GLOBAL ENVIRONMENT FACILITY - J-E 95 Capacity Building Requirements - for Global Environmental Protection John F. E; Ohiorhenuan Stephen M:l Wunker Working Paper Number 12 - UNEP THE WORLD BANK 2~~ I - 4~~~~~ GLOBAL ENVIRONMENT FACILITY Capacity Building Requirements for Global Environmental Protection John F. E. Ohiorhenuan Stephen M. Wunker Working Paper Number 12 UNEP THE WORLD BANK i 1995 Global Environment Facility 1818 H Street NW Washington DC 20433 USA All rights reserved Manufactured in the United States of America First printing June 1995 The views expressed in this paper are not necessarily those of the Global Environment Facility or its associated agencies. ISBN 1-884122-13-2 ISSN 1020-0894 Capacity Building Requirements for Global Environmental Protection This paper attempts to distill a clear methodology for capacity building interventions that aim to strengthen a country's ability to deal with environment and development issues. Such programs can be particularly complex since they involve an interplay between the sociocultural, political, economic, and technical facets of any society. The paper focuses on capacity building interventions in the area of environmental protection, which forms the mandate of the Global Environment Facility (GEF). The authors draw on the texts of the Convention on Biological Diversity and the United Nations Framework Convention on Climate Change, for which the GEF is the interim financial mechanism. They also synthesize the capacity building implications of recommendations made by the Scientific and Technical Advisory Panel (STAP) of the GEF. Drawing on the project portfolio of GEF's Pilot Phase, they develop a preliminary generic categorization of the types of capacity building efforts that could help countries address global environmental concerns. A Capacity Building Requirements Table (CART) is created by cross-tabulating the objectives of GEF capacity building interventions with the larger goals of capacity building. With furtherrefinements, a CART could prove a valuable tool both in project design and project evaluation. By incorporating an easy-to-use checklist approach, it could help determine whether a project meets the criteria of both GEF and the conventions, and so help to define more clearly the role of tht GEF in capacity building. John F.E. Ohiorhenuan is Senior Capacity Building Specialist at the GEF Secretariat in Washington, D.C. At the time of writing this paper, Stephen M. Wunker was a Consultant with the GEF unit at the United Nations Development Programme in New York. The authors gratefully acknowledge the valuable comments of the late Ojetunji Aboyade (board member of the African Capacity Building Foundation), and colleagues at the GEF, particularly Charles Feinstein, Uttam Dabholkar, Dick Hosier, Ian Johnson, Basem Khader and Ken King. They also wish to thank Parul Subramanian for editing the paper. iii Contents Introduction 1 Capacity Building, Institutional Development and Technical Assistance 3 2 The Parameters of GEF Capacity Building Activities 6 Biodiversity 6 Climate change 8 International waters 9 Ozone 9 3 A Typology of Capacity Building Activities for the Global Environment 11 Classification by inputs 11 Classification by target of intervention II Classification by objective of intervention 12 4 The Capacity Building Requirements Table (CART) 15 5 Conclusion 18 Appendix 19 An Illustrative Capacity Building Requirements Table: Conservation Training and Biodiversity Action Plan-Viet Nam Tables 3.1 Biodiversity convention desiderata and objectives of GEF capacity building interventions 13 3.2 Climate change convention desiderata and objectives of GEF capacity building interventions 13 4.1 A Capacity Building Requirements Table 17 A. 1 CART for Conservation Training and Biodiversity Action Plan-Viet Nam (Summary) 20 A.2 CART for Conservation Training and Biodiversity Action Plan-Viet Nam 21 References 25 v Abbreviations BAP Biodiversity Action Plan CART Capacity Building Requirements Table CBD Convention on Biological Diversity DAC Development Assistance Committee FCCC Framework Convention on Climate Change GEF Global Environment Facility GHG Greenhouse gas IUCN International Union for the Conservation of Nature and Natural Resources (now World Conservation Union) OECD Organization for Economic Cooperation and Development STAP Scientific and Technical Advisory Panel of the Global Environment Facility UNDP United Nations Development Programme UNEP United Nations Environment Programme vi Introduction Capacity building has played a major role in the reasons, to examine its meaning and scope in the three-year Pilot Phase of the Global Environment context of the GEF. First, capacity building could Facility (GEF). Funds from the Facility are avail- be narrowly or broadly defined and is, therefore, able for investment, technical assistance, and-to a sensitive to the particular operational approach lesser degree-research.' To the extent that techni- adopted (for example, project vs. program perspec- cal assistance is used mainly as an instrument of tive). Second, the specific focus of the GEF on capacity building, over 50 percent of GEF's portfo- global environmental issues requires that special lio in December 1993 can be attributed to capacity attention be paid to the interface between national building activities.2 Among the Facility's three and global concerns. With GEF's renewed empha- implementing agencies, the technical assistance sis on placing its interventions within national program of the United Nations Development priorities, it would be useful for all stakeholders at Programme (UNDP) constitutes the largest cap- the national level to understand as clearly as possi- acity building portfolio with 55 projects, costed at ble the boundaries of the Facility's operational US$242.5 million, at various stages of implemen- interests. Third, since in its evolution within devel- tation in December 1993. Although the World opment cooperation, capacity building has some- Bank's major responsibility under GEF is invest- times been used synonymously with technical ment, capacity building components form an im- assistance, it is useful to differentiate the two and portant part of its GEF activities, accounting for 26 highlight the defining characteristic of capacity percent of the total costs of projects appraised at the building, namely, its special focus on the long-term same date.3 The small portfolio of GEF projects sustainability of results. implemented by the United Nations Environment Programme (UNEP) is also addressed mainly to The aim of this paper is twofold. First, it develops capacity building issues. a preliminary generic categorization of the types of capacity building interventions that could help coun- While the meaning of capacity building is clear in tries address global environmental concerns. This general terms, it may still be useful, for several typology is based on a review of the two global I The GEF funds projects in four focal areas: climate change, loss of biodiversity, pollution of intemational waters, and depletion of the ozone layer. Land degradation issues-primarily desertification and deforestation, as they relate to the focal areas-may also be funded. 2 The enabling instrument for the Pilot Phase does not use the term "capacity building." However, in recognizing that GEF resources would be distributed between "investment funding, project preparation, institution building, training, and scientific and technical support activities," it covers the major aspects of capacity building (see World Bank 1991). The Instrumentfor the Establishment of the Restructured Global Environment Facility mentions capacity building explicitly (see paragraph I I(a), page 31). 3 GEF World Bank Operations: Pilot Phase Business Review (Washington, D.C.: World Bank, 1994). A conservative estimate suggests that the capacity building component of the full basket of the World Bank's Pilot Phase portfolio is at least 15 percent. conventions for which GEF is the interim financial execution, the frame of reference is derived mainly mechanism-the Convention on Biological Diver- from the promise of Pilot Phase activities, as well as sity and the United Nations Framework Conven- the general attributes of capacity building as it has tion on Climate Change-and on the "Analytical evolved in development cooperation practice. Frameworks for Global Warming, Biodiversity, and International Waters" prepared by GEF's Sci- Chapter 1 provides some background clarification of entific and Technical Advisory Panel (STAP). the notion of capacity building, highlighting its many dimensions. Chapter 2 describes the parame- Second, building on this framework, the paper ters of capacity building for addressing global envi- introduces the notion of a Capacity Building Re- ronmental concerns, as derived from the two global quirements Table (CART) as a general tool for the environmental conventions and the recommenda- disaggregation and analysis of the principal com- tions of STAP. Chapter 3 develops a preliminary ponents in GEF capacity building interventions. typology of capacity building under the GEF, and The task is not to describe in depth the various chapter 4 presents the idea of a Capacity Building activities which have been undertaken so far. Since Requirements Table. Chapter 5 summarizes the main very few projects are at an advanced stage of elements of this paper and offers some conclusions. 