The GEF IW TDA/SAP Process: A Proposed Best Practice Approach

The GEF IW TDA/SAP Process:

A Proposed Best Practice Approach

The GEF IW TDA/SAP Process: A Proposed Best Practice Approach

Executive Summary This document is designed to provide a road map for best practice in formulating a Transboundary Diagnostic Analysis and a Strategic Action Programme (TDA/SAP) as part of a GEF international waters project. It is prepared on the basis of discussions between specialists from UNDP, UNEP and the GEF Secretariat, together with practitioners who have completed the process in freshwater and marine systems. It reflects experience obtained in conducting TDA/SAPs between 1996 and the present. It is not however intended as a prescriptive formula, merely a guide that should be adapted to the cultural realities of each region. In preparing this guide, various other inter-institutional processes have been taken into account that have been supported by the GEF: the Global International Waters Assessment (UNEP-GEF), the IW:Learn programme (UNDP-GEF) and the Train Sea Coast programme (UNOALOS). The approach taken closely follows the paradigm of adaptive management and incorporates the recently defined GEF IW M & E indicators.

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1. Introduction Historically, advice on Transboundary Diagnostic Analysis (TDA) and Strategic Action Programme (SAP) approaches given by the Global Environment Facility (GEF) have been rather limited [REF]. However, the design of new information gathering mechanisms and the experience of a number of GEF International Waters (IW) projects has provided an opportunity to develop more formal guidelines to assist with the preparation of TDAs and to ensure inter-regional comparability [REF].

The GEF is an independent financial organisation that provides grants to developing countries for projects that benefit the global environment and promote sustainable livelihoods in local communities. Its International Waters Focal Area is organised around three complementary Operational Programmes: OP8 (waterbody-based Operational Programme); OP9 (integrated land and water multiple focal area Operational Programme); and OP 10 (contaminant based operational programme).

The production of a TDA followed by the formulation of a SAP is a requirement for most OP8 and OP9 projects proposed for financing in the GEF IW Focal Area [REF].

In 2001, the GEF commissioned a comprehensive programme study for its Operation Programmes 8 and 9 [REF]. The Programme Study found that the emphasis on undertaking a science-based TDA prior to the design of a SAP was appropriate for projects in these Operational Programs.

In addition, the Programme Study found that there were a variety of ways in which a TDA could be conducted. Some were more resource-intensive than others, but usually offered advantages in providing greater insight and specificity, thereby providing an improved information base for the formulation of the SAP. However, it also concluded that there needed to be more GEF guidance regarding the nature of TDAs and the manner in which they lead to, and are distinct from, the development of SAPs. A further exhaustive programme study was commissioned by the GEF in 2005 which found that although the TDA/SAP process was gradually improving,, there were still projects that failed to distinguish between global and local benefits (a fundamental tenet of the GEF). Furthermore many did mot identify social or economic root causes of transboundary problems and failed to identify or incorporate stakeholders [REF].

2. Underlying principles A TDA is a scientific and technical fact-finding analysis used to scale the relative importance of sources, causes and impacts of transboundary waters problems. It should be an objective assessment and not a negotiated document. The analysis is carried out in a cross sectoral manner, focusing on transboundary problems without ignoring national concerns and priorities. In order to make the analysis more effective and sustainable it should include a detailed ‘governance analysis’ which considers the local institutional, legal and policy environment. Further, the TDA should be preceded by a full consultation with all stakeholders, and the stakeholders are involved throughout the subsequent process. The TDA approach is not only a proven way of achieving progress, it also acts as a diagnostic tool for measuring the effectiveness of SAP implementation.

An SAP is a negotiated policy document which should identify policy, legal and institutional reforms and investments needed to address the priority transboundary problems. Endorsed at the highest level, it establishes clear priorities for action to resolve the priority transboundary problems which were identified in the TDA. The preparation of a SAP is a cooperative process among the Revision 6

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participating countries. The TDA identifies the priority problems, the underlying sectoral causes, and the root causes of the problems. The SAP outlines the actions needed to resolve the priority problems and 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 (through National Action Programmes, or NAPS) but harmonised with the other concerned countries.

The following are some of the key underlying principles incorporated into the TDA/SAP approach: Full stakeholder consultation and participation Stakeholders are any party that is involved in or affected by an environmental problem or its solution. Consequently, a wide range of stakeholders are involved in a typical TDA/SAP process.

They can range from the Government, regulatory agencies, communities, businesses and NGOs. For the analyses to be objective and the solutions effective, the TDA/SAP process must develop a shared vision between stakeholders. It has to be accepted that some solutions may not be acceptable to all parties, but it is imperative that those that are eventually adopted should reflect a rigorous social assessment and be subjected to open stakeholder consultation.

From the initial identification of the problem, through the fact-finding phase, to the discussion of possible options and the agreement on quality objectives, all the stakeholders are frequently consulted, are formed into committees who choose the expert analysts, and who take part in brainstorming of possible and practicable solutions.

Adaptive management Adaptive management, sometimes described as ‘learning by doing’, is a process by which agreed long-term environmental goals are achieved in a series of pragmatic action-based steps. Within each step agreed achievement indicators are monitored and there is a joint planning exercise to review progress and to plan the next step (Figure 1).

For the purposes of many GEF IW projects, the adaptive management process consists of: (1) establishment of long-term Ecosystem Quality Objectives (EcoQOs) for key problems identified in the TDA; (2) agreement upon the most practical and achievable short-term (project length) targets and priority actions for making substantive progress towards resolving the problems; (3) agreement upon the appropriate process, stress reduction and environmental status indicators to monitor progress towards achieving the short term targets; (4) consultation with stakeholders on the proposals; (5) ensuring that the appropriate institutional measures are in place to oversee implementation of the agreed joint actions; (6) production of a subsequent revised TDA to document progress toward the long-term EcoQOs in the light of new scientific information; and finally (7) agreement on revised measures, short-term targets, etc.

