Terms of reference UN MULTI-PARTNER HUMAN SECURITY TRUST FUND FOR THE ARAL SEA REGION IN UZBEKISTAN - United Nations Development Programme
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UN MULTI-PARTNER HUMAN SECURITY TRUST FUND FOR THE ARAL SEA REGION IN UZBEKISTAN Terms of Reference
UN MULTI-PARTNER HUMAN
SECURITY TRUST FUND
FOR THE ARAL SEA REGION
IN UZBEKISTAN
Terms of Reference
Tashkent - 2018
Acronyms
AA – Administrative Agent
ADB – Asian Development Bank
GDP – Gross domestic product
GIZ - German Agency for International Cooperation
GRP – Gross regional product
EU – European Union
IFIs – International financial institutions
MASHAV – Israel's Agency for International Development Cooperation
М&E – Monitoring and evaluation
MoU – Memorandum of Understanding
MPTF – Multi-Partner Trust Fund
MPHSTF – UN Multi-Partner Human Security Trust Fund for the Aral Sea region in
Uzbekistan
MSF – Médecins Sans Frontières
NGO – Non-governmental organization
PUNOs – Participating UN Organizations
SC – Steering Committee
SDGs – Sustainable Development Goals
TIKA – Turkish Cooperation and Coordination Agency
ToR – Terms of Reference
TS – Technical Secretariat
UN – United Nations
UNDAF – United Nations Development Assistance Framework
UNDG – United Nations Development Group
UNDP – United Nations Development Programme
The views expressed in this publication are those of the author(s) and do not necessarily represent
those of the United Nations or the UN Member States.
Content
EXECUTIVE SUMMARY 4
1. Human Security Context 6
1.1. Situation analysis 6
1.1.1. Environmental situation 7
1.1.2. Demographic situation 7
1.1.3. Water, health and sanitation 7
1.1.4. Socio-economic situation 8
1.2. Measures taken by the Government of the Republic of Uzbekistan 9
1.3. Donors efforts 10
1.4. Challenges and lessons learned from past interventions 11
2. New Approaches to Address the Consequences
of the Aral Sea Disaster 12
2.1. The Concept of Human Security 12
2.2. Establishment of the MPHSTF 14
2.3. Theory of Change 14
2.4. Proposed programmatic solutions 16
2.4.1. Purpose of the MPHSTF 16
2.4.2. Expected Outcomes and Outputs 16
2.4.3. Eligibility of Projects 17
3. Institutional aspects of the MPHSTF 20
3.1. Governance arrangements 20
3.2. Project Approval Cycle 23
3.3. Risk management strategy 24
3.4. Monitoring, evaluation and reporting 25
3.4.1. Monitoring and evaluation 25
3.4.2. Audit 26
3.4.3. Reporting 26
3.4.4. Accountability and transparency 26
3.5. Amendments, duration and termination 27
Annex 28
Annex 1. Summary Report on a Socio-Economic Survey
of the needs of the population in the Aral Sea region 28
Annex 2. Problem Tree analysis 42
Annex 3. MPHSTF Results Framework 44
Annex 4. MPHSTF Steering Committee Terms of References 47
Annex 5. MPHSTF Technical Secretariat Terms of Reference 49
Annex 6. Risk ranking Matrix 51
www.aral.mptf.uz 3
UN MULTI-PARTNER HUMAN SECURITY TRUST FUND
FOR THE ARAL SEA REGION IN UZBEKISTAN Terms of Reference
The Aral Sea was the fourth largest lake
in the world until the 1960s. The drying of
the Aral Sea, a man-made disaster long in
the making, is not only an environmental
problem but especially a catastrophe for
communities and people living on its former
shores. The Aral Sea disaster resulted
in land degradation and desertification,
shortage of drinking water, malnutrition,
deteriorating health and high poverty rates
of the affected population. The socio-
economic and environmental consequences
are further complicated by the speed of
negative changes taking effect.
Uzbekistan has put forward an ambitious
goal to become an upper middle-income
country by 2030 while also reducing the level
EXECUTIVE of vulnerabilities of people. The Government
of Uzbekistan has consistently worked to
SUMMARY address the negative consequences of the
Aral Sea catastrophe and to maintain the
ecological balance in the Aral Sea basin. In
his speech, at the 72nd session of the UN
General Assembly in New York, the President
of the Republic of Uzbekistan, Shavkat
Mirziyoyev, once again drew attention to
4EXECUTIVE SUMMARY
this acute environmental challenge, and communities increased.
underlined that the Aral Sea problem
Outcome 3: Local community access
requires the joint efforts of all Central Asian
to affordable and healthy food and clean
countries.
drinking water secured.
The 2030 Development Agenda puts a
Outcome 4: The overall health of the local
strong emphasis on “leaving no one behind”,
population improved and healthy lifestyle
and on focusing first on populations lagging
promoted.
furthest in development. During his visit in
June 2017, UN Secretary-General Antonio Outcome 5: The living conditions of local
Guterres stated that the Aral Sea crisis «is populations improved, with particular focus
probably the biggest ecological catastrophe on vulnerable groups such as women, children
of our time. And it demonstrates that and youth.
humankind can destroy the planet.» The Fund brings together the expertise of
This UN Multi-Partner Human Security Trust a diverse network of stakeholders, including
Fund for the Aral Sea region in Uzbekistan international financial institutions and donor
(MPHSTF), under the aegis of the UN, organizations, the Government of Uzbekistan,
serves as a unique unified platform for regional and local authorities, UN agencies,
international development cooperation and community-based organizations. The
and the mobilization of donor resources to MPHSTF will go beyond short-term fixes and
implement integrated measures. The 2016- will advance comprehensive solutions that
2020 UNDAF for Uzbekistan contains two are innovative, foster technology exchange
key thematic areas that directly correspond through South-South cooperation, actively
to the needs of the people of the Aral include the affected communities, and
Sea region. The MPHSTF contributes to are preventive rather than reactive in their
the UNDAF through the following five nature. Thus, the MPHSTF and its projects
outcomes: complement and continue the efforts
of the Government aimed at solving the
Outcome 1: The stress on local communities
problems of the Aral Sea region by applying
due to the deteriorating environmental
a programmatic approach that supports
situation reduced.
development cooperation in a strategic,
Outcome 2: The employment and transparent and impartial fashion in line
income generation opportunities for local with global best practices.
www.aral.mptf.uz 5UN MULTI-PARTNER HUMAN SECURITY TRUST FUND
FOR THE ARAL SEA REGION IN UZBEKISTAN Terms of Reference
1.1. Situation analysis
The problems of the Aral Sea arose in the 1960s
on an alarming scale as a result of extreme
regulation of the Syrdarya and the Amudarya,
the major transboundary rivers of the region.