2 Capacity Building, Institutional 1 Development and Technical Assistance Capacity building is concemed with creating or oping country governments used to be referred to as enhancing a society's ability to perform specific institution building. The increasingly popular use tasks and attain development objectives. Appropri- of the term "capacity building" to describe this kind ately, capacity building for sustainable develop- of activity, among others, has arisen from a height- ment received considerable attention at the Rio ened awareness that the enabling or disabling char- Earth Summit. A broad description of the scope of acteristics of a particular organization can be capacity building is provided in paragraph 37.1 of attributed as much to its environment as to its Agenda 21 (see Johnson 1993: 481): internal processes. Implicit in the term capacity building is a recognition of the dual meaning of Specifically, capacity building encompasses "institution" as both a structural and a sociological the country's human, scientific, technological category. In the narrower, structural sense, an insti- organizational, institutional and resource ca- tution is a socially recognized human organization pabilities. A fundamental goal of capacity providing a service that is valued by society.5 So- building is to enhance the ability to evaluate ciologically, an institution is a matrix of socially and address the crucial questions related to sanctioned norrns and rules of conduct that govern policy choices and modes of implementation individual and group behavior-the "rules of the among development options, based on an un- game," according to the New Institutional Eco- derstanding of environmental potentials and nomics.6 As currently understood, capacity build- limits and of needs as perceived by the people ing encompasses both meanings of "institution." of the country concerned.4 Capacity building in its narrow sense refers to the Capacity building can be related to the older notion process of enhancing individual skills, or strength- of "institution building" or "institutional develop- ening the competence of a particular organization ment." Many activities related to strengthening the or set of organizations (for example, the civil ser- administrative and technical capabilities of devel- vice). In the broader sense, it refers to the process of Following the Earth Summit, the Development Assistance Committee (DAC) Working Party on Development Assistance and Environment set up a Task Force on Capacity Development in Environment in October 1992, to clarify a common approach and develop tools and guidelines for aid agencies. The recommendations of the Task Force include the need for a broad definition of capacity building and the adoption of a systemic approach to technical cooperation for capacity building (see OECD/DAC 1994a, 1994b). 5 It is sometimes true, of course, that an organization continues to exist long after it has ceased to be useful to most of society. Such an organization's continued existence is mainly due to the relative power of the small segment of social interests which continues to benefit from the status quo. 6 "The institutional environment is the set of fundamental political, social and legal ground rules that establishes the basis for production, exchange and distribution" (Davis and North 1971: 5). 3 nurturing relatively stable patterns of social rela- Over the past few years, the processes involved tions (as in the notion of the market as an economic in capacity building have become clearer as inter- institution). The present-continuous tense of the national development agencies have sought to re- term emphasizes the underlying belief that institu- assess their technical assistance activities. In tional change can be induced. The accent of devel- December 1991, for instance, the Development opment cooperation support for capacity building is Assistance Committee (DAC) of the Organization on nurturing human and organizational capabilities for Economic Cooperation and Development with a view to achieving a permanent transfer of (OECD) adopted a new set of guidelines for skills and know-how. To do this properly requires technical assistance. The guidelines reaffirmed the that, in addition to strengthening individual skills primacy of capacity building as an objective of and organizational competence, attention be paid to technical assistance. The capacity of core govern- the normative framework within which individuals ment agencies for policy analysis and development and organizations function (such as conventions, management was considered of special importance. laws, regulations, policies, and social processes in The guidelines' real thrust, however, was in re- general). orienting the instruments and modalities of technical assistance. It proposed giving more It is also useful to clarify the relationship between priority to training, with particular emphasis on technical assistance and capacity building.7 As a strengthening local training institutions. The use working definition, technical assistance is "the trans- of expatriate personnel solely for project construc- fer or adaptation of ideas, knowledge, practices, tion and implementation was to be discouraged, technologies or skills to foster economic develop- and greater efforts devoted to eliciting local owner- ment" (World Bank 1991).* In essence, it is a means ship of programs. Greater collaboration with to an end and is perceived by the donor community non-governmental organizations (NGOs) and as the main instrument for supporting capacity build- volunteer programs was also to be sought (OECD/ ing. However, not all technical assistance builds DAC 1991)0' capacity. Technical assistance may compensate for inadequate local capacity in the short term, or it may Similarly, the World Bank recently issued a new focus on enhancing skills and institutions toward operational directive (OD) on technical assistance self-sustained development. For instance, technical (OD 8.40, 1992) that reflects the changing interpre- assistance may be provided to undertake a detailed tationoftheterm.Traditionally,theBankclassified design study of a large and technically complex its technical assistance activities into four catego- project. In this case, while not seeking the perma- ries: supervision of works and detailed engineer- nent transfer of particular skills, it provides imme- ing; training; providing managerial and financial diate access to the services from such skills advisory services; and conducting technical and (gap-filling). Technical assistance may also be con- feasibility studies. The new guidelines classify cemed with supporting actions and processes (from technical assistance by outcomes: policy support; the very narrow to the broad) aimed at ultimately project preparation and implementation support; generating self-sustained development. It is this and institutional development. While institutional latter kind of activity which is the main concern of development is obviously capacity building, the capacity building as used in this paper.9 other categories may also involve some degree of 7 The terms technical assistance and technical cooperation are essentially synonyms, although the latter is becoming the more preferred because of its implicit suggestion of a relationship between equals. 8 See also the Handbook on Technical Assistance by the World Bank's Operations Policy Department (Washington, D.C., 1993a). 9 An example may be useful. A mechanism such as the GEF could provide technical assistance for a country to undertake a climate change country study. The country study in itself is not a capacity building exercise except indirectly, to the extent that its results add to the stock of knowledge. If, however, the design and implementation of the project were such that indigenous skills were strengthened, then it could reasonably be described as a capacity building project. '° This has since been followed by a joint meeting on technical cooperation by UNDP, OECD and the World Bank (June 20, 1994) at which issues of capacity building were further articulated. 4 capacity building. In its Handbook on Technical education and training, organizational strengthen- Assistance (World Bank 1993a), the Bank identi- ing, and development culture. Six types of capacity fies five types of capacities involved in ensuring were also identified: macroeconomic management, long-term organizational competence. To be effec- professional education, public sector reform, pri- tive, organizations must possess the capacity to set vate sector development, popular participation in goals, evaluate options and exercise leadership; national decision-making, and national develop- interact inter-institutionally; make effective use of ment culture (see North 1992). In developing a human and financial resources to meet client needs; framework for assessing effectiveness in capacity mobilize social support for long-term effectiveness building, UNDP ' s Central Evaluation Office advo- and legitimacy; and be able to learn and adapt to cated a "functional focus" approach to capacity changing circumstances. This categorization clari- building. This called for attention to be focused on fies actions expected of institutional role players the development functions to be carried out before which is anessential elementof an analyticalframe- the tackling of any organizational issues. Accord- work. With some modification to incorporate the ingly, it identified three critical functional capaci- "sociological" aspects of capacity building, it could ties (UNDP 1993): be of considerable value in conceptualizing GEF capacity building. * The capacity