US AID/PERU STRGTEGIC OBJECTIVE CLOSEOUT RI3PORT Date: June 28,2002 1. SO NAME & NUMBER: SO 4, Improved Environmental Management in Targeted Sectors. FY 1997-2001 2. GEOGRAPHIC LOCATION OF SO (NATIONWIDE OR SPECIFIC REGION): Nationwide 3. CHANGES IN RESULTS FRAMEWORK DURING THE LIFE OF SO: Dropped IR 4.6 -Other donor investments increased Dr0pped.R 4.2 -Mobilizing public support for environmental improvement 4. SO-LEVEL IMPACT (EXPECTED VS. ACTUAL): Institutional strengthening-well beyond expectations. CONAM, the Peruvian Environmental Agency created in 1995, was considerably strengthened and fully assumed its leading role in environmental policy making, development of regulations and standards and establishment of a National Environmental System with the participation of government agencies, technical groups and civil society. Local NGOs that received support for implementing SO activities were also greatly strengthened as institutions. Environmental NGOs are now much stronger in Peru. There are 50-100 environmtntal organizations very well prepared to write proposals to get funding from other donors: and most of them are registered with the government. Developing an association of environmental NGOs (National Environmental Society - SNA )-below expectations. The SNA is not functioning very well, with disaseemznts between founding members, withdrawal of one prominent founding member, personality conflicts, poor leadership, and lack of real commitment by many association members. It may have been a mistake to put the Peruvian Society for Environmental Law - SPDA in charge of forming the group as they ran the program with the SNA folIowing along. A better way may have been to support one of the existing networks. Pilot activities concept-with SENREM and BIOFOR raised a lot of interest among different groups in Peru. Activities were spread out geographically and sectorally, however that seemed to end up being strength rather than a weakness of the pilot project concept. USAID is weil known in some pretty remote areas as a resuIt of these activities. There needs to be a more systematic follow up to the pilots, however, many are king replicated without any support from USAD, for example, 5 are being replicated and funded through the America's Fund and other donors. local governments and NGOs have also replicated activities. State of the Environment Report-USAID sponsored the first 2 SOE reports on a decIining basis and they have become premier documents. There is a shortage of good environmental information in Peru and the SOE has quickly become a major source. Cuanto is working on sustainability through sales of the SOE report. Decentralization of environmental management-USAD supported the formation of 18 regional environmentd committees (CARS). They have taken up environmental issucs in many different parts of Peru. 5. IR-LEVEL IMPACT (EXPECTED VS. ACTUAL): Pollution prevention-beyond expectations. USAID introduced the idea into Peru and has had an enormous influence on key legislation in this area and on the seven1 industrial sectors (fisheries). ' A Clean Production Center or Center for Efficient Technology (CET) has been established to provide assistance to Peruvian industrial plants to become more efficient and competitive through cleaner processes based on reduction of inputs and waste. Other big successes: IS0 14000 legislation and certification of 18 fm; CON&LI school recycling .solid waste activity in the northern cone of Lima (Alternativa); lead testing in Lima Callao and resoiution of the lead problem there. Eight policy research studies developed by private sector institutions concluding with concrete proposals for improvements in environmental legislationlregulations. 