Quality Guidelines
for Training and Consultation Workshops
November, 2002
Holger Nauheimer
UNDP/GEF Danube Regional Project
Quality Guidelines for Training and Consultation Workshops
UNDP/GEF Danube Regional Project
Preface
Workshops and training activities are key tools for achieving the objectives of the UNDP/GEF project
"Strengthening Implementation Capacities for Transboundary Cooperation and Nutrient Reduction in
the Danube River Basin" (i.e. the Danube Regional Project) in both Phase 1 (2002-2003) and Phase 2
(2004-2006) of project implementation.
Whereas workshops and training are essential for a variety of purposes e.g. consultation, information
dissemination, strategy development, capacity building etc. it is our experience that the full potential
benefit is not always achieved because of insufficient preparation and execution.
Given this, these Workshop Guidelines have been prepared for the Danube Regional Project by its
Training specialist, Holger Nauheimer.
We believe that by using these guidelines consistently, the respective experts, consultants, institutions
etc. that organize workshops on behalf of the DRP, will have a higher probability of reaching the
desired results and of optimizing benefits.
Ivan Zavadsky
Project Manager
UNDP/GEF Danube Regional Project
Quality Guidelines for Training and Consultation Workshops
UNDP/GEF Danube Regional Project
Table of Content
1. Introduction ............................................................................................................................. 3
2. Defining workshop objectives................................................................................................. 5
3. Identifying the target group..................................................................................................... 7
4. Selecting the right methodology.............................................................................................. 8
5. Moderation / Facilitation......................................................................................................... 9
6. Training methods..................................................................................................................... 10
7. The agenda .............................................................................................................................. 11
8. Materials needed ..................................................................................................................... 12
9. Evaluation of Workshops, Reporting ...................................................................................... 13
Annex: Templates and Check Lists............................................................................................. 15
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Quality Guidelines for Training and Consultation Workshops
1. Introduction
When to Use the Guidelines.
These guidelines should serve as a tool that applies to all gatherings related to any of the project
outputs which fulfill one of the following criteria:
an expected audience of more than 7 people,
an intended duration of more than half a day,
meetings to which invitations are sent out in written form (including email).
To make things easier, the term `workshop' will be used in following for all types of gatherings.
For whom this guidelines are intended
These guidelines should be applied by those who are responsible for the organization, design and
conduct of workshops under the DRP. In case these three roles are divided, different parts of these
guidelines might apply to organizer, facilitator and trainer. However, it is important that the
responsibilities for particular requirements such as evaluation and reporting are clearly marked
beforehand. We have tried to simplify procedures as much as appropriate and have restricted the
lengths of required reports up to the necessary minimum.
Rationale for the Guidelines
A major objective of many technical assistance projects is capacity improvement, either directly as an
overall objective or as a means to achieve the overall objective. The long-term development objective
of the Danube Regional Project (DRP) is
to contribute to sustainable human development in the Danube River Basin (DRB) through
reinforcing the capacities of participation countries to develop effective mechanisms for
regional cooperation in order to ensure protection of international waters, sustainable
management of natural resources and protection of biodiversity.
Seminars and workshops are important means for enhancing capacities of people, for example through
training,
demonstration of pilot projects,
exchange of views and experiences,
dissemination of new methods or technologies, etc.
Further, they might be the central events in the project cycle during which components are planned or
joint decisions are made.
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UNDP/GEF Danube Regional Project
It is common sense
that poorly organized meetings are a waste of time,
that learning can happen in a conducive environment, and that
projects have a better chance of success if the project cycle is based on broad participation of
the stakeholders involved.
For these reasons, the DRP introduces a quality management system for all its workshops, meetings,
seminars and training courses in order to facilitate a significant outcome of all this events
(effectiveness), to make sure that resources spent have a high rate of return (efficiency) and long-term
benefits of the project are sustained (impact).