to define a long-term vision that would lead to sustainable development UNDP has, perhaps, gone furthest in attempting to * The capacity to formulate sound policies, and de- clarify the processes involved in capacity building. sign programs to support the long-term strategy A review of the major constraints impeding its * The capacity to implement and manage effec- capacity building efforts was undertaken in prepa- tively the various programs and projects. ration for UNDP's Fifth Cycle Programme (1992- 96). A comprehensive policy framework paper was These functional capacities are indeed critical for also prepared in response to a United Nations (UN) the effective management of the development pro- General Assembly resolution requesting a more cess. With further disaggregation and adaptation to coherent approach to capacity building in the UN suit the specific thematic focus of the GEF, this system. Several other policy papers have been framework, along with a list of capacity building prepared on the subject." In one such paper, three types, can provide critical inputs for the creation of components of capacity building were identified: a typology. "I Continuing these efforts, UNDP has now commissioned a major empirical research project by the Harvard Institute of International Development (HIID). The focus of this effort is on how governments and donors can help strengthen the managerial, professional, and technical capacity of public sector institutions (see Cohen 1993). 5 The Parameters of 2 GEF Capacity Building Activities To a large extent, the boundaries for GEF support Blodiversity of capacity building are demarcated by the Conven- The CBD requires its contracting parties to under- tion on Biological Diversity (CBD) and the Frame- take several measures for the protection of biolog- work Convention on Climate Change (FCCC). ical resources, with developed countries pledging These two conventions, which were opened for to provide financial support to developing nations signature at the United Nations Conference on in implementing these measures. The convention's Environment and Development in Rio, are them- objectives are the conservation of biodiversity, the selves to be placed in the context of Agenda 21 sustainable use of its components, and the equitable adopted at that conference as a framework for sharing of benefits. To achieve these objectives, action on environment and development. contracting parties commit themselves to under- take, as far as possible and as appropriate, certain During the Pilot Phase, GEF global warming and actions which have important capacity building biodiversity projects were guided by a focus on dimensions. Such actions include: innovative and cost-effective approaches to secur- ing global environmental benefits, as well as by the * Developing national strategies, plans, and expectations of the two conventions.12 In the post- programs for the conservation and sustain- Pilot Phase (also termed GEFI), it is expected that able use of biological resources, and inte- the guidance of the conventions will be formalized. grating considerations of conservation and The Conferences of the Parties of the conventions sustainable use into national decision-making will set policies, priorities, and eligibility criteria to instruments guide GEF activities in the areas of biodiversity and * Identifying and monitoring components of biodi- climate change. Building on the conventions and, versity, and adopting measures for their conser- for international waters and ozone, on previous vation in situ and ex situ guidelines and legal documents, STAP provided * Identifying and eradicating harmful introduced some recommendations concerning the types of species projects which might be undertaken in each focal * Promoting and encouraging relevant research, area. The parameters established by these develop- establishing programs for scientific and techni- ments for GEF capacity building activities may be cal education, and promoting international tech- described briefly. nical and scientific cooperation 12 "Expectations" because the ratification of the two conventions took place only after GEF's Pilot Phase was well advanced. Indeed, the first meetings of the Conferences of the Parties took place in November/December 1994 for the CBD, and March/April 1995 for the FCCC. 6 * Promoting public education and awareness civil society organizations, and within local * Assessing the impact of projects likely to have communities in areas of important biological adverse effects on biodiversity, and minimizing assets. Activities such as establishing specialized such outcomes training institutions, enhancing faculty skills in * Ensuring the safe development and application research institutes, and launching comprehensive of biotechnology. extension-service schemes are required for the long-term sustainability of biodiversity conserva- The achievement of the objectives of the CBD tion programs. requires capacity building at several levels. First, many developing countries need to put in place or STAP reinforces the importance of capacity build- strengthen certain structures and processes, as well ing for biodiversity conservation. In its "Analytical as build up and enhance the necessary human Frameworks for Global Warming, Biodiversity, resources to participate effectively in implement- and International Waters," it recommends that ing the convention. For instance, developing a the GEF help accomplish CBD goals by focusing strategy requires basic information and some scien- on projects that address both direct and indirect tific and policy analysis skills, as well as a system causes of biodiversity loss. Projects that address for converting these inputs into policy-framework direct causes: papers. should test new approaches and methodolo- Second, once plans have been prepared, their exe- gies for conserving particular threatened ar- cution requires the existence or creation of imple- eas of significant biological importance or mentation mechanisms. Such mechanisms may endangered species. Even if the "preventive" involve, for instance, strengthening ministries of approach to biodiversity conservation is more agriculture and forestry, modifying the curricula of cost-effective, it tends to be longer term in training institutions, upgrading units of ministries focus and there is a needfor short-term solu- of national planning, or even modifying laws and tions to acute problems of ecosystems or spe- regulatory frameworks. In addition to these kinds cies loss. of organizational and systemic changes, training at several levels of various categories may be re- Projects that address indirect causes would be con- quired.13 These two levels are prerequisite capacity cerned mainly with improving the capacity of coun- building activities and could be regarded as "en- tries to plan and develop efficient conservation abling activities."'4 strategies, measures, and programs in the medium and long term.'5 Such projects would include: Third, over the longer term, countries require systems for the continuous assessment and the incorporation of biodiversity conserva- improvement of performance, and the sustainabil- tion issues within the economic development ity of results. Capacity building in this context framework of the countries; correcting eco- may involve more in-depth training, and more far- nomicdistortionsthatadverselyaffectagainst reaching organizational and social reforms. Per- biodiversity;facilitating the "capture" ofglo- haps more important, the long-term sustainability bal value; testing innovative institutional, of gains in conservation would depend on building financial and legal schemes, planning tools, an active constituency in the local research and research and education programmes at scientific community, among policy-makers and all levels. 1 3 There is some agreement that three categories of people may need to be targeted for effective conservation: professionals, technicians, and users of biological resources, particularly, local communities, business, and industry (IUCN, UNEP and WWF 1980). 14 While the convention expects each party to be fully involved in implementing its provisions, "enabling activities" would vary according to a country's level of development, the extent of its biodiversity assets, and the degree to which it already had the infrastructure to conserve its biodiversity and sustainably use its biological resources. '' See Article 12, paragraph 1, of the FCCC (Johnson 1993: 70). 