Trainee Manual
Module 2
TRAINING COURSE ON THE TDA/SAP APPROACH IN THE GEF
INTERNATIONAL WATERS PROGRAMME
TRAINEE MANUAL
MODULE 2: THE PROJECT DEVELOPMENT PHASE AND
PLANNING THE TDA/SAP
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MODULE 2
THE PROJECT DEVELOPMENT PHASE
AND PLANNING THE TDA/SAP
9
GEF Project Cycle
9
Preparing a concept paper for pipeline entry
9
TDA/SAP planning phase
1. This Module
This module deals with the steps taken towards the development of an IW full-sized
project and the preparatory planning stages prior to the start of the TDA/SAP component
of a full-sized project. In particular it examines the steps required to secure GEF funding,
namely the preparation of a draft concept paper and the full project brief.
These steps are carried out prior to the preparation of the TDA document (Modules 3 and
4), and the SAP (Module 5).
1.1 Stepwise approach to IW full-sized project development and
planning
The flow diagram shown in Figure 1 identifies the major steps taken towards the
development of an IW full-sized project and the preparatory planning stages prior to the
start of the TDA/SAP component.
Each step described in this flow diagram is further expanded in Sections 3, 4 and 5 of this
module.
The links between Figure 1 and the GEF project cycle are highlighted in Figure 2. You
should examine these closely.
You will find a contents list of Module 2 at the end of this document.
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Description
Section
Preliminary project request
3.1
Initiation of the project proposal through GEF implementing agency
3.1.1
Request for PDF-A funds (if required)
3.1.2
PDF-A Funding
Preparing a draft concept paper for pipeline entry
3.2
Identification and consultation with stakeholder groups (including initial
3.2.2
identification of possible transboundary concerns)
Identification and consultation with the prospective members of the
3.2.3
Technical Task Team
Preparation of the draft concept paper
3.2.4
Submission for pipeline entry and approval of the concept paper and PDF-B
3.2.5
funding request
PDF-B Funding
Implementation of the PDF-B: Preparatory phase of the TDA/SAP
4.1
Formation of the TDA/SAP management structure
4.1.1
Design work plan for the TDA/SAP implementation phase including budgets
4.1.2
Undertake a detailed stakeholder analysis and draft public involvement plan
4.1.3
Initial TDA development
4.1.4
Implementation of the PDF-B: Preparation of the Full Project document
4.2
Preparation of Full Project brief and Monitoring & Evaluation Plan
4.2.1
Submission of Full Project brief
4.2.2
Approval by the GEF Council
4.2.3
Full Project document prepared and endorsed
4.2.4
Full Project Funding
Implementation of the Full Project
5
Formulation of Full Project management structure
5.1
Completion of the TDA and formulation of the SAP
5.2
Steps towards a Full Project brief for SAP implementation
5.3
Figure 1 Major steps taken towards the development of an IW full-sized project
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1.2 Module objectives
After studying this module, you should be able to:
General principles
1. Explain the key features of the GEF International Waters Operational Strategy,
Operational Programmes and strategic priorities as well as the integration of IW Focal
Area with other focal areas.
2. Explain the basic GEF project cycle phases and its decision/review points.
3. Identify the main criteria used by GEF to select IW projects.
4. Describe the differences between PDF-A, PDF-B and full-project funding.
5. Explain the project proposal and its relationship with different scenarios of the GEF
funding process.
6. Understand the concept of incremental costs as applied to international waters.
The project development phase
7. Describe the steps followed for the initiation of a project proposal and the request of
PDF-A funds.
8. Identify the main tasks undertaken during the PDF-A phase, including: (i)
identification of the stakeholder groups; (ii) identification of possible transboundary
concerns; and (iii) identification and consultation with the technical task team (TTT).
9. Explain the nature and the process involved in the preparation of the draft concept
paper and submission for pipeline entry and PDF-B funding.
10. Identify common mistakes made by project proposers.
11. Give a set of instructions for preparing a project concept paper.
12. 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.
Implementation of the PDF-B
13. Explain how to set up a management structure for a TDA/SAP.
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14. Describe the process for carrying out a detailed stakeholder analysis and public
participation plan.
15. Explain the objective and the format used in the preparation of Full Project Brief and
Monitoring & Evaluation Plan.
16. Outline the process of submission and approval of a Full Project brief.
17. Describe the process for full project document preparation and approval.
Implementation of the Full Project
18. Explain management structure requirements for full project implementation.
19. Review the steps required for SAP implementation
1.3 Module Activities
In this module, you will be invited to:
1. Study a series of texts and case-studies.
2. Complete two short self-assessment tests.
3. Complete two exercises analysing the approach used in several real case-
studies.
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2. General principles
2.1 GEF International Waters Operational Strategy
The goal of GEF international waters projects is to assist countries to use the full range of
technical, economic, financial, regulatory, and institutional measures needed to
operationalise sustainable development strategies for international waters.
The Operational Strategy and Operational Programmes recognise the very different
nature of international waters projects compared to other GEF focal areas. The GEF
Council has adopted an Operational Strategy that recognises that the reversal of
environmental degradation in complex transboundary freshwater or marine situations may
take decades. It was acknowledged that a series of projects with progressive GEF
involvement may be needed in a specific basin or marine ecosystem to leverage the needed
country reforms and investments for adequately addressing transboundary water issues.
Collaborating countries often must address a whole host of scientific, social, political,
institutional, cross-sectoral, and sovereignty issues through structured processes before
they may commit to undertaking the required regional and country-based reforms and
priority investments.
According to the GEF Operational Strategy1, "the overall strategic thrust of GEF-funded
International Waters (IW) activities is to meet the agreed incremental costs of:
(a) assisting groups of countries to better understand the environmental concerns of
their international waters and to work collaboratively to address them;
(b) building the capacity of existing institutions (or, as appropriate, developing the
capacity through new institutional arrangements) to utilize a more comprehensive
approach for addressing transboundary water-related environmental concerns;
(c) implementing measures that address the priority transboundary environmental
concerns".
Furthermore it states that "The GEF will play a catalytic role in assisting countries seeking
to leverage co-financing in association with national funding, development financing,
agency funding and private sector action for different elements of a comprehensive
approach for sustainably managing international waters."
There are five priority areas for action in the Operational Strategy.
· Control of land-based sources of surface and ground water pollution that degrade
the quality of international waters;
1 GEF (1996) International Waters. Ch. 4, Operational Strategy of the Global Environment Facility. GEF,
Washington, D.C. pp. 47-56
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· Prevention and control of land degradation where transboundary environmental
concerns result from desertification of deforestation;
· Prevention of physical or ecological degradation, and hydrologic modification, of
critical habitats (such as wetlands, shallow waters, and reefs);
· Control of unsustainable use of marine living resources as well as nonliving
resources resulting from inadequate management measures such as overfishing,
excessive withdrawal of freshwater, and resource extraction;
· Control of ship-based sources of chemical washings and non-indigenous species
that can disrupt ecosystems or cause toxic and human health effects.
Chapter 4 of the GEF Operational Strategy of the Global Environment
Facility can be found in Document 1 in the Supporting Materials folder for
this module.
2.2 GEF IW Operational Programmes
The GEF International Waters (IW) Focal Area is organised around three complementary
Operational Programmes:
OP8 Waterbody based operational programme
The goal of this operational programme is "to assist countries in making changes in the
ways that human activities are conducted in different sectors so that the particular water
body and its multi-country drainage basin can sustainably support human activities."
Projects in this operational Programme focus mainly on seriously threatened and/or
damaged water bodies and the most imminent transboundary threats to their ecosystems.
Projects target both freshwater systems, ranging from transboundary river and lake basins
to transboundary groundwater systems, and marine ecosystems, with focused, remedial
actions.
The programme's long-term objective is to undertake a series of projects that help groups
of countries to work collaboratively with the support of GEF implementing agencies in
achieving changes in sectoral policies and activities so that transboundary environmental
degradation to specific water bodies can be addressed.
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OP9 Integrated land and water multiple focal area programme
This operational programme is designed to be broader in scope than OP8 and focuses on
the development of integrated land and water resource management practices for particular
geographical areas.
Its long-term objective is to achieve global environmental benefits through projects that
integrate the use of sound land and water resource management strategies as a result of
changes in sectoral policies and activities that promote sustainable development.
