Revisions to the Project document per GEF Council Comments
on October 1998 Work Programme
Comment from Mr. Hans Peter Schipulle, Council Member Representing
Germany (10/29/98):
"It is not understandable why the "regional emergency response planning" should be limited to non-
hydrocarbon spills. Are hydrocarbon spills left entirely to the discretion of the private sector?
Considering the enormously growing importance of the oil and gas sector in the area during the years
ahead, the likelihood of oil spills will increase. Within the framework of the program, the oil industry
should be talked into (co-?) financing a facility, the task of which would be the constant satellite
surveillance of the Caspian Sea, in order to recognize possible oil spills as early as possible, to
counteract as quickly as possible, and thus to minimize possibly disastrous effects in the case of an oil
spill."
Response: Taking this comment into consideration, and following discussions with the GEF Secretariat,
the "regional emergency response planning" component of the project has been broadened to include the
transboundary aspects and effects of oil spill emergencies, including both the exploration and extraction
phases, as well as the transport phases.
Specifically, the UNDP-GEF project has expanded the activities of the Emergency Response theme to
include regional assessment of contingency planning, emergency response, and sensitive area
identification. The major activities include:
Activity 1. Evaluate regional capacities for effective emergency response, assess regional contingency
plans and regional cooperation, including but not limited to oil and gas sector activities
Activity 2. Prepare risk assessments to identify potential high-risk sources that could represent a major
transboundary threat, along with information on sensitive habitats that need to be protected near those
sources.
In addition, recognizing that the private sector is an important stakeholder in the Caspian Environment
Programme, their involvement has been sought in several components of the GEF project, including the
area of Emergency Response. CEP personnel have already had several productive meetings with the Oil
and Gas Sector working in the region, along with the international banking community which supports
this sector, to secure their active involvement in and support of Emergency Response activities.
Discussions are ongoing regarding co-funding, information sharing, and other cooperation between the
Caspian Oil and Gas Sector and the CEP in the area of Emergency Response.
Implementation Arrangements:
The original project brief had specified the World Bank as Implementing Agency for the Priority
Investment Portfolio (PIP) component. The Implementing Agency partners, in consultation with the
participating governments, have decided to designate UNDP as the GEF Implementing Agency; the
World Bank remains as the project Executing Agency for the PIP component.
The Caspian states, the Bank and UNDP all believe that this option will provide for cost effective
implementation, enable the countries to draw on the Bank's in-house expertise in investment preparation,
and facilitate integration of the investments identified with the Bank's assistance strategy for each
country.
Budget:
The final budget request in the combined three project documents is $8,394,862, a 5% increase over the
original request of $7,991,536 presented in the GEF project brief. The increase reflects final cost
estimates for the various components of the programme.
UNITED NATIONS DEVELOPMENT PROGRAMME
Regional Project with participation from the governments of:
Azerbaijan, Iran, Kazakhstan, Russia, Turkmenistan
Project Budget Numbers:
Summary of UNDP and Cost-Sharing
RER/98/G32/A/1G/31
Project Title:
UNDP:
Current Previous Change
Addressing Transboundary
TRAC (1&2)
Environmental Issues in the
TRAC (3)
Caspian Environment Programme
Other (GEF)
$4,976,041
Project Short Title:
Regional Program
$181,818
CEP
(parallel financing)
Executing Agent:
Cost Sharing:
UNOPS
Government
Implementing Agent:
Financial Inst.
UNDP Third
Party
GEF Implementing Agencies:
UNDP, UNEP
Sub Total
$5,157,859
Project Site:
Baku, Azerbaijan
AOS:
Beneficiary Countries:
SOF 03 (TRAC)
Azerbaijan, Iran, Kazakhstan, Russia,
PPRR $99,521
Turkmenistan
Estimated Start Date: July 1999
SOF 07
Estimated End Date: June 2002
Regional Program
$18,182
LPAC Approval Date: n/a
Other (GEF)
$298,562
Parallel Financing
Government
$1,420,000
EU/Tacis
$6,000,000
HQ PAC Approval Date:
13 January 1999
Program Officer: Christopher Briggs
GRAND TOTAL
$12,994,124
Classification Information:
ACC sector & sub-sector
Primary type of intervention:
0400
0410
DCAS sector & sub-sector
Secondary type of intervention:
Primary areas of focus/sub-focus
Primary target beneficiaries:
Secondary areas of focus/sub-focus
Secondary target beneficiaries:
Brief Description:
This project represents the GEF contribution to the Caspian Environment Programme (CEP), a regional programme funded by
the five riparian countries, GEF, UNEP, UNDP, The World Bank, and other donors. The overall goal of the CEP is
environmentally sustainable development and management of the Caspian environment, including living resources and water
quality, so as to obtain the utmost long-term benefits for the human populations of the region, while protecting human health,
ecological integrity and the region's economic and environmental sustainability for future generations.
The Caspian Environment Programme is being developed as a comprehensive response to the severe environmental problems
facing the region, and is based on extensive consultations with professionals in the regional and international scientific and
resource management communities. The CEP represents a partnership between the Caspian Riparian States, private sector
(specifically the oil and gas industry), all three GEF implementing agencies (UNDP, UNEP, and The World Bank), and the
EU/TACIS, inter alia.
The ultimate goals of the present GEF project are:
1)
The development of a regional coordination mechanism to achieve sustainable development and management of the
Caspian environment through institutional framework, capacity building, public awareness, and stakeholder
involvement;
2)
Completion of a Transboundary Diagnostic Analysis of priority water-related environmental issues for the Caspian
ecosystem; and
3)
Formulation and endorsement of a Strategic Action Programme (SAP) and National Caspian Action Plans (NCAPs) as
the basis for prioritizing actions to be taken, both baseline and additional, on behalf of sustaining the Caspian and its
associated natural resources.
This project document represents the UNDP contribution to the GEF project 'Addressing Transboundary
Environmental Issues in the Caspian Environment Programme'. The total GEF project budget of $8,394,862 is
allocated as follows: UNDP/UNOPS: $5,374,124; UNEP: $614,715; UNDP/PIPP with World Bank Execution:
$2,406,023.
On
Behalf
of
Signature
Date
Name/Title
Governments of:
Azerbaijan
____________________
_________
_______________
Islamic Republic of Iran
____________________ _________
_______________
Kazakhstan
____________________
_________
_______________
Russia
____________________
_________
_______________
Turkmenistan
____________________
_________
_______________
On behalf of:
UNDP
____________________
_________
_______________
UNOPS
____________________
_________
_______________
3
TABLE OF CONTENTS
I. CONTEXT
5
A. Description of the Region and the Subsector
5
B. Host Country Strategies
6
C. Prior and On-going Assistance Directed at the Same Subsector
7
D. Institutional Framework
8
II. PROJECT JUSTIFICATION
9
A. The Problem to be Addressed: The Present Situation
9
1. The Need for a Regional Environment Programme
9
2. The Framework for the Caspian Transboundary Diagnostic Analysis
12
a) Root Causes of Identified Problems
12
b) Priority Areas of Future Interventions
13
B. End of Project Situation
13
C. Target Beneficiaries
14
D. Project Strategy and Institutional Arrangements
15
1. Strategy
15
2. Sustainability
15
a) Private Sector Commitment
17
b) Financial Sustainability
18
E. Reasons for UNDP Assistance
18
F. Special Consideration
19
G. Counterpart Support Capacity
19
III. DEVELOPMENT OBJECTIVE
20
IV. IMMEDIATE COMPONENTS, OBJECTIVES, OUTPUTS AND ACTIVITIES
20
Component I.
Project Coordination
22
Objective IA. Programme Coordination Mechanism
22
Objective IB. Programmatic Support for Caspian Regional Thematic Centres
23
Objective IC. Intersectoral Coordination (including private sector) and Involvement in SAP,
NCAPs and TDA Formulation Process
24
Component II. Transboundary Diagnostic Analysis
25
Objective IIA. Effective Regional Assessment of Contaminant Levels
25
Objective IIB. Assessment of Transboundary Biodiversity Priorities
26
Objective IIC. Effective Regional Information and Data Management
28
Objective IID. Transboundary Diagnostic Analysis
29
Component III. The Legislative Framework and Convention (Component of the GEF project
Implemented by UNEP; refer to UNEP internal project document)
Objective III. Strengthened Institutional, Legal, Regulatory and Economic Frameworks
for SAP Implementation
Component IV. Priority Investment Portfolios (Component of GEF project implemented by
UNDP and executed by the World Bank; refer to UNDP-PIPP project document)
Objective IV. Priority Investment Portfolios for Transboundary Priorities
Component V. Formulation of the SAP and NCAPs
30
Objective VA. Strategies to Strengthen Contaminant Abatement and Control
Policies and Procedures
30
4
Objective VB. Strategies for Sustainable Management of Fish Resources and Other
Commercially Exploited Aquatic Bioresources
31
Objective
VC. Strategies for Integrated Transboundary Coastal Area Planning
and
Management
32
Objective VD. Strategies to Live with Water Level Fluctuations
33
Objective VE. Strategies for Combating Coastal Desertification and Land Degradation
34
Objective VF. Strategies for Sustainable Human Development and Health
35
Objective VG. Regional Emergency Response Actions
36
Objective VH. Public Awareness and Involvement in CEP, SAP and NCAPs
37
Objective VI. Formulation and Endorsement of Strategic Action Programme and
National Caspian Action Plans for Priority Transboundary Issues
38
V. INPUTS
40
A. Government Inputs
40
B. GEF Inputs
40
C. The World Bank Inputs
41
D. UNDP Inputs
41
E. UNEP Inputs
41
F. EU/TACIS Inputs
41
VI. RISKS
41
VII. PRIOR OBLIGATIONS AND PREREQUISITES
42
VIII. INSTITUTIONAL FRAMEWORK, COORDINATION AND ADMINISTRATION
42
A. Institutional Arrangements
42
1. Regional Institutions
42
2. National Institutions
43
3. Project
Implementation
43
B. Coordination Arrangements
43
IX. PROJECT REVIEWS, REPORTING AND EVALUATION
44
X. LEGAL CONTEXT
44
XI. BUDGET
46
A. Budget Lines
46
B. Project Costs
48
C. Budget Description
49
D. Abbreviated Terms of Reference
50
E. Subcontracts
51
ANNEX I
Terms of Reference CEP PCU and Job Descriptions for the PCU Staff
54
ANNEX II
Proposed Structure for Governance, Coordination and Implementation
66
ANNEX III Terms of Reference Steering Committee and Intersectoral Coordinating Function
67
ANNEX IV Terms of Reference Caspian Regional Thematic Centres
69
ADDENDUM Framework for the TDA
ACRONYMS/ABBREVIATIONS 73
5
I. CONTEXT
A. Description of the Region and the Subsector
The Caspian Sea, surrounded by the five littoral countries, is the largest land-locked body of water on
earth. Situated in a natural depression, below mean sea level, it receives water from the Volga, Ural and
the Kura rivers and numerous other freshwater inputs, but has no outlet to the world oceans. Water-
level fluctuations, a natural cyclic phenomenon, have nevertheless had serious consequences for the
region, displacing thousands of persons, destroying investments in industry and infrastructure and
causing severe pollution threats via inundation of nearshore waste sites. The isolation of the Caspian
basin, its climatic and salinity gradients, have created a unique ecological system. Some 400 species are
endemic to the Caspian waters, some of which, notably the sturgeon, are of major economic importance.
Bird life is prolific with large populations during migration, when many birds rest and feed in the
extensive deltas, shallows and other wetlands. Many Caspian biota are threatened by over-exploitation,
habitat destruction and pollution.
The Volga River, the largest in Europe, drains 20% of the European land area and is the source of 80% of
the Caspian's freshwater inflow. Its overall contribution to the Caspian may have diminished somewhat
over the years due to extensive dam construction and its lower reaches are heavily developed with
numerous unregulated releases of chemical and biological pollutants. Although existing data is sparse
and of questionable quality, there is ample evidence to suggest that the Volga is one of the principal
sources of transboundary contaminants to the Caspian.
The Caspian basin is rich in commercially developable hydrocarbon deposits. Production of oil and gas
is significant and new exploration activity is under way. Oil and oil products generate constant traffic
that has been estimated to total approximately 10,000 shipping movements annually. The magnitude of
oil and gas extraction and transport activity thus constitutes a risk to water quality. Underwater oil and
gas pipelines have been constructed or proposed, increasing potential environmental threats.
Commercial activity (fishing fleets, passenger, dry goods and other cargo traffic) utilizes the Caspian
enroute to the Black Sea or the Baltic via the Volga-Don canal system. This combined traffic has a
number of possible impacts on the Caspian's environmental integrity. For example, the Volga-Don
connection poses a threat in the form of introduction of exotic species through ballast waters inter alia,
and stringent measures may be needed to prevent this threat. The traditional Caspian sturgeon fishery
is well-known due to the economic value of Caspian-derived caviar. At its peak, the Caspian supplied
more than 80% of the world's sturgeon stock. In recent years, however, sturgeon landings have
decreased dramatically: from 30,000 tons in 1985 to only 5,672 tons in 1995. A quota system, introduced
together with a temporary ban on pelagic fishing, does not appear to have been effective in reviving the
dwindling fish populations. While fishing methods have clearly become more efficient and overfishing
has occurred, a severe impact on the sturgeon and other anadromous species is thought to arise from the
construction of numerous dams on the Volga and Kura rivers. The latter structures effectively bar fish
from their primary spawning areas. Point and non-point source pollution leads to bio-accumulation of
metals and persistent organic pollutants in the sturgeon from these waters. Poaching, dramatically
increased during recent years, is also a main cause of sturgeon decline.
According to UN data, an estimated human population of approximately 11 million is distributed
around the Caspian shoreline. The main urban centres of population are concentrated on the western
and southern shores. Coastal provinces in Iran and Azerbaijan, in particular, dominate the demography
of the Caspian.
The current annual Gross National Products (GNP) per capita of the Caspian States are: Azerbaijan
US$510; Iran US$1780; Kazakhstan US$1340; Russia US$2740; Turkmenistan US$630.
Principal economic activities in the Caspian basin include fisheries, agriculture, oil and gas production,
and related downstream industries. At their peak, revenues to the riparian countries from sturgeon,
6
including caviar, were as much as US$6 billion annually. Rice, vegetable cultivation and cattle and
sheep husbandry are the prime agricultural activities in the catchment area. Oil exploration and
production are increasing along all shelves of the Caspian by all countries, and are already well
established in the Baku (onshore and offshore) and Tenghiz (onshore) regions. Oil production is
expected to increase dramatically during the next few decades. Accompanying this oil production will
be a significant increase in marine transport. Both crude and refined oil products, as well as goods and
services associated with the oil and gas industry, will be transported both by surface routes and possibly
by subsea pipelines.
B. Host Country Strategies
The Caspian Environment Programme (CEP) is a regional umbrella programme established by the
Caspian littoral states and aided by the international agencies. Born out of a desire for regional
cooperation, expressed through a number of regional agreements, including the Almaty Declaration on
Environmental Cooperation of May, 1994, the CEP was agreed to in June 1995 during a joint mission by
The World Bank, United Nations Environment Programme (UNEP), and United Nations Development
Programme (UNDP). This mission marked the start of a close partnership between the region and the
international community. The mission also cemented the collaborative mechanisms between the GEF
implementing agencies.
As it now stands, the CEP is a regional programme that encompasses all Caspian States and numerous
international agencies, including The World Bank, UNEP, UNDP, the European Union/TACIS
(EU/TACIS), and many others. During meetings held at Ramsar, Islamic Republic of Iran, in May, 1998,
the CEP was launched officially. A Steering Committee has been established, and the Caspian littoral
states agreed that the Concept Paper produced during the previous year in collaboration with The World
Bank will form the basis for the CEP. In addition, UNDP-led efforts towards a Global Environment
Facility (GEF) project for the Caspian focusing on its priority transboundary issues was endorsed by the
Caspian littoral states.
The countries are engaged in a number of national, donor and Implementing Agency (UNDP) financed
activities that are directly or indirectly related to the Caspian; some of these activities represent `baselines'
in the context of the current project. These activities can be summarized as follows:
· All of the countries have or are developing National programmes which address the Caspian
issues; some countries have some form of institutional framework for the protection of their own
coastal and marine environments.
· Each country is elaborating National Environmental Action Plan, which will later produce the State
of the Environment Report, in which a section on the Caspian will be present. These Action
Programmes will specifically address domestic problems;
· With assistance from UNEP, all countries are actively involved in the preparation of the Caspian
Framework Convention on the Protection and Sustainable Management of the Caspian
Environment and its Resources;
· In each country a national data centre and a mechanism for data exchange exist in some form;
· In some countries, with donor support, modern equipped monitoring laboratories have been
established, in other countries monitoring capacities are weak and poorly focused;
· Most of the countries are financing or planning to finance the development of nature reserves,
protection of biodiversity, preparation (if not available) of Red Data books describing endangered
species etc.
· In all the countries, national legislation on the exploitation of bioresources exist, but in most
countries enforcement is lacking. All the countries are cooperating on the development of a regional
legal mechanism.
7
· Each country is putting substantial efforts into the development of its coastal zone, special
regulations have been developed in some countries, and are developing in others.
· Human health issues are of the first priority in most of the countries due to severe problems
occurring in the region. The implementation of regulations and legislation is usually weak.
Governments for the next three years will allocate substantial financing.
· The national emergency response capabilities are poorly reinforced, legislation exists but is
inadequately implemented.
The explicit commitment by each of the five Caspian states and actions they have already undertaken,
are the best indication of the sound foundation for this Programme and a guarantee that the activities
and systems established by the Programme will endure beyond International funding support to it.
C. Prior and On-going Assistance Directed at the Same Subsector
A number of UN agencies have been active in the Caspian region mainly through fact-finding missions
and generating project proposals. These include IAEA, IMO, WMO, UNESCO/IOC, FAO and WHO,
April 1995 Joint Mission and the 1996 TACIS mission, through ongoing activities such as the
preparations for a Framework Convention under UNEP auspices and the National Environmental
Action Plan (NEAP) preparations underway in Azerbaijan and Kazakhstan, and through various
national Programmes in the Caspian countries. To ensure full participation and ownership of the
Programme by the Caspian countries, ongoing consultations through open forum meetings with
Government representatives, district and local officials, and the public are strongly encouraged. In
addition, direct dialogues and negotiations between private sector, non-governmental interests, and
governmental representatives in the region will be an important aspect of the Programme, to generate
undertakings with tangible results. This process can mobilize technical expertise and private capital, and
stimulate cooperative action including contracts that address the key issues facing the Caspian.
During the 1995 Joint Mission, the three participating international organizations and the Caspian
governments agreed that the institution building and strengthening aspect of the Programme would be
developed by UNDP, while UNEP will handle monitoring and the development of a Caspian Ecological
Framework Convention. Initially, The World Bank's role in the proposed joint Programme was to
identify an Urgent Investment Portfolio (UIP) that addresses short-term priorities connected to sea level
rise. The World Bank has subsequently initiated measures to begin work on the Caspian Bio-Resources
Network.
The Project Development Facility (PDF-B) phase of the Caspian Environment Programme was initiated
in October 1997 with the following objectives:
1. To establish an effective Coordination Framework for the Caspian Environment Programme, at
the regional, country-specific and donor agency levels;
2. To identify the elements of a Transboundary Diagnostic Analysis for the Caspian region (e.g.,
Framework TDA); and
3. To prepare a GEF Project Proposal for the further development and implementation of a
Transboundary Diagnostic Analysis and a Strategic Action Programme for the Caspian
Environment.
