EVALUATION OF THE OCEANS SUBPROGRAMME
UNITED NATIONS ENVIRONMENT PROGRAMME
Project Design and Evaluation Unit
Dr. K. J. Whittle (Consultant)
October 1997
Na.97-8409
231297
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CONTENTS
EXECUTIVE SUMMARY......................................................... 6
I.
INTRODUCTION.......................................................... 9
A.
Background.................................................... 9
B.
General objectives of the 1990-1995 system-wide
medium-term environment programme............................ 13
C.
Objectives of the medium-term plan 1992-1997................. 13
D.
1.
Key issues............................................. 13
2.
Overall strategy....................................... 14
3.
Objectives identified for the subprogramme............. 14
4.
Action proposed........................................ 15
Objectives of the 1992-1993 subprogramme oceans.............. 16
.....................................
E.
F.
G.
2.
Objective.............................................. 16
3.
Strategy............................................... 16
Objectives of the 1993-1994 subprogramme oceans
and coastal areas: regional seas programme.................. 16
1.
Key issues............................................. 16
2.
Objective.............................................. 17
3.
Strategy............................................... 17
Objectives of the subprogramme element 1.1 of the
1996-1997 programme of work: Caring for freshwater,
coastal and marine resources, as this relates to oceans...... 17
1.
Key issues............................................. 17
2.
Strategy............................................... 17
3.
Objectives relevant to the oceans component............ 18
4.
Purpose of evaluation.................................. 18
Methodology of evaluation.................................... 19
1.
Terms of reference..................................... 19
2.
Scope.................................................. 19
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2
1.
3.
II.
Approach and sources................................... 19
PROGRAMME DESIGN AND ACCOMPLISHMENTS................................ 20
A.
B.
C.
Appropriateness of the subprogramme.......................... 20
1.
1992-1993 subprogramme oceans and coastal areas........ 20
2.
1994-1995 subprogramme oceans and coastal areas
for the biennium 1994-1995............................. 21
3.
1996-1997 subprogramme element: Caring for
freshwater, coastal and marine resources............... 22
Efficiency and effectiveness of the
subprogramme objectives...................................... 23
1.
1992-1993 subprogramme................................. 23
2.
Expert assessment of the effectiveness
of the regional seas programme......................... 26
3.
1994-1995 subprogramme................................. 27
4.
1996-1997 Subprogramme................................. 28
Quality and utility of subprogramme outputs.................. 31
1.
1990 evaluation of the Global Plan of Action
for the Conservation, Management and Utilization
of Marine Mammals...................................... 31
2.
December 1994 evaluation project FP/ME/5101-1993-03,
on support of IAEA marine environmental laboratory
for the regional seas programme........................ 32
3.
October 1995 evaluation of regional support,
regional cooperation and regional advisory services.... 33
4.
May 1996 evaluation of project FP/1111-1994-17
on public awareness of coastal and marine
environmental issues, East African Seas,
EAS/29, phase 1........................................ 34
5.
May 1996 evaluation of project FP/0201-1994-20
on the integrated management of water-sheds in
relation to management and conservation of
near-shore coastal and marine areas in East Asian
Seas Region, EAS/35, phase 1........................... 35
6.
June 1996 evaluation of project FP/EA/5101-1993-01-03
on the Eastern African coastal and marine environment
resources database and atlas, EAF/14,
phase 1 and 2.......................................... 35
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3
D.
Regional seas programme...................................... 36
E.
Global Programme of Action for the Protection of the
Marine Environment Pollution from Land-based Activities...... 37
F.
Capacity-building............................................ 38
G.
Publications................................................. 39
1.
H.
III.
IV.
V.
Impact................................................. 39
Organizational structures.................................... 40
1.
OCA/PAC-Water branch institutional structures.......... 40
2.
Financial arrangements................................. 42
3.
Collaboration, cooperation and coordination............ 44
PROBLEMS AND CONSTRAINTS ENCOUNTERED............................... 45
A.
Programme and project development and management............. 45
B.
Inter-agency and Government cooperation...................... 46
C.
Resource allocation.......................................... 47
LESSONS LEARNED..................................................... 47
A.
Programme and project development and management............. 47
B.
Inter-agency and Government cooperation...................... 48
C.
Resource allocation.......................................... 49
D.
Evaluation................................................... 49
RECOMMENDATIONS...................................................... 50
Tables
Table 1
OCA/PAC-Water Branch.
Changes in oceans programme related staff 1992 to 1997................... 52
Table 2
Environment fund programme activities expenditure........................ 53
Table 3
Trust fund expenditures.................................................. 54
Appendices
Appendix 1 (in photocopy only)
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4
Report outline and terms of reference.................................... 55
Appendix 2 (in photocopy only)
Documents-reports, studies, publications................................. 60
Appendix 3 (in photocopy only)
Memoranda and correspondence............................................. 66
Appendix 4 (in photocopy only)
Annex to the report of the preliminary meeting of experts
to assess the effectiveness of the regional seas agreements.
UNEP/LBS/WG.1/1/3. Nairobi, December 1993............................... 83
Appendix 5 (in photocopy only)
Recommendations of relevant evaluation reports........................... 96
Appendix 6 (in photocopy only)
OCA/PAC-Water branch publications up-dated list Oct'97.................. 120
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5
EXECUTIVE SUMMARY
1.
The oceans subprogramme no longer exists as such. It was a key
element of the so-called sectoral approach followed by the United Nations
Environment Programme (UNEP) to the environment agenda. Now marine and
coastal activities are linked with those of the freshwater basins in an
integrated approach to water management for sustainable development. This
evaluation effectively looks back to see what lessons have been or can be
learnt from what was generally regarded as a very successful UNEP activity,
the regional seas programme, for which the UNEP Water Branch provides the
secretariats in some regions. It is also an assessment of how oceans
activities are faring in the first stage of integration of oceans and
freshwater activities in a holistic water management approach, in which the
effective integrating instrument is the Global Programme of Action for the
Protection of the Marine Environment from Land-based Activities, for which
the Water Branch also provides the secretariat.
2.
UNEP initiated and promotes this concept of integrated management of
watersheds, river basins, estuaries and the marine and coastal areas into
which they flow, as a comprehensive practical approach to sustainable
coastal management linked, as appropriate, to river basin management and
land-use plans. This approach also applies to the special problems of
small island developing States. In developing the successful regional seas
programme over almost 20 years, as the cooperative regional framework
within which to assess and promote marine environmental protection, the
lessons learnt were put to good effect in 1993, in the follow-up to the
United Nations Conference on Environment and Development (UNCED), to
develop a global programme of action for the protection of the marine
environment from land-based activities, which was adopted at the
Intergovernmental Conference to Adopt a Global Programme of Action for the
Protection of the Marine Environment from Land-based Activities, held at
Washington, D.C., 23 October-3 November 1995. The regional seas programme
provides the framework for implementing the first phase of the Global
Programme of Action. The initiative was a direct response to the 1990
report of the joint Group of Experts on the Scientific Aspects of Marine
Environmental Protection (GESAMP) on the state of the marine environment.
It found that the major threats were not to the open seas but to coastal
ecosystems from land-based point and non-point sources of pollution.
Indeed, the Global Programme of Action calls for periodical reviews of the
state of the marine environment, as well as regional implementation of
actions plans on land-based activities. Work is already underway on a
global assessment of land-based activities in 1998 and the state of the
marine environment in 2002.
3.
The International Coral Reef Initiative (ICRI) and the associated
Global Coral Reef Monitoring Network (GCRMN) implement agreements under
Agenda 21 through the sustainable use and conservation of national living
marine resources, and in turn, are implemented through the regional seas
programme. Priority threats have been identified in five regions,
resulting in the development of strategies and action plans. The Global
Plan of Action for Marine Mammals is being revised and refocused to deal
with current threats. The Water Branch provides the secretariat. These
three activities are global partnerships of Governments and
inter-governmental, United Nations and non-governmental organizations.
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6
4.
All the activities described above constitute means of implementing
the agreements of Agenda 21 and taking forward the conclusions of the
special session of the United Nations General Assembly for the purpose of
an overall review and appraisal of the implementation of Agenda 21,
particularly those for which a sense of urgency was expressed.
5.
Evaluation of the activities and projects relating to coastal and
ocean management from 1992 to date identified highlights as well as
constraints. The constant growth of the regional seas programme, which now
has 14 regions encompassing about 150 countries, and the rapid development,
adoption and implementation of the Global Programme of Action are the two
highlights of the three bienniums. A disappointment, and a constraint to
further progress, is that although a large body of knowledge and valuable
experience in the development of coastal management schemes have been
built-up, the ability and accumulated expertise to tackle complex issues
and conflicts relating to the use and management of coastal zones has not
been used and implemented on the scale required by national Governments or
intergovernmental bodies in the regions, so as to make a significant impact
and to ensure real progress on a global or regional basis. The means are
available but not yet the will, although the development of the coastal
resource atlas for East Africa is generating much interest in that region
among research and development stakeholders, planners, Governments and
industrial concerns, particularly in Kenya. This interest needs to be
built upon.
6.
The major constraints requiring urgent action have their origins,
however, in the financial crisis which has beset UNEP in the current
biennium as a consequence of the severe reduction in contributions to the
Environment Fund. Unfortunately, UNEP was not fully prepared for the scale
of this emergency, although the question was posed in the follow-up period
to UNCED, namely, what would be the consequence of the serious constraints
caused by unpredictable and inadequate resources? Unfortunately, the
beginning of this biennium coincided with a 22 per cent reduction in
funding for the combined water programme as compared with the previous
biennial funding for the Oceans and Coastal Areas Programme Activity Centre
(OCA/PAC) alone. It coincided with the establishment of the new Water
Branch, with a new management team, through the combination and physical
collocation of the Freshwater Unit with OCA/PAC. It coincided with the
loss of experienced staff with oceans expertise, with the launching of the
Global Programme of Action, a high profile activity, and with emerging
problems of staffing in some of the regional seas coordination units, in
part, the result of previous weak management in OCA/PAC. The combined
effects of reduced funding and a high degree of uncertainty in the cash
flow within the biennium, the erosion of the skills base, and all these
other factors, mean that the Water Branch is effectively at critical mass.
The priorities it has had to deal with have forced it to operate under
crisis management conditions throughout 1996 and 1997. It is indeed a
tribute to the efforts of management and staff that the Branch is
functioning at all and has successfully managed to launch the Global
Programme of Action. Important activities have had to be drastically cut
back, however, and the situation must be retrieved by an improvement in
funding allocation and increased recruitment to prevent further scoping
back. This is considered to be of such critical importance to the future
well-being of the Branch that most of the recommendations flow from these
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7
issues.
7.
The successes that have been achieved in coastal management through
the regional seas programme have not thus far attracted, for the most part,
the necessary financial commitment of Governments and donors to the trust
funds to enable local successes to be translated into national planning,
regional cooperation and global improvement. The funding crisis - for that
is what it is - needs critical attention. All the schemes suggested to
enhance the level of funding, by increased donor contributions, by
environmental taxation, by larger contributions from non-governmental
organizations and from industry (on the polluter pays principle) need to be
examined, to investigate whether new and innovative fund-raising
partnerships can be developed. If there is a role for the UNEP regional
offices to play effectively, it is in the area of fund-raising, both to
support the essential regional seas coordination and implementation network
and also for the development and implementation of projects in the
integrated water programme.
8.
Most of the critical issues arising can be related directly to the
level and uncertainty of funding, and the erosion of the staff resource to
critical mass. Both problems need to be addressed urgently through the
allocation of staff resources, up to four Professional staff members and a
greater allocation of funds for the integrated water programme. Not only
will this enable the Branch to focus its efforts more effectively, it will
also free energies for development of new project proposals, the securing
of more stable funding from non-UNEP sources and the provision of more
technical support to the regions. A more balanced staff structure in the
Water Branch and the enhanced operation of the regional seas coordinating
units with high calibre staff will enable greater delegation of
responsibility within the Branch in Nairobi, and to the regional
coordinating units of the regional seas programme with respect to project
and budget procedures. Having thus far been preoccupied with its financial
uncertainties and the attendant problems of continually having to
prioritize activities and to cope with the implementation of the flagship
Global Programme of Action, the new Water Branch needs now to develop and
project its new identity and image in keeping with the perceived benefits
of the integrated water programme strategy.
9.
It will be important to reappraise the future role and priorities of
the regional seas programme within the evolving integrated water programme,
in the circumstances of reduced financial resources and changing
environmental priorities. The last expert review of the effectiveness of
the regional seas programme was conducted in 1993, and it was thought that
the then existing legal regimes were simply not adequate to deal with the
threat of land-based sources of pollution to the marine environment, which
was why the overall situation in the marine environment was far from
satisfactory. Since then, protocols on land-based sources have been
introduced and the Global Plan of Action has been launched. In the
meantime, the range between a well developed, self-dependent region, such
as the Mediterranean, and the others has widened further. Within a region
there can also be a wide range of difference in national and environmental
priorities, in political stability, wealth, and capacity at all levels.
Regions which comprise a large number of States, say 10 or more, and
embrace a large coastline or large hinterland or both, pose very difficult
problems for coordination and multiple dialogue, even with the best of
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8
modern telecommunications. It may be necessary, for example, to think in
terms of reorganization into more manageable subregions, which would be
more effective in terms of coordination and delivery. To achieve this, it
might be necessary to work closely with a partner agency, such as the Food
and Agriculture Organization of the United Nations (FAO), to make use of
its effective country-oriented office network, especially in the developing
world.
10.
The suggestion is that, in view of these issues, uncertainties in the
flow of funds, and the unlikelihood of their significant growth in real
terms, UNEP and its Water Branch, in consultation with the governing bodies
of the regions, should in the near future develop a clear set of priorities
for the further development of the regional seas programme. Resources will
have to be prioritized to meet the most pressing needs of Governments in
the regions. This will be no easy task. It is essential to find a way in
which the network can be efficiently maintained and developed in the face
of reduced financial resources.
11.
The regional seas programme still has much to offer in its catalytic
role of encouraging integrated coastal management to ensure real progress
on a regional and global basis in the protection of ecosystems and living
marine resources, the prevention of coastal degradation and the reduction
of marine pollution from the most important sources through integrated
regional and national management systems. The regional seas network and
activities are integral to all the present global initiatives which relate
to the marine environment. Enhanced inter-agency cooperation and
collaboration, through the pooling of resources where appropriate, is
essential to this goal and to ensuring the optimal use of the limited
resources. In the meantime, it is important to continue to strengthen and
revitalize the current regional seas framework along the present lines, as
resources permit, to prevent any deterioration of the framework or erosion
of its credibility.
