UNDP Project Document
Governments of Indonesia, Malaysia, Papua New Guinea, Philippines, Solomon Islands, Timor Leste
United Nations Development Programme
Asian Development Bank
Global Environment Facility
PIMS No. 4164 + GEF IW:LEARN: Portfolio Learning in International Waters with a Focus on
Oceans, Coasts, and Islands and Regional Asia/Pacific and Coral Triangle Learning Processes
Brief Description
A project to foster structured learning, information sharing, collaboration and replication
across GEF's International Waters portfolio through the IW:LEARN network, with a
particular focus on the Asia Pacific Coral Triangle Initiative, involving the Governments of
Indonesia, Malaysia, Papua New Guinea, Philippines, Solomon Islands, Timor Leste. The
project incorporates a global component aimed at advancing the oceans, coasts and small
island developing states targets of the 2002 Johannesburg Plan of Implementation, and at
addressing emerging challenges such as climate change impacts and improved governance of
marine areas beyond national jurisdiction. The project will contribute to the forthcoming
World Ocean Conference to be held in Manado, Indonesia in May 2009, the GEF Fifth
Biennial International Waters Conference to be held in Cairns, Australia in October 2009, and
the Fifth Global Oceans Conference, to be held in Paris, France, April 2010.
(Jan09)
Table of Contents
Section
Page
Section 1. Elaboration of the Narrative
1
Part
I
Situation
Analysis
1
Context and global significance
1
Threats, root causes and barriers analysis
2
The global context of the project components
6
Stakeholder
analysis
9
Baseline
analysis
11
Part
II
Strategy
12
Institutional, sectoral and policy context
12
Project rationale and policy conformity
13
Project goal, objective, and outcomes
14
Methodology and key outputs/activities
17
Project indicators, risks and assumptions 23
Incremental
reasoning
and expected benefits
28
Country ownership: country eligibility and country drivenness
29
Sustainability
28
Replicability
29
Part
III
Management
Arrangements
31
Part IV
Monitoring and Evaluation Plan and Budget
32
Part
V
Legal
Context
38
Section II Strategic Results Framework and GEF Increment
39
Section III Total Budget and Workplan
51
Section IV Additional Information
60
Part I
Other Agreements
60
Part II
Organigram of Project
60
Part III
Terms of Reference
61
Part IV
Stakeholder Involvement Plan
70
Part
V-X
71
Signature Page
72
Annexes
73
Tables
1. Indicators
and
Targets
24
2
2.
Project Risks and Mitigation Strategy
26
3.
Linked Projects and Lessons Learned
29
4.
Indicative Monitoring and Evaluation Work Plan and Corresponding Budget
37
5.
Logical Framework and Objectively Verifiable Impact Indicators
40
6.
Stakeholder Analysis and Plan
70
Figures
1.
Global Distribution of Coral Species
8
2.
Linkages Between Project Elements
12
3. Organigram
60
3
Acronyms and Abbreviations
ADB
Asian Development Bank
APEC
Asia Pacific Economic Cooperation
ASEAN
Association of Southeast Asian Nations
BIMP
Brunei Darussalam, Indonesia, Malaysia, and Philippines
CCC
Coral Triangle Initiative Coordinating Committee
CI
Conservation International
COBSEA
Coordinating Body for the Seas of East Asia
CoP
community of practice
CSD
UN Commission on Sustainable Development
CSIRO
Commonwealth Scientific and Industrial Research Organization
CT
Coral Triangle
CTI
Coral Triangle Initiative on Coral Reefs, Fisheries, and Food
Security
CTSP
Coral Triangle Support Program
EAGA
East ASEAN Growth Area
EBM
ecosystem-based management
EEZ
exclusive economic zone
GBRMP
Great Barrier Reef Marine Park
GEF
Global Environment Facility
GOC2010
Fifth Global Conference on Oceans, Coasts, and Islands 2010
GOF
Global Forum on Oceans, Coasts and Islands
GPA
Global Programme of Action on the Protection of the Marine
Environment from Land-based Sources of Pollution
ICPDR
International Commission for Protection of the Danube River basin
ICO
International Coastal and Ocean Organization, the Secretariat of the
Global Forum on Oceans, Coasts, and Islands
IOC
Intergovernmental Oceanographic Commission, UNESCO
IW
international waters
IWC5
Fifth GEF Biennial International Waters Conference
IW:LEARN
GEF International Waters: Learning Exchange and Resource
Network
IWRM
integrated water resources management
JPOI
Johannesburg Plan of Implementation
KM
knowledge management
LME
large marine ecosystem (ecoregion)
MDG
Millennium Development Goals
MENARID
Integrated Natural Resource Management in the Middle East and
North Africa Region Project
MPA
marine protected area
NGO
nongovernmental organization
PAS
Pacific Alliance for Sustainability
PCU
Project Coordination Unit
PEMSEA
Partnerships in Environmental Management for the Seas of East
Asia
PES
payment for ecosystem services
PIP
program integration portal
4
PNG
Papua
New
Guinea
RETA
regional technical assistance
RPoA
regional plan of action
SIDS
small island developing states
SOM
senior officials' meeting
SSME
Sulu-Sulawesi Marine Ecoregion
TNC
The Nature Conservancy
TWRM
transboundary water resources management
UNDESA
United Nations Department for Economic and Social Affairs
UNEP
United Nations Environment Programme
UNDP
United Nations Development Programme
USAID
United States Agency for International Development
USG
United States Government
USCTI
USG-funded Coral Triangle Initiative
WOC2009
World Ocean Conference, Manado, Indonesia, 2009
WON
World Ocean Network
WOO
World Ocean Observatory
WSSD
World Summit on Sustainable Development
WWF
World Water Forum
5
SECTION I: Elaboration of the Narrative
PART I: Situation Analysis
Context and global significance
There is an urgent need to advance integrated ecosystem-based management (EBM) of ocean, coastal and
river basin areas at global, regional and national levels through coordination of global and regional
strategic planning processes, especially in accelerating implementation of the global commitments for
oceans, coasts, integrated water resources management (IWRM) and small island developing states
(SIDS) made at the 2002 World Summit on Sustainable Development, and through regional, thematic and
portfolio learning and experience sharing. The GEF IW:LEARN: Portfolio Learning in International
Waters with a Focus on Oceans, Coasts, and Islands and Regional Asia-Pacific and Coral Triangle
Learning Processes (IW:LEARN/CTI) project integrates GEF-supported transboundary experience into
global efforts to improve freshwater, coastal and marine resources management in the context of
achieving the oceans, coasts, and SIDS targets of the Johannesburg Plan of Implementation (JPOI) and
Millennium Development Goals (MDG) and adapting to climate variability and change, with a special
focus on the coral reefs and associated habitats of the Asia-Pacific region.
To stimulate and facilitate exchange of experience and lessons learned among the global portfolio of more
than 60 international waters (IW) projects, the Global Environment Facility (GEF) initiated the
International Waters: Learning Exchange and Resource Network (IW:LEARN) in 1998. Over the past
decade IW:LEARN has been helping to improve the performance of GEF's portfolio of IW projects
through experience sharing, portfolio learning, and knowledge management (KM) and aims to build on
this through a greater focus on scientific understanding of coastal and marine systems and their
dependence on improved management of adjoining terrestrial areas. The application of lessons learned
by current and completed IW projects around the world will give regional projects, such as the Coral
Triangle Initiative on Coral Reefs, Fisheries, and Food Security (CTI) involving Indonesia, Malaysia,
Papua New Guinea, Philippines, Solomon Islands and Timor Leste, a better chance for success in
addressing the transboundary concerns, and thereby generating global environmental benefits consistent
with the GEF Operational Strategy.
The IW:LEARN/CTI project includes three inter-related and mutually supportive components: (i)
strategic planning to advance the global oceans agenda and the further implementation of the JPOI and
MDG targets, including specific capacity development initiatives for developing countries and SIDS in
various world regions in the context of climate change; (ii) portfolio learning among GEF IW projects to
achieve maximum synergy in the further dissemination of lessons learned and peer knowledge-sharing on
integrated, ecosystem-based management; and (iii) regional learning mechanisms emanating from
initiatives in integrated ecosystem-based management in the Asia-Pacific region. These three components
are linked, coordinated and integrated through a fourth component on project coordination and
management.
Several major developments that will promote KM for sustaining the global marine environment are
linked by this project (i) the World Ocean Conference in Manado, Indonesia in May 2009 (WOC2009);
(ii) the 5th Global Conference on Oceans, Coasts, and Islands in Paris in April 2010 (GOC2010); (iii) the
GEF Fifth Biennial International Waters Conference (IWC5) in Cairns, Australia in October 2009; and
1
(iv) the information management program and program integration portal (PIP) for CTI. What links these
elements together is the need for all major efforts in relation to protecting and managing the marine
environment to share information on what works and what doesn't work, to foster a culture of peer-to-
peer learning supported by communities of practice (CoP), to exchange knowledge, and to facilitate
project implementation among all development partners involved in marine and coastal environment
programs and projects.
Threats, root causes and barriers analysis
Oceans, seas, islands, and watersheds discharging to coastal waters are under increasing threat. Coastal
areas are home to over half of the world's population and 44 of the world's nation states are SIDS.
Fisheries provide direct and indirect livelihoods for over 400 million people and millions more are
involved in travel and tourism industries dependent on healthy coastal and marine environments. The
vital ecological services of coastal and marine areas are increasingly threatened with over-exploitation by
the burgeoning human population and its economic activities. Three quarters of global fish stocks are
fully exploited or over-exploited. Much of the marine biological diversity is threatened with extinction
(e.g., 70% of the 126 marine mammal species are threatened, 50% of mangrove areas have been
destroyed, and the survival of coral reef and seagrass habitats is threatened by climate change). Ballast
water shipped around the world's oceans and indiscriminately discharged spreads alien and invasive
species. Application of fertilizers, pesticides, and herbicides to feed the growing human population is
resulting in eutrophication of freshwater basins and massive dead zones and red tides in coastal and
marine areas. Climate change accelerates these existing problems and threatens widescale inundation of
low-lying coastal areas and SIDS, increased extreme storm events, coastal erosion, ocean acidification,
and bleaching of coral reefs. The main barriers to dealing with this panoply of threats are (i) the lack of
scientific knowledge and its effective management for decision making and actions; (ii) inadequate
institutional arrangements, stakeholder participation, and sustainable financing; and (iii) inadequate
strategic planning and policy development at the global and regional levels.
A mini-survey by the Scientific and Technical Advisory Panel (STAP) of GEF in mid-2008, found that
the emerging issues in the IW focal area are (i) a focus on governance; (ii) freshwater, freshwater
biodiversity and resource conservation; (iii) over-harvesting of fisheries resources by small-scale fishers
and mixed small and industrial scale fisheries; (iv) ocean acidification; (v) support for global ocean
observation system strategies; (vi) management of invasive alien species introduced through aquaculture
and habitat restoration; (vii) mangrove and marine habitat conservation and rehabilitation; (viii)
integration of the GEF strategic objectives at the project level; (ix) network of high seas protected areas;
and (x) chemicals management. The main cross-cutting issues are biodiversity, climate change, land
degradation, persistent organic pollutants, and sound chemical management. Of particular relevance to
this project, the survey found (i) a continuing need to build on the GEF human capacity development
strategy; (ii) a need to improve the transparency of GEF information systems and to sustain project
knowledge after project completion; (iii) the lack of taxonomic knowledge and poor data systems at IW
project sites; and (iv) the need for the right type of research1 and getting the best scientists involved.
Paucity of Scientific and Technical Knowledge Management
(i)
Role of Research Science-based management of oceans and coastal environments has
advanced significantly in recent years, especially resulting from coordinated approaches by the
Intergovernmental Oceanographic Commission (IOC) of UNESCO, the Large Marine Ecosystems (LME)
1 Specific research needs identified include (i) baseline data on fish contamination; (ii) impacts of coastal pollution on nurseries
and reproductive capacity of fish; (iii) effectiveness of marine protected areas; and (iv) effects of climate change on the oceans,
ocean processes, and oceanic flora and fauna.
2
assessments, the Millennium Ecosystem Assessment, the Global Ocean Observing System, Global
Programme of Action on the Protection of the Marine Environment from Land-based Sources of Pollution
(GPA), the Regional Seas Programme, the Global Marine Species Assessment, the Global International
Waters Assessment, the Global Coral Reef Monitoring Network, and the UNEP/IOC Assessment of the
State of the Marine Environment. Nevertheless, almost all new survey activities, especially on sea mounts
and open ocean areas, find new species, an unexpected diversity of habitats and a better understanding of
coastal and marine processes and their links to terrestrial ecosystems, so much more remains to be done.
A science-based approach underpins the CTI, but the Regional Plan of Action (RPoA), which details the
planned activities to be undertaken, is lacking on the critical role of research in the program or how to
bring the scientific community fully into the CTI. More research is required on the CT to provide the
basis for sound decision-making on how to protect and prevent further loss of critical ecosystems. For
example, will increased sea temperatures and ocean acidification affect coral reefs equally throughout the
CT, or are some reefs naturally more resilient? Scientists have cited the significant role of research in the
successful implementation of large marine parks, such as the Great Barrier Reef Marine Park (GBRMP),
but this level of effort has not been matched in the CT.
In the CTI, and across the GEF IW portfolio, there is an ongoing need to track and organize scientific and
technical information so that critical information becomes available and useful to local communities and
concerned stakeholders as part of the available tools for effective management and efficient utilization of
natural resources. UNEP is providing ongoing improvements to the IW:LEARN website,
www.iwlearn.net, which serves as an integrative cross-referenced clearinghouse where information about,
and generated by, GEF-supported projects can be readily accessed.2 In this project, IW:LEARN will
explore more dynamic interlinking with the GOF website in order to bring information resources to CoPs
through a collaborative virtual platform. In addition, CTI's PIP offers both a challenge and an opportunity
to bring the benefits of regional learning to the wider GEF IW portfolio and vice versa in a way which is
intuitive, practical and usable.
(ii)
Knowledge Management As indicated above, there is a wealth of information on freshwater,
coastal and marine management at all levels, but to date this information has not been organized or
coordinated sufficiently and has not been translated into forms that decision makers need to improve
participatory governance, integrated natural resource systems management and to effectively adapt to the
additional exigencies of climate change.3 The WOC2009, IWC5, GOC2010, regional learning processes,
and the CTI summit will provide excellent opportunities to take stock of the current information which is
available, engage in consultation between producers and users as to how it can be used to improve
integrated EBM, and where the major gaps in knowledge remain (e.g., increasing participation of women,
marginalized groups and communities, use of indigenous knowledge, and environmental security in
relation to climate change).
More than fifteen years of GEF IW support has established foundations for transboundary cooperation at
the political, scientific and technical levels, but management of surface water, groundwater, coastal and
marine resource systems remains to be integrated. The capacity of transboundary ecosystems to provide
goods and services necessary to achieve, sustain and surpass MDGs requires increased trust, cooperation,
integration and participation at all levels. Participation of women, indigenous groups and communities in
IWRM is particularly important to ensure that progress in MDGs is resilient to climate change.
2 See for example, the GEF/World Bank Coral Reef Targeted Research and Capacity Building for Management project's efforts
to improve provision of scientific information on coral reef ecosystems at http://www.iwlearn.net/publications/experience-
note/experience-note-improving-scientific-information-and-management-for-coral-reef-ecosystems-around-the-world.
3 At the end of 2006, following a UN General Assembly resolution, an assessment of assessments in the marine environment was
commenced, covering 130 assessments and related activities. A web-based database on these assessments is available at
http://www.unep-wcmc.org/GRAMED, with links to 18 data portals.
3
Engagement of the private sector in EBM is also a priority area, in which GEF IW projects have relatively
little experience. KM support is needed to facilitate the exchange of practical experience, targeted training
and consultative dialogue processes which have proven successful in helping to balance multiple interests
competing with, and for, ecosystem goods and services. Balancing these interests through EBM requires
strong political leadership and cooperation between managers, the science community and policymakers
at all administrative levels and among countries sharing transboundary natural resource systems. Mature
GEF-supported strategic partnerships such as Danube/Black Sea and Partnerships in Environmental
Management of the Seas of East Asia (PEMSEA) represent significant investments in technical
innovation, public participation and regional cooperation that are of particular value to other projects and
regions. IW:LEARN responds to the need for KM to consolidate, scale up and build upon these
foundations to improve replication efficiency, return on investments of GEF and its agencies, contributing
and beneficiary governments, and other project partners, through in-service learning and adaptive
management.
The finalization of the CTI RPoA will need to make use of the best available global information on
practices pertaining to each program component. The subsequent implementation of action plans at the
regional, national, and local levels is expected to generate a large amount of information from action
research and lessons learned from innovative practices and schemes on adaptive management, sustainable
financing, and governance challenges. This body of knowledge constitutes one of the major outputs of
CTI and needs to be organized and made accessible to various stakeholders within the CTI and in the
larger global community working for cross-fertilization of relevant efforts, and in informing policy
decisions on good governance and effective management. The PIP being funded by the US Agency for
International Development (USAID) needs to be transferred to the CTI Secretariat, and national focal
points, and maintained beyond the duration of the USAID funding.
Emerging Institutional Development and Financing Mechanisms
(i)
Permanent Secretariats Funding global and regional programs in project mode, with
standalone secretariats for the duration of the project but with little thought to long term arrangements is
generally unsustainable. The recent experience of PEMSEA, the Clean Air Initiative in Asia-Pacific, the
International Commission for the Protection of the Danube River basin (ICPDR) and similar regional
programs in moving towards permanency and self-funding arrangements needs to be reviewed and best
practice shared. The current interim CTI Secretariat hosted by the Government of Indonesia has
developed a "roadmap" leading up to a planned CTI Summit in conjunction with WOC2009. However,
there has been little attention to future CTI program coordination and management as well as the
associated evolution of the Secretariat beyond that point. Some of the participating countries have
expressed a preference for a CTI Secretariat independent of the CT governments, with the other main
options including a jointly supported international body or one hosted and largely staffed by one of the
countries. The implications of these options have yet to be fully examined. Through its coordination and
resource mobilization roles, the Asian Development Bank (ADB) will need to assist the interim CTI
Secretariat with other partners (through a "friends of the CTI Secretariat" group) to evaluate a number of
options for the longer term institutional development of the Secretariat.
(ii)
Coordination of Donor Support Developing countries have requested, and donor countries
have generally agreed on the need for, country-driven processes in development aid. The Paris
Declaration on Aid Effectiveness promotes a model of partnership that improves transparency and
accountability on the use of development resources. Nevertheless, it is understandable that bilateral donor
assistance, with accountability to national taxpayers, often continues to have national interests at the
forefront of financial assistance to developing countries. An integrating mechanism is needed to help
ensure that donor support is coordinated, so as not to overtax the capacity of beneficiary agencies or
organizations, and that assistance is aligned with the priorities and efforts of the developing countries.
4
In addition to ADB, several other development partners have already devoted resources to supporting the
CTI. The Australian Government and The Nature Conservancy (TNC) have helped organize planning
meetings and associated costs. The United States Government (USG) has provided additional resources to
the CTI Secretariat through TNC and a contract to ARD/Tetra Tech for Program Integration (PI) of the
USG financed portion of CTI designated as the Coral Triangle Support Program (CTSP). The main task
of the CTI PI is to track the overall performance of the USG-funded program. The current scope of work
of the PI may be expanded to include provision of support to the CTI Secretariat and CTI Partners to
record CTI-wide actions beyond the CTSP, as suggested during a Development Partners Coordination
Meeting held in October 2008. For example, the scope of work of the PI currently includes design of a
PIP, which could be designed at the CTI-wide level to be handed over to the CTI Secretariat to manage
and maintain after 2012. In this regard, development partners will need to link with the PI and at the same
time closely monitor and strengthen the capability of the CTI Secretariat so that it can take on the
integration role on behalf of the participating countries after the handover process. The USG is supporting
a consortium of NGOs to undertake critical activities related to the CTI objectives. With so many donors
involved, coordination and information management are paramount.
(iii)
Expanding Scope and Mission Creep KM projects tend to continually expand linkages and
leverage synergies, but adding too many related activities can ultimately diffuse the focus. For example,
during the Second CTI Coordinating Committee (CCC2) meeting in Honiara, it was agreed that the
operational area of the CTI would be expanded from the core CT area defined by globally high coral
species diversity to the boundaries of the exclusive economic zones (EEZ)4 of the six CT countries.
Several other countries outside of the core CT, including Brunei Darussalam, Vanuatu, Fiji Islands, and
Palau have expressed interest in cooperating with the CTI and being considered for inclusion among the
CT countries, and this issue has not yet been resolved. As ADB's RETA 6471 on Strengthening Coastal
and Marine Resources Management in the Coral Triangle of the Pacific involves not only PNG, Solomon
Islands and Timor Leste but also Vanuatu and Fiji Islands, it is in the interest of countries and
development partners to help resolve this question. A tight focus on measurable outcomes and resisting
mission creep is needed.
(iv)
Sustainable Financing The World Bank has indicated that the difference between potential and
actual net economic benefits from marine fisheries is on the order of $50 billion per year and improved
governance would enable a large part of this economic loss to be recovered and devoted to improved
coastal and marine management. Currently, CTI as a new regional initiative appears capable of generating
considerable external financing, almost to the point, in some CT countries, that available short-term
funding may outstrip national absorptive capacities. In the longer term, however, sustainable funding
from CT country budgets and other national sources, especially from fisheries and tourism, will be
needed. A specific challenge is to identify current levels of public and private expenditure on
management of coastal and marine resources within the CT countries. This will help to identify resource
gaps as well as potential funding streams. The project should assist the CT countries to identify
sustainable financing options to fill these gaps, such as payment for ecosystem services (PES), drawing
from experience of similar IW projects. Another issue relates to the lack of a financial architecture for
coordinating and administering funds from a variety of development partners. Since ADB is perceived by
both development partners and the CTI Secretariat as the lead in donor activities, ADB could help to
develop a budget process for the CTI as part of the financial/resource mobilization and monitoring design
in order to ensure sustainable financing and efficient funds utilization. The nongovernmental organization
(NGO) consortium for CTI has appointed a specific staff responsible for donor coordination.
4 Ocean areas from the coast to usually 200 nautical miles offshore, where the adjacent nation has exclusive economic rights and
the rights and freedoms of other states are governed by the relevant positions of the United Nations Convention on the Law of the
Sea.
5
GEF-IW:LEARN is partnering with ICPDR as the flagship of GEF IW investment, to help transfer the
benefits of the Danube River basin experience (including strategic partnership in Black Sea regional
cooperation) through learning exchanges and twinning. While these benefits span the full spectrum of
technical, management and policy issues, ICPDR's success in transitioning from GEF funding to self-
sustaining financing is of particular value to other basins, groundwater systems, and LMEs in developing
sustainable financing.
Inadequate Strategic Planning and Policy Development at the Regional Level
(i)
Strategic Plan of Action Progress has been noted in the development of complementary
National Action Plans in CTI member countries. Although some of the CT countries are lagging behind in
the development of their own National Action Plans, donor support, in this particular area, including that
from the ADB, has been quite substantial. What is needed now is to ensure proper implementation of
these national initiatives and coordination of activities and their timing among the CT6 member countries
in order to achieve the targets set forth in the RPoA. In addition, the national and regional level strategic
plans of action need to be more effectively integrated into global level policy and governance
developments. Experience from other IW projects in relation to successful plans of action, to be shared at
IWC5, will provide valuable learning for CTI stakeholders.
(ii) Policy
Development The CTI RPoA refers to a set of "over-arching commitments" to
implement needed economic, policy, and legal reforms through "economic incentives, policies, legislative
frameworks, and regulations." ADB's ongoing policy dialogue with the CT countries should be adjusted
to adopt this specific commitment to action as a primary "niche" for ADB support, along with its
resource mobilization role. Global best practice in relation to economic, policy, and legal reforms, needs
to be linked to the CTI through the IWC5 and related portfolio learning and raised in global governance
dialogues through the Global Forum on Oceans, Coasts, and Islands (GOF).
The global context of the project components5
Component 1 - Advancing the Global Agenda on Oceans, Coasts and Small Island Developing
States Component 1 will be carried out by the GOF through its secretariat, the International Coastal and
Ocean Organization (ICO).6 The GOF was started in 2001 to help the world's governments highlight
issues related to oceans, coasts, and SIDS on the agenda of the 2002 World Summit on Sustainable
Development (WSSD), and formalized in Johannesburg. The GOF is a response to perceived needs for (i)
fostering cross-sectoral dialogue on ocean issues among governments, NGOs, international organizations,
and the private and scientific sectors; (ii) constant advocacy for oceans at the highest political levels; and
(iii) taking an ecosystem-based and integrated approach to oceans governance at national, regional, and
global levels, including treating the water system from freshwater, to coasts, to oceans as an interlinked
system.
The GOF has involved ocean experts representing all sectors from 105 countries to advance the global
oceans agenda by (i) promoting the implementation of international agreements related to oceans, coasts,
and SIDS, especially the goals emanating from the 2002 WSSD; (ii) analyzing emerging issues such as
improving the governance regime for ocean areas beyond national jurisdiction and addressing the impacts
of climate change; and (iii) promoting international consensus-building on unresolved ocean issues.
5 A fourth component on project coordination and management is not discussed here.
6 http://www.globaloceans.org/
6
The GOF has (i) organized four global conferences (in 2001, 2003, and 2006 at UNESCO in Paris and in
2008 in Hanoi, Vietnam); (ii) organized the Ocean Policy Summit in Lisbon in 2005 documenting
experience with integrated oceans governance; (iii) prepared "report cards" on the implementation of the
WSSD ocean targets and the 1994 Barbados Programme of Action for SIDS; (iv) prepared reports on
ocean issues in island states; (v) prepared reports on capacity development needs on ocean and coastal
management; and (vi) provided a series of Internet information services, including periodic newsletters.
In 2006, the GOF began a strategic planning effort in collaboration with governments, United Nations
(UN) agencies, NGOs, industry, and scientific groups, to advance the global oceans agenda over the ten-
year period to 2016. Twelve Multinational Expert Working Groups, involving over 250 experts from 72
countries, have been organized and have prepared policy briefs on progress achieved (or lack thereof) and
needed next steps regarding the major WSSD targets on oceans, coasts, and SIDS, also considering a
number of overarching, cross-cutting issues, such as poverty alleviation, capacity development, indicators
for progress, compliance and enforcement, and public education and outreach.
Component 1 will organize multi-stakeholder consultations, policy analyses, and global oceans
conferences to mobilize high-level policy attention, action, and specific initiatives to advance integrated
ecosystem-based oceans and coastal governance in the context of climate variability and change, in
particular: (i) WOC2009 (in collaboration with the Indonesian Government); (ii) 5th Global Conference
on Oceans, Coasts, and Islands 2010 at UNESCO in Paris, France (GOC2010); and (iii) policy analyses
and multi-stakeholder consultations on priority areas of targeted action to support the enhancement of
governance of marine areas beyond national jurisdiction, that could be considered through GEF5.
