NORMATIVE FRAMEWORK

TRUST FUND PROJECT FORMAT

"Building Capacity for Policy Analysis on ...."

(PART II: PROJECT DESIGN)

A. GENERAL BACKGROUND

This section provides a general background of the project and should reflect major elements of the social, economic, policy, institutional and technical environment under the below headings.

1. Description of the sector/sub-sector.
2. Host country strategy in capacity building.
3. Prior or ongoing assistance in support of capacity building.
4. Institutional framework and structure.

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 involved in the assessment of the sector/sub-sector; structure, personnel, budget as well as central, regional, local aspects.
Description of the policy 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
Other relevant institutions involved incapacity building for policy analysis

B. PROJECT RATIONALE-JUSTIFICATION

1. The present situation and the problem to be addressed

This section focuses on the analysis of the specific sectoral/sub-sectoral policy issues, problems and causes to be addressed by the project and the approach adopted to deal with these problems.

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 the identified problems, the project strategy and project outputs must be well described and logically linked (use of Logical Framework Analysis Methodology or similar planning methods is suggested).

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. This section shall highlight the relationship, and particularly the complementarity of the project with other relevant activities completed, on-going or planned (policy environment, project environment). Specifically, the section should describe what efforts government has taken or is taking with respect to addressing the above-identified weaknesses (technical, staff related, institutional) in policy analysis. This should include, if applicable, reference to any recent, on-going or planned activity or project dealing with assessment, training or capacity-building activities within the sector, whether funded by the Government or international donors.

In light of the problems identified, the section should also describe why international intervention is important and how FAO assistance would be expected to build upon or complement such activities. In particular, it should explain what gap in expertise for capacity building FAO would be expected to fill. FAO's assistance may be critical in strengthening national capacity to assess the sector performance and the policies that favour or hinder its development.

(Where appropriate, the potential impact of the project on the environment, women and other target groups, should be included under this section. This impact will of course vary depending on the technical subject area covered by the project.)

3. Target beneficiaries

Brief description of the beneficiaries (who are they), what benefits will they receive, which change in behavior is expected to take place within each of the target groups.

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 building capacities in policy analysis. Previous progress made by the country should be cited. Note any new approaches and techniques that can be applied in capacity building.

5. Institutional framework and counterpart support capacity

Describe the institutional arrangements and responsibilities for project implementation, provide a description of the Government/Non 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 carrying out the specific work on capacity building in policy analysis.

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 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.

C. DEVELOPMENT OBJECTIVE

Explain how the project would contribute to accomplishing Government long-term objectives articulated by the government/ministry for capacity building.

Data Needs:

Development targets set for capacity building with specific reference to policy analysis.

Data Sources:

Ministry of Education/Ministry of Agriculture
Ministry of Planning/Finance

D. IMMEDIATE OBJECTIVE(S), OUTPUTS AND ACTIVITIES

The immediate objective(s), or "project purpose" should indicate clearly the benefit for the target group(s). Outputs are specified which contribute to the achievement of the immediate objective within the project period.

Quantitative indicators should allow verification of: (i) reaching the planned improvement through capacity building in policy analysis; (ii) achieving stated outputs by the end of the project by implementing the planned activities. A structure showing one immediate objective with two outputs is proposed as follows:

1. Immediate objective 1: Analytical team strengthened to perform policy analysis.

Output 1
1.1. Maintain an up-to-date database for policy analysis and monitoring and evaluation purposes containing pertinent information needed.

Activities
1.1.1 Activity 1: .....
1.1.2 Activity 2: .....
1.1.3 Activity 3: .....
1.1.4 Activity 4: .....
1.1.5 Activity 5: .....

Output 2
1.2. Two staff members of the Ministry of Agriculture/xx Department are carrying out policy analysis work requested by zz.

Activities
1.2.1. Activity 1: ....
1.2.2. Activity 2: ....

Data Needs:

Information on database used.
Number of database users.
Number of persons trained.
Names and types of manuals or reports prepared.

Data Sources:

Ministry of Agriculture/Ministry of Planning
Project management

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
Ministry of Planning/Economic Cooperation
Office of FAO Representative concerned
Other relevant institutions involved in capacity building for policy analysis

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
Ministry of Planning/Economic Cooperation
Office of FAO Representative concerned
Other relevant institutions involved incapacity building for policy analysis
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. Training facilities, computer rooms for accessing the database etc., are such obligations. Discuss actions which do not effect commencement but which can cause serious disruption during implementation (pre-requisites). If these obligations cannot be reasonably met by the Government prior to commencement of the project, they can be included in the outputs, activities and inputs of the project.

Data Needs:

Information on existing training facilities and potential utilization.
Inventory of information technology rooms and equipment.

Data Sources:

Ministry of Agriculture/Ministry of Education
Training institutions

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 participating agencies, and regional/provincial/local government institutions if appropriate
On-going participatory monitoring
Ministry of Agriculture/Ministry of Education

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 consultant).
Travel (number, itinerary and traveler 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 (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
Ministry of education
Other relevant authorities
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 plan should show the timeframe, 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, logframe document
Team Leader
Ministry of Agriculture
Ministry of education
Other authorities involved in project execution

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:

Main body of project document, logframe document
Team Leader
Ministry of Agriculture
Ministry of education
Other authorities involved in training activities

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
Other relevant Ministries and government authorities
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:

Team Leader
Ministry of Agriculture
Ministry of education
Other authorities involved in project execution
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 D. "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
See Toolkit web page on "Logical Framework Analysis"