During this period, the region’s needs of water
increased from 60 to 120 cubic km per year,
90% of which was used for irrigation.
Significant population growth, the scale of
urbanization and intensive development of
lands, construction of large hydrotechnical
and irrigation facilities on the water-streams
of the Aral Sea basin, without regards to the
environmental consequences, were the main
factors of the Aral Sea’s drying out.
In the Central Asia region, unresolved trans-
boundary water and energy discussions cause
1. Human Security tensions between upstream countries reliant
on hydropower, and downstream countries
Context dependent on reliable water flow for agriculture.
This array of transboundary challenges makes
regional cooperation especially important.
The drying out of the Aral Sea has caused a
complex set of environmental, socio-economic
and demographic problems of a global nature
in the Aral Sea region.
6I. Human Security Context
1.1.1. Environmental situation fish decreased with severe consequences for
fishery businesses.
The Aral Sea region was considered one with
a wide variety of flora and fauna. The Aral Sea Change of the Aral Sea region climate and
served as a climate-regulating basin and used landscape. A direct consequence of the Sea’s
to mitigate the sharp weather fluctuations drying out was the dramatic climate change,
throughout the region, which had a favorable felt not only in Central Asia, but also in other
effect on the living conditions of the population, regions. The number of days with temperature
agricultural production and the ecological over 40 degrees has doubled in the Aral Sea
situation. The air masses reaching the region region since the early 1960s.
during winter warmed up, and in summer
cooled down over the sea. 1.1.2. Demographic situation
Intensification of the desertification The demographic situation in the region is
process in the vast territory. The vast areas characterized by a decrease in the birth rate
of salt fields formed on the dried-up part of and an increase in mortality, which has led
the sea turning into a new desert «Aralkum» to a slowdown in population growth. Rural
with an area of more than 5.5 million hectares, settlements with a population of less than
1,000 people make up 73.8%. The scale of
covering the territories of Uzbekistan and
external labor migration puts Karakalpakstan
Kazakhstan. Annually more than 75 million
in the lead in the country (from 5 to 10% of the
tons of dust and poisonous salts ascend from
employed population in each surveyed district),
the Aral Sea. Dust trails coming up from the
the bulk of which are seasonal workers. At the
bottom of the Aral Sea reach 400 km in length
same time, more than half of migrants are
and 40 km in width.
young people who return to their homeland
Pollution and salinization of water and with infectious diseases acquired in recipient
land resources. The level of water salinity countries, while others return with degraded
in the Aral Sea has increased by more than professional skills and diminished traditional
13-25 times and exceeds the average level socio-psychological habits (loss of professional
of mineralization of oceans by 7-11 times. As knowledge, destruction of family values,
a result of salt dispersion during dust storms, acquisition of alien habits and lifestyles, etc.).
the mineralization of irrigation water and The high level of migration of the population due
groundwater increased, and the quality of land to the deterioration of living conditions might
has sharply decreased. This led to a dramatic lead to catastrophic consequences associated
decrease in crop yields. with the irretrievable disappearance of culture,
traditions, spiritual and historical heritage of
Depletion of the gene pool of flora and the regions’ people.
fauna. As a result of the drying out of the Aral
Sea, 60 species of wild animals and plants
1.1.3. Water, health and sanitation
vanished and the number of endangered
species increased. 11 species of fish, including The most acute issue is the access of the
rare species such as Aral spike and Aral salmon population to high-quality drinking water.
totally vanished, and 13 species of commercial More than half of the population of the Aral
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FOR THE ARAL SEA REGION IN UZBEKISTAN Terms of Reference
Sea region, especially inhabitants of rural 1.1.4. Socio-economic situation
settlements, use insufficiently purified and
highly mineralized water. Rural areas have no Agriculture dominates the structure of the
centralized hot water supply (99.3%), while economy, while the share of industry and
non-centralized systems do not function in all services in the economy lags far behind the
the households (27.5%). average republican indicators. The employment
in the agricultural sector of the region makes
Pollution of water and a large volume of dust up 33% of the total employment.
and salt coming up from the bottom of the
dried Aral Sea play a decisive role in high rates In the past, the Aral Sea was one of the richest
of deceases, general and infant mortality, as fishing grounds in the world: the annual catch
well as high rates of somatic diseases: anemia, of fish in the reservoirs of the Aral Sea was 30-
kidney disease, gastrointestinal disturbances, 35 thousand tons. More than 80 percent of the
an increase in the level of respiratory diseases, inhabitants of the Aral Sea coast were engaged
blood diseases, cholelithiasis, cardiovascular in the extraction, processing and transportation
and oncological diseases. of fish and fish products. The loss of the fishing
and transport potential of the sea resulted
Over the last decade, the infant mortality rate in non-functioning of such industries as fish
in the Republic of Karakalpakstan has exceeded processing and ship repair, tens of thousands
the same indicators for the Republic of of people became unemployed.