Policy analyses and multi-stakeholder policy dialogue will review progress achieved and focus on
tangible next steps for advancing the JPOI and MDG goals, in particular ecosystem management and
integrated coastal and ocean management by 2010, and the global targets on preventing loss of
biodiversity (by 2010), and of creating networks of marine protected areas (MPA) by 2012. These targets
are scheduled for review by the UN Commission on Sustainable Development (CSD) in 2014-15.
Multinational Global Forum Working Groups involving ocean leaders and experts from all sectors and
regions of the world will advance strategic planning for the global oceans agenda to 2016, especially
focusing on (i) the development of priority next steps for JPOI and MDG implementation of ecosystem-
based integrated ocean and coastal management; (ii) SIDS and the Mauritius Strategy for further
implementation of the Barbados Programme of Action; (iii) fisheries and aquaculture; (iv) biodiversity
and marine protected areas; and (v) climate change and practical approaches to adaptation.
Component 2 GEF International Waters Portfolio Learning - Component 2 aims to promote
adaptive learning within the GEF IW portfolio, with the 5th Biennial GEF International Waters
Conference, to be hosted by the Government of Australia in Queensland in October 2009, as the pivotal
mechanism in an iterative peer-to-peer portfolio learning cycle. The purpose of IWC5 is to share
experience and innovative practices among GEF's global IW portfolio, deliver hands-on learning and
capacity building, develop strategies to enhance stakeholder collaboration, and encourage GEF IW
projects to apply evolving GEF policies and procedures during implementation. IWC5 builds on and
draws from the ongoing IW:LEARN resource base established by GEF to share experience and
knowledge regarding coastal and marine resource management (see www.iwlearn.net).
Every two years, IW:LEARN convenes about 300 representatives of project leadership and their
government partners to exchange practical experience, share scientific and technical innovation, and
engage in a collective learning process with the entire global GEF IW portfolio. Major themes of the GEF
IWC5 learning cycle address key constraints and highlight opportunities for strengthening transboundary
water and natural resource systems management. Freshwater basin and groundwater management remain
sectorally divided while climate change drives the need for improved water use efficiency in balancing
7
multiple uses among diverse stakeholders, and downstream linkages need to be forged in order to protect
investments in coastal and marine management. While water and natural resources management at the
basin or LME scale is a vital foundation for sustainable development, GEF IW projects rarely track their
contributions towards achievement of MDGs in the countries they serve. To achieve MDGs with the
added constraints of climate change, `business as usual' is no longer adequate. The IWC5 provides more
than a global platform for interactive and participant-driven learning to share knowledge, strengthen peer-
to-peer networking, and enhance practical project implementation and leadership skills. It also
consolidates the collective experience in a robust learning culture that is changing the way IW project
management, implementation partners and stakeholders do business - to better apply EBM in building
food security, sustainable livelihoods and sustainable ecosystem services, while also contributing to the
peace and security dividends which come with transparency, trust, and regional economic benefits of
transboundary cooperation.
Component 3 - Coral Triangle Initiative - The Coral Triangle (CT),7 sometimes referred to as the
"Amazon of the Seas", is the global epicenter of marine life abundance and diversity on the planet,
holding more than 75% of the known coral species and over 3,000 species of reef fish. These
extraordinary marine biological resources directly sustain the lives of over 200 million people living
within the CT, providing livelihoods, income and food security benefits (e.g., the source of the world's
most valuable tuna fisheries which generate annual revenues of approximately $5 billion), and a rapidly
expanding coastal/marine-based tourism industry, which is worth more than $1 billion annually in the
Philippines alone. Spanning multiple political and cultural boundaries, the CT ecoregion stretches from
Luzon, Philippines in the north, to the east coast of Borneo, across eastern Indonesia and Papua New
Guinea to include Timor Leste and extending to the Solomon Islands. This subregion has a biogeographic
identity that is defined by its rich biodiversity and the connections of its ocean currents and species
distribution patterns, such that the value of the whole is greater than the sum of its parts. The diverse reef
systems of the Southeast Asian side of the CT are linked to the Pacific through stepping stone reefs in
Melanesia, Micronesia, and Polynesia (Figure 1).
Figure 1 Global Distribution of Coral Species
However, overexploitation of coastal and marine ecosystems (from overfishing, land based pollution,
erosion and sedimentation), destructive extraction practices (such as mining of coral reefs for
construction), coastal and marine pollution (including discharge of ballast water, oil and solid waste),
weak resource management systems and the impacts of climate change (including increased water
temperatures and ocean acidification) collectively threaten the CT. Sustainable livelihoods and a
7 The six core CT countries are Indonesia, Malaysia, Papua New Guinea, Philippines, Solomon Islands and Timor Leste; other
Southeast Asian and Pacific countries also have direct stakes in the management of CT resources.
8
significant portion of the foreign exchange earnings of the six CT countries are at stake. It is now
recognized by the governments of all of these countries that urgent action is needed to conserve the CT so
that its benefits may be sustained.
Stakeholder analysis
Component 1 - Advancing the Global Agenda on Oceans, Coasts and Small Island
Developing States The multi-stakeholder dialogues and other activities to be organized by the GOF
under this component represent a sustained response to perceived needs for fostering cross-sectoral
dialogue among various stakeholders (governments, intergovernmental organizations, nongovernmental
organizations (NGO), and the private and scientific sectors) towards the achievement of specific targets
on oceans, coasts, and SIDS agreed to during the WSSD as well as the MDGs, started in 2002. National
governments clearly have the lead responsibility for implementation of global oceans goals. Nonetheless,
the involvement and contributions of all the major actors noted above are essential too. The pressing
issues affecting oceans, coasts, and SIDS call for the mobilization of a broad coalition of interests from
developed and developing countries and including all relevant actors. No one can solve the problems
alone. A coming together of the international community is imperative.
In addition, there is a need for constant advocacy for oceans at the highest political levels in view of
competing organizational priorities and the imperative of responding to new approaches for improved
management practices such as the application of ecosystem-based and integrated approaches to oceans
governance at national, regional, and global levels that require new/additional/combined efforts and
resources. A more concerted effort by all key stakeholders is needed in order to mobilize and focus finite
resources.
To carry out their mandates and responsibilities in addressing specific targets on the global oceans
agenda, governmental and intergovernmental organizations need the collaboration of (i) NGOs which
often step in and address gaps when formal processes are inadequate or ineffective; (ii) the science
community which can lay out the technical foundation for informed policy development and management
practices; (iii) the business/industry sector providing perspectives and compliance with regulations,
funding and other forms of support, such as data and facilities; (iv) members of the general public who
need to be informed and empowered to provide support in mobilizing the development of appropriate
policies and best management practices; and (v) museums and aquaria which play a key role in informing
the public and mobilizing information resources.
The primary stakeholders targeted under Component 1 are the high-level government leaders, especially
those from developing countries and SIDS faced with the responsibility to plan, program resources,
implement activities, and monitor results in the achievement of JPOI targets on oceans, coasts, and SIDS,
in conjunction with other stakeholders (intergovernmental organizations, NGOs, the scientific sector,
business/and industry, museums and aquaria) who can provide essential knowledge, human resources,
information, and financial resources.
Component 2 - GEF International Waters Portfolio Learning GEF IW projects have stressed the
need to improve engagement of stakeholders. Regional public participation workshops in the previous
learning cycle for projects in Africa, Latin America, and Asia/Pacific, revealed a paucity of knowledge
and experience in gender mainstreaming and including indigenous peoples and traditional knowledge, and
reinforced community-level involvement as a universal priority. GEF IW stakeholder response to learning
exchanges was noted in evaluation of the previous learning cycle as one of the most effective portfolio
learning mechanisms, with particularly high demand for exchange visits with the now-concluded Danube
regional project (featuring extensive development of NGO and riparian community involvement). To help
9
promote an ongoing commitment to learning exchanges and twinning to share the benefits of a mature
basin organization, a partnership arrangement has been agreed with ICPDR.
Overall, participants in the 4th Biennial GEF IW Conference (IWC4) considered the event a success
(3.9/5). They found IWC4 (i) was directly applicable to their work functions (3.6/5); (ii) helped them
learn how other projects are delivering results (3.8/5); (iii) increased their understanding of innovative
methods (3.3/5); and (iv) demonstrated ways to increase project effectiveness (3.4/5). Some 79 out of 314
participants (practitioners including GEF Partner representatives, GEF Project Managers, GEF Agency
Staff, government representatives and participants with other affiliations) submitted evaluation forms.
Given the 25% response rate, the results are statistically significant. The first two biennial GEF IW
conferences did not produce evaluation summaries, but the 2002 Conference in Dalian, China produced a
needs assessment which informed the subsequent phase of IW:LEARN. IWC3 in Salvador de Bahia,
Brazil, in 2005, earned similar but less high marks compared to IWC4.
The need to go beyond generalities and engage in peer networks around specific management approaches
has been highlighted by project managers and their institutional partners. African basin organizations
need ongoing support to make practical use of economic valuation in transboundary basins. Regional
commissioners and their member government counterparts, technicians from the hydropower sector, and
coastal area managers and policymakers from Latin America and the Caribbean have replicated the
IW:LEARN workshop on environmental flows many times over and are ready to pursue opportunities for
learning exchanges and partnerships within and beyond the region through GEF IWC5. One of the most
popular targeted training sessions conducted in the previous IW:LEARN project brought together
Asia/Pacific freshwater and marine projects in a participative learning process on payment for ecosystem
services (PES). There is an unmet need for South-to-South learning among SIDS and coastal and island
countries in comprehensive human security. Food security, infrastructure and economic security and
environmental security are inter-related and vulnerable to unsustainable development and climate change.
This learning cycle will actively facilitate engagement of all marine projects in one or more technical
working groups of the GOF, foster networking among SIDs, and encourage participation of basin projects
in the GOF working group on upstream and downstream linkages. Under the umbrella of comprehensive
human and environmental security, IW:LEARN is also partnering with the UNITAR-supported
Hiroshima Initiative on Seas and Human Security, the GOF working group on Oceans, Climate and
Security, and the Government of Indonesia, and the Red Cross Red Crescent Climate Centre to bring
together the CTI, GOF and GEF IW communities to surmount the challenges of bringing science to the
climate problem in ways that policymakers, managers and communities on the ground can act on.
Component 3 - Coral Triangle Initiative - The CTI was created by the six CT countries, with political
support at the highest level, to serve as a mechanism for mobilizing national and international attention
and action to the coastal and marine resource management challenges facing this subregion. ADB has
been interacting with the CT countries, attended the SOM1 meeting in Bali, Indonesia and subsequent
CTI Coordinating Committee Meetings, interacting with the US and Australian Governments and with
the GEF in its role as lead GEF agency, consulting with international and local NGOs involved with the
CTI, and holding discussions with other key stakeholders on the overall conceptual approach of this
RETA. In particular, Indonesia as interim host of the regional CTI Secretariat has requested ADB to play
a proactive role in fostering regional cooperation under the CTI umbrella. Government offices within
each of the CTI countries are providing national secretariat services and may second staff to the regional
secretariat in Jakarta. As a follow up to CTI discussions in Manila and Townsville, the NGO consortium
and the National Oceanic and Atmospheric Administration (NOAA), have been discussing how the CTI
can best address information gaps and needs, knowledge sharing, research planning, and data
management. A planned meeting of development partners and the CTI Secretariat in March 2009 will
10
address the specific roles and implementation actions proposed by each stakeholder. ADB may also
facilitate creation of a scientific and technical advisory panel for CTI that engages with global research on
ocean ecosystems and climate change.
Baseline analysis
Under the baseline scenario, at the global level, there would be no informal process to support the formal
UN-based and national government processes in order to achieve the JPOI and MDG goals. UN agencies
and national government agencies would remain organized along sectoral lines (with different agency
leads for each major aspect of the oceans (fishing, shipping, marine science, etc.), making it difficult to
consider the cross-sectoral issues and the impacts of each set of marine activities on each other and on the
environment.
Similarly, most intergovernmental fora dealing with oceans would remain sectorally-based with no one
entity charged with monitoring and reporting, over time, on progress achieved (or lack thereof) in
fulfilling the JPOI and MDG goals related to oceans. The UN Commission on Sustainable Development
(CSD) will consider these issues in its oversight role over JPOI and MDG implementation, but this is not
scheduled to take place until 2014-2015.
Without the ongoing work of the GOF, there would be no global process that brings together
governments, international agencies, NGOs, the science and industry sectors, to share experience,
information, and best practices on progress achieved (or lack thereof) on global goals or to consider
diverse perspectives on new ocean challenges and possible avenues for achieving consensus to address
these challenges through policy analyses, multi-stakeholder policy dialogues, and high-level discussions,
and to carry out strategic planning to advance the global oceans agenda..
In the baseline scenario, without a dedicated KM program, learning and information transfer across the
GEF IW portfolio would revert to ad hoc arrangements: transboundary water and natural resources
management capacity is then developed in isolated projects, often sacrificing momentum, institutional
memory and continuity in the downtime between project cycles. The pace and quality of project
implementation would be limited in depth and scope without a demand-driven mechanism to share
knowledge and transfer practical experiences among cognate projects. Support for learning exchange
within each GEF agency would not be responsive to stakeholder-identified needs across the entire GEF
IW portfolio. Numerous opportunities would be missed for projects to leverage experience sharing and
targeted training to improve their stakeholders' engagement, transparency and management capacity.
Project personnel would operate in a vacuum, with limited opportunities for networking and peer-to-peer
learning to improve the overall performance and impact of the global GEF IW portfolio. GEF investment
in pilots and demonstration activities intended to be scaled up and replicated would have no effective
means of transfer. Scientific and technical innovations which have been implemented successfully with
GEF support would not be widely reported or disseminated to receptive projects in other regions. Peer
networks and communities would not have facilitation or support to enable active learning exchanges.
There would be no mechanism to match up projects with similar capacity needs or technical concerns to
exchange experiences and share costs of targeted training. Means of increasing involvement of
community level and marginalised stakeholder groups such as women and indigenous people would not
be shared within and among regions. There would be no mechanism to help identify and share GEF
projects alignment with and contributions to wider global initiatives including the JPOI of the WSSD and
the MDGs, the Mauritius International Strategy for the Implementation of the Barbados Programme of
Action for the Sustainable Development of Small Island Developing States, and the Beijing Declaration
on Furthering the Implementation of the UNEP Global Programme of Action for the Protection of the
Marine Environment from Land-based Activities.
11
The baseline for the CT involvement would be continued ineffective implementation of disparate sector
plans, as CTI countries rely on their own resources, do not share experience and/or resources with
neighboring countries, and continue to compete for coastal and marine products. CTI countries would also
pay unbalanced attention to implementation progress of donor-funded projects and neglect long term
capacity building, resulting in project activities ceasing once donor funding is exhausted. Ad hoc training
activities, dependent on spasmodic donor support and an ineffective approach to development of centers
of excellence, would remain the primary modus operandi. Given the lack of priority accorded to coastal
and marine management, inadequate resourcing of plans of action would remain as a major constraint on
project implementation, especially in relation to monitoring and evaluation.
PART II: Strategy
Institutional, sectoral and policy context
The three main institutional arrangements involved in project implementation are GOF, a project-based
IW:LEARN team8, and the CTI Secretariat (see Figure 2), linked together by a Project Coordination Unit.
Figure 2
Linkages Between Project Elements
As noted earlier, GOF has, since 2001, brought together ocean leaders from governments, UN agencies,
NGOs, the science and business sectors from more than 100 countries to advance the global oceans
agenda, especially the JPOI targets, and to address emerging ocean challenges through policy analyses,
the organization of global conferences and other multi-stakeholder dialogues, and through high-level
oceans advocacy and public outreach. Various sectors are involved in the GOF through membership in
the Steering Committee and the Working Groups, and participation in the multi-stakeholder dialogues.9
8 IW:LEARN is not a permanent, independent institution, but relies on continued support by GEF Secretariat,
UNDP, UNEP, World Bank, ADB and FAO, through project modalities.
9 In the period 2001-2008, the Global Forum has received financing and co-financing support from: The Global
Environment Facility (GEF/MSP on Fostering a Global Dialogue on Oceans, Coasts, and Small Island Developing
States (SIDS), and on Freshwater-Coastal-Marine Interlinkages), Intergovernmental Oceanographic Commission,
UNESCO, UNEP Global Programme of Action for the Protection of the Marine Environment from Land-based
Activities, Canadian Department of Fisheries and Oceans, U.S. National Oceanic and Atmospheric Administration,
12
Beginning in 2000, the biennial GEF IW conference has evolved from a stock-taking process into a
dynamic portfolio-wide KM mechanism for adaptive learning across the GEF portfolio of transboundary
water systems projects. In the period 2004 to 2008, IW:LEARN conducted the 3rd and 4th biennial GEF
IWCs, and IWC5 aims to build on the participative learning format pioneered in the 4th GEF IWC, held in
Cape Town in 2007. The GEF IWC5 portfolio learning cycle incorporates findings from the IWC4
executive summary report and IW:LEARN operational phase project terminal evaluation. GEF IW project
stakeholders represent all of the sectors which intersect in sharing the resources and benefits of
transboundary water and natural resources systems. Inter-sectoral learning is needed to effectively engage
all sectoral stakeholders in EBM, and IW:LEARN supports this on a demand-driven basis according to
the specific sectors involved in IW projects.
CTI was launched in 2007, led by the President of Indonesia, to provide collective action and
transboundary cooperation to plan and implement a strategy for the long-term sustainable management of
their shared coastal and marine ecosystems. The CTI Secretariat is based in Jakarta in close coordination
with the WOC Secretariat. A draft RPoA was developed at the First CTI Coordinating Committee
Meeting (CCC1) held in April 2008, and a final version is expected to be presented to the leaders of the
CT countries for their endorsement at a CTI summit on the sidelines of the WOC2009. The RPoA has
five major goals (i) designation and effective management of priority seascapes; (ii) application of the
ecosystem approach to management of fisheries and other marine resources; (iii) establishment and
effective management of a network of marine protected areas (MPA); (iv) implementation of climate
change adaptation measures, especially for coastal and small island ecosystems; and (v) increased
attention to protection of threatened species (sharks, sea turtles, seabirds, marine mammals, corals,
seagrass, mangroves etc.).
Project Rationale and Policy Conformity
The project links together the main policy processes in relation to the global oceans agenda, through
GOF, with a nascent regional program to cooperate on sustainable management of the coral reefs and
associated habitats in the six CTI countries, with the primary linkage provided by sharing the best
practices and experience of the GEF IW global portfolio.
The project meets GEF IW strategic long-term Objective 1 to foster international, multi-state cooperation
on priority transboundary water concerns through more comprehensive, ecosystem-based approaches to
management, and Objective 2 to catalyze transboundary action addressing water concerns, by assisting
Gerard J. Mangone Center for Marine Policy, University of Delaware, World Ocean Network, International Coastal
and Ocean Organization. Other sources of support include: General Directorate for Nature Protection, Ministry for
the Environment and Territory, Italy; Intersectorial Oceanographic Commission, Portugal; Flemish Government and
Flemish Minister for Economy, Enterprise, Science, Innovation and Foreign Trade, Belgium; Secretaría de Medio
Ambiente y Recursos Naturales, Mexico; Consejo Consultivo del Agua, Mexico; Centro de Ecología, Pesquerías y
Oceanografía del Golfo de Mexico, Mexico; The Nature Conservancy; The Nippon Foundation, Japan; Pacific
Islands Applied Geoscience Commission (SOPAC); Partnerships in Environmental Management for the Seas of East
Asia; New Partnership for Africa's Development/Coastal and Marine Coordination Unit; IOC Sub-Commission for
the Caribbean and Adjacent Regions; United Nations Educational, Scientific and Cultural Organization (UNESCO);
Ministry of Foreign Affairs and National Parks Board, Singapore; Ministry of Agriculture and Rural Development
and Ministry of Foreign Affairs, Vietnam; Ministry of Land, Transportation, and Maritime Affairs, Republic of
Korea; Pusan National University, Korea; Ministry of Marine Affairs and Fisheries, Indonesia; USAID; United
Nations Development Programme; United Nations Environment Programme; World Bank; International Ocean
Institute; Lighthouse Foundation; Luso-American Development Foundation; Ocean Policy Research Foundation,
Japan; IUCN-Vietnam; NAUSICAA; Le Centre de Decouverte du Monde Marin, Nice, France; and World Ocean
Observatory.
13
countries to utilize the full range of technical assistance, economic, financial, regulatory and institutional
reforms that are needed, and in particular by supporting activities that enable countries to:
Learn to work together on their key transboundary concerns;
Set priorities for joint action; and
Implement those actions if a political commitment to sustainability is shown.
Building on the foundations of the GEF IW:LEARN program, its web-based resource center, and in
consultation with the GEF IW Task Force, the project carries forward the South-to-South experience
sharing among IW projects and their partners that contributes to quality enhancement for the GEF IW
portfolio, establishment of knowledge management tools to transfer and adapt good practices, and
institutional capacity building for accelerated replication and scaling up.
The project is cross-cutting across all four GEF strategic programs:
1. Restoring and sustaining coastal and marine fish stocks and associated biological diversity,
which is linked to the GEF biodiversity strategic program on marine protected areas;
2. Reducing nutrient over-enrichment and oxygen depletion from land-based pollution of
coastal waters in LMEs consistent with the GPA;
3. Balancing overuse and conflicting uses of water resources in transboundary surface and
groundwater basins; and
4. Reducing persistent toxic substances and promoting adaptive management of waters in areas
with melting ice.
Adaptation to climate change is addressed as a cross-cutting issue, and the principle of "climate-proofing"
is reflected in priority areas such as the need to build capacity to design resilient systems for adaptive
management of LMEs and SIDs. The development of sectoral platforms under the GEF strategy to
enhance engagement with the private sector PPP (Public/Private Sector Partnership fund) will also be of
interest to GEF IW and GOF strategic processes and Working Groups.
As noted in the GEF-4 Focal Area Strategies (paragraph 31), "Knowledge management and systematic
learning is equally important to ensure that insights generated through project interventions add value
internally and externally." Portfolio-wide, regional and targeted learning activities will strengthen--and
measure--gains in institutional capacity of regional and national level partners, and the establishment of
learning outcomes indicators is expected to enable project partners on the ground to continue building
implementation capacity in water governance beyond completion of the project.
Project Goal, Objectives and Outcomes
The overall goal of the project is to ensure that coastal and marine ecosystems, especially in the Coral
Triangle, are managed sustainably, with improved linkages to river basin and groundwater management
and equitable outcomes for all communities that depend on these resources for their livelihoods and with
long term protection of the globally significant biological diversity in coastal and marine ecoregions.
Component 1 - Advancing the Global Agenda on Oceans, Coasts and Small Island Developing
States - The expected outcome of Component 1 is to foster critical thinking, creativity, learning, and
partnership building through multi-stakeholder dialogues on ocean and coastal issues towards the
achievement of WSSD goals and the MDGs related to oceans, coasts, and SIDS. Component 1 is also
expected to mobilize partnerships and financial resources for capacity building and other cross-cutting
approaches with an emphasis on developing countries, providing opportunities for sharing of best
14
management practices and technology, and mechanisms for incorporating available scientific information,
risk and uncertainty factors in the planning process for integrated ocean and coastal management.
By the end of 2010, a major output of Component 1 will be a Global Oceans Strategic Plan to 2016
developed by multinational working groups, which will advance the global oceans agenda and develop
priority steps for implementation of integrated, ecosystem-based ocean management. The main
anticipated output from WOC2009 is the formal adoption of the Manado Ocean Declaration, to be
followed by a Plan of Action. The Strategic Plans developed by the GOF Working Groups will be
presented and reviewed subsequently at the GOC2010. Component 1 will also result in formation of
multi-stakeholder fora to mobilize high-level policy attention, action and specific initiatives to be
highlighted at WOC2009 and GOC2010.
Component 2 - GEF International Waters Portfolio Learning
The objective of the GEF IW portfolio learning component is to improve GEF IW projects' information
base, replication efficiency, transparency, stakeholder ownership and capacity to sustain the benefits of
transboundary cooperation. The expected outcome of portfolio learning and KM through inter-project
learning, information sharing, collaboration, testing and replication of successful approaches across the
GEF IW portfolio is improved adaptive management of transboundary natural resource systems. Outputs
are measured not only quantitatively but also in terms of learning indicators, which include enhanced
active GEF IW project participation in peer learning activities and contributions to KM (e.g. robust CoPs
consulting on challenges and opportunities and exchanging practical experience in order to adapt and
scale up relevant technical and scientific innovation, strengthen institutional and legal frameworks, and
increase stakeholder engagement to better govern and share benefits of sustainably managed
transboundary natural resources).
The IW:LEARN component facilitates portfolio learning and KM through inter-project learning,
information sharing, collaboration, testing and replication of successful approaches across the GEF IW
portfolio, with a focus on improving stakeholder involvement (at all levels but emphasizing the
community level), integration across sectors, linkages between freshwater and coastal/marine
management in the context of adaptation to climate change, and the experiences of SIDS and coastal
populations in addressing these challenges. GEF IW project stakeholders representing regional,
ecosystem-type or technical issue-oriented subsets of the global GEF portfolio are expected to adapt and
apply learning, information, skills and tools gained through IW:LEARN to accelerate scaling up,
consolidate and sustain benefits, and increase overall returns on GEF project investments through
adaptive management.
Building on 10 years of independently evaluated success, an effective peer-learning learning culture has
been established through information sharing and targeted learning in support of GEF IW strategic
priorities. Beginning in 1998 with the IW:LEARN PDF-B, succeeded by a pilot and operational phase
projects, IW:LEARN has effectively tested and adapted KM mechanisms tailored to periodic assessments
of needs and priorities across the GEF IW portfolio. IWC5 offers a unique opportunity to bring together
the experience of the GOF, broad expertise of the host Australian government and institutional support,
with a focus on the scientific, technical, policy and management innovations and replicable experiences of
GEF-supported projects in the Asia/Pacific region and to share this knowledge and open these networks
to the CTI as it begins operation.
15
Component 3 - Coral Triangle Initiative In this component, ADB will support strengthened regional
coordination among the countries of the CT through a regional technical assistance (RETA) project10 and
help put in place policies, institutions and associated investments to achieve the sustainable management
of coastal and marine ecosystems in the CT. By sharing best practices in marine and coastal resources
management, facilitating global knowledge sharing to support collaborative research, and strengthening
policies, institutional capacity, and sustainable financing among the 6 CTI countries, the long-term impact
is expected to be improved capacity to manage the multiple and cumulative threats to coral reef
ecosystems and interlinked coastal and marine resources, to conserve globally significant biological
diversity, and to protect the livelihoods of over 200 million people dependent on these resources.