Projects focus on area-wide interventions that typically involve integrated land and water
resources management as well as preventive measures to address threats rather than
remedial, highly capital-intensive measures.
OP9 may also provide global benefits in multiple focal areas at one time as a result of the
interventions. For example, the adoption of improved catchment management may protect
the biodiversity of a downstream wetland, or the adoption of integrated coastal
management strategies may assist in mitigating the effects of climate change.
With components devoted to the cross-cutting issue of land degradation and the specific
conditions of Small Island Developing States (SIDS), projects in this operational
programme often involve determining what sectoral changes are needed to achieve a
basin's sustainable development goals as well as what type of measures are needed to
ensure that the ecological carrying capacity of the water body is not exceeded.
OP10 Contaminant based operational programme
Unlike the other operational programmes, OP10 focuses on particular issues in a global
context and seeks projects "that help demonstrate ways of overcoming barriers to the
adoption of best practices that limit contamination of the IW environment".
It identifies four components:
(1) demonstration projects for addressing land-based activities;
(2) ship-derived contaminants;
(3) persistent toxic substances (of global importance);
(4) projects which help to set priorities for GEF interventions, or distill
experiences and promote knowledge sharing from GEF interventions.
Both OP8 and OP9 require the development of a TDA and the formulation of an SAP.
OP10 does not.
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2.3 Strategic priorities
There are 3 strategic priorities that underlie OP8, OP9 and OP10
These are:
IW-1 Catalysing Financial Resources for Implementation of Agreed Actions
IW-2 Expand Global Coverage with Capacity Building Foundational Work
IW-3 Undertake Innovative Demonstrations for Reducing Contaminants and
Addressing Water Scarcity
2.4 Integration with other focal areas
The IW Focal Area also integrates with other GEF Focal Areas, particularly
OP2: [Biological Diversity] Coastal, Marine and Freshwater Ecosystems
but also through
OP1: [Biological Diversity] Arid and Semi-Arid Zone Ecosystems
OP12: [Multifocal Area] Integrated Ecosystem Management
OP14: [Persistent Organic Pollutants] Persistent Organic Pollutants
OP15: [Land Degradation] Operational Programme on Sustainable Land Management
This integration also extends into the Climate Change Focal Area, since it is recognised
that land degradation is a cross-cutting issue affecting the emission of greenhouse gases.
The overlaps are inevitable in the context of a holistic perspective of the global
environment. Where properly recognised, they give added strength to GEF projects.
Box 1 - Examples of focal area integration
Projects in OP8 often identify issues that can be best addressed through OP2. On
the other hand, although they may be self-standing, projects in OP2 produce
additional global benefit by interacting within the policy perspectives generated
by OPs 8 and 9.
SAPs formulated during OP9 projects can result in the identification of OP2,
OP12 and OP15 GEF interventions.
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2.5 Project selection criteria
The current IW portfolio project selection criteria must be considered before developing a
TDA/SAP project proposal. These criteria are defined below:
1. The transboundary concern involves one or more of the imminent threats to
international waters.
2. Severity of the transboundary problem (the ecological and socio-economic
significance of damage, human health implications, extent of critical habitat,
spatial damage).
3. Threat of irreversible damage to biodiversity, and the time scale of reversibility
(particularly if threatened or endangered species such as marine mammals are
involved, and if the damage will severely harm the livelihoods of affected
[human] populations).
4. Leverage of development assistance, international agency co-funding, or private
sector or other country commitments to provide associated financing for priority
solutions in the baseline as well as for transboundary concerns.
5. Capacity for implementation or plans for inclusion of capacity-building
components.
6. Degree to which the problems are common to other geographical regions, and
interventions can be replicated.
7. Consistency with national environmental planning documents and international
legal obligations.
In addition, due to funding restrictions, new projects should also address at least one of the
3 strategic priorities described above in Section 2.3.
2.6 Incremental costs
The process of determining incremental costs will be dealt with in detail later in this
module, but the principle must be understood from the outset.
The GEF only funds the "incremental" or additional costs associated with transforming a
project with national benefits into one with global environmental benefits.
Financing incremental costs achieves two desirable objectives.
· Scarce funds can be dedicated to achieving global environmental benefits rather
than to achieving development and local environmental benefits, for which other
sources of funds are appropriate.
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· Eligible countries need not divert scarce development finance to achieve global
objectives, nor give up their national development goals to do so.
An example of an incremental cost is shown in Box 2, below.
Box 2 - An example of an incremental cost
The problem of eutrophication in transboundary water bodies the over-
enrichment of surface waters with nutrients leading to massive algal blooms is
one of global significance. One source of the additional nutrients is domestic
sewage.
Sewage requires treatment to reduce health risks and protect the local
environment. Though primary and secondary treatment resolves the problem of
pathogenic bacteria and BOD in sewage, it does not completely remove nutrients,
and is particularly ineffective for nitrogen removal.
For a town or city on a river in a country isolated from the sea, there may be no
apparent domestic benefits from nutrient removal. But the removal would
generate global benefits, and the difference between costs of treatment for
meeting local needs for sustainable development and global ones could be
regarded as incremental.
But this does not imply that higher level sewage treatment is automatically
warranted. There may be alternative approaches to nutrient removal (such as
wetland restoration) that generate multiple benefits.
2.7 The GEF project cycle
The basic GEF project cycle phases are shown in Figure 2. The characters in parenthesis
correspond with the major steps outlined in Figure 1 and are described in more detail in
Sections 3, 4 and 5 of this module.
The GEF Project Cycle comprises four major phases of activity that are managed by the
Implementing Agencies:
(i)
Develop project concept (Section 3.2.4).
(ii)
Prepare full project brief (Section 3.2.5).
(iii)
Project appraisal (Section 4.2.4).
(iv)
Implementation, and monitoring and evaluation of full project (Sections 5.1;
5.2).
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Project cycle phases
Develop project
concept (
3.2.4)
Project cycle decision points
Final
Potential new
GEF review for eligibility
evaluation
interventions
and pipeline entry.
(5.3)
Secure PDF Funding.
(3.2.5)
Sign, implement, monitor
and evaluate full project
(5.1; 5.2)
Prepare project
brief (4.2.1)
Submit for CEO
endorsement (4.2.4)
GEF review for
`Work Programme'
inclusion (4.2.2)
Project `appraisal'. Brief
expanded to IA project
document. (4.2.4)
GEF Council
approval (4.2.3)
Figure 2 - Basic Project Cycle2
2 Characters in parenthesis correspond with the major steps outlined Figure 1 and described in more detail in Sections 3, 4 and 5 of this module.
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Progression from one phase to another in the project cycle is through three discrete GEF
decision or review points involving the Secretariat:
(i)
Review for eligibility and PDF funding approval (Section 3.2.5).
(ii)
Work Programme inclusion review and GEF Council approval (Sections 4.2.2
and 4.2.3)
(iii)
CEO endorsement (Section 4.2.4).
As you can see, the terminology used in this module for project development differs
slightly from that used in the GEF project cycle. To aid in your understanding, Table 1,
below, lists the GEF project cycle terminology and describes the corresponding
terminology used in this module.
Table 1 Description of terminology
GEF project cycle terminology
Project development terminology
Develop project concept
Preparation of the draft concept paper
Review for eligibility and PDF
Submission for pipeline entry and approval of
funding approval
the concept paper and PDF-B funding request
Prepare full project brief
Preparation of Full Project brief and Monitoring
& Evaluation Plan
Work Programme inclusion review
Submission of Full Project brief
GEF Council approval
Approval by the GEF Council
Project appraisal and brief expanded Full Project document prepared and endorsed
to IA project document.
CEO endorsement
Full Project document prepared and endorsed
Implementation, and monitoring and
Implementation of the Full Project
evaluation of full project
2.8 PDF-A, PDF-B and FP funding
2.8.1 PDF-A funds
PDF stands for `Project Development Facility'. PDF A funds, also known as `Block A
funds', are intended to support the earliest stages of programme or project identification,
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including concept paper preparation. PDF A funds are approved through the GEF
implementing agencies.
A PDF A is used to prepare the ground for a concept PDF B, a medium sized project or a
Full Project. This is an opportunity, not a requirement. It is fully expected that some
project briefs will be prepared without GEF financing for project preparation.