7 Clearly, both types of projects involve capacity capacity building (including institutional strength- building of some kind. STAP further recommends ening), training, research, and education. thattargetedresearch activities be undertaken within both types of projects. The analytical framework In addition to the communications obligation on all also notes that developing countries need to im- parties, the FCCC recognizes that to address the prove their scientific infrastructure in order to meet climate change problem effectively, all countries the goal of conservation. would need to take further action "taking into account their common but differentiated responsi- Cllmate change bilities."'8 Such actions include: The FCCC too creates certain obligations in pursuit of the stabilization of greenhouse gas concentra- * Formulating and implementing national and tions at acceptable levels. The main obligation on regional programs for mitigating climate change contracting parties is to communicate to the Con- * Integrating climate change considerations into ference of the Parties the following information: social, economic, and environmental policies * Promoting the development of practices and * A national inventory of sources and sinks of processes that control, reduce, or prevent green- anthropogenic emissions of greenhouse gases house gas emissions * A general description of steps taken or envis- * Promoting the sustainable management of sinks aged to implement the convention and reservoirs of greenhouse gases * Any other information deemed relevant by the * Promoting relevant research and cooperating in party.'6 the exchange of information * Promoting education, training, and public The obligation to communicate certain information awareness. implies some capacity building for many develop- ing countries. If a country has not already conduct- The convention's desiderata also include the need ed an inventory, it needs to do so, and may require to develop programs and networks for research, the harnessing of some scientific skills, as well as data collection, and systematic observation relating the establishment of a mechanism for conducting to climate change, and to strengthen national scien- the inventory and processing the information. Sim- tific and technical research capacities. ilarly, even a general listing of steps toward imple- menting the convention requires some capabilities For most developing countries, full and effective in the areas of scientific and policy analysis. The participation in the convention would involve a staggered compliance schedule is a partial recogni- major effort at capacity building. As with the CBD, tion of the capacity implications even of simply three levels of capacity building are indicated. At providing information.'7 Accordingly, the conven- the simplest level, countries must put in place the tion provides for the Conference of the Parties to capacity for compiling information regularly and arrange for technical and financial support to devel- identifying appropriate response measures. At the oping countries in compiling and communicating next level, they could establish the capacity to information, and in identifying the technical and develop and implement strategies and programs in financial implications of proposed projects and line with Article 4 of the FCCC. Over the medium response measures. Similarly, the Intergovemmen- to long term, countries would need to invest in tal Negotiating Committee accorded priority to scientific research and in the development or adap- enabling activities such as planning, endogenous tation of appropriate technologies. 16 See Article 12, paragraph 1, of the FCCC (Johnson 1993: 70). ''7 Article 12, paragraph 5, of the FCCC states that developed countries are to provide initial communication within six months of the convention's entry into force, developing countries within three years of either the convention's entry into force or of the availability of financial resources, and least developed countries at their discretion (Johnson 1993: 70). Is Article 4, paragraph 1, of the FCCC (Johnson 1993: 63). 8 Indeed, the convention refers explicitly to the im- . Constructing treatment plants lor sewaIge 1id portance of capacity building at all these levels. It industrial waste obligates developed country parties to: * Developing alternative waste disp)sal syslel is * Promoting no/low-waste alternative technologies take all practicable steps to promote, facili- . Promoting non-erosive agricultural praclices tate andfinance, as appropriate, the transfer . Facilitating control of chemicals at sourcc of, or access to, environmentally sound tech- . Supporting coastal and riverine developmeni nologies and knowhow to other Parties, par- management ticularly developing country Parties, to enable * Contingency planning them to implement the provisions of the Con- . Land-use planning controls on non-point vention. In this process, the developed country sources of pollution Parties shall support the development and * Environmental impact assessments and cost- enhancement of endogenous capacities and benefit studies technologies of developing country Parties. * Periodic environmental audits of existing indus- Other Parties and organizations in a position trial plants. to do so may also assist in facilitating the transfer of such technologies. " 19 As with biodiversity and climate change, a number of capacity building activities could be envisaged The analyticalframeworkdevelopedby STAPdoes under each of these areas of intervention. More not explicitly address the question of capacity specifically, STAP underlines the importance of building in the context of climate change. Howev- capacity building in its recommended eligibility er, it provides a pointer in its discussion of the cost- criteria for international waters projects. It recom- effectiveness of climate change projects. According mends that such projects should meet at least two of to STAP, a major dimension of cost effectiveness the following criteria: lies in maximizing the long-term reductions in greenhouse gases secured with a given sum of * Improving institutional capability to enhance money. The analytical framework stresses that: human well-being * Promoting sustainable maintenance of water- it is important to see as a global benefit any based biodiversity GEF contribution to (a) learning and innova- * Facilitating adaptation of water-based ecosys- tion, and cost reductions in the new technolo- tems to global warming gies; and (b) reducing transaction costs in the * Developing basin-wide monitoring and invento- introduction of new technologies. ries of pollution sources * Designing and implementing management plans Enhancing the skills and strengthening the insti- for pollution reduction tutional and policy frameworks which would make * Monitoring and assessing port and traffic-based such benefits attainable is clearly a capacity pollutants. building activity. Ozone International waters During the Pilot Phase, only two GEF projects There is no comprehensive global framework addressed the focal area of ozone depletion because for the protection of international waters compara- most developing countries that have ratified the ble to the conventions on biodiversity and climate Montreal Protocol on Substances that Deplete the change. However, several guidelines and rules Ozone Layer are eligible for assistance through the have been negotiated in the past which provide a protocol's Interim Multilateral Fund. Neverthe- context for GEF activities. Drawing on these, STAP less, substantial capacity building activities are has indicated possible interventions for GEF indicated under the criteria of the Interim Multilat- support: eral Fund. STAP expects the same criteria to apply 19 Article 4, paragraph 5, of the FCCC (Johnson 1993: 65). 9 to GEF projects. Under the Multilateral Fund, . A description of government and industry re- countries are expected to develop country pro- sponses to the protocol grams that include: * An action plan covering technical assistance, and pre-investment and investment activities * A national inventory of production, imports, * A timetable and financing plan for the relevant application, and use of controlled substances activities. * Descriptions of the institutional and policy frame- works 10 A Typology of Capacity Building 3 Activities for the Global Environment As discussed in the previous chapter, capacity exploited by the GEF. This kind of classification building interventions include actions aimed at may be useful in determining such important strengthening individual skills, enhancing the questions as the net financial implications of competence of organizations, promoting inter- capacity building technical assistance for recipient institutional interaction, and/or nurturing appropri- countries, or the distribution of consultancy ate "rules of the game". To date, GEF projects have assign- ments between local and foreign experts. addressed issues related directly to strengthening However, it does not permit an easy linking of human capabilities and organizational competence, capacity building activities with the overall objec- as well as improving the environment within which tives of the GEF, or within the requirements of the institutions function. Activities such as technology conventions. transfer, demonstration initiatives, and research have also been undertaken. What is missing, how- Classification by target of intervention ever, is a framework around which to organize GEF projects may also be classified by the individ- these capacity building activities. ual or collective entity which receives assistance. GEF capacity building projects have focused on A typology is a useful first step in the development strengthening institutions (in the structural and of an analytical framework. A quick review of the sociological senses, as described in chapter 1). GEF portfolio during the Pilot Phase suggests sev- Projects have been initiated to strengthen specific eral approaches for viewing capacity building and organizations, modify the social and political envi- developing a classification. Projects could be clas- ronments in which organizations function, and sified, for instance, by major inputs, by target of introduce new technology and know-how via intervention, or by expected outcome. We consider selected organizations for broader diffusion. The each of these approaches in turn. main targets of GEF assistance have been govern- ment departments, parastatals, research/academic Classification by inputs institutions, NGOs, grassroots organizations, and