Project design, preparation and approval Basel Convention Resource Mobilization Workshop

1. Project design, preparation and approval Basel Convention Resource Mobilization Workshop Nairobi, 3 – 7 December 2006 Andreas ArltSecretariat of the Basel Convention

2. Project Cycle Preparatory phase Project design Preparation of the document Internal approval Fund raising External approval Implementation Evaluation Project development

3. Preparatory phase • Identification of needs • Identification of priorities at the • International level  Conference of the Parties (COP) • Regional level  Business Plan of the BCRC in your region • National level • Development of a Strategic Plan / National Plan for (Sustainable) Development • Identification of activities, goals and time frame Awareness raising

4. Project Identification Project Identificationbased on identified activities, goals and time frames Environmental Assessment(technical, social, economic) Project Development

5. Project design • What do you want to achieve with your project (goals, outcomes)? • What kind of background information is needed/available to quantify the need (data)? • How much time is available and needed to achieve these goals (time frame, project implementation phase)? • What activities have to be undertaken to achieve the goals? • Which partners/stakeholders are needed or need to be involved? • What financial resources are necessary?

6. Project design (2) Project Planning Flow Objectives Results Outputs Activities Implementation Flow

7. Project Preparation

8. Project content • Cover page Project summary • Background (and needs): Might be two chapters! • Proposal • Objectives • Results • Outputs • Activities • Budget • Timetable and workplan

9. Project content: Cover • UNEP Subprogramme • Title: • Legislative authority: • Geographical scope: • Co-operating agencies • Duration • Project coordinator • Total budget  See examples

10. Project content: Project summary • Contains a summary of the projects • Is comparable to an Abstract of a Scientific Paper • Highlights the main • Background information • Needs • Objectives • Activities • Results • Outputs

11. Project content: Background • Gives the basis, background, starting point for the project • Focuses on information relevant to pointing out the needs and objectives • Highlights the gaps of • Information, • Data • Capacity, etc. • Sets the political and policy framework • International agreements • Goals of National Strategic Plans/Development Plans • Voluntary agreements/initiatives • Provides a list of needs

12. Project content: Proposal (chapter) • 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.

13. 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

14. Project content: Results Results are desired outcomes involving tangible benefits to end-users expressed as a standard value or aspects (…) • 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.

15. 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. • Outputs should constitute the optimal combination necessary for achieving the results; • They should be deliverable, given the project timeframe and resources; • They should be described as concretely and precisely as possible, and in quantifiable terms.

16. 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. • 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. Activities INPUT OUTPUT

17. 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.

18. Project Approval Procedure National Focal Point National Stakeholders National Stakeholders Commitment on Co-Funding, Partnership, etc. Approval 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.)

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