NORMATIVE FRAMEWORK

TRUST FUND PROJECT FORMAT

"Promotion (Rehabilitation, Improvement, Development) of Horticultural Crops"

or

"Capacity Building of the Government Ministry(ies) Responsible for Horticultural Crops"

(Part II: PROJECT DESIGN)

A. GENERAL BACKGROUND

1. Description of horticulture sub-sector

Information on the role in the economy of the country concerned (contribution to GDP, agricultural GDP, foreign trade, employment, nutrition and income); its sub-sector structure [main features of: (i) main horticultural crops; (ii) production systems; (iii) major development constraints].

2. Host country strategy

Concise descriptions of what strategies and objectives have been articulated by the Government for the sub-sector in general and/or for one specific horticultural crop or groups of crops. The major relevant components of the strategies can be highlighted by bullet points.

3. Prior or on-going assistance in support of horticultural crops

Brief information on specific programmes/projects (donors, major activities, and impact).

4. Institutional framework for the horticultural sub-sector.

Areas of responsibility of government, parastatal or private institutions as they relate to the development of horticultural crops or a specific crop. Indication of primary responsibility for solving the problem and thus where to locate the project.

Data Needs:

Share of horticultural sub-sector in: GDP, agricultural GDP, foreign trade, agricultural employment. Average per caput income.
Horticultural production by geographical concentration and production system (smallholder/commercial; intensive/extensive).
Estimated area covered by relevant horticultural crops.
Government development objectives for horticultural sub-sector.
On-going programmes and other relevant activities.
List of relevant completed and/or on-going programmes/projects.
Organization chart of relevant ministries with budget and staffing.

Data Sources:

FAO web site (www.fao.org)
FAOSTAT
Technical Cooperation Department web site "Field Programme Management Information System"
Office of FAO Representative concerned
The World Bank (www.worldbank.org/data)
Ministry of Agriculture/Department of Plant Production
Ministry of Planning/Economic Cooperation

B. PROJECT RATIONALE-JUSTIFICATION

1. Problem to be addressed; the present situation

Concise description of the current situation of horticultural crops, including important issues that will set the stage for project design. The text should include the different agro-ecological areas for horticultural crop production and local technical capacities. Involvement of the private sector. Note any specific Government, farmer or consumer group public expressions of concern. Draw attention to any specific mention of the national situation in the international context.

2. Expected end- of- project situation and sustainability of project results

A simple one or two sentence statement of the project goal is required here. Additional bullet points may highlight major objectives of the project and the key actions the Government has to take to achieve the project goal.

3. Target beneficiaries

Brief description of the farming system of affected groups targeted, with special reference to low-income groups or gender, if applicable. Reference should also be made to any benefits expected to accrue to: (i) growers of horticultural crops; (ii) scientific and extension staff, and (iii) consumers in local and national markets.

4. Project strategy

Explain the reason for the choice of strategy; i.e. describe the technical and institutional activities and outputs required to reach the goal of improving/developing horticultural crops. Previous actions on horticultural crops made by the country should be cited. Note any new techniques applicable in the project area.

5. Institutional framework and counterpart support capacity

Describe the institutional arrangements and responsibilities for project implementation, provide a description of the Government implementation agency (location, functions, organizational structure, financial and staff resources) and how the project would fit into the structure. Describe the project's organizational structure and the respective managerial responsibilities for national and international staff.

6. Reasons for assistance from FAO/Government Cooperative Programme

Text needs to document FAO's comparative advantage in being a partner with the Government in promoting horticultural crops.

7. Special considerations

This section can highlight special conditions of interest to the Government, the donor, FAO and the international community as a whole. These might include the need for national capacity building, sustainability of project achievements, impact on poverty alleviation, empowering women and their role in the development of the country.

8. Coordination arrangements

Indicate coordination with other parts of the Government and/or parastatal or private sector, which would have an indirect role in project implementation. There may be need for a steering committee to inform and coordinate among any overlapping responsibilities.

Data Needs:

Institutions dealing with horticultural crops and their role.
Major characteristics of farming systems
Role of horticulture in the farming system (production for fresh consumption or processing).
Number of farm families involved and average size of farm.
Organization chart, budget and staff resources of the Government implementation agency.
Key indicators of FAO's comparative advantage in promotion of horticulture and horticultural crops.
Basic data concerning relevant ministries, parastatals, private sector institutions.

