KM for Upscaling

Knowledge Management for Upscaling A Practical Guideline for GIZ Programs and Projects in the Green Sector

Imprint This publication is by the Deutsche Gesellschaft f端r Internationale Zusammenarbeit (GIZ) GmbH

April 2012 Produced by the Environment and Rural Development Program-Deutsche Gesellschaft f端r Internationale Zusammenarbeit (GIZ) GmbH 2/F PDCP Building Rufino cor. Leviste Streets Salcedo Village, Makati Philippines Tel. +63 2 892 9051 website: enrdph.org

Contact

Dr. Walter Salzer Principal Advisor- Environment and Rural Development Program

Content and Editorial Dr. Walter Salzer Shaleh Antonio Erlinda F. Dolatre Marifel T. Moyano Ursula Flossman

Contents Introduction

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Objective

6

Making the Connection: Up-scaling and Knowledge Products

7

Knowledge Defined

8

The Link Results-based Management and Knowledge

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Knowledge Management Defined

10

Stages of Knowledge Management Knowledge Identification Knowledge Capture Knowledge Storing Knowledge Packaging Knowledge Sharing and Communicating

14 15 16 17 20

Annexes

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Up-scaling and Mainstreaming of EnRD-tested Approaches: General Process Flow

22

How to write a

Knowledge Product Teaser

Product Description

Lessons Learned Paper

Comparative Experiences Paper How-to-Guide

Policy Paper

23 24 25 26 27 28

Matrix of Knowledge Products in the Green Sector

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DMS Structure for the Green Sector

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Introduction

Up-scaling and Mainstreaming of Tested Approaches

Over the last four to five years, GIZ Philippines through its Green Sector Programs and Projects (e.g. EnRD, Forclim Panay, REDD etc.) has endeavoured to support its partner agencies at national and local levels in improving the implementation of relevant policies in pursuit of sustainable management of natural resources. Tested approaches and other experiences focusing on land, forest and coastal zones have shown good potential for wider dissemination and up-scaling.

Knowledge Management for Upscaling: A Practical Guideline for GIZ Programs and Projects in the Green Sector

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Objective

Up-scaling and Knowledge Products

The objective of upscaling and knowledge products is to contribute to the improvement of policies and management of natural resources (focusing on land, forest and coastal zones) Specifically, it aims to:

• To document the GIZ-tested approaches in natural resource governance; • To assist decision makers in formulating policy & implementation recommendations resulting from GIZ interventions and its subsequent approval by relevant departments; • To communicate/disseminate the GIZ-tested approaches to a wider audience e.g. through the National Convergence Initiative Technical Working Group and the Philippine Development Forum Working Group on Sustainable Rural Development or other relevant bodies.

[ refer to ANNEX 1: GENERAL PROCESS FLOW OF UP-SCALING AND MAINSTREAMING TESTED APPROACHES]

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Knowledge Management for Upscaling: A Practical Guideline for GIZ Programs and Projects in the Green Sector

Making the Connection Up-scaling and Knowledge Products

GIZ-EnRD envisioned the up-scaling of tested approaches already in the commission document. It is in this context that this document has been formulated to provide guidance in ensuring strategic documentation and packaging of the knowledge generated through program/project implementation. As the concept of identifying, packaging and up-scaling of knowledge products has been further refined it is now ready to be used by other projects and programs as well as Development Workers active in the Green Sector.

When all these materials are packaged and disseminated, Programs should monitor the extent to which these materials are used (i.e. particularly the actions and decisions taken based on the products, applications and innovations), and whether or not the envisaged benefits and impacts are achieved. For this purpose, feedback platforms are established in each step of the knowledge management process.

Through these feedback venues, the perceptions of various audiences are processed and used to further improve knowledge.

Knowledge Management for Upscaling: A Practical Guideline for GIZ Programs and Projects in the Green Sector

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Knowledge Defined

Up-scaling and Mainstreaming of Tested Approaches

Continuous/regular collection of data and information, and further processing them to establish patterns and trends (in relation to other data and information), are the processes that confer data and information to become knowledge.

How is data and information different from knowledge?

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Data:

Numbers, words or letters without any context, without reference to either space or time.

Information:

The understanding of the interrelationship between two or among several data along the spatial and temporal dimensions.

Knowledge:

The association of two or more data and information that creates its own context and patterns

The Link

Results-Based Monitoring System and Knowledge

Results-Based Monitoring provides primarily data and information against a set of observed objectives and indicators. It should be complemented with sound knowledge management (KM). KM ensures identification, capture, storage and sharing of knowledge resulting from implementing development interventions.

Programs establish a Results-Based Monitoring System based primarily on the commissioned project document or offer. Taking off from the indicators outlined in the offer, a RBM framework is established. The resulting document from this exercise is the monitoring plan (or M&E plan). Designated monitoring bodies collect data, evaluate, analyze and package them for reporting using the established reporting formats and tools.

The M&E plan provides: • What information to gather • Sources of verification of the information gathered • Indicated responsible parties who shall perform actual data collection and processing of information, and the time frame/schedule Based on the collected monitoring data and information which are complemented with all kind of unstructured / informal information: • Lessons and emerging trends from implementation are obtained and documented, and fed back to the implementing levels for steering purposes • Facts and figures are generated for reporting, advocacy, generating knowledge and overall for enhancing visibility

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Knowledge Management Defined Knowledge management is defined as ‘the creation, organization, sharing, and use of knowledge for development results ’. The stages and processes of knowledge management for upscaling at the pilot, replication and upscaling stage are shown at the diagram on the right.

As development practitioners, each of us has his/her store of personal knowledge on a variety of subjects and fields of expertise. KM is a continuing process whereby we reflect on, and share, knowledge and experiences, and then together collectively build on them to improve the way we work.

The challenge here therefore is how to capture this knowledge and make it available, improve it, and use the same towards ultimately contributing to the positive transformation of man, society and environment.

