Trainee Manual
Module 5
TRAINING COURSE ON THE TDA/SAP APPROACH IN THE GEF
INTERNATIONAL WATERS PROGRAMME
TRAINEE MANUAL
MODULE 5: FORMULATING THE SAP
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Module 5
FORMULATING THE SAP
9
Development of a Long-term Vision
9
Preparing and assessing the Acceptability of the
Options
9
Setting Targets
9
Drafting the Action Programmes
1. This Module
Module 5 deals with the preliminary formulation of the Strategic Action Plan. In particular,
it examines:
· the development of a long term vision for the region;
· brainstorming ways to attain the EcoQOs1 at the national and regional level
(including technical feasibility); and
· assessing the acceptability of the options (both economic and political)
· setting of short-term targets and priority actions
· developing M & E indicators
· drafting the SAP
These steps are carried out after the TDA has been completed (Module 3 and Module 4).
1.1 Stepwise approach to formulating the SAP
The flow diagram shown in Figure 1 identifies the major steps taken towards the
formulation of the SAP document in Module 5.
Each step described in this flow diagram is further expanded in Sections 3 to 7 of this
module.
You will find a contents list of Module 5 at the end of this document.
1 EcoQO stands for `Ecosystem Quality Objective'.
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Description
Module
section
Bridging the TDA and SAP
3
Development of long-term vision
3.1
Development of candidate EcoQOs
3.2
Political consultation (SC and IMC)
Stakeholder consultation
Brainstorming Ways to Attain the EcoQOs
4
Planning the remaining steps of the SAP
4.1
The brainstorming process
4.2
Political consultation (SC and IMC)
Examination of alternative policies, legal instrument reforms,
5
and investments
Technical feasibility of options
5.1
Economic analysis of options
5.2
Political and social acceptability of options
5.3
Political consultation (SC and IMC)
Development of targets and indicators
6
Setting short-term targets and priority actions
6.1
Agreement on institutional framework
6.3
Development of M & E indicators for the short-term targets
6.4
Political consultation (SC and IMC)
Drafting the action programmes
7
Drafting the NAPs
7.1
Drafting the SAP
7.2
Stakeholder consultation
Ministerial adoption of the SAP and NAPs
Figure 1 Major steps taken towards the formulation of the Strategic Action
Programme
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1.2 Module Objectives
At the end of the module, you should be able to:
A. GENERAL
1. Identify the key elements in the SAP process and understand the importance of
alternatives.
2. Explain the key features of the adaptive management approach and the concept of
the `long-term vision' for each priority problem.
3. Identify the roles played by EcoQOs and short-term targets in this process.
B. SAP PROCESS
1. Describe the key factors that should be considered when developing the long-term
vision.
2. Identify long-term EcoQOs for specific problems.
3. Explain the process of brainstorming ways to reach the EcoQOs.
4. Describe the process of assessing the feasibility of options and the key factors that
should be considered.
5. Explain the need to identify as part of this process:
i. the associated costs and benefits;
ii. links to existing or projected policies/actions;
iii. barriers to implementation.
C. COMPLETION OF THE SAP
1. Explain the need for setting short-term targets and priority actions.
2. Explain the importance of monitoring and evaluation in the life cycle of a GEF
project or programme, and describe the differences between process, stress
reduction and environmental status indicators.
3. Explain the key steps in drafting National Action Programmes (NAPs) and the
Strategic Action Programme (SAP)
1.3 Module Activities
In this module, you will be invited to:
1. Study a series of texts and case-studies.
2. Complete a short self-assessment test.
3. Complete four exercises analysing the approach used in several real case-
studies.
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2. General principles
2.1 What is a Strategic Action Programme?
An SAP is a negotiated policy document which should identify policy, legal and
institutional reforms and investments needed to address the priority transboundary
problems.
Endorsed at the highest level, it establishes clear priorities for action to resolve the priority
problems which were identified in the TDA. The preparation of a SAP is a cooperative
process among the countries of the region.
The TDA identifies the priority problems, the underlying sectoral causes, and the root
causes of the problems. The SAP outlines the actions needed to resolve the priority
problems and must be agreed before technical assistance, capacity-building, or investment
projects can be developed.
Further points
· The SAP does not commit GEF to fund anything
· The SAP is a programme initiated to achieve a set of outcomes
· A GEF intervention is a project which produces outputs that eventually
contribute to the outcomes
· Each outcome needs to be measurable
· A primary target of the SAP should be the adoption of systems to
monitor the outputs and outcomes
2.2 The importance of alternatives
There are usually several different ways of resolving transboundary environmental
problems and achieving global benefits. In formulating the SAP, all choices available to
politicians must be documented. A particular solution must not be pre-selected.
An example of this is the choice of strategies for reducing the input of nutrients from
sewage to aquatic systems. Such removal is often necessary to combat eutrophication on a
local or transboundary scale.
One approach is to build `chemical' tertiary treatment plants that remove nitrogen and
phosphorus compounds as part of a more comprehensive sewage treatment and disposal
strategy. An alternative would be to permit some discharge of nutrients but to enhance the
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natural capacity of the system to remove nutrients through the restoration or creation of
wetlands.
The choice is not always simple. In the first option, the chemical technique requires little
land and can be managed by a small number of specialists, but needs energy, skilled
maintenance, the chemical products themselves, and subsequent disposal. In the second
option, the wetlands benefit wildlife, require less skilled attention and have low
requirements for chemicals and energy but use valuable space that may not be readily
available.
The choice depends on the balance between costs and benefits. The balance depends on
factors that vary from place to place (local economics, investment costs and the costs of
operation and maintenance). It is also highly influenced by culture and worldviews: highly
technological solutions are favoured in some societies whereas others prefer `green'
approaches. Both options must be explained to the policymakers. No particular `lobby'
can be allowed to insist on its own approach.
2.3 The SAP Process
For clarity, the SAP process is presented in linear fashion (as in Figure 6.1). In practice,
however, this is not the case and a number of steps may be carried out in parallel.
· Proposals frequently involve reforms that require ad-hoc groups to conduct
detailed studies; the process should not be delayed to wait for slower study
groups to `catch up'.
· SAP steps may need to be by-passed. For example, an Inter-Ministry
Committee may consider one of the options as politically or socially
unacceptable from the outset; it would then be pointless to conduct lengthy
analyses of costs and benefits.
Managing the SAP process requires a great deal of pragmatism. Each SAP will have its
own road map to suit the region and the problem.
2.4 The Adaptive Management Process
2.4.1 What Is Adaptive Management?
Adaptive management is a flexible system which is designed to cope with uncertainty and
complexity in natural environmental and social systems, by enabling current information,
obtained as part of the management process, to be taken into consideration.
It is often referred to as experimental management or even, sometimes in a rather
derogative way, "learning by doing". An adaptive management process has two vital
components:
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o a monitoring system which will enable the actual conditions to be defined;
o a response system which enables changes in the management actions as a
result of feedback from the system in question.
In adaptive management actions are progressively modified
according to the latest and best information.
2.4.2 The Model Used in TDA/SAP Activities
Figure 2 shows a suggested model of adaptive management for the TDA/SAP process.
Several important points are illustrated.
· Adaptive management has to operate over an extended timescale. The project for
which it is designed should be long and the proposal is likely to be for a management
plan which lasts longer than that. There must be adequate time for impacts, resulting
from the management actions, to occur and be assessed.
· There must be appropriate mechanisms built in to enable this assessment including the
development of long and short term indicators. This includes a monitoring strategy
for all the chosen indicators over appropriate timescales to ensure that changes which
do occur are noted.
· Adaptive management involves not just consideration of natural sciences and
ecosystem effects but also wider aspects such as the social effects of particular actions
and the impact of differing approaches to governance.
The first step in this model is an initial assessment or statement of the current conditions.
This is available in these studies as the TDA. The TDA should contain information about
the full range of transboundary problems and where possible their root causes. This
assessment should be revised periodically.
Once this has been obtained the next step involves setting objectives, towards which
changes will be aimed and against which changes, good or bad, will be compared. Two
types of objectives will be necessary:
- long-term Ecosystem Quality Objectives (EcoQOs)
- short-term operational or management targets
The long term objectives reflect the general goals or vision that is desired for the system
some decades in the future (measured in terms of environmental status).
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Periodic assessment (TDA)
Studies of
· System boundaries (space and time)
initial
· Scoping of environmental & social impacts
· Research on causality
conditions
· Review of institutions, laws, policies,
economic instruments
Robust, quantitative,
Environmental state indicators
EcoQOs
op
to measure levels of impact
(typically valid for 1
decade)
c
k
lo
Stress reduction and
f
e
e
dba
Short-term
process indicators to
w
l
o
targets
measure socio-economic
S
(Typically valid 5 yrs)
drivers, pressures and
ack
b
project performance
e
e
d
f
Regular monitoring (all indicators)
p
ast
o
F
lo
Status and trends
Regulations and compliance
Figure 2 - The TDA/SAP Adaptive Management Model
The short term targets are pragmatic steps along the route to the longer term goals. These
short term targets will need to be monitored regularly (using stress reduction and process
indicators) to find out whether progress is being made towards the long-term goals, and
should be adjusted (or adapted) if necessary to ensure that they lead towards the EcoQOs
as rapidly as is practical.
The next stage is to determine what management actions are necessary to enable the
objectives to be reached. These actions are drivers of change within the system being
managed. The impact of these drivers of change is what should be observed when the
system is monitored.
Further information on adaptive management is provided in the document
TDA/SAP
titled `The adaptive management process', in the supporting materials for
CDROM
this module.
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Self-Assessment Test 5.1
Please consider the way in which adaptive management addresses the shortcomings in a
conventional management approach, by indicating whether each of the following
statements is True or False.
True / False
1. The use of adaptive management guarantees precision and
certainty in the results of policy actions.
2. Adaptive management recognises that the natural environment
may respond to policy actions in unexpected ways.
3. Adaptive management has achieved its objectives when it has
identified the approaches which will be explored and the options
available.
4. The use of a long term vision of what is perceived to be desirable
for future decades and which has been agreed by all participating
states ensures that short term policies must work towards the
same goal.
5. It is not possible to get all participating countries to work on the
same long-term timetable. Identifying shorter term targets
enables the process to keep moving.
4. It is important to make sure that action programmes can keep
moving while waiting for the results of the associated research.
5. Adaptive management gives priority to difficult situations, in which
the aspects of the problems which have to be addressed are
especially challenging.
