Cooperation in International Waters in Africa

Transcription

1 Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Cooperation in International Waters in Africa Proposal for Development Partners March 2014 Prepared by: Sustainable Development Department, Africa Region, World Bank Contact: Gustavo Saltiel CIWA Program Manager

2 TABLE OF CONTENTS SECTION 1: EXECUTIVE SUMMARY... 4 SECTION 2: INTRODUCTION...6 SECTION 3: RATIONALE... 7 AFRICA S DEVELOPMENT CHALLENGES: THE CENTRALITY OF WATER... 7 IMPACTS OF CLIMATE CHANGE ON AFRICAN DEVELOPMENT... 7 THE REGIONAL PERSPECTIVE: AFRICA S INTERNATIONAL WATERS... 8 THE WORLD BANK AS CIWA S HOST INSTITUTION... 9 SECTION 4: OBJECTIVE AND EXPECTED RESULTS IMPACT PROGRAM DEVELOPMENT OBJECTIVE INTERMEDIATE RESULTS SECTION 5: PROGRAM DESCRIPTION MODES OF ENGAGEMENT ENTRY POINTS FOR ENGAGEMENT PROGRAM STRUCTURE The Basin Engagement Sub-Program CIWA s Priority Basins and Regions The Catalytic Sub-Program Linkages between the Sub-Programs MAINSTREAMING GENDER SECTION 6: CIWA PROGRAM MANAGEMENT CIWA PROGRAM MANAGEMENT UNIT PANEL OF EXPERTS MONITORING, EVALUATION AND REPORTING COMMUNICATIONS AND OUTREACH SECTION 7: PARTNER INVOLVEMENT CIWA CONSULTATIVE GROUP CIWA ADVISORY COMMITTEE CIWA BASIN STEERING COMMITTEE DEVELOPMENT PARTNER ENGAGEMENT IN THE PROGRAM CYCLE CIWA S BROADER PARTNERSHIPS SECTION 8: FINANCING REQUIREMENTS AND STATUS ANNEXES ANNEX 1: MAP OF TRANSBOUNDARY BASINS IN SUB-SAHARAN AFRICA ANNEX 2: CIWA RISK ANALYSIS ANNEX 3: ALIGNING WITH THE WORLD BANK S REGIONAL AND SECTOR STRATEGIES ANNEX 4: EXPLANATION OF RECIPIENT AND BANK EXECUTED PROJECTS ANNEX 5. INTENDED IMPACT DICTATES THE ENTRY POINTS FOR ENGAGEMENT Proposal for Cooperation in International Waters in Africa Page 2

3 LIST OF ACRONYMS AC AU AfDB AMCOW ANBO AWF BSC CG CIWA CSP ESIA EU GDP GEF ICA IDA MDTF NBTF NEPAD NGO OMVS PDO PIDA PMU RBO REC SAWI SWP WPP Advisory Committee African Union African Development Bank African Ministers' Council on Water African Network of Basin Organizations African Water Facility Basin Steering Committee Consultative Group Cooperation in International Waters in Africa CIWA Support Plan Environmental and Social Impact Assessment European Union Gross Domestic Product Global Environment Facility Infrastructure Consortium for Africa International Development Association Multi-Donor Trust Fund Nile Basin Trust Fund New Partnership for Africa s Development Non-Governmental Organization Senegal River Development Organization Program Development Objective Program for Infrastructure Development in Africa Program Management Unit River Basin Organization Regional Economic Community South Asia Water Initiative Shared Waters Partnership Water Partnership Program Proposal for Cooperation in International Waters in Africa Page 3

4 SECTION 1: EXECUTIVE SUMMARY Climate resilient growth and poverty reduction in Africa depend on the sustainable management and development of its international waters. The key sectors that contribute to growth depend on water; however two or more countries share all of the major water sources in Africa. The transboundary nature of Africa s rivers, lakes and aquifers adds considerable political, technical, environmental, and financial complexity to their sustainable development. This additional complexity has often resulted in stalled investments or the adoption of sub-optimal development choices that have real and significant costs. Cooperative action is necessary to optimize benefits regionally and mitigate shared risks including those of climate variability and change. The Cooperation in International Waters in Africa (CIWA) program supports riparian governments to unlock the potential for sustainable and climate resilient growth by addressing constraints to cooperative management and development of international waters. CIWA s focus on water-related growth reflects the desire of riparian governments engaged in cooperative management of water resources to accelerate development in support of economic growth and poverty reduction. It also leverages the comparative advantage of the program s host institution, the World Bank, to bring knowledge and experience of investment in infrastructure, institutions and information systems across the water-related sectors in Africa. The objective of the program is to strengthen cooperative management and development of international waters in Sub-Saharan Africa to facilitate sustainable climate resilient growth. The expected results are: 1. Strengthened regional cooperation and integration - This aims to foster cooperative transboundary institutions for greater regional stability and creation of an enabling environment for shared sustainable growth. 2. Strengthened water resources management - This aims to underpin the evidence-based knowledge for planning and decision-making to maximize development opportunities and minimize climate variability risks. 3. Strengthened water resources development - This aims to support investments that improve resilience to climate variability and change, enhance food and energy security, and enable countries to follow a lower carbon growth path. 4. Strengthened stakeholder engagement and coordination - This aims to enable greater voice in decision-making processes of civil society, private sector and academia in the cooperative management and development of shared basin resources. The 10-year targets for the program are: $10 billion of investment financing mobilized for implementation of projects influenced by CIWA 50 million direct beneficiaries of projects influenced by CIWA 5 basins with strengthened institutions 5 basins with improved analytic tools, data and capacity 10 investment opportunities with regional benefits progressed in the project cycle Proposal for Cooperation in International Waters in Africa Page 4

5 5 basins with improved engagement with civil society, private sector and academia These targets reflect the high level of ambition for the program by the potential recipients, contributing partners and the World Bank. CIWA is a long-term program reflecting the need for longterm engagement when working in international waters and as such it aims to attract funds in the range of US$200 million over ten years. The scale of financing proposed reflects the significant requirements to achieve the ambitious targets. The World Bank and a group of development partners established the CIWA program in The financing mechanism is a multi-donor trust fund (MDTF) administered by the World Bank with an initial contribution from the UK and subsequent contributions from Denmark, the Netherlands, Norway and Sweden. A number of other donors have expressed interest in supporting the program. CIWA can respond to demand from interested transboundary institutions (basin-institutions, regional economic communities (RECs), and other relevant organizations) through the Basin Engagement Sub-Program. Basins and RECs will be selected according to alignment with CIWA s objective, potential to contribute to one or more of CIWA s results, relative needs of the people and countries in the basin, and the expressed interest by basin countries. CIWA will work with priority basins by establishing a long-term partnership with objectives defined in a CIWA Support Plan (CSP). This plan will be developed with participating institutions and will be aligned with existing strategic plans. Current priority basins include Nile, Zambezi, Volta, and Niger. All projects financed by CIWA will contribute to the broader program results framework as well as the basin objectives outlined in the CSP. CIWA, through the Catalytic Sub-Program, will use opportunistic engagement, strategic analyses, technical assistance, and capacity building to promote cooperative water resources management and development. This sub-program will finance analyses on strategic issues relevant to basins where sustained engagement is not in place or to the wider African continent. The sub-program also will build capacity among key stakeholders and promote the application of tools to better understand and implement cooperation in international waters. It will increase knowledge of the strategic importance of international waters in Africa and the political economy, as well as the economic and financial implications of cooperation (or lack thereof) that contribute to climate resilience and inclusive growth. The sub-program will demonstrate the tangible benefits of unlocking the potential of cooperation on joint investments. CIWA s design has been informed by lessons from World Bank involvement in transboundary water issues in the Nile, Niger, Zambezi and Senegal River Basins in Africa, international waters in other regions, as well as other programs supported by MDTFs such as the Nile Basin Trust Fund (NBTF), the African Water Resources Management Initiative (AWRMI), the Water Partnership Program (WPP) and the South Asia Water Initiative (SAWI). CIWA employs a harmonized approach to all its activities and strives to complement other African water and development programs by focusing on cooperation that leads to investments and growth. Proposal for Cooperation in International Waters in Africa Page 5

6 SECTION 2: INTRODUCTION The purpose of this document is to provide development partners with an overview of the CIWA program for consideration of financial support. It is complementary to the CIWA Operational Guidelines that provides more specific information on CIWA procedures and the CIWA Strategic Framework that provides more information on the how CIWA plans to deliver results. This proposal outlines the challenges of managing and developing international waters in Africa in order to provide a clear rationale for the CIWA program and its management by the World Bank. CIWA s objective, expected results and targets for the ten-year program are presented, followed by a description of the two main program components: the Basin Engagement Sub-Program and the Catalytic Sub-Program. The proposal outlines how the CIWA program is managed and describes its operational structures and methods. Brief descriptions of how CIWA engages with basin institutions and what role development partners play are given. Finally, the current level and future requirements for financing are given. Proposal for Cooperation in International Waters in Africa Page 6

