TRAINING COURSE ON The TDA/SAP approach in the GEF international Waters Programme


Instructor Manual


TRAIN-SEA-COAST

TDA/SAP Programme


MODULE 3: JOINT FACT-FINDING I




Performance Objectives


At the end of the module, the participants should be able to:


A. Identify and prioritize transboundary problems


  1. Describe the principal types of transboundary problems.


  1. Explain the process of identifying and prioritizing the problems.


  1. Explain the need to take account of current developments and future risks in deciding on priority problems.


  1. Describe common criteria and scoring systems for assessing problems and methods of prioritization.


  1. Describe how to conduct a ‘Delphi Exercise’


B. Determine the environmental impacts and socio-economic consequences


  1. Describe methods for examining the impact of a problem from an environmental and socio-economic perspective.


  1. Describe the types of information necessary to demonstrate the scale and scope of an problems:

    1. environmental impacts; and

    2. socio-economic consequences.


  1. Explain the usefulness of quantitative data on socio-economic effects, as measures of potential benefit when assessing policy options.


  1. Identify potential sources for the information indicated in item 6 above, and develop an initial plan for obtaining such information in a given situation.


Activities


  1. Study a series of texts and case-studies (in CDROM format).

  2. Complete three exercises analyzing the approach used in several real case- studies. This involves the following case studies:

Exercise 3.1: Case study questions on identification of transboundary problems

Cases: a) The Caspian, Benguela Current and Bermejo River.

b) The Mediterranean Sea

c) The Casoian Sea


Exercise 3.2: Case Sstudy questions on prioritization criteria

Case: a) The Dnipro Basin TDA


Exercise 3.3: Case Study questions on impact analysis

Case: a) Benguela Current Large Marine Ecosystem (BCLME)


3. Undertake one short self-assessment test.



Materials

- Trainee Manual as the main source of reference for both the trainees and the

instructor (Module 3)


- Instructor manual for Module 3


- Power point presentation for Module 3 (39 slides)


- CDROM with additional text and case studies


Instructor: USE THE TRAINEES MANUAL AS THE MAIN SOURCE OF REFERENCE

    • General Principles: pages 4-10

    • TDA Preparation and Initial Identification and Prioritization: pages 12-34.

    • Analysis of the Impacts and Consequences: pages 35-46

    • Detailed Final Prioritization: pages 47-48




Instructor Manual

PLAN OF ACTIVITIES



Module 3


Duration:

5h. 35m.



Time

(min)


Topic

Methods


Activity


Materials

15 m.

Introduction to Module 3



































































































15


Note for the Instructor






























































































Structure of the Part 2





Objectives




Attention: This module and Module 4 cover the two stages of the execution of the TDA, which are carried out by the Technical Task Team after the project development phase (covered in Module 2).


Therefore, Modules 3 and 4 are closely related.


This module deals with the identification and prioritisation of the transboundary problems and the determination of their environmental impacts and socio-economic consequences.


Module 4 covers the development of causal chains for the priority transboundary problems, the role of governance analysis and the integration of the component parts of the TDA.


Two key issues should be stressed at the beginning of this module:


a) the close linkages between Module 3 and 4 (as described above).

b) the key points that underpin the TDA process, namely: joint fact-finding; participation; consensus building and transparency.

There are not too many difficulties in delivering this module except the large number of case studies and related exercises that the participants have to undertake. The positive side is that the instructor has plenty of material for discussions during and after the class itself. Make use as much as you can of the examples contained in the Trainee’s Manual. Make use of discussion periods as much as possible.

  1. Before starting the delivery of Module 3, tell the participants:


  • Module 3 is not only ‘procedural’, as the previous modules, but ‘technical’ since it gets into the specific tasks that should be performed to identify & prioritize transboundary problems and analyze their impacts and consequences. The “how” and “why” these tasks should be done permeate the entire module. The module contains many examples taken from real life experiences in the field which are comparable, thus, a rich menu of lessons learned is on the table.

