Keynote presentations delivered by Panayiota Andrianopoulou & Séverine Cachat, meeting facilitators. Day 2 Participative process in data collection; Objectives and results, and targets and baselines of the Periodic Reporting process

15th ANNUAL MEETING
OF THE SOUTH-EAST EUROPEAN
EXPERTS NETWORK
ON INTANGIBLE CULTURAL HERITAGE
PERIODIC REPORTING
AS A STRATEGIC TOOL
FOR SAFEGUARDING LIVING HERITAGE
IN SOUTH-EASTEARN EUROPE
ONLINE WORKSHOP
6-7th JULY 2021
Bulgarian Chitalishte (Community Cultural Centre): practical experience
in safeguarding the vitality of the Intangible Cultural Heritage (Bulgaria)
Selected in 2017 on the Register of Good Safeguarding Practices
Photo: © Ministry of Culture of Bulgaria/Tsvetan Nedkov, 2013

Participatory approaches for Periodic
Reporting: a key concept of 2003
Convention and Ethical Principles

5
Participatory approaches for PR
 Article 15 of the Convention clearly states the principle of
participation (involvement) of communities, groups and
individuals in safeguarding ICH.
 Given the multi-stakeholder character of ICH, monitoring
and evaluating the Convention through the ORF is
challenging.
This requires careful consideration how inputs from non-state
actors can be incorporated in the PR.

6
As a framework…
• The Convention considers participation as a central element in the
safeguarding of ICH.
• “Art. 15: Participation of communities, groups and individuals
Within the framework of its safeguarding activities of the
intangible cultural heritage, each State Party shall endeavour to
ensure the widest possible participation of communities, groups
and, where appropriate, individuals that create, maintain and
transmit such heritage, and to involve them actively in its
management..”
• This consideration is manifested and articulated with the other instruments
and tools that the Convention manages in a transversal manner
(Operational Guidelines 79-90, Ethical Principles, the Overall Results
Framework).

7
Participation of communities, groups and
individuals concerned is encouraged in …
• Identifying and defining ICH (Article 11(b))
• Inventorying (Articles 12 and 15)
• Awareness raising (Articles 14 and 15)
• Capacity building (Articles 14 and 15)
• Safeguarding, management (Article 15)
• Nominations (ODs 1, 2 and 7; forms)
• International assistance requests (OD 12)
• Periodic reporting (ODs 157 and 160)

8
What the Ethical Principles say
No ‘one-size-fits-all’ approach to stakeholder involvement:
Ethical Principle 1:
Communities, groups and, where applicable, individuals should have the primary role in
safeguarding their own intangible cultural heritage.
All interactions with the communities, groups and, where applicable, individuals who create,
safeguard, maintain and transmit intangible cultural heritage should be characterized by
transparent collaboration, dialogue, negotiation and consultation, and contingent upon their
free, prior, sustained and informed consent.
Communities, groups, local, national and transnational organizations and individuals should
carefully assess the direct and indirect, short-term and long-term, potential and definitive
impact of any action that may affect the viability of ICH or the communities who practise it.

9
Communities, groups and individuals
• “Communities” are never homogeneous entities, with clear and
indisputable defined boundaries. On the contrary, they are full of
contradictions, tensions, interests and differences.
• In the field of ICH, we must conceive the communities as dynamic
and active actors, beyond being "carriers" or "depositaries" of ancient
traditions.
• Communities constantly create and recreate the cultural practices that
we call ICH.
• They are also constituted as communities through the practice of
heritage, by which individuals with different interests, contexts and
trajectories (political, economic, social, etc.) come together.

10
Not just communities …
Non-governmental organizations:
States Parties shall involve the relevant non-governmental organizations in the
implementation of the Convention … in cooperation and coordination with other actors
involved in the implementation of the Convention (OD 90)
Public or Private bodies/Private persons:
The Fund may be used to reimburse the costs of advisory services to be provided, at
the request of the Committee, by non-governmental and non-profit-making
organizations, public or private bodies and private persons (OD 67)
Other actors
States Parties are encouraged to create a consultative body or a coordination
mechanism to facilitate the participation of communities, groups and, where applicable,
individuals, as well as experts, centres of expertise and research institutes (OD 80)

11
Stakeholders with different interests
and areas of expertise
State agencies (at all
levels and in all
related sectors)
Communities, groups, etc.
Researchers, NGOs,
heritage professionals,
training and research
centres
The actors, functions and the relations between them are
configured in a particular way in each territory.