12.
In order to release more productive time and resources for the
operational units, and to reduce the cost of overheads, UNEP administrative
mechanisms urgently need to be streamlined throughout the organization from
the top down to branch and unit level, and UNEP should consider the
potential operational benefits and, arguably, greater financial flexibility
and fluidity of having four-yearly financial cycles covering two bienniums.
I.
A.
INTRODUCTION
Background
13.
In 1972, the United Nations Conference on the Human Environment, held
in Stockholm, 5-16 June 1972 (Stockholm Conference), adopted the Action
Plan for the Human Environment, including the general principles for
assessment and control of marine pollution. Subsequently, the United
Nations General Assembly established UNEP as a focal point for
environmental action and coordination within the United Nations system.
The UNEP Governing Council chose "Oceans" as a priority area in which to
fulfil its catalytic and coordinating role and, to that end, set up
OCA/PAC.
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9
14.
From the outset, the oceans programme was conceived as an
action-oriented, global programme, focused not only on mitigation but also
on the causes of environmental degradation. It was implemented on a
regional basis to control marine pollution and manage marine and coastal
resources through a network of action plans under the regional seas
programme, launched by UNEP in 1974. It also encouraged the regions to
cooperate on common problems. Subsequently, this regional approach was
endorsed by the Meeting of Government Experts on Regional Marine
Programmes, convened by the Executive Director of UNEP in Nairobi, in 1982.
It was found to be an effective way to protect and develop the marine
environment and provide a sound basis for global action. By then the
regional seas programme included 10 regions, with the participation of more
than 120 coastal States. It currently includes 14 regions, 12 with action
plans, with the participation of more than 150 coastal States. Interim
arrangements for secretariats have been made and negotiations on
institutional structures and action plans are under way in the other two
regions, the southwest Atlantic and the east central Pacific. Exploratory
steps are being taken to include the Arctic and Antarctic regions.
15.
The 1990-1995 United Nations system-wide medium-term environment
programme, published in 1988, was derived directly from the first
system-wide medium-term environment programme, for the period 1984-1989,
and was seen as the main means of harmonizing and coordinating the
environmental activities of the United Nations system. It was intended,
inter alia, for the 1990s to advance understanding of sustainable
development and the means of achieving it, as well as understanding
environmental problems that can hamper the achievement of sustainable
development and the ways of solving or alleviating them. Relevant issues
and actions for the human environment were first, coastal and island
systems and, second, oceans. The latter was subdivided into three parts:
regional environments, the global marine environment and living marine
resources. The main thrusts of the system-wide medium-term environment
programme, involving research, assessment, technical assistance and
training, were directed towards achieving environmentally sound and
sustainable development, reducing the impacts of environmental degradation
and pollution and rehabilitating ecosystems that had already been degraded
or polluted.
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10
16.
In 1990, GESAMP published a report on the state of the marine
environment, for which input was provided by reports from regional seas
task forces, giving global coverage. This report set the scene. It
concluded that the open sea was still relatively clean. The major causes
of immediate concern for the global marine environment were coastal
development and the attendant destruction of habitats, eutrophication, the
microbial contamination of seafood and beaches, the fouling of the seas by
plastic litter, the progressive build-up of chlorinated hydrocarbons,
especially in the tropics and subtropics, and the accumulation of tar on
beaches. Concerns differed from region to region, reflecting local
situations and priorities. Although public perception throughout the world
still tended to give greater importance to other contaminants such as
radionuclides, trace elements and oil, these were now regarded as being of
lesser concern. The concern was that too little was being done to correct
or anticipate situations that required action. Not enough consideration
was being given to the consequences of coastal development. Activities on
land continued with little regard for their effects on coastal waters.
With the growth, in particular, of the human population in mind, the fear
was that the marine environment could deteriorate significantly in the next
decade unless strong coordinated national and international action was
taken immediately. This required the concerted application of measures to
reduce wastes and conserve raw materials.
17.
In 1991, the Global Environment Facility (GEF) was set up for a
three-year pilot phase with the participation of UNEP, United Nations
Development Programme (UNDP) and the World Bank. It was envisaged as a
collaborative international effort that would identify and support
innovative environmental protection activities and, in the pilot phase, it
focused on protecting biodiversity, reducing global warming, protecting
international waters, and decreasing ozone depletion, all very relevant to
the oceans programme. The independent evaluation at the end of the pilot
phase noted, inter alia, that only a few of the GEF projects had actually
been developed and placed in the context of the priorities defined by the
policy frameworks of the existing regional programmes and agreements,
mostly for international waters. Thus, the advantage offered by the
existing infrastructures and cooperative arrangements of these programmes
remained largely untapped. In addition, it was noted that restoring
damaged systems should have high priority in the focal area of
international waters protection. Subsequently, the GEF Operational
Strategy adopted by the GEF Council in October 1995, set out ten
operational programmes in the four focal areas. These are reviewed
periodically to respond to changing circumstances and the programme issued
in 1997 contains four programmes (programmes 2,8,9 and 10) relating to
marine and integrated water issues.
18.
In June 1992, UNCED, the so-called "Earth Summit", adopted Agenda 21,
the Programme of Action for Sustainable Development, which was immediately
endorsed by the General Assembly. Chapter 17 of Agenda 21 addresses the
"protection of the oceans, all kinds of seas, including enclosed and
semi-enclosed seas, and coastal areas, and the protection, rational use and
development of their living resources". This chapter on oceans is the
longest and one of the most complex chapters of Agenda 21 and includes the
following programme areas: integrated coastal zone management; marine
environmental protection, including land and sea-based sources of marine
pollution; sustainable use and conservation of high seas living resources;
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11
sustainable use of living marine resources under national jurisdiction;
addressing critical uncertainties for the management of the marine
environment and climate change; strengthening international, including
regional, cooperation and coordination; and the sustainable development of
small islands. The objectives were expressed in terms of States'
commitments to the: integrated management and sustainable development of
coastal areas and the marine environment; to the prevention, reduction and
control of degradation of the marine environment; so as to maintain and
improve its life-support and productive capacities; to the conservation and
sustainable use of marine living resources on the high seas; to the
conservation and sustainable use of marine living resources under national
jurisdiction and other areas; and, in accordance with provisions of the
United Nations Convention on the Law of the Sea on marine scientific
research, to improving the understanding of the marine environment and its
role in global processes.
19.
UNCED confirmed the original mandate of UNEP but posed new questions:
(a)
How are environment and development linked?
(b)
How can UNEP contribute to the implementation of sustainable
development?
(c)
How can UNEP avoid duplication of effort?
(d)
How can UNEP set priorities among growing expectations, and the
serious constraint of unpredictable and inadequate resources?
20.
Governments expected UNEP to reorient its programme to take account
of social and economic factors in an integrated approach to developments
and also to improve its effectiveness and responsiveness. Consequently,
the scarce resources of UNEP had to be directed to those activities which
would have an impact. It is significant, in this respect, that UNEP had
recognized and endorsed the successful way in which integrated planning and
management applied to specific geographic areas had been fundamental to the
formulation and implementation of action plans for regional marine
environments under its regional seas programme, and the model was used as a
justification for the application of similar principles to the programme
for environmentally sound management of inland waters (EMINWA).
21.
The revision and adoption in 1992 by the General Assembly at its
forty-seventh session of the medium-term plan for the period 1992-1997,
followed the adoption of Agenda 21 at UNCED. It was published in 1993, and
effectively provides the mandate for the oceans-related work programmes in
the three bienniums 1992-1993, 1994-1995, 1996-1997 covered in this
evaluation. The details of this mandate will be considered below.
22.
UNEP introduced a new management strategy in 1993, which focused on
achieving results providing responsive services, partnerships, regional
delivery and integration. This was used as the framework for the
realignment of the 1994-1995 programme, which led to the formulation of
detailed individual programmes of work for each subprogramme.
23.
In 1997, the special session of the United Nations General Assembly ,
for the purpose of an overall review and appraisal of the implementation of
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12
Agenda 21, was convened to review and appraised the implementation of
Agenda 21. This forum, the "Earth Summit + 5", was generally regarded to
be a sobering reminder that little progress had been made over the previous
five years in implementing key components of Agenda 21 and moving towards
sustainable development. In respect of oceans and seas, it noted a need to
continue to improve decision-making in this area at the national, regional
and global levels. Urgent action was called for in the following areas:
to ratify or accede to the relevant agreements and to ensure effective
implementation of such agreements as well as relevant voluntary
instruments; to strengthen institutional links between intergovernmental
mechanisms involved in the development and implementation of integrated
coastal zone management; to ensure a better identification of priorities
for action at the global level; to prevent or eliminate overfishing and
excess fishing capacity; and to improve the quality and quantity of
scientific data as a basis for effective decisions.
B.
General objectives of the 1990-1995 system-wide
medium-term environment programme
24.
The general objectives of the 1990-1995 medium-term environment plan
were the following:
(a)
For coastal and island systems, to achieve integrated
management and sustainable development and rehabilitate them where they had
been degraded;
(b)
For regional marine environments, to maintain and enhance the
quality of the environment, including open seas beyond national
jurisdiction as well as coastal and island ecosystems, to prevent and
manage the environmental problems of regional marine environments, and to
achieve the sustainable use of the resources of marine regions;
(c)
For the global marine environment, to improve the understanding
of the role of the oceans in the operation of biogeochemical cycles and
processes, to accumulate knowledge of the status of trends in and effects
of ocean pollution, to strengthen international cooperation for the
prevention and control of pollution from all sources, and to encourage the
sustainable use of the seabed resources; and
(d)
For living marine resources, to protect and manage substantial
examples of marine and estuarine ecosystems, to ensure their long-term
viability to maintain genetic diversity, and to provide for the sustainable
use of living marine resources and their habitats.
C.
Objectives of the medium-term plan 1992-1997
25.
The revised plan was adopted by the General Assembly in December
1992, following the adoption of Agenda 21 at UNCED.
1.
26.
Key issues
The general key issues were identified as:
(a)
Environmentally unsound uses of natural resources that lessen
the productive capacity of the biosphere;
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13
(b)
Pollution that threatens human well-being, health and even life
itself; and
(c)
How to operationalize the firm linkage between environment and
development into strategies for sustainable development that can help to
combat poverty.
27.
As GESAMP had concluded in 1990, although the problems related to
marine environment had not changed much in the previous 20 years, the
perceived major threats and solutions had changed significantly on the
basis of assessments conducted over that period. It was clear that
existing problems, as well as the first signs of emerging problems were
most likely to arise in waters close to land. Nevertheless, a watchful eye
still had to be kept on levels of contamination in the open ocean and there
was still a need for the elucidation of major oceanic processes.
Consequently, the overall priority was protection of the health of coastal
waters, especially in closed and semi-enclosed seas, and the quality and
resources of the coastal marine environment. The threats were seen to come
from the continued growth of coastal populations, coastal recreation,
industrial development and environmental degradation adversely affecting
both exploitable living marine resources in coastal waters and marine
biodiversity.
2.
Overall strategy
28.
The overall strategy of UNEP was summarized as environmental
assessment, environmental management, and capacity building, environmental
awareness and training. Specifically, as applied to the subprogramme,
"Environmental management of oceans and coastal area management", the
strategy was an interdisciplinary and integrated approach to elucidate
ocean dynamics and to control and reduce marine pollution (most problems
were thought to be regional and site-specific), through a globally
coordinated regional approach. Effectively, this was an endorsement of the
regional seas programme and its strengthening and development as the
vehicle of implementation. At this stage, the programme encompassed more
than 130 States, bordering 12 different regional sea areas around the
world.
3.
29.
Objectives identified for the subprogramme
The following objectives were set for the subprogramme:
(a)
To improve regional and interregional cooperation in the
protection and integrated management of marine regions, island ecosystems
and their coastal zones;
(b)
To assist Governments in setting up a system for global ocean
monitoring and to support the continuing development and enforcement of
international law related to the protection of the marine environment; and
(c)
To promote the formulation and implementation of consistent
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14
policies and programmes for the protection and sustainable use of living
marine resources and their habitats, particularly marine mammals.
4.
30.
was:
Action proposed
The proposed course of action for the medium-term period 1992-1997
(a)
In the area of regional marine environments:
(i)
Continuing to coordinate the promotion and early stages of the
implementation of regional action plans;
(ii)
Continuing to support the action plans for the protection of
the marine environment and coastal areas, especially those
which enjoy a high degree of commitment and involvement from
the participating countries;
(iii) Developing regional information and databases in coordination
with existing information systems and regular reports on the
state of regional seas and coastal areas;
(iv)
Assisting in developing the capability of countries gradually
to assume full technical and financial responsibility for
regional seas programme; and
(v)
Effectively applying the regional legal agreements relating to
the protection of the marine environment;
(b)
In the area of the global marine environment, the UNEP strategy
was centered on:
(i)
Integrating the national and regional monitoring and assessment
programmes for coastal development and pollution abatement into
a globally coordinated effort;
(ii)
Assisting in the formulation of a feasible integrated global
ocean monitoring programme;
(iii) Helping to establish a coordinated data-processing mechanism
based on the GEMS; and
(iv)
Participating in sealevel-rise studies;
(c)
In the area of living marine resources, UNEP would continue
assisting international efforts aimed at the conservation, management and
sustainable utilization of marine living resources. Emphasis would be
placed on:
(i)
The implementation of the Global Plan of Action for the
Conservation, Management and Utilization of Marine Mammals;
(ii)
An ecosystems approach to the management of other marine
resources; and
/...
15
(iii) An assessment of the environmental impacts of coastal and
marine developments of living marine resources with particular
emphasis on aquaculture.
D.
Objectives of the 1992-1993 subprogramme oceans
1.
Key issues
31.
The major immediate events influencing preparation of this programme
were the resolutions of the General Assembly on the management of hazardous
wastes, biological diversity, the promotion of sustainable development, and
the convening of UNCED in 1992. The programme was developed against a
background of quickly changing perceptions and quickly emerging policies
with regard to environmental priorities.
2.
Objective
32.
The subprogrammes objective was identified as the control of
pollution in regional seas and proper management of their coastal areas.
3.
Strategy
33.
