The TDA/SAP approach in the GEF The TDA/SAP approach in the GEF International Waters Programme: International Waters Programme:
An OverviewAn Overview
Laurence Mee, Andrew Hudson and Martin Bloxham
Developed by:Developed by:
Marine and Coastal PolicyMarine and Coastal PolicyResearch GroupResearch GroupUniversity of PlymouthUniversity of PlymouthUnited KingdomUnited Kingdom
Train-Sea-CoastTrain-Sea-CoastUnited NationsUnited NationsNew YorkNew York
STRUCTURE OF THIS PRESENTATIONSTRUCTURE OF THIS PRESENTATION
PART 3
COURSE OBJECTIVE STRUCTURE
AND METHOD OF
WORKING
PART 1
BACKGROUND TO THE INTERNATIONAL
WATERS TDA/SAP: PRINCIPLES, PROCESSES
AND APPROACH
PART 2
OVERVIEW OF THE 5 PHASES
OF THE TDA/SAP
PROCESS
PART 1PART 1
BACKGROUND TO THE BACKGROUND TO THE INTERNATIONAL WATERS TDA/SAP: INTERNATIONAL WATERS TDA/SAP:
PRINCIPLES, PROCESSES AND PRINCIPLES, PROCESSES AND APPROACHAPPROACH
Why do we need international waters assessments?
In the past, most actions have focused on removing the symptoms of water-related environmental degradation
They haven’t identified nor addressed the causes (e.g. immediate, underlying and root) nor the transboundary nature of much of this degradation
Why do we need international waters assessments?
Interventions have frequently failed to fully identify the impacts (environmental, socioeconomic) and temporal and geographical boundaries of the problem and its causes (scaling & scoping).
The boundaries of the area where the problem itself is observed may not encompass the location of the cause.
Why do we need international waters assessments?
Limited financial support and capacities for addressing international waters problems
Need to agree upon priorities related to certain key transboundary waters issues (screening)
WHAT IS THE GEF TDA/SAP PROCESS?WHAT IS THE GEF TDA/SAP PROCESS?
The GEF IW TDA/SAP process
Global Environment Facility
International Waters
Transboundary Diagnostic Analysis
Strategic Action Programme
GOALGOAL:: To assist countries to use the full range of To assist countries to use the full range of
measuresmeasures needed to operationalise sustainable needed to operationalise sustainable
development strategies fordevelopment strategies for International WatersInternational Waters
Measures: Technical, economic, financial, regulatory, and
institutional
GEF INTERNATIONAL WATERS GEF INTERNATIONAL WATERS OPERATIONAL STRATEGYOPERATIONAL STRATEGY
THREE COMPLEMENTARY THREE COMPLEMENTARY OPERATIONAL PROGRAMMESOPERATIONAL PROGRAMMES
OP8 OP8 Waterbody based Waterbody based
operational programmeoperational programme
FocusFocus:: Remedial actions To seriously threatened and/or damaged water bodies and the most
imminent transboundary threats to their
Ecosystems
OP9OP9Integrated Land And Integrated Land And Water Multiple Focal Water Multiple Focal
Area ProgrammeArea Programme
FocusFocus:: Preventive measures to address threats to particular
geographical areas that typically involve
sustainable integrated land and water resources
management practices
OP10OP10Contaminant based Contaminant based
Operational Operational ProgrammeProgramme
FocusFocus: Particular Issues in a global context, (e.g. ship
derived contaminants, PTS, metals), “that help
demonstrate ways of overcoming barriers to the adoption of best practices that limit contamination of
the IW environment”
WHAT DO WE MEAN BY WHAT DO WE MEAN BY “INTERNATIONAL WATERS”“INTERNATIONAL WATERS”
Include:Include:
Large Marine Ecosystems (LMEs)Large Marine Ecosystems (LMEs) Enclosed or semi-enclosed seasEnclosed or semi-enclosed seas EstuariesEstuaries RiversRivers LakesLakes Groundwater systemsGroundwater systems Wetlands with TB drainage basins or common bordersWetlands with TB drainage basins or common borders
EXAMPLES OF TRANSBOUNDARY EXAMPLES OF TRANSBOUNDARY WATERSWATERS
Country
A
Country
B
Country
C
Large marineecosystem
Marine
Country
C
Country
A
Country
B
Wetland
Wetland
CountryA
CountryB
CountryC
Lake River
CountryB
CountryC
CountryA
Country
C
Country
A
Country
B
Aquifer
Aquifer
THE TRANSBOUNDARY DIAGNOSTIC THE TRANSBOUNDARY DIAGNOSTIC ANALYSIS (TDA) ANALYSIS (TDA)
Is Is recommendedrecommended for most OP8 and OP9 for most OP8 and OP9 projects projects
Is a Is a scientific and technicalscientific and technical fact-finding fact-finding analysisanalysis
It should be an It should be an objectiveobjective assessment and assessment and not not a negotiateda negotiated document document
It acts as a diagnostic tool for measuring the It acts as a diagnostic tool for measuring the effectivenesseffectiveness of SAP implementation of SAP implementation
STRATEGIC ACTION PROGRAMME STRATEGIC ACTION PROGRAMME (SAP) (SAP)
A SAP is a A SAP is a negotiatednegotiated policy document policy document
It establishes It establishes clear priorities for actionclear priorities for action to resolve the to resolve the priority transboundary waters problemspriority transboundary waters problems
It identifies It identifies policy, legal and institutional reforms policy, legal and institutional reforms and investmentsand investments needed to address the priority needed to address the priority transboundary waters problemstransboundary waters problems
The preparation of a SAP is a The preparation of a SAP is a cooperative processcooperative process among among key stakeholderskey stakeholders in the countries of the in the countries of the region.region.
WHAT ARE THE DIFFERENCES & WHAT ARE THE DIFFERENCES & COMPLEMENTARITIES BETWEEN THE TDA AND COMPLEMENTARITIES BETWEEN THE TDA AND
THE SAP?THE SAP?
THE TDA IDENTIFIES:•THE PRIORITY PROBLEMS•ENV & SE IMPACTS•UNDERLYING SECTORAL AND ROOT CAUSES
•ANALYSIS OF GOVERNANCE
BASED ON A REASONED AND MULTI-SECTORAL CONSIDERATION OF THE PROBLEMS
THE FACTUAL BASIS FOR THE FORMULATION OF A SAP
OUTLINES THE POLICY, LEGAL, AND INSTITUTIONAL REFORMS AND INVESTMENTS NEEDED TO RESOLVE THE PRIORITY TB PROBLEMS
MUST BE AGREED BEFORE TECHNICAL ASSISTANCE, CAPACITY-BUILDING, OR INVESTMENT PROJECTS CAN BE DEVELOPED
THE SAP SETS OUT SPECIFIC ACTIONS FOR EACH COUNTRY THAT CAN BE ADOPTED NATIONALLY BUT HARMONISED WITH THE OTHER CONCERNED COUNTRIES
THE TDA THE SAP
Process and ActivitiesProcess and Activities
The GEF Project CycleThe GEF Project Cycle
Develop project concept
Prepare project document
GEF review for eligibility and pipeline entry.
Secure PDF Funding.
GEF review for ‘Work Programme’
inclusion
GEF Council approval
Sign, implement, monitor and evaluate full project
Final evaluation
Potential new interventions
Project ‘appraisal’: Finalize IA project
document.
Submit for CEO endorsement
Project cycle phasesProject cycle phases
Project cycle decision points Project cycle decision points
Process and ActivitiesProcess and Activities
The GEF Project CycleThe GEF Project Cycle
Develop project concept
Prepare project brief
GEF review for eligibility and pipeline entry.
Secure PDF Funding.
GEF review for ‘Work Programme’
inclusion
GEF Council approval
Sign, implement, monitor and evaluate full project
Final evaluation
Potential new interventions
Project ‘appraisal’. Brief expanded to IA project
document.