Uzbekistan by 13%, maternal mortality by 17%
on average. The death rate from tuberculosis The survey results revealed that despite the
in the Republic of Karakalpakstan remains the measures taken, the region was ranked last
highest in the country (19.4 cases per 100,000 in terms of its economic potential, agricultural
population) and almost three times higher than production, and retail commodity turnover
the average for Uzbekistan. and penultimate in terms of its production of
consumer goods. Thus, the total per capita
The incidence of acute intestinal infections in income in Karakalpakstan is 1.4 times lower
Karakalpakstan over the past decade was 188 than the average for Uzbekistan. Karakalpakstan
per 100,000 population, which is 1.4 times is ranked 12th among 14 regions of the
higher than the average for the Republic of country by volume of products and services
Uzbekistan. In the structure of respiratory indicators, the number of small businesses, and
apparatus, chronic bronchitis is 2.5-3 times exports per capita, which features the level of
higher than the average for the country. entrepreneurship development.
Children are exposed to strong and rapidly All the surveyed areas are classified as territories
negative impact, which poses a particular with a relatively tense situation in the labor
danger to the gene pool of the population of market. The unemployment rate in some areas
the Aral Sea region, and, consequently, the reaches more than 10% (4.9% in the country),
consequences will be irreversible. The content and youth unemployment averages 12.5%. The
of dioxin in the blood of a pregnant women and level of entrepreneurial activity remains low
the milk of nursing mothers in Karakalpakstan due to unfavorable climatic conditions.
is 5 times higher than in Europe.
Ensuring food security in the Republic of
8I. Human Security Context
Karakalpakstan has its own specific features 1.2. Measures taken by the
related to the state of land and water resources,
Government of the Republic of
environmental challenges, the level of socio-
economic development, access to transport, Uzbekistan
and the capacity of food markets. In general, The initiatives of the Government of Uzbekistan
for 60% of the households, the affordability of to mitigate the consequences of the Aral
food products is low. Sea environmental crisis and the social and
There are problems associated with the lack economic development of the Aral Sea region
of sustainable provision of electricity and fuel are part of its priority measures identified
in the surveyed districts. The specificities of within the framework of the first «Strategy for
these districts require the development of Action in the Five Priority Areas of Uzbekistan's
alternative energy sources – solar and wind Development in 2017-2021».
energy facilities. In this context, the currently implemented State
The banking and financial institutions do not fully Programme «Complex of measures to mitigate
meet the needs of the rural areas in providing the consequences of the Aral catastrophe,
agro-machinery leasing services; new modern restoration and socio-economic development
insurance services are not developed; and the of the Aral Sea region for 2015-2018» should
rural population is not sufficiently provided with be mentioned. Projects and activities for a
bank terminals. The transport system is of total amount of about USD 4,3bn within the
strategic importance among other components framework of this Programme are planned to
of production infrastructure. In some territories be implemented.
the Republic of Karakalpakstan has a relatively In 2016, several UN agencies in the Republic
well developed railroads and automobile roads, of Uzbekistan supported the Government’s
but local access roads are either lacking or initiative and launched a Joint Program «Building
insufficiently maintained. the resilience of communities affected by the
Access to preschool institutions is 30%, and Aral Sea disaster through the Multi-Partner
in some districts – up to 20%. In 32% of Human Security Trust Fund for the Aral Sea
settlements there are no such institutions at all. region», one of the main objectives is the
Particularly alarming is the lack of preschools establishment of the MPHSTF.
in certain localities of the Shumanay (58.8%), The adoption of another State Program on
Karauzyak (38.6%), and Kegeyli (36.6%) districts Development of the Aral Sea Region for 2017-
of the RK. There are no fundamental issues 2021 (PP-2731 as of January 18, 2017), with a
with regard to basic/general education schools, total budget of over UZS 8422bn is the logical
lyceums and colleges, and the coverage is fully continuation of measures on mitigation of the
ensured. negative consequences of the catastrophe.
A summary report of the socio-economic The analysis of the measures taken and socio-
survey of the needs of the population in the economic policy pursued in the Aral Sea region
Aral Sea region is attached as Annex 1 to this indicate that the Government considers the
document. implementation of the following fundamentally
www.aral.mptf.uz 9UN MULTI-PARTNER HUMAN SECURITY TRUST FUND
FOR THE ARAL SEA REGION IN UZBEKISTAN Terms of Reference
important measures as priority ones: multilateral and bilateral donor organizations
with a total budget of $3,048.7 million (loans:
1) Measures on improvement of the
$2,540.8 million, grants: $507.9 million). These
management system, economical and
efforts had limited impact due to inadequate
rational use of water resources in the
coordination of aid flows, duplication of
region.
activities, low degree of government ownership
2) Measures on creation of favorable and the unsustainability of the results.
conditions for reproduction and preservation
Projects focused on the following areas:
of the gene pool and health of the population
agriculture, education, healthcare, infrastructure,
living in the environmental risk areas.
water supply, social sector, natural resource
3) Measures on expansion of employment management, rehabilitation of environment,
and generation of income sources aimed at income generation, poverty reduction,
improving the level and quality of life of the governance, area-based development.
population of the Aral Sea region.
UN agencies mostly focused on improving the
4) Measures on restoration of the ecosystem living standards through healthcare services
and biodiversity, conservation and protection improvement, poverty reduction, innovation
of flora and fauna. in agriculture, governance and environmental
The Government of the Republic of Uzbekistan protection. World Bank and ADB credits and
prioritizes objectives of mitigating the negative grants financed the infrastructure rehabilitation
consequences of the Aral catastrophe and projects with more focus on water supply,
ensuring human security by stabilizing the irrigation, road construction, energy as well
ecological, social and economic systems of the as assistance in the fields of education and
Aral Sea region while addressing the Aral Sea health. The EU is providing funding for a
catastrophe. project in the healthcare sector with the focus
to improve mother and child health services,
In this context, the initiative of the Government while MSF is helping address TB-related health
of the Republic of Uzbekistan to establish the issues in the region. GIZ, TIKA and MASHAV
Multi-Partner Human Security Trust Fund for are implementing and planning to implement
the Aral Sea Region, which has received the projects in the areas of agriculture, supported
UN support, is designed to be an effective by capacity-building activities.
mechanism for consolidating and coordinating
the efforts of all development partners on a While donor aid has made notable
single platform. contributions to improving the living standards
of the population, certain gaps still exist in
coordination of aid flows coming to the region.