More specifically the PDF project was responsible for:
1. undertaking a comprehensive review, synthesis and analysis of existing data and information
concerning the sources and fate of transboundary pollution as a building block on which to
design appropriate actions;
2. identifying degraded and threatened habitats, point and non-point pollution sources,
overexploited living marine resources, and exotic species of concern;
8
3. reviewing existing national and regional environmental legislation relating to the Caspian and its
surrounding environment; and
4. providing a framework to strengthen the institutional, legal and regulatory structure in the
Caspian region.
Financial support to-date has included GEF preparatory (PDF-B) funding of $349,920.
As part of the project development process, the countries prepared national reports on the status of the
Caspian ecosystem. Data provided in these reports formed the basis for the preparation of the
Framework Transboundary Diagnostic Analysis. During the PDF-B phase, UNDP consultants (through
Contracts) coordinated the preparation of a Framework Transboundary Diagnostic Analysis (TDA) for
the Caspian, as well as organized and coordinated political and technical meetings.
The Framework Transboundary Diagnostic Analysis (TDA) will serve as the basis for the development
of the TDA and SAP in the full project.
The European Union's Technical Assistance for the Commonwealth of Independent States (EU/TACIS)
Programme has allocated resources for the Caspian environment. In the end of 1996, Lahmeyer
International was selected as a major consultant for the CEP.
During the period from 16 March to 9 April 1998, the Consultants from Lahmeyer International
conducted missions to the four Caspian NIS countries. The overall objective of the country missions was
to assess the institutional basis for operating the Caspian Environment Programme. The intent of the
mission was not limited to visiting only institutions that could potentially host activity centres, but
rather sought to get a full picture of the stakeholders in the region who could contribute to the CEP, their
capabilities and limitations and their view of the situation. Specific objectives of the each country visit
were to:
· Update the littoral states regarding TACIS participation in the CEP as it relates to the overall
coordination of the programme with other donors;
· Assess the institutional capabilities with respect to the implementation of the CEP, including the
networking of the institutions;
· Discuss proposed structure of the CEP with the stakeholders;
· Assess the concepts and ideas of the institutions; and
· Meet with and update TACIS Coordination Units, UNDP and The World Bank representatives in
each country.
D. Institutional Framework
During the May, 1998, Ramsar Interim Steering Committee Meeting, a structure was approved for the
Caspian Environment Programme. Governance is provided by a Steering Committee of donors and
recipient countries. Coordination and project management will take place through the Programme
Coordination Unit (PCU). Implementation will take place through the National Intersectoral
Coordinating Functions and the institutions and agencies contributing to the Caspian Regional Thematic
Centres (CRTCs), which are distributed amongst the five Caspian littoral states.
The Steering Committee of the CEP will be ultimately responsible for overseeing the preparation of
detailed workplans and their monitoring, as well as for overseeing overall project implementation. The
Governments have been requested to ratify the membership in the Steering Committee. The Steering
Committee will include National Focal Points (mostly Ministers or Deputy Ministers), respective UNDP-
GEF and EU/TACIS Programme Coordinators, representatives of the GEF Partners and Donors, and, as
observers, representatives of the NGOs, the cooperating UN Agencies, and the private sector. The
9
Directors of the Thematic Centres will be invited to attend on an ad hoc basis. The Steering Committee
will meet to review the previous year's activities and to approve the workplan and activities.
The Programme Coordination Unit will have individuals housed within it who will work on behalf of
the Steering Committee to coordinate and manage the activities of the CEP. In addition, the PCU may
house project-specific personnel who will have oversight for specific projects funded by various donor
agencies. An agreement taken by the countries in Ramsar has placed the PCU in Baku, Azerbaijan, for
the first three years of the CEP. The PCU began operations under funding by EU/TACIS in July, 1998, in
facilities provided by the Government of Azerbaijan. In July, 2001, the PCU location will be moved to
the Islamic Republic of Iran.
The PCU will be supported by the International Agencies (primarily UNDP/GEF and EU/TACIS) for a
period of three years, following which support will be shared by the Caspian littoral states and the
international agencies as appropriate.
The Intersectoral Coordinating Functions will work to assure Interministerial and Intersectoral
coordination within each country. These functions are well established in some Caspian littoral states,
but new in others.
The Directors of the Caspian Regional Thematic Centres, in close coordination with the PCU, will
convene the Working Parties of the CEP network, to achieve the goals and objectives laid out in the work
plans. The overall work of the CRTCs will be guided by the documents prepared at Tehran and
approved at Ramsar by the CEP Steering Committee in May, 1998. Each CRTC is responsible for
coordination of their specific theme amongst the five Caspian Littoral States; however, as outlined in the
Concept Paper for the CEP, activities within that theme will occur within all five littoral countries.
II. PROJECT JUSTIFICATION
A. The Problem to be Addressed: The Present Situation
1. The Need for a Regional Environment Programme
The Caspian occupies a deep continental depression within the largest catchment basin in Europe (about
3,100,000km2) and is the largest inland body of water on earth. It is situated where southeastern Europe
meets the Asian continent between latitudes 47o07'N and 36o33'N and longitudes 45o43'E and 54o20'E.
Its waters wash the shores of five independent states namely, the Republic of Azerbaijan, the Islamic
Republic of Iran, the Republic of Kazakhstan, Russian Federation and the Republic of Turkmenistan. It
is approximately 1,030km long and its width ranges from 435km to a minimum of 196km. It has no
connection to the world's oceans and its surface level is at the moment around 26.5m below MSL. At
this level, its total coastline is some 7,000km in length, its surface area 386,400km2 and its water volume
about 78,700km3.
The Caspian can be considered as divided into three parts, the northern, middle and southern parts. The
border between the northern and middle parts runs along the edge of the North Caspian shelf (the
Mangyshlak threshold), between Chechen Island (near the Terek River mouth) and Cape Tiub-Karagan
(at Fort Shevchenko). The border between the middle and southern parts runs from the Apsheron
threshold connecting Zhiloi Island in the west with Cape Kuuli in the east (north of Turkmenbashi). The
northern part covers about 25% of the total surface area, while the middle and southern parts cover
around 37% each. However, water volumes in the northern part account for a mere 0.5%, volumes in the
middle part make up 33.9%, while the southern part contains 65.6% of the Caspian waters. These
volumes are a reflection of the bathymetry of the Caspian. As expected, the northern part is very
shallow, with average depths of less than 5m. In the middle part, the main feature is the Derbent
Depression with depths of over 500m. The southern part includes the South Caspian Depression with its
deepest point being 1025m below the surface.
10
Approximately 130 large and small rivers flow into the Caspian, nearly all of which flow into the north
or west coasts. The largest of these is the Volga River that drains an area of 1,400,000km2 into the
northern part of the Caspian. Over 90% of the inflowing freshwater is supplied by the 5 largest rivers:
Volga 241km3, Kura 13km3, Terek 8.5km3, Ural 8.1km3 and Sulak 4km3. The rest is accounted for
by the Iranian rivers and the smaller streams on the western shores, since there are no permanent
inflows on the eastern side.
Apart from the extensive shallows of the northern part, the other two physical features that characterise
the Caspian are the delta of the Volga and the Kara Bogaz Gol gulf. The Kara-Bogaz Gol is situated on
the eastern coast of the Caspian Sea and bites deep into the hinterland. In its natural surroundings it can
be considered to be the largest lagoon in the world, separated from the sea by send bars. Until 1980, one
of the significant evaporative sinks for the Caspian Sea was outflow to Kara-Bogaz-Gol. Historical
outflow for the period of 1900-1979 averaged 15 km3 per year (nearly 4 cm). At the beginning of the 20th
century when sea level was much higher, the strait between the Caspian Sea and Kara-Bogaz-Gol
allowed a flow of 30 km3 of water per year to the smaller basin. During subsequent years, the flow
consistently decreased due to reduced fluvial inflow and sea-level fall. In an attempt to retard any
further drop in sea level, a solid dam was constructed across the strait in March of 1980. This dam
effectively isolated Kara-Bogaz-Gol from the Caspian basin, thus preventing further outflow of water to
the bay. This closure caused more than 40 km3 of water to be retained by the Caspian Sea that
contributed an additional 11 cm to the rising water levels. Thus, the average yearly rate of sea-level rise
increased by 2.5-2.7 cm because of the closure of the Gulf. In September 1984, a spillway was opened in
the dam to permit some discharge of water to the Gulf; in June, 1992, the dam reportedly was completely
removed. This episode reflects the difficulty of anticipating natural variations in the hydrologic cycle
and creating engineering works to counter this natural variability effectively.
The Volga Delta is situated in the Prikaspiisk lowlands covering around 10,000km2 and the apron has a
width of about 200km. A feature of the delta region are the so-called Baer knolls which are hillocks,
between 3m and 20m in height, formed by the action of onshore winds on the river sediments which are
discharged into the delta at a rate of 8 million tonnes per year. Numerous small lakes can be found
between the knolls and there is a complex system of channels with many islets. The Volga-Caspian
shipping canal traverses the delta and is dredged to maintain a depth of not less than 2m.
The Caspian region lies in the centre of the Palaearctic zoogeographical realm and is comprised of two
major biomes cold, continental deserts and semi-deserts in the north and east and, warmer mixed
mountain and highland systems with complex zonation in the southwest and south. There is also a
small area around the Volga Delta in the west, where the temperate grasslands biome is represented.
Caspian living resources reflect the range of climatic conditions that prevail around its perimeter
resulting in a significant degree of biological diversity. This is further enhanced by the existence of
extensive wetland systems such as the deltas of the Volga, the Ural and the Kura rivers and the
hypersaline Kara Bogaz Gol.
The biodiversity of the Caspian aquatic environment is derived from the long history of the existence of
the sea and its isolation, allowing ample time for speciation. The number of endemic aquatic taxa, which
is over 400, is very impressive. There are 115 species of fish, of which a number are anadromous and
migrate from the Caspian up the rivers to spawn. The best known of these are the seven species and
subspecies of sturgeon which have provided a valuable economic resource for over a century. There is
also a Caspian seal, one of only two freshwater seal species that occur worldwide; the other is found in
Lake Baikal.
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Recently, hybridization has occurred between sturgeon from the Black Sea and those in the Caspian.
This phenomenon is possible because of the connection now possible via the Don-Volga Canal. While its
precise effects are currently hard to evaluate, the potential loss of diversity among the sturgeon species is
a cause of serious concern.
Coastal wetlands, including temporary and permanent shallow pans, many of which are saline, attract a
variety of birdlife. Birds are prolific throughout the year in and around the Caspian and their numbers
swell enormously during the migration seasons when many birds patronize the extensive deltas,
shallows and other wetlands. It is at these times that ecologically-motivated visitors could be guided
into carefully selected vantage points and allowed to experience the beauty and the bounty of protected
ecological resources. Such ecotourism, carefully planned and managed, has tremendous potential both
as an income earner and as an excellent mechanism to educate and inform the interested public, whether
they are local or from overseas.
Undeniably, the Caspian environment attracts great interest for a variety of people the world over.
Scientists and technical specialists have been challenged by its unique nature as the largest land-locked
body of water on earth; the petroleum industry has been tapping its oil and gas wealth for decades;
gourmets have extolled the virtues of its caviar throughout history; and, those concerned with ecological
resources have recognized its valued biological diversity and its 400 or so endemic species.
The five States bordering the Caspian also recognize the uniqueness and value of their environment.
They have repeatedly expressed their commitment to protect and manage the vulnerable ecosystems.
Furthermore, they are fully aware of the need for a collaborative regional approach. The Caspian States
also accept that, in protecting the Caspian environment, they are fulfilling an obligation to the global
community, since the unique features and biological resources of the Caspian place it in a world
category.
However, in spite of their commitment and their genuine intentions, the Caspian States have limited
resources. The highest per capita GNP in the region is no more than US$3,500 per year and the average
for the region is US$2,118. In addition to this, some of the Caspian states are burdened with legacies
from previous administrative systems that permitted industrial development, oil and gas production
and export, and other economic activities that pose serious threats to environmental resources. The
situation is exacerbated by the demands made on the States' modest financial resources by the
consequences of fluctuating water levels.
The Caspian region suffers from various contributions to environmental stress:
· human activities in or near the Caspian;
· human activities in the catchments of rivers draining into the Caspian; and
· fluctuations in water level, especially flooding problems due to the high water level and onshore
winds.
The measures that will have to be taken to address the above problems can be either long-term,
integrated and strategic approaches, or short-term emergency responses or a mixture of both
approaches.
Long term, strategic measures are best implemented jointly and coordinated on a regional basis by the
five Caspian littoral states. Short-term emergency measures can be undertaken by individual states as
long as they do not have negative consequences for the other States or for the Caspian environment.
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The need for protection and management of the Caspian environment and its resources has always
preoccupied the Caspian States and since the dissolution of the former Soviet Union (1991), there has
been heightened awareness of such a need. Important milestones in regional cooperation on the Caspian
environment since 1991, include:
· A draft Convention on the Conservation and Utilisation of Bioresources of the Caspian;
· The Baku Resolution of June, 1991;
· The Tehran Communiqué of October 1992;
· The Astrakhan Communiqué of October 1993;
· The Declaration on Environmental Cooperation in the Caspian, Almaty, May 1994;
· The Protocol of the Meeting on Programmes for the Protection of the Environment in the Caspian
Region, Almaty, 1994;
· The report of the joint meeting of the task force and TDA experts, Almaty, 1997;
· National reports on the state of the Caspian, 1998;
· Report of TDA Experts Meeting (including Framework TDA), Tehran, April, 1998; and
· The decisions of the First meeting of the Interim Steering Committee of the CEP, Ramsar, 1998.
2. The Framework for the Caspian Transboundary Diagnostic Analysis
During the project preparation phase, the Caspian countries, with GEF and other donor support, agreed
on the priority transboundary issues that should be considered under the SAP. The final priority setting
will be determined through the TDA formulation process. The final list is expected to include several of
the following issues identified in the PDF-B phase:
· Degradation of biodiversity, loss of coastal habitats, loss or imminent loss of endangered species
and their genomes;
· Possible accidental introduction of exotic species (e.g., via shipping through the Volga-Don
Canal);
· Unsustainable use of commercial fish stocks (especially sturgeon);
· Degradation of landscape;
· Coastal desertification;
· Poor or unsatisfactory human health quality, unsanitary conditions in many beaches and bathing
waters, unsafe drinking water, contaminated fish and fish products, poorly or untreated sewage
and industrial discharges to coastal waters;
· Inadequate freshwater resources;
· Damage to coastal habitats and infrastructure from sea level fluctuations; and
· Contamination from point and non-point sources as well from offshore oil and gas exploration
and marine transport.
a) Root Causes of the Identified Problems
a) Poor or ineffective legal framework at the national level and absence at the regional level,
inadequate implementation of regulatory instruments
b) Inadequate planning and management practices
c) Poor or insufficient public involvement
d) Sea level fluctuation
e) Inadequate knowledge and infrastructure base
f) Inadequate funding base
g) Unemployment/lack of jobs
h) Inappropriate environmental regulatory infrastructure
i) Lack of regional legal instruments
b) Priority Areas of Future Interventions
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1. Abatement of Contamination
2. Protection of Biodiversity
3. Sustainable Management of Fish Resources and other Bioresources
4. Integrated Transboundary Coastal Area Planning and Management (ITCAP&M)
5. Institutional and Human Development
6. Water Level Fluctuations
The National Reports prepared by each Caspian state will form a firm foundation for improving the
Framework TDA. Recognizing the importance of the summary Reports, the National TDA Experts
recommend strongly that UNDP and other International Partners assist in identifying financing for their
editing and publication in the immediate future. The reports should be published in English and
Russian at a minimum (as long as there are available funds).
B. End of Project Situation
The end of the project situation can be summarized as follows:
· Strong regional institutional framework to enhance stakeholders communication, cooperation
and coordination to address transboundary environmental impacts;
· Regional Strategic Action Programme and National Caspian Action Plans with countries and
donor commitments and incremental interventions identified;
· Increased public awareness and support for regional environmental issues. Enhanced overall
effectiveness of environmental awareness programmes through the organisation of concerted
region-wide activities, and exchange of lessons learned through an active regional network of
NGOs and community groups;
· Caspian Framework convention ratified. Existing national and international laws and
conventions surveyed;
· Regional Caspian Information System including data on Institutional capacities, scientists,
environmental projects, environmental data sets in the region and GIS, accessible via Internet to
the world community. High quality, reliable data on Caspian environmental issues. Improved
regional capacity for data collection, integration, analysis and use in decision making;
· Network of monitoring centres throughout the region. Reduction of existing and prevention of
new types of contamination;
· Conservation of habitats and species of global significance. Regional network of protected areas
as a part of global one;
· Sustainable use of transboundary fish stocks building on sound stocks assessment, region-wide
monitoring and management plans. Conservation of threatened and endangered species
emphasising public awareness and participation;
· Adoption of common regional approaches to results in reduced environmental degradation and
loss of coastal habitats for migratory species and global biodiversity; by catalysing the development
and implementation of national ITCAMPthrough regional training, exchange of lessons learned
and sustainable financing secured;
· Regional Environmental Health Action Plan as a part of the CEP Strategic Action Programme;
and,
· Major reduction in risks of regional environmental degradation. Caspian Regional oil spill
contingency planning; strong regional network for oil spill response.
Upon completion of the project the above mentioned results should create adequate conditions for the
full implementation of the Caspian Strategic Action Programme (SAP) and the National Caspian Action
Plans (NCAPs). The present project is not aimed at implementing the SAP, rather at creating the
14
conditions that will facilitate its future implementation at a regional and national level with both
national and donor financing.
After the completion of this project, the participating countries might decide to seek funding for the
implementation of the SAP and for the investments to improve water quality, control land-based sources
of pollution, and to conserve most important areas and habitats. The project will help to identify the
baseline funding needs for projects yielding primarily domestic benefits, as well as the incremental costs
of interventions needed to address primarily transboundary issues and therefore eligible for subsequent
GEF financing.
It is anticipated that international financial support will be provided by multilateral, bilateral and private
donors and non-governmental organizations.
C. Target Beneficiaries
The primary target beneficiary of this project is the population of all Caspian countries, in particular the
population which lives in the coastal zone. The coastal zone population should benefit from each of the
success criteria which are expected to be improved water quality, rehabilitation of the renewable natural
resources of the Caspian, improved coastal zone management and development of NCAPs. Successful
implementation of the CEP should have direct benefits in terms of the improvement and protection of
public health and the general quality of the coastal zone and through these achievements tourists from
the region will enjoy clean and aesthetically pleasing recreational facilities. In the short-term,
governments and institutions will benefit from institutional strengthening as a result of networking,
training programmes and the provision of key items of equipment and in particular from the
development of NCAPs. Proper environmental assessments and pre-investment studies should facilitate
the release of vital credits for improving waste management and for stimulating the development of key
sectors.
The direct recipients of the project objectives will be:
· Governments of the region;
· National Focal Points;
· regional scientific and technical organizations concerned with Caspian water quality issues and
management/rehabilitation of natural resources;
· national, local and municipal governments in cooperating countries;
· technical organizations, universities, research institutes and private sector organizations
(tourism, agriculture, fisheries, oil and gas industry, environmental consultancy firms, etc. in
coastal states; and
· non-governmental organizations concerned with environmental management and conservation
of natural resources.