Data Sources:

Ministry of Agriculture/Department of Plant Production/Agricultural Research Institutes
Ministry of Planning/Finance
Office of FAO Representative concerned

C. DEVELOPMENT OBJECTIVE

Explain how the project would contribute to accomplishing Government long-term objectives articulated for the horticultural sub-sector.

Data Needs:

Development targets set for the sub-sector.

Data Sources:

Ministry of Agriculture/Department of Plant Production/Agricultural Research Institutes
Ministry of Planning/Finance

D. IMMEDIATE OBJECTIVE(S), OUTPUTS AND ACTIVITIES

(Examples of objectives, outputs and activities to be adapted.)

1. Immediate Objective 1

Establish/improve/rehabilitate/develop plantations with high yielding and good quality varieties through the adoption of modern production and propagation techniques.

Outputs/Activities

1.1. Output 1.

Selection of high quality cultivars to be established.

1.1.1. Activity 1

Selection of local clones and genotypes with desired characteristics.

1.1.2. Activity 2

Import the best cultivars.

1.1.3. Activity 3

Establishment of germplasm collection blocks, foundation plots and evaluation.

1.1.4. Activity 4

Evaluate performance of selected clones and introduced cultivars in different climatic zones.

1.2. Output 2

Upgrade quality and quantity of horticultural production in the private sector.

1.2.1. Activity 1

Establishing demonstration orchards.

1.2.2. Activity 2

Extension service team to implement training on growing horticultural crops.

2. Immediate Objective 2

To strengthen national capacity of researchers, technical staff and labourers of national institutions involved in the project and private sector growers.

Outputs/Activities

2.1 Output 1

Trained staff and manpower capable of operating modern plantation and carrying out research activities on crop production and propagation.

2.1.1 Activity 1

Organization of courses for technical staff.

2.1.2. Activity 2

Organization of courses/field days for farmers.

2.1.3 Activity 3

Organize meetings, workshops and seminars.

2.1.4 Activity 4

Study tours and fellowships.

2.2 Output 2

Printed technical manuals on crop propagation and cultivation.

2.2.1 Activity 1

Production of technical manuals and a technical leaflet series on different aspects of horticultural crops.

Data Needs:

Number of staff/farmers trained.
Number of workshops held.
Number of field teams equipped for a specific task
Specific, quantified interventions related to horticultural trade.
Names and types of manuals or reports prepared.

Data Sources:

Ministry of Agriculture/Department of Plant Production/Agricultural Research Institutes

E. INPUTS

The inputs to be provided to carry out planned activities (goods, services, personnel, vehicles, equipment) must be sufficient to produce the project outputs and to achieve the stated objectives. The description should specify: (i) international and national consultants (specialization and duration), equipment (quantity and specification), fellowships and study tours (field and duration of study) etc. and (ii) purpose for which provided. The timing and sequencing of inputs should be shown in the work plan annexed, together with a detailed description of inputs that are to be used.

Data Needs:

Details on goods (type and quantity), services (nature and length of period), personnel (specialization and duration), vehicles (type and quantity), equipment (quantity and specification) - See also Section I. "Budget".

Data Sources:

Ministry of Agriculture/Department of Plant Production/Agricultural Research Institutes

F. RISKS

Risks are generally interpreted in terms of the negative effects of unexpected events. Some mention needs to be made of the probability of the risks occurring, the effects if they do occur, and how the project has been designed to mitigate such risks.

Data Needs:

Examples of events that negatively affected projects in the past and information on corrective measures taken at the time.

Data Sources:

Ministry of Agriculture/Department of Plant Production/Agricultural Research Institutes
Office of the FAO Representative concerned
FAO technical division concerned

G. PRIOR OBLIGATIONS AND PRE-REQUISITES

Describe actions to be taken by the Government for commencing the project (prior obligation) and to facilitate implementation. Discuss actions which do not effect commencement but which can cause serious disruption during implementation (pre-requisites).

Data Needs:

Current government policies and facilities to implement the project.

Data Sources:

Ministry of Agriculture/Department of Plant Production/Agricultural Research Institutes

H. PROJECT REPORTING, REVIEWS AND EVALUATION

Project monitoring and evaluation requirements are subject of discussion with the concerned donor and may vary according to budget size and donor requirements. The arrangements should conform, to the extent possible, to the general Monitoring and Evaluation Systems appropriate for FAO Trust Fund projects, as outlined in the "Guidelines for Project Formulation for Trust Fund Projects.".