  • Module 3 entails a number of activities performed on an individual or group form. The participants will have to undertake one self-assessment test and review a considerable number of case studies. Discussion periods (some formally organized), are a part and parcel of this part of the course.


  • There are a number of work assignments that they will have to undertake in the evenings, after the classes.


  • All materials needed for the course are included in the Trainee Manual and the CD ROMS provided to each trainee.


  • During this part of the course, exchange of ideas among the participants and the instructor is vital.

  • Present OHT 2 and explain that the structure of the course. Summarize briefly the content of each sub-part and the inter-relationship between them.

  • Present OHT 3 and OHT 4 and go through the objectives of the Module.


















































OHT 1

(Title of Module 3)













































OHT 2

(Structure of the course)



OHT 3

OHT 4

(Objectives)


Time:


50m

PART 1:

General Principles

Activity

Materials











5








5


(Presentation-discussions)








Transboundary Problems











Problems & causes

  1. Present OHT 5 and anticipate to the participants that Part 1 of the Module provides a good understanding of the concepts and methods available for the identification and prioritization of transboundary problems.

  1. Present OHT 6 and review the definition of transboundary problems, followed by the listing of the most common transboundary problems (OHTs 7-to 11). (You can go rapidly through these general concepts because they have been already reviewed in Modules 1 and 2).


  1. Stress that it is important not to confuse the problem identified with the causes or the impacts of the problem. Ask participants to read some of the examples presented in their manual.


OHT 5

(Part 1: General Principles)







OHT 6

(Transboundary Problems)

OHTs 7-11

(Common Transboundary Problems)




OHT 12

Risk of confusion

OHT 13

Participant’s Manual

Pags 16-19




15 m


Self Assesment Test 3.1


  1. Ask participants to undertake the test.


  1. Review the results of the test immediately after they finish.




5






10









5












5



The DPSIR

Framework






Elements of the DPSIR


















Indicators











Key points









TDA Steps


  1. Present OHT 14 and explain that a problem can have multiple causes and impacts as illustrated by the example provided in OHT 14 in the Driver-Pressure-State-Impact-Response (DPSIR) framework.


  1. Highlight that in this module we are we are concerned with two elements in the DPSIR framework, namely, the environmental impacts and the socio-economic consequences. Illustrate this by presenting OHT 15 and the example of Eutrophication (OHT 16). In the eutrophication example, the nutrition of people living around the lake suffers, which is an indirect consequence of the problem. The direct consequences, in this case are the impact on health from polluted drinking water. Elicit comments from the participants.


  1. Present OHT 17 and explain that GEF has three types of indicators. Elaborate briefly on each of them highlighting the usage aspects. Follow by explaining the relationship between the GEF indicators and the components of the DPSIR (OHT 18).


  1. Before making a brief introduction into the TDA, highlight the key points that underpin the process. Present OHT 19 and go through each of them. Stress that these unique elements should permeate all steps, since they are crucial for making the process work in an effective manner.

  2. Present OHT 20 and review briefly each of the TDA steps. (Do not go into details, because lately you will review each of them in depth).



OHT 14

(DPSIR

Framework)





OHT 15

(Key elements of the DPSIR)




OHT 16

(Example Eutrophication)











OHT 17

(GEF M&E Indicators

OHT 18

(Relationship M&E and DPSIR)





OHT 19

(Key points underpinning the TDA)






OHT 20

(5 TDA Steps)



Time:

2h

20m

PART 2: TDA Preparation and Initial Identification & Prioritization of Transboun-dary Problems


Activities


Materials







5









5








5








10








20
















10


Introduction to Part 2














Who is involved in this process?










Initial TDA preparation

Information and data stocktaking exercise






















Identification of Problems


  1. Before getting into the specific topics of the Module, explain that this stage of the TDA involves not only the identification of problems, but undertaking a number of tasks, and using a number of tools in support of the process of identification and prioritization of problems. Each of them, e.g determination of prioritization criteria, has a role to play in the overall TDA process.




  1. Show OHTs 22 to 24 and briefly discuss who does what at this stage of the TDA. Highlight the importance of consultation and consensus building as well as the national and regional elements.







