There are three important
considerations in establishing the extent and expected cost of project
planning. The first is the scope and complexity of the proposed project.
The second (closely tied to the first) is the expected project cost as
there should be a reasonable relationship between the cost of appraisal
and the expected cost of the project. The third is the amount of information
already available to the project team (including the work already carried
out by other donors) relevant to appraise, assess the feasibility of, and
design the proposed project.
The extent and cost of detailed appraisal
activities may also be weighed against the benefits to be derived and the
possible effect on the timing of the project approval. Thus, there should
be a supporting rationale for the level and depth of each analysis undertaken
(and for any decision not to undertake one or more of the analyses).
Notes:
§
Although the Roadmap presents chapters on project appraisal and project
feasibility and design sequentially, the feasibility (section 9.2) and
design (section
9.3 and section 9.4) processes are normally carried out in parallel
with (or as part of) the project analyses which comprise project appraisal.
§
All analyses must assess and report on potential project risks (see section
10.7.1 below) indicating the probability and possible impact of each
potential risk identified. (This will assist with: a decision on whether
or not to proceed with the project; a decision on whether or not to seek
a Risk Allowance; the completion of the Assumptions and Risk Sections of
the LFA; the completion of the Risk Section in Annex A of the PAD; the
Summary of Risks attached to Annex C of the PAD; and decisions on other
aspects of project design.)
§
All analyses should take into account sustainability (refer to Our
Commitment to Sustainable Development and CIDA's
Sustainable Development Strategy 2001-2003).
§
All analyses should take into account the Framework of Results and Key
Success Factors against which all projects will be measured and evaluated.
This lists two dimensions: Development Results and Success Factors.
8.3 Application
of Project Analyses
As indicated earlier, the PM is responsible
for the management of the appraisal process comprised of a series of project-specific
analyses.
8.3.1 Project
up to $500,000 in Value
To streamline project approval for
projects up to $500,000 and to keep project planning efforts and costs
commensurate to project value, the preparation of a series of separate
project analyses is not mandatory.
However, project teams are expected
to review the requirements for the appropriate project analyses (i.e.,
if the project had exceeded $500,000) and assure themselves that they have
the information and knowledge necessary to make an informed recommendation
for project approval. Any significant gaps in information should be answered
in a cost-effective manner.
The PM confirms in Item (e) of the
PAD Decision Memorandum (see section
10.3) that the project team: i) has reviewed the appropriate analyses
information requirements; ii) if required, has filled in any identified
gaps in information and knowledge; and iii) is confident that they have
sufficient information and knowledge to proceed with the project.
The PD can request that specific analyses
or related information gathering be undertaken if not convinced that the
knowledge base is sufficient for approval.
8.3.2 Projects
over $500,000 in Value
On all projects with a value over $500,000,
all five project analyses should be carried out unless there are specific
documented reasons why certain analyses are not requried. these reasons
must be indicated in the the Concept Paper and agreed to by the approval
authority. The first two analyses (Socio-economic and Political Analysis
and Gender Analysis) are mandatory for all projects; the other three
(Capacity Analysis, Environment Analysis, and Analysis of the Benefits
to Canada and the Recipient Country) are all highly recommended.
8.4 Overview of
Analyses
8.4.1 Socio-economic
and Political Analysis:
This analysis reviews the social, economic
and political context of the project and asks why the situation is as it
is. It identifies how the proposed project can contribute to the development
of the target population, area(s), institution(s) or to the solution of
existing problems. It should also indicate what the expected developmental
benefits and results of the initiative are and what constraints and risks
are likely to be faced.
As the basic socio-economic and political
analysis leading to the justification for, and benefits of, the project,
this analysis is required for all projects. (See section 8.7.1 below.)
8.4.2 Gender
Analysis:
CIDA's
Policy on Gender Equality (GE) requires that gender analysis be
carried out as part of the appraisal process for all CIDA programs
and projects. (See the Gender
Equality at CIDA website through the Policy Branch site of Entre Nous).