Submit for CEO endorsement
Preparation of the draft concept paper
Submission for pipeline entry and approval of the concept paper and PDF-
B funding request
Preparation of Full Project document and M & E Plan
Submission of Full Project document
Approval by the GEF Council
Full Project document finalized
Full Project document endorsed
Implementation of the Full Project
Potential new interventions
Process and ActivitiesProcess and Activities
Project development terminologyProject development terminology
Process and ActivitiesProcess and Activities
Stepwise Approach to an IW Full-sized ProjectStepwise Approach to an IW Full-sized Project
PDF-A Funding
Request for PDF-A funds (if required)
Initiation of the project proposal through GEF implementing agency
Preliminary project request
Submission for pipeline entry and approval of the concept paper and PDF-B funding request
Preparation of the draft concept paper
Identification and consultation with the prospective members of the Technical Task Team
Identification and consultation with stakeholder groups
Preparing a draft concept paper for pipeline entry
PDF-B Funding
Process and ActivitiesProcess and Activities
Stepwise Approach to an IW Full-sized ProjectStepwise Approach to an IW Full-sized Project
Initial TDA development
Undertake a detailed stakeholder analysis and draft public involvement plan
Design work plan for the TDA/SAP implementation phase including budgets
Formation of the TDA/SAP management structure
Implementation of the PDF-B: Preparatory phase of the TDA/SAP
Process and ActivitiesProcess and Activities
Stepwise Approach to an IW Full-sized ProjectStepwise Approach to an IW Full-sized Project
Full Project document prepared and endorsed
Approval by the GEF Council
Submission of Full Project brief
Preparation of Full Project brief and Monitoring & Evaluation Plan
Implementation of the PDF-B: Preparation of the Full Project document
Process and ActivitiesProcess and Activities
Stepwise Approach to an IW Full-sized ProjectStepwise Approach to an IW Full-sized Project
Full Project Funding
Steps towards a Full Project brief for SAP implementation
Completion of the TDA and formulation of the SAP
Formulation of Full Project management structure
Implementation of the Full Project
Process and ActivitiesProcess and Activities
Stepwise Approach to an IW Full-sized ProjectStepwise Approach to an IW Full-sized Project
THREE SOURCES OF GEF FUNDINGTHREE SOURCES OF GEF FUNDING
May cover:
Prep of project Prep of project concept paper & pdf-concept paper & pdf-b proposalb proposal
Consultation with Consultation with governmentsgovernments
Initial stakeholder Initial stakeholder identificationidentification
An assessment of An assessment of feasibility of the feasibility of the proposed activityproposed activity
May cover:
Information gathering, Information gathering, consultation and consultation and supporting supporting documentation to documentation to prepare full project prepare full project proposalsproposals
Stakeholder Stakeholder involvement and M&E involvement and M&E PlansPlans
Establishment and Establishment and initiation of TDA/SAP initiation of TDA/SAP mechanismsmechanisms
Awarded in Awarded in accordance with GEF accordance with GEF Guidelines (OS, OP, Guidelines (OS, OP, SPs) and the relevant SPs) and the relevant ConventionConvention
RequisiteRequisite::
Submission & Submission & approval of a full approval of a full project concept paper; project concept paper;
A project brief for A project brief for presentation of the presentation of the project proposal to project proposal to GEF CouncilGEF Council
PDF – A FundingPDF – A Funding PDF – B FundingPDF – B Funding Full Project FundingFull Project Funding
PDF-A funding PDF-B funding Full Project funding
Early stage programme supportProject identificationInitial stakeholder consultations
TDA/SAP developmentFull Project proposal development
Implementation of SAP
SCENARIOS OF THE GEF FUNDING SCENARIOS OF THE GEF FUNDING PROCESSPROCESS
Projects with a smaller number of participating countries
PDF-A funding PDF-B funding Full Project funding (I)
Full Project funding (II)
Early stage programme supportProject identificationInitial stakeholder consultations
Initial TDA developmentPreliminary SAPFull Project proposal development
TDA completionSAP developmentDemonstration projects
Implementation of SAP
SCENARIOS OF THE GEF FUNDING SCENARIOS OF THE GEF FUNDING PROCESSPROCESS
Projects with a larger number of participating countries
PART 2PART 2
OVERVIEW OF THE 5 PHASESOVERVIEW OF THE 5 PHASES
OF THE TDA/SAP PROCESSOF THE TDA/SAP PROCESS
Full stakeholder participation
Underlying principles Underlying principles incorporated into incorporated into
the TDA/SAP the TDA/SAP processprocess
Joint fact-finding (inc. social and economic
root causes)Transparency
The ecosystem approach
Adaptive management
Adaptive ManagementAdaptive Management
