Governments of Kyrgyzstan, Tajikistan and Uzbekistan
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Governments of Kyrgyzstan, Tajikistan and Uzbekistan
United Nations Development Programme
with
Global Environmental Facility and ENvironment and Security Programme for Ferghana Valley
Improved land and water resource management in the Upper Syr Darya basin in the context of Sustainable Development
GEF Medium Sized Project
The Upper Syr Darya basin is threatened by the lack of a coordinated water management strategy that integrates land and water use in a sustainable manner. This project, in coordination with the UNDP Energy and Environment Practice and the UNDP, UNEP, OSCE and NATO Environmental and Security (ENVSEC) initiative will address transboundary integrated land and water management through a dual prong approach. The first part is preparation of a transboundary diagnostic analysis complemented by a stakeholder analysis and causal chain analysis that will assist in development of a set of eco-system quality objectives (EQOs) that will serve as the basis for the regional strategic action programme and the national action plans. The second part of this approach is the testing of these EQOs as instruments for sustainable use of land and water resources in the region. These EQOs will be scaleable for the whole region to down to small villages. Once these EQOs are established, two community level demonstration projects that emphasize issues of sustainable development in transboundary cooperation in resource utilization and economic development will be implemented to test their practicality. The projects will be monitored and evaluated for their application throughout the basin.
1 Table of Contents
1.0 Project Summary...... 3 1.0 Project Summary...... 3 2.0 Project Description...... 6 2.1 Project Rationale and Objectives...... 6 2.2 Current Situation...... 7 2.3 Expected project outcomes, with underlying assumptions and context...... 8 2.4 Activities and Financial inputs...... 9 2.5 Sustainability Analysis and risk assessment...... 13 2.6 Stakeholder involvement...... 14 3.0 Incremental Cost Assessment...... 14 4.0 Budget...... 15 5.0 Implementation Plan...... 16 6.0 Public Involvement Plan...... 18 7.0 Monitoring and Evaluation Plan...... 18 ANNEX 1 Incremental Costs Matrix...... 19 ANNEX 2 Organogram Upper Syr Darya Sustainable Development Project...... 22 ANNEX 3 Logistical Framework...... 23 ANNEX 4 Related Project for Ferghana Valley, Upper Syr Darya...... 28 ANNEX 5 Map of Upper Syr Darya/ Ferghana Valley...... 34
2 1.0 Project Summary
PROJECT IDENTIFIERS 1. Project Name: Improved land and water 2. GEF Implementing Agency: UNDP resource management in the Upper Syr Darya basin in the context of sustainable development.
3. Country or countries in which the project is 4. Country eligibility: All countries are eligible being implemented: Kyrgyzstan, Tajikistan and as recipients of technical assistance through Uzbekistan UNDP country programmes
5. GEF focal area(s): International Waters 6. Operational program: OP9 – Integrated Land and Water 7. Project linkage to national priorities, action plans and programs: Linked to the national environmental action plans and sustainable development plans, poverty eradication and MDG reports. The project will be linked to sectoral development plans including agriculture, forestry and water management. 8. GEF national operational focal points and date of endorsement: Kyrgyzstan: Tajikistan: Uzbekistan: PROJECT OBJECTIVES AND ACTIVITIES 9. Project rationale and objectives: Indicators:
To develop and apply appropriate management - A structured assessment of transboundary techniques for sustainable land and water problems and issues in the Upper Syr Darya resource use in the upper Syr Darya River basin basin to support the growing population while stabilizing the ecosystem. - An agreed joint vision for the development of the Upper Syr Darya River basin and an endorsed regional action plan to achieve it.
- Establishment of a management and institutional framework to implement the action plan
10. Project outcomes: Indicators
Improved expert dialogue between the basin - A transboundary diagnostic assessment of the states on the governance of land and water Upper Syr Darya basin, including a causal resources based on scientific assessments and chain analysis to identify the root causes. analyses.
Mechanisms for interpreting and applying Eco- A set of management techniques developed at system Quality Objectives (EQO) at the the community level for interpreting and community level at transboundary and in- applying EQOs within the basin. country locations. An agreed set of EQOs and targets defining an Agreed, well-defined development framework environmental vision for the basin. limits for sustainable development of land and
3 water resources in the basin - Agreed and endorsed Strategic Action Programme (SAP) and National Action Plans (NAPs) for addressing priority environmental and relevant development issues in the upper Syr Darya River basin.
- Proposals for the establishment of an institutional and management framework for implementation of the SAP.
11. Project activities to achieve outcomes Indicators: (including cost in US$ of each activity):
-Establishment of project implementation - National Focal Point and Steering Committee arrangements appointed. Inter-ministerial committees and Stakeholder Advisory Group established
- Definition of initial EQOs and vision for - Based on the perceived problems and issues basin development ($60K) in the basin, a set of EQOs and targets agreed by the countries for evaluation at the basin and community level
- Transboundary Diagnostic Analysis (TDA) - Identification and prioritization of ($250K) environmental issues and problems. A synthesized TDA report incorporating, Stakeholder Analysis, a Causal Chain Analysis and an assessment of socio-economic conditions and trends. Proposed list of interventions to address environment issues and problems. - Community Transboundary Demonstration projects ($730K) - Establishment of community project advisory councils.
- Increased awareness of the value of the environment measured by communities acceptance and policing of EQOs and targets.
- Agreed action plans and their implementation.
- Final report incorporating lessons learnt on interpreting and applying EQOs at the community level.
- SAP and NAPs ($110K) - Strategic Action Plan and component National Action Plans endorsed by the participating countries, with the inputs from demonstration projects.
- Review of Institutional Frameworks for SAP - Proposal for the establishment of an implementation ($50K) institutional and management framework for
4 implementation of the SAP. 12. Estimated budget PDF: GEF: 1.0 million Co-financing: 0.35 million TOTAL: 1.35 million INFORMATION ON INSTITUTION SUBMITTING BRIEF 13. Information on Project proposer: Bratislava Regional Centre together with the ENVSEC National Focal Points from Kyrgyzstan, Tajikistan and Uzbekistan 14. Information on proposed executing agency (if different from above): UNOPS or one of the Country offices 15. Date of initial submission of project concept: INFORMATION TO BE COMPLETED BY IMPLEMENTING AGENCY 16. Project identification number: 17. Implementing Agency contact person: Mr Nick Remple, Regional Coordinator (or Mr. Andy Hudson, Technical Advisor) 18. Project linkage to Implementing Agency programs: Linkage to the Energy and Environment programme of the UNDP Bratislava Regional Centre and the joint OSCE/NATO/UNDP/UNEP Environment and Security Initiative (ENVSEC). Linkages to the national environmental projects implemented by UNDP and OSCE in Kyrgyzstan, Tajikistan and Uzbekistan.
5 2.0 Project Description
2.1 Project Rationale and Objectives
Located in the heart of Central Asia, the Upper Syr Darya basin is shared by the countries of Kyrgyzstan, Tajikistan and Uzbekistan, and in its lower reaches is the most fertile and densely populated area in the region. It has a long history of settlement and cultivation and is a natural gateway to the Tian Shan and Parmir mountain ranges. The project study area includes all the Upper Syr Darya basin to the downstream to the Tajikistan – Uzbekistan border at Bekabad and includes all of the Ferghana Valley (see annex 5).
Due to the combined effects of rapid and often poorly planned irrigation intensification programs of the latter Soviet period, pollution from industrial and mining hot-spots, deforestation, habitat destruction and increasing population growth the basin today is facing tremendous social and environmental challenges. Water problems and land degradation pose some of the most serious threats, including water mineralization, pesticide contamination, extensive pollution by phenols and oil products, fertilizers and heavy metals.
This GEF international waters project is designed to test the concepts of integrated land and water use management and sustainability in the upper Syr Darya basin, including the Ferghana Valley. The project will work in parallel at the regional, national, oblast and community levels to develop, test and temper a sustainable development plan which has wide stakeholder support and supports a meaningful programme of implementation. It is appreciated that this is a very ambitious target and cannot be achieved without the whole-hearted support of the participating states and many government stakeholders. If it is to be successful, the stakeholders will need to feel that they are to own the process and are driving it, not the donor agencies.
The long-term project objective is:
To develop and apply appropriate management tools and techniques for sustainable land and water resource use in the upper Syr Darya river basin to support the growing human population while stabilizing the ecosystem.
The immediate project objectives are:
- An assessment of the priority transboundary environmental issues of the upper Syr Darya basin taking account of socio-economic conditions and trends.
- The definition of set of Eco-system Quality Objectives and targets for the Upper Syr Darya basin and its sub-basins and development of a vision for its sustainable development.
- Creation and testing of guidelines for the implementation of the sustainable development vision at the community level and transboundary locations.