The details of the process and its components will be elaborated further in Section 3 of this paper.

The ecosystem approach A useful working definition of the ecosystem approach has been developed by the Convention on Biological Diversity (CBD, 1998): The ecosystem approach is based on the application of appropriate scientific methodologies focused on levels of biological organization which encompass the essential processes and interactions amongst organisms and their environment.

The ecosystem approach recognizes that humans are an integral component of ecosystems.

The ecosystem approach has the following key features: • Management objectives as societal choice Revision 6

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The GEF IW TDA/SAP Process:

• • • • • • • •

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Management decentralised and multi-sectoral Appropriate temporal and spatial scale Conservation of ecosystem function and resilience Appropriate balance between conservation and use Management within system limits The outward vision (respect interconnectedness) and long-term vision (change is inevitable) Broad use of knowledge, scientific and traditional Incorporation of economic considerations (costs and benefits, removal of externalities, etc.)

The GEF IW Programme has the potential of delivering the ecosystem approach as it defines systems within natural boundaries (catchments or LMEs) rather than political ones.

Periodic assessment (TDA) • • • •

System boundaries (space and time) Scoping of environmental & social impacts Research on causality Review of institutions, laws, policies, economic instruments

EcoQOs (typically valid for 1 decade)

Robust, quantitative, Environmental state indicators to measure levels of impact

Short-term targets (Typically valid 5 yrs)

Regular monitoring (all indicators) Status and trends

Fast feedback loop

Slow feedback loop

Studies of initial conditions

Stress reduction and process indicators to measure socio-economic drivers, pressures and project performance

Regulations and compliance

Figure 1: The TDA/SAP Adaptive Management Model. There are two feed-back loops in the process. The first step consists of the selection of Ecosystem Quality Objectives (EcoQOs) based upon the results of the Transboundary Diagnostic Analysis. The second step consists of the negotiation of short-term targets, set within the timescale of a project implementation cycle, in order to achieve the EcoQOs. Both the EcoQOs and the short-term targets require quantitative indicators and these are incorporated within a regular monitoring programme. The results of the monitoring programme are used for (1) implementing regulations and checking compliance with the operational objectives, and (2) measuring the status and trends of key system state indicators (environmental and socio-economic) in order to assess progress towards the EcoQOs and ultimately the relevance of the EcoQOs themselves.

Timescales The development of a TDA and the formulation of a SAP should take approximately 1 to3 years.

However, to reverse environmental degradation in complex transboundary freshwater or marine Revision 6

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situations may take decades. A whole host of scientific, social, political, institutional, cross-sectoral and sovereignty issues may have to be tackled by collaborating countries before they can commit themselves to undertaking the reforms and investments needed.

Experience in developed countries has shown that it may often take 15-20 years before meaningful commitments to joint management improvements can be secured. More time is then needed before the reductions in stress from pollution, over-fishing, sedimentation, eutrophication and habitat alterations result in measurable improvements in the environmental status of waterbodies. Even single country efforts may take 20 to 30 years to develop.

Joint fact-finding The TDA should be conducted with the best available independent expertise, sourced locally where possible. The specialists should be selected by stakeholder representatives, many of which are typically included in national inter-ministry committees, and consult with them during the process.

This is important to ensure regional ownership of the process and its products.

Transparency The TDA is a document that will be in the public domain. During the fact-finding process, stakeholders should agree to freely share the necessary information and information products, taking care that full recognition is given to information sources.

Social and economic root causes of the problem The analysis of causal chains between key transboundary problems and their social and economic causes is a critically important element of the TDA process. It is important to appreciate that the geographical scale may change between the environmental and social impacts of a problem, the problem itself and the causes of the problem. Actions taken nearer to the root causes are more likely to have a lasting impact on the problem. The causal chain analysis is an important reference point when designing the practical actions that will be included in the SAP. Accountability Parties committing themselves to implementing the SAP must be fully accountable for their actions. The stakeholder group/ sector/ government agency(ies) responsible for implementing the actions proposed within the SAP must be clearly and unambiguously identified.

Inter-sectoral policy building Current systems of government are highly sectoral in nature. In order to develop a pragmatic programme of action, direct participation should be achieved by the key sectors involved in the problems. This involvement will normally consist of national Interministry committees, including appropriate government sectors as well as other relevant stakeholder representatives.

Stepwise consensus building Effective management requires efforts at building consensus at every step. By including clear stakeholder representation at all stages, consensus-building is more likely, increasing the probability that the outcome will be “owned� by the stakeholders and sustainable in the long-term.

Subsidiarity Practical solutions to transboundary problems require action at regional, national and sub-national (or local) levels. The more closely defined are the national and sub-national actions, the greater the likelihood of reaching the objectives set in the SAP. The SAP should clearly address the balance between regional and national actions, attributing the most appropriate implementation mechanism to each level of action.

Incremental costs Revision 6

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The SAP should distinguish those actions involving agreed incremental costs from those of purely national interest (baseline actions).

Donor partnerships The SAP process is designed to build partnerships between development partners (donors) in order to address the identified problems and, where necessary, to assist governments to cover the costs of baseline actions. An effective donor partnership will act as an incentive for commitment to the SAP and avoid duplication of efforts by the donor community.

Government commitment Approval or adoption of the SAP as a binding agreement between governments should be an important management objective of the process. If the process has been conducted in a stepwise manner, this final step should not be difficult to achieve (though it may well require administrative time). An SAP that does not involve a high level of formal commitment is unlikely to be taken seriously as a roadmap for policy development and implementation.