7 SECTION 3: RATIONALE AFRICA S DEVELOPMENT CHALLENGES: THE CENTRALITY OF WATER Africa has an unprecedented opportunity for transformation and sustained growth. Until the onset of the global economic crisis, growth had averaged 5 percent a year for a decade. Even though growth declined as a consequence of the crisis, it rebounded in 2010 due to prudent macroeconomic policies and financial support from multilateral agencies. Despite these gains, African countries continue to face persistent, long-term development challenges. Among them are food shortages, low human capital, weak governance, state fragility, lack of women s empowerment, youth unemployment and climate variability and change. Water is a vital development component for nearly every sector in Africa, including urban services and industry, land management, energy, agriculture, environmental services, and fisheries. Lack of reliable water availability of adequate quality undermines public health, restricts industrial growth, limits energy production, constrains agricultural productivity and food production and threatens important environmental services, including fisheries. All of which are critical to the livelihoods of the African people. Water management is critical for meeting Africa s development challenges. Though water is vital for agriculture, only 5 percent of Africa s cultivated land is irrigated. Water for people and animals is critical for health and livelihoods, yet only 58 percent of Africans have access to safe drinking water. In the face of extremely limited access to modern energy (585 million people do not have electricity), Africa has a vast but largely untapped potential for clean energy production, including hydropower. For example, Africa's economically feasible hydropower is estimated at 45 gigawatts, nearly onetenth of the world's total. Less than 10 percent of this potential is currently being used. IMPACTS OF CLIMATE CHANGE ON AFRICAN DEVELOPMENT Climate change is a major challenge for Africa and it threatens to undermine the continent s hardwon development progress. Climate variability has always been a major constraint on Africa's growth and it is estimated to cause an annual loss of 1-2 % of Gross Domestic Product (GDP). Climate change threatens to exacerbate these impacts with additional GDP losses estimated, and in the case of Ghana, Ethiopia and Mozambique to be in the range of 0.5% to 9% on average for the coming four decades. With low-lying coastal areas, a heavy dependence on agriculture and inadequate infrastructure, Africa is the most vulnerable and least prepared to cope with the impacts of global warming. By 2020, it is projected that between 75 million and 250 million people in Africa will be exposed to increased water stress. Increased frequency and severity of extreme events (floods and droughts) and sea level rise of some 20 to 50 centimeters by 2050 threaten the many large cities located in vulnerable coastal areas, thereby jeopardizing their ability to generate growth and employment. Proposal for Cooperation in International Waters in Africa Page 7

8 Hydrological variability causes significant economic loss and constrains growth. Africa lacks the capacity to buffer the shocks of frequent droughts and floods. Water storage is vital to guard against the effects of high climate volatility and ensure that water is available where and when it is needed. In most of Sub-Saharan Africa, precipitation occurs in just one season lasting four to six months and the seasonal and inter-annual variation in the timing and volume of precipitation is high. Africa (excluding South Africa) has the world s lowest surface water storage capacity, at about 43 cubic meters per person per year compared to a water storage capacity in North America of 6,150 cubic meters per person per year. If water becomes scarcer, difficult trade-offs will need to be made among competing uses, particularly between water for food and water for energy, but it will also affect the increasing water needs required by rapid urbanization and industrialization. In these increasingly challenging situations, new robust decision-making paradigms for water allocation and management will need to be adopted. Existing World Bank estimates on the cost of adaptation which suggest an average of $17-18 billion per year in the period are built on the assumption of a 2 C warming. But given slow progress on climate negotiations and rapid increase of emissions, there is a growing consensus that the world is headed towards a more rapid and more severe warming (possibly in excess of 4 C), which implies much larger financial needs to enhance Africa s climate resilience. This highlights the importance of supporting cooperative water resources management and development in order to optimize development potential and use of relatively limited financial resources. Although possibly the biggest development threat to Africa, climate change could also be an opportunity. Sustainable water resources development and management must properly address adaptation including immediate and future needs for storage and improving irrigation practices. This adaptation response to climate change could spur development-oriented interventions. Climatetriggered collective action could also improve soil and coastal management, which according to one estimate could be worth about US$1.47 billion a year. Also, sustainable hydropower development can be a major contributor to climate mitigation. THE REGIONAL PERSPECTIVE: AFRICA S INTERNATIONAL WATERS Africa s development agenda is inherently regional due to the large number of landlocked countries and transboundary water systems, as well as an uneven distribution of energy resources and load centers. Though Africa is endowed with a generous supply of water resources, most of its rivers, lakes and aquifers cross country borders, highlighting the importance of effective institutions that help to ensure shared benefits from cooperation. Africa has estimated annual runoff of 63,736 cubic kilometers, more than 90 percent of which results from eight large transboundary river basins: Congo, Nile, Zambezi, Niger, Ogooue, Lake Chad and the Volta. A total of 63 transboundary river basins accounts for 90 percent of Africa s surface water resources, 63 percent of its surface area, 83 percent of its precipitation, and 92 percent of its annual discharge. In addition to rivers, international Proposal for Cooperation in International Waters in Africa Page 8

9 basins contain more than 330 lakes, twelve of which are characterized as major perennial surface water bodies. Water resources shared by countries pose complex political and management challenges. Virtually all the region s rivers flow through multiple countries: the Nile flows through 11, the Niger 9, Lake Chad 8, Congo 10, and the Zambezi 8. While it is widely acknowledged that international waters have created some opportunities for fostering regional economic cooperation and political integration through cooperative development, the added complexity can also lead to tension and less than optimum development of common resources. These challenges can be accentuated by increasing competition between different sectors within riparian states and the prospects of climate related risks. Cooperative river basin planning and management can overcome some of these challenges. However, water management institutions needed to address these tensions in many African countries are often weak and fragmented. Agencies with authority over a particular economic sector can make uncoordinated decisions about water allocation and use, which lead to inefficiency and degradation of the resource. The cost of noncooperation is high, including the economic cost of negative environmental impacts, suboptimal water resource development, political tensions over shared resources, and the forgone benefits of joint water resource development. A multi-purpose, integrated and cooperative approach has the clear potential not only to help countries build economic resilience to climate change, but more importantly, to diversify their economies. Multi-purpose cooperative water resource development has the potential to offer significant benefits to the countries of Africa, provided that appropriate water governance institutions manage the complex dynamics of multi-country development. Countries around the Senegal and Niger Rivers have started to reap the benefits of a cooperative and a joint approach to managing their shared waters. THE WORLD BANK AS CIWA S HOST INSTITUTION The World Bank is uniquely positioned to administer the CIWA trust fund. As a trustee of more than $25 billion dollars annually, the World Bank can ensure systematic and prudent management oversight of entrusted funds. Additionally, the World Bank has vast experience in program delivery with the highest level of technical capacity, deep partnerships with recipient countries and a global operational platform. Specific to water resource management and development, the Bank s team is recognized for its world-class expertise as well as its extensive experience in project design and implementation in all water-related sectors. This technical capacity and broad experience enables the Bank to play a catalytic role in fostering cooperative water resources management and development. This is the primary rationale for the World Bank to lead and host the CIWA program. The following expands upon this rationale detailing the Bank s suitability as host institution for CIWA: The Bank s primary function and one of its major strengths is as a provider of investment financing to support economic growth which corresponds directly with the objectives of CIWA. Proposal for Cooperation in International Waters in Africa Page 9

10 The Bank has a multi-sectoral presence in most African countries and is engaged with governments at a strategic level in the promotion of growth and poverty reduction. It is thus uniquely placed to provide strategic input and guidance to transboundary water programs. The Bank has an established reputation in international rivers work in several African river basins and is also engaged in supporting the water sector at a national level in many countries. The Bank has an established and highly regarded role as a neutral mediator in supporting and bringing together parties to collaborate on international waters development. The Bank is experienced in acting as a convener to bring together riparian governments, donors, investors, and other interested parties. The Bank places a great deal of emphasis on regional economic development in Africa through the formulation and implementation of its Regional Assistance Strategy. CIWA brings riparian countries together within regional contexts in ways that can strengthen regional development in a range of sectors. The Bank has extensive multi-sectoral technical expertise that it can deploy to support detailed analytical assessment of strategic and investment options as well as the design, development and oversight of projects. The Bank has tried and tested fiduciary and operational instruments and procedures, including extensive safeguards. The Multi-donor Trust Fund instrument was specifically designed as a mechanism to make best use of these procedures. In addition, the establishment of CIWA and its supporting MDTF represents a rationalization of previous Bank managed instruments, incorporating the lessons learned from for example the NBTF, SAWI and the WPP. This brings together the experience that has been gained in different basins and regions into a focused initiative to both continue to support basins where the World Bank is already engaged and to extend support to other basins. Proposal for Cooperation in International Waters in Africa Page 10

