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
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