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


Instructor Manual



TRAIN-SEA-COAST

TDA/SAP Programme


MODULE 6: GOVERNANCE ANALYSIS & STAKEHOLDER INVOLVEMENT




Performance Objectives


At the end of the module, the participants should be able to:


A. General

  1. Explain the role and importance of governance analysis in the TDA/SAP process, and the relationship between its three components: Institutional; Legal/policy; Stakeholders.

  2. Explain the importance of regional comparative assessments in the context of both institutional and policy/legal analyses.

  3. Design a process for carrying out institutional and policy/legal analyses that provide an overall context for the TDA and support the causal chain exercise.

  4. Identify the strengths and weaknesses of the governance/stakeholder aspects of several case-studies.


B. Stakeholder consultation

  1. Explain how ethical, cultural and political issues are handled when setting up stakeholder consultation.

  2. Describe how to determine the relevant stakeholder groups.

  3. Describe potential problems in ensuring participation and how they may be resolved.

  4. Design a stakeholder interview, explain its implementation and conduct qualitative analysis of data.

  5. Critically assess stakeholder questionnaire design, explain its implementation and quantitative analysis of data.

  6. Describe how to set up and conduct a meeting with a group of stakeholders, summarise and report on results from stakeholder consultations.

C. Institutional Analysis

  1. Describe the aims of an institutional analysis and its basic components.

  2. List the macro-institutional aspects that should be taken into account.

D. Legal/policy analysis

  1. Explain the need for, and scope of, legal/policy analysis in the TDA.

  2. Describe a basic approach for analysing policy/legal content, implementation, compliance and enforcement.

  3. Appreciate the need for the policy/legal analysis to be integrated into the Causal Chain exercise (in Module 5).


Activities


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

Examples of stakeholder lists. Cases:

    • Benguela Current Large Marine Ecosystem TDA

    • Strategic Action Programme for the Binational Basin of the Bermejo River (Annex I)


    • Links between the institutional analysis and the causal chain exercise in the Benguela Current TDA

    • Links between legal/policy analysis and the causal chain in the Benguela Current TDA

    • Detailed governance analysis for the Dnipro Basin TDA

    • Stakeholder consultations in the Benguela Current Large Marine Ecosystem project

    • Questionnaire design: the CEP Regional Stakeholder Analysis for the Caspian Sea Project

2. Complete two exercises analyzing the approach used in the following

case- studies.

-- Exercise 6.1 - Stakeholder Identification and Consultation

TDA/SAP projects have been chosen for this exercise:


    1. Guarani Aquifer System

    2. Benguela Current Large Marine Ecosystem (BCLME)

    3. Caspian Sea Environment


-- Exercise 6.2 - Case-Studies

Cases chosen for this exercise:

Case 1: Black Sea TDA

Case 2: The Dnipro Basin TDA

Case 3: Lake Tanganyika TDA


3. Complete two short self-assessment tests.



Materials

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

instructor (Module 6)


- Instructor manual for Module 6


- Power point presentation for Module 6 (50 slides)


- CDROM with additional text and case studies


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

    • General Principles OF Governance: pages 3-8

    • Stakeholder Consultation: pages 11-14.

    • Institutional Analysis and Policy/Legal Analysis: pages 15-24

    • The Organization of Governance Analysis: pages 28-43

    • The Techniques used in Governance Analysis: pages 43-48




Instructor Manual

PLAN OF ACTIVITIES



Module 6


Duration:

h. m.



Time

(min)


Topic

Methods


Activity


Materials

m.

Introduction to Module 6














































































































Note for the Instructor



































































































Structure of the Module





Objectives




Attention: This is a cross cutting module that permeates the entire TDA/SAP process. Therefore, the instructor(s) should be able to use the module in different forms, whether as a self contained module in its entire content, or using individual parts of the module, at different times.


Overall, the structure of the module has been arranged according to the text contained in the Participant’s Manual. However, after the general principles of governance are presented, specific procedures and techniques are discussed under each of the three major components of governance, namely, stakeholder identification & consultation, Institutional analysis and Policy/Legal analysis. This minor arrangement has been done to ease the delivery and for adding more flexibility in the use the module, particularly if discrete parts of the module (e.g. stakeholder consultation), are used in combination with other parts of the course.


