NORMATIVE FRAMEWORK

TCP PROJECT FORMAT

"Policy Assistance on (new issue or priority)"

I. PROJECT SUMMARY

This section contains a succinct statement of the project outcome (improved situations or expected changes) stemming from the problem statement (below).

Data Needs

• Main features of the project with emphasis on expected outcomes.

Data Sources

• Individual chapters of the project document

II. BACKGROUND AND JUSTIFICATION

This section provides a general background of the project and should reflect major elements of the social, economic, policy, institutional and technical environment embracing the sector and/or sub-sector. Identify the problem for which assistance is requested and provide evidence that TCP criteria - which govern eligibility for TCP funding - are met.

This section will contain a substantive analytical part delineating problems, weaknesses and limitations the sector currently experiences. The relevant weaknesses to be highlighted in this section will take different forms, depending on the country and the current situation and the overall substantive focus of the project. Particular attention should be given to the policy context. The description of the problems and causes shall provide the basis for the focus of the project and for the specific project objectives. The link between problems, the project strategy and the outputs identified must be well described and logically linked [use of Logical Framework (logframe) Analysis Methodology or similar planning methods is suggested].

There should be a clear element of capacity building in order for the Government to be enabled to carry out future policy analysis tasks. One paragraph should state how the Government and the Ministry of Agriculture and other relevant institutions intend to build upon the technical assistance provided. That should include the long-term and sustainable advantage that is expected to result from the TCP assistance. The Government contribution to realizing this advantage should be described.

Data Needs

• Brief description of the major economic and social indicators of the country concerned (average annual income per caput; size, growth and average density of population; share of population living below poverty line; indicators on education and public health).
  
• Relevant features of the policy and institutional environment/Government development objectives/policy; roles of public and private sector stakeholders involved in food, agriculture and rural development.
  
• Size, structure, role in the economy of the sector/sub-sector concerned (share in agricultural GDP, contribution to income, employment, and generation of foreign exchange).
  
• Major institutions of the sector/sub-sector (e.g.: structure, personnel, budget; central, regional, local aspects to be described and analyzed)
  
• Description of the policy or priority issue(s) to be analyzed
  
• Origin of the project, type of assistance requested, institutions involved.

Data Sources

• Strategies and policies accessed through the FAO Field Programme Management Information System (FPMIS) web site which provides information on strategy and policy documents prepared both by FAO and other UN or International Financial Institutions, such as the World Bank and IMF. There are also Internet links with institutions, both national and international, that produce strategic and policy work.
  
• WAICENT
  
• FAOSTAT
  
• Ministry of Agriculture
  
• Ministry of Planning/Economic Cooperation
  
• Office of FAO Representative concerned
  
• Logical framework results

III. OBJECTIVES OF THE ASSISTANCE

"This section will state briefly but in specific terms, the particular objective(s) which the project is expected to achieve. The project objective is defined as a specific aim to be achieved and formulated as the expected future improved situation after the successful completion of the project. The statement should be drafted wherever possible in terms permitting subsequent verification of project accomplishments." (TCP Guidelines)

The objective should clearly indicate:

- who are the beneficiaries,
- the benefits for each of the target group(s) and
- how they will receive FAO support.

Quantitative indicators should allow verification of: (i) reaching the planned improvement through policy analysis; (ii) achieving stated outputs by the end of the project.

IV. PROJECT OUTPUTS (RESULTS)

"Outputs (results) to be defined in this section, are the specific products of activities undertaken, the combined use of which by project beneficiaries will achieve the objective of the project, provided assumptions about external factors are correct. They should be defined in terms that permit their verification in quantity, quality and time, and should be consistent with the project objective and design, and provide the basis for the elaboration of a clear, detailed work plan." (TCP Guidelines)

This section provides, using quantitative terms, a simple bullet-point listing of tangible outputs expected from the project. For example, the number of staff trained, of workshops held, of central/field staff equipped for undertaking a specific task related to the project's policy area, number, names and types of training manuals; number of analytical studies or other reports for use in policy-making.

Data Needs

• Quantitative and qualitative indicators giving information on the above mentioned number of staff trained, workshops held, manuals produced etc. to monitor and evaluate the quality and usefulness of the policy analyses and capacity building activities;

Data Sources

• Ministry of Agriculture and other relevant ministries and institutions, Ministry of Planning and other relevant central/provincial/local institutions.
  