The scope and scale of analysis will
be dependent on the nature and size of the project, but should provide
sufficient information to ensure that gender equality is addressed as a
cross-cutting theme in the project design. At a minimum, this would include
sex-disaggregated baseline information.
All projects will also require a Gender
Equality Form as an Annex to the PAD. (See Section 8.7.2 below.)
§
See the CIDA Network on Capacity Development extranet site.
8.4.3 Capacity
Analysis:
Capacity development is a cornerstone
for local ownership of the development process.
Therefore, it is highly recommended
that a capacity analysis be conducted to look at both the strategic and
operational factors relating to capacity development on proposed projects
in all Lines
of Business. (See section 8.7.3 below.)
8.4.4 Environmental
Analysis:
In keeping with CIDA's commitment to
environmental sustainability, it is highly recommended that an environmental
analysis be conducted to help identify environmental issues associated
with the proposed project and to help design the project in a manner that
will maximize its environmental benefits and thus contribute to sustainable
development.
The PM should consult an environment
specialist because the scope and scale of the Environmental Analysis will
depend on the nature, size and type of the project. The analysis should
also provide information on how the environment should be addressed as
a cross-cutting theme in the project design. (See section 8.7.4
below.)
Some projects are subject to the Canadian
Environmental Assessment Act (CEAA, see section 8.8 below) and must
undergo an environmental assessment prior to CIDA making a decision on
whether or not to proceed with the project.
8.4.5 Analysis
of the Benefits to Canada and the Recipient Country:
This analysis is highly recommended
for all projects as the project team must be clear about the expected benefits
to the recipient country. The Benefits to Canada portion is particularly
relevant for projects in LOB 1 (Blueprint) and LOB 5 (Iterative) and is
mandatory for Lines of Credit under LOB 2 (Transfer/Support). (See section
8.7.5 below.)
Helpful
Hints:
§Considerable
judgment has to be exercised in determining what features of each analyses
are most important and what level of detail is required.
§Where
possible, particularly for some LOB 2 (Transfer/Support) projects which
are basically "off-the-shelf," significant use may be made of existing
analyses. A search for existing and current sources of relevant information
should be made within CIDA and externally (other donors, international
agencies, financial institutions, region/country).
§For
some types of projects, the PM will work with the recipient partner organization
(if there is one) to either develop the required project documentation/description
or validate or establish terms of reference for work required to bring
the project to approval in a timely manner. (There may be severe time constraints
on some projects, especially for LOB 3 [Quick Transfer] projects.) However,
CIDA would normally undertake the analysis of benefits to Canada itself,
if appropriate.
§On
LOB 5 (Iterative) projects, the PM, in consultation with other members
of the project team, is responsible for the initial analyses required to
appraise and design the project for approval (with or without the involvement
of the EA). The Executing Agency (EA) may then be required to undertake
further analyses and design studies during the implementation of the project.
8.5 Planning for
the Analyses
The project appraisal stage builds
on known information including the data gathering and screening done during
the project identification and project selection stages and lessons learned
internally and externally. The information gaps are identified (see above)
and the necessary data gathering and analyses carried out by CIDA staff
and/or by consultants. An appraisal should ask:
-
Why is the situation as it is and how
can the proposed project contribute to the achievement of recipient country
development plans and priorities, the development of the target population,
area(s), institution(s) or to the solution of existing problems?
-
What are the expected developmental benefits
and results of the initiative and what are the constraints and risks that
are likely to be faced?
-
What are the relationships to CIDA's policies,
priorities, programming frameworks and cross-cutting themes?
Preparations for undertaking the required
analyses start at the Concept Paper stage with the agreement of the PD
and include:consultation with the Project Team to reach a mutual understanding
and agreement on the breadth and depth of the analyses required and the
benefit they will provide. If the project team feels that any of the non-mandatory
analyses are not required, this must be documented in writing and approved
as an exception by the PD;
-
determining the resources required to
undertake the analyses and how they will be accessed, i.e., in-house by
the analyst, PM, scientific and technical specialist(s) using existing
data and information; or through contracted consultant(s); and
-
obtaining approval of required funding
in the Concept Paper;
Following approval of the concept paper,
the PM, in conjunction with the project team, will:define a strategy or
systematic approach for undertaking the analyses;
-
develop terms of reference for the studies
required including the parameters and content for undertaking the analyses,
confirming the estimated level of effort and budget (noting the requirements
for feasibility and design work, as appropriate);
-
proceed with contracting activity, as
required (see Chapter 11);
-
establish a process for the involvement
of appropriate stakeholders including beneficiaries; and
-
develop a milestone checklist to facilitate
planning and production of analysis reports.