6. Adaptive management seeks as far as possible to keep changes
in the chosen action programme to a minimum, but expects that
change will occur and bring with it many benefits.
Correct answers are given in the pink pages
at the end of this module.
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2.5 Long-term Ecosystem Quality Objectives and Short-term
Management Targets
2.5.1 Ecosystem Quality Objectives
Ecosystem Quality Objectives (or EcoQOs) are statements of the `vision' of how the
stakeholders would like to see the state of the system in the future. They provide the long-
term goal for adaptive management. The objectives however, are themselves based on
human values; as information, knowledge and wisdom grow, the EcoQOs themselves will
tend to change. The adaptive management model has to be flexible enough to allow this to
happen.
EcoQOs should be clearly understandable by a wide range of stakeholders. They should be
discussed with the stakeholders and where possible, developed with their full participation.
They should represent a consensus view of environmental priorities, or visions of what the
environment should look like in the future.
Box 1 - The classic Long Term EcoQO
As an example consider the Thames Estuary in London, UK. In hot weather in
the 1870s the UK parliament on the banks of the Thames had to hang sheets
soaked in disinfectant over its windows to combat the stench from the polluted
waters and on some days had to close. There were no fish within the part of
the estuary which ran through the City of London and it was considered to be a
danger to health. These problems were caused by sewage and industrial
wastes being discharged directly into the estuary.
Had someone being undertaking a SAP for the Thames at that time then an
EcoQO could well have been for the river to have fish swimming in it,
particularly highly prized fish such as salmon. Thus an EcoQO might have
been "to enable a sustainable population of migratory salmon in the Thames
Estuary and river".
While this goal would have appeared distant it would not be impossible.
Positive actions could have been identified such as introducing treatment of
sewage wastes and regulating wastes from industry. These objectives would
not be reached easily or quickly. They would certainly not be reached within
one term of office but the actions (or short-term targets) needed would be clear
and progress could be made readily. The objective would not appear
impossible. The public could clearly understand the aim, what was necessary
and why it was desirable. Hence it would have been a good Ecosystem Quality
Objective.
In reality it took a further 100 years before action was started and well over 25
years before the river was repopulated with salmon. Even now the breeding of
salmon in the system is uncertain but the estuary can maintain a population of
salmon bred elsewhere and all the signs are good. The goal is clear and
popular as the public can recognise progress being made towards it.
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EcoQOs must be linked to the state of ecosystems, but they will fully acknowledge the
place of humans within that ecosystem and reflect our perception of a healthy ecosystem.
EcoQOs must be clear, and able to be understood and appreciated by the general public as
well as a scientific audience. Statements such as `a 50% reduction in nitrate loads' are not
acceptable as long-term EcoQOs as they measure stress reduction but not the eventual state
of the environment. What if 50% is not enough or too much? Statements such as the
restoration of a viable population of migratory fish to a river basin are clearly
understandable (restoration of fish diversity is one of the approaches successfully
employed by the Rhine Commission). Another example might be to eliminate the serious
risk of transboundary pollution during exceptional flooding events.
EcoQOs reflect the acceptable environmental status which would signify a solution for
each of the priority transboundary problems identified in the TDA. Therefore the
EcoQOs must represent long-term tangible outcomes in terms of changes in state not
process changes or institutional changes. They should be tangible, measurable and easily
communicated to the public.
One key feature of the EcoQOs is that they may not be easily measured over a short
timescale, since they are designed to reflect long-term outcomes. This means that it will be
necessary also to have management targets or indicators of short term changes which will
demonstrate whether the actions identified as necessary to reach the EcoQO have been
carried out.
Because there is no guarantee that successful completion of the actions identified will
ensure compliance with the EcoQO, there must be scope to adapt the actions and the goals
throughout the process. But this must not happen too soon.
EcoQOs will very often lag behind the improvements made
and reflected in the short term management targets. This must
be expected and made clear to policy makers and the public
alike so that disappointment does not lead to the process
being abandoned.
A good illustration of the method of defining such EcoQOs is the North Sea Ministerial
Declaration2 (NSMD, 2002). Examples from this process are illustrated in Table 1 below.
The application of long-term EcoQOs in the SAP process is described in more detail later
in the module (brainstorming ways to attain the EcoQO's).
2 NSMD (2002) Bergen Declaration. Ministerial Declaration of the Fifth International Conference on the Protection of
the North Sea, Bergen, Norway, 20-21 March, 2002. 35pp.
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Table 1 - Examples of EcoQOs Developed as Part of the North Sea Ministerial
Conference Process
Quality Element
EcoQO
Seal population trends on the
No decline in population size or pup
North Sea
production of >10% over a period of up to
10 years
Proportion of oiled common
The proportion of such birds should be 10%
Guillemots among those found
or less of the total found dead or dying, in
dead or dying on beaches
all areas of the North Sea
Changes/kills in zoobenthos in
There should be no kills in benthic animal
relation to eutrophication
species as a result of oxygen deficiency
and/or toxic phytoplankton species
The important feature of the North Sea EcoQOs is that they not only address public
concerns but also lead to a cascade of technical requirements for policy actions,
indicators and monitoring. This contrasts sharply with the `blanket monitoring' approach
of the 1970s and 1980s that tended to result in large data bases that were difficult to use in
a dynamic way.
2.5.2 Short-term management targets
Short-term management targets can be thought of as stepping stones on the way to an
EcoQO; they define the pragmatic steps towards achieving agreed EcoQOs. The timescale
of an EcoQO may be decades, while a short-term management target would be monitored
and reported on perhaps annually.
Short-term targets are goals towards which measurable progress should be observed over a
period of, say, one to ten years. The short-term target may be environmental, such as some
sort of water quality indicator or species abundance, or they may be more closely linked to
societal factors such as the proportion of human sewage which is now being treated to
secondary level. Again, they should be unambiguous and easy to communicate to the
public.
2.6 Monitoring and evaluation
As described earlier in Module 1, Monitoring and Evaluation (M&E) is a GEF
management tool used to support decision-making, ensure accountability, measure results
and impacts of projects and programmes, and extract lessons from a given programme and
its projects.
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Having developed EcoQOs, one of the major challenges will be to find robust monitoring
and evaluation (M & E) indicators particularly those of emergent properties of the system
(rather than measures of its consistent components).
Because effective M&E has been increasingly recognised by the GEF as an indispensable
tool in project and programme management, guidelines have been given in two recent
policy documents3. Furthermore, the GEF M & E approach is consistent with the adaptive
management approach discussed above.
TDA/SAP
These documents are provided in the supporting material for this Module.
CDROM
Monitoring is an essential part of the life cycle of a GEF programme. It is the process of
collecting and analysing data to measure performance. As an integral and continuing part
of project/program management, monitoring provides managers and stakeholders with
regular feedback on implementation and progress towards the attainment of global
environmental objectives, and enables management to take appropriate corrective action.
Reporting to the GEF on the achievement of certain indicators can also help provide
objectivity to the annual Project Implementation Review (PIR). In extreme cases it can
help in determining whether a project or program continues to be relevant.
Effective monitoring requires:
· good baseline data;
· effective and appropriate indicators;
· efficient feedback mechanisms for decision-making;
· regular reporting;
· activities such as field visits and stakeholder consultations.
Indicators should be:
·
Objectively verifiable
·
Clearly specified
·
Not overly complex, taking into consideration that different groups of
stakeholders participate in monitoring and evaluation activities.
Three types of monitoring and evaluation indicators have been proposed by GEF:
I. process indicators
II. stress reduction indicators
3 Monitoring and Evaluation Indicators for GEF International Waters Projects, M&E WP 10, 2002
Program Performance Indicators for GEF International Waters Programs, GEF M&E Unit, 2004
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III. environmental status indicators.
These will be discussed in more detail later.
2.7 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.
· Eligible countries need not divert scarce development finance to achieve global
objectives, nor give up their national development goals to do so.
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.
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Exercise 5.1 Ecosystem Quality Objectives
Please consider the following four aims. Which of them would you say was suitable as a
long term EcoQO? Explain your reasoning, for and against.
1. To reduce sewage pollution from three towns in the region.
2. To protect nature throughout the region.
3. To try to recreate the healthy ecosystems of a 1930s within today's river basin.
4. To ban intensive farming because the discharges from this cause pollution of coastal
waters which are now becoming eutrophic.
Discuss this question with the Tutor, Project Manager
and your colleagues
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3. Bridging the TDA and SAP
To develop the SAP there are 6 distinct steps, each involving a different set of actors. Of
course, for continuity, at each step participants from the previous step must participate.
Figure 3 shows this process. This section deals with Step 1: Bridging the TDA and SAP,
and in particular the development of long-term vision and candidate EcoQOs. As you work
your way through the remainder of this module, it may be useful to refer back to this
figure.
3.1 Development of the long-term `vision'
At the first meeting of the SAP phase, a `vision statement' and candidate long-term
EcoQOs should be devised by the TTT usually the same group of people that developed
the TDA, though this group may be supplemented with additional specialists if the Project
Manager or Steering Committee considers that it has too narrow a focus. The timescale of
this meeting need be no more than 3 days.
This is a crucial step, coming between the TDA and the SAP parts of the process, and
provides the bridge between the two pictures. It links how the region is now with what it is
hoped it will be in the future. The development of a long term vision can only begin once
the TDA is complete; the vision that is identified gives structure to the EcoQOs and,
ultimately, direction to the SAP.
A definition of a long term vision could be;
"A clear representation of the characteristics desired for the future
environment."
A long term vision should be:
Understandable It should be understandable to the general public as well as a
scientific audience.
Inspirational
It should inspire those living in and around the catchment to
believe that they can improve the condition of the water
environment.
Aspirational
It should encourage the relevant parties to strive to reach this
goal.
Ambitious
It must challenge those involved and really make a difference.
Attainable
It must not be impossible - this would be disheartening and
defeating.
In essence a long term vision is a political objective, and as such it will be at that level that
it will be agreed. Scientists, managers and stakeholders may all have ideas about visions
for each problem, but agreement will have to be reach at an inter-governmental level so
that all countries are committed to achieving those goals. Examples of vision statements
for the Nile River Basin and the Rhine River Basin are shown in Box 3, below.
