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Project design, preparation and approval
Basel Convention Resource Mobilization Workshop
Nairobi, 3 – 7 December 2006 Andreas Arlt
Secretariat of the Basel Convention
2Secretariat of the Basel Convention
1. Preparatory phase
2. Project design
3. Preparation of the document
4. Internal approval
5. Fund raising
6. External approval
7. Implementation
8. Evaluation
Project Cycle
Project development
3Secretariat of the Basel Convention
Preparatory phase
1. Identification of needs
2. Identification of priorities at thea. International level Conference of the Parties
(COP)
b. Regional level Business Plan of the BCRC in your region
c. National level
3. Development of a Strategic Plan / National Plan for (Sustainable) Development
4. Identification of activities, goals and time frame
Awareness raising
4Secretariat of the Basel Convention
Project Identification
Project Identification
based on identified activities, goals and
time frames
Environmental Assessment
(technical, social, economic)
Project Development
5Secretariat of the Basel Convention
Project design
1. What do you want to achieve with your project (goals, outcomes)?
2. What kind of background information is needed/available to quantify the need (data)?
3. How much time is available and needed to achieve these goals (time frame, project implementation phase)?
4. What activities have to be undertaken to achieve the goals?
5. Which partners/stakeholders are needed or need to be involved?
6. What financial resources are necessary?
6Secretariat of the Basel Convention
Project design (2)
Objectives Results Outputs Activities
Project Planning Flow
Implementation Flow
7Secretariat of the Basel Convention
Project Preparation
8Secretariat of the Basel Convention
Project content
1. Cover page Project summary2. Background (and needs): Might be two chapters!3. Proposal4. Objectives5. Results6. Outputs7. Activities8. Budget9. Timetable and workplan
9Secretariat of the Basel Convention
Project content: Cover
1. UNEP Subprogramme
2. Title:
3. Legislative authority:
4. Geographical scope:
5. Co-operating agencies
6. Duration
7. Project coordinator
8. Total budget
See examples
10Secretariat of the Basel Convention
Project content: Project summary
1. Contains a summary of the projects
2. Is comparable to an Abstract of a Scientific Paper
3. Highlights the main a) Background information
b) Needs
c) Objectives
d) Activities
e) Results
f) Outputs
11Secretariat of the Basel Convention
Project content: Background
1. Gives the basis, background, starting point for the project
2. Focuses on information relevant to pointing out the needs and objectives
3. Highlights the gaps of a) Information,
b) Data
c) Capacity, etc.
4. Sets the political and policy frameworka) International agreements
b) Goals of National Strategic Plans/Development Plans
c) Voluntary agreements/initiatives
5. Provides a list of needs
12Secretariat of the Basel Convention
Project content: Proposal (chapter)1. Needs to be short;
2. Explains in a few sentences the purpose of the project;
3. Describes the chosen methodology;
4. Provides criteria or justification for the countries/region selected;
5. Describes the division of responsibilities amongst the partners;
6. Lists the main activities, e.g. pilot projects, survey, pilot disposal activities, awareness;
7. Is the introduction to the description of the section on objectives, results, outputs;
8. Touches on the expected beneficiaries, expected impacts.
13Secretariat of the Basel Convention
Project content: Objectives
Objectives are high level aims which the project’s results will not necessarily fully satisfy.
• Objectives should identify short, medium and long-term benefits.
• Have a concrete list of what you want to achieve
• Make a clear distinction between the objectives and the results
14Secretariat of the Basel Convention
Project content: Results
Results are desired outcomes involving tangible benefits to end-users expressed as a standard value or aspects (…)
1. Express results as qualitative, quantitative or value-added aspects;
2. Give results a concrete nature in relation to the objectives;
3. Make sure results have a clear cause-and-effect relationship with the objectives;
4. Results should identify the end-users or beneficiaries;
5. State a meaningful and detectable change;
6. Avoid long-term goals;
7. Never formulate results in an open-ended or on-going manner.
15Secretariat of the Basel Convention
Project content: Outputs
Outputs are the lowest level results in the logical intervention chain and the final and concrete products of the activities undertaken.
An output is a specific product delivered by the activities that are needed to accomplish the project’s objectives and results.
1. Outputs should constitute the optimal combination necessary for achieving the results;
2. They should be deliverable, given the project timeframe and resources;
3. They should be described as concretely and precisely as possible, and in quantifiable terms.
16Secretariat of the Basel Convention
Project content: Activities
Activities describe the specific work or tasks to be performed within the project to transform resources into outputs =
Activities illustrate the link between inputs and outputs and produce the outputs.
1. Activities should be formulated in a concrete manner.
2. Activities should be selected based on a clear understanding of the problems and an analysis of the opportunities and risks of the situation.
ActivitiesINPUT OUTPUT
17Secretariat of the Basel Convention
Project Budget and Work Plan
Budget
• Needs to be prepared according to the formats of the donor agency, e.g. according to the UNEP Project Manual
Work plan
• Provides the concrete implementation plan for the project;
• Sets the deadlines to achieve milestones, to finish modules/phases of the projects;
• Assigns to each activity a period and moment within the project implementation phase when the activity is supposed to be carried out.
18Secretariat of the Basel Convention
Project Approval Procedure
National Focal PointNational Stakeholders
National Stakeholders
Approval
International Partner(UNEP, IE for GEF, etc.)
Revision of proposal for approval by Int.
Partner
Commitment on Co-Funding, Partnership, etc.
International Donor (Agency)(UNEP, IE for GEF, etc.)
Revision of proposal for approval by Int. Donor Agency
19Secretariat of the Basel Convention
Dr. Andreas ArltUnited Nations Environment Programme
Secretariat of the Basel Convention (SBC)15, Chemin des Anémones
CH-1219 ChâtelaineGenève, Switzerland
Tel.: +41 22 917 8364Fax: +41 22 797 3454
email: [email protected]
Contact