8.5.1 Terms of Reference
for the Analyses
The terms of reference (TORs) for the
analyses to be undertaken should detail (particularly if external consultants
are used to prepare the analyses):
-
the context and background of the project
proposal;
-
the objectives and scope of services to
be undertaken;
-
the parameters within which the analyses
are to be conducted;
-
the approach to be taken in carrying out
the analyses and any special instructions from CIDA;
-
work plan and scheduling requirements;
-
estimated resource requirements; and
-
the specific requirements for information
on:
-
the general points to be covered based
on Section 8.7 below;
-
expected project results and indicators
of results;
-
assumptions and potential risks (with
an indication of the probability and possible impact of each identified
risk); and
-
any appropriate feasibility and design
requirements.
Note:
Information
gathered during the analyses is used to update the LFA. Participatory techniques
are very important for both the analyses and the completion of the LFA.
8.6 Preparation
of Analyses
The results of the analyses provide
the foundation for informed decisions on project rationale (the need, target
group, expected results, potential for capacity development and promoting
gender equality, etc.), feasibility, design and approval.
Each analysis should result in a specific
report. The level of effort for the analyses and the degree of detail in
the report will depend on the value, complexity, nature and potential risks
of the project. In some cases, one or two of the analyses may be far more
important than the others, such that considerable effort is given to the
one or two major analyses while the others would involve much less effort.
As the appraisal information may be
needed during project implementation (for project changes, reviews, evaluations,
hand-over briefings, etc.), the analyses must be documented and retained
on the project file (along with any supporting documentation) such that
they are readily accessible by project team members and other bilateral
desk officers at all times.
The results of the analyses are summarized
in Annex C (Project Analysis Summary) to the PAD. A one page "Summary of
Findings" for each analysis is attached as an Appendix to Annex C of the
PAD.
Each analysis should be completed with
the Framework
of Results and Key Success Factors in mind. This will assist
in reviewing and commenting on key issues indicated as either Development
Results or Success Factors.
8.6.1 Content
of a Typical Report
A typical analysis report outline might
include:
-
A one page Summary of Findings which will
be appended to Annex C of the PAD (see above);
-
Context of the Analysis including the
rationale and objectives for the analysis, the relationship to project
feasibility and design, a review of existing information;
-
Findings of the Analysis:
-
the development situation;
-
the relevant data;
-
impacting factors (internal to the project
and external);
-
expected results and possible performance
indicators;
-
potential risks (with an indication of
the probability and possible impact of each identified risk);
-
potential for local ownership, sustainability
and capacity enhancement
-
assessment and recommendations;
-
relevant sector, cross-sectoral and thematic
implications (including gender equality and environment); and
-
previous CIDA experiences, other studies,
other donor activities, and relevant lessons learned;
-
Reference to feasibility issues, such
as viability and delivery options (which will be summarized from all analyses
in a separate Feasibility Report);
-
Project design
considerations - effect on design of risks, assumptions, conclusions, recommendations
(which will be summarized from all analyses in separate design documentation);
and
-
Appropriate supporting
appendices, including a draft or partial LFA relevant to the subject of
the analysis describing possible expected results at the outcome and output
levels and possible performance indicators.
8.7 Description
of Analyses
8.7.1 Socio-economic
and Political Analysis
This analysis: reviews the social,
economic
and political context of the project; reviews the pertinent recipient
country development strategies and plans; asks why the situation is as
it is; and identifies how the proposed project can contribute to the development
of the target population, area(s), institution(s) or to the solution of
existing problems. As in all five analyses, this analysis should also indicate
what the expected developmental benefits and results of the initiative
are and what constraints and risks are likely to be faced.
