Submission Date: 21/12/2007

Re-submission Date: 15/07/2008

part i: project Information

Expected Calendar
Milestones	Dates
Work Program (for FSPs only)	(actual)
Agency Approval date	08/2008
Implementation Start	09/2008
Mid-term Evaluation (if planned)	12/2009
Project Closing Date	03/2011

GEFSEC Project ID: 3343

gef agency Project ID: tbd

Country(ies): Global

Project Title: Enhancing the use of science in International Waters projects to improve project results

GEF Agency(ies): UNEP

Other Executing partner(s): UNU-INWEH

GEF Focal Area(s):

GEF-4 Strategic program(S): IW-SP1 to SP4

Name of parent program/umbrella project: N/A

A. Project framework:

B. Financing Plan Summary For The Project:

C. Sources of confirmed Co-financing for project preparation and project

D. GEF Resources Requested by Agency(ies), Focal Area(s) and Country(ies): - N/A

E. Project management Budget/cost:

f. Consultants working for technical assistance components:

G. describe the budgeted m&e plan:

At the outset of the project, an inception meeting of the Steering Committee (SC) and Working Group leaders will be held to ensure that all partners understand and take ownership of the project’s goals and objectives. It will also refine the roles, functions, and responsibilities within the project's decision-making structures, including reporting and communication lines. The SC will also review the logframe (indicators, means of verification, assumptions), imparting additional detail as needed, and finalize the Annual Work Plan (AWP), including precise and measurable performance indicators, drafted by the Project Coordination Unit (PCU). Lastly, the partners will be briefed on the roles of the IA and EA; the GEF and UNEP M&E requirements and reporting schedule; and financial procedures for the project.

The initial SC meeting will be held at the start of project implementation. The outcomes of these initial deliberations will be reported to a “Project Inception Conference” comprising all Working Group (WG) participants together with the SC. This will ensure that the goals, expectations, and plan of work are clear for project implementation. A second SC meeting will take place at mid-point to review progress and provide guidance to the second half of the project.

Day-to-day monitoring of implementation progress will be the responsibility of the Project Director and PCU, based on the project's AWP and its specific targets. UNEP will be informed of any delays or difficulties faced during implementation so that the appropriate support or corrective measures can be adopted in a timely fashion.

Periodic monitoring of implementation progress will be undertaken by both the IA and the EA through the provision of quarterly financial reports and half-yearly progress reports submitted by the EA. These will be used to assess whether implementation is proceeding at the intended pace and in the right direction. Additional conference calls will be held, as necessary, to address any problems and to ensure smooth implementation of project activities. Targets and indicators against which reporting takes place will be refined during the inception meeting.

The following reports form part of the M&E process (see also table below):

a) Inception Report (IR): Prepared by the Project director in conjunction with the project team (PCU staff and WG leaders) immediately following the inception meeting, this report will include the first Annual Work Plan detailing the activities and progress indicators that will guide the project throughout implementation. The Report will also include: the detailed project budget for the first full year of implementation; monitoring and evaluation requirements to measure project performance; details on the institutional roles, responsibilities, coordinating actions and feedback mechanisms of project partners; a summary of progress to date on project establishment and start-up activities; and an update on unforeseen or newly arisen constraints that may affect project implementation. The report will be circulated to project counterparts for comments.

b) Project Implementation Review (PIR): The PIR is prepared on an annual basis by the IA in consultation with the EA, beginning after the first year of project implementation. The purpose of the PIR is to monitor progress achieved in meeting the project's Annual Work Plan and to assess performance of the project in contributing to intended outcomes through outputs and partnership work. The PIR will address: project performance, including outputs achieved and progress on outcomes; risk monitoring; constraints experienced and their origins; lessons learned; recommendations to address outstanding problems going forward; and an assessment of the quality of the M&E plan and its implementation.

c) Project Terminal Report (PTR): During the last three months of the project, the PCU will prepare the comprehensive PTR, summarizing: all activities, achievements and outputs of the project; lessons learned; objectives met; structures and systems implemented, etc. It will be the definitive statement of the project’s activities during its lifetime and will lay out recommendations for further action to promote sustainability of project outcomes.

d) Mid-Term Review (MTR): The MTR will assess project performance and effectiveness at the 15 month point. The evaluation will include a review of the IR, PIR, science inventory summaries, and progress to date on Component 1.2, and will be based on the objectively verifiable indicators shown in the Logical Framework (Annex A). The Terms of Reference for this evaluation will be prepared by the UNEP in line with the GEF evaluation requirements.

e) Terminal Evaluation (TE): The independent TE will assess: project performance, effectiveness and lessons learned; the impact and sustainability of results; contributions to capacity development; the achievement of global environmental goals; and follow-up activities. The evaluation will include a review of all project reports, and will be based on the objectively verifiable indicators shown in Annex A. The Terms of Reference for this evaluation will be prepared by the UNEP-Evaluation and Oversight Unit in line with the GEF evaluation requirements.

f) Financial Statements: The EA will provide UNEP with quarterly financial reports, certified annual financial statements, and a terminal audit of the financial statements for all GEF project funds. The financial certification and audit will be conducted in accordance with United Nations accounting and reporting procedures, to which the EA, UNU-INWEH, is subject.

Indicative monitoring and evaluation work plan and corresponding budget

part ii: project justification:

A. describe the project rationale and the expected measurable global environmental benefits:

GEF International Waters (IW) projects aim at sustainable management of global transboundary water systems. All IW projects are informed to some extent by science to help realize the objectives of a mosaic of regional and international water agreements. Over one billion dollars have been invested by GEF in ca. 130 projects covering an exceptionally broad spectrum of systems – from lake and river basins to groundwater aquifers to near-shore and open ocean ecosystems. This significant investment includes a large and valuable resource of scientific knowledge and results-based management improvements for GEF.

