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The TDA/SAP approach in the GEF International Waters Programme: An Overview

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.

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The TDA/SAP approach in the GEF International Waters Programme: An Overview

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

  2. Developed by: Marine and Coastal PolicyResearch Group University of Plymouth United Kingdom Train-Sea-Coast United Nations New York

  3. STRUCTURE OF THIS PRESENTATION 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 3 COURSE OBJECTIVE STRUCTURE AND METHOD OF WORKING

  4. PART 1 BACKGROUND TO THE INTERNATIONAL WATERS TDA/SAP: PRINCIPLES, PROCESSES AND APPROACH

  5. 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 natureof much of this degradation

  6. 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.

  7. 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)

  8. The GEF IW TDA/SAP process WHAT IS THE GEF TDA/SAP PROCESS? Strategic Action Programme International Waters Global Environment Facility Transboundary Diagnostic Analysis

  9. GEF INTERNATIONAL WATERS OPERATIONAL STRATEGY GOAL: To assist countries to use the full range ofmeasuresneeded to operationalise sustainable development strategies forInternational Waters Measures:Technical, economic, financial, regulatory, and institutional

  10. THREE COMPLEMENTARY OPERATIONAL PROGRAMMES OP8 Waterbody based operational programme 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:Preventive measures to address threats to particular geographical areas that typically involve sustainable integrated land and water resources management practices OP10 Contaminant based Operational Programme 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”

  11. 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

  12. Marine Wetland Country A Large marine ecosystem Country C Wetland Country B Country B Country A Country C Lake River Country A Country B Country B Country A Country C Country C Aquifer Country A Aquifer Country B Country C EXAMPLES OF TRANSBOUNDARY WATERS

  13. 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

  14. 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.

  15. WHAT ARE THE DIFFERENCES & COMPLEMENTARITIES BETWEEN THE TDA AND THE SAP? THE TDA 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

  16. Process and ActivitiesThe GEF Project Cycle Project cycle phases Project cycle decision points Develop project concept Potential new interventions Final evaluation GEF review for eligibility and pipeline entry. Secure PDF Funding. Sign, implement, monitor and evaluate full project Prepare project document Submit for CEO endorsement GEF review for ‘Work Programme’ inclusion Project ‘appraisal’: Finalize IA project document. GEF Council approval

  17. Process and ActivitiesProject development terminology Process and ActivitiesThe GEF Project Cycle Preparation of the draft concept paper Develop project concept Potential new interventions Potential new interventions Final evaluation Submission for pipeline entry and approval of the concept paper and PDF-B funding request GEF review for eligibility and pipeline entry. Secure PDF Funding. Sign, implement, monitor and evaluate full project Implementation of the Full Project Preparation of Full Project document and M & E Plan Prepare project brief Full Project document endorsed Submit for CEO endorsement GEF review for ‘Work Programme’ inclusion Submission of Full Project document Project ‘appraisal’. Brief expanded to IA project document. Full Project document finalized Approval by the GEF Council GEF Council approval

  18. Process and ActivitiesStepwise Approach to an IW Full-sized Project Preliminary project request Initiation of the project proposal through GEF implementing agency Request for PDF-A funds (if required) PDF-A Funding

  19. PDF-B Funding Process and ActivitiesStepwise Approach to an IW Full-sized Project Preparing a draft concept paper for pipeline entry Identification and consultation with stakeholder groups Identification and consultation with the prospective members of the Technical Task Team Preparation of the draft concept paper Submission for pipeline entry and approval of the concept paper and PDF-B funding request

  20. Process and ActivitiesStepwise Approach to an IW Full-sized Project Implementation of the PDF-B: Preparatory phase of the TDA/SAP Formation of the TDA/SAP management structure Undertake a detailed stakeholder analysis and draft public involvement plan Design work plan for the TDA/SAP implementation phase including budgets Initial TDA development

  21. Full Project Funding Process and ActivitiesStepwise Approach to an IW Full-sized Project Implementation of the PDF-B: Preparation of the Full Project document Preparation of Full Project brief and Monitoring & Evaluation Plan Submission of Full Project brief Approval by the GEF Council Full Project document prepared and endorsed