3. Key steps in the TDA/SAP process The TDA/SAP process can be divided into 5 phases: (1) (2) (3) (4) (5)

Project development Planning the TDA/SAP TDA development SAP formulation SAP implementation

Each phase will normally take a minimum of several months, and the whole process can range from a year in a very small project to several years in a major one.

The development of the TDA (and occasionally the SAP) is normally undertaken as part of the PDF-B activity. In some cases however (very complex regions with many countries or stakeholders), the PDF-B phase may only go as far as the TDA development, with the SAP elaborated as part of a Full Project (usually in combination with a programme of demonstration projects).

How far the following steps in the TDA development will be achieved will ultimately depend on the size of the project, the level of funds available, the number of stakeholders and the number of countries involved. For the purposes of illustrating the process in this module, we are assuming that the TDA and the SAP will be completed during the PDF-B stage.

The main activities covered in the overall process are shown in Figure 2. The following sections describe the process in more detail. Please note that the linear arrangement of most of the tasks has been adopted for the purpose of simplicity in presentation. In practice, some of the tasks can be performed in parallel, especially during the information gathering process for the TDA and the formulation of the SAP.

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1. Project development

Preliminary project request

Appointment of Facilitator

Identification and consultation with the stakeholder groups

Identification of the technical task team (TTT)

Preparation of a draft concept paper

Project approval by the GEF CEO

A Proposed Best Practice Approach

2. Planning the TDA/SAP Appointment of Project Manager

Form Interministry Committees

Form Steering committee

Set up the TDA Technical Task Team (TTT)

Design work plan for the TDA/SAP implementation phase including budgets

Detailed stakeholder analysis and draft public involvement plan

Preparation of Full Project brief

3. Development of the TDA

4. Formulating the SAP Bridging the TDA and SAP and developing long-term EcoQOs

TDA Preparation

Identification and initial prioritisation of transboundary problems

Analysis of impacts/ consequences transboundary problems

Planning the remaining steps of the SAP and appointing SAP and NAP formulation teams

Brainstorming ways to attain the EcoQOs

Final prioritisation of transboundary problems

Examination of and political consultation on alternative options

Causal chain analysis and governance analysis

Development of targets and indicators

Production and submission of complete draft TDA

TDA adopted by steering committee

Agreement on the institutional framework

Drafting the NAPs and SAP

Figure 2: Schematic diagram of the overall process. Major decision boxes are coloured blue.

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Adoption of the SAP: The Ministerial Conference

Conducting a Donors Conference

Development of relevant interventions

by GEF and/or other donors

The GEF IW TDA/SAP Process:

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3.1 The project development phase The project development process 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 and the full project document.

Within this process, the preparatory planning stages of the TDA/SAP can be undertaken prior to the start of the full-sized project. Once the full project is approved, the final steps of the TDA/SAP process can be completed, if not already done so during the PDF-B stage. This process is described in Figure 3.

Project development and implementation

Module 2

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

Figure 3: Stages in the development and implementation of an IW project 3.1.1 The preliminary project request The initial preliminary request for a project is submitted by either an individual or group and endorsed by the government (through its GEF operational focal point). If the GEF-IA task manager is satisfied with the legitimacy of the request, he/she may ask for start-up funding (PDF-A).

PDF-A funds may be requested at the very early stages of project development to provide assistance for preparing a Full Project concept paper and a PDF-B proposal. Requests should be endorsed by the government (by its GEF operational focal point). The Implementing Agency approves Block A PDF financing, and submissions are sent to the GEF Secretariat for information and comments.

3.1.2 Appointment of facilitator Once start-up funding (PDF-A) has been provided, a neutral facilitator or consultant, with full knowledge of the TDA/SAP process should be appointed. The facilitator has to undertake 3 main tasks.

• • •

Identification of the stakeholder groups and initial consultation with them Identification and consultation with the technical task team (TTT) Preparation of a draft concept paper

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3.1.3 Identification and initial consultation with the stakeholder groups A stakeholder consultation is a formal process designed to identify the main stakeholder groups (and their representatives) and to solicit their opinions on the main transboundary problems in the region. It is advisable to conduct the consultation using open questions which should cover: 1. the nature and severity of the transboundary concerns; 2. who are the other stakeholders, affected parties, causative parties, and other concerned parties; 3. who are the main groups empowered to resolve the identified problems (a ‘power analysis’).

The facilitator should conduct the stakeholder interviews or meetings in the countries requesting project support. This will be based upon an initial list supplied by the GEF focal points or the organism initiating the proposal.

There is a danger that the initial approach may not contain a balance of stakeholders that will enable a comprehensive solution to the problems identified. If so, this must be rectified as early as possible, as omitting stakeholders will create misunderstandings and resentments that may result in a SAP of little implementation value. If the results of the interviews suggest the omission of a major stakeholder, the facilitator should request access to them for the purpose of an additional interview.

Having completed the interview process, the facilitator should formulate a report to the IA that contains observations regarding which stakeholder groups should be represented in the project technical task team.

3.1.4 Identification and consultation with the technical task team (TTT) After the stakeholder consultation has been completed, the IA task manager will visit the GEF focal points to discuss the outcomes of the consultation and to agree upon the composition of an initial Technical Task Team (TTT).

The initial TTT should be a broadly representative technical body that will undertake the joint factfinding work of the TDA. It is important that stakeholder groups feel part of this process. If the technical work is ‘captured’ by a single sector, the first step in the consensus building process will be lost.

Note also that broad representation at this stage does not mean selection of the best academic scientific experts. The initial TTT should be relatively small. After the project has been approved for PDF-B funding, the TTT should be expanded for the TDA development phase. It is at this stage that further natural scientists, social scientists, economists, social assessment/participation experts, legal experts and policy experts should be invited to take part in the process.