Data Needs:

Actual implementation of activities as compared to work plan.
Identification of specific problems and constraints.
Project expenditures.
Recommendations for corrective measures that may be required.

Data Sources:

Project records/Project staff
Records from regional/provincial/local government
On-going participatory monitoring
Ministry of Agriculture/Department of Plant Production/Agricultural Research Institutes

I. BUDGET (PLAN OF EXPENDITURE)

Line items and formats vary with the Trust Fund Donor. Typically, a distinction is made between:

(i) Government Contribution in Kind (estimated in local currency)

Personnel

Travel

Miscellaneous/General Operating Expenses

Equipment

Premises

Training, and

(ii) Donor Contribution (estimated in US$)

Personnel

Office Travel

Contractual Services

Supplies and Materials

Furniture and Equipment

Acquisition and Improvement of Premises

Training, Fellowships, Grants and Contributions.

Data Needs:

Personnel (number of person-months and unit costs for national professional and support staff, and for international and national consultants).
Travel (number, itinerary and traveller specifications).
Cost of domestic and international travel, including DSA.
Miscellaneous/General operating expenses (a fixed rate).
Contractual services (details, duration).
Equipment (quantity and unit cost; see also list of equipment in Annex III).
Supplies and Materials (quantities and per unit cost of stationery and supplies).
Premises (description of location and current state).
Training (summary of training needs by categories, numbers, levels, discipline, location, and cost per unit).
FAO support cost (fixed rate, which varies by type of project).

Data Sources:

Team Leader
Ministry of Agriculture/Department of Plant Production/Agricultural Research Institutes
Office of FAO Representative concerned
UNDP
Suppliers of equipment
Travel agents

J. ANNEXES

I. Work Plan

II. Training Programme (if required)

III. Equipment/Supplies (if required)

IV. Job Descriptions (if required)

V. Logical Framework Matrix (if required)

Annex I. Work Plan

The detailed work plan, prepared by the project formulators for the entire project duration, is to show how, with the budgeted resources, project activities are to be implemented and outputs produced. For each significant activity the work ld plan should show the time frame, the unit responsible and the major inputs required. The work plan is updated every year. A bar chart can be used for presentation.

Data Needs:

Details listing of activities.
Project reporting, reviews and evaluation requirements.
Phasing/timeframe of project activities.

Data Sources:

Main body of project document
Team Leader
Ministry of Agriculture/Department of Plant Production/Agricultural Research Institutes

Annex II. Training Programme

This Annex is required when substantial or complex training programmes are involved. There is no fixed format for this Annex which may be drawn to whatever level of detail is needed for the project; nature and timing/duration of the intended training (workshops, seminars, fellowships, study tours).

Data Needs:

Detailed quantitative estimates of training needs, numbers, level, subject location, duration, cost estimates.

Data Sources:

Team Leader
Ministry of Agriculture/Department of Plant Production/Agricultural Research Institutes
FAO technical division concerned

Annex III. Equipment/Supplies

This Annex is required only in projects where the cost of equipment and supplies represent more than 10 percent of the total project cost.

Data Needs:

Nature and specification, quantity and unit cost of individual items.

Data Sources:

Assessment of availability and needs
Donors requirements,
Ministry of Agriculture/Department of Plant Production/Agricultural Research Institutes
Team Leader
Local suppliers
On-going development projects
Office of FAO Representative concerned

Annex IV. Job Descriptions

This Annex should provide detailed Terms of Reference/job descriptions for international and/or national experts that would be involved in the project.

Data Needs:

Detailed listing of project personnel, indicating expertise required, location and duration of assignment.

Data Sources:

Ministry of Agriculture/Department of Plant Production/Agricultural Research Institutes
Team Leader
FAO technical division concerned
See "Common Project Elements/Guidelines for the Preparation of Terms of Reference"

Annex V. Logical Framework Matrix

A useful planning, verification and document writing tool. The matrix should be prepared early in the formulation process and modified as and when need arises. Completing the matrix forces the writer to write concisely and logically when formulating objectives, critically defining indicators of achievement and the means of verification, and discussing assumptions about carrying out the activities.

Data Needs:

See Section C. "Immediate Objective(s), Outputs and Activities"; plus , indicators of achievement, means of verification and, assumptions for each these levels of the project hierarchy.

Data Sources:

Project request, project concept and project rationale-justification
Ministry of Agriculture/Department of Plant Production/Agricultural Research Institutes
See "Common Project Elements/Logical Framework Matrix"