PRELIMINARY DRAFT Annex to the report of the IWG 24 May 2013

Annex

Proposed updating for operational objectives, outcomes and indicators

The Strategy specifies five operational objectives with a view to supporting the attainment of the strategic objectives in a short or medium-term (three to five years) period. The operational objectives are the following: 1. To actively influence relevant international, national and local processes and actors in adequately addressing desertification/land degradation and droughtrelated issues To support the creation of enabling environments for promoting solutions to combat desertification/land degradation and mitigate the effects of drought To become a global authority on scientific and technical knowledge pertaining to desertification/land degradation and mitigation of the effects of drought. To identify and address capacity-building needs to prevent and reverse desertification/land degradation and mitigate the effects of drought To mobilize and improve the targeting and coordination of national, bilateral and multilateral financial and technological resources in order to increase their impact and effectiveness

2. 3. 4. 5.

For each operational objective, a set of outcomes is also defined in The Strategy. In the mid-term evaluation, the following challenges concerning the operational objectives and their outcomes were identified: There is no clearly defined connection between the achievement of the operational objectives and the attainment of the strategic objectives. The operational objectives are formulated as activities rather than time-bound results (what should be seen by 2013) The precise meaning of the outcomes and their connection with the operational objectives is not always clear. The formulation of many operational objectives and outcomes does not clearly indicate the context of the expected action or the stakeholder that is primarily responsible for the action, particularly with regard to national-international levels.

These challenges have contributed to difficulties in reporting on progress towards the operational objectives. It has been difficult to clearly determine who should be reporting on what, and how to establish the relationship between the progress made towards the operational objectives and the strategic objectives. The indicators and the general approach for monitoring and reporting on progress have been ambiguous: many of the indicators are very broad and/or not easily verifiable, and the specific role of each reporting entity has not been recognized. The required data has been difficult and also costly to collect.

PRELIMINARY DRAFT Annex to the report of the IWG 24 May 2013

Many of the above-mentioned problems can be corrected by updating the formulation of the operational objectives and particularly the outcomes, which will guide the corresponding update of the guidelines and templates for reporting. This update should result in the following: More easily identifiable connection between the operational objectives and the strategic objectives Consistent and clearly defined outcomes under each operational objective Simplified, realistic indicators Clear sources of data and methods of collecting the data Specification of expectations from each reporting entity Possibility to use of various sources of information and types of data in reporting.

The IWG recommends the adoption by COP 11 of the updated operational objectives and related outcomes, which would be the basis for the next reporting cycle for 2014. Proposed updates to the operational objectives, outcomes and performance indicators The following logical framework presents the proposed updates to the operational objectives, outcomes and performance indicators, including also an indication of the involved reporting entities and methods of collecting data. This framework would be used as the basis for reporting on the remaining five years of the Strategy. Further specification of the data needed, reporting entities involved and method of collecting data would be provided in the reporting templates and guidelines that would be updated after COP 11.

PRELIMINARY DRAFT Annex to the report of the IWG 24 May 2013

Operational Objective # 1: To increase the extent to which governments implement effective policies and programmes to address the human and environmental causes and consequences of desertification/land degradation and drought (DLDD).
Outcomes Outcome 1.1:DLDD issues and the synergies with climate change adaptation/mitigation and biodiversity conservation are effectively communicated among key constituencies at the national and local levels Performance indicator of outcome 1.1.1: Extent and nature of national and regional awareness-raising and communication activities focused on DLDD and/or DLDD synergies with climate change and biodiversity, and type of audience for each. Reporting entities and methods of collecting data Affected countries: Narrative responses to targeted questions in the reporting template, based on a clear definition of the awareness-raising and communication activities in concern. Multiple choice responses on the type of audience. Secretariat / GM: Narrative responses to targeted questions in the reporting template on related support provided to countries, building on the RBM performance report. working at the regional/national level: Narrative responses to targeted questions in the reporting template, based on a clear definition of the activities in concern or related support. Multiple choice responses on the type of audience. Outcome 1.2 Increased numbers of affected country Parties, subregional and regional entities have finalized the formulation/revision of NAPs, SRAPs, or RAPs and TPNs aligned to The Strategy. 1.2.1: Number of affected country Parties, subregional and regional entities to have finalized the formulation/revision of NAPs, SRAPs, or RAPs and TPNs aligned to The Strategy. Affected countries and subregional/regional reporting entities: Selected quantitative aspects building on the current template Secretariat / GM, GEF, UN and IGOs: Narrative responses to targeted questions in the reporting template on related support provided to countries, building on the RBM performance report.

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1.2.2: The extent that DLDD synergies with climate change adaptation/mitigation and biodiversity conservation are included in NAPs or government policies on sustainable land management (SLM)

Affected countries: Narrative responses to targeted questions in the reporting template, based on a clear definition of the synergies in concern.