Three key issues should be stressed at the beginning of this module:


a) the close linkages between this module and the rest of the modules in the course.

b) the paramount importance of governance analysis and stakeholder involvement for achieving success in the TDA/SAP process.

c) the knowledge and skills acquired through this module can be used throughout the TDA/SAP process.


There are not too many difficulties in delivering this module except the large number of case studies and related exercises that the participants have to undertake. The positive side is that 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. Make use of discussion periods as much as possible.

  1. Before starting the delivery of Module 6, tell the participants:


  • Module 6 will bring them knowledge, skills and a wide exposure to different experiences in governance and stakeholder involvement. They will learn as much ‘processes’ as techniques. The module contains many examples taken from real life experiences in the field which are comparable, thus, a rich menu of lessons learned are at their disposal.

  • Module 6 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 in the evenings, after the classes.


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


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

  • Present OHT 2 and explain that the structure of the Module. Summarize briefly the content of each sub-part and the inter-relationship between them.


  • Present OHTs 3-4-5-6 and go through the objectives of the Module.


























































OHT 1

(Title of Module 6)










































OHT 2

(Structure of the Module)




OHTs 3-4-5-6

(Objectives)


Time:


m

PART 1:

General Principles of

Governance

Activity

Materials





























































Part 1 Introduction









General principles of governance



















3 Elements of

Governance








Links












Governance analysis and the TDA/SAP process





How to?

  1. Present OHT 7 and anticipate to the participants that Part 1 of the Module provides a good understanding of the principles of governance, its elements, the linkages with the TDA process and how the governance analysis should be done.


  1. Present OHT 8 and review the general principles of governance. Stress that the relevance of governance stems from the fact that options for strategic action require decisions and implementation by a wide range of stakeholders. How such stakeholders, both within and outside Government, would respond to each option is conditioned by a complex social and political structure. The study of and the experiences in dealing with the dynamics that exist between legislative frameworks, policies, and decision making process, is the essence of this module.


  1. Present OHT 9 and explain the differences and complementarities between each of the 3 elements of governance.

  1. Present OHT 10 and further explain the links between the 3 elements of governance and the TDA process. Highlight that the governance inputs to the TDA provide a deeper understanding of underlying root causes which are to be considered in the SAP, and that the stakeholder consultation is also a factor in the definition of feasible options which go on to the SAP implementation.


  1. Present OHT 11 and highlight the different ways through which a good governance analysis can contribute a successful TDA/SAP process, whether through an stakeholder analysis as well as institutional and policy/legal analysis.


  1. Close this first part by discussing ‘who’ and ‘how’ a governance analysis is done (OHT 12). Be brief, later in the module you will discuss in detail each of the activities/tasks involved in governance analysis. Refer the participants to pages 23 and 24 of the Participant’s Manual (OHT 13).




OHT 7

(Part 1: General Principles of Governance)







OHT 8

(General Principles of Governance)
















OHT 9

(Elements of Governance)




OHT 10

(Links between the 3 elements of governance and the TDA)










OHT 11

(Importance of governance analysis in the TDA/SAP process)




OHT 12

(How a governance analysis is done?)

OHT 13

Refer to pages 23-24 of Participant’s Manual




m


Self Assessment Test 6.1


  1. Ask participants to undertake the test.


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



Page 9-10

Participant’s Manual



Time:

h

m

PART 2:

Stakeholder Analysis and Consultation


Activities


Materials

















































































Part 2 Introduction












Who is who?















Stakeholder involvement








Key Stakeholder Activities










The Consultation Process
















Stakeholder analysis and power analysis











Public Involvement Plan









Review of the TDA

Endorsement of the SAP


  1. Start Part 2 by anticipating that, before discussing specific activities with stakeholders, you will be discuss the definition of stakeholders, categories of stakeholders and principles of involvement.