3.1.5 Preparation of a draft concept paper Based on the findings and activities of the PDF-A phase, the facilitator, the IA and the EAs will draft an IW Full Project concept paper for GEF pipeline entry. The concept paper is used as the technical core for a (concurrent or subsequent) funding submission to the GEF (usually PDF-B).

The GEF IA will take responsibility for submitting the concept paper and the PDF-B funding proposal to the GEF Secretariat.

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Following approval of the PDF-B by the GEF CEO, a PDF-B document (as specified by the IA) is prepared. When this is approved by the implementing agency, the IA Task Manager will initiate the process of hiring a local Project Manager (PM).

In order for the TDA/SAP process to proceed smoothly, the Project Manager needs to carefully plan each phase of the project. The key planning steps are described in Figure 4.

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 brief

Figure 4: Steps carried out during the TDA/SAP planning phase 3.2.1 Formation of the TDA/SAP management structure The new project will require an appropriate management structure. A notional organisational structure is shown in Figure 5.

Day to day implementation of the project would normally be by the Project Manager. At the regional level, authority for project implementation will be with a Project Steering Committee which would normally consist of project focal point representatives, eligible donors (as observers), IA and EA representatives, and other stakeholder and civil society representatives as appropriate.

The project focal point representatives are expected to organise National Interministry Committees (NICs) to ensure that there is adequate feed-back on the project from each country and that the interests of the different sectors are represented in the TDA/SAP process.

3.2.2 Setting up the TDA Technical Task Team (TTT) The TTT will remain as the core body of expertise for the TDA process, thus ensuring continuity and a clear link with the stakeholders themselves. However, they should be augmented with the necessary natural scientists, social scientists, economists, legal experts and policy experts needed to complete the TDA itself. The additional expertise should be recommended by the TTT itself and appointed by the Steering Committee.

Further details on the actors involved in the process can be found in Appendix 1.

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PARTICIPATING COUNTRIES GOVERNMENT

• GEF Focal Point • Inter-ministry Committee

DONORS

CIVIL SOCIETY Representatives

Project Project Project Focal Focal Focal Point Point Point

STAKEHOLDERS Representatives

Global Environment Facility (GEF) Project Steering Committe e

GEF Implementing Agency (IA) Task Manager GEF Executing Agency

Technical Task Team (TTT)*

PROJECT Facilitator * Part-time contributors

National Action Programme (NAP) Formulation Team*

Project Management Unit: Project Manager Core team External Consultants*

Figure 5: Notional organisational diagram for a Full Project TDA/SAP Revision 6

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Strategic Action programme (SAP) Formulation Team*

The GEF IW TDA/SAP Process:

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3.2.3 Work plan for the TDA/SAP implementation phase A robust and practical work plan must be designed by the Project Manager during this preparatory phase. The work plan should: •

Be practical and achievable.

•

Function in a stepwise manner.

•

Be based on the existing project documents.

•

Include a full breakdown of the budget.

3.2.4 Detailed stakeholder analysis and draft public involvement plan As a prerequisite for Full Project (FP) approval, a stakeholder analysis must be conducted. This goes much further than the initial consultation by the facilitator; it seeks to verify the interest of groups and individuals in the project concept. The analysis must also include information on affected populations.

The analysis is made through structured questionnaires. The questionnaires are distributed to as many stakeholder groups as possible and the results are analysed statistically. The work can easily be conducted by an independent research group in the region.

A public involvement plan should also be prepared. This will become an annex to the full project document, described in Section 3.2.5. It can be formulated in a meeting of civil society representatives. The representatives meet with key members of the TTT and the facilitator to learn about the TDA/SAP process, examine the project concept and stakeholder analysis and agree on the best means of involving the general public. This dialogue is another important step in building a consensus.

3.2.5 Preparation of Full Project brief If the project concept is deemed eligible by the GEF it should be developed into a FP brief by the Project Manager, in close consultation with the GEF Coordination Office. Written government endorsement from those countries participating in the project is necessary at this stage. The endorsement must come from the Operational Focal Point for GEF in each participating country.

Further, an independent external technical review from an expert on the Scientific and Technical Advisory Panel (STAP) Roster of Experts must be attached to the project brief.

After the project brief has been prepared, the IA/EA will submit the brief documents (including the project executive summary, an incremental cost analysis, the STAP Roster review, and the country operational focal point endorsement) to the GEF Secretariat and other relevant parties for review.

If the project is approved by the GEF Council, it is further prepared and appraised by the IA/EA, during which detailed project arrangements, legal agreements, and the incremental cost of the project, are finalised. Once the project is fully prepared/appraised and is ready for approval by the authorising body of the IA/EA, the final project document is sent to the GEF Secretariat and endorsed by the GEF CEO.

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3.3.1 Joint fact-finding The TDA is a scientific and technical process of fact-finding (or diagnosing) the state of, and threats to, international waters. It has as its aims to: •

Identify, quantify, and set priorities for the environmental problems that are transboundary in nature.

•

Identify their immediate, underlying and root causes. The identification of causes includes practices, sources, locations and human activity sectors from which environmental degradation arises or is threatened.

Where possible, experts from the countries involved should do the work, but often international experts may also be needed, the emphasis being on using the best available independent expertise.

The regional TTT experts should be selected by stakeholder representatives and consult with them during the process. This is important to ensure regional ownership of the process and its products.

The TDA thus provides the factual basis for the formulation of a SAP based on a reasoned and multisectoral consideration of the problems. But it also shows countries how to exchange information and work together. This is valuable for the eventual formulation of the SAP. To be successful, the diagnostic analysis has to cover all relevant transboundary problems – this comprehensive (or holistic) approach is central to the TDA process. But to handle the complexity it is vital to break up complex transboundary situations into smaller, manageable pieces, and this is the approach used.