The outcome will be a well-coordinated and improved management system and structure for CTI strategic
planning and implementation of the RPoA. The RETA will deliver global, regional and local economic
and environmental benefits by enabling strong strategic planning in the CTI framework for regional
cooperation and facilitating inter- and intra-regional adaptive learning processes necessary to accelerate
the achievement of targets set for improved management of coastal and marine resources in the CT in the
context of current pressures facing these resources, including anticipated climate change impacts. More
specifically, the RETA will result in:
Resource mobilization to build the financial and institutional foundation for sustainable
management of coastal and marine resources in CT countries;
Improved technical and managerial capacity among the ministries of the CT countries in the
management of natural resources, including measures to conserve biodiversity and preserve the
integrity of economically and environmentally valuable natural systems;
More responsive regional programs for combating the crisis of unsustainable natural resources
management and the need to introduce adaptation measures in response to the impacts of climate
change;
Regional learning mechanisms and sharing of best practices established among CT countries,
partners and programs;
Regional challenges, priorities and opportunities identified and cooperative management actions
taken, including joint programs for coastal and marine resources management and the
establishment of regional and thematic communities of practice; and
Increased commitment of resources among the agencies and countries involved in natural
resources management in Southeast Asia and the Pacific.
Component 4 Coordination and project management - In order to enhance portfolio learning with an
emphasis on integrated management in regional processes as well as transboundary cooperation themes
with a global constituency, the project seeks to leverage synergies in cooperation with the CTI,
IW:LEARN and the GOF. As the GEF IW conference host region, a focus on the Asia/Pacific region is
expected to offer deeper learning opportunities to the wider portfolio on cross-cutting global priority
issues including stakeholder participation and initiatives at the community level, inclusivity of indigenous
and marginalized groups, gender mainstreaming, and engagement of parliamentarians (as pioneered in the
Yellow Sea LME project). In collaboration with Component 1, IW:LEARN will introduce integrative
leadership training and facilitate engagement of GEF IW projects in Global Forum working groups as
relevant to each project. Synergies with Component 3 from both global components are expected to bring
reciprocal benefits to CTI and offer significant opportunities to improve integration of basin, groundwater
and coastal marine management in the context of climate change.
10 The RETA title adopted by ADB is "Regional Cooperation on Knowledge Management, Policy and Institutional Support to the
Coral Triangle Initiative."
16
These synergies, however, will not be realized without proactive coordination and collaboration across
components and with related activities external to the project, such as COBSEA, PEMSEA, USCTI, PAS
and others. Hence, Component 4 will provide the cohesion and coordination that will make the sum of the
three components greater than the parts. A Project Coordination Unit, mainly located at the UNDP
country office in Manila, but with distributed inputs from GOF,IW:LEARN, and ADB/CTI Secretariat
will ensure that (i) timely inputs are made into the key events and related projects; (ii) key stakeholders
are identified and engaged in the relevant components; (iii) various related information portals are linked
and web-based information is kept up to date; and (iv) project activities are bridged into subsequent post-
project events and programs, such as the third phase of IW:LEARN (expected to be linked with the GEF-
funded Integrated Natural Resource Management in the Middle East and the North Africa Region project
(MENARID)) and the work of the GOF.
Methodology and Key Outputs/Activities
Component 1 - Advancing the Global Agenda on Oceans, Coasts and Small Island Developing
States There are five main activities under this component (i) Strategic Planning to Advance the Global
Oceans Agenda to 2016 and Organization of the 5th Global Oceans Conference in 2010; (ii) World Ocean
Conference 2009, Manado, Indonesia; (iii) Enhancing Governance of Marine Areas Beyond National
Jurisdiction; (iv) Ocean Leadership Training for High-Level Decision Makers; and (v) Public Education
and Outreach.
1.1 Strategic Planning to Advance the Global Oceans Agenda to 2016 and Organization of the 5th
Global Oceans Conference in 2010
1.1.1 Strategic Planning to Advance the Global Oceans Agenda to 2016 - Work by the Global Forum
Secretariat and 12 multinational working groups will be carried out to implement the policy
recommendations made at the 4th Global Conference on Oceans, Coasts, and Islands (held in Hanoi,
Vietnam, on April 7-11, 2008, and hosted under the auspices of the Prime Minister of Vietnam) to
advance the global oceans agenda to 2016. The Working Groups have prepared a set of Policy Briefs11
addressing:
(i) The major problems/obstacles that affect the issue area (covering the major JPOI targets on oceans,
coasts, and SIDS), ways of overcoming these, and 3-5 specific priority action steps for implementation by
national and international decision-makers; and
(ii) New policy challenges facing the global oceans community, especially: climate change and its
impacts on oceans, coasts, and SIDS, and moving toward ecosystem-based integrated management of
marine areas beyond national jurisdiction (which comprise 64% of the oceans).
This activity will determine how to best bring issues in the key policy area to the attention of decision
makers in various fora, especially on oceans and climate change issues. Strategic planning in the areas of
climate change, biodiversity conservation, and linking the management of freshwater, oceans, and coasts
will involve incorporating oceans in the following major fora: (i) climate negotiations in 2009 (UNFCCC
COP-15 in Denmark, December 2009); (ii) biodiversity negotiations in Nagoya, Japan in December 2010
(CBD COP10); and (iii) the 5th World Water Forum (WWF) in 2009. It should be noted that the top
priority of this activity will be to bring the "oceans perspective" to the UNFCC climate negotiations,
emphasizing the central role of the oceans in climate change and the 7-point agenda on oceans/climate
agreed to at the Hanoi global oceans conference.
11 The policy briefs that have been prepared are available at http://www.globaloceans.org
17
This activity will also begin planning for the oceans review by CSD in 2014-2015, in collaboration with
interested governments and with the UN Division of Economic and Social Affairs.
1.1.2 Organize the 5th Global Oceans Conference, to be held April 2010 at UNESCO, Paris, France -
Co-organization and co-financing by the Government of France, the European Commission, EU
Presidency (Spain), UNESCO, and other partners is under discussion. The conference will involve over
500 decision makers from all ocean sectors and regions of the world. It is expected that the conference
will also feature the celebration of the 50th anniversary of UNESCO's Intergovernmental Oceanographic
Commission (IOC). The Conference will especially address:
Achieving EBM and ICM by 2010 and progress markers (and results of a global survey to be
carried out by the GOF and partners);
Marine Biodiversity (2010) and Networks of Marine Protected Areas (2012);
Climate oceans and security (with special emphasis on developing country and SIDS and the
adaptation issues); and
Next steps in Governance of Areas Beyond National Jurisdiction.
Several innovations are anticipated at the 2010 meeting including (i) a two-day policy conference; (ii) a 1-
day high level segment; (iii) a 2-day technical session which would include a science and technology
component of special relevance for the ocean/climate discussions; and (iv) strong connections with other
conferences in the field which would have an opportunity to report, e.g., Biomarine, IUCN World
Conservation Congress, Coastal Zone Conference, Coastal Zone Canada, World Water Forum, Solutions
to Coastal Disasters, Pacem in Maribus, etc.
1.2 World Ocean Conference 2009, Manado, Indonesia With the Government of Indonesia, the
project will co-organize WOC2009 in Manado, Indonesia from 11-15 May 2009, with a special focus on
organization of the Global Ocean Policy Day. The Global Ocean Policy Day will be preceded by
discussion on the major issues noted below during the technical program part of the meeting, to be
organized by the GOF. A special effort will be made to involve prominent scientists in addition to key
decision-makers in these sessions.
Key themes that will be addressed:
Emphasis on the central role of oceans in climate and putting ocean/climate issues in the climate
negotiations and vice versa;
Understanding and developing policy responses to global ocean changes--ocean warming, ocean
acidification, changes in currents, changes in polar regions;
Addressing the "climate divide" and promoting international commitments and funding mechanisms
to respond to the differential effects of climate change on different regions and peoples;
Encouraging a wide range of adaptation efforts (soft, hard, floating) in the context of EBM;
Properly managing mitigation efforts that use the oceans, including carbon storage and sequestration
and iron fertilization;
Encouraging alternative forms of energy using the oceans (wind power, tides, currents, etc.); and
Mobilizing the public and the private sector in climate/oceans mitigation and adaptation efforts.
The GOF will (i) provide input to the preparation of the Manado Declaration, expected to lay out specific
policy recommendations for high-level leaders; (ii) use the preparatory process to the Indonesia
conference to inform the GEF-5 replenishment process; and (iii) institutionalize the High-Level Oceans
Roundtable as part of the GOF's Global Ocean Conferences post-Manado.
18
To plan for WOC2009, the GOF co-organized an International Roundtable Meeting for the World Ocean
Conference held on October 30-31, 2008 in Bintan, Indonesia. The GOF facilitated the participation of
international experts who provided feedback on the draft Manado Oceans Declaration, on the roadmap
developed by the Indonesian Government in the preparation for the Conference, and in the organization of
the Global Ocean Policy Day. The report of the International Roundtable Meeting for the World Ocean
Conference is in Annex 1.
1.3 Enhancing Governance of Marine Areas Beyond National Jurisdiction The project will carry
out analysis and multi-stakeholder policy dialogues on improving governance of marine areas beyond
national jurisdiction.
Since 2005, the GOF has been engaged in an informal process to bring together major relevant interests to
facilitate open and constructive multi-stakeholder policy dialogue to inform and support the formal
processes that have been or may be established by the United Nations General Assembly regarding
governance of marine areas beyond national jurisdiction. The general intent is to work to clarify the
issues, lay out various perspectives, discuss options, and identify possible avenues for consensus-building
among disparate interests.
Considerable work has already been carried out in this area by GOF, which is reviewed in the GOF's
report to the UN Ad Hoc Open-Ended Informal Working Group to study issues relating to the
conservation and sustainable use of marine biological diversity beyond areas of national jurisdiction (2nd
Meeting, 28 April 2 May 2008, New York).12 The GOF organized The Workshop on Management
Issues and Policy Alternatives to Improve Governance of Areas Beyond National Jurisdiction, together
with the Government of Singapore, in Singapore, on November 3-5, 2008, which advanced discussions
of: (i) major institutional options for moving toward integrated, EBM; (ii) options for managing marine
genetic resources, especially focusing on possible modalities for benefit sharing; and (iii) possible design
of experiments incorporating EBM through pilot sites in areas beyond national jurisdiction.
Immediate next steps are to report to the G-77 and other country groupings at the UN, to present findings
at the next meeting of the UN Ad Hoc Group on the subject (2010), to continue the policy analyses and
dialogues, and to develop a series of regional case studies for possible support by the GEF (in GEF5) and
other partners (Annex 2).
1.4 Ocean Leadership Training for High-Level Decision Makers This activity aims to foster the
development of "ocean leadership" among high-level decision-makers in developing countries and SIDS,
including both the highest level permanent officials at national levels and in the UN country missions in
New York. Ocean leadership means developing broad vision and skills to be able to address the thorny
issues related to oceans, coasts, SIDS, biodiversity, and climate in an integrated manner, and increasing
understanding of the interrelationships among issues and the impacts of uses and activities on the marine
environment and on each other. While rooted in the context, culture, and experience of a particular
country, an ocean leader will have (i) the ability to understand the complex interplay among international,
national, and local policies and politics which typically shapes actions in the oceans area; (ii) a deep
appreciation of the meaning of ocean stewardship, of public benefits from sustainable ocean use, and of
his/her personal responsibility to future generations, to his/her nation, and to the global community in this
regard; (iii) the capacity to think, act, and negotiate strategically to advance stewardship of oceans at
national and international levels; and (iv) sufficient knowledge and understanding of marine science,
economics, public administration, and politics, to enable him/her to formulate and implement ocean
policies in an effective and efficient manner and with lasting benefits to the public and to coastal
communities.
12 http://www.globaloceans.org/highseas/pdf/GlobalForumSubmission-2ndAdHocWGMeeting-April2008-red.pdf
19
This training will combine the following aspects: (i) substantive aspects related to the interplay of
oceans, coasts, climate, and biodiversity and related international and national frameworks; (ii) leadership
skills; (iii) negotiation skills. Specific modules in this training program may include (i) Implementation
of WSSD targets on oceans, coasts, and SIDS: State-of-the Art: (a) Status of Ecosystems and Resources;
and (b) How Well are We Doing?; (ii) Effective Communication, Negotiation, and Decision-making; and
(iii) Oceans and Climate Change: (a) Developing Strategies and Linkages Among Management
Initiatives; (b) Putting Oceans in the Climate Agenda; and (c) Addressing Climate Change Impacts on
Vulnerable Ecosystems and Communities. The Ocean Leadership Training Program will be developed
and delivered, with partners, initially in English. Subsequently, the program may be delivered in different
languages together with leading partners from different countries.
Special emphasis will be put on the following groups of countries: (i) CTI countries (Indonesia, East
Timor, Malaysia, Philippines, Papua New Guinea, and Solomon Islands); (ii) 44 Small Island Developing
States (SIDS); (iii) East Africa (New Partnership for Africa's Development - NEPAD); (iv) the 8
countries in the Community of Portuguese-Speaking Nations (Portugal, Brazil, Angola, Cape Verde,
Guinea-Bissau, Mozambique, São Tomé and Príncipe, and East Timor) (CPLP).
1.5 Public Education and Outreach - The GOF will collaborate with the World Ocean Network
(WON) (reaching more than 250 museums and aquaria around the world), the World Ocean Observatory
(WOO), and other groups specializing in public outreach to craft and disseminate messages to the public
to promote appropriate individual and social behavior toward the oceans, in conjunction with the world's
museums and aquaria. In 2009, this work will be especially devoted to oceans and climate to coincide
with the GOF's efforts associated with WOC2009 and the UNFCCC negotiations. A series of public-
oriented briefings focused on the oceans/climate priority areas to be covered at WOC2009 will be
prepared and widely disseminated in print form as well as in state-of-the-art videos.
Component 2 - GEF International Waters Portfolio Learning - Component 2 will be carried out by
IW:LEARN in partnership with the Government of Australia, which will host IWC5 in 2009, with strong
interest from the Departments of Environment, Climate and Foreign Affairs, significant financial support
from AusAID, and early indications of further technical, hosting and sponsorship support from a range of
government, industry and tertiary institutions, including the Great Barrier Reef Marine Park Authority
(GBRMPA), Murray-Darling Basin Authority and the Commonwealth Scientific and Industrial Research
Organization (CSIRO). The main activities are (i) organization of IWC5, including the design of a
participative learning program in cooperation with the Government of Australia and key project partners;
(ii) organization of post-IWC5 learning exchanges and production of GEF IW Experience Notes (IWEN);
and (iii) monitoring and evaluation, including the mainstreaming of the GEF IWC learning cycle into
global dialogues and learning processes.
2.1 Fifth Biennial GEF IW Conference participative learning program - IWC5 features a
participative learning program for sharing practical transboundary water resources management
experience, scientific and technical innovation, mechanisms for incorporating best available scientific
information into policy reform (and dialogue) processes, including opportunities for informal peer-to-peer
networking and discussion, formal peer dialogue and experience-sharing on key issues and participant-
developed peer learning sessions. The IWC5 Steering Group will ensure that the IWC5 learning agenda
responds to participant feedback from 4th GEF IWC, incorporates Australian Host Committee input and
serves as a forum for (i) sharing practical experience and innovation; (ii) consultation on strategies to
enhance stakeholder involvement; (iii) encouraging projects to apply evolving GEF policies and
procedures to improve project implementation; and (iv) generating GEF IW stakeholder feedback to the
GEF and agency partners.
20
2.1.1 GEF IW leadership learning program - The IW:LEARN team will collaborate with GOF to
deliver a practical "GEF IW Leadership" learning program (session or series of sessions at IWC5,
possibly linked to Component 1 activity 4) to improve individual knowledge, confidence, skills and active
networking of GEF IWC participants through technical, professional and communications knowledge-
sharing, targeted learning to improve capacity for implementing adaptive management and policy
reforms in the context of climate change adaptation and achieving MDGs. The learning program may
include strategic planning and systems thinking, negotiation skills, with emphasis on participatory water
governance, risk, benefit and revenue-sharing and integration across sectors, private sector engagement,
resource mobilization and sustainable financing under the umbrella of comprehensive human and
environmental security. Particular attention will be given to bridging integrated ocean and coastal
management and IWRM, including integration of groundwater management, by involving the freshwater
portfolio of projects in relevant CoPs or Working Groups of the GOF.
2.1.2 Collaborative website development - The GEF IW portfolio of projects will be involved in
developing the learning program through regular feedback, polling and consultative interactions in a
collaborative website platform established for IWC5. A multimedia contractor will facilitate participation
in an IWC5 online communications platform including registration mechanism, multimedia project
profiles, virtual Innovation Marketplace, IWC Reflections videos, regional and thematic CoPs, including
GOF Working Groups.
.
2.1.3 IWC5 Pre-conference targeted workshops Through a co-financed partnership with UNESCO,
pre-conference targeted training workshops for basin, marine and groundwater projects are planned with
relevant Australian institutions, covering coral reefs, river basin management and groundwater (see
Annex 3). Additional partnerships relevant to development and implementation of the IWC5 learning
framework will be solicited, including the involvement of indigenous communities and the private sector
in transboundary cooperation and EBM.
2.1.4 Organization of IWC5 IW:LEARN will manage contracts for the venue and on-site conference
services with the Cairns Convention Centre (to be paid in part with Australian co-finance), and with a
local event organizer to manage the on-site Innovation Marketplace, accommodation and all local
logistical arrangements. A local consultant will help to develop IWC technical site visits (which may
involve GBRMPA and partners, indigenous communities, and the private sector) and solicit private sector
sponsorship for IWC. Participant feedback will inform development and testing of KM and portfolio
learning mechanisms. IWC5 will also provide stakeholder feedback to GEF and results and outcomes will
generate key inputs that IW:LEARN will feed directly into the subsequent IWC6 learning cycle.
2.1.5 CTI regional learning process - The CTI will also be featured as a regional learning process within
the IWC5 learning program. IW:LEARN will facilitate integration of the CTI regional learning portal
with www.iwlearn.net. Reciprocal activities will commence with an IW:LEARN-supported pre-
conference workshop in Manado on climate change and environmental security bridging science
"producers" and "users" for better engagement with stakeholders, especially at the community level.
2.2 Post-IWC5 learning exchanges and GEF IW Experience Notes - Selected post-IWC stakeholder
learning exchanges requested by IW projects, will be supported. A partnership with ICPDR will provide
cofinancing to ensure that opportunities for transfer of Danube/Black Sea experiences with the GEF IW
portfolio are sustained. Both efforts will be closely tied to support for post-IWC5 learning CoPs.
2.2.1 Stakeholder Learning Exchanges - During and after IWC5, IW:LEARN will facilitate
identification of projects and partners for learning exchanges. At least 5-10 stakeholder exchanges will be
organized, each averaging approximately seven days and engaging an average of 5 project stakeholders.
The stakeholder exchanges will target projects with capacity gaps, which will be twinned with exchange
21
visit partners offering needed expertise and practical experience, such as the Australian institutions
participating in IWC5.
2.2.2 GEF IW Experience Notes - IW:LEARN will facilitate identification, solicitation and production
of GEF IWENs. A major attempt will be made to produce at least thirty IWENs in time for the WWF and
GOC2010, and a diversity of IWENs will be sought from each GEF region and ecosystem-type.
2.3 Monitoring and evaluation IW:LEARN is responsible for design of a robust monitoring and
evaluation program and will ensure that mechanisms are in place for assisting GEF IW projects to track
contributions to MDGs, as well as supporting and feeding outcomes and next steps into the GOF,
especially through GOF's working groups, into CTI regional learning processes, and to inform the 6th
GEF IWC learning cycle and the WWF's triannual process.
2.3.1 Inclusion of GEF IW projects in global fora - IW:LEARN will facilitate participation of GEF IW
projects and inclusion of their priority issues, experience and accomplishments in wider global fora such
as the GOF, and the WWF, through development of themes, sessions and partnerships.
2.3.2 Tracking contributions to MDGs - Implementation of a preliminary mechanism for tracking GEF
IW project contributions towards MDGs. This will be developed in consultation with the GEF IW Task
Force and may explore inclusion of indicators in the results framework for new projects and in project
implementation reporting.
Component 3 - Coral Triangle Initiative - A detailed program for the proposed implementation period
of 3 years will be prepared within the first 3 months (April to June 2009). The ADB RETA will adopt the
following strategies: it will (i) make available research-based information to help define options and
decisions for sustainable resource management; (ii) engage multisector and multilevel stakeholder
participation and information sharing for broad-based program ownership and wider support; (iii) build
on existing policies, plans, intercountry agreements, institutional arrangements, and accomplishments to
consolidate the gains and accelerate progress in the CTI region; (iv) secure the required long-term
commitment from stakeholders and donors to sustain the program results in a large and complex
implementation setting; and (v) consider fully the interaction of factors shaping common threats and
opportunities for environmental protection to generate a coordinated and synergistic response for the
subregion.13 The following specific activities will be carried out during implementation:
3.1 Stakeholder participation and consultation - The CTI was created by the CT countries, with
political support at the highest level, to serve as a mechanism for mobilizing national and international
attention and action to the coastal and marine resource management challenges facing this subregion.
ADB has been interacting with the CT countries, attended the SOM1 meeting in Bali, Indonesia and
subsequent CTI Coordinating Committee Meetings, interacting with the US and Australian Governments
and with the GEF in its role as lead GEF agency, consulting with international and local NGOs involved
with the CTI, and holding discussions with other key stakeholders on the overall conceptual approach of
this RETA. In particular, Indonesia as interim host of the regional CTI Secretariat has requested ADB to
play a proactive role in fostering regional cooperation under the CTI umbrella. Government offices within
each of the CTI countries are providing national secretariat services and may second staff to the regional
13 The implementation of ADB's RETA will be closely coordinated with the following technical assistance projects, which have
recently been approved or have been proposed for consideration: (i) TA 6427-REG: Regional Review of the Economics of
Climate Change in Southeast Asia. Manila; (ii) TA 6441-REG: Regional Connectivity in Infrastructure in Archipelagic
Southeast Asia (aSEA); (iii) TA 6471-REG: Strengthening Coastal and Marine Resources Management in the CTI of the
Pacific Phase 1; (iv) TA ?-REG: Strengthening Coastal and Marine Resources Management in the CTI Southeast Asia; (v) TA
6446-REG: Strengthening Sound Environmental Management in BIMPEAGA. Synergies across these TA projects will
ensure appropriate support for the protection and conservation of the region's coral reef and associated ecosystems.
22
secretariat in Jakarta. World Wide Fund for Nature offices in Philippines, Indonesia and Malaysia are
being contracted under RETA 6446 to conduct environmental and socio-economic profiling of the BIMP
EAGA area, including the SSME portion of the CT, and are expected to be involved, along with other
NGOs, in implementation of the knowledge sharing and regional cooperation activities in the CTI. ADB
may also facilitate creation of a scientific and technical advisory panel for CTI that engages with global
research on ocean ecosystems and climate change.
3.2 Institutional capacity strengthening - Institutional capacity in the sectoral and cross-cutting
agencies involved in coastal and marine activities in the CTI countries will be developed at the national
and regional levels through information exchange, regional meetings of participating countries, and
technical workshops. Priorities identified by CTI countries include (i) identifying information needs and
gaps; (ii) translating existing information into more useable forms and feeding this information into
decision making processes; (iii) new data collection, from planning to implementation; (iv) managing
information, data, and knowledge; and (v) building scientific and "science to action" capacity. Emphasis
will be on building the capacity of national staff responsible for coordination, to ensure a link between
national coral management plans and scientific information.
3.3 Communication plan and information dissemination - A communications strategy will be
prepared, detailing mechanisms for inter-project exchange and sharing of results, targeted learning
processes and building on synergies and partnerships of participating governments and organizations.
Online CoPs will be established and populated with substantive user-driven information and access to
global and regional technical and scientific resources (tied to and building on IW:LEARN experience to
date). Working group reports (established under CTI action plans at the national and regional levels) will
be published and widely disseminated. Appropriate communications materials and an internet accessible
database on the CTI will be developed and widely disseminated throughout the CTI CoPs. Emphasis will
be on ensuring that the information disseminated feeds directly in decision making processes. For
example, if a MPA is being zoned, then the information needed should be identified, then collected, and
finally fed into the zoning process (instead of conducting scientific research and later figuring out if it
might be useful). The lack of internet access in some of the CTI countries, especially at local government
level, will also be addressed.
3.4 Setting up the foundation for pilot projects - Pilot projects on the sustainable management of
coastal and marine resources management will be enabled by identifying critical sites for establishment of
MPAs in the CT countries and initiating fundamental data collection, making relevant scientific
information accessible, and assisting planning and coordination processes for at least 5 of these protected
areas.
3.5 - Innovative financing of coastal and marine projects ADB has been requested to assist in
tracking sources of financing for the CTI and to help in identifying new sources. The project will explore
innovative financing mechanisms and seek pledges of commitment among the CT countries and their
partners to implement the RPoA activities in relation to improved strategic planning, communication, and
capacity strengthening.
Project Indicators, Risks and Assumptions
The principal project indicators relate to successful events under Components 1 and 2--WOC2009, the
5th Global Oceans Conference, IWC5, and the learning opportunities that derive from, or are attached to,
these global events. Under Component 3, the main project indicator is effective application of targeted
learning and shared information to implementation of the CTI RPoA. Specific project indicators and their
targets are shown in Table 1. The principal project risks and plans to ameliorate or mitigate these risks are
given in Table 2.
23
Table 1 Indicators and Targets
Indicator Target
Component 1
1. Strategic plan and program of work for 2010-2014 addressing the WSSD targets
Seven Strategic Plans and Program of
on oceans, coasts, and SIDS, prepared by Global Forum Working Groups completed
Work that incorporate ongoing plans
by December 2009, in the following areas:
and programs as well as new projects to
(i) Climate, oceans, and security
address weak areas/gaps in each. Drafts
(ii) Achieving progress markers on EBM and ICM 2010 goals
completed for presentation at
(iii) LME management
GOC2010.
(iv) Marine biodiversity and networks of MPAs
(v) Fisheries and aquaculture
(vi) SIDS and implementation of the Mauritius Strategy
(vii) Linking the management of freshwater, coasts, and oceans
2. Tangible recommendations from multi-stakeholder dialogues at WOC2009, on the Specific recommendations on action in
following issues produced by June 2009:
each area that could be further pursued
(i) Putting ocean/climate issues in the climate negotiations and vice versa
by stakeholders and included in the
(ii) Understanding and developing policy responses to global ocean changes ocean
strategic plan and program of work for
warming, ocean acidification, changes in currents, changes in polar regions
2010-2014.
(iii) Addressing the "climate divide" and promoting international commitments and
funding to respond to the differential effects of climate change on different regions
(iv) Encouraging a wide range of adaptation efforts in the context of EBM/ICM
(v) Properly managing mitigation efforts that use the oceans, including carbon
storage and sequestration and iron fertilization
(vi) Encouraging alternative forms of energy using the oceans (wind power, tides,
currents, etc.)
(vii) Managing air pollution from ships.
3. 5th Global Oceans Conference successfully accomplished in April 2010.