The strategy followed in the implementation of the subprogramme
comprised the following elements:
(a)
Adoption of a multidisciplinary approach to identify sources of
ecological deterioration and prevention rather than cure;
(b)
agencies;
Major emphasis on closer working relationships with cooperating
(c)
Increased assistance for developing countries for
institution-building and national legislation;
(d)
Promotion of technology transfer;
(e)
Elaboration of environment and economics issues;
(f)
Greater emphasis on the regional approach;
(g)
Integration of environmental considerations into development
planning and activities;
(h)
Conservation of biological diversity within a broad social and
economic context;
(i)
Minimization of hazardous wastes; and
(j)
Initiation of new convention on marine pollution.
E.
Objectives of the 1993-1994 subprogramme oceans
and coastal areas: regional seas programme
1.
Key issues
/...
16
34.
The 1994-1995 programme of work was regarded as transitional,
incorporating the new UNEP management strategy which was intended to give
greater consistency, transparency and effectiveness. An attempt was made
to reorient the subprogramme explicitly towards sustainable development,
responsive to Agenda 21 and the expressed needs and aspirations of
Governments. Objectives were expressed in terms of "mission" and "needs".
35.
Under the subprogramme "Oceans and coastal areas", there were four
subprogramme elements:
(a)
Integrated coastal area management;
(b)
Living marine resources;
(c)
Land-based sources of pollution; and
(d)
Sea-level rise.
2.
Objective
36.
The objective of the oceans and coastal areas subprogramme is the
achievement of environmentally sound and sustainable development at
national, regional and international levels, ranging over policy analysis
and development to capacity-building and resource mobilization.
3.
Strategy
37.
The stated mission of the regional seas programme is to support and
coordinate on an international, regional, subregional, national and local
level, the rational management of the marine environment as a whole and the
coastal areas specifically.
F.
Objectives of the subprogramme element 1.1 of the 1996-1997
programme of work: Caring for freshwater, coastal and
marine resources, as this relates to oceans
1.
Key issues
38.
As explained in the 1996-1997 programme of work under this programme
element, freshwater hydrological cycles are inseparably linked with marine
systems and the problems besetting river basins have a profound effect on
the coastal and marine environment. Pollution from land-based sources is
the most pressing problem affecting aquatic biological resources and
biodiversity. Coastal ecosystems, especially those of small island
developing States, are at special risk.
2.
Strategy
39.
The following strategies are advocated for the implementation of this
programme elements:
(a)
Strengthen internationally coordinated action to alleviate
common global problems assailing water resources;
(b)
Address problems besetting river basins and the coastal marine
/...
17
environment through integrated management of watersheds and coastal areas,
with focus on control of pollution from land-based sources;
(c)
Expand areas covered by regional seas conventions and action
plans to include the respective river drainage basins; redesign action
plans to focus on integrated management of river basins and coastal zones;
(d)
Connect existing action plans for the management of river
basins, lakes and marine areas into organically linked management units;
and
(e)
Base the integrated management of watersheds, lakes and marine
areas on scientifically sound, realistic and policy-relevant assessments.
3.
Objectives relevant to the oceans component
40.
The following objectives were set for the implementation of
ocean-related activities under this programme:
(a)
To develop tools and guidelines for the sustainable management
and use of freshwater and coastal resources;
(b)
To promote international cooperation in the management of river
basins and coastal areas focusing on land-based activities and the special
needs of small island developing States; and
(c)
To support the regional seas conventions and action plans.
4.
Purpose of evaluation
41.
The assignment given to the present author was to evaluate the
performance of the oceans subprogramme, covering the three work programmes
of the 1992-1993, 1994-1995 and 1996-1997 bienniums, within the context of
the United Nations medium-term plan for the period 1992-1997. The
evaluation forms part of the original plan and timetable prepared by the
Central Evaluation Unit at United Nations Headquarters, covering the three
bienniums 1992-1993, 1994-1995 and 1996-1997. It is a requirement of the
United Nations for submission to the General Assembly at its fifty-second
session, in October 1997.
42.
In broad terms, the requirements of the assessment are as follows:
(a)
To review the appropriateness of these subprogrammes, and the
efficiency and effectiveness of the objectives;
(b)
To review the financial arrangements for the management of the
subprogrammes and implementation of the projects;
(c)
To identify the problems and issues affecting the subprogrammes
and present concrete recommendations;
(d)
To recommend the way forward for the subprogramme, taking
account of reduced financial resources and the role of UNEP vis-à-vis the
recommendations of the General Assembly at its special session for the
purpose of an overall review and appraisal of the implementation of Agenda
/...
18
21; and
(e)
To demonstrate how the subprogramme will remain relevant for
the future.
H.
Methodology of evaluation
1.
Terms of reference
43.
The report outline and detailed terms of reference may be found
below, in appendix 1 to this report.
2.
Scope
44.
During the period 1992-1997, subprogramme 4.0, "Oceans" for the
1992-1993 biennium, was succeeded by subprogramme 4.0, "Oceans and coastal
areas", for the 1994-1995 biennium. As a result, however, of the revision,
integration and reorganization of the UNEP programme, the merging of both
the oceans and water subprogrammes, and the merging of OCA/PAC and the
Freshwater Unit into a single Water Branch in January 1996, the oceans
subprogramme was assimilated in the biennium 1996-1997 into programme
element 1.1, "Caring for freshwater, coastal and marine resources", in
subprogramme 1.0, "Sustainable management and use of natural resources".
45.
The water subprogramme was previously evaluated in October 1993. In
discussions with Mr. Backson Sibanda, Chief, Project Development and
Evaluation Unit, and Mr. Walter Rast, Deputy Director Water Branch, it was
agreed on 23 September 1997 and confirmed by memorandum of 24 September
1997, that the components in programme element 1.1 of the 1996-1997 work
programme relevant for inclusion in the current oceans evaluation
assignment should be 1.1.3, except "Conduct of regional training courses";
1.1.4, except: "Development of strategic action plans for integrated river
basin management" and "Development of a strategic action plan on
sustainable tourism development in small island developing States"; 1.1.5
and 1.1.6.
46.
For the purposes of this evaluation, the appropriate cut-off point
for 1997 was taken as July, coincident with revision 3 of the umbrella
project on support to the sustainable management and use of freshwater,
coastal and marine resources.
3.
Approach and sources
47.
It was clear from the outset that, within the recently established
Water Branch, which had embarked on an integrated water programme, there
was no longer any in-depth, "institutional", first-hand experience and
detailed memory of OCA/PAC activities and organization. This was a result
of the changes in professional and support staff, management and programme
that had taken place since 1992, and it contributed to the difficulties of
the assignment. In order to try and bridge this gap to some extent, in as
short a time as possible, feedback was sought from all the regional
organizations of the regional seas programme, and from the well-respected
Dr. Stjepan Keckes, who has remained relatively close to the programme
since the end of 1990, either as a consultant in various capacities or as
an experienced and expert participant in relevant international meetings,
/...
19
workshops and working groups, etc. Dr. Keckes declined to comment, feeling
that his contribution would not be seen as objective. As of 17 October,
responses had only been received from the Black Sea, Caribbean, South
Pacific, West and Central Africa and Mediterranean regional programmes.
The last simply referred to the very recent evaluation of the Mediterranean
Action Plan (MAP), which arrived too late to be considered in this
evaluation, and the South Pacific programme could not meet the time-scale
for response. The replies have been included in appendix 3 for reference.
48.
The author has also culled relevant information on budget and
activities prior to 1992 to provide a lead into the programme of work
initiated in the 1992-1993 biennium, and has had the opportunity to look at
the 1998-1999 programme proposals.
49.
A desk evaluation was conducted, on the basis of the following:
(a)
A review of documentation, including previous relevant
evaluation reports, work programme and budget documents, annual, biennial
and project reports, OCA/PAC and Water Branch internal records,
publications, reports, brochures and newsletters;
(b)
A routine Water Branch staff meeting, chaired by the Director;
(c)
Informal discussions with the Director, Deputy Director,
programme officers and support staff in the Water Branch and staff in the
Fund Programme Management Branch, the Environmental Law and Institutions
Programme Activity Centre (ELI/PAC) and the GEF Coordination Unit;
(d)
Requests for specific feedback from key staff in all the
regions of the regional seas programme and from Dr. Stjepan Keckes,
solicited by fax and e-mail.
50.
Appendix 2 lists the documentation and appendix 3 contains relevant
memoranda and correspondence.
51.
The programme has been assessed against the objectives set out in the
medium-term plan and against those defined for each biennium, taking into
account the strategies adopted, targets set, resources actually allocated
and the outputs achieved, particularly in terms of training and
capacity-building, information and publications, conventions and action
plans, environmental assessments and regional delivery.
II.
A.
PROGRAMME DESIGN AND ACCOMPLISHMENTS
Appropriateness of the subprogramme
52.
Although the combined period of the three bienniums, 1992-1997, is
covered by the UNEP medium-term plan for the period 1992-1997, the
appropriateness of the subprogramme is discussed in turn, for each biennium
because of the significance of the decisions of UNCED and the consequential
changes to the priorities and organization of UNEP.
1.
1992-1993 oceans and coastal areas subprogramme
/...
20
53.
The three subprogramme elements covering regional and global marine
environments and living marine resources fully reflected the objectives
identified in the 1990-1995 system-wide medium-term environment programme
and the actions proposed in the 1992-1997 medium-term plan with the overall
objective of control of pollution in regional seas and proper management of
their coastal areas. The specific activities identified under the three
programme elements, as set out in 16 specific annexes to the umbrella
project providing support to the oceans and coastal areas, took account of
recent resolutions of the General Assembly on, for example, biological
diversity, the promotion of sustainable development and the management of
hazardous wastes. A new annex dealt with sustainable development in small
island States.
54.
Thus, the programme was sensitive to changing perceptions and
emerging priorities and tried to anticipate, to the extent possible, the
outcome of UNCED. In particular, at the regional level, in the regional
seas programme, considerable budgetary impetus was given to implementation
of the Wider Caribbean Region Action Plan, to interregional activities, to
development of the Northwest Pacific Action Plan and the Convention on the
Protection of the Black Sea against Pollution and the Bucharest
Declaration. At the global level, work was initiated on a new global
conference on the sustainable development of small island developing
States.
2.
1994-1995 oceans and coastal areas subprogramme
for the biennium 1994-1995
55.
The four elements covered under this subprogramme comprised
integrated coastal area management, land-based sources of pollution,
sea-level rise and living marine resources, in order of decreasing
financial priority. This provided both continuity with the previous
programme and responsiveness to the priorities of chapter 17 of Agenda 21,
taking into account of previous commitments and the funding restrictions of
UNEP. These elements addressed the general objective that the regional
seas programme, in cooperation with other appropriate bodies, supported and
coordinated on an international, regional, subregional, national and local
level, namely, the rational and holistic management of the marine
environment and specific coastal areas. Emphasis was placed on integrated
management, sustainable development, cooperation, regional delivery and the
achievement of results based on need. But the programme as a whole was
regarded as a transitional one, following the decisions of UNCED and the
reorganization of UNEP.
56.
The element on integrated coastal areas management addressed the need
for protection and integrated management, for the sustainable development
of coastal and marine areas, for the strengthening and extension of
regional coordination and for the integration of technical, institutional,
economic, social, environmental, legal, and policy capabilities.
57.
The element on land-based sources of pollution addressed the need to
update the Montreal Guidelines, to prevent, reduce and control marine and
coastal degradation from land-based activities and to quantify major
pollutant risks from land-based sources, including rivers.
58.
The element on sea-level rise addressed the need to assess the
/...
21
influence of climate change and variability on sea-level rise and the role
of the oceans as a global carbon sink.
59.
Finally, the element on living marine resources addressed the need to
review and assess the state of coastal and marine ecosystems and the living
resources of critical habitats.
3.
1996-1997 subprogramme element:
coastal and marine resources
Caring for freshwater,
60.
This new programme represented the integrated work plan covering
marine, coastal and freshwater resources, designed to address the challenge
of getting more results with fewer resources, following the merger of the
oceans and freshwater activities into the Water Branch with effect from
January 1996. The detailed activities support the perceived principal
environmental challenges of sustainable management and use of natural
resources, sustainable production and consumption, understanding the
relationships between environmental degradation, pollution, human health
and social and economic factors, and the continuing need for global and
regional responses to environmental threats. These issues had of course
evolved from previous biennial programmes, providing continuity with those
outputs.
61.
Components 1.1.1 and 1.1.2, of the subprogramme element have, to date
been exclusively concerned which relate entirely to freshwater activities
and are not considered further. The following four components relate to
"Oceans":
(a)
Component 1.1.3 addresses the need to develop practical tools
and guidelines for the sustainable management and use of freshwater and
coastal resources, as well as new or revised contingency plans for national
or regional oil or chemical spills;
(b)
Component 1.1.4 promotes the development and strengthening of
regional agreements and comprehensive action plans for integrated river
basin and coastal zone management, and resolution of conflicts, with
provision for capacity-building, training courses and workshops, and pilot
projects in the regional seas areas;
(c)
Component 1.1.5 focuses on land-based sources of pollution and
the special needs of small island developing States, through the promotion
of international cooperation under the new Global Programme of Action for
the Protection of the Marine Environment from Land-based Activities;
(d)
Component 1.1.6 provides for the continuing support and
coordination of the regional seas coordinating units, conventions and
action plans and publications and for the updating of regional reviews on
the state of the marine environment;
The relevant priority issues addressed by the Oceans activities were:
first, the consequences for marine resources and biodiversity of rapidly
growing coastal populations, and, second, a holistic understanding of the
impact of freshwater hydrological cycles and land-based sources of
pollution on coastal marine environments and ecosystems, particularly those
of small island States which were at special risk. Diagnostic studies were
/...
22
particularly appropriate for the latter.
62.
These evolving themes were given substantial impetus at the global
and regional level by the emergence of the flagship activity, the Global
Programme of Action for the Protection of the Marine Environment from
Land-based Activities. This became the priority oceans-related activity in
this biennial programme involving all the regional seas areas, and it was
widely seen and promoted as the means of revitalizing the regional seas
programme, by giving it new direction.
63.