PDF-A funding can cover:
· local consultations, national hearings, workshops to discuss specific project and/or
program concepts, including translation into local languages where appropriate, and
the preparation of background papers that could facilitate discussion;
· travel costs for local experts to visit neighbouring countries for consultations and
discussions on potential transboundary projects;
· consultancies to develop program and/or project options, including the preparation
of terms of reference for feasibility studies, strategy papers, and, where possible,
the preparation of such papers;
· scientific, technical, and environmental reviews of proposed projects to ensure that
they warrant further consideration;
· costs of external expertise, as appropriate.
The outputs of PDF-A grants can include:
· a project concept paper (and a GEF Medium Sized Project brief, if applicable);
· a PDF-B proposal;
· Initial stakeholder identification;
· an assessment of scientific, technical, environmental, political, and economic
feasibility of the proposed activity, including its relevance for future funding.
2.8.2 PDF-B funds
PDF-B funds are also known as `Block B funds' or Block B grants, and finance the
information gathering and essential supporting documentation that is necessary to prepare
Full Project proposals. In fact, PDF-B grants are accessible only for the preparation of a
Full Project. Currently, they are awarded up to the value of US$ 700,000.
These grants are approved by the GEF CEO, with attention to the GEF operations
committee's recommendations.
PDF-B funds would normally be used:
· to provide information necessary for the preparation of a GEF project document
including pre-feasibility, feasibility, basic costing, technical and scientific design
parameters, and the development of a financing plan, including an assessment of
incremental costs;
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· for in-country preparation of the project document, including project workshops,
consultation with interested parties and stakeholders (including other donors), and
local participation in project design, where warranted;
· for national and/or sectoral preparatory work required for the design of the proposed
GEF activity. This could include assistance in preparing sectoral plans and programs
(such as energy, industry, or agriculture) which have a direct bearing on project
design; national policy analysis; and inventories and data analysis in support of the
proposed project;
· for small community-based activities to prepare for project implementation
Where feasible, PDF resources should normally complement other sources of finance for
preparation of a project proposal (e.g. UNDP and regional development bank technical
assistance grants, World Bank-managed funds for project preparation, bilateral finance,
and private funds, etc.). GEF project preparation resources should be allocated on an
incremental cost basis, taking into account the likely level of financing by the GEF in
relation to the other co-financiers.
PDF-B funding will be dealt with in more detail later in this Module.
2.8.3 Full Project funding
The primary objective of the TDA and SAP is to provide sufficient evidence to warrant
GEF intervention. GEF intervention is provided through Full Project (FP) grants (for
which more than $1,000,000 is requested from the GEF). These are awarded in accordance
with GEF guidelines as well as the relevant Convention.
Proponents of Full Projects must first submit a FP concept paper to the appropriate IA. A
concept paper should provide enough substantive information for the IA and-GEF to
determine whether the project concept is eligible for funding under the GEF.
Following an initial screening for eligibility, a project concept is then developed into a
project brief, in close consultation with the GEF Coordination Office. The Project Brief is
the primary vehicle for presenting the project proposal for approval to the GEF Council.
2.9 The Project Proposal and GEF funding process
The project proposal (incorporating a TDA/SAP) provides a route map for how sufficient
evidence will be gathered to warrant a substantial GEF intervention (a Full Project). This is
its primary objective. In the case of international waters projects however, there is wide
recognition that the TDA and SAP are valuable self-standing products of great use for
designing a policy framework for the study area irrespective of whether or not a Full
Project emerges.
The Full Project brief is usually developed using Project Development Facility (PDF-B or
Block B) funds; the development of a TDA (and occasionally the SAP) is normally part of
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this process. In exceptional 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). These two scenarios are demonstrated in Figure 3.
The TDA/SAP project proposal is destined for consideration by the Implementing
Agencies, the GEF Secretariat, the STAP technical reviewer and the GEF Council.
The proposal must demonstrate that:
1.
There is a clear understanding of the technical process for elaborating the TDA
and SAP
2.
The institutional arrangements are practicable, transparent and give access to all
stakeholders
3.
The subsequent proposed GEF intervention will correspond closely to the
Operational Strategy and strategic priorities of the GEF
4.
That the intervention is of high priority to the beneficiary countries.
2.10 Monitoring and Evaluation
Monitoring and Evaluation (M&E) is a management tool used by GEF to support decision-
making, ensure accountability, measure results and impacts of projects and programmes,
and extract lessons from a given programme and its projects.
M&E is a shared responsibility between the GEF Secretariat and its IAs. The IAs have the
responsibility for evaluating individual projects; while the M&E unit in the GEF
Secretariat is responsible for monitoring and evaluation of the focal areas and the
programmes, as well as cross-cutting issues.
2.11 Key Actors involved in an IW project
Table 2, below, outlines the key actors involved in the development, planning and
execution of an IW project.
Please spend a little time familiarising yourself with each actor, further
details of which can be found in Document 2 (`List of Actors') in the
Supporting Materials folder for this module. It may also be useful to consult
with this table when working through the rest of this module.
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Projects with a smaller number of participating countries
PDF-A funding
PDF-B funding
Full Project funding
· Early stage programme support
· TDA/SAP development
· Implementation of SAP
· Project identification
· Full Project proposal
·
development
Initial stakeholder consultations
Projects with a larger number of participating countries
PDF-A funding
PDF-B funding
Full Project funding (I)
Full Project funding (II)
·
Early stage programme support
· Initial TDA development
· TDA completion
· Implementation of
·
SAP
Project identification
· Preliminary SAP
· SAP development
· Initial stakeholder consultations
· Full Project proposal
· Demonstration
development
projects
Figure 3 Scenarios of the GEF funding process
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Table 2 - Key actors involved at each stage of an IW project
Stage
Key Actors
The preliminary project request
· Project
proposer
· Implementing Agency (IA)
· Executing
Agency
· GEF focal points
· GEF-IA task manager
Preparing a draft concept paper for
· Implementing Agency (IA)
pipeline entry
· Executing Agency (EA)
· Facilitator
or
consultant
· IA task manager
· GEF focal points
· Stakeholder
groups
· Stakeholder
representatives
· Initial technical task team (TTT)
· GEF
Secretariat
· GEF
Council
· Relevant convention secretariats
· STAP
Chair
· GEF
CEO
Implementation of the PDF-B:
· Implementing Agency (IA)
Preparatory phase of the TDA/SAP
· Executing Agency (EA)
· IA Task Manager
· GEF focal points
· Project Manager (PM)
· Project Steering Committee
· National Interministry Committees
· Technical Task Team (TTT)
Implementation of the PDF-B: Preparation
· Implementing Agency (IA)
of the Full Project document
· Executing Agency (EA)
· Hired
consultants
· GEF Coordination Office
· GEF
Council
· GEF operational focal point
· STAP Roster of Experts
· GEF
Secretariat
· Steering
Committee
· Convention
secretariat
· STAP
Chair
· GEF
CEO
Implementation of the Full Project
· Implementing Agency (IA)
· Executing Agency (EA)
· Project Manager
· Project Steering Committee
· National
Interministry Committees (NICs)
· Project Management Unit (PMU)
· Technical Task Team (TTT)
· SAP Formulation Team
· NAP Formulation Teams
· Donors
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Self-assessment Test 2.1
2.
Tick which of the following are examples of incremental costs?
a. The cost of improving the water quality to a higher standard
than can be achieved with available national funds.
b. The use of an electrical generating technology which is more
costly but generates global benefit.
c. The removal of nutrients that do not harm the local
environment but are producing harmful effects in another
country.
d. The opportunity cost foregone by failing to carry out
improvements to a water body that could produce extra
economic advantage.
3.
There are five priority areas for action in the GEF International Waters Operational
Strategy.
Here are short descriptions of three of them. Can you fill in the other two?
Prevention of degradation of critical habitats.
Control of use of marine living resources.
Control of land-based sources of water pollution.
......................................................................
......................................................................
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4.
Indicate whether each of the following statements is true or false:
True / False?
A
Any individual or group having the support of their
government may initiate a project proposal.
B
All developing countries are eligible to propose a GEF
project.
C
PDF stands for project development financing
D
Block A funds and PDF A funds are the same thing
E
PDF A funds are often not needed for project
preparation.
F
PDF-A funding cannot be used for scientific reviews of
proposals or for the costs of external expertise.