- The endorsement of a programme of action for achieving sustainable development in the Upper Syr Darya basin, including the Ferghana Valley by the national governments, regional executives, and local administrations.
These objectives will be met through: the definition of initial Eco-system Quality Objectives and vision for basin development; a transboundary diagnostic analysis; two community based transboundary demonstration projects; development of Strategic Action Programme and component National Action Plans for sustainable development; and the review of institutional frameworks for strategic action plan implementation.
The project will use the Transboundary Diagnostic Analysis (TDA)/ Strategic Action Plan (SAP) process to assess the priority environmental issues and formulate an agreed set of interventions to address them. In parallel, two large scale demonstration projects will be implemented at the community level to test the practical application of the Eco-system Quality Objectives (EQOs) and targets conditioned by the Transboundary Diagnostic Analysis of the environmental status and trends in the basin.
The outcomes of this effort will be: improved expert dialogue between the basin states, including national, oblast and community level stakeholders, on the governance of the land and water resources of the Upper Syr Darya;
6 agreement upon sustainable development of land and water resources of the Syr Darya specifically expressed in terms of EQOs and targets; mechanisms for interpreting and applying EQOs at the community level in transboundary and in-country locations; an endorsed Strategic Action Programme and component National Action Plans to tackle priority transboundary and shared environmental issues; and proposals for legal and institutional frameworks for implementation of the SAP.
This project will serve as a critical test of applied integrated land and water management techniques in the Central Asian region with implications for replication on a broader and varying scale. It will involve critical stakeholder collaboration and cooperation among users of commonly managed natural resources.
The project will be closely linked to the OSCE/NATO/UNDP/UNEP ENVSEC initiative in the Ferghana-Osh- Khujand triangle, and with the UNDP Regional Environmental Governance Programme. Together with these organizations the project will work with stakeholders at the regional, national and local/oblast level and will form several advisory bodies, including a Stakeholder Advisory Group and a ‘Friends of the Project’ group consisting of international and bilateral donors, staff from related and affiliated projects and industry. The purpose of these groups is to increase dialogue and collaboration among bodies in the region to work most effectively together while avoiding redundancy of efforts.
The outputs and results of the project will be widely available to national, regional and international organizations operating in the Upper Syr Darya river basin. The IFAS bodies, including ICWC and ISDC, will be involved in project national and regional activities. Synergies will be established with the Regional Environmental Action Plan and Second Aral Sea Programme.
2.2 Current Situation
The Upper Syr Darya River Basin consists of Former Soviet states which have been struggling to adjust to transitional economic development. The loss of Soviet era economic centralization has brought chaos on these geographically isolated countries. No longer integrated into a larger economic entity, the countries of Kyrgyzstan, Tajikistan and Uzbekistan individually are forced to be more self reliant than ever before. This has been exacerbated by the loss of revenues and subsidies from the larger Soviet state. As a result, new post-Soviet economies are increasingly dependent on harvesting natural resources at unsustainable rates, use of water resources for immediate national economic needs rather than regional collaboration, and taking measures to improve short term conditions at the expense of future sustainability.
This situation is made more challenging due to increasing populations in the river basin drawing on water resources at non-sustainable rates. Ethnic divisions initiated under Stalinist purges have become more inflamed as the nationalities are divided within the basin countries, across state borders. Control of resources, including land, water and access to social services is used as means to favor majority ethnicities, while denying rights of minority groups. These practices increase tensions between ethnic groups within the river basin, which in turn influence the transboundary relationships of the basin states. A legacy of the patronage system, present before the Soviet era and fostered with in it has served to institutionalize the norms and behaviors which perpetuate these divisions.
The Upper Syr Darya River Basin is not only ethnically diverse, and prone to distribution challenges, it is also the most densely populated area of Central Asia. The population is extremely young with almost 50% under the age of 20, and more than 30% under the age of 14. This trend is a result of increased birthrates, as there is negative net migration in all countries. Infant mortality rates range from a low of 36.81 per 1,100 live births in Kyrgyzstan, to a high of 112.1 per 1,000 live births in Tajikistan. In addition poverty rates are some of the move acute in the Former Soviet Union, with GDP per capita at US$1,600 in Kyrgyzstan, US$1,000 in Tajikistan and US$1,700 in Uzbekistan. This combination of poverty, a predominantly young population and low health conditions, indicated by infant mortality, suggests that without intervention increased demands on environmental resources will soon outstrip the ecosystems ability to replenish itself, or provide sustenance to future generations.
The current economic, social and demographic challenges continue to pressure the ecosystem of the Upper Syr Darya River Basin. There is a high level of dependence on agriculture in this region, and intensive irrigation required for lands under cultivation in the Basin increase strains on the water resources. Additionally, the excessive use of agrochemicals results in high contaminant loads in the river and ground waters, which threaten human health. Industrial and mining wastes in the basin further reduce the water quality and diminish living
7 conditions. As the population matures, social tensions among the population due to economic dislocation and lack of access to resources will place increased strains on the water resources, and further immerse the population of the basin into increasingly tense circumstances.
It is assumed that failure to address these issues, though integrated land and water management will result in this region continuing to develop along its current path with potentially deleterious results for both the human population and the ecosystem as a whole. While many projects currently address water management issues, few if any effectively employ an integrated transboundary approach to addressing the needs of the people and the environment of the region. It is also assumed that in order to induce positive change in the region, that multiple stakeholder involvement combined with country ownership will be critical to sustainable success.
For the conservationist, socio-economist and politician the concept of sustainable development often brings to the mind the idea of single optimum level of resource utilization that resource managers must strive to attain. However, among these groups this ideal level is very seldom the same. The agreement on the level of resource utilization and energy input into the system necessary to maintain ecosystem balance is an extremely difficult task, requiring stakeholders at regional, sub-regional and local level to agree on a cohesive vision for the development of resources and the environment and to accept sometimes painful compromises. High level sustainable development plans at the international or national level are commonly prepared by specific sectors of government and often fail to take into account the economic and political realities, possibly because of the complexity of the problem. The legislative framework for such plans is normally weak and implementation mechanisms and the plans remain wishful thinking. Lack of stakeholder involvement not only occurs in government but within the broader communities, where the needs and aspirations of the people are often ignored. This project seeks to take steps to improve upon this record by incorporating stakeholders at all levels and from all relevant sectors into project design and development.
2.3 Expected project outcomes, with underlying assumptions and context
The project expects to produce the following linked outcomes based on the articulated assumptions and with these specific contexts:
1. Improved expert dialogue between the basin states on the governance of the land and water resources of the Upper Syr Darya – including dialogue between national, oblast and community stakeholders.
Assumptions That project ownership is clearly defined at the national and regional level. The three basin countries welcome the value of the dialogue on environmental governance as a means to reducing ethnic and transboundary tensions. That the dialogue is not overwhelmed by the long-standing discussion between Aral Sea basin states regarding water sharing.
Context There is dialogue between the offices of the various oblasts in upper Syr Darya basin within the context of a number of donor projects, but as yet there is no inter-governmental forum for resource management in the basin. Most projects, with the exception of the ENVSEC initiative, are implemented in parallel within the three basin countries and lack transboundary collaboration. At the wider Aral Sea basin level there exists the Interstate Coordination Water Commission (ICWC) and its two river basin authorities, and the Interstate Sustainable Development Commission (ISDC); however none of these is a suitable body in which to discuss the complex of intertwined environmental and socio-economic problems specific to the Upper Syr Darya and the Ferghana Valley due to the scope of their agenda and specific focus on Aral Sea water resources.
2. Agreement upon well-defined Ecosystem Quality Objectives and targets for sustainable development of land and water resources of the Syr Darya expressed in terms of an environmental vision of development for the basin.
Assumptions
8 That the participating states can agree to an initial set of Eco-system Quality Objectives and targets for inter alia water quality, water quantity, wetland drainage, forestation, grazing pressure and application of agro- chemicals.
Context It is difficult to establish an equitable division for use of common resources between countries, districts and communities without there first being an agreement on the quantity of resources that are available at a given time. Agreements need to be reached regarding the optimal rate of use of land and water resources based on the needs to maintain a certain level of environmental quality within the whole basin, and within any part of the basin. Obviously, the level of environmental quality which can be maintained (or achieved) will depend on existing environmental status and socio-economic conditions and trends. Any set of initial Eco-system Quality Objectives and targets will be agreed upon based on the perceived environmental problems and issues, and will need to be amended in light of the TDA and an assessment of their practicability within the demonstration projects. The demonstration projects will enable the project to test the effectiveness of attaining these EQOs and targets at the community level where they will need to be applied and enforced.