12
Possible benefits of a participatory process
• To confirm the accuracy of data provided by Governmental
Bodies and to identify issues concerning the data collected.
• To ensure the transparency of the data collection process.
• To help identify key priorities, issues, achievements and future
challenges.
• To become more aware of data available in the non-
governmental arena.
• To strengthen dialogue with other stakeholders in an inclusive
way
• To help identify good practices and innovative approaches or
examples through the exchange of information.
• To strengthen cooperation frameworks that can inform
future safeguarding activities.
• They have a say in processes
involving their intangible cultural
heritage.
• They are informed about decisions and
possibilities for the safeguarding of the
manifestations they practice.
• It allows them to strengthen their social
and community ties, as well as
communication channels with the
government.
For the STATE or GOVERNMENT For COMMUNITIES and OTHER ACTORS

13
Potential challenges of ‘participatory’ processes
Management and planning challenges:
• Planning according to available resources and actual schedules
• Scheduling a reasonable timeframe that includes channels of participation with
multiple stakeholders
• Promote intersectoral cooperation and cross-cutting articulation
Methodological challenges:
• Identify the process, objectives, goals and outcomes with clarity for the parties
involved;
• Inclusion of key groups in the dialogue and decision making;
• Flexibility to include groups and sectors that wish to be consulted, but were not
included from the beginning of the process
• There is no single route or path for adopting a participatory process, it is defined in
relation to the legislation, the historical trajectory and the social, political, economic
and cultural contexts of each territory.

14
Participatory approach to periodic
reporting – questions to ask
Overall Results
Framework
Preparation of
the periodic
reporting and
completion in the
online system
Data Sources
Participatory
approach
∙ What are the actors involved in safeguarding ICH?
∙ What information is needed?
∙ How could it be generated?
∙ With whom, where and how could it be generated?
∙ In what ways will we seek to include the diversity of voices in
the documents or final products?
∙ Are stakeholders aware of the process in which they are
invited to participate?

15
Preparation of the report
Concept of
participation
SHARED
MANAGEMENT
State, institutions
(culture and other
sectors, different
levels of government)
Communities
Civil society (NGOs,
academies,
independent
managers, private
sector)
Data collection
process with
institutions, cross-
sectoral: inter-
institutional dialogue
Participatory process
from the community
approach, for
inventories,
safeguard plans and
ICH RL
Citizen participation
process: open
surveys
Based on the country's participatory mechanisms and
existing legislation for ICH and other sectors,
populations, ICH fields, etc.“The State has a role of
articulator, promoter, translator, coordinator and
facilitator”
Participatory approach to periodic reporting - roles
The State Party’s official representative is
responsible for the drafting and final
presentation of the report to UNESCO

16
A community-based approach
From the periodic
reporting format to
the “language” of
the communities
Self-assessment
From the language of
the communities to the
periodic reporting
format
Narrative
translation
Cultural
translation
Community
reflection
Completion of the
online form
Note: ultimately, the State Party’s official
representative is responsible for the
drafting and final presentation of the report
to UNESCO

SESSION 3
Participative process in data
collection: intersectorality,
different stakeholders’ and
communities’ involvement

18
…
Indicators are quantitative or qualitative variables that allow stakeholders to verify changes
produced by a development intervention relative to what was planned.
Mark progress along a route towards the agreed-upon expected results.
Have both temporal and progress (extent) aspects:
Temporal aspect: whether the expected changes are finished, partially or fully
underway, or not yet begun
Progress (extent) aspect: whether the expected changes are fully achieved, achieved to
a greater or lesser degree, or not achieved
Are most often expressed in quantitative terms, but qualitative indicators may often be
preferable for measuring performance under the 2003 Convention
How performance indicators work

19
Good indicators are …
Reliable, consistent over time
Simple to collect and analyse
Affordable, cost-effective data collection
Valid, measure what is intended
Sensitive to changes
Useful for decision-making and learning

20
Thematic area 7: Engagement of
communities and other stakeholders

21
Indicator 21
Extent to which engagement for safeguarding ICH is
enhanced among stakeholders
Focus on widest possible participation in
ICH safeguarding activities
Note: Section A.6 and Indicators 8, 9 and 17
cover stakeholder participation and consent in
inventorying, research and awareness raising
respectively.