The basic strategy of the Global Programme of Action was to expand
the areas covered by regional seas conventions and actions plans to include
the relevant river drainage basins, to target the assessment and control of
pollution from land-based sources, including river inputs, and to develop
further the action plans to ensure their concentrating on the integrated
management of river basins combined with relevant coastal zones. This
would be supported by developing and making available new and practical
systems and methods of holistic integrated management, embracing
appropriate legal, economic and social aspects, which could be applied at
regional, subregional and national levels.
B.
Efficiency and effectiveness of the subprogramme objectives
64.
The next section provides a summary, on a biennial basis, of the
achievements of the targets and activities of the subprogramme elements.
1.
1992-1993 subprogramme
65.
At the end of 1992, within the period of this biennium, the
medium-term plan for the period 1992-1997 was adopted. The OCA/PAC
umbrella project, which had been running since 1990, was further modified
through its annexes in 1993, to make new provisions for land-based sources
of pollution and preparations for the Global Conference on the Sustainable
Development of Small Island States.
66.
The focus of the Oceans Subprogramme had been to strengthen regional
and sub-regional cooperation to manage the environment in an integrated and
sustainable manner. This took account of the impact of climate-change,
sea-level rise, social and economic factors and marine biodiversity, and
continued the consistent development of the network of agreements by which
adjoining countries of a region could take joint action to conserve common
seas.
67.
The achievements in the regional context are summarized on a region
by region basis:
(a)
The Mediterranean Action Plan was developed and strengthened
further to include programmes to resolve issues of general environmental
degradation caused by uncontrolled coastal development. Two draft
protocols on offshore and hazardous wastes reached the final stages.
Measures to protect against pollution by carcinogenic, mutagenic and
teratogenic substances were approved in 1993. The foundations were laid
for the development of environmental legal and policy issues in the MAP.
Seven case studies were published, relating either to cost/benefit analyses
on environmental degradation by land-based sources of pollution, or to
/...
23
climate change, and four training courses were held on conservation. The
contracting parties to the Barcelona Convention approved important
proposals on; first, a new regional remote sensing activity centre; second,
enlargement by three additional coastal States; and third, establishment of
the Mediterranean Revolving Fund;
(b)
Under the Kuwait Action Plan, major activities covered an
updated scientific report on the environmental consequences of the
Iraq/Kuwait conflict, fund-raising for a rehabilitation programme, and
cost-effective ways to tackle the long-term effects of large oil spills;
(c)
Caribbean activities concentrated on sea-turtle recovery plans
for seven locations; the development of draft guidelines for managing
protected areas in the wider Caribbean; and the preparation of databases
covering land-based sources of pollution, environmental legislation and
institutional capacity;
(d)
Under the West and Central Africa Region (WACAF) Action Plan,
the contracting parties to the Convention for Cooperation in the Protection
and Development of the Marine and Coastal Environment of the West and
Central African Region (Abidjan Convention) endorsed recommendations for
the protection and development of the marine and coastal environment and
for the implementation of chapter 17 of Agenda 21 at the regional level.
They agreed to establish a UNEP Regional Coordinating Unit for the WACAF
Action Plan in Abidjan to strengthen cooperation in the region. A regional
report on land-based sources of pollution was completed. National
contingency plans for the control of marine pollution were updated for two
countries and reports completed for the Gambia on coastal erosion and the
economic contribution of the ocean sector to the gross national product;
(e)
Within the Action Plan for the protection, management and
development of the marine and coastal environment of the Eastern African
region, the OCA/PAC project on an Eastern African coastal and marine
environmental resource database and atlas (EAF/14) was launched, to provide
the region with the first natural resource atlas of its type, supported by
the Belgian Government and the East African Trust Fund. It will now be
completed in 1999, one year behind the original schedule, the delay being
due to operational factors. The major business of the second
Intergovernmental Meeting was to consider the establishment of a Regional
Coordinating Unit in the Seychelles as secretariat to the Action Plan and
Convention. Project EAF/5, on the protection and management of marine an
coastal areas in Eastern Africa, was launched in 1993 and was interlinked
with EAF/14 and the OCA/PAC Programme. The main objective was to develop
self-reliance in the integrated management and sustainable development of
coastal environments. It was planned in three phases: a pilot training
phase, a planning phase and an implementation phase, and was a
collaborative approach between UNEP, FAO, PAP/RAC and trust funds;
(f)
The East Asian Seas Action Plan activities progressed with the
establishment by UNEP of a Regional Coordinating Unit in Bangkok, on the
recommendation of the Coordinating Body on the Seas of East Asia (COBSEA).
A project to develop management plans for endangered coastal and marine
living resources was completed. A workshop in collaboration with the
Economic and Social Commission for Asia and the Pacific (ESCAP) and South
Asia Cooperative Environment Programme (SACEP) identified the need to
/...
24
formulate national programmes on integrated coastal zone management and
regional capacity-building. Work in progress related to development of a
management information system, the feasibility of developing a
comprehensive regional emergency response plan, and the preparation of a
programme to control land-based sources of pollution;
(g)
In the Red Sea and Gulf of Aden Action Plan, national projects
in Yemen and Egypt on marine ecosystems and resources were developed
further to introduce a regional component;
(h)
Under the South Pacific Action Plan, the South Pacific Regional
Environment Programme (SPREP) became an autonomous intergovernmental agency
and an agreement was signed by 15 countries, covering biodiversity, climate
change, coastal management and planning, the prevention and management of
pollution, environmental education, training and information and regional
and global issues;
(i)
For the South East Pacific, the main achievements of the Action
Plan included a draft protocol to control transboundary movements of
hazardous wastes, progress to extend the Action Plan to the Pacific coast
of Central America through the incorporation of three new countries, with
two more in the pipeline;
68.
OCA/PAC substantially expanded its activities in the Black Sea
region. The Bucharest Convention was signed in 1992 and the Odessa
Declaration on the protection of the Black Sea was adopted, which
established explicit environmental goals, a time-frame to mobilize
resources and introduce the most effective measures, a common policy
framework to respond to changing problems and a mechanism of regular
evaluation of progress and amendment. Following the lead of UNCED, the
Odessa Declaration sought to establish a sustainable process for
enhancement and conservation to combat the crisis in the Black Sea
environment.
69.
In addition, the UNEP Governing Council approved the preparation of
action plans for new areas not yet covered under the regional seas
programme, the Black Sea and the Northwest Pacific. At Bangkok in November
1993, five States confirmed that they were willing to cooperate to protect
the regional marine environment.
70.
Among the global activities, the Joint International Atomic Energy
Agency (IAEA)/International Maritime Organization (IMO)/UNEP Working Group
under the auspices of the IMO Maritime Safety Committee (MSC) and Marine
Environment Protection Committee (MEPC), drafted a Code for the Safe
Carriage of Irradiated Nuclear Fuel, Plutonium and High-level Radioactive
Waste in Flasks on Board Ships, which was approved by the IMO Assembly.
Eleven regional task teams prepared overviews on the implications of
climate change, as well as on social and economic activities and
structures.
71.
On living marine resources, arrangements were put in hand to revise
the Marine Mammal Action Plan and to review legislative issues. The main
issue was to clarify threats and hazards faced by marine mammals. The
Convention on the Prohibition of Fishing with Long Driftnets in the South
Pacific was adopted. A methodology was drafted and piloted in two
/...
25
countries to provide States with guidelines to evaluate the actual
contributions of the marine sector to the gross national product (GNP) and
estimate the sensitivity of GNP to changes in the quality of the marine
environment.
2.
Expert assessment of the effectiveness of the regional seas programme
72.
Agenda 21, in paragraph 25 of chapter 17, envisaged, inter alia, the
need to assess the effectiveness of existing regional agreements and action
plans, with the intention of finding ways to strengthen action to prevent,
reduce and control marine degradation caused by land-based activities. The
main reason for this approach was the view that the existing agreements
were not effective as currently constructed and applied and that,
irrespective of implementation, were inadequate to deal with current and
emerging threats of pollution from land-based activities.
73.
By its decision 17/20, of 21 May 1993, the Governing Council of UNEP
requested the Executive Director to convene a preliminary meeting of
experts to take account of the experience of regional and subregional
agreements, in preparation for an intergovernmental meeting on the
protection of the marine environment from land-based activities, to be
convened by UNEP in 1995. The experts meeting was held in Nairobi,
December 1993, and considered the experiences of other regions, such as the
Baltic, in addition to that of the UNEP regional seas programme.
74.
Appendix 4 provides the detailed discussion from ten regions in
response to the attached questionnaire. For regions at different stages of
development, it is not surprising that there was a wide spectrum of
comment. In general, the conventions and action plans were regarded as
positive developments and protocols were already developed, in hand, or
envisaged, to deal with land-based activities and sources of pollution.
The main constraints identified were financial, while problems were also
posed by the lack of capacity and certain legal and political obstacles.
75.
In considering the effectiveness of existing agreements, the
secretariat's preliminary review held that, while there had been some
positive achievements notably in the Mediterranean and Baltic, the overall
situation was far from satisfactory. The evidence available suggested that
the existing agreements, even in those cases which included specific
protocols and programmes targeted at land-based sources of pollution, had
not as yet had much effect in helping to improve the state of the
environment or in preventing further degradation. This was not solely due
to a lack of willingness or ability of States to take the necessary
measures to implement them. There was a strong case that existing legal
regimes, in the global, regional and national contexts, were simply not
adequate to deal with the threat of land-based sources of pollution to
marine and coastal areas.
76.
The Expert Group made a long series of recommendations, beginning
with the need for the regional seas programme to adopt the relevant
chapters of Agenda 21 and for States to take action to reduce pollution to
inland waters and lakes in regions where the management of river basins and
related catchment areas influenced the health of the marine environment.
Further recommendations covered regional cooperation in the global context
and, in the regional context, monitoring and assessment, information,
/...
26
awareness and public participation, management of marine degradation, and
the means of implementation through capacity-building, training, technical
cooperation, financial measures and enforcement.
3.
1994-1995 subprogramme
77.
This biennium represented the transition from previous programmes
which were considered largely sectoral towards a fully integrated programme
to be launched in the 1996-1997 biennium. It was the first full
opportunity to develop a programme with the implementation of Agenda 21 in
mind. The major achievements are presented with reference to the
activities of the subprogramme.
78.
In the global and regional contexts, the Northwest Pacific Action
Plan (NOWPAP) for protection of the coastal and marine environment was
adopted in 1994. This first stage clearly demonstrated political will, but
no convention was adopted and political factors have hindered progress on
the incorporation of all the relevant countries. Financial arrangements
for contributions to the trust fund were drafted subsequently and Water
Branch provides the secretariat.
79.
Negotiations were successful in promoting cooperation between
Argentina, Brazil and Uruguay towards formal agreement on the protection
and management of the south-west Atlantic region, which will become the
thirteenth member of the UNEP regional seas programme.
80.
In 1995, after many years of patient effort, the States of the south
asian seas region adopted the South Asian Seas Action Plan, which included
both institutional and financial arrangements for implementation.
Capacity-building, land-based sources of pollution and oil spills were the
themes of meetings and technical reports.
81.
In the Mediterranean region, the contracting parties to the Barcelona
Convention finalized important revisions to the Regional Convention and the
Protocol for the Prevention of Pollution of the Mediterranean Sea by
Dumping from Ships and Aircraft. A new Protocol concerning Specially
Protected Areas and Biological Diversity in the Mediterranean, a new
Mediterranean Action Plan, and a Mediterranean Commission on sustainable
development within the MAP were developed. These revisions were intended
to ensure that an integrated approach was developed for the protection and
management of both the marine environment and associated coastal
watersheds. Some 50 or more technical reports were produced and numerous
training courses organized.
82.
The Marine Environment Laboratory of IAEA held, inter alia, ten
training sessions related to the Mediterranean Region and seven related to
other regions. It re-issued, revised, prepared, edited or published some
forty analytical methods for reference, produced numerous publications and
undertook some 30 instrument-maintenance or quality-assurance missions.
83.
Under the East African Action Plan, phase I of project EAF/14
completed the coastal resources geographical information system (GIS)
database and maps for Kenya, including successful capacity-building.
Extension to other countries was under way. Training workshops and
technical reports were prepared, to cover a variety of activities. A
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27
successful newsletter was circulated to maintain awareness and interest in
the progress of the project. In project EAF/5 in Mozambique, the first
version of a profile of the coastal district of Xai-Xai was published in
1994 in Portuguese and, in 1995, a new working team was formed to work on
the coastal management plan.
84.
Within the WACAF Action Plan, a training workshop related to the
quantitation of land-based effluents was completed, together with seven
technical reports covering regional and national requirements on pollutant
loads and sources and coastal erosion. Unfortunately, the planned Fourth
Meeting of the Contracting Parties could not raise a quorum.
85.
In the wider Caribbean region, work for the Convention began on a
Protocol dealing with pollution from land-based activities, and technical
reports were produced ranging over integrated management plans for small
islands, ecotourism, changing coastal land-use patterns and a comprehensive
regional overview of land-based sources of pollution.
86.
In the global context, seven technical publications and reports were
prepared, covering regional seas programmes, the implications and impacts
of climate changes, small island ecosystems and integrated coastal
management.
87.
The climax of the biennium was the unanimous adoption of the Global
Programme of Action for the Protection of the Marine Environment from
Land-Based Activities and the Washington Declaration by the
Intergovernmental Conference in Washington D.C., October/November, 1995.
UNEP was designated as the secretariat, to promote and coordinate the
Global Programme of Action at national, regional, and global levels, in
close cooperation with United Nations, inter-governmental and
non-governmental agencies. This high priority task has fallen to Water
Branch, to promote the objectives of sustainable development and integrated
water management, in order to protect the marine environment from
land-based sources of pollution in associated river basins and coastal
watersheds.
88.
Under the subprogramme element on living marine resources, support
was provided for ICRI and the secretariat of the Marine Mammal Action Plan.
Guidelines for the management of endangered sea turtles and a regional
management plan for the West Indian manatee were produced for the wider
caribbean region, and sea turtle recovery action plans were implemented in
a number of countries as priority activities.
4.
1996-1997 subprogramme
89.
Following reorganization and the creation of the Water Branch,
merging freshwater and oceans activities, this was the first fully
integrated biennial programme. Only the oceans-related elements are
considered here.
90.
The single major priority and activity in this biennium was the
implementation of the Global Programme of Action for the Protection of the
Marine Environment from Land-based Activities. UNEP proposals were
considered by the Commission on Sustainable Development at its fourth
session from 18 April to 3 May 1996. A revised plan for institutional
/...