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Quality Guidelines for Training and Consultation Workshops
2. Defining Workshop Objectives
The first step in planning a workshop should be the definition of its objectives and the means of
verification of these objectives. Without predefined objectives, there is no justification for organizing
a workshop, and without success indicators, there is no possibility of measuring achievements of the
workshop. We distinguish short and medium term objectives.
Short term objectives are measured at the end of the workshop and mainly describe whether
the predefined agenda has been accomplished,
participants have understood the central messages,
agreements have been reached,
plans have been elaborated,
etc.
They can be described by specific milestones, which could be documents elaborated, certain
tasks/assignments completed, etc.
Medium term objectives are measured some time after the workshop (generally, 6 months later) and
describe whether
participants apply new skills,
participants have changed specific behaviour,
agreed actions are taken,
plans are implemented,
etc.
Objectives are generally worded in present or perfect tense, e.g.
Short term
"After completion of the workshop, participants have gained skills to elaborate a concept of
cost-recovery in municipal water services", or
"At the end of the workshop, a plan for implementation of new policy guidelines on XYZ has
been elaborated."
Medium term
"Selected communities start to implement new cost-recovery schemes in municipal water
service."
"New policy guidelines on XYZ are put into practice in the member countries of ICPDR."
Indicators for medium-term objectives could be of quantitative or qualitative nature, e.g.
"The use of the DANUBIS Information System has increased by 25% from November 2002 to
April 2003, measured by the logins."
"National focal points have discussed the implementation of the WFD and designed plans for
implementation of first steps."
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Objectives should be SMART, e.g.
Simple
· A good objective identifies a single, simple, goal, in language that others find easy to
understand.
Measurable
· It should be possible to measure the extent to which the objective has been achieved.
Achievable
· It should be possible to achieve the goal in the time available and with the resources at
disposal.
Relevant
· The goal should be directly related to the DRP project.
Time-constrained
· It should be when you intend to achieve it (short term at the end of the workshop, or medium
term, after a certain, specified time).
While for medium term objectives you will need qualitative or quantitative indicators, short term
objectives are mainly verified by milestones, e.g.
draft implementation plan
minutes of group discussions
etc.
The workshop organizer is principally responsible for monitoring the short and medium term
objectives of the workshop. However, the responsibility for monitoring medium term objectives can
be delegated to other persons.
Template 1 (Defining Objectives and Indicators) will help you to define the workshop objectives and
the accompanying indicators. It must be submitted when you plan to organize a workshop with support
of DRP.
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Quality Guidelines for Training and Consultation Workshops
3. Identifying the Target Group for the Workshop
After the workshop objectives have been defined, the target group needs to be clearly described as a
base (but not the final selection) for the invitation list. The selection is based on a more profound
analysis of the predefined objectives. In particular this analysis deals with the following questions:
Decisions and agreements: Who needs to participate in order to consent to certain agreements?
If the final decision-makers can not participate, who has the mandate to prepare decisions?
Planning procedures: Who needs to be involved in the planning procedure? Who can obstruct
plans if not consulted? Are there any legal provisions for participation, e.g. in the European
Water Framework Directive?
Who is supposed to take specific actions or steps after the workshop?
Will the workshop directly work with the final target group (=those who are supposed to act)?
If not, you will be working with mediators, e.g. trainers, elected or mandated representatives
or NGO staff. Who exactly are they? What is their mandate? How are they supposed to pass
on the workshop messages to the final target group?
At this step, you should make an estimation of the size of the target group of the workshop. This will
help you to select the appropriate workshop methodology.
Template 2 (Identifying the Target Groups) will help you in that process. It must be submitted when
you plan to organize a workshop with the funds of DRP.
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4. Selecting the Right Methodology
Depending on your expected outcomes of the workshop and the number of participants you want to
invite, you need to choose the appropriate methodology. The issues to be addressed vary depending on
the type of the workshop. For simplification, we distinguish two types:
a) Consultation workshops. These are workshops, which do not have capacity building as a first
priority. Rather, they serve harmonization of procedures or laws, agreements on new standards,
planning of projects or project components, reflection on project progress, establishment or
reinforcement of networks, etc. In general, all participants have a near to equal information base.
