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

Instructor Manual

TRAIN-SEA-COAST

TDA/SAP Programme

MODULE 5: FORMULATING THE SAP

Performance Objectives

At the end of the module, the participants 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 Eco/WR QOs 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 Eco/WR QOs for specific problems.

3. Explain the process of brainstorming ways to reach the Eco/WR QOs.

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:

   1. the associated costs and benefits;

   2. links to existing or projected policies/actions;

   3. 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)

Activities

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

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

Exercise 5.1: Ecosystem Quality Objectives

Exercise 5.2: Long term Eco/WR QOs and short-term targets

Case: a) The Dnipro Basin SAP

Exercise 5.3: Brainstorming

Exercise 5.4: Setting targets

Cases: the Caspian Sea, the Dnipro Basin and the Bermejo River SAPs

3. Undertake one short self-assessment test.

Materials

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

instructor (Module 5)

- Instructor manual for Module 5

- Power point presentation for Module 5 (71 slides)

- CDROM with additional text and case studies:

“The adaptive management process”

The GEF M & E approach

The Dnipro SAP

Caspian Sea SAP

Bermejo River SAP

Lake Tanganyika SAP

Benguela Current SAP

South China Sea SAP

Mediterranean Sea SAP

“Economic analysis of options”

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

• General Principles: pages 4-14

• Bridging the TDA and SAP: pages 15-22

• Brainstorming ways to attain the Eco/WR QOs: pages 23-32

• Examination of alternative policies, legal instrument reforms, and investments: pages 33-36

• Development of target frameworks and indicators: pages 36-47

• Drafting the actions programmes: pages 48-52

Instructor Manual

PLAN OF ACTIVITIES

Module 5

Duration:

h. m.

Time

(min)

Topic

Methods

Activity

Materials

m.

Introduction to Module 5

Note for the Instructor

Structure of the Part 2

Objectives

Attention: 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 Eco/WR QOs at the national and regional level (including technical feasibility);

• 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).

Two issues should be stressed:

1) the close linkages between Module 5 and Modules 3-4 (as described above).

2) the key points that underpin the SAP process, namely: a) the political nature of the process; b) the SAP as a negotiated policy document; and c) participatory, consensus building and transparency, all elements that should permeate the entire process.

This is a long and complex module to be delivered. It is the last module of the course, and thus it brings to fruition many of the concepts and elements that were reviewed in previous modules.

The module contains some technical elements which are woven within a policy and political process that was never tried before. Real-life experience at this level is rather limited because few GEF IW projects have reached the stage of drafting a SAP.

The instructor has plenty of material for discussions during and after the class itself. Make use as much as you can of the examples contained in the Trainee’s Manual and CDROM. Make use of discussion periods as much as possible.

1. Before starting the delivery of Module 5, tell the participants:

• Module 5 is basically ‘procedural’. While the previous modules dealt with a technical process, this module gets into a policy process culminating in a draft SAP. The “how” and “why” each task should be done permeate the entire module. Brainstorming, negotiation and participatory approaches are discussed. The module contains many examples taken from real life experiences in the field which are comparable, thus, a rich menu of lessons learned is on the table.

• Module 5 entails a number of activities performed on an individual or group form. The participants will have to undertake one self-assessment test and review a considerable number of case studies. Discussion periods (some formally organized), are a part and parcel of this part of the course.

• There are a number of work assignments that they will have to undertake after they return home.

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

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

• Present OHTs 2 & 3 and explain the structure of the course. Summarize briefly the content of each sub-part and the inter-relationship between them.

• Present OHT 4-5 and 6 and go through the objectives of the Module.

OHT 1

(Title of Module 5)

OHT 2-3

(Structure of the course)

OHTs 4-5-6

(Objectives)

Time:

50m

PART 1:

General Principles

Activity

Materials

Introduction to Part 1

1. Present OHT 7 and anticipate to the participants that Part 1 of the Module provides the conceptual basis for the SAP as a process.

2. Stress the links between the TDA and the SAP. Anticipate that two fundamental pieces of the TDA/SAP process are the adaptive management model and the ecosystem quality objectives. Also highlight that the module touches upon issues previously discussed in other modules, such as monitoring & evaluation indicators and the DPSIR model. It is within this broad framework that following parts of the module will be discussed.