3. Mechanisms for interpreting and applying Ecosystem Quality Objectives and targets at the community level in transboundary and in-country locations
Assumptions The communities are able to place a value on their living environment, which can be set against an incremental economic gain. The concept of sustainable development and improved integrated land and water resource use management can be applied to bring about both economic benefits and environmental protection creating a win-win situation that can be replicated throughout the basin and beyond. The communities are willing to work together despite ethnic and cultural differences, across the boarders and allow the involvement of all sectors of society, including women and young people, to take a role in resource management.
Context Setting EQOs and targets at the basin level will provide the overall framework for sustainable development that the national governments can commit to and the regulators can enforce. However, enforcement is unlikely to be effective, unless the reason for setting EQOs and targets is appreciated and accepted at the community level. In order to achieve this community acceptance, when applying the EQOs and targets, congruent economic benefits must be clearly demonstrated through improved land and water resource management measures. Throughout the region many community projects emphasize improved resource management techniques as a means to improve productivity and wealth generation. As populations increase and put additional pressures on these systems, any secondary objective of protecting the environment is generally overwhelmed within the scope of these projects. It is hoped that the correct balance between economic benefits and environmental protection can be achieved through implementing the demonstration projects featuring a community led integrated land and water management techniques. This will require that close scrutiny is applied to the selection of the communities to be involved in the demonstration projects and to allow these communities to set the environmental priorities they see as most important, based on information provided to them.
2.4 Activities and Financial inputs
In order to produce the outcomes listed above, the project will comprise of the following activities:
Activity 1: Establishment of Project implementation arrangements
The project National Focal Points (NFPs) and Steering Committee will be confirmed and their Terms of Reference agreed. A Chief Technical Advisor and country coordination officers will be appointed. A project liaison office will be established in each participating country and under the ENVSEC an inter-ministerial committee to oversee the implementation of the pilot projects and National Action Plans. Members of the inter- ministerial committee will include all major Government stakeholders.
9 Activity 2: Definition of initial Ecosystem Quality Objectives and targets and a vision for basin development
An initial set of EQOs and targets will be developed for the perceived environmental problems and issues based on international and regional best practices. These will not be regulatory standards but a pragmatic set of objectives which can be achieved given the socio-economic constraints. A consultant will be engaged to undertake a desk study to develop EQOs and targets for the upper Syr Darya basin and the Ferghana valley in the following areas, inter alia:
Minimum River flows (seasonally variable) Groundwater abstraction limits Water quality (key contaminants including nutrients, pesticides, heavy metals) River corridor and wetland protection criteria Biodiversity protection criteria Grazing levels Forestry management criteria
The EQOs and targets will be based upon an environmental vision for the sustainable development of the basin to be discussed with national and local government stakeholders. The EQOs and targets will serve as the development guidelines. The targets will be specific enough to apply at the community level as well as nationally and must be set within a range that will allow for a measure of ecosystem recovery and sustainability and economic growth; the optimal point being dependent on national and regional development policy. Additionally, at the community level, targets must be scaled individually in order to reflect current and future resource consumption rates and population changes and technological improvements.
Financial Input: $60k
Activity 3: Transboundary Diagnostic Analysis.
A Transboundary Diagnostic Analysis (TDA) of the upper Syr Darya basin shall be conducted with assistance of national experts. The TDA is a science-based evaluation of the transboundary and shared issues and problems of the basin and provides a factual basis for formulation of an action plan, based on reasoned, holistic and multi- sectoral consideration. The TDA will be undertaken in line with current best practices (see annex 6) and will comprise the following elements:
- stakeholder analysis - formulation of Technical Task Team (TTT) and identification of priority environmental issues and problems (these will be shared with the consultant developing the EQOs) - preparation of detailed assessment of environmental issues and problems, based on existing information, studies and data and measured against the sustainable vision - analysis of existing legislation, policies and projected investments - causal chain analysis - assessment of existing and future socio-economic conditions impacting on the environment - synthesis of TDA
The results from ENVSEC’ s Rapid Environment and Health Risk Assessment (REHRA) project (see 2.5) in evaluating risks of major accidents and continuous pollution in the Ferghana Valley will be incorporated into the TDA and will help guide prioritization of interventions. The REHRA project’s evaluations of the environment and health vulnerability of specific hot-spots will also be incorporated into the TDA
The objective of the Stakeholder Analysis (SHA) is to identify the major stakeholder groups affected by and contributing to the degradation of the upper Syr Darya basin. This will involve individual, qualitatively oriented interviews and quantitatively analyzed surveys with NFPs, formal and unofficial stakeholder group representatives, to determine the broadest ranging transboundary interests and influences impacting degradation of waters in the region. The stakeholder analysis will provide an overview of where tensions and potential conflicts between specific stakeholder groups exist, both nationally and regionally. The stakeholder analysis will conclude with the formation of the Stakeholder Advisory Group, consisting of stakeholders from the region who can assist
10 the CTA in the evaluation and implementation of project components. The Stakeholder Advisory Group will provide valuable feedback and will share information on project activities and information with the groups they represent.
The next step will be the formation of a Technical Task Team (TTT) to undertake the assessment work comprising experts from the three participating states. . The TTT may include representatives from other ENVSEC projects, including REHRA and the proposed project to strengthen regional monitoring of radiological hazards. A scoping study will be undertaken by the TTT to identify and locate priority issues and studies will be commissioned to assess the scale of each priority problem and its interactions. In addition, an analysis of institutions, laws, policies, and projected investments will be undertaken in each of the participating countries.
The TTT will undertake a Causal Chain Analysis (CCA) of the priority problems and issues to relate their immediate physical effects with their legal, policy, social and economic underlying causes. This analysis will be invaluable in identifying the highest impact, cost effective options for addressing priority transboundary issues and identifying monitoring and evaluation indicators for their implementation. This CCA will focus on both the issues, causes and consequences of degradation of the river basin, and will enable the project to target activities towards specific factors in order to be most effective.
The CTA will be responsible for the synthesis of the TDA which shall be reviewed by the TTT and Stakeholder Group before being submitted to the Steering Committee for approval.
The TTT and Stakeholder Advisory Group will come together with the EQO consultant to discuss the initial EQOs and targets as they pertain to the CCA, TDA and the SHA. These groups will then collaborate over a two day workshop session in developing mechanisms and strategies for setting optimal range of EQOs and targets throughout the basin.
Financial Input for TDA: $220k
In addition to the TDA a survey will be conducted of key contaminants in the sediments of the Kayrak-Kum reservoir, Tajikistan. Financial Input: $30k
Total Financial Input: $250K
Activity 4: Community Transboundary Demonstration Projects
As noted above, two community-based transboundary demonstration projects will be established to test the applicability and practicality of sustainable development at the community level, as defined by the EQOs and targets developed in Activity 1, in conjunction with improved land and water resource management techniques. One demonstration site will be chosen in the north of the basin between Kyrgyzstan and Uzbekistan and one in the east between Uzbekistan and Tajikistan. A review of potential demonstration sites will take place at the beginning of the project, taking into account the locations of related projects such as REHRA. The final site selection will made by the participating states. Selection of the sites for the Demonstration Projects will be determined within the TDA process based upon criteria established by the TTT. The sites will be on transboundary rivers where human activities are currently deleteriously impacting, or are forecast to impact, the environment. The environment should not be so degraded that in order to achieve sustainable development a dramatic decrease in human activity and resource utilization is required.
It is important that the communities (comprising perhaps of several villages on either side of the boundary) have an incentive to participate in the project. They will want to know how the project will improve their standard of living as well as protect their environment. The demonstration projects must be able to deliver win-win results to communities. Sites where ethnic tensions are high should be avoided since the focus of the project maybe diverted away from sustainable development to conflict resolution, admiral though it is. The demonstration projects will be executed by regional NGOs who have experience in operating in the basin and in transboundary situations.
Community involvement in the project must be in part determined by the community itself, and full community participation will be critical to the success of the project. The project is designed to incorporate stakeholder support through advisory councils. Each demonstration project will be advised by a Joint Council made up of
11 representatives from the communities on each side of the shared border. Additionally there will Advisory Councils in each community which will receive input from pre-existing water use associations. These councils will be responsible for sharing information with those they represent, and with representing their constituents to the larger Joint Council. Some members of these groups may also serve on the Stakeholder Advisory Group, which helps the CTA.
The Advisory Councils will consist of 5-10 community stakeholders. They should include at least 30% women and minority representation. For effective project governance the demonstration projects will be designed to the following criteria prior to implementation: clearly defined boundaries of communities involved in the project and who has rights to join in and benefit from the project; that the EQOs and targets are not so overly stringent that community needs cannot be met; that all members of the community are able to have a voice in the decision making process; that there is transparency in all decisions and the decision making processes; that those who violate the agreed community rules in implementation of the demonstration project are sanctioned proportionally to the seriousness and context of the offence; that there is a rapid, low cost, regularly scheduled forum for conflict resolution within the community; and that there is at least a minimal recognition of rights of the communities to be self-organized. The NGO executing the demonstration project will take steps to ensure coordination and collaboration among all stakeholder groups to allow for effective self-governance of environmental resources in communities based on these criteria.