Periodic assessment (TDA)• System boundaries (space and time)• Scoping of environmental & social impacts• Research on causality• Review of institutions, laws, policies,
economic instruments
Robust, quantitative, Environmental state indicators to measure levels of impact
Studies of initial conditions
Regulations and complianceStatus and trendsF
ast
feed
bac
k lo
op
Short-term targets
(Typically valid 5 yrs)
EcoQOs(typically valid for 1
decade)
Regular monitoring (all indicators)
Stress reduction and process indicators to measure socio-economic drivers, pressures and project performance
Slo
w
feed
bac
k lo
op Eco/WR QOs
(Typically valid for 1 decade)
Full stakeholder participation
Underlying principles Underlying principles incorporated into incorporated into
the TDA/SAP the TDA/SAP processprocess
Joint fact-finding (inc. social and economic
root causes)Transparency
The ecosystem approach
Adaptive management
Accountability
Inter-sectoral policy buildingStepwise consensus
building Subsidiarity
Incremental costs
Donor partnerships
Government commitment
THE TDA/SAP PROCESSTHE TDA/SAP PROCESS
The TDA/SAP process can be divided into 5 The TDA/SAP process can be divided into 5 phases:phases:
Planning the TDA/SAP
TDA development
SAP formulation
SAP implementation
Project development
1. Project development
Preliminary project request
Identification and consultation with the stakeholder groups
3. Development of the TDA
Identification and initial prioritisation of transboundary problems
Analysis of impacts/ consequences transboundary problems
Production and submission of complete draft TDA
TDA Preparation
Causal chain analysis and governance analysis
Final prioritisation of transboundary problems
4. Formulatingthe SAP
Bridging the TDA and SAP and developing long-term EcoQOs
Brainstorming ways to attain the Eco/WR QOs
Examination of and political consultation on alternative options
Development of targets and indicators
Drafting the NAPs and SAP
Planning the remaining steps of the SAP and appointing SAP and NAP formulation teams
2. Planningthe TDA/SAP
Design work plan for the TDA/SAP implementation phase including budgets
Detailed stakeholder analysis and draft public involvement plan
Identification of the technical task team (TTT)
Preparation of a draft concept paper
Project approval by the GEF CEO
Appointment of Project Manager
Appointment of Facilitator
Form Interministry Committees
Form Steering committee
Set up the TDA Technical Task Team (TTT)
5. SAPimplementation
Adoption of the SAP: The Ministerial Conference
Preparation of Full Project brief
Conducting a Donors Conference
Development of relevant interventions by GEF and/or other donors
Agreement on the institutional framework
TDA adopted by steering committee
1. PROJECT DEVELOPMENT1. PROJECT DEVELOPMENT
The project development phase deals with the The project development phase deals with the steps required to secure GEF funding for a Full steps required to secure GEF funding for a Full Project. Project.
In particular, it concentrates on the preparation In particular, it concentrates on the preparation of the draft concept paper, pdf-a/b and the full of the draft concept paper, pdf-a/b and the full project document including incremental costproject document including incremental cost
PROJECT DEVELOPMENT PHASEPROJECT DEVELOPMENT PHASE
Preliminary project request
Preparing a draft concept paper for pipeline entry
Appointment of facilitator
Project development and implementation Module 2
Identification and consultation with the stakeholder groups
Identification of the technical task team (TTT)
2. PLANNING THE TDA/SAP2. PLANNING THE TDA/SAP
The phase deals with the steps required to:The phase deals with the steps required to:
Setting upSetting up a management structure for a TDA/SAP a management structure for a TDA/SAP
Carrying out a detailed stakeholder analysis and Carrying out a detailed stakeholder analysis and public participation planpublic participation plan
Design work plan for the TDA/SAP implementation Design work plan for the TDA/SAP implementation phase including budgetsphase including budgets
Preparation of Full Project Brief and Monitoring & Preparation of Full Project Brief and Monitoring & Evaluation PlanEvaluation Plan
PLANNING THE TDA/SAPPLANNING THE TDA/SAP
Planning the TDA/SAP
Formation of the TDA/SAP management structure: Project Manager, IMCs, Steering Committee
Detailed stakeholder analysis and draft public involvement plan
Module 2
Setting up the TDA Technical Task Team (TTT)
Design work plan for the TDA/SAP implementation
Preparation of Full Project document
3. DEVELOPMENT OF THE TDA3. DEVELOPMENT OF THE TDA
This phase deals with the steps required to:This phase deals with the steps required to:
Identify, quantify, and set priorities for the water-Identify, quantify, and set priorities for the water-related environmental & water resources problems related environmental & water resources problems that are transboundary in nature. that are transboundary in nature.