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Full stakeholder, Interministry committee and steering committee consultation
Step 1
Step 2
Step 3
Step 4
Step 5
Step 6
Bridging the TDA
Brainstorming
Examination of
Development of
Drafting the
Ministerial
and SAP-
ways to attain
alternative
short-term
SAP (and NAPs
adoption of the
Development of
the EcoQOs
policies, legal
targets and
if appropriate)
SAP and NAPS
long-term vision
instrument
M & E indicators
and candidate
reforms, and
EcoQOs
investments
Scope:
Scope:
Scope:
Scope:
Scope:
Scope:
Regional
Regional
National
Regional
Regional/
Regional/
National
National
Actors:
Actors:
Actors:
Actors:
Actors:
Actors:
National experts
SAP formulation
SAP formulation
Steering
TDA TTT
TDA TTT and
and selected
team
team /
committee/
SAP formulation
SAP formulation
NAP formulation
Interministry
team
team members
team
committees
Figure 3 - Main steps required to develop the Strategic Action Programme (SAP)
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Box 3 - Examples of vision statements
Nile River Basin:
"To achieve sustainable socio-economic development through the equitable
utilization of, and benefit from, the common Nile Basin water resources".
Rhine River Basin:
We share a vision of a basin .....
..... in which uses and management are invariably tailored to the possibilities
and constraints presented by the water system,
..... in which all concerned strive for the sustainable development of water-
dependent eco-systems,
..... in which every stakeholder is aware of the opportunities, constraints and
threats presented by the water system,
..... in which every stakeholder has the opportunity to participate in decision
making concerning the uses and management of the water, and
..... in which such decisions are taken on an integrated basis, taking account of
all present and future interests in all parts of the basin and in all compartments
through which the water passes, on a basis of solidarity and mutual
understanding and by way of consultation and negotiation,
..... so that a fair balance is approached which allows the water and the waters
of the Rhine and its basin to satisfy the needs of all functions and uses.
Although the TTT will be responsible for meeting to discuss and identify possible vision
statements, agreement must be at an intergovernmental level and so compromises may
have to be made.
3.1.1 Key Features of a Long Term Vision
· A long term vision does not try to describe every aspect of the environment, but
rather the nature or essence of the region and its inherent qualities.
· The vision is not based solely on the natural qualities for the area but includes
human activities such as the built environment, resource extraction and
environmental management (e.g. Millennium Development Goals).
· The vision should point to important principles on which actions will be based.
· The vision should not be restricted or limited by current issues or problems in the
local environment. Although these should be recognised, the vision has to see
beyond them to past damage and future threats.
· The vision should be wide-ranging, both in geographic scale and timescale.
· The vision must be agreed by all parties.
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This is a pretty tall order. However, a good vision will encompass the principal features
necessary for the successful completion of the SAP in a co-operative and collaborative
way. If this vision fails to represent what the stakeholders want then it could lead to the
objectives chosen being inappropriate unable to fulfil the needs of the environment. So
great care must be taken to ensure all are in agreement with the final wording, and that it
says what the participants want it to.
3.2 Development of candidate EcoQOs
As described earlier, EcoQOs are statements of the `vision' of how the stakeholders would
like to see the state of the system in the future. Therefore the TTT should examine the
`vision' and each priority transboundary problem detailed in the TDA and ask the question:
What would be an acceptable environmental status that would be
a sign of a solution for this problem?
This statement of status will represent a long-term EcoQO.
3.2.1 Examples of EcoQOs
The boxes below give more examples of the EcoQO-based approach, although different
terms are used for EcoQO.
Box 4 - CASPIAN SEA SAP Environmental Quality Objectives
1. Sustainable economic uses of the natural resources of the Caspian Sea.
2. Balanced Caspian environment including biodiversity conservation (species,
habitat, and genetic).
3. High quality of Caspian Sea, surface and groundwaters.
4. Sustainable multiple use of the Caspian coastal environment.
5. Strengthened civil society for the purposes of environmentally sustainable
development.
Box 5 - DNIPRO BASIN SAP Long Term Environmental Quality
Objectives
1. Sustainable Nature Use and Environment Protection in the Dnipro Basin
2. Environment Quality that is Safe for Human Health
3. Conservation of biological and landscape diversity
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Box 6 - DANUBE BASIN SAP Development Objectives
An ad hoc Working Group set the following common Development Objectives for the entire
17 country system:
OVERALL OBJECTIVE:
Achievement of sustainable development in the Danube River Basin
ICPDR CONVENTION OBJECTIVE:
Protection and sustainable use of waters of the Danube River Basin
BLACK SEA PROTECTION OBJECTIVE:
Reduction of pollution loads in particular nutrient transport to the Black Sea
SECTOR OBJECTIVES
Municipality: Improvement of the wastewater and solid waste management.
Industry and Mining: Introduction of best available techniques (BAT), and best
environmental practice (BEP) and abatement of water pollution.
Land Use - Agriculture: Implementation of good agricultural practices and
mechanisms for sustainable land management.
Box 7 - BERMEJO RIVER SAP Strategic Actions
A. Institutional development and strengthening for integrated planning and
management of the basin
B. Environmental prevention, protection and rehabilitation
C. Public awareness and participation
D. Sustainable development of natural resources
In all four cases, described in Boxes 4 to 7, above, there are weaknesses in the proposed
objectives according to the EcoQO approach. For example, is the reduction of pollution
loads, the introduction of BAT or BEP, or strengthening civil society a true reflection of
environmental status? Further, the series of over-arching Strategic Actions developed for
the Bermejo River SAP could be considered as a halfway house between the EcoQO based
approach and the target-based approach (described below).
Other SAPs (e.g. Lake Tanganyika, Benguela Current, South China Sea and the
Mediterranean Sea) have used a more target- or action-based methodology that ignores the
EcoQO step.
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The Lake Tanganyika SAP identifies specific national problems and proposed actions in
response to these problems. The Benguela Current proposes a series of action areas and
then identifies broad policy actions required to address these problems. Both the
Mediterranean and South China Sea SAPs (Boxes 8 and 9) introduce proposed legal,
institutional and technical targets and activities to resolve each priority transboundary
problem. In some cases (e.g. the proposed target for seagrass beds in the South China Sea)
the proposed targets are essentially EcoQOs. However others (e.g. development and
agreement on regional water quality objectives) are not. Examples for the South China Sea
and Benguela Current are given below.
Box 8 - SOUTH CHINA SEA SAP Proposed Targets for Selected
Priority Issues
Seagrass: By the year 2010 to maintain at least 80% of the present area of
seagrass in good condition.
Estuaries and wetlands: By the year 2005, to have management plans for all
wetlands, excluding mangroves, in the Region, with emphasis on those in the
coastal zone.
Fisheries: By 2005 to determine regional catch levels of key
economic/commercially important species according to levels that are
economically welfare maximising, while still preserving the resource base.
Land based pollution: By 2003 develop and agree on regional water quality
objectives; make recommendations for water quality standards for use in coastal
waters; make recommendations for effluent standards/or mitigation measures for
municipal, industrial and agricultural (including aquaculture) activities.
Box 9 - BENGUELA CURRENT Action Areas
A. Sustainable Management and Utilisation of Living Marine Resources
B. Management of Mining and Drilling Activities
C. Assessment of Environmental Variability, Ecosystem Impacts and
Improvement of Predictability
D. Management of Pollution
E. Maintenance of Ecosystem Health and Protection of Biological Diversity
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3.3 Consultation
It is important that at this stage there is full consultation with all the stakeholder groups to
encourage `buy-in' and ownership. Remember, EcoQOs should be statements of the
`vision' of how the stakeholders would like to see the state of the system in the future. A
practical way of achieving this is to involve stakeholder representatives in the bridging
meeting and subsequent SAP meetings, who will report back to their respective groups on
the outcomes.
Further, it is important to remember that the SAP is a negotiated document that will need
to be endorsed at the highest levels of government. Thus at each step, there needs to be
political consultation (through the SC and the IMCs) to ensure that consensus is reached
before carrying on to the next step.
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Exercise 5.2 Long term EcoQOs and short-term targets
The Dnipro Basin SAP uses an EcoQO based methodology in which 3 LTEQOs were
identified to address the 6 priority transboundary issues together with the immediate,
underlying and root causes identified in the TDA.
1. Examine the EcoQOs, the steps required to achieve them and the activities
needed to be taken to facilitate the implementation of the steps. Do you feel the
EcoQOs, Steps and Activities are effective? Do any of the EcoQOs fail to meet
the criteria for a good EcoQO, and if so, why?
2. Do you feel that these examples reflect the priority transboundary issues in the
Dnipro Basin TDA?
TDA/SAP
The Dnipro Basin SAP can be found in the Case Study folder on the course
CD ROM disk
CDROM
Discuss these questions with the Tutor, Project Manager
and your colleagues
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4. Brainstorming Ways to Attain the EcoQOs
4.1 Planning the remaining steps of the SAP
4.1.1 Sequence of Meetings and Workshops
Many of the solutions proposed in the initial brainstorming meeting will require action at a
national level. It is important to engage the National Inter-Ministry Committees (IMCs) in
the process as early as possible. One way to do this is to organise national meetings that
mirror the initial brainstorming. These should be organised by the national IMCs and
include a suitable range of stakeholders and technical specialists.
Two alternative approaches are possible for these meetings, the choice depending on the
nature of the region and the problems to be addressed:
1. Present the tables from an initial regional brainstorming and request their further
elaboration from a national perspective (giving plenty of scope for new ideas and/or
significant amendments to the original ideas).
2. Conduct the entire brainstorming exercise through National-level workshops (i.e.
performing the initial brainstorming in each of the participant countries).
The two approaches are summarised in Figure 4, below.
Approach 1 (regional workshop leads)
Approach 2 (national workshop leads)
Initial regional
National
brainstorming workshop
brainstorming
workshops
National
workshops
SAP Task
revise
Regional
Team
proposals
level
(regional)
feedback
Feasibility/detailed technical evaluation
Feasibility/detailed technical evaluation
SAP Task
Integration
Team
SAP Task
(regional)
Team
Integration
(regional)
PROPOSALS
PROPOSALS
FOR REVIEW
FOR REVIEW
Figure 4 Approaches to the sequence of meetings and workshops
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In the case of the Caspian Sea Project, the emphasis was on National-level workshops first.
This proved highly effective but required much follow-up work for integration of the
results.
In the case of the Humboldt Current LME project, the initial emphasis was on a regional
brainstorming (regionally coherent solutions being a prerogative). This however resulted in
considerable follow-up action as some national stakeholders did not feel that had been
fully consulted.