G
A PDF-A grant can be used to prepare strategic notes
on programs that need national discussion.
H
PDF-B funds are only needed to support preparation of
a Full Project/
I
PDF-B funds cannot be used to pay for expenses
incurred in in-country consultation with stakeholders.
J
PDF-B funds can be used to increase the scope of
project preparation which is already being supported by
another financing agency.
Correct answers are given in the pink pages
at the end of this module.
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3. The project development phase
3.1 The preliminary project request
3.1.1 Initiation of the project proposal through GEF implementing agency
GEF project ideas may be proposed directly to UNDP, UNEP, the World Bank and other
GEF executing agencies (EAs) with expanded opportunities3. Any individual or group that
has the backing of the government (in an eligible country) may propose a project, which
must meet three key criteria:
· It must reflect national or regional priorities and have the support of the country or
countries involved.
· It must improve the global environment or advance the prospect of reducing risks to
it.
· For IW specifically, it must improve the transboundary waters environment
Whether a country is eligible to receive funding is determined in two ways:
· Countries that have ratified the relevant treaty are eligible to propose biodiversity
and climate change projects.
· Countries are eligible if the country is a party to the appropriate treaty and is eligible
to borrow from the World Bank or receive technical assistance grants from UNDP.
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).
3.1.2 Request for PDF-A funds (if required)
PDF-A funds (up to $25,000) 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. This is an opportunity, not a requirement. It is fully expected that many project
briefs will be prepared without GEF project preparation financing.
Any project proposer can submit a request for PDF-A financing for the purpose of
preparing a concept paper for a Full Project. Project proposers are expected to mobilize
some level of co-financing for project preparation, including in-kind contributions.
3 Executing agencies with expanded opportunities include UNIDO, FAO, the International Fund for
Agricultural Development (IFAD), the European Bank for Reconstruction and Development (EBRD) and the
African Development Bank (ADB), the Inter American Development Bank (IADB), amongst others.
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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.
A standard format for proposals for PDF-A grants is available in the
Supporting Materials folder for this module (Document 3) and at:
www.gefweb.org/Documents/Council_Documents/GEF_C22/annexes.html.
3.2 Preparing a draft concept paper for pipeline entry
3.2.1 Main tasks undertaken during the PDF-A phase
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 may be a
member of the IA staff, an external consultant or an expert from another organisation. But
she/he should not be from any of the interested regional parties in the project. The
facilitator must have appropriate language skills and cultural sensitivity.
The facilitator has to undertake 4 main tasks.
1. Identification of the stakeholder groups and initial consultation with them
2. Identification of possible transboundary concerns in consultation with the
stakeholders
3. Identification and consultation with the technical task team (TTT)
4. Preparation of a draft concept paper
Each of these tasks is described below.
3.2.2 Identification and consultation with the stakeholder groups (including
an initial identification of possible transboundary concerns)
To generate awareness, and create local capacity, it is essential to involve all stakeholders
at the project design stage.
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
issues in the region. The consultation can be conducted in a number of ways:
· formal structured face-to-face interviews
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· paper-based questionnaires
· stakeholder meetings.
In all cases, the use of open questions is advised. The questions should cover:
1. the nature and severity of the transboundary concerns;
2. who are the other stakeholders;
· affected parties;
· causative parties;
· 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 from the 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.
A detailed discussion on approaches that can be used for identifying and
consulting with the stakeholder groups, and examples of good practice
are presented in Module 6.
Having completed the interview process, the facilitator should formulate a report to the IA
that contains observations regarding stakeholder representation on the project technical
task team.
More about the initial identification of possible transboundary concerns
The distinction between national and transboundary concerns must be made absolutely
clear to all stakeholders, and is worth re-stating, as GEF-funded IW projects are concerned
only with environmental problems which are transboundary.
A "transboundary concern" is any form of anthropogenic degradation in the natural state of
a water body that concerns more than one country (anthropogenic means caused by the
activities of people rather than natural phenomena).
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That is to say, a transboundary concern is an environmental problem originating in one
country and affecting (or impacting) another (e.g. eutrophication or chemical pollution).
The transboundary impact may be damage to the natural environment (e.g. algal blooms)
and/or damage to human welfare (e.g. health issues).
Conversely, national (or domestic) concerns or problems are those that arise in the same
country as the cause. They do not affect third parties.
As a framework for determining the transboundary environmental concerns, the facilitator
may find the following generic list a useful starting point (Box 3, below). Remember, this
list should be used as an `Aide Memoir', rather than a definitive list. Transboundary
problems will vary from region to region.
Box 3 - Common transboundary problems
1
Excessive withdrawals of surface and/or groundwater for human uses
2
Changes in freshwater availability
3
Changes in flow regimes from structures
4
Pollution of existing drinking water supplies
5 Microbiological
pollution
6 Nutrient
overenrichment
7 Hydrocarbon
pollution
8
Heavy metal pollution
9 Radionuclide
pollution
10
Suspended solids/accelerated sedimentation
11 Excessive
salinity
12 Thermal
pollution
13
Loss of ecosystems or ecotones
14
Modification of ecosystems or ecotones
15 Invasive
Species
16 Over-exploitation
17
Excessive bycatch and discards
18
Destructive fishing practices
19
Decreased viability of stocks through contamination and disease
20
Impact on biological and genetic diversity
21
Freshwater flow fluctuations such as drought and floods
22
Fluctuating ocean circulation patterns
23
Sea level change (including saltwater intrusion)
The above list is further expanded in the supporting material folder for this
module on the course CD ROM (document 4). This includes: the
relationship between transboundary problems; environmental and socio-
economic impacts; and the potential transboundary consequences.
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An example of how this task was approached is the Caspian Sea TDA/SAP preparation
process. Here, a preliminary TDA was formulated prior to the formation of the Caspian
Environment Programme (CEP) and the development of the full TDA document in 1998.
This document was based on:
a)
findings of a joint World Bank, UNDP and UNEP fact finding mission
to the five littoral countries; and
b)
complementary national reports in each of the five countries.
The preliminary TDA provided the basic background towards determining the key
transboundary problems in the region. Full stakeholder involvement was undertaken during
the TDA development phase.
3.2.3 Identification and consultation with the prospective members of the
Technical Task Team
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 fact-finding 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.
It is very important that the TDA TTT is equally represented by the above groups. Often, it
is difficult to find suitable economists. In contrast, it is usually easy to find willing natural
scientists, and it is tempting to form the TTT from this group. However, economists and
social scientists play a key part in describing the socio-economic consequences of the
transboundary problems. Without these experts the ultimate TDA will be weakened.
3.2.4 Preparation of the 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. To do this, the team
must have a good understanding of the overall TDA/SAP process and ideally, they should
have completed all the modules in this training course.
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The concept paper is used as the technical core for a (concurrent or subsequent) funding
submission to the GEF (usually PDF-B). The concept paper will include identification of
appropriate implementation focal points in each of the countries involved.
The GEF IA will take responsibility for submitting the concept paper and the PDF-B
funding proposal to the GEF Secretariat following established procedures. This process is
illustrated in Figure 4.
GEF IA
Pipeline
Project
GEF
PDF-B
entry and
Concept
GEF EA
Secretariat
proposal
PDF-B
Paper
funding
Facilitator
Figure 4 - GEF PDF-B funding process
Examples of concept papers and PDF-B funding submissions can be found on
TDA/SAP
the International Waters Resource Centre website
www.iwlearn.net/docs/index.php. Copies of both the Caribbean Large
CDROM
Marine Ecosystem and La Plata River Basin concept papers are provided in
the Supporting Materials folder for this module (Documents 5 and 6).
Common mistakes made by project proposers
Many proposals have shown common weaknesses which diminished their chances for
approval. This is the reason that in this module you will be asked to study some successful
project proposals, both in concept papers and PDF-B funding submissions.
Among the common mistakes made by project proposers are:
· Failure to identify a project's global and transboundary benefits.
· Failure to identify the regions transboundary concerns/problems.
· Failure to link the proposed project to existing frameworks for national and
regional sustainable development and environmental protection.
· Insufficient attention to identifying the national/regional baseline.
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· Failure to demonstrate that the project will identify the root causes of the
problem and failure to show a logical sequence of activities that will eventually
address these causes at their source.
