NEI GHBOURHOOD AND ENVI RONMENT
Bui l di ng t heCapaci t yofNGOs i nt heSout h Caucasus
Tr ai ni ng Modul eIII. Desi gn and Management ofEnvi r onment alPr oj ect s
Cover pictures (left to right): 1. Amazonas, Brazil. Alpha da Silva Rodrigues (volunteer on the Caravana Mergulhao, a boat which takes environmental education workshops to remote fishing communities) and her colleagues show Rebeca Kritsch, from WWF-Brazil, a map marking the main breeding and managed lakes around Silves. Community Ecotourism and Floodplain Resources Management in Silves, part of one of the WWF Freshwater projects sponsored by HSBC. Amazonas State, Brazil. © WWF-Canon / Edward PARKER 2. Participants in the 2006 Ithaca School on Sustainable Tourism (WWF Mediterranean Programme Across The Waters) that took place in Barcelona, Spain. © WWF-Across The Waters 3. Participants in the 2005 Noah Climate Change School (WWF Mediterranean Programme Across The Waters) that took place in Sitges, Barcelona, Spain. © WWF-Across The Waters
Design and Management of Environmental Projects
FOREWORD The European Neighbourhood Policy (ENP), launched by the European Commission in March 2003, is a new approach to EU relations with non-EU countries near the EU such as Armenia and Azerbaijan. The ENP has developed very rapidly, giving countries the opportunity to take a “stake in the internal market” and participate in relevant EU programmes. The ENP regions enclose important natural areas, three of which (Caucasus, Mediterranean, and Danube-Carpathian) are featured on WWF’s Global 200 list of the most important ecoregions on Earth. Many of the last remaining natural and semi-natural ecological systems in Europe are found in countries near the EU and are not only a source of biodiversity but also of livelihoods and of other socio-economic benefits that should be maintained for future generations. Environmental NGOs from these countries need to play an active role in environmental protection. Their effectiveness depends on NGOs’ knowledge of the ENP and their capacity to act. In this framework, the WWF Caucasus Programme, the WWF European Policy Office, and the WWF Mediterranean Programme have designed a project to strengthen the capacity of NGOs to enable them to actively participate in the ongoing ENP process. The project aims to develop three training modules: the first dealing with the ENP process has been published at the end of 2006; the second, “Introduction to Effective Communication, Campaigning and Media” in March 2007; and the third module focusing on the ENP financial instruments, project design, and fundraising is the one you have in your hands. The three modules will serve as a base for the organization of training workshops in Armenia as well as in Azerbaijan and other ENP countries.
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Design and Management of Environmental Projects
INDEX 1. PROJECT RATIONALE .................................................................................... 1 2. THE TRAINING MODULES – AN OUTLINE .......................................................... 4 3. METHODOLOGY ............................................................................................ 6 4. ORGANIZING GOOD TRAINING ....................................................................... 7 4.1 Twenty basic steps for successfully organizing a training workshop .............................. 7 4.2 The learning group ............................................................................................... 9 4.3 Logistical arrangements ........................................................................................ 9 4.4 Lecturers and other resource persons .................................................................... 10 4.5 Evaluation and follow-up ..................................................................................... 10 4.6 Standard questionnaire to assess specific training needs .......................................... 11 4.7 Training registration form .................................................................................... 12 4.8 Training budget template .................................................................................... 13
5. DESIGN AND MANAGEMENT OF ENVIRONMENTAL PROJECTS ............................ 14 5.1 Introduction to environmental projects .................................................................. 17 5.2 Defining initial team, scope, and vision .................................................................. 18 5.3 Defining targets, context, and stakeholders ........................................................... 20 5.4 Working groups ................................................................................................. 22 5.5 Working-group feedback ..................................................................................... 23 5.6 Designing an action plan and monitoring ............................................................... 23 5.7 Designing an operational plan .............................................................................. 26 5.8 Work plans and budgets ...................................................................................... 27 5.9 Fundraising, capacity building, and partnerships ..................................................... 28 5.10 Working groups ................................................................................................ 29 5.11 Working-group feedback.................................................................................... 31 5.12 Analyse data, project results, and assumptions ..................................................... 32 5.13 Operational functions, adapt plans and budgets .................................................... 33 5.14 Learning lessons, feedback, evaluations, and adaptive management ........................ 35 5.15 Working groups ................................................................................................ 36 5.16 Working-group feedback.................................................................................... 38 5.17 The programming process and role of different stakeholders ................................... 38 5.18 ENPI funding opportunities ................................................................................ 41 5. 19 EU procurement rules and the system of calls for proposals ................................... 45 5.20 Tips when preparing a proposal for EU funding ..................................................... 46 5.21 Round table with EU delegation, national coordinator ............................................. 48 5.22 Wrap-up and evaluation .................................................................................... 49
6. TRAINING PROGRAMME ............................................................................... 50 6.1 Training programme overview .............................................................................. 59 6.2 Guidelines for lecturers ....................................................................................... 60 iv
Design and Management of Environmental Projects
6.3 Exercises and games to improve group dynamics .................................................... 61 6.4 List of experts ................................................................................................... 68
7. EVALUATION FORM AND FOLLOW-UP ............................................................ 69 8. BACKGROUND DOCUMENTS ......................................................................... 71 9. LINKS ....................................................................................................... 73 10. USEFUL CONTACT DETAILS ........................................................................ 74 11. GLOSSARY ............................................................................................... 75 12. ANNEX 1 - Examples ................................................................................. 79 13. ANNEX 2 – Templates to be used during the working sessions ......................... 87
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LIST OF ACRONYMS
AAP
Annual Action Programme
AP
Action Plan
ATW
Across the Waters
CBC
Cross-Border Cooperation
CSP
Country Strategy Paper
DCI
Development Cooperation Instrument
EC
European Community
ECD
European Commission Delegation
EDF
European Development Fund
EIB
European Investment Bank
EP
European Parliament
ENP
European Neighbourhood Policy
ENPI
European Neighbourhood and Partnership Instrument
ENRTP
Thematic Programme on Environment and Sustainable Management of Natural Resources
GEEREF
Global Energy Efficiency and Renewable Energy Fund
IO
International Organization
IPA
Instrument for Pre-Accession
JMA
Joint Managing Authority
JOP
Joint Operational Programme
JTS
Joint Technical Secretariat
NC
Neighbouring Country
NCU
National Coordinating Unit
NIP
National Indicative Programme
NSA
Non-State Actors
RIP
Regional Indicative Programme
RSP
Regional Strategy Paper
SI
Stability Instrument
WWF EPO
WWF European Policy Office
WWF CauPO
WWF Caucasus Programme Office
WWF MedPO
WWF Mediterranean Programme Office
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Design and Management of Environmental Projects
1. PROJECT RATIONALE
European Neighbourhood Policy and civil-society involvement The European Neighbourhood Policy (ENP) has developed rapidly since the process was launched by the European Commission (EC) in March 2003, with several public communications, an ENP strategy, seven Action Plans (AP) adopted in 2004 and more recently (late 2006, early 2007), the adoption of four new AP, a communication on strengthening the European Neighbourhood Policy and assessment of the first seven AP. Although the Commission strategy paper refers to the importance of sustainable development, WWF and its partners are concerned that ENP’s objectives do not give sufficient priority to the promotion of sustainable development in the EU’s neighbours. Despite the EU’s long-standing commitment to civil-society consultation, the preparations of the strategy paper and the negotiations for the first Country Action Plans (CAP) were carried out without civil-society participation. Steps have not been taken to ensure that civil society has free access to information and participation. Although sustainable management of natural resources, environmental governance, and the importance of civil-society involvement are mentioned in the AP, there are no clear mechanisms for implementation. In all the neighbourhood regions, the lack of environmental awareness within civil society (especially on the immediate challenges and opportunities of ENP) and the low level of awareness and professionalism of decision-makers are major problems. This includes a lack of understanding of the importance of environmental protection and obligations under various treaties, as well as the general requirements of EU policies and legislation. In view of all this, improved management of natural resources and cooperative relationships amongst neighbouring countries where ecological systems straddle borders will be crucial. However, this will not be achieved without strong civil-society organizations which open up the debate and monitor legislation, regulations, and action plans. Therefore, the proposed project aims to strengthen the policy and communications capacity of a group of NGOs to enable them to participate actively in the ongoing ENP process.
Training for civil society in Armenia and Azerbaijan The project consists of two main building blocks: the development of three training modules for NGOs and the organization of training in Armenia and Azerbaijan. The focus will be on developing the capacity of selected NGOs. Capacity building is therefore defined as: “Actions taken to increase the knowledge, skills, and motivation of a target group, to help deal with a specific situation or to develop, implement, and monitor a specific action.” The project aims to build the capacities of individual actors to work with others, and bring about the structural and social changes necessary for sustainable development. A key element is to link each training action to field, policy, and advocacy work, and to apply knowledge and skills through concrete experience. Our approach to 1
Design and Management of Environmental Projects
capacity building is: responsive by being oriented towards concrete local needs; contextual by taking into account local knowledge and regional setting; flexible by adapting to the requirements of partners and beneficiaries; and replicable by empowering partners and beneficiaries. The methodology provides a combination of “hands-on” experience where the learning process is based on real-life situations with work on knowledge and skill. The planned capacity-building process aims to promote policy analysis and deduction, as well as generate new insights, improved practice, and a sense of shared commitment that maintains motivation. The planned training activities have four specific objectives: •
To increase the knowledge of NGOs in Armenia and Azerbaijan on ENP and the European policy process
•
To strengthen NGO capacity to raise public awareness on policy issues
•
To strengthen national and regional policy networks
•
To strengthen NGO capacity to design, manage, and implement environmental projects.
Three project partners WWF Caucasus Programme (WWF CauPO) WWF started its mission in the Caucasus in the early 1990s and in Georgia in 1992. The first initiatives of the new WWF Georgia office involved a protected-areas network and an environmental education system. In 2002, WWF Georgia widened its activity to the entire Caucasus ecoregion and became the WWF Caucasus Programme Office. By working throughout the Caucasus region for more than ten years, WWF CauPO has acquired credibility through a strong field presence in most countries, and developed strategic alliances with key stakeholders. Current WWF Caucasus activities include the promotion of cross-border cooperation and protected areas, as well as the conservation and sustainable use of forest and freshwater habitats, the protection of endangered species, the improvement of legislation, and the strengthening of civil-society organizations. WWF Mediterranean Programme (WWF MedPO) In the early 1990s, WWF set up a Mediterranean Programme with a mission to promote the conservation of biological diversity and the sustainable use of natural resources in the countries of the Mediterranean basin. From the start, WWF MedPO was particularly concerned with helping to build the capacity of Mediterranean conservation activists, with a strong focus on grassroots environmental groups in the south and east of the region. To this end, WWF initiated the capacitybuilding programme known as Across the Waters (ATW) in 1994. ATW is one of the best known capacity-building programmes in the entire WWF network and has trained hundreds of NGO members over the past 11 years. The ATW capacity-building team will lead the development of the three training modules.
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Design and Management of Environmental Projects
WWF European Policy Office (WWF EPO) Established in 1989, WWF’s EPO works on toxins, fisheries, freshwater, marine issues, energy and climate change, regional policy, external development, trade, and investment. It has established long-lasting relations with European institutions and is considered to be a key player in policy debates, including those on the sustainable dimension of external EU policies – specifically on the “greening of the ENP”. The EPO will be providing contributions to ENP and the funding parts of the training modules and workshops.
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2. THE TRAINING MODULES – AN OUTLINE
The training programme is a dynamic process in which three modules are linked. It is strongly recommended that NGOs participate in all three. This does not necessarily mean that the same person always participates, but that the most interested members of the NGO participate. For example, in training on effective communications strategies, it would be beneficial to have NGO participants who are involved in communications work.
M1: European Neighbourhood Policy – opportunities and challenges for civil society The first module will prepare the ground for the participation of NGOs in the learning process and, at the same time, offer opportunities to get involved right at the start of the ENP process. As a first step, NGOs will be introduced to ENP and its background. The module should help in understanding the historical background, the main objectives, and ENP’s impact on different environmental policy fields. The module will also highlight the important role which civil-society organizations can play to make ENP more environmentally friendly. If possible, the first session should produce recommendations from NGO representatives concerning the ENP process in their country. This document will then be delivered to the representatives of the European Commission in the country and/or groups in the European Parliament.
M2: Effective communication, campaigning, and media The second module will focus much more on the skill level; participants will learn how to develop an effective media strategy and acquire the skills to design a successful campaign or similar events. The module is based on the assumption that the media is essential to NGOs trying to communicate with different sectors of society and advocate for concrete change. The module will deal with communications basics, such as the selection of target groups, the framing of clear messages, and the identification of communications tools for different messages and target groups. The module will use examples of specific NGO campaigns and lessons learned, to relate the training contents to real-life situations. During the training, participants will produce a first draft of a communications tool, such as a campaign outline, which they will then use for concrete work on ENP.
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Design and Management of Environmental Projects
M3: Design and management of environmental projects In the ENP framework, new funding opportunities will also emerge. NGOs should be prepared to utilize them. The third and final module will deal with the design and management of, and fundraising for, environmental projects. The participants will learn the basics of project-cycle management and how to develop projects on conservation and sustainable natural-resource management. The training will present funding opportunities and related processes. The plan is to involve EU representatives to facilitate a first exchange of views between decision-makers and NGOs. To continue the learning process, the training will also present existing support tools for the preparation of environmental projects. In small working groups the participants will produce project concepts which they can finalize with the support of WWF afterwards.
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Design and Management of Environmental Projects
3. METHODOLOGY
The methodology consists of a combination of “hands-on” experience in which learning is based on real-life situations and specific work on knowledge and skill. The learning process aims to promote policy analysis and deduction, as well as generating new insights, improved practices, and a sense of shared commitment that maintains motivation. The training is participatory and interactive, to allow participants to share experience and knowledge, and seek effective solutions to problems. According to WWF’s educational vision, exchanging conservation knowledge has a practical and ethical purpose. The courses, which will last three full days, gather a maximum of 12 participants from selected NGOs in Armenia and Azerbaijan. All the courses combine lectures and group work. Confronted with real-life situations, participants analyse and discuss a range of solutions. At the end of each course, an evaluation is held and contents and modus operandi adapted.
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Design and Management of Environmental Projects
4. ORGANIZING GOOD TRAINING
This chapter summarizes the main points for successfully organizing the planned training sessions. It is important to bear in mind that there are several types of training; each depends on local conditions, which in turn require adaptive management and creativity.
4.1 Twenty basic steps for successfully organizing a training workshop Step
Task
Step 1
Definition of training objectives.
Step 2
Definition of target group.
Step 3 Step 4
Preparation of draft budget based on number of participants (12), lectures and days (3). Set possible dates for the training.
Step 5
Select target NGOs.
Step 6
Prepare questionnaire to assess specific training needs.
Step 7
Contact NGOs: send questionnaire to the selected NGOs along with a cover letter explaining training objectives, and a registration form. Important: clear deadlines! Start programme preparation.
Step 8 Step 9 Step 10
Step 11 Step 12 Step 13 Step 14 Step 15 Step 16
√
Find adequate accommodation and meeting facilities. Make sure that the meeting facilities allow for plenary and group work. Contact lecturers and prepare for each of them a clear outline what you expect for each session. Contact a professional facilitator if you think you will need it. Contact a translator if you think you may need one. Prepare a final list of participants based on received registration forms. Adapt a first programme draft to specific training needs highlighted in the questionnaires. Prepare final programme including the lectures. Prepare background material for participants. If possible part of it should be send to them before the training. Help the participants with travel arrangements if needed.
