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TDA/SAP Methodology Training Course Module 2 Section 6

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TDA/SAP Methodology Training Course Module 2 Section 6

  1. 1. IW:LEARN TDA/SAP Training Course Module 2: Development of the TDA
  2. 2. Section 6: Causal Chain Analysis
  3. 3. + Where are we? Defining system boundaries Collection and analysis of data/informat ion Identification & prioritisation of the transboundary problems Determination of the impacts of each priority problem Analysis of the immediate, underlying, and root causes for each problem Development of thematic reports
  4. 4. + In this Section you will learn about….  What is a causal chain analysis  The key components of a causal chain  How to develop a causal chain  Advice from the field
  5. 5. + What is Causal Chain Analysis?  Causal Chain Analysis (CCA) is closely related to systems thinking  Systems thinking focuses on the dynamic and complex whole system interacting as a structured functional unit  CCA approaches are generally linear, examining cause and effect
  6. 6. + What is Causal Chain Analysis? At its most basic, a causal chain is an ordered sequence of events linking the causes of a problem with its effects. Each link in the causal chain is created by repeatedly answering the question ‘Why?’
  7. 7. + For Example IMMEDIATE CAUSE INDIRECT SOCIO- ECONOMIC IMPACT ENVIRONMENTAL IMPACT DIRECT SOCIO- ECONOMIC IMPACT UNDERLYING CAUSEROOT CAUSE
  8. 8. + Strength of Causal Chain Analysis Problems are best solved by attempting to address, correct or eliminate root causes as opposed to merely addressing the immediately obvious symptoms
  9. 9. + Cause: Diffuse sources of nutrients from agriculture Impact: Loss of fish population Dnieper River Basin Transboundary Problem: Eutrophication
  10. 10. + Black Sea Dead Zone Evolution of the NW Shelf ‘Dead Zone’ Decline in the Phyllophora beds on the NW Shelf
  11. 11. +
  12. 12. + Impact: Reduction in Loggerhead Turtle nesting sites Loggerhead Turtle Migration Mediterranean Sea Transboundary Problem: Loss of Habitat Cause: Urbanisation; Tourism
  13. 13. + Indicators of alterations of benthic habitats (Source: FREPLATA, 2005)
  14. 14. + Causal Chain as a component of a Policy Response System Driver Response ROOT CAUSES UNDERLYING CAUSES IMMEDIATE CAUSES IMPACTS POLICY RESPONSE
  15. 15. + Components of a Causal Chain A causal chain is an ordered sequence of events linking the causes of a problem with its effects Immediate or technical causes Underlying causes Root causes
  16. 16. + Immediate Causes… …are usually the direct technical causes of the problem They are predominantly tangible (e.g. enhanced nutrient inputs), and with distinct areas of impact Being technical in nature they are the most straightforward to quantify, prioritise and geographically locate using maps.
  17. 17. + Examples of Immediate Causes Transboundary Problem Examples of Immediate or Technical Causes TDA Pollution Discharge of untreated industrial effluents Diffuse pollution from improper application of fertilizers Point and diffuse sources of effluent from livestock farms Pumping of polluted water from mines Black Sea Lake Chad Dnipro River Basin Orange Sengu River Basin Fisheries Excessive fisheries effort/overfishing Destruction of benthic habitats Damage to nursery/spawning areas Destructive fishing methods Mediterranean Sea Rio de la Plata Black Sea Bay of Bengal LME Changes in Biodiversity Discharge of untreated ballast waters Exotic species introduction (notably Mnemiopsis leidyi) Sediments, pesticides and pollution from land-based activities Black Sea Black Sea Bay of Bengal LME Degradation of Habitats Changes in land use Conversion of mangroves for agriculture, aquaculture (shrimp), and salt production Dnipro River Basin Bay of Bengal LME Changes in hydrological regime Damming for abstraction Orange-Sengu River Basin Introduction of exotic species Transport of fouling organisms attached to ships’ hulls. Rio de la Plata
  18. 18. + Underlying Causes… …..are those that contribute to the immediate causes. They can broadly be defined as: Underlying resource uses and practices Social and economic causes
  19. 19. + Resource uses and practices Land uses (reclamation/drainage operations, deforestation, agriculture) Damaging or unsustainable practices (Intensive livestock production, lack of or outdated water treatment technology, destructive fisheries practices) Uses of water (diversion, storage etc)
  20. 20. + Social and Economic Causes Lack of investment, operation and maintenance Poor awareness or education Governance failures – legislation, regulation, enforcement
  21. 21. + Root Causes Root causes are linked to the underlying social and economic causes and sectoral pressures However, they are often related to fundamental aspects of macro-economy, demography, consumption patterns, environmental values, and access to information and democratic processes
  22. 22. + Root Causes  Many root causes may be beyond the scope of GEF intervention but it is important to document them for two reasons:  Some proposed solutions might be unworkable if the root causes of the problem are overwhelming  Actions taken nearer to the root causes are more likely to have a lasting impact on the problem
  23. 23. +
  24. 24. + Ease of Assessment Immediate or technical causes Underlying causes Root causes Technical in nature: Straightforward to quantify, prioritise and geographically locate using maps Generally more difficult: Information on socio-economic causes will often be at a national and not basin level Most difficult: Information available will be be national and may be difficult to disaggregate Easy Difficult
  25. 25. + Boundaries Between Causes  The 3 categories of causes described above (immediate, underlying, root) are not necessarily discrete from each other  Immediate causes can often be very close to underlying causes, particularly resource uses and practices.  underlying social and economic causes are often very close to the root cause of the problem  The key point to remember is that for the purpose of the TDA, there is likely to be some form of separation of causes to allow for a rigorous analysis, but in reality, causes are often more complicated….