However, if participants share knowledge during the workshop, consulting workshops can also have
aspects of human resource development.
b) Training workshops. Their focus is on enhancing human resources through active capacity
building. Generally such workshops are guided by trainers, who have an advantage in knowledge,
skills or methodology against the participants and possess certain training skills. The goal of a training
workshop is always connected to a human resource development process.
The choice of methodology will reflect on the following aspects:
Participation. Stakeholder participation is essential, whether the aim is consultation or training.
Without active participation of a majority of workshop participants, the chance of successful
implementation of the workshop results or the training content goes to zero. This is particularly true
for workshops in which agreements are to be made or plans to be devised. The importance of active
learning has already been mentioned. There are several methods and tools which help to increase the
participation in a workshop. They are summarized under the title "moderation technique", which
describes a set of facilitation/visualization tools and principles. The principle of active participation
must be considered in all DRP workshops.
Workshop size. The number of participants is a major influence factor for the success of the
workshop. There is no general rule for a minimum or maximum participation. However, consultation
workshops need a critical number of stakeholders, usually at least 12, to provide the necessary
diversity of opinions. As a rule of the thumb, groups of more than 7 participants need to be moderated
or split up into sub-groups to achieve equal participation. Groups of more than 20 participants are
difficult to moderate, a higher number than that will endanger the principle of equal participation.
However, there are certain workshop methods which allow much bigger groups to interact (e.g., Open
Space Technology, Future Search, Rapid Time Strategic Change, etc.). They require particular
preparation and management and can only be applied with a trained facilitator.
Training groups should be limited in size. One trainer can hardly handle more than 14 participants. On
average, one trainer should be employed per 10 participants; in case of intensive managerial training
this number should be reduced to 8 people per trainer).
Consensus building methods. To guarantee implementation of agreements after the workshop, as
many decisions as possible should be taken unanimously. Workshop subjects that are expected to meet
a high diversity of opinions should be discussed under application of certain negotiation techniques
and consensus building tools.
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Quality Guidelines for Training and Consultation Workshops
5. Moderation / Facilitation
Moderation is essential for all workshops. The degree of which a workshop needs to be steered
depends on the number of participants and the subjects. The role of the moderator can be exclusive or
inclusive, and the person in charge of moderation can be internal or external. Exclusive moderation
means that the moderator will not interfere with the content of the workshop, inclusive means that the
respective person switches roles. Moderation could be shared among participants. However, if an
internal participant takes over the moderation, he should abstain from interfering with the discussion
for the time he takes over this role. An external moderator should be employed
for large workshops,
when disagreement can be expected and consensus needs to be established, and
when internal participants can not be expected to refrain from interference with content while
moderating.
If the decision for an external moderators is made, this person needs to be involved in the preparation
and planning of the workshop. The external moderator has the ultimate responsibility for selecting the
workshop methodology, in close cooperation with the workshop organizers.
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UNDP/GEF Danube Regional Project
6. Training methods
Training methods firstly depend on whether the workshop is knowledge, skill or behaviour oriented.
Knowledge oriented training is focused on passing information from an expert to the participants, e.g.
laws and regulations, scientific background, results from pilot activities, etc. Skills oriented workshops
include practical experience in DOING, e.g. new laboratory methods, moderation and communication
skills, participation tools, etc. Behaviour oriented workshops aim at changing awareness of
stakeholders, e.g., management styles, environment friendly production in agriculture and industry,
environmental friendly consumer behaviour, etc.
The appropriate mix of theoretical input, practical exercises and group discussion reflects the
objectives of the training. People differ in their learning styles, and this should be addressed by the
application of different training tools. Some people learn mainly by visual means, others need practical
experience. Some learners are more comfortable if they have the big picture first, others want to start
with the details and build their own model.
