1	MODULE 5 FORMULATING THE SAP Development of a Long-term Vision Preparing and assessing the Acceptability of the Options Setting Targets Drafting the Action Programmes
2	STRUCTURE OF MODULE 5
3	STRUCTURE OF MODULE 5
4	Objectives After examining Module 5, you should be able to: GENERAL Identify the key elements in the SAP process and understand the importance of alternatives. Explain the key features of the adaptive management approach and the concept of the ‘long-term vision’ for each priority problem. Identify the roles played by Eco/WR QOs and short-term targets in this process.
5	Objectives After examining Module 5, you should be able to: SAP PROCESS Describe the key factors that should be considered when developing the long-term vision. Identify long-term Eco/WR QOs for specific problems. Explain the process of brainstorming ways to reach the Eco/WR QOs . Describe the process of assessing the feasibility of options and the key factors that should be considered. Explain the need to identify as part of this process: the associated costs and benefits; links to existing or projected policies/actions; barriers to implementation.
6	Objectives After examining Module 5, you should be able to: COMPLETION OF THE SAP Explain the need for setting short-term targets and priority actions. 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. Explain the key steps in drafting National Action Programmes (NAPs) and the Strategic Action Programme (SAP)
7	PART 1
8	What is a Strategic Action Programme? Negotiated policy document Endorsed at the highest level of all relevant sectors Establishes clear priorities and commitments for action to resolve the priority problems identified in the TDA Undertaken prior to the development of technical assistance, capacity-building, or investment projects
9	Differences & complementarities between the TDA and the SAP
10	The SAP Process SAP process are generally presented in linear fashion. however: A number of steps will 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.
11	What Is Adaptive Management? Flexible system which is designed to cope with uncertainty and complexity in natural environmental and social systems, Often referred to as experimental management or "learning by doing".
12	What Is Adaptive Management? An adaptive management process has two vital components
13	The TDA/SAP Adaptive Management Model
14	The TDA/SAP Adaptive Management Model Operates over extended timescales. Should be adequate time for impacts, resulting from the management actions, to occur and be assessed. Appropriate mechanisms -Indicators/monitoring- built in to enable this assessment. Should consider both social and ecosystem effects.
15	Ecosystem/Water Resource Quality Objectives Eco/WR QOs 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. Eco/WR QOs must be linked to the state of ecosystems but should fully acknowledge the place of humans within that ecosystem.
16	Ecosystem/Water Resource Quality Objectives Should be clearly understandable to a wide range of stakeholders. Developed with stakeholder Involvement, consultation, participation Reflect the acceptable environmental status which would signify a solution for each of the priority transboundary problems identified in the TDA – not process changes or institutional changes.
17	Short-Term Management Targets Short-term management targets can be thought of as stepping stones on the way to an Eco/WR QO They define the pragmatic steps towards achieving agreed Eco/WR QOs . The timescale of an EcoQO may be decades, while a short-term management target could be monitored and reported on perhaps annually.
18	GEF Monitoring and Evaluation (M&E) Indicators
19	M & E and the DPSIR Model
20	PART 2
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22	Main steps required to develop the SAP
23	"At the first meeting of..." At the first meeting of the SAP phase a ‘vision statement’ and candidate long-term Eco/WR QOs should be devised Usually the same group of people that developed the TDA It links how the region is now with what it is hoped it will be in the future. Gives structure to the Eco/WR QOs and direction to the SAP.
24	Definition of a long term vision "A clear representation of the characteristics desired for the future environment." A long term vision is a political objective, and as such it will have to be reach at an inter-governmental level, so that all countries are committed to achieving those goals So….. compromises may have to be made
25	A long term vision should be: It should be understandable to the general public as well as a scientific audience It should inspire those living in and around the catchment to believe that they can improve the condition of the water environment It should encourage the relevant parties to strive to reach this goal It must challenge those involved and really make a difference. It must not be impossible - this would be disheartening and defeating.