The target beneficiaries will be:
· the resident population of the Caspian Region who will benefit from improved water quality,
enhanced fishery resources, recreational opportunities and strengthened protection and
management of natural habitats;
· fishermen whose livelihoods will benefit from the improved environmental quality as the result
of the reduced transport of pollutants to the sea following implementation of new policies and
investments; in addition, they will benefit from the sustainable management of the Caspian
fisheries.
· regional tourists who visit the Caspian coastal zone and adjacent areas for a wide range of
purposes;
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· future generations of the human population both within and beyond region who will benefit
from the opportunities created by the conservation of biodiversity in the region - the present
project enables the present generations to respect the rights of future ones instead of transferring
the consequences of irrational development to them; and
· the world population at large will benefit through the direct contribution made to the
improvement of an important international water body and the demonstration effect which this
project will have for other regional seas.
D. Project Strategy and Institutional Arrangements
1. Strategy
The basic strategy of this project is to complete enabling activities for the implementation of key
incremental cost objectives for the formulation of a Transboundary Diagnostic Analysis (TDA) and a
Strategic Action Programme (SAP). The TDA will identify and prioritize the most critical transboundary
threats to the Caspian system, and recommend actions to address the root causes of these threats. Based
on the scientific and technical analysis conducted during the TDA, the SAP will delineate the legal,
policy and institutional reforms and priority investments necessary to manage coastal resources and
achieve sustainable development for the Caspian. Finally, preparation and adoption of National
Caspian Action Plans (NCAPs) will serve to operationalize the SAP at the national level.
The project strategy will also include development of the legal and administrative framework; enhanced
technical capacity for dealing with pollution and coastal management problems in each of the Caspian
countries; effective regional network of Governmental representatives, scientific and other experts and
non-governmental organizations; and willingness of the international community to assist in the efforts
to rehabilitate and protect the Caspian.
This strategy could be successful only if all major players (Governments of the region, the Programme
Coordination Unit, multilateral and bilateral donors and NGOs) work together in a concerted effort.
The strategy of the UNDP-GEF project is a key objective of the overall strategy of the Caspian
Environment Programme to enable environmentally sustainable development and management of the
Caspian environment through technical assistance, capacity building, enhanced regional cooperation,
and the preparation of investments.
2. Sustainability
The explicit commitment made by each of the five Caspian littoral states and actions they have already
undertaken, are the best indication of the sound foundation for this Programme. Implementation of the
CEP is one step toward guaranteeing that the activities and systems established by the Programme will
endure beyond the life of it.
In 1993, the five littoral states founded the Organization for the Cooperation of the Caspian Coastal
Neighboring Countries. Environmental protection and wise use of resources were among the areas
identified for cooperation. Difficulties regarding the Caspian's legal status and the extent of national
sovereign territories delayed progress but there is a consensus that this issue could be set aside for the
time being in order to achieve progress on those aspects which are not contentious. Some concern has
been expressed regarding the prudence of the international community getting involved in the problems
of the Caspian environment before the Caspian riparian countries have reached agreement on the
management and use of the region's vast oil resources. Other GEF projects (e.g. East Asian Seas) have
enjoyed success in making rapid, substantive progress in addressing multi-country, transboundary
marine environmental issues even in the absence of multi-national agreements on hydrocarbon resource
management. This project was submitted with the expectation that multi-country collaborative projects
16
such as the one proposed could in fact help facilitate a dialogue to reach agreement on larger and more
divisive issues.
At Almaty in May 1994, the littoral states adopted the Declaration on Environmental Cooperation in the
Caspian, through which they affirmed their desire to cooperate constructively in environmental
management and their commitment to cooperate fully in the preparation and implementation of
Programmes of joint activities for the protection of the Caspian environment, with the financial and
technical assistance of the international community.
In response, UNDP, UNEP and The World Bank have indicated to the Governments of the littoral states
their willingness to assist them in preparing a comprehensive, integrated environmental management
Programme for the Caspian. The overall goal of the Caspian Environment Programme will be the
environmentally sustainable development and management of the Caspian region, including living
resources and water quality, so as to obtain the greatest possible benefits for the human populations of
the region, while protecting human health, ecological integrity, and the region's sustainability for future
generations. At the request of the littoral states, UNDP, UNEP and The World Bank (partly with the
support of a PDF Block A), a preliminary concept paper was presented at a meeting of the littoral states
in Tehran in April 1995, describing the main steps needed for establishing a regional environmental
management plan for the Caspian.
A joint statement by the Caspian littoral states in April, 1995, reiterated their concern regarding the
deterioration of the Caspian environment, renewed their commitment to work together on this issue,
and renewed their invitation to the UN system to support regional and national Programmes for the
protection and sustainable management of the Caspian.
As a further demonstration of the national commitment, the first meeting of the Interim Steering
Committee of CEP, held in Ramsar (Iran) in May 1998, provided agreement on the following:
· The countries adopted the draft CEP Project Brief as the technical basis for the implementation of
the CEP, which combines the contributions of EU/TACIS, GEF, The World Bank, and other
sponsors.
· The countries adopted the structure proposed for governance, coordination and national
implementation for the CEP (Annex II). In particular, the meeting noted the need for strong
intersectoral and inter-donor coordination.
· The countries adopted the Terms of Reference and composition for the Steering Committee, the
Intersectoral Coordinating Function, and the Caspian Regional Thematic Centres (Annexes III-
IV).
· The countries agreed that the Steering Committee should determine its own procedures and
modalities, with particular attention to involving the private sector and the NGO community.
The Steering Committee will investigate the modality of a Trust Fund to assist with sustainability
of the CEP.
· The countries requested UNDP work with the countries and donors to develop detailed rules and
procedures for the Steering Committee for their consideration.
· The countries accepted the Framework for the Transboundary Diagnostic Analysis as agreed at
the TDA Experts meeting.
· The countries agreed upon the locations of the PCU and Caspian Regional Thematic Centres.
The countries ownership of the project is also shown by the endorsement of the GEF Project Brief. All
countries have committed significant financial resources in support of the project, including in-kind
contributions (e.g., office space for hosting the Caspian Regional Thematic centres, Intersectoral
coordination secretariats, salaries for their staff members). The governments will also provide necessary
17
scientific expertise to the CEP from the national organizations, at-sea facilities for data collection, and
meeting space as required. The countries have requested that the CEP achieve a fundamental level of
activity in each country and on a regional basis, rather than merely an identification of the overall
problems. The countries expect that the results and recommendations of the SAP and TDA process will
be translated into real actions and responses on both a national and international basis. This is reflected
in those objectives of the project which address programme coordination, intersectoral coordination and
involvement in the SAP as well as SAP/NCAP formulation and endorsement (see Component I and
Component V).
a) Private Sector Commitment
The private sector was closely involved in the CEP prior to its inception. The oil and gas sector assisted
in early environmental activities in the region throughout the 1990s. The May, 1995 joint UNDP, UNEP
and The World Bank mission to the Caspian region met with representatives from the private sector.
Since that time, the UNDP and The World Bank have kept in constant contact with the oil and gas sector,
including frequent briefings, and formal presentations at large industry gatherings, invited talks with
various environmental subcommittees within the Caspian oil and gas industry, etc. Since the oil reserves
are the most significant of the past few decades, oil and gas exploration and exploitation present
potential environmental concerns. The participation of the industry is essential to the success of the
CEP.
Though no single industry group speaks on behalf of the entire Caspian oil and gas sector, the UNDP
and The World Bank have met with industry environmental consortia within Azerbaijan, Iran,
Kazakhstan, and Turkmenistan. Industry participation is expected to include cash contributions, data
sharing, training in specific areas of competence, participation in various objectives and activities of the
CEP/GEF project, and other areas. The GEF/UNDP has begun discussions with the oil and gas industry
regarding the feasibility of establishing an Environment Fund to provide sustainability of the CEP
following completion of early phases of international agency activities.
In addition to the oil and gas sector, other major industries include the caviar industry and the marine
transportation industry. In preliminary consultations with the caviar industry, they indicated their
willingness to participate in the CEP activities. To date, the CEP has not approached the marine
transport industry to solicit their participation, other than through discussions with the oil and gas sector
which will be the major industry involved in marine transport. The PCU and CEP will initiate further
discussions as the GEF project starts.
The degree of private sector activity in the Caspian region distinguishes the CEP from other regional
programmes that have faced significant financial challenges as they attempted to evolve to sustainability
(e.g., the BSEP). The CEP can take advantage of private sector revenue streams to assist in operating the
CEP on a sustainable basis. In order to fully exploit this advantage, specific measures will be taken
under Component I, Objective C, to develop an effective, two-way coordination between the CEP and
the private sector.
b) Financial Sustainability
The comprehensive context that will be created by this Programme is expected to attract bilateral and
other sponsors of discrete regional activities. Support to The World Bank has already been received in
the form of a grant from the Japanese Government (PHRD) and further support has been promised from
a number of other sources. The project is designed to identify and stimulate investments equitably for
all Caspian littoral states, through feasibility studies and the Priority Investment Portfolio. The project
will also evaluate the use of various financial instruments as mechanisms to generate revenue to sustain,
inter alia, the regional coordination mechanisms developed during the project. The CEP Steering
18
Committee has already begun investigation of an Environmental Fund, with UNDP assistance. Financial
activities and modalities are being explored now. The Private Sector is expected to contribute to
financial sustainability. The oil and gas industry could play a significant role in assuring sustainability
of the CEP. Discussions have already begun with the private sector regarding their cash and in-kind
contributions to the CEP, including participation in an Environmental Fund. In addition, the Framework
Convention for the Protection and Sustainable Management of the Caspian Environment and its
Resources facilitated by UNEP, is expected to incorporate concrete mechanisms for financial
sustainability, upon adoption.
E. Reasons for UNDP Assistance
The transboundary transport and effects of contamination in the Caspian water body and transboundary
nature of many of the Caspian's valuable bioresources warrant GEF support. The CEP will help the
littoral countries of the Caspian overcome institutional and other barriers to collaboration and help them
to identify and resolve priority transboundary environmental concerns identified in the TDA and SAP
and NCAP processes. The CEP coordinates among implementing agencies, countries, and other
stakeholders, and generates programmatic benefits for the global environment that would not otherwise
be achievable. This approach is fully in line with the GEF Operational Strategy for International Waters,
as well as for the Waterbody Based Operational Programme (#8). Important characteristics of this
Operational Programme are: "a) the focus on addressing a few high priority transboundary impairments
of the water body such as reducing eutrophication or toxic substances; b) support for the learning
process for countries to work cooperatively and collectively in addressing imminent threats to their
transboundary water resources; and, c) identifying and implementing country-specific policy, legal and
institutional reforms as well as priority investments to address the transboundary issues."
Based on the experience of the GEF Black Sea Environmental Programme and other regional seas
programmes, the Caspian countries consider the GEF to be a key donor for program initiation, focusing
on institutional development and capacity building on the international level in an integrated,
comprehensive manner and with the emphasis on the identification and implementation of policy and
legal reforms. GEF funds will support the identification and ultimate mitigation of transboundary issues
that would be neglected if addressed only from a national perspective. The TDA and SAP/NCAPs will
focus on the Caspian ecosystem as a whole and will involve international donors, national and local
governmental institutions, industries, and other key stakeholders that have important actions to take in
restoring and protecting the Caspian environment.
The GEF International Waters Operational Programme referred to above emphasizes "institutional
building ... and specific capacity-strengthening measures so that policy, legal and institutional reforms
can be enacted in sectors contributing to transboundary environmental degradation." This project
supports institutional capacity building for long-term regional cooperation as well as helping to
strengthen regional capacities in environmental management, monitoring of priority pollutants, public
awareness and preservation of transboundary living resources.
In the Waterbody-Based OP, GEF will play a catalytic role in assisting a group of countries seeking to
leverage co-financing in association with national funding, development financing, agency regular
Programmes, and private sector action for necessary elements of a comprehensive approach for
sustainably managing the waters environment. In accord with the GEF International Waters Operational
Strategy, this project focuses on the transboundary threats to the Caspian ecosystem, a globally
significant waterbody. The considerable transboundary threats seriously impair the functioning of the
Caspian ecosystem and even human health.
The principal reason for UNDP involvement in this project is that this project falls under two of the key
UNDP mandates i.e. regional cooperation and environmental protection. The project, involving
19
Azerbaijan, Iran, Kazakhstan, Russia and Turkmenistan brings the countries closer together in achieving
common goals. Currently there is a need to protect the environment in the Region since economic
growth is bound to accelerate in the coming years, and there will be high possibility of environmental
degradation if effective protective measures are not taken.
Another reason for UNDP assistance is the comprehensiveness and neutrality UNDP can play in the
Region. UNDP has offices in all five countries, and as a multi-lateral organization, it can work
disinterestedly for the benefit of the participating countries.
Considering UNDP's mandates, its comprehensiveness and neutrality, and experience in the Caspian
region, UNDP has a comparative advantage in supporting this project.
F. Special Consideration
For the sustainability of the project, special consideration will be given in following each country's
national practices. For example, when the project introduces new methodologies, the project will make
sure that it is adapted to each country's practices.
In addition, the project will also give special consideration to having broad coverage of people
participating in meetings and workshops. In particular, the project encourages involvement of the
private sector, NGOs, and women.
G. Counterpart Support Capacity
The countries of the region expressed their willingness to contribute to the protection of the Caspian
through:
· Existing Soviet-Iran Agreements on the Caspian Sea from the Agreement between Russian
Socialistic Federal Soviet Republic and Iran (Persia) (February, 1921)
· Existing Soviet-Iran Agreements on the Caspian Sea from the Agreement on Trade and Shipping
between Union of Soviet Socialistic Republics and Iran (March, 1940)
· Final Resolution The First International Baku Conference on the problems of the Caspian Sea
(June, 1991)
· Communique of Representatives of the Caspian States (Teheran Communique) (October, 1992)
· Communique of participants of the meeting on the problems of the Caspian Sea (October, 1993)
· Convention (Agreement) on Conservation and Utilization of Bioresources of the Caspian Sea
(April, 1994) Unsigned
· Declaration on Environmental cooperation in the Caspian Sea (Almaty) (May, 1994)
· Protocol of the meeting on programs for the protection of the environment in the Caspian Sea
Region (Almaty) (May, 1994)
· Letters of country endorsement of the CEP (1997)
· National reports on the state of the Caspian, 1998
· The decisions of the First meeting of the Interim Steering Committee of the CEP, Ramsar, 1998
While the long-term commitment of the participating countries is strong enough to sustain the results of
this Project special support will be required in the short-term to assure the successful development of
TDA, SAP and NCAPs. This is due to the process of political, administrative and economic restructuring
which is occurring in the region.
It is anticipated that national and local governments will support the activities of this Project through:
· National Focal Points who will serve as the representatives of the national governments for
developing and coordinating implementation of project supported activities;
· coordination of activities for the development of NCAPs;
20
· provision of financial and other support to the activities of the Project, especially for all local
currency expenditure;
· provision of free access to information required for the implementation of the Project; and
· authorization, subject to adequate prior notification and formal clearance, of non-site visits by
technical experts to support the implementation of the project.
It can be expected that the cooperating governments will be able to provide office, meeting facilities,
local logistical support and local salaries for government officials.
III. DEVELOPMENT OBJECTIVE
The Caspian Environment Programme (CEP) is being developed as a comprehensive response to the key
environmental problems facing the region with GEF helping to address the priority transboundary
issues. As defined in the Concept Paper, the overall goal of the CEP is: "Environmentally sustainable
development and management of the Caspian environment, including living resources and water quality, so as to
obtain the utmost long-term benefits for the human populations of the region, while protecting human health,
ecological integrity and the region's sustainability for future generations."
The CEP is designed to draw extensively on positive and negative lessons learned from other regional
sea Programmes, such as the Baltic Sea Programme (BSP), the Black Sea Environmental Programme
(BSEP), and the Mediterranean Environmental Technical Assistance Programme (METAP). These more
mature Programmes have demonstrated that regional environmental Programmes can provide effective
fora for regional cooperation among parties to relevant agreements or conventions. Certain features
common to these Programmes will be emulated in the CEP while recognizing the unique regional needs
and characteristics. The partners recognize that many of the important lessons learned from the more
mature regional seas Programmes have resulted from the actual process of working through the
Programme, and can be replicated in the Caspian region only by going through similar steps.
IV. IMMEDIATE COMPONENTS, OBJECTIVES, OUTPUTS AND ACTIVITIES
The immediate foci of the overall GEF Project are:
Component I:
Development of a Caspian regional coordination and management mechanism for the
sustainable development and management of the Caspian environment through the
creation of regional, intersectoral and thematic institutional frameworks, including a
regional framework convention;
Component II:
Completion of a Transboundary Diagnostic Analysis (TDA) of priority water-related
environmental concerns for the Caspian ecosystem;
Component III: Strengthened Institutional, Legal, Regulatory and Economic Frameworks for SAP
implementation;
Component IV:
Development of Priority Investment Portfolios for Transboundary Priorities; and
Component V:
Formulation and Endorsement of a Regional Strategic Action Programme (SAP) and
(5) National Caspian Action Plans (NCAPs) outlining priority actions, both baseline
and additional, to be taken on behalf of sustaining the Caspian and its associated
resources.
UNDP is the GEF Implementing Agency for Components I, II, III and V; UNEP is GEF Implementing
Agency for Component III.
Consistent with the GEF Operational Strategy, such an initial strategic project is often necessary to gain
agreement among cooperative countries in identifying priorities for future GEF funded activities.
Following such an initial process, GEF would expect to support the agreed incremental costs of measures
to address the priority transboundary issues.
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In order to create a framework to begin to address these environmental issues, the following
programmatic elements were identified by the countries:
· Effective Regional Intersectoral (public and private sector) Coordination and Environmental
Management
· Public Awareness and Involvement in the CEP, SAP and NCAPs
· Effective Regional Information and Data Management Systems
· Effective Regional Assessment of Contaminant Levels
· Assessment of Transboundary Biodiversity Priorities
· Strategies for Sustainable Management of Fish Resources and Other Commercially Exploited
Aquatic Bioresources
· Strategies for Integrated Transboundary Coastal Area Planning and Management
· Strategies to Live With Water Level Fluctuations
· Strategies for Combating Coastal Desertification and Land Degradation
· Strategies for Sustainable Human Development and Health
· Regional Emergency Response Actions
· Strengthened Institutional, Legal, Regulatory and Economic Frameworks for SAP
implementation
· Strategies to Strengthen Contaminant Abatement and Control Policies and Procedures
· Priority Investment Portfolios for Transboundary Priorities
The GEF Project will support the agreed incremental costs of addressing the five primary project
components, focusing on the priority transboundary issues identified during the TDA formulation
process. It will share funding and implementation responsibilities for the GEF project objectives,
particularly with EU/TACIS, UNEP and The World Bank. Other donors are expected to address
national objectives, which are expected to contribute to the achievement of CEP basin-wide objectives.
22
COMPONENT I. PROJECT COORDINATION
Objective IA. Programme Coordination Mechanism (Activities led by GEF, supported by EU/TACIS)
The first step towards creating a regional management mechanism is to establish the implementation structure for governance, coordination
and management of the CEP.
Outputs:
Success Criteria:
Regional Intersectoral and Thematic Coordination and Management Steering Cte begins to function;
Mechanisms established and functioning; particular emphasis to be PCU is established and operational; and
placed on effective coordination with the private sector.
Multi-sectoral participation in the management of Caspian
Environment.