Step 17
Prepare all the necessary equipment for training: PC, camera, flip chart, poster, stationery, DVD, Videos, TV, translation equipment, etc. Make sure that coffee breaks, lunch, and dinners are arranged smoothly.
Step 18
Prepare evaluation forms.
Step 19
Finally: enjoy the training together with the participants.
Step 20
Evaluation and follow-up.
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Design and Management of Environmental Projects
Twenty basic steps for successfully organizing a training workshop 1. TRAINING OBJECTIVES
3. Budget Draft
2. Target Group
5. Select Target NGOs
8. Programme Draft Preparation
9. Find Accommodation, Meeting facilities
10. Contact: Lecturers, Facilitator, Translator
6. Prepare Questionnaires
7. Contact NGOs: Questionnaire, Objectives, Registration Form
4. Fix Possible Dates
12. Adapt Programme Draft
13. Prepare Final Programme
15. Help Participants With Travel Arrangements
14. Prepare Background Material
16. Prepare Equipment
18. Prepare Evaluation Forms
17. Arrange Lunch, Dinner, Coffee Breaks
11. Final List Of Participants
19. Enjoy The Training!!
20. Follow-up
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Design and Management of Environmental Projects
4.2 The learning group The project targets NGOs already active in ENP or about to be so. The participants should be: •
Involved in ENP
•
Permanent staff
•
Motivated
•
Able to read English.
The total number of participants should be between 12 and 15. All participants should have filled in the registration form and the assessment questionnaire. All participants should receive the invitation well in advance, even if the final agenda is sent later. Make sure they know what is expected of them and define the objectives of the training.
4.3 Logistical arrangements Do not underestimate the importance of organization! To ensure a smooth learning process, participants should be able to focus their energy on the training itself and not have to waste time on logistics. •
Board and lodging: look for a comfortable hotel near the workshop venue. If participants have to share rooms make sure that they know this before they arrive. Check the menu and offer options for participants with special dietary needs.
•
Travel: send all participants clear directions on how to find the hotel.
•
Meeting-room facilities: the venue should ideally be near the hotel. The meeting rooms should be big enough to host all participants comfortably. Make sure there are side rooms for group work.
•
Prepare: PC, slide projector, video player, television, overhead projector, flip chart, paper, and anything else you might need.
•
Translation: if you need translation, make sure everything is installed and tested before the training starts. Make sure the translation team knows how to use the equipment.
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Design and Management of Environmental Projects
4.4 Lecturers and other resource persons •
Try to use lecturers familiar with the local context.
•
Define what you expect from them in the sessions, as well as the length of the presentation and time for questions and discussion. Ask them to send you an outline of the presentation before the training as well as their PowerPoint presentation. It is important lecturers have enough information on participants to be able to adapt their presentations.
•
Make sure lecturers have information about the course and the venue.
•
Set fees by local standards and prepare contracts if needed.
•
Translators are the key to success. Often they stay for the whole session and they should be integrated into the workshop organization team. Try to give them as much background information as possible, including the PowerPoint presentations.
4.5 Evaluation and follow-up Evaluation is vital and will help organizers revise the programme and their approaches. However, we should make the distinction between two different types: workshop evaluation and evaluation of impact measured by changed behaviour. Programme evaluation At the end of training, each participant should fill in the evaluation sheet with questions about both organization and content (see example on page 69). The written evaluation should be combined with discussion by participants. The results should help organizers improve their training skills and introduce changes to future sessions. This point is very important, for two additional workshops are foreseen in the project. Apart from the evaluation, assessing participants’ progress on a daily basis is highly recommended. A wrap-up session at the end of each day helps detect problems and adapt the programme to the needs of participants. Follow-up and impact evaluation In the end, what really matters is long-term learning. Do the participants apply new skills and knowledge in their jobs? Are the selected NGOs becoming active in ENP or in other policy issues? The project aims to strengthen the capacity of the participants to work on the greening of the ENP by offering training, but at the same time involving them in concrete advocacy actions afterwards.
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Design and Management of Environmental Projects
4.6 Standard questionnaire to assess specific training needs
Project-cycle management training questionnaire Date: Place: Contact details Mr
Mrs
Ms
Organization:_______________________________
Family name: ___________________
First name: _________________________
Job title: _______________________
E-mail: ____________________________
Direct phone line: _______________ Direct fax line: ____________________________
1. Did you ever participate in a workshop/seminar dealing with project-cycle management?
Yes
No
Please give details:
2. Please describe your responsibilities in your organization – do you participate in any projectcycle management work? Please explain.
3. Why do you think it is important for your NGO to know more about project-cycle management?
4. Which project-cycle management tools do you use?
5. Do you want to propose any specific contents or issue for the planned training workshop?
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Design and Management of Environmental Projects
4.7 Training registration form
Project-cycle management training registration form Date: Place:
Contact details Organization:_____________________________ Mr
Mrs
Ms
Family name: __________________________
First name: ___________________
Job title: ______________________________
E-mail: ______________________
Direct phone line: _______________________
Direct fax line: ________________
I would like to attend the whole workshop from ……. to …….. Yes
No
If not please specify the dates: __________________________
Travel Plans Date of arrival_______________ Time: __________ By: Car/Train/Flight ___________ Date of return_______________ Time: __________ By: Car/Train/Flight ___________ Visa I need an invitation letter to obtain a visa
Yes
No
From the (country) embassy in (city): ___________________ Fax No: _______________ Passport number: ___________________ Date of issue: ____________________________ Date of expiry:_____________________
Nationality: __________________________ Place of issue: _______________________
Accommodation: Name of the hotel and address Check-in date: __________________ Check-out date: _________________ 1
I agree to share a room with another participant
Comments, special requirements (e.g. diet): _____________________________
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Design and Management of Environmental Projects
4.8 Training budget template
Ref.
ITEM
Budget
1 1.1 1.2 1.3 1.4 1.6
Honoraries / Personal Training supervision: x days x euro Training coordination: x days x euro External trainers: days x euro Translation fees: days x euro Administration, external accountant: hours x euro Subtotal 1
2 2.1 2.2 2.3 2.4
Rental of facilities and insurance Meeting room Translation cabin (days x euro) Translation cabin transport Health insurance (participants x days) Subtotal 2
3 3.1 3.2 3.3 3.4 3.5
Travel costs Travel costs participants: participants x euro Travel cost lecturers: lecturers x euro Travel costs translator: no. translators x euro Local transport: participants x euro public transport Local transport: no. lecturers + no. translators x euro Subtotal 3
4 4.1 4.2 4.3
Lodging External trainers: persons x days x euro Participants: participants x days x euro Translator: day x euro Subtotal 4
5 5.1 5.2 5.3
Catering External trainers: persons x days x euro Participants: participants x days x euro Translator: days x euro Subtotal 5
6
Administration costs Subtotal 6
7
Printing and office supplies
7.1 7.2 7.3 7.4
Documentation: no. pax x euro Certificates: no. x euro Office supplies: paper, markers, pens, etc. Name holders and name tags Subtotal 7 Other
8
Subtotal 8 GRAND TOTAL
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Actuals
Balance
Design and Management of Environmental Projects
5. DESIGN AND MANAGEMENT OF ENVIRONMENTAL PROJECTS
Environmental organizations often have to face the question, “How effective are we at achieving our conservation goals?” One of the most important tools used to design and manage environmental projects is called “Project-Cycle Management” (PCM), which can help organizations answer this question, learn about which actions work best and adapt to become more effective. This section suggests a model for organizing a three-day training workshop on PCM, and it includes some ideas for the workshop. The fourth day will be dedicated to financial instruments. The training model presented here aims at raising basic understanding of PCM and building the skills of participants in this subject. The background documents and training resources that are available in the CD will be a useful resource for trainers leading the workshop. There are some basic things that you the organizer will have to take into account: •
The section has been based on the WWF Standards of Conservation Project and Programme Management,1 which follows a cycle of five steps:
•
You will need to appoint a facilitator who has some experience in PCM.
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Design and Management of Environmental Projects
•
The training sessions are organized into theoretical sessions, then working sessions in which the participants implement the concepts they have learned in small groups.
•
You will need stories – examples of real projects or scenarios to be used as exercises during the working sessions.
•
It is important not only to target participants working in conservation but also those working in other areas like finance, communication or administration.
•
To help build the capacity of participants, they should have an opportunity to apply their new skills to a real situation soon after the training; the working sessions during training will not be sufficient for this.
One important thing to highlight to participants is that no two projects are the same, so PCM will have to be tailored to the specific needs of each project. This handbook and the training workshop proposed here are not a procedural manual; rather they present one possible approach to PCM and provide tools to help implement it more effectively. Each of the following sections in this handbook – 5.1, 5.2, etc. – represents one training session.
1
All figures, tables, and examples used in this chapter are from the WWF Standards of Conservation Project and Programme Management, unless otherwise stated.
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Design and Management of Environmental Projects
Overview: training workshop on project cycle management
DESIGN AND MANAGEMENT OF ENVIRONMENTAL PROJECTS
Day 1: The basics, definitions
Day 2: Design and implementation
Day 3: Analysis, lessons learned,
Day 4: Financial instruments
best practice Session 1
Introduction to
Session 6
environmental projects
Design action plan and
Session 12
monitoring
and project-cycle
Analyse data, project
Session 17
The programming process
results, and
and the role of
assumptions
stakeholders
management Session 2
Define initial team,
Session 7
Design operational plan
Session 13
scope, and vision
Operational functions,
Session 18
adapting plans and
ENPI funding opportunities
budgets Session 3
Define targets, context,
Session 8
Work plans and budgets
Session 14
and stakeholders
Learning lessons,
Session 19
EU procurement rules and
feedback, evaluations,
the system of calls for
and adaptive
proposals
management Session 4
Working groups
Session 9
Fundraising,
Session 15
Working groups
Session 20
capacity building, and
Tips when preparing a proposal for EU funding
partnerships Session 5
Working-group feedback
Session 10
Working groups
Session 16
Working-group
Session 21
Round table
Session 22
Evaluation and discussion
feedback Session 11
Working-group feedback
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Design and Management of Environmental Projects
5.1 Introduction to environmental projects
v Plenary discussion. FACILITATOR PCM standards are meant to help conservation projects describe their
Ask the question: “What are the goals of environmental projects?”
long-term vision and key assumptions,
Discuss the answers
develop effective activities, measure their success, and then to adapt, share, and learn over time – to practice adaptive management. Ultimately, PCM should be a set of best practices that conservation organizations can use to make their work more effective and efficient. Although the standards (and the training sessions) are presented as a
FACILITATOR Flip-chart activity: “Why do projects fail?” Compile a list of reasons why a project is unsuccessful. Many answer are possible: •
Unclear strategic framework
•
Poor project planning and preparation
•
Poor analysis of the situation
•
Projects not relevant to beneficiaries
•
Inadequate attention to risks and sustainability
•
Lessons from past experience not taken into account.2
linear series of steps or stages, the entire process is rarely applied in a linear fashion from start to finish. Instead it is typically only an approximation of the more complex series of back-and-forth movements that a project goes through. Before focusing on the basic steps of PCM, you have to be aware of some assumptions that in general are always present: •
Some priority-setting has already taken place: these standards do not define where you and your organization will work or what you want to conserve. Instead, they outline how you should go about designing, implementing, and evaluating your project activities once it is clear where – or on what issue – you wish to work. Learning achieved during the application of these standards can be fed back into future priority-setting exercises.
•
These standards are useful to both new and existing projects: most projects that will benefit from the application of these standards are already in operation. You can use these standards to help identify gaps that need to be addressed to improve your project.
2
Project Cycle Management Training Handbook. EUROPEAN COMMISSION, SCR - Common Service for External Relations. Resources, relations with the other institutions, evaluation, and information.
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Design and Management of Environmental Projects
•
These standards represent the ideal: while they can be used as a goal to attain by any project manager, it is important to acknowledge that it may not be feasible – for a variety of reasons – to address each and every component of the standards.
•
These standards are meant to be used iteratively: project teams that try to achieve perfection are likely to get stuck in “planning paralysis”. Instead, the idea is to go quickly and efficiently through the steps, develop draft outputs, and then refine your work over time as you go through successive iterations of the cycle.
•
Each project is different in a potentially significant way.
•
The standards will change over time.
•
The standards are not site-specific.
•
The standards must be tailored for each project.
STEP1. DEFINITIONS This critical first step involves understanding the situation in which your project will take place and clearly defining the problem you are trying to solve. You will specify the basic parameters for your project in preparation for the design work that will come in the next step. 5.2 Defining initial team, scope, and vision
v Plenary discussion. The initial team of people who will be involved in designing and implementing any conservation project are one of the most important resources. One of the key principles of adaptive management is that the people who will ultimately be responsible for implementing a project must also be involved in designing and monitoring it. The goal of this stage is to outline the team roles and responsibilities (including defining a leader and perhaps an advisor), and think about how will the team work together and make decisions.
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Design and Management of Environmental Projects
The following steps will help you define your team composition: 1. Appoint a leader and the initial team and sketch out the project. The group of people who are charged with
FACILITATOR Facilitator asks the question “What makes a good team?” Effective teams: • Clear objectives
initiating the project should be able quickly
• Good decision-making
(in an hour or two) to come up with a
• Clear roles, responsibilities, and leadership
rough sketch of the project (scope,
• Leadership roles are shared
targets, key threats, strategies,
• Trust, cooperation, support, and constructive conflict
stakeholders) that will give you some idea of what skills and which organizations you
• Individual and mutual accountability for performance results.
might need to involve in the process.
Ineffective teams:
2. Select project team members. After
• Falling performance levels
the initial analysis, think about who would be good to have on your core project team, who might be good as an advisor, and who you should avoid having directly involved in your project. Ideally, you want to have a mix of different knowledge,
• Low levels of motivation • Poor communication • Poor or slow decision-making • Confusion about responsibilities • Territorial conflicts.
skills, and experience. 3. Define roles and team operations. Draw up rough terms of reference for each person, and if several organizations are involved develop a formal memorandum of understanding among partners. It is also often helpful to decide how your team will operate. You can write a team charter that outlines how the team will function (see page 79 for an example). A project’s scope and vision define the broad parameters of the project and provide the foundation for all subsequent steps in the cycle. The scope defines the broad geographic or thematic focus of a project and sets rough boundaries for what the project will attempt to do. Efforts to conserve or effectively manage ecoregions, priority areas, or protected areas typically have a geographic scope or project area. Efforts to address threats, enabling conditions, or species have a thematic scope.
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Design and Management of Environmental Projects
A project’s vision is the desired state or ultimate condition that the project is working to achieve. It is typically
FACILITATOR Criteria for a good vision statement:
expressed in a vision statement, a clear and brief summary of what the project
•
Relatively general − broadly defined to encompass all project activities
•
Visionary − inspirational in outlining the desired change in the state of the targets toward which the project is working
•
Brief − simple and succinct so that that all project participants can remember it.
team members and their partners would like to achieve. Defining a vision enables the core project team members to discuss and agree on what the broad purpose of their project will be. This statement becomes the common starting point for discussion about more specific activities and outcomes (see page 79 for examples of vision statements)
Class activity: ask the participants to quickly form small groups of three or four people, and present each group with five written vision-statements. The selection should include some good and bad statements (according to the criteria outlined above). Allow the groups to discuss which are the best and why for 10−15 minutes. Finally, each group will explain their conclusions to the rest of the participants.
5.3 Defining targets, context, and stakeholders
v
Plenary discussion.
It is usually helpful to break this down into targets or specific elements that you can use to focus your strategic development and selection of indicators of success. Biodiversity target:3 the biodiversity situation you intend to influence through your project activities. The impact of your project can be measured at the biodiversity-target level. A biodiversity target is a description of the species, habitat, or ecological function you wish to conserve – it does not reflect what you want to do or how you will do it. Targets can be small and limited or large and diffuse.