Identify their immediate, underlying and root causes.Identify their immediate, underlying and root causes.
Undertake a governance analysisUndertake a governance analysis
Draft the TDADraft the TDA
Development of the TDA (or joint fact-finding)
Identification and initial prioritisation of transboundary problems
Analysis of impacts/consequences of each transboundary problem
Production and submission of complete draft TDA
Modules 3 and 4
TDA Preparation
Causal chain analysis and governance analysis
Final prioritisation of transboundary problems
TDA adopted by steering committee
DEVELOPMENT OF THE TDADEVELOPMENT OF THE TDA
4. FORMULATING THE SAP4. FORMULATING THE SAP
The Strategic Action Programme is a The Strategic Action Programme is a process of reaching political consensus process of reaching political consensus on the policy and legal reforms, on the policy and legal reforms, investments and capacity building investments and capacity building requirements needed to address the key requirements needed to address the key issues identified in the TDA. issues identified in the TDA.
It requires the best possible technical It requires the best possible technical advice and is based on the principle of advice and is based on the principle of collaborative problem solvingcollaborative problem solving
Underlying principle of negotiation: Underlying principle of negotiation: Collaborative problem solvingCollaborative problem solving
Seeking compromiseSeeking compromise
When there may be no win-win solution.
Dewey’s ‘rules of logic’ (1930)Dewey’s ‘rules of logic’ (1930)
1.1. DefineDefine the problem in terms of the problem in terms of needsneeds, not solutions, not solutions
2.2. BrainstormBrainstorm possible solutions possible solutions
3.3. SelectSelect the solutions that will best meet both parties’ the solutions that will best meet both parties’ needs and needs and check possible consequencescheck possible consequences
4.4. PlanPlan who will do what, where and when who will do what, where and when
5.5. ImplementImplement the plan the plan
6.6. EvaluateEvaluate the problem-solving process and, at a later the problem-solving process and, at a later date, how well the solution turned out.date, how well the solution turned out.
STEPS FOR DEVELOPING THE SAPSTEPS FOR DEVELOPING THE SAP
Develop a long term vision for the regionDevelop a long term vision for the region
Brainstorm ways to attain the Eco/WR QOsBrainstorm ways to attain the Eco/WR QOs
Assess the acceptability of the options, including: Assess the acceptability of the options, including: technical feasibility, as well as economic and politicaltechnical feasibility, as well as economic and political
Set short-term targets and priority actionsSet short-term targets and priority actions
Develop M & E indicatorsDevelop M & E indicators
Draft the SAPDraft the SAP
Formulating the SAP
Bridging the TDA and SAP and developing long-term Eco/WR QOs
Brainstorming ways to attain the Eco/WR QOs
Examination of and political consultation on alternative options
Development of targets and indicators and agreement on the institutional framework
Module 5
Drafting the action programmes
Planning the remaining steps of the SAP
FORMULATING THE SAPFORMULATING THE SAP
Building a national and regional Building a national and regional consensus on the SAPconsensus on the SAP
Approach 2 (national workshop leads)
Initial regional brainstorming workshop
Approach 1 (regional workshop leads)
National workshops revise proposals
SAP Task Team (regional)
Integration
PROPOSALS FOR REVIEW
Feasibility/detailed technical evaluation
National brainstorming workshops
SAP Task Team (regional)
Regional level feedback
SAP Task Team (regional)
PROPOSALS FOR REVIEW
Integration
Feasibility/detailed technical evaluation
5. SAP IMPLEMENTATION5. SAP IMPLEMENTATION
This final phase drives the whole process This final phase drives the whole process towards the implementation of the SAP through towards the implementation of the SAP through the development of relevant interventions by the the development of relevant interventions by the GEF and/or other donorsGEF and/or other donors
SAP IMPLEMENTATIONSAP IMPLEMENTATION
SAP implementation
Adoption of the SAP: The Ministerial Conference
Development of relevant interventions by GEF and/or other donors
Module 2
Conducting a Donors Conference
PART 3 PART 3
TSC/IW-LEARN COURSE TSC/IW-LEARN COURSE OBJECTIVE, STRUCTURE AND OBJECTIVE, STRUCTURE AND
METHOD OF WORKINGMETHOD OF WORKING
PURPOSE OF THE COURSEPURPOSE OF THE COURSE
To build a core of human resources and strengthen To build a core of human resources and strengthen
the project planning capabilities of individuals and the project planning capabilities of individuals and
institutions involved in GEF IW projects, as a means institutions involved in GEF IW projects, as a means
for a more effective implementation of the strategy and for a more effective implementation of the strategy and
procedures set up by GEF IW authorities at both the procedures set up by GEF IW authorities at both the
local and regional levels.local and regional levels.