Irrespective of which of these approaches is taken, early national feedback is critically
important in order to ensure the acceptance of the options by the stakeholders. Though
approach 2 appears more complex, it may involve more people in the initial stages and
then reduce the need to move large numbers of specialists (expensive travel has the
inevitable result of excluding many of them). The procedure for conducting the initial
brainstorming is the same, whether at a regional or national level.
Box 10 - Example of Approach 1 (regional workshop leads)
In this approach, after the regional brainstorming, one or two rounds of meetings
are held in each country. At this stage the brainstorming report is discussed and the
initial list of priority actions devised. The list does not represent a commitment at
this time, merely a listing of desirable and technically feasible measures (including
policy recommendations, legal and institutional reforms and investments). A needs
assessment is made of any technical support required in order to assess the costs
and benefits of each option according to the agreed common methodology. This is
communicated to the Project Manager in the event that external support is required.
Intersessional studies are conducted of the technical feasibility of the options (these
are scoping studies in order to establish priorities, not formal pre-investment
studies). Particular emphasis should be placed on economic and social feasibility;
these will require close coordination with ministries of economy and local
stakeholders respectively.
A second round of smaller meetings may then be required to devise the country's
priorities and document the costs and the benefits of the proposed actions. They
should also demonstrate that the causes of the identified problems are being
addressed as well as the environmental consequences.
The regional SAP team should then meet to examine the reports of the National
SAP teams and to determine:
a. to what degree the long term EQOs would be addressed;
b. which of the actions will require a region-wide coordinated common
approach.
If there has not been significant progress towards meeting the agreed EQOs, the
Regional SAP team will refer the matter back to the National SAP teams for further
action.
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4.1.2 Reminder of the TDA/SAP Organisation
You may remember seeing a diagram of the whole TDA/SAP organisation in earlier
modules. This is repeated on the next page for reference.
PARTICIPATING COUNTRIES
GOVERNMENT
CIVIL
·GEF Focal Point
SOCIETY
·Inter-ministry Committee
Representatives
Project
Project
Project
STAKEHODERS
Focal
Focal
Focal
Technical Task Team*
Poin
t
Point
Global Environment Facility (GEF)
Point
GEF Implementing Agency (IA)
Task Manager
Project
GEF Executing Agency
Steering
DONORS
Committee
PROJECT
National SAP Formulation Team
* - Part-time contributors
Facilitator
Technical specialists*
Project Staff:
Project Manager
Core team
SAP Formulation Team
Technical specialists*
External Consultants
Figure 5 - Notional organisational diagram for a Full Project TDA/SAP
4.1.3 Appointment of SAP and NAP formulation teams
Each country's National Inter-ministerial Committee should appoint a National Action
Programme (NAP) Formulation Team. This has the advantage of ensuring that all
actions are firmly anchored on realistic national policy actions, and promotes multi-
sectoral ownership at the national level. The national teams should include a mixture of
specialists in technical, legal, financial and public policy issues (the composition will
depend on the nature of the potential solutions emerging from the brainstorming). The
teams should include adequate stakeholder representation. The teams will eventually
generate draft NAPs.
In addition, a SAP formulation team should be created. The Project Manager should use
the opportunity of the presence of the Steering Committee Members at the brainstorming
meeting to confirm the appointment of this team to lead the process through its final
technical stages. This will include representatives of the TDA TTT and NAP Teams in
order to ensure adequate synergy to address regional priorities; this is of course a technical
team that will not make political decisions. The Project Manager will recommend the
appointment of external consultants where this is felt to be necessary.
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4.2 The brainstorming process
4.2.1 Introduction to brainstorming
The objective: To work with stakeholder representatives and specialists to propose a
number of practical options that make significant progress toward the EcoQOs.
The brainstorming activity is an opportunity to ensure full stakeholder participation in SAP
planning and should be prepared very carefully. The meeting finalises the work of the
TTT and sets the agenda for the SAP development.
The actors for the meeting will include the members of the TTT, the Steering Committee
and additional specialists or stakeholder representatives selected by the Project Manager.
Since this is a brainstorming meeting, it is not necessary to seek formal approval from the
SC for invitees. All invitees should have been given copies of the TDA well in advance of
the meeting as well as the proposed long-term EcoQOs.
The meeting discusses the EcoQOs and agrees on final drafts. It then examines each
EcoQO and identifies possible options for achieving them. The process involves working
in small groups developing a matrix of options. This includes identification of the part of
the causal chain they address, timeframes for implementing them, responsible parties and
relative costs (where possible). It should also assign indicative priorities to the solutions
proposed. This matrix will be the basis for further technical evaluation and should be as
`inclusive' as possible it does not represent a commitment.
4.2.2 Further explanation
The completed TDA enables careful presentation to stakeholders of the evidence regarding
the causes of the transboundary problems affecting the region.
The proposed EcoQOs are a practical expression of the `vision' of how the system will
look when the problems are resolved.
Properly informed, a group consisting of stakeholder representatives and specialists, should
be able to suggest a number of options for resolving the problems, or at least taking some
bold initial steps towards their solution. These options should try to address the root causes
of the problems rather than to relieve the symptoms.
This `brainstorming' can then be followed by a more rigorous national and regional level
analysis of the options suggested.
4.2.3 The Brainstorming Technique
Brainstorming is the rapid generation and listing of solution ideas without clarification and
without evaluation of their merits.
Initial brainstorming encourages a quantity of solutions rather than quality; the clearly
inappropriate solutions can be eliminated in subsequent discussion. Brainstorming
produces a creative flow of ideas uninterrupted by critical reflection. It requires
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enthusiastic and neutral facilitation in a relaxed atmosphere. The "golden rules" of
brainstorming are shown in Box 11, below4:
Box 11 The "golden rules" of brainstorming
1. Don't evaluate
Evaluation thwarts creativity. It tends to make people defensive and they will
react by keeping their ideas to themselves. This is not a time to voice critical
judgement. Prohibited' comments: "That will never work!" "We tried that
already" "Brilliant!" "That will cost too much".
2. Don't clarify or seek clarification
Explanatory remarks break the flow of ideas. Some people are compulsive
debaters and would soon reduce the flow of inputs from the others to a trickle.
3. Allow unconventional (or even zany) ideas
Such ideas sometimes trigger helpful solutions. Even if they result in laughter
they add to a good humoured atmosphere and don't interrupt the process.
4. Expand on each other's ideas
Brainstorming generates lots of incomplete ideas. Some of the best solutions
come from combining or going beyond ideas already contributed.
5. List every idea.
The person noting the ideas should not be a censor and should capture them
with a few well-chosen keywords that the originator should find acceptable.
6. Avoid linking names to ideas or listing each person's contribution separately.
Recording who had each idea is a mistake. At the end of the process the ideas
should logically grouped and people should be able to accept them without
claiming them as their own.
The facilitator should explain these rules to the participants before beginning the
brainstorming session.
4.2.4 Composition of the Brainstorming Group
The group chosen for the brainstorming exercise is recommended by the TTT and the
Project Steering Committee and invited by the Project Manager. They must include experts
who are broadly representative of the stakeholders, plus independent technical experts.
Experts will not `represent' anybody. There will be plenty of space for political
pragmatism at the next stage of the process.
There are no general rules for the number of participants. 30 participants are often needed,
but the requirements will vary considerably from project to project. The group will need to
conduct some of its work in smaller sub-groups to examine the initial proposals.
The session should be run by an experienced non-partisan facilitator, who should be
prepared to write down the ideas as they emerge and to guide the process of sorting and
clarifying them for further analysis by the sub-groups. In most projects, a facilitator will
4 Based on: Bolton, R. (1979) People Skills. Simon & Schuster, New York. 300pp.
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have been appointed at an earlier stage in the process and the participants will already have
confidence in his/her skills. The facilitator should study the present module, and discuss
his/her role with the project coordinator and the representative of the Implementing
Agency (IA).
4.3 Organising the Brainstorming
4.3.1 The initial brainstorming
The initial plenary session reviews the proposed EcoQOs and lists potential solutions.
There are three prerequisites for the brainstorming meeting.
(1) Background information
All participants should have copies of the TDA at least 3 weeks prior to the meeting and a
letter explaining the purpose of brainstorming meeting and their specific role.
(2) An appropriate location
This should be comfortable, free from distractions and with suitable breakout spaces.
In the Benguela Current LME project the brainstorming meeting was held in a `game
lodge' on the edge of the Kalahari Desert. There was a comfortable and spacious
meeting room and the break-out sessions were held outdoors. There were plenty of
flipchart boards, a ready supply of tea and plenty of opportunities for socialising in
the evenings. The atmosphere was relaxing, free from distractions and highly
productive.
(3) Briefing by the facilitator
The first hour or so of the meeting should be dedicated to a careful explanation of the
purpose of the meeting and the methodology of the work even though this information was
previously provided in written form.
In the case of the Benguela and Humboldt Current SAP brainstorming events,
neutral facilitators were brought in from a country outside the project region. Both
were selected by the Steering Group based on his knowledge of the facilitation and
language skills. The Benguela facilitator was not fully familiar with GEF processes
but was helped in this role by representatives of the Implementing Agency. The
meeting was a success in both cases.
Having completed the initial briefing, the facilitator invites a member of the TTT to
present the first provisional EcoQO. The team member is given a short time to present the
background information and an open discussion is facilitated for a limited period (e.g. 10
minutes). Comments are minuted. Meanwhile, the facilitator writes the EcoQO on the flip
chart and invites suggestions on how this objective may be reached. The suggestions are
noted by the facilitator (usually in the form of phrases or keywords). At this stage, the flip
chart sheets are detached and posted on the wall and the process recommences with the
second EcoQO and is repeated until all of the EcoQOs have been examined.
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At a suitable opportunity (a lunch break or social event), the facilitator and the `presenters'
meet together to group the phrases and comments into concise statements that do not lose
content or emphasis (i.e. no censorship!). These are then presented at a plenary and the
participants are invited to ensure that none of the ideas have been lost.
Be careful here! Do not get drawn into debating the exact wording of the statements. This
can be frustrating and time consuming. There is plenty of time for this later in the process.
The second plenary also provides an opportunity to designate sub-groups. Here the
facilitator needs to be creative. The objective is to divide the group into smaller sub-
groups, usually consisting of up to 7 persons each. These will meet in parallel to conduct
detailed evaluations of the `solutions' proposed for each of the EcoQOs. The final format
will depend on how many EcoQOs have been formulated (usually no more than eight),
how many people are present and the coverage of their expertise.