The steps involved in the TDA development process are described in Figure 6 which are often called ‘Joint fact-finding’ to emphasise the nature of the work, although it goes far beyond mere fact-finding. The word ‘joint’ is a reminder that the essence of the TDA process is coordinated joint action of the key stakeholders. The aim is to establish and agree on all facts relevant to the management of the transboundary problems.

Development of the TDA (or joint fact-finding)

Modules 3 and 4

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

Figure 6: Steps carried out during the TDA development process

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There are a variety of ways in which a TDA can be conducted. Some are more resource-intensive than others, but these usually offer greater insight, which gives an improved information base for the formulation of the SAP. Other TDAs are worthwhile at a simpler, more modest level.

3.3.2 TDA preparation: Information and data ‘stock taking’ exercise There is often a wealth of information and data available. However, it generally comes from multiple sources, its generation and use is often uncoordinated, and it is frequently neither accessible nor entirely appropriate.

Therefore, prior to developing the TDA, a simple information and data ‘stock taking’ exercise should be initiated (often termed a meta data study). This will ascertain the sources of information/data, its availability and gaps in knowledge.

The members of the TTT and Interministry Committees (IMCs) will generally be aware of the sources of information that are available in their respective countries, but you will need to confirm that all the following sources have been checked for relevant data: 3.3.3 Identification and initial prioritisation of transboundary problems The main analytical and diagnostic work has often been called Scaling – Scoping – Screening.

This means that the scale (or timescale and geographical area) of each problem, and its scope (magnitude) must be determined, and then the problems must be screened to sort out those of high priority from the low.

The first step in the TDA process is to agree on the transboundary problems. The initial stakeholder consultation will have already highlighted the main problems, but it is important for the TTT to revisit them, agree on whether or not the list is complete, examine their transboundary relevance, determine preliminary priorities and examine the scope of each.

The experts should brainstorm the list of problems with emphasis on their transboundary nature, and then conduct a simple exercise to assign priorities (high-medium-low) from an environmental and social/economic standpoint. The geographical extent of the problems associated with each problem can then be stated.

One approach which can be used to assign priorities is a simple variation of the ‘delphi’ technique of developing a consensus between experts, through feeding back joint opinions to individuals for them to refine their view.

This initial meeting of the TTT also serves as a project planning exercise. The expertise for the subsequent stages of the process can be discussed, as well as the availability of information.

Agreement on a preliminary contents page for the TDA is a useful way of ensuring that the entire process has been thoroughly discussed.

3.3.4 Analysis of impacts/consequences of each transboundary problem The environmental impacts and socio-economic consequences of the relevant transboundary problems should also be identified. Some of this information may have been gathered from the stakeholder consultation process since stakeholders may identify impacts or consequences and it is on this basis that problems are identified. However, the TTT must ensure that the entire range of impacts and consequences are identified and quantified, and this may require additional research.

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The final reports for each problem will be quite brief (typically some 5 pages per transboundary problem) but should contain objective and quantitative information. The work will normally be conducted by selected individual specialists but a summary text by the TTT should explain the overall significance of the problems in the region.

3.3.5 Final prioritisation of transboundary problems After the completion of the analysis of impacts/consequences, a final prioritisation should be carried out. Final prioritisation is vital since it ensures that the causal chain analysis concentrates on those problems that are the most significant to stakeholders and represent the best investment of their resources.

3.3.6 Causal chain analysis and governance analysis Future corrective actions can only be proposed with confidence if the whole chain of symptoms, causes and effects is understood. Such a causal chain analysis has to be carried out for each priority problem. The completed causal chain analysis should help to locate potential areas of intervention for the GEF, and is an important basis for the design of the practical actions that will be included in the SAP. The causal chain relates the problems to their immediate physical causes and their social and economic underlying causes. However, there is a danger here of confusing problems and immediate causes. For example, take the question of ‘Pollution hot spots’. Should the existence of hot spots be described as the problem to be dealt with?

During the TDA the interaction between causes and effects of key transboundary problems has to take into account that the geographical scale of the environmental and social impacts of a problem.

Remember: the problem itself and the causes of the problem may be different.

Completion of a causal chain analysis for each of the priority problems requires a mixture of expertise: scientific for the immediate causes, and social and economic for the underlying and root causes.

Immediate causes are usually technical in nature and should be quantified, prioritised and geographically located. Underlying causes are those that contribute to the immediate causes. They can broadly be defined as sectoral resource uses and practices, and their related social and economic causes.

Beyond the sectoral causes however, are deeper root causes of the problems, often macroeconomy, demography, consumption patterns, environmental values and access to information and democratic processes. Most of these are beyond the scope of GEF intervention but it is necessary to document them. The reason for this is that some proposed solutions may be unworkable if the root causes of the problem in question are overwhelming. Furthermore, actions taken nearer to the root causes are more likely to have a lasting impact on the problem.

3.3.7 Governance analysis The term ‘Governance’ is shorthand for the whole political environment: institutions, laws, policies and projected investments that affect the environmental problems. The analysis of these is known as governance analysis.

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The existence of a problem implies that some part of the current mechanisms or their implementation is insufficient otherwise the problem would not exist. Therefore these mechanisms and the reasons for any failure must be documented in order that appropriate interventions can be suggested.

An important characteristic of governance analysis is to find out where decision-making power really sits, and how the mechanisms actually work, as opposed to how they are supposed to work.

Governance analysis should describe the dynamic relations within political and social structures that underpin such aspects as legislative and regulatory frameworks, decision-making processes and budgetary allocations. In carrying out the causal chain analysis, many cross-cutting underlying causes will be found to be governance issues.