28
arrangements was submitted and adopted by the UNEP Governing Council at its
nineteenth session, from January to February 1997.
91.
The Global Programme of Action for the Protection of the Marine
Environment Against Pollution from Land-based Sources required
collaboration and cooperation throughout the entire United Nations system
and, in providing the secretariat for the Global Programme of Action, UNEP
coordinates the activities of partner agencies. It is establishing a
clearing-house mechanism of major pollution sources (including a data
directory and information network), and a mechanism for intergovernmental
meetings to review progress on implementation of the Global Programme of
Action.
92.
The Water Branch, by means of an interim coordination office and
acting coordinator appointed in May 1996, is coordinating implementation of
the Global Programme of Action through the well established, institutional,
organizational and legal infrastructure of the regional seas programme,
which already provides a global dimension. At the time of writing,
agreement had been reached to establish the permanent Global Programme of
Action Coordination Office in the Hague (responsible to the Director of
Water Branch), with support from the Government of the Netherlands. The
key staff appointments are about to be made. In the meantime, it has been
agreed that the Administrative Committee on Coordination (ACC) Subcommittee
on Oceans and Coastal Areas will also act as the steering committee to
facilitate technical coordination and cooperation and consider the Global
Programme of Action on an annual basis. A technical meeting held in
September 1996 prepared the preliminary specifications for the
clearing-house, to be based, to the extent possible, on existing systems.
93.
The first two of a series of workshops on implementation of the
Global Programme of Action within the regional seas programme were held at
the end of 1996 in the south-east Pacific and the Kuwait Action Plan and
Regional Organization for the Conservation of the Environment of the Red
Sea and Gulf of Aden regions. Four will have been completed in 1997, and
four are now scheduled for 1998. These workshops constitute the first
stage in adapting existing regional and national action programmes (or
promoting and facilitating their development), in preparing regional
assessments on the impact of land-based activities, and in making a global
assessment of the effects of land-based sources of pollution on the marine,
coastal and associated freshwater environment. It seems likely that
regions which have already firmly established protocols relating to
land-based activities, such as the Mediterranean and the Black Sea, may not
host workshops in this initial series.
94.
In response to the global assessment required under the Global
Programme of Action, a GESAMP Standing Working Group on Marine Environment
Assessments, with UNEP as the lead agency, was established in March 1996,
with a sub-group to report on land-based sources and activities affecting
the quality and uses of the marine, coastal and associated freshwater
environment. Working procedures have been set up. The first task was to
prepare assessments for regions where reviews did not previously exist;
five reports had been drafted at the time of writing and preparation of the
global assessment had begun.
95.
Closely related to the Guideline activities, the Global International
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Waters Assessment Expert Workshop on the Formulation of a Geographic
Framework for the Analysis of International Waters Issues of Transboundary,
or Regional and Global Significance took place in June 1997. It examined a
number of case-studies on transboundary diagnostic analysis aimed at
identifying the root cause of water-related (marine and freshwater)
environmental problems in terms of market failures, inadequate policies and
governance, and deficiencies in information, in order to enable the
prioritizing of remedial actions. The Global International Waters
Assessment, if adopted, will provide GEF with targets on which to focus its
programme.
96.
Around the regions, the Mediterranean has produced an updated survey
of land-based sources and the relevant protocol was amended in 1996. A new
Protocol on the Prevention of Pollution of the Mediterranean Sea by
Transboundary Movements of Hazardous Wastes and their Disposal was adopted.
A detailed evaluation of the Mediterranean Action Plan is the subject of a
separate evaluation report.
97.
In the Caribbean, the First Meeting of Legal/Technical/Policy Experts
for the Development of a Protocol Concerning Pollution from Land-based
Sources and Activities was convened and the Convention is negotiating a
protocol concerning pollution from land-based sources and activities in the
wider Caribbean region. A series of assessments is expected to be
completed in the action plan, covering such issues as non-point sources,
sewage, heavily contaminated areas, pesticides, tourism and data
management, together with a comprehensive, revised and up-to-date
assessment of the protected areas system in the wider Caribbean. The
Caribbean Environment Programme for the period 1992-1995 has been evaluated
and a draft strategy has been developed for the period 1996-2001. A number
of activities have been delayed or deferred as a result of the funding
crisis and earlier staffing difficulties in the Regional Coordination Unit.
98.
In East Africa, a review of land-based activities affecting coastal
waters of the region will be completed. Project EAF/14 has moved to phase
3, but phase 4 in Madagascar and Mauritius cannot be carried out because of
lack of funds. There are also insufficient funds to publish the maps for
all the countries of the region, although the database will be complete.
In project EAF/5, the integrated coastal area management working team
drafted the coastal profile for Xai-Xai district in Mozambique and a report
was published on the development of a methodology for the rapid assessment
of coral reefs for management purposes. The First Meeting of the
Contracting Parties to the Convention for the Protection, Management and
Development of the Marine and Coastal Environment of the Eastern African
Region was held in March 1997, and the Regional Coordinating Unit was
finally established in Seychelles with an interim coordinator. The Unit's
first major activity was the preparation of a project development proposal,
funded by GEF, to carry out a transboundary diagnostic analysis of the
western Indian Ocean.
99.
Progress in the Northwest Pacific had been relatively slow. In this
biennium, the pace has quickened somewhat. A meeting of experts and
national focal points was convened in preparation for the second
Intergovernmental Meeting of the Northwest Pacific Action Plan in 1996. It
seems unlikely that the third meeting will be held in 1997. The Action
Plan was finally implemented by the first meeting of the Forum in 1997 to
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discuss Marine Pollution Preparedness and Response. It agreed to establish
a pollution reporting system, further focal points and an information
system, to assess training needs and to consider the mobilization of
resources in the event of an emergency. The delays in implementation of
the Action Plan were due to delays in the preparation of a programme
document, the protracted negotiation of contributions to the Trust Fund and
political problems.
100. The Action Plan adopted by the Conference on the Human Environment in
the South Pacific was revised in 1996.
101. In the south Asian seas region, plans to start pilot projects on
integrated coastal area management and a regional programme for the control
of land-based activities were dropped, because of the lack of financial
resources and manpower.
102. In the south-east Pacific, protocols on environmental impact
assessment in marine and coastal waters and on the prohibition of
transboundary movements of hazardous wastes and their elimination are both
in the process of negotiation.
103. The subprogramme element on living marine resources was marked by
publications on the West Indian manatee, on the status of sea turtle
conservation in the western Indian Ocean and on biodiversity of the seas,
which collated the available information on a regional basis. Legal
aspects of the protection and sound management of aquatic mammals were
reviewed in depth, providing an input to the review of the Marine Mammal
Action Plan and the revision of the Marine Mammal Action Plan was completed
and submitted and is still under consideration. 1997 is the International
Year of the Reef marked by progress in the establishment of the Global
Coral Reef Monitoring Network Strategic Action Plan which has now been
finalized for publication. The 1996 Report of the Session on Sustainable
Development welcomed the 1997 International Year of the Reef and the goals
of ICRI. The rapid assessment methodology for coral reef management was
further developed and modified for wider application in the regional seas
programme.
C.
Quality and utility of the subprogramme outputs
104. This section considers the outputs from the three biennial
subprogrammes as a whole, considered in terms of their major evaluations
and activities. Six previous evaluation reports are listed in appendix 2
in chronological order and were completed in the period 1990-1996. The
conclusions and recommendations are pertinent to the present evaluation and
are appended in full (appendix 5).
1.
1990 evaluation of the Global Plan of Action for the Conservation,
Management and Utilization of Marine Mammals
105. Developed between 1978 and 1983, the Global Plan of Action for the
Conservation, Management and Utilization of Marine Mammals was endorsed in
1984 by the United Nations General Assembly as a matter of high priority.
The conclusions of this 1990 in-depth evaluation were in general terms,
that implementation of the Global Plan of Action had not been satisfactory
/...
31
and that its recommendations had, at best, only been partly carried out.
The reasons were considered to be changing government priorities and lack
of political will, severe budget constraints, insufficient clarity of
action in the Global Plan of Action, and insufficient promotional effort
for implementation by the collaborators. Specifically, the institutional
arrangements for promotion were weak, there was no clear strategy for
implementation with priorities, targets and timescales, no clear framework
for action, no secure funding, and the Global Plan of Action concentrated
on projects rather than strategic action. The contribution of UNEP as
secretariat to the Global Plan of Action had been less vigorous than
expected and had been unable to tackle the main functions of the
secretariat. The Global Plan of Action needed substantial revision, backed
by appropriate institutional and financial arrangements.
106. Following this negative evaluation, UNEP set up the Ad Hoc Planning
and Coordination Committee identified in the Global Plan of Action. It set
priority actions for the next two years on drift-net fishing. UNEP also
agreed to set up an ad hoc scientific advisory committee to the Global Plan
of Action, to have its first meeting in 1991. In addition, UNEP began to
restructure the secretariat, set up memoranda of understanding with the
bodies responsible for implementation of the Global Plan of Action, and
establish a network of institutions with an interest in collaborating on
implementation. A collaborative assessment of the status of marine mammals
was set in hand for completion in 1991.
107. The fourth meeting of the Ad Hoc Planning and Coordination Committee
in 1992 decided to revise the Global Plan of Action, particularly to
include clarification of threats and hazards faced by marine mammals, but
considered the structure still to be appropriate. The fifth meeting
decided to implement the previous year's decision to revise the Global Plan
of Action. At the sixth meeting in 1994, the secretariat introduced a
paper reviewing the original Global Plan of Action and outlined proposed
changes. The Ad Hoc Planning and Coordination Committee agreed that a
consultant should produce a first draft of a revised document. At the
seventh meeting, the first draft was reviewed and the eighth meeting
reviewed the second draft in 1996. The revised Marine Mammal Action Plan
was presented to the ninth meeting in 1997, and is being considered
further.
2.
December 1994 evaluation project FP/ME/5101-1993-03, on support
of the IAEA Marine Environmental Laboratory
for the regional seas programme
108. The evaluation considered the period 1993-1994. Overall, the project
had made good progress and was a good example of interagency cooperation.
The project was rated a success from the scientific and technical
viewpoints, i.e., the development of reference methods and materials, data
quality assurance, inter-calibration between laboratories, and training.
The Marine Environment Laboratory was considered a good partner for UNEP.
Better geographical coverage worldwide was required, however, and the
Intergovernmental Oceanographic Commission (IOC) of the United Nations
Educational, Scientific and Cultural Organization (UNESCO) needed to be
more closely involved. The weaknesses were in project management: there
had been a lack of control over project implementation; no programme
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officer in OCA/PAC had overall charge; the 1994 work plan had not been
revised and the Advisory Group had not functioned as intended. In
addition, there were cash flow problems, relating to the release of funds
from the Environment Fund and the Mediterranean Trust Fund, not entirely
solved by the institution of the "umbrella" project mechanism.
109. The recommendations related to project development, financial
resources and project management. It was essential to release and focus
the expertise of the Marine Environmental Laboratory in support of the
wider regional seas programme and to devolve some quality assurance
activities for the Mediterranean to other laboratories in that region.
UNEP needed to review the role and mechanism of its support for
laboratories, based on the Mediterranean experience, to lead in the
longterm to the establishment of comparable centres of excellence in other
regions. It was essential to make provision for continuity of funding in
the short and longterm, but related to justifiable, agreed, up-to-date and
detailed work plans. It was important to explore urgently alternatives
sources of funding to deal with financial uncertainty. Tighter project and
financial management based on the umbrella concept was required, with clear
overall project supervision to expedite precise work plans, project
implementation and allocation of financial resources. The Advisory Group
needed to provide the necessary policy guidance and ensure delivery.
110. The Mediterranean programme is the subject of a separate, in-depth
external evaluation, currently under preparation. Therefore there is no
need here to deal in detail with the situation since 1995. Suffice it to
say that the Marine Environmental Laboratory continues to turn out high
quality analytical and support work, reference methods and technical
reports. But considerable problems remain with the timely provision of
financial resources from UNEP, exacerbated particularly in the 1996-1997
period by the reduction in funding for Water Branch activities,
incompatible with prior commitments made by previous OCA/PAC management.
Even the publication of methods and reports, etc., has been hit by reduced
funding. The services of the Marine Environmental Laboratory remain
essential to the support of the regional seas programme, until other
centres of excellence can be set up in the other regions to assure the
quality of analytical output. UNEP will have to find a suitable mechanism
to provide essential funding in the region of $200,000 per year.
3.
October 1995 evaluation of regional support, regional
cooperation and regional advisory services
111. This evaluation ranged over the period 1990-1995. It dealt with the
activities of the six regional offices of UNEP, which are not to be
confused with the regional seas programme of OCA/PAC. The relationship of
the regional offices with OCA/PAC, wand then Water Branch, is, however,
relevant to this evaluation, in particular, with respect to the successful
implementation of the Global Programme of Action, to regional support for
the regional seas programme and to assistance with fund-raising.
112. Over the period 1990-1995, the role of the regional offices changed
significantly, in the aftermath of UNCED, with expanded responsibilities
for identifying regional priorities, mobilizing resources, enhanced
representation and direct management responsibility for the regional
performance of UNEP. During the period under review, the new arrangements
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were still settling down. Overall, the evaluation noted that the
activities conducted by the two offices operating in Europe and North
America were, of necessity, different from the four operating in the
developing world.
113. The recommendations called for improved strategic and proactive
planning at the regional level, more effective communications and flow of
information to and from headquarters, the phasing out of regional advisory
services, the strengthening of regional cooperation agreements as a means
of improving identification of regional priorities and provision for
increased overheads flowing from increased responsibility.
114. From the perspective of this evaluation, it has been very difficult
to identify any really substantial benefits flowing from the Regional
offices in support of OCA/PAC - or, as the case may be - Water Branch activities, particularly in relation to the regional seas programme, apart
from the recent installation of the Global Programme of Action Coordination
Office in the Hague. There is a strong feeling that there should have been
much greater support for fund-raising from the regional offices, as the
contributions of States to the Environment Fund fell and Water Branch was
unable to provide the necessary level of support to consolidate previous
achievements in the regional seas programme. In the implementation of the
Global Programme of Action for the Protection of the Marine Environment
Against Pollution from Land-based Sources, delays to the workshop for the
south-west Atlantic can be attributed firmly to the Regional Office for
Latin America and the Caribbean (ROLAC). In the Caribbean, there is
concern that there has been inappropriate coordination and communication
between the UNEP Regional Coordinating Unit for the Caribbean Action Plan
and the Regional Office for Latin America and the Caribbean.