· Lack of linkage between the project and GEF focal areas, Ops and/or strategic
priorities.
· Failure to ensure full participation of all key stakeholders.
· Lack of mechanisms or incentives for sustainability.
· Inappropriate or unrealistic time frame - either too short or too long.
· Lack of recognition of poor policy or institutional structure within the
countries.
· Inadequate provision of indicators on which monitoring and evaluation can be
based.
· Failure to document or substantiate evidence that a problem exists.
· Failure to clearly state why the problem is not being solved by existing policies
or actions.
Concept paper format
The concept paper should be approximately 10 - 20 pages long and must follow the
requirements of the GEF Project Review Criteria (see Box 4, below) which are used to
check whether the paper conforms to the GEF policies.
Recently, the GEF have developed harmonised guidelines and template documents for
drafting a concept paper/PDF-B proposal.
These documents can be found at the GEF website
TDA/SAP
www.gefweb.org/Documents/Council_Documents/GEF_C22/annexes.html.
A copy can also be found in the Supporting Materials folder for this module
CDROM
(Document 7).
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Box 4 - GEF Project Review Criteria
1. COUNTRY OWNERSHIP
· Country Eligibility
· Country Drivenness
· Endorsement
2. PROGRAMME AND POLICY CONFORMITY
· Fit to GEF Operational Programme and Strategic Priority
· Cost Effectiveness
· Project Design
· Sustainability (including financial sustainability)
· Replicability
· Stakeholder Involvement
· Monitoring and Evaluation
3. FINANCING
· Financing Plan
· Implementing Agency Fees
· Co-financing
4. INSTITUTIONAL COORDINATION AND SUPPORT
· Core Commitments and Linkages
· Implementation/Execution Arrangements
· Consultation, Coordination, Collaboration between IAs, and IAs and
EAs, if appropriate
Preliminary Financial Implications
Concept papers are submitted without a budget, but you should make a preliminary attempt
to put figures on the implications of the concept.
There is a budgetary limit to PDF-B funding (currently US$ 700,000), but this does not
imply that the maximum grant will be allocated. Your implementing agency will help you
to formulate a budget and this will help to guide the proposed work-plan so it is not
overambitious or unrealistic in its expectations.
The draft work-plan should indicate all meetings, their venue, duration and the necessary
travel of local and international participants. Note that the UN has standard daily
subsistence rates for each venue, but you are not obliged to pay the full rate; by pre-
booking hotels and some meals, lower rates can be realised and more efficient use can be
made of project resources.
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A separate estimate should be made of personnel costs (again, there are standard rates for
each country and each class of employee). Costs of administering the project should be
identified (communications, photocopies, local transport, freight, etc). It is common
practice for the host country to provide suitable office space as a counterpart contribution,
and there may also be an arrangement to provide additional full-time or part-time
specialists. Consultancy needs and costs should be identified early in the process to avoid
misunderstandings; again your IA will help you with this. At the PDF-B stage, capital
equipment costs should be minimal.
Note that projects have an Implementing Agency (UNEP, UNDP or the World Bank) and
an Executing Agency (there are a number of different executing agencies, chosen on their
relative merits in order to ensure efficient operation of the project and appropriate technical
support). In some cases, these will be allowed to charge limited overheads for their services
and this item must be allowed for when budgeting. Similarly, an allocation will be made
for project monitoring and evaluation.
Your Implementing Agency will assist you in this process.
3.2.5 Submission for pipeline entry and approval of the concept paper and
PDF-B funding request
As discussed earlier, the GEF IA will take responsibility for submitting the funding
proposal to the GEF Secretariat following established procedures. However, it is useful to
understand the process.
Full sized projects progress from one phase to another in the project cycle through four
discrete GEF decision or review points involving the Secretariat:
(a) Concept agreement review;
(b) PDF-B/C approval;
(c) Review for inclusion in the Work Programme which is submitted to the Council
for approval; and
(d) CEO endorsement review.
We are currently interested in (a) and (b).
At these review points, the Secretariat/CEO, or the Council considers documented
proposals on the basis of the GEF Strategic Priorities and Project Review Criteria
described above.
The first GEF decision point is concept agreement review prior to the project proposal
entering the GEF pipeline. The purpose of this review is to reach general agreement that a
concept meets the overall objectives of the GEF before the IA/EA spends significant
resources or makes major country commitments. A project must be listed in the GEF
pipeline document circulated to the Council prior to the work Programme in which the
project is included for Council approval. Pipeline documents are published quarterly.
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Concept agreement review and pipeline entry is therefore a requirement for all projects that
require approval by the Council.
The Concept Document is also submitted to the other IAs, the relevant convention
secretariat, and the STAP Chair for comment, which are taken into consideration by the
GEF Secretariat in its decision on pipeline entry. A 10-day circulation period, followed by
a project review meeting involving the relevant Implementing/Executing Agencies takes
place before the document is approved for pipeline entry.
The Secretariat reviews the concept proposal against the strategic priority and project
review criteria that are relevant for that type of project, and applies the criteria for
conceptual conformity only. The Implementing/Executing Agency is responsible for the
technical content of the concept. The Secretariat can make one of the three following
decisions:
(a) Recommended for pipeline entry.
(b) Recommended for pipeline entry subject to certain requirements.
(c) Not recommended for pipeline entry.
The first GEF decision at this Concept Agreement Review stage could involve approval of
a Concept Document only for entry into the project pipeline or in addition, a second GEF
decision for approval of PDF-B financing, if requested.
A detailed description of this process can be found at the GEF website
http://www.gefweb.org/Documents/Council_Documents/GEF_C22/Project_C
TDA/SAP
ycle_Update__FINAL__Nov_5_2003.pdf. A copy can also be found in the
CDROM
Supporting Materials folder for this module (Document 8: GEF Project Cycle
Update).
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Exercise 2.1 Sustainability and Replicability4 of the Full Project
Please take a minute to read what the alternative forms of the exercise
may be in real life. Your views on this will be important, and we will
have a discussion about exercises during the week.
Alternative Forms of Exercise Activity
Individual: If you are studying individually at home, or any other location where you are
isolated from other learners, you should present your answers to your tutor by e-mail,
attaching a document to your message, and receiving the tutor's e-mailed response. Please
make sure you put your name on the attached document. Whilst waiting for your tutor's
response, you may continue with Module 2, but this is not essential.
Group: When carried out as a classroom exercise, you will join with two other participants
into a group of three. All groups are given the same materials and instructions. After
completion of your work, your group should prepare a short presentation of your findings,
and appoint one of the members to present it to the whole class. The class will compare
and debate the group answers under the guidance of a facilitator.
Project: If in a project location, you may like to join with one or more colleagues to
produce a group answer, and then discuss this with the PM. You will naturally discuss
what you can learn from this exercise in your own project.
Your Tasks in Exercise 2.1
You are invited to carry out the following tasks, either individually or in a small group, as
explained above.
1. Read the background
2. Study the 3 cases
3. Answer the 7 questions
4. Summarize the most important issues and add your comments and
recommendations.
5. Prepare a short presentation on your findings.
Note that there are 4 aspects of sustainability: financial,
social, environmental, institutional
4 Replicability: is the project suitable to be repeated in the same location or elsewhere
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Background
Three real TDA/SAP projects have been chosen for this exercise. You do
TDA/SAP
not need to read the full TDA documents, as the relevant information
CDROM
required is presented in Document 9 in the Supporting Materials folder.
The full title of the projects used are:
Case A: Environmental Protection and Sustainable Development of the Guarani
Aquifer System
Case B: Benguela Current Large Marine Ecosystem Programme (BCLME)
Case C: Addressing Transboundary Environmental Issues in the Caspian
Environment Programme
These projects vary in their contexts, concerns, priorities and stage of development.
The Guarani Aquifer Project is an example of transboundary water body threatened by
environmental degradation through over use and pollution, as defined in the GEF OP8. The
Guarani Aquifer System is situated in the eastern and south central portions of South
America, and underlies parts of Argentina, Brazil, Paraguay, and Uruguay. The long-term
objective is the sustainable, integrated management and use of the Guarani Aquifer
System.
The Benguela Current Large Marine Ecosystem Programme (BCLME) is a multinational
cross-sectoral initiative by Namibia, Angola and South Africa. The aim is to manage the
marine living resources of the BCLME in an integrated and sustainable manner and to
protect the marine environment.