Lack of reliable, qualitative, and quantitative
1.3. Donors efforts
analysis of the previous interventions is one of
The Aral Sea region has received substantial the factors, which make it more complicated to
donor attention and financial support since raise donor assistance.
the mid-1990s. Overall, 336 projects were
The effectiveness and impact of government
implemented in the Aral Sea region by IFIs,
10I. Human Security Context
and donor projects could also be strengthened cooperation between the stakeholders have
through (i) more focus on evidence-based analysis been identified that prevent further development
through participatory approach to target the most of constructive dialogue, effective mobilization
vulnerable; (ii) work on value-added through an and use of the resources of technical and
integrated approach to the regional development, financial assistance by bilateral and multilateral
and (iii) joint work on long-term regional strategic partners. Among them, the following challenges
planning based on comprehensive analysis of the can be noted:
situation in the region.
Problems associated with the identification of
relevant and effective projects based on proper
assessment of needs of local populations;
1.4. Challenges and lessons
Lack of a unified development strategy
learned from past interventions and coordinated assistance to the Aral Sea
Experience of the UN Joint Programme region;
“Sustaining livelihoods affected by the Aral
Lack of an inter-sectoral, integrated approach
Sea disaster” is highly relevant. As the first
that can target multiple human insecurities
UN Joint Programme in Uzbekistan, it brought
at the same time;
together five UN agencies working under one
umbrella and demonstrated the benefits of Problems of coordination between
an integrated response to a multi-faceted development partners and executing agencies
problem instead of the traditional stand-alone that provide development assistance to the
interventions. The project demonstrated the Aral Sea region;
value of coordination, integrated planning, but Weak administration of development
also consolidating the implementation at the projects;
field level with one coordinating entity.
Low level of monitoring and performance
While a number of different interventions evaluation system.
have taken place and considerable assistance
rendered to the population of the Aral Sea The presence of these and other problems
region in Uzbekistan by development partners, has created obstacles for the effective use of
results have been less than anticipated because limited assistance resources and joint initiatives
of some key challenges. Various problems of among donors.
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FOR THE ARAL SEA REGION IN UZBEKISTAN Terms of Reference
The 2030 Agenda for Sustainable Develop
ment with its 17 Sustainable Development
Goals reaffirmed the importance of multi-
dimensional approaches to poverty that go
beyond economic measures of depravations.
In particular, the 2030 Agenda puts the
emphasis on communities that have not
benefited from development progress and
have been “left behind”. National-level policy
change is recognized as a necessary, but not
a sufficient condition to improve the living
conditions of these populations groups.
2. New
2.1. The Concept
Approaches to of Human Security
Address the In Karakalpakstan, the drying of the Aral Sea,
Consequences a man-made disaster long in the making, is
not only an environmental problem but a
of the Aral Sea catastrophe for communities and people
living on its shores. It is a human centered
Disaster calamity. The environmental disaster has led
to decreased livelihoods opportunities due
122. New Approaches to Address the Consequences of the Aral Sea Disaster
to land degradation and water shortages comprehensive, context-specific, and
as well as the disappearance of the fishing prevention-oriented measures that seek to
industry. It has also led to poor health reduce the likelihood of crisis, help overcome
and food insecurity by limiting access to the obstacles to development and promote
quality drinking water and sanitation, both human rights for all. The four key principles
insecurities having been exacerbated by each have a rationale:
low incomes. The more limited livelihood
opportunities gave rise to other negative 1) People-centered – The concept is decidedly
externalities in people’s everyday lives. human-centered as it considers people and
communities as both the object and the
In such an environment of inter-related subject of interventions to improve their
complex challenges faced by individuals survival, livelihood and dignity. All analysis
and communities, adopting traditional of problems need to depart from the
sector-specific or vulnerable group-tailored perspective of people experiencing them
approaches is not sufficient. A more and all solutions need to build in the risks to
comprehensive and holistic approach is their lives, their insecurities as well as their
required that will address the root causes capacities.
of the risks and challenges affecting the
individuals and communities. The approach 2) Comprehensive – By understanding how a
should be able to create positive linkages particular threat can negatively affect other
between multiple sectors (i.e. economic, insecurities, and how freedoms (from fear,
social, political, health, environmental, etc.) from want and from indignity) are universal
and address the complex and interlinked and interdependent, the concept calls for
challenges in a holistic way. The approach responses that are comprehensive, multi-
should also reflect the strengths and sectoral and collaborative. This ensures
aspirations of the local communities. At the coherence, eliminates duplication and
same time, all levels and partners need to advances integrated solutions that give rise
be involved: interventions from the bottom to more effective and tangible improvements
up that build resilience of communities by in the daily lives of people.
empowering them should be synchronized 3) Context-specific – Recognizing that the
with macro-level policies, improvements causes and manifestations of threats vary
of governance institutions, and adoption considerably within and across countries, and
of practices and regulations that protect at different points in time, human security
vulnerable populations against threats they advances solutions that are embedded in
face. local realities and are based on the actual
In order to operationalize human security into needs, vulnerabilities and capacities of
programmes and policies, four key principles Governments and people.
need to be applied, both to the process and 4) Prevention-oriented – Looking at the root
outcome of programmes and policies. Within causes of a particular threat, human security
a protection and empowerment framework, identifies the structural (external or internal),
human security promotes people-centered, as well as the behavioral changes that are
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FOR THE ARAL SEA REGION IN UZBEKISTAN Terms of Reference
needed to help mitigate the impact, and, affected population, especially women and
where possible, prevent the occurrence of open a new level of dialogue on the need
current and future threats. for comprehensive, people centered (as
opposed to purely infrastructure-centered)
This is critically important for the areas solutions that builds on people’s own needs,
affected by the Aral Sea disaster where capacities as well as risks.
a large number of partners are involved.
Moreover, by properly identifying the root The MPHSTF, using the human security
causes and developing effective collective approach, will program for the long term by
measures to address them, human security targeted vulnerabilities that put populations
approach helps all partners to better prioritize at risk. It identifies and supports practical and
and coordinate their interventions. strategic interventions that build resilience.