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Knowledge Management for Upscaling: A Practical Guideline for GIZ Programs and Projects in the Green Sector

Knowledge Management for Upscaling: A Practical Guideline for GIZ Programs and Projects in the Green Sector

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Pilot Phase

M&E Pilot Phase

Sharing & Exchange

Storage

Testing of the Concept

Profilin g

Capture & Docume ntation Sharing & Exchange

Storing

Policy Adoption

Policy Implementati on Capture & Document ation

Profiling

M&E Replication Phase

Replication Phase

Further testing of the Improved Concept

Drafting of Policy Paper/s

Advocacy & Promotion

M&E Policy Implementation

Upscaling Phase

Knowledge Products Documentatio n& Packaging

STAGES & PROCESS OF KNOWLEDGE MANAGEMENT FOR UPSCALING

Stages of KNOWLEGE MANAGEMENT Up-scaling and Mainstreaming of Tested Approaches

Knowledge Management for Upscaling: A Practical Guideline for GIZ Programs and Projects in the Green Sector

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Stage 1

Knowledge Identification

implemented by the program/ This stage of Knowledge Management project/component? clearly identifies what knowledge to • How far is the knowledge product be produced. This is achieved through developed (including supporting a proactive review and evaluation of data to describe its characteristics)? the various aspects of a development intervention, its environment and intended outcome intervention (e.g. current 3. The Knowledge Product Description describes the overall interventions/ policies, processes, framework condition, measures implemented and includes etc.) to which the program is envisioned to the description of the potential contribute or provide knowledge to. knowledge according to Step 1 and Step 2.

Steps

1. Identify potential knowledge areas •Determine the nature of the intervention/measure •Determine if it relates to: oInstitutional/organizational strengthening o Technological improvement o An innovation of current practice or a pioneering effort

Product Description are short discussion papers exploring and conceptualizing new topics, emerging trends and cross-cutting issues. They are initially internal documents for the Program, but are important in providing the rationale for all the knowledge products, services and by-products that will be produced. For up-scaling purposes the concept paper focuses on the quality, cost and cutting edge nature of the product.

2. Scoping Describes the policy landscape and gaps to which the program intends to contribute. Scoping entails: • What are the policies being supported and complemented by the program/project/component?

• What are the underlying problem/s that must be dealt with?

• What are the interventions/measures

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Knowledge Management for Upscaling: A Practical Guideline for GIZ Programs and Projects in the Green Sector

Stage 2

Capturing Knowledge

This stage of knowledge management provides tangible and continuous documentation that describes the response of the Program in terms of the interventions/ measures implemented.

It documents: • The continuous nature of the intervention/measure • The actors involved in the process and their roles • A periodic assessment of the extent to which the problem has been addressed • Description of evolving feasibility and acceptability of the intervention/ measure

Steps 1. Identify supporting documentation of knowledge from various implementation meetings and documentation (e.g. team meetings, annual assessment and planning workshops, learning forums, etc.)

2. Develop Knowledge Profiles. To ensure comparability of the knowledge generated through different knowledge venues and tools across project implementation, and to ensure overall quality, it is crucial to develop knowledge profiles. Knowledge profiles provide structure and simple uniform processes and format for capturing knowledge.

Knowledge Profiling: The Detailed Steps 1. Description of the knowledge gained 2. Specific steps / activities implemented (‘outputs’) 3. Use made of specific outputs and benefits gained (‘outcomes’) 4. Methods, tools and instruments applied 5. Specific experience, knowledge and innovations gained during implementation:

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7.

8.

9.

10.

11.

• What functioned well • What did not function well (opposing views of the interviewees should be mentioned as well) Important frame conditions relevant for the knowledge product • Promoting factors • Hindering factors Assessment of impact of the module Assessment of sustainability Assessment of replicability and up-scaling Who is knowledgeable about the module or elements of it?

In what documents can one find relevant information?

Knowledge Management for Upscaling: A Practical Guideline for GIZ Programs and Projects in the Green Sector

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Stage 3

Knowledge Storing Step Identify where to store your knowledgebased documents Within GIZ, there is a Document Management System (DMS) which serves as the organization-wide repository of information and knowledge. It facilitates storage and easy retrieval of program and project documents, among others.

Within a Program/Project, there may already be a number of facilities available to ensure effective and efficient storage and retrieval of information and knowledge.

There are for instance, the electronic/online information system (e.g. such as servers and websites) and the usual printed/hardcopies of various published and un-published documents, reports, etc.

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Knowledge Management for Upscaling: A Practical Guideline for GIZ Programs and Projects in the Green Sector

Stage 4

Knowledge Packaging There are many different forms in which a knowledge product can be developed and packaged. Its form depends on the audience and their information needs.

For meaningful learning and knowledge sharing, knowledge products should be of high quality with a clearly identified audience and purpose.

Steps 1. Collate documented tested approaches including documents, photographs, etc.

2. Review quality of documentation and its appropriateness as a knowledge product 3. Determine the knowledge product format that can enable and support decision-makers in formulating policy recommendations resulting from interventions and its subsequent approval by relevant partner agencies 4. Communicate/disseminate the tested approaches to decisionmakers through/in support of the Communication Plan designed for the program/project

Characteristics of a good knowledge product • Designed for a specific audience, taking into consideration functional needs and technical levels (and political frame conditions) • Relevant to decision-making needs • Timely, up-to-date, describing the latest state of art • Written in clear and easily understandable language • Data/information is presented in a clear manner • Based on evaluated information without any bias • When appropriate, developed through a participatory process and validated through a quality assurance process with relevant stakeholders • Easily accessible to the target audience through most effective and efficient communication & presentation means • Enhances visibility and learning

Knowledge Management for Upscaling: A Practical Guideline for GIZ Programs and Projects in the Green Sector

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Stage 4: Knowledge Packaging

Main Knowledge Products Knowledge Products to Package for Up-scaling For the purpose of up-scaling [Refer to Annex 1: Background Paper on Up-scaling and Mainstreaming of Tested Approaches], the sequencing and prioritization of knowledge products, services and knowledge by products are important

Knowledge Product

What they are and when to write them

How does it relate to other Knowledge Products

Two-page Teasers

Maximum two page. Highly visual and brief. Describes innovative element of the product, main costs and emerging results.