It is also vital to know what relevant projects, programmes and investments have been approved, or are in the pipeline, for the forthcoming decade. Investment project cycles are generally very long, so the current development portfolios become an integral part of the TDA. The governance analysis should be conducted by regional experts (a Governance Analysis Team) selected by the TTT and there should be regular feedback between both groups in order to understand the dynamics and synergies between the causes of transboundary problems and possible failures in governance.

3.3.8 Production of the complete draft TDA and submission for final approval Up to this point, all the fact-finding, analysis and diagnosis has been carried out separately for each key problem or related set of problems. These now have to be combined into a single document.

This complex task is conducted under the supervision of the Project Manager, who may appoint specialists to help. The draft TDA should have a jargon-free executive summary and the main text should be lucid and concise. There should be easy to understand maps (either sketch, GIS or photographic) illustrating the geographic scale and scope of the priority transboundary problems, impacted areas and the location of immediate causes (such as hot spots, river diversions, urban developments, etc.).

Complex technical reports may be published separately or as annexes. The draft TDA should include annexes giving: •

list of contributing specialists

•

lists of identified stakeholders

•

a glossary of all terms employed.

The review of the draft TDA should involve at least two key meetings. The first should involve the main stakeholders and may include review by a wider audience according to the public involvement plan. The second should be a series of review meeting for the Interministry committees. For the purposes of both, the draft executive summary should be made available in relevant languages. The graphical representation of the impacts and immediate causes (using sketch maps as described above) will also be very useful at this stage. Further, the production of a public version of the TDA should be encouraged.

To have official standing, the TDA should be formally adopted by the Project Steering Committee following any technical and stakeholder reviews that may be advisable. This adoption gives a seal of authority on the document as an input into the more political process of the SAP. Revision 6

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3.4 Formulating the SAP The fourth phase takes the process into the political arena where objectivity may be affected by political pragmatism. A good TDA will have made it easier to develop logical, sustainable and politically acceptable solutions. This is why so much emphasis has been given to the groundwork in the first two phases.

Figure 8 shows the theoretical sequence of tasks, although some of these will go on in parallel.

Formulating the SAP Bridging the TDA and SAP and developing long-term EcoQOs Planning the remaining steps of the SAP Brainstorming ways to attain the EcoQOs Examination of and political consultation on alternative options Development of targets and indicators and agreement on the institutional framework Drafting the action programmes

Figure 8: Steps carried out during the SAP formulation process 3.4.1 Bridging the TDA and SAP and developing long-term EcoQOs At the first meeting of the SAP phase, a ‘vision statement’ and candidate long-term EcoQOs should be devised by the TTT – usually the same group of people that developed the TDA, though this group may be supplemented with additional specialists if the Project Manager or Steering Committee considers that it has too narrow a focus.

This is a crucial step, coming between the TDA and the SAP parts of the process, and provides the bridge between the two pictures. It links how the region is now with what it is hoped it will be in the future. The EcoQOs are statements of the ‘vision’ of how the stakeholders would like to see the state of the system in the future.

Therefore the TTT should examine the ‘vision’ and each priority transboundary problem detailed in the TDA and ask the question, “What would be an acceptable environmental status that would be a sign of a solution for this problem”? This statement of status will represent a long-term EcoQO It is important that at this stage there is full consultation with all the stakeholder groups to encourage ‘buy-in’ and ownership. Remember, EcoQOs should be statements of the ‘vision’ of how the stakeholders would like to see the state of the system in the future. A practical way of achieving this is to involve stakeholder representatives in the bridging meeting and subsequent SAP meetings, who will report back to their respective groups on the outcomes.

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3.4.2 Planning the remaining steps of the SAP Many of the solutions proposed in the initial brainstorming meeting will require action at a national level. It is important to engage the National Inter-Ministry Committees (IMCs) in the process as early as possible. One way to do this is to organise national meetings that mirror the initial brainstorming. These should be organised by the national IMCs and include a suitable range of stakeholders and technical specialists.

Each country’s National IMC should appoint a National Action Programme (NAP) Formulation Team who will eventually generate draft NAPs. These teams ensure that all actions are firmly anchored on realistic national policy, and promote a sense of national ownership.

In addition, a SAP formulation team should be created. This will include representatives of the TDA TTT and NAP Teams in order to ensure adequate synergy to address regional priorities; this is of course a technical team that will not make political decisions.

3.4.3 Brainstorming ways to attain the EcoQOs The objective of the brainstorming activity is to work with stakeholder representatives and specialists to propose a number of practical options that make significant progress toward the EcoQOs. The meeting finalises the work of the TTT and sets the agenda for the SAP development. The contributors to the meeting will include the members of the TTT, the Steering Committee and additional specialists or stakeholder representatives selected by the Project Manager.

Since this is a brainstorming meeting, everyone is encouraged to be creative in their ideas. No attempt is made to limit the discussion to what seems reasonable or feasible. Because of this informality, it is not necessary to seek formal approval from the Steering committee for who should be invited.

Well in advance of the meeting, all invitees should be given copies of the TDA as well as the proposed long-term EcoQOs. The meeting first discusses the EcoQOs proposed by the TTT, and agrees on final drafts. It then examines each EcoQO and identifies possible options for achieving them. The process involves working in small groups, each of which develops part of a matrix (or table) of options, which should include: • • • • •

which part of the causal chain they address timeframes for implementing them responsible parties relative costs (where possible). indicative priorities to the solutions proposed.

This matrix will be the basis for further technical evaluation and should be as ‘inclusive’ as possible, since it does not represent a commitment.

3.4.4 Examination of alternatives The high priority proposals emerging from the brainstorming now have to be evaluated for: Revision 6

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their technical feasibility their costs and environmental benefits their political and social acceptability Each of these analyses should be carried out nationally by the NAP formulation teams and national members of the SAP formulation team. However, the whole process should be steered regionally.

Each of these three analyses is discussed below.