22
21. Extent to which engagement for
safeguarding ICH is enhanced among
stakeholders

23
stakeholders

24
stakeholders

25
GENERAL REMARKS
1. Extent to which never means: ‘Extent to which the State Party has done X or
accomplished Y’, since many actors are involved in the framework, that consists both of
initiatives of communities, groups and individuals and of interventions of State or others,
outside the communities
2. Indicator 21 and SDG’s
SDG Target 16.7 ‘ensure responsive, inclusive, participatory and representative decision-
making at all levels’,
SDG Target 17.17, ‘encourage and promote effective public, public-private and civil society
partnerships…’.
SDG Target 11.4, protecting and safeguarding the world’s cultural and natural heritage.
stakeholders

26
POSSIBLE SOURCES
 Budgets, work plans and activity reports of the Ministry of Culture and/or other funding
agencies supporting ICH safeguarding
 Websites and other information sources on community associations and NGOs active in
ICH safeguarding
 Nomination files for elements proposed for inclusion in a country-level list or register, if a
safeguarding plan is required as part of such files
 Nomination files for elements proposed for inscription on the Urgent Safeguarding List or
Representative List
 Periodic reporting to the State concerning elements inscribed on a national list or on
either of the UNESCO lists
 Community organizations, civil society and private sector reports on ICH-related projects
 Questionnaires, interviews or focus groups held with relevant community members
stakeholders

27
Extent to which civil society contributes to monitoring of
ICH safeguarding
Indicator 22
Focus on enabling environment for the participation of
different actors in the monitoring of ICH safeguarding
programmes and measures
Note: refer to Indicators 1.4 and 9 on existence of (state) support for
documentation and safeguarding respectively. In Indicator 22 the
focus should be on whether the enabling environment exists for
studying and monitoring ICH safeguarding.

28
22. Extent to which civil society contributes
to monitoring of ICH safeguarding

29

30

31
POSSIBLE SOURCES
 Work plans of the body responsible for monitoring and reporting
 Work plans, agendas and minutes of a consultative body or coordination mechanism
 Academic articles or conference reports
 Social media, reports and websites of NGOs

32
GENERAL REMARKS
22.1 Does an enabling environment exist for CGIs to monitor and undertake scientific, technical and
artistic studies on ICH safeguarding programmes and measures?
 what such an enabling environment consists of – i.e. kinds of support given.
22.2 Does an enabling environment exist for NGOs and other civil society bodies to monitor and
undertake scientific, technical and artistic studies on ICH safeguarding programmes and measures?
 and what such an enabling environment consists of – i.e. kinds of support given
22.3 Does an enabling environment exist for scholars, experts, research institutions and centres of
expertise to monitor and undertake scientific, technical and artistic studies on ICH safeguarding
programmes and measures?
 what such an enabling environment consists of – i.e. kinds of support given. Evidence could include
access to appropriate training, and sharing of information within expert networks.

33
GENERAL REMARKS
Indicator 22 and SDGs
SDG Target 16.7 ‘ensure responsive, inclusive, participatory and representative decision-making at all
levels’,
SDG Target 17.17, ‘encourage and promote effective public, public-private and civil society partnerships’.
SDG Target 11.4, ‘strengthen efforts to protect and safeguard the world’s cultural and natural heritage.’

SESSION 3
GROUP WORK ON THEMATIC AREA 7
OF THE PERIODIC REPORT
Engagement of communities
and other stakeholders

35
Thematic area 7: Engagement of
communities and other stakeholders
How did you/do you intend to fill the form and
concretely elaborate on the 6 corresponding
assessment factors?

