Iván Tosics Metropolitan Research Institute, Budapest

1. NODUS: the development phaseBaseline study, Urbact Local Support Groups URBACT 2 - NODUSBarcelona16-17June 2008 Iván Tosics Metropolitan Research Institute, Budapest

2. The baseline study: three elements • A ‘State of the Art’ paper, at European level, on the topic being addressed by the working group • ‘Partner profiles’: an analysis of the state of play in the participating cities including the existing needs and expertise relating to the specific issue that the project addresses. • A ‘Synthesis paper’ bringing together the issues arising from analysis of the situation in the partner cities, including needs and expertise, and the European State of the Art. The synthesis report enables the detailed definition of the research questions that the partnership will work on.

3. The ‘State of the Art’ paper • This paper should be envisaged as a non-academic briefing paper aimed at the city partners in the network. • The State of the Art paper should present a broad picture such as a discussion of reports or policy guidelines at the EU level on the topic in which the project will develop its activities. There should be a review of existing knowledge, projects, networks working on the issue. • it should not be overloaded with academic references but instead should focus on the experience of practice in the field in cities across Europe (and if necessary beyond). It needs to reference the successes in urban policy in the particular domain the project is addressing, and use desk research to draw out the lessons learnt in terms of critical factors and preconditions for success. • It should be a short paper (about 10 pages) and written in such a format so as to be possibly used as a stand alone document (in the perspective of publication on the web or elsewhere). It should also contain embedded hyperlinks so that the online reader can see directly the references that have been used.

4. Partner profiles • Partner city profiles will need to be compiled using a standard format so that the reader can find the same information in each profile and so that information may be compared or analysed in a cross-cutting way. • For all partner profiles general descriptive information is kept to the minimum needed to understand the basic context of operation, and limited to the issues and policies the project intends to address. • A maximum of 10 pages per partner in the final version of the profile. • In each city there is a need to check that the project presented in the original application is well understood and relevant to local circumstances. • It is strongly recommended that the Lead expert visit all partners in order to gather baseline data, and then to link it to the synthesis.

5. The synthesis • The synthesis should be a short document of about 10 pages. It summarises key issues emerging from the ‘state of the art’ report and uses these to bring together the situation in the partner cities in relation to these issues. This may be done using tables and diagrams accompanied by analysis. • The synthesis should bring together partners’ needs/ challenges and the broader picture in a coherent way so that the partners, possibly at their final meeting of the development phase, are able to use this summary to guide their thinking about the activities needed to achieve the outputs and objectives that the project is trying to deliver. • One of the main outcomes of the baseline is a clear definition of the issues, main theme, sub-themes, focus, etc. which the partners are willing to address. This will help to focus the project (avoid too large/ too ambitious thematic coverage) and to facilitate a common understanding of the issues that are actually going to be addressed.

6. The Urbact Local Support Groups • URBACT Local Support Groups (ULSG’s) are one of the key innovations brought in to increase the impact of the URBACT II programme. All the thematic networks and working groups taking part in URBACT II are required to set up the core of the local support group within the development phase in order to pass on to the implementation phase of their project. • Like their sister innovation – the Local Action Plans – the main aim of the Local Support Groups is to spread the learning from trans-national exchanges to a broader cross-section of local stakeholders and to ensure that the lessons learnt lead to change at a local level.

7. URBACT II Programme Manual about ULSGs • A specific Budget line in each TN/WG’s budget shall be dedicated to the URBACT Local Support Groups and capacity-building actions in favour of its members. • For Thematic Networks, a minimum budget allocation will be €70,000 per Thematic Network, covering Development Phase and Implementation phase.There is no minimum budget allocation for Working Groups. • The “URBACT Local support group shall follow the project activities by receiving reports from the city representatives taking part in the project exchanges, and by supporting the latter in contributing to the project’s activities (especially in the validation of cases studies and the elaboration of the Local Action Plan). • The ULSGs will be initiated during the Development phase of the project.

8. What should be the role of ULSGs? ULSG’s cannot be created externally by decree. They depend upon what already exists in the city and where there is energy to move forward. Local stakeholders can fulfil a number of specific objectives: • Firstly, they can help to clarify the particular needs or concerns of the city in relation to the Thematic Network or Working Group. • Secondly, they can help to identify (mobilise and validate) what the city really has to offer to the project in the form of good practice, existing tools, site visits, policies and other experience. • Thirdly, they can help ensure that this knowledge is reflected in the baseline study during the Development phase and in the Local Action Plan to be produced during the implementation phase. • Fourthly, they can help to disseminate the findings of the project to a wider local audience. • Finally, they can act as project champions and help to mobilise the political and institutional support required to ensure that the Local Action Plan leads to real change.

9. Who is responsible for creating the ULSG? • While the Lead Partner and Lead Expert may be able to advise on the composition of the ULSG in relation to the subject of the exchanges foreseen in the project, the responsibility for identifying and building effective local support groups rests firmly with each partner. • Each partner should provide at least one named person who will have the role of liaising with and animating the Local Support Group. This person should ensure that the ULSG undertakes a series of activities which motivates local stakeholders to become involved and links in directly to the overall work programme of the project. • The Lead Partners and Experts should take care that there is a regular two way flow of information between the project and the ULSG’s in each partner city.

10. Who should be involved in ULSG? • The ULSG can be composed of any stakeholders or person with a strong “stake” or interest in the subject of the project. • ULSG should involve actors who are in a position to contribute to design and implementation of the LAP, be they co-financers, final users/ beneficiaries, heads of city departments concerned by the policy (in the interest of developing an integrated approach), etc. • Consolidate a core of strong supporters first and capitalise on tangible results. In the Development phase, it is better not to be too ambitious. If people are involved too early before results can be expected they can easily become disillusioned and drop out. • Lead partners/ experts prepare a short template explaining the benefits of participation in the ULSG. This could be adapted by the local partner to the situation in each city.

