UNDP Project Document Governments of: Azerbaijan, Islamic Republic of Iran, Kazakhstan, Russian Federation & Turkmenistan United Nations Development Programme PIMS #4058 The Caspian Sea: Restoring Depleted Fisheries and Consolidation of a Permanent Regional Environmental Governance Framework “CaspEco” This project builds upon a solid foundation of regional cooperation for Caspian environmental conservation put in place by the five Caspian states and the Caspian Environment Program over a period of more than 10 years with substantial catalytic support from the Global Environment Facility (GEF). Building on these achievements this project’s objective is to strengthen regional environmental governance and apply new thinking to the sustainable management and conservation of the Caspian’s bioresources. The project supports the littoral states' efforts to halt the decline in bioresources and to restore depleted fisheries in the Caspian Sea, through the implementation of agreed actions defined in the Caspian Strategic Action Plan (SAP), and to fully operationalize and make the Caspian Sea’s regional environmental governance mechanism sustainable. In line with the new GEF priorities, the major focus of GEF involvement will be to assist the countries to agree on the political commitments made to ecosystem-based joint action on sustainable fisheries and bioresources and introduce institutions and reforms to catalyze implementation of policies reducing over-fishing and benefiting communities. There are two main components of the project: 1) Ecosystem based management of aquatic bioresources; and 2) Strengthened regional environmental governance. The key outcomes sought under the two main components are: 1) Improved ecosystem-based aquatic bioresources management; Invasive species mitigation; Implemented policies & measures to increase reproductive success of Caspian’s diadromous fish species; Application of circum-Caspian approach to habitat conservation; and increased; Coastal communities participate in and contribute measurably to improved bioresources conservation; and 2) Operational and sustainable Tehran Convention institutions; Coordination and synergy with other projects and activities including effective donor coordination and engagement; Implementation of Strategic Convention Action Plan (SCAP) at regional level and NSCAP at national/sub-national level; Enhanced stakeholders’ engagement in the Tehran Convention process and improved public access to information. (Dec04) 1 Table of Contents 1 ACRONYMS 3 NOTE : THE INFORMATION PROVIDED IN THIS DOCUMENT, INCLUDING SCIENTIFIC AND LEGAL INFORMATION , DOES NOT NECESSARILY REFLECT THE POSITION OF THE COUNTRIES. 6 SECTION I: ELABORATION OF THE NARRATIVE 7 PART I: Situation Analysis..........................................................................................................................................7 1.1 Context and global significance...........................................................................................................................7 1.2 Socio-economic Context: ..................................................................................................................................10 1.3 The problem to be addressed. ............................................................................................................................11 1.4 Threats, root causes and barriers analysis..........................................................................................................11 1.5 Stakeholder analysis...........................................................................................................................................15 1.6 Baseline analysis................................................................................................................................................16 PART II: Strategy.......................................................................................................................................................22 2.1 Institutional, law and policy context..................................................................................................................22 2.2 Project Rationale and Policy Conformity...........................................................................................................26 2.3 Project Goal, Objective, Outcomes and Outputs/activities................................................................................28 2.4 Project Indicators, Risks and Assumptions........................................................................................................43 2.5 Incremental reasoning and expected global, national and local benefits...........................................................45 2.6 Country Ownership: Country Eligibility and Country Drivenness....................................................................46 2.7 Relevance to UNDP mandate. ...........................................................................................................................48 2.8 Sustainability......................................................................................................................................................48 2.9 Replicability.......................................................................................................................................................49 PART III: Management Arrangements....................................................................................................................49 PART IV: Monitoring and Evaluation Plan and Budget........................................................................................51 PART V: Legal Context ............................................................................................................................................56 SECTION II: STRATEGIC RESULTS FRAMEWORK AND GEF INCREMENT 56 PART I: Incremental Reasoning...............................................................................................................................56 Part II: Strategic Results Framework. .....................................................................................................................61 SECTION III: TOTAL BUDGET AND WORKPLAN 67 SECTION IV: ADDITIONAL INFORMATION 83 PART I: Letters of Endorsement and Financial Commitment. ............................................................................83 To be attached as a separate document....................................................................................................................83 2 PART II: Terms of Reference for Key Project Staff...............................................................................................84 PART III: Stakeholder Involvement Plan...............................................................................................................97 Part IV: Analysis of Stress on Caspian Sea Ecosystem Health/Sources of Stress and Underlying Causes. ...113 Part V: Parallel Co-funded Partner Activities. ....................................................................................................116 Acronyms AZ Azerbaijan APR Annual Project Review CC Caspi-Control Environmental Monitoring Organization (Turkmenistan) CAB Commission on Aquatic Bioresources (for the Caspian Sea) CaspEco Short name for full project name: “The Caspian Sea: Restoring Depleted Fisheries and Consolidation of a Permanent Regional Environmental Governance Framework” CaspNIRKh Caspian Scientific Research Institute for Fisheries (Astrakhan, Russian Federation) CaspMNITz Caspian Marine Scientific Research Center (Russian Federation) CISS Caspian International Seal Survey CP Country Programme CSCN Caspian Seal Conservation Network DSU Dagestan State University (Russian Federation) DI Darwin Initiative DIAE Dagestan Institute of Applied Ecology (Russian Federation) EB Ecosystem-based EBM Ecosystem-based Management EBRD European Bank for Reconstruction and Development EEA European Environment Agency EFH Essential Fish Habitat EwE Ecopath with Ecosim ecological modeling software ERA Ecological Risk Assessment FAF Federal Agency on Fishing, Ministry of Agriculture (Russian Federation) FAO Food and Agriculture Organization FBE Fisheries and Bioresources Expert GRID Global Resource Information Database GEF Global Environment Facility GloBallast GEF-UNDP-IMO Global Ballast Water Management Programme GOIN State Oceanographic Institute (Russian Federation) IAEA International Atomic Energy Agency IFI International Funding Institutions IFO Iranian Fishery Organization IFRO Iranian Fishery Research Organization IMCM Inter-Ministerial Coordination Mechanism IMO International Maritime Organization IoO Institute of Oceanology, Russian Academy of Sciences IR-I Islamic Republic of Iran ISRI International Sturgeon Research Institute (Iran) IWC GEF Biennial International Waters Conference IWEN International Waters Experience Notes (GEF) IWRM Integrated Water Resources Management 3 JICA Japan International Cooperation Agency KMG KazMunaiGaz (National Oil and Gas Company of Kazakhstan) KZ Kazakhstan LBS Land-based sources of pollution Protocol to the Tehran Convention M&E Monitoring and Evaluation MNP Ministry of Nature Protection (Turkmenistan) MNRE Ministry of Natural Resources and Ecology (Russian Federation) MoE Ministry of Environment (Kazakhstan) MoENR Ministry of Ecology and Natural Resources (Azerbaijan) MoT Ministry of Transport (Russian Federation) MPCSA State Marine Pollution Control Salvage and Rescue