The most common instruments or methods local communities. The private sector is another adopted in GEF projects have been threefold: pro- target of capacity building which may be expected viding technical advisory services via experts and to become important in GEF1. At this point, how- consultants; financing the local or overseas training ever, its relationship to GEF operations is of selected personnel (including workshops); and still evolving. The choice of targets of capacity supplying the necessary equipment. Institutional building is an important determinant of its effec- twinning arrangements are an important instru- tiveness. Capacity building initiatives involving ment for building capacity which is yet to be fully government alone, for example, may be limited in II their outreach and benefits for an entire society. * Establishment or enhancement of specific envi- Moreover, some types of activities, such as gener- ronmental management capabilities ating public awareness, may work best through * Promotion of scientific and socioeconomic re- non-governmental channels. Classification by tar- search gets appears to be more robust than classification * Modification and adaptation of legal and norma- by inputs. It permits an immediate analytical link tive frameworks between GEF expenditures and the object of these * Facilitation of dialogue and consensus building expenditures. However, it has the limitation, as in within government and among different interest the earlier approach, of not permitting the easy groups linkage of operational activities to GEF objectives * Promotingthetransferof environmentally-sound or convention expectations. technology *Promoting outreach and enhancing public aware- Classification by objective of intervention ness about global environmental issues. GEF projects have supported applied research on specific problems, the development of environ- While these objectives are interlinked (for exam- mental strategies and policies, and demonstration ple, environmental strategy and policy develop- projects to highlight new possibilities. Social inter- ment can facilitate intra-govemmental cooperation), action and dialogue have also been facilitated, with the categories are sufficiently exclusive to allow for civil society organizations and the academic com- the systematic analysis of projects in the GEF munity playing an important role in numerous portfolio. projects. Typically, however, the business sector has not yet become actively involved. Many projects These objectives, which are not presented in any have supported public outreach and fostered new hierarchical order, are to be interpreted generically. modes of intra-governmental cooperation. Train- They are not necessarily the objectives of any ing has been an important and integral part of all particular project. Rather, they represent a heuristic these forms of capacity building, although assisting classification of the actual objectives identified in institutions with developing their own training GEF capacity building projects. As generic groups, programs has played a central role in only a few this typology is independent of focal area, although GEF projects. A close scrutiny of the GEF Pilot the specific content within each type would differ Phase portfolio shows that, while GEF projects by focal area. For example, "development of envi- have typically been multi-objective endeavors, eight ronmental strategies, policies, and plans of action" major types of projects may be identified on would include formulating a biodiversity action the basis of their main objective. Depending on the plan or an energy sector plan. Similarly, "establish- context, certain expected outcomes which could ment or enhancement of specific environmental ordinarily be primary objectives, enter a project management capabilities" would include establish- to facilitate the attainment of another objective. ing a protected area management system, strength- For instance, better intra-govemmental coordina- ening the Department of Wildlife Conservation or tion on environmental matters is a worthwhile the Planning Division of the Ministry of Energy, or goal for the GEF. But it could also be seen as a undertaking a community-based rangeland reha- necessary, but not sufficient, instrument toward the bilitation program for carbon sequestration. effective design and implementation of an environ- mental strategy. In abbreviated form, the eight objectives derived above can be expressed as: The eight major objectives identified are: * Macroeconomic strategy * Designandimplementationofenvironmentally- * Environmental strategy and policy sensitive macroeconomic policy and programs * Environmental management capacity * Development of environmental strategies, poli- * Scientific and socioeconomic research cies, and plans of action * Normative and legal frameworks 12 * Consensus building These objectives may be cross-classified with con- * Technology transfer vention desiderata to show the main kinds of capac- * Public outreach. ity building interventions which would address global environmental concerns. In tables 3.1 and Table 3.1 Biodiversity convention desiderata and objectives of GEF capacity building interventions Convention desiderata Objectives of GEF capacity Nat'l Identifica- Conservel Sc. and Int'l sc. Impact building plansl tionl restore Conserve tech. Public coop.linfo. assess- Bio- interventions strat. monitoring in situ ex situ Research training educ. exchange ment tech. Macroec. strat. x x x x x x Env. strat. x x x x x x x x x x Env. mgmt. capacity x x x Research x x x x x x x x x Normative framework x x x x x x Consensus building x x x x x x x x x Tech. transfer x x x x x x x x Public educ. x x x x x x Table 3.2 Climate change convention desiderata and objectives of GEF capacity building interventions Convention desiderata Objectives of GEF capacity Appropriate Integrate Researchl building Develop Mitigation tech. and Manage Planfor cl. ch. into data Information Public interventions inventories programs practices GHG sinks adaptation policy banks exchange awareness Macro strat. x x x x x x x Env. strat. x x x x x x x x Env. mgmt. capacity x x x x x x x x Research x x x x x Norrnative framework x x x x x Consensus building x x x x x Tech. transfer x x x x x x Public educ. x x x x 13 3.2 these objectives are listed down the rows, "Convention desiderata" in table 3.1. The "x" while the requirements of the conventions are listed under this column indicates that capacity across the columns. The tables present a first cross- building interventions which incorporate the tabulation for the biodiversity and climate change objective shown on the left (macroeconomic strat- conventions respectively. egy) could contribute to achieving the conven- tion' s aim of integrating biodiversity into national The tables may be interpreted as follows: consid- plans and strategies. This could happen directly er, for instance, Article 6 of the biodiversity or indirectly. For instance, an intervention with convention, which is concerned with developing the main objective of developing an environmen- national strategies and integrating conservation tal strategy fits directly, while an intervention to into plans, programs and policies. This objective support research could help indirectly by provid- forms the heading of the first column under ing the necessary information. 14 The Capacity Building 4 Requirements Table (CART) We develop here the idea of a Capacity Building sary to list, as row headings, the primary objectives Requirements Table (CART) which could have derived in the previous chapter from the classifica- some potential as an operational tool in program- tion based on the objectives of an intervention. ming capacity building efforts. A CART serves to focus attention in project design and implementa- The column headings list four critical dimensions tion on the multi-dimensional nature of capacity of capacity building which should be explicitly building. Multi-dimensionality is implicit in the incorporated into project design and implementa- notion that capacity building embraces the narrow tion. Other dimensions could be added, but these and broad definitions of institutional development. four should suffice to provide a fairly rigorous and For its results to be sustained, a capacity building pragmatic programming tool:2" initiative must be grounded within a multi-dimen- sional strategic focus. * Human resources. This would include technical, administrative, professional, and management Operationally, capacity building may be oriented skills as well as support skills, and a general toward a specific organization or toward the broad- orientation to new ways of delivering a product er legislative and normative framework of a coun- or service. Education and training, which are try. However, a narrowly focused initiative, such as often major components of capacity building restructuring the Ministry of Finance, must assess projects, are obviously a part of this dimension. and address the ministry's "enabling environment." For greater effectiveness, however, the human Similarly, any efforts to sustainably reform a coun- resources dimension should be defined to in- try's legal framework in order to allocate property clude an analysis (and adaptation, if necessary) rights in land would also need to deal with the of the reward and incentive system to ensure that ability of the courts to protect property and enforce personnel is appropriately motivated. contracts.0 * Organizational process. This refers to systems management capabilities, and internal organiza- CART is a simple matrix which cross-tabulates the tional procedures and processes, including the primary objectives of GEF capacity building inter- assignment of accountability. It also covers the ventions against the major dimensions of capacity processes through which the entity deals with, building. To construct this matrix, it is again neces- and grants the public access to, its services. 