The demonstration projects will comprise the following steps:
- Establishment of Advisory Councils in each country and a Joint Council for the overall management project. These councils will be the decision making bodies for the demonstration projects, moderated by NGO representatives. The councils will be advised by national experts and consultants. Care will be taken to use plain (non-technical) language used when addressing the Councils in order to ensure comprehension. Financial Input: $10K
- A review of the environment issues and problems of the sub-basin measured against the EQOs and targets prepared by the consultant in activity 2, to be done by a mixed team of national scientists and consultants and including representatives from the Joint Advisory Council. A report will be presented to the Joint Council for discussion and approval. Financial Input: $15K
- A review by national consultants and council representatives of the existing and future social and economic conditions and constraints in the project area and an assessment of impact of application of EQOs and targets. The consultants will identify potential improvements in land and water use management and based on this study will recommend application of the EQOs and targets in the proposed or mitigated form. A report shall be presented to the Joint Council for discussion and approval. Financial Input $20K
- An Action Plan to be developed with the combined objective of improving the overall land and water resource management and meeting agreed EQOs and targets. The action plan may include, resource management agreements between communities, monitoring programmes, minor infrastructure improvements, capacity building and technical assistance. These decisions will be made at the community and governed according to the standards outlined above. A monitoring and evaluation programme will be designed for the Action plan, which will be approved by the Joint Council. Financial Input: $20K.
- Implementation of Action Plan and monitoring, to be overseen by the contracted NGO, supported by qualified engineers and technicians. All large contracts will be let by the executing agency UNOPS. Contributions of a minimum of 30% will be required from communities for infrastructure improvements. Financial Input: $280K
- Preparation of a final report, including lessons learnt, to be incorporated into the SAP, and execution of a programme of information dissemination throughout the upper Syr Darya basin. Financial Input: $40K
Total Financial Input: $730K ($365 per demonstration project)
Activity 5: Development of Strategic Action Programme for Sustainable Development
12 The revised set of EQOs and targets will be prepared and reviewed in light of the results from the demonstration projects and the TDA findings, and a final vision for the sustainable development of the upper Syr Darya basin will be drafted and approved. A Strategic Action Programme (SAP) and component National Action Plans (NAPs) will be developed to comply with revised EQOs and targets in the short (0-5 years) and medium (5-15 years) terms. The SAP and NAPs will be endorsed by the local and national governments and will contain a financial plan and monitoring and evaluation programme. The SAP and NAPs will be consistent with the national environmental action plans and poverty eradication strategies.
Financial Input: $110K
Activity 6: Review of Institutional Frameworks for SAP implementation
A regional workshop will be convened attended by representatives of the participating states to discuss the institutional and management framework for implementation of the SAP and the next steps to be taken by the project. The review will take account of the roles and responsibilities of existing regional environmental and water management institutions, such as IFAS, ICWC and ISDC, when making recommendations to the participating states.
Financial Input: $50K
Total Project Financial Input: $1200K
2.5 Sustainability Analysis and risk assessment
The project sustainability will depend upon whether the lessons learnt in the demonstration projects are relevant to the basin communities and whether the local and national governments remain true to the ‘vision’ defined in the Strategic Action Programme (SAP), committing the necessary political, institutional and financial support and resources required. The SAP will only be successfully implemented if it is able to garner support of the local communities and governments and national governments; support from international donors (multi-lateral and bi- lateral) will not be sufficient. The SAP must be integrated into the national policy and planning frameworks and must receive multi-sectoral support. The inter-ministerial committees will play a crucial role in achieving this integration and the support of the SAP by the IFIs will also be influential. An inter-governmental body of some form will be required to oversee implementation of the SAP and this will be discussed at the end of the project. One possible approach would be to form an Upper Syr Darya environmental programme under the UN umbrella following a declaration by the countries committing themselves to sustainable development.
Successful replication of the pilot projects will depend whether mechanisms can be found to improve resource management at the same time as increasing environmental protection. Therefore the scaling of mechanisms, approaches and institutions are critical to consider throughout the development implementation and evaluation phases. Replication through transfer of the lessons learnt to larger scale community programmes focused on land and water resource management should be investigated. In addition, if successful, similar projects could be implemented in other sub-basins of the Aral Sea basin.
The project will be closely linked to the OSCE/NATO/UNDP/UNEP ENVSEC initiative in the Ferghana-Osh- Khujand triangle (see annex 1) which has already engaged the governments in the three basin states through a series of projects assessing transboundary environmental risk in the valley, in particular in the water sector. Among these are a Rapid Environment and Health Risk Assessment (REHRA) for the Osh-Khujand-Ferghana triangle. The ENVSEC National Focal Points, in the three basin countries will form a Steering Group for the project together with the representatives of three international organisations.
At the national level the GEF project will be coordinated through the ENVSEC national inter-ministerial committees established under the Ministries of Foreign Affairs and Environment (see annex 2 for ToR). These inter-ministerial committees will include all major governmental stakeholders including the Ministries Water Resources, Agriculture, Fisheries, Forestry and Finance. The project will be implemented by the UNDP Bratislava Regional Centre (BRC) and executed by the United Nations Office for Project Services (UNOPS) based in Geneva. The Director of BRC will act as the Principal Resident Representative for the project. The Chief
13 Technical Advisor (CTA) to the project will be a part-time post based in the UNDP Country Office in Tajikistan. The CTA will be responsible for ensuring the integration of the UNDP Environmental Governance Programme component project, which is to undertake the implementation of the demonstration projects within the main UNDP/GEF project (see attached organogram annex 2). National liaison offices will be established in the oblast centers of the three participating states (in Osh, Khudjand and Ferghana). The offices will be hosted by the OCSE Aarhus centres established under the ENVSEC initiative. Lines of communication between the project and the offices of the Oblast Governors will also be established.
Large water management programmes are being implemented in all three basin countries by donors such as the World Bank, Swiss Agency for Development and Corporation (SDC) and USAID, creating a network of water- user associations throughout the basin. Linkage to these water-user associations will be vital to ensure the acceptance and sustainability of the project. These international and bilaterally supported projects, as well as their donors, will be invited to join a Friends of the Project Group. This group will meet regularly and is intended to provide a mechanism for collaboration among projects and donors in order to reduce redundancy and increase cost effectiveness of projects.
The Regional Environmental Action Plan (REAP) was endorsed by the Central Asian states in 2000 and identified five priority areas of environmental concern: Land degradation, air pollution, water pollution, waste management and mountain ecosystem degradation. Implementation of the REAP, overseen by the Interstate Sustainable Development Commission, has up until now been slow. A new medium sized project GEF project has been developed by UNEP Regional Resource Center for Asia and the Pacific with the objective of removing the barriers to its implementation by strengthening of political and institutional basis for regional cooperation; strengthening of the decision making capacity and process; enhanced civil society participation; and resource mobilization. Since a number of these objectives are common to this project close coordination and collaboration between the two projects will be sought through the involvement of the ISDC and their Scientific Information Centre (SIC).
Links will also be forged with the new Central Asian Countries Initiative for Land Management (CACLIM), an estimated $700 million programme to combat land degradation and improve rural livelihoods in the Central Asian countries. The programme is in its development phase and is led by the Asia Development Bank (ADB) and supported by the GEF. The UNDP Bratislava Regional Centre is in correspondence with the ADB on how to best coordinate with the new programme.
2.6 Stakeholder involvement
After undertaking of the stakeholder analysis under the TDA, the project will form a regional stakeholder advisory group that will comprise representatives of the major stakeholder groups: national, regional and local government officials, farmers groups, water users associations, public and private industry officials, community based organizations, NGOs, women’s groups, youth organizations, researchers and scientists, national park officials and forestry managers. The stakeholder advisory group will take part in the substantive TDA and SAP formulation meetings and review and comment on the draft documents.
The demonstration projects should be owned by the participating communities and through the national and combined management councils make all project decisions. The regional NGO executing the demonstration projects will have a moderating role and the scientists, engineers and consultants will provide advice. The composition of the management councils must be carefully specified so that the whole community is included, and no groups, in particular women and young people, are excluded.
Every effort will be made to engage existing regional environmental and water management institutions, such as the International Fund for the Aral Sea (IFAS), the Instate Coordination Water Commission (ICWC) of Central Asia and the Interstate Sustainable Development Commission (ISDC). Representatives of these organizations will be invited to participant in all major TDA and SAP workshops, comment on the project documents and attend the regional workshop to discuss institutional frameworks (activity 6).
3.0 Incremental Cost Assessment
14 The incremental cost matrix is given in Annex 1.
4.0 Budget
The total funding of the project including country contributions will be $1.35 million. Co-funding of $200,000 will be provided by UNDP Regional Centre in Bratislava through their Environmental Governance Programme and the Environmental and Security Initiative.