The choice of methods will also depend on the background of the learners, however, assumptions on
the educational status and the willingness of the participants to master new skills need to be challenged
and tested during the workshop. It is a sign for a flexible workshop approach, when the organizers,
moderators or trainers have alternative methods and tools in mind which they can apply as "Plan B".
Central to learning are practical exercises, in which participants can test new skills and behaviours.
For each exercise, like for the workshop as a whole, objectives, group size, facilitation need to be
defined. Some exercises might be performed by individuals. However, in many cases the learning
impact is bigger, if the exercise is performed in small groups with a subsequent peer feed back on
individual performance. There should be a time provision that gives space for preparation, exercise
and debriefing.
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Quality Guidelines for Training and Consultation Workshops
7. The Agenda
The agenda of the workshop should be provided to the participants together with the invitation. It
should cater for some flexibility and should highlight the main topics. A more detailed plan should be
prepared as a guideline for organizers, moderators and trainers which is not provided to the
participants.
Example for a detailed workshop plan
Day/Time
Topic
Method
Responsibility
Friday, 11/10/02
Opening
N. Nnnnnn
9.00
Introduction of participants
9.30
The new Water Framework Directory
Theoretical Input
M. Mmmm
10.30
Exchange of perspectives
Small working groups of participants
5 participants
11.00
Coffee break
11.20
Feed back from small groups
Moderated
plenary M.Mmmm
discussion
12.00
.....
.....
.....
.....
.....
.....
.....
Evaluation
Individual questionnaire
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8. Material Needed
From the detailed workshop plan, the necessary workshop material can be deducted, such as
overhead projector
video beamer / Power Point
computer
flip chart(s)
pin board(s)
etc.
Special provision should be made for visualization of result. As a rule, major discussion points should
be visualized, preferably on a flip chart or a pin board. Moderation techniques, using paper cards to be
prepared by the participants should be applied as much as possible.
A detailed check list is provided in Template 6.
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Quality Guidelines for Training and Consultation Workshops
9. Evaluation of Workshops, Reporting
As a principle, each workshop under DRP must be evaluated, applying a standardized methodology. A
template to be handed out to the participants at the end of the workshop is provided in the Annex
(Template 7). Participants must fill it before leaving the workshop venue. Participants who need to
leave earlier, should receive the template and should be asked to mail the evaluation sheet to the DRP
office during the following week. The workshop agenda must provide at least 15 minutes for
evaluation.
The evaluation sheets should be attached with the final workshop report (Template 8). The template
does not substitute the minutes of the workshop.
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Quality Guidelines for Training and Consultation Workshops
Annex: Templates and Check Lists
The templates will help you to plan, organize, document and evaluate your workshop. In order to fit
into the standardized quality requirements of the DRP, and to facilitate monitoring, the space is limited
and can not be exceeded. Some of the templates are mandatory, while others are optional.
In principle, the templates are the same for training and consultation workshops, except
Template 3: Methodology, and
Template 7: Evaluation
Template 4 (Exercises) applies to training workshops only
Templates should be principally filled with a word processor and submitted as an email attachment to
andy.garner@unvienna.org or
marcella.fabianova@unvienna.org
The evaluation of the workshop is to be filled by every participant and mailed in original or copy to
the project, attention: Ms. M. Fabianova
We appreciate feedback. If you have specific questions regarding the use of the templates, please
contact the project team or our training coordinator, under
h.nauheimer@snafu.de.
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Quality Guidelines for Training and Consultation Workshops
UNDP/GEF Danube Regional Project
Template 1: General Information and Workshop Objectives
Status: mandatory, to be submitted to DRP for endorsement of workshop
19/11/02
Intended workshop title
Choose any 4-letter/number acronym
Consulting (C) or Training Workshop (T)?
Intended date of workshop
from to
Intended place of workshop
Name of organizer
What are the short term objectives of the
workshop? At the end of the workshop, what
will be achieved?
How will you measure the achievement of the
short term objectives? Please specify at least
one milestone/indicator for each short term
objective.
What is the medium term objective? What do
you expect to happen after the workshop
completion?
