Audit and Evaluation Branch Biodiversity Policy and Priorities

Evaluation of Biodiversity Policy and Priorities

November9, 2012

Environment Canada1

Audit and Evaluation Branch Biodiversity Policy and Priorities

Report Clearance Steps

Planning phase completed / October 2011
Report sent for management response / May 2012
Management response received / May 2012
Report approved by Departmental Evaluation Committee / November9, 2012

Acronyms used in the report

ABS / Access and Benefit Sharing
ADM / Assistant Deputy Minister
AEB / Audit and Evaluation Branch
BSG / Biodiversity Steering Group
CAFF / Conservation of Arctic Flora and Fauna
CBD / Convention on Biological Diversity
CBMP / Circumpolar Biodiversity Monitoring Program
CBS / Canadian Biodiversity Strategy
CCRM / Canadian Council of Resource Ministers
CESD / Commissioner for the Environment and Sustainable Development
CESI / Canadian Environmental Sustainability Indicators
COP / Conference of the Parties
CWS / Canadian Wildlife Service
DG
DMOs / Director General
Deputy Ministers and others
EBPD / Ecosystem and Biodiversity Priorities Division
EC / Environment Canada
ESTR / Ecosystem Status and Trends Report
FBC / Federal Biodiversity Committee
F/P/T / federal/provincial/territorial
FSDS / Federal Sustainable Development Strategy
G&Cs / grants and contributions
ICABS / Interdepartmental Committee on ABS
ICB / Interdepartmental Committee on Biodiversity
IPBES / Intergovernmental Science-Policy Platform on Biodiversity and Ecosystem Services
OGDs / other government departments
PMF / performance measurement framework
SA / sub-activity

Acknowledgments

The Evaluation Project Team would like to thank those individuals who contributed to this project, particularly members of the Evaluation Committee, as well as all interviewees and survey respondents who provided insights and comments crucial to this evaluation.

The Evaluation Project Team was led by Shelley Tice, under the direction of William Blois,Environment Canada’s Evaluation Director. The team included John Abagis, Lindsay Fitzpatrick and Susan Wharton.

Prepared by the Evaluation Division, Audit and Evaluation Branch

Environment Canada1

Audit and Evaluation Branch Biodiversity Policy and Priorities

Table of Contents

EXECUTIVE SUMMARY

1.0INTRODUCTION

2.0BACKGROUND

2.1Program Profile

2.2Governance Structure

2.3Resource Allocation

2.4Program Logic Model

3.0EVALUATION DESIGN

3.1Purpose and Scope

3.2Evaluation Approach and Methodology

3.3Challenges and Limitations

4.0FINDINGS AND CONCLUSIONS

4.1Relevance

Continued Need for the SA

Alignment with Federal Government and Departmental Priorities

Consistency with Federal and Departmental Roles and Responsibilities

4.2Performance

Design

Performance Measurement

Economy and Efficiency

Achievement of Outcomes

5.0RECOMMENDATION AND MANAGEMENT RESPONSE

Annex 1 Summary of Findings

Annex 2 Direct and Intermediate Outcome Themes

Environment Canada1

Audit and Evaluation Branch Biodiversity Policy and Priorities

EXECUTIVE SUMMARY

This report presents the results of the Evaluation of Biodiversity Policy and Priorities, conducted by Environment Canada’s (EC’s) Audit and Evaluation Branch between September 2011 and May 2012. The report addresses the activities that fall under the Department’s Program Activity Architecture (PAA) sub-activity (SA) 1.1.1. EC’sBiodiversity Policy and Priorities SA represents 0.33% of the Department’s direct program spending and was identified for evaluation in the Department’s 2011–2016 Risk-Based Audit and Evaluation Plan.

The focus of the Biodiversity SAis on providing coordination and cross-cutting support,both domestically and internationally,forbiodiversity initiatives. Key areas of focus for this SA include

  • biodiversity policy
  • the Convention on Biological Diversity (CBD)
  • the Canadian Biodiversity Strategy (CBS)
  • the Genetic Resources Policy related to Access and Benefit Sharing (ABS)
  • international biodiversity monitoring and reporting

The evaluation addressed each of the components identified above, including all related grants and contributions (G&Cs) over the four-year time frame from 2008–2009 to 2011–2012.Multiple methodologies were used in this evaluation, including a review of key documents, financial analysis, key informant interviews, an external stakeholder survey and case illustrations.

