Transcript SMC at the GEF - Basel Convention

Building Capacity for Resource
Mobilization
Improving the Financial Conditions for
Implementation of the Basel
Convention at the National and
Regional Levels
Dr. Tom Conway
President, RFI
1
Presentation Overview
1. Recalling resource mobilization studies that the
Basel Convention COP has already requested
2. Reviewing key messages associated with
environment-related multilateral financial
mechanisms applicable to the Basel Convention
3. Understanding the concept and importance of
mainstreaming waste management issues in
development assistance programming
4. Identifying the typical elements of successful
resource mobilization and programme/project
management
5. Proposed RM capacity building next steps
2
Topic 1: Studies for the COP
•
“Mobilizing resources for a cleaner future:
implementing the Basel Convention”
– Presented to COP 7
– Led to Decision OEWG IV/15 on Resource Mobilization
– Mobilizing Resources for a Cleaner Future responded to
requests from Basel Convention Parties to enhance
resources in support of implementation of the Convention.
Parties raised concerns that resources available to
advance Convention implementation fall far short of what is
required, placing a serious constraint on their capacity
3
Article 14 Study
Recommendations/options:
•
Review Basel Convention Trust fund to bring it into line with
requirements of the Convention
•
Reorient Basel Convention Technical Cooperation Trust Fund
around strategic priorities
•
Maximize efforts to use current mandate of the GEF
•
Approach GEF in context of GEF 5 for GEF to become a
financial mechanism
4
Mobilizing resources for a cleaner future
Key strategies recommended:
1.
Better preparing developing and EIT Countries to request and
receive assistance
2.
3.
Preparing the ground within financial institutions
Working with other MEAs and international institutions to
advance coordinated approaches
5
Strategy 1
Better preparing developing and EIT Countries
1.
Life cycle ESM of wastes and SMC; is it properly articulated
in country policy frameworks?
2.
Promote integration of ESM of wastes and SMC into policy
frameworks
3.
Identify priority capacity building needs and gaps in context
of global SD priorities
6
Strategy 1
•
Input: Consistent level of effort over the short
term
•
Input: Indicate anticipated level of effort in annual
work plans; seek contributions from countries
•
Input: Opportunities to use Regional Training
Centres for training/sharing experiences
•
Outcome: Improved readiness for developing and
EIT Countries to engage and work effectively with
international and bilateral financial aid institutions
•
THIS IS WHAT WE RETURN TO TODAY
7
Topic 2:
Multilateral Financial Mechanisms:
Key Messages
•
The studies that the COP has commissioned
through the Secretariat have concluded on some
basic messages about environment-related
multilateral financial mechanisms
•
These messages can be summarized as:
–
The Convention is inadequately funded relative to the
necessities of its implementation
–
This shortfall is most acute at the national
implementation level, and within the regional training
centres charged with facilitating national implementation
and regional cooperation for implementation
8
Multilateral Financial Mechanisms:
Key Messages
–
The Conference of the Parties could take steps internal
to its own financial operations to address some of these
challenges via its two existing multilateral trusts funds:
the Basel Convention Trust Fund (assessed
contributions) and the Basel Convention Technical
Cooperation Trust Fund (voluntary contributions)
–
The Basel Convention, assuming adequate seed funding
in its two trust funds, could also participate in partnership
based, programmatic trust funds and help respond to
cofinancing pressures (e.g the GEF)
–
But, fundamentally, a major problem persists with the
Basel Convention being orphaned from any major,
predictable and sustainable multilateral financial
mechanism: specifically the GEF
9
Multilateral Financial Mechanisms:
Key Messages
•
But, there are no silver bullets: a multi-faceted
approach to resource mobilization and financial
mechanism strengthening is needed – studies for
the COP reinforce this message repeatedly
•
And, that being said, understandably the GEF will
receive a lot of attention because it is the largest
environment-related multilateral financial
mechanism
•
The Basel Convention would be wrong not to seek
to become more fully engaged with the GEF
10
Multilateral Financial Mechanisms:
The GEF
•
More engagement with the GEF can take two
forms:
1. Working within the GEF’s current mandate, operational
programs and strategic priorities
2. Working to have the GEF designated as a financial
mechanism of the Basel Convention in context of a
multifaceted approach to resource mobilization just
mentioned
•
But, there is no getting around it - enhanced
capacities for the Basel Convention Parties, the
Regional Centres and the Secretariat will be
needed to give these options full effect
11
Multilateral Financial Mechanisms:
The GEF
•
Let me give you a sense of what I am talking
about:
1. Because international mechanisms like the GEF fund
only the incremental costs of global environmental
benefits, the Convention cannot just claim global
benefits, it must concisely and precisely identify where
