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m bio. evelopmeenntt projects SANBI Biodiversity Series Biodiversity Series SANBI Biodiversity Series 7 Project planning: tools for biodiversity conservation and development projects The first in a series of handbooks dealing with project planning in a people-centred development context compiled by Cape Action for People and the Environment r national biodiversity institute SANBI Pretoria 2007 MCZ LIBRARY DEC 1 4 2011 SANBI Biodiversity Series HARVARD UNIVERSITY The South African National Biodiversity Institute (SANBI) was established on Sep- I tember 2004 through the signing into force ofthe National Environmental Management: BiodiversityAct (NEMBA) No. 10 of 2004 by PresidentThabo Mbeki.TheAct expands the mandate of the former National Botanical Institute to include responsibilities relat- ing to the full diversity ofSouthAfrica's fauna and flora,and builds on the internationally respected programmes in conservation, research, education and visitor services devel- oped by the National Botanical Institute and its predecessors over the past century. The vision ofSANBI is to be the leading institution in biodiversity science inAfrica,facili- tating conservation,sustainable use of living resources,and human wellbeing. SANBI's mission is to promote the sustainable use, conservation, appreciation and en- joyment ofthe exceptionally rich biodiversity ofSouthAfrica,for the benefit ofall people. SANBI Biodiversity Series publishes occasional reports on projects, technologies, work- shops,symposia and other activities initiated by or executed in partnership with SANBI. Technical editors:Gillian deJager, Emsie du Plessis Design & layout: Elizma Fouche Cover design based on Fynbos fynmense: Elizma Fouche How to cite this publication CAPEACTION FOR PEOPLEANDTHE ENVIRONMENT 2007. Project planning: tools for biodiversity conservation and development projects.SANBI Biodiversity Series 7.SouthAfrican National Biodiversity Institute, Pretoria. ISBN 978-1-919976-37-2 © Published by:SouthAfrican National Biodiversity Institute. Obtainable from:SANBI Bookshop, Private Bag X Pretoria,000 SouthAfrica. 1 1, 1 Tel.:+27 2 843-5000. E-mail:[email protected]:www.sanbi.org. 1 Printed by: United Litho,part ofthe D&V Premier Print Group. 367 1 Contents Preface v j Message from the Critical Ecosystem Partnership Fund (CEPF) iv Foreword v Acknowledgements vi Acronyms vi Section1: INTRODUCTION 1. PROJECT PLANNING IN CONTEXT I INTRODUCINGTHE METHOD 2. 2 Section 2: OVERVIEWOFTHE METHOD SUMMARY OFTHE METHOD 1. 7 2. A CASE STUDYTOWORKWITH 8 Section3: THE SEVEN CLASSIC STEPS PARTICIPANTANALYSIS 1. II 2. PROBLEMANALYSIS 1 3. OBJECTIVESANALYSIS 1 4. ALTERNATIVESANALYSIS 1 5. DEFININGTHE PROJECT ELEMENTS 2 6. ASSESSMENT OFASSUMPTIONS 27 7. DEVELOPINGTHE INDICATORS 29 REVIEWINGTHE PROJECT-PLANNING MATRIX 34 Section4: ALOOKAHEAD THE PLAN OF OPERATION 35 Section 5: HOWTO GETFROMAGOOD PLANTOANAPPROVED PROPOSAL INTRODUCTION 37 1. 2. TAKE INTO CONSIDERATION INYOUR RELATIONSHIPWITH FUNDERS 38 3. TIPS FORWRITINGYOUR PROPOSAL 39 APPENDIX1 JARGON ...THE INSIDER'S LANGUAGE 43 APPENDIX2 NOTES FORTRAINERS: HELPING PEOPLETO LEARN HOWTO PLANA PROJECT USING A 'LOGICAL FRAMEWORKAPPROACH' 45 APPENDIX3 LOGICAL FRAMEWORK EXAMPLES FROMTHREE CEPF-FUNDED CAPE PROJECTS: — 3. Mainstreaming biodiversity on the Cape Flats building good practice in sustainable management 57 1 3.2 Partnerships, co-operative management and incentives to secure biodiversity conservation in priority areas in the Cape Floristic Region 67 3.3 The C.A.P.E.Threatened Plants Programme 70 iii Preface It sounds simple, but without people there would be no conservation. If one wants to achieve conservation goals,then people are the source of innovation and commitment that it takes. In addition, people who benefit from conservation are most likely to be interested in ensuring that biodiversity persists into the future. More significantly, conservation provides real opportunities for people to learn, to grow, to develop and to achieve lasting dignity and fulfilment. SouthAfrica's CapeAction for People and the Environment (C.A.P.E.) Programme recognises this and is com- mitted to finding ways of enabling greater participation and involvement of people. This handbook is one of the tools in the C.A.P.E.Toolbox, which addresses the widely felt need to develop, fund