OBJECTIVE OF THE COURSEOBJECTIVE OF THE COURSE
It is expected that by the end of the course, the It is expected that by the end of the course, the
participants will have strengthened knowledge and participants will have strengthened knowledge and
management skills management skills to apply the full TDA/SAP to apply the full TDA/SAP
procedure leading to the production of an Strategic procedure leading to the production of an Strategic
Action Programme (SAP), as well as to know how to Action Programme (SAP), as well as to know how to
proceed and take decisions regarding any of the steps proceed and take decisions regarding any of the steps
in the TDA/SAP planning and management processin the TDA/SAP planning and management process
TARGET POPULATIONTARGET POPULATION
Project Managers/Chief Technical Advisors Project Managers/Chief Technical Advisors
Members of the TDA Technical Task TeamMembers of the TDA Technical Task Team
Members of the NAP or SAP Formulation TeamsMembers of the NAP or SAP Formulation Teams
PMU staffPMU staff
Personnel from national planning officesPersonnel from national planning offices
Members of the inter-ministry committeeMembers of the inter-ministry committee
Members of the Project Steering CommitteeMembers of the Project Steering Committee
Structure of the CourseStructure of the Course
Module 1Module 1 Overview of the TDA/SAP ProcessOverview of the TDA/SAP Process
Module 2Module 2 The Project Development Phase and Planning the TDA/SAPThe Project Development Phase and Planning the TDA/SAP
Module 3Module 3 Joint fact finding 1: Identification and prioritisation of transboundary Joint fact finding 1: Identification and prioritisation of transboundary issues and the determination of environmental and socio-economic issues and the determination of environmental and socio-economic effectseffects
Module 4Module 4 Joint fact finding 2: Causal chain and governance analysis, integration Joint fact finding 2: Causal chain and governance analysis, integration of the TDA and submission for final approvalof the TDA and submission for final approval
Module 5Module 5 Formulating the SAP: Development of a long-term vision, preparing Formulating the SAP: Development of a long-term vision, preparing and assessing the acceptability of the options, setting targets and and assessing the acceptability of the options, setting targets and drafting the action programmesdrafting the action programmes
Module 6Module 6 Governance analysis and stakeholder involvementGovernance analysis and stakeholder involvement
METHOD OF WORKINGMETHOD OF WORKING
This is a This is a job-oriented and problem solvingjob-oriented and problem solving course that provide participants a set of concepts, course that provide participants a set of concepts, practical tools, and lessons learned. practical tools, and lessons learned.
Through the use of more than 30Through the use of more than 30 case studies applicable case studies applicable to every step of the TDA/SAP management process, the to every step of the TDA/SAP management process, the participants are exposed to experiences from many GEF participants are exposed to experiences from many GEF IW projects.IW projects.
This is a This is a group training coursegroup training course with prepared with prepared training manuals, reading materials, lectures, practical training manuals, reading materials, lectures, practical exercises and self-assessment tests.exercises and self-assessment tests.
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