However, to date, no effort has been made to recognize, capture, analyze and integrate the scientific findings from these projects and to disseminate them across the IW portfolio and beyond. Similarly, until now, there has been little opportunity to inform IW project scientists and managers about broader global water science issues, in particular emerging challenges, new methodologies and science breakthroughs. The need for this cross-system comparative analysis has been recognized by the GEF IW Technical Advisory Group in its strategic planning for the IW focal area. By making such knowledge widely available, GEF-eligible countries could greatly strengthen their scientific capacity and use of science for adaptive management[1].

In response to this situation, the present Medium Size Project (MSP) proposes to systematically inventory, collate, analyze and synthesize the science experience within the IW project portfolio and to establish an IW “Science Learning Network” to share the integrated knowledge globally, both within and beyond the GEF.

It is emphasized that this MSP will focus directly on the needs of GEF. GEF project people obtain their knowledge in a variety of different ways, but science is one of the most important. This comparative review of the science outcomes and modes of scientific engagement within the IW focal area will be a rich and valuable resource, and has not yet been done. Once complete, it will contribute to the identification of emerging priorities in water for GEF in the future, help to identify indicators for results-based management of those emerging priorities, and mobilize global science networks to influence future IW priorities as new issues arise. In turn, GEF will better influence the global water science agenda as a result of its experiences.

Specifically the results from this MSP will address the following needs and challenges, both for GEF and, more broadly, for developing-country partners who execute GEF-supported projects:

· Broaden the IW science base by integrating the social and natural sciences into a systems approach that will strengthen ecosystem-based, adaptive management within IW projects.

· Contribute to strategic prioritization for GEF-5 through stronger science

· Identify potential indicators for improved results-based management by project managers and GEF

· Strengthen capacities to recognize science gaps pertinent to IW projects, leading to better targeted research initiatives by GEF and better management projects.

· Contribute to stronger, better validated Transboundary Diagnostic Analyses within projects, based on leading-edge science and user needs

· Refine IW strategies for optimal engagement by project management with local, regional and global science organizations and networks.

· Create an information-sharing platform to capture, integrate and share scientific results of projects within the IW focal area and with the global water community at large.

Part of the rationale for undertaking such a science synthesis lies in the unusual breadth and diversity of water-system projects available for analysis within the IW portfolio. Traditionally, the science communities studying freshwater systems, groundwater aquifers, large marine systems, or the open oceans, are quite isolated from each other in their operations, and are often not closely in touch with the users and decision-makers they serve. Posing common core questions to these diverse communities and then comparing and synthesizing the results has the potential to generate important new generalizations not likely possible otherwise. Such an interdisciplinary, multi-system exercise will be quite unique.

The reflective process leading to the science synthesis, and the synthesis itself, will both be powerful contributions to portfolio-wide dialog on the use of science for addressing important issues in future IW projects. In particular, the methodological underpinnings for Transboundary Diagnostic Analysis (TDA) can be strengthened, as can its use by decision-makers as a tool for action. TDA is critical for identifying and reaching consensus on the nature of the core transboundary challenges within ecosystems and their causal relationship with human activities. The new, synthesized knowledge from this MSP will inform and improve the TDA process in future projects, so that the environmental and socio-economic realities in transboundary systems are more explicitly diagnosed. To this end, close interplay will occur with the proposed GEF project on “Development of the Methodology and Arrangements for the GEF Transboundary Waters Assessment Programme.”

There is also a timely international rationale for this project. Increasingly, the global water community is recognizing the need for a more “joined-up”, systems-based approach, if science is to better help managers understand and tackle the problems facing international waters. As a result, a number of representatives of international science networks have expressed their interest to contribute to the science synthesis proposed in this MSP.

From a global perspective, when the science created in GEF projects is made more accessible internally and to the international community, it will contribute greatly to both the success of the IW focal area and to the realization of the UN Millennium Development Goals and the Johannesburg Plan of Action.

Objectives:

The Project Objective is to enhance - through knowledge integration and information-sharing tools - the use of science in the GEF IW focal area to strengthen priority setting, knowledge sharing, and results-based, adaptive management in current and future projects. The project has three component objectives, namely:

· Understanding and documenting, for future analysis and reference, the scientific experience and scientific best practices from the IW project portfolio

· Undertaking and reporting a comparative, cross-sectoral assessment of IW science, identifying intended users and impacts, contemporary scientific challenges, research and science-policy gaps, emerging issues, and global-scale impacts.

· Creating an IW scientific learning network for information sharing and mutual learning among IW projects and with the wider water science community

Outcomes:

The expected Project Outcomes are:

· Comprehensive understanding of the past and current scientific experience from the IW Project Portfolio, documented by ecosystem type

· An assessment and synthesis of science across the full IW portfolio to identify science gaps, critical future priorities and indicators for results-based management

· Sustaining capacity for knowledge sharing, mutual learning, and strategic priority-setting for the IW portfolio, in concert with the global scientific community.

By enhancing the impact of GEF IW projects and their ability to demonstrate results, these outcomes will contribute to the broader GEF goal to improve sustainable, adaptive management of transboundary waters systems across the globe.

Component 1 - Documenting and understanding IW scientific experience and best practices

Activity 1.1 - Establishment of a comprehensive inventory and knowledge base of science activities from the IW portfolio since inception

In this initial project activity, a baseline inventory will be undertaken of the use of science and scientists in IW projects, past and present, focusing on scientific methods, results, modes of engagement and intended users. The results from ca. 130 IW projects will be collated by international water system type and functionality, then digitized and made available via a flexible, user-friendly web-based interface. The five ecosystem classes are river basins, lake systems, groundwater aquifers, large marine ecosystems, and open ocean areas. The inventory will also serve as a collection point for the science outputs from all ongoing and future IW projects, resulting in a continuously updated and expanding resource.