20 As the World Bank Operations Evaluation Department puts it, "The norms and rules of behavior [institutions] embody cannot be sustained without a network of organizations that promote, codify, enforce and defend them" (World Bank 1993b). 21 This typology has benefitted from the ongoing UNDP/HIID research (Cohen 1993), the World Bank's Handbook on Technical Assistance (World Bank 1993a), and Esman (1990). 15 * Physical resources. This dimension addresses capacity building interventions need not be organi- the direct material aspects of capacity building, zations in the formal sense. They could range from including the budgetary and financial ability of a government department (a formal organizational an organization to deliver on its objectives. Ca- entity) to a local community (only loosely an pacity building efforts would address not only organization). Let us consider a case of the latter, the initial capital outlay but also the operation since community participation is becoming a vital and maintenance requirements.22 aspect of GEF interventions. In a project aimed at * External support. This involves eliciting the sup- developing community-based rangeland rehabili- port and commitment of significant outside indi- tation (under the primary objective of "establish- viduals and groups for the goals of an institution. ment of specific environmental management Any capacity building intervention should con- capabilities"), neighboring communities would form sider the social forces which may be conducive an immediate focus of project activities.23 Whether or hostile to the long-term survival of the enter- or not a formal or recognized community organiza- prise. In this way, it is possible to build into tion exists, it would be useful to categorize activi- project design and implementation mechanisms ties in terms of the various dimensions of capacity to seize opportunities and neutralize threats. relevant to organizing and training community mem- bers and ensuring their long-term commitment and In developing a capacity building initiative, the ability to sustain the project's results. main stakeholders would work together to identify all the possible organizations and entities which A basic CART is shown in table 4.1 with eight rows could be targets for strengthening in order to attain and four columns. Reading down a column, each specified immediate goals. From the list of all row focuses on one of the primary objectives which possible targets, the vital ones would be highlighted may be tracked across the various dimensions of and their needs under each dimension of capacity capacity building. This approach is useful in project building would be assessed. Various levels of ag- design to ensure that all ramifications are taken into gregation are possible. At the most disaggregated, account. It may not always be necessary to address each row could represent the objective of a specific every cell, but it is important to be aware of the project. At a higher level of aggregation, the row rationale for any gaps. Gaps may exist in a partic- could represent a summing-up of the objectives of ular case because there is no obvious connection or all projects required to fully attain the stated prima- because the link is considered too weak to merit ry objective. The actual character of the CART further attention. In any case, all assumptions need would depend on the specific circumstances of the to be made explicit. intervention. Reading along any row, each column highlights In the World Bank's Handbook on TechnicalAssis- one critical dimension of a whole program. Al- tance (World Bank 1993a) and in Cohen's analysis though the elements would need to be more rigor- (1993), these dimensions are thought of mainly as ously specified case by case and by theme, it would sources of organizational vigor. Here, a slightly become possible, in program design, to consider different interpretation is called for: the targets of the total requirements and, under certain condi- 22 The physical dimension is not merely a question of money, but of the plans, materials, and equipment required to provide a service. It should also be stressed that no expectation of direct budgetary support is implicit in this category. The concern is with ensuring that an entity has the capacity to effectively address these critical issues. 23 There may be some confusion in this example about whether the primary objective is rangeland rehabilitation or the enhancement of management capacities. The conventions do not specifically call for the rehabilitation of rangelands. But in recognizing the importance of developing environmental management capacities, they accommodate a rehabilitation activity that enhances indigenous skills. However, rangeland rehabilitation is not necessarily a capacity building exercise (the rehabilitation could be achieved by contracting the services of an outside firm). it is the inculcation of the skills for such rehabilitation that constitutes capacity building. An approach that depends on the full involvement of the affected communities in designing and implementing the rehabilitation would be a capacity building effort. If the four dimensions of capacity building are fully addressed by this project, the results should be sustainable and replicable elsewhere with less support from the GEF. 16 tions, the total cost of achieving the intended objec- which seeks to develop an environmental strategy tive, such as developing the necessary human ca- must specify all the proximate objectives, assess all pacity. In an ideal situation a program, such as a possible targets, specify the critical processes in national biodiversity conservation program, could these targets, and determine the various inputs. be summarized in the form of this matrix. Since GEF projects typically comprise more than one type of capacity building objective, the many Each column would then show the full require- interactions among relevant variables highlight the ments under one of the four critical dimensions. need to tailor interventions to specific situations Starting with a complete picture of requirements, it and plan for the multiple leveraging effects of would become easier to prioritize by juxtaposing capacity building projects. (In the appendix, we these requirements against budget constraints. apply the idea of CART to a typical GEF Pilot Having the entire picture would also help in deter- Phase project.) mining the best entry point or, at least, the line of least resistance. The matrix developed in this section is intended to clarify the many ways in which the GEF can fulfil The CART could prove useful as a budgetary guide its capacity building functions. It highlights the and as a reliable project/program development and interplay of various factors in the design, monitor- monitoring instrument. As a monitoring tool, the ing, and evaluation of capacity building initiatives. table could focus attention on the major elements of The matrix is a tool and does not in itself prioritize a project or program, allowing weak links and institutions deserving support or projects to be bottlenecks to be more easily located, and correc- undertaken. Neither can it indicate the amount of tive action taken. By the same token, the matrix GEF funds that should be committed, as this will could be of some use as an evaluation instrument. depend on incremental cost estimates. However, it The cross-mapping of objectives with the different does suggest a way to determine the types of inter- dimensions of capacity building would allow an ventions most appropriate to specific national cir- evaluator to easily identify poor performance points. cumstances. With some creativity, it could prove useful as a starting point in prioritizing GEF inter- The analysis in this section illustrates how capacity ventions, and as an input in the dialogue on costs building interventions require the simultaneous and funding. The preliminary nature of this instru- consideration of at least three sets of variables: ment should be underscored. With experience, it inputs, targets and process elements. Each of these may be found necessary to disaggregate each clus- variables is, in turn, affected by the other dimen- ter of objectives, although the need to keep the tool sions of capacity building. For example, a project simple should be continuously borne in mind. Table 4.1 A Capacity Building Requirements Table Dimensions of capacity Objectives of GEF capacity Human Organizational Physical Support building interventions resources process resources generation Macroeconomic strategy Environmental strategy and policy Environmental management capacity Scientific and socioeconomic research Legal and normative framework Consensus building Technology transfer Public outreach 17 5 Conclusion This paper has distilled some important capacity capacity building for the global environment is buildingimplicationsfromthetextsoftheCBDand required between the GEF Council, the GEF the FCCC, and from STAP's analytical framework, Secretariat, STAP, the implementing agencies, the and developed a typology for GEF capacity build- GEF