Thus, mitigating the consequences of the Aral It is important that the proposed priority
Sea disaster in Karakalpakstan and tackling directions and interventions within the
some of the root causes of existing human programmatic framework of the MPHSTF
security challenges require an integrated are closely inter-linked and are in line with
and multi-sectorial approach. UN agencies, the United Nations Development Assistance
“Delivering as One”, capitalizing on their Framework for Uzbekistan (UNDAF) for
specialized knowledge and complementary 2016-2020, which in turn is based on the
expertise in the areas of health, education, concept of socially-oriented development
livelihoods, local governance, family planning, of the country, adopted by the government
women and youth, tourism and culture with the purpose of «building an open
could provide a firm basis for designing, democratic legal state with a steadily
implementing and monitoring integrated developing economy.» Thus, the emphasis on
programs in the region with the direct human-centered development is in line with
participation of beneficiaries and in close the Sustainable Development Goals (SDGs)
cooperation with the Government and other adopted by the UN General Assembly in
development partners. September 2015.
The human security approach, in practical
implementation will focus precisely on these
points. 2.3. Theory of Change
The MPHSTF initiative aims to be
transformative, evidence– and human-rights
2.2. Establishment based, and inclusive in its goal of catalyzing
of the MPHSTF and strengthening a multi-sectoral and
people-centered response to end one of the
The establishment of a UN Multi-Partner world’s biggest man-made environmental
Human Security Trust Fund for the Aral disasters. There is a need to pursue
Sea region in Uzbekistan is an attempt to multiple objectives: employment generation,
shine a light on many insecurities of the natural resource management, improved
142. New Approaches to Address the Consequences of the Aral Sea Disaster
social services in health and education, selection of basic foodstuff due to the poor
empowerment of women and girls, including land quality, the deteriorating state of the
the support to women in difficult conditions, irrigated lands and water resources, and
good governance through participatory the lack of safe drinking water. Moreover,
planning and implementation. unsuitable agricultural practices, poor
transportation infrastructure, and high
The Fund seeks to significantly contribute import prices are underlying causes.
to building the resilience of communities
affected by the Aral Sea disaster through Health insecurity, characterized by
ensuring effective governance and malnutrition, an unsafe environment due
coordination of specific interventions to dust storms and shortages of safe
of all development partners. In order to drinking water, lack of access to high-
achieve the socio-economic transformation quality health services, and insufficient
required to build the resilience of population, supply of pharmaceuticals. The lack of
development co-benefits are also to be qualified physicians, high cost of medicine,
generated. the isolation of the population, lack of
awareness on health behavior negatively
The Theory of Change has identified six impact the health of population, especially
clusters of inter-related problems (see full women and girls.
problem tree analysis in the Annex 2):
Social insecurity, characterized by poor
Environmental insecurity associated with living conditions, and the lack of municipal
the consequences of the Aral Sea crisis, the services, and inadequate housing, which
deterioration of the conditions and the quality affect the wellbeing of households and
of land and water resources, air basin, water disproportionately affects women and
supply. The underlying causes are toxic dust children. Low quality and distance of
from the dried seabed, high levels of soil education facilities and the high cost of
salinity, and poor and irregular water supply. construction present further challenges.
These factors have a direct impact on the
health and welfare of the population. Ineffectiveness of donor assistance,
uncoordinated efforts cause duplication of
Economic insecurity, characterized by assistance, while the insufficient prioritization
limited formal employment possibilities, of the Aral Sea region by donors leads to
and a lack of other income-generating very limited contributions. The situation
opportunities of the agriculture-oriented is further exacerbated by the lack of an
region and the resulting imbalance in the overall strategy and the lack of consolidated
food consumption structure. Moreover, the database of development interventions.
low level of investments in infrastructure and
private sector development, as well as the Most of these challenges are exacerbated
low levels of knowledge and skills negatively by the structural issues, including weak
contribute to this situation. institutions and low capacity (in terms
of lacking institutional performance,
Food insecurity, characterized by a poor adaptability and inter-agency collaboration),
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low population density in the region, and the partners to the Aral Sea problem;
further degradation of the environmental
situation triggered by the Aral Sea disaster. Mobilization and increasing of funds under
the integrated, yet flexible arrangement,
as well as strengthening the coordination
of activities among the UN agencies;
2.4. Proposed programmatic
Introduction of effective project selection
solutions and approval procedures that will channel
The MPHSTF will focus more on the donor contributions within an integrated
programmatic approach than on stand- and coherent framework, depending
alone projects in order to strengthen the on their own resources and financial
interconnection and reduce transaction potential. This will allow donors with
costs, allowing the government and partners limited financial potential to participate
at different levels to work in a coordinated in the implementation of large projects
and committed manner. through a co-financing scheme. Certain
donors may be engaged in the fund’s
outcome areas, even if their own Strategy
2.4.1. Purpose of the MPHSTF does not embrace the problems of the
Aral Sea region;
In line with the Busan development
effectiveness principles on local ownership, Ensure the transparency of financial
a focus on results, partnership of transactions and increase the confidence
development partners, and transparency of development partners in relation to
of aid, the mission of the MPHSTF is to partner organizations in the Republic of
make positive contribution in the area of Uzbekistan;
development coordination, including through Build the capacity of national organizations
the following: in developing quality project proposals and
Development and implementation of the implementing development initiatives in
unified strategy for development assistance accordance with international standards;
to the Aral Sea region in cooperation with Conduct regular monitoring, evaluation
development partners based on the needs and reporting on the MPHSTF activities
assessment of the region (demand) and as well as projects in accordance with
the capacity of the donors (supply), which international and national requirements
is expected to increase coherence; and legislation.