  26. 26. + How to Develop a Causal Chain A causal chain should be developed for each priority transboundary problem The process of undertaking CCA is not prescriptive A number of different approaches to CCA have been developed, some more successfully than others
  27. 27. + Stepwise Process Used by a number of projects, including: The Black Sea Gulf of Mexico LME Kura-Aras River Basin Dnipro River Basin Lake Chad Orange-Sengu River Basin Nubian Aquifer
  28. 28. + Process for Developing Causal Chains Step 1: Identification of the components of the causal chain for each priority transboundary problem Step 2: Further development of the causal chains based on the outputs from Step 1
  29. 29. + Step 1: Identification of the components of the causal chain As with the previous workshops -Identification of Priority Transboundary Problems and Analysis of Impacts - this step can successfully be accomplished through a collaborative workshop involving the TDA Development team
  30. 30. + Step 2: Further development of the causal chains Outputs from the CCA workshop will only provide a starting point for the completed causal chains At the very most, it will produce a comprehensive list of sectors, immediate, underlying and root causes for the priority transboundary problems with information on linkages between different levels
  31. 31. + Step 2: Further development of the causal chains  The purpose of this step is to complete each causal chain and provide quantitative or qualitative data to substantiate the analysis if possible  Two approaches for undertaking this step are: Tables or matrices Flow diagrams
  32. 32. Examples of Causal Chains
  33. 33. Inadequate technology/ poor infrastructur e Pollution by return waters from fish ponds Poor pond siting in river channels/ catchments Lack of planning Growth in industry URBANISATION TRANSPORT FISHERY/ AQUACULTURE Deposition of pollution from transport Failures in operation and maintenance AGRICULTURE Budget/ expenditure for operation and maintenance Failures in operation and maintenance Lack of adequate finance Increased role of mining for export income Lack of incentives Inadequate or lacking water/waste management systems Growth in production of waste Inadequate economic instruments/ tariffs Inadequate implementation of clean technologies Lack of human/ technical capacity Limited capital Investment Ineffective national/regional policies/management plans Deficiencies in implementation of regulations, monitoring and enforcement Deficiencies in legislation Exploitation of new mineral deposits Lack of cultivation margins Lack of adequate finance Inefficient practices Lack of human/ technical capacity Limited capital Investment Ineffective national/regional policies/management plans Deficiencies in implementation of regulations, monitoring and enforcement Lack of incentives (subsidies) Erosion of soils Poorly or untreated sewage waste No sewage collection Lack of adequate finance Limited capital Investment Ineffective national/regional policies/management plans Deficiencies in implementation of regulations, monitoring and enforcement Deficiencies in implementatio n of regulations, monitoring and enforcement Ineffective national/regional policies/manageme nt plans Operational discharge of liquid and gaseous effluents including cooling waters Emissions from storage or disposal of liquid wastes Point sources of pollution Diffuse sources of pollution Emissions from storage or disposal of solid wastes Deterioration of water quality due to intensive algal blooms Changes in redox capacity Changes in structure and functions of aquatic ecosystems 8. EUTROPHICATION Inadequate waste treatment technology Inefficient old technologies and inherently polluting processes Poor waste disposal practices from small businesses Lack of human/technical capacity Sewage pricing Limited ability of users to pay Poorly or untreated return waters Failures in operation and maintenance Lack of incentives Inadequate technology Inadequate tariffs Lack of capacity Intensive livestock production Concentration of agro- industrial facilities Over application/ incorrect use of fertilisers in agriculture Over ploughing Inadequate waste management Power generation Runoff Lack of alternative industrial processes Limited capital Investment in industry Location and concentration of industrial complexes Lack of implementation of sustainable practices Lack of land tenure Inadequate economic sanctions (taxes) Demand for cheap food Deficiencies in institutional capacity Deficiencies in legislation Deficiencies in institutional capacity Deficiencies in legislation Deficiencies in institutional capacity Design and location of waste disposal sites See industry sector Changes in species composition and productivity of native fish Operational discharge of liquid and gaseous effluents including cooling waters Discharges of cooling waters* *Enhances impacts of eutrophication. Cooling waters are not a cause of eutrophication ENERGY Deficiencies in legislation Deficiencies in institutional capacity Lack of storage facilities for liquid and solid wastes Extensive area of shallow water sections in the reservoir chain Construction/ poor design of reservoir chain Socio-economic causesInstitutional/Legal causes Policy Legislation Governance SocialEconomic Dnipro Basin Causal Chain – Ca. 2003