Activities: Responsible
Parties
Associated Internat'l Partners
Activity 1. Assist in establishment of CEP Steering Committee, PCU
UNDP, EU/TACIS,
including biennial project reviews and final project evaluation
Nat'l Focal Points (NFPs)
The World Bank,
UNEP
Activity 2. Develop the coordination, information and evaluation PCU
UNDP, EU/TACIS,
mechanisms to ensure that the results and conclusions of the TDA and NFPs
The World Bank,
SAP process lead to relevant actions to be taken on the part of the CEP
UNEP
Steering Committee, the thematic centres and the intersectoral
coordinating bodies (including ministries, other government agencies
and private sector)
Activity 3. Establish CEP Programme Coordination Unit
UNOPS
EU/TACIS
NFPs
Activity 4. Set-up country Intersectoral Coordinating Function and PCU
UNDP, WHG
Secretariats for the Intersectoral Coordinating Functions
NFPs
Activity 5. Establish Caspian Regional Thematic Centres
PCU
UNDP, EU/TACIS,
NFPs
The World Bank
23
Objective IB. Programmatic Support for Caspian Regional Thematic Centres (Activities led by GEF and by EU/TACIS)
The Caspian Regional Thematic Centres will be responsible for development of a work plan and implementation of activities in respective
thematic area, regional coordination within area of competency, development of relevant regional recommendations, guidance and strategy
within area of competency, assistance in development of the TDA and PIP, assist in development and implementation of the National Caspian
Action Plans (NCAPs) and Strategic Action Programme (SAP).
Outputs:
Success Criteria:
Establishment of a network of Caspian Regional Thematic Centres.
CRTCs established & operating; and
Strong, well-functioning network of specialized institutions.
Activities:
Responsible Parties:
Associated Internat'l Partners
Activity 1. Assessment of capacities of Caspian Regional Thematic PCU
UNDP,
Centres, nominated by the governments and their technical cooperation CEP Advisor
EU/TACIS
needs, including training, equipment, expert consultation
The World Bank
Activity 2. Provide relevant office equipment
UNOPS
EU/TACIS
Activity 3. Establish a well-functioning system of communications and UNOPS
EU/TACIS
data transfer within the region using Internet
PCU
GRID/Geneva
24
Objective IC. Intersectoral Coordination (including private sector) and Involvement in SAP, NCAP and TDA Formulation Process
(Activities led by GEF).
The Intersectoral Coordinating Function in each of the Caspian littoral states will provide guidance and ensure coordination of a wide range
of National institutions and organizations directly responsible for the implementation of the Programme at the National level. The
Intersectoral Coordinating Function will have a full time, small secretariat (national and donor-supported) reporting to (under the direction
of) the National Focal Point, and will serve as the national liaison with the PCU. Through the intersectoral Coordinating Function, both the
Steering Committee and the PCU will act to advise national and sub-national public and private sector representatives on the relevant
necessary actions required at the legal, institutional and policy level to reflect the findings of the SAP and the TDA. This will provide regional
(SAP/TDA) feedback at the national and sub-national level (NCAP) to ensure continuity and complementarity in the decision-making process
regarding CEP issues.
Outputs:
Success Criteria:
Support to the Intersectoral Coordination (including private sector) and Secretariats for the Intersectoral Coordinating Function
Involvement in SAP, NCAP and TDA Formulation Process.
established and operational; and
Strengthening of the ministries of the environment.
All relevant sectors involved in SAP, NCAP and TDA formulation
process.
Activities:
Responsible Parties
Associated Internat'l Partners
Activity 1. Set up and support the secretariat for the national Intersectoral PCU
UNDP
coordination in each Caspian country
NFPs
Activity 2. Follow-up with the national and subnational public and Chief Technical Advisor (CTA)
UNDP
private sector on the recommendations from the Steering Committee and NFPs
PCU regarding the actions to be taken in order to reflect the results of the
SAP, NCAP and TDA. Related activities supporting this objective are
established under Component V, Objective I (Formulation and
Endorsement of Strategic Action Programme and National Caspian
Action Plans for Priority Transboundary Issues). This activity should also
coordinate closely with Component III
25
COMPONENT II. TRANSBOUNDARY DIAGNOSTIC ANALYSIS (TDA)
Objective IIA. Effective Regional Assessment of Contaminant Levels (Activities led by GEF)
A contaminant and ecological monitoring system will be essential to monitoring the long-term success of SAP and NCAP implementation.
Data collected during special investigations to fill in the gaps for the regional assessment will help to set priorities for transboundary
environmental issues in the region during the TDA process.
Outputs:
Success Criteria:
Solid understanding of regional contaminant sources, flows and levels High quality data collected and broadly disseminated;
built into TDA. High quality data collected and broadly disseminated. Donors and country commitments to the regional monitoring
Proposals in SAP for national commitments and donor support to network implementation; and
upgrade regional monitoring network.
Better understanding of contaminant sources, flows and levels
of contaminants of the Caspian Sea
Activities: Responsible
Parties
Associated Internat'l Partners
Activity 1. Country committees, consultants, and thematic centres to Contaminant CRTC
EU/TACIS,
evaluate existing data sets, needs and data gaps, monitoring Contaminant Consultant
The World Bank,
programmes and monitoring capabilities in each country and identify Contaminant NPPP
FAO, IOC, UNEP, WMO,
and prioritize needs for SAP and NCAP actions (e.g., baseline PCU
WHO, IAEA
monitoring, compliance monitoring, transboundary impacts)
Activity 2. Limited regional assessments of contaminants to fill key Contaminant CRTC
EU/TACIS
gaps in TDA needed to formulate strategies and action plans
PCU
Contaminant Consultant
PCU
Activity 3. Collaborate with oil and gas industry on their contribution Contaminant CRTC
to the regional assessment to the TDA process
Contaminant NPPP
NFPs
PCU
Activity 4. Establish or strengthen links between monitoring facilities Contaminant CRTC
throughout the region
Contaminant NPPP
PCU
26
Objective IIB. Assessment of Transboundary Biodiversity Priorities (Activities led by GEF).
This assessment and recording of living resources, environmental characteristics, and human uses are needed on a comprehensive, regional
basis, according to agreed, consistent and compatible procedures. It is also important to establish a biodiversity baseline against which the
near-term and future CEP activities can be evaluated, particularly SAP and NCAP implementation. This effort centres on establishment and
operation of a Caspian Bio-Resources Network as the primary tool for bioresources protection. Working with country Intersector
Coordinating Function, the following tasks would comprise the biodiversity objective of the Caspian Environment Programme:
Outputs:
Success Criteria:
Necessary biodiversity data for TDA preparation. Comprehensive Definition and assessment of Caspian Biodiversity;
knowledge of the status of and threats to Caspian biodiversity; broadly Measures to prevent accidental introduction of exotic species
accessible biodiversity databases; agreed-upon national (NCAP) and developed;
regional (SAP) strategies for biodiversity protection and conservation; Regional assessment prepared and published;
identification of possible introduction of exotic species.
Better understanding of the state of Caspian biodiversity; and
Regional Caspian Red Data Book developed.
Activities: Responsible
Parties
Associated Internat'l Partners
Activity 1. Support the Caspian Bioresources Network to stress Biodiversity CRTC
The World Bank
transboundary issues
PCU
Activity 2. Undertake an initial, rapid ecological survey of the coastal and Biodiversity CRTC
The World Bank
marine species and habitats, their uses, values, and threats, for each of the Biodiversity Consultant
five Caspian states. The survey will result in an Inventory of Caspian PCU
Ecological Resources, their priority transboundary implications and will be
part of the final TDA
Activity 3. Collate a Caspian Red Data Book based on existing and revised Biodiversity CRTC
The World Bank
national Red Data Books, identifying and describing rare, threatened and Biodiversity Consultant
endangered species that require attention from a regional perspective and UNOPS
that will be included as a priority within the TDA process
PCU
Activity 4. Evaluate existing Protected Areas and habitats protection Biodiversity CRTC
status, particularly those with transboundary borders and/or those used Biodiversity Consultant
by migratory species. Identify and facilitate adoption of SAP and NCAP PCU
commitments related to protected areas
Activity 5. Prepare national reports on the State of Caspian Biodiversity Biodiversity CRTC
according to an agreed scope and prescription; meld the five national Biodiversity Consultant
reports into a Regional Overview on the State of Caspian Biodiversity with Biodiversity NPPP
transboundary priorities to support the TDA and SAP preparation
UNOPS, PCU
27
(Objective IIB - continued)
Activities: Responsible
Parties
Associated Internat'l Partners
Activity 6. Identify regional and common threats and assess the risks to Biodiversity CRTC
IMO, FAO
species, ecosystems and particular habitats and propose and facilitate SAP PCU
and NCAP actions to manage these risks which include inter alia oil spills,
overexploitation, desert encroachment, etc
Activity 7. Assessment of possible accidental introduction of exotic species Biodiversity CRTC
FAO
and formulation of proposals for interventions under SAP (e.g., via Biodiversity NPPP
shipping through the Volga-Don Canal). This activity is expected to
receive significant funding under this objective due to the high risk of
ecosystem disruption
Activity 8. Establish a country-specific and a joint regional database as the Biodiversity CRTC
GRID/Geneva
repository for ecological information. The database should form part of the Biodiversity NPPP
Regional GIS and should be accessible electronically from a number of Info/Data Mgmt CRTC
access points throughout the region and beyond
Info/Data Mgmt NPPP
PCU
28
Objective IIC. Effective Regional Information and Data Management (Activities led by GEF and supported by EU/TACIS).
Full access to high quality, up-to-date CEP data and information, including the TDA, is essential to multi-sectoral participation in a
cooperative regional programme and to decision-making at the national and regional levels. A comprehensive database and information
management system will serve as a repository for relevant, available data, act as the technically sound basis for rational decision-making, and
serve as a source of information and education for specialists, administrators, educators, and the general public.
Outputs:
Success Criteria:
Necessary data for the TDA preparation and SAP scenario analysis Effective Regional Information and Data Management facility
collected and transferred in to a GIS. Globally accessible databases on established and well-functioning;
the Caspian environment, institutions and expertise that enhance Regional Caspian Information System including meta-level data
capacity of decision-makers to develop, implement and monitor developed and used by various stakeholders;
progress of SAP and NCAPs.
Caspian Geographic Information System developed and widely
disseminated; and
Caspian Environment Programme activities and data broadly
disseminated via Internet.
Activities: Responsible
Parties
Associated Internat'l Partners
Activity 1. Prepare comprehensive Caspian Bibliography, including Info/Data Mgmt NPPP
UNESCO
science, management, and economics
CRTCs
PCU
Activity 2. Develop Caspian Information System including data on CRTCs
EU/TACIS,
institutional capacities, scientists, environmental projects
PCU
WHG, GRID/Geneva
Activity 3. Develop Caspian Geographic Information System and hold Info/Data Mgmt NPPP
EU/TACIS
stakeholders training workshop in the use of GIS/IP applications
CRTCs
GRID/Geneva
PCU
Activity 4. Upgrade and maintain CEP Home Page on Internet, PCU EU/TACIS,
prepared by The World Bank in 1998; publish TDA, SAP, NCAPs
Activity 5. Develop Regional Environmental Internet Node, including CRTCs
The World Bank
relevant environmental databases
PCU
GRID/Geneva
Activity 6. Prepare and hold a Caspian regional workshop for country Info/Data Mgmt NPPP
EU/TACIS
Intersectoral Coordination Committees relating to environmental PCU
GRID/Geneva
information networking (EIN), including standards, tools and
techniques for data and information management
Activity 7. Collation of data by country committees with assistance, Info/Data Mgmt NPPP
GRID/Geneva
where necessary, from consultants in order to contribute to regional PCU
transboundary assessment
Activity 8. Prepare State of the Caspian Environment Report
NFPs
EU/TACIS, WHG
CRTCs, PCU
IOC, UNEP, IAEA, WMO
29
Objective IID. Transboundary Diagnostic Analysis (TDA) (Activities led by GEF and supported by EU/TACIS)
The TDA represents a scientific process of setting priorities for transboundary environmental issues from the ecosystems standpoint. It is
intended to build the capacity of each country's Intersectoral Coordination Committee to understand the transboundary priorities and to
consider those priorities together with neighboring countries as part of a regional assessment. The TDA provides the scientific and technical
basis for consideration and evaluation of possible actions to be proposed in the SAP and NCAPs.
Outputs:
Success Criteria:
A complete TDA identifying transboundary priorities with broad Solid understanding of major root causes of Environmental
stakeholder involvement.
degradation of Caspian ecosystem;
Draft TDA developed;
Expert mtgs and regional workshops for TDA revision, priority
formulation and identification of "root causes" of
environmental problems; and
TDA finalized and broadly disseminated.
Activities: Responsible
Parties
Associated Internat'l Partners
Activity 1. Utilize the data collected in Component II, A, B and C to TDA NPPP
UNDP, WHG
develop Draft Transboundary Diagnostic Analysis
CRTCs
PCU
Activity 2. Hold expert meetings and regional workshops with TDA NPPP
UNDP, WHG
stakeholder involvement (including NGOs and private sector) for CRTCs
EU/TACIS
priority formulation and the identification of `root causes' of PCU
environmental problems
Activity 3. Identify, evaluate and fill critical gaps in the Draft TDA
TDA NPPP
UNDP, WHG
CRTCs
PCU
Activity 4. Revise, update and finalize the TDA with country TDA NPPP,
UNDP, WHG
Intersectoral Coordinating Function approval and publish in print and NFPs, CRTC, ISCF
EU/TACIS
on-line
PCU
30
COMPONENT V. FORMULATION OF A STRATEGIC ACTION PROGRAMME (SAP) AND NATIONAL CASPIAN ACTION PLANS
(NCAPs)
Objective VA. Strategies to Strengthen Contaminant Abatement and Control Policies and Procedures (Activities led primarily by
EU/TACIS, supported by GEF and linked to Component III)
A strong abatement program to reduce contaminants at their source will be the most effective method to address coastal and transboundary
contamination problems.
Outputs:
Success Criteria:
Significantly enhanced national and regional capacities for pollution National practices and capacities for effective marine
abatement and control. Achievement of an understanding of priority contaminant reduction and mitigation evaluated. Regional
contaminant `hot spots'. Arrival at an expected baseline and additional quality assurance system designed and established. Support
commitments for reduction of high priority transboundary pollution provided to upgrade the regional monitoring network. Regional
sources.
Approaches to Contamination abatement/prevention prepared.
Adequate actions in NCAPs and SAP for contamination
abatement and control identified.
Activities: Responsible
Parties
Associated Internat'l Partners
Activity 1. Evaluate national practices and capacities for effective Regional Institutions
EU/TACIS, UNIDO,
emission control and prevention
CRTCs, PCU
IMO
Activity 2. Develop and disseminate improved methodology for CRTC
EU/TACIS,
measuring discharges of pollutants and gather data from National NFPs
IMO
authorities regarding discharges
Activity 3. Coordinate activities to improve permitting procedures
CRTC,
EU/TACIS
NFPs,
PCU
Activity 4. Prepare Regional Approaches to Contamination CRTC,
EU/TACIS
abatement/prevention
NFPs, PCU
Activity 5. Develop/harmonize models on environmental impact and CRTC,
EU/TACIS
development of scenarios on pollution discharge in order to assist with NFPs
the establishment of scientific criteria for setting permit levels- PCU
emissions standards
Activity 6. Identify and prioritize contaminant `hot spots' with CRTC,
WHOP
transboundary implications, calculate using World Health Consultants
Organization (WHO) guidelines, and propose actions to address them; PCU
link to PIP process (supported by GEF)
Activity 7. Identify necessary reforms on national basis for the oil and CRTC,
Oil and Gas Industry
gas industry (linked to Component III)
NFPs
31
Objective VB. Strategies for Sustainable Management of Fish Resources and Other Commercially Exploited Aquatic Bioresources
(Activities led primarily by EU/TACIS and supported by GEF)
The most valuable economic fisheries resources by far are the seven species and subspecies of Caspian sturgeon. Restoring the regional
sturgeon resource is a top priority from both a biological and economic perspective. To develop sustainable sturgeon yields, a regional
approach that addresses the threats to all stages of the sturgeon's life cycle must be developed. This approach will directly affect numerous
individuals and organizations now operating in the region and some mechanism to assist affected stakeholders needs to be adopted and
implemented. Measures to reduce poaching and sustainably manage the remaining sturgeon fishery are most urgently needed.
Outputs:
Success Criteria:
Improved regional coordination of sturgeon fishery stakeholders; Stock assessment of fish resources prepared and widely
strategies for enhanced and sustainable sturgeon and other disseminated;
aquaculture; articulate and facilitate commitments to SAP and NCAPs. Regional working group on the sturgeon fishery established;
Common methodology for the exploration of aquatic
bioresources developed and agreed; and
Regional coordination to deal effectively with poaching and
illegal sales established.
Activities: Responsible
Parties:
Associated Internat'l Partners
Activity 1. Undertake stock assessment of fish resources and other Regional Institutions
FAO
living aquatic bioresources
Fisheries CRTC
Activity 2. Facilitate establishment of a regional legal working group Fisheries CRTC,
TRAFFIC,
representing all Caspian governments, with input from the private NFPs,
FAO,
sector, to prepare an agreement on the sturgeon fishery, to include PCU
UNEP
closed fishing periods, closed zones, minimum catch size, allowable
and forbidden gear, national quotas, important nursery areas to be
protected, etc. The result could also include ratification of The Draft
Convention for the Conservation and Utilization of the Bioresources of
the Caspian (linked to Component III)
Activity 3. Develop a Regional Strategy for artificial reproduction of Fisheries CRTC
FAO
aquatic bioresources, revival and expansion of selected hatcheries
Activity 4. Facilitate establishing regional coordination of enforcement Fisheries CRTC,
TRAFFIC,
bodies, equipped for rapid intervention, to deal effectively with PCU
FAO
poaching and illegal sales
Activity 5. Review of catch and by-catch data; fisheries capitalization; CRTC,
FAO
gear; aquaculture capacities, etc with a view towards SAP/NCAP PCU
actions (Supported by GEF)
32
Objective VC. Strategies for Integrated Transboundary Coastal Area Planning and Management (ITCAMP) (Activities led by GEF)
Adoption through SAP and country-specific NCAPs of common regional approaches to ITCAMPresults in reduced environmental
degradation and loss of coastal habitats for migratory species and preservation of global biodiversity. This element intends to provide
guidance for country focus on wetland habitat protections with transboundary implications.
Outputs:
Success Criteria:
Strengthened national and regional capacities to design, develop and Review of existing national legislation prepared and published;
implement ITCAMP. Regional and national commitments to expand Regional organizational framework for integrated coastal zone
ITCAMPthrough SAP and NCAPs. Develop effective regional management established; and
coordination body(s) for legislative, policy and technical compatibility Guidelines and procedures for ITCAMPdeveloped and widely
in (ITCAMP) using the mechanisms established through the distributed.
intersectoral coordinating function (see Component I, Objective C:
Intersectoral Coordination (including private sector) and Involvement
in SAP, NCAP and TDA Formulation Process).
Activities: Responsible
Parties
Associated Internat'l Partners
Activity 1. Review existing national legislation, regarding coastal zone ITCAMPNPPP
IOC, IMO
planning, management, and resource use, and evaluate implementation CRTC,
procedures at the national, regional and municipal levels
PCU
Activity 2. Develop draft guidelines and procedures for Integrated CRTC
IOC, IMO
Transboundary Coastal Area Planning & Management at national and ITCAMPConsultant
regional level
Activity 3. Prepare a regionally-endorsed Handbook for Integrated CRTC
IOC, IMO
Transboundary Coastal Area Planning & Management for the Caspian ITCAMPConsultant
Coast
ITCAMPNPPP
PCU
33
Objective VD. Strategies to Live with Water Level Fluctuations (Activities led by EU/TACIS); GEF to support one element (Activity 3)
Development of a water-level change strategy will require better understanding of the causes of the water-level fluctuations, transboundary
effects and global significance. This regional issue can only be addressed by a cooperative effort.