This analysis can be seen and undertaken
as three distinct parts (social, economic and political) or as one interdisciplinary
study of the development context of the project.
The social aspect would
cover the basic living conditions of the population (especially the target
group); the social needs of the target group; the value systems and influence
of culture; the class system or other indications of rich and poor; social
policies and current investments in social capital; the project's potential
impact (positive and negative) on people living in poverty; the project's
potential impact (positive and negative) on children; potential for local
ownership and commitment; and the cultural "fit" of the project. The social
analysis would assess interests (positive and negative), needs of, benefits
to, and relations among, the stakeholders and the optimum roles, influence,
and expectations of the parties, as well as potential support or opposition
(risk) to the proposed project. This can be determined through a standard
stakeholder
analysis.
The economic aspect would
review the country's macro-economic situation and economic contribution
to the proposed sector(s) of involvement; the economic needs of the target
group; the economic constraints to achieving the expected benefits; the
costs/benefits comparison to determine the costs of implementing and operating
the proposed project as compared to the benefits/results, and whether the
costs are justified in comparison to the benefits that they are likely
to generate.
The political aspect
would assess the political and decision making systems and structures at
the national and local levels and their likely influence on (or risk to)
the project; the state of democratic development and respect for human
rights; divisions within the political framework by sex, land-ownership,
wealth, etc.; political influence of women, ethnic groups, the poor, etc.;
and the political climate and stability in the country. (Note that the
information dealing with women would be taken from, or included in, the
Gender Analysis described below.)
All three "parts" of the analysis would
identify the expected results of the project and the potential constraints
and risks to the project as found in the LFA.
The available tools that could facilitate
the analysis include (but are not limited to):
-
a diagnostic survey to gain an understanding
of the prevailing conditions in the region, country, communities and to
assist in determining the needs of vulnerable groups;
-
a situational review to consider the barriers
to reaching the target groups and the potential for leverage and cooperation;
-
a stakeholder analysis (which
would also be useful for other analyses);
-
social assessment techniques including
rapid appraisal and surveys using participatory approaches; and
-
the results of the Gender Analysis (see
below).
8.7.2 Gender Analysis
CIDA's
Policy on Gender Equality is based on the principle that development
interventions will only be effective if they serve the needs and interests
of both women and men, girls and boys. CIDA's use of Gender Analysis reflects
its recognition of the potential for projects to involve and affect males
and females differently. This potential for differential impacts is a consequence
of the different roles women and men often play in economic, social and
political processes. These different roles usually result in women having
less access than men to resources, benefits and power.
The Branch Gender Specialist should
be consulted in the planning of this analysis and in the review of the
findings.
Gender Analysis is a tool which
should be used as an integral part of the appraisal and design process.
Gender equality considerations should also be included in the socio-economic
and political analysis, the capacity analysis, the development benefits
analysis and in the subsequent feasibility process.
A country gender equality profile,
if it exists, can serve as a starting point from which a more detailed
project level gender analysis can be carried out. Given that women and
men are not homogenous groups, Gender Analysis can also provide information
on other social variables such as class, race and ethnicity which may have
important implications for a project.
At the project appraisal stage, Gender
Analysis focuses on the specific context of the project and identifies:
-
the differentiated needs and priorities
of women and men, girls and boys;
-
opportunities to reduce gender gaps and
promote gender equality;
-
measures to enable women to participate
and benefit equally;
-
the capacity of partner government/civil
society organizations to support gender equality both within their own
decision making structures and through their programming;
-
specific results related to improving
gender equality and gender-sensitive indicators for monitoring project
performance; and
-
constraints and risks related to gender
issues.
Gender Analysis should be carried out
by qualified professionals and with adequate resources to ensure relevance
and accuracy. Branch Gender Specialists can assist in identifying information,
developing TORs and assisting with the selection of consultants as required.
Other sources of information also include CIDA field staff, local women's
organizations, gender networks and other donors/organizations active on
gender equality issues in the project area.