A 2-6 page summarized description of the concept of the innovative knowledge product that will be tested / applied

Provides quick reference to the “cutting-edge� or innovativeness of the knowledge product

Product description

Knowledge Profile

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The first step towards the development of further, more in-depth knowledge products such as Policy Papers and as reference in providing context to introduce sequential knowledge products A 2-6 page summarized Provides a comprehensive overview description of the innovative based on the format of the knowledge knowledge product that has been profile format tested / applied [Page 17]

Knowledge Management for Upscaling: A Practical Guideline for GIZ Programs and Projects in the Green Sector

Stage 4: Knowledge Packaging

Add-ons: Other Knowledge Products The knowledge products listed below may be developed and packaged in addition to the main types of knowledge products, as supporting materials. Such types of knowledge products are important to elaborate on the documentation of ‘evidences’ to the tested-approach being upscaled.

Knowledge Product

What they are and when to write them

How does it relate to other Knowledge Products

Comparative Experiences

Compilation of experiences on topics which showcase various approaches and distill shared commonalities and challenges

These provide the evidence to draw conclusions from the Program/ Component experience, and add weight to recommendations on how target partners/ stakeholders should move forward in terms of policies and programs.

Lessons Learned

Case-specific, limited in scope.

Reflections on past practice and concrete recommendations for improving policies/ technology/ process

Synthesize evaluations and reports, good practice and comparative experiences into concrete studies of the Program’s work on the ground.

They reflect on past practice and provide concrete recommendations for improving the Program’s performance in the future

How to Guides

Practical and operational guidance for Program focal points and targeted partner audience on specific areas of GIZ’s work

Builds on and incorporates the content of Lessons Learned and Comparative Experiences papers. It also details the programming aspects of the Policy Paper.

Policy Paper

Articulates the Program’s position as a whole/per main component on a particular intervention. Based on both experience and policy trends, and synthesize cutting-edge factor of a particular knowledge product to be up-scaled

Prerequisite knowledge products prior to a Policy Paper are: Lessons Learned papers and Comparative Experiences papers A How-to-Guide can be done before or after a Policy Paper also.

Knowledge Management for Upscaling: A Practical Guideline for GIZ Programs and Projects in the Green Sector

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Stage 5

Knowledge Storing A communication manager ensures that organizational knowledge is shared, communicated and disseminated to appropriate audiences e.g. using the GIZ internet and intranet, the GIZ PH and Pacific and program/project websites, the GIZ newsletter, the eMAIL platform/system, and others (e.g. Philippine Development Forum, National Convergence Initiative, etc).

At the program/project/component level, communication plans are formulated to capture and disseminate specific knowledge in relation to the defined knowledge products.

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Knowledge Management for Upscaling: A Practical Guideline for GIZ Programs and Projects in the Green Sector

ANNEXES

Up-scaling and Mainstreaming of Tested Approaches

Knowledge Management for Upscaling: A Practical Guideline for GIZ Programs and Projects in the Green Sector

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Up-scaling and Mainstreaming of EnRD-tested Approaches: General Process Flow Background/Rationale

Over the last 4-5 years, EnRD has endeavored to support its partner agencies (DA, DAR and DENR) and the communities in which the program operates in improving the implementation of relevant policies in pursuit of sustainable management of natural resources. Tested approaches and other experiences focusing on land, forest and coastal zones have shown good potential for wider dissemination and up-scaling.

Objectives

To contribute to the improvement of policies and management of natural resources (focusing on land, forest and coastal zones) • To document the EnRD-tested approaches • To assist partners in formulating policy recommendations resulting from EnRD interventions and its subsequent approval by relevant Department • To communicate/disseminate the EnRDtested approaches to a wider audience through the National Convergence Initiative Technical Working Group and the Philippine Development Forum Working Group on Sustainable Rural Development and its subworking groups

General Process Flow A. Scoping Identify the policy gaps and EnRD interventions innovations

Guide Questions: • What are the policies being supported and complemented by the program/ component?

• What is/are the underlying problem/s that must be dealt with?

• What are the interventions/measures implemented by EnRD?

B. Documentation of EnRD-tested approaches Describe the response of EnRD in terms of the interventions/measures implemented

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Guide Questions: • What is the nature of the intervention/ measure? Does it relate to technological improvement or institutional/organizational strengthening? Is it an innovation of current

practice or a pioneering effort?

• Who are the actors involved in the process?

What are their roles?

• What is your assessment of the extent to which the problem has been addressed?

• How do you ascertain the feasibility and acceptability of the intervention/measure?

C. Evaluation of the tested approach in coordination/consultation with relevant partners • Selecting partners for scaling-up (e.g. regional/provincial partners, on the basis of their mandate, competencies for communication, advocacy and policy advice) • Presentation of the improved approach for evaluation/ comments and recommendations and subsequent endorsement to respective Policy Office/ Technical Working Group for further review/ technical evaluation • Formulation of the communication strategy D. Drafting/Formulation of new policy issuance or amendments to existing policies (e.g.

Administrative Orders, Memorandum Circulars or laws) E. Legitimization of proposed policy issuance (by the respective Department(s)) following a standard internal process of deliberation and approval F. Policy Advocacy and promotion of the approved policy issuance (for wider dissemination and adoption and possibly, funding support) to the National Convergence Initiative (NCI), Philippine Development Forum’s Working Group on Sustainable Rural Development of the (PDF WG on SRD) and other channels.

G. Joint Monitoring and Evaluation of the implementation of policy with the partner for quality assurance and steering of the process (one year after?)