3. Present OHT 8 and explain what the SAP consist of. Follow by highlighting the differences and complementarities between the TDA and the SAP. Stress the difference between the technical nature of TDA process and the political nature of the SAP process. Stress that although the SAP process is generally presented in linear fashion, in practice, this is not the case and a number of steps may be carried out in parallel. Managing the SAP process requires a great deal of pragmatism (OHT 10).

4. Explain the concept of adaptive management and its components (OHTs 11-12). Elaborate on the TDA/SAP Adaptive Management model (OHT 13) and highlight the most important points of this model (OHT 14).

OHT 7

(Part 1: General Principles)

OHT 8

(What is a SAP?)

OHT 9

(Differences and complementarities between the TDA and the SAP)

OHT 10

(The SAP process)

OHT 11-12

(What is adaptive management?)

OHT13-14

(The TDA/SAP Adaptive Management model)

m

Self Assessment Test 5.1

1. Ask participants to undertake the test.

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

Eco/WR QOs

Short management targets

GEF M&E

Indicators and the DPSIR model

5. Present OHT 15 and explain that Ecosystem Quality Objectives (or Eco/WR QOs) are statements of the ‘vision’ of how the stakeholders would like to see the state of the system in the future. Link Eco/WR QOs with adaptive management. Review the characteristics of Eco/WR QOs (OHT 16).

6. Present OHT 17 and explain the relationship between Eco/WR QOs and short-term management targets. Highlight the timescale different between them.

7. Recall the 3 different types of GEF monitoring and evaluation indicators (OHT 18) and relate these with the DPSIR model (OHT 19).

OHT 15-16

(Ecosystem Quality Objectives)

OHT 17

(Short-term management targets)

OHT 18

(GEF M&E Indicators)

OHT 19

(M&E and the DPSIR model)

Exercise 5.1

Ecosystem Quality Objectives

8. Ask participants to undertake this

exercise as homework

Time:

h

m

PART 2:

Bridging the TDA and SAP

Activities

Materials

Introduction to Part 2

Main steps to develop the SAP

Development of a long-term vision

Development of candidate Eco/WR QOs

1. Explain that this part of the module focus on the providing a good understanding of the main steps to develop a SAP, the development of a long-term vision, and candidate Eco/WR QOs.

2. Present OHTs 21 put into perspective where bridging from the TDA to the SAP is in the TDA/SAP process. Follow with OHT 23 and go through every step highlighting the tasks, the scope and the actors involved. Elicit questions from the participants.

3. Stress the importance of bridging the TDA and SAP through the development of a long-term vision (and hence an Eco/WR QO). How the region is now and what it is hoped it will be in the future is the “vision”. Five OHTs portray who is responsible for the development of the vision, its definition, the major characteristics and the key features. In addition, the Participant’s manual exhibits a number of examples of long-term visions. Invite the participants to read the examples and make comments.

4. Explain that the next step is to define Eco/WR QOs which are in fact statements of the ‘vision’ of how the stakeholders would like to see the state of the system in the future. Present OHT 28. Explain that Eco/WR QOs are derived from a relationship between the “vision”, the priority problems identified in the TDA, and the environmental status that would be a sign of a solution for those problems. Remind participants that Eco/WR QOs themselves are political objectives for which a consensus of stakeholders has been achieved. Review with the participants a couple of examples of Eco/WR QOs.

OHT 20

(Part 2)

OHT 21

(The TDA/SAP process)

OHT 22

(Main steps required to develop the SAP)

OHT 23

(Dev. Of the long-term vision)

OHT 24

(Definition of a long-term vision)

OHT 25

(Characteristics)

OHT 27

(Key features)

OHT 26

(Examples)

OHT 28

(Dev. of

candidate Eco/WR QOs)

OHT 29

(Examples)

m.

Exercise 5.2

Long term Eco/WR QOs and short-term targets

Ask participants to undertake Exercise 5.2 as homework

Time

PART 3

Brainstorming ways to attain the Eco/WR QOs

Activities

Materials

20

5

Introduction to Part 3

Planning the SAP

Alternative approaches

Rules of thumb

NAP & SAP Formulation teams

Brainstorming

Decision table

5. Anticipate that this part of the module refers to planning and organizational arrangements for the remaining steps of the SAP, the nomination of National Formulation Team and the SAP Formulation Team as well as the brainstorming technique and associated procedures.