4.
May 1996 evaluation of project FP/1111-1994-17 on public
awareness of coastal and marine environmental issues,
East Asian Seas, EAS/29, phase 1
115. The project began in October 1994. It was clearly relevant to Agenda
21 with outputs greater than envisaged. The project was rated a success:
it led to spin-off activities and had good potential for further enhancing
public awareness of the need to take proper care of the region's coastal
and marine environment and protect biodiversity. Phase 1 fell four months
behind schedule, however, owing to difficulties with implementation in
Malaysia.
116. It was recommended that work should continue on further phases
project, targeted to national and regional themes or activities and
extended to all groups of people, in addition to youth. It was felt
publicity material was required from (IPA), to reinforce the success
project and its future potential. It remains unclear, however, what
anything - has happened since.
of the
that
of the
- if
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5.
May 1996 evaluation of project FP/0201-1994-20 on the integrated
management of water-sheds in relation to management
and conservation of near-shore coastal and marine
areas in East Asian Seas Region, EAS/35, phase 1
117. The project was thought to serve an extremely well-chosen purpose,
with national, regional and global significance. It was considered a
landmark undertaking, representing the first occasion on which two units of
UNEP, the Freshwater Unit and OCA/PAC, had collaborated in cross-sectoral
activities of regional scope to integrate the management goals of both the
coastal and marine areas and their related catchment areas. Administrative
delays caused a late start to the project, which began in February 1995,
resulting in a much tighter implementation schedule. In turn, problems
arose in the final stage of completion of project reports, due to technical
editing delays and staffing difficulties, so that completion was more than
three months behind schedule. Lack of integrated project management at the
administrative level was considered to be the root cause of these problems.
Implementation in the field, on the other hand, was well managed and
successful.
118. The main recommendation was that resources should be provided to
prepare follow-up phases for this project, to consolidate the achievements
already attained.
119. The period under review covers the end of one director's term, an
interim management phase, the merging of OCA/PAC and the Freshwater Unit
into the single Water Branch, appointments to the new posts of Director and
Deputy Director of Water Branch, and a number of changes in Professional
staff. A consultant has been engaged to complete the report.
6.
June 1996 evaluation of project FP/EA/5101-1993-01-03 on the
Eastern African coastal and marine environment resources
database and atlas, EAF/14, phases 1 and 2
120. Phase I of this project began in January 1993 and was piloted in
Kenya for subsequent application in the other countries. The database and
provisional maps produced were of high quality and detail and were thought
to provide an excellent management tool for future development planning.
All short-term objectives were achieved, except the final printing of maps
and atlas. The delays occurring in phases 1 and 2 were considered to be
the result of bureaucratic, technical and logistical constraints, rather
than project mismanagement. More support and in-house training was
urgently needed for the Kenya Marine and Fisheries Research Institute
(KMFRI) staff, to enable them to cope with increased demands for
information generated by the project. A well defined system and schedule
of financial reporting was needed to avoid serious questioning of financial
accountability by the donor organization. Although there were no
irregularities, this problem and others could have been avoided by a
memorandum of understanding at the commencement of the project and, had
evaluation not been delayed from 1994 to 1996, the problems would have been
rectified sooner. As a result of the financial questions, the cash-flow
for this project was reduced by a total of $100,000 for 1995.
121. The recommendations were as follows: that a memorandum of
understanding between UNEP and the donor, Belgium, should be drawn up
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without delay; that a financial assistant should be assigned specifically
to handle project EAF/14; that a Junior Professional Officer should be
appointed to assist the Project Coordinator; that in-house training in GIS
should be provided for four staff-members at KMFRI; and that UNEP should
seek approval from the donor for any modifications to budget, or project
content and phasing.
122. Partly as a result of the financial questions and partly as a result
of a misunderstanding by the donor Government as to the distinction between
funding for GEF and for project EAF/14, funding for the project was cut by
$50,000 so that the money will run out in 1998, with loss of the project
coordinator in 1997. A Junior Professional Officer, financed by the
Belgian Government, is proceeding with the project on a two-year contract
until June 1999. The project finance has been readjusted to cover this but
there will be no funds to publish the atlas, although the digital database
for each of the five countries will be complete and uniformly formatted to
form a single consolidated database. New funds are needed to complete the
project as planned and to reap the full benefits of its achievements. The
project has developed excellent public relations, largely thanks to the
circulation of its own newsletter.
D.
Regional seas programme
123. Since 1992, the effort to establish conventions and action plans has
focused on the south Asian seas, north-west Pacific, Black Sea, south-west
Atlantic and east central Pacific areas. It now covers 14 regions,
including over 150 countries. The programme remains a successful,
rational, structured approach to the coordinated assessment and management
of coastal and marine resources and control of marine pollution. It is an
action-oriented programme dealing with the causes, consequences and
solutions to environmental degradation, but there are insufficient
resources at present for it to operate with vigor in all regions.
124. Regional and subregional cooperation is a prerequisite for the
development and implementation of actions to protect the environment and
manage transboundary environmental issues in a given region. It
facilitates the identification of these issues, the assessment of their
importance and the prioritizing of appropriate action and is much more
effective than isolated national initiatives. Such cooperation ensures
more effective training, strengthens capacity-building, provides a
mechanism for subsequent adjustment of adopted measures and early warning
of emerging problems, and establishes a framework for global assessment and
the introduction of new initiatives, such as the Global Programme of Action
for the Protection of the Marine Environment Against Pollution from
Land-based Sources.
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125. The strength of the regional seas programme is that each regional
programme is tailored ab initio to the needs of the region, as expressed by
the Governments, and develops according to their collective will. The
weakness is that the rate of progress may be too slow for the overall
benefit of the environment. The cooperative agreement is usually embodied
in a legal framework, a convention, supported by protocols and dealing with
financing. The protocols variously deal with specific issues in different
regions on an as-required basis, such as emergency response to oil spills,
specially protected areas, the prevention of dumping, exploitation of the
seabed, pollution from land-based activities and radioactive contamination.
The cooperative actions or activities of the regional programme are laid
out in the action plan and implementation is effected by nominated national
institutions under the overall authority of the Governments party to the
convention. The underlying concept is that these regions will develop
self-dependence at different rates, supported by growing trust funds, as is
demonstrated by a comparison of the highly evolved Mediterranean region
with the emerging south-west Atlantic or east central Pacific regions.
126. There is clear evidence within the regional seas programme that such
measures as transsectoral approaches, capacity-building, integrated
environmental management and the sustainable management of resources were
already being put in place in the strategy before they were widely
promulgated elsewhere.
127. The actions and activities supporting the programmes, such as
case-studies, diagnostic studies, pilot studies, full project development
and implementation, workshops, training courses, technical support,
coordination and networking, local environmental assessments, biodiversity
assessments, regional overview assessments and public awareness projects,
have all been essential to the building of capacity, the development of
better integrated management tools and approaches, the provision of
information to Governments, enabling them to set priorities for
environmental protection, the formation of a global picture of the state of
the marine environment and the campaign to inform the public, thereby
enabling people to pressurize Governments to act in the interests of the
environment.
128. The overall measure of the convincing strength of the programme's
approach is that, over 20 years after the programme was set up in 1974,
there are still new regions which wish to join.
E.
Global Programme of Action for the Protection of the Marine
Environment from Land-based Activities
129. The Global Programme of Action for the Protection of the Marine
Environment from Land-based Activities was adopted by 110 Governments in
1995. UNEP provides the secretariat to oversee implementation and one of
its major tasks will be to address the global threat posed by persistent
organic pollutants.
130. It is still too early to pronounce on this programme, for which an
acting coordinator was only appointed in May 1996, entrusted with its
implementation. Six regional workshops will have been held within the
regional seas framework by the end of 1997, although this total is less
than that originally envisaged. Thanks, however, to the considerable
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37
priority attached by the UNEP Governing Council to this process, in the
follow-up to UNCED, from 1993 work was of a high quality, achievements were
significant and progress was comparatively rapid, through the preparations
leading to an intergovernmental meeting in 1995, the detailed planning and
development of the institutional arrangements, adoption, and implementation
within existing resources. The process really began, however, with a UNEP
Governing Council decision in 1982 to establish a Working Group of Experts
in 1983, which resulted in the Global Programme of Action for the
Protection of the Marine Environment against Pollution from Land-based
Sources in 1985. Thanks to the high profile of this initiative, it has
already led to the adoption of new protocols on land-based sources of
pollution in four regions of the regional seas programme.
131. The usefulness of the Global Programme of Action is that it uses the
regional seas framework and implementation takes place at national,
regional and global levels concurrently. It is linked with the protection
of the oceans, enclosed and semi-enclosed seas and coastal areas, and with
the protection, rational use and development of their living resources. It
is closely linked with integrated coastal area management, through basin
management and land use plans and with protection of the marine environment
from pollution from land-based sources, both of which relate closely to the
issues facing small island developing States. These two aspects aim for
the sustainable use and conservation of living marine resources, which are
also objectives of ICRI. The Global Programme of Action also requires
periodical reviews of the state of the marine environment, which will be
executed through GESAMP, as well as a dialogue on the implementation of
regional action programmes.
F.
Capacity-building
132. The OCA/PAC and Water Branch programmes over the period 1992-1997
have been successful in continuing to build and maintain capacity in the
regions within budgetary and manpower constraints. The demand for
training, technical support, and assessment has always been greater than
the resources available, particularly during the current biennium,
requiring much ad hoc prioritization.
133. The areas of expertise provided in support, guidelines, training
courses and workshops have included, inter alia, integrated coastal areas
management, e.g. coastal profiles; strategies and management plans;
assessment and control of pollution; assessment and monitoring of the
current state of the environment; conservation and management of coral
reefs and marine mammals; impact assessment of climate change and
adaptation strategies; hazardous waste management; promotion and transfer
of environmentally sound technologies; prevention of and response to
environmental emergencies such as oil spills; sustainable tourism;
state-of-the-environment reporting methods; sustainable development
indicators; data collection; processing and database management methods;
GIS; information systems and networks; legislation and institutional
arrangements for environmental management; valuation and accounting of
environmental impact assessments; environmental objectives for sustainable
development; and public awareness. Many of these training activities are
conducted with partner organizations, such as UNESCO, UNDP, FAO, the World
Health Organization (WHO), IAEA, IOC and the United Nations Industrial
Development Organization (UNIDO).
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G.
Publications
134. The most recent catalogue of regional seas publications was No. 11,
1995. An up-to-date list (appendix 6) has been compiled for the purposes
of this evaluation, itemizing the variety of publications over the period
1992 to date. A number of these publications clearly relate to activities
completed in previous years. Output has declined, compared with the
previous six years, which included a period of intensive preparation for
and publication of the GESAMP report on the state of the marine
environment, as well as emergency activities as a result of the armed
conflict in the Kuwait Action Plan area. Some thirty publications were
printed or prepared in 1991, together with three regional seas conventions
and protocols, plus 46 other publications in the series UNEP Reference
Methods for Marine Pollution Studies, forming part of the UNEP Regional
Seas Reports and Studies. In 1996-1997, in particular, reduced funding has
resulted in deferment of the publication of some reports and has prevented
the Branch from making optimum use of IPA facilities and expertise.
H.
Impact
135. Continued support and development of the regional seas programme and
framework has encouraged the development of new protocols, particularly on
land-based sources of pollution, specially protected areas and emergency
response, and has encouraged cooperation, conventions or action plans in
the east Asian seas, the south Asian seas, the Black Sea, the north-west
Pacific and the south-west Atlantic regions.
136. The regional seas network is fundamental to the successful
implementation of the Global Programme of Action, which clearly represents
the flagship activity within this period of evaluation. The emphasis on an
integrated approach to land-based sources of pollution and sustainable
development includes an assessment of the severity and impact of persistent
organic pollutants. Important related developments were the Barcelona
Convention for the Protection of the Mediterranean Sea Against Pollution in
1995, and the commitment under the Barcelona Resolution, to reduce
emissions and discharges of, inter alia, persistent organic substances by
the year 2005, and the follow-up, together with the International Expert
Meeting on Persistent Organic Pollutants: Towards Global Action, held in
Vancouver in 1995.
137. The period has seen patient efforts but slow progress by the UNEP
secretariat towards the strengthening of the Marine Mammal Action Plan, by
revising, refocusing, updating and completing a new action plan to deal
with the new issues which have arisen since 1984, when the original action
plan was adopted, such as incidental catches, mass mortalities, habitat
loss, pollution and coastal degradation. The Mediterranean, wider
Caribbean and south-east Pacific regional action plans have specific marine
mammal components and are integral parts of the Global Plan of Action for
Marine Mammals.
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138. The Global Conference on the Sustainable Development of Small Island
Developing States, held in Barbados in 1994, adopted the Programme of
Action. The implementation of the Global Programme of Action gives special
consideration to the small island developing States. Support is also
provided for the implementation of regional seas protocols on specially
protected areas and wildlife for the Caribbean and east African small
island developing States, and the implementation of regional action plans
and strategies in small island developing States under ICRI.
139. ICRI focuses on coral reefs and associated seagrass and mangrove
ecosystems. The first international ICRI Workshop, held in Philippines in
1995, set in motion arrangements within the supporting framework of the
regional seas programme to identify the priority threats to coral reefs and
to develop and implement regional action plans through six regional
workshops.
I.
1.
Organizational structures
OCA/PAC-Water Branch institutional structures
140. Direction of the oceans programme has changed hands a number of times
between 1992 and the present. The previous Director of OCA/PAC, appointed
in December 1990, was expected to complete his term by January 1995, but a
new appointment was not made and his contract was extended to April 1995.
The Deputy Director remained in the capacity of Acting Director until the
end of December 1995, when he took up an appointment in Bahrain. In
response to UNCED, the Governing Council of UNEP adopted an integrated work
programme. In support of this, the new Water Branch was formed through the
merging of OCA/PAC and the Freshwater Unit in January 1996. The present
Director took office on 6 January 1997 to head the new Water Branch, with
virtually no useful overlap with the previous administration, and was
joined by the new Deputy Director from the Freshwater Unit. The Freshwater
Unit physically joined the OCA/PAC offices in the middle of 1996.