1.2.3: The extent of integration of NAP or Affected countries: Multiple choice and narrative responses to DLDD issues into relevant sectoral, targeted questions in the reporting template, based on a clear development and investment plans and definition of what is meant by the integration policies Outcome 1.3 Increased partnerships 1.3.1: Number and characteristics of with developed countries, other affected formal partnership agreements established countries, international organizations, at the national level the private sector and other key stakeholders in programmes and projects to address DLDD Outcome 1.4: Civil society organizations (CSOs) and the scientific community at the national level are increasingly engaged as stakeholders in the Convention processes and DLDD are addressed in their advocacy, awareness-raising and education initiatives. 1.4.1: Degree of engagement of CSOs and science and technology institutions participating in DLDD-related processes at the national level. Affected countries: Multiple choice and narrative responses to targeted questions in the reporting template, based on a clear definition of what is meant by formal partnership agreements

Affected countries: Multiple choice and narrative responses to targeted questions in the reporting template, based on a clear definition of what is meant by CSO participation, what are the Convention processes at national level and how is the degree of CSO engagement to be characterized. CSOs: Narrative responses to targeted questions in the reporting template.

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Operational Objective 2: To ensure that international agreements include DLDD in global policies and programmes.
Outcomes Outcome 2.1: DLDD issues are addressed in relevant international meetings and processes, including those pertaining to food security, climate change, biodiversity, forests, water, rural development, sustainable development and poverty reduction. Performance indicator of outcome 2.1.1: The extent to which DLDD-related elements are found in decisions at international, regional and subregional level, especially in relevant United Nations meetings and processes. Reporting entities and methods of collecting data Secretariat: Narrative response to targeted questions in the reporting template on progress made in those forums and processes that the secretariat has participated in, building on the RBM performance report. Subregional / regional reporting entities and UN and IGOs: Narrative response to targeted questions in the reporting template on progress made in those forums and processes that are relevant to their work. 2.2.1: The extent to which CSOs and science and technology institutions are engaged in DLDD-related processes and advocacy efforts at the international level Secretariat: Multiple choice and narrative responses to targeted questions in the reporting template, based on a clear definition of what is meant by CSO engagement, what are the Convention processes at international level and how is the extent of CSO engagement to be characterized. CSOs: Narrative responses to targeted questions in the reporting template. 2.3.1: The extent and characteristics of mainstreaming UNCCD objectives and SLM interventions into the development cooperation programmes/projects of developed Parties Developed Parties: Narrative responses to targeted questions in the reporting template, based on a clear definition of what is meant by the mainstreaming Secretariat/GM: Narrative responses to targeted questions in the reporting template on the promotion of mainstreaming by developed Parties, building on the RBM performance report.

Outcome 2.2: CSOs and the scientific community in the North and the South are increasingly engaged as stakeholders in the Convention processes and DLDD are addressed in their advocacy, awareness-raising and education initiatives at the international level. Outcome 2.3: Developed Parties mainstream UNCCD objectives and SLM interventions into their development cooperation programmes/projects in line with their support to national sectoral and investment plans.

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Outcome 2.4: Mutually reinforcing measures and synergy among DLDD action programmes and biodiversity and climate change mitigation and adaptation are introduced or strengthened so as to enhance the impact of interventions.

2.4.1: The extent to which synergistic All reporting entities: Narrative responses to targeted questions planning/programming of the subjects of in the reporting template on the synergistic programming and the three Rio Conventions is occurring and observed benefits to DLDD efforts. the benefits to DLDD efforts realized from leveraging synergies.

Operational Objective 3: To increase the extent to which science and technological knowledge about DLDD is applied to both national and international policy-making and programme formulation.
Outcomes Outcome 3.1: National monitoring and vulnerability assessment on biophysical and socioeconomic trends in affected countries are supported. Performance indicator of outcome 3.1.1: Number of affected country Parties, subregional and regional entities to have established and supported a national monitoring Reporting entities and methods of collecting data Affected countries: Multiple choice and narrative responses to targeted questions in the reporting template, based on a clear definition of the monitoring activities in concern. Secretariat / GM: Narrative responses to targeted questions in the reporting template on related support provided to countries, building on the RBM performance report. Subregional / regional reporting entities and UN and IGOs: Narrative responses to targeted questions in the reporting template, based on a clear definition of the activities in concern or related support.

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Outcome 3.2: National, regional and global baselines for assessing progress in meeting strategic objectives 13 are established and used

3.2.1: The extent to which affected Parties Affected countries: Narrative responses to targeted questions in set up a baseline for assessing the progress the reporting template, based on a clear definition of the baselines in implementing the 10-year Strategy and in concern. utilize them in reporting. Secretariat: Narrative responses to targeted questions in the reporting template on progress made in the context of CST and related support provided to countries, building on the RBM performance report. Subregional / regional reporting entities: Narrative responses to targeted questions in the reporting template, based on a clear definition of the activities in concern or related support.