  1. Explain the objective of the stocktaking exercise and how each participating country can contribute to problem identification and prioritization. Highlight the importance of country studies (OHT 25).



  1. Stress the fact that the TDA should employ information that is already available within the region since it is not the intention of the TDA to repeat the valuable studies already conducted on environmental impacts and socio-economic consequences – merely to assemble them in a more holistic manner.



  1. Indicate possible sources of data.






  1. Explain that the first stage in the TDA process is to agree on the transboundary problems. The initial stakeholder consultation will have already highlighted the main problems. The TTT must revisit them, agree on whether the list is complete.




OHT 21

(Part 2)














OHTs 22-23

(Who is responsible for the TDA?)

OHT 24

Notional TDA/SAP Management Structure




OHT 25

(Information and stocktaking data exercise)






OHT 26

(Initial preparation and data stocktaking)









OHT 27 & 28

(Initial preparation and data stocktaking)



OHT 29

(Identification of transboundary problems)


60 m.


Exercise 3.1


Case Study Questions on Identification of Transboun-dary Problems


  1. Ask participants to undertake Part A. of the exercise individually. Once they have finished, review the answers immediately.


  1. Divide the class into groups (number of groups depend on the number of participants). Assign Parts B and C to different groups.


  1. Ask them to report to the class and discuss their answers.














20











5


Prioritization of transboundary problems





Key Determinants
















Levels of Prioritization




Prioritization Criteria



Discussion Groups







Approaches for

Prioritization


  1. Follow by stressing that for each problem the TTT must reach a view on 5 key questions (OHT 30). Go through the importance and implications of each of the questions.



  1. Discuss the key determinants (OHT 31 & 32). Go through the 4 points of advice listed in OHT 32.



  1. Before discussing levels of prioritization, link this subject with the key determinants discussed before. Explain that in a situation of limited resources, the way and the rationale utilized to prioritize the problems is crucial both at the TDA stage and beyond, due to its implications at the implementation of the SAP.



  1. Show OHTs 33 to 38 and explain how prioritisation can be carried out at several alternative levels.



  1. Present OHTs 33 to 38 and explain each of the prioritization criteria’s. Divide the class into 4 groups and ask each group to choose one of the prioritization criteria’s. Each group should discuss and later present their findings in respect to the advantages and disadvantages in the application of each of the criteria’s.


  1. Conclude Part 2 by addressing the advantages and disadvantages of two approaches for prioritization: the “Dephi” exercise or the scoring approaches (OHT 39).


OHT 30

(Key questions)







OHT 31 & 32

Key determinants
















OHT 33

(Levels of Prioritization)



OHTs 33 to 38

(Levels of prioritization)










OHT 39

(Approaches for Prioritization)


60 m.


Exercise 3.2:

Case Study on Prioritization Criteria


  1. Ask participants to read pages 32-33 in their manuals and undertake the test.

  2. Divide the class into 3-4 groups. Each group should do all the exercise and report to the class their findings. Discuss the results right after they finish the exercise.



Time:

2 h

20 m.

PART 3


Analysis of Impacts and Consequences

Activities


Materials


5














10










5











5










5







15








5













30


Analysis of environmental impacts and consequences










Analysis of environmental

impacts







Indicators













EIAT









Assessment of socio-economic consequences









Purpose


Guiding principles


Examples






Levels of assessment








Statement of the range of consequences









Quantitative

assessment of consequences












Market valuation of consequences












Non-market valuation

  1. Start Part 3 (OHT 40) by presenting OHT 41 and explain the three steps of the process for the analysis of impacts and consequences. Remind the participants that the information gathered should concentrate on the transboundary impacts, though national or localised impacts can also be described if they are relevant (OHT 42).

  1. Present OHT 43 & 44 and discuss the purpose and characteristics of an analysis of environmental impacts. Highlight the importance of determining a baseline on the basis of which changes over time can be detected.