Intensification and raising the regional
and international dialogue between
donors and the Government of Uzbekistan 2.4.2. Expected Outcomes and Outputs
on addressing the Aral Sea issues to a
qualitatively new level, promoting the The United Nations agencies in Uzbekistan
interest and attention of development have agreed with the Government on an
162. New Approaches to Address the Consequences of the Aral Sea Disaster
UNDAF that centers on eight Outcomes. The to affordable and healthy food and clean
UNDAF’s thematic areas are closely linked drinking water secured.
to the development priorities of Uzbekistan
reflected in the government programs and Outcome 4: The overall health of the local
strategies, with particular attention to population improved and healthy lifestyle
socially and economically vulnerable groups promoted.
and further elimination of disparities. Outcome 5: The living conditions of local
The MPHSTF will make a particular populations improved, with particular focus
contribution to three UNDAF Outcomes: on vulnerable groups such as women,
children and youth.
UNDAF Outcome 1: Equitable and
sustainable economic growth through Finally, in line with its mission, the MPHSTF
productive employment, improvement of will be devoted to interventions that are
environment for business, entrepreneurship based on the vulnerabilities and insecurities
and innovations expanded for all. of people of the region; that are integrated
and necessitate coordination between
UNDAF Outcome 4: By 2020, all people donors and levels; that show results
benefit from quality, equitable and accessible because they are context specific; and
health services throughout their life course. are sustainable and long term. The main
prioritized directions have been defined
UNDAF Outcome 6: Rural population and MPHSTF Results Framework has been
benefit from sustainable management of developed (see Annex 3).
natural resources and resilience to disasters
and climate change.
Specifically, the MPHSTF aims at building 2.4.3. Eligibility of Projects
the resilience of communities affected by
Addressing the multiple and accumulated
the Aral Sea disaster in line with SDG 3
insecurities of vulnerable populations
(target 3.4, 3.8, 3.C), SDG 8 (targets 8.2, 8.4,
affected by the drying up of the Aral Sea
8.5), and SDG 11 (target 11.2, 11.5, 11.A).
requires a people-centered approach
The above is expected to be accomplished
involving communities themselves as
through the following five outcomes of the
stakeholders and agents of change. It also
MPHSTF:
requires an integrated, holistic approach that
Outcome 1: The stress on local addresses the causes and consequences
communities due to the deteriorating of different threats to people’s livelihoods,
environmental situation reduced. survival and dignity.
Outcome 2: The employment and There is a need to pursue multiple objectives:
income generation opportunities for local employment generation, natural resource
communities increased. management, improved social services in
health and education, good governance through
Outcome 3: Local community access participatory planning and implementation,
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FOR THE ARAL SEA REGION IN UZBEKISTAN Terms of Reference
with particular focus on economic Based on an assessment of the needs,
empowerment of women and ensuring gender capacities and insecurities of people as
equality. The region can become a testing well as the risks of the region;
ground for the implementation of innovative
local initiatives and innovative projects to Designed, implemented and evaluated with
address the most difficult social and economic the help of the communities, building on
problems (integrated drinking water supply people’s own aspirations and capabilities
management system, the latest technologies Involving and mobilizing communities
for resource conservation, development of for problem identification, planning,
water infrastructure and alternative energy implementation and evaluation and
sources, advanced information technologies ensuring participation.
in education, healthcare, agriculture, ecology,
etc.). Promote equal opportunities for men and
women and ensure mainstreaming gender
Four key criteria for the selection of project equality in proposed activities.
proposals for funding:
Context-specific:
The Government of Uzbekistan, within the
framework of programmes on development Designed based on the conditions of the
of the Aral Sea region, is allocating large Aral Sea region and on knowledge of the
amounts of resources to this region. The situation of communities targeted
activities within the MPHSTF will complement
Differentiated consideration of the
these efforts of the Government. The
needs of the population at the level
contributions to the MPHSTF will be mainly
of each aul, kishlak, makhalla, rural
in the form of grants, i.e. they will represent
areas, based on environmental factors,
limited resources. Hence, it is necessary to
population distribution and transport
efficiently utilize the MPHSTF resources,
accessibility
and to leverage additional funding.
Developed on the basis of community
The MPHSTF funds will be directed towards
development plans for targeted localities.
developing and piloting new and innovative
methods of solving problems, and the Ensuring sustainability (water, air, soil,
piloting of economic and business projects. remoteness) and support the mitigation
Successful pilot projects will be presented to of adverse effects
the Government, the donor’s community and
the business sector for further replication, Integrated solutions:
not only within the Aral Sea region but also
Based on the MPHSTF Theory of Change
in other regions.
and not prepared in isolation
To be considered by the Fund, interventions
Strategic and multidimensional, so that
need to meet the following criteria:
interventions target several insecurities at
People-centered: the same time
182. New Approaches to Address the Consequences of the Aral Sea Disaster
Concentrating all interventions in the same Focusing on technology transfer and the
area/with the same community, piloting piloting of new approaches
around specific geographic area
Investing in ICTs and research and
Implementing interventions through development opportunities for the region
consortiums and partnerships of providers
from different sectors and with different Developing new public-private partnerships,
specializations in order to link interventions including with the government, to ensure
across different insecurity areas protection and empowerment for the long
term
Innovative:
www.aral.mptf.uz 19UN MULTI-PARTNER HUMAN SECURITY TRUST FUND
FOR THE ARAL SEA REGION IN UZBEKISTAN Terms of Reference
3.1. Governance arrangements
The MPHSTF is established by Participating
UN Organizations (PUNOs) that take full
programmatic and financial accountability over
the funds transferred to them.
The MPHSTF governance arrangements (see
Figure 1) provide for an efficient and effective
decision-making and oversight framework,
ensuring streamlined allocation processes and
clear lines of accountability. The governance
arrangements are built on and informed by
the principles of inclusiveness, transparency,
accountability, and consensus-based decisions.
The MPHSTF is governed by a Steering
Committee and supported by a Technical
Secretariat. Dialogue with key representatives
of other donors, government organizations, and
civil society networks will be held by the Steering
3. Institutional Committee periodically to foster cooperation
and a shared vision.
aspects of the Steering Committee. The Steering Committee
MPHSTF has overall responsibility for the Aral Sea MPHSTF.
