Transboundary Diagnostic Anaylsis: The Mediterreanean Region

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


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.


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


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


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



Project development terminologyProject development terminology


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



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



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



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



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


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


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


Regional level feedback


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.

Transboundary Diagnostic Anaylsis: The Mediterreanean Region

Documents

international waters

international waters

country b aquifer aquifer

gef tdasap process

transboundary nature

gefthe tdasap approach

imminent transboundary

diagnostic tool