The Caspian Environment Programme is part of the OP8 Waterbody Operational
Programme. The Caspian is the largest inland body in the world containing 44% of all
inland waters. This programme is in its second phase and the 5 littoral countries are
anxious to initiate the implementation of the SAP.
The Guarani Aquifer project had prepared a PDF-B and a project brief, while the Caspian
and has gone through the process: PDF-A; Concept; PDF-B; Brief; Project Document.
Relevant sections of these documents are given on the course CD ROM.
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The exercise
Please study all three cases. Then try to answer the following questions:
1. Have all the constraints to sustainability been identified?
2. What specific measures have been identified to ensure sustainability?
3. Are any mechanisms or incentives used for ensuring sustainability?
4. Have sustainability indicators been identified?
5. Which of the projects favours building capacity or strengthening institutions as a
tool to achieve sustainability?
6. What is the role of the private sector in sustainability?
7. Do you have any comments regarding the replicability of these projects?
Please summarise the key points of your answers, and add your comments and
recommendations.
Discuss these questions with the Project Manager
and your colleagues. Model answers are provided in the
Supporting Materials folder (Document 10).
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4. Implementation of the PDF-B
4.1 Preparatory phase of the TDA/SAP
4.1.1 Formation of the TDA/SAP management structure
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:
· inform the project focal points and GEF focal points; and
· initiate the process of hiring a local Project Manager (PM).
Naturally, if, as sometimes happens, the project is to be executed by another organization
or agency, the Task Manager will transfer responsibilities to them.
The new project will also require an appropriate management structure. A notional
organisational structure for a Full Project TDA/SAP is shown again in Figure 5, below.
This will help you identify where the component parts of the PDF-B management structure
are located in the overall organisation.
Day to day implementation of the project would normally be by the Project Manager
(PM). At the regional level, authority for project implementation will be with a Project
Steering Committee that will consist of the project focal point representatives (often
senior government officials and technical advisors), eligible donors (as observers) and
IA/Executant representatives plus 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. The NICs should incorporate representatives of all significant government
ministries plus representation from other key stakeholders and civil society organisations.
It is essential that NICs are represented at the highest possible government level possible.
The final task of the facilitator will be to explain the TDA/SAP process to the Steering
Committee and the NICs. In the case of a project with a PM already familiar with the
process, this work can be the responsibility of the PM alone.
Note that these tasks require quite a lot of travel within the region, so realistic budgeting
should be made of travel costs. These should be based on economy class travel using the
most favourable local routes.
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PARTICIPATING COUNTRIES
GOVERNMENT
·GEF Focal Point
CIVIL SOCIETY
·
Representatives
DONORS
Inter-ministry Committee
Project
Project
Project
Focal
Foca l
Focal
STAKEHOLDERS
Point
Poi t
n
Point
Representatives
Global Environment Facility (GEF)
Project
GEF Implementing Agency (IA)
Steering
Task Manager
Technical Task
Committee
Team (TTT)*
GEF Executing Agency
PROJECT
National Action Programme (NAP)
Facilitator
Formulation Team*
* Part-time contributors
Project Management Unit:
Project Manager
Core team
Strategic Action programme (SAP)
Formulation Team*
External Consultants*
Figure 5 - Notional organisational diagram for a Full Project TDA/SAP
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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, social
assessment/participation experts, 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.
The TTT thus becomes a technical advisory body of the Steering Committee, hopefully
remaining broadly representative and keeping its continuity.
It is vital for the stakeholders to feel included throughout
the process.
Many processes have failed at the implementation stage
because stakeholders (for example, industries being regulated)
have felt excluded from the earlier fact finding or proposal
development process.
The alternative approach, a committee of government appointed scientific experts
(sometimes called the `blue ribbon' approach), may develop an analysis that other
stakeholders dissociate themselves from at a later stage.
The TTT must be well represented by economists and social scientists. Often, it is difficult
to find suitable economists. However, economists and social scientists are key to
describing the socio-economic consequences of the transboundary problems in any region.
Without these experts the TDA will be weakened. In contrast, it is relatively simple to find
willing natural scientists and it is often compelling to form the TTT from this group. This
should be avoided. Examples of the composition are shown in Box 5 below.
4.1.2 Design work plan for the TDA/SAP implementation phase including
budgets
It is vital that the project manager designs a robust and practical work plan during this
preparatory phase. It is not the task of this training course to teach project managers to
design work plans. However, the work plan should:
· Be practical and achievable.
· Function in a stepwise manner.
· Be based on the existing project documents (e.g. the PDF-B and concept paper).
· Include a full breakdown of the budget (including Daily Subsistence Allowances
(DSAs) for TTT members, travel costs, external consultant fees, training, meetings
etc).
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Box 5 Examples of Technical Task Team Composition
The Dnipro Basin TDA TTT consisted of 42 members, representing the 3
riparian countries in the Basin. In addition 3 international consultants were hired.
The SAP TTT was made up from selected members of the TDA together with
other appropriate experts. A majority of the members were natural scientists,
although a number of social scientists and economists were also involved in the
process. No stakeholders were present in the TTT.
The Caspian Sea TDA/SAP project did not have a `fixed' Technical Task Team.
Instead they relied on the leadership and involvement of the PMU technical staff,
the technical support of the international experts, inputs by the regional experts
who were nominated by their governments and/or identified by the PMU, inputs
by EU Tacis, World Bank and UNEP as the CEP International Partners and a
peer review of the draft TDA by a group of international experts. Industry
stakeholders and NGOs were invited to the TDA regional and national meetings.
For the SAP, a two-member team of international experts were tasked to come
up with an early SAP draft which was then put to three regional meetings, five
national SAP meetings and extensive comments period by both the region and
the international partners. The Caspian Sea Technical Task Team included 2
biologists/engineers, an economist, a data specialist, the directors of 10 Regional
Thematic Centers and five Public Participation Advisors. The peer review
international experts were mostly environment scientists but also included social
scientists, lawyers and economists.
The Mediterranean Sea TDA/SAP project developed 3 parallel and
complementary TTTs; the TDA Team, the SAP Team and the Hot Spots and
Sensitive Areas (HS/SA) Team. The TDA Team composed of a Task Team
Leader and 12 members. The HS/SA Team had consisted of 5 persons. The
SAP TTT was made up from the members of the TDA and HS/SA Teams. The
majority of the experts were natural scientists together with a single economist.
No stakeholders were present in the TTT.
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Module 2
The use of such tools as the Logical Framework Approach (LFA) and the Results
Management Model (RMM) may help in designing a workable plan
More about LFA and RMM
The Logical Framework Approach (LFA) is a tool for improving project planning and
implementation, through the logical analysis and presentation of information. It emphasises
the links between the main components of a coherent project design. The Results
Management Model (RMM) focuses on needs assessment, project accountability and the
satisfaction of needs through achieving results.
Regardless of the approach taken, projects are still a sequence of causally linked events.
Whether the classical LFA terminology of goals, purposes and objectives is used, or the
needs and results of the RMM, it is necessary to develop a hierarchy of steps when
formulating a project plan.
Further information on LFA is provided in Document 11 in the Supporting
TDA/SAP
Materials folder (`Tools to assist with the development of the project brief').
CDROM
4.1.3 Detailed stakeholder analysis and draft public involvement plan
Stakeholder analysis
As a prerequisite for Full Project (FP) approval (see Section 4.2), 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.
Full details on conducting a stakeholder analysis and examples of good practice are
presented in Module 6.
Draft public involvement plan
A public involvement plan should be prepared as an annex to the project document. 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.
Full details on drafting a public participation plan and examples of good practice are
presented in Module 6.
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Module 2
4.1.4 Initial TDA development
As described earlier, the development of a 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. However, as a general rule, it is likely that at least
the first three or four steps in the following table (Table 3) will be completed.
Each of these steps is described in detail in the next 3 modules (Module 3, 4 and 5). Please
refer to these for further information.