Outputs:
Success Criteria:
Enhanced national and regional capacities for living with and/or Better understanding of the causes of sea level fluctuations;
adapting to water-level fluctuations. NCAP and SAP commitments to transboundary effects and the global significance. Adaption
adaptation activities.
activities identified in NCAPs and SAP; and
Strategy to live with water level fluctuations prepared and
widely disseminated.
Activities: Responsible
Parties
Associated Internat'l Partners
Activity 1. Evaluate data and the state of knowledge on the Caspian CRTC EU/TACIs,
water-level fluctuations, (including inter-annual, long-term and storm-
WMO, IAEA,
related changes)
IOC
Activity 2. Improve the exchange of real time information on the CRTC,
EU/TACIs,
Caspian sea level fluctuations between monitoring centres; Establish a PCU
WMO, IAEA,
regional agreement for information exchange
GRID/Geneva, IOC
Activity 3. Evaluate influence of water level changes on the regional CRTC,
UNEP,
environment (Supported by GEF)
PCU
WMO, IAEA
Activity 4. Assist the ITCAMPCRTC to develop land and water use CRTC UNEP,
guidelines that take into account water level fluctuations as a recurrent,
WMO, IAEA
natural phenomenon, including planning for maximum high and
maximum low water levels during the course of a century
Activity 5. Draw on traditional land use practices where relevant to CRTC EU/TACIS,
help determine appropriate and inappropriate land uses in flood zones
WMO, IAEA
Activity 6. Adopt, after extensive discussion and extensive public CRTC,
EU/TACIS,
consultation, an operative strategy for living with Caspian water level NFPs
WMO, IAEA
fluctuations; integrate into SAP and NCAPs
PCU
Activity 7. Design an evaluation and review process, of the strategy for CRTC,
EU/TACIS,
living with Caspian water level fluctuations (every 5 years) in order to NFPs
WMO, IAEA
reflect new experience gained, accomplishments, new priorities and PCU
changing circumstances
34
Objective VE. Strategies for Combating Coastal Desertification and Land Degradation (Activities led by EU/TACIS and supported by
GEF)
Upland land use in the Caspian watershed is closely linked to effects on coastal waters. This objective will help to better understand the
problem of coastal desertification and to develop the Regional Strategy for Combating Desertification and Land Degradation as part of SAP.
Outputs:
Success Criteria:
Strengthen national and regional capacities and conceptual approaches Better understand the problem of coastal desertification;
for combating coastal desertification and land degradation. SAP and Regional strategy for combating desertification and land
NCAP commitments to interventions related to desertification and land degradation as part of the SAP developed; and
degradation.
Handbook for wise land use published.
Activities: Responsible
Parties
Associated Internat'l Partners
Activity 1. Establish a Regional network on coastal desertification and CRTC,
EU/TACIS,
land degradation to assist the Thematic Centre
PCU
WMO, UNEP
Activity 2. Develop a region-wide Inventory of Coastal Land Use CRTC EU/TACIS,
addressing erosion, soil saturation, salinisation, desert encroachment
WMO, UNEP
and other aspects of land degradation; identify in particular, those
WHO
practices that have an impact on Caspian water quality, agriculture,
public health, transportation, and settlement (Supported by GEF)
Activity 3. Organize a Regional Workshop on Combating Coastal CRTC
EU/TACIS,
Desertification and Land Degradation
PCU
WMO, UNEP
Desertification Convention
Activity 4. Collate a compendium of indigenous and traditional ways CRTC EU/TACIS,
to conserve land and combat desertification and develop the
WMO, UNEP
compendium into a Handbook for Wise Land Use
Activity 5. Develop the Regional Concepts as part of SAP for CRTC,
EU/TACIS,
Combating Desertification and Land Activity 6. Degradation, NFPs
WMO, UNEP
protecting deserts and stabilising human requirements
PCU
35
Objective VF. Strategies for Sustainable Human Development and Health (Activities supported in part by EU/TACIS and by GEF)
This objective will facilitate the compilation of a region-wide inventory of the environmental health hazards in the Caspian coastal area
including climatic extremes and natural disasters, occupational health practices, solid and liquid waste hazards, food contamination,
malnutrition, and access to safe drinking water. This objective will seek to strengthen the national environmental epidemiology capacity
through regional training courses and information exchange.
Outputs:
Success Criteria:
Strengthened national and regional environmental epidemiology A region-wide inventory of the environmental health hazards in
capacities, regional environmental health action plan.
the Caspian coastal area compiled;
Assessment of transboundary aspects of environmental
problems affecting human health prepared, published and
widely disseminated;
National environmental epidimiology capacity strengthened
through regional training courses and information exchange;
A Regional Environmental Health Action Plan developed as
part of the CEP Strategic Action Programme.
Activities: Responsible
Parties
Associated Internat'l Partners
Activity 1. Compile a region-wide inventory of the environmental Health CRTC,
UNDP,
health hazards in the Caspian coastal area including climatic extremes PCU
WHO
and natural disasters, occupational health practices, solid and liquid
waste hazards, food contamination, malnutrition, access to safe
drinking water, etc.
Activity 2. Assessment of transboundary aspects of environmental Health CRTC
UNDP,
problems affecting human health (Supported by GEF as a part of TDA)
WHO
Activity 3. Evaluate using formal Risk Assessment approach the Health CRTC
UNDP,
chronic impact on human health and well-being of the exposure to
WHO
atmospheric contaminants, radioactive particles, polluted water and
food and other hazards known to have been prevalent in past years
Activity 4. Evaluate existing health and environmental information Health CRTC,
UNDP,
systems which are able to monitor and assess the relationship between Info/Data Mgmt CRTC,
WHO
environment and health and which can act as an early warning system
PCU
Activity 5. Strengthen the national environmental epidemiology CRTC WHO,
capacity through regional training courses, information exchange and
GRID/Geneva
improved access to medical/scientific literature
Activity 6. Develop a Regional Environmental Health Action Plan that CRTC,
UNDP,
will be a part of the CEP SAP
NFPs
WHO
PCU
36
Objective VG. Regional Emergency Response Actions (Activities led by GEF)
This objective will evaluate regional capacities for effective emergency response; prepare risk assessment to identify potential high-risk
sources, along with information on sensitive habitats, working closely with the countries and the private sector.
Outputs:
Success Criteria:
Evaluation of regional emergency contingency planning as a part of Regional marine pollution preparedness, response and
TDA and SAP processes. Proposals for SAP/NCAP actions in the area. contingency plan developed.
Activities: Responsible
Parties
Associated Internat'l Partners
Activity 1. Evaluate regional capacities for effective emergency Emergency Response CRTC,
IMO,
response, assess regional contingency plans and regional cooperation, NFPs
WMO,
including but not limited to oil and gas sector activities
PCU
The World Bank
Activity 2. Prepare risk assessment to identify potential high-risk Emergency Response CRTC
IMO,
sources that could represent a major threat for transboundary changes,
WMO,
along with information on sensitive habitats that need to be protected
The World Bank
near those sources
37
Objective VH. Public Awareness and Involvement in CEP, SAP and NCAPs (Activities led by GEF and supported by EU/TACIS)
The CEP anticipates broad-based participation by the general public, private sector associations (especially oil and gas companies), academic
and research institutions, non-governmental organizations and local community groups. The Programme will identify key stakeholders,
particularly effective NGOs, bringing them together to strategize and discuss common issues, linking them together as appropriate for the
enhanced exchange of information and strategies, and involving them in the SAP & NCAP formulation processes done on country-specific
and regional bases.
Outputs:
Success Criteria:
Broader stakeholder involvement in and awareness of the Key stakeholders identified and involved in project activities,
environmental problems of the Caspian and activities of the CEP, both including public sector and private groups;
nationally and regionally
Public awareness and environmental education on Caspian
environmental issues enhanced;
Strong Regional NGO's network established; and
Newsletter and other educational awareness materials
published and widely disseminated.
Activities: Responsible
Parties
Associated Internat'l Partners
Activity 1. Facilitate socio-economic assessment of country-specific PCU TRAFFIC
local population and the identification of key stakeholders
Activity 2. Build the capacity of the country Intersectoral Coordinating PCU UNDP
Function to undertake public involvement activities
Activity 3. Create public awareness and environmental education PCU,
UNDP
campaign through participatory regional events publicized by popular NGOs,
media, NGO newsletters, and school-based environmental curricula ISCF
development
Activity 4. Sponsor and organize annual NGO forum for NGOs to Public Awareness Consultant
TRAFFIC,
network, identify priorities and responsibilities, and share data and NGO Forum,
UNDP
information
PCU
Activity 5. Create and administer a small grants program for NGOs NGO Forum,
UNDP
and community organizations to fund small scale activities related to PCU
the rehabilitation and improved management of Caspian resources
related to CEP recommendations
Activity 6. Involve scientifically based NGOs and the private sector in NGO Forum,
TRAFFIC
TDA, SAP and NCAP processes
NFPs, PCU
Activity 7. Assist in the preparation and distribution of NGOs, NFPs
UNDP
education/awareness media on the Caspian
UNOPS, PCU
Activity 8. Publish and disseminate a bi-annual newsletter describing Public Awareness NPPP
UNDP
ongoing activities of CEP, production of posters and handouts
NGOs, UNOPS, PCU
38
Objective VI. Formulation and Endorsement of Strategic Action Programme (SAP) and National Caspian Action Plans (NCAP) for
Priority Transboundary Issues (Activities led by UNDP and supported by EU/TACIS)
The intent of the SAP and NCAP processes are to obtain agreement regionally on priorities for transboundary issues. To determine
harmonized approaches for policy, legal and institutional reforms for addressing those top priority transboundary issues (SAP) and to
translate these reforms and priority investments into country-specific, expected baseline and additional actions in the NCAPs. The
Intersectoral Coordination Committee in each country plays a key role in the implementation among countries at the regional level and with
sub-national enties and stakeholders nationally to ensure policy reforms and priority investments are actually implemented. Close interaction
with private sector involvement in oil and gas issues and the Convention and Legal Framework component is important to ensure that the
stage is set for follow-up of this initial project through strong national commitments to specific reforms and investments.
Outputs:
Success Criteria:
Completed and endorsed SAP and NCAPs, consistent with NEAPs and Caspian NCAPs prepared and endorsed;
other national strategic planning programmes; National and donor National commitments and milestones identified and agreed;
commitments to SAP and NCAP implementation of financing so that Regional SAP prepared and endorsed at the highest gov't level;
transboundary priority problems will be addressed.
SAP broadly disseminated and publicized;
Donors and countries committed to financing SAP
implementation.
Activities: Responsible
Parties
Associated Internat'l Partners
Activity 1. PCU provides guidance, assistance and facilitation in NFPs, ISCF,
UNDP, UNEP,
coordination among all objectives contributing to the SAP and in CTA,
The World Bank,
supporting the Intersectoral Coordinating Function in each country to PCU
EU/TACIS
undertake its role
Activity 2. Use TDA and scenario analysis to test, evaluate and SAP & NCAP Consultants
UNDP, UNEP,
determine (I) priority national policy, legal and institutional reforms; NFPs,
The World Bank,
(ii.) priority investments and; (iii.) regional actions to be included in CRTCs, CTA,
EU/TACIS
the SAP and NCAPs
PCU
Activity 3. Assist countries in the preparation of draft Caspian NGOs,
UNDP, UNEP,
National Caspian Action Plans (NCAPs), involving stakeholders and NFPs
The World Bank,
donors in close cooperation with Component IV
PCU
EU/TACIS
Activity 4. Draft, refine and finalize regional Strategic Action S&N Consultant
UNDP, UNEP,
Programme (SAP) including identification of expected baseline and S&N NPPP
The World Bank,
additional actions in the proposed SAP (link baseline identification to CTA,
EU/TACIS
PIP process). This process will include all Caspian littoral states, the PCU
stakeholders, donors and external experts as required
39
(Objective VI - continued)
Activities: Responsible
Parties
Associated Internat'l Partners
Activity 5. Assist countries to refine and finalize NCAPs at highest S&N Consultant, NFPs,
UNDP, UNEP,
governmental level
CTA,
The World Bank,
PCU
EU/TACIS
Activity 6. Hold ministerial conference for SAP and NCAP S&N Consultant
UNDP, UNEP,
endorsement at highest governmental level
S&N NPPP,
The World Bank,
NFPs, CTA, PCU
EU/TACIS
Activity 7. Publish (print and on-line), broadly disseminate and UNOPS,
UNDP
publicize SAP and NCAPs
PCU
rence to facilitate financing of baseline and additional actions and S&N Consultant,
UNDP, UNEP
investments as outlined in each country's NCAP
S&N NPPP,
The World Bank
NFPs, CTA, PCU
40
V. INPUTS
It is expected that inputs to the Caspian Environment Programme will come from following sources: (1)
the Caspian country governments; (2) UNDP/GEF, (3) EU/TACIS, and (4) other donor
countries/organizations.
Several activities under the Caspian Environment Programme will be jointly funded and carried out by
GEF and by other multilateral and bilateral institutions. Thus, several activities in this project will receive
inputs both from GEF and other sources.
A. Government Inputs
Government Inputs are of two kinds: baseline activities and in-kind contributions. As specified in the
GEF Project Brief (Table in Annex IV of Project Brief), the contributions for national baseline activities for
the region total approximately $161,000,000. Baseline funding includes activities that the governments
implement nationally for Caspian-related issues, with primarily national benefits. In-kind contributions
consist of government provision of office space, facilities, personnel, and other actions directly
supporting the Caspian Environment Programme generally, and the GEF Project specifically. In-kind
contributions from each country have been estimated as follows:
Azerbaijan
$ 420,000
Islamic Republic of Iran
$ 300,000
Kazakhstan
$ 283,000
Russia
$ 300,000
Turkmenistan
$ 117,000
Total
$1,420,000
B. GEF Inputs
The Global Environment Facility (GEF) has allocated a total of US$8,394,862 for the Caspian
Environment Programme, for a three-year period from July 1999 to June 2002. UNDP (components I, II,
IV, V) and UNEP (component III) are the GEF Implementing Agencies for the CEP, with UNOPS
executing Components I, II and V, UNEP-ROE executing Component III, and the World Bank executing
the Priority Investment Portfolio Project (PIPP) under Component IV.
Objectives of the Caspian Environment Programme implemented by UNDP through the GEF project and
executed by UNOPS are:
Objective IA:
Programme Coordination Mechanism (assisted by EU/TACIS)
Objective IB:
Programmatic Support for CRTCs (assisted by EU/TACIS)
Objective IC:
Intersectoral Coordination (including private sector) and Involvement in SAP,
NCAPs and TDA Formulation Process (assisted by EU/TACIS)
Objective IIA:
Effective Regional Assessment of Contaminant Levels
Objective IIB:
Assessment of Transboundary Biodiversity Priorities
Objective IIC:
Effective Regional Information and Data Management
Objective IID:
Transboundary Diagnostic Analysis (assisted by Eu/TACIS)
Objective VC:
Strategies for Sustainable Management of Fish Resources and Other Commercially
Exploited Aquatic Bioresources (assisting EU/TACIS)
Objective
VF:
Strategies for Sustainable Human Development and Health (assisted by
EU/TACIS)
Objective VG:
Regional Emergency Response Actions (assisted by World Bank)
Objective VH:
Public Awareness and Involvement in CEP, SAP and NCAPs
Objective VI:
Formulation and Endorsement of SAP and NCAPs for Priority Transboundary
Issues (assisted by EU/TACIS)
41
The Objective of the CEP implemented by UNDP and executed by the World Bank is:
Objective IV:
Priority Investment Portfolios
The Objective of the CEP implemented by UNEP and executed by the UNEP Regional Office for Europe
(ROE) is:
Objective III:
Strengthened Institutional, Legal, Regulatory and Economic Frameworks for SAP
Implementation
11. The World Bank Inputs
The World Bank will provide staff for professional back-stopping of the PIP Component (IV) of the GEF
project, cooperate according to their possibilities and interest, particularly in the investment strategy.
They will attend the Steering Committee as full participants.
11. UNDP Inputs
The UNDP will provide staff for professional back-stopping of the project. They will also provide
services from the country offices, particularly through the active participation of the Sustainable
Development Advisers (SDAs), where appointed. UNDP has already committed $100,000 to pre-
implementation activities to maintain close coordination of the CEP prior to the GEF Project start-up. In
addition, UNDP RBAP has contemplated providing additional monetary assistance to Iran, in order to
raise the level of their participation in the CEP. Since Iran cannot be assisted by all international donors,
UNDP has made a special effort to raise their level of participation to parity with the other littoral states.
11. UNEP Inputs
UNEP will provide staff for professional back-stopping of the UNEP component activities (such as
through GRID-Geneva) and shall attend the project Steering Committee as full participants.
11. EU/TACIS Inputs
EU/TACIS is providing approximately US $6 million to assist the CEP. Close coordination between
EU/TACIS and other donors has enabled partitioning of the funding for the CEP. EU/TACIS is
supporting five thematic centres. In addition, it is establishing the PCU at present, which will later be
run by the UNDP/GEF staff as the GEF project is initiated. Objectives of the CEP implemented by
EU/TACIS include:
Objective VA:
Strategies to Strengthen Contaminant Abatement and Control Policies and
Procedures
Objective VB:
Strategies for Sustainable Management of Fish Resources and Other Commercially
Exploited Aquatic Bioresources
Objective VD:
Strategies to Live with Water Level Fluctuations
Objective VE:
Strategies for Combating Coastal Desertification and Land Degradation
11. RISKS
The long-term success of regional water body management Programmes such as the CEP depends, inter
alia, on the political willingness of the Countries to cooperate and on the availability of national and
international financial resources. The Caspian region presents several difficult issues that may hinder
implementation of Programme objectives. The former Soviet Caspian states1 are undergoing difficult
political, social and economic transitions and may not uniformly rank environmental protection among
their highest national priorities. Several have, however, evidenced sufficient concern about the health
and economic impacts of continued environmental degradation to undertake significant national
environmental programmes, often including projects financed externally as well as from national
budgets. All of the littoral states have expressed a willingness to collaborate together and with
1 Azerbaijan, Kazakhstan, Russia, and Turkmenistan
42
international partners to address the Caspian environment. Ongoing negotiations regarding the legal
status of the Caspian must be acknowledged as important, but the littoral states have consistently
indicated a willingness to address the environmental problems of the region even in the absence of a
broader agreement on the legal status. One of the constraints that Caspian littoral states face is lack of
equitable financing and technical assistance provided by donors.
However, risks due to policy changes resulting from the turnover of key government officials can not be
ignored. Impacts from economic changes and failures are much harder to predict; the four CIS countries
are in the difficult process of shifting towards a market economy and the state of individual economies
varies among the countries. Iran is also facing the daunting task of economic reconstruction as it
recovers from the major economic and social dislocations posed by the imposed war and low global oil
prices. In this regard, countries that are under economic stress during the transition period may focus
their investment priorities away from environmental concerns to the potential detriment of achieving
regional objectives. On the other hand, the expected growth in financial and economic linkages between
the five countries due to both historical and geographic factors may help to diminish impacts from any
short-term economic lapses experienced by individual countries during the project period.