Outcome 3.3: Knowledge on biophysical and socio-economic factors and on their interactions in affected areas is improved to enable better decision-making and is used by national, regional and international decision-makers.

3.3.1: The extent to which CST recommendations on scientific advice on DLDD, including that generated by the UNCCD, are adopted and used by decision-makers.

Affected countries: Multiple choice and narrative responses to targeted questions in the reporting template on the adoption and use of the scientific advice, based on a clear definition of what is meant by adoption, use and scientific advice. Secretariat: Narrative responses to targeted questions in the reporting template on progress made in the context of CST, building on the RBM performance report.

Outcome 3.4: Knowledge of the interactions between climate change adaptation and mitigation, drought mitigation and restoration of degraded land in affected areas is improved to develop tools to assist decision-making. Outcome 3.5: Effective knowledgesharing systems related to DLDD, including traditional knowledge, are in place at the global, regional,

3.4.1: The extent to which decision-making reflects knowledge about scientific linkages among climate change, biodiversity, and DLDD.

Affected countries: Multiple choice and narrative responses to targeted questions in the reporting template on the use of knowledge about scientific linkages among climate change, biodiversity, and DLDD, based on a clear definition of what is meant by use and knowledge about scientific linkages. All reporting entities: Multiple choice and narrative responses to targeted questions in the reporting template on their knowledgesharing systems related to DLDD and their use, based on a clear definition of what is meant by these knowledge management

3.5.1: The extent to which DLDD information from knowledge-sharing systems is used to support decisionmaking.

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subregional and national levels and are used by policymakers

systems. Responses to be complement by statistics on the use of the systems where possible.

Outcome 3.6: Science and technology 3.6.1: The extent to which scientific networks and institutions relevant to networks and institutions participate in the DLDD are engaged to support UNCCD work of the UNCCD. implementation.

All Parties: Multiple choice and narrative responses to targeted questions in the reporting template, based on a clear definition of what is meant by scientific networks and institutions participation, what is meant by the work of the UNCCD at national, regional and international levels and how is the degree of scientific networks and institutions participation be characterized. Secretariat: Statistics of scientific networks and institutions participation in the CST work

Operational Objective 4: To increase the extent to which persons responsible for policies and programmes are able to apply knowledge and experience to the implementation of programmes.
Outcomes Outcome 4.1: Affected countries have adopted a plan to apply knowledge and experience about DLDD at the national and local levels to the implementation of programmes. Performance indicator of outcome 4.1.1: Number of affected countries that have adopted a capacity building plan or other methodologies and instruments to increase the application of DLDD knowledge, using material provided by the secretariat and the GM. Reporting entities and methods of collecting data Affected countries: Multiple choice and narrative responses to targeted questions in the reporting template, based on a clear definition of the plan in concern. Other reporting entities: Narrative responses to targeted questions in the reporting template on related support provided to countries.

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Outcome 4.2: Affected countries implement the resulting action plans to improve programme delivery at the individual, institutional and systemic levels to tackle DLDD issues at the national and local levels.

4.2.1: Number of affected countries engaged in building capacity to combat DLDD on the basis of recommended methodologies and instruments with the support of the secretariat, the GM, developed countries or other partners

Affected countries: Multiple choice and narrative responses to targeted questions in the reporting template, based on a clear definition of what is meant by building capacity and recommended methodologies and instruments. Other reporting entities: Narrative responses to targeted questions in the reporting template on related support provided to countries. Secretariat: Statistics on the UNCCD website, social media and other information tools, including number of visitors, geographical distribution of visitors, average time of remaining on the sites and downloads as well as links to UNCCD sites andDLDD sections/news on UNCCD and DLDD-related issues on Parties, CSOs, and stakeholders websites and social media. GEF, UN and IGOs, regional and subregional reporting entities and CSOs: Where available, statistics on the use of their information tools concerning DLDD, and on links to UNCCD sites and-DLDD sections/news on UNCCD and DLDD-related issues in their websites and social media.

Outcome 4.3: Increased awareness and 4.3.1: The extent to which the online use of knowledge of DLDD and information tools and social media on UNCCD initiatives, methods and DLDD are used approaches by stakeholders at regional, sub-regional, and national levels.