Knowledge Management for Upscaling: A Practical Guideline for GIZ Programs and Projects in the Green Sector

How to write a Knowledge Product Teaser LENGTH: 2 pages WORD COUNT: Maximum 500 words Outline of Content Front Page • Knowledge Product Name • Main Message regarding benefit (one-word) • Sub-title for the main benefit (four words/ phrase) Back-page • Innovative Elements • Expected main costs and contribution • Results • Contact Info

STEP 1: Describe the innovative elements the knowledge product

STEP 3: Describe what has been achieved (so far) by this innovation.

■ Indicate results achieved by the knowledge product

STEP 4: Indicate who to contact

■ The GIZ Principal Advisor of the Program/ Project.

■ Contact details of the main implementing partner agency/ ies.

Why use strong Images on the product teaser?

■ The Product Teaser is a visually compelling material for decision-makers that showcases the benefits of the knowledge products using photography and concise description on the knowledge product.

■ Consult previous knowledge products on the topic to ensure that the innovativeness of the GIZ knowledge product is unique or/ builds/ enhances existing knowledge ■ ‘Innovativeness’ of the knowledge product can be in the area of institutional strengthening or a pioneering technology

STEP 2: Expected main costs and contribution

■ National | Local government resources: Describe the main costs and contribution that is being recommended to be taken on by a national government agency/ies; local government (provincial and/or local government unit) to be able to deliver/ implement the knowledge product being upscaled, using their own resources.

■ External/ Third Party: If there are external / third party funds needed, indicate this too.

Knowledge Management for Upscaling: A Practical Guideline for GIZ Programs and Projects in the Green Sector

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How to write a Product Description

LENGTH: 2- 6 pages

Outline

• Situational analysis • Policies being supported / complemented and identified policy gaps • Goals and objectives • Measures and specific innovations of the product o Methods / tools / instruments to be applied o Role of selected partners (national and local) o Process diagram(s) of overall / main product and / or sub-products • Anticipated results and indicative measures to monitor and evaluate results • Estimated budget and cost contribution / share with partners • Feasibility, acceptability, and sustainability factors

Description of each part:

1. Situational analysis: a brief background on the existing framework conditions, specific development challenges / opportunity and needs to be addressed by the tested approach (include description of the target population affected by the issue). This is the hypothesis part of the concept. This should provide a description of what the tested approach will contribute (e.g. maybe in terms of policy, streamlining of procedures, etc).

2. Description of policies (e.g. RA, EO, AO) being supported / and or complemented by the product and the identification and elaboration of the policy gaps that the product will support or complement.

3. Description of the goals and objectives and how objectives relate to specific challenges/ opportunities in the country.

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4. Description of the measures and specific innovations of the approach/technology to be upscaled (include gender and conflict focus) • Describe the method(s)/tools/instruments of approach/technology • Role of proposed / selected partners (specific national and local agencies/academe / NGOs) • Include a process diagram of overall/main product and highlighting of expected subknowledge products 5. Anticipated results and indicative measures to monitor and evaluate results. Include who are the partners to be involved in testing and monitoring the anticipated results.

6. Estimated budget of key costs as well as amount and source of cost share contribution in cash or in kind of targeted partners. This should also highlight and compare key costs (including personnel requirement) of the following: I. Cost when using the existing/traditional approach (meaning without our intervention or not using the tested or promoted approach) II. Cost when partners use the promoted approach 7. Brief statement as to why the proposed activities are technically and financially feasible and how the proposed activities will be feasible / accepted / sustained after the Program ends. At the minimum this should account for the following: I. Technical feasibility / effectiveness.

II. Financial viability / efficiency III. Temporal requirement (how long? From pilot testing, replication) IV. Whether the anticipated results are achieved?

How to write a Lessons Learned Paper LENGTH: Maximum 15-20 pages Outline of Content

• Executive Summary • Introduction, Background and Purpose of the Lessons Learned paper • Methodology • Overall Findings • Specific Accomplishments • Summary of on-the-ground accomplishments o Summary of indicator/contribution to Program indicators accomplishments o Summary of partnership-based achievements • Limitations and Obstacles o Summary of obstacles to implementation o Summary of obstacles to successful partnership development • Lessons Learned and Recommendations

What is a Lessons Learned paper?

draw out lessons learned through a facilitated discussion or workshops.

STEP 2: Drafting

■ Consider who is best placed to draft a Lessons Learned paper – often it is the person who was most involved in the project or activity.

■ On the other hand, there are times when an outside eye has its advantages. For example, it may be difficult for project managers to be critical when writing about their own projects; someone less directly involved may be better placed to highlight and discuss both the negative and the positive impacts of the work.

STEP 3: Reviewing

■ Ask a few selected colleagues to review the Lessons Learned paper in its initial draft, and to focus their comments on its scope, readability and usefulness.

Lessons Learned papers synthesize evaluations and reports, good practice and comparative experiences into concrete studies of the Program’s work on the ground. They reflect on past practice and provide concrete recommendations for improving the Program’s performance in the future. Lessons Learned papers can either be expansive reflections on program output/outcomes/results, or short one or two pagers on individual projects or specific activities within a project.

STEP 4: Dissemination

Depending on the amount of lessons learned, these could also be packaged as a single or a series of publication under a particular innovation theme.

■ On the other hand, there are times when limiting your audience will encourage participants to be more candid during the process of reflection. Make sure that all those involved in the process are clear about who the lessons learned are intended to reach.

Tool>> Knowledge Profiling (please refer to Annex 1 of this document) product.

STEP 1: Research

■ There are occasions when the research for a Lessons Learned paper can be done by individuals alone. Often, however, it is worth involving others in the process in order to bring in new ideas, critical ideas, and fresh perspectives. This may mean, for example, meeting with colleagues and partners to

■ Lessons Learned papers should be shared as widely as possible within and beyond the organization to encourage others to learn from your successes or avoid repeating the same mistakes. You can use the Knowledge Networks, workshops and practice workspaces for this; and/or feed components of the Lessons Learned paper into wider studies and reports on issues, countries/ regions, projects/activities, etc.

STEP 5: Follow-up

■ Lessons Learned papers, and particularly the section on follow-up recommendations, should be reviewed and updated as circumstances change.