The economic constraints and risks are much less predictable. Some countries in the region are facing
increasing uncertainties concerning the rate at which they move towards a market economy. The shift
appears inexorable, but the state of individual economies varies considerably and, in some cases, weak
economies have forced governments to focus their priorities for investment into areas with a marginal or
even negative environmental benefit. These shifts, occasionally demanded by external advisory bodies,
have delayed the implementation of sectoral funding mechanisms such as national environmental funds.
It is hoped that such constraints will not be imposed on the regional mechanism and the results of the
preliminary workshops were positive in all cases. The project will however, include the evaluation of
alternative funding mechanisms, in the case that the barriers prove insurmountable in the short term.
11. PRIOR OBLIGATIONS AND PREREQUISITES
The participating governments have taken a number of preparatory measures, including budgetary
allocations for the government contribution in kind, and have designated a senior official as a CEP
National Focal Point in each country. The remaining obligations and/or prerequisites for work to
commence on the CEP are as follows:
· approval of the Project Document by the Governments of all participating countries;
· designation by the Coordinators of technical experts who will work on various aspects of the
project, together with their responsibilities and reporting requirements (see relevant sectors of
Section D); and
· provision of the in-kind contributions to activities as specified in this document and agreed by
the GEF Council.
11.
INSTITUTIONAL FRAMEWORK, COORDINATION AND ADMINISTRATION
11. Institutional Arrangements
11. Regional Institutions
The CEP Steering Committee was composed during the PDF-B phase of representatives from Caspian
countries at the level of Deputy Ministers of Environment or equivalent rank, individuals and
representatives of international organizations, bilateral programs, and other organizations that actively
support the CEP.
The Regional Steering Committee for the Programme, as the supreme decision-making and supervisory
body of the CEP, will be responsible for approving strategic decisions and annual workplans, setting
program direction, reviewing CEP progress, and identifying new and additional funding related to
43
implementation of projects under the Caspian Environment Programme. Representatives of private
sector and other organizations that contribute to the CEP will be encouraged to participate in the
Steering Committee. The Steering Committee will provide policy-level liaison to national governments,
through Intersectoral Coordination in each country, regarding implementation of the program on the
country level, and will provide direction to the Programme Coordination Unit (PCU) regarding
preparation of the Caspian Regional Strategic Action Programme (SAP) and National Caspian Action
Plans (NCAPs).
The Programme Coordination Unit, which is accountable to and reports to the Steering Committee, will
provide a coordination and management structure for the development and implementation of the
Caspian Environment Programme in accordance with the rules and procedures of GEF/UNDP and
EU/TACIS based on directions provided by the Steering Committee. Specific attention will be given to
the development of a regional intersectoral coordination initiative so as to fully involve different
government ministries and the private sector in the Caspian Environment Programme. This regional
intersectoral Coordinating Function will liaise closely with those national institutions and agencies that
have been designated responsibility for such intersectoral coordination (see National Institutions below).
Caspian Regional Thematic Centres shall be based upon existing institutions with the best available
regional expertise in selected thematic areas. They will be responsible for: development of a work plan
and implementation of activities in respective thematic area, regional coordination within area of
competency, relevant regional recommendation development, guidance and strategy within area of
competency, assistance in development of the TDA and PIP, assist in development and implementation
of the National Caspian Action Plans (NCAP) and Strategic Action Programme (SAP).
11. National Institutions
Intersectoral Coordinating Function in each of the Caspian littoral states will provide guidance and
ensure coordination of a wide range of National institutions and organizations directly responsible for
the development and implementation of the Programme at the National level. The Intersectoral
Coordinating Function will have a full time, small secretariat (national and donor-supported) reporting
to (under the direction of) the National Focal Point, and will serve as the national liaison with the PCU.
Representation by the government will be expected at the deputy minister level.
As was done during the design of the framework TDA during the PDF-B, the governments of Caspian
countries will nominate National TDA Experts for finalization of the Transboundary Diagnostic
Analysis. These experts will assist the Intersectoral Coordinating Function in each country and advise
the Programme on background information, transboundary environmental problem analysis, root
causes, and needed sectoral and institutional changes for the successful management of Caspian
resources.
11. Project Implementation
The UN Office for Project Services (UNOPS) served as Executing Agency during the PDF-B phase and
will continue to serve as Executing Agency for this UNDP-implemented portion of the CEP
(Components I-III).
11. Coordination Arrangements
In order to facilitate coordination, reporting and communications with the participating Governments,
other Resident Representatives and donor agencies involved in the project, and in order to ensure proper
project monitoring and evaluation, the Resident Representative, Azerbaijan, is designated the Principal
Project Resident Representative (PPRR) for this project. In this role, the PPRR will assume the primary
responsibility for ensuring that activities of this project are coordinated with initiatives being supported
44
under other government or donor programmes of a similar nature, and that proper monitoring,
reporting and evaluation of project activities are undertaken.
Activities to be supported under the CEP will be carefully reviewed with all parties involved to make
certain they do not conflict with or duplicate activities being supported by participating governments or
international institutions.
The PCU will play a crucial role in ensuring coordination of this project with other relevant activities in
the region. To ensure donor coordination and cooperation, the lead international agencies (UNDP, The
World Bank, UNEP and EU/TACIS) will meet regularly and keep each other fully informed of their
respective activities. The Steering Committee will provide the forum through which national
representatives, donors and other relevant actors will coordinate their activities. Intersectoral
Coordinating Function in each of the Caspian littoral states will provide guidance and ensure
coordination of a wide range of National institutions and organizations directly responsible for the
implementation of the Programme at the National level.
11. PROJECT REVIEWS, REPORTING AND EVALUATION
In line with UNDP procedures, the project will be subject to tripartite review (TPR) once every twelve
months. On these occasions, the CTA will prepare an updated workplan and Annual Project Report
(APR) and formulate recommendations for eventual adjustments of strategies and activities. A draft
APR shall be prepared at least two months in advance of the TPR to allow review by UNDP prior to the
meeting. The project will also participate in the GEF Project Implementation Review (PIR) process.
Meetings can also be organized ad hoc at the request of the coordinator of the PCU and/or on request by
one of the participating countries. The Steering Committee will approve the final results of such
meetings.
Working in concert with appropriate scientific and technical institutions and government agencies in the
region and in line with emerging GEF policies, the project will develop a set of "indicators" to track the
short and long-term impacts of this project. Key indicators will include process (e.g., policy, legal,
institutional, etc. reforms), stress reduction (e.g., reduced pollutant loads, fishing pressure, etc.), and
environmental status (e.g., cleaner waters/sediments, restored habitats, sustainably managed fisheries,
etc.).
Periodic Status Reports would be prepared at the request of the Steering Committee for presentation at
key meetings associated with the Project.
The project will also participate in the UNDP-GEF International Water (IW) LEARN Project through
information exchange and sharing lessons learned with GEF and other regional waters projects.
Towards the end of year 3, a final independent evaluation of the project will be carried out by project
evaluation specialists selected by UNDP-GEF. The evaluation will include: an assessment of (a) the
outputs generated, (b) the processes used to generate them, (c) project impacts using indicators included
in the logical framework matrix and d) lessons learned.
11. LEGAL CONTEXT
For all five participating countries, Azerbaijan, Iran, Kazakhstan, Russian Federation and Turkmenistan,
this Project Document shall be the instrument referred to as such in Article 1 of the Standard Basic
Assistance Agreement (SBAA) between these governments and the United Nations Development
Programme, signed by the parties previously. The host countries' implementing agencies shall, for the
purpose of the SBAA, refer to the governments' cooperating agencies described in that Agreement.
45
The following types of revisions may be made to this Project Document with the signature of the
Principal Project Resident Representative (PPRR) only, provided he or she is assured that the other
signatures of the Project Document have no objection to the changes:
11. Revisions in, or addition of, any of the annexes of the Project Document.
11. Revisions that do not involve significant changes in the immediate components, 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.
11. Mandatory annual revisions that rephrase the delivery of agreed project inputs or increased
expert or other costs due to inflation or take into account agency expenditure flexibility.
46
11. BUDGET
Project Number: RER/98/G32/A/1G/31
Project Title: Addressing Transboundary Environmental Issues in the Caspian Environment
Programme
11. Budget Lines
Project Budget Covering UNDP Contribution (in U.S. Dollars)
Budget
Description
1999 2000 2001 Total
10.00
Personnel
11.00
International Experts
11.01 Project
Coordinator
$137,756 $171,919 $148,997 $458,672
11.02 Economist
$78,750
$109,200 $94,640
$282,590
11.03
Sci. Liaison & Info. Mgmt.Officer
$78,750
$109,200 $94,640
$282,590
11.04
Public Participation Advisor
$40,238
$40,238
$0
$80,475
11.51
Short-term Consultants
11.52 CEP
Advisor
$53,500 $53,500 $53,500 $160,500
11.53 Contaminant
Consultant
$24,000 $24,000 $0
$48,000
11.54 Biodiversity
Consultants
$39,400 $25,600 $12,000 $77,000
11.55 ITCAMPConsultants
$31,000 $31,000 $24,000 $86,000
11.56
Public Awareness Consultant
$11,000
$5,000
$5,000
$21,000
11.57
SAP and NCAP Consultants #1
$0
$47,600
$69,040
$116,640
11.58
SAP and NCAP Consultants #2
$0
$23,800
$21,000
$44,800
11.98 Interview
Travel
$2,500 $0
$0
$2,500
13.00
Administrative Support
13.01 Secretary
$10,500 $10,920 $11,356 $32,776
13.02 Driver
$6,500 $6,760 $7,030 $20,290
13.03
Adm. Asst.
$10,500
$10,920
$11,357
$32,777
13.04 Adm.
Officer
$15,000 $15,600 $16,224 $46,824
13.05 Receptionist
$7,500 $7,800 $8,112 $23,412
15.00
Duty Travel
15.01 PCU
Travel
$63,901 $54,065 $45,865 $163,831
16.00
Mission Costs
16.01 Missions
$18,000 $13,000 $69,000 $100,000
17.00
(Nat'l Project Professional Personnel)
17.01 Intersectoral
NPPP
$18,000 $18,000 $18,000 $54,000
17.02 Contaminant
NPPP
$8,000 $8,000 $8,000 $24,000
17.03 Biodiversity
NPPP
$3,000 $3,000 $3,000 $9,000
17.04
Information & Data Management NPPP $3,000 $0
$0
$3,000
17.05 TDA
NPPP
$5,000 $5,000 $0
$10,000
17.06
Public Awareness NPPP
$6,000
$6,000
$6,000
$18,000
19.00
COMPONENT TOTAL
$581,895 $700,222 $640,261 $1,922,377
21.00
Subcontracts
21.01 TRAFFIC
(Vh)
$20,000 $20,000 $0
$40,000
21.02
WHG (Ib, IIc, IId)
$91,900
$104,400 $19,000
$215,300
21.03 IAEA
(IIa)
$25,000 $25,000 $0
$50,000
21.04
Local Institutions (IIa)
$90,000
$90,000
$0
$180,000
47
BUDGET (CONT'D)
Budget
Description
1999 2000 2001 Total
21.05
FAO (IIb & Vb)
$25,000
$25,000
$5,000
$55,000
21.06 GRID/Geneva
(IIc)
$20,000 $20,000 $5,000 $45,000
21.07 IMO
(Vg)
$20,000 $20,000 $0
$40,000
21.08
Regional Institutions (Va, Vb, Ve)
$50,000
$50,000
$50,000
$150,000
21.09 IOC
(Vc)
$25,000 $25,000 $0
$50,000
21.10 WMO
(Vd)
$15,000 $10,000 $0
$25,000
21.11 WHO
(Vf)
$5,000 $10,000 $10,000 $25,000
21.12 Misc-Local
Institutions $280,000 $353,500 $158,000 $791,500
(Ib,IIa,b,c,d,Vc,g,h,i)
21.13 UNIDO
(Va)
$20,000 $20,000 $0
$40,000
29.00
COMPONENT TOTAL
$686,900 $772,900 $247,000 $1,706,800
30.00
Training
32.00 Local
Training
$35,000 $35,000 $35,000 $105,000
32.02 Meetings
$183,054 $186,618 $149,842 $519,513
39.00
COMPONENT TOTAL
$218,054 $221,618 $184,842 $624,513
40.00
Equipment
45.01 Equipment
$146,300
$25,000 $25,000 $196,300
49.00
COMPONENT TOTAL
$146,300 $25,000
$25,000
$196,300
50.00
Miscellaneous
51.01
Office Operation and Maintenance
$4,000
$9,000
$9,000
$22,000
51.02 Communications
$43,500 $43,500 $45,500 $132,500
52.01 Reporting
Costs
$19,250 $19,250 $43,250 $81,750
53.02
Miscellaneous
$9,500
$2,000
$2,000
$13,500
54.01
Project Support Services
$35,986
$37,868
$25,667
$99,521
59.00
COMPONENT TOTAL
$112,236 $111,618 $125,417 $349,271
Subtotal
$1,817,292 $1,912,323 $1,296,186 $5,075,562
93.00
UNOPS Support (6%)
$298,562
99.00
Total UNDP
$5,374,124
TOTAL GEF (2 IA's)
$8,394,862
48
B. CEP PROGRAMME COSTS (USD)
Component Objective
Increment
(A-B)
Gov GEF EU/TACIS
UNEP
UNDP
WB
Private
I. Project A. Programme Coordination Mechanism
200,000 1,668,337
200,000
100,000
Coordination
I. Project B. Programmatic Support for Caspian Regional Thematic 1,220,000 534,355
Coordination
Centres
I. Project C. Intersectoral Coordination (including private sector) and 131,500
Coordination
Involvement in SAP, NCAP and TDA Formulation
Process
II. TDA
A. Effective Regional Assessment of Contaminant Levels
410,655
II. TDA
B. Assessment of Transboundary Biodiversity Priorities
326,571
II. TDA
C. Effective Regional Information and Data Management
290,798
II. TDA
D. Transboundary Diagnostic Analysis
297,791
III. Legislative Strengthened Institutional, Legal, Regulatory and 0
560,000
(UNEP)
Framework &
Economic Frameworks for SAP Implementation
614,715 (GEF)
Convention
IV. PIPs
Priority Investment Portfolios for Transboundary 0
2,406,023(GEF)
Priorities
2,974,000(WB)
V. Formulation of A. Strategies to Strengthen Contaminant Abatement and 106,000
SAP & NCAP
Control Policies and Procedures
V. Formulation of B. Strategies for Sustainable Management of Fish Resources 54,000
SAP & NCAP
and Other Commercially Exploited Aquatic Bioresourses
V. Formulation of C. Strategies for Integrated Transboundary Coastal Area 387,480
SAP & NCAP
Planning and Management
V. Formulation of D. Strategies to Live With Water Level Fluctuations
25,000
SAP & NCAP
V. Formulation of E. Strategies for Combating Coastal Desertification and 45,000
SAP & NCAP
Land Degradation
V. Formulation of F. Strategies for Sustainable Human Development and 25,000
SAP & NCAP
Health
V. Formulation of G. Regional Emergency Response Actions
179,805
SAP & NCAP
V. Formulation of H. Public Awareness and Involvement in CEP, SAP and 197,000
SAP & NCAP
NCAPs
V. Formulation of I. Formulation and Endorsement of Strategic Action 296,749
SAP & NCAP
Programme (SAP) and National Caspian Action Plans
(NCAPs) for Priority Transboundary Issues.
Total:
1,420,000 4,976,041 6,000,000 1,174,715 200,000
5,380,023 100,000
49
PDF: 349,920
PPRR: 99,521
EA Project Support Costs: 298,562
Total Programme Cost: 19,998,782
49
C. Budget Description
This GEF budget for Programme support implemented by UNDP will be executed by UNOPS. Brief
descriptions of aspects of the budget are included below:
International Experts:
These International Experts will be recruited internationally, using processes and procedures well
established by the UNOPS and accepted by the United Nations member states. Their salaries and
expenses will be paid according to scales reviewed regularly by the UNOPS for UNDP operations
worldwide. Three international experts are anticipated by the project, in support of the CEP. Detailed
Job Descriptions are available in Annex I.
Programme Coordinator: Also referred to as a Chief Technical Advisor, this individual will be
responsible for the field implementation of the UNDP portion of the GEF Project. This individual will be
the Caspian Environment Programme Coordinator (or Programme Coordinator).
Economist: The Economist will assist in focusing effort on the environmental analyses associated with
successful achievement of the goals of the CEP.
The Scientific Liaison and Information Management Officer: The Scientific Liaison and Information
Management Officer will assist in regional coordination, information dissemination, education and
public outreach.
Public Participation Advisor: The Public Information Officer will be responsible for the project elements
designed for enhancing public awareness and participation in the CEP activities.
50
D. Abbreviated Terms of Reference for Short-term International Consultants, Local PCU Staff and
National Project Professional Personnel (NPPPs)
1. Short-term International Consultants
Short-term international consultants will give technical inputs to the national and regional working
groups, act as resource persons, and give methodological guidance in organizing meetings and
workshops. International expertise will be required in the following themes (detailed Terms of
References will be prepared by the CTA during project implementation):
CEP Advisor
Performs special projects and analyses for the Steering Committee and the GEF Project Coordinator.
Examples of such special projects include the Caspian Environmental Fund (CEF) that has been
requested by the Caspian littoral states as one modality for sustainability. Also, interaction with the
Private Sector may require Dr. Aubrey's assistance. The UNDP has requested that Dr. David G. Aubrey
continue his involvement in the CEP in this role.
Contaminant Consultant
Evaluates existing data sets, needs and data gaps, monitoring programmes and monitoring capabilities.
Prepares the regional assessment of contaminant sources. Helps establish and/or strengthen links
between monitoring centres. Contributes significantly to the TDA preparation process.
Biodiversity Consultant
Coordinates the preparation of the Inventory of Caspian Ecological Resources, Caspian Red Data Book
and National Reports on the State of the Caspian Biodiversity. Evaluates existing protected areas and
habitat protection status. Contributes significantly to the TDA preparation process.
Integrated Transboundary Coastal Area Planning and Management Consultant
Develops draft guidelines and procedures for Integrated Transboundary Coastal Area Planning &
Management at national and regional levels. Assists the countries in preparing and obtaining
endorsements of the regional Handbook for Integrated Transboundary Coastal Area Planning &
Management for the Caspian coast.
Public Awareness Consultant
Provides technical support to the CTA in preparing Public Awareness and environmental education
campaign. Helps organize the international NGO network and annual NGO forum. Assists in
developing a small grants program for NGO's and community organizations. Assists in preparing and
distributing educational/awareness materials.
Strategic Action Programme (SAP) and National Caspian Action Plans (NCAP's) Consultants
Assists the CTA in drafting, refining and finalizing regional Strategic Action Programme. Assists
countries in preparing the draft Caspian National Strategic Action Plans.
2. Local PCU Staff
The GEF/UNDP has made a commitment to hire local staff to carry out important functions of the PCU.
Local staff will include a secretary, a driver, and Administrative Assistant, an Administrative Officer,
and a Receptionist. Their Job Descriptions are included in Annex I.
Duty Travel
These funds are for travel of the PCU staff throughout the region and elsewhere in support of the Project.
Local travel funds are primarily for regional personnel to attend workshops, meetings, training, and
51
other functions throughout the region.
Mission Costs
These expenses are to pay for UNOPS, UNDP/GEF, and National Focal Points to attend Tripartite
Reviews and other review sessions during the course of the Project.