The project information to be extracted and analyzed will include summary information on: significant natural and social science findings; unique research, monitoring and assessment issues; critical science gaps; the role of science within projects; the design and use of (local) science networks and scientific advisory bodies, scientific best practices; intended target users; and science/management implications. Particular attention will be given to the scientific basis for TDA in IW projects and to the use and quality of indicators for IW M&E purposes.

This inventory activity will be a participative process, involving science leaders and experts from past and current IW projects. The process will be coordinated by the PCU with the advice and assistance of the GEF Secretariat, UNEP and the other Implementing Agencies. The information will be collected using a common template designed for, and shared with, IW project scientists before compilation begins. The template will allow for project-to-project comparisons, both within and between ecosystem classes, and will serve as a standardized information resource for science users, e.g., project managers and personnel, new project developers, and the global scientific community. An initial desk survey will be carried out of project documentation and relevant experiences from IW project scientists and expert advisors. During project preparation, preliminary searches of electronically available information, as well as discussions with current project scientists, confirmed the feasibility of this approach.

The collated inventory results for each ecosystem class will be summarized in reports prepared by the PCU for subsequent use by the Working Groups in Activity 1.2 below. An overview report of the critical results of the inventory will also be prepared for the Working Groups’ consideration. The duration of the inventory phase of the project will be ca. six (6) months. However, inputs will continue to be collected throughout the project as additional project results become available and new GEF projects are approved.

The information from the inventory will be stored in a permanent IW science database. Relational database technologies will be employed to facilitate access and permit future expansion. UNEP-DEWA and UNU-INWEH will design a customized database and digitize the inventory. The digitized database will be placed on a website, along with the WG and synthesis reports from Component 2, so that the results can be accessed by the IW focal area and the global water community. The website will build upon the experience gained with the GEF IW:LEARN platform both in terms of technical design and content management. To this end, common shared standards and protocols will be adhered to in order to access data within the framework of a distributed network.

Activity 1.2 - State-of-art expert analysis of the IW science knowledge base, organized by IW system type

In this second stage, the social and natural science inventory from the first activity will be examined by five matrixed Working Groups (WG), one each for rivers basins, lake systems, groundwater aquifers, large marine ecosystems, and open ocean areas. The objective for each WG will be to analyze the results of the IW inventory in a global water science context and to prepare, for their respective ecosystem type, a state-of-art report of their findings. An explicit effort will be made to bring new knowledge to bear from recent major global science projects and network activities.

To focus the analysis and to facilitate subsequent inter-comparison and synthesis in the next stage of the project (Component 2), the WGs will be challenged to address a common suite of core questions on critical science challenges as they relate to their WG ecosystem. Three categories of questions will be considered. The tentative issue areas, which will be finalized at project inception, include:

Critical emerging science issues:

· Identification of critical science challenges “on the horizon” specific to each ecosystem type

· Evaluation of the significance of regional and global-scale drivers, in particular climate change, in the genesis of transboundary problems.

· Understanding and managing multiple causality in a transboundary water context

· Accounting for variable spatial and temporal scales in IW projects

· Analyzing the complex coupling of social and ecological systems

Application of science for adaptive management:

· Optimal engagement of both local and global science communities in IW projects

· Application of science expertise within the IW focal area, particularly accessing new findings on methodologies, science breakthroughs and emerging issues

· Best practices for linking science and management, including policy formulation and broader governance issues

· Understanding and effectively communicating the scientific dimensions of adaptive management to different user groups

· Communication of newly-synthesized science knowledge to stakeholders within and external to GEF

Development and use of indicators to support results-based IW projects

· Monitoring strategies and indicator criteria for future results-based IW project management, including a comparative analysis of current GEF IW indicators and those used by the OECD.

· Effective proxy indicators for use in IW projects in developing countries

· Use of appropriate science and best practices for Transboundary Diagnostic Analysis

The WGs will initially meet together at the Project Inception Conference as soon as the inventory process is completed. The opening plenary will discuss the goals, expectations and plan of work for the project, reach common understanding of the core question sets to be addressed, and undertake an initial group discussion of the inventory and summary reports completed during Activity 1.1. The WGs will then break out into separate sessions to continue their deliberations. Each will undertake an initial analysis of the three question sets, and then organize into sub-groups to continue deliberations. WG discussions will continue by teleconference and e-mail following the inception conference. A second wrap-up meeting will be held 4-6 months later by the WGs to complete their analyses and finalize findings. The PCU will provide scientific coordination and input to this process.

Once the deliberations of the five WGs are completed, concluding summary reports will be prepared for consideration by the Scientific Synthesis Group. Preparation of the reports will be shared by WG members, overseen and finalized by the Co-Chairs. Honoraria will be provided for final report preparation. The PCU will provide logistical and editorial assistance. The duration of the WG assessment phase will be ca. 10-12 months.

Each WG will comprise ca. 15 world-class water professionals, half, if possible, from the IW focal area and half from the global water science community external to IW. The WGs will also contain some members with a special interest in how science is used in decision-making. This composition will ensure a contemporary, global perspective in the deliberations, while maintaining strong links with the user community. Each WG will be led by co-chairs who will collectively constitute the important Science Synthesis Group (SSG) for the second component of the project. They will be selected by the project Steering Committee, based on recognized expertise and chairing experience. Further, to ensure balanced representation, one co-chair each will be sought from the North and South, and if feasible, one each from within, and external to, the IW family. The WGs will then be endorsed by the Steering Committee, with advice from the WG Chairs, again taking into account regional and gender balance and the mix of domain expertise in the natural and social sciences.