  34. 34. + Dnipro Basin Causal Chains  Highly detailed and complex  Required a great deal of time and expertise to complete  Difficult to analyse and difficult for a decision maker to translate into action
  35. 35. Caspian Sea Causal Chain – Ca. 2001 DAMAGE TO SHORE ZONE INFRASTRUCTURE INSUFFICIENT AREA RESOURCES Narrow coastal zones on Eastern side due to bordering to deserts Narrow coastal zones as marine alluvial strips Natural conditions (geomorphology, climate, flooding) INADEQUATE USE OF COASTAL AREA Non-existent knowledge about water fluctuations Weak economic situation Increase of population Inadequate enforcement of existing regulatory instruments Inadequate legislation Insufficient regional planning (legislation, planning procedures, funding, investments) Non-existent integrated coastal area management Historical development of coastal areas
  36. 36. + Caspian Sea Causal Chains  Very little detail  Perceived lack of understanding of CCA methodology  Lack of logic  Difficult for a decision maker to translate into action
  37. 37. Black Sea Causal Chain – Ca. 2007
  38. 38. + Black Sea Causal Chains  Some linkage and logical process  Could still have more detail  Easier for a decision maker to translate into action  BUT is it the right action? Does it have enough detail?
  39. 39. Kura-Aras River Basin Causal Chain – Ca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
  40. 40. + Kura-Aras River Basin Causal Chains  Good level of detail  Some linkage and logical  Links causes to impacts – a good idea  Easy for a decision maker to translate into action
  41. 41. Lake Chad Causal Chain Ca. 2007
  42. 42. + Lake Chad Causal Chains  Reasonable level of detail  Not much linkage but logical  BUT Could a decision maker translate into action?
  43. 43. + Orange-Senqu River Basin Causal Chain Ca. 2008
  44. 44. + Orange Senqu River Basin Causal Chains  Good level of detail  Some linkage and logical  Links causes to impacts – a good idea  Graphics make it difficult to interpret  So, could a decision maker translate into action?
  45. 45. + Mediterranean Sea Causal Chain Ca. 2005
  46. 46. + Mediterranean Sea Causal Chains  Lack of detail  No linkage – No logical flow  Lack of detail makes it difficult to interpret  So, could a decision maker translate into action?
  47. 47. Bay of Bengal LME Causal Chain – Ca. 2011
  48. 48. + Bay of Bengal LME Causal Chains  Good level of detail  No linkage but very logical  Links causes to impacts – a good idea  Easy for a decision maker to translate into action
  49. 49. Okavango River Basin Causal Chain – Ca. 2011
  50. 50. + Okavango River Basin Causal Chains  Too much detail  No linkage but logical  Links causes to impacts and locations  Confusing for a decision maker to translate into action
  51. 51. + Potential difficulties in developing causal chains CAUSAL CHAIN TYPE ADVANTAGES AND DISADVANTAGES Table or matrix (e.g. Bay of Bengal LME)  Simpler to produce  Conceptually easy for the expert to produce  Difficult to show linkages between causes  Can be conceptually difficult for the reader to understand  Often difficult to identify SAP interventions Flow diagram (e.g. Kura-Aras River Basin)  Show linkages between causes  Work well using the sectoral approach  Conceptually easy for the reader to understand  Difficult to construct  Conceptually difficult for the expert to produce  Time consuming  Often difficult to identify SAP interventions
  52. 52. + Advice from the Field….. Time - Do not underestimate the time needed to carry out CCA Expertise – Ensure that the TDA Development team members working on the CCAs cover all the areas of expertise needed Preparedness – Try to be well prepared prior to the main causal chain workshop. Have the CCA methodology well developed and understood by key members of the TDA Development team. Briefing – The CCA process can be difficult for people to conceptualise, so ensure that the Development team are adequately briefed prior to any workshop
  53. 53. + Group Exercise In groups of five:  Take one of the priority transboundary problems (together with its associated environmental and socio- economic impacts and identify:  The key sectors (e.g. industry, agriculture, fisheries etc) and select one  For that sector, identify:  The immediate causes  The underlying causes  Determine the root causes  Timing: 55 minutes

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