member country Participants, the policy or- ing. It has also introduced the notion of a Capacity gans of the two conventions, and the major social Building Requirements Table as a method of collat- groups as defined in Agenda 21. The purpose of the ing and analyzing information in the design, mon- dialogue would be to go beyond the general issues itoring, and implementation of capacity building discussed in this paper to specifying appropriate operations. It is hoped that some groundwork has interventions, given the GEF context of competing been laid for the further elaboration of policies, ends and limited means. The issue of GEF's inter- priorities, and requirements for capacity building face with the whole range of desirable institutional projects for GEFI. The CART may be of particular and human capacities for sustainable development value in view of the determination of GEF's three is critical. implementing agencies to ensure that the Facility's projects are fundamentally demand-driven. It could On process, GEF is perhaps uniquely placed to also prove useful as a project management tool by explore new forms of partnerships, and experiment providing a framework for assessing the capacity of with new vehicles for capacity building. For in- developing countries, and relating GEF and con- stance, in a world where transnational corporations vention objectives directly to critical capacity- play a fundamental economic role, it may be useful process elements. In any event, it should have for the GEF to understand private sector successes some utility as a pedagogical instrument in the and failures in enhancing capacity in developing expected wide-ranging dialogue among GEF project countries, and apply such lessons toward its own managers, implementing agency field offices, gov- objectives. Similarly, GEF's capacity building ef- ernments and other stakeholders. forts can seek to take maximum advantage of recent advances in computer-mediated technology. The Further work clearly remains to be done. Capacity characteristics of the new informatics technolo- building projects are particularly demanding, gy-compact size, high capability, and low-cost involving a complex interplay of sociocultural, storage-offer great promise in access to informa- political, economic and technical considerations. tion to support policy analysis, research and invest- The GEF would need to support further work in ment decision-making. GEF can be a leader in better specifying the "what" and "how" of capacity seeking cost-effective ways of expanding the arse- building. Intensive dialogue on the substance of nal of capacity building instruments. i8 Appendix An Illustrative Capacity Building Requirements Table Conservation Training and Biodiversity project will support overseas training fellowships Action Plan-Viet Nam and protected area and forest management study tours to model programs in South and Southeast This US$3 million project, implemented by UNDP, Asia. was approved during the first tranche of GEF's Pilot Phase. It aims to strengthen the capacity of the The emphasis of the project is on developing hu- Government of Viet Nam to implement national and man capacity and inter-institutional relationships local programs to protect areas of high biodiversity. to create macro-level policy, as well as comple- The project builds on previous planning documents mentary action and capacity in the field. It has a to produce a focused Biodiversity Action Plan (BAP) relatively tight focus on conserving biological di- that outlines the specific actions, timeframes, and versity through protected areas. Broader goals also budgets necessary to preserve Viet Nam's biodiver- exist, though, and will be achieved through a com- sity and protect its remaining natural forests. The bination of project activities (BAP and protection BAP combines a system of protected areas, commu- of the three sample areas) with in-country follow- nity buffer zones, ex situ conservation measures, up of this initiative. These goals include replication and the sustainable utilization of natural living re- of the protected areas initiative and enhancement of sources outside of the protected areas. Viet Nam's capacity to undertake its own initia- tives in biodiversity conservation. The project expedites implementation of the BAP programs by providing training in up-to-date biodi- The following table presents the CART spread- versity conservation methods and techniques for sheet for this project to highlight the critical capac- provincial officials, protected area managers, com- ity building dimensions corresponding to the munity leaders from adjoining communes and vil- project's objectives. This initiative is one of the lages, local forest guards, district forestry technicians more straightforward in the Pilot Phase portfolio, and central government staff. Field training has and CARTs for other projects may be significantly been designed for in-country delivery at three na- more complex. For heuristic reasons, certain issues tional park locations in the northern, central and which are only implicit in the original project southern regions of the country. In addition, the document have been made explicit. 19 Table A.1 CART for Conservation Training and Biodiversity Action Plan- Viet Nam (Summary of table A.2) Dimensions of capacity Objectives of capacity Human Organizational Physical Support building resources process resources generation Macroeconomic strategy Environmental How to develop Coordination to Funds for BAP Obtain support of strategy and policy BAP formulate BAP formulation State Planning Committee and Council of Ministers Environmental How to manage Coordinate area Catalogue of Coordinate area management protected areas management with costs of actions management with capacity policy guidance needed for BAP and economic enhanced area activities management Scientific and How to conduct Build on previous Funds for socioeconomic field surveys work by other research research institutions Legal and normative framework Consensus building How to process Review and information and modification ideas from other of organizational ministries and interaction research institutes procedures Technology transfer How to use a Funds for geographic installation infornation system of GIS (GIS) Public outreach Uses and techniques - Funds for of public outreach public outreach 20 Table A.2 CART for Conservation Training and Biodiversity Action Plan-Viet Nam Dimensions of capacity Objectives of capacity building Human resources Organizational process Physical resources Support generation Env. strategy and policy Activity-training in how to Activity-enhance coordination Activity-provide funds for Activity-obtain support of Formulation of a develop BAP among MOF, MOSTE, and others planning process and other State Planning Committee Biodiversity Action Plan Min. of Science, Tech. & the MOSTE elements of BAP formulation and Council of Ministers to set strategy for Env. (MOSTE) Needs-review of procedures for MOSTE MOSTE biodiversity conservation Needs-understanding of organizational interaction, Needs-funds for undertaking Needs-put BAP in overall through establishment research; interplay of establishment of institutional BAP formulation national development and management of social, economic and mechanisms for interaction Feedback from activity- framework, enhance means protected areas, ex situ environmental goals; and collective decision-making BAP provides framework for of working-level conservation, and other means of preparing BAP; Feedback from activity- action on wide variety of coordination with these means. The BAP will how to outline related cooperation on BAP facilitates biodiversity issues bodies also outline costed costed actions cooperation on environ- MOF Feedback from activity- actions in a specific Feedback from activity- mental management, future Needs-funds for undertaking support and relationships timeframe that will understanding of research and public outreach BAP formulation built toward meeting achieve these goals strategy facilitates its MOF Feedback from activity- biodiversity goals can application at project level, Needs-review of procedures for BAP provides framework for facilitate meeting other training with MOF staff organizational interaction, action on wide variety of environmental objectives develops relations establishment of institutional biodiversity issues in manner consistent with Ministry of Forestry (MOF) mechanisms for interaction and economic development Needs-understanding of collective decision-making MOF research; interplay of Feedback from activity- Needs-put BAP in overall social, economic and cooperation on BAP facilitates national development environmental goals; cooperation on environmental framework, enhance means means of preparing BAP; how management, future research of working-level coordina to outline related costed actions and public outreach tion with these bodies Feedback from activity- Feedback from activity- understanding of strategy support and relationships facilitates its application at built toward meeting project level, training with biodiversity goals can MOSTE staff develops relations facilitate meeting other forestry objectives in manner consistent with economic development (continued on the next page) t Table A.2 (continued) Dimensions of capacity Objectives of capacity building Human resources Organizationalprocess Physical resources Support generation Env. management Activity-training through Activity-coordinate management Activity-catalogue actions Activity-coordinate