The financial inputs for each project activity are summarized in the table below in US dollars:
Activity GEF UNDP/EGP UNDP/ Country Total ENVSEC in kind
EQOs 60,000 10,000 70,000 TDA (incl. Kayrak-Kum 250,000 80,000 330,000 survey) Demonstration Projects 580,000 100,000 50,000 10,000 740,000 - Advisory councils 20,000 20,000 - Review of environmental 30,000 30,000 issues - Review of Socio-economic 40,000 40,000 issues - Development of Action 10,00 30,000 40,000 Plans - Implementation of Action 560,000 560,000 Plans - Final report and M and E 20,000 20,000 10,000 50,000 Development of SAP and 110,000 20,000 130,000 NAPs Review of Institutional 50,000 30,000 80,000 Framework TOTAL 1,000,000 100,000 100,000 150,000 1,350,000
The budget expressed in terms of line items is given below:
Component GEF UNDP/EGP UNDP/ Country Total ENVSEC in kind
Personnel - International 150,000 15,000 10,000 175,000 - Regional 150,000 10,000 10,000 70,000 240,000 Travel expenses 60,000 10,000 10,000 80,000 Subcontracts 450,000 40,000 490,000 Meetings/training 90,000 20,000 60,000 40,000 210,000 Equipment - Non-consumable 30,000 30,000 - Consumable 20,000 20,000 Office maintenance 30,000 40,000 70,000 Publications 5,00 5,000 10,000 20,000 Evaluation missions 15,000 15,000
TOTAL 1,000,000 100,000 100,000 150,000 1,350,000
EGP – Environmental Governance Programme ENVSEC – Environment and Security Initiative
15 5.0 Implementation Plan
Month 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 Activity Establish of Implementation arrangements and offices Inception meeting * Steering Committee/Meeting of friends of the * * * project
Review of EQOs and targets Meeting to agree environmental vision for * sustainable development of Upper Syr Darya basin
Stakeholder analysis and public involvement plan SHA and PI review meeting * Establishment of TTT 1st TDA workshop – identify and scope issues TDA studies and summary reports Legal and institutional analyses Review of environmental investments Assessment of socio-economic constraints 2nd TDA meeting Causal Chain analysis * Synthesis of TDA and 3rd TDA review meeting *
Review of demonstration sites
16 Month 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 Meeting to select demonstration sites * Establish advisory councils Assessment of environmental impacts Review of socio-economic conditions and EQOs Development of Action Plan Implementation of Action Plan Interim and Final reports
1st SAP meeting to finalise basin vision * 2nd SAP meeting to identify options * Draft SAP and NAPs National meetings to review NAPs 3rd SAP meeting to review SAP * Final SAP and NAPs
Regional meetings to review institutional * * framework Signing of SAP *
17 6.0 Public Involvement Plan
Public involvement and fostering a strong sense of stakeholder ownership is a key component of this project. A stakeholder analysis will be conducted to determine key areas of interest and concern to a broad range of stakeholder groups. This analysis will inform the TDA and will serve as a basis for the development of the Stakeholder Advisory Group. This group will consist of representatives of the major stakeholder groups: national, regional and local government officials, farmers groups, water users associations, public and private industry officials, community based organizations, NGOs, women’s groups, youth organizations, researchers and scientists, national park officials and forestry managers. The stakeholder advisory group will take part in the substantive TDA and SAP formulation meetings and review and comment on the draft documents. This group will also be charged with informing their core constituents of the activities and objects of the project. They will be asked to assist in the development of public awareness building efforts and will provide feedback on the effectiveness of these efforts as they are implemented.
The implementation of the action plans pertaining the EQOs and targets in the transboundary communities will be conducted by community level stakeholders with support from multiple stakeholder groups, including scientists, experts, regional and national officials, and oblast and municipal government representatives. The supporting stakeholder groups will also be encouraged to join in the development, design, implementation, evaluation and monitoring on the projects. The stakeholder involvement within the demonstration projects will be well supported by the project and will include: community and municipal leadership, land owners, farmers and farming cooperatives, land and water distribution agents, farmer and land use education specialists, and agro-chemical distributors, public healthcare providers, women’s craft collectives, school teachers and school children, and local NGOs.
7.0 Monitoring and Evaluation Plan
Project strategy and objectives, intended outputs, implementation structure, work plans and emerging issues will be regularly reviewed and evaluated annually by the Project Steering Committee. Periodic Status Reports will be prepared at the request of the Steering Committee for presentation at key meetings associated with the Project.
The project will also be subject to:
- Internal Project Implementation Reviews to be conducted by the CTA and submitted to the implementing agency at the end of months 9 and 21 of the project programme. - An independent interim project evaluation to be undertaken in month 16 to be presented to a tri- partite review to be held in accordance with UNDP procedures in month 18. - An independent final project evaluation to be undertaken in month 24.
The project evaluations will be carried out in accordance with the GEF requirements and will cover all aspects of the project. They will include: an assessment of (a) the outcomes generated, (b) the processes used to generate them, (c) project impacts using indicators included in the logical framework matrix, and d) lessons learned. Advice will be given on how to the M&E results can be used to adjust the work if needed and on how to replicate the good results in the region.
18 ANNEX 1 Incremental Costs Matrix
Activity Baseline (B) US$ Alternative (A) US$ Incremental (A-B) US$ Activity 1 Establishment of project implementation ENVSEC programme steering committee and inter- No requirement for establishment of new Representation on the Steering Committee of both arrangements ministerial committees established for the Osh- implementation arrangements just confirming existing MoFA and MoE from each country Khujand-Ferghana triangle already established. ones
TOTAL: 20K TOTAL: 20K Cost to GEF: 0K Activity 2 Definition of the Eco-system Quality Objectives Support from technical experts of the TTT to define Recruitment of international consultant to undertake Introduction of international best practice in setting and targets for the upper Syr Darya basin and EPL based on regional best practice and knowledge EQO definition study in collaboration with regional EQO and regional facilitation. definition of basin vision. of economic and social constraints. expertise and facilitation of regional workshop (s) to agree a basin vision
TOTAL: 10K TOTAL: 70K Cost to GEF: 60K Activity 3 Preparation of a TDA Sub-activity 3.1 Stakeholder Analysis and establishment of No analysis and no regional stakeholder group Full stakeholder analysis and the establishment and Identification of all stakeholders including latent Stakeholder Advisory Group undertaken maintenance of a Stakeholder Group for the duration stakeholders and description of potential areas of of the project. conflict and collaboration. Assurance of a full participatory approach in the TDA/SAP development process.
Zero baseline TOTAL: 40K Cost to GEF: 40K Sub-activity 3.2 Formation of the TTT and identification of priority Support from national and regional experts in Regional workshop led by international consultant to The division of environment problems and issues into transboundary issues and problems defining the priority issues establish priority transboundary and shared issues and transboundary and shared and a semi-objective identify gaps in information and data weighting of their priority.
TOTAL: 20k TOTAL: 40K Cost to GEF: 20K Sub-activity 3..3 Preparation of detailed assessment of transboundary International, regional, national and sectoral reports Review of all available relevant reports and synthesis Collation and assessment of all priority environmental issues and commissioning of specific studies, made available into regional reports for each priority transboundary issues in the basin and the collection of key data including contaminant survey of Kayrak-Kum issue. Identification of information gaps and regarding specific issues reservoir commissioning of specific studies and surveys
TOTAL : 200K TOTAL: 300K Cost to GEF: 100K Sub-activity 3.4 Analysis of existing legislation, policy and International and national and project reports made A regional report synthesizing all relevant A mapping of common and differing elements of programmed investments available information. legislation and policy in the three basin countries and recommendations harmonization in the basin context. An assessment of the future baseline.
TOTAL: 60K TOTAL: 40K Cost to GEF: 20k Sub-activity 3.5 Causal Chain analysis Regional workshop to carry out a causal chain An assessment of the immediate and root causes of analysis of the priority transboundary issues, the priority transboundary environmental problems and identification of best placed interventions or complex or interventions to address them.
19 Zero baseline TOTAL: 30K Cost to GEF 25K Sub-activity 3.6 Assessment of Socio-economic conditions in the International and national and project reports made A regional report synthesizing all relevant Assessment of the socio-economic conditions and basin. available information. trends in the basin against which EPLs are conditioned
TOTAL: 40K TOTAL: 60K Cost to GEF: 20K Sub-activity 3.7 Synthesis of stakeholder analysis, regional reports, A scientifically based, holistic assessment of Synthesis of TDA CCA and new studies and surveys into a TDA transboundary environmental issues and problems in the basin
Zero baseline TOTAL: 25K Cost to GEF: 25K Activity 4 Design and implementation of Community Transboundary Demonstration projects Sub-activity 4.1 Selection of demonstration sites and establishment of Identification of potential sites and selection of two Sites selected where protection of the environment is project advisory councils for implementation. Appointment of a regional NGO possible in conjunction with better resource to manage the demonstration projects and initial management ( win-win) and establish community meetings to establish a formal management structure. ownership of the demonstration projects.