3 Open Standards for the Practice of Conservation, Version 1.0 (2004), drafted by the Conservation Measures Partnership.
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Design and Management of Environmental Projects
Figure 1. Generic project model showing scope, vision, and targets
One important principle that is often overlooked in environmental projects is to understand the context in which your project takes place. Projects that are designed based on clearly defined and articulated needs and opportunities – both biological and social – are more likely to succeed because they will include activities that are more appropriate to the specific situation in which the project will take place. This step requires an analysis of: •
Direct and indirect threats
•
Needs, opportunities, and risks
•
Actors/stakeholders and the roles they play in resource management.
Ultimately, you should develop a conceptual model to describe the relationships between targets, direct threats, opportunities, and stakeholders. The model helps articulate the logic of your project, showing outsiders a clear picture of the situation in which your project will take place and its intentions and expected impacts. Figure 2. Generic conceptual model showing project context
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Design and Management of Environmental Projects
FACILITATOR Class activity: facilitator selects an example of a conceptual model and asks the participants to go over the different factors to identify and understand the relationships among them (see page 80 for an example of a conceptual model).
5.4 Working groups
v
Practical exercises in groups of four or five people
During training there will be three working sessions. The aim of these
FACILITATOR
sessions is to use a practical approach
To effectively organize the working sessions during training, you will need:
to gain a better understanding of the
•
One computer with PowerPoint and internet access for each group
•
Written summaries with examples of the concepts explained during the previous sessions (at least one copy per group)
participants will work in small groups
•
Templates of expected outcomes(see annex 2)
of four or five people to put into
•
Projector (or flip charts).
theoretical concepts explained during the sessions. During the practical sessions, the
practice the concepts discussed. To do so, each group will select an example of a project which can be real or fictitious, proposed by the participants or the facilitator (for example, “Designing a campaign on ENP for the Caucasus region”). The groups will apply the five steps of PCM to their projects.
Facilitators might need to provide some groups with ideas for a project to work with during the practical sessions. Try to provide as much relevant background information as possible. Facilitators go from group to group to make sure the discussion is flowing and to answer any possible questions or doubts. Facilitators please see annex 2 for templates to be handed out to the groups that can be used during this session.
The expected outcomes of this first working session are: •
Selection of initial project team and designation of project leader
•
A brief description of the project’s scope
•
If appropriate, a map of the project area (or a sketch)
•
A vision statement for the project
•
Selection of a limited number of targets for your project
•
A brief explanation of why these targets were chosen 22
Design and Management of Environmental Projects
•
An analysis of the key direct threats, indirect threats, and opportunities
•
An analysis of the key stakeholders
•
A conceptual model showing cause-and-effect relationships among project factors
•
A ranking of the critical threats affecting each target and the overall project.
Remind the participants that PCM is bespoke and that not all the steps will apply to all projects. They might have to skip some steps if they are not applicable or if the group does not have enough information. Ask each group to observe their progress to see how they organize their work, what points are more difficult, etc. Before the end of the session, each group will prepare a summary of their outcomes (using a PowerPoint presentation or a flip chart).
5.5 Working-group feedback
v Group presentations and
FACILITATOR
discussion
Facilitate the feedback. Each group will present the basic parameters of their project to the rest of the participants, using PowerPoint
Which step of the process has been more difficult? How has the group solved the difficulties? What steps do you find less useful? Have you had to skip any steps?
or flip charts. The discussion among groups will be of great value.
STEP 2. DESIGN Once you have described the basic parameters for your project and have a clear understanding of the context in which your project will take place, you need to determine what specific interventions you will undertake to achieve what you want to accomplish.
5.6 Designing an action plan and monitoring
v Plenary discussion
23
Design and Management of Environmental Projects
In particular, this step involves specifying your project’s goals and objectives and developing the activities that you will undertake to achieve them. Together your goals, objectives, and activities comprise your action plan. •
Goals are linked to your project’s targets and summarize the desired state that a project is working to achieve. A good goal is: linked to targets, impact oriented, measurable, time limited, and specific.
•
Objectives are linked to specific threats and opportunities that your project has identified and specify the desired condition of these factors that you would like to achieve in the short and medium-term. A good objective is: impact oriented, measurable, time limited, specific, and practical.
•
Activities prioritize interventions that you and your partners will undertake to reach your goals and objectives. Good activities are: linked, focused, feasible, and appropriate. Your challenge is to select the most appropriate and cost-effective activities that have the highest likelihood of achieving success. FACILITATOR
We will focus on how to develop goals, objectives, and activities in the next working session (10).
Ask the participants to work in pairs and present them with a set of the written goals, objectives, and activities of an action plan. Do not tell which is which, but ask the participants to classify them. Finally ask the groups to draw possible links among them will and establish how they are related. At the end each group will share their results with the others and draw up a complete action plan. Everyone should then be able to distinguish between goals, objectives, and activities.
Figure 3. Generic model showing goals, objectives, and activities
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Design and Management of Environmental Projects
After you have clear goals, objectives, and activities, you can develop a formal action plan. In addition, you will need to define the specific tasks you and your team will need to do and the specific roles and responsibilities of each team member (see page 81 for an example of action plans). In compiling your plan, you should be focused on high-level strategies/activities. The specifics tasks that you will have to undertake will be detailed later on in your work plan (session 8).
Figure 4. Generic logical framework matrix for action plans
Monitoring is the periodic process of gathering data relative to the stated project vision, goals, objectives, and strategic activities. It is a process that should not start after your project has already been implemented but is something you should plan from the start. Effective monitoring uses the minimum amount of financial and human resources to provide the minimum information needed to determine if your project is on track and what to do if not. A monitoring plan defines what you will monitor and how the monitoring will be done. It includes the identification of your information needs for your project, the development of specific indicators, and the methods that will be used to collect and analyse the data required to meet your information needs. An indicator is a measurable entity related to a specific information need such as the status of a target/factor, a change in a threat, or progress toward an objective. A good indicator is measurable, precise, consistent, and sensitive. Methods are how you will collect your data. These differ in accuracy and reliability, costeffectiveness, feasibility, and appropriateness. The key is to select the most cost-effective method that will give you data that is reliable enough to meet your management needs.
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Design and Management of Environmental Projects
Figure 5. Example of a monitoring plan, indicators, and methods4
5.7 Designing an operational plan
v Plenary discussion The operational plan defines how you will operate in practice to implement your action and monitoring plans – what your capacity needs are, how you will engage resources, how you will deal with risks, and how you will ensure sustainability of the project’s achievements. The key components of an operational plan should include: •
Finance. The funding required to implement your project, your current and potential sources of these funds, and your most critical resource and funding gaps (this assessment should include direct project costs such as staff, as well as indirect costs such as management costs).
•
Human resources. The human capacity and skills required to implement your project and your current and potential sources of these resources. One key skill is leadership.
•
Others. An analysis of other resources and enabling conditions required to implement your project (such as partners, community support, leadership, and a supportive legal framework).
•
4
Risk assessment and mitigation. What risks exist and how they can be addressed?
Source: Resources for Implementing the WWF Project & Programme Standards, step 2.2, the monitoring plan.
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Design and Management of Environmental Projects
•
Governance and information sharing. How your project team will make decisions and communicate among themselves.
•
Estimate of project lifespan and exit strategy. How long your project will last and what will happen when your project ends?
STEP 3. IMPLEMENTATION This is the most critical step in the entire cycle of adaptive management. It is the step in which you carry out your project activities. Implementation is putting all of the planning efforts you conducted in the previous stage into action. It involves developing and implementing specific work plans while ensuring sufficient resources, capacity, and partners.
5.8 Work plans and budgets
v Plenary discussion A work plan is a short-term schedule for implementing an action, monitoring, or operational plan. It is essentially a calendar or schedule that links the tasks to be done to the resources needed to do them. The work plan identifies: •
What specific tasks are required to complete each planned activity, monitoring step, or operational function,
•
Who will be responsible for helping to complete each task,
•
When each task will be undertaken and the sequence of linked tasks,
•
How much money and other resources will be needed to complete each task.
These work plans can be recorded in a table, Gantt chart, and/or project calendar. You should also estimate the costs of all tasks, which becomes the basis for the project budget (see page 82 for examples of work plans). Once you have developed a work plan for your project with expected costs, the next step is to prepare a budget that reflects the costs and resource needs for carrying out the project over the same time period. As a general rule, however, it is good practice to develop an overall budget for your project and then present the relevant parts of it to the appropriate audiences. Depending on the purpose, financial information in budgets can be organized in different ways:
27
Design and Management of Environmental Projects
•
By objectives and activities. These budgets help you estimate the cost of individual actions.
•
By accounting codes. These budgets provide information needed by financial managers.
•
By funding source. These budgets show where money is coming from.
5.9 Fundraising, capacity building, and partnerships
v Plenary discussion Fundraising is the process a team uses to secure the financial resources it needs to implement its project; it is probably the first part of a project you need to implement. There is often a long leadtime between developing funding proposals and having money in the bank and it is important to get ahead in this work early in the project. First, you should look at your resource needs in the general and specific budgets you have developed. For many projects, your greatest resource need will be staff. In addition, you should consider what other major expenses (infrastructure, vehicles, boats, or machinery) and related functions or logistical support you might need (monitoring and management expenses, administrative, or logistical support). See page 84 for an example of a resource matrix for fundraising. Once you have identified your resource needs and assessed what you currently have available, the next steps involve identifying potential funding sources, writing funding proposals, and meeting potential donors. A successful project requires people with the right skills, knowledge, and availability to deliver the project and ensure its sustainability. Capacity building is about increasing the knowledge and skills of individuals, and strengthening the supporting organizational structures and systems that are needed to effectively deliver your project over the long-term. It involves: •
Assessing what capacity is required
•
Assessing what capacity is available
•
Addressing any gap between the two.
This work involves assessing and then building the capacity of your own staff, structure and systems, and that of your key partners as well. From your assessments, you may decide that you or your partners need to conduct training, hire consultants, or recruit and train new staff. Funding, people and time should be built into your operational plan. Your office’s human resources staff can advise on recruiting staff, conducting performance appraisals, and assisting people with their professional development. See page 85 for a template of a capacity-building assessment.
28
Design and Management of Environmental Projects
Many environmental projects are carried out within partnerships between people representing different organizations and groups. Most organizations will probably not have sufficient expertise or internal resources to do all the work that needs to be done. To ensure sustainability of the work, you must mobilize effective participation and information-sharing with these partners, both during and after the project. At this point in the project cycle, you will need to revisit your team structure to ensure you have the right complement of staff, consultants, and volunteers or have other working arrangements in place that make the project possible and sustainable. Key actions that can help ensure the development of good partnerships include: •
Reviewing your stakeholder analysis to determine and facilitate involvement of stakeholders in project activities.
•
Redefining the project team and roles and responsibilities as needed to make sure you include key stakeholders.
•
Building an information-sharing strategy that ensures the proper information gets to all partners.
•
Reviewing or creating new partnership arrangements to ensure that all partners have a voice in how the project is managed and decisions made.
It may be appropriate to secure your key partners’ involvement in the project through more formal arrangements such as contracts, grants, memoranda of understanding, and programme implementation agreements.
5.10 Working groups
v
Practical exercises in groups of five or six people
This session will follow the same structure as the previous working session: the participants will work in groups of five or six people and they will continue with the same topic for the practical exercises.
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Design and Management of Environmental Projects
The goal of this session is that participants think about how to implement their projects. They will try
FACILITATOR At the end of this session each group will have the following:
different tools and think about their
•
Action plan
needs and limitations. The key point of
•
Monitoring plan
this practical session is that the
•
Operational plan
groups become familiar with different
•
Work plan
techniques. Use the different
•
Budget
•
Fundraising, capacity building, and partnership strategy.
examples and templates included in the annex to this document to facilitate the task of the groups. Remember to have at least one hand-
Facilitator: please see annex 2 for templates to be handed to groups for this session.
out per group of the most important documents (including a list of what is expected from each group during the session). Next you will find an outline of the main outputs from each step. Action plan: •
Goals for all of your targets
•
Objectives for critical threats
FACILITATOR Remind the groups that the list of outputs is an ideal – they may have to adapt it to their project.
and other factors that your project will address •
One or more activities for each environmental objective
•
Results chains or other formal descriptions of your core assumptions
•
Overall action plan that compiles your goals, objectives, and activities.
Monitoring plan: •
A list of the indicators your project will measure to track the effectiveness of each activity
•
Brief descriptions of the methods for collecting data for each indicator
•
When, where, and by whom each kind of data will be collected
•
A description of how data will be stored and analysed.
Operational plan: •
Estimates of human and other resources required to implement your project and current and potential sources of them
•
Estimates of financial resources required to implement your project and your current and potential sources
•
An assessment of potential risks to your project and how you might mitigate them
•
An exit strategy, if appropriate.
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Design and Management of Environmental Projects
Work plans and budgets: •
Detailed short-term work plans for your project, showing tasks, who will do them, and when
•
Gantt chart and/or calendar of project activities
•
Project budgets.
Fundraising: •
Potential funding sources
•
Funding proposals developed and submitted
•
Meetings donors and other supporting work completed
•
Financial resources obtained.
Capacity building: •
Capacity assessments completed
•
Strategies developed and implemented to address capacity shortfalls.
Partnerships: •
Project team composition revisited
•
Key stakeholders identified and brought into project as appropriate
•
Information sharing strategies developed and implemented
•
Formal arrangements with partners developed and implemented as appropriate.
5.11 Working-group feedback
v Group presentations and discussion
Each group will present the basic parameters of their project to the rest of the participants. The discussion
FACILITATOR Facilitate the feedback. Compared with previous projects, which step of the process has been more difficult? How has the group solved the difficulties? What step do you find less useful? Have you had to skip any step?
among groups will be of great value.
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Design and Management of Environmental Projects
STEP 4. ANALYSIS/ADAPTATION
This step involves analysing the data you have collected as part of your routine monitoring. It is very important to plan for analysis as early as possible in the project management cycle to avoid collecting lots of information without having any way to analyse it, and not to underestimate the amount of time needed to complete the analysis. This step should help you to observe and understand changes, solve problems, and make improvements to your project.
5.12 Analyse data, project results, and assumptions
v Plenary discussion To understand what is going on in your project – and to be able to change things promptly – it is essential to capture and analyse monitoring data as part of routine project work; it is not a onceonly event. Analysis is a process of transforming raw data into useful information: it is important to systematically check, clean, and code raw data as soon as you get it; store and back up your data, and then analyse and discuss your data to check if you are on track. You have to decide how you will manage the data on your project. This will depend on how large and complex your project is, how much data you expect to collect and use, and the technical capacity and resources of your project team. These are some actions that you should consider: •
Develop a table of the data sets you expect to have (see page 86 for an example)
•
Designate data managers
•
Develop protocols and databases for different kinds of data
•
Review and transcribe data on a regular basis
•
Clean and back up data
•
Use and share data.
Your monitoring data provides you with the opportunity to analyse your project results and assumptions to see whether you have achieved your expected results, and if the assumptions you made hold true. This will also allow to you determine why certain activities have succeeded or failed, and to adapt and change your project accordingly.
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Design and Management of Environmental Projects
Develop a rough plan for your analytical work. What questions do you want to answer? What data will you use to answer them? Who will do it? When will they do it? Who will use the results? These tasks will also help you in checking your results and assumptions: •
Conduct initial descriptive analyses
•
Refine and improve your data as necessary
•
Test your assumptions
•
Make sense of your results
•
Do other exploratory analyses
•
Document your analyses and your findings
•
Share your results.
