NCSA

CAPACITY CONSTRAINT

TORs

Capacity constraints matrix (Individual, institutional and systemic levels)

Root cause A

Prioritisation matrix

Identify priority capacity constraints for each thematic area

Identify cross cutting capacity constraints

Identify synergies for addressing capacity constraint

Identify opportunities for integrated capacity building

National Capacity Self-Assessment for the Global Environment Management (NCSA)

National Consultant

Terms of Reference

Background:

The Government of Saint Lucia, through the Ministry of Economic Affairs, Economic Planning, National Development and the Public Service is undertaking an assessment of the country’s capacity to implement the three Rio Conventions (the Convention on Biological Diversity, the United Nations Framework Convention on Climate Change and the United Nations Convention to Combat Desertification). The primary objective of the NCSA is to identify country level priorities and needs for capacity building to address global environmental issues, in particular under climate change, biological diversity, and land degradation, and enhance the capacity of Saint Lucia to meet its obligations under the three relevant conventions. It is hoped that the process will lead to a catalysing of domestic and externally supported actions to meet those needs in a coordinated and planned fashion. The process will also explore linkages among GEF focal areas, and with the wider concerns for environmental management and sustainable development at national level, as identified by the relevant authorities.

Thematic Assessments of the conventions have been completed and the next stage of the project requires the identification, analysis and prioritization of capacity constraints to the effective implementation of the conventions at the national level. The process will consider capacity building needs as an on-going process, dependent on a number of factors including emerging scientific and technological information, and the development on national policy frameworks.

The study will focus on:

· Identification of appropriate institutional structures for the co-ordination and implementation of the capacity building activities;

· Identification and development of a mechanism for the meaningful involvement of NGOs, CBOs and other stakeholders;

· Identification of synergies across the thematic areas;

· Reviewing current capacities and identifying new areas for capacity enhancement to address issues of sustainable development;

· Prioritization of the capacity development needs identified; and

· Development of a national implementation action plan to address priorities as identified in the capacity assessment.

Links to ongoing activities

The NCSA will take into account various projects in which capacity building has been identified as a need. It will also strengthen areas of capacity building in projects already in process. Specific projects that will contribute to the process include:

· The second phase of the climate change project;

· The second phase of the biodiversity projects;

· The third phase of the biodiversity enabling activities: Bio-safety.

· The National Environmental Management Strategy;

· The National Implementation Plan for the Stockholm Convention;

· The Wetland and Sustainable Livelihoods project funded by the GEF; and

· Montreal Protocol

· Caribbean Regional Environment Programme (CREP) project

The NCSA will be conducted in parallel with other activities that are funded by both international agencies and national government, especially with projects funded by the GEF. The process will take into account other international MEAs and maximize on the synergies, especially for capacity building between various international agreements.

The NCSA will also seek to complement regional activities along with national initiatives, including the implementation of Saint Lucia’s NEMS to complement the country’s commitments to the
St. George’s Declaration of Principles for Environmental Sustainability in the OECS. This Declaration is a non-binding agreement that provides a comprehensive approach for Member States of the OECS to pursue sustainable development goals.

Identification of synergies and cross-cutting analysis

This activity will focus on the identification of synergies between the three thematic areas and cross cutting capacity building opportunities within them. The work will result in a synergies report that focuses on:

· Identification and building of synergies across the thematic areas;

· Identification of capacity building opportunities with the assistance of convention secretariats and UNEP;

· Highlighting governance, accountability and responsibilities;

· Highlighting synergies in the three thematic areas in relation to other conventions;

· Highlighting capacity constraints and opportunities for synergies in addressing wider sustainable development issues; and

· Prioritisation of capacity needs in relation to identified synergies.

Prioritisation Process

It is anticipated that there will be a long list of activities and capacity building needs following the previous phases, and thus the part of the consultancy will be to identify through a consultative process the areas of greatest needs for Saint Lucia. The prioritisation process is expected to take into consideration opportunities for mobilising or redeployment of existing capacity, and the enhancement of existing capacity. Special consideration will be given to activities where additional capacity is needed since this will have the greatest implications for the country and most opportunities for additional assistance from the GEF.