Zero baseline TOTAL:20K Cost to GEF: $0K Sub-activities 4.2 and 4.3 Review of environment issues and problems and Desk/field study undertaken by experts from the A measure of the environmental issues and the EQOs socio-economic conditions and constraints participating states of the environmental that are being exceeded and the economic aspirations issues/problems and economic-social problems of the and constraints of the communities. demonstration sites
Zero baseline TOTAL: 30K Cost to GEF:30K Sub-activity 4.3 Development of Action Plan for demonstration sites The development of an action plan by the community An action plan which will address the economic and agreement on EQOs and local targets to improve land and water resource management in aspirations of the community whilst at the same time the demonstration site with constraints of the EQOs value and provide protection for the environment. and targets Demonstrate that good environmental governance can be fostered at the community level at transboundary locations.
Zero baseline Cost to GEF: 40K TOTAL: 40K Sub-activity 4.4 Implementation of Action Plans and monitoring and Implement improvements to the land and water Concrete (and permanent) demonstrations of what can evaluation of demonstration projects resource management in the demonstration area as be done in terms of sustainable level at the local level. agreed in the action plan. Improvements may include inter-community transbounday agreements, resource use monitoring and infrastructure improvements.
Zero baseline TOTAL: 600K Cost to GEF: 600K
Sub-activity 4.5 Reporting and inclusion of lessons learnt into SAP Interim and final reports prepared and programme for Inclusion of lessons learnt in the regional SAP and dissemination of results implemented replication of project, or elements of it, in the basin or wider.
20 Zero baseline TOTAL:40K Cost to GEF: 40K Activity 5 Development of Strategic Action Plan for the Input from existing international and national plans The development of a SAP document and finalization An action plan for sustainable development of the sustainable Development and agreements through a series of national and regional workshops Upper Syr Darya basin endorsed by the local and national governments.
TOTAL: 150K TOTAL: 220K Cost to GEF:70K Activity 6 Inter-governmental discussion on the establishment of Regional agreement on an institution framework for Review of institutional Frameworks for SAP an institutional framework, perhaps under the UN implementation of the SAP. implementation umbrella, for the long term implementation of the Upper Syr Darya basin SAP.
Zero baseline TOTAL: 50K Cost to GEF: 50K
TOTALS 500K 1700K 1200K
21 ANNEX 2 Organogram Upper Syr Darya Sustainable Development Project Steering Committee
Friends of ENVSEC ENVSEC Project Council NFPs
Governance
Stakeholder Advisory Group ENVSEC Interministerial Chief Technical Adviser Committees Sub regional group of government representatives Management
Demo 1 Demo 2 TDA/ NGO NGO SAP executed executed TTT
Joint Council Joint Council Kyrgyz. Tajik. Uzbek. Liaison Liaison Liaison Water Water Use Use Office Office Office Associatio Com. Com. Com. Com. Associatio n Counc Counc Counc Counci n il il il l Project Elements
22 ANNEX 3 Logistical Framework Activity Verifiable Indicator Source of Verification Risks and Assumptions Activity 1: Establishment of Project implementation arrangements A. Implementation arrangements . Selection and confirmation of NFPs . Selection of NFPs and Project Availability of qualified individual to serve and Establish offices and Project Liaison for each country Liaison supported by representative as NFP . Recruitment of CTA and country ministry coordinators with ToRs agreed . CTA appointed B. Steering Committee/Meeting Meeting of Steering Committee to Steering Committee approval of Steering Committee willing to approve establishment of Friends of approve project objectives project objectives project objectives the Project group Identify and invite “Friends of Regular meetings held with Availability of IFI, donor and private sector Project” from members of major coordination mechanisms in place representatives to support the projects regional donors, IFIs, and the private for “FoP” group. sector, as well as other stakeholder group representatives Activity 2: The definition of set of EQOs and targets for the upper Syr Darya basin and its sub-basins and developing a vision for its sustainable development. A. Review of Ecosystem Quality ToR for and recruitment of qualified Recruitment of qualified consultant Availability of qualified consultant to Objectives and targets consultant to conduct review Report with scaled targets for use establish EQOs and targets approved with demonstration projects Information for EQOs reliable and accurate Establish EQOs and targets with Graphic models of EQOs and targets EQOs and targets realistic and appropriately parameters and ranges for relevant scaled issue areas B. Meeting to Meetings of CTA and project staff, Report from CTA on Ability of groups to clearly understand the agree on vision for upper Syr stakeholder advisory group FoP, meetings/workshops EQOs and targets Darya basin ENVSEC and NFPs, and A clearly articulated and supported Ability of groups to develop a clear vision Stakeholder Advisory group to vision for the upper Syr Darya Basin for the upper Syr Darya Basin discuss and EQO Consultant to Ability of group to reach consensus on discuss the EQOs and targets, and vision establish basin vision. Activity 3: Transboundary Diagnostic Analysis A. Stakeholder analysis and With assistance of NFPs and local Completed stakeholder analysis Successful access to stakeholders and public involvement plan consultants, design and administer A full scale public involvement plan sufficient information for analsysis stakeholder survey and conduct an for the full project Public involvement feasibly based on socio- stakeholder analysis economic and political factors in the region Develop a feasible public involvement plan for the project B. Establishment of TTT Designate and appoint 3-4 members TTT functioning with full Availability of qualified individuals for per country to TTT based on representation from all participating TTT work in each country diversity of expertise countries. 9 -12 members TTT members from sufficiently diverse sectors to avoid capture by any single sector C. 1st TDA workshop – identify Hold workshop for TTT, CTA and Deliver of brief scoping report Sufficient knowledge and diversity of TTT
23 Activity Verifiable Indicator Source of Verification Risks and Assumptions and scope issues TDA/SAP to identify, locate and summarizing findings of workshop members prioritize trans-boundary issues to Appropriate prioritization of issues address in the TDA D. TDA studies and summary Gather and interpret information on Summary reports of studies Reliability of information gathered reports priority trans-boundary issues Linkages with other regional Other regional projects receptive to Identify and create linkages with projects established, as appropriate collaboration other regional projects as appropriate E. Legal and institutional Analyze institutions, laws, policies Report to CTA and TTT reviewing Availability of and access to information analyses of and projected investments at institutions, laws, policies of and pertaining to institutions, laws, policies of national level in all countries in projected investments at national and projected investments at national level relation to the transboundary priority level as they pertain to trans- issues for use in clearly defining boundary issues basin-wide vision in the SAP stage F. Review of environmental Conduct a review of existing Review report including gaps and Access to appropriate investment policies and projected policies and projected environmental recommendations information investments investments in the region to identify Projected investments actually targeting gaps in projected investments and intended issues activities G. Assessment of socio-economic Conduct and assessment of the Report on socio-economic Realistic assessment of socio-economic constraints current and existing socio-economic constraints with recommendations constraints constraints impacting environmental Realistic recommendations issues and sustainable development Ability to accurately forecast social and in the Syr Darya river basin with economic trends in the region and their recommendations for overcoming impact on environmental factors them H. 2nd TDA meeting Causal Conduct a Causal Chain Analysis to Report on Causal Chain Analysis Ability of group to identify root causes and Chain analysis relating priority issues to immediate Summary of appropriate causal chain physical causes and underlying interventions for transboundary Clear instructions for groups in CCA social and economic causes with issues methodology involvement of TTT, NFPs and Listing of monitoring indicators for Appropriate levels chosen for targeting ENVSEC actions and interventions interventions Monitoring indicators realizable and effective I. Synthesis of TDA and 3rd TDA Building on studies and analysis TDA draft incorporating studies and Accessibility of information for SH review meeting conducted above, CTA will oversee analysis above Advisory Group and functioning of public drafting TDA with all tables, Comments from SH Advisory review mechanisms annexed and summaries Group and from public comments TDA acceptable to Steering committee. If Present draft to SH Advisory Group Steering Committee approval of not, additional revisions may be required via meeting(s) and make available TDA