36
Indicators 21 & 22
Extent to which engagement for safeguarding ICH is
enhanced among stakeholders (21)
Extent to which civil society contributes to monitoring
of ICH safeguarding (22)

37
21.1 Do CGIs participate on an inclusive basis, and to the widest possible extent, in the
safeguarding of ICH in general or specific elements (whether or not inscribed on the Lists
of the 2003 Convention)?
 Describe briefly, giving examples, how CGI participation is secured.
 Describe in particular measures to ensure that this is inclusive.
21.2 Do NGOs and other civil society actors participate in the safeguarding of ICH in
general and of specific elements of ICH (whether or not inscribed)?
 Explain briefly, giving examples, how NGO and civil society participation in ICH
safeguarding is ensured.
21.3 Do private sector entities participate in the safeguarding of ICH, and of specific
elements of ICH (whether or not inscribed), while respecting the Ethical Principles of
Safeguarding of ICH?
 Describe private sector participation in ICH safeguarding briefly, giving examples, and
explain how the Ethical Principals are respected.

38
22.1 Does an enabling environment exist for CGIs to monitor and undertake scientific,
technical and artistic studies on ICH safeguarding programmes and measures?
 Describe briefly, giving examples, how CGIs can monitor and undertake scientific,
technical and artistic studies on ICH safeguarding programmes and measures.
22.2 Does an enabling environment exist for NGOs and other civil society bodies to
monitor and undertake scientific, technical and artistic studies on ICH safeguarding
programmes and measures?
 Describe briefly, giving examples, how NGOs and other civil society bodies can monitor
and undertake scientific, technical and artistic studies on ICH safeguarding programmes
and measures.
22.3 Does an enabling environment exist for scholars, experts, research institutions and
centres of expertise to monitor and undertake scientific, technical and artistic studies
on ICH safeguarding programmes and measures?
 Describe briefly, giving examples, how scholars, experts, research institutions and
centres of expertise can monitor and undertake scientific, technical and artistic studies on
ICH safeguarding programmes and measures.

SESSION 4
PERIODIC REPORTING AS A SELF-
ASSESSMENT TOOL: OBJECTIVES AND
RESULTS, TARGETS AND BASELINES

40
OBJECTIVES AND RESULTS
 a list of objectives discuss the measurable and specific results
that should be accomplished
 a result is a concrete and measurable change produced by the
implementation of one or more safeguarding activities and does
not describe what is to be done, but states how a future situation
is expected to be different from the current

41
Main objectives
MO1: Revitalize traditional carpet making in X district.
Expected results
ER1.1: Increased numbers of practitioners have (and share) the
knowledge and skills required for traditional carpet making.
ER1.2: Increased numbers of tools for traditional carpet making are
made and used.
ER1.3: Poverty reduced in X district.

42
HELPFUL QUESTIONS
• What improvements to the current situation would you like to see over the next
few years as results of ICH safeguarding policy?
• What are the concrete and measurable changes that you want to see happen?
• How are they related to the identified problems, threats or risks?
• Does it seem realistic to attain them within a period of six years?
• Who would take responsibility to make them happen?

43
TARGETS AND BASELINES
Baselines and targets are further essential components of an RBM framework:
The baseline provides the starting point or the status of the performance
indicator at the beginning of a programme or project; this acts as a reference
point against which progress or achievements can be assessed.
The target is a measure associated to a performance indicator to be attained
during a specific period with available resources.
E.g. A typical baseline in a primary education programme: the enrolment rate at the beginning of
the project, such as 90% of school-aged children enrolled in school. The target in the case of a
primary education project might be reaching 100% enrollment for school-aged children

45
 IMPORTANT TIPS
Yes and No Questions → automatic rating
(except B8 on inclusive inventories, B10 on accessibility
of research findings and documentation and B21 on the
stakeholders’engagement)
Targets and Baselines → self-assessment opportunity

SESSION 4
GROUP WORK: PRIORITIES?

47
Given the limited time and resources, in the specific
context of your country, what did you or what will you
prioritize in terms of:
 thematic areas / indicators / evaluation factors
 stakeholders for consultation / participation
 procedures and actions to be carried out
 information to be integrated into the mass of
available data
And who decides on these priorities?