Analyses should involve members of the project team. However, input from outside experts during the analyses of your monitoring results can often be useful. A critical part of this analysis involves communicating the results to your project team and key partners, and providing clear management recommendations to all the right people based on your analysis, as well as detail to help interpret the results, alternatives, contingencies, and regular reports to team members.
5.13 Operational functions, adapt plans and budgets
v Plenary discussion In addition to analysing your results and core assumptions, it is also important to analyse your operational and financial data to make sure things are on track and that you are not going to run an operational deficit. For example, periodic and full-term forecasting should be undertaken to ensure that changes in work plans are adequately translated into changes in financial needs, and vice versa. After collecting and analysing your data, you need to use what you have learned during the analysis and discussions to modify and optimize your activities; when information tells you that you need to adapt your plan, do so as soon as you can. The following tasks will help you through this process: •
Prepare to adapt
•
Define what you will change, how you will change it, and why you will change it
•
Maintain strong relationships and communication with partners and stakeholders
Implement change. 33
Design and Management of Environmental Projects
Figure 6. Example of how to define what, how, and why you will change5
5 Source: Resources for Implementing the WWF Project & Programme Standards, step 4.4, adapt your plans and budgets.
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Design and Management of Environmental Projects
STEP 5. SHARING
The final step of the project management cycle is about sharing lessons, product, and good practice with internal and external actors. It also involves giving and receiving feedback, conducting evaluations and audits, and promoting a learning culture.
5.14 Learning lessons, feedback, evaluations, and adaptive management
v Plenary discussion As you go through the process described in these standards, you should make sure you harvest the lessons that your project team is learning on a regular basis. Lessons can be formal statistical results or anecdotal stories, and can focus on something as large as your core project assumptions to something as specific as an improved way of tracking project expenses. The following are three key elements to sharing lessons and good practices: •
Consider what you want to share (what lessons do you want them people to consider or engage with)
•
Consider who is your audience
•
Consider how you should reach your audience (this includes determining how you will present your learning in a way that will engage your audience).
Another important point is to provide time and incentives to do this work. Harvesting lessons requires a balance between art and science – and will require patience and time made in any work plan. You can capture what you have learned in formal communications products – written or recorded documents that will help you to remember from year to year what you have done, what you found worked and what didn’t, and what you plan to do in the future. This will help your current project team over the long term and more importantly, once current project staff have moved on, ensure that new project staff will have a record of what you did and what you learned. It will also communicate your findings to other actors around the world who will benefit from your successes and avoid any pitfalls or problems you may have encountered during the implementation of your project.6
6 See Neighbourhood and Environment. Building the Capacity of NGOs in the South Caucasus. Training module II. Introduction to effective communication, campaigning and media. (WWF, 2007)
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Design and Management of Environmental Projects
For any project to be effective and able to adapt, the team members will need feedback on their findings, progress, and lessons learned. Although feedback in many organizations is limited to formal performance reviews, some of the best feedback comes informally if people take time to ask questions of their peers and colleagues and then listen to what they have to say. It is vital to remember that feedback is a two-way process – that even though you may be busy with your own work, it is important to give your colleagues feedback on a regular basis, especially when they request it. Two common kinds of formal mechanisms are: •
Evaluations, which assess a project against its own stated goals and objectives
•
Audits, which assess a project against an external set of standards, such as the ones outlined in this document.
Internal evaluations and audits are done by project team members and close partners, and have the advantage of being relatively easy and cheap to conduct; people involved in the assessment can also make direct use of the findings. External evaluations and audits, which are done by outside parties, have the advantage of providing an outside and unbiased perspective.
5.15 Working groups
v
Practical exercises in groups of five or six people
We continue with the same structure
FACILITATOR
as for the previous working session, with groups of five or six people and the same project topics for the exercises. The participants will now concentrate
If each group worked on all the expected outcomes would require quite a long time. Therefore each group will only develop one of the following points: •
A strategy on how to analyse incoming data
•
A plan to adapt their operational functions
•
A strategy on lessons learned and communication.
on how to analyse the data they collect during the monitoring of the
project, on analysing if the plans and assumptions are being met, and on how to use lessons and evaluations. Next you will find an outline of the main outputs that should come out of each step. There will be no time for each group to develop all the points. Assign a couple of them to each group and let the rest of the groups work on the other outcomes.
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Design and Management of Environmental Projects
Manage data: •
Development and regular use of systems for storing and backing up project data.
Analyse project results and assumptions: •
Appropriate analyses of project results and assumptions
•
Documentation of discussions and decisions
•
Regular reports to project team members and key stakeholders.
Analyse operational and financial functions/performance: •
Appropriate scheduled analyses of operational and financial data
•
Regular financial reports linked to technical reports, including financial forecasts.
Adapt your plans and budget: •
Revised project documents, work plan, and budgets.
Lessons: •
Identification of key audiences
•
Harvesting of key results and lessons.
Formal communications products: •
Identification of key audiences
•
Development of a communications strategy
•
Development and distribution of appropriate communication products
•
Use of other people’s communications products.
Feedback and evaluation: •
Regular feedback session – both give and take
•
Evaluations and/or audits at appropriate times during the project cycle.
37
Design and Management of Environmental Projects
5.16 Working-group feedback
v Group presentations and discussion For this session, we will use crosscutting presentations so that all the
FACILITATOR Facilitate the feedback. Which step of the process has been most difficult? How has the group solved the difficulties? What steps do you find less useful? Have you had to skip any steps?
groups will be able to see the work of others.
5.17 The programming process and role of different stakeholders
v Plenary discussion. Programming is an essential decision-making process aimed at defining the European Union strategy for countries receiving external assistance. For neighbouring countries (NC), it defines EU assistance to the EU-NC Action Plan. To benefit from ENPI funding, you will need to be aware of what will be financed, when, and how far in advance. Maintaining regular contacts and sharing ideas with the main actors of the programming process will be essential. As mentioned in the first module on the European Neighbourhood Process, EU assistance priorities under ENPI are identified in: •
General Strategy Papers covering the period 2007—13, e.g. Country Strategy Papers (CSPs) or Regional Strategy Papers (RSPs)
•
More detailed Indicative Programmes (in the annex to the Strategy Papers) covering the period 2007—10 and 2011—13, e.g. National Indicative Programmes (NIP) and Regional Indicative Programmes (RIP)
•
Detailed Annual Action Programmes (AAP) for each year of the programming period.
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Design and Management of Environmental Projects
Strategy papers
Multi-annual indicative programmes
- Analysis of the situation
-
- Response strategy
- Set global and priority allocations
- Priority sectors - Seven years - Revised at mid-term
Normally attached to SP
- Cover 3–4 years
Action programmes
- Annual - Describe projects identified for financing - Define the budget per project - Lead to EU decision & commitments of funds
N. B.: This last "arrow" is not valid in the context of Cross-Border Cooperation (CBC) for which the programmes: •
Cover a seven-year period
•
Describe priorities/measures for financing
•
Define the budget per priorities
•
Lead to one EU decision for the whole seven-year period.
Programming at national/regional level Country/Regional Strategy Papers (CSP/RSP) and Indicative Programmes (NIP/RIP) DG RELEX is in charge of defining the strategies and general policies of external assistance. It is the desk which coordinates the drafting of the CSP/NIP. The EU delegation in the country is consulted on the drafts. The national authorities (the national coordinator,7 usually finance or economy ministries), and civil society is also consulted. When finalized, the documents are submitted to the ENPI management committee (Member States and Commission) for approval. The European Parliament is consulted in the final stages. National/Regional Action Programmes (NAP/RAP) On the basis of priorities identified in the CSP/NIP, EU delegations and headquarters (EuropeAid Cooperation Office), in consultations with the beneficiary country, define the projects to be financed. The Annual Action Programmes are then submitted for “Quality control” by headquarters. Internal discussions between DG RELEX, EuropeAid and different DGs in the
7
Contacts of the National Coordinating Unit can be found on page 73
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Design and Management of Environmental Projects
Commission (interservice consultation) take place before submission for adoption by the ENPI management committee. Since 2001, there has been a significant transfer of responsibilities to delegations (a decentralization process): “Anything that can be better managed and decided on the spot, close to what is happening on the ground, should not be managed or decided in Brussels” EU delegations play a major role in: •
Drafting of the Annual Action Programmes
•
Project identification and appraisal
•
Contracting and disbursement
•
Project monitoring and evaluation.
EuropeAid plays a major role in the: •
Drafting of the annual Action Programmes in dialogue with the EU delegations
•
Management of the project cycle (from identification to final project evaluation).
The national coordinator plays a major role in: •
Coordinating the consultations with the different ministries
•
Drafting the Annual Action Programmes
Civil society has not played a major role in annual programming so far, but there is potential for more involvement in future (see below). For countries where there is no EU delegation, for regional and thematic programmes, the programming process is led by HQ.
Programming for cross-Border cooperation activities
CBC allows for the implementation of joint programmes covering regions from the Member States and regions from partner countries sharing a common border. There are two main categories of programmes, covering: •
A common land border or short sea crossing
•
A sea basin.
The individual programmes are developed by programme partners (Member States and their Neighbouring Countries) from the eligible areas in a Joint Task Force, through a “bottom-up” process, together with the Joint Managing Authority (JMA) of the respective programme.8 The Joint Task Force may involve local, regional and national representatives from each participating country
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Design and Management of Environmental Projects
(with the exception of sea basin programmes, involving mainly national representatives). The joint programme including a set of priorities and measures is then submitted for Commission approval and a financing agreement is signed by the Commission and each partner country taking part in each ENPI CBC programme. The EU delegation is not involved in drafting the programme. Its role as an actor in the field is to support Commission discussions with country authorities and also to assist in monitoring the programmes.
5.18 ENPI funding opportunities
v Plenary discussion. EU assistance to specific countries will be provided through different implementation modalities that are to be decided action-by-action at the stage of project identification (EU delegation lead). These can include: •
Technical assistance (e.g. through TAIEX or twinning with EU Member States’ administrations)
•
Sectoral or general budget support whenever possible and appropriate
•
Investments and investment-related activities
•
Debt relief programmes
•
Microprojects and support to grassroots initiatives through calls for proposals
•
Contributions to the European Investment Bank (EIB) or other financial intermediaries for loan financing, equity investments, guarantee or investment funds.
Where do you find the information? •
Strategy Papers: response strategy
•
Indicative Programmes: indicative budget/priorities and actions
•
Annual Action Programmes: programme components/costs and financing.
Opportunities for environmental NGOs in Armenia and Azerbaijan 1. Funding opportunities at country level Proportionally speaking, this is where the big financial envelope goes to: €92m for Azerbaijan, €98.4m for Armenia for 2007—10. Financial allocations per priority are detailed in the Country
8
See ENPI Regulation (Title III) and CBC implementing rules for more information on the role of the JMA.
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Design and Management of Environmental Projects
Strategy Papers/National Indicative Programmes. Each year of the programming period, an Annual Action Programme is drawn up, specifying which priorities among the ones defined in the CSP/NIP, will be supported. In 2007, the €21m allocation to Armenia will go to sectoral-budget support (vocational training), twinning, and food security. The €19m allocation to Azerbaijan will go to sectoral-budget support for energy (€14m) and twinning (€5m). You need to bear in mind that out of the whole envelope for in-country activities, only a small allocation will go directly to civil society support and to environmental activities. The environment may not be specified as a priority as such in the national programming documents. Yet there are a variety of entry points/opportunities for environmental activities under broader priorities, especially when it comes to support for civil society and good governance, administrative capacity building, regulatory convergence with the EU, and support for poverty reduction efforts. FACILITATOR To ensure that your areas of interest are given due consideration during the ongoing stage of project identification and preparation of Annual Action Programmes in the future, regular contacts and exchange of ideas with your national coordinator and the EU
Class Activity: Based on the example of the Regional East programming in 2006 (RSP, RIP, RAP, Project Fiche), ask the participants to identify in their CSP/NIP project opportunities and ways in which their involvement could influence the process. For example, what opportunities for environmental projects could there be under the “good governance” priority (see specific objectives mentioned in the NIP)?
delegation or desk officer in EuropeAid are essential.
2. Funding opportunities at regional level ENPI Eastern Regional Programme9 The indicative budget for 2007—10 amounts to €223.5m, with differing annual allocations in the individual Annual Action Programmes. Priorities that may be of interest are priority area 2, environment and forestry (25—35% of the financial envelope), and priority area 4, people-topeople activities, information and support (minimum €9.8m). This could give rise to funding opportunities to be made available through calls for proposals that will be launched in the second semester 2008. ENPI Interregional Programme10 The indicative budget for 2007—10 amounts to €260.6m, with differing annual allocations in the individual Annual Action Programmes. Priorities that may be of interest are priority area 3, 9
Countries covered by the ENPI Eastern Regional Programme are: Armenia, Azerbaijan, Belarus, Georgia, Moldova, Russia, and Ukraine.
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Design and Management of Environmental Projects
promoting cooperation between local actors in the EU and in the partner countries, and priority area 4, promoting implementation of the ENP and the strategic partnership with Russia. 3. Funding opportunities under CBC Total funding available for the ENPI-CBC programmes for the period 2007—13 amounts to €1,118.4m (€583.3m for the period 2007—10). Armenia and Azerbaijan are only eligible for funding under the Black Sea basin joint programme. The draft programme is being finalized and should be submitted to the Commission for approval in autumn 2007. The total indicative budget for activities under the Black Sea programme is €17.3m for the period 2007—13. Participating countries are Romania, Bulgaria, Greece, Turkey, Russia, Ukraine, Moldova, Georgia, Armenia, and Azerbaijan. Of interest to environmental NGOs is priority 2: networking resources and competences for environmental protection and valorization. Three types of projects will be promoted in the CBC programme: 1. Integrated projects where partners carry out part of the actions of a joint project on their side of the border 2. Symmetrical projects where similar activities are carried out in parallel on both sides of the border 3. Single projects with a cross-border effect, taking place mostly or exclusively on one side of the border but for the benefit of both partners. Priority will be given to integrated projects. According to the draft Black Sea basin programme, the projects must involve at least one partner from a Member State and one non-member. Eligibility and partnership requirements will be specified in the guidelines of the calls for proposals. The first calls for proposals are due to be launched by the JMA around beginning 2008. Information will be disseminated through the Joint Managing Authority11 and the Joint Technical Secretariats (JTS), located in Romania, to potential beneficiaries in the eligible areas. Assistance will be provided by the JTS in the preparation of the projects. Additional assistance for the partner countries will be provided by the EU’s Regional Capacity Building Initiative project (RCBI)12 which will conduct information and project preparation events and help with finding partners.
4. Thematic programmes Thematic programmes focus on one theme and are not country specific. From a legal point of view, they are established under the Development and Cooperation Instrument (DCI) but cover EDF, DCI 10
Countries covered by the ENPI inter-regional programme are all the ENPI countries. Turkey and Russia may also be eligible. 11 Contact details for the Joint Managing Authority can be found on page 74. 12 Contact details for the Regional Capacity Building Initiative project can be found on page 74.
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Design and Management of Environmental Projects
and ENPI countries for the programming period 2007—13. Four programmes may be of relevance to support environmental NGOs work in Armenia and Azerbaijan: Environment and Sustainable Management of Natural Resources including Energy (ENRTP), Non-State Actors and Local Authorities, and potentially Investing in People and Food Security. However, since these areas are also addressed under the national, regional or CBC ENPI envelopes, additional thematic activities will be launched only if they provide clear added value. Thematic programme on Environment and Sustainable Management of Natural Resources (ENRTP) A fixed allocation (€46.5m for 2007—13, around €5m per year) has been reserved for ENPI countries that will be devoted to a limited number of thematic issues: climate change, biodiversity (40%), energy and Global Energy Efficiency and Renewable Energy Fund, GEEREF (60%).13 Timeline: •
Annual programmes for 2007-8 are being prepared by EuropeAid Cooperation Office and should be ready in the second half of 2007.
