COURSE

THE INTERNATIONAL WATERS (IW)

PROJECT DEVELOPMENT PHASE

AND PLANNING THE TDA/SAP

Instructor Manual

TRAIN-SEA-COAST

TDA/SAP Programme

PART 2: Procedures and Activities

Performance Objectives

At the end of Part 2, trainees should be fully familiar with the concepts and the project development process, at four distinct phases. Within each phase, they should be able to:

For the project development phase

• Describe the steps followed for the initiation of a project proposal and the request of PDF-A funds

• Identify the main tasks undertaken during the PDF-A phase

• Explain the nature and the process involved in the preparation of the draft concept paper

• Identify common mistakes made by project proposers

• Describe the process of submission for pipeline entry and approval of the concept paper and PDF-B funding request as well as the GEF decision or review points.

For the implementation of the PDF-B:

a) preparatory phase of the TDA/SAP, and

b) preparation of the full project document

• Explain how to set up a management structure for a TDA/SAP

.

• Describe the process for carrying out a detailed stakeholder analysis and public participation plan.

• Explain the objective and the format used in the preparation of Full Project Brief and Monitoring & Evaluation Plan.

• Outline the process of submission and approval of a Full Project brief.

• Describe the process for full project document preparation and approval.

For the implementation of the Full Project

• Explain management structure requirements for full project implementation

• Review the steps required for SAP implementation

Activities

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

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

Case A: Environmental Protection and Sustainable Development of the Guarani

Aquifer System

Case B: Benguela Current Large Marine Ecosystem Programme (BCLME)

Case C: Towards a Convention and Action Programme for the Protection of the

Caspian Sea Environment

3. Undertake one short self-assessment test.

Materials

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

instructor (page 20-53)

- Instructor manual for Part 2

- Power point presentation for Part 2 (52 slides)

- CDROM with additional text and case studies; including, specifically for this module:

• A standard format for proposals for PDF-A grants

• Common transboundary problems, including: the relationship between transboundary problems; environmental and socio-economic impacts; and the potential transboundary consequences

• Caribbean Large Marine Ecosystem and La Plata River Basin concept papers

• Harmonized guidelines and template documents for drafting a concept paper/PDF-B proposal.

• The process of concept agreement review.

• Logical Framework Approach.

• Yellow Sea Full Project brief and annexes

• Case Study folders (containing examples of project briefs).

• The project executive summary template.

- Exercise 2.1 – Sustainability and Replicability¹ of the Full Project

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

• Project Development Phase: page 20-32

• Implementation of the PDF-B: Preparatory phase of the TDA/SAP: page 33-39

• Implementation of the PDF-B: Preparation of the Full Project Document: page 40-42

• Implementation of the Full Project: page 45-47

Instructor Manual

PLAN OF ACTIVITIES

Part 2 – Procedures and Activities

Duration:

h. m.

Time

(min)

Topic

Methods

Activity

Materials

Total:

15 m.

Introduction to Part 2

15

Note for the Instructor

Structure of the Part 2

Objectives

Attention: in Part 1, a broad overview of the GEF project cycle and of the Stepwise Approach to an IW Full-sized Project, were presented. It is against this background that Part 2 is delivered.

Part 2 aims to undertake an in-depth analysis of the Stepwise Approach, both from a procedural perspective as well as from a task-oriented perspective, since it reviews every activity that should be performed by national, regional and international stakeholders.

The difficulty in delivering this module resides on the challenge presented to the instructor, of explaining/discussing specific procedures and activities without loosing sight of the overall GEF operational strategy, the GEF project cycle and its decision-review framework.

We are aware that to facilitate the delivery, the objectives have been grouped according to the four phases of the planning cycle. This makes more palatable a very long delivery. Make use of discussion periods as much as possible.

1. Before starting the delivery of Part 2, tell trainees:

• This is the longest part of the course that will require a lot of inputs from them. It is also the most complex part of the course.

• Part 2 entails a number of activities performed on an individual or group form. They will have to undertake one self-assessment test and one group exercise. Discussion periods 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 the structure of the course. Summarize briefly the content of each sub-part and the inter-relationships between them. Highlight the fact that Part 2 consists of making an in-depth analysis of the process and activities at key stages of the GEF project cycle.