area capacity in-country seminars and overseas with policy guidance and eco- needed for enhanced management with BAP Management of three study tours and fellowships for nomic activities management of sample areas, MOF sample protected areas Ministry of Forestry (MOF) MOF and their costs Needs-improved linkages in northem, central and Needs-management of three Needs-improved district-level MOF between district-level southem areas of protected areas in various linkages with MOF policy staff Needs-catalogue of costs staff, MOF policy-makers, country in improved regions of country, training and district-level officials of and actions needed in and MOSTE manner consistent in protected area management other ministries, such as managing sample areas Feedback from activity- with BAP Feedback from activity- agricultural extensionists beyond project duration coordination in sample multiplier effect passing Feedback from activity- Feedback from activity- areas can be extended to on knowledge within MOF, improved execution catalogue can serve as model other parts of protected State Committee for Science, of other forestry projects for similar efforts in other area network other environmental institutes, protected areas and villagers and local officials living and working in and around forest reserve areas Sciendfic and socio- Activity-training to Activity-build on work by Activity-provide funds economic research conduct surveys Institute for Ecology and Bio. for research Field surveys of MOSTE Research, the Nha Trang Marine MOSTE country for BAP and Needs-improved understanding Institute, and several regional Needs-funds for research detailed analysis of of survey techniques, human/ inst. in the south Feedback from activity- three sample areas with ecosystem interaction, role of MOSTE research can inform regard to biodiversity forestry practices in Needs-linkages with these future initiatives and human interaction biodiversity conservation institutions, means to educate MOF with ecosystems MOF staff about this work Needs-funds for research Needs-improved understanding Feedback from activity-improved Feedback from activity- of survey techniques, human/ interaction on other initiatives research can inform future ecosystem interaction, role of MOF initiatives environmental concerns Needs-linkages with these in forestry institutions, means to educate Feedback from activity enhanced staff about this work future surveys of nation and Feedback from activity-improved particular protected areas interaction on other initiatives Legal and normative framework Consensus buUding Activity-training to process Activity-review of Consensus on BAP information and ideas from other organizational interaction and action on sample ministries and research institutes procedures and suggested protected areas will MOSTE revisions facilitate BAP Needs-understanding of other MOSTE implementation and ministries' structures and mandates Needs-improved means of replication of protected Feedback from activity- interacting with ministries and areas initiative improved coordination research institutes on other projects Feedback from activity- MOF understanding of how Needs-understanding of such interactions might be other ministries' structures improved in other projects and mandates MOF Feedback from activity- Needs-improved means of improved coordination interacting with ministries and on other projects research institutes Feedback from activity- understanding of how such interaction might be improved in other projects Activity-installation of GIS Tech. transfer Activity-training in how MOF Installment of to use GIS Needs-GIS equipment GIS at MOF MOF Feedback from activity-use of Needs-what is a GIS, how does GIS in other contexts it work with sample areas, how to use in other areas, how to turn information provided into recommendations Feedback from activity-use of (continued on the next page) ! Table A.2 (continued) Dimensions of capacity Objectives of capacity building Human resources Organizationalprocess Physical resources Support generation Obtain input into and GIS in other protected areas Activity-provide funds for build understanding Activity-training about public public outreach and support for BAP outreach uses and techniques MOF and protected areas MOF Needs-funds for public outreach initiative Needs-how to assess need for Feedback from activity-public public outreach, how to outreach may build support for undertake public outreach, how biodiversity objectives outside to coordinate public outreach of BAP rubric and may facilitate with other institutions replication of protected areas Feedback from activity- initiative improved use of public outreach in other contexts References Cohen, John M. "Building Sustainable Public Sector Managerial, Professional and Technical Capacity: Basic Dimensions and Key Variables of Analytical Framework." 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IUCN (World Conservation Union), UNEP (United Nations Environment Programme), and WWF (World Wide Fund for Nature). World Conservation Strategy. Gland, Switzerland: IUCN, 1980. Johnson, Stanley P. The Earth Summit: The United Nations Conference on Environmnent and Development (UNCED). London: Graham & Trotman/Martins Nijhoff, 1993. North, Haven W. "Capacity Building and Technical Cooperation-Managing the Connection." Paper prepared for NATCAP. New York: United Nations Development Programme, 1992. OECD/DAC (Organization for Economic Cooperation and Development/Development Assistance Com- mittee). Principles for New Orientations in Technical Cooperation. Paris: OECD, 1991. "Capacity Development in the Environment." Paris: Working Party on Development Assistance and Environment. OECD.DCD/DAC/ENV(94)3. 1994a. "Capacity Development in the Environment: Towards a Framework for Donor Involvement." Background paper by Peter Morgan and Helmut Muller-Glode for the OECD/DAC Task Force on Capacity Development in the Environment. Paris: Working Party on Development Assis- tance and Environment, OECD. 1994b. UNDP (United Nations Development Programme). "A Strategy for Assessing UNDP Effectiveness in Capacity Building During the Fifth Programme Cycle." New York: Central Evaluation Office, Bureau for Policy and Programme Evaluation, UNDP, 1993. World Bank."Managing Technical Assistance in the 1990s: Report of the Technical Assistance Review Task Force." Washington, D.C.: World Bank, 1991. "Establishment of the Global Environment Facility." Washington, D.C.: World Bank, 1991. GEF World Bank Operations: Pilot Phase Business Review. Washington, D.C., 1994. 25 Handbook on Technical Assistance. Washington, D.C.: Operations Policy Department, World Bank, 1993a. "Support for Institutional Development." OED Precis. Washington, D.C.: Operations Evaluation Department, World Bank, 1993b. 26 UNDP Field Offices* P.O. Do5 Cail w907 of Grand Central P.0. 5n2335 Xabul A thanksan La Pu, olbi the Coop tsution Jakarta 10310. New York, N.Y. indesiA Dsahmard s P.C. Dar. 54 Apartado POstal 10143-1406 hwttSbe OaboaOaa, 4540 7.0. @I0x Vill No.35 Botana 3an low, Coo P.O. Des 446 15375.457 TIM=, AJh. Rica IK-OOT&MOA Tehea, Anln Cain Poea 0235 Kant. Rapubl of Ins ds Faml 3 70359470 resa, 01 Doilt posas Aler oas, DF 1747 P. 0. II= 5510 P.O. Dot 204 Algiers 16000, Dril Abidjan 01, Addim Ababa, (AlwlY Ala Rpublquc de Cwt hioplA s$d4d, Iaq P.O. ox I d'lvclrs Casin Po 91O 114 Bob Priva Ma ag P. O. Bell 20 Lasilea, People's DulpSa uND? cuba am, 1$ KIl, JAMWa L Isubih of Anp I Uitwd Heldos Bolts po" 1490 Pula Dollpsat210 PO.. Du 51259 Caile do Cou au j U m b1 ta , New York, N.Y. LlbhvUla, Gaboa lmvIsunl 112 2257 Punmd 10017, U.S.A. Iel 1000 Capital P.O.aSS Fedeal DoultsFm 672 P. 0. Dnx 5603 3aWVLt7tOaMbtI P.0. 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Thn1&pu, ts 1 1 r iazavIIlI, Ao x 1Dl, P.O. inia People RwUbO loM 1603 P. 0. DM 1246 GEF Working Papers are avadable at UNDP Field Offices and through World Bank Distributorm ~~~~~~~~~~~~~~~~~-1I Azganaeivo 201. NLmey, Nigw Bote Pasule 445 Iw rnurlea (Or. flor) iqtpubtLa of ICipU, Rwands WaebinglL D.C. MIda8gacar P. 0. Box 230 5 P.O. Box2317 20DOO Oarkl. Abuja P. 0. lox 114 Damcus, Syuiea P.O. ax30135 Jeddsh 21431, AzuhZapublo PedetslIeRb oa Liloage 3, Malawi P. 0. a 2075 Saudl Arahi Yugae' lAs,Nigeria P. 0 SuxS12 ( h a r b I a, P. O. Box 12544 P.O. Box 553 Port-of-Sp;tt, MOMemgra) 50782 Xusle CPO0Bx403 Riyadh 11421, Triuidad &ad 5 x e t oa a r e Lumpur, alaysia Xarach 3, lut Ssudi Anbls Tobago U ttko P.O. Box 20538 P. 0. ox 1051 P. 0BoX loll O.P.O. Box 511 Mali, RspubUlo of Wma"st. Nldge Piwetown, Item Bangkob 10501. P a o U I a Maldtvue L.0M Thaluad 11rxzejavlaa, Apatado 6314 Ciaa Boite pobla 120 Panaa S. 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Swulan SooilliAt Rpubil Ma n a g u , BXw 1-701 ofV'tt Nun NifSicta 79361 Deharest, Ptaals ha Naton Romani CH1211 G2t va 2839 F P lveS, Bois posa 11207 10 N.W. i S /. The GEF Secretariat 1818 H Street, NW Washington, DC 20433 USA Telephone: (202) 473 1053 Fax: (202) 522 3240 (202) 522 3245 United Nations Development Programme GEF/Executive Coordinator One United Nations Plaza New York, NY 10017 USA Telephone: (212) 906 5044 Fax: (212) 906 6998 UNEP United Nations Environment Programme GEF Unit/UNEP PO Box 30552 Nairobi, Kenya Internal Documents Unit, Telephone: (254 2) 621 234 H BI-151 ( 3) Fax: (254 2) 520 825 The World Bank GEF/Operations Coordination Division Environment Department 1818 H Street, NW Washington, DC 20433 USA Telephone: (202) 473 6010 Fax: (202) 676 0483 ISBN 1-884122-13-2 PFinted on recycled paper STOCK# 72213