•
First calls will be launched around October this year (forestry, biodiversity, and climate change).
Thematic Programme on non-state actors and local authorities Total envelope for EDF, DCI and ENPI countries amounts to just over €1.6m for 2007—13. The total amount for ENPI countries 2007—10 is €30.7m; the indicative amount for 2007 is €7.4m. The focus should be on poverty alleviation, not conservation. There will be three areas of activities: (1) country-specific interventions (list of priority countries will be established); (2) multi-country projects; (3) awareness raising in EU and accession countries. But the funds dedicated to ENPI countries are to be used exclusively for in-country actions under objective 1 to “promote an inclusive and empowered society in partner countries to facilitate non-state actor and localauthority participation in poverty reduction and sustainable development strategies”. It is the EU delegation in specific countries that launches country-specific calls. Timeline:
13
•
Priorities to be identified in July 2007
•
First calls for proposals to be launched by end 2007.
Risk capital for enterprises.
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Design and Management of Environmental Projects
5. 19 EU procurement rules and the system of calls for proposals
v Plenary discussion. EU procurement rules are intended to promote fair and open competition and a single European market. There are a variety of modalities through which EU assistance will be provided to ENPI countries, two of which are commonly used by NGOs: calls for proposals and tenders. Calls for proposals are the main funding instrument for non-state actors (NSA). They are the most straightforward and bottom-up, but are also very competitive. Usually the co-financing required is 25%. They are launched either by headquarters or by the EU delegation (when country-specific). Even when they are launched by HQ, the EU delegation always evaluates the proposals, so it is very important to share ideas with them ahead of the calls. Where do you find the information? •
Yearly planning of calls and calls for proposals are (normally!) published on the EuropeAid website before 31 March: http://ec.europa.eu/europeaid/cgi/frame12.pl (select “Annual WP for grants 2007” at the bottom of the page – not always complete!!!).
•
Local calls are sometimes only published on the website of the EU delegation: http://ec.europa.eu/comm/external_relations/delegations/intro/web.htm.
•
Tenders are forecast by region/country on: http://ec.europa.eu/europeaid/cgi/frame12.pl.
•
Annual Action Programmes are published on the EuropeAid website: http://ec.europa.eu/europeaid/projects/tacis/publications_en.htm.
In order to simplify the process of applications for calls for proposals, and for EuropeAid and EU delegations to get acquainted with potential partners, the Commission will have an Online Registration Database (Potential Applicant Data Online Registration Service) available from September 2007.14 Tenders are top-down technical contracts. They are launched either by HQ or by delegations (when country-specific). No co-financing is required. Teaming up with private companies or consultancies might make bids more competitive. In addition, it should be added that the Commission disburses a large part of its funds in direct agreements with international organizations. Cycle of the calls for proposals The calls for proposals cycle is always the same. Templates for the documents are always the same, but the content of the documents is always different! Eligibility, amounts, co-financing, partnership requirements, etc. 14
More information can be found here: http://ec.europa.eu/europeaid/onlineservices/pador/documents/pador_18042007_en.pdf.
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Design and Management of Environmental Projects
Publication of Call for Proposals Receipt of concept note Letter of acknowledgement to applicants Technical evaluation of concept note Letter of rejection to unsuccessful applicants Letter of notification to successful applicants Receipt of full application Deadline for submission of full application: date of publication + at least 90 days (or + at least 60 days if grant ≤ €100,000) Letter of rejection to unsuccessful applicants Technical & financial evaluation of selected full application Letter of rejection to unsuccessful applicants Letter to applicants on the reserve list Letter requesting supporting documents to provisionally successful applicants Administrative & eligibility compliance Letter of rejection to unsuccessful applicants Projects recommended for funding Notification to successful applicants Preparation and signing of contracts
5.20 Tips when preparing a proposal for EU funding
v Plenary discussion. In this session, the facilitator could go through the template application form and evaluation grid together with the participants and bring their attention to aspects to consider when preparing a proposal for EU funding. Templates for application to calls for proposals (refer to the PRAG): On EuropeAid website: http://ec.europa.eu/europeaid/index_en.htm, select Procedures>grants>annexes standard documents •
Guidelines for applicants (template)
•
Application form (template)
•
Concept note evaluation grid
•
Evaluation grid full application form.
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Design and Management of Environmental Projects
When applying: •
Make sure you have read all the instructions provided with the call
•
Respect the format, including font
•
Look for the list of FAQs and ask if in doubt (mailbox)
•
Don’t miss the support tools provided in the guidelines.
Evaluation grid for the concept note: Maximum total score = 50 points • Relevance (25 points) • Methodology and sustainability (15 points) • Operational capacity & expertise (10 points)
By trying to answer questions provided in the evaluation grid, you should be able to assess whether your proposal fits in the criteria. The relevance and the methodology of the proposal are criteria that weigh the
Evaluation grid for the application form: Maximum total score = 100 points • Financial & operational capacity (20 points) • Relevance (25 points) • Methodology (25 points) • -Sustainability (15 points) • -Budget & cost effectiveness (15 points)
most in the evaluation.
Relevance of your proposal •
Make sure to align to at least one of the priorities of the call.
•
Use other relevant EU documents including Country/Regional Strategy Papers: http://ec.europa.eu/comm/external_relations/sp/index.htm.
•
Show a thorough understanding not only of the existing needs and constraints (providing facts and figures) but also of what is already being done by the government (central/local), the EU, other NGOs, other donors.
•
What will be the added value of what you propose to do compared to what is already being done?
•
Differentiate between overall and specific objectives: overall objectives can be SEVERAL; a specific objective is SINGLE!
•
Be as precise as possible in the definition of you specific objective!
•
Differentiate between target groups and final beneficiaries (qualify/quantify): - Target Groups are directly targeted by the action. Their situation will improve as a direct result of the intervention. - Final Beneficiaries: benefits will trickle down to them.
•
Don’t forget gender and equal opportunity. But don’t just throw the words around!
•
A feasibility study beforehand is always a plus!
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Design and Management of Environmental Projects
Methodology of your proposal Activities are a central element! What will concretely be done to meet the proposed specific objectives? •
Use the logical-framework approach
•
Step-by-step approach (tasks), e.g. activity 1, 2, 3, etc.
•
Include the title and a detailed description of each activity
•
Provide narrative detail - Who? What? Where? When? - Include means of each activity (materials, personnel) - Deliverables of each activity (outputs)
•
Correspond to plan of action
•
Allow for a cross-check with the budget
•
Cost-effectiveness and sustainability should be also taken into consideration.
Strongly recommended •
A start-up meeting of partners
•
Preparation of a partnership agreement
•
An accurate management structure
•
Communication strategy (internal and external), website!
•
Activities that offer the possibility of replicating/sharing with others the outcome (participation in conferences, workshops)
•
Detailed monitoring and evaluation activities by managers, including update of logical framework.
5.21 Round table with EU delegation, national coordinator
v Plenary discussion. The content of this session will very much depend on the availability of the guests and on their position in their respective organizations. To ensure participation of key actors, it is therefore important to: •
Target the most appropriate person in the organization who will be able to answer specific questions
•
Invite them well in advance of the workshop
•
Adapt the programme if necessary. Session 22 could then take place earlier (session 20) or later (session 23) in the day, as long as it is after session 19 on ENPI funding opportunities.
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Design and Management of Environmental Projects
Key actors that should be invited in order of priority are:15 •
The National Coordinator Unit of, usually, the finance or economy ministry
•
The person in charge of relations with civil society and/or the environment in the EU delegation
•
Someone involved in ENPI programming in the environment ministry.
Issues that could be addressed during the round table are: •
Update by EU delegation and/or NCU on the status of the ENPI programming
•
What mechanisms are in place to ensure environmental integration in the ENPI programming?
•
What mechanisms could be set up at national level to ensure regular dialogue between civil society/national coordinator/EU delegation on ENP/ENPI programming, implementation and monitoring?
•
What are the upcoming ENPI funding opportunities for environmental activities?
In case the actors mentioned above might not be available, the focus of the session could be more on Cross-Border Cooperation and funding opportunities for environment under CBC: •
CBC national contact point
•
RCBI expert.
5.22 Wrap-up and evaluation
v Plenary discussion. At the end of training, each participant should fill in the evaluation sheet with questions about both organization and content (see example on page 69). The written evaluation should be combined with discussion by
FACILITATOR Facilitators may ask the following questions to get the dialogue and feedback started: • What part of the programme did you like most? • What didn’t you like at all? • What would you change? • Were your expectations fulfilled? • When and how do you think will you apply what you learned these days?
participants. The results should help organizers improve their training skills and introduce changes to future sessions.
15
Contact details for these actors can be found on page 74.
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Design and Management of Environmental Projects
6. TRAINING PROGRAMME Day 1: The basics, definitions Day 1 Opening Session Learning objectives
Resource person Documents General observations Day 1 Session 1 Learning objectives
Session 1
Resource person Documents
09.00 – 18.00 09.00 – 10.00 1. Introduce the goals of the workshop 2. Introductions Item Welcome
Time 09.00
Introduction of participants
09.15
Description The organizers and/or the facilitator explain the background of the training: who is organizing it, what are the objectives, why design and management of environmental projects is important, etc. Informal presentation of participants: name, organization, role, expectations. This should be done to a time limit.
Objectives 1+2
1+2
Facilitator Section 6.2 and 6.3 It is important to create a good atmosphere from the beginning and to involve all participants
09.00 – 18.00 10.00 – 11.00 1. Understand why it is important to design and manage environmental projects 2. Give an overview of WWF standards of conservation project and programme management 3. Think about why some projects fail while others are successful Item Introduction to environmental projects
Time 10.00
Description Plenary discussion, facilitated Facilitator asks the question “What are the goals of environmental projects?” Flip-chart activity: “Why do projects fail?” Compile a list of reasons why a project is unsuccessful.
Objective 1+2+3
Facilitator Section 5.1
(11.00h to 11.30h – Break) Day 1 Session 2 Learning objectives
Session 2
Resource person Documents
09.00 – 18.00 11.30 – 12.30 1. Learn what makes a good team 2. Define scope and vision of a project Item Define initial team, scope, and vision
Time 11.30
Description Plenary discussion, facilitated. Facilitator asks: “What makes a good team?” Make a list of things that make an effective and an ineffective team. Class activity: the participants will analyse written vision-statements in small groups to discuss which are the best/worst statements.
Facilitator Section 5.2 + Annex 11
50
Objective 1+2
Design and Management of Environmental Projects
Day 1 Session 3 Learning objectives
Session 3
Resource person Documents
09.00 – 18.00 12.30 – 13.30 1. Define targets and context of a project 2. Identify stakeholders 3. Understand conceptual models that link scope, vision, and targets Item Define targets, context, and stakeholders
Time 12.30
Description Plenary discussion, facilitated Using an example of a conceptual model, the facilitator will ask the participants to identify the links and relationships among the different factors.
Objective 1+2+3
Facilitator Section 5.3
(13.30h to 14.30h – Lunch) Day 1 Session 4 Learning objectives
Session 4
Resource person Documents
09.00 – 18.00 14.30 – 16.00 1. Apply the concepts explained during the previous sessions to a case-study
Item Working groups
Time 14.30
Description Practical exercises in small groups, facilitated. During this first working session, the groups will select an example of a project to work with during the practical sessions. Expected outcomes: project team, project scope, map of the area, vision statement, limited number of targets, analysis of threats and opportunities, key stakeholders, conceptual model, ranking of threats.
Objective 1
Facilitator Section 5.4 + annex 11 + annex 12 (with templates to be used during the exercises)
(16.00h to 16.30h – Break) Day 1 Session 5 Learning objectives
Session 5
Resource person Documents
09.00 – 18.00 16.30 – 17.30 1. Learn about each group’s outcomes 2. Share difficulties, learning opportunities, etc. among groups 3. Wrap-up
Item Working-groups feedback
Time 16.30
Wrap-up
17.30
Description Group presentations and discussion. Each group will present their outcomes to the rest of the participants. Facilitator asks the participants to highlight the most important points of the day. All points can be gathered on a flip chart.
Facilitator Section 5.5
51
Objective 1+2
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Design and Management of Environmental Projects
Day 2: Design and implementation Day 2 Opening session Learning objectives
Opening session
09.00 – 18.00 09.00 – 09.15 1. Capture any important learning points from day 1 and apply them
Item Introduction to day 2
Time 09.00
Description Facilitator leads a plenary session on lessons learned from day 1. Are there outstanding questions or topics that need to be addressed on day 2?
Resource person Documents
Facilitator
Day 2 Session 6 Learning objectives
09.00 – 18.00 09.15 – 10.00 1. Identify the goals and objectives of a project 2. Learn how to develop a generic model linking goals, objectives, and activities 3. Understand the importance of monitoring and the use of indicators
Session 6
Objective 1
-
Item Design action and monitoring plans
Time 09.15
Description Plenary discussion, facilitated. Facilitator presents the participants with a set of written goals, objectives, and activities without telling them which one is which. The participants will classify them into the right category in small groups. Overview of what an action plan and a monitoring plan are using examples.
Objective 1+2+3
Resource person Documents
Facilitator
Day 2 Session 7 Learning objectives
09.00 – 18.00 10.00 – 11.00 1. Learn what operational plans are 2. Learn about what factors have to be taken into account to implement your activities
Session 7
Item Design an operational plan
Section 5.6 + Annex 11
Time 10.00
Description Plenary discussion, facilitated. Presentation of the main components of an operational plan.
Resource person Documents
Facilitator
Day 2 Session 8 Learning objectives
09.00 – 18.00 11.30 – 12.30 1. Learn how to develop a work plan and budgets 2. Get to know different types of work plans and budgets
Session 8
Item Work plans and budgets
Objective 1+2
Section 5.7
(11.00h to 11.30h – Break)
Resource person Documents
Time 11.30
Description Plenary discussion, facilitated. Overview of what work plans and budgets are using examples.
Facilitator Section 5.8 + annex 11
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Day 2 Session 9 Learning objectives
Session 9
Resource person Documents
09.00 – 18.00 12.30 – 13.30 1. Analyse resource needs 2. Assess what capacity building is required 3. Learn the importance of involving stakeholders
Item Fundraising, capacity building & partnerships
Time 12.30
Description Plenary discussion, facilitated Overview of how to analyse resource needs, and capacity building requirements, and involving stakeholders.
Objective 1+2+3
Facilitator Section 5.9 + annex 11
(13.30h to 14.30h – Lunch) Day 2 Session 10 Learning objectives
Session 10
Resource person Documents
09.00 – 18.00 14.30 – 16.00 1. Gain practical understanding of how to develop an action plan, a monitoring plan, an operational plan, a work plan, a budget, and a fundraising, capacity building, and partnership strategy
Item Working groups
Time 14.30
Description In the same small groups of previous days and working on the same project proposal, the participants start gathering the building blocks of their projects. Expected outcomes: action plan, monitoring plan, operational plan, work plan, budget, and fundraising, capacity building, and partnership strategy.
Objective 1
Facilitator Section 5.10 + annex 12
(16.00h to 16.30h – Break) Day 2 Session 11 Learning objectives
Session 11
Resource person Documents
09.00 – 18.00 16.30 – 17.30 1. Learn about each group’s outcomes 2. Share difficulties, learning opportunities, etc. among groups 3. Wrap-up
Item Working-group feedback
Time 16.30
Wrap-up
17.30
Description Group presentations and discussion. Each group will present their outcomes to the rest of the participants. Facilitator asks the participants to highlight the most important points of the day. All points can be gathered on a flip chart.