Operational Objective 5: To increase the amount and effectiveness of national, bilateral and multilateral funding, public and private, for programmes to address DLDD-related issues.
Outcomes Outcome 5.1: Affected country Parties develop integrated investment Performance indicator of outcome Reporting entities and methods of collecting data

5.1.1: Number of affected country Parties Affected countries: Multiple choice and narrative responses to whose investment frameworks, established targeted questions in the reporting template, based on a clear

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frameworks for leveraging national, bilateral and multilateral resources, both private and public, with a view to increasing the effectiveness and impact of interventions.

within the IFS or other financing strategies, definition of the investment frameworks, leveraging resources reflect leveraging national, bilateral and and addressing DLDD. multilateral resources for addressing DLDD. GM: Narrative responses to targeted questions in the reporting template on support provided to countries, building on the RBM performance report. Regional organisations or other entities working at the regional/national level: Narrative responses to targeted questions in the reporting template, based on a clear definition of the activities in concern or related support.

Outcome 5.2: Developed country Parties provide substantial, adequate, timely and predictable financial resources to support domestic initiatives to reverse and prevent desertification/land degradation and mitigate the effects of drought. Outcome 5.3: Parties increase their efforts to mobilize financial resources from international financial institutions, facilities and funds, including the GEF

5.2.1: Amount of financial resources made available by developed Parties to address DLDD through the UNCCD and other channels.

Developed Parties: Multiple choice and narrative responses to targeted questions in the reporting template, based on a clear definition of the financial resources, through the UNCCD and other channels

5.3.1: Number of DLDD-related project proposals successfully submitted for financing to international financial institutions, facilities and funds, including the GEF, and related funding amounts received and, where applicable, leveraged.

GEF, UN and IGOs: Multiple choice and narrative responses to targeted questions in the reporting template, accompanied by statistics where possible Affected countries: Multiple choice and narrative responses to targeted questions in the reporting template, accompanied by statistics where possible Secretariat/GM: Narrative responses to targeted questions in the reporting template concerning UNCCD representation in the governing bodies of international financial institutions, facilities and funds, including the GEF, and related cooperation and

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exchanges, building on the RBM performance report. Outcome 5.4: Innovative sources of finance and financing mechanisms are identified and used to combat desertification/land degradation and mitigate the effects of drought, including from the private sector, market-based mechanisms, trade, foundations and CSOs. 5.4.1: Number and types of innovative sources of finance and financing mechanisms identified and accessed to support initiatives (training, amount of money allocated and spent) related funding amounts received and, where applicable, leveraged Affected countries: Multiple choice and narrative responses to targeted questions in the reporting template on types of innovative sources of finance/financing mechanisms accessed, initiatives supported, amount of support received and, where applicable, leveraged GM: Narrative responses to targeted questions in the reporting template concerning facilitation of access to innovative sources of finance, building on the RBM performance report. Affected countries: Narrative responses to targeted questions in the reporting template, including examples GM: Narrative responses to targeted questions in the reporting template.

Outcome 5.5: Access to technology by affected country Parties is facilitated through adequate financing, effective economic and policy incentives, and technical support, notably within the framework of South-South and NorthSouth cooperation.

5.5.1: The extent to which financial resources, incentives and technical support related to UNCCD work have increased access to technology by affected country Parties.

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Relationship between the updated operational objectives and the strategic objectives Below is a presentation of the connections between the strategic objectives and the updated operational objectives. Over the next five years, one element of the periodic reviews to be undertaken by the CRIC should be the extent to which progress toward achieving the operational objectives is leading to achievement of the strategic objectives. Strategic objective 1. To improve the living conditions of affected populations Connection with updated operational objective 1: Increased of adoption of effective national and local policies and programs that address DLDD issues for affected populations will lead to an improvement in the living conditions of affected populations. Connection with updated operational objective 5: Increases in financial and technological resources will lead to improving living conditions. Strategic objective 2. To improve the condition of affected ecosystems Connection with updated operational objective 1: If national policies on DLDD are adopted and implemented, the condition of the affected ecosystems will be improved. Connection with updated operational objective 2: To the extent that international agreements include DLDD, national policies, including those of both affected and developed countries will address the improvement of ecosystems. Connection with updated operational objective 3: Application of the latest science and technological knowledge will ensure that affected ecosystems are improved. Connection with updated operational objective 5: Improvements in affected ecosystems needs improved resource levels. Strategic objective 3. To generate global benefits through effective implementation of the UNCCD Connection with updated operational objective 1: If governments implement effective policies, there will be larger benefits at a global level. Connection with updated operational objective 2: If global benefits related to DLDD are to be obtained, they must be encouraged by international agreements Connection with updated operational objective 3: Achievement of global benefits requires application of the most recent science and technological knowledge. Strategic objective 4. To mobilize resources to support implementation of the Convention through building effective partnerships between national and international actors Connection with updated operational objective 4: Resource mobilization requires that persons responsible for programmes are able to apply knowledge and experience. Connection with updated operational objective 5: Mobilization of resources includes adequate and increased funding that draw on effective partnerships, bilateral and multilateral, public and private.