• Present OHT 3 and OHT 4 and go through the objectives of the Project Development phase.

OHT 1

(Title of Part 2)

OHT 2

(Structure of the course)

OHT 3

OHT 4

(Objectives)

Time

Total

2h 45m

Project

Development Phase

Activity

Materials

10

10

5

5

5

10

20

5

15

10

5

10

15

(Presentation-discussions)

Components of the Project

Development phase

Process of

initiating a project

PDF-A funds

Preparation of the draft concept paper

Appointment

of facilitator

Identification and consultation with stakeholder groups

Transboundary

concerns

The TTT

The concept paper

Field experiences on the draft concept paper

Drafting the concept paper

The concept paper and the GEF funding process

Concept Agreement

Review

1. Present OHT 5 and OHT 6. Ask the trainees to open their manuals on Page 2 and look at Figure 1 which portraits all steps required for the development of an IW full-sized project. Highlight that the preliminary project request and the preparation of a draft concept paper are the two major steps of the project development phase. Point out also that PDF-A funding is the stepping stone between the initiation of the project and the preparation of the draft concept paper.

2. Go back to OHT 5 and point out that you will discuss every activity that is required to fulfil each step.

3. Present OHT 7 and review the process of initiating a project. Ask the trainees to provide at least one example from their own projects.

4. Present OHT8. Stress that PDF-A funds may be requested at the very early stages of project development. However, this is an opportunity, not a requirement.

5. Show rapidly OHT 9 (which is the previous OHT 6), and point to the four activities required for the preparation of a draft concept paper. Stress that prior to these activities there is a need to appoint a neutral facilitator or consultant. Present OHT 10 and go through the responsibilities of the Facilitator. Before going into a detailed review of each of the tasks of the facilitator, ask the trainees if they have any experience to share related to the role of the facilitator. Open a mini-discussion and summarize results.

6. Present OHT 11. The most important points to stress are (i) importance of stakeholder involvements at early stages of the project and throughout the project; and (ii) achieving a balanced representation of stakeholders.

7. Recall that the second task of the facilitator is the identification of possible transboundary concerns with the stakeholders. Ask the participants: what do they understand for a “transboundary concern”? Make a summary of the responses and then show OHT 12. Compare their answers with the GEF definitions. Point out page 23, Box 3 of their manuals as a starting point in the identification of transboundary problems.

8. Present OHT 13 and elaborate on the role and responsibilities of the TTT at this early stage of the process.

9. Before discussing the details concerning the preparation, submission, review and approval of the concept paper, make a small introduction highlighting:

1. the importance of the concept paper (CP) as first output of the project development process.

2. The relevance of the CP as the technical core for a PDF-B funding submission

3. The initiation of the decision-review process and the interplay between field personnel, the IA/EAs and the GEF Secretariat.

10. Ask the trainees to share their experience with the preparation of a concept paper. Present OHT 14 and review its content vis-à-vis the experience of the class. Elicit responses from the trainees.

11. Point out to the trainees that GEF have developed harmonized guidelines and template documents for drafting a concept paper/PDF-B proposal. Indicate that these documents can be found in the CDROM provided to them. Provide details on the concept paper format, including a draft work plan and cost estimates, all following the requirements of the GEF Project Review Criteria. Give a few examples of common mistakes made by project proposers.

12. Present OHT 15 and highlight the key role of the concept paper within the GEF PDF-B funding process.

13. The last step of the project development phase is the concept agreement review. Four OHTs describe the (i) purpose; (ii) procedure; (iii) actors; and (iv) decision making. Review each OHT and elicit questions from the trainees. Summarize responses.

OHT 5

(Step: Preliminary

project

request)

OHT 6

(Step: Preparation of a draft concept paper)

Trainees Manual, page 2

OHT 5

OHT 7

(Initiation of the project proposal)

OHT 8

(Request for

PDF-A funds)

OHT 9

(Step: Preparation of a draft concept paper)

OHT 10

(Facilitator)

OHT 11

(stakeholders)

OHT 12

(What is a transboundary concern?)