At this stage, there need to be firm political decisions on which of the selected feasible options, including key legal and institutional reforms and investments, would governments, the private sector and donors commit themselves to in the short/medium term (5 - 10 years).

This requires careful consultation in the Steering Committee and, most importantly, in the National Interministry Committees. The outcome is ultimately reflected in the draft NAPS. Parties committing themselves to implementing the SAP must be fully accountable for their actions. Therefore, the stakeholder group/ sector/ government agency responsible for implementing the actions proposed within the TDA must be clearly and unambiguously identified.

3.4.5 Developing targets, agreeing the institutional framework and setting measurable indicators To integrate the national actions detailed above into a coherent region-wide programme of action, three basic technical recommendations are required. These are: • Development of short-term targets and priority actions • Agreement on the national/regional institutional framework • Development of measurable M & E indicators for each target

Development of short-term targets and priority actions The technical and political consultation process described above should enable the SAP formulation team to determine how far the political process can be taken, in the short/medium term, towards the long-term EcoQOs. By careful accountancy of the environmental and social benefits, a set of 1 to 10 year targets and priority actions can be set. In addition, the targets should be reflected in measurable process, stress reduction or environmental status indicators. These should ask the question ‘What measurable progress should be observable at the end of a decade’?

Short term targets are stepping stones on the way to an EcoQO; they define the pragmatic steps towards achieving agreed EcoQOs. The timescale of an EcoQO may be decades while a shorterterm target would be monitored and reported on perhaps annually.

Short term targets are goals towards which measurable progress should be observed over a period of, say, one, five or ten years. Targets may be environmental, such as some sort of water quality indicator or species abundance, or they may be more closely linked to societal factors such as the proportion of human sewage which is now being treated to secondary level. They should be unambiguous and easy to communicate to the public.

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Agreement on the Institutional Framework The TDA will have already examined institutional strengths and weaknesses, both National and Regional. Proposals should be formulated on how the weaknesses should be corrected, through increasing the capacity of existing institutions or creating new ones.

For example, there may be a need to create a revised or new regional coordinating framework such as a Commission for a river basin or Large Marine Ecosystem. In parallel, there must be discussions on: • • •

the formulation of national policy the need for legal and institutional reforms investment priority.

These proposals will normally be formulated by the NAP teams, agreed by the National Interministry Committees, and final agreement reached following the decision on the operational objectives.

The TDA/SAP is itself a policy process leading to concrete benefits, as Governments make commitments to institutional and policy changes, and may identify actions needed and carry them out during the progress of the TDA/SAP.

Development of measurable M & E indicators for each target Monitoring and evaluation (M & E) indicators are long-term monitoring tools used to verify the implementation of the SAP. In order to achieve this, the SAP team should prepare a set of process, stress reduction and environmental status indicators based on the results of the TDA but adapted according to the needs of the long-term EcoQOs and shorter term targets and priority actions.

Project monitoring and evaluation indicators for any subsequent GEF interventions should also be developed. There should be clear linkages between the indicators and the institutional capacity for monitoring them.

3.4.6 Drafting the action programmes

Drafting the National Action Programmes (NAPs) Each country involved in the TDA/SAP will need to develop a National Action Programme (NAP) (or Integrated Water Resource Management Plan (IWRMP) / Poverty Reduction Strategy Paper (PRSP), as appropriate). The reason for this is that the underlying causes as well as the complex linkages between the sources of environmental degradation and threats mean that national actions must respond to the uniquely specific circumstances and priorities of each country.

Each country must select the approach that best suits geographic characteristics, political, institutional and regulatory frameworks, best available science and technology, current assessments, inventories and data. Further, some countries will place the NAP higher in the political process than others (i.e. at a parliamentary level rather than ministerial). Therefore no two NAPs will have quite the same appearance, scope or focus.

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Drafting the Strategic Action Programme (SAP) Drafting the SAP has many similarities with the NAP drafting process. It should be prepared on the basis of the reforms and investments outlined in the draft NAPs and the components agreed in the preceding negotiation process. The various SAP and NAP meetings conducted during the SAP formulation process will have produced a great deal of material that will need to be integrated into one document.

The work of integration of the various materials of the SAP into a single document should be conducted under the supervision of the Project Manager and key members of the PMU and the SAP TTT. The SAP should be a concise jargon-free document with clear targets, quantifiable time-limited milestones and unambiguous assignment of responsibilities. It should embody: • • • • • • • • •

a statement of the priority problems principles adopted for solving them institutional arrangements policy and legal reforms joint planning and dispute settlement mechanisms public participation long term EcoQOs and short-term targets and priority actions common measures to be taken monitoring and review arrangements and reporting

It should include a series of annexes giving details such as monitoring and evaluation indicators, lists of stakeholders and contact points.

3.5 Steps towards SAP implementation The 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.

Figure 9 shows the 3 main steps in this process.

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

Figure 9: Steps towards SAP implementation 3.5.1 Adoption of the SAP: The Ministerial Conference As a long-term strategic programme designed to change government, corporate and public behaviour, the SAP (and the associated NAPs) must be formally endorsed by relevant government Revision 6

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authorities. This is to ensure that they are adequately incorporated into planning and budgetary processes at all levels: national, state, province, district, municipal.

Solid support from government authorities is a key to successful implementation of SAP activities and strategies, including pilot projects. Particularly because it addresses a cross-sectoral range of issues, the SAP must be brought into the mainstream of policy, legal and budget provisions, enforcement mechanisms, and technical and scientific frameworks.

Official adoption of the SAP is also necessary to give the process the legitimacy and support that will be needed to bring on board a wide range of stakeholders, both from the public and private spheres.

A high level event such as a Ministerial Conference provides an opportunity for formalising national commitment to the regional SAP, giving suitable press coverage and celebrating the conclusion of the policy process. Invitations should be distributed at least 3 months in advance and include all participating countries.