  1. Equally important is the determination of environmental status, impact and pressure indicators. (OHT 45) Elaborate on each of them, with special attention to their usage both, during the development of the TDA as well as beyond this stage. Remind participants that one good indicator that describes the impact and its relevance is worth 20 indicators that don’t (OHT 46).


  1. Present the Environmental Indicator Assessment Tool (EIAT) which is a web-based toolbox describing 160 pressure, state and impact indicators and it quotes units of measure. Highlight advantages and disadvantages.


  1. Explain that assessing the socio-economic consequences of a transboundary problem is not an easy task. A number of considerations come into play. Among others, the type of measures available, the levels of assessment and the overall principles that permeate the process.


  1. Show OHTs 48 & 49 and discuss the purpose, characteristics and principles of the assessment. Provide a concrete example by showing OHT 50. Elicit questions from the participants.




  1. Link measures with levels of assessment. Explain the characteristics and the requirements of each assessment level (OHT 51), and use the example provided in OHT 52.



  1. Present OHT 53 and explain that in cases of having low levels of information due to uncertainty, the minimum amount of information should be included as a simple statement of the range of consequences that are associated with the problem.


  1. Highlight the rules of thumb for the quantitative assessment of consequences (OHT 54), and the benefits of valuation (OHT 55). Present the examples of market valuation of consequences (OHT 56).





  1. Present OHT 57 and stress that certain types of value are not directly observable but are embedded in, or part of another value. The principal techniques for separating such values are: the travel cost method; the hedonic pricing method; and the replacement cost method. Go through each of the methods and explain what do they involve.


  1. Make a good distinction between market and non-market valuation. Explain contingent valuation, in the case of non-market values. (OHT 61). Ask participants to turn to page 46 in their manual and read the real life examples of impact analysis. Discuss their opinions.


OHT 40

(Part 3)


OHT 41 & 42

(Process)










OHT43 & 44

(Analysis of environmental impacts)






OHT 45 & 46

(Indicators)












OHT 47

(Tools for the Analysis of Environmental Impacts)
















OHT 48

(Analysis of socio-economic consequences)

OHT 49

(Principles to Guide the Choice of Measures)

OHT 50

(Examples)



OHT 51

(Levels of assessment of socio-economic consequences)

OHT 52

(Example)



OHT 53

(Statement of the range of consequences)








OHT 54

(Quantitative assessment of consequences)

OHT 55

(Valuation of Socio-economic Consequences- Benefits)

OHT 56

(Example)




OHTs 57-58-59-60

(Market valuation of consequences)











OHT 61

(Non-market Valuation of Consequences)

OHT 62

(Examples)


Time:

1 h.

30 m.

PART 4


Detailed final prioritization of transboundary problems


Activities


Materials


10





























10






10


Rationale

behind re-prioritization



























Approach for re-prioritization



Mapping the problems

  1. Before getting into the procedural aspects, make a brief explanation of the rationale behind the final prioritization of transboundary problems.


  1. Explain that after the impact analysis has been completed, the transboundary problems should be re-prioritized to ‘Ground Truth’, the initial prioritization. This step will result in a final prioritization which will identify the highest priority problems to be analysed further during the causal chain analysis phase.


  1. Elaborate on the resource and policy connotations of this final stage of the process. The TTT has to agree by consensus on the priority problems that will be address in the future. (Martin I added this because I think is important to be stressed)


  1. Present OHT 64 and go through the approach recommended.


  1. Present OHT 65 and OHT 66 and explain the importance of mapping the problems. Maps are an important tool to synthesize results at the first stage of the TDA process.


OHT 63

(Part 4)



























OHT 64

(Approach to re-prioritization)



OHT 65

(Mapping the Problems)

OHT 66

(GIS Map)


Exercise 3.3:

Case Study Questions on Impact Analysis

(Homework)

  1. Ask participants to read pages 49-50 in their manuals and undertake the test as, HOMEWORK.

  2. Ask them if they need any clarification.

  3. Next day, ask the participants to summarize the results of the test. Compare some of the results and more importantly, the lessons learned by undertaking the exercise.