11 SECTION 4: OBJECTIVE AND EXPECTED RESULTS The CIWA results framework is organized as a hierarchy of impact, objective and results. IMPACT CIWA s intended impact is to strengthen sustainable climate-resilient growth in Sub-Saharan Africa. CIWA seeks to support riparian governments to unlock the potential for sustainable and climate resilient growth by addressing the constraints to cooperative management and development of international waters. CIWA s focus on water-related growth reflects the desire of riparian governments engaged in cooperative management to accelerate water resources development in support of economic growth and poverty reduction. The program s focus also leverages the comparative advantage of its host institution, the World Bank, to bring extensive experience with, and ability to mobilize, infrastructure investment in many water-related sectors in Africa. PROGRAM DEVELOPMENT OBJECTIVE The program development objective is to strengthen cooperative management and development of international waters in Sub-Saharan Africa to facilitate sustainable climate resilient growth. There are two Program Development Objective (PDO)-level indicators identified: Indicator: US$ financing mobilized for cooperative management and development of international waters resources projects supported by CIWA 10-year Target: $10 billion This indicator reflects the intended impact of enabling growth through investments in cooperative water resources management and development projects. The project development cycle will follow best practice to ensure that investments are sustainable and climate-resilient. This indicator aggregates the mobilized financing of all projects which CIWA has influenced during one or more stages of project preparation including, but not restricted to, support for facilitation of investment dialogue, project identification, pre-feasibility, environmental and social impact assessments (ESIAs), feasibility, transaction negotiation and resource mobilization. Financing from all sources will be included. Mobilized financing is considered to be planned and/or actual investment financing, where planned financing includes any project that has been included in a formal plan or planning process. All funding sources will be considered. Indicator: Number of people directly benefiting from improved water resources management and development in target basins through projects supported by CIWA 10-year Target: 50 million people Proposal for Cooperation in International Waters in Africa Page 11

12 This indicator will aggregate the planned and actual direct beneficiaries of projects influenced by CIWA and will be disaggregated by gender where possible. (Indirect beneficiaries are assumed to be all the people living within the basins that CIWA is supporting.) INTERMEDIATE RESULTS The intermediate results capture the progress towards strengthening cooperation, water resources management and development, as well as stakeholder engagement in target basins. Given that participating transboundary institutions have different roles and responsibilities, are at different stages of maturity, and that each will have to address distinct challenges to strengthen themselves, it will be difficult to aggregate all meaningful results across all of CIWA s engagements and projects. A CSP will be developed for the priority basins which will provide a definition for what constitutes successful strengthening in each of the relevant result areas. Each priority basin will have its own results framework and will use specific indicators that identify how the project contributes to the relevant results areas. For engagement outside of the priority basins and on multiple-basin or Africawide projects, CIWA will provide a detailed results framework and a definition for what successful strengthening entails in the project documentation. CIWA recognizes that multiple entry points are required to achieve sustainable cooperative water resources management and development and that not every relevant organization operates at the basin-scale. To account for relevant engagement on multiples scales, several indicators aggregate results according to relevant institutions strengthened which includes RBOs, RECs, stakeholder organizations, academic groups and others relevant to cooperative water resources management and development. In addition, CIWA will undertake important knowledge management and capacity building work on a multiple-basin or Africa-wide scale that contributes to the four results areas. Indicators which aggregate these results are included in the Results Framework. CIWA progress reporting will provide information on how program-wide targets have been met as well as a narrative of how specific basin engagements and projects contribute to the program-level indicators. It is expected that this combination of reporting will enable overall quantitative tracking of key indicators and will tell the story behind the numbers in illustrative cases. The expected intermediate results and their associated indicators are defined next. Intermediate Result #1: Regional Cooperation and Integration Strengthened This result area quantifies how CIWA support fosters cooperative transboundary institutions for greater regional stability, establishes the evidence base for cooperation, and creates an enabling environment for shared sustainable growth. Indicator: Number of relevant transboundary institutions strengthened to improve regional cooperation 10-year Target: 8 transboundary institutions in at least 5 basins Proposal for Cooperation in International Waters in Africa Page 12

13 This indicator is based on the assumption that strong transboundary institutions with a water resources mandate are a good indicator of strong regional cooperation. The progress towards strengthening transboundary institutions will be assessed on parameters unique to each organization, such as: extent of data-sharing, extent of public access to information, facilitation of prior notification, clarity of and ability to communicate the evidence for benefits of cooperation, quality of institutional legal and policy frameworks, effectiveness of national/regional linkages and sustainability of core financing. The set of indicators to be measured with corresponding baselines and targets will be unique to each project, defined in the project documentation and/or the CSP. Indicator: Number of strategic analyses conducted and knowledge products developed to illustrate the evidence base for cooperation needs and challenges 10-year Target: 10 strategic analyses conducted This indicator is based on the assumption that a solid understanding of the benefits of cooperation, based on knowledge and evidence, will engender and strengthen cooperation. It is expected that this will capture how the analytical work is helping reach out indicate the practical need for transboundary cooperation to high-level decision makers at the national and regional level. The topics are expected to cover issues such as political economy, benefits of cooperation and costs of inaction, implications for poverty reduction and shared prosperity, implications for climate resilience, specific illustrative case studies, etc. Efforts will be made for innovative packaging and dissemination of such knowledge products to stimulate discussion and cooperative action. Results are aggregated for basin-specific knowledge management and strategic analyses supported by CIWA, as well as Africa-wide or multiple basin works that contribute to strengthened regional cooperation. Intermediate Result #2: Water Resources Management Strengthened This result aims to quantify how CIWA supports the evidence-based knowledge for planning and decision-making to maximize development opportunities, minimize climate variability risk, and improve coordination of investment operation. Indicator: Number of relevant institutions with improved analytical tools, knowledge products, data, forecasting, and/or capacity for improved water and climate risk management or investment operation coordination 10-year Target: 5 transboundary institutions in at least 4 basins The indicator is based on the assumption that if a basin institution has improved analytic tools, knowledge products, data, forecasting, and/or capacity it will be better able to assess and monitor water resource management status, challenges and opportunities and inform key basin officials and decision-makers and to better coordinate investment operation. This in turn will Proposal for Cooperation in International Waters in Africa Page 13

14 enable stronger, and potentially more coordinated, management of water resources and will minimize risk from climate variability. For priority basins, progress will be assessed on parameters unique to each basin as defined in the CSP. For other institutions where CIWA strengthens water resources management, indicators for how progress will be achieved under this result area will be clearly delineated in the project results framework. Improved analytic tools, knowledge products, data, forecasting, and/or capacity could include, but are not limited to, enhancing the quality of decision support systems, extent of monitoring systems (hydro-met) and data collection, quality of disaster risk management systems, quality and timely implementation of the basin management plans, monitoring of the state of the basin and quality of policy at national level relating to international waters. Intermediate Result #3: Water Resources Development Strengthened This result aims to quantify how CIWA supports sustainable water-related investments with regional benefits that contribute to climate resilient growth. Indicator: Number of investment opportunities with regional benefits that have been advanced through CIWA support 10-year Target: 10 opportunities The indicator is based on the assumption that advancing investments with regional benefits increases growth, shared prosperity and builds climate resilience. Regional benefits are often at the heart of what countries seek from transboundary cooperation. There are investments that require regional cooperation to materialize in a regionally-acceptable manner, as well as investments that are then enabled by cooperation or regionally-agreed investments. The cooperation relating to these investments in a transboundary context could range from notification and meaningful information sharing to generate consensus required for implementation by a country all the way to joint investments across countries (e.g. the case of the Senegal Basin) depending on the level of cooperation and the maturity and strength of basin institutions. The support at a regional level could be to facilitate preparation, financing, implementation, and operations of key transformative investments. Investments are likely to include, but are not limited to, water-related investments that improve resilience to climate related shocks, reduce poverty, enhance food security, and enable countries to follow a lower carbon growth path. Examples include, but are not limited to, water storage, irrigation, water management, institution building, hydro-meteorological data collection and other information systems, hydroelectric schemes, multipurpose systems, hydroelectric schemes, and natural infrastructure. This indicator will aggregate the number of steps in the project cycle of relevant investments that CIWA has directly influenced, where steps in the project cycle could include, but are not limited to: i) Scoping/Pre-identification studies (Unlocking Potential) ii) Identification, iii) Prefeasibility, iv) Feasibility, v) Investment Financing facilitation, vi) Detailed Design, vii) Proposal for Cooperation in International Waters in Africa Page 14

15 Construction, viii) Commissioning, ix) On-going Operations and Maintenance. This indicator will also include program identification through multi-sector investment opportunities analyses. Indicator: Number of relevant transboundary institutions with an improved approach to sustainable investment planning and bankable investment preparation 10-year Target: 5 institutions This indicator aims to capture CIWA s support to strengthen the basin organizations and other relevant institutions ability to improve the sustainability of regional investments by incorporating social and environmental considerations into investment planning and preparation. The indicator is based on the understanding that including long-term climate change, ecosystem services information and social considerations (such as gender equity, inclusion and shared prosperity) during the investment planning and preparation will improve the sustainability of the investment. This is expected to complement work that is often done on the technical, economic, financial, and institutional elements of proposed investments, all of which are required for building a well-developed pipeline of bankable projects in each basin to be considered for financing and implementation. This indicator will aggregate a number of separate lines of work that contribute to improving the approach to sustainable investment planning which may include, but are not limited to: (i) Capacity building on how consideration of climate change, environmental, gender, and/or poverty issues can improve sustainability of investments; (ii) Development of gender, poverty, environmental, and/or climate change-relevant indicators or standards against which they can assess progress in building climate resilience, shared prosperity and/or social inclusion; (iii) Incorporation of social and/or environmental and climate change considerations in strategic planning or other institutional modalities (e.g. through strategic or cumulative Environmental and Social Assessments and integration of these considerations into basin planning); (iv) Inclusion of social, environmental or climate-change considerations in development of analytic tools, knowledge products, data, and/or forecasting; (v) Undertaking a specific analysis of environmental or social considerations in order to advance a regional investment opportunity, such as an ESIA or similar instruments. Intermediate Result #4: Stakeholder Engagement and Coordination Strengthened This result area measures how CIWA enables greater voice of civil society, private sector or academia in the decision making processes related to cooperative management and development of shared basin resources with a particular focus on empowering women and the poor. Proposal for Cooperation in International Waters in Africa Page 15

