international water law and policy. The Program currently consist of 6 professors, 8 to 10 graduate students and associated staff and advisors many of whom are cross appointed or affiliated with the UBC Institute for Resources, Environment and Sustainability. Sources of revenue for the Thompson Program include the Faculty of Law operating budget, grants from foundations and governments, and donations from individuals and corporations;
Related work includes:
- Nile Basin Negotiation Training 2006 (Richard Paisley and Glen Hearns, recently completed work with the FAO focusing on training in negotiation and structured decision making for representatives of the Nile Basin countries)
- Managing Conflicts in the South China Sea (Glen Hearns recently spent over a decade managing the environmental component of a major CIDA funded “Track 2” diplomacy effort to facilitate cooperation and communication, and develop confidence building measures in the South China Sea);
- British Columbia (Richard Paisley is currently an ongoing member of the Board of Expert Advisors to the Columbia River Basin Trust where his responsibilities include critically reviewing the operation of the Columbia River Treaty in anticipation of Treaty renegotiation);
- SE Asia between Cambodia, Laos, Thailand, Vietnam, Burma and China (Richard Paisley is currently one of two external international law advisors to the Mekong River Commission for Sustainable Development where his duties have included helping to negotiate and draft the Rules for implementation of the 1995 Agreement);
- Central Asia between Tajikistan, Afghanistan, Kyrgyzstan, Turkmenistan, Uzbekistan and Kazakhstan (Richard Paisley is currently advising the World Bank. Previously Richard was the senior legal advisor and trainer on a CIDA project the objective of which was to capacity build in the areas of negotiation and environmental conflict resolution);
- The Nile basin (Richard Paisley was a member of the FAO team in 2001 that conducted capacity building and training exercises among the Nile riparians);
- Mexico (Richard Paisley and Bo Bricklemyer worked with El Colegio de Mexico between 2000 and 2005 on a major study of institutional design for transboundary marine resource management which resulted in six refereed publications and in 2006, with the participation of the University of Guadalajara, saw establishment of the first eco-sanitation municipal utility in Mexico funded by UNEP);
- Colombia (Richard Paisley was involved in 2004 in the study of transboundary water issues in Colombia and adjacent areas);
- SE Asia between China, Nepal, India and Bangladesh (Richard Paisley spent 6 years between 1997 and 2003 on a CIDA project working on transboundary water issues and related issues in Nepal and adjacent areas. Glen Hearns was also involved in training aspects).
The UBC Institute of Asian Research will play a predominantly administrative role in the project while Dr. Paisley and his Dr. Andrew R. Thompson Program will coordinate the project and provide the substantive input.
El Colegio de México (COLMEX)
El Colegio de México (COLMEX), Mexico City, Mexico was established in 1940 and is an internationally recognized non-profit, graduate research and teaching institution focusing in the social sciences and humanities. COLMEX is staffed by 150 fulltime faculty, supplemented by other academic staff such as visiting professors and special course and project personnel. It annually conducts non-degree programs in many fields including international sustainable development and conservation policy to 400-500 participants. COLMEX has developed one of the first comprehensive water programs in Latin America. El Colegio de México is composed of seven centers of learning: Literature and Linguistics; History; International Studies; Asian and African Studies; Demographic; Urban, and Environmental Studies; Sociology; and Economics. COLMEX offers Doctoral and Master's degrees, and two undergraduate programs in International Relations and Public Administration. It annually conducts non-degree programs in many fields including international sustainable development and conservation policy to 400-500 participants;
Related work includes:
El Colegio conducts seminars, workshops and has helped develop more accurate and useful watershed management practices, especially in arid zones where conflicts over water use can be intense. It has assisted the federal government in focusing of water policies that are sustainable. The varied faculty of renowned social scientists at COLMEX, often collaborating using interdisciplinary approaches, offer programs, seminars and training workshops around topics as varied as participatory long-term planning, alternative conflict resolution, and roundtable analysis of complex natural resource issues, including international waters. Working with Richard Paisley and Bo Bricklemyer between 2000 and 2005, it produced on a major study of institutional design for transboundary resource management which resulted in six refereed publications.
The Fridtjof Nansen Institute
The Fridtjof Nansen Institute, Polhøgda, Norway, founded in 1958, is located at Polhøgda, the home of the Norwegian polar explorer, oceanographer and international statesman Fridtjof Nansen. The Institute is an independent research institute engaged in research on international politics related to environmental protection and management of natural resources. For decades it has maintained a particular focus on the effectiveness of international collaboration in this field. Among its main thematic priorities are pollution, oceans governance, fisheries management, climate politics and biodiversity issues. The Institute seeks to maintain a multi-disciplinary approach, with main emphasis on political science, economics and international law. It has particular regional competence (including language) in the post-Soviet area and China. In recent years, the main clients for the Fridtjof Nansen Institute have been the Research Council of Norway; the Norwegian Ministries of Foreign Affairs, Defense, Oil and Energy, Fisheries and the Environment; the Norwegian Agency for Development Assistance (NORAD); the Norwegian oil companies (Statoil, Hydro); and the European Commission.
Related work includes:
The Institute, has conducted a range of research projects, largely of a theoretical nature (political science and international law) pertaining to regime effectiveness, implementation and compliance in ocean governance, covering both fisheries management and marine pollution. Geographically, the main focus has been on polar regions, the North Sea and the post-Soviet area.
9. Monitoring & Evaluation:
9.1. Monitoring responsibilities and events
A detailed schedule of project reviews meetings will be developed by the project management, in consultation with project implementation partners and stakeholder representatives and incorporated in the Project Inception Report. Such a schedule will include: (i) tentative time frames for Advisory Panel and (ii) project related Monitoring and Evaluation activities.