When do you want to achieve your medium in months
term objective?
What will be indicators for measuring the
medium term objectives (please specify for
each medium term objective)? Please specify
who exactly is involved in the achievement
and where do you want to achieve it (basin-
wide or in specific countries/regions/cities)
Who will be responsible for the measurement
of the indicators for medium term objectives?
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Quality Guidelines for Training and Consultation Workshops
UNDP/GEF Danube Regional Project
Template 2: The Workshop's Direct and Indirect Target Groups
Status: mandatory, to be submitted to DRP for endorsement of workshop
Workshop acronym
Who needs to be involved and why? Who are
the end beneficiaries of the expected medium
term outcome?
How big is the final target group (e.g., those
who are supposed to agree to something, to
benefit, or to learn)?
If you can not invite the final target group
because of size, who are potential mediators?
On which base will you choose them? Do
they have this mediating role already, or will
it be created through the workshop (e.g. in the
case of new trainers)?
If you invite mediators, what are the
institutional arrangements which insure that
they will execute their role after the workshop
(e.g., act as multiplicators, facilitate decisions,
assure participation in planning processes, act
as trainers for the final target group)?
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Quality Guidelines for Training and Consultation Workshops
UNDP/GEF Danube Regional Project
Template 3a: Methodology (Consultation Workshops)
Status: mandatory, to be submitted to DRP before the start of the workshop
This template might be filled together with the external moderator
Workshop acronym
By which means will you assure full
participation of all participants?
For which subjects do you expect
disagreement among the participants?
What negotiation techniques / consensus
building tools will be applied?
Will you work in working groups? If yes,
how many working groups of which size?
Will you need an external moderator to assure
equal participation?
How will the results be visualized /
documented?
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Quality Guidelines for Training and Consultation Workshops
UNDP/GEF Danube Regional Project
Template 3b: Methodology (Training Workshops)
Status: mandatory, to be submitted to DRP before the start of the workshop
This template might be filled together with the trainer(s)
Workshop acronym
Will the workshop be knowledge, skill or
behaviour oriented?
What assumptions do you have about the
knowledge level of the participants? Did you
test these assumptions?
How much of the syllabus will be
(i) theoretical input
theoretical input %
(ii) practical exercises
practical exercises
%
(iii) discussion and reflection?
discussion and reflection %
Which methods will you apply to assure that
the intended objectives will be achieved?
How many trainers do you intend to have for
the workshop? If you have more than one,
will they have different technical or
methodological know-how?
Will participants act as resource persons as
well?
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Quality Guidelines for Training and Consultation Workshops
UNDP/GEF Danube Regional Project
Template 4: Objectives of Exercises (complete one form for each exercise)
Not applicable for consultation workshops
Status: obligatory, not to be submitted to DRP
Workshop acronym
Name of exercise
Name of trainer
What are the learning objectives for this
exercise?
How are this learning objectives related to the
short term objectives of the training course?
What are participants supposed to do in this
exercise? Please give a short outline.
How many participants do you expect to work
together on this exercise (group size /
individual exercise / plenary)
What is the time provision for this exercise?
introduction
minutes
exercise minutes
debriefing
minutes
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Quality Guidelines for Training and Consultation Workshops
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Template 5: Internal Workshop Plan (not to be handed out to participants)
Status: obligatory, not to be submitted to DRP
Day/Time
Topic
Method
Responsibility
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Quality Guidelines for Training and Consultation Workshops
UNDP/GEF Danube Regional Project
Template 6: Workshop Material
Status: obligatory, not to be submitted to DRP
Material
Amount required
checked
Overhead projector
Video beamer / Power Point projector
Computer
Digital camera
Scanner
Internet connection
Printer
Photocopy machine
Flip chart stands
Pin boards
White boards
Flip chart paper
sheets
Pin board paper
sheets
A4 white paper
sheets
A3 white paper
sheets
Marker pens, black
Marker pens, red
Marker pens, blue
Marker pens, red
White board markers, black
White board markers, red
White board markers, blue
White board markers, green
Push pins
Paper cards for moderation, size:
Paper cards for moderation, size:
Paper cards for moderation, size:
Paper cards for moderation, size:
Overhead transparencies, for drawing
Overhead transparencies, for copying
Felt pens for OH, permanent
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Quality Guidelines for Training and Consultation Workshops
UNDP/GEF Danube Regional Project
Template 7a: Evaluation of the Workshop Consulting Workshop
(to be handed out to participants)
Please fill out and return to workshop organizer or trainer
Workshop title
Date of workshop
from to
How long before the workshop start did you receive the invitation?