  22. Process and ActivitiesStepwise Approach to an IW Full-sized Project Implementation of the Full Project Formulation of Full Project management structure Completion of the TDA and formulation of the SAP Steps towards a Full Project brief for SAP implementation

  23. THREE SOURCES OF GEF FUNDING PDF – A Funding PDF – B Funding Full Project Funding • 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 • May cover: • Prep of project concept paper & pdf-b proposal • Consultation with governments • Initial stakeholder identification • An assessment of feasibility of the proposed activity • 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

  24. SCENARIOS OF THE GEF FUNDING PROCESS Projects with a smaller number of participating countries

  25. SCENARIOS OF THE GEF FUNDING PROCESS Projects with a larger number of participating countries

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

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

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

  29. Underlying principles incorporated into the TDA/SAP process Full stakeholder participation 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

  30. THE TDA/SAP PROCESS The TDA/SAP process can be divided into 5 phases: Project development Planning the TDA/SAP TDA development SAP formulation SAP implementation

  31. 1. Project development 2. Planningthe TDA/SAP 3. Development of the TDA 4. Formulatingthe SAP 5. SAPimplementation Bridging the TDA and SAP and developing long-term EcoQOs TDA Preparation Appointment of Project Manager Preliminary project request Identification and initial prioritisation of transboundary problems Form Interministry Committees Adoption of the SAP: The Ministerial Conference Planning the remaining steps of the SAP and appointing SAP and NAP formulation teams Appointment of Facilitator Form Steering committee Analysis of impacts/ consequences transboundary problems Conducting a Donors Conference Identification and consultation with the stakeholder groups Brainstorming ways to attain the Eco/WR QOs Set up the TDA Technical Task Team (TTT) Final prioritisation of transboundary problems Development of relevant interventions by GEF and/or other donors Examination of and political consultation on alternative options Identification of the technical task team (TTT) Design work plan for the TDA/SAP implementation phase including budgets Causal chain analysis and governance analysis Development of targets and indicators Preparation of a draft concept paper Detailed stakeholder analysis and draft public involvement plan Agreement on the institutional framework Production and submission of complete draft TDA Project approval by the GEF CEO Drafting the NAPs and SAP Preparation of Full Project brief TDA adopted by steering committee

  32. 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

  33. Module 2 Project development and implementation PROJECT DEVELOPMENT PHASE Preliminary project request Appointment of facilitator Identification and consultation with the stakeholder groups Identification of the technical task team (TTT) Preparing a draft concept paper for pipeline entry

  34. 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

  35. PLANNING THE TDA/SAP Planning the TDA/SAP Module 2 Formation of the TDA/SAP management structure: Project Manager, IMCs, Steering Committee Setting up the TDA Technical Task Team (TTT) Design work plan for the TDA/SAP implementation Detailed stakeholder analysis and draft public involvement plan Preparation of Full Project document

  36. 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

  37. DEVELOPMENT OF THE TDA Modules 3 and 4 Development of the TDA (or joint fact-finding) TDA Preparation Identification and initial prioritisation of transboundary problems Analysis of impacts/consequences of each transboundary problem Final prioritisation of transboundary problems Causal chain analysis and governance analysis Production and submission of complete draft TDA TDA adopted by steering committee

  38. 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

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

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

  41. 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

  42. FORMULATING THE SAP Module 5 Formulating the SAP Bridging the TDA and SAP and developing long-term Eco/WR QOs Planning the remaining steps of theSAP 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 Drafting the action programmes

  43. Building a national and regional consensus on the SAP

  44. 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

  45. SAP IMPLEMENTATION SAP implementation Module 2 Adoption of the SAP: The Ministerial Conference Conducting a Donors Conference Development of relevant interventions by GEF and/or other donors

  46. PART 3 TSC/IW-LEARN COURSE OBJECTIVE, STRUCTURE AND METHOD OF WORKING

  47. 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.

  48. 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

  49. 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

  50. Structure of the Course

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