Component 1 Outputs: · Collated database of science usage in the GEF IW portfolio, organized by 5 ecosystem classes · State-of-art evaluation reports, for the 5 IW ecosystem classes, concerning the scientific experiences and best practices from the IW project portfolio

Component 2 – Integrated synthesis of IW science challenges, gaps and emerging issues across ecosystem classes

A Scientific Synthesis group (SSG) will be convened to undertake a science-based comparative analysis and synthesis of working group results from Component 1. Three synthesis reports will be prepared, one for each of the three question sets – emerging issues, science for adaptive management, and proxy indicators – considered previously by the working groups. As a final output, the SSG, through the PCU, will also prepare an executive policy-guidance overview highlighting the key conclusions from the three thematic reports. Overall, the SSG will seek to provide “added-value” generalizations, synthesized for the water science community at large. The target audiences for the three synthesis reports are the scientists and managers of IW projects, current and future, with their counterparts in the larger water community and the GEF Secretariat as a secondary audience. The executive overview is specifically targeted to the GEF executive.

In creating the three thematic synthesis reports, the SSG will follow a common process. The results of the WGs for each of the three question sets will be integrated to draw general conclusions on a portfolio-wide basis. At its first meeting, convened immediately after the conclusion of Component 1, the SSG will compare and analyze WG results and reach consensus on the outlines for the three synthesis reports. Discussions will continue by teleconference and e-mail for several months then a second, concluding meeting will be held to finalize their 3 sets of findings. The three resulting reports and the executive overview will be prepared by expert contract, overseen by the SSG Chair and STAP representative and assisted by the PCU. The duration of this synthesis phase will be ca. eight (8) months.

The two co-chairs of each of the five Working Groups will comprise the SSG, together with a STAP representative, who will oversee the deliberations and identify global experts to consult, as necessary, on specific issues. The SSG will select its own Chair, who will be given an honoraria for time invested. The PCU will provide coordination and facilitation services to the SSG.

These integrated science assessments, although strategically important, represent only an initial analytical overview of the scientific experience from the very large IW project portfolio. However, once an organized knowledge base is in place and a first evaluation of science gaps, future priorities, and results measures is available from this relatively small GEF-funded project, the foundation will then exist to examine how user needs have been addressed effectively, and how applied research can be better targeted to those needs through GEF IW projects. It should then be much easier to identify and support concrete roles for science in, for example, issue identification, problem diagnosis, data collection and monitoring, policy development, management planning, and conflict resolution.

Activity 2.1 - Assessment and recommendations on emerging science issues and research needs for targeted intervention in the IW focal area

This synthesis will focus on identifying emerging priorities in international waters for GEF in the future. It will also seek to identify science gaps pertinent to IW projects, leading to the development of better targeted research initiatives. The team will be asked to pay particular attention to climate change and its ramifications, including biofuel and carbon sequestration impacts on international waters. Systemic issues, such as variable spatial and temporal scales, multiple-causality, and the coupling of social and ecological systems, will also be addressed.

Activity 2.2 - Assessment and recommendations on the application of science for adaptive IW management

This synthesis report will focus on optimizing the use of science within the IW focal area, in two important aspects. The first is the use of cutting-edge, natural/social science to strengthen adaptive management through systems approaches, and the second is the optimal engagement of local and global science communities in IW projects. Communication of science will also be considered, for understanding decision-makers needs and formulating advice in an actionable way, for promoting adaptive management, and for conveying ecosystem complexity to stakeholders.

Activity 2.3 - Assessment and recommendations on the use of indicators to support results-based management of IW projects

This comparative assessment will contribute to the identification of indicators for results-based management of projects addressing GEF’s emerging IW challenges. Included in the analysis will be indicator criteria for management processes, environmental stress-reduction, and environmental status, together with monitoring strategies to quantify indicators. Particular attention will be paid to defining effective “proxy indicators” for use in developing countries, recognizing that many indicators from data-rich countries in the North, based on sophisticated technologies, cannot be applied to the South. The unique social and institutional contexts within which scientists in developing countries work, will also be taken into account. Stronger indicators to better validate the TDA process will also be considered.

Activity 2.4 - Preparation of an executive policy-guidance overview on key project conclusions and recommendations

This executive summary will highlight the key conclusions from the project and their implications for strategic management within GEF and the IW focal area. The target is the GEF executive, the IW focal area leadership and similar executives in the global community. When this project is completed, the capacity of GEF IW projects to deliver results will have increased and the strategic future for science, including research, within the IW focal area should be clearer.

Component 2 Outputs · Report on emerging science issues and research needs for action by the IW focal area · Report on use of science, the engagement of scientists, and the communication of scientific advice for results-based, adaptive management in the IW focal area · Report on indicators to support results-based IW project management · An executive policy-guidance overview, highlighting key project conclusions

Component 3 - Establish the “Science Learning Network” for knowledge sharing, mutual learning and global influence

This component will build on the professional interactions started in the Working Groups to create the Science Learning Network (SLN), a mechanism for scientific knowledge sharing, mutual learning, and strategic priority setting. Through this vehicle, global science networks will be mobilized to influence future IW priorities as new issues arise, while the GEF, in turn, will better influence the global water science agenda.

The SLN will consist of two integrated elements. The first is a website containing the inventory database and associated reports from Component 1 and the science synthesis documents from Component 2. The second and larger element is a “Community of Practice” (CoP), an e-learning platform and virtual working space for SLN participants, employing contemporary technologies for web-based, social networking and an interactive, multi-faceted discussion forum.

Both elements of the SLN will build upon the lessons learned in IW:LEARN, both its past experiences in experiential learning and its infrastructure for knowledge management. Previously, projects such as IW:LEARN have mainly focused on management issues and project experiences, rather than on scientific and technical knowledge and methods. The present MSP is designed to fill this gap and thus complement existing IW learning efforts to strengthen project performance. The lessons learned from the Terminal Evaluation of the IW:LEARN project will be considered and factored into this project.