Facilitator Section 5.11
53
Objective 1+2
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Design and Management of Environmental Projects
Day 3: Analysis, lessons learned, and best practice Day 3 Opening session Learning objectives
Opening session
09.00 – 18.00 09.00 – 09.15 1. Capture any important learning points from day 2 and apply them
Item Introduction to day 3
Time 09.00
Description Facilitator leads a plenary session on lessons learned from day 2. Are there outstanding questions or topics that need to be addressed on day 3?
Resource person Documents
Facilitator
Day 3 Session 12 Learning objectives
09.00 – 18.00 09.15 – 10.00 1. Learn how to monitor the data on your project 2. Discuss different methods to analyse results and assumptions
Session 12
-
Item Analyse data, project results, and assumptions
Time 09.15
Description Plenary discussion, facilitated Using examples of data sets, facilitator discusses the methods to manage data, and how to analyse results and assumptions.
Resource person Documents
Facilitator
Day 3 Session 13 Learning objectives
09.00 – 18.00 10.00 – 11.00 1. Learn that is important to analyse your operational and financial data
Session 13
Resource person Documents
Objective 1
Objective 1+2
Section 5.12
Item Operational functions, adaptation of plans and budgets Facilitator
Time 10.00
Description Plenary discussion, facilitated. Facilitator will present an example with key questions that will help defining what, how and why needs to be changed.
Objective 1
Section 5.13
(11.00h to 11.30h – Break) Day 3 Session 14 Learning objectives
Session 14
Resource person Documents
09.00 – 18.00 11.30 – 13.30 1. Agree on the importance of harvesting lessons learned during the process 2. Learn what is the goal of evaluations and audits Item Learning lessons, feedback, evaluations, and adaptive management Facilitator
Time 11.30
Description Plenary discussion, facilitated. Facilitator will encourage the participants to think about how to share lessons and practices. The group will discuss about what the main goal of evaluations is, and how and when these should be done.
Section 5.14
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Design and Management of Environmental Projects
(13.30h to 14.30h – Lunch) Day 3 Session 15 Learning objectives
Session 15
Resource person Documents
09.00 – 18.00 14.30 – 16.00 1. Gain practical understanding on how to share information and conduct adaptive management.
Item Working groups
Time 14.30
Description In the same small groups of previous days and working on the same project proposal, the participants start gathering the building blocks of their projects. Each group will develop one of the following points: a strategy on how to analyse incoming data, a plan to adapt their operational functions, a strategy on lessons learned and communication.
Objective 1
Facilitator Section 5.15 + annex 12
(16.00h to 16.30h – Break) Day 3 Session 16 Learning objectives
Session 16
Resource person Documents
09.00 – 18.00 16.30 – 17.30 1. Learn about each group’s outcomes 2. Share difficulties, learning opportunities, etc. among groups 3. Wrap-up
Item Working-group feedback Wrap-up
Time 16.30
Description Group presentations and discussion.
17.30
Facilitator asks the participants to highlight the most important points of the day. All points can be gathered on a flip chart.
Objective 1+2 3
Facilitator Section 5.16
Day 4: Financial instruments Day 4 Opening session Learning objectives
Opening Session Resource person Documents
09.00 – 18.00 09.00 – 09.15 1. Capture any important learning points from day 3 and apply them
Item Introduction to day 4
Time 09.00
Description Facilitator leads a plenary session on lessons learned from day 3. Are there outstanding questions or topics that need to be addressed on day 4?
Facilitator -
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Design and Management of Environmental Projects
Day 4 Session 17 Learning objectives
Session 17
Resource person Documents Day 4 Session 18 Learning objectives
Session 18
09.00 – 18.00 09.15 – 10.15 1. Get an overview of the ENPI programming documents (reminder of module 1) 2. Learn about the role of the different actors in the programming process Item The programming process and the role of different stakeholders Facilitator
Time 09.15
Description Lecturer will remind participants of the different programming documents. Participants will understand the major role played by the National Coordinator and the EU delegation in the national programming.
Section 5.17 09.00 – 18.00 10.15 – 12.30 1. Learn about different ENPI funding lines, timelines, and where to find information ahead of calls 2. Learn to identify opportunities for environmental activities in ENPI programming documents 3. Understand the importance of civil-society involvement in the programming for funding opportunities to emerge
Item ENPI funding opportunities
Time 10.15
Break ENPI funding opportunities
11.00 11.30
12.15
Description Facilitator asks the participants to identify in their CSP/NIP opportunities for environmental activities and ways in which their involvement in the next stages of the programming could influence the process. Facilitator presents for the regional, CBC and thematic programmes and where to find the information. Q&A session
Resource person Documents
Facilitator
Day4 Session 19 Learning objectives
09.00 – 18.00 12.30 – 13.00 1. Learn about the mechanisms through which EU assistance is provided 2. Know where to find published EU calls and tenders
Session 19
Resource person Documents
Objective 1+2
Objective 1+2+3
1+2+3
Section 5.18
Item EU procurement rules and calls for proposals
Time 12.30
Description The participants should understand the mechanisms through which EU assistance is provided, and more specifically the different stages in the process of calls for proposals. Participants should also be introduced to the PADOR registration database. If the meeting room has internet access, it would be worth showing the participants the EuropeAid website where calls for proposals and tenders are published.
Facilitator Section 5.19
(13.00h to 14.00h – Lunch)
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Day 4 Session 20 Learning objectives
Session 20
09.00 – 18.00 14.00 – 15.00 1. Become familiar with the templates for application to EU calls for proposals Learn tips to improve proposals for EU funding Item Tips for preparing a proposal for EU funding
Time 14.00
Description The facilitator should guide participants through the template application form and evaluation grid, and explain the questions the proposer is expected to address.
Objective 1+2
Participants should become aware of the main criteria that will be used to assess their proposal if they submit it to the EU. The facilitator should try and link this session as much as possible with what participants have learnt so far on PCM. Resource person Documents
Facilitator
Day 4 Session 21 Learning objectives
09.00 – 18.00 15.00 – 16.00 1. Learn in more detail about upcoming funding opportunities for environmental activities in Armenia and Azerbaijan 2. Agree with the EU delegation/National Coordinator mechanisms to ensure regular involvement of/dialogue with civil society in any discussions related to ENP/ENPI
Section 5.20
Item Session 21
Time
Round table
Description
Objective
For this session it is very important to ensure the participation of the EU delegation in the country as well as the National Coordinator and/or environment ministry. The person should have knowledge on the ENPI programming process and on the specific funding opportunities for environment.
Session 21.1
15.00
Session 21.2
15.15
The facilitator will introduce the session and explain to the guest the context of the training. The guests may be asked to address one or two of the following issues:
1+2
- status of the ENPI programming process in the country and mechanisms in place to ensure environmental integration - precise information on funding opportunities for environmental activities - What mechanisms could be set up at national level to ensure regular dialogue between civil society/National Coordinator/EU delegation on ENP/ENPI programming, implementation and monitoring? Session 21.3
Resource person Documents
15.30
The facilitator will moderate a discussion between the participants and the guests.
Facilitator Section 5.21
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(16.00h to 16.30h – Break) Day 4 Session 22 Learning objectives
Session 22
09.00 – 18.00 16.00 – 18.00 1. Wrap-up and evaluation
Item Evaluation and discussion
Time 16.30
Description Facilitator asks the participants to highlight the most important points of the day and of the workshop. All points can be gathered on a flip chart. All participants will fill out the evaluation questionnaire. At the end the facilitator will give each participant the opportunity to give his/here impressions and suggestions for improvement.
Resource person Documents
Facilitator Section 5.22
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6.1 Training programme overview CYCLE PROJECT MANAGEMENT Day 1: The basics, definitions
Day 2: Design and implementation
Day 3: Analysis, lessons learned, and best practice
Day 4: Financial instruments
09.00
Welcome
Introduction to day 2
Introduction to Day 3
Introduction to Day 4
09.15
Introduction
10.00
Session 1 Introduction to environmental projects Break
Session 6 Designing action and monitoring plans Session 7 Designing an operational plan
Session 12 Analyse data, project results, and assumptions Session 13 Operational functions, adapting plans and budgets Break
Session 17 The programming process and the role of different stakeholders Session 18 ENPI funding opportunities
11.00 11.30
12.30
13.30 14.30
Break
Session 14 Learning lessons, feedback, evaluations, and adaptive management
Session 2 Defining the initial team, scope, and vision Session 3 Defining targets, context, and stakeholders Lunch
Session 8 Work plans and budgets Session 9 Fundraising, capacity building, and partnerships Lunch
Lunch
Session 4 Working groups
Session 10 Working groups
Session 15 Working groups
Break Session 18 (continued) ENPI funding opportunities Session 19 EU procurement rules and calls for proposals Lunch (13.00h) Session 20 (14.00h) Tips for preparing a proposal for EU funding
16.00
Break
Break
Break
Session 21 (15.00h) Round table: debate with members of EU delegation, environment ministry, WWF, and other NGOs Break
16.30
Session 5 Working-group feedback
Session 11 Working-group feedback
Session 16 Working-group feedback
Session 22 Evaluation and discussion
17.30
Wrap-up
Wrap-up
Evaluation
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6.2 Guidelines for lecturers Communication between the course coordinator and the lecturers is very important to ensure the quality of the presentations and avoid repetition of topics that are not related to main objectives of the training. The following is a list of important points that should be discussed before the training: Course coordinator
Lecturers
•
Date and time of the presentation.
•
Duration of presentation and time for questions (if any): timing will be a very important issue during the training. The facilitator should make sure that the presentations respect the agreed schedule.
•
Language
•
Main goal of the presentation: lecturers should know what is expected of them (“the objective of your presentation would be to…”).
•
Contents that should be highlighted: make sure you state any specific topics, examples, case studies that the lecturer should not forget (“We think it would be very interesting if your presentation could include the following points…”) .
•
The audience. What is the background and previous experience of participants?
•
Background information related to the presentation. Are there any documents that the participants should read before the presentation?
•
Course agenda and other background documents. It is important that lecturers know how their presentation fits within the whole training programme.
•
Deadline for email presentations. Having PowerPoint presentations in advance is always recommended, to test they work on the computer, give them to translators so they can prepare, confirm they are not too long or too short, give comments to the lecturers, etc.
•
In case of payment, make clear how much you can pay, and what you expect from them.
•
Send thankyou notes, teaching certificates, a CD, etc. to the lecturers after the training is over.
Lecturers •
Course coordinator
Requirements of visual aid and resources. Does the lecturer need visual aid (projector, screen) or other resources such as boards, markers, chart paper, etc.?
•
Email presentation before the training (according to a deadline given by the coordinator).
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6.3 Exercises and games to improve group dynamics Exercises for introductions and ice-breaking When people come together to take part in a training course it is important to make everyone feel welcome and part of a group. Introductions are important and should not be taken lightly. When people meet for the first time there is often a degree of nervousness. They may be uncertain about what to do after they have said hello. Any attempt to relax the group and break the ice must offer the group members the following: •
A safe, clear, and acceptable structure
•
Conversation subjects which are both interesting and non-threatening
•
Enough scope for making and receiving distinct impressions of each other
•
Some action, when possible, to relieve the tension
•
A chance to laugh, for the same reason.
In this section we present some exercises with these characteristics in mind. PAIRED INTERVIEWING 3Objectives
• • •
To discover what participants want to get from the session, workshop or training course and learn a little about their personalities To help evaluate a course at the end of the training To help participants relax at the beginning of a course.
Materials
Paper, pens
¦ Time
20-45 minutes (depending on number of participants)
Procedure
1. Split participants into pairs. Ask each participant to interview their partner by focusing on questions such as: - What is your name? What is your background and experience? - Why are you attending this course? What do you hope to get from it? - Do you have any past experience of participatory methods in the field? - Name two good things that happened to you in the past year - Name something unusual about yourself 2. After five minutes of interviewing each other, participants report to plenary about their partner, summarising the main information in one minute.
* Comments
This exercise is also valuable for evaluations. To use it for that purpose, change the questions that the pairs ask of each other to: - To what extent did the course meet your expectations? - What did you find most valuable? - What did you find least valuable? - What would you change?
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FIRST NAME INTRODUCTIONS 3Objectives
• •
To start proceedings on an informal note To introduce each participant.
Materials
None
¦ Time
Five minutes
Procedure
1. Each participant is asked to introduce himself or herself in turn by simply adding an adjective before their name that begins with the same letter. For example: “I am lucky Lucy!”, “I am serious Surinder!”, “I am jolly Jenny!”. 2. This can be done when seated, but becomes more fun and active if the participants stand in a circle. Ask people to accompany their name with a movement or gesture (jumping, shrugging shoulders, twirling) while stepping into the circle. When they step back it is the next person’s turn.
* Comments
There is no need to debrief after this exercise. This exercise can serve as a reference point for the remainder of the training session or course, as participants will remember amusing adjectives. Most importantly, an atmosphere of informality is established. The physical movement relaxes participants and puts them at ease with others.
THE SEED MIXER 3Objectives
• • •
To introduce the participants to one another To get participants talking to each other one-on-one To create a relaxed but animated atmosphere and to establish an informal tone for the training.
Materials
Some seeds, beans, raisins… it can be done with something typical from where the training is taking place that the participants can then keep as “souvenir”. A few seeds, things, of four or five types.
¦ Time
20-45 minutes (depending on number of participants)
Procedure
1. Give each person five or six beans, all of the same type. 2. The participants are given a set amount of time (about 15 minutes) in which to introduce themselves to each of the other participants (name, where they work, and a few things about themselves). 3. During each introduction, they should exchange a bean with the other person. 4. The aim is to finish the game with one bean of each type (six different beans mean six introductions).
* Comments
This is suitable for any number from ten to 50 participants, but if there are more than 30 it is advisable to tell people to be very brief or the exercise will take too long. Trainers should take part.
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THE FINE LINE 3Objectives
• • •
To start proceedings on an informal note To get participants talking to each other one-on-one To create a relaxed but animated atmosphere and to establish an informal tone for the training.
Materials
A piece of chalk or something similar to draw a line on the ground. Best done outdoors.
¦ Time
30-45 minutes
Procedure
1. Draw a long line on the ground. 2. Tell the participants to stand behind the line (which is the border of a lake full of piranhas!). They should stay next to each other, shoulder to shoulder. 3. You will ask the participants to order themselves according to different directions, for example: - participants coming from the biggest country to participants coming from the smallest country - participants coming from the country with more density of population to the country with least density of population - participants from the country with more natural parks to the country with less natural parks. 4. The participants guess which is the correct answer, order themselves, and then the trainer gives them the answer and they rearrange themselves if necessary before the next question. 5. When ordering themselves, the participants have to stay on the fine line, they can only move to one side or another.
* Comments
This can be done with a group of 10-20 participants from different countries, the more the better. The trainer should have the questions ready and should know all the answers. This game involves a certain amount of physical contact among participants, the trainer should take into account the profiles of the participants when deciding if do this game or not (age, country of origin, social status, etc.). The game does not include a personal introduction of the participants, which should be done before or after the game.
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Exercises for energising and forming groups Games to energize the group can be vital to improve the momentum of training. After long days of one lecture after another, participants can be distracted and tired. In this case, it may be necessary to take a break and refresh their minds. Training workshops might require a lot of intensive group work. Forming groups of different sizes and composition might be necessary. Games can be an extremely useful way of forming groups in an entertaining and non-threatening manner.