26	Examples Examples of vision statements for the Nile and Rhine River Basins are shown on Page 17 of the Participant Manual
27	"Not based solely on the..." Not based solely on the natural qualities for the area but includes human activities Point to important principles on which actions will be based. Should not be restricted or limited by current issues or problems in the local environment – to past damage and future threats. Wide-ranging, both in geographic and time scales. Must be agreed by all parties.
28	"The TTT should examine the..." The TTT should examine the ‘vision’ and each priority transboundary problem detailed in the TDA and ask the question: This statement of status will represent a long-term Eco/WR QO
29	Examples Examples of Long-Term Eco/WR QOs for the Caspian Sea, and the Danube, Dnipro and Bermejo River Basins are shown on Pages 18 and 19 of the Participant Manual
30	PART 3
31	Planning the remaining steps of the SAP Organization of Meetings and Workshops Engage the National Inter-Ministry Committees (IMCs) in the process as early as possible The IMCs should organize national meetings that mirror the initial brainstorming Include a suitable range of stakeholders and technical specialists
32	Planning the remaining steps of the SAP
33	Rules of thumb 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 The procedure for conducting the initial brainstorming is the same, whether at a regional or national level
34	Appointment of SAP and NAP formulation teams
35	The brainstorming process Objective: To work with stakeholder representatives and specialists to propose a number of practical options that make significant progress toward the Eco/WR QOs Purpose: to ensure full stakeholder participation in SAP planning Timescale: The meeting finalises the work of the TTT and sets the agenda for the SAP development Actors: members of the TTT, the Steering Committee and additional specialists or stakeholder representatives selected by the Project Manager
36	The brainstorming process Tasks: The meeting discusses the Eco/WR QOs and agrees on final drafts Examines each Eco/WR QO and identifies possible options for achieving them Organization: small groups developing a matrix of options for the part of the causal chain they address, including: timeframes for implementation responsible parties and relative costs (where possible) Assign indicative priorities to the solutions proposed Note: The matrix will be the basis for further technical evaluation and should be as ‘inclusive’ as possible – it does not represent a commitment.
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39	"Refer to Page 31 of..." Refer to Page 31 of the Participant Manual for more details
40	PART 4
41	Why examine? Purpose: The high priority proposals emerging from the brainstorming are followed by a more rigorous national and regional level analysis and evaluation for: their technical feasibility their costs and environmental benefits their political and social acceptability Who is responsible?: Each of these analyses should be carried out nationally by the NAP formulation teams and national members of the SAP formulation team Perspective: The whole process should be steered regionally
42	Technical feasibility of options Purpose: To determine which options are technologically possible, and whether it is practical in terms of current technology, economics, social needs, etc.
43	Technical feasibility of options Approach: For each Long-term Eco/WR QO
44	Economic analysis of options Purpose: to create a basis for sound decisions about the allocation of financial resources Approaches: Cost effectiveness of the options evaluation of all costs and benefits in a common measure, monetary units. Cost-Benefit Analysis (CBA)
45	Political and social acceptability of options Pre-conditions that paved the way for this political phase: The TDA stakeholder consultations and governance analysis A participatory approach that legitimised the process with relevant stakeholders The initial brainstorming session, which engages the National Inter-Ministry Committees as well as key stakeholders
46	issues to be addressed Issues to be addressed:
47	National decisions on intent to implement selected feasible options Key question: 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)?