Strategic Plan and Program of Work for
2010-2014 for each of the WSSD
targets endorsed by GOC2010
participants completed by June 2010
500 participants from all regions..
4. Recommendations towards the development of a new GEF-IW program area on Governance of marine areas beyond
governance of marine areas beyond national jurisdiction (MABNJ) for consideration national jurisdiction officially becomes
in the next GEF replenishment process (GEF5) produced by June 2009.
part of the IW focal area under GEF5 as
a new program by completion of GEF5
replenishment.
5. Ocean leadership training program for high-level decision-makers developed and
An ocean leadership training program
implemented at least twice for the following groups of countries by 2011: (i) CTI
for high-level decision-makers
countries and SIDS; (ii) East Africa and CPLP.
institutionalized under the sponsorship
of a lead institution (GOF and partners).
A collaborative public education
6. Public education and outreach program on climate change and oceans developed
program that effectively communicates
and implemented by end of 2011.
the importance of integrating ocean
considerations in the climate agenda
and vice versa.
Component 2
7. GEF IW projects actively exchanging knowledge and expertise in regional,
GEF IW Portfolio 75% active (average
thematic, institutional or EBM-related CoPs.
one content upload and one download
per week) in at least 4 CoPs by Q2
2010.
8. GEF IW projects in IWC host region showing ownership and engaging actively in
At least 3 Asia/Pacific IW projects
IWC5.
commit by Q2 2009 to co-host IWC5;
24
host region projects prepare
achievements and contribute to
leadership on SIDS, oceans and climate
impacts
9. Alignment of GEF IWC with cycles of WWF & GOF in order to better feed GEF
Mechanisms for linking GEF portfolio
input into global processes.
learning cycle with GOF and WWF6
agreed by Q4 2010.
10. GEF IW projects advance application of EBM to integrate participatory natural
At least 50% of new GEF IW projects
resource systems management (e.g. improved stakeholder engagement to integrate
by Q4 2010 demonstrate integration of
freshwater and marine, land and water, and adaptation to climate change).
freshwater and marine, land and water,
and adaptation to climate change.
11. Key lessons transferred through peer-to-peer learning.
At least 90% of GEF IW portfolio
provides input for participative
portfolio learning cycle and testing
improvements by Q4 2009;
50% of IWC5-attending GEF IW
project managers attend a project
management training session at IWC5;
At least 95% of participant evaluations
in at least 3 pre-IWC technical
workshops confirm increased capacity
vs. individual baselines, and/or indicate
changes to personal or institutional
work plans.50% of IWC5-attending
GEF IW projects exhibit at least one
top innovation and/or replicable
experience.
12. Successful scientific and technical innovation and lessons from GEF IW project
All GEF IW projects report on their
experience shared across global portfolio.
contributions to EBM and MDGs as
part of regular reporting and on
iwlearn.net profiles by Q4 2009.
13. GEF IW projects reporting on EBM and MDGs. Worldwide dissemination of IW At least 30 GEF IWENs produced for
project success, contribution to MDGs, and media support for expansion of IW
GFOCI and WWF6, by Q1 2011. At
projects.
least 1 IWEN from each region and
from each ecosystem-type per year.
14. Project designs based on IW best-practice learning.
At least 10 inter-project exchanges
document learning by Q4 2011,
including at least one new GEF IW
project per region, each featuring at
least 2 stakeholders.
15. Projects replicate successful approaches of comparable projects.
25% of new GEF IW projects emulate
an experience from an existing GEF IW
project.
16. Projects disseminate key information and share progress with the portfolio.
50% GEF IW portfolio syndicates their
news, events, announcements and
report releases via www.iwlearn.net. By
2010, 75% of active GEF IW projects
report annually on their efforts to
address MDGs.arn.net profiles by end
2011.
Component 3
17. CT countries meet targets specified in the action plan.
Long-term CTI RPoA prepared and
endorsed by leaders by May 2009.
25
18. Effective management systems and strategic planning operative throughout the 6
Baseline assessments completed by
CTI countries.
December 2010.
19. Regional learning mechanisms including regional workshops, regional training
Communications strategy included in
programs, and university level training established for all CTI countries.
the CTI RPoA by May 2009 and all
CTI project staff adequately trained by
end 2011.
20. Increased commitment of financial resources to sustainable natural resources
First phase of implementation of the
management over a 2008 baseline.
RPoA fully funded by December 2011.
At least 5 pilot projects prepared by
21. Pilot projects prepared and ready for implementation by end 2011.
December 2011.
Component 4
22. Effective linkage of global, regional, and national level coastal and marine EBM. At least 1,000 CTI practitioners
effectively linked to global best practice
through IW:LEARN by December
2011.
23. Efficient, transparent, and effective results-based management of all project
Mid-term and final project evaluations
components.
fully satisfactory.
Table 2 Project Risks and Mitigation Strategy
Project
Risk Rating
Mitigation Strategy
Component
(L, M, H)
Overall Project
Among the many environmental and natural
Moderate
The high-level policy dialogues,
resource crises globally, marine and coastal
communication strategies, and
ecosystems may remain relatively neglected.
transparent dissemination of
information should all raise
awareness of the urgency of
improved marine and coastal
management.
1. Advancing the
The planning process is carried out with
Moderate
A tight focus on results-based
Global Agenda
excessively optimistic assumptions and
management and avoiding mission
on Oceans,
expectations regarding goals, objectives,
creep should help to keep
Coasts and Small
activities, timing, and resources that could be
expectations at an appropriate level.
Island
accessed to implement the plan.
Key decision makers will be
Developing
involved in strategic planning.
States
Realistic estimates of resources
available.
The WOC2009 could be perceived as too
Low
Opening up WOC2009 to multiple
government-dominated which could jeopardize
stakeholders, including the NGO
the adoption and application of the Manado
consortium involved in CTI, should
Ocean Declaration.
help to ensure wide acceptance of
the Manado Ocean Declaration.
If multi-stakeholder dialogues during
Low
GOF has extensive experience in
WOC2009 are not well managed, stakeholder
the conduct of multi-stakeholder
confidence and trust, and participation in future
dialogues and is well-trusted to
multi-stakeholder meetings will be at risk.
ensure that all participants are
heard, recognized, and appreciated
for their unique contributions to the
Manado Declaration.
Disengagement of disappointed stakeholders if
Low
By linking all components, this
dialogue outcomes are not achieved,
project enables policy dialogue held
expectations are unmet, and no follow on
at the global (and thematic) level to
activities are developed.
be immediately translated into
26
action in the CTI RPoA.
Stakeholder expectations will be
clearly articulated and realistic
objectives and outcomes will be
defined.
Because of the sub-optimal level of data and
Moderate
Marine and ocean issues are
information available in marine areas beyond
increasing in priority, especially as
national jurisdiction, their remoteness and other
the impacts of climate change are
confounding factors, success and performance
already having major impacts on
measures may be difficult to formulate and
coastal and marine ecosystems. A
apply; attribution to present and future
reliable and systematic M&E plan
interventions may be difficult to establish.
for the GEF IW program on
governance of marine areas beyond
national jurisdiction will be used.
Diverse backgrounds of potential clients will
Moderate
Expert trainers will be recruited for
require a combination of content and pedagogic
the project and an extensive needs
techniques. A faulty training needs assessment
assessment will underpin the design
could result in an ineffective training program.
of training courses.
As key ocean information is disseminated, the
Moderate
Media management will be
lack of a screening process to review media
provided by experienced GOF staff
outputs may result in misinterpretation of
and consultants with previous
messages and jeopardize the multi-stakeholder
experience of similar events.
goals and processes in place.
2. GEF
Not all GEF IW projects are willing to engage
Low
The previous four IW conferences
International
in various types of portfolio learning activities
have helped to build a sense of
Waters Portfolio
or to expose any weaknesses in project
community and trust among all IW
Learning
implementation to external scrutiny.
projects.
3. Coral Triangle
Among the many environmental and natural
Moderate
A strong science and economics
Initiative
resource management needs, coral reefs may
base will reinforce perceptions of
not be given adequate priority.
decision makers regarding the value
of coral reefs.
CTI project funding may overwhelm national
Low
Previous projects have
implementation capacity, thus diverting
demonstrated the willingness of
practitioners away from learning opportunities.
practitioners in the CT countries to
take maximum advantage of
learning opportunities.
4. Project
The challenges of integrated management and a Low
The accumulated wealth of
Coordination and
coordinated approach may overwhelm project
experience from GOF and
Management
participants and cause them to fall back into a
IW:LEARN regarding integrated
reliance on disparate sectoral and national
EBM, developed over many years,
approaches.
will be available to all project
participants.
Incremental Reasoning and Expected Global, National and Local Benefits
The JPOI and MDGs have set forth tangible targets and timetables for nations to implement regarding
oceans, coasts, SIDS, biodiversity, climate, and freshwater. In the past six years, demonstrable progress
has been made in achieving some of these goals, especially through the GEF IW projects related to
freshwater systems, coasts, oceans and large marine ecosystems; lessons from these projects can usefully
be adapted to scale up or apply in other settings and regions. With the increased certainty about likely
profound climate changes, as highlighted in the 2007 Report of the Intergovernmental Panel on Climate
Change, as national decision makers and the international community work to accelerate their efforts to
27
implement the JPOI and MDG commitments, they will also need to factor in the projected effects of
climate change. Climate change is causing a variety of impacts on ecosystems and human communities,
which vary by region and will increasingly and especially affect the poorest people on earth, as
documented in detail by the 2007 UN Human Development report. These issues must be addressed at the
global level to determine strategic next steps that need to be taken by nations and the international
community and can be expected to be particularly effective at regional levels as well. Work underway in
the Asia-Pacific region and in the Pacific Islands region provides useful lessons on nation-to-nation
cooperation in transboundary management of marine resources--resources of significant global as well as
regional economic and social value which are also especially vulnerable to climate changes.
Country Ownership: Country Eligibility and Country Drivenness
Component 1 Advancing the Global Agenda on Oceans, Coasts and Small Island Developing
States - The value of the Global Oceans Conferences organized by the GOF, as well as of the strategic
policy discussions involving multiple stakeholders from over 100 countries and also of periodic report
cards tracking progress (or lack thereof) on global goals in advancing the ecosystem-based governance
agenda, have been emphasized by policymakers and stakeholders from around the world (See, for
example, comments by experts from the European Commission, UNDOALOS, Australia, Japan,
International Ocean Institute, Mexico, Canada, Tuvalu, Denmark, Indonesia, Vietnam, France, noted in
the GOF's Report of Activities 2005-2008).14
Since the 2005 Mauritius International Meeting, the need to enhance the long-term capacity of SIDS on
ocean and coastal management, especially in terms of adaptation to climate change, has been emphasized
and reiterated by SIDS leaders at the 2006 Global Conference on Oceans, Coasts, and Islands at
UNESCO, Paris, and at the 2008 Global Conference in Hanoi, Vietnam, and detailed in the regional
capacity assessment reports produced for Pacific SIDS, Caribbean SIDS, and Atlantic SIDS, and Indian
Ocean SIDS produced by the GOF's GEF/MSP (2005-2008). Regional capacity assessment reports in
Latin America, Africa, and East Asia (produced by the GEF/MSP 2005-2008) similarly call for focused
in-country capacity building mechanisms and strategies to accelerate the achievement of WSSD and
MDG goals, while anticipating and responding to climate change effects.
More specifically, the need to enhance the capacity of nations in Sub-Sahara Africa, especially with
regard to integration of groundwater in river and where relevant also with lake basins with coastal and
LME management, as well as managing Exclusive Economic Zones and enhancing ocean use agreements
has been emphasized by Ministers from African nations at the 2006 Global Conference on Oceans,
Coasts, and Islands at UNESCO, Paris, and at the African Ministerial Council on Water (AMCOW)
meeting in Brazzaville, Congo in 2007.
The capacity needs of 8 Portuguese-speaking nations regarding ocean and coastal management were
described in detail at the Ocean Policy Summit in Lisbon, Portugal, in October 2005, organized by the
GOF with the Portuguese government and other partners.
Component 2 - GEF International Waters Portfolio Learning - Countries eligible for GEF assistance
under article 9b of the GEF Instrument that are already participating in GEF-funded IW projects are also
eligible for participation in IW learning and exchange activities under the auspices of IW:LEARN.
Special efforts will be made to ensure the participation of GEF eligible countries in the larger CT area,
including Pacific SIDS.
14 http://www.globaloceans.org/gef/pdf/Report_GlobalForumActivities_2005-2008.pdf
28
Component 3 Coral Triangle Initiative Starting from the President of Indonesia's initiative to
mobilize the 6 CTI countries in 2007, the CTI has been strongly and noticeably country-driven. For
example, the Manila Resolution of the CTI countries in October 2008, while welcoming support from
development partners, stressed the importance of any support to be developed as "true partnerships,
responsive to the practical needs of our governments." The very high level of country ownership has also
been reflected in the need for a ministerial meeting to be held in Madang, Papua New Guinea in March
2009, to prepare for the proposed CTI Summit at the WOC2009.
Sustainability
IW:LEARN helps to consolidate lessons and provides institutional memory based on over 15 years of
GEF IW investment, to enable countries to learn from, adapt and replicate lessons learned beyond the
period of GEF intervention. An enhanced interactive multimedia website will feature real-time video
reflections and aims to test an expansion of remote participation by GEF project staff and partners leading
up to, during and following the global conference through virtual interactions. The IWC5 will also
consolidate innovative and usefully replicable GEF IW experiences and codify transboundary EBM
priorities that can be contributed into regional and thematic knowledge-sharing processes and other global
fora, including via Components 1 and 3. In particular, the project aims to establish and enhance durable
KM mechanisms through peer learning relationships that will continue to be supported through virtual
CoPs beyond the current project cycle, and will help to facilitate GEF IW participation in and prepare
contributions to the 6th WWF and its triannual WWF cycle as well as through GEF IW linkages with the
Global Oceans strategic planning to 2016 process.
It is expected that new partnerships forged in this project to focus on coastal and marine issues and
integration with an emphasis on the Asia/Pacific region (including GOF, CTI, UNESCO-IHP and
Australian centers of excellence, ICPDR, UNITAR's Seas and Human Security series), all addressing
priority concerns with improving participatory governance and sustainable financing, as well as emerging
issues such as building comprehensive security and resilience to climate change, will lead to renewed
partnerships and cofinancing of further knowledge-sharing and experiential learning activities in the GEF
IW:LEARN III project. This project will focus on strengthening normative systems management of water
and natural resources, integration of groundwater and climate considerations in water use efficiency and
climate change adaptation with an emphasis on the MENARID region.
Replicability
In addition to engaging new scientific and technical partners from the GEF IWC host country in planning
for pre-conference workshops and the IWC agenda, the project foresees ongoing peer learning exchange
through enhanced CoPs and partnerships, and is already informing planning for the next portfolio learning
cycle (IW:LEARN III project) which will build on the outcomes of this learning cycle, going into further
depth in a related set of emerging issues with an emphasis on another region offering a growing body of
experience and expertise.
The project will catalyze the replication of lessons learned in the GEF IW portfolio and building on past
experiences of what works and what does not will also enhance the cost effectiveness of future GEF IW
interventions. Some relevant lessons from linked projects in this IW learning cycle and from the CTI
region are summarized in Table 3 below.
Table 3
Linked Projects and Lessons Learned
Project Scope
Lessons
learned
Partnerships in Environmental
Second phase (1999-2007) focused on
Over a 14 year period, PEMSEA has
29
Management for the Seas of
partnerships in environmental management in
evolved from a regional project to a
East Asia (PEMSEA)
the East Asian seas. In June 2007, GEF
regional operating mechanism supported by
approved phase 1 of a 10-year program
member countries. PEMSEA illustrates the
(2007-2017) to implement a Sustainable
issues and difficulties associated with
Development Strategy for the Seas of East
moving from a project modality to a
Asia (SDS-SEA).
permanent institutional arrangement.
Reversing Environmental
A $34 million project funded by GEF and
Currently undergoing terminal evaluation,
Degradation Trends in the
implemented by UNEP (2002-2008) in
the project components on habitat
South China Sea and Gulf of
partnership with seven riparian states
degradation and loss, fisheries over-
Thailand
bordering the South China Sea (Cambodia,
exploitation and land-based pollution offer
China, Indonesia, Malaysia, Philippines,
significant lessons learned for the Global
Thailand, and Vietnam). Implemented under
Forum, IW:LEARN and CTI, especially in
COBSEA. A draft Strategic Action Program
relation to regional coordination and
has been prepared for GEF funding.
selection of the 13 pilot sites.
Coordinating Body on the Seas
A new COBSEA strategy (2008-2012) has
After more than 20 years of project
of East Asia (COBSEA)
been approved to focus on the thematic areas
operations, COBSEA will adopt a more
of marine- and land-based pollution, coastal
policy oriented function, including
and marine habitat conservation and
measures to strengthen national capacities
management and response to coastal
to better manage regional marine programs,
disasters. Emphasis will be placed on
to enhance post-project sustainability, and
information management, capacity building,
to assist governments to maximize
regional cooperation and strategic and
opportunities.
emerging issues.
Coral Triangle Initiative
ADB is executing 2 additional GEF-funded
Development partner coordination is
projects on CTI in the Pacific and in
proving to be an essential feature of CTI, as
Southeast Asia under separate RETAs. ADB
there are many partners involved and a
is also providing support to the Sulu-Sulawesi strong desire by the CTI countries to remain
Marine Ecoregion under the Brunei-
in charge. Institutional arrangements
Indonesia-Malaysia-Philippines: East
beyond the CTI Summit in 2009 also need
ASEAN Growth Area regional environment
attention.
program.
Mangroves for the Future
MFF focuses on the countries hit by the
Mangroves are used as a flagship
(MFF)
Indian Ocean tsunami (India, Indonesia,
ecosystem in recognition of the destruction
Maldives, Seychelles, Sri Lanka, and
caused to mangroves by the tsunami, but
Thailand) with an overall aim to promote an
MFF is inclusive of all coastal ecosystems,
integrated ocean wide approach to coastal
including coral reefs, estuaries, lagoons,
zone management.
sandy beaches, sea grasses and wetlands.
Arafura and Timor Seas
To ensure the integrated, cooperative,
Application of transboundary diagnostic
Ecosystem Action Programme
sustainable, EBM and use of the living
analysis for the Arafura-Timor Seas, to
(ATSEA)
coastal and marine resources, including
underpin policy, legal, and institutional
fisheries and biodiversity, of the Arafura and
reforms and investment actions at national
Timor Seas, through the formulation,
and regional levels. As for other projects, a
adoption (at inter-governmental level) and
major issue is how to scale up from
initial implementation of a Regional Strategic
demonstration and pilot sites in Indonesia
Action Program.
and Timor Leste.
Arafura and Timor Seas Expert
Involving Indonesia, Timor Leste, and
ATSEF needs to be strengthened as an
Forum (ATSEF)
Australia, ATSEF is providing cooperation in
effective regional mechanism for
combating illegal fishing, fish stocks
management of the Arafura and East Timor
management, protection of biodiversity, and
Seas Ecosystem Action Program, with
sustainable livelihoods, under the UNDP-
initial pilot projects scaled up to the
executed Arafura and East Timor Seas
regional level.
Ecosystem Action Program
Western and Central Pacific
A medium-size project (MSP) entitled
Assimilation of baseline data and gap
Fisheries Commission
Western Pacific-East Asia Oceanic Fisheries
analysis is being undertaken to design a
(WCPFC)
Management Project to be executed by
three-year (2009-2011) MSP funded by
UNDP involving Indonesia, Philippines and
GEF, partly supported by the Indonesia
Vietnam related to the implementation of the
Philippines Data Collection Project Fund (a
WCPFC is also part of the CTI Program.
voluntary fund to assist in data collection
on highly migratory species in Indonesian
and Philippines waters).
Agulhas and Somali Current
The Project will formulate, adopt, and
Lessons learned from regional
Large Marine Ecosystems
implement effective and sustainable Strategic
experimentation to inform debates and
30
Project (and other LME
Action Programs for the two LMES on: (i)
advance discussions on improvement in the
projects)
Productivity; (ii) Fish and Fisheries; (iii)
governance of marine areas within and
Ecosystem Health and Pollution; (iv)
beyond national jurisdiction.
Socioeconomics; and (v) Governance. Work
on (i) to (iii) will provide the scientific
foundation and justification upon which to
confirm the extent and boundaries of the
ecosystems. The last two areas will provide
an understanding of the governance needs.
In addition, a new experience still underway engaging parliamentarians in the Yellow Sea and Africa may
be shared in this learning cycle but will not be ripe for replication until current initiatives are completed
and assessed, including a new WWF thematic track on parliamentarians which IW:LEARN and IUCN's
Environmental Law Centre are collaborating on. Risk management is an important area of opportunity for
cooperation with the private sector, and for integration across sectors where benefits may be increased
through cooperation at the transboundary basin or regional scale. Adaptive EBM is a key pillar of climate
change adaptation as well as a foundation for MDGs and linkages identified in the IW:LEARN/CTI
project will be taken a step further in the IW:LEARN III project. An emphasis on groundwater and raising
awareness and integrated management capacity in the use of new storage and managed groundwater
recharge technologies will be a key focus of regional learning with global benefit to be developed in the
MENARID region in the next portfolio learning cycle. Concerns emerging from science and policy
dialogues on groundwater and climate in Africa as well as across GOF working groups in the global
marine community, call for new market-based risk management mechanisms. Risk-sharing tools such as
index insurance for flooding or tropical storms are of particular interest at the regional and transboundary
level, and outcomes emerging from portfolio learning activities in the IWC5 cycle related to these issues
will inform the development and testing of practical tools and basin-scale application in the next portfolio
learning cycle.
PART III: Management Arrangements
Component 1 Advancing the Global Agenda on Oceans, Coasts and Small Island Developing
States GOF will provide overall responsibility for this component, through ICO, the GOF Steering
Committee involving over 90 ocean leaders from all sectors and regions of the world, and the GOF's 12
Working Groups involving over 250 experts in 72 countries, and in close consultation with collaborators,
supporters and funders of the various activities carried out under Component 1. The GOF will also work
closely with the organizing committee for WOC2009 based in Jakarta.
ICO, the Global Forum Secretariat, is the operating body of the GOF. ICO will carry out all the activities
under Component 1 in consultation with the GOF Steering Committee. The strategic planning process to
advance the global oceans agenda and planning for GOC5 will be done through the Working Groups,
which will take the lead in the policy analyses, development of strategic plans, and conceptual preparation
for the GOC2010 with secretariat support from ICO. The organization of the Global Ocean Policy Day at
the WOC2009 will be undertaken in collaboration with UNEP and the Government of Indonesia. The
policy analysis and multi-stakeholder dialogues that will be undertaken towards the enhancement of
governance of marine areas beyond national jurisdiction will be carried out by ICO in collaboration with
GEF and experts from the GOF Working Group in charge of this issue area. The ocean leadership training
will be developed and implemented in collaboration with international and regional institutions such as
the International Ocean Institute, PEMSEA, SPREP, SOPAC, NEPAD, and CPLP, and the GOF Working
Group on Capacity Development. The public education and outreach activities will be carried out through
the GOF's public outreach arm, the World Ocean Network, in partnership with the World Ocean
Observatory, and the GOF Working Group on Public Education and Outreach, which will coordinate with
the other GOF Working Groups on key messages in each issue area for public dissemination.
31
Component 2 GEF International Waters Portfolio Learning A Project Team for this component
will be formed to progressively develop and implement, in consultation with the GEF IW portfolio and
the IWC5 Steering Committee, a learning framework for activities leading up to, during and following the
IWC5, and provide coordination with Component 1 (GOF governance processes) and Component 3 (CTI
regional learning) activities. Outputs will be progressively fed into the management arrangements for the
IW:LEARN Phase III under the MENARID Project.
Component 3 Coral Triangle Initiative The ADB will establish a CTI management group, drawing
together the GEF-funded CTI projects being implemented by ADB and helping to link the three
components of this project, while making appropriate linkages to the CTI Secretariat in Jakarta, and the
USG-funded Program Integration unit.
Component 4 Project Coordination and Management A Project Coordination Unit (PCU) will be
established at the UNDP Regional Centre in Bangkok (RCB). The team will include a part time Team
Leader/Marine Resource Management Specialist and a Project Implementation Coordinator under the
supervision of the Regional Technical Advisor for International Waters.
Acknowledgements - In order to accord proper acknowledgement to GEF for providing funding, a GEF
logo will appear on all relevant GEF project publications, including among others, project hardware and
vehicles purchased with GEF funds. Any citation on publications regarding projects funded by GEF
should also accord proper acknowledgment to GEF. The UNDP logo should be more prominent and
separated from the GEF logo if possible, as UN visibility is important for security purposes.
PART IV : Monitoring and Evaluation Plan and Budget
Project monitoring and evaluation will be conducted in accordance with established UNDP and GEF
procedures and will be provided by the PCU, project team, UNOPS and the UNDP Regional Centre in
Bangkok (UNDP-RCB) with support from UNDP/GEF. The Logical Framework Matrix provides
performance and impact indicators for project implementation along with their corresponding means of
verification. These will form the basis on which the project's Monitoring and Evaluation (M&E) system
will be built.
The following sections outline the principle components of the M&E Plan and indicative cost estimates
related to M&E activities. The M&E Plan will be presented and finalized in the Project Inception Report
following a collective fine-tuning of indicators, means of verification, and the full definition of project
staff M&E responsibilities.
1. Monitoring
and
Reporting
1.1.
Project Inception Phase
A Project Inception Workshop will be conducted with the full project team, relevant government
counterparts, co-financing partners, the UNDP-RCB and representation of UNDP-GEF (HQ) as
appropriate, possibly back-to-back with WOC2009.
A fundamental objective of this Inception Workshop will be to assist the project team to understand and
take ownership of the project's goals and objectives, as well as finalize preparation of the project's first
annual work plan on the basis of the project's logframe matrix. This will include reviewing the logframe
(indicators, means of verification, assumptions), imparting additional detail as needed, and on the basis of
32
this exercise finalize the Annual Work Plan (AWP) with precise and measurable performance indicators,
and in a manner consistent with the expected outcomes for the project.
Additionally, the purpose and objective of the Inception Workshop will be to (i) introduce project staff
with the UNDP-GEF expanded team which will support the project during its implementation, namely the
UNDP-RCB and UNDP/GEF (HQ), plus the PCU; (ii) detail the roles, support services and
complementary responsibilities of UNDP-RCB and UNDP/GEF (HQ) staff vis à vis the project team; (iii)
provide a detailed overview of UNDP-GEF reporting and M&E requirements, with particular emphasis
on the Annual Project Implementation Reviews (PIR) and related documentation, the Annual Project
Report (APR), Tripartite Review Meetings, as well as mid-term and final evaluations. Equally, the
Inception Workshop will provide an opportunity to inform the project team on UNDP project related
budgetary planning, budget reviews, and mandatory budget re-phasing.
