Project design, preparation and

approval

Basel Convention
Resource Mobilization Workshop

Nairobi, 3 – 7 December 2006

Andreas Arlt
Secretariat of the Basel Convention
 Project Cycle
1. Preparatory phase
2. Project design Project
3. Preparation of the document development
4. Internal approval
5. Fund raising
6. External approval
7. Implementation
8. Evaluation

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

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Awareness raising 3
 Project Identification

Project Environmental
Identification Assessment
based on identified (technical, social,
activities, goals and economic)
time frames

Project Development

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

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 Project design (2)

Project Planning Flow

Objectives Results Outputs Activities

Implementation Flow

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 Project Preparation

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

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

 See examples

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

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

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

Objectives are high level aims which the project’s results will not
necessarily fully satisfy.

• Objectives should identify short, medium and long-term

benefits.
• Have a concrete list of what you want to achieve
• Make a clear distinction between the objectives and the results

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

1. Express results as qualitative, quantitative or value-added

aspects;
2. Give results a concrete nature in relation to the objectives;
3. Make sure results have a clear cause-and-effect relationship
with the objectives;
4. Results should identify the end-users or beneficiaries;
5. State a meaningful and detectable change;
6. Avoid long-term goals;
7. Never formulate results in an open-ended or on-going manner.

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 Project content: Outputs
Outputs are the lowest level results in the logical intervention
chain and the final and concrete products of the activities
undertaken.
An output is a specific product delivered by the activities that are
needed to accomplish the project’s objectives and results.
1. Outputs should constitute the optimal combination necessary for
achieving the results;
2. They should be deliverable, given the project timeframe and
resources;
3. They should be described as concretely and precisely as
possible, and in quantifiable terms.

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 Project content: Activities
Activities describe the specific work or tasks to be performed
within the project to transform resources into outputs =
Activities illustrate the link between inputs and outputs and
produce the outputs.

1. Activities should be formulated in a concrete manner.

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

INPUT Activities OUTPUT

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 Project Budget and Work Plan
Budget
• Needs to be prepared according to the formats of the donor
agency, e.g. according to the UNEP Project Manual
Work plan
• Provides the concrete implementation plan for the project;
• Sets the deadlines to achieve milestones, to finish
modules/phases of the projects;
• Assigns to each activity a period and moment within the project
implementation phase when the activity is supposed to be
carried out.

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 Project Approval Procedure
National National
Stakeholders National Focal Point Stakeholders

Commitment on Co- Approval Revision of proposal for

Funding, Partnership, etc. approval by Int. Partner

International Partner
(UNEP, IE for GEF, etc.)
Revision of proposal for approval
by Int. Donor Agency

International Donor (Agency)

(UNEP, IE for GEF, etc.)
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 Contact

Dr. Andreas Arlt

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

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