Once fully operating, the CoP component of the SLN will provide continuity for several important learning functions within the IW focal area, namely:

· As nodes for exchange and interpretation of information, diffusion of best practices, cross-fertilization of ideas, and the communication of science to decision-makers. Because they have a shared understanding, members will know what is relevant to communicate and how to present information in useful ways

· As a source of knowledge retained in a "living way”, through the preservation of tacit aspects of knowledge that formal systems cannot capture

· As a “steward” of scientific competencies to keep the portfolio at the professional cutting edge and to contribute to capacity development. Members can discuss novel ideas, post items of interest, address problems together, and keep up with external developments. Such collaborative inquiry makes membership valuable, because people invest their professional identities in being part of a dynamic, forward-looking community.

Activity 3.1 - Design and inaugurate the Science Learning Network (SLN)

The design process for the SLN will build on the database development from Component 1. The digitized database will be placed on a website, along with the WG and synthesis reports. The website will be an enhanced version of the IW:LEARN platform. The more complex social networking platform will be developed by IT specialists overseen by UNEP-DEWA and UNU-INWEH. A ‘design brief’ will first be prepared, which will define the platform architecture and core features of the SLN. It will be vetted by WG/SSG members to ensure effective functionality. Additional features will be considered, such as toolboxes for project design or results-based indicator application, or an on-line forum to assist the lay public.

In designing the e-learning architecture and modus operandi of the SLN, the PCU will also cooperate with the GEF project, “Knowledge Management for Land Degradation” (KM:Land). The latter is also creating a learning network for the diffusion of best practices, cross-fertilization of ideas, enhancement of learning and promotion of innovation. The KM:Land initiative will be well into implementation by the time Component 3 is underway. UNU-INWEH is also the Executing Agency for KM:Land, so close collaboration is assured.

It is anticipated that the common template, developed for the inventory as part of Component 1, would be applied to new IW projects in the future. This would ensure that they are added to the database at their inception and that their results are captured for SLN uptake upon project completion.

The CoP element of the SLN will function as an informal network of water scientists and managers, primarily from IW projects. The strategy will be to start with a modest number of participants drawn from Working Groups, building on their common sense of purpose and desire to share project portfolio knowledge and experience. STAP will also recommend experts to augment the initial membership. The inauguration of the SLN will take place towards the end of the project when the science synthesis is completed (Component 2) and the need for, and desire to participate in, the SLN is well developed. Approximately nine (9) months will be needed to design and implement the SLN.

Experience shows that the optimal CoP size is around 40-50 individuals, but it could later “spin off” separate but complementary regional and/or thematic CoPs organized, for example, by water system type (lakes, groundwater, marine, etc.). Thus, over time the SLN will be able to establish wider partnerships with global and regional scientific organizations, associations and networks, so that scientific knowledge can be continuously channeled to the IW portfolio.

Looking forward, it is reasonable to consider that the SLN could be funded beyond the lifetime of this MSP by financial and professional contributions from individual IW projects provided that the SLN proves successful in providing projects with the incentives to make use of it. This would ensure sustained buy-in from the IW science and management community. Support from external sources is also possible, once the effectiveness of the SLN is demonstrated.

Activity 3.2 - Promote the SLN platform, inventory database and synthesis reports to the IW focal area and the global water community

The overall scientific conclusions and experiences from this project will be shared and discussed at GEF Biennial IW Conferences and other global water conferences, particularly the World Water Forum (WWF) and Stockholm Water Week. The SLN will be actively promoted at the same fora. Dissemination will also be ongoing through the SLN and project website and other UN internet portals such as IW:LEARN, UN-Water agencies and the UNEP knowledge management system. Targeted publications may also be prepared for the open literature by WG members, if considered appropriate by the SC and SSG.

Lastly, the project outputs, particularly the executive policy-guidance overview will be presented to the GEF Secretariat and STAP for their consideration in seeking to further enhance the use of science across the IW and other GEF focal areas.

	Component 3 Outputs: · The Science Learning Network (SLN) designed and inaugurated · Project results (SLN, database, syntheses) promoted to the IW focal area and the global water community

B. Describe the consistency of the project with national priorities/plans:

This proposed project is global in scope and primarily for the benefit of developing countries, countries in transition, and Small Island Developing States. All the beneficiary countries are GEF-eligible countries under the GEF IW focal area. The project can potentially contribute to all current and future GEF IW projects - most of which are country-driven - by providing guidence on emerging scientific concerns and scientific good practices. These include the use of scientific advisory bodies, capacity building, strengthening science communication to decision-makers, and the development of indicators to support results-based management, thereby enhancing the capacity of countries to monitor progress and identify national priorities for targeted research. Although global in scope, the project directly involves GEF IW projects that have been endorsed by country operational Focal Points and approved by the GEF Council.

During the 4^th International Waters Conference in Cape Town in August 2007, a number of countries attended a participants-designed workshop on expanding the scientific basis for GEF IW projects. At the workshop, organized by UNEP in collaboration with STAP and UNU-INWEH, participants acknowledged that increased capacity to use science could strengthen IW project design and implementation. They also agreed that mechanisms to tap into state-of-the-art science, or to share scientific findings among projects, varied widely depending on the nature of projects and level of science coordination. Support was expressed for strengthening the use of science and the exchange of scientific results across the GEF portfolio. Suggestions for improvement from the workshop have been considered during the development of this proposal.

C. Describe the consistency of the project with gef strategies and strategic programs:

This MSP contributes to Strategic Programmes 1-4 of the International Waters strategy for GEF-IV. With its strong focus on science-based learning across projects and improving the communication of science results to different types of users, this MSP is fully consistent with the GEF-IV IW strategy for experience-sharing and learning projects for the IW portfolio” that are “utilized to support the four strategic programmes to build capacity and encourage replication of good practices in a spirit of adaptive management”. To this end, this project will specifically improve the performance of IW projects over time, harness global science-based networks for sustained IW project learning, set focal-area priorities for critical issues, and develop agreement on indicators for future results-based management.

Science is an essential, but poorly addressed aspect of portfolio learning, to which this project specifically responds by contributing to the transfer of knowledge, good practices, and science strategies to GEF IW projects globally. By enhancing effective use of science and providing important new water science understanding for global use, the global environmental benefits sought by the GEF IW focal area will be furthered.

