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


Instructor Manual


TRAIN-SEA-COAST

TDA/SAP Programme


MODULE 4: JOINT FACT FINDING




Performance Objectives


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


A. Causal Chain Analysis


  1. Describe the purpose and principles of causal chain analysis, the difficulties of identifying causes, and the complexity of the process.

  2. Describe different approaches used to develop causal chains (Case studies 1 to 6).

  3. Explain the benefits and difficulties in using a sectoral-based approach.

  4. Define the immediate sources/causes, the underlying socio-economic causes and the root causes of a particular transboundary problem.

  5. Explain the incorporation of governance analysis into the TDA.

  6. Critically review causal chains.


B. Integration and submission of the TDA


  1. Construct an integrated framework for a draft TDA (based on case study material).

  2. Describe the process involved in the production of a draft TDA.

  3. Explain the most appropriate methods available for presenting data and information.

  4. Explain the linkages between the content of the TDA document and the SAP.

  5. Describe the process of submitting the draft TDA for approval.


Activities


1. Complete two exercises analyzing the approach used in the following

case- studies.

-- Exercise 4.1 – General Principles of Causal Chains

TDA/SAP projects have been chosen for this exercise:


    1. The South China Sea

    2. The Mediterranean Sea


-- Exercise 4.2 – Alternative Approaches

Cases chosen for this exercise:

Case 1: The Dnipro Basin TDA

Case 2: The Benguela Current TDA


2. Complete a short self-assessment test.



Materials

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

instructor (Module 4)


- Instructor manual for Module 4


- Power point presentation for Module 4 (46 slides)


- CDROM with additional text and case studies


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

    • General Principles: pages 4-10

    • Causal Chain Analysis: pages 14-28.

    • Production and Completion of Complete Draft TDA: pages 30-36




Instructor Manual

PLAN OF ACTIVITIES



Module 4


Duration:

h. m.



Time

(min)


Topic

Methods


Activity


Materials

m.

Introduction to Module 6














































































































Note for the Instructor



























































































Structure of the Module








Objectives




Attention: This module deals with the completion of the TDA, which was started in Module 3. Module 3 reached the point where the transboundary problems were identified and prioritised, and their environmental impacts and socio-economic consequences established.


Module 4 has two parts. The first is the main subject of the module – the development of causal chains for the priority transboundary problems, including the role of governance analysis.


The second part concerns the integration of the component parts of the TDA and its submission as a draft document.


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


a) The technical and procedural linkages between this module and Module 3.

b) The importance of causal chain analysis for achieving success in the TDA/SAP process as a whole.

c) The linkage between the TDA document and the SAP.

c) The knowledge and skills acquired through this module can be used throughout the TDA/SAP process.


There are not too many difficulties in delivering this module. The instructor should make sure that the causal chain analysis process is well understood since this is the basis for further actions and decision-making in the SAP process.


  1. Before starting the delivery of Module 4, tell the participants:


  • Module 4 will bring them knowledge, skills and a wide exposure to different experiences in the development of causal chains. They will learn the stepwise sectoral analysis approach to developing a causal chain. Likewise they will be expose to the process of governance analysis, although an in-depth is made later in Module 6. The module contains many examples taken from real life experiences in the field which are comparable, thus, a rich menu of lessons learned are at their disposal.

  • Module 4 entails a number of activities performed on an individual or group form. The participants will have to undertake a short self-assessment test and undertake 2 exercises. 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 that for teaching purposes the module has been divided into three parts. Summarize briefly the content of each sub-part and the inter-relationship between them.


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

















































OHT 1

(Title of Module 4)











































OHT 2

(Structure of the Module)







OHTs 3 & 4

(Objectives)


Time:


m

PART 1:

General Principles

Activity

Materials





























































Part 1 Introduction





The Challenge












Causal Chain Analysis








3 Elements of

Governance








Links










Generic sectors


Holist view








The Challenge







Expertise needed





Immediate causes














Underlying causes

















Root causes

  1. Present OHT 5 and anticipate to the participants that Part 1 of the Module is the foundation for understanding the meaning and purpose of causal chain analysis. All the concepts and the factors that are played out in the analysis are reviewed with special attention to the challenge of analysing problems both sectorally and holistically, then develop strategies holistically, and finally design responses which act within the sectoral and geographical boundaries of society. This is the core of the message.