Findings from the project Gender Analysis
should be reflected in the project description and contribute to project
design and the shaping of expected results. Gender-sensitive performance
indicators should be included for all three levels of results in the LFA.
The Summary of Findings for the Gender
Analysis (which is appended to Annex C of the PAD) not only summarizes
the key points of the Gender Analysis, but also indicates how this analysis
has informed the design, expected results and performance Indicators of
the project.
8.7.3 Capacity
Analysis
CIDA considers capacity development
(CD) as a means to achieve sustainable development from its initiatives.
This holistic perspective depends on the simultaneous improvement of an
array of interdependent factors and institutions. CD integrates concepts
such as institutional development, organizational change and human resource
development. Capacity analysis provides an essential basis for promoting
ownership and commitment and for the formulation of effective and efficient
strategies for capacity development.
At the project level, capacity analysis
refers to the process that identifies the strategic (transformational)
change factors and operational (transactional) change factors that need
to be addressed in the targeted institution(s) to effectively develop its/their
capacity.
The strategic change factors should
consider:
-
the effects of external environment (risks)
on achieving project results including the government's commitment to the
development of the target institution(s), the political, administrative
and legal interface of the institution(s) with the government and related
institutions and the social/cultural milieu;
-
the mission and strategy, leadership and
cultural environment of the institution(s);
-
the working environment within which the
capacity development will take place, for example, the pool of human and
financial resources available to the project; the labour market conditions
(inflow and outflow of trained and experienced personnel, the working conditions,
the standards and certification requirements);
-
the commitment and capacity to address
gender equality as reflected in the policies, structures (including staffing),
procedures, guidelines and resource allocations of the institution;
-
the likely sources of support for and
opposition to change and development; and
-
other risks at the strategic level to
embarking on a capacity development approach.
The operational change factors to be considered
include:
-
the orientation of the institution(s)
towards accountability and producing results;
-
the perceived acceptance of change and
Results-Based Management (see section
3.3);
-
the organizational structure and culture
of the institution(s) and constraints to structural changes;
-
the management systems and practices,
decision making process, level of decentralization/centralization;
-
the planning process;
-
human resource and financial issues (potential
for sustainability, self-reliance);
-
the likely sources of support for and
opposition to change and development;
-
other international influences (such as
other donor involvement); and
-
the risks to embarking on a capacity development
project/approach.
A Capacity Analysis report outline might
include:
-
the one page "Summary of Findings;"
-
the overall context;
-
the policy and institutional environment;
-
the network within which the organization(s)
belong(s) (possibly a stakeholder analysis);
-
the specific institutional and organizational
assessment;
-
the availability of human and financial
resources and the potential for continuity of supply;
-
the potential to address gender equality
issues (see also the Gender Analysis);
-
consideration of the capacity analysis
in project design;
-
potential risks; and
-
relevant capacity development input into
the draft LFA, including possible expected results and performance indicators
related to capacity development.
There are a number of tools and related
analyses available to assist in a capacity analysis and the staff or consultants
undertaking the analysis should be familiar with their application. For
example, SWOT analysis is a technique for looking at the Strengths (S),
Weaknesses (W), Opportunities (O) and Threats (T) related to institutions.
Further information can be obtained
in the document, Capacity and Institutional Assessments: Frameworks,
Methods and Tools for Analysis.
8.7.4 Environmental
Analysis
It is essential that an environmental
specialist be consulted early in the assessment of any project in order
to determine the type and extent of the analysis required.
Because there is a difference between
an environmental analysis and an environmental assessment (as governed
by the Canadian Environmental Assessment Act - section 8.8 below),
PMs are urged to consult with an environment specialist for assistance
before planning to undertake either an analysis or assessment. PMs should
know what forms must be completed with respect to the CEAA, the types of
projects which require an assessment or when an analysis (as opposed to
an assessment) is sufficient.
Project Managers are strongly advised
to consult the Policy Branch document The
CEAA and the Roadmap which relates the CEAA and environmental assessment
procedures to each step in the bilateral project cycle.