D. Outline the Coordination with other related initiatives:

The structure of the project and the institutional mechanisms put in place through the various Working Groups and the Steering Committee will ensure coordination with all relevant Agencies and related initiatives. Synergies will thus be ensured and overlap avoided. Because of the strong corporate character of this MSP, other Implementing Agencies (UNDP, the World Bank), the GEF Secretariat and STAP will be involved at Steering Committee level. Institutional linkages will also be developed with the related initiatives and organizations listed below and their representatives will participate in the WGs, as appropriate.

TWAP: Close linkages will be developed with the proposed GEF project on “Development of the Methodology and Arrangements for the GEF Transboundary Waters Assessment Programme”. The TWAP project is developing feasible methodologies for assessment of four categories of transboundary water systems (river/lake basins, groundwater systems, LMEs and ocean areas) and preparing framework arrangements for carrying out periodic assessments. The science synthesis and perspectives on indicators from this project will be important inputs to TWAP and, conversely, the data and scientific expertise from TWAP partners, many of whom will be common to both projects, will be valuable contributions to this IW science synthesis. Reciprocal membership on the two Steering Committees is expected, which will further ensure close cooperation. UNEP/DEWA, the Executing Agency for TWAP, is also a key partner in this IW Science initiative.

IW:LEARN: This existing IW knowledge management project, mainly focuses on project management issues and experience sharing, rather than on scientific and technical knowledge, which will be the focus of this present initiative. While there is thus no overlap, synergies will be pursued by using the infrastructure for knowledge management created by IW:LEARN as the starting point for the development of the Science Learning Network. UNEP will partner with UNU-INWEH in the design of the database for this MSP. The lessons learned and the findings of the Terminal Evaluation of IW:LEARN will also be considered as they become available.

KM:Land: This GEF project, “Knowledge Management for Land Degradation”, has similar goals to the present project, but with a focus on land degradation, not international waters. Its overall objective is to contribute to the mitigation of land degradation through development of a framework for performance and impact indicators in the GEF Land Degradation Focal Area. It will also create a Learning Network for the diffusion of best practices, cross-fertilization of ideas, enhancement of learning and capacity building, and promotion of innovation. As the KM:Land project is well into implementation, the present project can benefit directly from their experiences in developing an indicator framework, and the design, e-learning architecture and modus operandi of their Learning Network.

Global science institutions: Other global scientific organizations, some already associated with the TWAP Project, have also indicated their interest to contribute to the MSP and for their members to participate in this project. Additional science networks and institutions will also be identified and contacted after inception to contribute participants to the WGs. These include, inter alia, the Group of Experts on the Scientific Aspects of Marine Pollution (GESAMP), Scientific Committee of Problems of the Environment (SCOPE), the International Water Management Institute (IWMI), the Stockholm International Water Institute (SIWI), and the International Association of Hydrological Scientists (IAHS).

UNU-INWEH: The United Nations University’s International Network on Water, Environment and Health (UNU-INWEH), the Executing Agency for this initiative, is a global water research and capacity-development institution with specific expertise in knowledge management and in science and science/policy synthesis. It is experienced working in threatened river-basin, coastal zone and drylands ecosystems, as well as a programme on safe water and sanitation. It also has strong freshwater network partnerships and, together with UNEP, will serve as a bridge to UN-Water and its many agencies engaged in water science and assessment. In addition to its leadership of the KM:Land project, it is a partner in the GEF/WB “Coral Reef Targeted Research and Capacity-Building” project and operates the “UN Virtual Learning Center for Water” (WVLC), its flagship distance education programme with 5 regional centers around the world.

E. Describe the incremental reasoning of the project:

In the absence of this MSP, GEF IW projects will continue to struggle to develop the scientific capacity to address transboundary water issues and to realize project results through effective communication of science. Meeting this need is often not easy for individual projects due to limited access to scientific capacity, globally or locally. In some regions, well-developed capacity may exist, but not be identified or utilized to support sound project management. As a result, those good science practices that have emerged within the GEF IW portfolio are not always replicated elsewhere. Disconnects also persist between IW projects and the external science community. Without better knowledge, IW projects will continue to make limited use of science and the overall effectiveness of the IW focal area will remain below its potential.

These impediments can be greatly diminished by the value-added outcomes from this MSP. By analyzing and linking together the disconnected and isolated scientific findings of past and current IW projects into a dynamic and interconnected knowledge resource, several incremental benefits will accrue to GEF, namely:

· Targeted experience-sharing among IW projects, leading to the development of knowledge management tools to capture and replicate good science practices , thus enhancing the quality of the GEF IW portfolio

· Science-based identification of pressing new priorities that can be addressed through future IW projects

· Contributions to the development of results-based indicators to better gauge success in implementing adaptive management through new projects

· Enhancement of the existing return on investment from the US $1 billion invested to date in IW projects through improving portfolio efficiency, effectiveness and future impact.

Since this project is a global-scale integration across the full IW project portfolio, individual projects or recipient countries are unlikely, or unable, to champion such an initiative on their own. Investment by GEF in this forward-looking initiative is thus critical.

F. Indicate risks, including climate change risks, that might prevent the project objective(s) from being achieved and outline risk management measures:

Several risks and associated risk reduction measures are noted:

· The project's success depends on attracting sufficient resources and commitment from key partners to effectively and efficiently engage the scientific community for the synthesis process. This risk has been mitigated by prior outreach, consultation and project preparation meetings with potential donors and partners in the freshwater and marine science communities.

· The project is ambitious in terms of its engagement, primarily on a volunteer basis, of scientific water experts and managers from IW projects and globally who need to be knowledgeable of the critical challenges in water science, and can reflect upon IW science results from a contemporary, cutting edge perspective. To manage this risk, initial contact about the project has been established with a number of scientific associations, networks and organizations. Their feedback confirmed that the proposed project is highly innovative, intellectually challenging, and important for global water science.