It is responsible for leadership, strategic direction,
and decisions on eligibility, allocation and other
managerial and oversight aspects. It is co-chaired
203. Institutional aspects of the MPHSTF
by the High-Level Government representative UN Organizations, contributing donors and
and the UN Resident Coordinator in Uzbekistan the co-chairs of the MPHSTF. It develops and
and consists of 2 representatives of donors (on implements a resource mobilization strategy to
rotational bases) contributing to the MPHSTF, attract investments from other donors.
2 civil society members (on rotational bases), 5
A key role of the Technical Secretariat is to
Participating UN Organizations, and 2 national
review the submission of projects/proposals
government representatives. The Administrative
to the Steering Committee. The Technical
Agent and the Technical Secretariat will be ex-
Secretariat will be responsible for reporting on
officio members of the Steering Committee.
the implementation of funded projects. Detailed
The SC meets semi-annually and decides by terms of references for the Technical Secretariat
consensus. Detailed terms of references for are included in the Operational Guide of the
the Steering Committee are included in the MPHSTF. The full functions of the Technical
Operational Guide of the MPHSTF. The full Secretariat are detailed in the Technical
functions of the Steering Committee are detailed Secretariat Terms of References in the Annex 5.
in the Steering Committee Terms of References
Administrative Agent. The MPHSTF will be
in the Annex 4.
administered by the Multi-Partner Trust Fund
Advisory Committee. At a later stage Office acting as the Administrative Agent (AA).
the Steering Committee might consider the The MPTF Office administers over 100 UN
establishment of an Advisory Committee, which common funding instruments (http://mptf.
would serve as an information-sharing forum undp.org). The AA will be entitled to allocate an
once the number of donors and Participating administrative fee of one percent (1%) of the
UN Organisations becomes so large, that their amount contributed by each donor, to meet the
inclusion in the Steering Committee would no costs of performing the AA’s standard functions
longer be feasible. as described in the MOU concluded between AA
and Participating UN agencies following UNDG
Technical Secretariat. In order to ensure good
standard formats.
programming the MPHSTF will be supported
by the Technical Secretariat. The Technical The MPTF Office is responsible for Fund
Secretariat provides technical, operational and design and set-up, maintenance of the Fund
administrative support to the MPHSTF Steering account, receipt of donor contributions, and
Committee and works under its overall guidance. disbursement of funds upon instructions from
The Technical Secretariat supports the entire the Steering Committee, and provision of
programming cycle of the MPHSTF with a periodic consolidated reports. Subject to the
workplan and budget reviewed annually by the availability of funds, the Administrative Agent
Steering Committee. shall normally make each disbursement to the
Participating UN Organization within three to
The Technical Secretariat also provides advice and
five business days after receipt of the Fund
quality control over the MPHSTF implementation
Transfer Request.
and coordinates the meetings. It facilitates
collaboration and communication between In addition, the UN MPTF Office through its
the Government of Uzbekistan, Participating GATEWAY (http://mptf.undp.org/) offers a
www.aral.mptf.uz 21UN MULTI-PARTNER HUMAN SECURITY TRUST FUND
FOR THE ARAL SEA REGION IN UZBEKISTAN Terms of Reference
web-based service portal, which provides real- of projects/programmes approved by the Steering
time financial data generated directly from Committee.
its accounting system. It provides all partners
Contributors. The MPHSTF is funded through
and the general public with the ability to track
contributions of the Government, bi-lateral or
information on contributions, transfers and
multi-lateral donors, and International Financial
expenditures. Further details on the function of
Institutions. The active participation of the
the Administrative Agent are available on the
Government in the formation of the fund is a
MPTFO website.
signal intended to attract more potential donors
Participating UN Organizations. MPHSTF to the fund, and to increase the importance of
implementation is the responsibility of the the Aral disaster problem internationally. Also, the
Participating UN Organizations. The organizations, Government can encourage the participation of
after signing a Memorandum of Understanding the private business in the formation of the fund's
with the Administrative Agent, can receive resources by providing tax or other privileges to
resources from the MPHSTF. Each Participating private enterprises.
UN Organization is programmatically and
Acceptance of funds from the private sector will
financially responsible for MPHSTF resources
be guided by the criteria stipulated in the UN
received in accordance with its own regulations,
system-wide guidelines on cooperation between
rules, policies and procedures. Participating
the UN and the Business Community ((the UN
UN Organizations develop project/programme
Secretary General’s guidelines: UN Secretary
proposals, and report on implementation and
General’s guidelineshttp://www.un.org/partners/
financial performance to the Steering Committee
business/otherpages/guide.htm).
through the Technical Secretariat and the
Administrative Agent as indicated in the MOU. Non-earmarked contributions are encouraged.
The Participating UN Organizations shall have Such approach will enable timely decision making
operating capacity for the prompt implementation on funding the most priority projects / programs
within the framework of the MPHSTF. In this case,
bureaucratic procedures within the framework of
Figure 1. Fund Governance and Financial the fund will be minimized.
Architecture
However, if the non-earmarked contributions are
not possible, earmarked contributions can be
made. According to the UNDG rules, earmarking
of donor contributions should be done at the Fund
outcome level (not a particular agency or output).
The contributions to the MPHSTF will be
deposited in US dollars. Additional contributions
may be accepted only in fully convertible currency.
Such contributions will be deposited into the bank
account designated by the Administrative Agent.