and implement conservation projects, particularly at a local level. It is the first in a series of three hand- books that will focus on the essential skills ofproject development, monitoring and evaluation,and implemen- tation. The approach of this handbook is people-centred and participatory. It is part of the efforts of the C.A.P.E. partnership to ensure that biodiversity conservation contributes to broader socio-economic development. It should be used by communities, NGOs, conservation agencies and government to develop and build capacity for more effective action. I am pleased to recommend it to all ofyou who are involved in the challenging butworthwhile task ofensuring that our cities,our region and our country can achieve sustainable development. Dipolelo Elford Chairperson: C.A.P.E. Implementation Committee 5 March 2007 Messagefromthe Critical Ecosystem Partnership Fund (CEPF) Project planning:tools for biodiversity conservation and development projects is an excellent tool for all institutions and individuals involved in conservation. Planning can sometimes be overlooked, in the excitement to start a project and get the ball rolling, but the importance of sound planning cannot be overstated.All too often, projects are conducted straight through, only to find that the end result is not all that was expected, or, all activities were undertaken successfully,but in the end they do not result in a conservation gain.Sound project planning on what we intend to do,when we intend to do it,and who should be involved and at which stages, are all-important factors contributing to the success or failure of our efforts. CEPF enthusiastically welcomes — this addition to the C.A.P.E.Toolbox biodiversity conservation is too important to leave to chance. Nina Marshall Grant Director Critical Ecosystem Partnership Fund 7 March 2007 iv Foreword The Cape Action for People and the Environment (C.A.P.E.) is a partnership programme that seeks to con- serve and restore the biodiversity ofthe Cape Floristic Region (CFR) and adjacent marine environment,while delivering significant benefits to the people of the region. To implement C.A.P.E., stakeholders throughout the region have been encouraged to develop project pro- posals to access funds from a number of dedicated and nondedicated funding sources.These include the WWF Table Mountain Fund, Critical Ecosystem Partnership Fund,the Nedbank GreenTrust and other funds. Projects themselves range from research and conservation management projects on the one hand through a variety of stewardship projects to community-based natural resource management and piloting of business and biodiversity partnerships.The complex process ofproject identification,development,monitoring,report- ing and evaluation has highlighted a number of constraints for project planning experienced by all project proponents.At the 2005 C.A.P.E. Partners Conference, suggestions were made as to how the process could be improved. In response, the C.A.P.E. partnership agreed to develop several tools to support its stakehold- ers to plan and manage projects that would not only help to achieve the programme objectives,but also build lasting capacity. Project planning:tools for biodiversity conservation and development projects is one ofa series ofthree handbooks thatwill form part ofthe C.A.P.E.PartnersToolbox and thatwill guide project developers and other practitioners through the full project cycle. It is based on the excellent guides published by Olive Publications.The C.A.P.E. handbooks are modelled on the Olive series, but are adapted for application in the C.A.P.E. context and in- clude relevant actual case studies that characterise the efforts of C.A.P.E. partners in building capacity that will result in benefits to biodiversity and the communities of the Cape Floristic Region. The C.A.P.E. Co-ordination Unit Acknowledgements ThishandbookisanadaptationoftheProjectPlanningHandbookwrittenbyDavineThaw&MichaelRandeland publishedbyOlivePublicationsin 1998.Itwascommissioned bytheCapeActionforPeopleandtheEnviron- ment(C.A.P.E.) Programmein 2006/7. TheproductionofthehandbookdependedonthesupportofAnneKroonandBramLangenofOliveOrgani- sational Development&Training(OD&T),who,sadly,closedtheirdoorsattheendofAugust2006.Wehope thatthisadaptationwill beasmallcontributiontothecontinuation ofthehighlyregarded legacyofOD&T