Table 3 Steps undertaken in the TDA/SAP development process
TDA Steps
Module Section
1. Identification and initial prioritisation of transboundary problems
3
3.2; 3.3
2. Analysis of impacts and consequences of each problem
3
4.1; 4.2
3. Final prioritisation of transboundary problems
3
4.4
4. Causal Chain Analysis
4
3.1
5. Governance Analysis
4
3.2
6. Drafting and submission of the TDA
4
4.1; 4.2; 4.3
SAP Steps
Module Section
1. Development of long-term ecosystem quality objectives (EcoQOs) 5
3.1; 3.2
2. Analysis of the feasibility of options
5
5.1; 5.2; 5.3
3. Development of targets and indicators
5
6.1; 6.3; 6.4
4. Drafting of NAPs and SAP
5
7.1; 7.2
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Module 2
Self-assessment Test 2.2
Please try these questions, and check your answers against the correct answers at the end of
this module.
1.
Which of the following statements is correct?
The primary objective of a GEF concept paper is:
a. To design a policy framework for studying the area of International Waters
management in question.
b. To provide evidence that a Full Project is justified.
c. To confirm that the intervention in question is a priority for the countries
concerned.
d. To define the institutional arrangement for a Full Project.
Answer: .....
2.
A facilitator for a TDA/SAP project has completed the following:
(i)
Consultation with stakeholder groups.
(ii)
Agreed on the priority transboundary problems.
(iii)
Formed the Technical Task Team.
What is the facilitator's next task?
Answer:
.........................................................
3.
Which of the following is correct:
4.
The draft concept paper for pipeline entry is ...
A. ...a review of the problems and root causes of the problems identified.
B. ...used as the technical basis for subsequent project preparation and
funding submission to the GEF.
C. ...the basis for a draft budget for the deployment of GEF funding.
D. ...a draft proposal for GEF funding of the appropriate interventions to
solve a transboundary problem.
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4. Match four of the following players in the TDA/SAP with one of their
responsibilities, by drawing connecting lines between them.
Implementing agency Task
Authority for oversight of
Manager
project implementation
Project Manager
Organise Inter-ministerial
committees
Project Steering committee
Day-to-day implementation
of the project
GEF Council
Initiate the hiring of the PM
Project focal point
representatives
Correct answers are given in the pink pages
at the end of this module.
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4.2 Preparation of the Full Project document
4.2.1 Preparation of Full Project brief and Monitoring & Evaluation Plan
Following the initial screening for eligibility, a project concept should be developed into a
FP brief, in close consultation with the GEF Coordination Office. The FP brief is the
primary vehicle for presenting the project proposal for approval to the GEF Council and it
must convince Council members of the need for an intervention and its consistency with
the GEF Instrument, the Operational Strategy and the relevant Operational Programmes.
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.
Full Project Brief format
The project brief is usually written by the PM, hired consultants, the IA and sometimes the
EA. Currently, the format of a Full Project brief is not consistent between the IAs, who can
submit their own Project Documents. However, the project executive summary should be
submitted following the template distributed by the GEF Secretariat.
The project executive summary template can be found at the GEF website at
TDA/SAP
www.gefweb.org/Documents/Council_Documents/GEF_C22/annexes.html
and in the Supporting Materials folder for this module (Document 12).
CDROM
A good, concise example to study is the Yellow Sea Full Project brief. This,
TDA/SAP
together with its annexes can be found in the Supporting Materials folder for
this module (Documents 13 and 14). Further examples can be found in the
CDROM
Case Study folders on the course CDROM.
Tools to assist with the development of the project brief
Prior to preparing the project brief, the PM should prepare a series of tables to assist the
Steering Committee to determine the priority interventions for further GEF funding.
Three useful tools are:
A planning table
A logical framework (logframe) analysis
An incremental cost table
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Further information on these three tools is provided in Document 11 in the
TDA/SAP
Supporting Materials folder (`Tools to assist with the development of the
CDROM
project brief').
4.2.2 Submission of Full Project brief
Each project must be submitted for scientific and technical review to a technical expert
selected from the STAP Roster. In exceptional circumstances, due to the nature of the
project, the IA/EA may use another reviewer in agreement with the STAP Chair. The
review by the expert must be attached to the project brief with an explanation on how the
project preparation and design has responded to the comments.
After the project brief has been prepared, the IA/EA will submit the brief documents to the
GEF Secretariat (including the project executive summary, an incremental cost analysis,
the STAP Roster review, and the country operational focal point endorsement).
The project documentation is also submitted to the other IAs, relevant EAs (operating
under the policy of expanded opportunities), the relevant convention secretariat, and the
STAP Chair for comments to the GEF Secretariat. The Secretariat will review the proposal
(and the associated fee request) primarily on the basis of the project executive summary,
the project review criteria, and comments received from other partners.
After reviewing the project proposal submitted for Work Programme inclusion, the
Secretariat can make one of the following four decisions for each project proposal:
(a) Recommended for Work Programme inclusion with specific conditions for CEO
endorsement.
(b) Recommended for Work Programme inclusion if specified agreements with the
GEF Secretariat are reflected in the project documentation within a week and with
specific conditions for CEO endorsement.
(c) Work Programme submission deferred, but proposal may be resubmitted for
consideration for a future Work Programme once issues have been resolved or
preparation is further advanced.
(d) Project has become ineligible and not recommended for Work Programme
inclusion or further development.
TDA/SAP
Review criteria for GEF Full Sized projects are shown in Document 15 in
the Supporting Materials folder for this module.
CDROM
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4.2.3 Approval by the GEF Council
The Council may approve the Work Programme in whole, subject to comments made at
the meeting or by Council Members in writing within two weeks of the meeting. Projects
submitted to Council intersessionally are considered approved on a no objection basis after
a four week review period through posting on the GEF website.
Projects that have been approved by the Council for Work Programme inclusion are now
ready for further preparation and appraisal by the IA/EA.
4.2.4 Full Project document prepared and endorsed
The IA/EA will appraise the project once it has received Council approval for Work
Program inclusion. During appraisal, the IA/EA finalises detailed project arrangements,
legal agreements, including the incremental cost of the project, with the recipients.
Once the project is fully prepared/appraised and is ready for approval by the authorising
body of the IA/EA. The final project document (incorporating response to earlier
comments by Council, Secretariat, etc) is sent to the GEF Secretariat and endorsed by the
CEO. The project document should present the overall project, including the non-GEF
financed components and be consistent with the project executive summary submitted to
the Council for inclusion in the Work Program.
The Secretariat will then review the document (in accordance with the project review
criteria required for CEO endorsement) and in particular, will focus on the following:
(a) The document is consistent with the project executive summary approved by
Council, and no significant changes in project design since approval by the Council;
(b) Co-financing is in place and written confirmation of commitment by the co-
financiers has been obtained, as appropriate; and
(c) All comments from the Secretariat and Council have been responded to and there are
no other outstanding comments in the project.
The CEO will then endorse the project at the end of a four week review period, after which
the document is publicly available and posted by the Secretariat on the GEF website.
All project documents should include a paragraph to explicitly require that a GEF logo
should appear on all relevant GEF project publications, including among others, project
hardware and vehicles purchased with GEF funds. All cited publications should also
accord proper acknowledgement to the GEF regarding projects funded by GEF.
A detailed description of this process can be found at the GEF website. A
TDA/SAP
copy can also be found in the Supporting Materials folder for this module
CDROM
(Document 8: GEF Project Cycle Update).
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5. Implementation of the Full Project
5.1 Formation of the Full Project management structure
Following endorsement of the Full Project by the GEF CEO, the IA/EA will implement the
project following the particular agencies procedures.
In some cases the PDF-B Project Manager will continue with the Full Project (but has to be
recruited again competitively) although in other cases a new PM is hired.
The Full Project will also require an appropriate management structure. This should be
built on the structure put in place for the PDF-B implementation phase (see Figure 5,
above).
During the start up of the PDF-B implementation phase, the PM will have established a
Project Steering Committee and National Interministry Committees (NICs). These
bodies should be incorporated into the Full Project phase. These are described in more
detail in Section 4.1.
Day to day implementation of the project would normally be by the Project Manager
(PM) and his/her staff of technical specialists, often termed the Project Management Unit
(PMU). The number and make-up of this unit is dependant on regional considerations
such as the number of countries in which the project is being implemented. Typical Project
Management Unit size is between 3 and 5, plus administrative support (Box 6 below).
Box 6 Examples of Size and Structure of the PMU
Mediterranean Sea PMU comprised of 3 managers in charge of the TDA, the HS/SA
and the SAP, respectively.