16 Indicator: Number of basins with improved engagement with civil society, private sector or academia; Sub-Indicator: Percentage of basins with improved engagement of organizations representing the interests of women and/or the poor 10-year targets: 5 basins; 60 percent with improved women/poor engagement This indicator is based on the assumption that improving engagement with civil society increases public accountability, demonstrates best practice for inclusion of environmental and social issues (including safeguards) and provides a mechanism for addressing grievances. Engagement with the private sector aims to improve competiveness in procurement and increase the potential for investment financing. Finally, engaging with academia seeks to enhance the long-term development of local professional capacity. The development of internship/young professional programs in basin organizations to improve outreach, in-sourcing of cutting-edge talent, and building capacity of the next generation of water-related multi-disciplinary professionals and the development of MOUs or other meaningful working arrangements with academia, CSOs, research institutes, and other professional entities is also expected to be enhanced. Progress towards improving engagement with civil society, private sector and academia will be assessed on parameters unique to each basin such as: clarity of plans and process of engagement, extent of participation in the project development cycle (including investment reviews, identification of opportunities, pre-feasibility and feasibility activities, project implementation) and extent of public access to information. The set of indicators to be measured with corresponding baselines and targets will be unique to each project and/or as defined in the CSP. The sub-indicator is intended to capture support which targets empowerment of women and the poor. The sub-indicator is based on the assumption that empowering women and the poor will increase the sustainability of water investments, improve water management, promote growth and ensure that benefits are shared. Indicator: Number of basins with increased water resources management and development information in the public domain 10-year target: 5 basins The indicator is based on the assumption that increasing information in the public domain enables stakeholders to more effectively engage in water resources management and development decision making. This indicator will track progress on what has been identified as a critical issue in African transboundary basins availability of meaningful data, tools, and analytical insights in the public domain to stimulate awareness and better inform broad-based decision support for cooperative approaches to realize system benefits and manage risks. This is expected to include activities in each basin related to availability of public-domain data (e.g. basin characteristics, monitoring data, etc. through online portals, mobile Apps, data services), analytical tools (e.g. simple models, scenario visualization tools), knowledge products Proposal for Cooperation in International Waters in Africa Page 16

17 (e.g. newsletters, bulletins, analytical reports), and forums (e.g. to facilitate knowledge sharing and stakeholder information sharing and discussions). Progress towards increasing water resources management and development information in the public domain will be assessed based on the efforts of relevant institutions to display information, promote access to information or increase stakeholder awareness of relevant information in the public domain. The set of indicators to be measured with corresponding baselines and targets will be unique to each project and/or as defined in the CSP. Proposal for Cooperation in International Waters in Africa Page 17

18 Table 1: CIWA Results Framework Impact Sustainable climate resilient growth in Sub-Saharan Africa strengthened Program Development Objective Strengthen cooperative management and development of international waters in Sub-Saharan Africa to facilitate sustainable climate resilient growth Indicator 1: US$ financing mobilized for cooperative management and development of international waters resources projects supported by CIWA 10-year target: $10 billion Indicator 2: Number of people directly benefiting from improved water resources management and development in target basins through projects supported by CIWA 10-year target: 50 million Intermediate Results 1. Regional cooperation and integration strengthened Indicator 1: Number of relevant transboundary institutions strengthened to improve regional cooperation 10-year target: 8 transboundary institutions in at least 5 basins Indicator 2: Number of strategic analyses conducted and knowledge products developed to illustrate the evidence base for cooperation needs and challenges 10-year target: 10 strategic analyses conducted 2. Water resources management strengthened Indicator: Number of relevant transboundary institutions with improved analytical tools, knowledge products, data, forecasting, and/or capacity for improved water and climate risk management or investment operation coordination 10-year target: 5 institutions in at least 4 basins 3. Water resources development strengthened Indicator 1: Number of investment opportunities with regional benefits that have been advanced through CIWA support 10-year target: 10 opportunities Indicator 2: Number of relevant transboundary institutions with an improved approach to sustainable investment planning and bankable investment preparation 10-year target: 5 transboundary institutions 4. Stakeholder engagement and coordination strengthened Indicator 1: Number of basins with improved engagement with civil society, private sector and academia; Subindicator: Percentage of basins with improved engagement of organizations representing the interests of women and/or the poor 10-year targets: 5 basins, 60% of engagements with women/poor organizations Indicator 2: Number of basins with increased water resources management and development information in the public domain 10-year target: 5 basins Proposal for Cooperation in International Waters in Africa Page 18

19 SECTION 5: PROGRAM DESCRIPTION Transboundary waters development is complex and demanding. Most major river basins, lakes and aquifers are not contained within the boundaries of a single country. Depending on many different social, developmental, geopolitical factors, the needs of various basins and regions can vary greatly. The CIWA program must maintain flexibility in its approach to engagement (i.e., modes of engagement, entry points for engagement, and program structure) in order to address the needs of basins across Africa while maximizing impact. MODES OF ENGAGEMENT International lessons learned and our experience with NBTF and CIWA to date suggest that steady progress towards international cooperation can be made through long-term sustained support to a given basin with weak institutional capacity. Experience has also shown that given the event-driven nature of many opportunities for impact, shorter-term, opportunistic support (analytical work, capacity building, technical assistance, etc.) can often propel cooperation in a given basin forward. Given the varying basin needs and opportunities across Africa, CIWA is designed to support a few long-term programs, but also to be flexible enough to address strategic opportunities as they arise. CIWA is designed around three primary modes of engagement, outlined in Figure 1. Figure 1. CIWA: Modes of Engagement A. Sustained Basin Engagement: long-term engagement in a finite number of priority basins to strengthen information, institutions, and investments CIWA: Modes of Engagement B. Opportunistic Engagement: shorter-term engagement that explores collaborative, potential high impact investment opportunities in basins other than priority basins Analytical Work Cuts Across All Modes of Engagement C. Knowledge Management/Capacity Building: discrete activities to generate, share and manage knowledge that can facilitate cooperative development and management of international waters The bulk of CIWA resources will be dedicated to the sustained engagement in CIWA priority basins (entry point can be a basin or region). CIWA priority basins are established using the program s criteria for selection including need, demand, linkages and CIWA s value added (see below). The analysis contained in International Waters in Africa: A Strategic Overview provides objective criteria to assess basin and regional needs as an input to defining CIWA s priority basins. Criteria such Proposal for Cooperation in International Waters in Africa Page 19

20 as population, GDP, poverty, total discharge, surface area, potential for conflict over water, infrastructure potential, environmental considerations, hydrological variability, anticipated effects of climate change are delineated. Basins may move on and off of the priority list given performance, needs, and demands. Sustained basin engagement will primarily be recipient-executed and will be part of the Basin Sub-Program as described below. An explanation of recipient and Bank-executed is provided in Annex 4. CIWA supported opportunistic work will be demand driven, bounded engagements that unlock potential for investment in basins other than priority basins. Entry points for engagement can be a basin or a region and activity selection will be made using CIWA s criteria for selection (see below). In some cases, opportunistic work will be used to evaluate the suitability of long-term engagement with a given entry point. Opportunistic work will respond to high-priority, high-stake issues and will primarily be Bank-executed (description in Annex 4) and will be a part of the Catalytic Sub-Program (detailed below). The Knowledge Management and Capacity Building mode of engagement will broker knowledge on cross-cutting issues to create shared understanding that can facilitate cooperative development and management of international waters. Knowledge Management and Capacity Building window will have multiple entry points for engagement including multiple basins, regions, Africa-wide, and other relevant scales. Knowledge generated services will be relevant to multiple basins, regions, and stakeholders capitalizing on economies of scale and this mode of engagement will cover four thematic pillars: 1) Analytical Work for Catalyzing Cooperation 2) Exploring Collaborative Investment Opportunities 3) Improving Access to and Improving the Use of Climate Change Data, information, and Models to Build Resilience 4) Capacity Building and Knowledge Management The Knowledge Management/Capacity Building window will be primarily Bank-executed (description of Bank-executed in Annex 4) and will fall largely within the Catalytic Sub-Program (detailed below). ENTRY POINTS FOR ENGAGEMENT Experience suggests that transboundary cooperation between multiple riparian countries is best developed at the level of the river basin where the shared resources of the basin is a unifying concept. In this regard, many riparians have formed River Basin Organizations (RBOs) or similar initiatives with the function of supporting riparians in the task of cooperative management and development of their shared water resources. While the term basin primarily refers to river systems, the scope of CIWA includes lakes and groundwater. Lessons in promoting cooperative management and development of international waters have shown that multiple entry points with various types of institutions are often required to promote Proposal for Cooperation in International Waters in Africa Page 20