6. Show OHT 31 and stress the importance of early engagement of National Inter-Ministry Committees as the key mechanism to gather stakeholders and technical specialists.

7. Discuss the two alternative approaches of conducting brainstorming, namely:

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.

8. Discuss the rules of thumb (OHT 33).

9. In addressing the need to appoint SAP and NAP formulation teams, make a comparison between them in terms of composition and responsibilities OHT 34.

10. When tackling brainstorming, first address the objective, purpose, timescale and actors (OHT 35). Then, continue by examining the specific tasks and how small groups can be organized (OHT 37). Highlight: a) critical role of brainstorming both from the technical as well as the political standpoints; and b) the golden rules of brainstorming (OHT 37).

11. Finally present OHT 38 that summarize all the process. Take as much time needed to go through each step of the process and elicit questions from the participants. Brainstorming is as much a technique as a policy tool that could be extensively used. Therefore, the participants should be fully familiar with each of the steps as well as how to organize a brainstorming session.

12. Close this part of the module by reviewing the use of the decision table.

OHT 30

(Part 3: Title)

OHT 31

(Planning the remaining steps of the SAP)

OHT 32

(Planning the remaining steps of the SAP)

OHT 33

(Rules of thumb)

OHT 34

(Appointment of NAP and SAP formulation teams)

OHT 35 & 36

(The brainstorming process)

OHT 37

(Golden rules of brainstorming)

OHT 38

(Brainstorming process)

OHT 39

(The decision table)

60 m.

Exercise 5.3:

Brainstorming

13. Ask participants to read and undertake the exercise.

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

Time:

PART 4

Examination of alternative policies, legal instrument reforms, and investments

Activities

Materials

Introduction to Part 4

Analysis of proposals

Technical feasibility of options

Economic analysis

Political and social acceptability

of options

Issues to be addressed

The political decision

1. Start Part 4 (OHT 40) by explaining that this phase consist of a rigorous examination at the national and regional levels of the high priority proposals emerging from the brainstorming. These proposals are evaluated for their technical feasibility; their costs and environmental benefits; and their political and social acceptability

2. Present OHT 41 and elaborate on the reasons behind this process. Stress that each of these analyses should be carried out nationally by the NAP formulation teams and national members of the SAP formulation team. The whole process should be steered regionally.

3. Present OHT 42 and state what is the purpose of examining the technical feasibility of options. Add that this study should be carried out nationally by the NAP formulation teams and national members of the SAP formulation team.

4. Go through the layout for a technical feasibility study process (OHT 43). Elicit questions from the participants.

5. Present OHT 44 and point out that the purpose of economic analysis is to create the basis for sound decisions about the allocation of resources. Its results, however should not be see as constituting “the decision” , but only one form of input to the policy-maker final decision. Further elaborate into the two general approaches for economic analysis.

6. Before addressing the key issues to be addressed in the political & social arena, recall all the previous initiatives that throughout the TDA/SAP process have paved the way to a political and social acceptability of options (OHT 45).

7. Go through the list of issues to be addressed (OHT 46) and ask the participant at random what is their experience in this respect.

8. Close this part of the module by stressing that at this stage of the SAP process, there needs to be a firm political decision. This requires careful consultation in the Steering Committee and, most importantly, in the National Interministry Committees. Furthermore, the stakeholder groups/sector/and or government agency responsible for implementing the actions proposed, must be clearly identified (OHT 47).

OHT 40

(Part 4: Title)

OHT 41

(Why examine?)

OHT42

(Technical feasibility of options)

OHT 43

(Approach)

OHT 44

(Economic analysis of options)

OHT 45

(Political & social acceptability of options)

OHT 46

(Issues to be addressed)

OHT 47

(National decisions on intent)

Time:

h.

m.

PART 5

Development of targets, frameworks, and indicators

Activities

Materials

10

Introduction to Part 5

Three basic technical recommenda-tions

Short-term targets and priority actions

Institutional framework

GEF M&E indicators

Process indicators

Stress-reduction indicators

Environmental status indicators

1. Explain that this part of the module deals with the setting of 1 to 10 year targets and priority actions as a follow up to the technical and political consultation process reviewed in Part 4. The targets should be reflected in measurable process, stress reduction or environmental status indicators.