Dnipro Basin PMU comprised of 4 members; a program manager, a deputy program
manager, a public awareness coordinator and an administrator.
Caspian Sea PMU comprised of 5 members plus administration/support staff:
(a) the PCU GEF international team including an engineer/biologist, an economist
and an oceanographer/data & information specialist;
(b) the PMU EU/Tacis international team including an engineer and a visiting social
scientist; and
(c) a local team including admin staff and computer technicians. The EU/Tacis team
were part of a consulting firm recruited by EU/ Tacis to carry out the project.
South China Sea PMU comprised of 3 members (a project director, a senior expert
and a fisheries expert) together with 2 administrators.
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5.2 Completion of the TDA and formulation of the SAP
As described above, the development of a TDA (and occasionally the SAP) is normally
undertaken as part of the PDF-B activity. In some cases however, the PDF-B phase may
only go as far as an initial TDA development, with the completion of the TDA and
formulation of the SAP undertaken as part of the Full Project.
Table 3, above, can be used as a guide to ascertain which steps still need to be completed.
Each of these steps is described in detail in the next 3 modules (Module 3, 4 and 5). Please
refer to these for further information.
5.3 Steps towards the development of a FP brief for SAP
implementation
5.3.1 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 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.
5.3.2 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.
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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
5.3.3 Development of a FP brief for SAP implementation
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 and are described in detail in Sections 3.2 and 4.2.
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Module 2
Exercise 2.2 Case Study Questions
You are invited to carry out the following tasks, either individually or in a small group,
according the local learning environment.
1. GEF IW Operational Programmes: Three Operation Programmes (OPs) have
been specifically defined for IW projects.
(A) Briefly describe each OP.
(B) Identify which OPs are relevant to your project, and why.
2. Incremental costs
An example of an incremental cost for eutrophication was presented in the module
materials.
For another problem (for example, chemical pollution), describe interventions in your
region that would be candidates for incremental costs.
3. Preparation of the draft GEF IW concept document for PDF-B funding
TDA/SAP
Project documents for the 7 Case Studies are provided on the course
CDROM.
CDROM
Your Task: Choose one of the project documents, review it, and try to answer the
following questions:
b.
Does the project document identify and quantify the project's global
benefits?
c.
Does the project document describe the links with existing frameworks
regarding national sustainable development and environmental protection?
d.
Does the project document identify the national/regional 'baseline'?
e.
Does the project document demonstrate that the Full Project will identify the
root causes of the problem, and show a logical sequence of activities that
will eventually address these causes at their source?
f.
Does the project document indicate that there will be full participation of all
key stakeholders?
g.
Does the project document describe mechanisms or incentives for
sustainability?
h.
Does the project document have an inappropriate or unrealistic time frame -
either too short or too long?
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i.
Does the project document adequately recognise poor policy or institutional
structures within the countries?
j.
Does the project document demonstrate that indicators enabling monitoring
and evaluation will be developed?
k.
Does the project document identify the major transboundary problems?
l.
Does the project document clearly state why the problems are not being
solved by existing policies or actions?
Discuss these questions with the Project Manager
and your colleagues
That is the end of Module 2.
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Module 2
Correct Answers to Self-assessment Test 2.1
1. Which of the following are examples of incremental costs?
a. The cost of improving the water quality to a higher standard than can be
No
achieved with available national funds.
b. The use of an electrical generating technology which is more costly but
Yes
generates global benefit.
c. The removal of sewage nutrients that do not harm the local environment but
Yes
produce harmful effects in another country.
d. The opportunity cost foregone by failing to carry out improvements to a
No
water body that could produce extra economic advantage.
If your answers were not correct, please study the pages 7 and 8 again.
2. The other two priority areas are:
Prevention of desertification or deforestation.
Control of ship-based sources of pollution.
3.
True / False?
A Any individual or group having the support of their
True.
government may initiate a project proposal.
B All developing countries are eligible to propose a GEF
False. The country must
project.
first have ratified the
relevant treaty.
C PDF stands for project development financing
False. Project
Development Facility.
D Block A funds and PDF A funds are the same thing
True.
E PDF A funds are often not needed for project preparation.
True.
F PDF-A funding cannot be used for scientific reviews of
False. Both these are
proposals or for the costs of external expertise.
covered.
G A PDF-A grant can be used to prepare strategic notes on
True.
Programmes that need national discussion.
H PDF-B funds are only needed to support preparation of a
True.
Full Project/
I PDF-B funds cannot be used to pay for expenses incurred in False. This is covered.
in-country consultation with stakeholders.
J PDF-B funds can be used to increase the scope of project
True. This is a normal
preparation which is already being supported by another
role of GEF financing.
financing agency.
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Correct Answers to Self-assessment Test 2.2
1.
b. The primary objective of a GEF project proposal is to explain how it is
proposed to collect the evidence that a Full Project is justified.
If you answered {a) to design a policy framework for studying the area of
International Waters management in question you misread the text on page 4.
This is a valuable side-product of the TDA/SAP, not its main purpose.
If you answered {c) or (d) you have chosen one of the points that the proposal
must demonstrate, not its primary objective.
2.
The facilitator's next task is preparation of a draft concept paper.
3.
Answer B: The draft concept paper for PDF-B funding is used as the technical
basis for a funding submission to the GEF.
4.
The 3 important headings that have been omitted are:
9
Country driven-ness (linkage to national priorities and plans}
9
Expected outcomes and activities of the Full Project
9
Who are the stakeholders involved?
5.
Match four of the five the persons/organisations with one of their
responsibilities, by drawing connecting lines between them.
Implementing agency Task
Authority for project
Manager
implementation
Project Manager
Organise Inter-ministerial
committees
Project Steering committee
Day-to-day implementation
of the project
GEF Council
Initiate the hiring of the PM
Project focal point
representatives
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Module 2
MODULE 2 Contents List
1. This Module
1.1 Stepwise approach to IW full-sized project development and planning 1
1.2
Module
objectives
1.3
Module
activities
2.
General
principles
2.1 GEF International Waters Operational
Strategy
2.2
GEF
IW
Operational
Programmes
2.3 Strategic priorities
2.4
Integration
with
other
focal
areas
2.5
Project
selection
criteria
2.6
Incremental
costs
2.7
The
GEF
project
cycle
2.8 PDF-A, PDF-B and FP funding
2.8.1
PDF-A
funds
2.8.2
PDF-B
funds
2.8.3
Full
Project
funding
2.9 The Project Proposal and GEF funding process
2.10
Monitoring
and
Evaluation
2.11 Key Actors involved in an IW project
Self-assessment
Test
2.1
3.
The
project
development
phase
3.1
The
preliminary
project
request
3.1.1 Initiation of the project proposal through GEF
implementing
agency
3.1.2 Request for PDF-A funds (if required)
3.2 Preparing a draft concept paper for pipeline entry
3.2.1 Main tasks undertaken during the PDF-A phase
3.2.2 Identification and consultation with the stakeholder groups
3.2.3 Identification and consultation with the prospective
members
of
the
TTT
3.2.4 Preparation of the draft concept paper and submission
for pipeline entry and PDF-B funding
3.2.5 Submission for pipeline entry, and approval of the
concept paper and PDF-B funding request
Exercise 2.1 Sustainability and Replicability of the Full Project
4.
Implementation
of
the
PDF-B
4.1 Preparatory phase of the TDA/SAP
4.1.1 Formation of the TDA/SAP management structure
4.1.2 Design work plan for the TDA/SAP implementation
phase
including
budgets
4.1.3 Detailed stakeholder analysis and draft public involvement plan
4.1.4
Initial
TDA
development
Self-assessment
Test
2.2
4.2 Preparation of the Full Project document
4.2.1 Preparation of Full Project brief and Monitoring & Evaluation Plan
4.2.2 Submission of Full Project brief
4.2.3 Approval by the GEF Council
4.2.4 Full Project document prepared and endorsed
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5. Implementation of the Full Project
5.1 Formation of the Full Project management structure
5.2 Completion of the TDA and formulation of the SAP
5.3 Steps towards the development of a FP brief for SAP implementation
5.3.1 Adoption of the SAP: The Ministerial
Conference
5.3.2 Conducting a Donors Conference
5.3.3 Development of a FP brief for SAP implementation
Exercise
2.2
Case
Study
Questions
Correct Answers
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