Findings and Conclusions

There is a continued need for the work of the Biodiversity Policy and Priorities SAto advocate for the importance of biodiversity within Canada and globally and to support the extensive collaboration needed among the many stakeholders who share responsibility for the conservation and sustainable use of biodiversity. The work of this SA is aligned with federal and departmental priorities to protect and preserve the diversity and health of our natural environment and is consistent with federal and departmental roles and responsibilities.

The current SA design is contributing to the achievement of its outcomes.Extensive performance information on the state of biodiversity and the achievement of the SA’s outcomes is being collected in collaboration with a number of partners and is being used to inform decisionmaking. Challenges related to sharing and accessing data from multiple jurisdictions and sourceshave been identified, but efforts are being taken to address these. Efforts have been made to link the SA’s newly created logic model to the departmental performance measurement framework, as well as other reporting mechanisms.

Governance mechanisms are well defined at the federal/provincial/territorial(F/P/T) level. There is evidence, however, of a recent trend toward reduced levels of F/P/T senior management engagement on biodiversity.Within EC, the disbanding of the boards introduced an interim period of reduced senior management discussions on cross-cutting biodiversity issues, both for issue-specific discussions and broader direction setting. EC’s new governance model allows for the creation of Assistant Deputy Minister-led and Director General-led collaborative committees thatcould accommodate this requirement;at time of writing, however, these committees have not been created.

While generally priorities are clear, progress on ABS has been impacted by challenges arising from a lack of clear direction. Recent federal discussions at the Assistant Deputy Minister level may pave the way for greater progress.

A highly functioning team and the effective use of collaboration, professional service contracts and G&C funded projects enables EC to accomplish a great deal within a modest budget. Concerns were raised regarding the ability to continue to deliver on all of the SA’s outcomes in light of declining resources.

With respect to biodiversity outcomes,

  • Canadian interests and priorities are strongly reflected in work related to the CBD and Conservation of Arctic Flora and Fauna(CAFF). EC negotiators have had a significant influence on the global biodiversity agenda through successful negotiations at international conferences and steering groups.
  • Biodiversity is being mainstreamed to some extent at the F/P/T levels, with most progress occurring at the provincial and territorial levels. Under EC’sleadership,Canada is meeting its international biodiversity commitments, the majority of which pertain to ensuring progress on biodiversity domestically.
  • There is considerable evidence of biodiversity being mainstreamed locally. EC’s role in the achievement of this outcome is largely indirect, being that of a facilitator working through third parties to leverage interest and share information.
  • Extensive biodiversity information is available to public and government stakeholdersin a number of forms and is showcased through a number of mechanisms, thus suggesting a contribution to increased knowledge and understanding of biodiversity. Individuals and organizations value nature and support conservation efforts related to biodiversity.
  • Evidence of appropriate progress toward the immediate and intermediate outcomes suggests that EC is making strides toward the achievement of the final outcome related to the conservation of biodiversity in Canada and globally. Although some progress has been made,threats to biodiversity continue and long-term work is needed.

Recommendation

The followingsole recommendation is directed to the ADM, Environmental Stewardship Branch, as the senior departmental manager responsible for Biodiversity Policy and Priorities.

Recommendation:Establish a mechanism or forum for horizontal discussion and coordination of biodiversity issues within the Department.

Within EC, the disbanding of the boards introduced an interim period of reduced senior management discussions on cross-cutting biodiversity issues, both for issue-specific discussions and broader direction setting. The new governance model has mechanisms thatwould accommodate these discussions;at time of writing, however, they have not been utilized.

Given that biodiversity is a horizontal file that impacts many areas of the Department (e.g. Environmental Stewardship, Science and Technology, International Affairs and Strategic Policy), mechanisms for engagement and coordination are key to providing a horizontal lens to set priorities for the biodiversity file as a whole, streamlining the approval process (e.g. Canadian positions and agendas for international meetings), and increasing awareness, communication and collaboration related to biodiversity.

Although governance mechanisms for biodiversity are well defined at the F/P/T level with the existence of both inter-jurisdictional committees and federal interdepartmental committees, there has been a recent trend toward reduced levels of senior management engagement on biodiversity, as evidenced by a decline in the frequency of senior-level meetings of these committees. Given EC’s leadership role in these committees, maintaining ongoing engagement and dialogue within EC on biodiversity issues is critical for ensuring a continued focus on biodiversity at the F/P/T level.