• Logical framework documents, project appraisal reports etc.

V. WORK PLAN

After defining the project outputs, it is required to draw up a logical sequencing of all projects' activities and inputs as needed to produce all specified outputs. The timetable, which may be annexed to the project document, should be sufficiently specific and detailed, to serve as a practical guide for both national experts and consultants on what activity should be carried out, at what time and place and to be implemented by whom. This Annex should also serve as an instrument for monitoring project implementation and achievement for both the counterpart Government agency and FAO.

Data Needs

• Logical sequence of the major project activities and estimate of the input needs and associated costs.

Data Sources

• Ministry of Agriculture and other relevant ministries and institutions
  
• Ministry of Planning and other relevant central/provincial/local institutions
  
• Logical framework documents, project appraisal reports etc.

VI. CAPACITY BUILDING

The project document should include a distinct paragraph with a description of how national policy experts and consultants will contribute towards the achievement of project objectives and how the project intends to address building a national capacity in the recipient institution/country.

Data Needs

• Number of central and/or local staff to be trained in policy analysis.
  
• Number of central and/or local staff/team to be equipped with hardware/software for undertaking policy analysis, design, monitoring and evaluation.
  
• Number of workshops to be held.
  
• Names and types of training manuals or technical reports to be prepared.

Data Sources

• Ministry of Agriculture and other relevant ministries and institutions
  
• Ministry of Planning and other relevant central/provincial/local institutions
  
• Logical framework documents, project appraisal reports etc.

VII. INPUTS TO BE PROVIDED BY FAO

The description of needed inputs should give a clear relationship between each of them and the respective project activity which each input supports. (For detailed information, see TCP Guidelines, Annex I, pages iii-vi.) This section needs to clearly describe the number, type and cost by input specified under each budget line item. The project budget structure is itemized as below.

a) Personnel services
Technical services of international and/or national experts/consultants
- International consultants/experts
- FAO Advisory Technical Services (ATS)
- National experts and consultants
- International expertise under Partnership Programmes (i.e. TCDC/TCCT or Retired experts and consultants)
- Administrative support
- Supervisory Technical Services (STS)

Important Note:

Project formulators are advised to contact the TCP Unit before preparing the staffing inputs and corresponding budgets in order to consult and apply the UN established rates for the use of international expertise. It is also of utmost importance that, in obtaining personnel services for TCP projects, priority and preference should be given to the employment of competent experts under the FAO Partnership Programmes (use of TCDC/TCCT experts and Retired experts) in those countries that have signed those types of agreements with FAO.

b) Official travel
c) Contracts, Letters of Agreements or Contractual Service Agreements
d) General operating expenses (GOE)
e) Materials, supplies and equipment:
f) Direct operating cost (DOC)
g) Training:
- Study tours
- In-country workshops
- Fellowships and academic training
- Young Professionals for on-the-job training

Sufficient details on each sub-category input under each budget line should be provided, including numbers of participating staff, of items, of internal trips, etc., and the cost of each item (DSA rate, monthly consultant rate. etc.). The sum of resulting amounts by sub-category under each budget line should add up to the total of the line item. "Materials, Supplies and Equipment" line items can be detailed, item by item, in an annex in which the number and the estimated costs of each item to be procured need to be shown.

Data Needs

• Number, type and cost of each input (numbers of participating staff, of items, internal trips, cost per day, DSA rate, monthly consultant rate, etc.).

Data Sources

• Ministry of Agriculture
  
• FAO and UNDP Regional Offices
  
• FAO technical division concerned
  
• Local suppliers, etc.

VIII. REPORTING

Reporting is an integral and very important part of any project (for details see the TCP Guidelines, Annex I, pages iv and v). Requirements for periodic reporting will be stated in the project agreement and will be adjusted to the needs of the project in each individual case. It is essential that the project document specifies who is to prepare the reports and at what intervals. This is particularly true for the Terminal Statement. If the writer of this document is not specified, the technical officer assumes this responsibility. All reports need to be submitted to the operating unit in electronic format for ease of editing and distribution.