The facilitator begins the discussion with a simple show of hands from the participants on
which group(s) they would like to belong to. This never results in perfect harmony so some
discrete persuasion will be needed to ensure a reasonable distribution. In a three day
meeting, there would rarely be time for a single group to consider more than two EcoQOs!
Having completed this task of `collective trust', the facilitator briefs the group on the next
step in the process. This would usually be the end of proceedings for Day one and gives
time for reflection prior to the next day's hard work.
By this time, it may feel as if progress has been slow, but the foundations have been
established for the rest of the workshop.
4.3.2 More on Detailed Brainstorming of Specific Actions/Solutions/Options
The purpose of the next step is to select the solutions that best meet the needs and realities
of the region. The outcome is an elaborated table of specific alternative `solutions' that will
provide the basis for more detailed in-country studies and discussions. This approach is
based on political pragmatism. The overall initial suggestion for solutions will come from
this regional-level workshop but their implementation will mostly be at the national level
and it is important that governments do not feel `imposed on' to take a particular approach.
These are `suggestions' and not `decisions'; national inter-ministerial committees are at
liberty to propose additional solutions or to discount those coming from the brainstorming
workshop. It is an iterative process.
The solutions should not be limited to the `technical quick-fix' but should include
measures to address the problems as close as possible to their social and economic root
causes. The improvement of intersectoral cooperation, capacity building, environmental
education, strengthening laws and policies and more effective compliance with existing
regulations, may prove to be more effective than end-of-pipe engineering in many
circumstances.
The sub-groups will appoint their own chairperson (someone respected as neutral but
experienced at conducting group sessions). They will each be provided with a table that the
group is asked to complete (see below). The group will take its decisions by consensus; the
objective is not to exclude any genuinely viable ideas, just to elaborate them further and
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discuss an initial priority. At this stage, the group will be asked to indicate the time-frame
for the `solutions' to be implemented. Solutions that can be implemented within five years
are desirable, and longer-term solutions should be broken down into phases of no more
than five years duration.
4.3.3 The Decision Table
A very simple tabular format can be used by each group. This is illustrated in Table 2 on
the next page (with explanatory notes in the table in red and green).
The table provides a simple agenda for the discussions, so it is important that the facilitator
briefs the sub-group chairpersons on its use. `Blank' tables should be prepared on the
evening of Day One and should include the EcoQO statements and the draft `proposed
solutions'.
During the sub-group meetings, the participants review (and if necessary amend) the
`solutions' and then complete the table row by row, except for the `Relative Priority'
column which is completed by the sub-group once all the proposed solutions have been
examined.
4.3.4 Time Management
It is quite easy to become `bogged down' when answering particular questions, and this
can prevent a successful outcome. The chairs of each group should be encouraged to move
the group forward if it becomes stuck on a particular point, and to return to it if time
permits. It is valuable for the facilitator to move from group to group to ensure that
everyone is making good progress. The groups should also be brought together in plenary
to discuss progress at regular intervals (e.g. prior to a lunch break or to conclude activities
for the day).
Where insufficient information makes it impossible to complete one of the columns,
information can be supplied after the meeting but there must be a clear agreement on who
takes responsibility for this. At this stage, the tables should be seen as a `work in progress'.
4.3.5 Rating the proposals
The `relative priority' column must be completed at the end of the sub-group sessions and
then reviewed in plenary. The idea of this column is not to dictate which of the proposals
will go forward but to provide an objective viewpoint on the feasibility of the proposals.
It is perfectly acceptable for a sub-group to argue that all of the proposals are high priority
(or medium or low) if this can be substantiated by good reasoning. At a later stage
however, some of the proposals must be subjected to analyses of costs and benefits (see
next section); these studies are time consuming and expensive and the purpose of the pre-
screening is to avoid unnecessary effort on proposals that have limited chance of success.
At this stage however, no technically feasible proposal should be rejected, merely rated
according to the opinion of the participants and passed on to the next stage of the process
where it is considered by national teams.
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Table 2 The decision table
Problem 1. [Name the TDA transboundary problem that is being addressed].
Ecosytem Quality Objective:
[Write the ecosystem quality objective that was agreed on Day 1 for this problem]
Proposed solutions:
Solutions
Reference to Stakeholders Legal,
Approximate
Anticipated Time required
Indicators
Relative
Uncertainties
proposed
the cause
institutional or annual cost
outputs
for
of success priority,
identified
policy reforms
implementation
high,
in the causal
required
medium,
chain
or low.
Initially list the The exact text List the
Note whether or At this stage,
It is
State here the
How can we The
There will always
proposed
and reference stakeholders not reforms
the cost will be important to time needed for
tell whether column
be areas of
solutions from should be
who would be would be
a `best guess'. note what
implementation
or not the
should not uncertainty that
day one of the given here
engaged in
required and if
No information the tangible and achievement solution was be filled in may require
brainstorming
from the
implementing so, what kind of is requested on outputs
of the outputs
a success? until all of
additional
meeting. The
causal chain in the proposal. reforms (note
the nature of
would be at (give two times if This is
the
studies,
group will
the TDA. This
that the entire
the costs in this the end of
the outputs occur particularly
proposed
information
analyse these helps the
proposal may
matrix as it will the
after
important for solutions
gathering
proposals one group to check
refer to a
be the subject
implementati implementation)
proposals
have been (including the
by one and will how near the
needed reform). of more detailed on period.
offering
screened
level of political
gradually
solution is to
investigation at This
partial
(i.e. the
commitment) or
modify the text the root
a later stage.
information
solutions to rest of the analysis of
in accordance causes of the
The `best
will be the
the problem table has
feasibility. They
with the
problem.
guess' however basis of
or where the been
should be noted
discussions.
is useful as an considerable
environment completed) here as brief
The purpose is
initial screening follow-up
al benefits
statements or
not to eliminate
device and
discussion at
will be
bullet points.
ideas but to
helps to keep
later stages
realised well
achieve a set
the group on
of the
after
of viable
planet earth.
process.
implementati
options and/or
on.
alternatives.
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Exercise 5.3 - Brainstorming
Two alternative means of conducting brainstorming have been described.
(1) Regional level brainstorming followed by detailed national analysis (and the
formulation of additional proposals).
(2) National brainstorming followed by regional integration into a regional approach.
On the basis of what you have read, draw a table summarising the advantages and
disadvantages of these two approaches. The following model suggests how you might
organize this table.
Note: Try to avoid repeating your remarks for example when an advantage for (1) is the
same consideration as the disadvantage for (2).
(1)
(2)
Regional brainstorming leads
National brainstorming leads
Consideration
Advantage/ Disadvantage
Advantage/ Disadvantage
Likely participation of
stakeholders
Focus on
transboundary
benefits
Cost
Transparency
Practical ease of co-
ordination
Others you can think
of
Discuss exercise with the Tutor, Project Manager
and your colleagues
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5. Examination of alternative policies, legal instrument
reforms, and investments
The high priority proposals emerging from the brainstorming now have to be evaluated for:
their technical feasibility
their costs and environmental benefits
their political and social acceptability
Each of these analyses should be carried out nationally by the NAP formulation teams and
national members of the SAP formulation team. However, the whole process should be
steered regionally. Each of these three analyses is discussed below.
5.1 Technical feasibility of options
A technical feasibility study will need to be produced for each set of options. The study
will determine which options are technologically possible, and whether it is practical (in
terms of current technology, economics, social needs, and so on).
The feasibility study answers the question "Should we implement Option X, Y or Z?" by
stating "yes," "no," but more often "maybe." Not only does it give a recommendation, it
also provides the data and the reasoning behind that recommendation.
The study should be carried out nationally by the NAP formulation teams and national
members of the SAP formulation team. This process can be carried out in parallel with the
other two analyses (economic, and political and social acceptability).
A typical layout for a technical feasibility study is shown in Box 12, below.
Box 12 - Technical feasibility study layout
1. Background to the transboundary issue from both a regional and national
perspective
2. Long-term EcoQO that signifies a solution for the priority transboundary
issue
3. Description of options
4. Technical background of the options
5. List of points of comparison in the options
6. Discussion of each point of comparison (e.g. technical, costs etc)
7. Conclusions of the comparison section (e.g. which has best cost, function,
reliability)
8. Recommendations (State which option is recommended and summarise the
key reasons)
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5.2 Economic analysis of options
The economic analysis of the high priority proposals emerging from the brainstorming is
based on objective information and widely used techniques. However, its results should
not be seen as constituting "the decision" economic analysis provides only one form of
input to the policymaker's final decision.
The purpose of the economic analysis is to create a basis for sound decisions about the
allocation of financial resources. There are two general approaches that can be used.
The first examines the cost effectiveness of the options. In other words, each option is
costed and its multiple benefits listed. This is a relatively simple output based approach but
says little about the ultimate outcome. Further, the judgement on which option should be
implemented is left to the decision maker.
The second is based on the evaluation of all costs and benefits in a common measure,
monetary units. Cost-Benefit Analysis (CBA) is a much more complex outcome based
approach. However, it enables all available options to be assessed on an equal, objective
footing so that they can be prioritised rather than relying on the judgement of a decision-
maker as to whether the benefits of a option justify its costs.
It is likely that the Project Manager will need to hire particular expertise to undertake this
process in each country. It is not the purpose of this module therefore, to train members of
the NAP teams to carry out an economic analysis of options. However, the supporting
material for this module will give you an indication of the general approach that will need
to be undertaken.
Further information on this subject is provided in the document titled
TDA/SAP
`economic analysis of options', in the supporting materials for this module.
CDROM
5.3 Political and social acceptability of options
The SAP is a negotiated policy document. This means that while the TDA was a fairly
technical process, the SAP is largely a political process. The ultimate aim of the SAP is to
achieve commitment at the highest levels possible, to move forward on a selected set of
priority actions and strategies within the framework of agreed EcoQOs. Remember that
EcoQOs themselves are political objectives for which a consensus of stakeholders has been
achieved.
The TDA stakeholder consultations and governance analysis should have paved the way
for this political phase in so far as it developed an institutional and policy map, identified
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and engaged key people, and initiated a participatory process. This legitimised the process
with relevant stakeholders.
The initial brainstorming session, which engages the National Inter-Ministry Committees
as well as key stakeholders, continued this build-up of political and social acceptance. At
both the regional and national levels it should ensure that stakeholders are supportive of,
and willing to implement and monitor, the selected options.