6. LESSONS LEAIRNIED IN IMPLE1M1ENTATION OF THE SO: The SO team can do without an expensive long-term US contractor through using local implementers to carry out activities and getting specialized TA fiom the US on demand. This balanced approach saves money and develops lwaI institutional capacity. Working with the Peruvian government is a mixed experience. It tends to slow probpss and frequent changes in government personnel make capacity building a problem The cost efficiency of working with the government is low. On the other hand, in order to make the types of sustainable changes in environmental management that are useful, engaging the government is critical. Some government agencies were better than others￾CONAM increased its budget and accomplished a Iot with USAD support. NRENA and DIGESA had more problems with low budgets and personnel turnovers. The SOAG for SO4 worked quite effectively. It was more difficult at the beginning as three entities had to sign off on the SOAG and four sers of PILs were kept. There could have been more integrationlcoordination of activities under the different entities. One major obligation per FY was a major advantage to the SOAG. Perhaps having a committee of the different entities with a mandate to provide coordination between entities and across activities would make the SOAG more effective as a whole. The participation of a Peruvian consortium as contractor for the private sector advocacy activities and overseeing implementation of pilot demonstration projects proved to be very effective. It is key to work on environmental awareness of the population to help drive initiatives and activities and generate demand for sound environmental services. There has ken some improvement in understandinglawareness over the five years but more is needed and a structured Environmental Education Campaign program is necessary. The incorporation of a gender perspective is not systematic across the SO. How should the impact be measured and evaluated? What practical approaches should be used? This has been a difficult issue to address in the SO. 7. LIST OF EVALUATIONSISPECIAL STUDIES: Evaluation of USAWeru Strategic Objective 4 Program and Framework, DM, June 2000. Report on Sections 118 and 119 of the Foreign Assistance Act, February, 2002. 8. ESTIMATED OTHER DONOFUPARTNEWCOUNTERPART CONTRIBUTIONS: CONAM - in-kind I RG INRENA - in-kind DIGESA - in-kind Swiss - Co-funding with USALD (50%) for the Centro de Eficiencia Tecnologia (CET) 9. PEOPLE DIRECTLY INVOLVED WITH THE SO: 10. LIFE OF SO FUNDING: DA CSD $2 1,649,000 $ 1,106,000 PL 480 ESF INT, Note: This SO is canying forward a pipeline of $6,922,386 of Development Assistance funds and $445,000 of Child Survival funds to support the continuation of some activities under the new Strategic Objective No. 12, Strengthened Environmental Management to Address Priority 0 0 0 USAID TOTAL GRAND TOTAL Problems 11. SUMMARY LIST OF ACTIVITIES UNDER THE SO: $22,749,000 $22,749,000 Activity TitleJShort Description SEMCEM-hst. Building, policy deveIopment and pollution prevention BIOFOR-protected areas management, policy development and forest management FY 1997- 2001 Funding Amount $12,335,474 Start and End Date implementing Organizations Consejo Nacional de Medioambiente (CONAIM) Cenuo de Eficiencia Tecnologica (CET)-CEPCOM Sociedad Peruana de Derecho Ambiental (SPDA) TA: Abt Associates, hc. PA Government Services, Inc. Institute Nacional de Recursos Naturales (INRENA) Parks in Peril Program (Pip) International Resources Group The Nature Conservancy I I Program DeveIopment and 1 $1,593,526 [ Environmental Health-Inst. Building and pilot EH activities 1 Design, Evaluation and Audit 1 1.1 18,000 Support, OYB transfers Management, Coordination, ANNEXES: 7127199- 9130104 $2,541,000 A11 Results Frameworks (necessary) Completed FY 97-0 1 PMP indicator table (necessary) Other documentation important to the SO SO Team CIearances: (TNC) Direccion General de Salud 1 Ambiental (DIGESA), Ministerio de SaIud CARE TA: Camp Dresser McKee US Centers for Disease , Control ~eam ~eader:~ f Program Office Backstop: SO4 Program Development & Support (PDSrS) and OYB Transfers Pif Pacaya Samiria Pip