Considerable professional staff changes took place about the same time,
severely depleting the marine expertise. Consequently, the Freshwater Unit
staff took up various marine-related coordination or focal point activities
within the regional seas programme. This was a period of massive
disruption in a small branch, and the consolidation of the two components
in the new structure is still under way.
141. Table 1 shows the oceans-related staff changes between 1992 and the
present. The high turnover throughout and, in particular, the depletion of
staff with an oceans background in 1996-1997 and the loss of continuity is
self-evident, virtually halving the experience and skills base in 1997,
necessitating the assignment of staff from the Freshwater Unit to support
the regional seas programme coordination and support roles. The position
in 1996-1997 in Nairobi is actually worse than that shown in table 1. It
has been exacerbated by loss of posts in the UNEP redeployment exercise,
the transfer of three staff members to provide support and interim
coordination in the regions, and staffing problems in some of the
coordination offices in the regions, which have necessitated dismissals,
placing further strain on financial and support resources. It is a tribute
to the dedication of the management and all the staff that the Branch has
remained functional
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142. The Water Branch serves as the secretariat to the west and central
Africa and north-west Pacific regions, and provides initial secretariat
services in support of the south-west Atlantic and the east central Pacific
regions. The regional coordinators for the eastern African, Mediterranean,
wider Caribbean and east Asian regions report to the Director, Water
Branch. In other regions, secretariats are headed by a Director or
Secretary-General who reports directly to the relevant intergovernmental
meeting. In addition, Water Branch provides the secretariats to the Marine
Mammal Action Plan, The Global Programme of Action and GESAMP and is a part
of the tripartite joint planning committee for the Marine Environment
Laboratory of (IAEA). With implementation of the Global Programme of
Action, four programme officers have now been assigned to the new
Coordination Office in the Hague and the Coordinator will report directly
to the Director, Water Branch.
143. The new water programme recognized that an integrated management
strategy involves river basins and the coastal zone into which the rivers
flow, the basis for the Global Programme of Action. The Global Programme
of Action involves most United Nations agencies in implementation and thus,
to facilitate implementation, consultations have been held with
secretariats of regional programmes and a joint
intersecretariat-interagency consultation was held in 1996. The former
were concerned with interregional cooperation and cooperation with
international organizations and the latter with the need to establish an
interorganizational mechanism for coordinated implementation of The Global
Plan of Action.
144. Water Branch is provided with the services of a Law Officer in the
Legal Unit, and contributes the officer's salary, although there is some
confusion among the parties as to what this service constitutes.
Previously, the Law Officer was a programme officer located in OCA/PAC, and
there are strong arguments: first, for the status quo, which provides
effective legal support, review, supervision and enhanced experience for
the law officer; and, second, for the Law Officer to be seconded to and
located within the Water Branch, to provide instant access, direct line
management, and ownership and to expedite handling of the expected
increased legal needs in 1998 and beyond. This is a delicate staff and
management matter which is purely for UNEP to resolve.
145. Good, prompt communication and consultation between Water Branch
programme officers and ELI/PAC will avoid misunderstandings and possible
resulting friction. For example, prior consultation over the proposed
amendment of the Nairobi Convention, which has taken 11 years to come into
force in the east African region, would have elicited the legal view that
it was more effective (more environmentally effective and more
cost-effective to make an accurate assessment of its strengths and
weaknesses. The latter can then be addressed by updating protocols.
146. The 1996-1997 programme of work introduced the arrangement for the
operational units to share, for example, the cost of posts in the UNEP
regional organizations. It was generally not perceived as "value for
money" by any of the contributing units including Water Branch. This
universally unpopular initiative will be discontinued in the 1998-1999
biennium.
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147. OCA/PAC and, subsequently, Water Branch produced a wide range of
publications and reports, well written and informative. With greater
support from IPA, the presentation and image of the documents could be made
more attractive and a new style developed to project the new image of Water
Branch. With the drastic budget reductions in the current biennium, some
publications were deferred for budgetary reasons. Less resources were
available, so that less assistance could be obtained from IPA. The 1998
United Nations Year of the Oceans offers an opportunity to redress the
balance and proposals are in hand to use all aspects of the modern media to
get the message across.
148. The last six years have seen a large increase in the number of
projects initiated in OCA/PAC which were not formally closed, so that by
1996 these numbered in the region of 50. This seems to indicate poor
management control in the period up to 1996 over the formal mechanisms of
closing completed projects, discontinuity in responsible project officers
as a result of staff turnover and preoccupation with other priorities.
Although a fund management officer in OCA/PAC was designated to bring the
situation under control, no real progress was made and steps are now being
taken to redress the situation.
149. The current official filing arrangements within Water Branch are in
need of urgent attention, following the merger of OCA/PAC and the
Freshwater Unit. All current files are not centrally located and available
and files removed from the filing room are not returned promptly.
Programme officers have been allowed to indulge in the bad habit of keeping
central files with their own files, which denies access, or makes access
more difficult, particularly when absent on mission. In addition, at some
stage, an attempt was made to recatalogue some OCA/PAC files, so that these
are no longer identifiable by the file catalogue number. Files are closed
and new sequence files opened, without completing the date of last entry on
the previous file. In a situation of rapid turnover of staff, frequent
absences on mission, and the acquisition of new responsibilities, it is
essential that access to valuable information in previous files is not
hindered. Until the present filing control initiative restores order to
the Water Branch filing system, a designated member of the support staff
should have the responsibility of ensuring that standard practices are
followed for registering, cataloguing, tracking and gaining access to
files. Ideally, there should be little need to maintain copy files, if the
in-house system is efficient, but there is no reason why personal copy
files should not be kept, if it gives a sense of security to the user,
provided that the central files are intact and up-to-date.
2.
Financial arrangements
150. The Oceans programme activities have been financed by the Environment
Fund, regional trust funds set up for the coordination and implementation
of regional activities and action plans and specific donor or multi-donor
contributions to projects or activities.
151. Table 2 presents a summary of sources of expenditure from the
Environment Fund for oceans programmes, from 1990 to the present, with
expenditure under the umbrella projects shown separately. Table 3 shows
the contributions from trust funds for the respective regions. The
information was provided by the Fund Programme Management Branch.
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152. Oceans received and spent a smaller proportion of the available
Environment Fund from the 1992-1993 biennium onwards. OCA/PAC expenditure
increased by about 3.7 per cent overall in 1992-1993, by a further 7 per
cent in 1994-1995, equivalent to an increase of some $900,000, but the new
Water Branch has faced at least an estimated 22 per cent reduction in
expenditure in 1996-1997 for the combined programme, and the final
reduction in the out-turn figures for the biennium may be even lower. The
allocation for the combined oceans and freshwater functions of Water Branch
in 1996-1997 was only some 88 per cent of the 1994-1995 allocation for
oceans, whilst the total expenditure actually budgeted for Water Branch for
1996-1997 is only 78 per cent of the oceans expenditure in 1994-1995. All
expenditure from the Environment Fund in 1996-1997 was via the umbrella
project. Actual expenditure in 1996 for combined oceans and freshwater
activities represented underspending against the approved budget of some
$170,000, which was carried forward.
153. By August 1997, the total expenditure of $5 million, against the
total expenditure budgeted for of $7 million, indicates the danger of an
underspend in the biennium. The figures also show that less than half the
expenditure budgeted for the year had been spent by 31 August. Whatever
happens, considerable effort will be expended on setting up activities
which can go ahead at short notice in the last quarter of 1997. The
important point is that only these activities which can be initiated at
short notice will benefit, which will not necessarily coincide with those
of highest priority.
154. Unpredictability of funding for the biennium as a whole and the
uneven cash flow within the biennium were major problems in 1996-1997, and
demanded unprecedented and continuous efforts at all levels to handle the
knock-on effects. From the programme management point of view, the problem
was exacerbated by severe glitches and break-downs in the new financial
management system introduced by New York for 1996-1997. Consequently,
timely and accurate financial information has not always been available to
the Branch, at the very time that there was a pressing need to prioritize
activities and spending. Programme officers' timely decisions have the
major impact on expenditure in a given year, and it is essential that they
receive accurate monthly financial information related to allocations and
expenditure on activities for which they are responsible, so that they can
plan ahead. The present two-year time-frame is too short to accommodate
the severe uncertainties experienced in 1996-1997. The Director requires
similar user-friendly financial information for the Branch activities, to
make maximum use of limited financial resources to ensure that the high
priority activities can be initiated early in the biennium, particularly if
they require a long lead time.
155. It is important to note also that, given the large overall reduction
in the expenditure of OCA/PAC, and then of Water Branch, between 1992 and
1997, the UNEP charge-out rates for all staff continued to increase in an
alarming manner. Much of this increase can be attributed to UNEP
overheads, over which the operational units have no control. For example and this is not the worst case scenario - the charge-out rate for D1 and D2
posts increased between 1992 and 1997 by about 100 per cent. During a
period of world recession, when organizations in the "real" world were
acting to reduce overheads in the face of reduced income, UNEP seems to
have allowed the opposite to occur. In these difficult financial
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circumstances it is vital also that the operational units, such as Water
Branch, continuously look for potential savings in the costs of their
activities which can be allocated to more pressing needs.
3.
Collaboration, cooperation and coordination
156. This requirement for collaboration and cooperation is essential,
given the catalytic and coordinating role of UNEP and notwithstanding the
fact that the oceans programme has always been action-oriented and results
oriented (but in a much wider context than the UNEP "results" model).
Indeed, OCA/PAC and Water Branch activities have always required a large
measure of United Nations agency, government agency and non-government
agency collaboration, cooperation and financial support, none more so than
implementation of the Global Programme of Action. Thus, the current
initiatives to promote agency-wide, international and regional cooperation
have been noted above, under section E. The trust fund expenditures (table
3) from the regional trust funds administered by UNEP are testimony to both
regional collaboration at all levels and successful delivery, totalling $27
million over the period 1992-1996, notwithstanding the fact that about 70
per cent is accounted for by the Mediterranean Trust Fund. Trust funds
need to be enhanced. As pressure is placed on UNEP funds and,
consequently, those of the operational units, there will inevitably be
reduced availability of seed funds to prime or initiate activities and UNEP
will continue to be looking for greater contributions from implementing
agencies and other donors. There is, of course, a great danger that
reduced funds consequently reduce the power of UNEP to operate in the
catalytic mode, in that the financial capacity to influence events is
diminished and credibility is lost, particularly if the priming funds
expected are not forthcoming. It is important too that the six regional
offices of UNEP, if they have any significance at all for the regional seas
programme, should play an enhanced role in raising donor funds for the
regional and subregional activities of Water Branch.
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III.
A.
PROBLEMS AND CONSTRAINTS ENCOUNTERED
Programme and project development and management
157. The last three bienniums have been characterized by a high degree of
rapid change in all aspects of programme and project development and
management. These changes have occurred in policy, where the strategy has
shifted from a sectoral to an integrated and sustainable approach; in
institutional arrangements relating to structural, financial and
operational mechanisms and human resources; in the restructuring and
redeployment exercises; in the needs, concerns and priorities of
Governments towards environmental issues, which have not been matched by
their contributions; in the shift of focus from the open seas, to coasts,
to water basins; in the unpredictable fluctuations of the Environment Fund
and cash-flow to programme and projects; in the consequential uncertainty
and the need for frequent revision of priorities for programme and projects
at all levels, particularly in 1996-1997; in the turnover and lack of
continuity of programme and project officer staff and the loss of
professional expertise, skills and experience, particularly in 1996-1997;
at the sharp end, in the continual and changing need to replenish
previously conferred training and skills (because of the movement of
trained people to other work), in order to continue to reap the benefits
from previous achievements; and in the certain loss of credibility which
occurs with partners at the practical level when funds dry up and new
initiatives inevitably have to be shelved, because it damages the image and
perception of Water Branch and UNEP.
158. All these have created problems and constraints. A financial crisis
is a very effective way of exposing all the inadequacies in the system,
such as the lack of timely, accurate financial information in 1996-1997,
the administrative burden, and slow procedures. In general terms, in
order to cope with these problems, management and administrative systems at
all levels need scrutiny throughout the UNEP organization down to branch
level. They have to become much more responsive, less cumbersome and
time-consuming. Productive time has to be enhanced. More control, with
concomitant responsibility and accountability, has to be delegated, and
slick prioritizing has to become a priority. Projects need to be even more
highly focused and targeted to maximize the results from the solutions most
appropriate to the problem tackled, in return for the least expended
effort. It is important, too, in a reorganization such as the emergence of
the new Water Branch, that the new organisation quickly establishes a
holistic identity and a feeling of ownership by the participants, in order
to facilitate and gain maximum benefit from the work of the integrated
body.
159. The consequence of the financial crisis in 1996-1997 is that there
are insufficient financial and manpower resources to complete the original
programme and activity proposals. The main priority had to be to ensure
that the Global Programme of Action was implemented, although even here
some of the proposed workshops for 1997 have had to be deferred. Planning,
in the accepted sense of the word, has not been possible. Crisis
management has been the order of the day, in a constant process of reacting
to the problems arising from all the factors discussed above.
160.
The main constraints identified in the regions in 1993 (see section 2
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above and appendix 4), namely, financial, lack of capacity, legal and
political, are broadly those that remain relevant today. It is essential
to have dependable, able, experienced UNEP coordinators in the regional
seas programme, operating at arm's length in the appropriate regions, in
which the coordinator is responsible to the Director, Water Branch. Poor
selection in the past has resulted in a number of dismissals having to be
made in this biennium by the present Director. This does nothing for
credibility in the regions, disrupts progress with action plans and diverts
attention and effort away from the programme issues.
161. The newly reorganized Regional Coordinating Unit for the Caribbean
Action Plan and the restructured Caribbean Environment Programme have, we
may hope, put the Wider Caribbean Regional Coordinating Office back on
track again, restoring confidence and improving the flow of funds in
support of the Convention and its protocols. An important issue, which is
essential to the performance of the office and to regional delivery, is the
need, as confidence is restored, to delegate responsibilities to the
regional office in order to improve project and budget approval procedures
and to build successfully on the improvements which have already been
achieved.
162. Previous lax management in the period 1992-1994 resulted in the
accumulation of a large number of administratively unclosed projects. The
backlog is still being cleared, but is hampered by the non-continuity of
project officers from that period and, of course, it places an unnecessary,
additional burden on already stretched current resources.