WHY REPORTING?
A SHORT REMINDER

49
Overall Results Framework and
Periodic Reporting
Core indicators (26)
Assessment factors (86)
} Included in Periodic
Reporting form

50
Periodic reporting based on ORF …
Is not an end in itself, but part of the process of tracking and
refining activities to achieve the desired results.
In that sense, the revised format can help to:
• Describe results – not only activities
• Focus on the impact of the interventions
• Address the quality of the process
• Pay attention to identifying targeted beneficiaries or actors
• Focus on relevant/important information

51
Periodic Reporting at the national level …
• Provides information that can be used as a tool to inform policy and
programmes for ICH safeguarding, guiding future action
• Helps to standardize reporting across States while at same time allowing for
locally-specific narratives based on different needs, challenges, threats,
strengths and opportunities.
• Can address cross-cutting issues (age, gender, minority/indigenous concerns).
• Helps set up mechanisms for collecting quantitative and qualitative data on
how the Convention is being implemented.
• Helps establish baselines and thus start to measure progress against targets
and priorities.
• Can encourage deeper NGO participation in the reporting and implementation
of the Convention over time.

52
National synergies
• PR can help develop relationships between communities and
other stakeholders for safeguarding, including different
government agencies, NGOs and networks of experts.
• The process can help inform and refine the agenda for future
action, including developing ICH-related policies & programmes.
• Improved data collection at the local and national levels can help
identify successful aspects of programmes and policies.
• Taking stock regularly of the progress achieved can help
enhance monitoring measures for the effective
operationalization of the Convention.

53
From challenges to opportunities:
Experiences in SEE
• Raising awareness & involving new stakeholders
• Capacity building & empowerment
• Networking and mediation
• Dialogue with other institutions/sectors
• Dynamic exchanges with local/regional entities/stakeholders
• Implementing coordination/communication mechanisms
• Beyond the form, collective commitments for the future

54
Regional cycle and international synergies
States Parties can also use the process:
• For active regional exchange of information and
cooperation for efficient safeguarding of ICH
• To share experiences at the international level, not
just for implementing the Convention, but more
broadly the goals of Agenda 2030 and other
international priorities.

POSSIBLE QUESTIONS
AS RAISED IN HANDOUT 10

57
Technical Q&A on the
Periodic Reporting Form
• Can Focal Points use the online test form?
• How many logins will be provided?
• How should the form be saved?
• Is there a Word document version of the online form?
• What are the word limits in the online form?

58
• What parts of Section A will be pre-populated already?
• Where is the guidance for understanding what is needed in Section B?
• Why do you not need to give information for indicators 23 and 26 at part
of Section B?
• How are Baselines and Targets calculated?
• What part of Section C will be pre-populated already?
• How can the signatures be attached to Section D?

59
• What languages can be used to fill the form?
• What happens if I submit early by mistake?
• Will there be a completeness check on the online form at the time of
submission?
• Is there a size limit for attachment uploading?
Further infos contact: ich-reports@unesco.org

60
General Q&A on the
• Should the previous Periodic Reports be used as a baseline for this one?
• What should I do if I don’t understand the question being asked?
• Can States Parties submit sub-national reports, for example of different sub-
regions of a country in a federal system?
• Does proof of community consent have to be attached to the Periodic
Reporting Form?

61
General Q&A on the
• How should inventories be reported on?
• How should recently inscribed elements be reported on?
• How should multinational nominations be reported on?
• When the questions ask about concepts such as ‘ICH’ or ‘ethical principles’, should
we take a broad or more specific interpretation of these concepts?

62
General Q&A on the
• What should I do if I don’t know what data to use, or it’s not available?
• Should I repeat the same answer in different parts of the Periodic Reporting Form?
• How extensive should the answers be? How do I select examples?
• In a yes-no question, should I answer ‘yes’ if what is being asked only happens
‘sometimes’?

Keynote presentations delivered by Panayiota Andrianopoulou & Séverine Cachat, meeting facilitators. Day 2 Participative process in data collection; Objectives and results, and targets and baselines of the Periodic Reporting process

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Keynote presentations delivered by Panayiota Andrianopoulou & Séverine Cachat, meeting facilitators. Day 2 Participative process in data collection; Objectives and results, and targets and baselines of the Periodic Reporting process