48	PART 5
49	‘What measurable progress should be observable at the end of a decade’? To respond to this question, a set of 1 to 10 year targets and priority actions should be set up. Three basic technical recommendations are required: Development of short-term targets and priority actions Agreement on the national/regional institutional framework Development of measurable M & E indicators for each target
50	Setting short-term targets and priority actions – Main characteristics Short term targets are goals towards which measurable progress should be observed over a period of, say, one, five or ten years. They: are stepping stones on the way to an Eco/WR QO define the pragmatic steps towards achieving agreed Eco/WR QOs should be monitored and reported on annually target either environmental (e.g. species abundance), or societal factors (human sewage being treated) should be unambiguous and easy to communicate to the public
51	Remember……… 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 it will require clear short-term targets, priority actions and robust M & E indicators
52	Examples Examples of Short-Term Targets for the Caspian Sea, and the Dnipro and Bermejo River Basins are shown on Pages 39 and 40 of the Participant Manual
53	Agreement on Institutional Framework Objective: to formulate proposals on how (the already examined) institutional weaknesses should be corrected, through increasing the capacity of existing institutions or creating new ones Parallel discussions must go on: the formulation of national policy the need for legal and institutional reforms investment priority Who does it?: NAP teams, and agreed by the National Inter-ministry Committees
54	GEF Monitoring and Evaluation (M&E) Indicators
55	Development of monitoring and evaluation indicators Objective: 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 Eco/WR QOs and shorter term targets and priority actions) In addition: Project monitoring and evaluation indicators for any subsequent GEF interventions should also be developed Attention: There should be clear linkages between the indicators and the institutional capacity for monitoring them
56	Process Indicators (Output based) Process indicators demonstrate actual on-the-ground institutional and political progress in the step-by-step journey to the resolution of these complex problems In the initial stages of multi-country projects: the only types of appropriate indicators may be regional process indicators (e.g. establishing country inter-ministerial committees) Further into implementation: more importance can be placed on single country process indicators (e.g. enacting of legal reforms)
57	Examples of Process Indicators
58	Stress Reduction Indicators (Outcome oriented) Stress reduction indicators focus on concrete actions that reduce environmental stress They 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
59	Examples of Stress Reduction Indicators
60	Environmental Status Indicators (goal oriented) Focus on actual improvements of ecosystem quality that usually extend beyond the lifetime of the project Measure 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.
61	Examples of Environment Status Indicators
62	Examples of M & E Indicators in recent GEF International Waters Projects
63	PART 6
64	Drafting the National Action Programmes Each country involved in the TDA/SAP may need to develop a National Action Programme (NAP) 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, and current assessments, inventories and data No two NAPs will have quite the same appearance, scope or focus
65	Drafting the National Action Programmes A good NAP should:
66	Examples of National Action Programmes
67	Drafting the Strategic Action Programme 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
68	Who prepares the SAP? 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
69	The SAP Document The SAP should embody: a statement of the priority problems principles adopted for solving them joint planning and dispute settlement mechanisms institutional arrangements public participation long term Eco/WR QOs and short-term targets and priority actions common measures to be taken monitoring and review arrangements and reporting.
70	Plus the SAP Annexes… providing: Full details of agreed measures at the national and regional levels (including national policy/legal/institutional reforms and investments) and their implementation mechanisms Process, stress reduction and environmental and living resource status indicators Stakeholders and their involvement in the implementation and review process Lists of contact points for the responsible authority for implementation in each country
71	SAP Document Structure There is no single approach or model used for the SAP document structure. It should adhere to the following criteria: Executive Summary - should be jargon-free. No more than 2 pages long Main Text - should be lucid and concise Language (English or English translation)
72	Examples of Strategic Action Programmes
73	Ministerial adoption The SAP (and the associated NAPs) must be formally endorsed by relevant government authorities. This is to ensure that: The SAP (and the associated NAPs) are incorporated into planning and budgetary processes at all levels The SAP is brought into the mainstream of policy, legal and budget provisions, enforcement mechanisms, and technical and scientific frameworks Official adoption of the SAP give the process the legitimacy and support needed to bring on board a wide range of stakeholders, both from the public and private spheres
74	Conducting a Donors Conference Purpose: allow bilateral and multilateral organizations to review the proposals and to engage in joint planning for future projects Suggested preparation for a meeting: Inform relevant donors of planned meeting at least six months in advance. Distribute preliminary NAPS at least two months prior to the meeting. Distribute nationally endorsed SAP as soon as it is available