163. The concept of an "umbrella" project with subsequent revisions to
cover new or changing activities was developed to overcome the problem of a
slow and cumbersome mechanism for setting up projects from internal funds.
As activities under umbrella projects grew in complexity and timescale,
however, internal and external audits criticized this arrangement, being
concerned about accountability. The OCA/PAC umbrella project,
FP/5101-90-03, which was closed at the end of 1994, had gone through
fifteen revisions in a span of five years, covering an expenditure of about
$10 million. A new policy was adopted, requiring activities under umbrella
projects to be completed within the respective biennium. This did not
prevent the necessary follow-up activities from being initiated in
subsequent bienniums, but it does seem to have prevented the ring-fencing
of resources for long-term activities (such as support for the Marine
Environmental Laboratory), and it has inflicted constraints on the type of
project or activity which can be initiated in the climate of uncertain
funding conditions, as experienced in the 1996-1997 biennium.
B.
Inter-agency and government cooperation
164. Progress with the development of conventions and action plans in the
regions can be hindered by political disagreement. Countries where there
is no sitting Government, such as Somalia, pose a problem for UNEP, whereas
this poses no problem for FAO. Project EAF/5 is a good example,
illustrating the different levels of collaboration and how the problems can
be overcome. Preparatory work was begun in 1992 and the project commenced
in 1993, initiated with trust and UNEP funds, with FAO as the implementing
agency, and was the first time that such an arrangement was set up. In
1995, the project was able to continue as a result of the injection of
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funds by the Swedish International Development Cooperation Agency (SIDA),
to the Trust Fund. Cooperation among the east African countries is good
but commitment to placing funds with the Trust Fund has not been
consistent. The advantage of FAO is that it can use its country offices to
monitor consultants, local experts and institutions, and can disburse the
funds directly.
165. In the Caribbean, for example, the relationship between the UNEP
Regional Coordinating Unit for the Caribbean Action Plan and some
Governments and donors still needs to be improved. Aside from the
weaknesses in national institutions and policies in the wider Caribbean
region, however, there is counterproductive competition between United
Nations organizations in the region. There should be a clear redefinition
of the mandate of different United Nations and international agencies. At
present, organizations like UNDP, the Economic Commission for Latin America
and the Caribbean (ECLAC) and the World Bank are working with environmental
projects with little coordination with regional environmental agreements.
Sometimes it leads to wasteful duplication of activities.
C.
Resource allocation
166. Section D and table 1 present the picture of staff resources for the
oceans programme from 1992 to the present time, outlining the factors
affecting the reduction in staff resources and the consequences for the
skills base, while table 2 indicates the reduction in supporting finance in
1996-1997. There are insufficient resources to carry out the programme as
planned, so priority support has had to be provided to implement the Global
Programme of Action, through the interim coordinator and the supporting
team of two additional staff members. Staff have been seconded to the
regions, such as the Caribbean, to help recover lost ground due to problems
in the regional coordination office, whereas the UNEP financial
contribution has now ceased. Two acting coordinators have been appointed
to regional seas coordination offices from Water Branch resources. The
oceans-related activities in the Branch are now at the level of critical
mass and need to be augmented by 3-4 posts. Six Professional and about
four support posts in total are required in the Hague to operate the
Coordination Office for the Global Programme of Action. 1996-1997 has seen
publications substantially reduced, owing to lack of funds, and the support
and expertise which might have been expected from IPA was not forthcoming.
167. OCA/PAC, and subsequently Water Branch, have been successful in
winning GEF projects and the Branch is actively developing new proposals to
submit for support from GEF. There are two important constraints. The GEF
financial year is six months out of phase with the UNEP financial year, and
the manpower commitment to support implementation of a GEF project is of
the order of 0.5 persons per year per project.
IV.
A.
LESSONS LEARNED
Programme and project development and management
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168. The regional seas programme has provided a successful regional and
sub-regional cooperative framework for the implementation of regional and
global action plans covering the whole spectrum of protection of marine and
coastal environments, ecosystems and living marine resources in an
integrated way, with the aim of preventing degradation and encouraging
sustainable development. The regional framework concept or model was
recognized for adoption in the EMINWA project and was essential for
implementation of the Global Programme of Action given the constraints of
working within existing resources, and is essential for the next global
assessment of the state of the marine environment. It must not be
neglected but continue to be adapted and developed to meet the changed
circumstances of severe financial constraints and changing priorities.
169. The problems experienced over fund management issues, such as with
project EAF/14 see section 6 above), and the difficulties experienced in
1996-1997 with the unpredictable and late release of funds, has resulted in
pleas for a more transparent budgetary process, for more control within the
Branch over financial management, and for an explicit presentation of the
make-up of fixed costs, overheads and charge-out rates to provide the
transparency desired. Coordination and technical expertise support in the
regional seas programme has to be linked to financial support, in order to
get projects under way in a meaningful and appropriate time-scale related
to the urgency of the problem, otherwise credibility is lost. Further
effort has to be directed towards fund-raising for the trust funds, in
order to maintain the momentum of projects initiated with UNEP seed
finance. Given the priorities urged on Water Branch, the financial
allocation has to be at least commensurate with the minimum resources
needed to implement those priorities.
170. In view of the large budget cuts in 1996-1997, it is essential to
have a well established and carefully constructed set of priorities for
programme activities within different funding scenarios, depending on the
level and the flow of funding during the biennium, as is being done for
1998-1999. Most progress seems to have been made where the conditions of
good cooperation prevail, and applied and highly focused projects find
favor with Governments in the regions because the outputs are obvious and
relevant to national or regional issues.
171. It is essential to have reliable and experienced staff as regional
coordinators who can coordinate regional programmes successfully at arm's
length from headquarters and careful selection procedures to identify the
appropriate candidates must be followed. In the past, recruitment seems
to have fallen below the minimum acceptable standards in some of the
regions, so that the present Director has had to dismiss staff. In
planning, setting up the institutional arrangements and implementing the
Global Programme of Action, UNEP has demonstrated that it can work quickly
and responsively. On the other hand, in taking seven years to revise the
Marine Mammal Action Plan, it has also demonstrated that due process can
be quite slow, particularly when there are gaps in the continuity of the
secretariat.
B.
Inter-agency and government cooperation
172. Development of the Mediterranean to the present level of
sophistication took patience, considerable technical support, coordination,
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financial support and interagency cooperation. It is highly unlikely that
this level of input will ever again be possible from limited UNEP
resources. Development of other regions to the self-dependent mode will
require an extensive cooperative effort from the respective Governments to
enhance the trust funds to achieve this, which will require greater effort
on the part of UNEP to encourage fund-raising, as well as the in-kind
contribution of the expertise and technical support of the UNEP Water
Branch. Donor Governments or agencies must be kept informed about
financial matters, project progress, and project modification, according to
the terms of the respective memorandum of understanding, otherwise funding
may be jeopardized. The experience of the UNEP Regional Coordinating Unit
for the Caribbean Action Plan is that there should be improved coordination
regarding environmental issues among United Nations Agencies working in the
region and that these agencies may need some changes to their mandates.
C.
Resource allocation
173. Input to the oceans-related part of the Water Branch programme has
sunk to critical mass and requires the allocation of additional staff
resources, to enable the programme to be delivered on a reasonable
time-scale and to maintain its credibility.
174. Good financial information is essential if maximum use is to be made
of the limited resources. UNEP overheads must be brought under control to
enable a greater share of the Environment Fund to be directed towards
productive activities.
175. In order to make the best use of the expertise available from ELI/PAC
and the Fund Programme Management Branch to avoid potentially damaging
misunderstandings, it is essential to consult with these organizations at
the earliest possible stage and to establish an agreed and lucid strategy
for dealing with the particular issue in hand.
176. Fund-raising for regional activities, particularly in those regions
willing to cooperate actively, must be enhanced. The conventions have
shown themselves to be very responsive to new initiatives such as the
adoption of new protocols dealing with land-based sources of pollution.
D.
Evaluations
177. Evaluations need to be preprogrammed into budgets, to avoid the
problem of unforeseen expenditure. There were a number of points of
confusion arising in respect of this evaluation which could probably have
been avoided by better communication. It is clear from previous
correspondence between Water Branch and the Project Design and Evaluation
Unit that the evaluation would only be conducted on the oceans part of the
current subprogramme. What was not apparently understood in Water Branch
was that the evaluation would also consider the oceans subprogrammes for
1992-1993 and 1994-1995. It only became clear to the evaluator at the
beginning of the evaluation in Nairobi that the oceans components and
elements of the 1996-1997 programme of work had to be teased out of the
integrated water programme. Perhaps as a consequence of the confusion, no
systematic identification and collection of relevant documentation covering
the three bienniums had been carried out in advance for the purpose of the
evaluation. The mechanism for implementing the evaluation on-site needs to
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be overhauled so that the essential information immediately pertinent to
the evaluation can be identified in advance and made available to the
evaluator at the outset.
178. Ideally, this evaluation should have been carried out at the end of
1995, prior to integration of the water and oceans programmes. This would
have avoided the present rather untidy arrangement of disentangling the
oceans components of an integrated water programme. It represents a
contradiction in terms. The lesson to be learnt in this case is that the
subprogramme evaluation process or mechanism should be more sensitive to
the evolving programme and changing circumstances, so that subprogrammes
are evaluated at the most apposite time and not according to a
predetermined, inflexible programme or timetable, unresponsive to changing
circumstances. This facility is available but was not activated at the
time that the rationalization and integration of the OCA/PAC and freshwater
programmes were being considered as a matter of policy. Of course, any
move towards a more flexible approach must take account of the need for
budgeting for evaluations. The appropriate operational unit, in this case
Water Branch, and the Fund Programme Management Branch need to be made
aware by the Project Design and Evaluation Unit of all forthcoming
evaluations in the course of the year or biennium, which need to be flagged
up and included when the programme and the budget is being assembled. This
was known in 1992 and both the oceans programme and the Fund Programme
Management Branch were given this information at the time; but also every
biennium the evaluation plan is given to all programme managers. Programme
managers do not use the information in planning their activities.
V.
RECOMMENDATIONS
Recommendation 1
179. Since many of the issues arising can be related directly to the low
level and uncertainty of funding and the erosion of staff resources to
critical mass, both problems need to be addressed urgently through the
allocation of more staff-members, up to four Professionals, and a greater
allocation of funds for the integrated water programme. Not only will this
enable the Branch focus its efforts more effectively, it will also enable
energies to be released for the development of new project proposals, for
the security of more stable funding from non-UNEP sources and for the
provision of more technical support to the regions.
Recommendation 2
180. The role of the UNEP regional organization, the six regional offices,
needs to be clarified, particularly with respect to encouraging regional
cooperation and fund-raising in support of the regional seas programme.
Recommendation 3
181. UNEP administrative mechanisms urgently need to be streamlined,
throughout the organization down to branch and unit level, to reduce
overheads and to release more productive time and resources for the
operational units.
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Recommendation 4
182. UNEP should consider the operational benefits, and arguably greater
financial flexibility and fluidity, of having four-yearly financial cycles
covering two bienniums. This recommendation is partly covered by the
management response to the 1996 annual evaluation recommendation on the
same subject.
Recommendation 5
183. A more balanced staff structure in Water Branch and the enhanced
operation of the regional coordinating units with high calibre staff will
enable the greater delegation of responsibility within the Branch in
Nairobi and to the regional coordinating units of the regional seas
programme with respect to project and budget procedures.
Recommendation 6
184. A Water Branch image should be developed in keeping with the
perceived benefits of the integrated water programme strategy.
Recommendation 7
185. The future role and priorities of the regional seas programme within
the evolving integrated water programme should be reappraised in the
circumstances of reduced financial resources and changing environmental
priorities. The last expert review of the effectiveness of the regional
seas programme was in 1993 (see section 2 above). The secretariat's
suggestion was that the then existing legal regimes were simply not
adequate to deal with the threat of land-based sources of pollution to the
marine environment. This was thought to be a primary reason why the
overall situation in the marine environment was far from satisfactory.
Since then, protocols on land-based sources have been introduced and the
Global Programme of Action has been launched. In the meantime, the range
between a well developed, self-dependent region such as the Mediterranean,
an established but sluggish region like west Africa, a cooperative but
relatively poorly endowed region like east Africa and an emerging region
such as the south-west Atlantic, has widened further. Within a region
there can also be a wide range of difference in national and environmental
priorities, in political stability, wealth and capacity at all levels.
Regions which comprise a large number of States, say ten or more, and
embrace a large coastline or large hinterland or both, pose very difficult
problems for coordination and multiple dialogue, even with the best of
modern telecommunications. It may be necessary, for example, to think in
terms of reorganization into more manageable subregions, which would be
more effective in terms of coordination and delivery, and to work with a
partner agency such as FAO to make use of its effective country-oriented
office network, especially in the developing world.
186. In view of these issues, uncertainties in the flow of funds, and the
certainty that they are unlikely to grow significantly in real terms, UNEP
Water Branch should, in consultation with the governing bodies of the
regions, develop in the near future a clear set of priorities for the
further development of the regional seas programme and the targeting of
resources which meets the most pressing needs of Governments in the
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regions. This will be no easy task. It is essential to find a way in
which the network can be efficiently maintained and developed in the face
of reduced resources. The regional seas programme still has much to offer
in its catalytic role of encouraging integrated coastal management and
making real progress on a regional and global basis in protecting
ecosystems and living marine resources, preventing coastal degradation and
reducing marine pollution from the most important sources through
integrated regional and national management systems. The regional seas
network and activities are integral to all the present global initiatives
which relate to the marine environment. Enhanced inter-agency cooperation
and collaboration, through the pooling of resources where appropriate, is
essential to this goal and to maximizing use of the limited resources. In
the meantime, it is important to continue to strengthen and to revitalize
the current regional seas framework along the present lines, as resources
permit, to prevent any deterioration of the framework or erosion of its
credibility.
Recommendation 8
187. Continued efforts should be made to press forward with the
implementation of the Global Programme of Action along the present lines
and proposed timetable, with the establishment of the secretariat in the
Hague and with implementation of the clearing-house mechanism.
Recommendation 9
188. A realistic, deliverable financial arrangement should be negotiated
with IAEA and other interested parties, for continued support by UNEP, in
partnership with other potential donors, to maintain the basic support
required from the Marine Environmental Laboratory for the regional seas
programme, and continued efforts should be made to encourage similar
centres of excellence to fulfil a comparable role in other regions, in line
with their capabilities.
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