these benefits will occur and how they could be
operationalized in the context of the financial mechanism
(Basel’s GEF Operational Programme)
2. Because, at least initially, the Basel Convention will work
with the GEF’s current mandate and focal areas, the
Basel Convention must have clear plans as to how
enhanced ESM of wastes will advance the strategic
priorities of the existing focal areas – “Mobilizing Resource
for a Cleaner Future” gave a good start to that work, but not
complete
12
Multilateral Financial Mechanisms:
The GEF
3. There must be better cooperation between waste
management experts at the national level and their GEF
focal points and national officials responsible for the files
covered by the GEF programme focal areas
4. There must be better coordination between Parties at the
regional and global levels arguing for enhanced access
to the GEF for waste management issues in the GEF
Council and Assembly
5. The COP of the Basel Convention must send a strong
message to the GEF Council and Assembly on its own
part – likely too late for GEF 4, start now for GEF 5 , do
not delay further
6. Project design, proposal preparation, and
programme/project management capacities must be
significantly strengthened at all levels of the Convention
– access to GEF is no guarantee without quality
13
Topic 3: Importance of Mainstreaming
Waste Management Issues
•
However, the previous topic having been
addressed, the reality is that far more money
moves to developing and CEIT countries through
official development assistance than through
dedicated environmental financing channels
•
This will be even more the case going forward as a
result of the Millennium Declaration and the
Millennium Development Goals
•
As more money goes to development assistance
programming such as the MDGs, where does this
leave waste management issues?
14
Importance of Mainstreaming Waste
Management Issues
•
Financial pressures on donors are moving in the
wrong direction from the point of view of building
more or enhanced dedicated environmental funds
•
The question for the Basel Convention therefore
becomes: what can the Parties and the Convention
at all administrative levels due to show, and
consistently argue for, the links between ESM of
wastes and agreed development objectives,
particularly the MDGs?
•
Doing this requires enhanced capacity at all levels
of the Convention based on the conclusions of our
assessments to-date
15
Importance of Mainstreaming Waste
Management Issues
•
We know that there are strong links – the
Convention’s studies have indicated this, as have
other studies like the World Banks’ Toxics and
Poverty, but concisely documenting these links
clearly in a communications package and
campaign, is absolutely essential – there is no
shortcut
•
This campaign must then be carried forward in
campaigns at the national level to convince you
own political leaders and policy decision makers
16
Importance of Mainstreaming Waste
Management Issues
•
Why? – because in the context of recipient country
driven official development assistance
programming it is vital that waste management
issues appear in the development policy
documents of your countries (PRSPs, EDPRSs,
Country Assistance Strategies, Country Development
Programming Documents etc.)
•
Waste management issues will not be prioritized in
negotiations between your government’s and your
development assistance partners without this
mainstreaming or integration – period!
17
Importance of Mainstreaming Waste
Management Issues
•
To do this Basel Convention representatives must
have training and increase their own awareness
about how development assistance planning
documents are produced at the national level and
how you can best influence the relevant planning
processes
•
Without training, it will be easy to get lost at sea in
what appears to be, and is, a complex process
•
The Secretariat should be assisting in this capacity
building
18
Importance of Mainstreaming Waste
Management Issues
• For agencies of government to mainstream their
priorities in the overall national planning process
(i.e. the PRSP or country assistance strategy
process), it is particularly important to understand
the various “points of influence” in the development
planning process and cycle
• Several “points of entry” in the general stages of
developing a poverty reduction strategy, for
example, can help focus the range of possible
priorities/initiatives
• Your work must be timed right within the typical 3-5
year development planning cycle at the national
and regional levels
19
National Development Planning
CCA
Situation Assessment
and Analysis
Annual
PRSP
Reports
MDG
Reports
Monitoring
Implementation
And Impact
National Development
Priorities
and
Planning Process
National Development
And Poverty Plan
Resource Allocation
And Aid Coordination
UNDAF
CAS
Other
Donors’
Business
Plans
Implementation
Source: UNDG Guidance Note to
UN Country Teams
Country Programmes
And Projects
20
COUNTRY
Data/Diagnosis
Analytical work
CEAs & SEAs
by countries, partners
by WB & partners
Priorities for
Growth &
Reducing Poverty
Participation
PRSP/Strategy
Existing
Country
Policies
• macro policies
• governance
• sector policies
• costing & funding
• M&E, indicators
Implementation
• Government
• Elected
Officials
• Civil Society
• Private Sector
• External
Partners
etc.
