request for project preparation grant (PPG)

Project Type: Full-sized Project

the GEF Trust Fund

Date of submission: 15 February 2008

GEFSEC Project ID¹: 3620

GEF Agency Project ID: 4058

Country(ies): Azerbaijan, I.R.Iran, Kazakhstan, Russia, Turkmenistan

Project Title: The Caspian Sea: Restoring Depleted Fisheries and Consolidation of a Permanent Regional Environmental Governance Framework

GEF Agency(ies): UNDP

Other Executing partners: UNOPS

GEF Focal Area: Full-sized ProjectInternational Waters

GEF-4 Strategic program: IW-SP 1, IW-SP 3

a. Project preparation Implementation Timeframe:

Start date	February 2008
Completion date	September 2008

b. project preparation activities ($) (If applicable, provide an explanation for the issues that will be
addressed through the activities financed by the PPG):

COMPONENT 1: Project Scoping and Definition

This component will identify and define specific objectives for the FSP noting the priorities specified in the PIF, in the Updated Caspian TDA and in the Updated SAP as well as the barriers to the SAP full implementation This will lead to scoping, objective setting and the barrier-removal solutions and responses that can be built into the incremental approach of the FSP. This component will also define and articulate the IW indicators in order to measure and verify the successful delivery of the Project Objective and Outcomes. Monitoring and evaluation plan as well as the stakeholder’s participation plan and strategy will also be developed

COMPONENT 2: Technical Feasibility and Gaps and Needs Assessment

Under this component the required Information Gaps Studies will be determined and actions will be carried out for a Cost-Benefit Analysis, Policy and Governance Needs Assessment and Capacity Building and Technical Training Needs Assessment, as well as for the Baseline and Incremental Needs Assessment. This component will develop a Full Project Work-Plan through participatory development of a detailed delivery work-plan approved and endorsed by the primary project stakeholders

COMPONENT 3: Stakeholder Engagement and Proposal Ownership and Endorsement

Through this component participatory negotiation with the countries to ensure full consensus on the Project Objective, Outputs and deliverables will be undertaken. This component will also address partnerships for support and co-funding at various levels and within various sectors (including government, NGO, private sector and bilateral partnership arrangements). Project technical and policy reviews response to the various technical (e.g. STAP, Implementing Agencies) and policy level (e.g. Implementing Agency, GEF and Council) reviews of the Project Document will be prepared. This component will organize a Regional Inception Workshop (RIW) to engage the primary stakeholders in a participatory consultation which will continue throughout the PPG ending with a Final project preparation Wrap Up Meeting to endorse the Full Size Project Document before submission to GEF for the CEO endorsement with all stakeholders will be hold. The RIW will attempt to bring in high level regional and international experts on the issues targeted by the PIF in particular on fisheries management issues.

During the project preparation there will be close coordination with the major IFs to encourage their engagement in the process to ensure that the project is in line with and complementary to the IFIs’ country strategies. Major IFs will be invited on to the regional project development and formulation meeting towards maintaining a continuous constructive dialogue.

The idea to create a mechanism similar to the Danube Black Task Force (DABLAS) for the whole Caspian Sea basin to encourage strategic investments in the environment and water sectors will be explored during the project preparation period. e. The current CEPSAP and Kura projects have already begun approaching the EBRD and EU with a view to explore potential for the establishment of a Caspian Task Force and its linkage with CEP SAP implementation and the Kura-Aras SAP development.

The PPG will be executed by UNOPS and Implemented by the CEP PCU in Teheran.

Project Preparation Activities	GEF Grant	Co-financing	Total
Project Scoping and Definition including Regional Inception Workshop	70,000	60,000	130,000
Technical Feasibility and Gaps and Needs Assessment	130,000	150,000	280,000
Stakeholder Engagement, Proposal Ownership and Endorsement including Wrap Up Meeting	100,000	60,000	160,000
Total project preparation financing	300,000	270,000	570,000

c. PPG Budget Requesting Finance by GEF:

Cost Items	Total Estimated Person Weeks (PW)	GEF ($)	Co-financing ($)	Total ($)
Local consultants *	250	100,000	140,000	240,000
International consultants*	40	120,000	30,000	150,000
Miscellaneous		30,000	30,000	60,000
Travel		50,000	70,000	120,000
Total PPG Budget		300,000	270,000	570,000

* Split between local and international consultants might be indicative and subject to the procurement guidelines of the
Agencies. Additional information regarding consultants should be provided in Annex A.

d. GEF Agency(ies) Certification

This request has been prepared in accordance with GEF policies and procedures and meets the GEF criteria for project identification and preparation.
John Hough UNDP/GEF Deputy Executive Coordinator, a.i.	Vladimir Mamaev Project Contact Person
Date: 15 February 2008	Tel. and Email:vladimir.mamaev@undp.org

Annex A

Consultants Financed by the Project Preparation Grant (PPG)

Position Titles	$/ person week	Estimated PWs	Tasks to be performed
Local
Country Liaison Officers (one expert in each country)	400	65	Liaise and coordinate PIF/PPG activities at national level towards formulation and national/regional approval; assistance to collect/produce data, information and analysis required for PIF/PPG implementation
Fisheries Experts (one expert in each country)	400	65	Substantively contribute towards collecting data, information and analysis required to identify objectives, activities, outputs, targets and indicators pertaining to PIF Component 1, i.e. ecosystem based management of aquatic Bioresources
Legal Experts, (one in each country)	400	50	Substantively contribute towards collecting data, information and analysis required to identify objectives, activities, outputs, targets and indicators pertaining to PIF Component 2 a and b, i.e. support to the Convention Secretariat and Development of the Convention Action Plan
Stakeholders Engagement Expert (one in each country)	400	30	Substantively contribute towards collecting data, information and analysis required to identify objectives, activities, outputs, targets and indicators pertaining to PIF Component 2, and b pertaining to stakeholders engagement including contributing to the design of a small grants programme
IT Expert	400	40	Substantively contribute towards collecting data, information and analysis required to identify objectives, activities, outputs, targets and indicators pertaining to the Information management component of the PIF/PPG design and assume responsibility for the smooth continuity of IT activities of the PIF/PPG implementation
International
Economist	3000	10	Manage, liaise and coordinate PIF/PPG activities inter alia those pertaining to Governance Needs Assessment and Capacity Building and Technical Training Needs Assessment, as well as the Baseline and Incremental Needs Assessment, Indicators setting and Cost -Benefit analysis
Fisheries Expert	3000	14	Lead project formulation and assume responsibility for final output in form of project document Identify objectives, activities, outputs, targets and indicators pertaining to PIF Component 1, i.e. ecosystem based management of aquatic Bioresources Input to overall project drafting process
Legal Expert	3000	10	Identify objectives, activities, outputs, targets and indicators pertaining to PIF Component 2 a and b, i.e. support to the Convention Secretariat and Development of the Convention Action Plan Input to overall project drafting process
Stakeholders Engagement Expert	3000	6	Identify objectives, activities, outputs, targets and indicators pertaining to PIF Component 2. c, i.e., stakeholders engagement including contributing to the design of a small grants programme Input to overall project drafting process