OHT 13

(identification & consultation with the TTT)

OHT 14

(Preparation of a draft concept paper)

OHT 15

(The CP & GEF funding process)

40 m

Exercise 2.1 Sustainability and Replicability of the Full Project

Homework

1. Ask participants to undertake the exercise.

2. If necessary, coach them throughout this activity

3. Review the results of the exercise before the end of Part 2.

4. Read concept papers from the Caribbean Large Marine Ecosystem and La Plata River Basin.

Total Time

2h

15m

Implementa-tion of the PDF-B: Preparatory phase of the TDA/SAP

Activities

Materials

40

5

5

15

5

10

5

10

10

(Group activity; presentation and discussion)

Components of the phase

Management structure at the national level

Stakeholder analysis

& Public Involvement Plan

Workplan for the TDA/SAP implementation phase

Initial TDA development

Advancement on the TDA development

TDA/SAP

steps

1. Divide the class into 4 groups and discuss their findings regarding the concept papers of the Caribbean Large Marine Ecosystem and the La Plata River Basin. Assign two groups to the Caribbean Large Marine Ecosystem project and the other two to the La Plata River Basin.

2. Write on the blackboard the following items to be considered in their analysis:

1. major transboundary concerns/problems in each project;

2. linkage between the project and GEF focal areas, Operational and/or strategic priorities;

3. mechanisms proposed for stakeholder involvement;

4. indicators for monitoring & evaluation; and

5. sustainability of the project.

3. After the group deliberations, each group should report to the class. After hearing the 4 reports, the instructor should summarize the discussion.

4. Present OHT 20 and go through the objectives of the Implementation of the PDF-B: Preparatory phase of the TDA/SAP.

5. Ask the trainees to go back to Page 2 - Figure 1. Present OHT 21 and point out that following approval of the PDF-B funding, the new project TDA/SAP requires a management structure.

6. Present OHT 22 and walk through the national organizational diagram. Explain who are the different players and their respective roles using OHT 23 and 24. Take this opportunity to explain that while some roles are expanded, others are ending, e.g. the final role of the facilitator will be to explain the TDA/SAP process to the steering Committee and the NICs, In turn, the original TTT is augmented with additional expertise. Ask trainees to read in their manuals, examples of TTT composition (page 36). Open a mini-discussion as to whom they should involve in their respective projects.

7. Present OHT 25 and open the subject by indicating that this is a second stakeholder consultation stage that goes much further than the initial consultation done by the facilitator. The analysis feeds into the Draft Public Involvement plan, which is a prerequisite for full project approval. You may also indicate that experience tells that the level of participation of stakeholders varies between IW projects.

8. Explain that before embarking on the TDA/SAP development process, the Project Manager should design a work plan. Present OHT 26 and go through the requirements. Indicate that there are two planning tools that may help in drafting the work plan and its implementation: the Logical Framework Approach (LFA) and the Results Management Model (RMM). Point out that information on LFA is provided in the CDROM.

9. Open the topic by indicating that this is the last step of the preparatory phase, but represents the beginning of the of the long and complex TDA/SAP process. Previous steps i.e. establishment of a management structure, public involvement plan and TDA/SAP work plan, are all prerequisites to the development of the TDA/SAP process itself.

10. Show OHT 27 and recall what was learned in Part 1 regarding different scenarios in the GEF funding process.

Present OHT 28 and indicate that how far projects would advance in the TDA development process depends on a number of conditions.

11. Present OHT 29 and recall that as a general rule, it is likely that at least the first 3 or 4 steps will be completed. Present OHT 30 to present advance information on the SAP development steps.

OHT 20

(Objectives)

OHT 21

(Implementation of the PDF-B)

OHT 22

(TDA management structure)

OHT 23

OHT 24

(Players and roles)

Trainee Manual

OHT 25

(Stakeholder Analysis & Public Involvement Plan)

OHT 26

(Design work plan for TDA/SAP implementation)

OHT 27

(Scenarios of the GEF funding process)

OHT 28

(Initial TDA development)

OHT 29

(TDA steps)

OHT 30

(SAP steps)

30 m.

Self-Assessment test 2.2

12. Ask participants to undertake the self-assessment test.

13. Review the answers immediately after the test is finished.

Total Time

45 m.