The Inception Workshop will also provide an opportunity for all parties to understand their roles,
functions, and responsibilities within the project's decision-making structures, including reporting and
communication lines, and conflict resolution mechanisms. The Terms of Reference (TOR) for project
staff and decision-making structures will be discussed again, as needed, in order to clarify for all, each
party's responsibilities during the project's implementation phase.
1.2.
Monitoring responsibilities and events
A detailed schedule of project review 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 Tripartite Reviews,
Steering Committee Meetings, (or relevant advisory and/or coordination mechanisms) and (ii) project
related M&E activities.
Day to day monitoring of implementation progress will be the responsibility of the PCU Team Leader
(depending on the established project structure) based on the project's AWP and its indicators. The
Project Team will inform the UNDP-RCB 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.
The PCU and the Project GEF Technical Advisor will fine-tune the progress and performance/impact
indicators of the project in consultation with the full project team at the Inception Workshop with support
from UNDP-RCB and assisted by the UNDP-GEF (HQ). Specific targets for the first year implementation
progress indicators together with their means of verification will be developed at this Workshop. These
will be used to assess whether implementation is proceeding at the intended pace and in the right direction
and will form part of the AWP. The local implementing agencies will also take part in the Inception
Workshop in which a common vision of overall project goals will be established. Targets and indicators
for subsequent years would be defined annually as part of the internal evaluation and planning processes
undertaken by the project team.
Measurement of impact indicators related to global benefits will occur according to the schedules defined
in the Inception Workshop and tentatively outlined in the indicative Impact Measurement Template
(Table 4). The measurement, of these will be undertaken through subcontracts or retainers with relevant
institutions (e.g. mangrove cover via analysis of satellite imagery, or populations of key species through
inventories) or through specific studies that are to form part of the project activities (e.g. measurement of
carbon benefits from improved mangrove management or through surveys for capacity building efforts)
or periodic sampling such as with coastal sedimentation and erosion.
33
Periodic monitoring of implementation progress will be undertaken by the UNDP-RCB through quarterly
meetings with the project partners, 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.
Annual Monitoring will occur through the Tripartite Review (TPR). This is the highest policy-level
meeting of the parties directly involved in the implementation of a project. The project will be subject to
TPR at least once every year. The first such meeting will be held within the first twelve months of the
start of full implementation. The PCU will prepare an Annual Project Report (APR) and submit it to
UNDP-RCB at least two weeks prior to the TPR for review and comments.
The APR will be used as one of the basic documents for discussions in the TPR meeting. The PCU will
present the APR to the TPR, highlighting policy issues and recommendations for the decision of the TPR
participants. The PCU also informs the participants of any agreement reached by stakeholders during the
APR preparation on how to resolve operational issues. Separate reviews of each project component may
also be conducted if necessary.
Terminal Tripartite Review (TTR)
The TTR is held in the last month of project operations. The PCU will be responsible for preparing the
Terminal Report and submitting it to UNDP-RCB. It shall be prepared in draft at least two months in
advance of the TTR in order to allow review, and will serve as the basis for discussions in the TTR. The
TTR considers the implementation of the project as a whole, paying particular attention to whether the
project has achieved its stated objectives and contributed to the broader environmental objective. It
decides whether any actions are still necessary, particularly in relation to sustainability of project results,
and acts as a vehicle through which lessons learnt can be captured to feed into other projects under
implementation or formulation.
The TPR has the authority to suspend disbursement if project performance benchmarks are not met.
Benchmarks will be developed at the Inception Workshop, based on delivery rates, and qualitative
assessments of achievements of outputs.
1.3.
Project Monitoring Reporting
The PCU 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. Items (a) through (f) are
mandatory and strictly related to monitoring, while (g) through (h) have a broader function and the
frequency and nature is project specific to be defined throughout implementation.
(a) Inception
Report
(IR)
A Project Inception Report will be prepared immediately following the Inception Workshop. It will
include a detailed First Year/AWP divided into quarterly time-frames detailing the activities and progress
indicators that will guide implementation during the first year of the project. This AWP would include the
dates of specific field visits, support missions from the UNDP-RCB 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 AWP, and including any
M&E requirements to effectively measure project performance during the targeted 12 months time-frame.
The IR 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
34
progress to date on project establishment and start-up activities and an update of any changed external
conditions that may affect 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, the
UNDP-RCB and UNDP-GEF (HQ) will review the document.
(b)
Annual Project Report (APR)
The APR is a UNDP requirement and part of UNDP's central oversight, monitoring and project
management. It is a self -assessment report by project management and provides input to the country
office reporting process and the ROAR, as well as forming a key input to the TPR. An APR will be
prepared on an annual basis prior to the TPR, to reflect progress achieved in meeting the project's AWP
and assess performance of the project in contributing to intended outcomes through outputs and
partnership work.
The format of the APR is flexible but should include the following:
An analysis of project performance over the reporting period, including outputs produced and, where
possible, information on the status of the outcome
The constraints experienced in the progress towards results and the reasons for these
The three (at most) major constraints to achievement of results
AWP, CAE and other expenditure reports (ERP generated)
Lessons learned
Clear recommendations for future orientation in addressing key problems in lack of progress
(c)
Project Implementation Review (PIR)
The PIR is an annual monitoring process mandated by the GEF. It has become an essential management
and monitoring tool for project managers and offers the main vehicle for extracting lessons from ongoing
projects. Once the project has been under implementation for a year, a PIR must be completed by the
UNDP-RCB together with the PCU. The PIR can be prepared any time during the year (July-June) and
ideally prior to the TPR. The PIR should then be discussed in the TPR so that the result would be a PIR
that has been agreed upon by the project, the executing agency and UNDP-RCB.
The individual component PIRs are collected, reviewed and analyzed by the UNDP-RCB prior to sending
them to the focal area clusters at the UNDP/GEF headquarters. The focal area clusters supported by the
UNDP/GEF M&E Unit analyze the PIRs by focal area, theme and region for common issues/results and
lessons. The TAs and PTAs play a key role in this consolidating analysis.
The focal area PIRs are then discussed in the GEF Interagency Focal Area Task Forces in or around
November each year and consolidated reports by focal area are collated by the GEF Independent M&E
Unit based on the Task Force findings.
The GEF M&E Unit provides the scope and content of the PIR. In light of the similarities of both APR
and PIR, UNDP/GEF has prepared a harmonized format for reference.
(d)
Quarterly Progress Reports
Short reports outlining main updates in project progress will be provided quarterly to the UNDP-RCB and
the UNDP/GEF (HQ) by the project team, through the PCU.
35
(e)
Periodic Thematic Reports
As and when called for by UNDP-RCB, UNDP/GEF (HQ) or the Implementing Partner, the project team
will prepare Specific Thematic Reports, focusing on specific issues or areas of activity. The request for a
Thematic Report will be provided to the project team in written form by UNDP and will clearly state the
issue or activities that need to be reported on. These reports can be used as a form of lessons learnt
exercise, specific oversight in key areas, or as troubleshooting exercises to evaluate and overcome
obstacles and difficulties encountered. UNDP is requested to minimize its requests for Thematic Reports,
and when such are necessary will allow reasonable timeframes for their preparation by the project team.
(f)
Project Terminal Report
During the last three months of the project the project team will prepare the Project Terminal Report.
This comprehensive report will summarize all activities, achievements and outputs of the Project, lessons
learnt, objectives met, or not achieved, structures and systems implemented, etc. and will be the definitive
statement of the Project's activities during its lifetime. It will also lay out recommendations for any
further steps that may need to be taken to ensure sustainability and replicability of the Project's activities.
(g)
Technical Reports
Technical Reports are detailed documents covering specific areas of analysis or scientific specializations
within the overall project. As part of the IR, the project team will prepare a draft Reports List, detailing
the technical reports that are expected to be prepared on key areas of activity during the course of the
Project, and tentative due dates. Where necessary this Reports List will be revised and updated, and
included in subsequent APRs. Technical Reports may also be prepared by external consultants and
should be comprehensive, specialized analyses of clearly defined areas of research within the framework
of the project and its sites. These technical reports will represent, as appropriate, the project's substantive
contribution to specific areas, and will be used in efforts to disseminate relevant information and best
practices at local, national and international levels.
(h)
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.
2. Independent
Evaluation
The project will be subjected to at least two independent external evaluations as follows:
(i)
Mid-term Evaluation
An independent mid-term evaluation will be undertaken at the end of the second year of implementation.
The mid-term evaluation will determine progress being made towards the achievement of outcomes and
36
will identify course correction if needed. It will focus on the effectiveness, efficiency and timeliness of
project implementation; will highlight issues requiring decisions and actions; and will present initial
lessons learned about project design, implementation and management. Findings of this review will be
incorporated as recommendations for enhanced implementation during the final half of the project's term.
The organization, terms of reference and timing of the mid-term evaluation will be decided after
consultation between the parties to the project document. The Terms of Reference for this mid-term
evaluation will be prepared by the UNDP-RCB based on guidance from UNDP/GEF (HQ).
(ii)
Final Evaluation
An independent Final Evaluation will take place three months prior to the TTR meeting, and will focus on
the same issues as the mid-term evaluation. The final evaluation will also look at impact and
sustainability of results, including the contribution to capacity development and the achievement of global
environmental goals. The Final Evaluation should also provide recommendations for follow-up activities.
The TORs for this evaluation will be prepared by the UNDP-RCB based on guidance from UNDP/GEF
(HQ).
Audit Clause
UNOPS will provide UNDP with certified periodic financial statements, and with an annual audit of the
financial statements relating to the status of UNDP (including GEF) funds according to the established
procedures set out in the Programming and Finance manuals. The Audit will be conducted by the legally
recognized auditor of UNOPS, or by a commercial auditor engaged by UNOPS.
3. Learning and Knowledge Sharing
Results from the project will be disseminated within and beyond the project intervention zone through a
number of existing information sharing networks and forums, but primarily by IW:LEARN. In addition:
The project will participate, as relevant and appropriate, in UNDP/GEF sponsored networks,
organized for Senior Personnel working on projects that share common characteristics. UNDP/GEF
shall establish a number of networks, such as Integrated Ecosystem Management, eco-tourism, co-
management, etc, that will largely function on the basis of an electronic platform.
The project will identify and participate, as relevant and appropriate, in scientific, policy-based and/or
any other networks, which may be of benefit to project implementation though lessons learned.
The project will identify, analyze, and share lessons learned that might be beneficial in the design and
implementation of similar future projects. Identifying and analyzing lessons learned is an ongoing
process, and the need to communicate such lessons is one of the project's central contributions to be
delivered not less frequently than once every 12 months. UNDP/GEF shall provide a format and assist the
project team in categorizing, documenting and reporting on lessons learned. To this end a percentage of
project resources will need to be allocated for these activities.
Table 4 Indicative Monitoring and Evaluation Work Plan and Corresponding Budget
Type of M&E activity
Responsible Parties
Budget US$
Time frame
Excluding project team
staff time
Project Coordination Unit (PCU)
Within first two
Inception Workshop (IW)
$50,000
UNDP-RCB
months of project start
37
UNDP GEF
up
Project Team
Immediately
Inception Report
None
UNDP CO
following IW
Measurement of Means of PCU will oversee the hiring of To be finalized in Inception
Start, mid and end of
Verification for Project specific studies and institutions, Phase and Workshop. project
Purpose Indicators
and delegate responsibilities to Indicative cost $10,000
relevant team members
Measurement of Means of Oversight by Project GEF To be determined as part of
Annually prior to
Verification for Project Regional Technical Advisor and the Annual Work Plan's APR/PIR and to the
Progress and Performance PCU
preparation. Indicative cost definition of annual
(measured on an annual basis)
Measurements by regional field $40,000
work plans
officers and local IAs
APR and PIR
Project Team
None Annually
UNDP-RCB
UNDP-GEF
TPR and TPR report
Government Counterparts
None
Every year, upon
UNDP CO
receipt of APR
Project team
UNDP-GEF Regional
Coordinating Unit
Steering Committee Meetings
Project Coordinator
None Following
Project
IW
UNDP-RCB
and subsequently at
least once a year
Periodic status reports
Project team
$5,000
To be determined by
Project team and
UNDP-RCB
Technical reports
Project team
$15,000
To be determined by
Hired consultants as needed
Project Team and
UNDP-RCB
Mid-term External Evaluation
Project team
$20,000
At the mid-point of
UNDP-RCB
project
UNDP-GEF Regional
implementation.
Coordinating Unit
External Consultants (i.e.
evaluation team)
Final External Evaluation
Project team,
$30,000
At the end of project
UNDP-RCB
implementation
UNDP-GEF Regional
Coordinating Unit
External Consultants (i.e.
evaluation team)
Terminal Report
Project team
At least one month
UNDP-RCB
None
before the end of the
External Consultant
project
TOTAL
$170,000
PART V: Legal Context
The UNDP Regional Director for Asia-Pacific is authorized to effect in writing the following types of
revision to this Project Document, provided that he/she has verified the agreement thereto by the UNDP-
GEF Unit and 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;
38
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
SECTION II : STRATEGIC RESULTS FRAMEWORK (SRF) AND GEF INCREMENT
Strategic Results Framework, SRF (formerly GEF Logical Framework) Analysis
39
Table 5 Logical Framework and Objectively Verifiable Impact Indicators
Project Strategy
Objectively verifiable indicators
Goal
Coastal and marine ecosystems, especially in the Coral Triangle, are managed sustainably, with equitable outcomes for all communities
that depend on these resources for their livelihoods and with long term protection of the globally significant biological diversity in coastal
and marine ecoregions.
Indicator
Baseline
Target
Sources of verification
Risks and Assumptions
Objective of the project
Effective, efficient
Establishment of
Lessons learned from
Attendance at WOC in 2009
Risk: Among the many
management systems
information sharing
previous IW projects,
Hits on IW:LEARN website
environmental and natural
Improved management of
drawn from targeted
and targeted
and from World
CTI Regional Plan of Action
resource crises globally, marine
coastal and marine
learning from the GEF
learning in previous
Ocean Conference
and country action plans
and coastal ecosystems may
ecosystems through efficient
international waters (IW)
IW:LEARN project. applied by the six CTI CTI monitoring and
remain relatively neglected.
and effective inter- and intra-
program applied in the
countries.
evaluation system.
regional adaptive learning
Coral Triangle and other
Assumption: Development
processes.
areas by 2010.
partners, including the private
sector, will substantially increase
external funding of coral reef
management, along with
increased funding from national
governments.
40
Indicator Baseline
Target
Sources
of
verification
Risks and Assumptions
Outcome 1:
1. Strategic plan and
Disparate plans and
Seven Strategic Plans
Seven Policy Briefs/Planning
Assumptions:
To foster critical thinking,
program of work for
programs
and Program of Work
Documents
The process will engage adequate
creativity, learning, and
2010-2014 addressing the
implemented by
that incorporate ongoing
representation from major
partnership building towards
WSSD targets on oceans,
various
plans and programs as
stakeholders.
the achievement of WSSD
coasts, and SIDS,
organizations to
well as new projects to
goals and the MDGs related
prepared by Global
address each of the
address weak areas/gaps
The approach and methods used
to oceans, coasts, and SIDS,
Forum Working Groups
WSSD targets on
in each. Drafts
by the Working Groups capture
and in response to new
completed by December
oceans, coasts, and
completed for
relevant knowledge and insights
ocean issues.
2009, in the following
SIDS.
presentation at
and apply best practices.
areas:
GOC2010 in April
- Climate, oceans, and
2010.
The strategic planning process
security
will run in support of existing
- Achieving progress
formal processes.
markers on EBM and
ICM 2010 goals
The strategic plan and program
- Large Marine
of work will be adopted,
Ecosystems management
supported and carried out by
- Marine biodiversity and
stakeholders involved in the
networks of MPAs
process.
- Fisheries and
aquaculture
Risks:
- SIDS and
The planning process is carried
implementation of the
out with excessively optimistic
Mauritius Strategy
assumptions and expectations
- Linking the
regarding goals, objectives,
management of
activities, timing, and resources
freshwater, coasts, and
that could be accessed to
oceans
implement the plan.
41
Indicator Baseline
Target
Sources
of
verification
Risks and Assumptions
2. Tangible
Broad
Specific
Report of the World Ocean
Assumptions:
recommendations from
recommendations
recommendations on
Conference/Global Ocean
WOC2009 will draw wide
multi-stakeholder
on areas that need
action in each area that
Policy Day.
participation from governments,
dialogues at WOC2009,
further progress in
could be further pursued
NGOs, intergovernmental
on the following issues:
research and policy
by stakeholders and
Manado Ocean Declaration.
organizations, the science and
(i) Ocean/climate issues
development.
included in the strategic
business communities.
included in the climate
plan and program of
negotiations and vice
work for 2010-2014,
WOC2009 adapts an open and
versa
prepared by end-June
transparent stakeholder process
(ii) Understanding and
2009.
to ensure stakeholder support and
developing policy
adoption of the Conference
responses to global ocean
outputs, especially the Manado
changes ocean
Ocean Declaration.
warming, acidification,
changes in currents,
Risks: The Conference could be
changes in polar regions
perceived as too government-
(iii) Promoting
dominated which could
international commitment
jeopardize the
and funding to respond to
adoption/application of the
the differential effects of
Manado Ocean Declaration.
climate change on
different regions
If multi-stakeholder dialogues
(iv) Encouraging
during WOC2009 are not well
adaptation in the context
managed, stakeholder confidence
of EBM/ICM
and trust, and participation in
(v) Properly managing
future multi-stakeholder
mitigation efforts that use
meetings will be at risk.
the oceans, e.g. carbon
storage and sequestration
and iron fertilization
(vi) Encouraging
alternative forms of
energy using the oceans
(vii) Managing air
pollution from ships.
42
Indicator Baseline
Target
Sources
of
verification
Risks and Assumptions
3. 5th Global Oceans
Policy
Strategic Plan and
Conference Report.
Assumptions: Stakeholders will
Conference successfully
recommendations
Program of Work for
be adequately represented in the
accomplished in April
towards achieving
2010-2014 for each of
dialogue and engage in effective
2010.
the WSSD targets
the WSSD targets
interaction.
emanating from the
endorsed by GOC2010
Adequate resources are made
Hanoi Conference.
participants, completed
available for effective
by end June 2010.
stakeholder participation and
representation.
400 participants
500 participants from
Expectations among stakeholders
from various sectors various sectors
are articulated and clear
objectives and outcomes are
categorically conveyed.
Risks:
Proliferation of loud/strong
voices during the dialogue could
lead to inaction or fragmentation
of efforts.
Disengagement of disappointed
stakeholders if dialogue
outcomes are not achieved,
expectations are unmet, and no
follow on activities are
developed.
43
Indicator Baseline
Target
Sources
of
verification
Risks and Assumptions
4. Recommendations
There is no program Governance of marine
Concept proposals for
Assumptions:
towards the development
on governance of
areas beyond national
regional case studies
GEF Council will accept that the
of a new IW program
marine areas
jurisdiction officially
IW focal area should include
area on governance of
beyond national
becomes part of the IW
Document for discussion
governance of MABNJ and that
marine areas beyond
jurisdiction under
focal area under GEF5,
submitted to the GEF
measures of impacts could be
national jurisdiction
the GEF IW focal
as a new program by
Council and Technical
formulated.
(MABNJ) for
area.
completion of the GEF5
Advisory Committee for the
consideration in the next
replenishment process.
GEF5 replenishment.
Risks: Because of the sub-
GEF replenishment
optimal level of data and
process (GEF5) produced
information available in marine
by June 2009.
areas beyond national
jurisdiction, their remoteness and
other confounding factors,
success and performance
measures may be difficult to
formulate and apply; attribution
to present and future
interventions will be more
difficult to establish
5. Ocean leadership
No such training
An ocean leadership
Training Package and Report
Assumptions:
training program for
program exists.
training program for
of Implementation.
The Ocean Leadership Training
high-level decision-
high-level decision-
will be institutionalized under the
makers developed and
makers (with 25-30
sponsorship of the Global Forum
implemented at least
participants per session)
and other main collaborators.
twice for the following
institutionalized under
Sustainability will rely on good
groups of countries by
the sponsorship of a lead
feedback from inclusion of an
2012.
institution (GOF and
M&E program.
partners) implemented
- CTI countries and SIDS
in 2 sessions, with the
Risks: Diverse backgrounds of
- East Africa and CPLP
first in September 2010.
potential clients will require a
combination of content and
pedagogic techniques. A faulty
training needs assessment could
result in an ineffective training
program.
44
Indicator Baseline
Target
Sources
of
verification
Risks and Assumptions
6. Public education and
No such program
A collaborative public
Program document and
Assumptions:
outreach program on
currently exists.
education program that
Report of Implementation.
Collaborators can raise matching
climate change and
effectively
resources to augment the seed
oceans developed and
communicates the
money provided by the GEF
implemented by end of
importance of
grant.
2011.
integrating ocean
considerations in the
The key ocean information to be
climate agenda and vice
used in the public education
versa.
program will emanate from the
insights gleaned by the GOF
Working Groups during their
deliberations in the strategic
planning process.
45
Indicator Baseline Target Sources
of Verification
Risks and Assumptions
Outcome 2: Improved
GEF IW projects actively
Some GEF IW projects
GEF IW Portfolio 75%
Discussion threads, posted
Assumptions:
adaptive management of
exchanging knowledge and
participate on ad hoc basis
active (average one content content, resources
Participative peer
transboundary marine,
expertise in regional,
in regional, thematic,
upload and one download
downloaded, profiles
learning is perceived as
coastal and freshwater
thematic, institutional or
institutional or EBM-
per week) in at least 4
created, and/or news posted;
valuable for all GEF IW
systems. Expected
EBM-related CoPs.
related CoPs.
CoPs by Q2 2010.
active participation in IWC5
projects.
learning outcomes
online collaboration website
include assessable
before the conference and in
Project stakeholders are
increased GEF IW
CoP sites post-meeting.
encouraged to utilize
project capacity at 3
IW:LEARN services at
levels: (i) individual
GEF IW projects in IWC
One host region project
At least 3 Asia/Pacific IW
Host projects make plenary
all levels of
project stakeholders; (ii)
host region showing
showcases key learning at
projects commit by Q2
presentations at IWC on
implementation and
organizations; and (iii)
ownership and engaging
GEF IWC.
2009 to co-host IWC5;
their key results
execution
governments, fostering
actively in IWC5.
host region projects
enabling environments
prepare achievements and
Participants are
for transboundary
contribute to leadership on
sufficiently aware of
cooperation to deepen
SIDS, oceans and climate
GEF IW:LEARN and
and accelerate EBM and
impacts
know how to both engage
policy reform processes.
its services and provide
Alignment of GEF IWC
GEF IWC not linked with
Mechanisms for linking
GEF projects featured in
their own experience to
with cycles of WWF &
global freshwater & ocean
GEF portfolio learning
WWF and GOF session
peers (via CoP
GOF in order to better feed
meeting cycles or
cycle with GOF and
proceedings and
participation, IWEN
GEF input into global
processes.
WWF6 agreed by Q4
IW:LEARN involved in
production IWC
processes.
2010.
planning process for
engagement and
WWF6; Integration
information syndication)
workshop at WOC2009.
GEF IW:LEARN and
GEF IW projects advance
Surface and groundwater
At least 50% of new GEF
Project documents, PIFs,
partners can obtain
application of EBM to
and coastal management are IW projects by Q4 2010
and CEO endorsement
sufficient post-
integrate participatory
not integrated;
demonstrate integration of
forms.
intervention feedback on
natural resource systems
freshwater and marine,
effectiveness through
management (e.g. improved
land and water, and
participant evaluation
stakeholder engagement to
adaptation to climate
integrate freshwater and
change.
Organizers of key
marine, land and water, and
international and regional
adaptation to climate
dialogues are willing to
change).
engage the GEF portfolio
Key lessons transferred
No self-sustaining
At least 90% of GEF IW
Project multimedia content
Given IW project
through peer-to-peer
mechanism for GEF IW
portfolio provides input for featured on IWC5 website;
experience is replicable
learning.
inter-project exchange,
participative portfolio
Learning Exchange reports,
by other projects
global portfolio learning
learning cycle and testing
virtual Innovation
and assessment.
improvements by Q4 2009; Marketplace, IWC5 report
Projects possess the
50% of IWC5-attending
and participant evaluation.
means to report on
46
GEF IW project managers
progress vis-a-vis MDGs
attend a project
management training
Risks:
session at IWC5; At least
Not all GEF IW projects
95% of participant
are willing to engage in
evaluations in at least 3
Pre-conference workshop
various types of portfolio
pre-IWC technical
and working group reports,
learning activities or to
workshops confirm
IWC5 proceedings, on GEF-
expose any weaknesses
increased capacity vs.
IWC website or
in project implementation
individual baselines, and/or www.iwlearn.net.
to external scrutiny.
indicate changes to
personal or institutional
Geopolitical and
work plans.50% of IWC5-
economic conditions
attending GEF IW projects
enable full participation
exhibit at least one top
in the IWC5
innovation and/or
replicable experience.
Online/virtual services
are inaccessible to some
Successful scientific and
Partial resource base for
All GEF IW projects report Participant evaluations;
stakeholders for technical
technical innovation and
transferring key lessons
on their contributions to
participant lists; workshop
reasons
lessons from GEF IW
learnt from GEF IW project
EBM and MDGs as part of
reports.
project experience shared
implementation, with room
regular reporting and on
across global portfolio.
for improvement.
iwlearn.net profiles by Q4
2009.
GEF IW projects reporting
Projects do not regularly
At least 30 GEF IWENs
Project multimedia content
on EBM and MDGs.
report on progress vis-à-vis
produced for GFOCI and
featured on IWC5 website;
Worldwide dissemination
EBM and MDGs. GEF IW
WWF6, by Q1 2011. At
Learning Exchange reports,
of IW project success,
projects report on
least 1 IWEN from each
virtual Innovation
contribution to MDGs, and
immediate objectives only.
region and from each
Marketplace, IWC5 report
media support for
ecosystem-type per year.
and participant evaluation.
expansion of IW projects.
Pre-conference workshop
and working group reports,
IWC5 proceedings, on GEF-
IWC website or
www.iwlearn.net.
Project designs based on
Approximately 30 IWEN's
At least 10 inter-project
Reporting on project profiles
IW best-practice learning.
produced, but do not
exchanges document
at www.iwlearn.net also via
sufficiently cover a suite of
learning by Q4 2011,
gefonline.org, and PIR-APR
thematic areas
including at least one new
processes.
GEF IW project per region,
each featuring at least 2
stakeholders.
47
Projects replicate successful Projects are designed
25% of new GEF IW
IWENs produced and posted
approaches of comparable
independently of previous
projects emulate an
to iwlearn.net covering
projects.
IW project experience and
experience from an
process and stress reduction
common errors are
existing GEF IW project.
themes. Project design
repeated.
documents, post-evaluation
of IW projects.