Knowledge Management for Upscaling: A Practical Guideline for GIZ Programs and Projects in the Green Sector

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How to write a Comparative Experiences Paper LENGTH: Maximum 15 pages Outline of Content • • • • • • •

Executive Summary Introduction, Background and Purpose Methodology Overall Findings Elaboration of Key Findings Limitations and Obstacles Conclusions Recommendations

What is a Comparative Experiences paper?

Comparative Experiences papers are compilations of experiences on specific topics.

They are dynamic, online documents that can be added to as new experiences are shared.

Comparative Experiences papers aim to inform readers about the Program experiences on a certain topic in order to showcase various approaches and distil shared commonalities and challenges. Some of the common characteristics of a Comparative Experiences paper are:

■ The content is based on experiences within the Program implementation on a certain topic – and thus, the content is ‘owned’ by practitioners of the product being upscaled; and ■ Comparative Experiences papers are both descriptive and analytical. The descriptive element provides ideas and options for approaching topics, whilst the analytical element provides lessons and examples of good practice that can help the user make informed decisions about which approach to take.

the paper) • Time-frame for developing the paper

STEP 2: Collecting information and mapping experiences

■ The most common approach for developing a Comparative Experiences paper is a desk review.

■ Identify key practitioners or stakeholders relevant for a specific topic to solicit their possible contributions to the study, and supplement information by looking into experiences by partners (local/provincial/ regional/national).

STEP 3: Analysis and drafting

■ Analyze the information collected to distil the commonalities, the differences, good practice and lessons learned.

STEP 4: Dissemination

■ Think about who you want to share your Comparative Experiences paper with. You may wish to share it with the other components/ Chief Advisers that have contributed to your research, or distribute it more broadly within your area of implementation

STEP 1: Brainstorming and defining the scope of the analysis

■ Consult previous experiences on the topic to avoid duplication of research; and ■ Develop a concept for your Comparative Experiences paper. The concept should outline: • Methodology • Key issues to be addressed (Identify a few key issues that will provide the analytical angle of

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Knowledge Management for Upscaling: A Practical Guideline for GIZ Programs and Projects in the Green Sector

How to write a How-to-Guide LENGTH: Maximum 15-20 pages Outline of Content

• Executive Summary • Part 1: About this Guidebook o What is this Guidebook o Who is it for o How do you use it o Definitions o Historical data (if needed) • Part 2: The Players (who is involved) • Part 3: Important steps in establishing (more maybe determined ) o Summary of major phase/ activity/ responsibility of/time required/cost o Lead Proponent o Plans to develop (evaluation, management, operational, etc.) o Securing Finance o Policy development o Technological needs/materials o Staffing • Part 4: Developing Sound Policies o Important Policy Areas • Part 5: Limitations and Obstacles • Part 6: Recommendations and Conclusions

What is a How-to Guide?

How-to Guides provide practical and operational guidance to both Program/Component focal points and/or a targeted partner audience. A How-to Guide gives staff suggestions on how to implement a certain project, process or initiative in order to achieve its objectives in the best possible way.

It gives guidance, methodological support and practical suggestions on how to implement specific projects or initiatives, and should be based on lessons learned from Program’s experience and comparative experiences from other partners and related literature.

STEP 1: Research

■ Information sources for data and expertise collection should include, among others: o Reviews of existing guidelines and manuals on the topic (internal and external) o Reviews of Lessons Learned and

Comparative Experiences papers on the topic by the Program and other actors; o Reviews of relevant mission reports, project documents, progress reports, monitoring reports, and available evaluations; o Web-based research to capture additional information; and o Review of documents from relevant other thematic and service lines

STEP 2: Drafting

■ Each How-to Guide needs to have a lead author and a process manager, who should be given adequate time to develop the guide. Depending on the resources of the team, the process manager and lead author may be the same person.

■ When starting a How-to Guide, the lead author will outline the process of development, determine necessary steps, assess the required time-frame (including deadline), and calculate possible financial resources (including translations if desired).

■ Pay particular attention to the writing style, keeping it as simple and practical as possible.

Technical language may be used if it is likely to be understood by the target audience.

STEP 3: Reviewing

■ A small (up to six people) and well-targeted Peer Review group that involve key partners (including representatives from Program partners) should be identified when the How-to Guide is planned. Their commitment should include a willingness to comment on the outline and structure of the How-to Guide, as well as on the detailed content at a later stage.

STEP 4: Dissemination

■ The How-to Guide will be posted on the EnRD website and other relevant networks.

STEP 5: Follow-up

■ A content review and update one year after completion is recommended. This should include a review of the use and utility of the How-to Guide by partners.

Knowledge Management for Upscaling: A Practical Guideline for GIZ Programs and Projects in the Green Sector

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How to write a Policy Paper LENGTH: Maximum 30 pages Outline of Content • • • • •

Introduction What is ____ Why do we need____ Current status on ___ Highlight key issue(s) on current status/ arguments • Requisites/ Features • Recommendations • References

What is a Policy Paper?

Policy papers articulate the Program’s position on topics related to each of its Component and emerging national policy trends, they synthesize the Program’s cutting-edge thinking throughout the implementation of the product being upscaled.

Policy Paper contains examples of good practice, lists of experts, further reading and links to online resources. They are written and facilitated by specialists. The audience is primarily target partners and policy makers.

STEP 1: Research

■ Look at existing guidelines and policy papers on the topic (internal and external) ■ Gather progress reviews and evaluations of relevant external projects, paying particular attention to external evaluations as these are likely to be more impartial and critical than internal evaluations. Consider conducting project evaluations if none has so far been carried out.

■ Review the latest academic literature.

■ Carry out face-to-face research by holding a workshop at the start of the process. Think carefully about who to invite and what they will bring to the session. Seek out various experts on the topic, particularly those with hands-on, practical experience of running projects and overseeing processes. Focus on project examples during the workshop which can then be used as case studies within the Policy Paper. Use the workshop to also seek comments on the proposed focus and structure of the document. Ask the same experts to be involved in a later Peer Review of the Policy Paper as it develops.