Implementa-tion of the PDF-B: Preparation of the Full Project document

Activities

Materials

5

10

5

5

10

10

Objectives &Stepwise approach

Preparation of a full project brief

Requirements

Submission and review of the project brief

The Secretariat decision and the Council approval

Full project document preparation and endorsement

1. Present OHT 31 and go through the objectives. Present OHT 32 and review the steps involved.

2. Stress that the following steps involve both technical tasks as well as administrative procedures.

3. As regards to the technical content of the project brief, and as a matter of clarification, first present the definition of a project brief (OHT 33 & OHT 34). Point out that the format of the project brief is not consistent between implementing agencies, although the project executive summary should be submitted following the template distributed by the GEF Secretariat. Remind the trainees that they have examples of project briefs in the CDROM.

4. Before addressing the submission procedure, point out the
   two technical / administrative requirements involved in the preparation of the project brief, namely, (i) endorsement from participating countries; and (ii) independent external technical review (OHT 35). These documents are critical because they will be part of the brief documents submitted for review.

5. When addressing the submission and review procedure, point out that procedurally, it does not differ substantially from the one followed for the project concept paper. Present OHT 36 and OHT 37 and go through the items.

6. Present OHT 38 and OHT 39 and elaborate on the 4 possible decisions on the part of the Secretariat. Point out that at this stage, the GEF Secretariat makes the review and decides on a recommendation for Work Programme inclusion, while the GEF Council gives the final approval (OHT 41).

7. Explain the following steps from a procedural standpoint. Make a clear distinction of the actors involved and their timely interventions. Present OHTs 42, 43 and 44 to take you through the procedure. Elaborate briefly on each step.

OHT 31

(Objectives)

OHT 32

(Stepwise approach)

OHT 33

OHT 34

(Preparation of a full project brief)

OHT 35

(Requirements)

OHT 36

(Submission procedure)

OHT 37

(Review of full project brief)

OHT 38

OHT 39

(The Secretariat decision)

OHT 41

(Approval by the GEF Council)

OHT 42

(Procedure for preparation and endorsement)

OHT 43

(GEF Secretariat review)

OHT 44

(CEO endorsement)

Total

Time

1 h.

20 m.

Implementa-tion of the Full Project

Activities

Materials

5

20

20

15

10

10

Objectives & Stepwise approach

Formulation of the management structure

TDA/SAP development process

The SAP development, adoption, and implementation

Ministerial Conference and Donors Conference

The way forward

1. Present OHT 31 and go through the objectives. Present OHT 45 and review the steps involved.

2. Before addressing the technical and procedural issues involved in each step, ask the trainees a few questions to elicit a discussion:

1. At the implementation stage, what are the key issues that should be addressed to make the project successful?

2. Having a number of technical, administrative, human and financial resources at hand, what are in your understanding the most important management decisions and activities to be made?

3. Let the trainees engage in a discussion and summarize their findings. Then, present OHT 47 and compare with the findings that evolved from the discussions. Point to the examples contained in the Trainee Manual on page 45, Box 6.

4. Present OHT 48 and OHT 49. Though you will not elaborate fully on the technical details of each of the TDA and SAP steps, it could be very useful to provide a brief overview of both the TDA and the SAP process.

5. Highlight the fact that Full Project Implementation serves a double purpose: first, the completion of the TDA and the formulation of the SAP. Second, to lay the ground for the adoption and implementation of the SAP.

6. Present OHTs 50 to 53 and discuss the benefits of conducting both a ministerial conference and a donors conference.

7. Present OHT 54, and explain that further GEF initiatives and interventions such as a further Full Project (FP) for SAP implementation are the next step after the successful implementation of the Full Project and the adoption of the SAP.

OHT 45

(Objectives)

OHT 46

(Stepwise approach)

OHT 47

(Full management structure)

OHT 48

OHT 49

(TDA/SAP development process)

OHT 50

Major initiatives for adoption and implementation of the SAP

OHT 51

OHT 52

(Ministerial Conference)

OHT 53

(Donors Conference)

OHT 54

(Development of a FP Brief for SAP implementation)

Homework

8. Undertake Exercise 2.2: ’Case study Questions’