The value of a contribution payment, if made
in other than US dollars, will be determined by
223. Institutional aspects of the MPHSTF applying the UN operational rate of exchange in effect on the date of payment. The role of the Government and UN in operational aspects of the MPHSTF The role of the Government of the Republic of Uzbekistan in supporting effective operation of the MPHSTF will be creation of favorable institutional, legal and financial environment. The UN within its mandate, available resources and experience will support the MPHSTF in preparation of financial, legal and operational documents according to international standards. The UN will also assist the Government in its interaction with donors, international financial institutions, thus facilitating the mobilization of resources within the framework of the MPHSTF strategy. Apart from that, the UN through its agencies, will assist in strengthening the capacity of various national partners, involving them in the process of developing, implementing and monitoring projects/programs. 3.2. Project Approval Cycle The MPHSTF will allocate funds to Participating UN Organizations based on their proposals. The Participating UN Organizations will be invited to in the standard proposal. The Secretariat will submit proposals to the Secretariat upon issuance present the findings of its Technical Appraisal of of a Call for Proposal. Proposals to the Steering Committee, along with The Steering Committee, with the support of the all relevant project documentation. Technical Secretariat and Administrative Agent, At its regular meetings, the Steering Committee will prepare a standard proposal form to be will render a decision on funding allocations to each used by all Participating UN Organizations when Proposal, considering the findings of the Technical submitting proposals to the MPHSTF. Secretariat appraisal. The Steering Committee The Technical Secretariat will review the proposals shall have access to all information it deems submitted by Participating UN Organizations to relevant in making its decision. If the Steering ensure that all the required information is included Committee rejects a project or if it requests www.aral.mptf.uz 23
UN MULTI-PARTNER HUMAN SECURITY TRUST FUND
FOR THE ARAL SEA REGION IN UZBEKISTAN Terms of Reference
further study or review it shall communicate its the activities for which it is responsible under the
decision or request to the Technical Secretariat to Fund will be recovered as direct costs.
take the appropriate follow up action.
Parallel funding mechanisms. At the
Upon approval of a proposal the Steering same time, there might be cases when the
Committee will advise the Administrative donor expresses readiness to finance projects
Agent to disburse the authorized amount independently, but in line with the MPHSTF
to the Participating UN Organizations. The strategy. In this case, the contributions will be sent
request to transfer funds will be signed by directly by such donor to the fund implementers
the Co-Chairs of the Steering Committee informing and coordinating with the Steering
and must include all relevant documentation Committee the alignment of such allocations
to enable a disbursement. The Administrative with this Terms of Reference, relevant national
Agent will disburse the authorized amounts and local government priorities.
to Participating UN Organizations within five
The development strategy can also include
business days of receiving all the required
projects or programmes to be financed by loans of
documentation and instructions from the
international and national financial institutions.
Steering Committee.
Legal and procedural aspects of the activities
Flow of funds. As indicated above, the
of the MPHSTF will be developed in accordance
resources will be held by the Administrative Agent
with and meet the requirements of the current
in a dedicated fund account. The funds in this
legislation of the Republic of Uzbekistan, and in
account will be transferred to Participating UN
accordance with the requirements and practices
Organizations by the Administrative Agent based
of the UNDG and UN MPTF Office.
on instructions from the Steering Committee.
Implementing agencies, represented by UN The MPHSTF will be formally established upon
agencies participating in the activities of the signature of Memorandum of Understanding
MPHSTF will have to open ledger accounts to between the UN MPTF Office and the Participating
receive these funds. UN Organizations designating the UNDP’s MPTF
Office as the Administrative Agent. The MPHSTF
The PUNOs upon receipt of a confirmation of
starts its operational activities upon signature of
funds transfer into their ledger accounts, will
a funding agreement between at least one donor
transfer these funds into the accounts of the
and the Administrative Agent.
implementing agencies (government agencies,
NGOs, etc.) that will actually implement projects/ Based on economic rational, it is necessary
programs within the framework of a unified to emphasize the fact that the threshold for
strategy on the ground. establishing any multi-partner trust fund is $5
million per year for the entire operational period
It should be noted that there is a minimum
(minimum 5 years).
threshold of US $ 100 thousand per transaction.
Indirect costs of the Participating Organizations
recovered through programme support costs 3.3. Risk management strategy
will be 7%. All other costs incurred by each The objective of a risk management strategy is
Participating UN Organization in carrying out to facilitate the achievement of MPHSTF-related
243. Institutional aspects of the MPHSTF
objectives considering the risks in the context UN system. The continuous monitoring and
in which it operates. Based on risks identified, evaluation will be done by the Participating UN
the Technical Secretariat will develop a risk Organizations and overseen by the Technical
management strategy with the following main Secretariat.
objectives: accelerate MPHSTF implementation
The monitoring and evaluation system for
and increase its impact, ensure that the MPHSTF's
the MPHSTF will serve two functions: first,
interventions meet the «Do no harm» principles,
periodic assessment of project/programme
verify that resources are used for foreseen
implementation and performance of activities
purposes and improve risk management capacity
(M&E of Project Performance), and second,
of national partners.
evaluation of their results in terms of relevance,
The risk management strategy will: effectiveness and impact (M&E of Project
Impact).
Develop shared understanding of risks faced by
the MPHSTF; The Technical Secretariat advises the Participating
UN Organizations on appropriate performance
Identify roots and causes of the risks;
indicators and data gathering, consolidates
Establish the MPHSTF's policies regarding the information received from the Participating
identified risks; UN Organizations into a central results-based
Determine risk treatment through measures of management system. This system gathers
mitigation or adaptation; performance data at the level of outcomes and
outputs, linking program-related and financial
Establish information strategies and common result indicators to enable the evaluation of both
messages about the risks. efficiency and effectiveness of the MPHSTF.
Every programme approved by the MPHSTF shall The Technical Secretariat will monitor and evaluate
comply with the risk management strategy. The the implementation of projects/programmes
adherence to this strategy will be one of the against the programmatic framework of the
selection criteria during the process of programme MPHSTF, consolidate all reporting submitted by
review. The MPHSTF risk management strategy PUNOs, and send consolidated reports to the
is however not a replacement for programme Steering Committee.
risk evaluation/management. Further details are
contained in the Annex 6. An overall mid-term and final independent
evaluation will also be commissioned by the
Steering Committee to assess the overall
performance of the MPHSTF, its design,
3.4. Monitoring, evaluation management and overall performance against
and reporting the objectives. This evaluation may provide
3.4.1. Monitoring and evaluation specific recommendations to the Steering
Committee to guide any revision of the Theory
Monitoring and evaluation of the Fund will be of Change, the Governance Arrangement and
carried out in accordance with the national Programming Cycle if deemed necessary.
context, a results-based management method
will be applied, with overall coordination by the Detailed description of the M&E system
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