11. Where possible it is worth thinking of durable structures that will continue the process of reflection and change beyond the life URBACT II. • For effective discussions and decision-making, likely 10 people maximum could be the size. Where more people are interested it is worth considering a smaller steering group that meets more regularly and a larger more open forum. • Build outwards from what already exists in the city. There is no point in duplicating or antagonising existing structures. • Managing Authorities: In specific situations, it can be relevant to involve Managing Authorities in ULSG’s. While they may not take part in all activities, it is worthwhile ensuring that they are regularly informed.

12. Stakeholder analysis • Stakeholder analysis is a method for mapping systematically the concerns of different actors in relation to a particular subject and in relation to each other. • “Stakeholder Analysis allows (project) managers to identify the interests of different groups and find ways of harnessing the support of those in favour of the activity, while managing the risks posed by stakeholders who are against it. It can also play a central role in identifying real development need and that may mean devising a different programme from the one you thought you were about to embark on” (Tools for Development DFID, UK) • Stakeholder analysis is normally conducted in two steps: firstly, the key stakeholders and their interests in the activity are identified, followed by an assessment of their degree of influence or power to affect the activity.

13. Stakeholders are usually divided into three types: • Key Stakeholders: those who are highly interested in and can significantly influence or are important to the success of an activity. • Primary stakeholders: those individuals and groups who are ultimately affected by an activity (users, beneficiaries, those negatively affected..) • Secondary stakeholders: all other individuals or groups with a stake or interest in the issue. It is important to distinguish between the winners and losers on a particular issue. Losers will normally actively oppose or block proposals. While it is useful to map out the potential hotspots and conflict zones from the start, the potential solutions are only likely to materialise later in the project. It is worth cross-checking for “missing voices”. The obvious candidates are end users (considered as primary stakeholders), and specific sub-groups such as young people, women, ethnic minorities and so on. The normal methods used in carrying out a stakeholder analysis involve workshops, focus groups, discussions and individual interviews. There are a series of techniques for carrying out these exercises which can be both extremely revealing and enjoyable.

14. Tasks in the development phase • For the purpose of the development phase it is sufficient to identify, make an initial contact and sound out the opinions of the key (and primary) stakeholders such as the lead and closely connected local authority departments, relevant politicians and key local agencies. • It would be useful for the lead expert to be able to meet these stakeholders (either together or in separate groups) if and when they make the city visit.

15. When to involve the ULSG, in what capacity In the development phase stakeholders should be contacted in order to obtain their advice on: • The identification of city-specific needs in the sub-themes dealt with by the project • Experience in the sub-themes dealt with by the project • Input/advice on the baseline study • Input/advice into the work-programme developed by the project, especially as far as the functioning of ULSG and its relationship with the project are concerned

16. In the implementation phase the ULSG be expanded and strengthened to become the real “owners” of the project’s learning at local level, Stakeholders should be contacted in order to obtain their advice on: • Taking part in the design and follow up of the Local Action Plan • Identifying and validating inputs like case studies • Taking part in exchanges and reporting back to other stakeholders • Periodic meetings, especially in terms of preparing partner’s contribution to project seminars • Commenting on final outputs • Testing or piloting certain recommendations • Participating in local web platforms • Acting as local project champions and lobbying for changes • Organising local dissemination events • Obtaining media coverage

17. Budget and activities • Many of the activities of the Local Support Groups will have to depend on the voluntary commitment of its participants and external contributions. • There are a number of activities that can usefully be financed, such as capacity building and dissemination: organising a one-day coaching or training session for the ULSG members, on line coaching and mentoring, inviting outside speakers, hiring a venue, translating material/ results coming from the project level activities, allowing representatives of the ULSG to attend some of the project seminars, etc. • The budget can be increased - or complemented with other budget heads in the project. For example, the MILE Fast Track Network includes a budget for local action plan support and coordination and for local coaches which more than doubles the minimum amount available for the ULSG’s.

18. Things to discuss • Local Action Plans • ULSGs • Preparation of the baseline study

19. Local Action Plans Clarify the content of LAPs: • methodological (how to assign from regional level action areas; how to control the external effects of existing action areas) • action oriented: to assign case study areas and prepare concrete action plan The content of the LAP might be different for project partners (PP) with different legal backgrounds on regional planning and urban regeneration

20. ULSGs The composition of ULSG depends on the content of the LAP Budget for ULSGs: • should NODUS have a unified policy on that, or leave it to the partners or definitively avoid such budget? • Use of budget could be on translation, exchange of officials… Timetable for setting up the ULSGs: • LE+LP prepare template on ULSGs: which types of partners should be involved, through which type of selection process, i.e. stakeholder analysis (before end June) • PPs have to submit preliminary preliminary ULSG description by mid July, final description by end of July

21. Timeline for the preparation of the baseline study • Finalize project partnership (discussion on potential further partners) by end of June • Project partners should get clear tasks (second questionnaire, containing detailed info on problems and expectations of project partners – needs and experience analysis, SWOT, …) to be prepared for the baseline study until mid July • Visits to project partners are suggested to be replaced with detailed telephone discussions between the LE+LP and the project partners (based on the answers on second questionnaire) • Second full project preparatory meeting in July (e.g. 21-22 July)?

22. THANK YOU FOR YOUR ATTENTION! tosics@mri.hu