3. National Project Professional Personnel (NPPP)
National Professionals and Consultants will be recruited from qualified candidates from the participating
countries to work at the national level. National Consultants will play an important role in the SAP
planning process so that SAP is country-driven and can reinforce the responsibility of the participating
countries to produce a coherent strategic plan for sustainable environmental management in the Region.
The following National Professionals and Consultants will be recruited. The detailed Terms of
References will be prepared by the CTA during project implementation.
Intersectoral NPPPs
Each country will receive funding for a mid-level secretary/clerk to support the Intersectoral
Coordinating Function. This individual will be responsible to the National Focal Point to help assure
national coordination, and to maintain consistent communication with the PCU and thematic centres.
Contaminant NPPPs
Working under the guidance of the International Contaminant Consultant and the PCU staff, they are
responsible for compiling data on pollution sources, producing and editing reports.
Biodiversity NPPPs
Working under the guidance of the International Biodiversity Consultant and the PCU, they identify and
compile ecological information for entry into a regional biodiversity database. They assist in the
preparation of the Overview on the State of the Caspian Biodiversity. They prepare meeting
documentation and produce and edit reports.
Information & Data Management NPPP
Under the guidance of the Scientific Liaison and Information Management Officer, the individual
prepares and holds a Caspian regional workshop on environmental information networking (EIN).
TDA NPPP
This individual will assist the PCU in final preparation, compilation, editing, and publication of the
Transboundary Diagnostic Analysis.
Public Awareness NPPP
This individual will assist in regional public awareness campaigns. They will assist in assuring regional
coordination and consistency amongst public awareness efforts, and will contribute to PCU publications.
E. Subcontracts
The majority of the work being done both by international agencies and by the countries will be
conducted under the mechanism of subcontracts. Subcontracts will be executed with the individual
institutions, agencies, NGO or other recognized, legal entity to perform specific activities associated with
the GEF/UNDP project. The subcontract will be based on specific terms and scope of work, agreed to
prior to executing the contract.
At the request from the region at the Tehran and Ramsar meetings, held in April and May
52
1998, various international agencies are being provided with seed funding to secure their assistance in
implementing the CEP. Due to limitations in funds available for the GEF project, only small amounts of
funding are being provided, with the expectation that additional funds will be sought by the agencies to
assist the CEP with external funds in the future. International agencies participating in this UNDP/GEF
project include: IAEA, FAO, GRID/UNEP, IMO, IOC, WMO, WHO, and UNIDO.
In addition to the international agencies, subcontracts will be let to various subcontractors within and
external to the region. Specifically:
Local Institutions in support of the CTRC for Effective Regional Assessment of Contaminant Levels:
specifically for acquisition of data to fill in data gaps required for completion of the TDA.
TRAFFIC: to assist in Public Awareness.
WHG: The Woods Hole Group will assist in various Components of the project, including establishment
of the CRTCs, Regional Information and Data Management, and Transboundary Diagnostic Analysis.
WHG will bring to the Project extensive knowledge of the Caspian Region, nearly a decade of experience
in the region, plus experience from other UNDP projects in these specific project areas.
Regional Institutions to assist in the EU/TACIS themes, where EU/TACIS cannot make such
participation available. For instance, Iran participation in the EU/TACIS themes will be provided from
this budget line. Specific themes include Contaminant Abatement and Control, Sustainable Management
of Fish Resources and other Commercially Exploited Aquatic Resources, Water Level Fluctuations,
Combating Coastal Desertification, and Sustainable Human Health.
Misc. Local Institutions: To support activities in the Thematic Areas hosted by the GEF/UNDP. These
subcontracts will assure participation by all five littoral states in all themes hosted by GEF/UNDP.
Training:
Training will be made available through small grants, for a variety of mechanisms. Most training is
targeted in the area of Integrated Coastal Area Planning and Management. In addition, meeting
expenses are included in this category, to cover the local costs (not travel and DSA) associated with
hosting meetings in the region.
Equipment:
Equipment costs include that required for establishing the PCU, the Intersectoral Coordinating
Functions, and the Thematic Centres. Most equipment is expected to be available and purchased within
the region. However, provision is made to purchase some equipment internationally, if not available
within the region. Equipment costs include both permanent equipment as well as expendable supplies
and equipment. Communications costs are budgeted for the PCU, Intersectoral Coordinating Functions,
and Thematic Centres. Finally, Office Operations and Maintenance costs are provided for the PCU.
Miscellaneous Costs:
Costs are included for reporting costs (publications, technical documents) for the PCU and the Thematic
Centres. Sundries are for PCU-associated items not falling under previous categories.
Support Costs:
Six percent of the costs of the GEF/UNDP Project, excepting the UNDP Project Support Costs line item
discussed above, are made available for Project Execution by UNOPS.
53
ANNEX I
Terms of Reference
Caspian Environment Programme
Program Coordination Unit (PCU)
Baku, Azerbaijan
Background: The PCU will provide a coordination and management structure for the development and
implementation of the Caspian Environment Program in accordance with the rules and procedures of
GEF/UNDP and EU/TACIS based on directions provided by the Steering Committee.
Tasks:
· Assistance in networking between National Focal Points and Intersectoral Coordinating Function in
all five coastal countries (Azerbaijan, Iran, Kazakhstan, Russian Federation, Turkmenistan);
· Organization of technical cooperation activities between Caspian Regional Thematic Centres in all
five coastal countries for capacity-building, environmental policy, management and pre-investment
activities;
· Organization of consultative meetings for introducing and implementing programme activities;
· Collection and dissemination of information on policy, economic, scientific and technical issues
related to the programme; that are not addressed by the Caspian Regional Thematic Centres;
· Provision of support for the preparation of technical and pre-investment studies;
· Preparation of progress reports (administrative and financial) concerning programme activities;
· Establishment of and assistance in networking between specialized institutions in participating
countries and technical specialists from elsewhere;
· Assistance in implementing pilot projects for the environment;
· Coordination of international, multi-lateral and bi-lateral environmental activities in the Caspian,
where appropriate; and
· Programme management (financial, logistical and strategic) particularly in the context of both the
GEF/UNDP and EU/TACIS projects.
54
ANNEX I (continued) - Job Descriptions for the Programme Coordination Unit Staff
A. Professional Staff
Programme Coordinator
General Job Description
The Programme Coordinator shall be responsible for the overall coordination of all aspects of the
Caspian Environmental Programme (CEP) in general and the overall management and supervision of
the GEF project in particular. He/she shall liaise directly with the CEP National Focal Points and the
representatives of the GEF partners and other donors, in order to coordinate the annual work plan for the
programme. The work plan will provide guidance on the day-to-day implementation of the current
project document and on the integration of the various donor funded parallel initiatives. He/she shall be
responsible for all substantive, managerial and financial reports from the Project. He/she will provide
overall supervision for all GEF staff in the Programme Coordination Unit as well as guiding and
supervising all external policy relations. He/she shall consult with, and coordinate closely with, the
Principal Project Resident Representative, senior representatives of partner agencies as well as the
respective UNDP officers in all Caspian Countries.
Duties
The Programme Coordinator will have the following specific duties:
· to manage the GEF Components of the PCU, its staff, budget and imprest fund;
· to prepare the annual work plan of the programme on the basis of the Project Document, in
close consultation and coordination with the National Focal Points, GEF Partners and relevant
donors;
· to coordinate and monitor the activities described in the work plan;
· to ensure consistency between the various programme elements and related activities
provided or funded by other donor organizations;
· to prepare and oversee the development of Terms of Reference for consultants and
contractors;
· to coordinate and oversee the preparation of the substantive and operational reports from the
Programme; and
· to foster and establish links with other related Caspian programmes and, where appropriate,
with other regional International Waters programmes.
Skills and Experience Required
· post-graduate degree in Environmental Management or a directly related field (e.g. applied
marine science, natural resources economics, etc.);
· at least twenty years experience in fields related to the assignment. At least ten years
experience at a senior project management level. Demonstrated diplomatic and negotiating
skills;
· familiarity with the goals and procedures of international organizations, in particular those of
the GEF partners (UNDP, UNEP, World Bank);
· excellent knowledge of English; and
· familiarity with the coastal countries, knowledge of one of their languages would be an asset.
Duty station: Baku, Azerbaijan
Duration: Three years on a fixed-term contract
Suggested post level: D1
55
ANNEX I (continued) - Job Descriptions for the Programme Coordination Unit Staff
Scientific Liaison and Information Management Officer
General Job Description
The Scientific Liaison and Information Management Officer will be responsible for information capture,
exchange and networking between a wide range of participants in the CEP including government
officials, scientists, non-governmental organizations and the public at large. He/she will work closely
with institutional focal points, specialized UN Agencies, international NGOs (such as WWF, IUCN), and
will cooperate with and encourage activities of other donors in this field. He/she shall work under the
supervision of the Programme Coordinator within the Programme Coordination Unit (PCU), which will
be established in Baku.
Duties
The Scientific Liaison and Information Management Officer will have the following specific duties:
· to generate and maintain a directory of all persons and institutions engaged in work related to
the implementation of the programme;
· to supervise data exchange and the maintenance of the data communications network
between CEP cooperating institutions;
· to edit a regular information bulletin on the programme (Initially issued in English and
Russian and widely distributed);
· to supervise the development of a library for the PCU;
· to supervise the development and maintenance of information management strategies
(Information Systems, GIS) developed during the CEP Phase I;
· to develop and maintain a Home page of the CEP
· to liaise with donors, specialized UN Agencies (such as IOC of UNESCO, UNEP, WMO),
international NGOs (such as WWF, IUCN) and other organizations involved in establishing
and managing scientific research programmes in the Caspian;
· to supervise the production of the Technical Series publications; and
· to assist with the administration of other information-related technical issues where required
by the Coordinator.
Skills and Experience Required
This post has strict language requirements. The incumbent should be fully fluent (including a proven
writing and editing ability) in English and Russian.
Other requirements are as follows:
· post-graduate degree in environmental science, information management or a directly related
field;
· at least five years experience in similar international posts dealing with information exchange
and international scientific/environmental management projects;
· proven experience with computer data bases, GIS, web design and information systems;
· experience in training other specialists; and
· familiarity with the problems of the Caspian region would be advantageous.
Duty station: Baku, Azerbaijan
Duration: Three years on a fixed-term contract
Suggested post level: P3-P4
56
ANNEX I (continued) - Job Descriptions for the Programme Coordination Unit Staff
Environmental and Resource Economist
General Job Description
The Environmental and Resource Economist will contribute to the environmental economics and
sustainable development aspects of the project. He/she will work under the supervision of the
Programme Coordinator within the Programme Coordination Unit (PCU), which has been established in
Baku.
Duties
The Environmental and Resource Economist will have the following specific duties:
· help define the economic benefits associated with sound environmental management in the
Caspian region;
· to identify and define economic benefits associated with the CEP;
· to train personnel in the region including each thematic area to incorporate economic benefit
arguments;
· to support ISCF and National Focal Points in bringing sustainable resource management
arguments to relevant Ministries;
· to be actively involved in capacity building programmes, institutional development, EIA,
development of economic tools;
· to analyze the economic and technical reports to be used as a strategic framework (or
background information) on economic, environmental, policy and legislative issues for the
Caspian Action programme;
· to coordinate with the Scientific Liaison and Information Management Officer in the capture
and management of national and regional economic and technical information within the
Programme database;
· to assist in the completion of reports related to environmental economics, including priority
investments and pollution hot spots, with special emphasis on costs and benefits of actions
aimed at ameliorating the environmental degradation of the Caspian;
· to coordinate activities and outputs of the economic and technical studies, including liaising
with consultants and relevant international agencies;
· to assist in the design of research on environmental awareness in the region; and
· to assist with the other economic issues where required by the Coordinator.
Skills and Experience Required
· post-graduate degree in economics, business administration and, preferably additional
qualifications in environmental management;
· at least two years experience in similar posts in international organizations dealing with
environmental management projects;
· familiarity with goals and procedures of international organisations, in particular of the GEF
partners;
· familiarity with problems of the Caspian; and
· full fluency in English and preferably Russian.
Duty station: Baku, Azerbaijan
Duration: Three years on a fixed-term contract
Suggested post level: P3-P4
57
ANNEX I (continued) - Job Descriptions for the Programme Coordinating Unit Staff
Public Participation Advisor
General Job Description
The Public Participation Advisor will be responsible for the project elements designed for enhancing
public awareness and participation in the CEP activities. He/she will work closely with Governmental
and Non-Governmental Organizations and will liaise with corresponding activities of other donors in
this field. He/she shall work under the supervision of the Programme Coordinator within the
Programme Coordination Unit (PCU), which will be established in Baku. The Public Participation
Advisor will coordinate closely with the Scientific Liaison and Information Management Officer in the
dissemination of all technical information.
Duties
The Public Participation Advisor will have the following specific duties:
· to establish and coordinate technical support to the Caspian NGO network;
· to assist in the design of a comprehensive public awareness programme, with special
emphasis on schools and local communities;
· to coordinate the organization of social assessments of human populations particularly
affected by the changing environmental state of the Caspian or contributing to its decline;
· to coordinate the GEF support to small-scale pilot projects of regional/global significance;
· to liaise with other donors on the implementation of projects which support public
participation/ public awareness in the Caspian region; and
· to assist with the administration of other Public Awareness and Education issues where
required by the Coordinator.
Skills and Experience Required
· post-graduate degree in environmental studies or a directly related field;
· at least two years direct experience with the establishment and management of NGOs;
· familiarity with the problems of the Caspian; and
· full fluency (spoken and written) in English and Russian.
Duty station: Baku, Azerbaijan
Duration: Three years on a fixed-term contract
Suggested post level: P2/P3
58
ANNEX I (continued) - Administrative Structure of the PCU
The administrative staff of the PCU will consists of four persons, two assisting with financial
management, one providing secretarial and public relations support and one driver. The job descriptions
are established in such a manner as to allow certain flexibility in order that either of the staff involved
with financial management can cover the other's basic duties in case of absence and likewise with the
secretarial staff. A collegial rather than hierarchical approach has been adopted which reflects the high
degree of professional skill and integrity expected of the staff (i.e. differences in grading between posts
will be small in order to create a team rather than a layered bureaucracy). In the case of the secretarial
staff, clerical duties have been minimized in order to further integrate the staff in the basic operations of
the PCU and eventually promote career development.
Brief job descriptions of the staff are provided in the following pages. All staff will be encouraged to
familiarize themselves with these descriptions in order to understand each other's roles and to avoid
eventual misunderstandings. The descriptions will be reviewed and, if necessary updated, on an annual
basis. Additionally, in times of exceptional workload or where specialist support is required, some part-
time or temporary support may be hired. Information on office hours and special conditions may be
found on the final page of this document.
59
ANNEX I (continued) - Job Descriptions for the Programme Coordination Unit Staff
B. Local Staff
Administrative Officer
General Job Description
Under the supervision of the Programme Coordinator, the Administrative Officer will manage the day to
day operations of the PCU, particularly with respect to finances, technical services, procurement
(including importation, permits, etc.) and personnel matters (in close cooperation with the counterpart
staff of UNOPS and the UNDP Field Office in Baku). The post holder will be the principal line of liaison
between the PCU and the UNOPS PMO in all financial and administrative matters.
Duties
1. Administrative Functions
The incumbent will ensure the proper day to day functioning of the PCU by supervising the provision of
all necessary supplies and services including maintenance contracts, office supplies and communications.
He/she will personally supervise the driver and ensure the correct and appropriate use of the PCU
vehicle. He/she will personally supervise the Administrative Assistant. He/she shall be responsible for
the proper running and upkeep of the PCU hardware including the computers, copiers, etc.
2. Finances
The Administrative Officer will administer the petty cash and imprest account on behalf of the
Programme Coordinator and prepare relevant documents including monthly cash statements, requests
for replenishment and budget reviews and revisions. He/she shall oversee the work of the
Administrative Assistant regarding financial issues.. The Administrative Officer shall also be responsible
for paying DSAs, etc., for participants in all project-financed workshops organized by, or on behalf of,
the PCU. He/she shall be responsible for preparing all relevant documents for administering the
imprest account for final approval by the Programme Coordinator, in conformity with the stipulations of
the financial regulations of UNOPS.
3. Procurement
The incumbent will undertake all duties relevant to local procurement. He/she will maintain records of
suppliers, obtain competitive bids for the consideration of the Programme Coordinator and complete the
relevant documentation including that pertinent to the tax status of the PCU. In close contact with the
UNOPS PMO, he/she will arrange for customs clearance of imported goods and for shipping documents
in the event of supply of locally purchased equipment to the regional institutional network. He/she will
maintain precise records of all goods purchased on behalf of the Project. The incumbent will also be
responsible for maintaining proper equipment inventories as well as for ensuring the proper labeling and
recording of equipment delivered to the field. Records will also be maintained of all materials purchased
by the other donors and used within the regional network.
4. Personnel Matters
The Administrative Officer shall assist all the PCU staff with personnel matters relevant to the
performance of official duties. This work, with support from the driver and general officer, will include
the obtaining of visas (a service to be limited to duty travel). Such assistance will be provided in
consultation with the Programme Coordinator and in close liaison with the UNOPS PMO and the
relevant sections of UNDP. Assistance will include, supply of forms for personnel services (including
medical reimbursements) and advice on their completion where
60
Administrative Officer - General Job Description (cont'd)
requested. Assistance to newly arriving or departing staff for shipment of their personal effects, opening
bank accounts, etc. (assistance to be provided at the discretion of the Programme Coordinator). The
incumbent will also supervise keeping records of time and attendance and informing staff of vacation
periods and any other UNDP-related administrative functions as required by the Programme
Coordinator.
Skill and Experience Requirements
· higher educational diploma in administration or a directly relevant field;
· three years proven experience in administration and budget management;
· fluency in English and Russian;
· proven experience in the management of computer or other office technology equipment;
· good knowledge of UNDP policies and regulations; and
· driving license.
Recommended Grading: P1/P2 equivalent
61
ANNEX I (continued) - Job Descriptions for the Programme Coordination Unit Staff
Administrative Assistant
General Job Description
The Administrative Assistant will perform two major tasks requiring a knowledge of computer data base
management: (1) in association with the Administrative Officer and Technical Specialist to maintain the
project accounts; and (2) to assist the Programme Coordinator and the Technical staff with the
maintenance of computer-based statistics regarding the management of the project (particularly
contracting), project activities and use of the outputs.
Duties
1. Accounting
The incumbent will prepare and maintain the local records of project accounts, particularly those
pertaining to the imprest fund. He/she shall prepare all relevant documents for administering the
imprest account for final approval by the Programme Coordinator, in conformity with the stipulations of
the financial regulations of the executing agency. He/she shall prepare bank reconciliations and records
of total project expenditure (including, where possible, full records of counterpart contributions to the
project). He/she will assume the duties of the Administrative Officer during his/her periods of absence.
2. Management Information
The Assistant will work closely with the Programme Coordinator, the Scientific Liaison and Information
Management Officer and Technical Staff on the development and maintenance of a statistical data base
on project management. This work will include inter alia, records of all contracts (including Inter-Agency
Agreements), participation in CEP events, records of all MODs opened, information regarding the project
expenditures within each budget category and for each project thematic area.