Specialthanksaredueto DomitillaRaimondo (SANBI Programme Manager:CustodiansofRare Endangered Wildflowers,CREW),who providedthecontextual information and projectexamples,andto PaulaHathorn andTanya Goldman (Cape Flats Nature),Ismail Ebrahim (SANBI,CREW) and Louise Stafford (CapeNature) forextensiveandthoughtful commentsonthedraftversions. — Thanks a—lso to the team ofthe C.A.P.E. Co-ordination Unit Azisa Parker, Monique Damons andTrevor Sandwith fortheirsupportwith the process ofcompilingthe handbookandforcomments on earlierver- sions. CasestudiesbasedonseveralC.A.P.E.projectsthatreceivedtheirinitialfundingfromtheCritical Ecosystem Partnership Fund (CEPF) include: — • TheC.A.P.E.Threatened Plants Programme nowknownastheCustodiansofRareand Endangered Plants Project. • Cape Flats Nature. • TheC.A.P.E.Conservation Stewardship Programme. • PuttingBiodiversityPlanstoWork. Detailed informationaboutall theseprojectscan befound in FynbosFynmense:peoplemakingbiodiversitywork (Ashwell et al. 2006, Biodiversity Series 4. SouthAfrican National Biodiversity Institute, Pretoria),or on the C.A.P.E.website:www.capeaction.org.za Supportfrom SANBI's Publication Unitisalsogratefullyacknowledged. The process ofdeveloping and publishingthe handbook was made possible with financial supportfrom the Critical Ecosystem Partnership Fund. The C.A.P.E. Programme is hosted by the SouthAfrican National Biodiversity Institute,and is supported by 24signatorypartners. Mandy Barnett C.A.P.E.Programme Developer Acronyms C.A.P.E. CapeActionforPeopleandthe Environment CFR Cape Floristic Region LFA Logical FrameworkApproach MBO ManagementbyObjectives ZOPP ZielOrientierteProjektPlanung(ObjectivesOriented ProjectPlanning) VI Projectplanning:toolsforbiodiversityconservationanddevelopmentprojects Section1: INTRODUCTION 1. PROJECTPLANNING IN CONTEXT Thereareanumberofapproachestodevelopme—nt However,thereareoftenconstraintsandobstructions planninginusearoundt—heworld.Oneapproach the todevelopment,forexample: pparrotjieccutl-abrlayseidnaSpopurtohaAcfhrica.isInitncrroedausciendgltyobteihnegSuosuetdh,Afri- • Politicalconstraints—certaininterestgroups candevelopmentcommunityinthelate 1980sandearly denyothergroupsaccesstoresources,decisions 1990s,itisknown byanumberofbrandnames: oropportunities;sometimestheypurposefully • ZOPP(ZielOrientierteProjektPlanung)orObjec- exploitothers. — tivesOriented ProjectPlanning(usedbyGTZ • Culturalconstraints somegroupsofpeople, and DSE). forculturallydetermined reasons,mayoppose • Logical FrameworkApproach(LFA)orLogframe developmentastheyseeitdisruptingthepat- (term usedbyDanida,Norad,SIDA,USAIDand ternsthathavetraditionallyallowedforsocial others). cohesion. — • ProjectCycleManagement(usedbytheEuro- • Geographicconstraints peoplelivingfarfrom peanUnion). thecentresofpowerandproductionareignored orforgotten;oraneconomicviewholdsthat AllofthesedrawfromtheschoolofManagementby suchareasarenot'investmentworthy'. Objectives.Inthishandbookwefocuson LFA. • Psychologicalconstraints—peoplethemselves mighthaveexperiencedviolence,trauma,exploi- Donoragenciesarguethatthevalueoftheseapproaches tationordisregard,anddonothavetheenergy tisivtehsatofthreecyipbireinntgdiencvreelaospemdecnltaroitrygatnoistahteioanism.sThainsdaolbljoewcs- orwilltochangeorchallengethestatusquo. forthemoreeffectivemonitoringofsuccess,andforthe • Environmentalconstraints—peoplewillrelyon assessmentofimpact. natural resourcesfortheirlivelihoods,develop- mentwillbeconstrainedbythedepletionof Thisapproachisused bythedifferentSouthAfrican theseresources,byclimatechangeoranatural governmentdepartmentsatnational,provincialand local disaster. level;andmostpublic-privatepartnershipsareformedto achievetheaimsofprojectsplannedinthisway. • Theveryavailabilityoftherangeofnatural resourcesonwhichallhuman liferelies,isoften Theemergingroleandresponsibilityoflocalgovernment threatenedinareas,becauseofdevelopments istooverseethedevelopmentanddeliveryofservices thatdonottakealong-termviewoftheimpli- toitscommunitiesandtodothiswithcitizenparticipa- cationsofshort-term,morepoliticallyurgent tion.Abasicunderstandingofalogical project-planning demandsformoreimmediateresults. approachhasbecomean importantempoweringtoolfor all. Broadlyspeaking,therearetwowaysofinterveningin thedevelopmentprocess: tGioovnse,rNnGmeOnst/CofBfiOcisalsa,nmdeminbdeivrisduaolfmcievimlbseorcisetoyfocrogamnmiusa-- • Tcohnrsocuigohuslaylosnugpepro-rttesrmpefoipelledwionrikdeanptpifryoiancghthwehsiech niinintfaileuspernhocajeve,ecctot-onbtairsniecbdruetaaepspearntodhaecmihronusinotdoterhrespytlaaanrndenienmdgodroefevteahbleloesptmteoepnst coownnstrpaaicnet—saandprwoocreksisngapthprroouagchh.themattheir interventionsintheirenvironments. • Throughdesigningandimplementingaproject thathasadefined lifespan.Theproject,when Development completed,shouldleavebehindtheresources, capabilitiesandtangiblechangeswi—thwhichpeo- Developmenthappensconstantly.Peoplemakeconscious plecanwillinglycontinuetowork aproject choicesallthetimetochangethingsforthebetter. approach. 