The TDA/SAP approach in the GEF International Waters Programme: An Overview Laurence Mee, Andrew Hudson and Martin Bloxham

Developed by: Marine and Coastal Policy Research Group University of Plymouth United Kingdom Train-Sea-Coast United Nations New York

STRUCTURE 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 1 BACKGROUND TO THE INTERNATIONAL WATERS TDA/SAP: PRINCIPLES, PROCESSES AND APPROACH

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? The GEF IW TDA/SAP process Global Environment Facility International Waters Transboundary Diagnostic Analysis Strategic Action Programme

GOAL: To assist countries to use the full range of measures needed to operationalise sustainable development strategies for International Waters Measures: Technical, economic, financial, regulatory, and institutional GEF INTERNATIONAL WATERS OPERATIONAL STRATEGY

THREE COMPLEMENTARY OPERATIONAL PROGRAMMES OP8 Waterbody based operational programme Focus: Focus: Remedial actions To seriously threatened and/or damaged water bodies and the most imminent transboundary threats to their Ecosystems OP9 Integrated Land And Water Multiple Focal Area Programme Focus: Focus: Preventive measures to address threats to particular geographical areas that typically involve sustainable integrated land and water resources management practicesOP10 Contaminant based Operational Programme Focus Focus: 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 “INTERNATIONAL WATERS” Include:  Large Marine Ecosystems (LMEs)  Enclosed or semi-enclosed seas  Estuaries  Rivers  Lakes  Groundwater systems  Wetlands with TB drainage basins or common borders

EXAMPLES OF TRANSBOUNDARY WATERS Country A Country B Country C Large marine ecosystem Marine Country C Country A Country B Wetland Country A Country B Country C LakeRiver Country B Country C Country A Country C Country A Country B Aquifer

THE TRANSBOUNDARY DIAGNOSTIC ANALYSIS (TDA)  Is recommended for most OP8 and OP9 projects  Is a scientific and technical fact-finding analysis  It should be an objective assessment and not a negotiated document  It acts as a diagnostic tool for measuring the effectiveness of SAP implementation

STRATEGIC ACTION PROGRAMME (SAP)  A SAP is a negotiated policy document  It establishes clear priorities for action to resolve the priority transboundary waters problems  It identifies policy, legal and institutional reforms and investments needed to address the priority transboundary waters problems  The preparation of a SAP is a cooperative process among key stakeholders in the countries of the region.

WHAT ARE THE DIFFERENCES & COMPLEMENTARITIES BETWEEN THE TDA AND 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 TDATHE SAP

Process and Activities The 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 phases Project cycle decision points

Process and Activities The 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 Activities Project development terminology

Process and Activities Stepwise 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 Activities Stepwise 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 Activities Stepwise 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 Activities Stepwise 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 Activities Stepwise Approach to an IW Full-sized Project

THREE SOURCES OF GEF FUNDING May cover:  Prep of project concept paper & pdf- b proposal  Consultation with governments  Initial stakeholder identification  An assessment of feasibility of the proposed activity May cover:  Information gathering, consultation and supporting documentation to prepare full project proposals  Stakeholder involvement and M&E Plans  Establishment and initiation of TDA/SAP mechanisms  Awarded in accordance with GEF Guidelines (OS, OP, SPs) and the relevant Convention Requisite:  Submission & approval of a full project concept paper;  A project brief for presentation of the project proposal to GEF Council PDF – A Funding PDF – B Funding Full Project Funding

PDF-A fundingPDF-B fundingFull Project funding Early stage programme support Project identification Initial stakeholder consultations TDA/SAP development Full Project proposal development Implementation of SAP SCENARIOS OF THE GEF FUNDING PROCESS Projects with a smaller number of participating countries

PDF-A fundingPDF-B fundingFull Project funding (I) Full Project funding (II) Early stage programme support Project identification Initial stakeholder consultations Initial TDA development Preliminary SAP Full Project proposal development TDA completion SAP development Demonstration projects Implementation of SAP SCENARIOS OF THE GEF FUNDING PROCESS Projects with a larger number of participating countries

PART 2 OVERVIEW OF THE 5 PHASES OF THE TDA/SAP PROCESS

Full stakeholder participation Underlying principles incorporated into the TDA/SAP process Joint fact-finding (inc. social and economic root causes) Transparency The ecosystem approach Adaptive management

Adaptive Management Eco/WR QOs (Typically valid for 1 decade)