21 effective cooperation. Regional Economic Communities (RECs) are generally mandated with the promotion of economic cooperation across all sectors in their regions which often include matters related to water. The engagement with RECs will: Expand CIWA s reach beyond the water sector organizations to include water s role in food and energy security issues for which there often are regionally policies that extend beyond a basin s boundary; Engage finance and planning ministries to legitimize and endorse water-related decisions; and to Facilitate cross-basin exchange and perform knowledge management functions. More detail on why and how CIWA engages through various entry points is provided in Annex 5. PROGRAM STRUCTURE The CIWA program is organized around two complementary and interlinked sub-programs (Figure 2): 1. Basin Engagement Sub-Program: providing multi-sectoral support to develop and implement cooperative water resources management and development in international waters including basins, aquifers, lakes and regions through sustained engagement in priority basins and regions. 2. Catalytic Sub-program: providing knowledge and analysis to underpin CIWAs engagement in international waters through the Opportunistic window and the Knowledge Management and Capacity Building window as described below. THE BASIN ENGAGEMENT SUB-PROGRAM The experience of the World Bank has been that engaging with and supporting riparian countries in the development of international waters is a complex undertaking which often requires long-term committed interaction. CIWA s plan for activities and outcomes of sustained engagement in a basin is outlined through a CSP that is developed by participating stakeholders (RBOs, RECs, bilaterals, development partners, etc.) in a given basin in collaboration with the World Bank. This support plan will state the objectives of the partnership and the expected results for each of the projects CIWA will support, as well as their inter-linkages. The plan will be aligned with all participating basin organizations strategic plans. CSPs are generally 5-10 years in duration and include a variety of different projects and a complex partnership with different donors, financiers, international development agencies as well as the client countries. These arrangements bring together support from different sources, each of which has their own interests and areas of comparative advantage. Proposal for Cooperation in International Waters in Africa Page 21

22 Figure 2: CIWA Program Structure Basin Sub-Program Objective: Strengthen the institutional structure in a basin/region, provide relevant information, catalyze investments, and create linkages between information, institutions and investments. Provide experiences and other lessons useful for wider sharing through KM efforts Provide KM products and capacity building that can help accelerate Basin program implementation Catalytic Sub-Program Objective: Create shared understanding and explore opportunities, risks, costs, and benefits of cooperative development and management of international waters among stakeholders Knowledge Management & Capacity Building Window Generate, tailor, and share knowledge and capacity building that can facilitate cooperative development and management of international waters Geographic scope: Services basins and aquifers throughout Africa Opportunistic Window Respond to demand for exploring potential high impact collaborative investment opportunities Geographic scope: Services additional basin(s) or geographic area(s) in Africa identified and selected against pre-agreed criteria Geographic scope: A finite number of priority basins Duration: Sustained engagement for extended timeframe Implementation arrangements: Predominantly recipient-executed Expected results: Strengthened cooperative management and development of international waters in priority basins Provide useful methodologies, tools, best practice, and capacity building Provide experiences and lessons useful for wider sharing through KM efforts Duration: Discrete engagement over a shorter, defined timeframe Implementation arrangements: Predominantly Bank-executed Expected results: Increased evidence base and understanding of benefits from cooperation, increased capacity, platforms for dialogue, greater coordination Identify need for sustained engagement in a basin. CIWA follow-up engagement is subject to resource availability, strategic significance, and assurance that further engagement that will not compromise the programs strategic focus on the identified priority basins. Proposal for Cooperation in International Waters in Africa Page 22

23 SELECTING PRIORITY BASINS With 63 international rivers across the African continent (53 of which are located in Sub-Saharan Africa) as well as numerous shared aquifers and lakes, there is substantial potential and opportunity for CIWA s engagement. However, as the resources of CIWA are limited, prioritization is necessary, and a transparent basis for selection is required. CIWA aims to engage in basins where the emphasis of riparian governments is investment and growth-oriented and the main principles for CIWA s engagement will be how opportunities in a given basin or region align with CIWA s objective and results areas and where, given limited resources, CIWA can add value for stakeholders. There are many factors to consider in identifying how opportunities align with CIWA s objectives and results focused agenda, including: Linkages: Significance of current plans for investment in a basin; Feasibility of cooperation and potential limitations by political economy or instability; Need: Population, GDP, poverty, environmental considerations, total discharge, surface area, potential for conflict over water, infrastructure potential, hydrological variability, anticipated effects of climate change; (Data for the needs criteria are delineated in Strategic Overview) Demand: Articulated demand for CIWA or Bank assistance in the basin, region or for the analytical work; (by riparians, regional organizations, international organization, Consultative Group (CG), etc.) Therefore, the main criteria that CIWA uses to select priority basins in which to work are: Alignment: The project must align with the CIWA objective and contribute significantly to one or more of CIWAs results; Strategic importance: The extent to which basin engagement addresses critical issues must be significant; International River Basin Benefits: Engagement should promote the optimization of basinwide and regional benefits, and build cooperation and trust amongst stakeholders; Strong Regional Interest and/or Country Commitment: Engagement should be demand driven and in line with the strategic direction and the needs of the basin; and Complementarity and Additionality: Engagement should complement ongoing Bank and/or partner programs and continue or build on existing work Specific proposals within a basin program are also assessed on: Implementation Capacity and Readiness: In the case of recipient-executed projects, demonstrated capacity of RBO/REC to implement proposed work; readiness of institution to move quickly and implement in timely fashion; Technical Merit: Strength of intended proposals, including the technical soundness of proposed work, the potential for the proposal to deliver results, and realistic work plan, budget, procurement plan and project timeline; Risk: Risks to success of the project

24 Sustainability: Elements in the project proposed that will ensure sustainability of results after CIWA s engagement is finished Minimum value for recipient-executed projects: The minimum value for recipient-executed projects is $1,500,000 CIWA S PRIORITY BASINS AND REGIONS Using the criteria outlined above, CIWA has selected five priority basins for engagement. In consultation with basin counterparts, CIWA has developed strategies for sustained engagement and support to the Nile, Zambezi, and Volta Basins (CSPs) and has recipient-executed grants under or nearing implementation with multiple organizations in these basins and complimentary Bankexecuted support programs. CIWA also conducted initial scoping work to develop sustained engagements in the Niger River Basin and in the Lake Chad Basin. Through further engagement with basin counterparts, CIWA will develop CSPs for the Niger Basins, as well as relevant recipientexecuted grants and a Bank-executed support program. CIWA has also identified two priority regional engagements and a basin engagement that may develop into priorities for sustained engagement. Currently planned as opportunistic work through the Catalytic Sub-Program, CIWA will support ECOWAS through a Bank-executed project and will initiate activity in the Sahel (also Bank-executed). CIWA will also engage in an opportunistic recipient activity in the Lake Chad Basin. If these initial projects indicate that further gains could be made through sustained engagement and recipient-executed projects, CIWA will consider developing sustained-engagement programs with ECOWAS and/or institutions in the Sahel. CIWA SUSTAINED BASIN ENGAGEMENT PROCESS The key steps for engaging in a basin are: 1. Initial engagement: initiation either by basin organization/s or by the World Bank based on an initial concept, and review of the justification to engage in relation to CIWA s engagement criteria. 2. Scoping: exploration of mutual objectives between CIWA and the basin/regional organization/s to outline the objectives and a possible program of support. 3. Formalization: commitment to establishing a strategic partnership with CIWA based on an exchange of letters or inclusion in formal minutes from the basin/regional organization/s stating this commitment and the broad objectives of the partnership. 4. Program/project preparation: taking forward engagement with the drafting of project documentation and if relevant, a CSP. 5. Implementation: signing of a grant agreement and commencement of the project/s. 6. Review and reporting: timely assessments of progress (annually, or as needed) and updating of the CSP as required. This will contribute to the results and reporting for the overall CIWA program. Proposal for Cooperation in International Waters in Africa Page 24

25 TYPICAL ACTIVITIES TO BE UNDERTAKEN (BASIN SUB-PROGRAM) Indicative activities that could be implemented with CIWA support for each result area are presented below. Intermediate Result #1: Regional Cooperation and Integration Strengthened Typical activities include: Building of the evidence base, awareness, and understanding of the financial, social, environmental, and economic benefits of cooperation over water resources, resulting in greater political commitment and broad based public support, reduced tensions over water resources and limited risk of future conflict. Institutional strengthening and building the capacity of nascent and existing RBOs and in some instances extending this to the strengthening of national institutions to enable engagement between riparian states on a level playing field. Water resources management policy development and harmonization across shared international waters to provide a common platform for the development of transboundary waters, together with the building of specific skills such as negotiation skills and the development of expertise in international water law. Support for preparation of cooperative agreements and legal frameworks where appropriate and explicitly requested by the respective RECs or RBOs. In-depth analytical studies of the economic, social, political and historical factors that affect the current relationships and perspectives in international waters, which are important for building knowledge and promoting understanding and cooperation between all riparian parties. Studies which reflect the implications for poverty reduction and shared prosperity, climate resilience, and equity and empowerment, where relevant to promoting cooperation will be included. Efforts will be made for innovative packaging and dissemination of such knowledge products to stimulate discussion and cooperative action. Convening of high-level meetings of political principals and senior officials; thematic workshops and conferences; training programs; technical placements and study tours, etc. Intermediate Result #2: Water Resources Management Strengthened Typical activities include: The promotion of the sustainable development of transboundary water resources to meet the growth needs of national and regional economies, particularly in water - dependent growth sectors including among others power, irrigation, urban/industrial growth and rural development; the development of strategic basin development plans which are harmonized with regional and national strategic development plans. Developing and improving analytic tools, knowledge products, data, forecasting, and/or capacity so that stakeholders are better able to coordinate investment operation as well as to assess and monitor water resource management status, challenges and opportunities and inform key basin officials and decision-makers. Developing and improving decision support systems at river basin levels to enable their broad based and strategic application to analyze and inform decision-making. Proposal for Cooperation in International Waters in Africa Page 25