Central Selva Development of overall STEM Budget and Draft SOW for IQC Task Order - Fred L. Mann Report required for 118 and 119 Analysis - Bruce Kernan SoIid Waste Program in Cusco - PRXSMA (MCW) (Partial Funding) ENR Education hi tiatives - Academy for Education Development (Greencorn) New Policies Deficiencies Analysis - Sociedad Peruana de Derecho Ambiental (SPDA) Develop Conceptual Basis for (STEM) Activity Design -Fred L. Mann 2000 ENR Survey -Institute Cuanto 2000 Update of Biodiversity Matrix -World Wildlife Fund Strategy Analyses - IRG T.O. 839 - Fred L. Mann Update Biodiversity Matrix - Pedro Vasquez Revised SO4 Strategy - IRG T.O. 837 - R. Misheloff Environmental InstitutionaI Strengthening Study - Sociedad Peruana de Derecho Ambiental (SPDA) SO4 Motivating Video dubbing - Skorpios Develop terms of reference for SO4 Mid-term Evaluation, EH and BIOFOR AILs - Fred L. Mann Design CEPCOM, new component under SENREM - Hagler Bailly, Inc. Produce an "Env. Survey Summary of the 1997 ENR Survey" and Public Presentation - MERCADOS Consultors y Publicaciones S.A. 1998 and 1999 ENX Surveys and Indepth Analysis of the 1998 Survey - Instituto Cuanto Assessment of Conditions for Biodiversity and Fragile Ecosystems Conservation in Peru - IRG T.O. 819 In-depth Analysis of 1997 ENR Survey - Instituto Cuanto 1997 ENR Survey - hstituto Cuanto SO4 Mid-term Evaluation - Development Alternatives hc. In-depth Analysis of ENR Survey Data (1966) -Jamie Jacobs Solid Waste Study for Lima and Calla0 - Ricardo Giesecke 1996 ENR Survey - Instituto Cuanto A Matrix to Measure the Degree of Biodiversity Conservation through Improved Management of Protected Areas - Pedro Vasquez A Matrix to Measure the Degee of Effective Public Participation in the ENR Policy and Regulation - Sociedad Peruana de Derecho Arnbiental (SPDA) Transfers to World Resources Institute - TA Public Awareness and Advocacy SOAG Element No- 4 'Management, Coordination, Design, Evaluation and Audit Four EM3 full time personnel Procurement of ADP Equipment (three times for Four ENR personnel) Newspapers (El Peruano, El Comercio, Gestion) Digital Camera Laptops (3, Datashow (I) Books ADP materials Six 4drawer File Cabinets + Other minor procurement RESULTS TlRGCISING TABLE FOR STRATEGIC OBJECTIVE FOUR: Improved Environmental Management of Targeted Sectors 1. Effectiveness of environmental and ~rarural resources (ENR) actiom as perceived by [Ire public. PERFORMANCE INDICATOR Dcfilution: Pffcctivcncss (on a 0-100 scalc as wrceivcd by thc National Environrncnt Survcy conducted by a private firm under USAID Peru guidance. STRATEGIC OBJECTIVE 4: IMPROVED ENVIRONMENTAL MANAGEMENT OF TARGETED SECTOR INDICATOR DEFINITION AND UNIT OF MEASUREMENT 15 NIA gneral public over I8 of actiom taken to improve ~NR manugcnient according to he annual National Environmental Survey. (Analyzed by socio-cconomic variables and typ of cnvironnicnral problem)** Urdt: 0 - 100 YTargets adjustcd upward a of 1938 due to good pcrfor~nance and more accurate projections **S@rtin~ FY2000 this indicator will kc ~nasurcd bi-annually. DATA SOURCE 2. Nurukr of biologically￾irnportanr natural protccwJ areas thrrt have achieved nmagenrent in~provcnlcn~. (1) Dcfi~liliurr: Improvemcnn are management tt~resliold lcvel rdvanccs, which rcflcct incrcascs in perforninnce capicity and use of human. technical and financial resources dircctd towards the comcrvarion of sclcct national parks and reserves. Thrcsliold lcvels are: nor xccpmble, dcficicnt, accept:~l)lu with liruiutio~a. goad and cxcellcnr. Thcv ,us bxed on the status of the followinp BASELINE: DATA YEAR I VALUB Performance Mawgernent Matrix t~pdatcd by a private firm under USAID guidance. TARGETSIAmAIS 1W I 8 I 10% 1 2000 1 2001 I 5 53 * 53 (Prelinri￾1Iirry) 2 2 R1 reported " - ikrei: legaf status, ad~niniskation, budyr, strategic planning, Icvcl of com~nunitv particination, use of virtoral resources. i~ntl 3. 