3. Budget Management
The incumbent will monitor Programme expenditures with reference to the approved budget. He/she
will prepare budget proposals and also attend to all financial and budgetary aspects of the
implementation of the programme including the following specific duties:
· to monitor expenditures - this will entail monitoring the IAAs (i.e. liaising with the agencies and
the PMO), monitoring special Components of the CEP and, review of the executing agency
finance records of expenditures against MODs and budget lines;
· to prepare draft budget revisions and working budgets in consultation with the PMO and the
Programme Coordinator;
· to assist the project staff to prepare budgets for meetings and activities and to review incoming
authorizations to ensure adequate recording against budget lines (and take appropriate action to
correct and/or revise requests and alert UNOPS); and
· to assist the Coordinator to prepare special budget and financial statements (for Steering
Committee and Donor meetings, etc.) and to regularly brief the Coordinator on the financial
status of the project.
Skills and Experience Required
· higher educational diploma in a directly relevant field;
· proven experience in accounting or the management of computer data bases;
· fluency in English; and
· availability to travel to outside meetings when required.
Recommended Grading: G5/G6
62
ANNEX I (continued) - Job Descriptions for the Programme Coordination Unit Staff
Secretary
General Job Description
The Secretary, working under the close supervision of Administrative Officer, will have responsibility for
a variety of tasks essential to maintaining the efficient operation of the PCU. These include
communications tasks, assisting with travel arrangements and general secretarial duties. The post
requires language abilities, experience with PCs, good communication skills, and a capacity for clearly
discerning priorities under irregular work pressure. The incumbent will be required to keep regular
working hours in order to ensure the proper manning of the PCU reception.
Duties
1. Communication tasks
The incumbent will be responsible for the external communication of the PCU. This includes: (a)
managing telephone, fax and electronic mail communication and the PCU address book; (b) updating the
mailing; and (c) organizing outgoing official mail, particularly the mailing of all circulars, invitations to
meetings and meeting reports.
2. Staff travel
The Secretary will organize staff travel in close cooperation with the Administrative Officer and
following the current staff travel rules. He/she will assist the staff and consultants with the advance
planning of travel, investigating routes, connections and hotel arrangements. He/she will also assist the
project staff with the travel plans for external meetings. He/she shall organize, together with the
Administrative Officer, the hotel arrangements and programme of activities for participants in meetings
organized by the PCU.
3. General Secretarial Duties
The incumbent will be requested to assist with the maintenance of project files and the photocopying of
specific documents. He/she will also prepare and type texts for the project staff where there is an urgent
need and where the work plan permits.
Skills and Experience Required
· higher educational diploma in a directly relevant field;
· proven computer skills; and
· fluency in English and Russian and preferably Azeri.
Recommended Grading: G3/G4
63
ANNEX I (continued) - Job Descriptions for the Programme Coordination Unit Staff
Receptionist
General Job Description
The Receptionist, working under the close supervision of the Administrative Officer, will have
responsibility for answering telephones and greeting visitors to the PCU. In addition, the receptionist
will support the Secretary in a variety of tasks essential to maintaining the efficient operation of the PCU.
These include communications tasks, assisting with travel arrangements and general secretarial duties.
The post requires language abilities, experience with telephone systems and PCs and good
communication skills. The incumbent will be required to keep regular working hours in order to ensure
the proper manning of the PCU reception.
Duties
1. Communication tasks
The incumbent will be responsible for the external communication of the PCU. This includes managing
telephone, fax and electronic mail communication and the PCU address book.
2. Staff travel
The Receptionist will assist the secretary in coordinating travel arrangement for staff and consultants
(i.e., investigating routes, connections and hotel arrangements). He/she will also assist the project staff
with the travel plans for external meetings. He/she shall organize, together with the Administrative
Officer, the hotel arrangements and programme of activities for participants in meetings organized by
the PCU.
3. General Secretarial Duties
The incumbent will be requested to assist with the maintenance of project files and the photocopying of
specific documents. He/she will also prepare and type texts for the project staff where there is an urgent
need and where the work plan permits.
Skills and Experience Required
· higher educational diploma in a directly relevant field;
· proven computer skills; and
· fluency in English and Russian and preferably Azeri.
Recommended Grading: G2
64
ANNEX I (continued) - Job Descriptions for the Programme Coordination Unit Staff
Driver and General Assistant
General Job Description
The driver will be responsible for transporting project personnel and consultants on missions approved
through the Programme Coordinator. He/she will also be required to transport personnel and goods
during the day to day operations of the PCU as indicated by the Administrative Officer. He/she will be
responsible for the correct maintenance and cleanliness of the project vehicle. He may also be assigned to
other general duties where required and as specified by the Administrative Officer.
Duties
1. During missions away from the PCU
The driver will be responsible for the safe conduct of passengers and equipment carried in the project
vehicle. He/she will plan all travel in advance with the Administrative Officer and will consult with
him/her before making any substantial modifications to such plans.
2. At the duty station
The driver will be required to transport personnel and goods as indicated in a daily work plan designed
by the Administrative Officer.
3. General duties
The driver will be responsible for filling in daily vehicle logs including maintenance records. He/she will
present the vehicle for daily inspection by the Administrative Officer who will countersign the vehicle
logbook. He/she will be responsible for the security of the passengers and for their compliance with
security provisions (use of seat belts, etc.).
4. Additional duties
The driver may be requested to assist the Administrative Officer with general office and maintenance
duties from time to time according to the daily work plan.
Skills and Experience Required
· at least ten years professional driving experience;
· a clean driving license and a valid passport;
· sufficient knowledge of English; and
· availability to travel to outside missions when required.
Recommended Grading: G2/G3
65
ANNEX I (cont'd) - General Observations
Office hours
A system of flexible office hours will be established as follows:
Working day: 8 hours with a compulsory half hour lunch break to be taken from 12:30 to 13:00.
Core time: Presence of all staff is obligatory from 10:00 to 16:30.
Flexible time: 2 hours daily to be taken outside core time and transferable from day to day within the
period of one week.
Meetings and special events: Office hours to be determined by the Programme Coordinator.
Timekeeping: All staff will be required to sign the time sheet when arriving and leaving the office.
The Administrative Officer will maintain the time and attendance records.
Special Office Regulations
The PCU will be declared a non-smoking environment for staff and visitors. A smoking area will be
available. The non-smoking rule also applies to the project vehicle.
66
ANNEX II
Proposed Structure for Governance, Coordination and Implementation
Function
Modality
Governance
Steering Committee
Program
Coordination/
Coordination
Management
Unit
Azerbaijan
Caspian
Intersectoral Coordination
Regional
(through CEP Nat'l Coordinator)
Thematic Center(s)
Iran
Caspian
Intersectoral Coordination
Regional
(through CEP Nat'l Coordinator)
Thematic Center(s)
National
Kazakstan
Caspian
Implementation
Intersectoral Coordination
Regional
(through CEP Nat'l Coordinator)
Thematic Center(s)
Russian
Caspian
Intersectoral Coordination
Regional
(through CEP Nat'l Coordinator)
Thematic Center(s)
Turkmenistan
Caspian
Intersectoral Coordination
Regional
(through CEP Nat'l Coordinator)
Thematic Center(s)
67
ANNEX III
Terms of Reference
Caspian Environment Programme
Steering Committee
Background: The CEP Steering Committee will direct the activities of the CEP. The CEP Steering
Committee will also act as the Steering Committee for the GEF/UNDP and the EU/TACIS projects and
any other projects that are incorporated under the CEP umbrella (at which time additional donors to the
CEP may designate a Steering Committee member from their agency). The CEP Steering Committee will
make decisions based on the consensus principle.
Membership: Initial Steering Committee membership will include a representative from each of the five
riparian countries as well as one each from GEF/UNDP, EU/TACIS, UNEP and The World Bank. The
Programme Coordination Unit (PCU) Chief Technical Advisor will also be a member of the Steering
Committee. Additional members can be added at the discretion of the Steering Committee. The Steering
Committee will consider adding representatives from the Private Sector and NGO community at a later
date.
Tasks:
· Provide overall strategic policy and management direction to the Programme;
· Assist in identifying and allocating Programme support for activities consistent with
Programme objectives;
· Annually review and assess the progress of the Programme and its projects;
· Annually review and approve the work plan and comment on the budgets of the
Programme and its projects, and provide strategic direction on the work plan;
· Provide guidance to the PCU in coordinating and managing the Programme and its projects;
· Create mechanisms for interaction with the Private Sector, including a Trust Fund; and
· Seek additional funding to support the outputs and activities of the CEP.
68
ANNEX III (cont'd)
Terms of Reference
Caspian Environment Programme
Intersectoral Coordinating Function
Background: The Intersectoral Coordinating Function will provide guidance and ensure coordination of
a wide range of National institutions and organizations directly responsible for the implementation of
the Programme at the National level. The Intersectoral Coordinating Function will have a full time,
small secretariat (national and donor-supported) reporting to (under the direction of) the National Focal
Points, and will serve as the liaison with the PCU.
Tasks:
· Ensure an integrated and coordinated approach to facilitating the sectoral changes need for
the long-term rehabilitation of the Caspian ecosystem
· Identify national modalities for the implementation of various Components of CEP
· Develop, support and coordinate national networks of Caspian Regional Thematic Centres
· Liaise activities of Caspian Regional Thematic Centres
· Coordinate and ensure timely delivery of national contributions to the Programme
· Assume responsibility for national contributions to Transboundary Diagnostic Analsysis
(TDA) and Strategic Action Programme (SAP), and preparation of National Caspian Action Plan (NCAP)
· Develop proposals for submittal to the Programme Coordination Unit
· Liaison with Programme Coordination Unit (PCU)
· Facilitate national and donor contributions to necessary `baseline' activities needed to
rehabilitate the Caspian
· Assist in coordination and cooperation of the national Caspian Regional Thematic Centres
and with those in other CEP countries
· Prepare national funding for Caspian Regional Thematic Centres
· Work with World Bank for preparation of Urgent Investment Portfolio
69
ANNEX IV
Terms of Reference
Caspian Environment Programme
Caspian Regional Thematic Centres
Background: The Caspian Regional Thematic Centres shall be based upon existing institutions with the
best available regional expertise in selected thematic areas. They will operate on the basis of working
parties involving participation of interested coastal countries together with outside experts where this is
considered necessary. Donors envisage establishment upon inception of the CEP of one Thematic Centre
in each of the littoral states responsible for regional coordination of one (but not limited to) thematic area.
Tasks:
· Develop a work plan and implement activities in respective thematic area
· Responsible for regional coordination within area of competency
· Organize and conduct working parties and training within area of competency
· Develop relevant regional recommendations, guidance and strategy within area of competency
· Assist in development of the TDA and PIP
· Assist in development and implementation of the National Caspian Action Plans (NCAPs) and
Strategic Action Programme (SAP)
· Contribute scientific and technical advice to the formulation of proposals for national and
regional actions and donor funding
· Network with national and international institutions and specialists in respective focal area
· Prepare and implement regional pilot projects
· Liaison closely with National Intersectoral Coordinating Function and PCU
· Contribute scientific and technical expertise to CEP information system development and public
awareness activities
· Cooperate with other Caspian Regional Thematic Centres
· Develop and maintain a Database Management System within area of competence
70
ANNEX IV (cont'd)
DETAILED TERMS OF REFERENCE FOR CASPIAN REGIONAL THEMATIC CENTRES
1. CRTC for Integrated Transboundary Coastal Area Planning and Management
Location: Islamic Republic of Iran
Statement of Scope:
The Centre will facilitate the exchange of information and experience on ensuring sustainable resource
use, including recreational use by tourists in the coastal zones of Caspian countries and develop
methodologies for coastal zone management, with particular reference to threats to the environment
arising from the transition to market economies. The Centre will Develop draft guidelines and
procedures for Integrated Coastal Area Planning & Management that will be broad enough to be
applicable to the circumstances of each of the participating countries and provide guidance for the
development of such procedures in each participating country. In collaboration with the Data
Management CRTC and the PCU, develop the methodology and the technical specifications for Planning
Information Management in GIS format which will then be adopted as a harmonious approach by each of
the participating countries. The Centre will arrange for training of local specialists in GIS Database
Management. In collaboration with the PCU and in support of the NCAPs, the centre will develop the
conceptual approach, overall scope, overall design and technical specifications for the Coastal Resources
Atlas of the Caspian Region. The Atlas will be comprised of maps and text; one volume for each
participating country, as well as a volume dedicated to the Region as a whole. The Centre will
coordinate input to the SAP by identifying regional or common issues that arise from the planning
process throughout the Region
2. CRTC for Assessment of Transboundary Biodiversity Priorities
Location: Kazakhstan
Statement of Scope:
The Centre will provide coordination and technical support for actions taken to protect biodiversity in
the Caspian according to the provisions of the Convention for Biodiversity. The Centre will gather
historical records of changes in biodiversity since historical records were first established for the Caspian.
The Centre will initiate a survey of the habitats and biodiversity, developments, uses, values, impacts and
threats for the Caspian coastal zone of each of the five littoral states. The Centre will prepare National
Reports on the State of the Caspian Environment according to an agreed scope and prescription. The five
National Reports will be melded into a Regional Overview on the State of the Caspian Biodiversity. The
Center will establish a joint regional database, as the repository for biodiversity information. The
database will be linked to users in the region and abroad through electronic mail and remote access
systems, and form part of the broader Caspian network. The Centre will develop a Caspian Red Data
Book describing and identifying rare and endangered species. The Centre will review and evaluate
Protected areas and develop a Regional Strategy for the Protected Areas. In addition, the Centre will
help to develop a Biodiversity Investment Plan. Technical expertise and financial support for this work
will also be sought for this project from The World Bank and international NGOs.
71
ANNEX IV (cont'd)
3. CRTC for Sustainable Management of Fish Resources and Other Commercially Exploited Aquatic
Bioresources
Location: Russian Federation
Statement of Scope:
To be established by EU/TACIS .
4. CRTC for Combating Coastal Desertification and Land Degradation
Location: Turkmenistan
Statement of Scope:
To be established by EU/TACIS.
5. CRTC for Contaminant Abatement and Control Policies and Procedures/CRTC for Effective
Regional Information and Data Management
Location: Azerbaijan
Statement of Scope:
To be established by EU/TACIS.
6. CRTC for Regional Emergency Response Actions and Effective Regional Assessment of
Contaminant Levels
Location: Islamic Republic of Iran
Statement of Scope:
The centre will coordinate the regional and international response to accidents involving the extraction,
maritime transport and storage of oil and hazardous chemicals. The Centre will work closely with the
International Maritime Organization and will develop and maintain a common register of all accidents of
this kind in the Caspian. It will organize and implement training activities in close cooperation with
IMO, WMO, IOC and the private sector.
The work of this centre shall also focus upon the establishment of a regionally coordinated network of
National Status and Trends monitoring programmes and the subsequent development of Environmental
Quality Objectives. Specifically, the Group shall provide the following services: (1) Quality
Assurance/Quality Control services for environmental chemical analysis (2) Coordination of pilot
monitoring activities (3) Coordination of regional training exercises in monitoring (4) coordination of
regional multi-disciplinary expert consultations to develop common environmental objectives and
standards for different water uses in the Caspian. The centre shall collaborate closely with the
Biodiversity centre for the development of a region-wide programme for monitoring the biological effects
of pollution to be incorporated in the regional monitoring strategy. The Group shall collaborate with
National Monitoring Networks and research institutions in all Caspian countries, international research
programmes and projects and bodies such as IAEA`s Marine Environmental Laboratory, IOC's Expert
Groups, UNEP, WHO and WMO.
72
ANNEX IV (cont'd)
7. CRTC for Water Level Fluctuations
Location: Kazakhstan
Statement of Scope:
To be established by EU/TACIS.
8. CRTC for Institutional, Legal, Regulatory and Economic Frameworks
Location: Russian Federation
Statement of Scope: (being established by UNEP)
The Centre shall encourage and facilitate the process of harmonization of national legislation and
institutions, including survey of legislation and institutions related to the protection and sustainable
management of the Caspian environment and its resources, identification of gaps and inconsistencies as
well as the needs emanating from multi-lateral arrangement. The Centre will encourage and facilitate, as
appropriate, the process of adoption of a Framework Regional Convention for the protection and
sustainable management of the Caspian environment and its resources and of subsequent sectoral
agreements/protocols, as well as the means and mechanisms for their implementation. The Centre will
be responsible to assist region, through education and training, to understand various international
environmental conventions, so countries can make informed decisions about endorsing them and
establishing appropriate legal, regulatory and institutional frameworks for their implementation.
9. CRTC for Sustainable Human Development and Health
Location: Turkmenistan
Statement of Scope:
This centre will facilitate the compilation of a region-wide inventory of the environmental health hazards
in the Caspian coastal area including climatic extremes and natural disasters, occupational health
practices, solid and liquid waste hazards, food contamination, malnutrition, access to safe drinking
water. The centre will assist to strengthen the national environmental epidimiology capacity through
regional training courses and information exchange. The centre will coordinate the development a
Regional Environmental Health Action Plan that will be a part of the CEP Strategic Action Programme.
73
List of Acronyms
BSEP
Black Sea Environmental Programme
BSP
Baltic Sea Programme
CASPAS
Integrated Programme on Hydrometeorology and Monitoring of Environment in the
Caspian Sea
CD
Compact
Disc
CEP
Caspian Environment Programme
CIS
Commonwealth of Independent States
CITES
Convention on International Trade in Endangered Species
CRTC
Caspian Regional Thematic Centre
CTA
Chief Technical Adviser
DSS
Decision Support System
EIA
Environmental Impact Assessment
EIN
Environmental Information Networking
EPI
Environmental Performance Indicator
EU
European
Union
FAO
Food and Agriculture Organization of UN
GEF
Global Environment Facility
GIS
Geographic Information System
GNP
gross national product
GRID
Global Resources Information Database
IAA
Inter-Agency Agreement
IAEA
International Atomic Energy Agency
IBRD
International Bank for Reconstruction and Development
ICAP&M
Integrated Coastal Area Planing and Management
ICES
International Council for the Exploration of the Seas
IMO
International Maritime Organization
IOC
Intergovernmental Oceanographic Commission
ISCF
Intersectoral Coordinating Function
IUCN
International Union for the Conservation of Nature and Natural Resources
LBS
Land-Based
Sources
LEARN
Learning Exchange and Resource Network
MARPOL
International Convention for the Prevention of Pollution from Ships
MEP
Monitoring and Evaluation Plan
METAP Mediterranean
Environmental
Technical Assistance Program
NCAP
National Caspian Action Plan
NEAP
National Environmental Action Plan
NFP
National Focal Point
NGO
Non Governmental Organization
NIS
New Independent States
PCU
Programme Coordination Unit
PDF
Project Development Facility
PHRD
Policy and Human Resources Development Grant (Government of Japan)
PIP
Priority Investment Portfolio
PIR
Project Implementation Review
PPC
Project Preparation Committee
PPER
Project Performance and Evaluation Review
PPRR
Principal Project Resident Representative
QA
Quality Assurance
74
QC
Quality
Control
SAP
Strategic Action Programme
SBAA
Standard Basic Assistance Agreement
SC
Steering
Committee
SDA
Sustainable Development Advisors
SEI
Socio-Economic Performance Indicator
TACIS
EU Programme for Technical Assistance for the Commonwealth of Independent States
TCDC
Technical Cooperation among Developing Countries
TDA
Transboundary Diagnostic Analysis
TOR
Terms of References
TPR Tri-partite
Review
UNCED
United Nations Conference on the Environment and Development
UNDP
United Nations Development Programme
UNDP-FO
United Nations Development Programme Field Office
UNEP
United Nations Environment Programme
UNOPS
United Nations Office for Project Services
WDC
World Data Centre
WHO
World Health Organization
WHG
Woods Hole Group
WMO
World Meteorological Organization
WWF
World Wide Fund for Nature
WWW
World Wide Web