However, as the options are further defined, and in parallel to the technical and economic
feasibility analyses, it is necessary to further sound out the social and political acceptability
of each option. This is necessary at both the regional and national levels. At the regional
level a given option might not be particularly attractive to a specific country but, when
weighed in against the complex political agenda that characterizes bilateral or multilateral
relations, may constitute an important bargaining chip. An understanding of regional
relations is therefore important.
At the national level, options may directly affect a specific sector or community, or may
entail added responsibilities for certain government agencies. Stakeholders that may be
directly impacted by an option or that will play a role in its implementation will need to be
consulted. The institutional mapping exercise carried out during the TDA phase will be a
valuable tool in this undertaking as it will provide insights into inter-institutional dynamics
and decision-making processes.
Some of the issues that will need to be addressed are:
How important is private sector/civil society commitment and acceptance for
a given option?
Do key stakeholder representatives have a clear understanding of the TDA-
SAP process and in particular, of a given option?
Do stakeholder groups understand the potential benefits and/or costs of a
specific option? Do they agree with the assessment of the NAP formulation
teams?
Are there misconceptions based on imprecise or fragmented information or
previous negative experiences regarding a proposed option? Sometimes
important stakeholders will oppose a proposed option on the basis of negative
past experiences. Such concerns need to be addressed.
Have all relevant stakeholders been identified? Perhaps a given option affects
a specific interest group or isolated community that was not identified in the
TDA phase. These would need to be contacted, and given means for
providing inputs.
What sectors are involved? Are there conflicting interests? Are there
mechanisms to address them adequately? Should an inter-sectoral
response/approach be negotiated within the SAP?
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5.4 National decisions on intent to implement selected feasible
options
At this stage, there needs to be a firm political decision. Which mix of options, including
key reforms and investments, would governments (and the private sector where
appropriate) commit themselves to in the short/medium term (5/15 years)?
This requires careful consultation in the Steering Committee and, most importantly, in the
National Interministry Committees. The outcome is ultimately reflected in the draft NAPS.
Parties committing themselves to implementing the SAP must be fully accountable for
their actions. Therefore, the stakeholder group/ sector/ government agency responsible for
implementing the actions proposed within the TDA must be clearly and unambiguously
identified.
6. Developing targets, frameworks and indicators
To integrate the national actions detailed above into a coherent region-wide programme of
action, three basic technical recommendations are required. These are:
· Development of short-term targets and priority actions
· Agreement on the national/regional institutional framework
· Development of measurable M & E indicators for each target
The technical and political consultation process described above should enable the SAP
formulation team to determine how far the political process can be taken, in the
short/medium term, towards the long-term EcoQOs.
By careful accountancy of the environmental and social benefits, a set of 1 to 10 year
targets and priority actions can be set. In addition, the targets should be reflected in
measurable process, stress reduction or environmental status indicators. These should ask
the question `What measurable progress should be observable at the end of a decade'?
6.1 Setting short-term targets and priority actions
Short term targets define the pragmatic steps towards achieving agreed EcoQOs. The
timescale of an EcoQO may be decades while short term targets are goals towards which
measurable progress should be observed over a period of, say, one, five or ten years.
Targets may be environmental, such as some sort of water quality indicator or species
abundance, or they may be more closely linked to societal factors such as the proportion of
human sewage which is now being treated to secondary level. They should be
unambiguous and easy to communicate to the public.
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As we have seen, targets and priority actions are best devised through a stepwise process
that starts with the facilitated `brainstorming' activity between relevant stakeholders. This
activity seeks to examine all practical options for achieving the EcoQOs and the most
promising options are submitted to feasibility studies. The options should not be limited to
the `technical quick-fix' but should include measures to address the problems as close as
possible to their social and economic root causes. The improvement of intersectoral
cooperation, capacity building, environmental education and more effective compliance
with existing regulations, may prove to be more effective than end-of-pipe engineering in
many circumstances.
Box 13 - Hypothetical examples of Short-Term Targets
Returning to the example of the Thames estuary and the suggested long-term
EcoQO of "to enable a sustainable population of migratory salmon in the Thames
Estuary and river" the following targets might have been suggested;
1. To treat all sewage discharges to the catchment to at least secondary level before
discharge.
2. To determine the extent of industrial discharges and introduce a system of
licensing.
3. To consider appropriate restrictions on industrial discharges when the full extent
of the problem clear and it is clear what actions should be taken.
4. To increase the oxygen concentrations within the estuary waters to >80%
throughout the year.
Each of these are tangible actions which are readily measurable. Reported
information from 1, 2 and 4 would indicate whether or not progress is being made
towards the goal set. Action 3 would form part of the adaptive management
programme as the results from actions 2 and 4 became apparent.
Ultimately, the decision on which of the available options will be pursued is a political
one. Sound advice will inevitably be tempered by political pragmatism. Whatever the
outcome (assuming that it represents a step towards the EcoQO) it will require clear short-
term targets, priority actions and robust M & E indicators.
6.1.1 Presentation of short-term-targets and priority actions
It is useful to display the targets and priority actions in a series of tables or matrices. A
generic matrix for detailing this information is shown in Table 3, below.
6.2 Examples of short-term targets and priority actions
Examples of the use of the short-term targets include the Caspian Sea, the Dnipro Basin
and the Bermejo River SAPs. Examples of these are shown in Boxes 14, 15 and 16, below.
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Table 3 - Example of a Generic Matrix for Detailing targets and Priority Actions
Long-Term EcoQO:
Time Required
Financing
to Achieve
M & E
Target
Priority actions
Requirement
Expected Results
Uncertainties
Implementation
Indicators
$
Action 1
Action 2
Action 3
Action 4
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Box 14 - Caspian Sea SAP Targets for EQO 2: Balanced Caspian
environment including biodiversity conservation (species, habitat,
and genetic)
Develop and implement a strategy for the protection of Caspian
biodiversity
Establish a control system for the import and export of exotic species into
and from the Caspian Sea
Set up a biodiversity monitoring system based on a set of regional
monitoring protocols
Increase public awareness of the value of the Caspian Sea biodiversity
Establish inter-governmental mechanisms for rapid response to oil and
non-oil emergency events affecting Caspian biodiversity (mass mortality
events, etc.) 2005
Box 15 - Dnipro Basin SAP Steps for LTEQO 3: Conservation of
biological and landscape diversity
Step 3.1: Ensure the stable ecological state of water bodies, river floodplains, and
riparian ecosystems
Step 3.2: Ensure the conservation and restoration of wetlands that constitute an
integral part of the European ecological network
Step 3.3: Achieve and maintain an optimal pattern of nature reserves and
agricultural landscapes
Step 3.4: Achieve and maintain an optimal forest cover that ensures the
sustainability of the Dnipro Basin ecosystems and takes account of their
specific zonal features
Step 3.5: Ensure the stable ecological state of meadows and steppes
Step 3.6: Create and maintain favourable conditions for the reproduction of
native, endemic, and migratory fish species
Step 3.7: Achieve and maintain the optimal network of nature reserves and
ecological corridors
Box 16 - Bermejo River SAP Concepts for the Strategic Action on
Sustainable development of natural resources
C1. Develop and implement integral watershed management plans. Formulate the
Integrated Management Program for Water Resources of the Basin.
C2. Implement sustainable management programs for natural resources of
watersheds
C3. Develop, validate and apply appropriate technologies, management practices
and sustainable productive models.
C4. Implement projects for sustainable development and use of water resources.
C5. Conduct research for the management and exploitation of natural resources
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In all 3 cases, well defined targets (described in each SAP as Targets, Steps and Concepts,
respectively) are shown. Underlying these is a series of interventions, activities or priority
actions that need to be taken to complete the target. In the case of the Dnipro Basin SAP,
these actions were developed during the brainstorming and feasibility studies.
As explained earlier, other SAPs (e.g. Lake Tanganyika, Bermejo River, Benguela Current,
South China Sea and the Mediterranean Sea) used a more target- or action-based
methodology from the start, rather than the EcoQO approach. Examples of these are shown
in Boxes 8 and 9.
TDA/SAP
More detailed information on these SAPs can be found on the course in the
case study folder on the CDROM disc.
CDROM
6.3 Agreement on Institutional Framework
The TDA will have already examined institutional strengths and weaknesses, both National
and Regional. Proposals should be formulated on how the weaknesses should be corrected,
through increasing the capacity of existing institutions or creating new ones.
For example, there may be a need to create a revised or new regional coordinating
framework such as a Commission for a river basin or Large Marine Ecosystem. In
parallel, there must be discussions on:
· the formulation of national policy
· the need for legal and institutional reforms
· investment priority.
These proposals will normally be formulated by NAP teams, agreed by the National Inter-
ministry Committees, and final agreement reached following the decision on the
operational objectives.
The TDA/SAP is itself a policy process leading to concrete benefits, as Governments make
commitments to institutional and policy changes, and may identify actions needed and
carry them out during the progress of the TDA/SAP.
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6.4 Development of monitoring and evaluation indicators
As described in Section 2.6, monitoring and evaluation (M & E) indicators are long-term
monitoring tools used to verify the implementation of the SAP. Three types of M & E
indicators will be needed:
· process indicators
· stress reduction indicators
· environmental status indicators.
The SAP team should prepare a set of process, stress reduction and environmental status
indicators based on the results of the TDA but adapted according to the needs of the long-
term EcoQOs and shorter term targets and priority actions).
Project monitoring and evaluation indicators for any subsequent GEF interventions should
also be developed. There should be clear linkages between the indicators and the
institutional capacity for monitoring them.
6.4.1 Process Indicators
Process indicators focus on the processes or outputs that are likely to lead towards a
desirable outcome.
A particular characteristic of international waters projects is the length of time that is
generally required before actual changes can be detected in the transboundary water
environment.
Process indicators demonstrate actual on-the-ground institutional and political progress in
the step-by-step journey to the resolution of these complex problems. They should assist in
tracking the institutional, policy, legislative and regulatory reforms necessary to bring
about change.
In the initial, strategic stages of multi-country projects, regional process indicators such
as establishing country inter-ministerial committees or formulating a SAP may be the only
types of appropriate indicators. Further into implementation, more importance can be
placed on single country process indicators such as a country ratifying the regional
convention, enacting legal reforms, instituting regulatory programs, seeking investment
finance.
Examples of process indicators are shown in Box 17.