The activities for this component will include:

· Identification of the various decisions of the Conferences of parties to the Conventions related to capacity building with the aim of determining the priorities for Saint Lucia and identifying opportunities for regional implementation;

· Identification of possible capacity building projects for consideration and prioritisation;

· Guidance provided in the CDI document “Country Capacity Development Needs and Priorities: A Synthesis”, may be used where appropriate. Further stakeholder consultations will take place and a finalised report on priority needs will be produced.

Overall objectives

As part of its National Capacity Needs Self Assessment (NCSA) process Saint Lucia is required to prepare a Thematic Assessment on the United Nations Convention on Biological Diversity, the United Nations Framework Convention on Climate Change and the United Nations Convention to Combat Desertification in fulfilment of the following objectives:

• To review and report on national obligations according to each Convention;
• To analyse the national provisions undertaken to date as a Party to each convention as a baseline for future capacity development;
• To identify priorities for capacity building within each thematic area and across the related sustainable development spectrum; and
• To initiate an assessment of individual, institutional and systemic capacity constraints.

Objective

The objective may be phrased as follows:

“To identify, based on in-depth analysis and broad consultation, constraints, opportunities and priority needs to strengthen national capacities in understanding and addressing the cross-cutting issues of the Rio Conventions”.

Outputs

The work of the consultant should result in at least the following products/outputs:

1. Mapping of the existing institutional mechanisms for managing the conventions at the national level. (2-5 pages descriptive matrix)
2. Assessment of awareness of cross-cutting issues (synergies) for the three Rio Conventions and how much attention/consideration is given to them based on current national legislations, institutional arrangements, reporting, programmes and projects (5-10 pages).
3. Inventory on what are the constraints and limitations to ensure better integration and synergy. (2-5 pages)

4. A proposal on opportunities to enhance/ensure integration including modifications/consolidations to existing planning and decision-making structures and processes. (5-10 pages)

5. Final assessment of priority capacity needs for synergies based on broader consultation. The assessment should cover all three basic levels of capacity building: individual, institutional and systemic: (10-15 pages)

The overall report length may not exceed 40 pages

Detailed Tasks (and the approximate time allocation):

1. Review scientific & technical publications related to the state of knowledge with regard to the scientific and implementation linkages of the Rio Conventions, summarize and present results of the review to the NCSA country team and a stakeholder forum. The task will require extensive web search in order to identify ongoing global programmes and initiatives concerned with capacity development and synergies. The purpose of this task should be to identify best practice and opportunities as background for the national proposal. (15%)

2. Review thematic assessments already conducted with a view to further identification and refinement of cross-cutting issues, summarize these in a matrix to enhance understanding of linkages and facilitate their analysis. (15%)

3. Analyse available national reports, legislations and documents relating to international global conventions and extract a list of cross-cutting issues already identified in these report together with a brief assessment of their relevance to the NCSA process. Additional consultation with key stakeholders might be needed to enhance the analysis. (15%)

4. Assess the state of national understanding of conventions synergies amongst major relevant stakeholders (government, NGO, private sector, etc.), current mechanisms to addressing them and how they can be improved through designing appropriate questionnaire (or other tools?) and getting adequate feedback from key stakeholders. Analyse those questionnaires in view of establishing baseline understanding of the synergies integrating activity No. 3 above into the assessment. (20%)

5. Present findings (in the form of a draft proposal on initial assessment of priority issues) to stakeholders, assist in reaching a common understanding among them, and developing methodological framework/approaches (such as harmonisation of terminologies) and priority setting for the final analysis of the cross cutting issues. (15%)

6. Facilitate a national workshop to review and agree on priority issues and actions needed to enhance national capacities at all levels to strengthen national response to environmental conventions through maximization of synergistic actions and the local and national level taking into consideration the three capacity building dimensions (individual, institutional and systemic). (20%)