Projects disseminate key
Less than 10% of the
50% GEF IW portfolio
Media reports, RSS feeds to
information and share
portfolio regularly shares
syndicates their news,
iwlearn.net, website content,
progress with the portfolio.
their news, events,
events, announcements and and independent reviews of
announcements and
report releases via
IW portfolio.
releases broadly.
www.iwlearn.net. By 2010,
75% of active GEF IW
projects report annually on
their efforts to address
MDGs.
Formatted: Tabs: 3.34", Left
48
Indicator Baseline
Target
Sources
of verification
Risks and Assumptions
Outcome 3
CT countries meet targets
Ineffective
Long-term CTI
Project/program reports and
Risk: Among the many
specified in the action
implementation of
RPoA prepared and
annual reports of national CTI
environmental and natural
Improved management
plan.
agreed plans.
endorsed by leaders
secretariats.
resource management needs,
system for CTI strategic
by May 2009.
coral reefs may not be given
planning and implementation
Workshop reports, training
adequate priority.
of the CTI program of action
Effective management
Excessive attention
Baseline assessments curricula, and university
through inter- and intra-
systems and strategic
on implementation
completed by
course contents.
CTI project funding may
regional adaptive learning
planning operative
progress and not on
December 2010.
overwhelm national
processes.
throughout the 6 CTI
long term capacity
Annual reports of
implementation capacity, thus
countries.
building.
development partners, private
diverting practitioners away
sector, and national
from learning opportunities.
Regional learning
Ad hoc training
Communications
governments
mechanisms including
activities and
strategy included as
Assumptions: National
regional workshops,
ineffective
part of the CTI RPoA National budgets for coral reef
governments will release staff
regional training
approach to
by May 2009 and all
management, research, and
for adequate periods of time to
programs, and university
development of
CTI project staff
training..
receive on-the-job and longer
level training established
centers of
adequately trained by
term training in natural
for all CTI countries.
excellence.
end 2011.
resources management.
Increased commitment of
Inadequate
First phase of
Development partners,
financial resources to
resourcing of plans
implementation of
including the private sector, will
sustainable natural
of action as a major
the RPoA fully
substantially increase external
resources management
constraint on
funded by December
funding of coral reef
over a 2008 baseline.
project
2011.
management, along with
implementation.
increased funding from national
governments.
Pilot projects prepared and Ad hoc
At least 5 pilot
ready for implementation
identification of
projects prepared by
by end 2011.
projects.
December 2011.
49
Indicator
Baseline Target
Sources
of
verification
Risks and Assumptions
Outcome 4
Effective linkage of global,
Separate activities
At least 1,000 CTI
IW:LEARN website.
Risk: The challenges of
regional, and national level
at global, regional
practitioners
US CTI Program Integration
integrated management and a
Project Coordination and
coastal and marine EBM.
and national level,
effectively linked to
Portal.
coordinated approach may
Management
missing
global best practice
IWC5 participant evaluation
overwhelm project participants
opportunities for
through IW:LEARN
and IWENs.
and cause them to fall back into
Improved coordination and
Efficient, transparent, and
portfolio learning.
by December 2011.
a reliance on disparate sectoral
integration between the
effective results-based
and national approaches.
global oceans and coastal
management of all project
Separate project
Mid-term and final
Project progress reports by
agenda, the GEF
components.
component
project evaluations
PCU.
Assumption: Results-based
international waters
management.
fully satisfactory.
management will be adopted by
portfolio, and CTI.
all components.
50
SECTION III : Total Budget and Workplan
Component 1 - Advancing the Global Agenda on Oceans, Coasts and Small Island Developing States Budget
Award ID:
00056969
Award Title:
PIMS 4164 Global IW LEARN
Business Unit:
UNDP1
PIMS 4164 Portfolio Learning in International Waters with a Focus on Oceans, Coasts, and Islands and Regional Asia/Pacific and Coral
Project Title:
Triangle Learning Processes
Implementing Partner
(Executing Agency)
UNOPS
Responsible
Atlas
Donor
Amount
Amount
Amount
Amount
See
GEF Outcome/Atlas
Party/
Budgetary
ATLAS Budget
Total
Fund ID
Name
Year 1
Year 2
Year 3
Year 4
Budget
Activity
Implementing
Account
Description
(USD)
(USD)
(USD)
(USD)
(USD)
Note:
Agent
Code
OUTCOME 1:
International
Party 1
71200
46,200 44,550 6,600 11,550
108,900 x
To foster critical
Consultants
thinking, creativity,
71300
Local
Consultants 0 0 0 0 0
x
learning, and
Contractual
62000
GEF
112,200 134,200 13,750 45,650 305,800
partnership building
services
towards the
Travel
85,800
253,000 0
82,500
421,300
achievement of
Publications
0
64,000
0 64,000
WSSD goals and the
MDGs related to
sub-total GEF
244,200
495,750
20,350
139,700
900,000
oceans, coasts, and
International
SIDS, and in
71200
$ $ $ $ $ x
Consultants
response to new
62000
GEF
71600 Travel
$
$
$
$
$
ocean issues.
71300 Local
Consultants $
$
$
$
$
Etc
$ $ $ $ $
sub-total
Donor
2 $ $ $ $ $
etc
etc etc
etc
62000
GEF
71300
Local
Consultants
$ $ $ $ $ x
Sub-total GEF
$
$
$
$
$
Contractual
xxxxx Donor
2
$ $ $ $ $
services
51
72500 Office
Supplies
$ $ $ $ $
74500 Miscellaneous
$
$
$
$
$
sub-total Donor 2
$ $ $ $ $
Total Outcome 1
244,200
495,750
20,350
139,700
900,000
52
Component 1 - Budget Notes
ICO will be the main contractor for this component as stated under Part III on Management
Arrangements. ICO, the Global Forum Secretariat, has been the operating body of the GOF and has
implemented all the GOF initiatives since 2004. ICO will carry out all the activities under Component 1
in consultation with the GOF Steering Committee. ICO is an international NGO accredited to the United
Nations roster for the UN Commission on Sustainable Development since 1993, and granted Special
Consultative Status with the Economic and Social Council of the United Nations in July 2006.
1 International
Consultants:
Activity 1: Strategic planning on the global oceans agenda: 9 international consultants for
16 total person-weeks at $3,000/person-week; Total cost: $52,800
Activity 2: Expert advice and input on Global Ocean Policy Day: 3 international
consultants for 6 total person-weeks at $3,000/person-week; Total cost: $19,800
Activity 3: Expert advice on policy analysis on governance of marine areas beyond
national jurisdiction: 1 international consultant for 4 person-weeks at $3,000/person-week;
Total cost: $13,200
Activity 4: Expert advice on development and implementation of ocean leadership: 4
international consultants at $3,000/person-week for total of 7 person-weeks; Total cost:
$23,100
2 Contractual
services:
Activity 1: Organization of the GOF Working Groups and GOC5, and consultations with
Global Forum Steering Committee, GOF Working Groups, and other stakeholders: ICO:
$79,200
Activity 2: Organization of Global Ocean Policy Day: ICO: $25,300
Activity 3: Policy analysis and development of concept proposal for new GEF program
area on high seas: ICO: $16,500
Activity 4: Development and implementation of ocean leadership training program: ICO:
$64,900
Activity 5: Public education and outreach: a) Improvement of Ocean Info Pack, and
organization of public debates and youth forum; b) Organization of public briefings and
production of interviews and other materials in DVD and You-Tube format Coordination;
and c) secretariat support for public outreach and education activities: ICO in
collaboration with WON, WOO and other media consultants: $119,900
3 Travel:
Activity 1:
Travel costs for participation in UNFCCC COP15 to Copenhagen, WWF5 to Istanbul, and
preparatory meetings related to GOC2010 for ICO staff: $20,000; Travel costs for
developing country, other GOC5 participants, and GOF Secretariat to Paris (40-45 at
$3,000-3,500 each): $150,000; Total cost: $187,000
Activity 2: Travel to Manado for experts and GOF staff (15 people): Total cost: $49,500
Activity 3: Travel to New York to participate in G-77 and China briefings, ICP10, 3rd
meeting of Ad Hoc Working Group, and other UN consultations for GOF staff: Total cost:
$19,800
Activity 4: Travel for lecturers and participants to ocean leadership training for 2 sessions:
$165,000
4 Publications:
Activity 1: Preparation and reproduction of 8 Strategic Plans/Working Group Outputs for
GOC5: $64,000
53
Component 1 - Schedule
Activity 2009
2010
2011
2012
1. Strategic Planning to Advance the Global
Oceans Agenda to 2016 and Organization of
the 5th Global Oceans Conference in 2010
a. Strategic Planning to Advance the Global
Apr-Dec
Jan-Mar
Jan-Dec
Jan-Dec
Oceans Agenda to 2016 (GOF, UNDESA,
2009
2010
2011
2012
other partners).
b. Organize the 5th Global Oceans Conference,
Apr-Dec
Jan-Dec
to be held April 2010 at UNESCO, Paris,
2009
2010
France (GOF, IOC/UNESCO, Government of
France, other partners) including report
preparation
2. World Ocean Conference 2009, Manado,
Feb-Jul
- -
Indonesia (GOF, UNEP, Government of
2009
Indonesia)
3. Enhancing Governance of Marine Areas
Feb-Dec
2010
2011
Beyond National Jurisdiction (GOF, GEF)
2009
(TBD)
(TBD)
4. Ocean Leadership Training for High-Level
- Jan-Dec
Jan-Dec
Sep 2012
Decision Makers (GOF, WBI, other partners)
2010
2011
5. Public Education and Outreach (GOF,
Feb-Dec
Jan-Dec
Jan-Dec
Jan-Dec
WON, WOO)
2009
2010
2011
2012
6. Monitoring and evaluation
Jan-Dec
Jan-Dec
Jan-Dec
Jan-Dec
2009
2010
2011
2012
7. Annual and final report preparation
Dec 2009 Dec 2010
Dec
Dec 2012
2011
54
Component 2 GEF International Waters Portfolio Learning - Budget
Responsible
Atlas
Donor
Amount
Amount
Amount
Amount
See
GEF Outcome/Atlas
Party/
Budgetary
ATLAS Budget
Total
Fund ID
Name
2009
2010
2011
2012
Budget
Formatted Table
Activity
Implementing
Account
Description
(USD)
(USD)
(USD)
(USD)
(USD)
Note:
Agent
Code
63400
Learning Costs
$28,325
$39,925
$0
$0
$68,250
2a
Deleted: 72,325
ALD Employee
71100
$118,900
$29,500
$
$148,400
2b
Cost
Deleted: 100,650
71600
Travel
$10,000
$
$
$
$10,000
2c
Deleted: 82
Contractual
OUTCOME 2:
62000
GEF
72100
$165,350
$
$
$
$165,350
2d
Deleted: 0
Services
Improved adaptive
72400
Communications
$3,000
$1,000
$
$
$4,000
2e
management of
Deleted: 94,000
transboundary marine,
72500
Supplies
$3,000
$1,000
$
$
$4,000
2f
Deleted: 276,000
coastal and freshwater
sub-total GEF
$328,575
$71,425
$
$
$400,000
systems through inter-
Deleted: 205,350
UNOPS
project learning,
Deleted:
information sharing,
205,350
Contractual
collaboration, testing
$
$
$
$
15
Services
Deleted: 432,175
and replication of
xxxxx
Donor
successful approaches
sub-total Donor 2
$
$
$
$
$
Deleted: 167,825
across the IW portfolio.
Total Outcome 2
$328,575
$71,425
$
$
$400,000
Deleted: 6
Deleted: 632,175
Deleted: 167,825
Deleted: 6
55
Component 2 - Budget notes
2a
Learning Costs ($68,250)
Deleted: 100,650
Learning Exchange Program ($50,100)
o A minimum 5 learning exchange/study visits (average 7 days), each supporting 4-6 project staff
Deleted: 82
(average of 5 people), at $2000 average economy air travel costs/person (ex: Africa/Australia),
Deleted: ,500
$1000 average partial DSA/person ($143/day, 7days)
o $50,100 is seed funding to leverage a projected $175,000 in basin learning and SIDS learning co-
Deleted: -10
finance (($145k ICPDR confirmed, $30k SLRF projected))
Deleted: 82
CTI /GFOCI (GEF-IW leadership training at Manado WOC, GEF IWC, GOF) ($16,500)
Deleted:
o $10,000 to support a leadership training workshop for 30-50 participants for 1.5 days in conjunction
5
with Manado WOC and human security session or w/s at GEF-IWC5
o $6,500 to leverage additional cofinance (to be reported under implementation) for a follow up
training at 2010 GOF in Paris for up to 50 participants for 1.5 days
o $32,000 in cofinance comfirmed (UNITAR, Red Cross Climate Ctr)
Experience Notes Program ($1,650)
o Printing of approximately 1000 experience notes for dissemination at key regional and global
events, like Global Oceans, IWC5, and CTI regional learning
2b
ALD Employee Costs ($148,400)
Deleted: 276000
GEF-IWC5 Coordinator
This supports 20 weeks of an international consultant at $3000/wk to coordinate delivery of GEF-IW:LEARN
Deleted: 58
component activities and services, including managing contractual services and co-financing partnerships, engage
GEF IW portfolio of projects in preparation for, participation in and follow-up to 5th Biennial GEF IW conference
Deleted: ,
and related portfolio learning, (Total: $60,000)
Deleted: ensure cross-fertilization with
KM Specialist
CTI and GOF component activities, and
o This supports 52 weeks of an int. consultant at $1700/wk to ensure delivery of knowledge products
manage M& E. GEF-IW:LEARN staff
and outputs from the component, as well as to ensure cross-fertilization with CTI and GOF
ing will be cost-shared with the GEF-
component activities, and manage M& E, in particular linking the outputs of these Components to
IW:LEARN III project beginning in 2010
IW:LEARN activities and services, e.g. CTI portal. GEF-IW:LEARN staffing will be cost-shared
Deleted: 60
with the GEF-IW:LEARN III project beginning in 2010. (Total: $88,400)
Travel ($10,000)
Deleted: interface with the project
$10,000 to support the travel of 2 GEF-IW:LEARN (IWC5 Coordinator, KM Specialist) to IWC5, and
coordinator to assist in linking
Component 2 to Components 1 and 3
one GEF-IW:LEARN staff representative to Manado WOC2009 (PC)
Deleted: , in particular linking the
2d
Contractual Services ($165,350)
outputs of these Components to
Cairns Convention Centre Contract ($66, 850)
IW:LEARN activities and services, (e.g.
CTI portal
o 145,000 is the contract cost for CCC for roughly 300 participants of GEF-IWC5, including all
catering, audiovisual, room rental (AUS$213,526)
Deleted: )
o An initial deposit has been paid ($27,447) from TSC funds. AusAID has pledged $68,350 in cash
Deleted: Cost-sharing with GEF-
cofinance ($100AUD) to support GEF-IWC5, which includes a welcome function expected to cost
IW:LEARN III project beginning in 2010
up to $12,000, with the remainder contribution used to offset the CCC cost with conservatively
estimated balance of $66,850 to be covered from GEF budget
Deleted: 205,350
Multimedia/KM Contract ($30,000)
Deleted: 55
o Supports further development of online collaborative website for GEF-IWC5 and beyond (including
community of practice support and enabling distance participation of wider GEF IW portfolio)
supports various services associated with the IWC5 covering media, the use of video to enhance the
GEF IWC5 experience as well as disseminate its lessons to and engage a broader audience
o LMGM has pledged $100,000 in cofinance in conjunction with bid for service contract
Local Event Coordinator Contract ($7,500)
o Supports contract to provide services logistical and administrative support to GEF-IWC5 (including
participant accommodations, sponsored sessions, rapporteur and other services (outside convention
center cost) and local organizing committee . Registration fees will also be used to offset costs of
local event coordination, and are expected to generate at least $20,000.
Pre Conference Sci/tech Workshops (with Murray-Darling, GBRMPA, CSIRO) ($50,000)
Deleted: 65
o Supports partnership with UNESCO to organize and provides seed funding for three pre-IWC5
targeted trainings for up to 200 participants for 1.5 days
o Leverages projected $130,000 cofinance from UNESCO and Australian partners
Tech Site Visit ($11,000)
o Supports a consultant to organize one-day technical site visit during GEF-IWC5 for approx 300
participants. In particular, the consultant will also seek private sector engagement in IWC learning
agenda and sponsorship for the visit.
56
2e
Communications ($4000)
Communications ($4000)
o Supports communications and related costs for IW:LEARN (PC, KM), averaging roughly
$222/month for 18 months, and to be cost-shared with the GEF-IW:LEARN III project beginning in
2010
2f
Supplies ($4000)
Supplies ($4000)
o $1200 for roughly 12 months UNDP Bratislava workspace rent for KM Specialist, which includes
services such as photocopying, telephony and IT connections ($1200 for approx 12 months); to be
cost-shared with the GEF-IW:LEARN III project beginning in 2010
o $2800 to support sundry expenses (existing equipment repair and maintenance), the production of
materials for events (publications and electronic media), mailing of materials, business card
production, medical fees?, other office supplies; and to be cost-shared with the GEF-IW:LEARN III
project beginning in 2010.
Component 2 Schedule
Activity
2009 2010 2011
1. Fifth Biennial GEF IW Conference participative
September
learning program
2009
2. GEF IW leadership learning program Feb-Sept.
- -
2009
3. Collaborative website development Feb-Dec
2010
2011
2009
(TBD)
(TBD)
4. IWC5 Pre-conference targeted workshops Feb-Sept.
2009
5. Organization of IWC5 Feb-Sept.
2009
6. CTI regional learning process May-Sept.
2009
7. Post-IWC5 learning exchanges and GEF IW Experience
Jan-Dec
Notes
2010
8. Monitoring and Evaluation
Feb 2009
Dec 2011
57
Components 3 Coral Triangle Initiative Budget (ADB executed)
Budget Item
2009
2010
2011 Total
ADB
GEF
Total
In-kind
Consultants
Regional Cooperation Specialist/ Marine Management
Specialist/ Team Leader (int)
$60,000
$90,000
$90,000
$240,000 $120,000
$120,000
$240,000
Knowledge Management &Communicat ions Specialist
(loc)
$20,000
$50,000
$50,000
$120,000
$60,000
$60,000
$120,000
Environment Economist (loc)
$20,000
$40,000
$40,000
$100,000
$50,000
$50,000
$100,000
Marine Scientist (loc)
$16,000
$24,000
$24,000
$64,000
$32,000
$32,000
$64,000
IT Specialist (loc)
$6,000
$15,000
$15,000
$36,000
$20,000
$16,000
$36,000
Other Local consult ant (loc)
$0
$10,500
$10,500
$21,000
$21,000
$0
$21,000
Internat ional Travel
$18,000
$30,000
$24,000
$72,000
$12,000
$60,000
$72,000
Regional/ local t ravel
$12,000
$16,000
$16,000
$44,000
$4,000
$40,000
$44,000
Reports, Communicat ions, Publications
$10,000
$10,000
$10,000
$30,000
$30,000
$0
$30,000
Part nership agreement
$20,000
$20,000
$20,000
$60,000
$60,000
$0
$60,000
Equipment
$6,000
$0
$0
$6,000
$6,000
$0
$6,000
Training, Seminars, and Conferences
$105,000
$210,000
$210,000
$525,000
$0
$525,000
$525,000
Miscel aneous Administ ration and Support Costs
$40,000
$60,000
$60,000
$160,000
$20,000
$140,000
$160,000
Sub-total
$333,000
$575,500
$569,500
$1,478,000 $435,000
$1,043,000
$1,478,000
Cont ingencies (15%)
$49,950
$86,325
$83,700
$219,975
$65,000
$157,000
$222,000
Tot al
$382,950
$661,825
$653,200
$1,697,975 $500,000
$1,200,000
$1,700,000
700000
Grand Tot al
$2,400,000
58
Budget Notes Component 3
Budget Notes
Regional Cooperation
Specialist/Marine Management International consultant - 4-6 months/year (16pm) @$15,000 per
Specialist (Team Leader)
month
Knowledge
Mgnt&Communications
Specialist
Local consultant - (24 pm) @$5,000 per month
Environmental Economist
Local consultant - (20pm) @$5,000 per month
Marine Scientist
Local consultant - intermittent (16pm) @$4,000 per month
IT Specialist
Local consultant - intermittent (12pm) @$3,000 per month
Other Local consultant (as
needed)
Local consultant - intermittent (10pm) @$2,000 per month
International Travel
Total of 12 trips @$6,000 per trip
Regional/local travel
Total of 22 trips @$2,000 per trip
Reports, Communications,
Publications
Lump sum of $10,000 per year
Partnership agreement
Lump sum payment to NGO for organizing training workshops
Equipment
Training equipment needed - e.g. overhead projectors
Training, Seminars, and
Conferences
Five events, 50 participants for 7 days @ $300/day
59
Components 3 - Schedule
Activity 2009
2010
2011
1. Stakeholder participation and consultation
Feb 2009
Dec 2011
2. Institutional capacity strengthening
Feb 2009
-
Dec 2011
3. Communication plan and information dissemination
Feb 2009
Dec 2011
4. Setting up the foundation for pilot projects
Jan-Dec
2010
5. Innovative financing of coastal and marine projects
Jan-Dec
2011
6. CTI regional learning process
May-Sept.
2009
7. Monitoring and Evaluation
Feb 2009
Dec 2011
60
Component 4 Project Management Budget (UNDP & UNOPS)
Responsible
Atlas
GEF
Donor
Amount
Amount
Amoun
Amoun
Party/
Budgetary
ATLAS Budget
Total
Outcome/Atlas
Fund ID
Name
2009
2010
t 2011
t 2012
See Budget Note:
Implementing
Account
Description
(USD)
Activity
(USD)
(USD)
(USD)
(USD)
Agent
Code
Project
ALD Employee
Implementation
71100
$52,000 $52,000
$26,000 $130,000
Cost
Specialist (130
weeks*1,000)
Part time Team
ALD Employee
71200
$13,750 $13,750
$11,000
$5,500 $44,000
Leader (16
Cost
weeks*2,750)
3 trips Bangkok-
71600 Travel
$3,000 $3,500 $3,500 $ $10,000
Manila for M&E
and reporting
62000 GEF
Support to
communication
Communication
related to project
Outcome 4:
72400
$2,000 $2,000
$2,000 $ $6,000
s
coordination and
Project
UNOPS
management for
Management
2.5 years
Bangkok
72500 Supplies
$4,000 $4,000 $2,000 $ $10,000
workspace rent
for 2.5 years
sub-total
GEF $74,750 $75,250 $44,500 $5,500 $200,000
Contractual
$ $ $ $
Services
xxxxx Donor
sub-total Donor
$ $ $ $ $
2
Total Outcome
$ $ $ $ $
2
61
SECTION IV : ADDITIONAL INFORMATION
PART I : Other agreements
Note: attach endorsement letter(s) .
[Once the GEF Council has approved the project, add letter(s) of financial commitment,
MOUs with executing agency if relevant, and other official agreements.]
PART II : Organigram of Project
62
PART III: Terms of References for key project staff and main sub-contracts
Component 1:
Activity 1. Strategic Planning to Advance the Global Oceans Agenda and GOC5
International Consultants
1. Eight international consultants will lead international Working Groups and develop a strategic plan in
the following areas: 1) Climate, Oceans, and Security; 2) Achieving EBM and ICM by 2010 and Progress
Markers; 3) Large Marine Ecosystems; 4) Marine Biodiversity and Networks of Marine Protected Areas;
5) Fisheries and Aquaculture Sustainability and Governance; 6) SIDS and Implementation of the
Mauritius Strategy; 7) Linking the Management of Freshwater, Coasts, and Oceans; and 8) Capacity
Development. The consultants will work with the Working Group members to develop policy analyses
and strategic plans on each of the eight areas, which will be presented for review and discussion at the 5th
Global Oceans Conference in 2010. The consultants will also assist with strategic planning to incorporate
oceans in the major world fora--for example, climate talks in 2009 (UNFCCC COP-15), biodiversity in
2010 (CBD COP10), G8 Summit in 2009, and the 5th World Water Forum in 2009.
2. One international consultant will oversee the strategic planning process and the work of the eight
international consultants tasked with leading the eight Working Groups. The consultant will advise the
eight international consultants on the organization and mandates of the Working Groups. This individual
will oversee the organization of the Working Groups and their related meetings, as well as their role in the
5th Global Oceans Conference in 2010.
Contractual Services
1. International Coastal and Ocean Organization (ICO)
ICO will coordinate the strategic planning process through the GOF Working Groups and provide
secretariat support, including organization of conference calls and face-to-face meetings, preparation of
background research and conference call reports, and production of policy briefs.
ICO will also carry out the organization of the 5th Global Oceans Conference, including the preparation of
the substantive program, invitations, promotion, preparation and production of materials and publications
for distribution to conference participants, fund-raising for additional travel support for developing
country participants, travel and logistics, and conference evaluation.
Expected Outputs:
- Conference Report
- Strategic Plan and Program of Work for 2010-2014 for each of the WSSD targets endorsed by
GOC2010 participants completed by June 2010
Activity 2. WOC 2009
International Consultants
1. Two international consultants will focus on two of the key themes related to the Global Oceans Policy
Day, taking place during the May 2009 World Ocean Conference. One international consultant will focus
on climate adaptation, examining the wide range of adaptation options available for communities to use
when addressing climate change impacts. A second international consultant will focus on alternative
63
forms of energy using the oceans, ocean acidification, or another of the themes. These consultants will
provide input to the Global Forum on these topics in preparation for the Global Oceans Policy Day. They
will prepare analyses of these topics and present their findings during the preparatory sessions to the
Global Oceans Policy Day at the WOC.
2. One international consultant will oversee the organization of the Global Oceans Policy Day. This
person will advise the Global Forum as to the structure of the Policy Day. In addition, the consultant will
work with the Global Forum and a small group of international experts and a representative of the
Indonesian Government to map out how the Global Ocean Policy Day might be structured, and linked to
the other activities of the Conference.
Contractual Services
1. International Coastal and Ocean Organization (ICO)
ICO will carry out the organization of the Global Ocean Policy Day along with the preparatory activities,
which includes preparation of policy briefs and public education materials on the themes of the Global
Ocean Policy Day and holding of special events on climate change and oceans in collaboration with
UNEP, the Government of Indonesia and consultants.
Expected Outputs:
- Policy Briefs
- Report on preparatory sessions and side events
- Report on the Global Ocean Policy Day containing specific recommendations on action in each WOC
theme that could be further pursued by stakeholders and included in the global oceans strategic plan and
program of work for 2010-2014
Activity 3. Enhancing Governance of Marine Areas Beyond National Jurisdiction
International Consultant
1. One international consultant will work with the Global Forum's Expert Working Group on Governance
of Marine Areas Beyond National Jurisdiction, which includes 72 experts from both developed and
developing countries and from a broad range of sectors including national governments, academia, UN
agencies, intergovernmental organizations, nongovernmental organizations, and industry, to further the
discussion of the issues highlighted by three previous Workshops. The consultant will work with the
Global Environment Facility to encourage its consideration of funding support for experiments to test the
feasibility of applying EBM to regional areas which may include areas of national jurisdiction, large
marine ecosystems shared by various countries, and areas beyond national jurisdiction.