Full stakeholder participation Underlying principles incorporated into the TDA/SAP process Joint fact-finding (inc. social and economic root causes) Transparency The ecosystem approach Adaptive management Accountability Inter-sectoral policy building Stepwise consensus building Subsidiarity Incremental costs Donor partnerships Government commitment

THE TDA/SAP PROCESS The TDA/SAP process can be divided into 5 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. Formulating the 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. Planning the 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. SAP implementation 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 DEVELOPMENT  The project development phase deals with the steps required to secure GEF funding for a Full Project.  In particular, it concentrates on the preparation of the draft concept paper, pdf-a/b and the full project document including incremental cost

PROJECT 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/SAP  The phase deals with the steps required to:  Setting up a management structure for a TDA/SAP  Carrying out a detailed stakeholder analysis and public participation plan  Design work plan for the TDA/SAP implementation phase including budgets  Preparation of Full Project Brief and Monitoring & Evaluation Plan

PLANNING 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 TDA  This phase deals with the steps required to:  Identify, quantify, and set priorities for the water- related environmental & water resources problems that are transboundary in nature.  Identify their immediate, underlying and root causes.  Undertake a governance analysis  Draft 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 TDA

4. FORMULATING THE SAP  The Strategic Action Programme is a process of reaching political consensus on the policy and legal reforms, investments and capacity building requirements needed to address the key issues identified in the TDA.  It requires the best possible technical advice and is based on the principle of collaborative problem solving

Underlying principle of negotiation: Collaborative problem solving Seeking compromise When there may be no win-win solution.

Dewey’s ‘rules of logic’ (1930) 1. Define the problem in terms of needs, not solutions 2. Brainstorm possible solutions 3. Select the solutions that will best meet both parties’ needs and check possible consequences 4. Plan who will do what, where and when 5. Implement the plan 6. Evaluate the problem-solving process and, at a later date, how well the solution turned out.

STEPS FOR DEVELOPING THE SAP  Develop a long term vision for the region  Brainstorm ways to attain the Eco/WR QOs  Assess the acceptability of the options, including: technical feasibility, as well as economic and political  Set short-term targets and priority actions  Develop M & E indicators  Draft 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 SAP

Building a national and regional consensus on the SAP

5. SAP IMPLEMENTATION  This final phase drives the whole process towards the implementation of the SAP through the development of relevant interventions by the GEF and/or other donors

SAP 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 TSC/IW-LEARN COURSE OBJECTIVE, STRUCTURE AND METHOD OF WORKING

PURPOSE OF THE COURSE To build a core of human resources and strengthen the project planning capabilities of individuals and institutions involved in GEF IW projects, as a means for a more effective implementation of the strategy and procedures set up by GEF IW authorities at both the local and regional levels. To build a core of human resources and strengthen the project planning capabilities of individuals and institutions involved in GEF IW projects, as a means for a more effective implementation of the strategy and procedures set up by GEF IW authorities at both the local and regional levels.

OBJECTIVE OF THE COURSE It is expected that by the end of the course, the participants will have strengthened knowledge and management skills to apply the full TDA/SAP procedure leading to the production of an Strategic Action Programme (SAP), as well as to know how to proceed and take decisions regarding any of the steps in the TDA/SAP planning and management process

TARGET POPULATION  Project Managers/Chief Technical Advisors  Members of the TDA Technical Task Team  Members of the NAP or SAP Formulation Teams  PMU staff  Personnel from national planning offices  Members of the inter-ministry committee  Members of the Project Steering Committee

Structure of the Course Module 1 Overview of the TDA/SAP Process Module 2 The Project Development Phase and Planning the TDA/SAP Module 3 Joint fact finding 1: Identification and prioritisation of transboundary issues and the determination of environmental and socio-economic effects Module 4 Joint fact finding 2: Causal chain and governance analysis, integration of the TDA and submission for final approval Module 5 Formulating the SAP: Development of a long-term vision, preparing and assessing the acceptability of the options, setting targets and drafting the action programmes Module 6 Governance analysis and stakeholder involvement

METHOD OF WORKING  This is a job-oriented and problem solving course that provide participants a set of concepts, practical tools, and lessons learned.  Through the use of more than 30 case studies applicable to every step of the TDA/SAP management process, the participants are exposed to experiences from many GEF IW projects.  This is a group training course with prepared training manuals, reading materials, lectures, practical exercises and self-assessment tests.