Environmental Analysis examines the
conditions of the bio-physical environment (water, soils, air, etc.) and
the economic, social and institutional frameworks that influence the status
and management of the environment. The objective of the analysis is to
determine if adjustments have to be made to the project design to maximize
its environmental benefits and thus to contribute to sustainable development.
The Environmental Analysis, which can
be undertaken as part of the process involving the other analyses, should:
-
establish an environmental profile of
the territory affected by the project - the status of the environment,
the problems, the potential impact of development initiatives, conditions
for environmental management (enabling environment, legal, economic, institutional),
the local capacity for solving environmental problems, the need for environmental
education and/or awareness training, and any risks related to the environmental
aspects of the project. (Often, this information is available in the national
environmental action plan or national environmental strategy of the recipient
country.);
-
involve consultations with communities/areas
that may be affected;
-
consider the relationship of the environmental
profile to the project design and its potential effect on expected results
- links between potential problems and project design, constraints and
risks to project implementation, what steps need to be taken to resolve
environmental issues, how the project will contribute to CIDA's commitment
for environmental sustainability, how the project can support Canada's
commitments to international environmental conventions, agreements and
initiatives;
-
carry out the analysis using CIDA's guides
and forms for this purpose (consult an environment specialist); and
-
indicate adjustments made to the project
design and implementation plans to maximize environmental benefits;
-
Identify relevant environmental input
into the draft LFA, including possible expected results and performance
indicators related to the environment.
See section 8.8 below for information
on the requirements for Environmental Assessment pursuant to the Canadian
Environmental Assessment Act (CEAA).
8.7.5 Analysis
of the Benefits to Canada and the Recipient Country
This analysis combines two important
questions often asked about development assistance programs: what are the
benefits to the recipients; and what are the benefits to Canada in doing
the project?
a) Benefits
to the Recipient:
An analysis of the developmental benefits
to the recipient country, region, target group (as appropriate) should
consider:
-
the expected results and other benefits
to and effects (positive and negative) of the project on the political
environment, the country/region's developmental objectives and capabilities,
the contribution to good governance, social policy, gender equality and
government commitment to same;
-
the project's linkage with the country's
macro-economic situation, its economic contribution to the sector(s), cross-sectoral,
thematic or development issues which the project proposes to address and
the economic constraints to achieving the expected benefits;
-
the project's potential contribution to
the economic well-being and social conditions of the target population
(men, women, boys and girls) including primary and secondary beneficiaries
and the project's potential impact (positive and negative) on the poor;
-
the interests (positive and negative),
needs of, benefits to, and relations among the stakeholders and the optimum
roles, influence, expectations of the parties, as well as potential support
or opposition to the proposed project. These can be determined through
a standard stakeholder analysis (as mentioned in Chapter 6,
but in more depth than for the screening process);
-
the increased capacity for self-reliance
with a view to local ownership, commitment, a cultural "fit" and grass-roots
development;
-
a cost/benefit study to determine the
cost of implementing and operating the proposed project as compared to
the benefits/expected results, and whether the costs are justified in comparison
with the benefits that they are likely to generate (see the economic portion
of the Socio-economic and Political analysis) ;
-
the potential for leverage and cooperation
with other government and donor initiatives; and
-
the constraints and risks that can affect
the achievement of benefits/expected results.
b) Benefits
to Canada:
Canada's ODA strategy includes projecting
distinctively Canadian concerns and interests in international development.
In addition to the specific developmental and policy factors (good governance,
human rights, poverty alleviation, etc.), the strategy includes consideration
of Canada's business and trade interests. Consultations with the Department
of Foreign Affairs and International Trade (DFAIT), other Government departments
(as appropriate) and CIDA specialists are essential for this part of the
analysis.
This part of the analysis is particularly
relevant for projects in LOB 1 (Blueprint) and LOB 5 (Iterative) when there
is a component involving Canadian equipment, technology or services. It
is mandatory for Lines of Credit under LOB 2 (Transfer/Support).