26 Planning for resilience to climate variability and climate change and will include the conduct of climate change impact assessments on transboundary waters and the identification of mitigation actions/measures. The identification and assessment of benefit sharing resulting from cooperative development of transboundary water resources to clearly determine incentives and drivers of growth derived from riparian cooperation in collaborative or joint investments. In-depth specific sector-related economic, financial, and technical analysis of topics such as hydrology, climate variability and change, multi-purpose water storage, disaster risk management (mainly drought and flood related), environmental services, sectoral water requirements (for example energy, irrigation, mining, industrial development, rural development etc.) Strengthening and harmonization of international water resources management policies and functions is a particular area of focus including such issues as water quality, basin-wide hydrological monitoring and modeling, system optimization, catchment management including such factors as deforestation, sedimentation, wetland protection, aquatic ecosystem monitoring and protection etc. Intermediate Result #3: Water Resources Development Strengthened Typical activities include: Program identification through multi-sector investment opportunities analyses. Support to joint or collaborative investments of a transboundary nature which optimize benefits, including support to all stages in the project cycle: i) Scoping/pre-identification (Unlocking Potential) ii) Identification, iii) Pre-feasibility, iv) Feasibility, v) Investment Financing, vi) Detailed Design, vii) Construction, viii) Commissioning, ix) Ongoing Operations and Maintenance. The sectors of typical projects supported by CIWA include (but are not limited to) irrigation, hydropower generation and interconnection, multi-purpose storage, watershed management and flood early warning and preparedness. Support for the development of specific protocols and arrangements for collaboration relating to specific projects including for example power purchase agreements. Determination of financing and investment options including support for the identification and solicitation of potential investors. Understanding of the contribution of water infrastructure investments in economic growth. Incorporation of uncertainty and risk in the lifetime of water infrastructure investments. Support to strengthen the basin organizations and other relevant institutions ability to improve the sustainability of regional investments by incorporating social and environmental considerations into investment planning and preparation. Intermediate Result #4: Stakeholder Engagement and Coordination Strengthened Typical activities include: Support for civil society to engage in basin cooperation, management and development issues. Where relevant, civil society organizations representing the interests of women and the poor will be included in efforts to increase engagement. Proposal for Cooperation in International Waters in Africa Page 26

27 Building partnerships in support of targeted engagement in the above three result areas with regional organizations, investment mechanisms, private sector, and academia. Stakeholder engagement and consensus building for regional cooperation, of which the promotion of communications and knowledge dissemination is key to assisting with informing and building ownership and partnerships. This will particularly focus on increasing water resources management and development related information in the public domain. Development of the CIWA website including international waters clearing house mechanism, stakeholder mapping; opinion surveys; media monitoring; stakeholder dialogues; workshop/seminars; communication and outreach; preparation of media and materials; dissemination of media, reports, lessons learned, etc. CIWA will aim to ensure that its activities are complementary to other existing African water programs by focusing specifically on international waters cooperation and management as a means to unlock potential investments. THE CATALYTIC SUB-PROGRAM In Sub-Saharan Africa, cooperation over transboundary waters is stifled by gaps in technical knowledge, shortcomings in institutions and policies, knowledge gaps regarding economic opportunities, socio-political difficulties, and lack of capacity, all of which are subjects of consideration of the CIWA Catalytic Sub-Program. Effective demand for technical capacity building, knowledge services on cross cutting issues, understanding of opportunities for high-impact collaboration, and strategic investment support is widespread. The evidence of this demand is as follows: Consultative meetings have underscored the need for support on strategic analytical studies, enhancing the publically available knowledge base and analytical tools relating to the planning and management of transboundary waters, strategic communications, knowledge partnerships, professional networking, and capacity development among the various stakeholders. Discussions over the years among CIWA, World Bank teams and regional and national organizations in Africa invariably flag the urgent need for capacity-building, training, and knowledge in critical areas of transboundary water resources management. Experience with other similar trust fund programs has clearly underlined the importance of catalytic/analytic activities. Analytical reports confirm the importance of knowledge services, technical assistance, training, and strategic investment support. Discussions with several countries have noted the importance of convincing the Ministries of Finance why work on transboundary basins is essential for the economic growth and poverty alleviation. Proposal for Cooperation in International Waters in Africa Page 27

28 The Catalytic Sub-Program will contribute to the CIWA PDO through the following sub-program objectives: Generate, share, and manage knowledge that can facilitate cooperative development and management of international water; Explore potential high impact collaborative investment opportunities in defined basins and regions; and Create shared understanding of the opportunities, risks, costs, and benefits of cooperative development and management of international waters among stakeholders. The Catalytic Sub-Program will extend the impact of CIWA beyond priority basins and achieve economies of scale. CATALYTIC SUB-PROGRAM STRUCTURE The Catalytic Sub-Program activities will focus on understanding barriers to cooperation, exploring cooperative investment possibilities in additional areas, building stakeholder capacity, generating regional public goods, brokering knowledge and developing new models and tools. In an effort to distinguish the different types of CIWA supported activities, the Catalytic Sub-Program is divided into two windows - namely (a) Opportunistic and (b) Knowledge Management and Capacity Building windows. Activities in both windows will aim to generate requisite knowledge, information, and data and focus on cross-cutting issues with significant economies of scale and will be largely analytic in nature. The two windows are different in scope and coverage. The Opportunistic window responds to demands for exploring collaborative investment opportunities, and involves discrete interventions (including technical assistance) in specific basins other than the already selected CIWA priority basins. Activities in the Knowledge Management and Capacity Building window will respond to demands for knowledge activities and capacity building on themes that are important for unlocking transboundary cooperation. Activities supported through this window will draw on experiences and lessons from multiple basins (both in Africa and globally) and the utility of the outputs will not be limited to any one basin (i.e., having economies of scale). The procedure for identifying activities to support under the Catalytic Sub-Program will involve prioritizing among the range of activities that the windows can support. The prioritization process will result from extensive consultation with key stakeholders (including AC, CG, development partners, World Bank, non-governmental organizations (NGOs), academics, and others). Upon prioritizing among the potential activities and key issues, CIWA will invite ideas that respond to these priorities. Expanding on the program-wide criteria used to select CIWA engagements, the two main criteria for prioritizing among the potential activities and issues for consideration under the Catalytic Sub- Program will be demand and notable contribution to the CIWA program PDO including how proposed projects contribute to the four results areas. Proposal for Cooperation in International Waters in Africa Page 28

29 TYPICAL ACTIVITIES TO BE UNDERTAKEN (CATALYTIC SUB-PROGRAM) There are five specific modes of operation (or activity types ) of the Catalytic Sub-Program: 1. Strategic analytical work 1. The aim of strategic analytical work could include: Generating knowledge on investment opportunities and informing negotiations for cooperation and decision making; Analyzing barriers (i.e., technical, economic, socio-cultural, political, institutional, policy, etc.) that stifle cooperative development of water resources and suggesting remedial actions (for example, environmental-economic accounting); Assessing ex-ante the broader environmental, economic, and social impacts of investments(for example, upstream analysis of projects with potentially transformative regional benefits in basins other than priority basins); and Conducting comparative analyses on key issues within the context of Africa s international waters (for example, inter-basin and intra- basin comparative analyses with the purposes of (i) identifying policies and institutions that hinder cooperation and collaborative investments and (ii) enhancing harmonization of institutions and policies). 2. Building publicly accessible knowledge bases that can assist in promoting cooperation in Africa s international waters. This could include: Facilitating development of databases with relevant data on climate change and variability and basic characteristics of Africa s basins that can assist with planning transboundary cooperation in Africa s international waters; Supporting compilation and spatial visualization of currently disperse data and information; and Disseminating data, information and knowledge generated on the thematic pillars and brokering internationally-sourced knowledge (for example on best practices). 3. Developing tools and frameworks that assist to catalyze cooperation (e.g. tools for operationalizing regional guidelines for large infrastructure, tools for mainstreaming gender and poverty, frameworks for inclusive planning processes). 4. Capacity-building. The activities could include: Strengthening existing institutions such as RBOs and RECs (e.g. basin-to-basin cross learning opportunities); Building the capacities of other key stakeholders (e.g. workshops and trainings); and Facilitating the creation of new basin organizations. 5. Creating platforms for stakeholder engagement, dialogue, and multi-way exchange of information 1 Analytical work will be supported in both the Basin Sub-Program and Catalytic Sub-Program. The distinction between the two is the utility of the output. Analytical work in the Basin Sub-Program will largely be of utility to the specific priority basin in which it is conducted. Analytical work associated with the Catalytic Sub-Program will primarily be of utility to (i) a basin other than a priority basin (e.g. ex-ante assessment of investments) or (ii) multiple basins across the continent (e.g. a comparative study) Proposal for Cooperation in International Waters in Africa Page 29