2. Present OHT 49 and introduce the three technical recommendations required. You will go in-depth into each of them, so no detail explanations are needed.

3. Present the definition and characteristics of short-term targets and priority actions (OHT 50) as well as the key points to remember (OHT 51). Discuss a couple of examples with the participants (OHT 52).

4. Explain the rationale behind the attaining of an agreement on the institutional framework which will provide support to the menu of priority actions to be implemented, including effective monitoring.

5. Recall the GEF M&E indicators OHT 54). Stress the link between M&E indicators with the long-term Eco/WR QOs and shorter term targets and priority actions (OHT 55) as well as with the institutional capacity for monitoring.

6. Present OHT 56 and explain that process indicators (output-based), demonstrate actual on-the-ground institutional and political progress and that their application differs at different stages on the SAP implementation process. Discuss the examples with the class and ask participants to provide specific examples from their projects.

7. Discuss the characteristics of stress reduction indicators (outcome oriented), using OHT 58 and use the examples to illustrate (OHT 59).

8. Finally, close part 5 by elaborating on the characteristics of environmental status indicators (goal-oriented) (OHT 60), vis-à-vis the other two previous types of indicators. In comparing them, highlight the time element. Review the examples presented (OHT 61) as well as the concrete experience of GEF projects.

OHT 48

(Part 5: title)

OHT 49

(The key question)

OHT 50

(Short-term targets and priority actions)

OHT 51

(Remember…)

OHT 52

(Examples)

OHT 53

(Agreement on institutional framework)

OHT 54

(GEF M7E indicators)

OHT 55

(Development of M&E indicators)

OHT 56

(Process indicators)

OHT 57

(Examples)

OHT 58

(Stress reduction indicators)

OHT 59

(Examples)

OHT 60

(Environmental status indicators)

OHT 61

(Examples)

OHT 62

(Examples from GEF projects)

Exercise 5.4

Setting targets

1. Ask participants to read page 47 in their manuals and undertake the exercise as homework.

2. Ask them if they need any clarification.

Time

PART 6

Drafting the Action Programmes

Activities

Materials

Introduction to Part 6

Drafting the National Action Programmes

Drafting the SAP

Content and structure of the SAP

Ministerial adoption

Donors Conference

1. Start by explaining that Part 6 of the module deals with the last stage of the process of formulating the SAP. It is the culminating step after a long array of technical and political consultations that paved the way to the formulation of national programmes and the SAP itself. This part of the module starts by reviewing the requirements for a good NAP and ends with specific recommendations on how to organize a donors conference where the NAPs and the nationally endorsed SAP will be reviewed.

2. Present OHT 64 and review the national requirements for countries involved in a TDA/SAP process. Follow with the specific characteristics of a good NAP (OHT 65), and illustrate by examining some of the examples contained in the Participant Manual (OHT 66).

3. Now turn into the SAP and explain that 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 (OHT 67). This is a crucial point that should be emphasises the links between the NAPs and the SAPs. Add who is responsible for integrating all materials into a single document (OHT 68).

4. Present OHTs 69-70 describing the content of the main body of the SAP and its annexes. Since there is not a single approach vis-a-vis the structure of a SAP, only present OHT 71, describing its basic structure. Illustrate with real like examples from GEF projects (OHT 72).

5. Address the Ministerial adoption process (OHT 73) by stating that 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. Highlight “why” and how important is to have such endorsement for the success of SAP implementation.

6. Conclude the module by discussing the purpose and the organization of a Donors Conference (OHT 74).

OHT 63

(Part 6: Title)

OHT 64

(Drafting the national action programmes)

OHT 65

(A good NAP should…)

OHT 66

(Examples)

OHT 67

(Drafting the SAP)

OHT 68

(Who prepares the SAP?)

OHT 69

(The SAP document)

OHT 70

(The SAP annexes)

OHT 71

(SAP structure)

OHT 72

(Examples)

OHT 73

(Ministerial adoption)

OHT 74

(Conducting a donors conference)