24 Activity Verifiable Indicator Source of Verification Risks and Assumptions for public review and at Steering Committee meeting present TDA for approval Activity 4: Creation of guidelines for the implementation of the sustainable development vision at the community level and at transboundary locations. A. Review of demonstration sites Review of potential demonstration Criteria agreed upon Sufficient number of sites for range of sites, with summaries with positives Demonstration sites evaluated based options and negatives each site on criteria Criteria appropriate for site selection B. Meeting to select National representatives to meet to Meeting minutes to determine Ability of national representatives to reach demonstration sites select demonstration sites based on selection of sites agreements on sites potential for project implementation Selected sites Site selection based on potential of site by and EQOs and targets objective criteria C. Establish project advisory Establish advisory councils for each Councils established with rosters of Ability to identify and recruit appropriate councils project to consist of community and council members for joint and council members at the community and joint councils community councils joint council level Deliver clear charge and training to Training regarding EQOs and Community and council capable of councils and communities for their targets and project mission delivered understanding mission of project and role of role in the demonstration project to council members and community EQOs and targets as needed D. Assessment of environmental A team of scientists and consultants Report from project to be presented Ability of scientists and consultants to impacts from both countries and members of to the combined council for dialogue successfully with council members the combined council will review discussion and approval regarding EQOs and targets and environmental issues and problems environmental impacts of the sub basin measured against EQOs link to issues specific to communities EQOs E. Review of socio-economic National consultants review existing Consultants review of social and Consultant able to conduct realistic conditions and EQOs and future social and economic economic conditions and constraints assessment of the applications of EQOs and conditions and constraints in the Assessment of the impact of the targets project area and conduct and application of the EQOs and targets assessment of impact of application Recommendations of applications of of EQOs and targets EQOs and targets F. Development of Action Plan Action Plan developed with the Action plan with combined objective Action plan able to meet requirements of combined objective of improving the developed EQOs and targets and address issues overall land and water resource Action plan approved by community intended to management and meeting agreed Action Plan approved by combined Community approval and support for action EQOs and targets and approved by council plan the community and combined councils G. Implementation of Action Implementation overseen by the Plans implemented NGOs able to successfully oversee Plan NGO and supported by engineers Contributions raised from all implementation and technicians, with in-kind members of community for Plans self sustaining after project 25 Activity Verifiable Indicator Source of Verification Risks and Assumptions contributions of a minimum of 30% infrastructure improvements completion required from communities for Plan continuation after project infrastructure improvements completion H. Interim and Final reports Preparation of an interim and final Interim and final reports on project Ability to successfully distil information report, including lessons learnt to be Specific lessons learnt report from demonstration project into lessons incorporated into the SAP and Information disseminated learnt and introspective reports information dissemination throughout upper Syr Darya Basin Ability to translate lessons learned into throughout the upper Syr Darya information campaign basin Activity 5: Development of Strategic Action Programme for Sustainable Development with National Action Plans A. 1st SAP meeting to finalise In workshop format, identify final Delivery of basin-wide vision and Basin wide vision realizable basin vision clearly defined vision of long-term series of EQOs targets delivered to EQOs and targets realistic within socio- environmental status in terms of SAP formulation team economic and time constraints of the basin Ecosystem Quality Objectives (EQOs) and targets B. 2nd SAP meeting to identify SAP team to review and refine Reports from SAP Team and Cohesion of views of SAP team and options EQOs in workshop with a view to Demonstration project Teams Demonstration project teams application for NAPs in light of regarding acceptance, and/or EQOs generally supported by both sets of demonstration project results suggested revisions with teams with minor revisions Development of standardized applicability for NAPs Guidelines suitable to use in other projects guidelines for demonstration Revised set of EQOs projects SAP components outlined C. Draft SAP and NAPS SAP Formulation Team and Initial draft of SAP submitted to SAP draft in accordance with GEF TDA/SAP expert to draft SAP Project Team standards and coordinated with EPLs NAPs to be drafted by NFPs and Initial draft of NAPs submitted to NFPs able to draft NAP with with assistance of Interministerial SAP formulation team Committee D. 3rd SAP meeting to Presentations of SAP, Summary of comments from each Policy Makers able to make constructive review SAP and NAPs Demonstration Projects, and NAPs country comments for review and comment Similarities throughout region regarding comments E. Final SAP Presentations of SAP for review Summary of comments from each Policy Makers able to make constructive and comment to country officials country comments regarding SAP drafts Steering Committee to discuss and Approval of SAP by Steering Similarities throughout region regarding approve SAP Committee comments F. Signing of SAP and SAP signed and approved by Signed SAP by all countries Willingness of all governments in region to endorsement of NAPs countries support and sign the SAP National level endorsement of NAPs with budget commitments of support
26 Activity Verifiable Indicator Source of Verification Risks and Assumptions Activity 6: Review of Institutional Frameworks for SAP implementation A. Regional meetings to Meeting of key actors in the project Comments regarding institutional Ability of regional representatives to reach review institutional and from the region to review the framework to be incorporated into agreement on the institutional framework framework institutional framework for SAP full project document implementation
27 ANNEX 4 Related Project for Ferghana Valley, Upper Syr Darya Project Name Brief Description Focus Area Implementing and Budget Status/dates Executing (US $) Organization ENVSEC Environment Promotion of mutual confidence and peace by providing a Water sharing OSCE/ UNDP/ Initiated and Security Initiative: framework for cooperation on local and cross boarder Regional security UNEP Transforming Risks into environmental issues. This builds on the combined strengths and Cooperation field presence of the lead organizations to perform three key functions: assessing vulnerability and monitoring environment and security linkages; building capacity and developing institutions; and developing, implementing, and advocating integration of environmental and security concerns and priorities in international and national policy-making. Early Warning System in The main goal of this project is to collect and to disseminate Policy coordination UNDP/OSCE 60,000 Under Fergana Valley information and to undertake corresponding analysis on Monitoring and development potential conflict-prone issues arising from competition over early warning natural resources between communities in the three states of the Ferghana Valley (Tajikistan, Kyrgyzstan and Uzbekistan). It will also assist decision makers in assessing the environment- security lnkages more broadly and in placing natural resource use issues in the perspective of the wider security context.
This system of monitoring and early warning will produce an information base for the adoption of responsible policies. It will also provide a snap shot of the needs and priorities, and of capacity-building requirements, which will be useful in planning practical interventions. ENVSEC Rapid The project aims at better understanding, monitoring and Health and OSCE/UNEP/UNDP 400,000 Proposed Environment and Health controlling environmental pollution and public health risks environment Project Risk Assessment posed by industrial activities in the Ferghana Valley. Development of respective national and regional monitoring strategies, plans, networks as well as the institutional strengthening of the regulatory bodies and their supporting scientific background institutions, in the fields of monitoring hazardous industrial activities and sites is targeted. Natural disaster The project is aimed to strengthen national capacities to Disaster OSCE/UNEP/UNDP 410,000 Proposed preparedness in high risks manage and reduce natural disaster risk in high-risk management, project communities communities in Kygyzstan, Tajikistan and Uzbekistan as a environment and means to prevent social tension and conflict. This project will human security address root causes of disaster risk, at the community level,
28 Project Name Brief Description Focus Area Implementing and Budget Status/dates Executing (US $) Organization most of which are the result of degradation of natural systems and pose life threats to the poorest communities.