7. Indicators

Specific tasks in preparing a Capacity Needs Assessment

Task	Process
1. Detailed process Design & Facilitation	1.1 Design an approach to undertake the assessment. 1.2 Develop process facilitation material/tools such as questionnaires, interviews, etc. 1.3 Design a programme of consultation leading to the validation and finalisation of the capacity needs assessment. Such activities may include workshops, focussed group meetings, etc 1.4 Facilitate workshops relevant within the context of capacity needs assessment and report on their outcomes
2. Review of capacity development initiatives and processes under each Convention	2.1 Collection of all appropriate and necessary documents produced by the convention secretariats 2.2 Identification of national obligations to each of the conventions 2.3 Compilation of the national relevant existing legal instruments, policies, strategies, structures and institutional arrangements that have been developed for the national implementation of conventions. 2.4 Collection of all action plans, reports and information sources prepared as part of developing national capacity to meet convention obligations
3. Analysis of national provisions and capacity	3.1 Evaluation of the expertise, structures, policies and strategies for their effectiveness in meeting national capacity to address convention and related sustainable development requirements. 3.2 Assessment of the subject-related information resources and databases, as well as the access thereto within the framework of each convention. 3.3 Analysis of on-going projects and measures currently being undertaken by the government and its ministries, agencies and institutions, towards capacity development 3.4 Analysis of previous related projects and their results and experience gained in the sphere of each convention and related sustainable development need.
4. Review of priority issues in capacity development	4.1 Comparison of the results of tasks 2 and 3 to identify gaps in national capacity for the implementation of the conventions and to meet related sustainable development goal 4.2 Review of the capacity building activities of the convention secretariats and Conferences of Parties to determine possible national capacity development targets 4.3 Review of sustainable development priorities within existing national documents. 4.4 Identify opportunities for building synergies in national capacity development to meet convention and related sustainable development goals and priorities 4.5 Identification of widely agreed prioritisation criteria, such as global/national importance of the issue, and the likelihood of the issue being addressed and use these to prioritize the identified capacity development initiatives and targets 4.6 Identify opportunities for synergies in capacity development initiatives across the three conventions and wider related sustainable development issues
5. Capacity Assessment	Systemic 5.1 Assessment of the overall policy framework at the national level 5.2 Assessment of the overall regulatory framework and its implementation 5.3 Assessment of the overall structure and its adequacy to address global and national environmental and sustainable development issues 5.4 Management accountability framework 5.4 Processes and relationships between institutions 5.6 Assessment of the level of awareness and understanding of the issues and problems at governmental level and in society Institutional 5.7 Analysis of the role and function of government agencies in the sphere of the three conventions, the extent to which these are met and capacity constraints to their achievement, as relevant. 5.8 Assessment of the technical infrastructure and its adequacy and accessibility (to include scientific community, academic and research institutes), and the capacity development requirements to support its functions 5.9 Identification of the level of participation of industry, interest groups and, as well as any other organisations and institutions with leading role in programmes/projects in the thematic area of each convention and related sustainable development initiatives and any capacity constraints to be addressed 5.10 Assessment of the state of management structures for the above institutions (mission/vision, performance, institutional structures and organisation, planning and monitoring processes, infrastructure, human and financial resources and management, information resources and dissemination…) and capacity development initiatives to address any deficiencies Individual 5.11 Assessment of the quality of available human resources to explore gaps in skills, knowledge and attitudes 5.12 Analysis of existing programmes for training and the development of human resources, including sustainability issues 5.13 Assessment of contacts and information exchanges between individuals involved in relevant subject areas related to each convention 5.14 Compilation and assessment of incentives in place by which individuals (and institutions) can gain new skills and technical abilities 5.15 Assessment of levels of untapped capacity
6. Elaboration and endorsement of Capacity Development Report	6.1 Elaboration of working version of a consolidated national Capacity Development report 6.2 Presentation of draft in a multi-stakeholder consultation process for improvement and endorsement. 6.3 Refinement of the report through further interviews, inclusion of new issues, regional/local level consultations 6.4 Preparation of final version of Capacity Development Report.

Possible contents of a Capacity Needs Assessment report

EXECUTIVE SUMMARY (1 – 2 Pages)

MAIN TEXT: (30 – 40 Pages)

INTRODUCTION (3-5 pages)

· What is an NCSA

· Goals and objectives of the NCSA in Saint Lucia

· Goals and objectives of the capacity Assessment Report

PROCESS AND METHODOLOGY (3-5 pages)

· Brief description of methodologies adopted, consultations made and stakeholder participation. (More details can be annexed.

CAPACITY ASSESSMENT: PRIORITY ISSUES (20 - 25 pages)

· International convention and related sustainable development management

· Identification of capacity constraints at the systemic, institutional and individual levels

· Identification of cross cutting issues (across thematic and the wider sustainable development spectrum)

· Prioritization of capacity development constraints

· Conversion of priority capacity constraints into priority capacity development initiatives

NEXT STEPS: (2 – 4 pages)

· Outline an approach to develop an Action Plan to address capacity constraints.