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Box 17 - Examples of Process Indicators
Initial Strategic Regional Projects-Process Indicators
· Establishment of country-specific inter-ministerial committees to engage key
ministries that may be involved with reducing sectoral stresses on the waterbody;
· Formation and documentation of the meetings of a high-level steering committee
for project preparation and implementation;
· Completion of a country-endorsed TDA that establishes priorities, identifies root
causes of the transboundary priorities, and is endorsed by countries;
· Documentation of stakeholder involvement in preparation and a stakeholder
involvement plan (information dissemination, consultation, participation) for the
project;
· Completion of a country-endorsed SAP containing both regional and country-
specific policy/legal/institutional reforms and priority investments that address the
top transboundary priorities;
· High level political commitment to follow up joint action as signified by, among
other things, ministerial level declarations or adoption of a joint legal/institutional
framework;
· Adoption of a science advisory panel to the joint institutional framework to bring
sound science advice into the joint transboundary work.
· A M&E Plan that includes GEF international waters indicators.
Country-Specific National Process Indicators
· Country adoption of specific water, environment, or sector-related legal reforms,
policies, institutions, standards, and programs necessary to address the
transboundary priority issues, including stakeholder participation programs;
· Country ratification of the regional or global conventions/protocols pertinent to the
project;
· Country commitment for reporting to the regional or joint institution progress in
achieving stress reduction indicators and reporting of environmental status data;
· Incorporation in the World Bank or regional development bank country assistance
strategies (CAS), or UNDP country-level strategic results framework (SRF).
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6.4.2 Stress Reduction Indicators
Whereas process indicators are output based and relate to needed reforms or programs,
stress reduction indicators relate to project objectives or outcomes. In particular, they focus
on concrete actions that reduce environmental stress.
Stress reduction indicators indicate the rate of success of specific on-the-ground actions
implemented by collaborating countries. Often a combination of stress reduction indicators
in several nations may be needed to produce detectable changes in transboundary waters.
Examples of stress reduction indicators are shown in Box 18.
Box 18 - Examples of Stress Reduction Indicators
· Point source pollution reduction completed (kg pollutants);
· Non-point source pollution programs implemented (area treated with best
management practices; kg reduced);
· Amount of underwater or wetland area placed into protected management,
including the establishment of no fishing zones;
· Amount of eroded land stabilized by tree planting (est. sedimentation reduction);
· Amount of fishing fleet removed (through alternative livelihoods);
· Larger mesh fishnet policy enforced, fishing restrictions, reduced, TAC
documented;
· Reduced releases of pollution to groundwater recharge zones;
· Additional releases of water from dams for environmental purposes.
6.4.3 Environmental Status Indicators
Environmental status indicators are goal orientated and focus on actual improvements of
ecosystem quality that usually extend beyond the lifetime of the project.
It can take a number of years before sufficient stress reduction measures are implemented
in a sufficient number of countries to detect a change in the transboundary water
environment.
Collaborating countries must harmonize their sampling/laboratory/analysis methods so that
they all agree on what water quality, quantity, or ecosystem parameters should be sampled
to track progress toward a goal. Environmental status indicators (ESIs) are measures of
actual success in restoring or protecting the targeted waterbody.
Social indicators may also be appropriate to measure whether communities and
stakeholders benefit from the changes in environmental conditions brought about by the
project. Examples of environmental status indicators are shown in Box 19.
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Box 19 - Examples of Environment Status Indicators
· Measurable improvements in trophic status;
· Improved (measurable) ecological or biological indices;
· Improved (measurable) chemical, physical (including flow regimes), or biological
parameters;
· Improved recruitment classes of targeted fish species/diversity/keystone
species;
· Demonstrable reduction of persistent organic pollutants (POPs) in the food
chain;
· Changes in local community income/social conditions as a result of
improvements in environmental conditions;
· Demonstrable recovery of keystone species as a result of changed operating
curves for dams or
· Changes in vegetative response as a result of wetland re-inundation;
· Improvement in the hydrologic balance as increases in the number of hectares
of trees occurs as a result of reforestation programs;
· Stakeholder awareness raised and involvement documented.
6.4.4 Examples of Monitoring and Evaluation Indicators in GEF International
Waters Projects
Although M & E has been recognised by the GEF as an indispensable tool, the concept of
M & E indicators is relatively new in the GEF community; the majority of the projects
used as Case Studies in this course have not incorporated M & E indicators into their
SAPs. However, three examples of the use of M & E indicators are presented below.
Example 1 - Reversing Environmental Degradation Trends in the South China Sea
and Gulf of Thailand (UNEP)
This seven-country South China Sea project utilises M&E indicators very effectively.
Most of these are process indicators. During the project preparation, numerical targets for
stress reduction and environment status indicators were adopted. The numerical indicators
addressed the priority problems identified by the countries in their draft TDA at 35
pollution hotspots, 26 sensitive areas, and the Gulfs of Thailand and Tonkin.
Process indicators
· country inter-ministerial committees formed;
· TDA finalized and endorsed;
· SAP finalized and endorsed at the inter-governmental level;
· development and country adoption of NAPs for the reforms and investments each
country will need to undertake;
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· regional adoption of water quality objectives and standards for the marine systems;
· adoption of management plans for individual demonstration sites;
· development/adoption of a mechanism for regional management of the
environment of the South China Sea
Stress reduction indicators will be established in the project and incorporated into each
country's NAP.
Environmental status indicators relate to the achievement of targets involving:
· the maintenance of mangroves, coral reefs, sea grasses, and wetlands;
· regional catch levels of fisheries that preserve the resource base;
· adoption of water quality objectives, ambient standards, and effluent standards for
land-based sources that can be enforced to achieve the appropriate quality of water
to sustain the marine ecosystem.
Regional task forces will develop these indicators as part of the overall strategic project.
Example 2 - Reducing Environmental Stress in the Yellow Sea Large Marine
Ecosystem (UNDP)
Process indicators include:
· The TDA prepared and agreed by the countries by year 2
· The SAP formulated and endorsed by the countries at the Ministerial level by year
4
· Country-specific Yellow Sea NAPs adopted by the nations to list national process
indicators (e.g. enactment of legal reforms) and stress reduction actions (e.g.
pollution discharge reductions as part of an investment strategy) that will be
undertaken.
In addition, a stakeholder participation strategy, the utilisation of country inter-ministry
committees, and a regional agreement for sustainable utilisation of fisheries by year 3 were
other important indicators of key processes to be achieved in the project.
Stress reduction indicators were to be developed during the project to characterise
regional and country actions that will reduce overexploitation, improve water quality,
establish marine protected areas, and slow biodiversity loss.
Environmental status indicators define:
· improvements in catch-per-unit effort by year 5
· improved water quality for target contaminants by year 5
· reverse the proliferation of harmful algal blooms
· reduce the loss of biodiversity.
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Example 3 - Dnipro Basin Environment Programme (UNDP)
As discussed above, current international waters projects are strongly encouraged to
develop monitoring and evaluation indicators. The Dnipro Basin Environment Programme
project was initiated prior to this requirement. However, it was felt that M & E indicators
would provide a useful Annex to the recently completed Strategic Action Programme
(SAP) and, ultimately, significantly strengthen programme management during the
implementation of the SAP.
During the TDA phase of this project a set of indicators were developed in order to gather
detailed information on the consequences of each of the transboundary problems in the
Dnipro Basin. The indicators selected from this process were categorised as pressure, state,
impact or response indicators according to the Driver/Pressure/State/Impact/Response
(DPSIR) approach.
The status indicators were used in the TDA to describe the Dnipro Basin and the priority
transboundary problems in the Basin.
Impact indicators were used to quantify the impacts of each transboundary problem in the
Basin. The pressure indicators were used to substantiate each causal chain developed for
the priority transboundary problems.
This list of indicators was used as a starting point in the development of a set of targeted
and focused M & E indicators for the Dnipro Basin SAP.
Further information on this subject is provided in the two documents titled
TDA/SAP
`Monitoring and Evaluation (1)' and `Monitoring and Evaluation (2)', in the
CDROM
supporting materials for this module.
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Exercise 5.4 - Setting targets
1. Examples of the short-term target approach include the Caspian Sea, the Dnipro
Basin and the Bermejo River SAPs. Examine these targets (described in each SAP
as Targets, Steps and Concepts respectively). Which do you feel are good? Which
fail to meet the criteria for a good target, and why?
2. Do you feel that they reflect their respective priority transboundary problems and LT
EcoQOs?
3. Examine the layout of the targets and priority actions in the 3 SAPs discussed above.
Which approach do you feel is most logical? How do you think they compare to the
Lake Tanganyika, Benguela Current, South China Sea and the Mediterranean Sea
SAPs?
Discuss these questions with the Tutor, Project Manager
and your colleagues
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7. Drafting the action programmes
7.1 Drafting the National Action Programmes (NAPs)
Each country involved in the TDA/SAP will need to develop a National Action
Programme (NAP) (or Integrated Water Resource Management Plan (IWRMP) / Poverty
Reduction Strategy Paper (PRSP), as appropriate). The reason for this is that the
underlying causes as well as the complex linkages between the sources of environmental
degradation and threats mean that national actions must respond to the uniquely specific
circumstances and priorities of each country.
Each country must select the approach that best suits geographic characteristics, political,
institutional and regulatory frameworks, best available science and technology, current
assessments, inventories and data. Further, some countries will place the NAP higher in the
political process than others (i.e. at a parliamentary level rather than ministerial). Therefore
no two NAPs will have quite the same appearance, scope or focus.
Full details regarding the development and implementation of NAPs can be
TDA/SAP
found in the UNEP handbook5 located on the course materials CD
CDROM
A good NAP should:
· Define the current environmental status and identify priority transboundary problems
· Outline the underlying principles and key tasks of the National Action Programme
· Identify short-term priority objectives and actions
· Outline mechanisms for implementing and monitoring the programme
· Detail the costs and sources of financing
· List expected outputs and results
NAPs should be concise jargon-free documents with clear targets, quantifiable time-
limited milestones and unambiguous assignment of responsibilities.
Two recent projects that have developed NAPs are the Dnipro Basin and the Caspian Sea.
In both cases, a similar approach was used, although the Caspian Sea NAPs (Iran,
Kazakhstan, and Azerbaijan) are considerably longer than the Dnipro Basin equivalents
(Ukraine, Belarus and Russia). Contents lists for the Kazakhstan and Ukraine NAPs are
shown Boxes 20 and 21, below.
5 UNEP handbook on the development and implementation of a National Programme of Action for
the protection of the marine environment from land based activities, 2002.