1Lrcclr;qy ol'solid waste I)eflalllo~~: Tm1 ~iictric to11 of solid watt dislwsed of (:IS propurly dispososed of in sa~ritary lardfills in Lim. (2) S~r~xrvisory weighed and rrcordcd by Rclilnn and verified 11; SUMS~L) inMunicipal solid la1K1fills of Linu tht ml%t the ~nuniniprlity iccltnicnl 11or11ls for Iarldlills as a proprtion of total cs~in~atcrl ~rieuic toru of solid wi~stc produced in Mctropoliun Lim:~ in 11 givclr yuar.** waste cdlr~tion scrviccs (SUMSEL) Solid wosie clislwsill records CONAM/MIS records I. Nurnlmr Nwtar of Irldustrial ~I;IIIIS in tiqrted sectors 111:~ 11:tvc i~doptctl new p)llutio~i prcvc~~lioll prilcticc~. DcIT~rltlun: Nurnkr of plan& in targctcd sccrors that h:we rcducctl or prcvcnicd ~xrllu~ian by10% or nlorc. Plilnls In tilrgctcd sectors irrc d~osc tlr;rt h;nc ~~cccssctl ]n)llution prcvc~t!iorl/clcan prcxhction (1'2ICfj) ~~ro~notiorr ;iclivities (c.6. infomia!ion, training, technical ildvicc, P2 sudits, ~cclrnology trawfcrs, ctc.) fWCP prr~cticcs arc tliocc which (i~)rcducc the amoula of ;my Iinuirdous sul>rtancc, pc11lut;rnt or contiimln:~nt cntrrit!fi any wutc strc;ltiI or hcin~ rclc:~scd into the c~rvironmenr I I INDICATOR UNlT OF MEASUREMENT I YEAR 1 VALUE I prior to recycling, treatment or disposal; (b) replace toxic chemicals with less I~armful chemicals; andlor (c) reduce the usage or niaterials (water, natural resources, energy). Unit: Cumulative numlxr *Revised target. 'OMMENTSINOTES: (1) Parks considered are: Manu. Wuscartn, Cerros de Amotape. Rio Abisco, Yanachaga-Chemillen, Bahuajadoncne, lunin, Paracas, Titicaca. Salinas y Apada Blanca. Pacaya-Samiria, Zalipuy, Manglares dc Tumbcs. MacchuPichu. Tingo Maria will be included in 1998 matrix update. (2) As efforts and resources are allocated in areas other than Lima, this indicator will br expanded to incorporate iuch areas. (3) Definition of Pollution Prevention (P2): P2 practices are those which (a) reduce the amount of any hazardous substance, pollutant or contaminant entering any waste stream or being released into the :nvironment nrior to recyclinp. treatment or disposal; andlor (b) reolace toxic clietnicals with less harmful chemicals. Intermediate Result 4.1: Institutional Capacity of the GOP and Private Sector Strer~gtlienetl I. New cnvironmenral and iarural rusources (ENR) xdicy instruments and nanagemenr tools developed In coordinated manner anlong SOP agencies. Definition: New ENR policy instruments and management tools include laws, supreme decrees, ministerial and local or regional pvernmclns resolutions, strategies, programs, procedures and practices, intra-government coordination, ENR information systcms, dispute resolution, and othcr management tools. GOP includes CONAM, line Ministries. Co~lgress and local or regional governments. Coordinated lnanncr means (lcvcloped by 2 or more units of the 001'. CONAM (National Environmental Council) Management information Systeni (MIS) -- Relevant reports of die Private Sector Coordinaling Institution (PSCI) USA~ Sust:hble Environnic~iti~l and Nntural Rcsourcus MIS. :Alialyzcd by type of policy) R? rcportcd Unit: Number in a given year. 1. Nuniber of private sector proposals 011 policy ~nstrunients and marulgcinent lools adopted by rhc GOP. Definition: Number of ENR policy inslrutiients and management fools as confirmed by USA1DIPcm that have a private sector instirution position papr or proposal as a source. (Analyzed by type of policy) 3. Numhr of ENR private jector advtrncy initi:~tivcs. -- - . --- - Defllritlu~h: BNR initiatives are ~IIOSF tlut strcngtl~en the private sector capacity ro engegc suciuty on environniental issucs, such as policy rcscmh instrunleljts, sectoral fora, data infor111:llion systems, including rnvirorr~nental tnonitori~ig systems nlrd consemus-building ~ncchanistns. Unit: Nutnbrr per ycirr I~it~ovativc 'l'ccl~~ologics Tcstctl 'l'hrot~gh . Pilot Ptwjcct! I Ilcflnltlon: Innovative, fciisit,le ror witlc spread adoption a~xl I :conomicirlly viablc cnvironmcnti~l ~ccI~nolugics/l~ri~cticcs Jevclupcd