· Work Group chairs are needed for the SSG who can bridge the differences in science approaches, methodology and core assumptions of their respective scientific communities to achieve the expected cross-cutting, forward-looking syntheses. This challenge will be minimized by carefully selecting lead scientists who are experienced working in a multi-disciplinary environment.

· The timeframe for some expected impacts of the MSP in terms of uptake of the science synthesis, application of indicators for project implementation, and portfolio-wide operation of the SLN, extends beyond the lifetime of the project. However, the core science-based knowledge outputs will be available for immediate use and a mechanism for future scientific learning continuity will be created through the SLN.

Because it is an analytical project, without a field component, there is no direct climate change risk associated with project implementation. However, climate change, vulnerability and risk mitigation are issues that will be focused on by the WGs and the SSG. As a result, IW projects will have an improved capacity to evaluate the significance of climate change in causing or worsening transboundary water problems in the future.

G. explain how cost-effectiveness is reflected in the project design:

At the IW portfolio level, this proposal incorporates several elements ensuring greater future cost-effectiveness. First, through the SLN, it will provide guidance to IW projects on effective science and scientific learning processes. Linking GEF projects to each other and to the global community will enable and empower them to replicate, adopt or adapt portfolio findings and use them for sound decision-making. This will help to ensure that cost effectiveness overall is maximized and project complexity is reduced. Secondly, the project’s multi-project, multi-agency mode of participation ensures cross-disciplinary learning. Over time this knowledge will increase cost-effectiveness by establishing portfolio-wide excellence in science, research, monitoring and TDA. Thirdly, the MSP will contribute to the development of a results-based management framework for the IW portfolio. The use of indicators to track progress and to support adaptive management will contribute greatly to cost-effectiveness.

The project itself is highly cost-effective since it will not be implemented by a single Agency but by a strong science partnership that will bring in co-financing, scientific expertise and sustaining collaboration. The voluntary contributions from ca. 75 IW scientists and global water experts to the Working Groups are particularly important. This is a very large, “informal”, in-kind contribution, in the form of individual’s professional time, over and above the formal input of partner organizations. Further cost savings will be obtained through co-scheduling of project meetings with other conferences, symposia etc.

part iii: institutional coordination and support

A. Project Implementation Arrangements:

UNEP is the GEF Implementing Agency for this MSP and UNU-INWEH has confirmed its participation as Executing Agency. UNU-INWEH will network and coordinate with the core partners, namely, UNEP-DEWA, UNESCO Water Division, the Scottish Association for Marine Sciences (SAMS), and the IGBP program on “Land-Ocean Interactions in the Coastal Zone” (LOICZ). A first project preparation meeting with the core partners, IA, EA and GEF secretariat was held in September 2007. The four core implementing partners have since confirmed their commitment to play lead roles in the substantive execution of this MSP. All will contribute in-kind resources in terms of professional staff time, communications, hosting of project meetings, and/or provision of support staff, office space and equipment:

· UNEP-DEWA will work closely with UNU-INWEH in co-designing the MSP work plan and will coordinate the river basin component of the project, using its networks to identify Working Group participants. It will also manage the incorporation of the IW science knowledge base into the IW:LEARN information portal and contribute to the science synthesis.

· UNESCO Water Division, with the assistance of the International Groundwater Resources Assessment Centre (IGRAC) and UNU’s Institute for Environment and Human Security (UNU-EHS), will coordinate the groundwater science aspects, contributing to the substantive programme of work, and will make available groundwater expertise through its International Hydrological Programme (IHP). They will also secure advice on Working Group candidates in the marine realm through consultation with the UNESCO International Oceanographic Commission (IOC).

· The Scottish Association for Marine Sciences (SAMS) will take one of the leadership roles for the marine science elements of the MSP. The SAMS leadership has considerable prior experience with the GEF IW Focal Area and has executed the GEF-funded UNDP project that developed current training programmes for TDA and for the Strategic Action Programmes. It will use its extensive network to identify participants for the coastal and open-ocean Working Groups and to contribute to the WGs, SSG, and SLN. SAMS will be assisted by the University of Plymouth

· LOICZ, the IGBP global change program on “Land-Ocean Interactions in the Coastal Zone”, will share leadership of the marine science elements of the MSP with SAMS. LOICZ brings a broad mix of scientific disciplines to the project, including strong capacity in experiential learning and will thus be of particular value in guiding the WG and SSG deliberations. It also focuses on cross-cutting science, in particular social and ecological linkages, assessing and predicting impacts of environmental change, and linking governance and science.

The Project Coordinating Unit (PCU), established within UNU-INWEH, will have the following responsibilities: overall project management, science leadership and logistical coordination; monitoring project progress and the realization of co-financing; overseeing development of the SLN platform; providing the Secretariat for the project Steering Committee; recommending and assembling rosters for the Working Groups and Scientific Synthesis Committee; and contributing to the synthesis reports. During implementation, UNU-INWEH will liaise closely with the core science and project partners as well as with the IA and, through the Steering Committee, with the GEF Secretariat and STAP.

A project Steering Committee (SC) will be established consisting of representatives from the GEF Secretariat, STAP, UNEP-DGEF, UNEP-DEWA, UNU-INWEH, UNESCO, SAMS, LOICZ, UNDP, and the World Bank. The Steering Committee will select its own Chair and will first meet immediately upon the start of implementation and then at the mid-point of the project. The PCU will provide secretariat services for the SC.