  1. Ask the participants their definition of stakeholders. Pick up 2-3 responses, present OHT 15 and discuss the definitions. Briefly discuss the different categories of stakeholders (OHT 16). Refer the participants to examples of stakeholders lists (OHT 17), as well as their role in the TDA/SAP process (OHT.18)



  1. Present OHT 19 and highlight the importance of stakeholders involvement throughout the TDA/SAP process. Ask participants about their experiences within their projects. Discuss their responses.


  1. Continue by discussing the principles of stakeholder involvement. Take the necessary time to review each of the guiding principles of stakeholder involvement.


  1. Within the TDA/SAP process, identify the key activities having direct or indirect involvement with stakeholders (OHT 21 and OHT 22). Discuss the objectives behind the identification and consultation process (OHT 23).




  1. Present OHT 24 and go through the consultation process. Ask the participants how this process has been undertaken in their projects. Discuss their answers.



  1. Remind the participants that stakeholder analysis is a prerequisite for formal project approval. Present the most salient characteristics of the stakeholder analysis (OHT 25 and OHT 26). Open a discussion. Summarize results and recap to make sure that everybody got a clear understanding of the difference between the consultation and the analytical stages. Discuss advantages and disadvantages of using questionnaires and other tools for obtaining data and information. Point out that the module has an entire section on techniques used in governance analysis that they should review.


  1. Present OHT 27 and go through the analytical process. Ask the participants how this process has been undertaken in their projects. Discuss their answers.


  1. Go through the objectives, procedure and components of a public involvement plan (PIP) (OHT 28-29-30). Highlight its importance in the TDA/SAP process and also the fact that this dialogue represents another foundation stone in the stepwise consensus building process. Provide examples of successful plans and how they have been used.


  1. Close this section by focusing on two crucial tasks and involvement of stakeholders, namely, the revision of the TDA and the endorsement of the SAP (OHT 31 and OHT 32).


  1. Refer the participants to the example of stakeholder consultation on page 30 of their manuals.



OHT 14

(Part 2: Stakeholder analysis and consultation)




OHT 15

(Who are stakeholders?)

OHT 16

(Categories of Stakeholders)

OHT 17

(Stakeholders lists)

OHT 18

(Stakeholders should…)




OHT 19

(Stakeholder involvement)






OHT 20

(Principles of involvement)





OHT21

(Key stakeholders activities)

OHT 22

(Stakeholder involvement in the TDA/SAP process)

OHT 23

(Identification and consultation)



OHT 24

(The initial stakeholder consultation process)









OHT 25

(Stakeholder analysis )

OHT 26

(Stakeholder analysis and power analysis)











OHT 27

(Stakeholder analysis & Public Participation)




OHT 28

(PIP)

OHT29

(PIP)

OHT30

(4 Strategic Components of the PIP)






OHT 31

(Stakeholders meeting to review the TDA)

OHT 32

(Nat. endorsement of the SAP)


OHT 33

(Examples of stakeholder consultation)




Exercise 6.1


Stakeholder identification and Consultation


  1. Ask the participants to undertake Exercise 6.2 as a Homework assignment. Discuss results with the Project Manager and colleagues.


Page 36-37

Participant’s Manual


Time:

h

m.

PART 3


Institutional Analysis

Activities


Materials













































































Part 3 Introduction







Who is who in institutional analysis








Levels of analysis











Static Analysis






Dynamic analysis












Institutional map


Assessment of strengths and weaknesses








Institutional Analysis activities









Institutional analysis activities

  1. Start Part 3 by presenting OHT 34 and explain that in this section they will learn ‘why’ institutional analysis has to be made, ‘how’ to do it, and the different activities it involves.


  1. First identify which institutions, organizations and actors are the subject of analysis (OHT 35). Elicit questions/answers from the participants, especially regarding which institutions would be involved in the case of their own projects.


  1. Present OHT 36 and point out to the two different types of analysis that are required. Explain the differences between them, and how each type of analysis provides critical information at different stages of the TDA (this is the most important message to convey at this stage).


  1. Present OHT 37 and explain the formal nature of the static analysis; what you look for and what kind of results you may get.