The ADM, Environmental Stewardship Branch,agrees with the recommendation.
Management Action
Within the new departmental governance structure,significant policy proposals on cross-cutting biodiversity issues will continue to be the subject of Deputy Ministers and others(DMOs) meetingsat appropriate times.The first such meeting, to discuss Canadian biodiversitygoals and targets as part of Canada’s domestic response to the CBD2011-2020 Strategic Plan, was held on June 28th, 2012.
In addition, a new DG-led collaborative committee on biodiversity will be established on a one-year trial basis to provide a regular forum for horizontal policy and program discussions related to cross-cutting biodiversity initiatives, particularly in the context of EC’s responsibilities under the CBD.
The committee will be chaired by the DG, Canadian Wildlife Service, with representatives from other implicated areas of the Department. The DG Committee will meet quarterly, or more frequently as needed.
Timeline / Deliverable(s) / Responsible Party
Summer 2012 / Development of draft terms of reference and proposed membership. / DG – CWS
Fall 2012 / First meeting of the Committee; adoption of terms of reference; summary meeting notes; forward agenda. / DG – CWS, with Committee members
Quarterly / Committee meetings with agenda and meeting notes. / DG – CWS

Fall 2013 Discussion and decision on ongoing role for DG – CWS, with

DG CommitteeCommittee members

Environment Canada1

Audit and Evaluation Branch Biodiversity Policy and Priorities

1.0INTRODUCTION

This report presents the results of the Evaluation of the Biodiversity Policy and Priorities sub-activity (SA) 1.1.1,of Environment Canada’s (EC’s) Program Activity Architecture (PAA), which was conducted by EC’s Evaluation Division, Audit and Evaluation Branch in 2011–2012.[1] The evaluation was identified in the 2011–2016 Departmental Risk-Based Audit and Evaluation Plan, which was approved by the Deputy Ministerin the spring of 2011.[2]

The document is organized as follows.Section 2.0 provides background information on the profile of the Biodiversity Policy and Priorities SA. Section 3.0 presents the evaluation design, including the purpose and scope of the evaluation, as well as the methods used to conduct the evaluation. Section 4.0 presents the evaluation findings and conclusions. Section 5.0 lays outthe sole recommendationand management’s response.

2.0BACKGROUND

2.1Program Profile

Biodiversity Policy and Priorities is an SA that falls under the Biodiversity – Wildlife and Habitat 1.1 activity.[3]The focus of the Biodiversity Policy and Priorities SAis on providing coordination and cross-cutting support forbiodiversity initiatives, both domestically and internationally. “Biodiversity,” the term often used for “biological diversity,” refers to the variety of species and ecosystems on Earth and the ecological processes of which they are a part.[4]

This PAA element enables EC to play a leadership and coordinating role at the national level by engaging stakeholders and other government departments in Canada’s implementation of theUnited Nations (UN) Convention on Biological Diversity (CBD), and representing Canada’s domestic interests in international fora.

The key areas of focus for this SA include

  • Biodiversity policy: provides analysis and advice related to policy priorities, emerging issues and policy coordination of cross-cutting issues.
  • Convention on Biological Diversity: coordinates Canadian negotiating positions for CBD, related meetings and a variety of national focal point and host-country-related obligations.
  • Canadian Biodiversity Strategy (CBS): advances domestic implementation of the CBD, leads national planning (e.g. coordination of federal/provincial/territorial fora to develop national biodiversity objectives) and reports on implementation, and engagement of key stakeholders.
  • Genetic resources policy: coordinates the development of domestic policy and Canada’s position related to access and benefit sharing (ABS) in collaboration with other federal government departments and provincial/ territorial jurisdictions.
  • International biodiversity monitoring and reporting: represents Canada at the working group on the Conservation of Arctic Flora and Fauna (CAFF) and provides coordination of information on the state of international biodiversity, specifically Arctic biodiversity.

This SA uses a mix of science, policy tools, research and collaboration to develop and implement policy frameworks and strategies at thenational level (e.g. CBS, Biodiversity Outcomes Framework, ABS of Genetic Resources) and internationallevel (e.g. CBD; an international regime on ABS; Biosafety Protocol; CAFF).

The International Year of Biodiversity (2010) and the International Polar Year (2012) are of particular significance for this SA as they bring a concentrated focus to this area of work. Further, at the 10th meeting of the Conference of the Parties (COP 10) for the CBD in 2010, key decisions were made to establish a new strategic plan, including the Aichi Biodiversity Targets,which are expected to influence the global and domestic biodiversity agenda over the next decade, which has been declared the UN Decade on Biodiversity (2011–2020).