weeks
With the invitation, did you receive the agenda, the
agenda
yes
no
objectives and related background material?
objectives
yes
no
background material
yes
no
Were the objectives spelled out at the beginning of the workshop?
yes
no
Did the workshop fully meet its predefined objectives?
yes
partly
no
If not, please tell us, why.
Please score the following criteria with 5 being the best
5
4
3
2
1
and 1 being the lowest mark
not at
Did the workshop achieve all its objectives?
Fully
all
very
How was the level of participation?
very high
low
very
How was the moderation of the workshop?
excellent
poor
very
How would you rank the quality of results?
very good
poor
What is the applicability of the results to your
very
not at all
working context?
applicable
applicable
Please give us some
recommendations of what
could be improved next
time such a workshop is
held.
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Quality Guidelines for Training and Consultation Workshops
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Template 7b: Evaluation of the Workshop Training Workshop
(to be handed out to participants)
Please fill out and return to workshop organizer or trainer
Workshop title
Date of workshop
from to
How long before the workshop start did you receive the invitation?
weeks
With the invitation, did you receive the agenda and the objectives?
agenda
yes
no
objectives
yes
no
Were the objectives spelled out at the beginning of the workshop?
yes
no
Did the workshop fully meet its predefined objectives?
yes
partly
no
If not, please tell us, why.
Please score the following criteria with 5 being the best
5
4
3
2
1
and 1 being the lowest mark
very
Overall quality of the training
excellent
poor
very
How was the level of participation?
very high
low
very
not at
Were the training methods appropriate?
appropriate
all
What is the applicability of the training content to your very
not at all
working context?
applicable
applicable
Which part of the training
content was most
important for you?
Please give us some
recommendations of what
could be improved next
time such a training
workshop is held.
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Quality Guidelines for Training and Consultation Workshops
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Template 8: Workshop report
Status: mandatory, to be filled by the organizer and submitted to DRP together with participants'
workshop evaluation
Workshop title
Workshop acronym
Date and Place of workshop
Date
Place
Name and address of venue
Number of participants invited / present
invited
present
Did you have external moderators or trainers? yes
no
Please score the following criteria with 5 being the best
5
4
3
2
1
and 1 being the lowest mark
not at
Achievement of objectives
fully
all
very
Quality of moderators / trainers
excellent
poor
very
Quality of training venue
excellent
poor
Lessons Learned (1): What did you like in
particular about the workshop?
Lessons Learned (2): What needs to be
improved in the future?
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Quality Guidelines for Training and Consultation Workshops
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Template 9: Checklist
Template
Status
checked
Template 1: General Information and Workshop mandatory submission to DRP
Objectives
Template 2: The Workshop's Direct and Indirect mandatory submission to DRP
Target Groups
Template 3: Methodology
mandatory submission to DRP
Invitation list
mandatory submission to DRP
Template 4: Objectives of Exercises obligatory, no submission
(not applicable for consultation workshops)
Template 5: Internal Workshop Plan
obligatory, no submission
Template 6: Workshop Material
obligatory, no submission
mandatory submission of
Template 7: Evaluation of the Workshop
participants' evaluation to DRP
mandatory submission to DRP,
Template 8: Workshop Report
inclusion in DANUBIS database
Minutes of workshop, including list of participants
inclusion in DANUBIS database
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