STEP 2: Drafting

■ For the sake of consistency, appoint one person to act as author for the entire Policy Paper, rather than different authors for different chapters. That person should know the Program/Component extremely well, and should have good links with other experts in the subject area both within and beyond GIZ.

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■ Keep the Policy Paper as short and as practicebased as possible. The content should be accompanied by examples from country offices, checklists and other text boxes that help to illustrate the content.

■ A Policy Paper is likely to be read by a wide audience outside the organization. Therefore, keep the writing style as simple and accessible as possible.

STEP 3: Reviewing

■ A timely and substantive Peer Review should form an essential part of the process of finalizing a Policy Paper. Consider inviting external as well as internal colleagues to participate, to test how accessible the product is to an outside audience.

Ask a Peer Review group in advance to commit at least one day to providing written comments on the first draft of the Policy Paper, and another day to commenting on a later draft. Since the drafting of a Policy Paper is a long-term process, build in more than one round of Peer Reviews and consultations.

■ To add ‘weight’ to the process, ask other component advisers (Chief/Senior) and Principal Adviser’s advise.

STEP 4: Approval

■ A Policy paper is a major policy document, thus it needs the approval of Chief and Principal Advisers.

STEP 5: Dissemination

■ Before finalizing the numbers of copies required, and deciding on the languages in which the paper will be published, spend time designing a comprehensive dissemination strategy for the Policy Paper. Make sure that partner and Head Office/Regional/ local offices will have adequate copies of the paper to hand out to pertinent audience.

■ Given the importance of a Policy Paper, think about organizing a high profile launch event, or a series of events, to kick-start the dissemination process. If this is not practical or desirable, then link the publication of the Policy Paper to an already scheduled event of an implementing/key partner, such as a conference or workshop relevant to the subject covered by the Policy Paper.

STEP 6: Follow-up

■ Approximately a year after dissemination of the Policy Paper, follow up with readers to assess its use and applicability. If significant changes have occurred in the thematic area during that time, or if readers are particularly negative about the Policy Paper’s applicability, consider publishing an updated version.

Knowledge Management for Upscaling: A Practical Guideline for GIZ Programs and Projects in the Green Sector

Matrix of Knowledge Products in the Green Sector ANNEX 6 Knowledge Product Landscape -­‐ Focal Area: Environment, Rural Development, Climate Data as of January 17, 2011

Sector

Knowledge Product

1. PDSS

Status

Sub-­‐Products

Participatory Land 2. NRG (PLUDP, 2.1. SIMPLE -­‐ …)

Sustainable Integrated Use & Dev Planning Management Planning for LGU Ecosystems

3. Coastal Zone Management, Fisheries, Marine Biodiversity

Text

Main elements of product in place. Final product description expected 1stQ 2012.

Modularized content allows addition to product as need arrises. Ready for replication 1stQ 2012.

Key

Ups

Components/ Projects involved so far

Client

NRG, CBFM, DRM, KYP Partial CFRM, PDSS, DP set available Component 1, 2 and 3

2.2 iTAX

2.3 eCCTs

StP

Tbd

PDSS, NRG, CBFM, REDD, CFRM

2.4 Mainstremaing of adaptation into local planning (including climate proofing and packaging of climate information)

Modular Approach to Climate Proofing

KyP

Part

none

3.2 CFRM Technologies 3.2.1 Fishing Vessel Registration Software and Manual

SuP

Full

none

3.2.2. FARMC Mentoring Guidebook 3.2.3. Certification Manual on the Production of Organic Bangus and Tilapia

SuP

Part

none

StP

Tbd

none

StP

Tbd

none

PoP

Tbd

DP

3.1. CFRM Planning

3.1.1 CFRM Planning as part of the Ridge to Reef Framework Approach

3.3.2 Coastal

Monitoring Handbook / Toolbox

3.2.4. Mangrove Belt Technologies 3.2.5. Alliance Cookbook with Innovations in CFRM

29

3.3 ACCCoast 3.3 ACCCoast

3.3.1. Manual or Still a plan (wish) Training Guide oor n 3.3.1. Manual Still a plan (wish) Enhanced PCRA o(n VA Training Guide Assessment tools Enhanced PCRA (VA mainstreamed into Assessment tools the PCRA); Related mainstreamed into Manual or TRraining the PCRA); elated Guide for Manual or TTraining raining of Trainors Guide for Training

3.3.2. Tool Kit for Still a plan (wish) Climate-­‐smarting 3.3.2.

Tool Kit for Still a plan (wish) Appropriate Climate-­‐smarting Resource Appropriate Management Resource and/or Management Development Plans and/or (including the PMlans &E Development component) (including the M&E

Still a plan (wish)

Still a plan (wish)

ACCCoast, VA NGAs (e.g.

Consultants/Scientists DENR, ACCCoast, VA NGAs (e.g.

BFAR); Consultants/Scientists DENR, LGUs; NGOs; BFAR); POs LGUs; NGOs; POs

of Trainors

ACCCoast; NRG for PLUDP-­‐related ACCCoast; NRG for PLUDP-­‐related

NGAs (e.g.

DENR, NGAs (e.g.

BFAR); DENR, LGUs; NGOs; BFAR); POs LGUs; NGOs; POs

component)

3.3.3. Lessons Learned and Best 3.3.3. Lessons Practices: A Best Learned and Compilation Practices: A

ACCCoast and Project Partners ACCCoast and Project Partners

Compilation

NGAs (e.g.

DENR, NGAs (e.g.