USAID Peaceful USAID’s Peaceful Communities Initiative helped develop the Drinking Water USAID Initiated Communities Initiative first trans-border drinking water system in the Ferghana Valley / Presidential Initiative of Uzbekistan and Kyrgystan since the countries gained Water for the Poor independence from the Soviet Union Initiative “Syr Darya Control and The project's overall objectives are: (i) sustaining and increasing Water management, World Bank with 85.79 m on going Northern Aral Sea agriculture (including livestock) and fish production in the Syr environmental Ministry of Natural 2001-2006 Project” Darya basin; and (ii) securing the existence of the Northern Aral development Resources and Sea (NAS) and improving the ecological/environmental Environmental conditions in the delta and around NAS leading to improved Protection, human and animal health and biodiversity. Activities include: Committee for Rehabilitation of Northern Aral Sea (Component A); Improving Water Protection the Hydraulic Control of the Syr Darya (Component B); Rehabilitation of Chardara Dam (Component C); Aquatic Resources Restoration and Fisheries Development (Component D); Monitoring and Evaluation (Component E); Project Management and Institutional Development (Component F) WB/GEF- “Aral Sea The overall objective of the Water and Environment Water management, World Bank with 15.5 m Completed Water and Environmental Management Project (WEMP) was to help implement the Aral transboundary, GEF and 1998-2003 Management Project” Sea Basin Program (ASBP) approved by the five heads of capacity building Central Asian States in 1994. The main objectives of the program were to: (a) stabilize the environment; (b) rehabilitate the disaster zone around the Sea; (c) improve the management of international waters; and (d) build the capacity of regional institutions. The WEMP project focused on two objectives: stabilizing the environment; and improving the management of international waters. Subproject focus has been on: national and regional water and salt management; participation in water conservation; public awareness building; dam safety and reservoir management; transboundary water flow monitoring; wetlands restoration; project management support EU-TACIS - “Water The long-term objectives for the region are to: Water quality EU/TACIS €2m 1995-2000 Resources Management - Provide the administrative and technical framework for Water quantity many be and Agricultural development programmes concerned with utilisation, allocation Irrigation continuing in Production in the Central and management of water resources in the Aral Sea basin; Water resource near future
29 Project Name Brief Description Focus Area Implementing and Budget Status/dates Executing (US $) Organization Asian Republics - Determine the allocation between economic sectors and users management (WARMAP)” based on sound criteria, while ensuring proper regard for the preservation of water quality and downstream usage; - Obtain more effective use of existing systems and institutions while introducing economic concepts and environmental accounting to create awareness of the benefits of new policies; - Assist in developing new technologies for the allocation and management of water resources in agriculture. SDC - “Integrated Water The main goal of the project is to improve rural population Integrated Water Swiss Agency for 331,871 Ongoing Resources Management livelihoods by demonstrating on a pilot scale the integrated Resource International annually 2001 - present in Ferghana Valley” water resources management in Fergana Valley. This means Management, Development/UNDP 2002 also achievement of greater social harmony during on-going irrigation agricultural reforms in the states of the region. USAID - “Environmental The objective of the Regional Cooperation in Water Water management USAID N/A Completed Policy and Technology Management Program under DO 8 was to help develop legal, policy 1994-1996 Project – Delivery Order policy, and institutional arrangements for the management of a 8: Regional Cooperation complex water system with serious environmental problems. in Water Management Program” USAID - “Environmental Project goals: Uzbek water policy USAID N/A 1996-1997 Policy and Technology 1. To provide direct consultative services to the Government of Project – Delivery Order Uzbekistan (GOU) in the area of water and environmental 14: Water and management policy; Environmental 2. To assist the Government of Uzbekistan in identifying the Management Policy in highest priority water and environmental policy issues and in Uzbekistan” developing an action plan for implementing needed policy initiatives; 3. To provide and/or facilitate the use of appropriate opportunities for training local counterparts from both the national and regional/local levels. Agriculture Area Address constraints in farm restructuring, drainage and Agriculture and ADB US$ Implementation Development irrigation, Natural Resources Executing Agency: 36Mio. Phase: Project input supply, machinery hire services, marketing, /Irrigation and Rural Ministry of 12.99 – 12.05 and finance Kyrgyzstan, Chuy province Development Agriculture and Water Resources
Amu Zang Water Increase the reliability, efficiency and sustainability of water Agriculture and ADB US$ 50 In the pipeline Resources supplies of the Amu Zang irrigation scheme, and to facilitate Natural Resources Executing Agency: Mio Management Project and /Irrigation and Rural Ministry of
30 Project Name Brief Description Focus Area Implementing and Budget Status/dates Executing (US $) Organization accelerate the on-going agricultural sector reforms in the project Development Agriculture and area. Focus on Uzbekistan Canal Level Amu Zang Water Resources Sukhandarya province Angor, Djarkurgan, Kumkurgan, (MAWR) Muzrabad, end Termez districts Implementing Agency: Uzgiprovodkhoz PIU establish in Termez Agriculture Rehabilitation of three Agriculture and ADB N/A Implementation Rehabilitation districts irrigation and Natural Resources Executing Agency: Phase: Project drainage facilities. /Irrigation and Rural Ministry of 18.12.02 – Provision of agricultural Development Water Resources 03.09 extension services and Land Tajikistan Reclamation Khojabakirgan district of Sughd province Vakhsh and Kyzylsu-Yakhsu districts of Khatlon pronvince AK Altyn Agriculture Improve agricultural performance and increase farm income in Agriculture and ADB Budget: Implementation Development Project Ak Altin Rayon, with focus on cotton and Natural Resources PIU: Ministry of US$ 36 Phase: wheat production Uzbekistan Ak Altin District - Syr Darya /Irrigation and Rural Agriculture and Mio. 23.08.01 – province Development Water 31.12.04 Resources Canal Automation Project Installation of automated and semi-automated regulation and Irrigation SDC Budget SDC 01.11.03 (Ferghana Valley) operation control system at system irrigation and basin levels SIGMA CHF – 30.10.06 Pilot canals South Fergana Canal (UZB) Aravan Akbuura 2'000'000 (KYR) Gulya Kandoz (TAJ) Basin structures/BVO Syr Darya Head regulator of Big Namagan Canal, Head Regulator of Big Fergana Canal, Khakulabad Distributor Head Regulator of Big Andijan Canal Information Base The project aims to improve the sharing and circulation of Data Exchange SDC Budget 01.11.03 – (CAR-WIB) information in the water and environmental sectors in Central Consortium: CHF 31.10.06 Asian countries. A regional Internet portal (based on existing SIC/GRID- 435'000 ICWC website) will be created to provide immediate access to ARENDAL up-to-date information. and UNECE- SPECA SIC Regional information The projects is developed as a component of Regional Data Exchange and UNDP Budget: 01.05.04 portal and network on environmental action plan and its public involvement activities generation US$90 000 -31.12.05
31 Project Name Brief Description Focus Area Implementing and Budget Status/dates Executing (US $) Organization sustainable development to streamline information exchange among different civil groups and environment and governments on issues of environmental cooperation in (CARESD) Central Asia
Central Asia Natural The project provides technical assistance in improving Agriculture and USAID N/A N/A Resource management of critical natural resources in the five countries of Natural Resources PA Consortium: PA Management Program Central Asia. Throughout Central Asia, NRMP works closely /Irrigation and Rural Consulting Group, (NRMP) with the national and local governments, NGOs and industry, Development Development providing recommendations on policy issues, conducting Alternatives demonstration models and organizing training Incorporated (DAI), programs in the area of integrated natural resource management Counterpart Central Asia 7 sub basins (forecasting and data communication) International, Establishment of WUAs (6 inUzbekistan 1 in Tajikistan) Winrock Uzbekistan 1. Karakalpaktan province Nukus (Improvement of International, pumping station) Tuyamuyun-Nukus Interregional Water and over 20 other Utility (pipeline maintenance equipment) 2. Zerafshan and subcontractors. Sukhandarya provinces (irrigation district improvement) 3. Chirchik and Zerafshan basins, Pakhtabad Canal (establishment of Decision Support Systems) Tajikistan 1. Khatlon province, Iskra (Rehabilitation of pumping schemes) Water User Association Project in Kyrgyzstan/Tajikistan/Uzbekistan Water Users Winrock Int. Budget: N/A Support Project USD 25 (WUASP) Mio On Farm Irrigation Increased crop production, through reliable, and sustainable Agriculture and WB Budget: Implementation Project water distribution on irrigated land across the Kyrgyz Republic. Natural Resources US$ 20 Phase: (OFIP) /Irrigation and Rural Mio 22.06.00 – Development 31.03.06 Rural Infrastructure Increase water supply and efficiency in the main and secondary Agriculture and WB Budget: Implementation Rehabilitation Project irrigation canals of Tajikistan Republican Subordinate province: Natural Resources Executing Agency: US$ 20 Phase: (RIRP) Shaharimov, Lenin and Gissar districts Khatlon province: /Irrigation and Rural Ministry of Mio. 22.06.00 – Kolkhozabad, Yavan and Ghozimalik districts Sughd province: Development Water Resources 31.03.06 Macha and Zefarabad districts and Land Reclamation Rural Enterprise Support Increase the profitability and sustainability of agriculture Agriculture and WB Budget: Implementation Project through the privatization and restructuring of farming and Natural Resources Executing Agency: US$ 36 Phase: (RESP) associated /Irrigation and Rural Ministry of Mio. 2002-2006 agribusiness activities Uzbekistan Establishment of 50 WUAs: Development Agriculture and Akhangaran district (Tashkent) Ellikala district – Water Resources Karakalpakstan (MAWR)
32 Project Name Brief Description Focus Area Implementing and Budget Status/dates Executing (US $) Organization province Markhamat district – Andijan province Nishan district – Kashkadarya province Sherabad district - Shukhandarya Contribution to Installation of automated regulation and operation control Irrigation Contractor: SIGMA Budget SDC 01.01.01 Automation of system at the dispatcher center of the Uch Kurgan Barrage. CHF – 30.09.03 Sluice Gates at Uch Uzbekistan The Uchkurgan weir works play a central role for 335'000 Kurgan Weir the distribution of water in major parts of the Fergana valley through main canals: Big Ferghana Canal (East Ferghana), Haqulabad Canal (West , Ferghana), North Ferghana Canal, Nartu Canal The Navruz Project: Study commissioned to examine trends in radio active materials Monitoring US Department of N/A implemented Transboundary and heavy metals in rivers including Syr Daryia Energy Monitoring for Sandia National Radionuclides and Metals Laboratories, US in Central Asian Rivers DOE
33 ANNEX 5 Map of Upper Syr Darya/ Ferghana Valley
34