APPENDICES (As necessary)

Guidance to the Consultant: Possible issues for consideration in assessing capacity constraints

Assessing Capacity Constraints at the Individual Level

Capacity building at the individual level refers to the process of changing attitudes and behaviours- imparting knowledge and developing skills, while maximising the benefits of participation, knowledge exchange and ownership. Guiding questions include:

• Job requirements and skill levels: Are jobs correctly defined and are the required skills available?

• Training/retraining: Is the appropriate learning taking place?

• Career progression: Are individuals able to advance and develop professionally?

• Accountability/ethics: Is responsibility effectively delegated and are individuals held accountable?

• Access to information: Is there adequate access to needed information?

• Personal/professional networking: Are individuals in contact and exchanging knowledge with appropriate peers?

• Performance/conduct: Is performance effectively measured?

• Incentives/security: Are these sufficient to promote excellence?

• Values, integrity and attitudes: Are these in place and maintained?

• Morale and motivation: Are these adequately maintained?

• Work redeployment and job sharing: Are there alternatives to the existing arrangements?

• Inter-relationships and team work: Do individuals interact effectively and form functional teams?

• Interdependencies: Are there appropriate levels of interdependence?

• Communication skills: Are these effective?

Assessing Capacity Constraints at the Institutional Level

Capacity building at the institutional level focuses on the overall organisational performance and functioning capabilities, as well as the ability of an organisation to adapt to change. It aims to develop the institution as a total system, including individuals, groups and the organisation itself. Guiding questions include:

• Mission/strategic management: Do the institutions have clearly defined and understood missions and mandates?

• Culture/structure/competencies: Are the institutions effectively structured and managed?

• Processes: Do institutional processes such as planning, quality management, monitoring and evaluation, work effectively?

• Human resources: Are the human resources adequate, sufficiently skilled, and appropriately deployed?

• Financial resources: Are financial resources managed effectively and allocated appropriately to enable effective operation?

• Information resources: Is required information available and effectively distributed and managed?

• Infrastructure: Are material requirements such as buildings, offices, vehicles, computers, allocated appropriately and managed effectively?

Assessing Capacity Constraints at the Systemic Level

Capacity building at the systemic level emphasises the overall policy framework in which individuals and organisations operate and interact with the external environment, as well as the formal and informal relationships of institutions. Guiding questions include:

• Policy framework: Is the overall policy environment conducive?

• Legal and regulatory framework: Is the appropriate legislation in place and are these laws effectively enforced? (These may be both formal and informal, such as cultural mores)

• Management accountability framework: Are institutional responsibilities clearly defined and are responsible institutions held publicly accountable?

• Economic framework: Do markets function effectively and efficiently?

• Systems level resources: Are the required human, financial and information resources available? (These may be in any or all of national and local government, private sector, and civil society – including NGO’s)

• Processes and relationships: Do the different institutions and processes interact and work together effectively? (Including national and local government, private sector, and civil society)

Guiding questions for assessing capacity needs at systemic, institutional, individual levels

Systemic Capacity (The overall country environment)	Entity / Institutional (The institutions with designated responsibility)	Individual (The individuals whose task it is to do this)
Policy Framework Is the overall policy environment conducive?	Mission / Strategic Management Do the institutions have clearly defined and understood missions and mandates?	Job requirements and skill levels Are jobs correctly defined and are the required skills available?
Legal and Regulatory Framework Is the appropriate legislation in place and are these laws effectively enforced? (These may be both formal and informal, such as cultural mores)	Culture / Structure / Competencies Are the institutions effectively structured and managed?	Training / retraining Is the appropriate learning taking place?
Management Accountability Framework Are institutional responsibilities clearly defined and are responsible institutions held publicly accountable?	Processes Do institutional processes such as planning, quality management, monitoring and evaluation, work effectively?	Career progression Are individuals able to advance and develop professionally?
Economic Framework Do markets function effectively and efficiently?	Human Resources Are the human resources adequate, sufficiently skilled, and appropriately deployed?	Accountability / Ethics Is responsibility effectively delegated and are individuals held accountable?
Systems Level Resources Are the required human, financial and information resources available? (These may be in any or all of national and local government, private sector, and civil society – including NGO’s)	Financial Resources Are financial resources managed effectively and allocated appropriately to enable effective operation?