30 The Catalytic Sub-Program will generate products that can be of use to a multitude of stakeholders including RECs, riparians, donors, financial institutions, African Union (AU), the African Network of Basin Organizations (ANBO), the African Ministers Council on Water (AMCOW), civil society organizations (CSOs) and others. LINKAGES BETWEEN THE SUB-PROGRAMS Each sub-program informs and benefits from the other. As shown in Figure 2, the Knowledge Management and Capacity Building window of the Catalytic Sub-Program will draw on the Basin Sub- Program for experiences and lessons useful for wider dissemination. The Basin Sub-Program can also draw on the Knowledge Management and Capacity Building window for knowledge products (e.g., tools, trainings, databases) that can help accelerate implementation of the Basin Sub-Program. It is through the first linkage that the Knowledge Management and Capacity Building window will also transfer useful knowledge from Opportunistic Window to the Basin Sub-Program. A similar relationship exists between the two windows of the Catalytic Sub-Program. Lastly, identification of opportunities for investment in additional basins through the Opportunistic window could result in follow-up activities and need for sustained engagement. When activities in the Catalytic Sub-Program identify the need for sustained engagement in a basin, it is anticipated that resources will be mobilized from riparian countries themselves, other bilateral and multi-lateral donors, and other development partners. It will be made clear that CIWA s further engagement in such basins could involve another discrete engagement. If there is interest for more sustained engagement through CIWA, the relevant organization could submit a request to CIWA that would be reviewed against the criteria for selection in the Basin Sub-Program. Any CIWA follow-up engagement (whether discrete or sustained), however, would be subject to financial and human resource availability, weighting of the strategic significance of continued engagement in a way that will not compromise CIWA s strategic focus on the identified priority basins. MAINSTREAMING GENDER WHY A GENDERED APPROACH IS IMPORTANT FOR CIWA Women in Africa depend on and manage water resources in their daily lives, for household use, and in farming, animal husbandry, and natural resource management, all of which are important for food security. However, there are serious gender gaps in the allocation of water and irrigated and rain-fed land. Womens voices have been very limited in policy decisions regarding water resource management at all levels from water user associations to basin management advisory groups. Womens limited access to and control of resources and unequal gender-based power relations makes them most vulnerable to food insecurity and limits their coping capacity for flooding, droughts other disasters. Recent water resource management strategies in Africa address these gender issues. The African Water Vision 2025 calls for an equitable and sustainable use and management of water resources, including : mainstreaming gender in water resources management, engaging women in key positions in water issue decision-making, including women and youth in stakeholder involvement in water Proposal for Cooperation in International Waters in Africa Page 30

31 resources management, and 100% gender-sensitive national water policies by The African Ministers Council on Water (AMCOW) adopted a Policy and Strategy for Mainstreaming Gender in the Water Sector in Africa which includes a gender approach to implementation of project interventions at all levels within the water sector. There is mounting evidence at the country level that improving gender equality leads to better policy decisions and environmental governance. GUIDING PRINCIPLES FOR MAINSTREAMING GENDER IN CIWA 1. Gender Inclusive Stakeholder Engagement: CIWA will facilitate inclusion of NGOs and/or other organizations representing the interests and concerns of women and the poor in CIWA supported stakeholder advisory groups, dialogues with civil society, stakeholder research and efforts to improve horizontal and bottom up communication among civil society organizations in networks wherever possible. CIWA will also address gender and water resources related climate variability and change issues through relevant program-level communications materials, information portals, and knowledge partnerships. 2. Informed Allocation of Water Providing for Multiple Use: CIWA projects can support informed allocation and coordination of water allocation, and will include multiple-use water initiatives that address domestic needs for which women are largely responsible as well as agricultural production for household consumption wherever relevant. 3. Gender Informed Climate Resilience: CIWA teams recognize that successful implementation of policies and programs addressing climate change, flooding, drought and other disasters requires an understanding of the gender-based roles of women and men and the different risks and vulnerabilities they face. CIWA will also draw on growing evidence that empowering women to exercise leadership within their communities contributes to climate resilience 4. Gender Inclusive Mitigation of Conflict over Water Resources: While conflict analysis frameworks provide a macro-level strategic assessment of the drivers of conflict, the inclusion of gendered perspectives provides a more people-centered approach, which enables CIWA to identify critical elements in society who are resisting conflict. Water commissions, water juries and irrigation cooperatives and women s organizations can play important roles to help resolve disputes and manage water between local stakeholders. Proposal for Cooperation in International Waters in Africa Page 31

32 SECTION 6: CIWA PROGRAM MANAGEMENT The CIWA program and the MDTF and all related activities are managed and administered by the Sustainable Development Department of the Africa Region of the World Bank. CIWA follows standard World Bank operational policies and procedures for trust fund management, safeguard policies, procurement policies and all other operational, fiduciary and legal requirements. CIWA PROGRAM MANAGEMENT UNIT Under the Guidance of the Management of the Sustainable Development Department of the Africa Region of the World Bank, a dedicated Program Management Unit (PMU), led by the Program Manager, is comprised of both management and technical staff responsible for managing all CIWA operations. The PMU provides high-level multi-sectoral technical input, oversight and quality assurance to the CIWA program, and day-to-day management and administration of the CIWA program and its projects (outlined in Figure 3). PANEL OF EXPERTS A Panel of Experts has been established by the CIWA PMU and is mandated to provide CIWA with strategic guidance as well as independent assessments and reviews related to the implementation of the CIWA program. The Panel of Experts will act in accordance with the Bank s policies and guidelines. Its membership includes recognized internal and external water, energy, agriculture, and cooperation for development specialists. World Bank Panel of Experts (advisory role) Program Manager Strategic leadership of program including strategy and business development, technical content and fiduciary management Knowledge and Analytical Work Coordination Strategic leadership of catalytic program to inform and develop the basin engagement program Strategic Planning Strategic leadership support to CIWA Team to expand the program and ensure consistency with CIWA objectives Communications Specialist Monitoring and Evaluation Specialist Team Support Gender & Poverty Specialist Trust Fund Administration Climate Change Specialist Water Resources Specialists Zambezi Basin Program Team Nile Basin Program Team Volta Basin Program Team Opportunistic Project Team KM Project TTL KM Project Team Lake Chad Program Team Niger Basin Program Team ECOWAS Project TTL SADC Project TTL Sahel Project TTL Figure 3: CIWA Program Management Unit, Program/Project Teams and Panel of Experts Proposal for Cooperation in International Waters in Africa Page 32

33 MONITORING, EVALUATION AND REPORTING The World Bank will administer the CIWA Trust Fund in terms of required operational policies that include monitoring, evaluation and reporting. The World Bank will provide an annual report on the progress of the activities financed under the MDTF that will draw out key issues and challenges and include an assessment against the results framework outlined in Section 4. This will be reviewed and discussed by the CIWA Advisory Committee (AC) on an annual basis. The CIWA program places high priority on monitoring and evaluation in order to demonstrate the successful achievement of results, to ensure timely actions in support of achieving results, and to learn lessons and inform the future program. The framework outlined in Section 4 will be used for monitoring and reporting the aggregated results of the CIWA program. Additionally, each of the priority basin s CSPs will identify annual targets that define how cooperation, water resource management and development as well as stakeholder engagement will be strengthened in that basin; targets defined in the CSPs will be aggregated in the CIWA program s results framework. In addition, projects supported by CIWA utilizing all modes of engagement (sustained engagement, opportunistic engagement and knowledge management/capacity building) will have their own results frameworks that will aggregate to CIWA s overall program results framework. CIWA will produce an annual report that will both aggregate results against the quantitative targets set in the CIWA Results Framework and will capture the high-level achievements of all programs and projects. Individual projects will also follow standard World Bank procedures for monitoring and reporting. These reports will provide greater detailed analysis of progress within the participating basins. Lessons learned and key issues in all basins will be summarized and elevated to the CIWA annual report. The World Bank will undertake a mid-term review of the program before the end of year five, reviewing the scope and focus to inform the future of the program. It will aim to strengthen the program s approaches and will enable cross learning and sharing of lessons with other regional initiatives. It will draw out achievements and the challenges/barriers and opportunities that have been encountered. A final evaluation will be conducted at the close of the program after year ten. COMMUNICATIONS AND OUTREACH CIWA will continue to position itself as a center of excellence on African transboundary water resource management and development. As such, CIWA s communications and outreach strategy includes interactions with its various audiences including donors (current and potential), African stakeholders (riparians, basin organizations, RECs, civil society organizations, academics and others who are involved in water management and development), international organizations, financial institutions (including World Bank management and staff) and others with a role to play in transboundary waters. CIWA will engage with and disseminate its messages to these varied audiences utilizing numerous online, mobile and print vehicles such as a knowledge management Proposal for Cooperation in International Waters in Africa Page 33