BFAR); DENR, LGUs; NGOs; BFAR); POs; LGUs; NGOs; Academe POs; Academe

4. Productive Forest 4.

Productive Ressources Forest Ressources

4.1 Co-­‐Management of 4.1.1 FLUP and Co-­‐ Public Forests 4.1 Co-­‐Management of Management 4.1.1 FLUP and Co-­‐ Public Forests procedures Management procedures

4.2 Sustainable Forest Management Technologies

4.1.2 FLUP and CLUP Integration 4.1.3 LGU-­‐based Forestry Forestry Ordinances & Enforcement Systems 4.2.1 Afforestation Approaches

4.2.2 Community-­‐ based wood harvesting 4.2.3 Agroforestry

5. Food Security 5.1 Cash-­‐for-­‐Work & Agriculture Schemes

30

?

supplementary FLUP guidelines in KyP preparation, CMA and DENR MC in KyP supplementary FLUP guidelines R6 prepared iCncl. preparation, MA Saub-­‐ nd DENR MC agreements R6 prepared incl. Sub-­‐

Part

CBFM

DENR, LGUs

Part

CBFM

DENR, LGUs

agreements Contributions provided to NRG

StP

Part

NRG, CBFM

LGUs

Under preparation by ForClim

StP

Tbd

CBFM

LGUs, DENR

Outlines for resource management plans (partly in toolbox) Forest resource inventory guideline & data bank

SuP

Part

CBFM

POs, LGUs, DENR

SuP

Full

CBFM

POs, LGUs, DENR

Harvesting demo and guidelines

StP

Part

CBFM

POs, LGUs, DENR

Socio-­‐economic analysis of AF systems and info sheets

StP

Part

CBFM

POs, farmer households

3 PPP examples in coconut, coffee and cacao sectors

StP

Part

CBFM

POs, farmer households

EFOS

Product description expected Kyp Partial 1stQ 2012. Fully tested and ready set for replication. available

Full

SWM4LGUs

LGUs

Full

SWM4LGUs

LGUs

Part

SWM4LGUs

LGUs

StP PoP

Part Tbd

SWM4LGUs SWM4LGUs, CPU

LGUs NRG

SuP PoP

Part Tbd

SWM4LGUs SWM4LGUs, CPU

LGUs NRG

SuP

Part

SWM4LGUs

LGUs

First batch of ERMAT-­‐SWM at KyP Central Philippine University (CPU, Iloilo City) starts June 2012

Part

SWM4LGUs, GIZ-­‐DW

LGUs, Students, Practitioners

Documented case studies and KyP published papers available, e.g., Uswag Calahunan Livelihood Association (UCLA) experience Proposed REC guideline adopted KyP as NSWMC Resolution; Four (4) RECs and REC facilities established; Conference papers available

Part

SWM4LGUs

LGUs, Informal sector

Full

SWM4LGUs

RECs, EMB-­‐ DENR, Other Stakeholders

PoP

Part

SWM4LGUs

EMB-­‐DENR, LGUs

7.3.2 Application of Two (2) pilot studies started with PoP conference papers and poster eco-­‐efficient soil cover for dumpsite closure / rehabilitation

Tbd

SWM4LGUs

LGUs

GHG calculator developed by Sub GIZ/KfW; Utilized by SWM4LGUs Technology eveloped StP with partner jLointly GUs; Rdesults with CPU is naow eing utilized by documented s cbonference paper UCLA; Conference papers and posters available DENR Administrative Order No. SuP 2010-­‐06 or the Guidelines on the use of AFR in cement kilns, was passed; Conference papers and posters available

Full

GIZ/KfW (Headquarters); SWM4LGUs a(pplies with SWM4LGUs CPU)

LGUs, EMB-­‐ DENR LGUs, Private sector

Full

EID; SWM4LGUs

LGUs, Cement industries, Private sector

Vulnerability and Hazard Mapping ?

6.1 DRM Planning

Vulnerability and Hazard Mapping ?

6. Disaster Risk Management 6. Disaster Risk Management

6.1 DRM Planning

6.2.1 Flood EWS

6.2 Early Warning Systems 6.2 Early Warning Systems

7. Solid Waste Management

7.1 SWM Planning

7. Solid Waste Management

7.1 SWM Planning

7.2 SWM KM/IEC

We still have to define clear knowlegde products. It could be: enhancement of CDP vision with We still have tindicators o define clear DRM success and knowlegde products.

It cm ould quantification of hazard aps be: enhancement of CDP vBision ith (severity, probability). oth awre in DRM uccess indicators the dsevelopment stage and quantification of hazard maps Mature knowledge product. (severity, p robability).

B oth Ongoing dissemination of are in the development nationwide info. stage

6.2.1 lood EWS Mature knowledge product.

6.2.2 FLandslide EWS This is highly innovative even by Ongoing dissemination international standards. o f It is in nationwide info.

If it works the test phase now.

6.2.2 Landslide EWS out This tihis s highly innovative ven by

would be good feor international It is in promotion on sntandards. ational level. the test phase ow. f it wCorks 7.1.1 Integrated Eco-­‐centers of nSan CIarlos ity KyP out tBhis would Cbity e gaood for for Waste Management and ayawan vailable promotion n national level.

Eco-­‐Center (LGU site visits; Porocedural fact sheets

7.1.1 Integrated Facility) Waste Management Eco-­‐Center (LGU 7.1.2 Landfill site Facility) identification

procedures 7.1.2 site 7.1.3 SLandfill WM Related identification Ordinances procedures 7.1.4 Eco-­‐Center 7.1.3 SWM aRnd elated operations Ordinances monitoring manual 7.1.4 (Best Epco-­‐Center ractices) operations and monitoring manual (Best practices) 7.2.1 University SWM Course Offerring (Diploma/Certificate Program) 7.2.2 Informal Sector Integration through Livelihood Cooperative 7.2.3 Regional Ecology Center (Multi-­‐stakeholder Assembly)

Eco-­‐centers of San Carlos City KyP for SLF establishment available. and Bayawan City available for site visits; Pprocedural act sheets StP Guidelines roposed tfo for S LF e stablishment a vailable.