Contractual Services
1. International Coastal and Ocean Organization (ICO)
ICO will carry out the development of a concept proposal on a new program on governance of marine
areas beyond national jurisdiction as part of the Global Environment Facility's International Waters focal
area. ICO will undertake further consultation with various stakeholders and participate in forthcoming key
meetings (e.g., ICP10, CBD COP10, 3rd Meeting of the UN Ad Hoc Open-Ended Informal Working
Group to study issues relating to the conservation and sustainable use of marine biological diversity
beyond areas of national jurisdiction) to advance the discussion on key issues and recommendations
64
emanating from the Workshop on Management Issues and Policy Alternatives to Improve Governance of
Areas Beyond National Jurisdiction, Singapore, November 3-5, 2008).
Expected Output: Concept proposal on a program on governance of marine areas beyond national
jurisdiction submitted to GEF
Activity 4. Ocean Leadership Training for High-Level Decision Makers
International Consultants
1. Three international consultants will provide experts guidance on the needs assessment, development,
and implementation of the training modules for the Ocean Leadership Training initiative. The Ocean
Leadership Training initiative is focused on permanent ocean officials in-country and Permanent
Representatives to the United Nations. One consultant will provide input in focusing the training
programme for participants from the Coral Triangle/Small Island Developing States (SIDS). A second
consultant will provide input in focusing the training programme for participants from Africa and the
Community of Portuguese Language Countries (CPLP). A third consultant will be hired to provide input
on training content.
2. One international consultant will oversee the design and development of the training modules.
Contractual Services
1. International Coastal and Ocean Organization (ICO)
ICO will carry out the training needs assessment, development and implementation of the Ocean
Leadership Training for High-Level Decision Makers, with advice from the international consultants. ICO
will manage the conduct of two training sessions, including the engagement of lecturers, preparation of
training materials, promotion, selection of participants, training logistics, and training evaluation.
Expected Outputs: A training package on Ocean Leadership for High-Level Decision Makers and a
training report for two sessions
Activity 5. Public Education and Outreach
Contractual Services
1. International Coastal and Ocean Organization (ICO)
ICO will carry out the public education and outreach activities in collaboration with the World Ocean
Network (WON), NAUSICAA (Centre National de la Mer), World Ocean Observatory (WOO) and other
media consultants.
The World Ocean Network and NAUSICAA will improve an existing public information dissemination
package, called the Ocean Info Pack, which includes major facts and figures about the oceans and
suggestions of activities and tools to reach the general public. It is in English, French and Spanish. The
sections devoted to the climate change issues will be enriched with additional educational tools, activity
and fact sheets, and other material to assist educators and museum professionals with interactive
activities. The enrichment will include information and tools gathered in partnership with International
Action on Global Warming (IGLO), a project of the Association of Science-Technology Centers (ASTC),
65
and in the framework of the Action on Climate Change through Engagement, Networks and Tools
(ACCENT).
WON and NAUSICAA will also be organizing public debates and youth forums during forthcoming
major ocean events, including at the WOC, UNFCCC, GOC5 and CBD COP10. Climate change and
ocean related themes will be included in public debates and youth forums for the ocean.
Expected Output: An improved Ocean Info Pack that effectively communicates the importance of
integrating ocean considerations in the climate agenda and vice versa, and report on public debates and
youth forum conducted.
The World Ocean Observatory and other media consultants will organize a series of public-oriented
briefings focused on the oceans/climate priority areas to be covered at the WOC2009 which will be
prepared and widely disseminated in print form as well as in state-of-the-art videos and You-Tube
interviews that will be posted on the GOF, You-Tube and other websites.
Expected Output: Conduct of a series of public briefings on oceans and climate in print, DVD and You-
Tube formats, and report on briefing sessions conducted.
ICO will provide secretariat support for WON, WOO, and other media consultants in carrying out public
education and outreach activities under this project.
Component 2:
A.
GEF-IW:LEARN IWC5 Coordinator
Under the general guidance of the GEF IW:LEARN Steering Committee and Direct supervision of the
GEF/UNDP Regional Technical Advisor for Land Degradation and International Waters (Bangkok), the
IWC5 Coordinator will work closely with the Project Management Team, and be responsible for day-to-
day implementation and coordination of the GEF-IW:LEARN activities and partnerships.
Responsibilities:
Organize and coordinate the GEF IW project partners across the portfolio and with partners in the three
project components to ensure integration of activities and capacities towards the objectives of the overall
project and GEF.
a. Network with project partners and stakeholders to develop and promote linkages and
Deleted: <#>Provide intellectual input
partnerships to leverage synergies among project activities and across components;
for the day-to-day coordination,
b. Prepare and coordinate GEF-IW:LEARN Steering Committee meetings;
supervision, implementation and M&E of
the GEF-IW:LEARN component
c. Assist in and contribute as needed to mid-term and final evaluation process;
activities;¶
d. Represent the project to member states, UN agencies, partners, other stakeholders and
<#>Maintain liaison to leverage synergies
with the Global Oceans Forum, CTI and
donors to promote implementation at the regional and national levels as well as to
project coordination team leaders;¶
promote overall understanding at the global level and raise awareness, participation and
<#>Harmonize development of GEF-
funding for sustaining benefits of the project and its component programs;
IW:LEARN work plan and budget in
conjunction with the Inception Workshop
e. Lead cooperative efforts for the participation and contribution of relevant GEF IW
and coordinate implementation,
partners and stakeholders, including UN agencies and programmes, other
monitoring, reporting and evaluation;¶
intergovernmental organizations, non-governmental organizations, private sector, and
<#>Prepare quarterly project reports and
related results-based reporting to the
other related organizations as relevant in GEF-IW:LEARN activities;
PCU, UNDP and GEF in cooperation
f. Assist in developing proposals and funding strategies for sustaining benefits of project
with component partners and the Project
Management Team;¶
activities; and
66
g. Develop linkages and manage transition with donors, activity partners and project
stakeholders to GEF-IW:LEARN III project.
B.
Knowledge Management Specialist
The KM and Technical Officer will provide both programmatic and project management assistance to the
PCU, including leadership in managing some project activities and administration, as well as support to
senior staff to fulfill GEF IW:LEARN's operational needs. The KM and Technical Officer will thus help
the project to realize outputs of its core activities under various project activities. The KM and Technical
Officer will also assist the day-to-day operations of the PCU from relevant duty stations, particularly with
respect to technical services, procurement, communication and coordination with personnel and partners.
Programmatic Responsibilities:
Lead on a subset of GEF IW:LEARN activities and sub-activities, team maintenance, output
dissemination, M&E and project management, including but not limited to
· Collaborative website development: Manage the relevant subcontract for the activity, contribute to its
design, ensure the utility of the deliverable, contribute content and help maintain the overall website,
help manage and encourage participation in emergent communities of practice
· Organization of the 5th GEF Biennial International Waters Conference: Preparation and support for
the IWC5 (Cairns 2009), including assistance with development of TORs & evaluation materials and
liaison with organizers, support for participants, sessions, databases, etc.
· Support to the CTI regional learning process: Facilitate integration of the CTI regional learning portal
with www.iwlearn.net.
· Stakeholder learning exchanges: Supply direct assistance to GEF projects, assessing specific
capacity-building needs of GEF IW projects, including identification of potential learning exchange
activities and/or partners to address their needs. Facilitate the logistics of learning exchanges.
· Development of GEF IW Experience Notes: Market the IWEN program to GEF IW project
stakeholders, encourage and facilitate the production of IWEN's, edit and disseminate IWEN's
Programmatic and administrative support for other IW:LEARN Components and Activities, such as
· The GEF IW leadership learning program;
· Pre-IWC5 Pre-Conference Targeted Workshops;
· Inclusion of GEF IW projects in global for a;
· Tracking GEF IW project contributions to Millennium Development Goals;
· Liaison and collaboration with the UNEP IW:LEARN PCU (IW-IMS, helpdesk, training), including
response to projects' information requests, fielding or referring (and logging with UNEP) research
related to helpdesk functions within the ability of the PM to address; and
· Help maintain content of www.iwlearn.net. Ensure the addition of high-quality and IW-pertinent
records (metadata on project-related documents, IW training materials, conference presentations,
other information resources) to address priority needs of regional and global GEF IW communities.
Assist UNEP with requests for updates.
Component 3:
The team for the regional technical assistance (RETA) will be supervised by the natural resources
economist of the Asian Development Bank (ADB) to whom the task is assigned, and managed by a
67
project team leader. The team, which will operate from the ADB headquarters in Manila, will consist of
the following:
(i)
Regional Cooperation Specialist/Marine Management Specialist/Team Leader
(ii)
Knowledge Management & Communications Specialist
(iii)
Environmental Economist
(iv)
Local experts (to be defined at Inception, but include Marine Scientist and Information
Technology Specialist)
A.
Regional Cooperation Specialist/Marine Management Specialist/Team Leader
(International 16 person months)
Under the overall direction and guidance of ADB's natural resources economist assigned to manage the
project, the Regional Cooperation Specialist/Marine Management Specialist will provide leadership to the
ADB/GEF-funded CTI management group with responsibility for achievement of the project objectives
within the set timetable. Specifically, the Regional Cooperation Specialist/Marine Management
Specialist/Team Leader will be responsible for:
(i)
In conjunction with the CTI Secretariat and the national focal points for CTI, plus key
stakeholders, assist in finalizing the CTI RPoA, developing detailed actions, and bringing
up to date scientific knowledge and international best practice on coastal and marine
management into the decision making process related to regional and national action
plans;
(ii)
In conjunction with other development partners and the CTI Secretariat, review current
assessments of institutional capabilities in relation to knowledge management, regional
coordination, and strategic planning, conduct additional assessments if necessary, and
provide direct assistance, where possible, and//or linkages to other sources of institutional
strengthening assistance;
(iii)
Provide proactive linkages between the institutional strengthening activities of all ADB
GEF-funded CTI projects to avoid duplication or overlap of effort;
(iv)
Develop site selection criteria, data collection protocols and a common format for
preparation of pilot projects and work with CTI national focal points, the NGO
consortium and other stakeholders to develop at least five pilot project proposals;
(v)
In conjunction with GOF and IW:LEARN identify suitable training and portfolio learning
opportunities for key staff of the CTI countries, facilitate their participation, and monitor
the training outcomes for adjusting peer-to-peer learning and targeted training
opportunities in subsequent years;
(vi)
Assist ADB in selecting and supervising an NGO partner to carry out at least five
workshops bringing global best practice to bear on CTI implementation activities and
institutional strengthening at local level; and
(vii)
Develop the terms of reference for and commission a research study, by a reputable
institution, on long-term sustainable financing opportunities for the CTI, including an
analysis of existing financing arrangements, current shortfalls, and the extent to which the
CTI is expected to meet those shortfalls.
B.
Knowledge Management & Communications Specialist (Local 24 person months)
Under the overall direction and guidance of ADB's natural resources economist assigned to manage the
RETA and the Team Leader, the Knowledge Management Specialist will be responsible for the
following:
68
(i)
Assess the existing arrangements for knowledge management in the CTI, with particular
emphasis on the US-funded CTI PIP and plans to transfer the PIP to the CTI Secretariat,
the IW:LEARN communities of practice, and the GOF working groups on policy;
(ii)
Examine the technical and institutional constraints impeding integrated information
management systems in the coastal and marine management domain, particularly in the
CT, and propose practical solutions for consideration by webmasters and relevant
knowledge management staff at local, national, regional, and global levels;
(iii)
Work with knowledge management staff in the CTI Secretariat, national focal points, the
US CTI Program Integrator, UNDP, IW:LEARN, GEFSEC, and GOF to ensure that up to
date, accurate knowledge and global best practice is available to all implementing
partners in the CTI;
(iv)
Ensure that CTI knowledge management systems make relevant information on baseline
assessments, coral reef and associated habitats surveys, implementation plans, economic
assessments, innovative financing, and project implementation reviews, and other CTI
program outcomes available to global communities of practice and GOF working groups;
and
(v)
Assist the CTI Secretariat and other implementing partners to address problems arising in
relation to knowledge management and propose appropriate solutions on an as needed
basis.
C.
Environmental Economist (Local 20 person months)
Under the overall supervision of ADB's natural resources economist assigned to manage the project and
the Marine Scientist/Team Leader, the Environmental Economist will be responsible for:
(i)
Reviewing global research on the valuation of coral reefs and associated habitats with a
view to providing decision makers with a better understanding of the economic benefits
of protection of marine and coastal resources;
(ii)
Collecting evidence from within the CT countries of work done on PES and making that
available through IW:LEARN and other information portals for the information and use
of CTI and global marine and coastal resource managers;
(iii)
Conducting and/or supervising additional research on the likely economic impacts of
climate change on coral reefs and associated habitats and assisting in regional and global
training on this and related topics;
(iv)
Assisting the Marine Scientist to develop the terms of reference for and commission a
research study, by a reputable institution, on long-term sustainable financing
opportunities for the CTI, including an analysis of existing financing arrangements,
current shortfalls, and the extent to which the CTI is expected to meet those shortfalls;
and
(v)
Managing the provision of other relevant economic information to the ADB GEF-funded
CTI projects and ensuring that all CTI projects access up to date information on the
economic costs and benefits associated with the current and future damage to coral reefs,
mangroves, seagrass beds and other coastal and marine habitats.
B.
Marine Scientist (Local 16 person months)
(TORs to be developed during the Design Phase consultation).
C.
Information Technology Specialist (Local 12 person months)
69
The Information Technology Consultant will work with the KM Specialist and Communications
Consultant to advise on technical considerations in relation to linking and populating CTI and PAS
websites with information relevant to the IW:LEARN/CTI project. Key activities will include:
(i)
Review and provide advice on existing systems and web protocols used by the US CTI
Program Integrator Portal, IW:LEARN, UNEP's eKH, World Conservation Monitoring
Centre, World Water Forum, and other relevant portals and websites;
(ii)
Provide technical inputs on draft protocols to ensure that all knowledge and experience
sharing information relevant to the CTI and IW:LEARN is collected, stored with
permanent links, and widely disseminated; and
(iii)
Populate the CTI and PAS websites with initial information relevant to IW:LEARN/CTI
projectfull-sized GEF project.
F. Other
Local
Consultant
(Local 10 person months)
Independent individual consultant(s) will be engaged on an intermittent basis to undertake analysis and
prepare reports as required to meet the requests of the CTI countries.
Component 4:
A.
Team Leader/Programme Manager/Marine Resource Management Specialist
Under the supervision of the UNDP-RCB, the Team Leader/Programme Manager/Marine Resource
Management Specialist will be responsible for:
(i)
Assisting ADB, GEF, UNDP, UNOPS and co-financiers to supervise and monitor
implementation progress of the IW:LEARN/CTI project, prepare regular updates on
progress, and present the results achieved at key GOF, IWC, and CTI meetings, such as
the Senior Officials Meetings, ministerial meetings, and development partners meetings;
(ii)
Working with the NGO consortium, CTI Secretariat, US CTI Program Integrator and
other development partners to finalize the list of performance indicators for CTI and the
monitoring and evaluation system, including concrete plans for ensuring that monitoring
and evaluation results are loaded onto relevant portals and linked to IW:LEARN, with
international waters experience notes (IWEN); and
(iii)
Supervising the work of the other team members, to ensure quality control and timely
delivery of agreed outputs, and to provide guidance as necessary.
Project Implementation Coordinator
Under the overall direction and guidance of UNDP-RCB and the Team Leader, the Project
Implementation Coordinator will be responsible for the following:
(i)
Under supervision of the Team Leader, undertake the necessary measures to facilitate
implementation of the IW:LEARN/CTI project including finalizing detailed budgets for
each component, assisting in writing terms of reference for consultants and research
studies, drafting contracts, working with UNOPS, UNDP and ADB to ensure timely
release of funds, monitoring project expenditure and payment claims, verifying expenses,
and facilitating payments to contractors;
(ii) Conduct at least annual on-site inspections to make sure that all IW:LEARN/CTI
activities are being undertaken in accordance with the UNDP ProDoc and ADB's RETA,
70
to investigate any problems with implementation by any of the project partners, and
propose appropriate remedies to the respective implementing agency;
(iii) Prepare regular progress reports on implementation by consolidating inputs from each
component, indicating the contribution that the IW:LEARN/CTI project is making to
other relevant projects and policy processes;
(iv) Assist in the mid-term review of the IW:LEARN/CTI project, with a mid-term project
performance report according to ADB and UNDP project implementation review formats;
(v)
Identify any major implementation difficulties through the course of the IW:LEARN/CTI
project and propose appropriate remedies to the project implementation team(s) involved;
(vi) Assist the project auditors in making annual audit reports on financial performance of the
project; and
(vii) Prepare a terminal report at the end of the project (2011-2012) in accordance with ADB,
UNDP, and UNOPS requirements.
71
PART IV : Stakeholder Involvement Plan
Table 5 Stakeholder Analysis and Plan
Stakeholders
Long-term Involvement of
Impacts on Beneficiaries and/or
Stakeholders
Vulnerable Groups
1. Government officials who contribute
All stakeholders need to be
For all stakeholders, the benefits that
necessary policy authority and
systematically engaged in stakeholder could be derived from participation in the
perspectives from various disciplines and
processes and decision-making.
project activities include: (i) improved
institutions
understanding of other stakeholders'
The challenge for government
viewpoints and interests; (ii) greater
2. Intergovernmental officers who
officials and intergovernmental
access to information; (iii) building of
contribute broad perspectives from
officers is for them to effectively
working relationships and trust; (iv)
various disciplines
engage in stakeholder processes and
enhanced ability/opportunity to address
to develop capacity to integrate the
specific problems and issues that impede
3. NGOs which address gaps when
outcomes of stakeholder deliberations the implementation of the global oceans
formal processes in place to address
into existing decision-making
agenda and reach consensus.
problems are inadequate/ineffective.
processes.
They contribute information, expertise,
Government and intergovernmental
and funding support, carry out education
The long-term goal for scientists is
agencies will enhance their ability to
and outreach, and organize stakeholder
for them to develop relationships with improve performance based on new data
deliberations.
other stakeholders that are iterative
and information derived from stakeholder
and interactive to ensure that existing
dialogues, including information on best
4. The private sector that can contribute
scientific knowledge is effectively
management practices.
its perspective on specific issue areas
used.
especially on compliance and
Private companies will obtain information
enforcement that impact the
and insights from other stakeholders that
sustainability of specific uses and the
can help them in adjusting their business
continued health and viability of
processes for better outcomes, including
resources on which specific uses depend.
goodwill and promotion.
Private companies can also provide
funding and other forms of support for
Scientists will benefit by gaining insights
interventions, such as data and facilities
as to the information gaps that need to be
as well as models of notable
filled in appropriate formats, including
environmental performance.
input for scientifically rigorous risk-based
decision-making as well as for
5. The science community which can
stakeholder-based deliberations.
provide accurate input for informed
policy development and formulation of
The public eventually benefits from the
management practices.
improvement in the status of the marine
environment and its resources,
6. Media and other members of the
specifically by the continued provision of
public outreach sector, including
goods and services derived from ocean
museums and aquaria, which disseminate
and coastal areas, as a result of improved
key messages on oceans through various
decision-making arising from stakeholder
media and approaches that help stimulate
dialogues. This is particularly important
desired behavioral changes among the
for people who live in coastal areas that
public and decision makers.
are vulnerable to climate change impacts,
especially women and children.
7. The public in general, if well informed
and empowered, who provide support in
mobilizing the development of
appropriate policies and best
management practices.
Component 1 - The GOF and partners have emphasized the importance of increasing public awareness of
the global agenda on oceans, coasts, and islands. Since 2002, the Global forum has enjoyed a close
collaboration with NAUSICAA (Centre National de la Mer, France), also the organizer of the WON, the
network of more than 250 museums, aquaria, and ocean learning centers around the world, and with the
72
WOO. The GOF will collaborate with the WON, the WOO, and other groups specializing in public
outreach to craft and disseminate messages to the public to promote appropriate individual and social
behavior toward the oceans, in conjunction with the world's museums and aquaria. It should be noted
that the GOF was endorsed at the International Aquarium Congress in Shanghai, China, October 2008.
In 2009, this work will be especially devoted to Oceans and Climate to coincide with the GOF's efforts
associated with WOC2009 and the UNFCC negotiations. A series of public-oriented briefings focused
on the oceans/climate priority areas to be covered at WOC2009 will be prepared and widely disseminated
in print form as well as in state-of-the-art videos.
Component 2 IW:LEARN is founded on a mandate of KM service to every project in the GEF IW
portfolio and engages in outreach through the GEF, its agencies and directly with all project managers,
and to government counterparts and other stakeholders and partners on a project by project basis. All
portfolio learning activities are demand-driven and participative in both design and execution, usually
involving cost-sharing from beneficiary institutions, which can be invoked as a proxy for the value placed
by stakeholders in GEF IW project regions on involvement in GEF IW:LEARN-supported activities.
After 15 years of investment in foundational projects, many transboundary basins and LMEs have put in
place the political architecture of regional cooperation and are increasingly concerned with engagement of
stakeholders at the regional level to establish sustainable support for regional institutions (for example
public and private sectoral actors with interests at the basin scale), at the national level to enable
harmonization of legal and regulatory frameworks, and at the sub-basin and community level (extending
public awareness and participation through NGOs, community-based organizations and local champions)
and to increase inclusivity of the poor, marginalized and especially indigenous peoples (through gender
mainstreaming, incorporating climate change adaptation and MDGs under a comprehensive security
framework). IW:LEARN is also responsive to deficiencies which may not always be recognized by
projects but have been identified through GEF and agency monitoring and evaluation processes, in which
IW:LEARN activities assist projects in engaging a broader stakeholder base. A prime example is the
finding that IW projects tend to underperform when assessed on gender mainstreaming; hence
IW:LEARN strives to consistently model and promote gender mainstreaming in all activities and
interactions with projects including provision of technical assistance through portfolio learning.
Mechanisms such as the IWC, CoPs, stakeholder exchanges, and IWENs are all designed to enlarge and
sustain GEF IW project stakeholder participation--both as contributors and as beneficiaries--in locally
relevant knowledge sharing among peers within and between GEF IW project regions.
Part V to X : OTHER ADDITIONAL INFORMATION AS REQUIRED BY THE SPECIFIC
FOCAL AREA, OPERATIONAL PROGRAM, AND STRATEGIC PRIORITY . Please consult the
UNDP-GEF Regional Coordinator or the UNDP-GEF Intranet for more details.
73
SIGNATURE PAGE
[Note : leave blank until preparing for submission for CEO endorsement]
Country: ___________________
UNDAF Outcome(s)/Indicator(s):
_____________________________________
(Link to UNDAF outcome. If no UNDAF, leave blank)
Expected Outcome(s)/Indicator (s):
_____________________________________
(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:
_UNOPS
________________
(designated institution/Executing agency)
Other
Partners:
_________________________
_________________________
Programme Period:_2009-2012
Total budget:
3,664,000
Programme Component: Natural Resources Management
Allocated resources:
____________
Projec
t Title: Portfolio Learning in International Waters with a
·
GEF
1,700,000
Focu
s on Oceans, Coasts, and Island and Regional Asia/Pacific
and
Coral Triangle Learning Processes
·
Co-financing
ATLAS Project ID: 00070147
·
Muti-Donors
1,934,000
PIMS Pr oject ID: 4164
Projec
t Duration: 4 Years
Mana
gement Arrangement: UNOPS
AGREED BY UNDP RESIDENT REPRESENTATIVE / UNDP DIRECTOR:
Name, Position
Signature
Date: Month, day, year
Yannick Glemarec
UNDP-GEF Executive Coordinator
Vitaly Vanshelboim
Deputy Executive Director
UNOPS
74
Annex 1
Report from
The International Roundtable Meeting for the 2009 World Ocean Conference
30-31 October 2008, Bintan, Indonesia
Introduction
The International Roundtable Meeting for the 2009 World Ocean Conference took place in Bintan,
Indonesia from 30-31 October 2008. The meeting was co-organized by the Government of Indonesia and
the Global Forum on Oceans, Coasts, and Islands. Government of Indonesia hosts included the
Directorate General of Coastal, Marine and Small Island Affairs, Directorate General of Laws and
International Treaties, and the Agency for Marine and Fisheries Research. The objectives of the
Roundtable Meeting were to provide expert and multi-stakeholder perspectives on addressing important
issues related to the World Ocean Conference, specifically by:
1. Reviewing the draft Manado Ocean Declaration and developing the document further to reflect the
concerns and goals of the world ocean's community;
2. Discussing the format of the World Ocean Conference meetings, including which Working Groups
need to be established to support the development of the Conference; and
3. Organizing the Global Ocean Policy Day.
The World Ocean Conference 2009 (WOC 2009) will take place in Manado, Indonesia from May 11-15,
2009. The WOC will bring together Ministers, high-level government officials and representatives from
international organizations from around the world to focus on three major themes: the implications of
climate change for the world's oceans and coastal communities, the role of the oceans in climate change
phenomena, and the need for mitigation and adaptation measures to climate change. The formal goal of
the Conference is to produce the Manado Declaration, which will set forth a strong commitment by
governments to implement measures addressing the role of the oceans in regulating climate change and
the importance of protecting the oceans as an effort to mitigate and adapt to climate change.
The Global Forum is co-organizing with the Government of Indonesia and UNEP the Global Ocean
Policy Day, to be held during the Conference. The Policy Day will have keynote presenters and
workshops which focus on the key themes of the conference, allowing for a dialogue amongst the
participants and further development of the emerging outcomes of the Conference.
A group of international experts reviewed the draft Manado Declaration and discussed the format of the
World Ocean Conference, and the organization of the Global Ocean Policy Day. The following report
provides a summary of their comments and input.
Summary of Comments from International Experts Group
(a) Manado Declaration
General Approach - The group thought the current draft an excellent starting point, and that the
Indonesian Government should receive much credit in bringing together oceans and climate change under
75
the World Ocean Conference (WOC) initiative. However, for the initiative to have maximum impact, the
experts group recommended that the focus and purpose of the current draft of the Manado Ocean
Declaration needed to be clarified and re-focused.
The group considered that it would be much better to use the Declaration to advance the oceans and
coasts agenda in the context of climate change discussions, rather than going into specifics of the climate
change debate, which is where the current draft of the Declaration was focused. This re-orientation
towards oceans and coastal issues would enable Indonesia to attract the right (oceans and coasts)
Ministers to Manado, and in sufficient numbers, and avoid conflict with the United Nations Framework
Convention on Climate Change (UNFCCC) process.