Note:
This part
of the analysis may also be relevant to LOB 8 (Responsive Mechanism) projects
depending on the type of project being proposed. PMs should make this determination
at the time of the Preliminary Proposal and advise the project proponent
accordingly.
The Benefits to Canada portion of the
analysis involves examination of the potential "spin-off" benefits for
Canadian businesses from project initiatives that include:
-
the potential for establishing on-going
and/or future linkages and/or networking;
-
the potential for establishing joint ventures
and/or partnerships;
-
the feasibility of including studies/research,
activities that, as a by-product, provide business interests from Canada
and the region/country with information and data related to business opportunities
and potential markets;
-
the potential for introducing and promoting
Canadian expertise, goods and services and facilitating exports.
This part of the analysis should consider:
-
the project's relationship to Canadian
policies and efforts to stimulate trade or business opportunities with
the region/country;
-
the returns to Canada in the form of benefits
to Canadian firms and organizations, procurement of services and goods
and economic gains to Canada;
-
the linkages and partnerships to be formed
and their potential for sustainability;
-
the relationship of these proposed business
and trade benefits to Canadian ODA policies and the balance between development
assistance and business and trade;
-
the business context of the proposed project
- the involvement of Canadian specialists, private sector and sector-specific
organizations (education, industry, etc.);
-
linkages to any initiatives of CIDA's
Partnership Branch;
-
how benefits to Canada were taken into
account in the project design.
In summary, this part of the analysis
takes into account the strategic or political considerations of the project
and its potential contribution to "partnership" with Canadian organizations
which is one of the foundations of Canada's Official Development Assistance
Strategy.
8.8 The Canadian
Environmental Assessment Act (CEAA)
All CIDA projects and programs are
subject to the CEAA, specifically the regulations entitled Projects
Outside Canada (POC). Project Managers are strongly advised to consult
the Policy Branch document The
CEAA and the Roadmap which relates the CEAA and environmental assessment
procedures to each step in the Bilateral project cycle. Adherence to the
provisions of the CEAA is a legislative requirement.
The purpose of Environmental Assessment
is to determine the expected nature and scope of the project's potential
adverse effects, understanding public concerns, examining alternatives,
and defining measures to eliminate or mitigate these adverse effects. The
CEAA governs the terms and conditions for this assessment.
The first step in environmental assessment
is for the environmental specialist on the project team to determine whether
or not the project is subject to an environmental assessment under the
CEAA and then to complete Form 1519-1, the (Environmental) Preliminary
Assessment Form.
If the preliminary assessment determines
that there are no expected adverse environmental impacts, the Environmental
Assessment activity is complete and the proposed project can proceed to
the approval stage.
However, if an environmental assessment
is required under the CEAA, the PM and environmental specialist must ensure
that it is carried out following the CEAA process described in the document,
CEAA
and the Roadmap which results in completion of Form 1519-2, (Environmental
Assessment) Screening Report Form. The project can not proceed to the approval
stage until the environmental assessment is completed and CIDA makes a
decision that the proposed project will not cause significant, adverse
environmental effects. CIDA's decision under the CEAA is recorded by the
completion of Form 1519-4: Environmental Assessment - Review of Screening
Report and CIDA Course of Action.
PMs must rely upon their environment
specialist for advice and guidance these matters in view of the technical
nature of the CEAA requirements and considerations and the specific regulatory
role played by these specialists.
8.9 Validating
Bilateral Responsive Mechanism Proposals
Projects submitted under the Bilateral
Responsive Mechanism (LOB 8), which request a CIDA contribution of $500,000
or greater require a formal project appraisal by the project proponent
(see section
4.4.8).
The general principle is that project
proponents should address all five project analyses in submitting their
proposals, but the bilateral desk may advise otherwise with its decision
on the Preliminary Proposal, noting the minimum requirements outlined in
section
8.3.1 above.
Note:
To the extent
possible, the project proponent's analyses should be conducted in a participatory
manner involving all project stakeholders and beneficiaries.
Information for project proponents about
project appraisal is available to them on CIDA's Internet Web Site. The
level of effort on the project proponent's part should be determined by
the size, complexity, potential risks and subject matter of its proposal.