NSWMC/DENR for policy issuance Guidelines lacks funds p roposed to NSWMC/DENR for policy issuance Documented case studies and lacks funds a vailable fact sheets Documented case studies and fact sheets available

Draft guideline for landfill gas 7.3 SWM Technologies 7.3.1 GHG monitoring prepared to be management and monitoring at waste submitted to NSWMC disposal sites

7.3.3 Application of GIZ/KfW 7.3.4 Household greenhouse gas briquette-­‐making calculator in the technology (LGU-­‐ Philippines SWM case studies) 7.3.5 Alternative fuels and raw materials (AFR) for co-­‐processing

8. Climate Change

8.1 REDD+

8.2 Mitigation in the agricultural sector?

8.1.1 REDD+ Nested Approach 8.1.2 MRV

CIM? -­‐

Part

31

technology 7.3.5 Alternative fuels and raw materials (AFR) for co-­‐processing

8. Climate Change

9. Renewable Energies

32

8.1 REDD+

8.2 Mitigation in the agricultural sector?

9.1 Bioenergy generation

UCLA; Conference papers and posters available DENR Administrative Order No. SuP 2010-­‐06 or the Guidelines on the use of AFR in cement kilns, was passed; Conference papers and posters available

8.1.1 REDD+ Nested Approach 8.1.2 MRV

CIM? -­‐

Feasibility study Antique available

sector Full

EID; SWM4LGUs

LGUs, Cement industries, Private sector

PoP

Part

CBFM

Municipal LGUs, private sector

DMS Structure for the Green Sector ENVIRONMENT AND RURAL DEVELOPMENT (EnRD) PROGRAM

How to access the Network Server at GoM To access the EnRD Network server, the steps should be followed: *To access the Filing System you need to use a Wireless Connection.

For Windows Users: 1. Open your “My Computer” and type this IP address: ftp://202.164.185.210/green sector

2. Then the dialogue box below will pop-up requiring you to provide the username and password. The username and password will be provided separately to each Green Sector-GIZ personnel.

33

ENVIRONMENT AND RURAL DEVELOPMENT (EnRD) PROGRAM

3. After you have encoded the correct username and password and pressing the log-on button, the dialogue box below will appear. If you are part of BMU click on that folder and same if you are part of BMZ.

4. After clicking either BMZ or BMU folder, the dialogue box below will appear.

BMZ

34

ENVIRONMENT AND RURAL DEVELOPMENT (EnRD) PROGRAM

BMU

Please note that all the sub-folders in this network server were created according to the DMS filing system (additional folders such as Note Verbale, Implementation Agreement, Projektspiegel were also added). The main intention though for having the Green Sector network server is to store document even in draft versions for easy access of all Green Sector-GIZ personnel and also for ensuring availability of back-up copies in the event the main computer where the original document is created bogged-down.

5. Then you are now ready to upload and stored in different sub-folders of the server.

download relevant documents

35

ENVIRONMENT AND RURAL DEVELOPMENT (EnRD) PROGRAM

For MAC Users: 1. Open your “Web Browser” and type this IP address: ftp://202.164.185.210/green sector

2. Then the dialogue box below will pop-up requiring you to provide the username and password. The username and password will be provided separately to each Green Sector-GIZ personnel.

36

ENVIRONMENT AND RURAL DEVELOPMENT (EnRD) PROGRAM

3. After you have encoded the correct username and password and pressing the log-on button, the dialogue box below will appear. If you are part of BMU click on that folder and same if you are part of BMZ.

4. After clicking either BMZ or BMU folder, the dialogue box below will appear.

BMZ

37

ENVIRONMENT AND RURAL DEVELOPMENT (EnRD) PROGRAM

BMU

Please note that all the sub-folders in this network server were created according to the DMS filing system (additional folders such as Note Verbale, Implementation Agreement, Projektspiegel were also added). The main intention though for having the Green Sector network server is to store document even in draft versions for easy access of all Green Sector-GIZ personnel and also for ensuring availability of back-up copies in the event the main computer where the original document is created bogged-down.

5. Then you are now ready to download in different sub-folders of the server.

38

(only) relevant documents stored

ENVIRONMENT AND RURAL DEVELOPMENT (EnRD) PROGRAM

Naming Conventions Section 3.6.3 – Document Naming Conventions of the DMS Manual provides basic guidance on proper naming of files. As a rule, the following characters are not allowed to be used in folder and document names:

Ensuring ease in file recognition vis-Ă -vis the predictability of its content, the following naming convention is suggested.

Creation Date (Year-Month- Day) 20100401

Document Type1

Subject

ToR CBFMMonitoring 20100401_ToRCBFMMonitoring-Ver1

Version Ver1

1. File names should not be more than 50characters 2. Maximum number of characters is 256 including all the folders and files, if it exceeds 256 the files will no longer be downloadable. (ex. ftp://202.164.185.210/green%20sector/BMZ/EnRD/) 3. Folders that contain many sub-folders and large files will be converted to a zip file for faster download.

Rule of thumb: The document has to be named in such a way that the reader will already have an idea of the content of the document, when it was created and if it is a work in progress (indicating the version) or final if already approved for storage in DMS (in this case in pdf format).

Versions Draft electronic versions of relevant documents will be stored in the Green Sector network server accessible to all Green Sector-GIZ personnel2.

In storing draft documents, the owner of the draft document will be responsible to update and therefore take out older versions of the document from the system. This will ensure that the storage facility will only contain up-to-date information. Therefore confusion and misinformation will be avoided.

2

Only those with GIZ email address. Therefore, consultants and sub-contractors working for EnRD-GIZ will not have access to the network server.

39

ENVIRONMENT AND RURAL DEVELOPMENT (EnRD) PROGRAM

REMINDER Since the Green Sector Folder is maintained by EnRD, it is important that you notify the EnRD DMS focal person informed whenever you upload and update documents in this folder. You can do this by providing the link of the document you have uploaded and email it to jose.antonio@giz.de.

Please also refer to the EnRD-DMS supplemental guidelines for more details on the process for uploading documents (click on the link below). https://dms.gtz.de/livelink-eng/livelink.exe?func=ll&objaction=overview&objid=63991674 Problems with your log-on and password? Kindly contact directly GoM IT Team: lawrence.badong@giz.de

40