  1. Present OHT6 and explain what causal chain analysis is and stress that each link in the chain is forged by answering the question ‘why’ – ‘what is the cause’.


  1. Further explain the 3 different dimensions of the causal chain analysis (OHT 7) and how each dimension contributes to reinforce the analytical procedure.


  1. Present OHTs 8 and 9 and explain the sectoral dimension in theory and practice, and the differences between them. Stress that immediate causes, and root causes, tend to span several sectors, but it is often only at the underlying causes level that there is a clear sectoral distinction – where each sector may have causes of a different nature.



  1. Present OHT 10 and briefly review the generic sectors that are more akin to GEF IW projects. Follow by discussing the reasons behind the sectoral analysis (OHT 11) to reach a holistic view (OHT12).



  1. Present OHT 13 and analyze the different dimensions of the “challenge”. Elicit questions from the participants, since this is the core of the GEF method for causal chain analysis.


  1. Finalize by discussing the expertise needed to carry out causal chain analysis (OHT 14).


  1. Present OHT 15 and OHT 16 and explain the characteristics of the immediate causes, their relationship with stress reduction indicators and how they should be portrait. Ask the participants to review the examples on page 8, elicit questions, and discuss their opinions. Ask participants to illustrate with examples from their projects.


  1. Address underlying causes by presenting the definition (OHT 18). Continue by presenting OHT 19 in which resources, uses and practices, as well as social and economic causes are illustrated. Present OHT 20 with an example of underlying resources and practices in agriculture, as well as OHT 21 on social, legal and political causes contributing to eutrophication. Ask the participants to add examples from their projects.



  1. Present OHT 22 and discuss what is understood by root causes. Show the list of categories (OHT 23) and explain the limitations for GEF intervention while at the same time, the need for documenting root causes due to their potential impact in affecting prospective solutions (OHT 24). Close this sub-section of the module by presenting the example of a root cause in eutrophication (OHT 25). Ask the participants to add examples from their projects.


OHT 5

(Part 1: General Principles)
















OHT 6

(What is a Causal Chain analysis?)






OHT 7

(Three Dimensions)





OHT 8

(The sectoral dimension in Theory)

OHT9

(The sectoral Dimension in Real Life)






OHT 10

(Generic Sectors)

OHT 11
(Why sectoral Analysis?)

OHT 12

(A “Holistic” Approach)




OHT 13

(The Challenge)






OHT 14

(Expertise needed)




OHT 15 and 16

(Immediate causes)


OHT 17

(Examples-discussion)








OHT 18

(Underlying causes)

OHT 19

(Underlying causes)

OHT 20

(Example)

OHT21

(Example)








OHT 22

(Root causes)

OHT 23

(Categories of root causes)

OHT 24

(GEF Intervention?)

OHT 25

(Example)


Time


Self Assessment Test 4.1


  1. Ask participants to undertake the test.


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



Page 11 of the Participant’s Manual


Time


Exercise 4.1

General Principles of Causal Chains


  1. Ask participants to undertake the exercise as HOMEWORK.


  1. Ask them to read the instructions in their manuals and respond to questions, if necessary.

Martin: are we thinking on converting this exercise as homework? YES, I THINK SO


Page 12 of the Participant’s Manual


Time


Part 2:

Causal Chain Analysis


Activities



Materials




























Part 2

Introduction
















Who is who?






Points of advice








Stepwise

sectoral analysis approach









Other approaches

Dnipro TDA







Caspian Sea TDA

Benguela Current TDA









Advantages & disadvantages







Governance analysis in the TDA






How to proceed

  1. Instructor: after having discussed the general principles and reasons behind causal chain analysis, now you should clearly explain the technical process for developing a causal chain. Take as much time as needed to explain, to discuss, and to question every step. This is not an easy process and you have to make sure that everybody understands what the process is all about. You have 9 OHTs to help you in your delivery of this part of the module. Use them at your discretion. Also use as much as possible, the examples in the manual and organize small discussion groups. Keep checking the progress of the class. The following guidelines are only one way to organize the delivery of this module.