“A”s and “B”s 3Objectives
•
To energize the group and change the focus of attention
Materials
None
¦ Time
5-10 minutes
Procedure
1. Clear the centre of the room or find an open space outside and invite everyone to stand there. 2. Ask everyone to look at everyone else and to silently choose one individual in the groups who is their “A” person and another who is their “B” person. There are no particular criteria on which to base their choices. Selections are entirely up to them. 3. Once everyone has made their choices, tell them to get as close to their respective “A” person as possible, while getting as far away from their “B” person as they can. People are encouraged to move quickly, but not to grab or hold anyone. You can also announce that the only rule to this game is “No physical violence!” 4. After a few minutes, participants are asked to stop and reverse the process: they chase their “B” persons and avoid their “A” persons.
* Comments
This game will lead to the formation of clusters of people, or a long line or “dragon or “snake” as one person chases after another. The result will be a lot of laughing and smiling. The only objective is to provide a brief, amusing and energising break for the participants during the training.
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MOVE IF • • •
3Objectives
To energize the group To break the ice To form new groups
Materials
None, but it can be done with a circle of chairs
¦ Time
5-10 minutes
Procedure
1. Ask all the participants to sit or stand in a circle. 2. Explain the exercise and start it off yourself. 3. Call out the name of a group of people: e.g. car owners, people wearing glasses, people from a city X, people older than 50, etc. by saying “Move if you are…” The people who belong to the category called out enter into the circle. 4. Call out another category and tell people to move if they belong to it. The people in the middle either stay or sit down if they do not belong to the category. 5. Continue at a fast pace to keep people moving.
* Comments
A variation can include issues relating to the workshop. For example: - “Move if you would like to begin earlier in the morning” - “Move if you want more time working in small groups”
THE NUMBERS GAME • •
3Objectives
To illustrate the power of non-verbal communication To form new groups
Materials
None
¦ Time
10-15 minutes
Procedure
1. Count the number of participants in advance. Calculate various combinations for sorting the participants into different size groups (for example, for a group of 50, 10 groups of five people). 2. Clear the centre of the room or find an open space outside. 3. Ask all participants to stand together and not to speak. 4. Ask them to form X groups of Y people as fast as possible. You may tell them to move quickly. Then ask them to form another combination of people continue to call combinations according to your prepared list. 5. Conclude with the pre-planned number of groups you require for the next workshop session.
* Comments
This game forces individuals to leave certain groups and join others very quickly. This mixing and sorting can go on for some time, until the correct size groups have been formed. For a group of 26 people, some possible combinations can be: -
2 6 6 3 2 4
groups groups groups groups groups groups
of of of of of of
13 4 and 3 and 7 and 9 and 5 and
1 2 1 1 1
group of 2 groups of 4 group of 5 group of 8 group of 6
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Exercises for evaluation It is important to constantly evaluate how the workshop is developing and how to adjust your programme. Formal evaluations are usually less appropriate in such cases and more participatory alternatives are necessary.
GRAFFITI FEEDBACK BOARDS 3Objectives
•
To provide an anonymous outlet for participant’s and trainees’ reactions
Materials
Flipchart or similar surface on which to write
¦ Time
None for collecting the comments; varied amount of time for discussion
Procedure
1. Prepare graffiti boards: poster boards, flipcharts, or chalk boards on which paper can be fixed. 2. Ask participants to write down their observations, reactions, ideas, or emotions to you or the group. This can be done anonymously. Topics may be provided at the top: “I did not like…”, “I liked…”, “Suggestions for course contents…”, “Suggestions for physical facilities…”. 3. If graffiti boards are to be used for daily feedback, then you can ask for volunteers to analyse the card and identify the general trends. They should report their findings back to the group the next morning. This will give you an opportunity to respond to suggestions.
* Comments
It is essential not to leave evaluation until the end of a session or programme, or a date even further in the future. The motivation of participants to contribute decreasesif changes only occur too late for the current session. It is important to monitor opinions from the outset, including what the participants appreciate or are irritated by, to improve learning.
EVALUATION OF SESSION 3Objectives
• • • •
To To To To
provide feedback on specific participatory methods or sessions learn how to evaluate and learn from experience learn how to express feelings and make creative suggestions improve the workshop
Materials
Large pieces of paper, pens
¦ Time Procedure
Variable 1. Ask either the whole group, small groups or individuals to evaluate the event and report back. Suggest that they evaluate the content (what was covered) separately from the process (how it was covered) 2. Specific questions can be given to these groups for discussion. The results can be written down on pieces of paper and put on a wall chart or summarised by you as they are given. Possible questions to ask: - “Things I liked” - “Things I did not like” - “Suggestions for improvement” - “The most important lesson I learnt” - “What I found most difficult” - “What main obstacle I anticipate in applying what I have just learnt” This evaluation can be used for the whole workshop or for one part of it.
* Comments
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MENTAL GIFTS 3Objectives
• •
To show appreciation to the group using silence an creativity to convey feelings To conclude the workshop on a positive note.
Materials
None
¦ Time
Ten minutes
Procedure
1. Ask everyone to sit in a circle, with no chairs in the middle. Tell them that at the end of the workshop, it is sometimes difficult to break the group feeling. This exercise is a goodbye gift from everyone to everyone that we carry with us as we leave. Explain that the exercise requires imagination and silence. 2. Start yourself by holding your hands with palms turned up. Using your hands mime the shape of an object (a box, a bottle of wine, a ball), and then “bounce” it! Pass the “object” to the person on your right. Explain that they can now give any present of their choosing to the next person. 4. Continue around the circle, until you receive the last gift. You can end with a “Thank you” or “Bon voyage”.
* Comments
This is a very calming and sharing exercise in which people reveal themselves to be amazingly creative. It does not require touching and is therefore suitable in most cultural contexts.
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6.4 List of experts The following list of experts is far from being complete. Many other experts and resource persons who we do not mention are in various countries and networks. The first objective is to find local trainers and experts for training. But nevertheless we would like to indicate some experts who may be contacted for specific training needs. Jean-Paul Ledant is a Belgian forest and agricultural engineer, with a working experience of more than 30 years in more than 30 countries. He has collaborated with NGOs, universities, research institutes, consultancy companies, UN, and EU institutions. He has long been involved in biodiversity research and conservation, for example he discovered a new bird species in Algeria and was a co-author of the first European classification of habitat types, on which the EU Natura 2000 network is based. During the last ten years he became progressively more dedicated to the linkages between natural resources management and human development and acquired new skills in Project Cycle Management. During the last three years he was the coordinator of the EC help desk for environmental integration in development co-operation. He is now working as a freelance consultant. Contact:
[email protected]
Paloma Agrasot is working as a policy expert on environmental integration in EU external policies since the 1980s. She has followed the development and implementation of EU funding instruments in relation to the Euro-Mediterranean Partnership (MEDA) and the European and Neighbourhood Partnership Instrument, ENPI. Since 2005 Paloma has managed the WWF Greening the Neighbourhood Policy programme, based at WWF EPO and collaborated in the development of the ENP training modules. Contact:
[email protected] Web: www.panda.org/epo
Christoph Stein is currently coordinating the WWF Mediterranean Programme’s capacity-building programme Across the Waters. He is leading the development of the ENP training modules. Contact:
[email protected] Web: www.panda.org/mediterranean
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7. EVALUATION FORM AND FOLLOW-UP
Project-cycle management training evaluation form 1. About the training 1.1 - Have you attended any other training on ENP before?
Yes
No
If yes, where? _______________________________________________________ 1.2 - Before the training, did you receive enough information concerning: Training objectives
Yes
No
Course programme
Yes
No
Logistics
Yes
No
Comments: ________________________________________________________ 2. Training contents & teachers 2.1 - The duration of the training has been:
Short
Adequate
2.2 - The rhythm of the training has been:
Hard
Adequate
2.3 - The number of lectures has been:
Good
Fair
2.4 - The quality of lectures has been:
Good
Fair
Long Smooth
In your opinion, what changes would improve this kind of lecture? ___________________ 2.5 – Do you think it may be useful to change the number of: Presentations
Increase
No change
Decrease
Working groups
Increase
No change
Decrease
Breaks within the sessions Increase
No change
Decrease
2.6 – Please qualify the following sessions: Day 1 – Session 1:
Contents -
Very Good OK
Poor
(title/speaker)
Teacher quality -
Very Good OK
Poor
Day 1 – Session 2:
Contents -
Very Good OK
Poor
(title/speaker)
Teacher quality -
Very Good OK
Poor
Day 1 – Session 3:
Contents -
Very Good OK
Poor
(title/speaker)
Teacher quality -
Very Good OK
Poor
… continue with all days and sessions 2.7 - About the speakers, please specify: Overall teaching capacity
Good
Fair
Capacity to involve people Good
Fair
Understandable language
Fair
Good
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2.8 – Did the contents of the training meet your expectations?
Yes
No
Comments: _______________________________________________________ 2.9 – Will this knowledge have any practical application on your current activities? Yes
No
If yes, which ones?____________________________________________________ 3. Logistics 3.1 - Please, evaluate the following: Training room
Good
Fair
Relationship with other participants
Good
Fair
Relationship with training organizers
Good
Fair
Comments: _________________________________________________________ 3.2 - Accommodation: Rooms
Good
Fair
Meals
Good
Fair
Comments:__________________________________________________________ 3.3 - Transportation: Transportation during the training
Good
Fair
Comments:_________________________________________________________ 4. General evaluation 4.1 - Please, evaluate the organization of the whole course: Very Good
Good
Fair
Please, answer the following questions briefly and clearly: 4.2 - What did you like the best? 4.3 - What didn’t you like? How would you improve it?
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8. BACKGROUND DOCUMENTS
General documents on project cycle management
WWF Standards of Conservation Project and Programme Management: http://www.panda.org/about_wwf/how_we_work/conservation/programme_standards/index.cfm http://www.panda.org/about_wwf/how_we_work/conservation/programme_standards/index.cfm Open Standards for the Practice of Conservation, version 1.0 (2004), drafted by the Conservation Measures Partnership: http://conservationmeasures.org/CMP/Products.cfm Project Cycle Management Training Handbook, European Commission, Common Service for External Relations: www.iucn.org/themes/eval/documents2/training_courses/pcm_handbook.pdf Conservation by Design (The Nature Conservancy): http://www.nature.org/aboutus/howwework/cbd/ Project Cycle Management Guidelines (EuropeAid Cooperation Office): http://ec.europa.eu/europeaid/reports/index_en.htm Project Cycle Management Technical Guide, Socio-Economic and Gender Analysis Programme (UNFAO): http://www.fao.org/sd/seaga/4_en.htm
Background documents to be used in session 18 EU funding for the environment – a handbook for the 2007 – 13 programming period, WWF publication, April 2005: http://assets.panda.org/downloads/eufundingforenvironmentweb.pdf
Regulation (EC) No 1638/2006 on the European Neighbourhood and Partnership Instrument, 24 October 2006: http://ec.europa.eu/world/enp/pdf/oj_l310_en.pdf ENPI Cross-Border Cooperation Strategy Paper (2007 – 13) and Indicative Programme (2007 – 10), (EN): http://ec.europa.eu/world/enp/pdf/country/enpi_crossborder_cooperation_strategy_paper_en.pdf (RU): http://ec.europa.eu/world/enp/pdf/enp_cross-border_cooperation_strategy_paper_ru.pdf Cross-Border Cooperation Implementing Rules (2 May 2006 draft): http://ec.europa.eu/comm/europeaid/projects/enpi_cross_border/documents/cbc_implementing_r ules_draft_020506_en.pdf Guidelines for the preparation of the CBC joint programmes (2 May 2006 draft): http://ec.europa.eu/comm/europeaid/projects/enpi_cross_border/documents/cbc_programming_g uidelines_final_avril2006_en.pdf 71
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ENPI Programming Timeline: available in the CD-ROM Background documents to be used in session 19 Handbook for environmental project funding: http://ec.europa.eu/environment/funding/pdf/handbook_funding_fr.pdf Funding opportunities at country level Azerbaijan Country Strategy Paper (2007 – 13) and Indicative Programme (2007 – 10): http://ec.europa.eu/world/enp/pdf/country/enpi_csp_azerbaijan_en.pdf http://ec.europa.eu/world/enp/pdf/country/enpi_nip_azerbaijan_en.pdf Armenia Country Strategy Paper (2007 – 13) and Indicative Programme (2007 – 10): http://ec.europa.eu/world/enp/pdf/country/enpi_csp_armenia_en.pdf http://ec.europa.eu/world/enp/pdf/country/enpi_csp_nip_armenia_en.pdf Armenia Annual Action Programme 2006: http://ec.europa.eu/europeaid/projects/tacis/publications/armenia_2006.pdf Funding opportunities at regional level Eastern Regional Strategy Paper (2007 – 13) and Indicative Programme (2007 – 10): http://ec.europa.eu/world/enp/pdf/country/enpi_eastern_rsp_en.pdf http://ec.europa.eu/world/enp/pdf/country/enpi_eastern_rip_en.pdf Regional Action Programme 2006: http://ec.europa.eu/europeaid/projects/tacis/pdf/regional_ap_east_2006_en.pdf Project fiche_support to the transboundary management of the Kura river basin (2006): http://ec.europa.eu/europeaid/projects/tacis/pdf/regional_ap_2006_pf_kura.pdf Interregional Strategy Paper (2007 – 13) and Indicative Programme (2007 – 10): http://ec.europa.eu/world/enp/pdf/country/enpi_interregional_en.pdf Funding opportunities under CBC The Black Sea basin Operational Programme (February 2007 draft): http://www.mie.ro/_documente/state_nemembre/consultare_bazinul_marii_negre/Black_Sea_Prog ramme_draft%2019th%20feb.pdf Thematic programmes Communication from the Commission to the Council and the European Parliament on “External Action: thematic programme for environment and sustainable management of natural resources including energy”, COM(2006)20 final, 25 January 2006: http://ec.europa.eu/europeaid/projects/forests/documents/thematic_en_2007_env.pdf Thematic programme for environment and sustainable management of natural resources including energy, Strategy Paper 2007 – 10 (draft): available in the CD-ROM Thematic programme “Non state actors and local authorities”, strategy paper 2007 – 10, (draft): available in the CD-ROM
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9. LINKS WWF Standards of Conservation Project and Programme Management: website with WWF guidance, documents, templates, and examples: http://www.panda.org/about_wwf/how_we_work/conservation/programme_standards/index.cfm National Coordinating Unit for EU technical assistance in Armenia: http://mfe.gov.am/tacis/index.php?l=am National Coordinating Unit for the EU technical assistance in Azerbaijan: http://www.ncu.gov.az/ The European Neighbourhood Policy website: http://ec.europa.eu/world/enp/index_en.htm DG ENV website:: http://ec.europa.eu/dgs/environment/index_en.htm EuropeAid Cooperation Office website: http://ec.europa.eu/europeaid/index_en.htm http://ec.europa.eu/europeaid/projects/tacis/publications_en.htm CBC website of Aidco: http://ec.europa.eu/europeaid/projects/enpi_cross_border/index_en.htm Interservice Quality Support Group website: http://ec.europa.eu/development/HowGen_en.cfm Joint Managing Authority of the Black Sea basin CBC programme, Romanian Ministry of European Integration: www.mie.ro EU delegation in Armenia: http://www.delgeo.ec.europa.eu/ http://www.delarm.ec.europa.eu/ Europa House in Azerbaijan: http://www.europahouse-az.org/ The Environmental Helpdesk’s website: http://www.environment-integration.org/EN/index.php WWF European Policy Office: http://www.panda.org/about_wwf/where_we_work/europe/what_we_do/epo/index.cfm The ENPI programming website: http://www.enpi-programming.eu/wcm/index.php
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10. USEFUL CONTACT DETAILS National programming National Coordinating Unit for EU technical assistance in Armenia, Ministry of Finance and Economy, Yerevan, tel +37410 595 355 National Coordinating Unit for EU technical assistance in Azerbaijan, Baku, tel +99412 498 78 91, email
[email protected] EU delegation in Armenia, email
[email protected] Europa House in Azerbaijan, email
[email protected], tel +99412 497 20 63 / 64 Cross-border cooperation Joint Managing Authority: Romanian Ministry of European Integration, Mrs Iulia Herzog, tel +4021 311 4181, email
[email protected] CBC contact point Armenia: Mr Gyonjyan Hrayr, head of EU Technical Assistance Coordination Unit, Ministry of Finance and Economy, tel +37410 59 53 55 +37410 54 24 09, email
[email protected] CBC contact point Azerbaijan: Mr Alakbarov Asgar, NCU Director National Coordinating Unit, tel +994 12 493 9514, email
[email protected] RCBI contact point: Veronica Vann, tel +32 6552237, email
[email protected]
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11. GLOSSARY16 Action Plan: A description of a project’s goals, objectives, and activities that will be undertaken to abate identified threats and make use of opportunities. For EAPs, the action or conservation plan outlines a comprehensive strategy to conserve and restore the biodiversity of an ecoregion over several decades. A WWF action plan outlines what WWF’s contribution is to a joint project’s overall action plan. Activity: Short for strategic activity. A specific action or set of tasks undertaken by project staff and/or partners to reach one or more objectives. A good activity is linked, focused, feasible, and appropriate. Sometimes called an action, intervention, response, or strategic action. Adaptive Management: The incorporation of a formal learning process into conservation action. Specifically, it is the integration of project design, management, and monitoring, to provide a framework to systematically test assumptions, promote learning, and supply timely information for management decisions. Assumption: A project’s core assumptions are the logical sequences linking project activities to one or more targets as reflected in a results chain diagram. Other assumptions are related to factors that can positively or negatively affect project performance. (See also “risk factor”.) Audit: An assessment of a project or programme in relation to an external set of criteria such as generally accepted accounting principles, sustainable harvest principles, or the standards outlined in this document. Compare to “evaluation”. Biodiversity Target: An element of biodiversity at a project site, which can be a species, habitat/ecological system, or ecological process that a project has chosen to focus on. Strictly speaking, biodiversity targets refer to all biodiversity elements at a site, but typically the term is used as a shorthand for a specific element of biodiversity that a project has chosen to focus on. Synonymous with conservation target. Conceptual Model: A diagram that represents relationships between key factors that are believed to impact or lead to one or more biodiversity targets. A good model should link the biodiversity targets to threats, opportunities, stakeholders, and intervention points, capturing the logic of the intended change behind planned activities. It should also indicate which factors are most important for measures. Conservation Target: A synonym for biodiversity target. Critical Threat: Direct threats that have been prioritized as being the most important to address. Direct Threat: A human action that immediately degrades one or more biodiversity targets – logging or fishing, for example. Typically tied to one or more stakeholders. Sometimes referred to as a “pressure” or “source of stress.” Compare with indirect threat. Enabling Condition: A broad or high-level opportunity within a situation analysis. For example, the legal or policy framework within a country.