  1. Present OHT 38 and go through the objectives and focus of the analysis. Link these with the TDA process. Ask the participants questions such as: what is the relationship between the causal chain analysis and the dynamic analysis? What does the latter brings to abetter understanding of the problems and their eventual solutions?


  1. Highlight two critical issues: a) the need to produce an institutional map describing as many key linkages and relationships as possible among the various actors; and b) a basic assessment of the strengths and weaknesses of key institutions (OHT 39). Close this section by indicating the importance of feeding the results of the analysis into the causal chain exercise.


  1. Optional activity: If you wish, you may ask the participants to read Table 2 on page 16. Then, make at least one question for each of the table’s entries, to exemplify specific issues in their own countries. This could be a good mini-activity to prepare them to take the formal exercises.


  1. Present OHT 40 and review all the steps and key institutional analysis activities.

OHT 34

(Part 3: Institutional Analysis)






OHT 35

(Institutional analysis)









OHT 36

(Levels of analysis)








OHT 37

(Static Analysis)






OHT 38

(Dynamic analysis)











OHT 39

(Key issues to evaluate)












Table 2










OHT 40

(Key institutional analysis activities)


Time:

h.

m.

PART 4


Policy/Legal Analysis


Activities


Materials






































Part 4 Introduction













What is it?

Aims?

Purpose?













Static Analysis









Dynamic analysis










Policy/Legal analysis activities
















Mechanisms for national and regional consultation








Governance analysis overview

  1. Start Part 4 by presenting OHT 41 and explain that in this section they will learn the ‘why’, the ‘how to’ and the different activities comprised in a policy/legal analysis. Anticipate that the procedure is somewhat similar to the one followed for institutional analysis, but the content and output provides increasing information to the TDA/SAP process.


  1. Present OHT 42 and explain what a policy/legal analysis consist of, its aims and purposes. Make clear that the participants understood the differences between this stage of analysis and the previous analytical tasks.


  1. Explain that like in the Institutional analysis, there4 are two levels of analysis: static and dynamic. Present OHT 43 and review the most salient characteristics of this type of analysis.


  1. Present examples of basic issues that need to be looked at (OHT 44), and ask the participants to illustrate with their own experiences.


  1. Present OHT 45 and highlight the issues under consideration in this analysis. Go through each of the issues and elaborate. Ask the participants to read the Checklist on Table 3 (page 22) and volunteer some examples. You may do the same regarding Table 4 on page 23. Elicit a discussion.


  1. Present OHT 46 and review all the steps and key policy/legal analysis activities.


  1. Before discussing the mechanisms for intersectoral and regional discussions, make a break by stating that once the technical and procedural tasks have been completed, now is time to get an agreement at both the national and regional levels before the results of the analysis are incorporated in the final report.


  1. Present OHT 47 and explain the importance of intersectoral workshops as a mechanism to attain a better understanding and sensitise all parties involved. . Similarly, point out how the GA workshop plays a fundamental role at the regional level (OHT 48).



  1. Close the module by re-capping on the governance analysis process as a whole. Present OHT 49 and highlight the relationship between each of the 3 elements of governance analysis and how they inter-relate to each other. Re-cap on the key issues to remember (OHT 50).



OHT 41

(Part 4)













OHT 42

Policy/legal analysis)







OHT 43

(Static Analysis)







OHT 44

(Basic issues)






OHT 45

(Dynamic analysis)

Table 3







OHT 46

(Key Policy/Legal Analysis Activities)














OHT 47

(The national dimension: intersectoral workshops)

OHT 48

(The regional dimension: GA workshop)




OHT 49

(Governance analysis overview)

OHT 50

(Key issues to Remember)



Self-Assessment test 6.2


  1. Ask participants to undertake the test.


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



Page 25-27

Participant’s Manual


Exercise 6.2:

Case Studies

(Homework)

  1. Ask participants to read pages 49-51 in their manuals and undertake the test as, HOMEWORK and send the results to their tutor.

  2. Ask them if they need any clarification.



Page 49-51

Participant’s Manual