i~nd v~li~lirtcd, tlrrough thc :~tt;~inric~rt oflrc intended rcsults. Ani~ly~cd by tecl~rrology. Envira~riicnt and Naturiil Resources MIS Unit: Anrwal ~~ulnlrr *PY93 target was adjusted downward to kcausc of tlelays ci~uscd by budget cuts in PYs 1397, 1998 and 1939. [nterniediate Result 4.4: 1. Number of pilot mvironmental :eclrnologics/practiccs replicated or adopted in non- ~ilot areas. PEWOIIMANCE INDICATOR ;ustsinable Practices Adopted Dcfiaition: Number of environmental techoolo~ieslnractices 1 USAlD ", rcplicatcd or adopted by pul)lic/private institutions with or without USAID support. Analyzed by tectrnology. ZOMMENTSINOTES: INDICATOR DEFINITION AND UNIT OF MEASUREMENT Sustainable Environment and Natural Resource Unit: Cumulativt: number MIS. *Adjusted upward for 1998 due to better prformancc **Adjusted downward as of 1999 due to delays in implementing pilot prajccls under SENRBM'c component C. DATA SOURCE R4 Reported COMMENTSINOTES: Intern~ediate Result 4.5: Sound Policies Established and Effective Legislation Enacted 1. Number of tarae~cd ENR I Dehition: Number of ENR ~licies and Iesislation approved. BASELINE DATA YEAR VALUE NIA Nlri TARGETSIACIUALS 1997 1 lW8 1 1993 2000 I UIOI CONAM MIS (Analyzed by policy) policy and legisliion overlaps, inconsistencies, or gaps eliminated. Unit: Number *Adjusted due to better performance which are directed to address-30 prc-selectci overlapi,' inconsistencies, or gaps, idrnrilicd in year onc by USAID and qualified by a pancl of experts. RJ - Reported -. -- . -- -- . - - - .- 2. Number of 4.5.1 ovcrlaps. Spcci;iI study above in 5.1 , GOP institutions, atid the panel's awn research . inconsistencies, or gaps climin..ted wih civil socie~y participation. (Analyzed by policy) .-= Definition: A panel of experrs will determine wlicrlw any of the 5.1 overlaps, inconsistencics, or gaps wcrc elinriniacd with civil society panicipation as csmblished by n minimum threshold set up by the panel. Public participation will be dcfined accurately by pawl of exputs. - -- -. - -- - - . - . , , , and training and dissclt~inal~on programs. CONAM MIS RESULTS FRAMEWORK FOR SO4 STlRATEGIC OBJECTIVE No.4 IMPROVED ENVIRONMENTAL MANAGEMENT OF TARGETED SECTORS PERFORMANCE INDICATORS: - Level of effectiveness of et~vironmental and natural resources (ENR) actions as perceived by the public - # of biologically-ir~lportant rrotiotial parks that hove nclfieved nmnflgerr~errl i~~rprovet~rerrts - % of solid wasre properly disposed of irr snnirary landfills in Linm - % of ir~dnsirinl plants in mrgered sectors rhnr have ndopfed new polhrriorl preve~irion (P2) prncrices Intermediate Result 4.1 Insliwrional Capacily of llle GOP Indicators: - New ENR policy ir~strrrmairs n~rd nmt~oge~rieri~ tools cievelol~erl in coordi~lnrcd rrmnrrer mliorig COP ogericies - # of private sector proposals on policy instruments and m;unpment tools adopted by tlic GOP - # of ENR privnte scctor advocncy irtiriarives Key activities: Note: Iudicators ill it;~lics will bu rcported tl~rorlgh Itrc 124. Public Support for Environmental I~nprovements Mobilized Indicators: - % ofpirblic ~Anr wtrlers~rrnds at~d is conceri~ed for ENR problertrs Key activities: SENREM Intcrmcdiatc Rault 4.3 Innovative Technologies Indicators: - # of envirorrnrerr1a1 rechriolo~ies lesreci amd valirhred ~lrrorigh pilor projects Key activities: SENREM ENRS Centrally Pulidcd Intermediate Result 4.4 Sustainable Practices Adopted I - # of pilor environmcrrrnl rect~nologios/pracfices replicnfed or adopred Or non-pilor nreas Key activities: SENREM Policy dialoguc Centmlly Fuaded Projects Sound Policies Established and Effective Legislation Enacted Indicators: - # of iclrgered ENR policy nnd legislntior~ overlops. it~comsisrer~cies, orgnps eli~~ii~~nred - Degree of sfakelrolder parriciporioti in rhe nrtninrnent of policy orrrcorrles - A Iniister plan for a national c~iviron~nerrtul nxmageltienl system designed and approved hy CONAM Kcy activities: Indicators: