NORMATIVE FRAMEWORK

TRUST FUND PROJECT FORMAT

"Strengthening Capacity of the National Agricultural Research System"

(PART II: PROJECT DESIGN)

A. GENERAL BACKGROUND

1. National Agricultural Research System (NARS)

Provide information on the role of agriculture in the overall economy of the country concerned, its infrastructure and major constraints. The role of agricultural research in improving productivity and profitability, poverty alleviation, food security and natural resources conservation. Challenges for the national system of agricultural research, its organization, management, funding and priorities for future orientation.

2. Host country strategy

Concise descriptions of what strategies and objectives have been articulated by the Government for the national agricultural research system. The major relevant components of the strategies can be highlighted by bullet points.

3. Prior or on-going assistance in support of agricultural research

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

4. Institutional framework for agricultural research

Areas of responsibility of government, parastatal or private institutions. Indication of primary responsibility for the NARS and thus where to locate the project.

Data Needs:

• Share of agricultural sector in: GDP, foreign trade, agricultural employment. Average per caput income.
  
• Roles of large commercial and of smallholder production.
  
• Government's policies and strategies for the agricultural sector and related research needs.
  
• Main features of the NARS.
  
• List of relevant institutions (public, parastatal, private) involved in agricultural research, indicating focus of activities and sources of funding.
  
• Government objectives/policies concerning the NARS.
  
• List of completed or ongoing research programmes/projects indicating funding source.
  
• Organizational structure of relevant ministries with budget and staffing.

Data Sources:

• Ministry(ies) in charge of Agricultural Research
  
• Chamber of Commerce
  
• National Federation of Agricultural Producers
  
• Ministry of Planning/Finance
  
• Office of FAO Representative
  
• Other UN agencies
  
• FAO Technical Division concerned

B. PROJECT RATIONALE-JUSTIFICATION

1. Problem to be addressed; the present situation

Concise description of the key issues that need to be addressed. Emphasis on poverty alleviation, food security and natural resources conservation, increasing productivity and profitability of smallholder farmers, and on improving the assessment and dissemination of available technologies. Shifts of emphasis, e.g. away from support to commercial, large-scale producers towards peasant agriculture, from export crops to food crops, from high potential areas to more marginal areas. Identifying research priorities and assuring sustainable funding, including important issues that will set the stage for project design.

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 core elements of NARS and its role in attaining national development objectives. Reference should also be made to any specific benefits ultimately expected to accrue to the farmers, herders, foresters and fishers of the individual agricultural subsectors concerned.

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 agricultural research structure and organization, planning and management, technology assessment and transfer and impact. Previous progress made by the country in improving agricultural research capacity to contribute to improving the productivity and profitability of smallholder farming, poverty alleviation, food security and natural resources conservation should be cited. Note any new techniques, procedures, and understanding of the problems involved that can be applied.

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 the strengthening of the NARS.

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:

• List of relevant institutions and major constraints that characterize the NARS of the country concerned.
  
• Major characteristics of farming systems distinguished by smallholder and commercial farm types.
  
• Importance of export crops as earner of foreign exchange.
  
• Importance of food crop production for meeting domestic demand.
  
• Main research priorities identified, by agricultural subsector.
  
• Organization, structure, management, financial and staff resources of the NARS.
  
• Key indicators of FAO's comparative advantage in capacity building of the NARS.
  
• Basic data concerning relevant ministries, parastatals, private sector institutions involved in agricultural research.
  
• Existing arrangements for collaboration with national, regional and international research institutions and development partners.

Data Sources:

• Ministry(ies) in charge of Agricultural Research
  
• Ministry of Planning/Finance
  
• Ministry of Commerce/Foreign Trade
  
• Ministry of Cooperation
  
• FAO Technical Division concerned and other UN agencies
  
• The World Bank and/or bilateral aid agencies

C. DEVELOPMENT OBJECTIVE

Explain how the project would contribute to accomplishing the Government long-term objectives articulated for the agricultural sector in general and NARS in particular.

Data Needs:

• Development targets set for the agricultural sector with specific reference to the role to be played by agricultural research.

Data Sources:

• Ministry(ies) in charge of Agricultural Research
  
• Ministry of Planning/Finance

D. IMMEDIATE OBJECTIVE(S), OUTPUTS AND ACTIVITIES

1. Immediate objective 1: To provide assistance to Government in improving and strengthening the capacity of the NARS.

Outputs

1.1 Output 1: Strategy(ies) for improving the capacity of NARS.

Activities

1.1.1 Activity 1 Undertake a fact-finding mission.
1.1.2 Activity 2 Setting up of a National Working Group responsible for the development and implementation of policy and strategy to strengthen the capacity of NARS.
1.1.3 Activity 3: Setting up of Sectoral Working Groups: e.g. for natural resources management, crop production (food crops, cash crops), animal production (cattle, small ruminants, pigs and poultry) fisheries (catch fish, aquaculture), forestry (resources, forest products), farming systems and agricultural economics.
1.1.4 Activity 4: Holding a one-week orientation seminar for the working group members.

2. Immediate objective 2: To assist the Government in quantifying the policies and strategies for strengthening NARS capacity.

Outputs

2.1. Output 1: Quantified policies and strategies.

Activities

2.1.1 Activity 1: Resource standard-setting and estimating cost of associated with improving NARS capacity.
2.1.2 Activity 2: Collecting and identifying data related to improvement of agricultural research and technology.

3. Immediate objective 3: To assist the Government in preparing a five-year action plan for agricultural research.

Outputs and Activities

Outputs

3.1. Output 1: A Five-Year Action Plan for national agricultural research.

Activities

3.1.1 Activity 1: Preparing recommendations on the institutional, organizational and managerial implications of the NARS capacity building strategy.
3.1.2 Activity 2: Preparation of a medium-term plan for implementation of the strategy.

Data Needs:

• Institutional responsibilities for agricultural research.
  
• Number and type of working groups established.
  
• Number and length of orientation seminars held.
  
• Rational base for resource standard setting.
  
• Criteria for establishing research priorities.

Data Sources:

• Ministry(ies) in charge of Agricultural Research
  
• Ministry of Planning/Finance
  
• FAO Technical Division concerned and other UN technical agencies
  
• The World Bank and/or bilateral aid agencies.

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 annex, 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".

• Ministry(ies) in charge of Agricultural Research

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 have negatively affected projects in the past and information on corrective measures taken at the time.

• Ministry(ies) in charge of Agricultural Research
  
• Office of FAO Representative
  
• 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 affect commencement but which can cause serious disruption during implementation (pre-requisites). Enabling legislation, building and office space (for workshops and other), secretarial and translation/interpretation expertise are examples of significant actions that the Government should commit to and effect, prior to the project being funded or signed by the donor or implementing agency. 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:

• List of relevant laws and Ministerial Decrees, indications of building and office space, secretarial and translation/interpretation expertise available for the project.

• Ministry(ies) in charge of Agricultural Research
  
• Legal Department

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 the work plan.
  
• Identification of specific problems and constraints.
  
• Project expenditures.
  
• Recommendations for corrective measures that may be required.

• Project records/Project staff
  
• On-going participatory monitoring
  
• Ministry(ies) in charge of Agricultural Research
  
• Office of FAO Representative
  
• FAO Technical Division concerned

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 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 (training needs by categories, numbers, levels, discipline, location, and cost per unit).
  
• FAO support cost (fixed rate, which varies by type of project).

• Team Leader
  
• Ministry(ies) in charge of Agricultural Research
  
• Office of FAO Representative
  
• Other UN agencies
  
• 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.

• Main body of project document
  
• Team Leader
  
• Ministry of Agriculture/Department of Agricultural Research

Annex II. Training Programme

Data Needs:

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

• Team Leader
  
• Ministry of Agriculture/Department of Agricultural Research
  
• 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.

• Assessment of availability and needs
  
• Donors requirements
  
• Ministry(ies) in charge of Agricultural Research
  
• Team Leader
  
• Local suppliers
  
• On-going development projects
  
• Office of FAO Representative

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.

• Ministry(ies) in charge of Agricultural Research
  
• Team Leader
  
• FAO Technical Division concerned

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.

• Project request, project concept and project rationale-justification
  
• Ministry(ies) in charge of Agricultural Research
  
• FAO Technical Division concerned