  1. Present OHT 26 and anticipate to the participants that Part 2 is the core of Module 4. They will learn the stepwise analysis approach, ‘who’ does it and ‘how’ it should be done. They will review other approaches used. They will have the benefit of reviewing real like experiences and discussing the potential difficulties in developing causal chain analysis. This section of the module is closed with a rief description of the role of governance analysis in the TDA.


  1. Start discussing causal chain analysis by describing who is in charge of the process and the organizational aspects (OHT 27).


  1. Before addressing the technicalities of the process, show OHTs 28 &29 and stress that in real life causal chain analysis is a vital but complex process that should be very well done. Go through every point of advice given in the OHTs.


  1. Present OHT 30 and go through all the stages of the process. Link each stage with the concepts they learned in Part 1. Elicit the participation of the class in the discussion.


  1. Explain that these steps will result in the information needed for a causal chain.


  1. Discuss other approaches used and present the case of the Dnipro TDA (OHT 32). Discuss content and procedure and the go to Figure 5 & 6 for general discussion.




  1. Characterize and discuss the Caspian Sea approach (OHT 35 & 36), as well as the tabular approach used by the Benguela Current TDA (OHT 37 & 38). You may also organize a discussion on the Benguela Current using the listings on pages 23-24 (this is optional and in function of the time limit for this module).


  1. Close this section by comparing advantages and disadvantages of using a matrix or flow diagram approach (OHT 39)



  1. Present OHT 40 and explain the need to undertake a governance analysis in parallel with the causal chain analysis. Stress the need for continuous feedback from those carrying these activities.


  1. Explain the ‘Why” (OHT 41) and the ‘How” (OHT 42) in governance analysis. Finalize the section with an example of cross-cutting causes identified as governance issues (OHT 43)





























OHT 26

(Part 2: Causal Chain Analysis)














OHT 27

(Sectoral Analysis of Causal Chains)




OHT 28 & 29

(Points of advice)








OHT 30

(Stepwise approach)





OHT 31

(Approach)





OHT 32

(Dnipro Basin TDA)

OHT 33 & 34

(Use of Fig. 5

& Fig. 6)




OHT 35 & 36

(Caspian Sea TDA)


OHT 37 & 38

(Benguela Current TDA)

(Use of tables on pages 23-24)


OHT 39

(Potential difficulties)



OHT 40

(Governance Analysis in the TDA)




OHT 41

(Why?)

OHT 42

(Consist of…?)

OHT 43

(Cross-cutting causes)


Time


Exercise 4.2

Alternative Approaches

  1. Divide the class into 4 groups.

  2. Ask participants to undertake the exercise.

  3. If necessary, coach them throughout this activity

  4. Review the results of the exercise before beginning Part 3.



Page 29

Participant’s Manual



Time:

h

m


PART 3:

Production & Submission of Complete Draft TDA


Activities


Materials































Part 3: Introduction








Procedure




Who is who?








Review Process


  1. Start Part 3 by anticipating that this section of the module is strictly procedural. It consists of a description of the procedure for assembling documentation, drafting the TDA and submitting it for review and approval.


  1. Present OHT 45 and describe the procedure.


  1. Give a brief summary of the content of a TDA document and key details that have to be taken into consideration (OHT 46). Elicit comment from the participants.


  1. Point out to the review process and to the different review meetings leading to the submission & adoption of the TDA (OHT 47). Close the module by highlighting the crucial role of the TDA and its relationship with the SAP (OHT 48).



OHT 44

(Part 3: Production & submission of Complete Draft TDA)



Present OHT 45 (Procedure)



OHT 46

(Drafting the TDA)





OHT 47

(TDA Review and Submission)

OHT 48

(Relationship between the TDA document and the SAP)


Time


Exercise 4.3

Production and Submission of the Draft TDA


  1. Ask the participants to undertake this exercise as a take home exercise and discuss the results with the CTA.


Page 36 Participant’s Manual