The Scientific and Technical Advisory Panel (STAP) of GEF will serve on the SC and participate throughout the project, particularly to contribute to the GEF corporate-related activities, engage science networks, link to other GEF focal areas, contribute to the review of key outputs, and vet the synthesis reports and companion policy-guidance summary.

part iv: explain the alignment of project design with the original PIF:

N/A

part v: Agency(ies) certification

This request has been prepared in accordance with GEF policies and procedures and meets the GEF criteria for CEO Endorsement.
Maryam Niamir-Fuller, Director, UNEP Division of GEF Coordination, Nairobi, Kenya. GEF Agency Coordinator	Dr. Tessa Goverse Project Contact Person
Date: 15 July 2008	Tel. and Email: +254-20-7623469 / Tessa.Goverse@unep.org
GEF Agency Coordinator	Project Contact Person
Date	Tel. and Email:

Annex A: Project Results Framework:

Annex B: Responses to Project Reviews

Annex c: consultants to be hired for the project

Annex d: status of implementation of project preparation activities and the use of funds

N/A

Annex E: Project Sustainability

Sustainability and learning continuity are essential priority goals of this project, as the knowledge synthesis is of no value unless diffused and applied within projects. The principal vehicle to ensure project sustainability is the “Science Learning Network”. It is designed to promote and facilitate scientific knowledge sharing, mutual learning, and strategic priority setting, both during and after the project. Through the SLN, global science networks will be mobilized to influence future IW priorities as new issues arise, while the GEF, in turn, will better influence the global water science agenda. Both elements of the SLN - the website containing the inventory database and various interpretive products, and the “Community of Practice” (CoP), an e-learning platform and virtual working space - will play a role.

The project website will be created at project inception and will be sustained beyond project completion as part of the SLN. It will contain the full suite of IW project science profiles developed during the inventory phase as well as the WG reports and synthesis reports from Component 2. The website content will be organized in a flexible, easily queried, user-friendly, relational database, so that science information from new IW projects can be easily added in the future. Similarly, future scientific reports of community-wide value originating from individual IW projects can also be added. These features will strengthen website utility over the longer term and promote buy-in from the IW community and beyond. The SLN website will also be linked to, and promoted by, IW:LEARN and other UN-Water internet portals.

The SLN is more than a static website offering only one-way information transfer. The “Community of Practice” (CoP) will employ contemporary technologies for web-based, social networking to create an interactive, multi-faceted discussion forum for all IW science and management professionals across the IW focal area. This e-learning platform and virtual working space will function as an informal network of water scientists and managers, primarily from IW projects, with a common sense of purpose and desire to share project portfolio knowledge and experience.

The CoP is expected to be largely self-sustaining, as there are inherence incentives to participate. As noted earlier, once fully operational, the CoP component of the SLN will provide continuity for several important learning functions within the IW focal area, namely:

• As nodes for exchange and interpretation of information, diffusion of best practices, cross-fertilization of ideas, and the communication of science to decision-makers. Because they have a shared understanding, members will know what is relevant to communicate and will want to continue to do so.

• As a source of knowledge retained in a "living way”, through the preservation of tacit aspects of knowledge that formal systems cannot capture.

• As a “steward” of scientific competencies to keep the portfolio at the professional cutting edge and to contribute to capacity development. Members can discuss novel ideas, post items of interest, address problems together, and keep up with external developments. Such collaborative inquiry makes membership valuable, because people invest their professional identities in being part of a dynamic, forward-looking community.

• As a vehicle for comparative analysis and mutual, multidisciplinary learning. Such a leading-edge capability will keep the SLN relevant well into the future.

• As a communication tool for wider collaboration with professionals in global and regional scientific organizations, associations and networks, so external scientific knowledge can be continuously channeled into IW projects, further reinforcing the value of the CoP.

During the project, every effort will be made to address the issues of sustainability, learning continuity and knowledge diffusion as early as possible. The SLN website and relational database structure will be created shortly after inception and populated with the inventory information and the full text of WG and synthesis reports as soon as they are completed. In this way, the project’s outcomes can be quickly accessed by IW projects and the global user community. Similarly, the inauguration of the SLN CoP will take place as early as practicable, most likely when the science synthesis is completed (Component 2), at which point the need for, and desire to participate in the SLN, will be most apparent to the user community. However, if the work plan permits, an prototype CoP platform will be provided to the WGs and the SSG to facilitate their deliberations.

This sustainability plan will be guided by a commitment to full participation by IW project science professionals, so that up-take into the IW portfolio can begin as soon as possible. The inventory template will be developed jointly with science leaders and experts from past and current IW projects, and they will collaborate fully in the development of the project science profiles for the inventory. Half the membership and one of the co-chairs of the Working Groups and the Science Synthesis Group will come from IW projects, as will most of the founding members of the SLN. Through this strategy, it is anticipated that IW project staff and scientists will begin to bring knowledge, information, and understanding back to their own projects/institutions during the life of this MSP. PCU support mechanisms will be used to reinforce this up-take of project outcomes.

To quicken the pace of knowledge transfer, the project’s outcomes will be promoted widely to the IW focal area and the global water community. Results will be presented to the GEF Biennial IW Conferences and other global water conferences, particularly the World Water Forum (WWF) and Stockholm Water Week. Dissemination will also be ongoing through the SLN website and other UN internet portals such as IW:LEARN, UN-Water agencies and the UNEP knowledge management system. Lastly, the project outputs, particularly the executive policy-guidance overview, will be presented to the GEF Secretariat for their consideration in seeking to further enhance and sustain the use of science across the IW and other GEF focal areas.

Looking forward, it is reasonable to anticipate that with sustained buy-in from the IW focal area and successful delivery of this project, the SLN could be funded beyond the lifetime of this MSP by financial and professional contributions from individual IW projects. The inventory could for example continue to serve as the collection point for science outputs from all future GEF IW projects, resulting in a commonly shared and continuously updated and expanding resource. In addition to such GEF support, the expanded partnerships and greater visibility that a successful SLN will bring with global scientific networks is likely to mobilize further external funding. The long-term funding issue will be considered during project execution and the Steering Committee will provide specific recommendations regarding financial sustainability.

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