16
Adapted from the WWF Standards of Conservation Project and Programme Management.
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Evaluation: An assessment of a project or programme in relation to its own previously stated goals and objectives. Compare to “audit”. Factor: A generic term for an element of a conceptual model including direct and indirect threats, opportunities, and associated stakeholders. It is often advantageous to use this generic term since many factors – tourism, for example – could be both a threat and an opportunity. Forecasting: A method for assessing the financial performance of a project or programme. Goal: A formal statement detailing a desired impact of a project, such as the desired future status of a target. A good goal meets the criteria of being linked to targets, impact oriented, measurable, time limited, and specific. This is a shift from the traditional definition of the term “goal” which is more akin to vision statement in this document. Indicator: A measurable entity related to a specific information need such as the status of a target/factor, change in a threat, or progress toward an objective. A good indicator is measurable, precise, consistent, and sensitive. Indirect Threat: A factor identified in an analysis of the project situation that is a driver of direct threats. Often an entry point for conservation actions. Logging policies, for example, or demand for fish. Sometimes called a root cause or underlying cause. Compare with “direct threat”. Information Need: Something that a project team and/or other people must know about a project. The basis for designing a monitoring plan. Intermediate Result: A specific benchmark or milestone that a project is working to achieve en route to accomplishing a final goal or objective (in this case, intermediate refers to a temporal dimension). Iteration: The process of repeating the steps in the project cycle, refining and adjusting project plans and hopefully coming closer to the project’s vision and goals. Logical Framework: Often abbreviated as “logframe”. A matrix that results from a logical framework analysis that is used to display a project’s goals, objectives, and indicators in tabular form, showing the logic of the project. Magnification: Taking lessons learned from one project and applying them to others, thus increasing the impact of the first project. Monitoring Plan: The plan for monitoring your project. It includes information needs, indicators, and methods, spatial scale and locations, timeframe, and roles and responsibilities for collecting data. Sometimes called a monitoring plan. Method: A specific technique used to collect data to measure an indicator. Methods vary in their accuracy and reliability, cost-effectiveness, feasibility, and appropriateness. Objective: A formal statement detailing a desired outcome of a project such as reducing a critical threat. A good objective is outcome-oriented, measurable, time-limited, specific, and practical. If the project is well conceptualized and designed, realizing its objectives should lead to the fulfilment of the project’s goals and ultimately its vision. In some previous WWF planning systems, objectives were sometimes called targets. Compare to “vision” and “goal”. Operational Plan: The key components of a project’s operational plan include analyses of financial, human, and other resource requirements, risk assessment and mitigation, governance and communications, and project lifespan/exit strategies. 76
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Opportunity: A factor identified in an analysis of the project situation that potentially has a positive effect on one or more targets, either directly or indirectly. Often an entry point for conservation actions. For example, demand for sustainably harvested timber. In some senses, the opposite of threat. Practitioners: All the people involved in designing, managing, and monitoring conservation projects and programmes. Programme: A group of projects which together aim to achieve a common broad vision. In the interests of simplicity, this document uses the term project to represent both projects and programmes since these standards of practice are designed to apply equally to both. Project: A set of actions undertaken by a defined group of practitioners – including managers, researchers, community members, or other stakeholders – to achieve defined goals and objectives. The basic unit of conservation work. Compare with “programme”. Project Area: The place where the biodiversity of interest to the project is located. It can include one or more “conservation areas” or “areas of biodiversity significance” as identified through ecoregional assessments. Note that in some cases, project actions may take place outside of the defined project area. Project Team: A specific core group of practitioners who are responsible for designing, implementing, and monitoring a project. This group can include managers, stakeholders, researchers, operations staff and other key implementers. Result: The desired future state of a target or factor. Results include impacts which are linked to targets, outcomes which are linked to threats and opportunities, and outputs which are linked to activities. See box 1 in the introduction to results chains for more explanation. Results Chain: A graphical depiction of a project’s core assumption, the logical sequence linking project activities to one or more targets. In scientific terms, it is equal to a hypothesis. Risk Factor: A condition under which the project is expected to function but which can cause problems for the project. Often a condition over which the project has no direct control. “Killer” risks are those that when not overcome will completely stop the project from achieving its goals and objectives. Scope: The broad geographic or thematic focus of a project. Stakeholder: Any individual, group, or institution who has a vested interest in the natural resources of the project area and/or who potentially will be affected by project activities and have something to gain or lose if conditions change or stay the same. Stakeholders are all those who need to be considered in achieving project goals and whose participation and support are crucial to its success. Strategic Activity: See “activity”. Strategic Plan: The overall plan for a project. A complete strategic plan includes descriptions of a project’s scope and vision, targets, analysis of project situation, action plan, monitoring plan , and operational plan. Strategy: A broad course of action that includes one or more objectives and the activities required to accomplish each objective.
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Target: Shorthand for biodiversity/conservation target. Note that in earlier WWF lexicons, this term was also used as a synonym for objective. Task: A specific action in a work plan required to implement activities, monitoring plan, or other components of a strategic plan. Thematic Target: The focus of a non-biodiversity-oriented project. For example, average global temperature for a project dealing with global warming. Compare with “biodiversity target”. Threat: A human activity that directly or indirectly degrades one or more targets. Typically tied to one or more stakeholders. See also “direct threat” and “indirect threat”. Vision: A description of the desired state or ultimate condition that a project is working to achieve. A complete vision can include a description of the biodiversity of the site and/or a map of the project area as well as a summary vision statement. Vision Statement: A brief summary of the project’s vision. A good vision statement is relatively general, visionary, and brief. Work Plan: A short-term schedule for implementing an action, monitoring, or operational plan. Work plans typically list tasks required, who will be responsible for each, when each task will need to be undertaken, and how much money and other resources will be required.
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12. ANNEX 1 - Examples 1. Sample breakdown of potential team members for a project
Source: WWF Standards of Conservation Project and Programme Management, step 1.1, project team composition and operations.
2. Examples of vision statements Bering Sea “Our vision of the Bering Sea is to ensure that species assemblages and abundances, community structure and ecological phenomena are maintained or restored within their natural ranges of variation. Within this long-term vision, the cultural diversity of indigenous peoples is a vital part of Bering Sea biodiversity. People locally and globally recognize the unique value of the Bering Sea and committed to conserving it. This also requires working together to minimize or eliminate the impacts of alien species and ensure there are no further human caused global or local extinctions.” Chihuahuan Desert “A biodiversity conservation strategy for the Chihuahuan Desert ecoregion must seek to conserve the full range of distinct natural communities and ecological and evolutionary phenomena, maintain viable populations of species, sustain important ecological processes and services that maintain biodiversity, and protect blocks of natural habitat large enough to be responsive to short- and long-term change. The strategy will continue to be developed through a participatory process of identifying priority sites, conservation activities, natural resource uses, and threats.” Yangtze Basin “A region where a living river links the Tibetan Plateau and the Pacific; where people thrive in harmony with nature, pandas play in the forests, children swim with dolphins and fish in the clear water, pheasants dance among the rhododendrons, and the cranes sing at sunrise. A region where natural cycles sustain a rich and ancient culture.” Source: WWF Standards of Conservation Project and Programme Management, step 1.2, project scope & vision.
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3. Example of a conceptual model
Source: WWF Standards of Conservation Project and Programme Management.
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4. Example of action plan
Source: Resources for Implementing the WWF Project & Programme Standards, step 2.1, action plans.
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5. Options for formats for completing workplans
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Source: Resources for Implementing the WWF Project & Programme Standards, step 3.1, work plans and budgets.
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6. Example of a resource matrix for fundraising
Source: Resources for Implementing the WWF Project & Programme Standards, step 3.2, fundraising.
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7. Template for summary of capacity building assessment
Source: Resources for Implementing the WWF Project & Programme Standards, step 3.3, building project capacity.
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8. Example of table data sets for a project
Source: Resources for Implementing the WWF Project & Programme Standards, step 4.1, data management
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13. ANNEX 2 – Templates to be used during the working sessions
PROJECT TEAM MEMBERS (Core team) Person
Organization
Skills
Roles Project leader
Comments
PROJECT SCOPE (defines the broad parameters of your project) Geographic focus (including a map of the area if appropriate) Thematic focus
PROJECT VISION STATEMENT (a clear and brief summary of what you would like to achieve. Remember, it should be relatively general, visionary, and brief)
PROJECT TARGETS Target 1
Description
Reason to be chosen
Target 2 Target 3
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PROJECT CONTEXT (define your needs and opportunities) Description
Direct Threats
Associated Stakeholders
Threat 1 Threat 2 Threat 3
FACTORS
Indirect Threats
Threat 4 Threat 5 Threat 6
Opportunities
Opportunity 1 Opportunity 2 Opportunity 3
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Ranking of critical threats (very high, high, medium, low)
Design and Management of Environmental Projects
Elaborate on project context
Project Scope Vision
Indirect Threat or Opportunity Direct Threat (+ rating)
Target 1
Indirect Threat or Opportunity
Direct Threat (+ rating)
Indirect Threat or Opportunity
Direct Threat (+ rating)
Indirect Threat or Opportunity
Indirect Threat or Opportunity
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Target 2
Target 3
Design and Management of Environmental Projects
ACTION PLAN Goal(s): Objective(s): Strategy: Activities
Action: who responsible
Monitoring: who responsible
Activity 1: (description) Activity 2: Activity 3: Activity 4:
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Date to be done
Comments
Design and Management of Environmental Projects
MONITORING PLAN What? (Indicator)
How? (Methods)
When?
Who Responsible?
Who Analyses?
Where?
Objective 1: Indicator 1 Indicator 2 Indicator 3 Indicator 4 Objective 2:
Objective 3:
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Related Indicators
Monitoring Cost
Baseline data
Desired Result
Comments
Design and Management of Environmental Projects
WORKPLAN: Gantt Chart of project activities (check or colour the cells to show the duration of the different tasks) Work breakdown: activities and tasks OBJECTIVE A
Who
Deliverables
Dates Month
Month
Month
Activity A - Task A1 - Task A2 - Task A3 Activity B - Task B1 - Task B2 Monitoring indicator M - Task M1 - Task M2 Monitoring indicator N - Task N1 Operational Work X - Task X1 - Task X2
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Design and Management of Environmental Projects
CAPACITY BUILDING ASSESSMENT Factor
Key elements to consider
1. Skills (for each main activity)
Technical skills Process skills Other skills
2. Shared Goals and Vision
Do team members and partners support the goals and vision?
Were the key implementers involved in the design?
3. Strategy
Do team members and partners support the strategic plan? Is the strategy supported at the highest levels within the organizations? Internal systems, infrastructure and procedures, e.g. IT, HR, finance, office facilities Management capabilities and organizational structure Any aspects of partner capacity not covered under point 1, e.g. management
Were the key implementers involved in the design?
7. Governance
Network arrangements, hierarchy and politics
Also partner involvement, coordination, management
8. Resources
Primarily financial resources
Should be addressed through financial plan & fundraising
9. Power and influence
Connected individuals and institutions with access or leveraging ability
Could be internal or external
4. Systems 5. Management 6. Partners
Comments
Capacity required
Assessing partner capacity can be a sensitive process and can raise expectations that need to be carefully managed.
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Capacity Available
Capacity Gap
Priority
Solution to address
Copyright: © WWF Mediterranean Programme First edition: July 2007 Concept and coordination: Christoph Stein Text editing: Alex Wynter and Montse Suarez Acknowledgments This handbook has been possible thanks to the contribution and commitment of many people. Special thanks are due to: Paloma Agrasot and Pauline Denissel from WWF EPO, Malkhaz Dzenladse from WWF CauPO, Sheila M O'Connor and William Reidhead from WWF Intl, and the EuropeAid Cooperation Office (Unit A3) of the European Commission. This project was made possible thanks to the financial support of the UK Department for Environment, Food and Rural Affairs (DEFRA) / UK Environment for Europe Fund. For further information: Christoph Stein Capacity Building Coordinator WWF Mediterranean Programme C/Canuda, 37 08002 Barcelona, Spain Tel: (+34) 93 3056252 Email:
[email protected] www.panda.org/mediterranean Malkhaz Dzneladze Policy Officer WWF Caucasus PO Merab Aleksidze Str.11 0193 Tbilisi, Georgia Tel: (+995 32) 330 154/330 155/330 552/330 556 Email :
[email protected] www.panda.org/caucasus Paloma Agrasot Neighbourhood Programme Manager WWF European Policy Office, EPO 36 avenue de Tervuren Box 12 1040 Brussels, Belgium Tel: (+32) 2 743 88 11 E-mail:
[email protected] www.panda.org/eu
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