Project design, preparation and approval

Basel Convention Resource Mobilization Workshop

Nairobi, 3 7 December 2006 Andreas Arlt Secretariat of the Basel Convention

Project Cycle
1. Preparatory phase

Project 3. Preparation of the document development

2. Project design 4. Internal approval 5. Fund raising 6. External approval

7. Implementation
8. Evaluation
Secretariat of the Basel Convention

Preparatory phase
1. Identification of needs 2. Identification of priorities at the
a. b. c. International level Conference of the Parties (COP) Regional level Business Plan of the BCRC in your region National level

3. Development of a Strategic Plan / National Plan for (Sustainable) Development

4. Identification of activities, goals and time frame

Secretariat of the Basel Convention

Awareness raising

Project Identification
Project Identification
based on identified activities, goals and time frames

Environmental Assessment
(technical, social, economic)

Project Development

Secretariat 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?
Secretariat of the Basel Convention

Project design (2)

Project Planning Flow

Objectives

Results

Outputs

Activities

Implementation Flow

Secretariat of the Basel Convention

Project Preparation

Secretariat of the Basel Convention

Project content
1. 2. 3. 4. 5. 6. 7. 8. 9. Cover page Project summary Background (and needs): Might be two chapters! Proposal Objectives Results Outputs Activities Budget Timetable and workplan

Secretariat of the Basel Convention

Project content: Cover

1. 2. 3. 4. 5. 6. 7. 8. UNEP Subprogramme Title: Legislative authority: Geographical scope: Co-operating agencies Duration Project coordinator Total budget

See examples

Secretariat of the Basel Convention

Project content: Project summary

1. 2. 3. Contains a summary of the projects Is comparable to an Abstract of a Scientific Paper Highlights the main
a) b) c) d) e) f) Background information Needs Objectives Activities Results Outputs

Secretariat of the Basel Convention

10

Project content: Background

1. 2. 3. Gives the basis, background, starting point for the project Focuses on information relevant to pointing out the needs and objectives Highlights the gaps of
a) b) c) Information, Data Capacity, etc. International agreements Goals of National Strategic Plans/Development Plans Voluntary agreements/initiatives

4.

Sets the political and policy framework

a) b) c)

5.

Provides a list of needs

Secretariat of the Basel Convention

11

Project content: Proposal (chapter)

1. 2. 3. 4. 5. 6. Needs to be short; Explains in a few sentences the purpose of the project; Describes the chosen methodology; Provides criteria or justification for the countries/region selected; Describes the division of responsibilities amongst the partners; Lists the main activities, e.g. pilot projects, survey, pilot disposal activities, awareness; Is the introduction to the description of the section on objectives, results, outputs; Touches on the expected beneficiaries, expected impacts.
Secretariat of the Basel Convention

7.
8.

12

Project content: Objectives

Objectives are high level aims which the projects 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

Secretariat of the Basel Convention

13

Project content: Results

Results are desired outcomes involving tangible benefits to endusers expressed as a standard value or aspects () 1. 2. 3. 4. 5. 6. 7. Express results as qualitative, quantitative or value-added aspects; Give results a concrete nature in relation to the objectives; Make sure results have a clear cause-and-effect relationship with the objectives; Results should identify the end-users or beneficiaries; State a meaningful and detectable change; Avoid long-term goals; Never formulate results in an open-ended or on-going manner.

Secretariat of the Basel Convention

14

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 projects 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.

Secretariat of the Basel Convention

15

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. 2. Activities should be formulated in a concrete manner. Activities should be selected based on a clear understanding of the problems and an analysis of the opportunities and risks of the situation.

INPUT

Activities

OUTPUT

Secretariat of the Basel Convention

16

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.

Secretariat of the Basel Convention

17

Project Approval Procedure

National Stakeholders

National Focal Point

Approval

National Stakeholders

Commitment on CoFunding, Partnership, etc.

Revision of proposal for approval by Int. Partner

International Partner (UNEP, IE for GEF, etc.)

Revision of proposal for approval by Int. Donor Agency

International Donor (Agency) (UNEP, IE for GEF, etc.)

Secretariat of the Basel Convention

18

Contact
Dr. Andreas Arlt United Nations Environment Programme Secretariat of the Basel Convention (SBC) 15, Chemin des Anmones CH-1219 Chtelaine Genve, Switzerland Tel.: +41 22 917 8364 Fax: +41 22 797 3454 email: Andreas.Arlt@unep.ch

Secretariat of the Basel Convention

19