Day to day monitoring of implementation progress will be the responsibility of the Project Coordinator based on the project's Annual Workplan and its indicators. The Project Team will inform the UNDP-GEF International Waters Cluster (NY) of any delays or difficulties faced during implementation so that the appropriate support or corrective measures can be adopted in a timely and remedial fashion.
Periodic monitoring of implementation progress will be undertaken by the UNDP-GEF International Waters Cluster (NY) through quarterly meetings with the project proponent, or more frequently as deemed necessary. This will allow parties to take stock and to troubleshoot any problems pertaining to the project in a timely fashion to ensure smooth implementation of project activities.
9.2. Project Monitoring Reporting
The Project Coordinator in conjunction with the UNDP-GEF extended team will be responsible for the preparation and submission of the following reports that form part of the monitoring process.
(a) Inception Report (IR)
A Project Inception Report will be prepared immediately following the Inception Workshop. It will include a detailed First Year/ Annual Work Plan divided in quarterly time-frames detailing the activities and progress indicators that will guide implementation during the first year of the project. This Work Plan would include the dates of specific workshops and meetings from the UNDP-CO or the Regional Coordinating Unit (RCU) or consultants, as well as time-frames for meetings of the project's decision making structures. The Report will also include the detailed project budget for the first full year of implementation, prepared on the basis of the Annual Work Plan, and including any monitoring and evaluation requirements to effectively measure project performance during the targeted 12 months time-frame.
The Inception Report will include a more detailed narrative on the institutional roles, responsibilities, coordinating actions and feedback mechanisms of project related partners. In addition, a section will be included on progress to date on project establishment and start-up activities and an update of any changed external conditions that may effect project implementation.
When finalized the report will be circulated to project counterparts who will be given a period of one calendar month in which to respond with comments or queries. Prior to this circulation of the IR, UNDP-GEF International Waters Cluster (NY) will review the document.
(b) Quarterly Progress Reports
Short reports outlining main updates in project progress will be provided quarterly to the UNDP-GEF International Waters Cluster (NY) by the project team.
(c) Project Publications
Project Publications will form a key method of crystallizing and disseminating the results and achievements of the Project. These publications may be scientific or informational texts on the activities and achievements of the Project, in the form of journal articles, multimedia publications, etc. These publications can be based on Technical Reports, depending upon the relevance, scientific worth, etc. of these Reports, or may be summaries or compilations of a series of Technical Reports and other research. The project team will determine if any of the Technical Reports merit formal publication, and will also (in consultation with UNDP, the government and other relevant stakeholder groups) plan and produce these Publications in a consistent and recognizable format. Project resources will need to be defined and allocated for these activities as appropriate and in a manner commensurate with the project's budget.
Audit Clause
1. The NGO shall submit to the UNDP/GEF Executive Coordinator a certified annual financial statement on the status of funds advanced by UNDP/GEF. The Project will be audited at least once during its lifetime but may be audited annually, as will be reflected in the annual audit plan prepared by UNDP Headquarters (Division of Audit and Performance Review) in consultation with the Parties to the Project. The audit shall be carried out by the auditors of the NGO or by a qualified audit firm, which will produce an audit report and certify the financial statement.
2. Notwithstanding the above, UNDP/GEF shall have the right, at its own expense, to audit or review such Project-related books and records as it may require and to have access to the books and record of the NGO, as necessary.
10. Legal Context
This Project Document shall be the instrument referred to as such in Article I of the Standard Basic Assistance Agreement between the United Nations Development Programme and those participating institutions which signed such agreement.
The UNDP-GEF Executive Coordinator in New York is authorized to effect in writing the following types of revision to this Project Document, provided that he/she is assured that the other signatories to the Project Document have no objection to the proposed changes:
a) Revision of, or addition to, any of the annexes to the Project Document;
b) Revisions which do not involve significant changes in the immediate objectives, outputs or activities of the project, but are caused by the rearrangement of the inputs already agreed to or by cost increases due to inflation;
c) Mandatory annual revisions which re-phase the delivery of agreed project inputs or increased expert or other costs due to inflation or take into account agency expenditure flexibility; and
d) Inclusion of additional annexes and attachments only as set out here in this Project Document
11. Mandatory Annexes
Annex 1: TOR for key staff
Annex 2: Government GEF Operational Focal Point Endorsement Letter (global project, n/a)
SIGNATURE PAGE
Country: Global ___________________
UNDAF Outcome(s)/Indicator(s): _____________________________________
(Link to UNDAF outcome, If no UNDAF, leave blank)
Expected Outcome(s)/Indicator (s):
SL2.3 Effective Water Governance – Promote Cooperation on Regional and Global Water Challenges
(CP outcomes linked t the SRF/MYFF goal and service line) _____________________________________
Expected Output(s)/Indicator(s): _____________________________________
(CP outcomes linked t the SRF/MYFF goal and service line) _____________________________________
Implementing partner: _ University of British Columbia _
(designated institution/Executing agency)
Other Partners: _ Fridtjof Nansen Institute
(formerly implementing agencies)
_ El Colegio de Mexico
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Budget _80,000____________
Allocated resources: ____________
· Government ____________
· Regular ____________
· Other:
o GEF ____50,000_____
o Donor _________
· In kind contributions _30,000_______ | |
|
Programme Period:2006___________
Programme Component:_________
Project Title:_ Developing and Implementing Locally Adaptable Governance Tools for Transboundary Waters Management Through the Identification of Best Practices and the Creation of Experiential Learning Modules.
Project ID: __PIMS No. 3799_______________
Project Duration: __3 months____________
Management Arrangement: NGO execution______ | |
|
Agreed by (UBC):________________________________
Agreed by (UNDP): John Hough, 
UNDP/GEF Officer-in-Charge _____________Date: _________