'Developmentisnotpredictable;itisbeyondourhoped-forframe;itisdependentongoodtiming(nottime-frames);itisnoteas- ilyquantifiable;anditisdefinitelybeyondourdirectcontrol.' Fromaworkshopinvolvingdevelopmentworkersanddonors(Harare, 1997) 2 Prefect planning:toolsfor biodiversityconservationand developmentprojects If development is seen in this way.then unless designed and planned with sensitivity, 1. 2. with the stakeholders,and 3 with a keen understanding ofthe social and political dynamics and environmental sensitivity in an area, the project approach may do damage rather than facilitate constructive change. In working with LFA it is important to take these kinds ofconsiderations into account. Purpose ofthis handbook to participate in such a course ifthey seek to use the method in practice. To provide a simple and accessible introduction to the Every effort has been made to make project planning • language; jargon as accessible and understandable as possible. • assumptions;and However,we recognise that the jargon may be confusing for those who are familiar with different meanings ofthe • steps same terms.A glossary ofjargon can be found inAppen- ofthe project-planning approach. dix I. In preparing this handbook,we drew largely on our expe- This handbook is aimed at any development practitioners rience of LFA. seeking to: Limitationsofthis handbook • Expand their knowledge about this approach. • Compare different approaches. A handbook is not,and cannot be,a substitute for a train- ing programme in the method. Readers are encouraged • Improve their flexible use ofthe method. INTRODUCING THE METHOD 2. What is LFA? Whatisadevelopmentproject? LFA is a method of planning,comprising a set of steps A development project can be defined as an intervention which addresses developmental problems and a range of'tools',which aim to clarify perceptions, explore options and make choices about what solutions • by offering particular forms ofsupport; would effectively address particular problems. • for a defined target group; • in a specified geographic location;and This approach to planning draws heavily on Management • within a set time-frame. by Objectives (MBO),an approach to managing people and organisations first popularised in business schools The aim ofthese projects is to bring about an ongoing and companies in the United States during the 1950s and improvement in the living conditions ofpeople. 1960s. Assumptionsunderpinningthe project-based approach The Logical FrameworkApproach was first used for planning development projects in the 1970s. It was ar- You will have noted earlier that the project-based gued that development projects were not being planned approach is only one approach to development.Any systematically. Unclear and unrealistic targets were being approach makes certain assumptions and works on the set for projects,and it was proving difficult to co-ordinate basis ofcertain principles. and manage these projects. It is usually at this level ofassumptions and principles that European development-funding organisations have since the most interesting debates occur.So it is useful to ask adopted the Logical FrameworkApproach.This ap- yourselfthese questions: proach has been adapted to fit with different countries' approaches to developmentfinancing. LFA provides an Assumptions? integrated approach to managing different agents' sup- Do1believethese <CT port for development projects in many countries around Principles? the world. It also provides an integrated approach for Assumptions? different development projects initiated by SouthAfrican government departments,civil society organisations and Do1agreewith these <T""^ business. Principles?

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