34 system, an annual report, analyses and case studies, conferences, speaking engagements, blogs and corporate identity materials ensuring that they reach their intended audiences in a timely manner. A knowledge management system will be created to archive CIWA information as well as to promote the dissemination of new knowledge and to encourage discussion on key issues of relevance to CIWA. This system will include protocols and tools for internal collection and tracking of program documentation. Implemented through the CIWA website, a secure document management system will facilitate the management of program documents and will enable specific classes of users to share draft documents before they are finalized and made public, and private documents such as meeting minutes and policy documents. This system will be accessible by any member of the CIWA Team or partner from any global location. The CIWA website will also house publicly available documents which will be downloadable by any interested person. Proposal for Cooperation in International Waters in Africa Page 34

35 SECTION 7: PARTNER INVOLVEMENT CIWA will promote the involvement of all partners to gain guidance and support throughout the program and within the project cycle. A variety of complementary mechanisms will enable this: A CG with a wide range of stakeholders interested in international waters to bring broad expertise and knowledge to CIWA; An AC of the contributing development partners to guide planning and resource allocation; Within each basin, a CIWA BSC to guide CIWAs engagement within specific international river basins; and For the Catalytic Sub-Program, consultations and meetings with development partners, RECs, RBOs, other bilateral organizations and key stakeholders in the Bank and in the Africa Region. CIWA CONSULTATIVE GROUP The function of the CIWA CG brings broad expertise and knowledge to CIWA, providing strategic guidance in achieving its objective of strengthening cooperative management and development of international waters in Africa. In this way CIWA will benefit from the insights and experience of key African water sector professionals. The CG is made up of CIWA recipient partners (river basins organizations, RECs or other international water organizations in the cases of international lakes or aquifers); development partners (donors and other financing agencies which may or may not be contributors to the CIWA Multi-donor Trust Fund); and other stakeholders (AMCOW, RECs, RBOs, NGOs, etc.). The CG is proposed to meet once a year or as needed. It is not a decision-making body. The CIWA CG met in March 2011 in Marseille, France and in September 2013 in Stockholm, Sweden in order to broaden stakeholder understanding and interest in the program and to provide CIWA with important guidance on strategic planning and operations. CIWA ADVISORY COMMITTEE The function of the CIWA AC is to provide strategic advice and guidance to the World Bank regarding CIWA s programs and plans. The Committee has both a consultative and an advisory role and provides a forum for contributing development partners to meet, exchange information, and consult on a regular basis. The World Bank as manager of the CIWA MDTF undertakes day-to-day operational activities and retains the overall decision making authority linked to its fiduciary responsibility, consistent with all Bank managed trust funds and in terms of the Trust Fund Administration Agreements entered into with each donor. Proposal for Cooperation in International Waters in Africa Page 35

36 The AC consists of the development partners who are contributing to the CIWA Multi-donor Trust Fund (MDTF) and the World Bank. The AC meets formally once per year but will also convene virtually on an ad hoc basis as required to enable effective and efficient program delivery. CIWA Consultative Group CIWA Recipient Partners Development Partners AMCOW, RECs, RBOs, NGOs, Other Stakeholders CIWA Advisory Committee Contributing development partners World Bank CIWA Program Management Unit World Bank Figure 4: CIWA Consultative Group and Advisory Committee CIWA BASIN STEERING COMMITTEE The function of the Basin Steering Committee (BSC) is to provide guidance for CIWA s projects within a participating basin and to ensure coordination with other on-going activities in the basin. The BSC will review and provide feedback on the CSP that will outline the main activities and expected results for the basin. The BSC will provide an opportunity to discuss the coordination of activities across the various organizations operating within a participating basin. It will also provide an opportunity for interested partners to consult and contribute to discussions on basin plans and priorities. The CIWA BSC will be comprised of representatives of all participating basin organizations as well as interested CIWA development partners and the World Bank. It will meet formally at least once per year and on an ad hoc basis as required. Where possible the BSC meetings will be scheduled to coincide with other basin forums. The support provided by CIWA to basins will always be within a wider context of regional bodies, donor partners, and international agencies, many of which will not be contributors to the CIWA MDTF. The program of CIWA support is prepared and executed within the context of this broader dialogue as shown in Figure 5. In this way, the CIWA BAC will support donor coordination and aid effectiveness at the basin level, in line with the Paris Declaration, but will not be primarily responsible for all coordination in a given basin. Proposal for Cooperation in International Waters in Africa Page 36

37 Figure 5: Context for the CIWA BAC International Agencies Regional Bodies River Basin Collaborative Context CIWA Non-CIWA Donor Other stakeholders CIWA Basin Advisory Committee DEVELOPMENT PARTNER ENGAGEMENT IN THE PROGRAM CYCLE Within the basin engagement process outlined in Section 5, the key stages for partner involvement have been identified. The red boxes in the flowchart below (Figure 6) indicate the points at which development partners will be consulted. These points recognize that some development partners may wish to engage at the CIWA program level while others may wish to have specific engagement with one or more basins as well as at the program level. To ensure all development partners are informed, the World Bank will provide partners with key documents for their information during the project cycle. In summary, CIWA development partners can engage with CIWA in any or all of the following: Review and endorsement of the Justification Note which provides the rationale for engaging in a basin Development and review the CSP for each basin, engaging as part of the CIWA BAC Review the World Bank Project Concept Note, feeding comments into the regular World Bank review meeting Review the World Bank Project Appraisal Document, feeding comments into the regular World Bank review process Participate in annual reviews of projects Participate in CIWA AC meetings Proposal for Cooperation in International Waters in Africa Page 37

38 Figure 6: Sustained Basin Engagement Process Flowchart CIWA S BROADER PARTNERSHIPS African countries are taking concrete steps towards regional integration and closing the infrastructure gap through, for example, the recently established Program For Infrastructure Development in Africa (PIDA), a program of the African Union Commission (AUC), the New Partnership for Africa's Development (NEPAD) and the African Development Bank (AfDB). In Proposal for Cooperation in International Waters in Africa Page 38

39 addition there are currently a number of initiatives in Africa specifically related to the management and development of water. These include: The African Water Facility (AWF) which is an initiative led by AMCOW to mobilize resources to finance water development activities in Africa. The AfDB hosts the AWF at the request of AMCOW. The water sector of the Infrastructure Consortium for Africa (ICA) The Program for Infrastructure Development in Africa (PIDA) The European Union (EU) Water Facility (Second Program) The United Nations Development Programme s Shared Waters Partnership (SWP) The Global Environment Facility s (GEF) International Waters Programme The Global Water Partnership s Strengthening Institutions for Transboundary Waters in Africa project (SITWA) CIWA aims to encourage partnerships to ensure complementarity and coordination with these programs and initiatives in Africa to maximize the effectiveness of support. This will form a central component of CIWA s outreach and communication activities. Proposal for Cooperation in International Waters in Africa Page 39

40 SECTION 8: FINANCING REQUIREMENTS AND STATUS The total financing requirements of CIWA are US$200 million over the ten-year life of the fund. This amount will enable the successful achievement of CIWA s objective at a significant scale and it reflects the high level of ambition for the program by the World Bank, contributing partners and potential basin partners. The ten-year targets presented in Section 4 are based on CIWA operating with this total amount of funding. To date, CIWA has attracted pledges totaling nearly US$71 million (Table 2) from five donor partners: Denmark, Norway, Sweden, the UK, and the Netherlands. Other donors have expressed interest in joining CIWA in the near future, citing the rationale of building on the successful partnerships established through the NBTF and of benefitting from the efficiency of a harmonized mechanism. Table 2: Partner Pledges Secured Pledges Contributing Partners Currency Amount in Amount in USD* Original Currency The Netherlands USD 25,000,000 Denmark DKK 18,700,000 3,329,423 Norway USD 882,746 Sweden SEK 170,000,000 26,133,625 United Kingdom GBP 10,000,000 15,512,361 Total Pledges (USD) 70,858,156 *as of March, 2014 Currently, 82% of current pledges ($58 million) have been allocated and 16% ($11 million) has been designated to Niger and Sahel (i.e. 98% of current resources are planned). CIWA has undertaken initial planning exercises for Phase II projects in the Nile, Zambezi and Lake Chad basins, requiring additional $56 million. CIWA programs in operation in these basins could be readily scaled up to achieve additional results and value for money. Based on success of current engagement in Niger and Volta basins and with ECOWAS, CIWA also plans to expand these engagements. CIWA is prepared to expand the program envisioned envelope of $200 million. It must be noted that pledges of financing to CIWA are made to the fund as a whole and not to a specific project or basin. This is standard practice for World Bank Trust Funds and reflects the fiduciary role played by the World Bank in the administration of the fund. This helps to ensure that the fund operates with maximum effectiveness and directs resources to the projects and programs selected on merit and need. As noted above in the section on Partner Involvement, contributing Proposal for Cooperation in International Waters in Africa Page 40

41 partners will be able to input into the CIWA process at a number of stages to reflect their development priorities and influence the choice and design of programs. The practice of soft earmarking of a donor contribution to a particular program or basin is discouraged and cannot be formally reflected in the Administration Agreement between the World Bank and the donor. Proposal for Cooperation in International Waters in Africa Page 41

42 ANNEXES ANNEX 1: MAP OF TRANSBOUNDARY BASINS IN SUB-SAHARAN AFRICA Proposal for Cooperation in International Waters in Africa Page 42