Reporting work consists of the following type of reports:

Periodic and Mission reports are required for operational monitoring of projects so that technical and operating divisions of FAO can monitor the delivery and utilization of inputs. They provide the required flexibility to meet changing needs and are used to make decisions about project extension and budget revision. Thus operational reporting must be comprehensive so that those technical and operational divisions in FAO responsible for its successful execution can analyze how the inputs are delivered and to what extent they are used at the national level.

Technical Reports and/or Field Documents may be the main outputs of a project and must be approved by the FAO technical divisions through an appropriate review process. They add to the body of technical knowledge about specific policy area, sector/subsector performance under current policy, effectiveness and efficiency of current policy, assessment of needs for policy changes. Technical Reports and Field Documents should be of high quality and accurate in their facts and presentation and require the approval by the FAO technical unit responsible for technically supporting the project.

Terminal Statement report summarizes the project's main findings and conclusions in addition to FAO's recommendations to the Government. Within one year after completion of the project, the recipient Government should submit a brief report on action taken on the main recommendations resulting from the project.

Data Needs

• Operation-related data/information on specific technical and methodological information illustrating the improvements made in order to perform the assessment activities in the agricultural and food processing sectors, project findings and facts relevant to the specific area investigated.
  
• Consultant's geographic and institutional itinerary, persons met, terms of reference, lists of additional equipment, etc.

Data Sources

• Project records/project staff
  
• Ministry of Agriculture records
  
• Ministry of Planning and other relevant central/provincial/local institutions participatory rapid rural appraisal reports and sector surveys data and results.

IX. GOVERNMENT CONTRIBUTION AND SUPPORTING ARRANGEMENTS

This paragraph needs to clearly set out: (i) the resources to be contributed by the Government; (ii) designation of Government responsibility for arranging for duty-free customs clearance, full access to laboratories and their test results, and access to the field - which may be under provincial or district authority. All need to be included in this section as they might apply.

See in particular TCP Guidelines, Annex I, page vii and the following excerpts:
Request must be accorded high priority by the Government, which must also ensure that the required local support facilities and services will be available and that follow-up action will be taken.

Requests must provide assurance of the fullest possible participation of the Government in project execution, through such means as the use of national institutions, personnel and resources. (Annex IVa, page i).

Each project should be supervised by a National Project Coordinator nominated and paid by the Government. National Project Professional Personnel or consultants recruited by FAO are fully accountable to the Organization and cannot be on the Government payroll at the time of their assignment. (page 10, par 46) They may not be recruited from the counterpart institution/cooperating agency. (Annex 1, page iv).

Data Needs

• Government contribution in terms of cash, personnel time, facilities, vehicles, laboratories, building and office space (for workshops, project staff and others), secretarial and translation/interpretation expertise.

Data Sources

• Ministry of Agriculture
  
• Ministry of Planning and other national central institutions associated with agricultural policy area in question.
  
• Planning documents (Logframe).

X. PROJECT BUDGET

The project budget covering the FAO contribution is prepared by FAO, based on elements received from the requesting country. See TCP Guidelines for explanatory details.

Data Needs

• Quantified details on FAO contribution in US$ by budget line.

Data Sources

• Government,
  
• FAO and UNDP Regional Office
  
• Suppliers of equipment
  
• Travel agents

XI. ATTACHMENTS TO PROJECT AGREEMENT

1. Description of the capacity building programme.
2. Description of Advisory Technical Services and Supervisory Technical Services.
3. Description of services to be provided under contracts.
4. Itemized list of equipment.
5. Itemized list of materials and supplies.
6. Terms of reference including description of required qualifications for each international and national consultant/expert and where appropriate for the National Project Coordinator.

Data Needs

• Quantitative estimates and descriptions/specifications as relevant to the above attachments.
• Terms of Reference (TORs) for each national and international project staff member including FAO technical staff members contributing to the project. TORs for short-term staff inputs (weeks to several months) need to describe precise, time-bound activities and outputs expected. Longer-term staff inputs should be more generally phrased to allow some flexibility and cover unforeseen occurrences.

Data Sources

• National and international project staff
  
• Ministry of Agriculture/Ministry of Planning
  
• Relevant central/provincial/local institutions