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Box 20 - Content list for the Kazakhstan National Action
Programme
1. Structure of the Programme
2. Introduction
3. Analysis of the current state of environment in the region and assessment of
major environmental problems (risks)
4. Objectives and targets of the Programme
5. Main directions and mechanisms of implementation of the Programme
6. Required resources and sources of financing
7. Expected results of implementation of the Programme
8. Plan of activities on implementation of the Programme (I stage)
Box 21 - Content list for the Ukrainian National Action
Programme
1. Background
2. Current Ecological Status of the Dnipro Basin and Key Environmental Issues
3. Key Accomplishments of the National/Regional Programmes for
Environmental Rehabilitation and Drinking Water Quality Improvement in the
Dnipro Basin Achieved in 1997-2002
4. Objective, Underlying Principles and Key Tasks of the National Programme for
20042010
5. Short-Term Priority Objectives and Actions
6. Scientific, Technical and Information Support Provisions
7. Environmental Education, Awareness Raising and Involvement of the Public in
Decision-Making on Environmental Issues
8. International
Cooperation
9. Costs and Sources of Finance
10. Implementation and Performance Monitoring Mechanism
11. Expected Outputs
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All of the Dnipro Basin and Caspian Sea NAPs present the priority actions and their
associated costs in the form of a matrix. The Kazakhstan NAP is a good example. It
presents the planned activities in the following manner:
Activities
Form of completion/
Term of
Costs
Expected
Expected result
implementation/Executor
source of
financing
7.2 Drafting the Strategic Action Programme (SAP)
Drafting the SAP has many similarities with the NAP drafting process.
The SAP should be prepared on the basis of the reforms and investments outlined in the
draft NAPs and the components agreed in the preceding negotiation process. The various
SAP and NAP meetings conducted during the SAP formulation process will have produced
a great deal of material that will need to be integrated into one document.
The work of integration of the various materials of the SAP into a single document should
be conducted under the supervision of the Project Manager and key members of the PMU
and the SAP TTT.
The SAP should be a concise jargon-free document with clear targets, quantifiable time-
limited milestones and unambiguous assignment of responsibilities. It should embody:
·
a statement of the priority problems
·
principles adopted for solving them
·
joint planning and dispute settlement mechanisms
·
institutional arrangements
·
Policy and legal reforms
·
public participation
·
long term EcoQOs and short-term targets and priority actions;
·
common measures to be taken
·
monitoring and review arrangements and reporting.
The SAP should include a series of annexes giving:
(1) full details of agreed measures at the national and regional levels (including
national policy/legal/institutional reforms and investments) and their
implementation mechanisms;
(2) process, stress reduction and environmental and living resource status indicators;
(3) stakeholders and their involvement in the implementation and review process;
(4) contact points for the authority responsible for implementation in each country.
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There is no single approach or model used for the SAP document structure. However,
irrespective of the approach used, it should adhere to the following criteria:
Executive Summary: The SAP should have a jargon-free executive summary. It should
be no more than 2 pages long. A good executive summary will sell your SAP.
Remember that the SAP will be read by politicians, policy makers (national and
international), donors and managers. They are unlikely to read the entire document.
Main Text: The main text should be lucid and concise. A verbose and long-winded
document is difficult to navigate and interpret. Worse still, it will not be read! Do not
present too much text but equally, don't overburden the document with pages of figures
and tables. Supporting data (figures or tables) should be presented in separate Annexes.
Language: If the SAP is not written in English, remember that a translation of the
document will be required for the GEF, UN implementing agencies, international donors
etc. It may be useful to hire a native English expert to fully edit the translated document.
Do not use a non-expert as technical language is used.
7.3 Approaches used
Currently, there is no single approach or model used for the SAP document structure.
The Dnipro Basin SAP closely followed the approach described in this course. It contained
a 3 page introduction/executive summary followed by the main outputs of the TDA (the
priority problems and the immediate, underlying and root causes of environmental
degradation in the Dnipro Basin). The long term EQOs (analogous to EcoQOs) were then
described in detail and substantiated with a series of matrix tables outlining the steps and
activities (short-term targets and priority actions) required to achieve the EQOs, together
with the time taken to implement the action, the financial requirement, the expected results
and uncertainties in implementation. The final chapters described the institutional,
financing and monitoring arrangements. This SAP is well laid out, logical and relatively
short. However, it is not as easy as in some other approaches to link the EQOs and
activities with the priority problems highlighted in the TDA.
The South China Sea SAP followed a similar process. It contained a preface and
background/rationale that outlined the process, followed by a section describing the causes
of degradation and threats to the aquatic environment and resources (the main outputs of
the TDA). This was followed by a series of detailed chapters establishing:
· targets and priority activities at the regional and national level for environmental
quality in the South China Sea;
· valuations of resources, costs of actions and benefits obtained;
· incremental partnerships;
· priority regional and national actions.
Again, this SAP is logically laid out but is more extensive. The section on cost benefit
analysis was particularly detailed. The costings of each activity and its linkages with the
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proposed targets were also well thought out. However, the linkages between the targets and
the outcomes of the TDA were less obvious.
By contrast, the Lake Tanganyika SAP uses a more target- or action-based methodology in
which specific national actions are proposed in response to the four main threats identified
in the TDA. The SAP distinguishes specific problems (ranked by countries) and proposes
actions to mitigate the problems. For each problem in the respective countries, the SAP
identifies the stakeholders and provides a list of uncertainties. It also identifies the key
agency or agencies responsible for implementation or coordination of the corresponding
actions.
7.4 Ministerial adoption
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.
7.5 Conducting a Donors Conference
The SAP planning process itself should be encouraging to the various parties engaged in
the endorsement process. One of the most efficient mechanisms is to call a donors (or
partnership) conference, to allow bilateral and multilateral organizations to review the
proposals and to engage in joint planning for future projects.
Suggested preparation for a meeting:
1. Inform relevant donors of planned meeting at least six months in advance.
2. Distribute preliminary NAPS at least two months prior to the meeting.
3. Distribute nationally endorsed SAP as soon as it is available
That is the end of Module 5
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Correct Answers to Self-Assessment Test 5.1
1. The use of adaptive management guarantees
False. Adaptive management
precision and certainty in the results of policy
recognises quite the opposite.
actions.
See the next statement.
2. Adaptive management recognises that the
True.
natural environment may respond to policy actions
in unexpected ways.
3. Adaptive management has achieved its
False. Further essential targets
objective when it has identified the approaches
are to design the way that progress
which will be explored and the options available.
will be judged, and the timescale
for assessing and reassessing
progress towards the agreed
goals.
4. The use of a long term vision of what is
True.
perceived to be desirable for future decades and
which has been agreed by all participating states
ensures that short term policies must work towards
the same goal.
5. It is not possible to get all participating countries
True.
to work on the same long-term timetable.
Identifying shorter term targets enables the
process to keep moving.
4. It is important to make sure that action
False. it is often the case that
programmes can keep moving while waiting for the
nothing will be changed until the
results of the associated research.
research is complete, i.e. the
status quo will prevail. This is a
deliberate choice; doing nothing is
an option which has been selected.
5. Adaptive management gives priority to difficult
True.
situations, in which the aspects of the problems
which have to be addressed are especially
challenging.
6. Adaptive management seeks as far as possible
False. adaptive management
to keep changes in the chosen action programme
expects that changes will be
to a minimum., but expects that change will occur
needed in response to
and bring. with it many benefits.
developments, and considers that
this is beneficial.
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MODULE 5 Contents List
1. This Module
1.1 Stepwise approach to formulating the SAP
1.2
Module
Objectives
1.3
Module
Activities
2.
General
principles
2.1 What is a Strategic Action Programme?
2.2
The
importance
of
alternatives
2.3
The
SAP
Process
2.4 The Adaptive Management Process
2.4.1 What Is Adaptive Management?
2.4.2 The Model Used in TDA/SAP Activities
Self-Assessment
Test
5.1
2.5 Long-term Ecosystem Quality Objectives and short-term
management targets
2.5.1
Ecosystem
Quality
Objectives
2.5.2
Short-term
management
targets
2.6
Monitoring
and
evaluation
2.7
Incremental
costs
Exercise 5.1 Ecosystem Quality Objectives
3.
Bridging
the
TDA
and
SAP
3.1 Development of the long-term `vision'
3.1.1 Key Features of a Long Term Vision
3.2 Development of candidate EcoQOs
3.2.1
Examples
of
EcoQOs
3.3
Consultation
Exercise 5.2 Long Term EcoQOs and short-term targets
4. Brainstorming Ways to Attain the EcoQOs
4.1 Planning the remaining steps of the SAP
4.1.1 Sequence of Meetings and Workshops
4.1.2 Reminder of the TDA/SAP Organisation
4.1.3 Appointment of SAP and NAP formulation teams
4.2
The
brainstorming
process
4.2.1
Introduction
to
brainstorming
4.2.2
Further
explanation
4.2.3
The
Brainstorming
Technique
4.2.4 Composition of the Brainstorming Group
4.3
Organising
the
Brainstorming
4.3.1
The
initial
brainstorming
4.3.2 Detailed Brainstorming on Specific Actions/Solutions/Options
4.3.3
The
Decision
Table
4.3.4
Time
Management
4.3.5
Rating
the
proposals
Exercise
5.3
-
Brainstorming
5. Examination of alternative policies, legal instrument reforms,
and
investments
5.1
Technical
feasibility
of
options
5.2
Economic
analysis
of
options
5.3 Political and social acceptability of options
5.4 National decisions on intent to implement selected feasible options
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6. Developing targets, frameworks and indicators
6.1 Setting short-term targets and priority actions
6.1.1 Presentation of short-term-targets and priority actions
6.2 Examples of short-term targets and priority actions
6.3 Agreement on Institutional Framework
6.4 Development of monitoring and evaluation indicators
6.4.1
Process
Indicators
6.4.2
Stress
Reduction
Indicators
6.4.3
Environmental
Status
Indicators
6.4.4 Examples of Monitoring and Evaluation Indicators in
GEF
International
Waters
Projects
Exercise
5.4
-
Setting
targets
7.
Drafting
the
action
programmes
7.1 Drafting the National Action Programmes (NAPs)
7.2 Drafting the Strategic Action Programme (SAP)
7.3
Approaches
used
7.4
National
endorsement
7.5
Conducting
a
donors
conference
Correct Answers to Self-Assessment Test 5.1
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