The Ministerial Conference can also serve as a launch pad for further GEF initiatives and interventions such as a further Full Project (FP) for SAP implementation.

3.5.2 Conducting a Donors Conference The SAP planning process itself should be encouraging to the various parties engaged in the endorsement process. One of the most efficient mechanisms is to call a donors (or partnership) conference, to allow bilateral and multilateral organizations to review the proposals and to engage in joint planning for future projects.

Suggested preparation for a meeting: 1.

Inform relevant donors of planned meeting at least six months in advance.

2.

Distribute preliminary NAPS at least two months prior to the meeting.

3.

Distribute nationally endorsed SAP as soon as it is available

3.5.3 Development of relevant interventions by GEF and/or other donors As discussed earlier, the primary objective of the TDA and SAP is to provide sufficient evidence to warrant GEF intervention through Full Project (FP) grants. Upon completion of the first Full Project there is an opportunity to develop a further FP to implement the SAP. The steps for this process are essentially the same as for the preparation of the first FP document which is described in detail in Sections 3.1 and 3.2.

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Appendix: Actors involved in project development and implementation Consultants: Consultants hired by the Executing Organisation for specific technical purposes.

Convention secretariats: coordinate the activities of the five international conventions involved with the GEF. These are: The Convention on Biological Diversity; The United Nations Framework Convention on Climate Change; The United Nations Convention to Combat Desertification; The Stockholm Convention on Persistent Organic Pollutants; and The Montreal Protocol of the Vienna Convention on Ozone Layer Depleting Substances. These conventions provide broad strategic guidance to the GEF Council.

Donors: Organisations contributing, or potentially contributing, to project funding. The Steering Committee normally agrees who is eligible to attend its own meetings as observers. As well as the normal individual donor involvement, the SAP process aims to encourage donor partnerships. An effective donor partnership will act as an incentive for commitment to the SAP and will also avoid duplication of efforts by the donor community.

Executing agencies (EAs): contribute to the management and execution of GEF Projects.

Executing agencies are chosen on their relative merits in order to ensure efficient operation of the project and appropriate technical support.

Facilitator: a trained and experienced expert capable of providing technical assistance to the IA for the initial stages of the project including the stakeholder consultation; he/she should be entirely neutral within the process, culturally sensitive and with proven negotiation skills.

GEF CEO: Chief Executive Officer and Chairman of the Global Environment Facility.

GEF Council: The GEF Council functions as an independent board of directors, with primary responsibility for developing, adopting, and evaluating GEF programs. Council members representing 32 constituencies (16 from developing countries, 14 from developed countries, and two from countries with transitional economies) meet twice each year for three days and also conduct business by mail. All decisions are by consensus.

GEF OP Focal Points: persons appointed by GEF member states to act as their empowered representative to the GEF Council. Some countries also have GEF technical focal points who act as advisors to their political counterparts.

GEF Secretariat: A staff of 40 based in the USA that reports to the GEF Council and Assembly, ensuring that their decisions are translated into effective actions. The secretariat coordinates the formulation of projects included in the annual work program, oversees its implementation, and makes certain that operational strategy and policies are followed.

Global Environment Facility (GEF): is an independent financial organisation that provides grants to developing countries for projects that benefit the global environment and promote sustainable livelihoods in local communities.

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Implementing Agency (IA): GEF implementing agencies are the United Nations Development Programme (UNDP), the United Nations Environment Programme (UNEP), and the World Bank.

They play the key role in managing GEF projects on the ground.

Interministry Committees: Current systems of government are normally sectoral, with a different Ministry for each key sector. To develop an active TDA/SAP programme, direct participation of each involved ministry in each participating country is needed, but the interests of each have to be harmonised. To achieve this inter-sectoral policy building, it is advisable to form National Interministry Committees (or NICs), where each sector has both government representatives and other stakeholder representatives relevant to the sector.

IW Representative: the official in the Implementing Agency responsible for GEF International Waters projects NAP Formulation Team: Team of technical experts in each participating country, appointed by the National Inter-ministry Committee and reflecting a similar mix of specialists as the SAP formulation team.

Project Management Unit (PMU): comprises of supporting staff members engaged by the Executing Agency to work with the PM under his/her supervision.

Project Manager (PM): Sometimes known as the Chief Technical Advisor (CTA). The person responsible to the Executing Agency for project implementation at the local level.

SAP formulation team: Team of technical specialists appointed by the PM with the agreement of the Steering Committee in order to undertake the technical studies for the SAP. It should include specialists in technical, legal, financial and public policy issues. The SAP formulation team should also include members of the TTT for continuity.

Scientific and Technical Advisory Panel (STAP): provides strategic scientific and technical advice to the GEF on its strategy and programs. STAP has fifteen members who are internationally recognised experts in the GEFs key areas of work. STAP also maintains a roster of experts who advise on individual projects. Its work is supported by a secretariat based at the UNEP headquarters in Nairobi.

Stakeholders: Anybody with an involvement in, or affected by the problem or its potential solutions. This may include Government Ministries, Non-Governmental Organisations, Trade and Industry, Agriculture and Fisheries, Religious bodies, the local population and any other affected member of civil society.

Stakeholder representative: a person with the authority to act as spokesperson for a group of stakeholders.

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Steering Committee: Typically, the central group formed to oversee the project. The committee is a body consisting of project focal point representatives (and technical advisors where appropriate), representatives of the donors and implementing and executing agencies, plus other stakeholder and civil society representatives.

Technical task team (TTT): a regional body formed by the OP Focal Point to provide technical advice on the initial project formulation and subsequently to undertake the technical process of TDA formulation and proposals for long-term EcoQOs. The team should be broadly representative of stakeholders but entirely technical in nature.

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