WB
development
assistance
strategy
Loans / Grants
Outcomes/Impacts
Source:
Environment Department
World Bank
CAS
21
Other
Development
Assistance
Strategies
Topic 4: Typical Elements of
Successful Resource Mobilization
•
There is no successful resource mobilization
without enhanced management capacities to
administer resource mobilization activities and
project design and delivery
•
Much of this topic is parallel with sound
management practices generally, but we need to
be conscious of what to focus on and this requires
training for all of us at one point or another
•
It makes good sense to orchestrate such training
at the regional level because some of these
capacities should be maintained regionally at
lower cost for the benefit of all countries of the
region
22
Typical Elements of Successful
Resource Mobilization
•
But much improved capacities will also need to
reside at the national level
•
It is a partnership concept
•
To start, it is advisable to focus on continuous
improvement in key areas
–
research, data gathering, management and
analysis (social, economic and environmental
analysis)
–
policy analysis, policy design and coordination,
strategic planning, interagency coordination
mechanisms
–
outreach and management of stakeholder
relationships
23
Typical Elements of Successful
Resource Mobilization
•
–
project and programme design and management
–
proposal preparation in approved formats
–
financial management best practices for
programmes and projects
–
monitoring, evaluation and financial audit
infrastructure (within the organization or within a
partner organization tasked with these
responsibilities as a service unit)
Each of these capabilities constitutes a training
module in the courses that are offered to help
organizations to improve their resource
mobilization and programme and project
management capacities at regional and
national levels
24
Typical Elements of Successful
Resource Mobilization
•
One major failure in donor assisted programme
or project management erases many
successes…pay special attention to your
organization’s internal capacities to deliver your
portion of successful programmes and projects!
25
Elements –
The Concept of Absorptive Capacity
•
This also brings-up the important term of
“absorptive capacity”
•
In a competitive donor aid environment,
recipient countries or organizations should
seek to demonstrate strong absorptive
capacity for development assistance
•
Most organizations can identify a development
problem - poverty, illiteracy, ill health, low or
negative rates of growth – but:
–
struggle to devise an appropriate policy and then
transform the policy into a practical programme or
project
–
do not have the capacity to coordinate development aid
and assert leadership (donor activism but recipient
passivity)
26
Elements –
The Concept of Absorptive Capacity
•
As such programme or project financial
assistance is taking place under conditions of
weakness, usually in a piecemeal manner
•
This is often viewed as a lack of absorptive
capacity to use the provided, or potentially
available, resources as intended with good
prospects to achieve expected and sustainable
results
•
Fear that financial resources can spill-over to
unintended uses or not achieve expected
results is prevalent (corruption, inefficiencies
etc.)
27
Elements –
The Concept of Absorptive Capacity
•
This can be used as a reason for limiting
external or underutilized financial assistance,
worsening an ongoing resource mobilization
challenge
•
Thus we must pay special attention to the
capacities of our organizations to deliver and
to communicate this capacity to our financial
partners
28
Elements - Successful Proposal
Development
•
Proposal development work is an
expertise in itself, requiring capacity
strengthening and the systematic
maintenance of that capacity within
organizations
29
Elements - Successful Proposal
Development
•
Why? - because proposal preparation
processes can be a costly undertaking often
borne in large part by the project proponent
•
It is also very important to lower the transaction
costs of your financing partners, to encourage a
positive working relationship that both parties
value
•
If unnecessary mistakes are made at the
proposal development and negotiation stage, it
will not encourage confidence and trust among
the various partners
30
Elements - Successful Proposal
Development
•
The typical elements of proposals include:
– Proposal summary
– Programme or Project rationale
– Project design
– Management and implementation
– Monitoring, review and reporting
– Risk factors to be monitored and
contingency management plan
– Budget itemization and explanation
31
Topic 5 – Next steps
1. More work is needed to clarify the global benefits
of the Convention and to make a case for support
in this regard – this should be done quickly
2. RMS training in the regional centres should start
quickly:
–
Advisable to take a train-the-trainers approach so
participants can return home to train others – 5-day
course
–
Complete training in each of the regional centres
bringing representatives from Parties within the region
to the training
–
But, first start with a pilot training session in which
prepared training material is tested - invite all
Directors of regional centres and designated regional
representatives of the Parties to this training
32
Next steps
–
Receive feedback from the pilot, and revise the
training materials and approach as needed
–
Roll-out training in all the regional centres at a pace
dictated by available finances
–
Encourage support from bilateral donors via the
Technical Cooperation Trust Fund as a strategic
priority in the RMS category
33