Substantively, the group of experts suggested that the following key points and thinking should determine
the content and purpose of the Declaration and indeed the WOC overall:
- There is a pressing need to bring oceans and climate change agendas together;
- Coastal populations are particularly vulnerable to problems of climate change and adaptation is a
pressing issue;
- If oceans and coasts are not properly managed then the negative impacts of climate change will be
exacerbated;
- At the same time, the oceans and coasts community already has agreed processes and policies centered
on ecosystem-based and integrated ocean and coastal management;
- These processes and policies are ready and available to tackle climate change issues, notably adaptation;
- The pressing logic, therefore, of the Declaration and the WOC should be to reaffirm political
commitment to the existing agenda as essential to being ready to adapt to climate challenges;
- This approach, moreover, would enable the Declaration and the WOC to make the argument for
additional political and donor support for oceans and coasts policies in a way which is complementary to
the UNFCCC process, and consistent with a range of existing political commitments, for example, on
integrated coastal zone management. In this regard, the WOC would be able to bring real urgency to
implementing the oceans and coastal commitments already agreed to by the international community,
especially the World Summit on Sustainable Development (WSSD) targets as well as the Millennium
Development Goals related to oceans and coasts.
Content of Declaration - Following on from the logic set out above, the international experts group
advanced the following key building blocks around which the wording of the Declaration could be
constructed:
- a vision linking oceans and climate change and concern about its impacts, not least the added urgency
which climate change brings to tackling marine and coastal ecosystem decline on which so many people
around the world depend on;
- political commitment to existing processes and mechanisms such as integrated ocean and coastal
management, and regional seas processes, as well as the Bali Road Map, the Mauritius International
Strategy for the Implementation of the Barbados Programme of Action for the Sustainable Development
of Small Island Developing States, and the Beijing Declaration on Furthering the Implementation of the
UNEP Global Programme of Action for the Protection of the Marine Environment from Land-based
76
Activities;
- enhanced cooperation and coordination of efforts to implement these processes by stressing the urgency
of climate change and the benefits of action through the oceans and coasts agenda (as outlined in the
Declaration)
This approach would provide a logical link to the crucial issue of funding, and would assist Ministers in
that it makes the existing mechanisms a focus of activity rather than trying to create new ones. The group
pointed out in this context that the mechanisms that exist within UNFCCC should be used and could
incorporate the oceans if an effective case is made under the Declaration.
(b) Follow up to Manado
The group emphasized the importance and uniqueness of bringing oceans and climate change together
and that this in itself would represent a major achievement.
The group stressed that it was important not to diminish this potential achievement by developing a
separate WOC process, since real added value would be obtained by using existing processes and getting
support of those processes. Indeed, the process of linking oceans and climate change had been started at
the 4th Global Conference on Oceans Coasts, and Islands held in Hanoi, Vietnam, on April 7-11, 2008,
which was organized by the Global Forum on Oceans, Coasts, and Islands. It would be very helpful,
therefore, for the WOC to build on this. An attractive option which would get support of other countries
and donors would be to work with the Global Forum over a 5-year cycle, taking into account the UN
Commission on Sustainable Development review of the oceans agenda in 2014-2015.
The group pointed out that the Global Forum, with support from the Global Environment Facility and
other national and international partners, has been moving towards a model similar to the World Water
Forum, which has mobilized international attention on water resources management. An excellent option
would be for the Indonesian Government to organize a Ministerial Segment during the 5th Global Oceans
Conference in April 2010.
Finally, the group drew attention to the possibility of oceans and climate change being discussed at the
2009 meeting of the UN Informal Consultative Process on Oceans and the Law of the Sea (ICP-10),
which would facilitate the insertion of language on oceans and climate change into the 2009 annual UN
oceans resolution. This might be of interest to Indonesia in terms of positioning the WOC and securing
international recognition.
(c) Structure of the WOC and the Global Oceans Policy Day
The group was very grateful for the explanation of the structure of the WOC and the efforts of the
Indonesian Government to organize an exciting Conference. Generally, the group considered that it would
be helpful to have further clarity about how the different components of the meeting would be linked.
Along with briefing and outreach to Embassies, this would assist officials in other countries to getting
Ministers to attend. Time is now short before the WOC, and Ministers would need to be clear about the
added value of their participation. In presenting a clear linkage among the WOC components, it is
important to get the focus of the WOC right as outlined above. In this way Ministers would see
themselves as bringing real urgency and commitment to advancing the oceans and coasts agenda. The
work done before and at the Hanoi Conference would be very helpful in making the case.
On the structure of the Global Ocean Policy Day, a possible approach would be:
77
·
Introduction
·
From Hanoi to Manado
·
Oceans and Climate: Mitigation/Adaptation
·
Adaptation Financing
·
Modes of Adaptation and Mitigation
·
Consensus and Proposals on Specific Oceans/Climate Issues.
Key themes and issues which might be developed within this structure would be:
·
Putting ocean/climate issues in the climate negotiations and vice versa
·
Understanding and developing policy responses to global ocean changes ocean warming, ocean
acidification, changes in currents, changes in polar regions, etc.
·
Addressing the "climate divide" and promoting international commitments and funding mechanisms
to respond to the differential effects of climate change on different regions and peoples
·
Encouraging a wide range of adaptation efforts (soft, hard, floating)
·
Properly managing mitigation efforts that use the oceans, including carbon storage and sequestration
and iron fertilization
·
Encouraging alternative forms of energy using the oceans (wind power, tides, currents, etc.)
·
Managing air pollution from ships (monitoring and reporting on efforts well underway at the
International Maritime Organization).
Both UNEP and the GEF put forward the idea of there being two panels during the day, which their
executive directors could chair and which would attract Ministers, key scientists, and other stakeholders.
Ecosystem services valuation could also be an interesting theme for a discussion group or panel.
Discussion was concluded by agreement that a small group of experts and a representative of the
Indonesian Government should be convened by the Global Forum to map out how the Global Ocean
Policy Day might be structured, and possibly linked to the other days of the Conference.
Participants
John Ackerman, Counsellor, Australian Embassy, Jakarta
Etty Agoes, Director, Indonesian Center for the Law of the Sea (ICLOS), Indonesia
Emil Agustiono, Deputy Coordinating Minister for People's Welfare, Indonesia
Jacqueline Alder, Director, Marine and Coastal Branch, Division of Environmental Policy
Implementation, UNEP
Ir. Amarsyah, Special Advisor to the Minister of Marine Affairs and Fisheries, Indonesia
Turyawan Ardi, Coastal and Marine Environment Degradation Control, State Ministry of Environment,
Indonesia
Miriam Balgos, Program Coordinator, Global Forum on Oceans, Coasts and Island, Gerard J. Mangone
Center for Marine Policy College of Marine and Earth Studies, University of Delaware, USA
Dietriech Bengen, Faculty of Fisheries and Marine Science, Bogor Agriculture University, Indonesia
Ir. Agus Apun Budhiman, Inspector IV, Inspectorat General, MMF, Indonesia
Biliana Cicin-Sain, Co-chair and Head of Secretariat, Global Forum on Oceans, Coasts, and Islands, and
Director, Gerard J. Mangone Center for Marine Policy, College of Marine and Earth Studies,
University of Delaware, USA
Anjan Datta, Programme Officer, UNEP/GPA
Jose Andres Diaz, Assistant Director, Protected Areas and Wildlife Bureau, Department of Environment
and Natural Resources, Philippines
78
Hasyim Djalal, Ambassador, Senior Advisor to the Minister, Department of Marine Affairs and Fisheries,
Indonesia
Al Duda, Senior Advisor (International Waters, The Global Environment Facility (GEF)), USA
Akhmad Fauzi, Bogor Agriculture University, Indonesia
Ir. Syafril Fauzi, Secretary of Directorate General of Fisheries Product Processing and Marketing,
MMAF, Indonesia
Vladimir Golitsyn, Judge, International Tribunal for the Law of the Sea (ITLOS), Professor of
International Law, Moscow State Institute of International Relations (MGIMO-University), Ministry
for Foreign Affairs, Russian Federation
Cecep Herawan, Deputy Director, Department of Foreign Affairs, Indonesia
Tommy Hermawan, Deputy Director Marine and Fisheries, National Development Planning Agency,
Indonesia
Ir. Bambang Herunadi, Head of Program Division, Agency of Marine and Fisheries Research, MMAF,
Indonesia
Ir. Saut P. Hutagalung, Director, Foreign Market Development, MMAF, Indonesia
Takashi Ichiota, Ocean Policy Research Foundation (OPRF), Japan
Wahyu Indraningsih, Assistant Deputy Minister for Coastal and Marine Environment Degradation
Control, State Ministry of Environment, Indonesia
Venu Ittekkot, Director, Leibniz Center for Marine Tropical Marine Ecology, Germany
Gellwynn Jusuf, Chair of the World Oceans Conference National Committee Secretariat, and Advisor to
the Minister of Marine Affairs and Fisheries, Indonesia
Gerhard Kuska, Good Harbor Consulting, UAE
Ir. Ida Kusuma, Director of Marine and Coastal Affairs, Directorate General of Marine, Coasts and Small
Islands Affairs, MMAF, Indonesia
Sergei Lobanov, Counsellor, Embassy of Russia Jakarta, Russian Federation
Raphael Lotilla, Executive Director, PEMSEA
M. Syamsul Maarif, Director General of Ocean, Coast and Small Islands, MMAF, Indonesia
HR Makagansa, Assistant for Governor of North Sulawesi, Indonesia
Purwito Martosubroto, Special Advisor to the Minister of Marine Affairs and Fisheries, Indonesia
Andrew McNee, Department of Environment and Heritage, Australia
Janot-Reine Mendler de Suarez, Deputy Director and Project Coordinator, The Global Environment
Facility International Waters Learning Exchange and Resource Network (GEF-IW:LEARN), USA
Ir. Nuraida Mokhsen, Assistant to Governor of Riau Islands on Economic Development, Indonesia
Asep D. Muhammad, Secretary of Agency of Marine and Fisheries Research, MMAF, Indonesia
Nguyen Chu Hoi, Deputy Administrator, Vietnam Administration for Seas and Islands (VASI), Vietnam
Rolph Payet, Special Advisor to the President, Office of the President, Seychelles
Nilanto Perbowo, Director for Fisheries Resource Management, Directorate General of Capture Fisheries,
MMAF, Indonesia
Ir. Agus Priyono, Head of Center of Fish Quarantine, Ministry of Marine Affairs and Fisheries, Indonesia
Lori Ridgeway, Director General, Policy Division, Department of Fisheries and Oceans, Canada
Syahada Guruh Samudera, Department of Foreign Affairs, Indonesia
Machutmi Shishak, Environment Officer, US Department of State, US Embassy, Jakarta
Caitlin Snyder, Graduate Research Assistant, Gerard J. Mangone Center for Marine Policy, College of
Marine and Earth Studies, University of Delaware, USA
Hiroshi Terashima, Executive Director, Ocean Policy Research Foundation (OPRF), Japan
Chris Tompkins, Independent Consultant, UK
Adam Muliawarman Tugio, Deputy Director, Department of Foreign Affairs, Indonesia
David Vousden, Project Director, UNDP/GEF Agulhas and Somali Current Large Marine Ecosystem,
(ASCLME) Project, South Africa
Gabriel Wagey, Senior Scientist, Agency for Marine and Fisheries Research, Ministry of Marine Affairs
and Fisheries, Indonesia
79
Elvi Wijayanti, Head of Division, Research Cooperation and Communication, Indonesia
Xeyun Xu, Department of International Cooperation, State Oceanic Administration, People's Republic of
China
Weidong Yu, Lab. Ocean-Atmosphere Interaction and Climate Change, State Oceanic Administration,
People's Republic of China
80
Annex 2
Workshop on Governance of Marine Areas Beyond National Jurisdiction:
Management Issues and Policy Options
November 3-5, 2008, Singapore
Executive Summary*
Please see the attached pdf version of the Executive Summary.
* The Executive Summary has been prepared by Miriam Balgos, Caitlin Snyder, Biliana Cicin-Sain, David
Freestone, and Chris Tompkins. The authors take responsibility for any errors or omissions.
81
Annex 3
Details of Proposed Pre-Conference Workshops
1. GEF-UNESCO Marine Ecosystems Workshop in the "Tully Murray" catchments in north
Queensland, Australia
Principal Purposes of HELP program Linked with GEF initiatives
Agricultural development on the floodplains adjacent to the Great Barrier Reef lagoon is believed to have
enhanced the loads of sediment and nutrients to this unique marine ecosystem. The challenge is to reduce
these pollutants loads in a way that is acceptable to the local community whose livelihoods depend on the
agricultural industries. These issues are addressed through an integrated research and natural resources
management program that is developed using wide stakeholder consultation. The program identifies and
carries out key bio-physical, social and economic research that underpins the development and
implementation of the local Tully-Murray Water Quality Improvement Plan. The program would make an
excellent HELP basin contributing to IHP Theme 4: WATER AND LIFE SUPPORT SYSTEMS; Focal
area 4.1: Protecting water quality for sustainable livelihoods and poverty alleviation and IHP Theme 3:
ECOHYDROLOGY FOR SUSTAINABILITY. Focal area 3.1: Ecological measures to protect and
remediate catchments processes.
Collaborating Organisations:
Terrain NRM Natural Resources Management QLD/Australia
http://www.terrain.org.au
Cassowary Coast Regional Council
Local Council QLD/Australia
http://www.cassowarycoast.qld.gov.au
Queensland Environmental Protection Agency Managing climate change and protecting the
environment QLD/Australia
http://www.epa.qld.gov.au
Queensland Dept. Of Primary Industries and Fisheries Supporting profitable and sustainable primary
industries QLD/Australia
http://www.dpi.qld.gov.au
Great Barrier Reef marine Park Authority Protection,
sustainable
use and enjoyment of the Great
Barrier Reef
QLD/Australia
http://www.gbrmpa.gov.au
Bureau of Sugar Experiment Stations (BSES Limited) Research, development and extension to the
Australian sugar industry
QLD/Australia
http://www.bses.org.au
Geographical properties:
Give geographical information e.g. Latitude, Longitude and a map
The Tully-Murray catchments are in northern Queensland, Australia, Figure 1. The combined area of the
Tully and Murray catchments is 2072 km2 of which 40% is within the floodplain boundary. Almost 50%
of the catchment is part of the Wet Tropics World Heritage area and it lies adjacent to the Great Barrier
82
Reef lagoon. The catchment topography varies from steep rainforest covered mountainous areas in the
west, to the low relief floodplain containing agriculture in the east. Nearest the coast there are remnant
wetlands and mangrove swamps.
Figure 1. A schematic map of the Tully and Murray catchments in northern Queensland.
The mean annual rainfall is between 2000 and 4000 mm, depending on the location in the catchment.
Most of the rainfall (60-80%) occurs during the wet season from December to April. The Tully and
Murray Rivers are the two main waterways in this area that flow into GBR lagoon.
Demographic properties:
The Tully-Murray catchment area has a resident population of 11,230 people (2004 census Larson
(2007) . The major towns include Tully (2,558 residents), Cardwell (1,220 residents), Wongaling Beach
(1,097 residents), Mission Beach South and Tully Heads. The population growth rate is 1.7%, with the
fastest population growth in people over 65. Around half of the businesses in the area are in the
agriculture, forestry and fishing sector. Sugar production accounts for the highest percentage of the land
under economic production. Total land area under cane in the Tully Mill area has almost doubled between
1991 and 2001. Earnings from tourism in the area have also doubled between 1999 and 2004.
Give principal land uses
The upper reaches of the catchment are covered with tropical rainforest and this constitutes 71% of the
total catchment area . The remainder of the catchment is low lying floodplain dominated by agriculture;
sugar cane (13%), grazing (5.3%), forestry 93.7%) and bananas (2.7%).
Water resources and uses in the basin:
83
The very high rainfall in the area (2000 4000 mm/annum) means that there is more than ample water in
the catchment for domestic and industrial uses. Total water use is less than 0.1% of annual runoff.
Around 200000ML of water is stored in the Koombooloomba dam in the catchment headwaters. This is
used for hydropower generation (Kareeya Power Station; 84MW) and white water rafting in the Tully
River. Water is not generally used in agriculture as most crops are rain fed.
Policy and legislative properties:
In Queensland, the Water Act deals with water and does not separate surface water from groundwater.
The Act also allows for specifying groundwater and baseflow water as one resource. Consequently, there
is only one water resource plan for a catchment that is to include both surface water and groundwater.
This plan is a regulation. The operational detail about rules, set back distances etc are set out in a
Resource Operations plan.
Water users get one license with the allocation attached. Some of the conditions might vary between
surface water and groundwater to reflect different hydraulics etc. This license applies only to the taking of
a particular volume of water. Conditions for Works to take the water are separate. Works (bores and
pumps) are given a development permit that identifies conditions related to those works such as bore
construction standards, maximum depths etc.
In regard to surface water-groundwater trading: there have been no trades between these sources for
aquifer-baseflow systems. It is unlikely that these would be allowed until there is more certainty (reduced
business risk) in modeling of the processes and hydrologic data/understanding, and consequently into the
modeling of the assessment of the feasibility of the particular trade and the rules for trading in a particular
area.
84
2. GEF-UNESCO Surface-Groundwater Interactions Workshop - The Burdekin Catchment
(Australia)
Principal Purposes of HELP program Linked with GEF initiatives
To support a long-term, strategic, whole of system approach to understanding and managing the Burdekin
water resources and associated systems to deliver long term economic, social and environmental
outcomes that ensure the sustainability of the region. This will be achieved through:
-
Better integration of science, policy, management and community to support implementation
of regional natural resource management plans that deliver social, economic and
environmental benefits
-
Economically viable rural industries that meet government and community expectations in
terms of environmental management
-
Land and water management practices that lead to improved water quality in order to protect
the Great Barrier Reef
-
Land and water management practices that protect the coastal groundwater systems from
pollution by nutrients and agro-chemicals and from salt water intrusion from the ocean
-
Improved ability to manage the impacts of climate variability and climate change on the
water resources and water management options within the catchment
Outline of the HELP programme design and plan
A number of multi-agency/stakeholder related projects have been scoped and are being undertaken with
strong community and multiple organization involvement. Some of the recently proposed and planned
research activities are listed under key HELP areas below (some of the projects fall under multiple HELP
areas).
Hydrology
-
Groundwater flow and seawater intrusion in the lower Burdekin
-
Analysis of likely impacts of various alternative management on the regional water and salt
balance
-
Identification of improved practices for operating and managing the artificial recharge
schemes
Environment
-
Identification of areas at risk from environmental degradation and development of improved
land and water management strategies to minimise these risks
-
Development of improved understanding and management of sediment and nutrient budgets
with a focus on managing potential problems at their source
Livelihood
-
Determination of tradeoffs between on farm productivity objectives and regional and/or end
of catchment environmental targets
-
Studies of the availability of water which would facilitate farm expansion (where appropriate)
and improved production, thereby contributing to economic growth within the Burdekin delta
Policy
-
Improved understanding of the biophysical functioning of the various sub regions within the
catchment in order to support development of more robust policy options
-
Strategies to implement changed land and water management practices that reverse the rising
water table and increasing salinity trends in parts of the lower Burdekin
-
Promotion of ecologically sustainable development principles to ensure the long-term future
of farming operations in the Burdekin delta.
85
Supporting partners and stakeholders
- These include the Lower Burdekin Water Futures (LBWF), Burdekin Dry Tropics NRM (BDT
NRM), Burdekin Bowen Integrated Floodplain Management Advisory Committee (BBIFMAC),
BSES Pty Limited, North and South Burdekin Water Boards (NBWB and SBWB),
CANEGROWERS, Burdekin Shire Council (BSC), CSIRO Land and Water (CLW), CSIRO
Sustainable Ecosystems (CSE) and Water for a Healthy Country (WfHC), James Cook University
(JCU), The Australian Centre for Tropical Freshwater Research (ACTFR), Australian Institute of
Marine Science (AIMS), CRC for Irrigation Futures (CRC-IF), SunWater, Queensland Department of
Natural Resources and Water (NRW), Environmental Protection Agency (EPA), Department of
Primary Industries and Fisheries (DPIF).
- The beneficiaries include irrigated and dryland farmers, graziers, various industries and local
communities dependent on the land and water resources of the Burdekin catchment, and the Great
Barrier Reef and associated fishery and tourist industries.
86
3. GEF-UNESCO Sustainable Groundwater Allocation and Management Workshop - Murray-
Darling Basin, Australia
Principal Purposes of HELP program Linked with GEF initiatives
The Murray-Darling Basin spread over five of its states is vital to the Australian economy. The M-DB's
historical multi-jurisdictional Commission/Council took several policy initiatives including the 1996
monumental decision to cap the surface diversions. Set at historical (1993/94) level) of development, the
Cap is not sustainable. Amid debate over the sustainability of diversions and worst drought in recorded
history, a federal intervention through the Water Act has transformed the century-old multi-jurisdictional
governance to two-stream governance. The federal minister on the advice of an independent Authority,
with community consultation, will set sustainable water diversion limits by adopting a Basin Plan, while
multi-jurisdictional governance continues for the operational matters. Comprehensive assessments of
Basin's water resources and catchments conditions are available and a thorough socio-economic
evaluation of policy options will be undertaken to inform the Basin Plan. The M-D's Basin Plan process
will significantly contribute to promoting all the five HELP themes.
Name(s) of lead sponsoring organization(s):
Murray-Darling Basin Authority: Multi-jurisdictional Basin Management Organization -
http://www.mdba.gov.au/. Address and contact as in 1
CSIRO Land and Water Australia's National Science Research and Development Organisation (Land
and Water Branch) http://www.csiro.au
Mr Tariq Rana (Ph: +61 2 6246 5904 email: Tariq.Ran@csiro.au
GPO Box 1666, Canberra ACT 2601
Bureau of Meteorology Australia's National Weather/Climate Organisation also responsible for the M-
DB water information http://www.bom.gov.au
Mr David Nicholls (Ph: +61 2 6232 3531:email: D.Nicholls@bom.gov.au)
Australian Department of Environment, Water, Heritage and Arts Australia's Federal Government
Department responsible for water management in the M-DB http://www.environment.gov.au
Ms Carolyn Goonrey (Ph: +61 2 6274 2514; Carolyn.Goonrey@environment.gov.au)
GPO Box 787 Canberra ACT Australia 2601
New South Wales (NSW) Department of Water and Energy Basin State department responsible for
water management in the State of NSW http://www.dwe.nsw.gov.au
Mr Paul Simpson (Ph: +61 2 9895 7480; email: paul.simpson@dnr.nsw.gov.au)
GPO Box 39 Sydney NSW Australia 2001
Victoria (VIC) Department of Sustainability and Environment - Basin State department responsible for
Water Management in the State of Victoria http://dse.vic.gov.au
Mr Barry James (Ph: +61 3 9637 9980; email: Barry.James@dse.vic.gov.au)
PO Box 500 EAST MELBOURNE VIC Australia 3002
South Australia (SA) Department of Water Land and Biodiversity Conservation Basin State department
responsible for water management in the State of SA - http://dwlbc.sa.gov.au
Mr Jarrod Eaton (Ph: +61 8 8463 7927; email: :Eaton.Jarrod@saugov.sa.gov.au)
GPO Box 2834 ADELAIDE SA Australia 5001
Queensland (QLD) Department of Natural resources and Water - Basin State department responsible for
water management in the State of QLD - http://www.nrw.qld.gov.au
Mr Jim Weller (Ph: +61 7 4688 1020; email: Jim.Weller@nrw.qld.gov.au)
PO Box 318 TOOWOOMBA QLD Australia 4350
Geographical properties:
87
Location: between latitudes 24.60 S 37.70 S and
Longitudes 152.50 E 138.60 E
Area: 1 million (M) square kilometres (14% of
Australia's area) spread over five states NSW, VIC,
QLD, SA and ACT
Economy: Accounts for 70% of Australia's irrigation
and more than 40% (worth $15 B) of national
agricultural produce
Demographic properties:
Land uses:
Agriculture (mainly livestock production) is the
principal economic activity in the MDB (80% area).
Land use the M-DB summarised in Table 1 below.
Deleted: Table 1
Deleted: Table 1
TABLE 1: M-DB LAND USE 2000
Land use
AREA
Percent
Hectare
Dryland crops
10.5%
11,001,881
Dryland pasture
66.7%
69,970,726
Irrigated crops
1.8%
1,916,256
· Cereals
· 0.4%
467,178
· Cotton
· 0.4%
426,519
· Horticulture
· 0.0%
46,622
· Orchards
· 0.1%
67,912
· Pasture and hay
· 0.8%
820,890
· Vine fruits
· 0.1%
87,135
Native vegetation
20.3%
21,242,551
Plantation forests
0.4%
445,048
Urban
0.3%
276,104
Total 100.0%
104,852,550
Water
943,861
Source Australian Bureau of Statistics 92005)
Surface Water resources and uses in the basin :
The Basin has 20 major river valleys. A recent investigation of the Basin water resources divided into 18
regions for the purpose. The regions are the major tributaries of the M-DB and represent existing river
system models and surface water sharing plan areas. The availability and use of surface water resources
under the historical climate (1895-2006) and median climate change scenario for 2030 are given in Table
2 and the break up of the current use is given in Table 3 below.
Deleted: Table 2
Groundwater
Deleted: Table 2
Deleted:
Groundwater in the M-DB is managed according to `groundwater management units' (GMUs) that are
Table 3
administrative areas. There are 96 GMUs across the MDB of which 20 are considered of high to medium
Deleted: Table 3
priority in terms of the size of the resource, level of use and degree of connection with surface water
systems. The current (2004/05) use of groundwater is 1795 M m3/year (16% of total water use), which is
expected to double to 3528 M m3/year by 2030. More than 75% of current groundwater extraction occurs
in 20 priority GMUs that represent only 15%of the M-DB area. These GMUs have extraction limits 1718
M m3/year.
88
TABLE 2: SURFACE WATER AVAILABILITY AND USE IN MILLION (M) M3/YEAR
Valley/region
Historical climate
2030 Median climate
Availability Use Availability Use
Paroo 445
0
432
0
Warrego 420
52
393
50
Condamine-Balonne 1363
724
1249
693
Moonie 98
34
87
32
Border Rivers
1208
411
1092
403
Gwydir 782
317
703
290
Namoi 965
359
915
358
Macquarie-Castlereagh 1567
371
1450
356
Barwon-Darling 41
230
40
234
Lachlan 1139
321
1012
296
Murrumbidgee 4270
2257
3881
2202
Murray 5211
4338
4614
4157
Ovens 1776
25
1542
25
Goulburn-Broken 3233
1071
2792
1011
Campaspe 275
342
230
325
Loddon-Avoca 285
350
234
330
Wimmera 219
121
173
108
Eastern Mt Lofty Ranges
120
6
99
6
Total 23417
11327
20936
10876
Source: CSIRO Australia (2008)
TABLE 3: BREAK UP OF CURRENT SURFACE WATER USE
Irrigation Rural
stock
Urban Channel
GW Use
Total
& domestic
Losses
Stflow loss
9511 (84%)
80 (<1%)
318 (3%)
1238 (11%)
181 (<2%)
11327
(100%)
89