2.2Governance Structure

Overall accountability for work completed under this SA rests with the DirectorGeneral (DG) of Strategic Priorities,who reports to the Assistant Deputy Minister(ADM) of the Environmental Stewardship Branch. Primary responsibility for the delivery of Biodiversity Policy and Priorities lies with the Ecosystems and Biodiversity Priority Division (EBPD).[5] Shortly after the completion of the evaluation in early 2012, changes to the organization and scope of the work of the Biodiversity Policy and Priorities SAwere proposed as part of the Department’s contribution to the government’s Deficit Reduction Action Plan. Although these changes had yet to be implemented at the time of this report, early indications are that elements of the work in this area will continueand that organizational changes will result in a revised reporting structure for different Biodiversity activities.

As biodiversity is a cross-cutting issue, this elementalso generateshigh levels of interaction with other areas of the Department (e.g. the Canadian Wildlife Service)that perform work related to biodiversity, climate change, water, and marine pollution, among others. This element also has close linkages withPAA element 1.3.2 Ecosystem Assessment and Approaches, which is responsible for domestic monitoring and reporting of biodiversity, including the Ecosystem Status and Trends Report (ESTR).

The most overarching governance mechanism for work on Biodiversity within Canada is thefederal/provincial/territorial (F/P/T) Canadian Council of Resource Ministers (CCRM).[6] Numerous formal committees and steering groups that fall under the CCRM also play a key role in the work of this SA:

  • At the F/P/T level, theADM-level Biodiversity Steering Group (BSG) reports to theDeputy Minister-level committee on biodiversity, which in turn advises the CCRM. The Deputy Minister and ADM committees are supported by the F/P/T Biodiversity Working Group, as well as by working groups established to support the CCRM’s work on specific issues (e.g. ABS; F/P/T Task Force on the Value of Nature to Canadians Study).
  • Federally, theADM-level Federal Biodiversity Committee (FBC) exists interdepartmentally to coordinate federal positions for biodiversity meetings, supported by working-level committees, including the Interdepartmental Committee on Biodiversity (ICB), through which federal positions for international and F/P/T biodiversity meetings are coordinated; the federal Interdepartmental Committee on ABS (ICABS) for ABS-related issues; andthe executive ICABS (DG/Director level).
  • For matters related to CAFF, theDG Advisory Group, consisting of DGs and Directors from EC and other federal government departments with an interest in CAFF-related issues, provides advice and leadership direction.

In addition to working closely with F/P/T partners, this SAengages stakeholders representing municipal governments, non-governmental organizations, Aboriginal organizations, businessand academia to mainstream biodiversity and support conservation efforts.

Within EC, key internal stakeholders include International Affairs; Science and Technology;Strategic Policy; and other areas of the Environmental Stewardship Branch thatdeal with biodiversity issues, including program areas within the Canadian Wildlife Service. Prior to replacing the board structure in EC with a new governance structure in February 2012, the Ecosystem Sustainability Board was the primary forum for senior management discussions on cross-cutting biodiversity issues. The new governance structure was put in place to provide a pragmatic approach to engagement within the Department and facilitate the horizontal nature of EC and its program interdependencies. Key mechanisms available under the new structure include Deputy Ministers and others (DMO) committees for focused and timely discussion on specific issues, and ADM-led and DG-led collaborative committees, which can be formed and disbanded as needed.[7]

2.3Resource Allocation

The Biodiversity Policy and Priorities SA represents approximately 0.33% of the Department’s direct program spending.[8]Table 1 provides a summary of financial expenditures for 1.1.1 from 2008–2009 to 2011–2012.

The decrease in total resources in fiscal year 2010–2011 from previous years is due in part to a change in the PAA structure, which saw the domestic component of Biodiversity Monitoring and Reporting (including the work related to the ESTR) moved to PAA element 1.3.2 (Ecosystem Assessment and Approaches), leaving only the international component of monitoring and reporting in PAA element 1.1.1.[9] An analysis of year-over-year expenditures that included domestic monitoring and reporting in order to hold constant the program elements reveals an increase in funding of 15% in 2009–2010 and an additional increase of 3% in 2010–2011, followed by a significant decline of 26% for 2011–2012. The net effect is a 12% decline in expenditures for 2011–2012 from 2008–2009 levels.