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July 2013
GUIDELINES FOR THE PREPARATION OF
PROJECT DOCUMENTS FOR THE 9TH TRANCHE
OF THE DEVELOPMENT ACCOUNT
The guidelines and review processes have been revised substantially as compared to the eighth
tranche. Major changes include the following:
1. Simplified and streamlined procedures
- Since the logframes in the concept notes have been cleared already by the Review Group they should not be changed in the prodocs (with the exception of the indicators);
- A maximum of 2 reviews are conducted by the DA Team before submission to the Review Group;
- A simplified checklist is requested to be submitted by DA Focal Points; - Shorter timeframes should allow for more time to be allocated to project
implementation. All prodocs should be submitted and reviewed between September 2013 and June 2014.
2. Strengthened quality assurance processes (at the right level and right time)
- Drafters and their colleagues/peers should ensure that all elements of the template are included and in line with the guidelines;
- Centralized, entity-specific reviews should be completed to ensure that the projects are strong and fit within the entity’s CD strategy;
- DA Focal Points should clear the prodoc ensuring that the above has taken place; - The DA Team and Review Group will focus on compliance with guidelines and
strengthening of specific issues (i.e. country selection and listing; problem description at the country level; indicators strengthening; review of activity mix; review of partnerships; strengthening of budget and review of project sustainability and impact needs);
- Stand-alone sections on country demand, project strategy and sustainability and multiplier effects have been added in the present document.
3. Support to project document drafters
- Additional guidance on stakeholder analysis, budget categories and monitoring and evaluation is provided in the present document;
- Training opportunities on how to prepare DA project document (via video conference) will be offered to implementing entities;
- Reference to key lessons learned from the review of the 8th tranche project documents and other evaluation-related exercises is provided in the present document.
July 2013
TABLE OF CONTENT
INTRODUCTION ...................................................................................................... 1 OUTLINE OF A SAMPLE PROJECT DOCUMENT AND GUIDANCE ON HOW TO PREPARE IT... 3 1. EXECUTIVE SUMMARY..........................................................................................3 2. BACKGROUND ....................................................................................................3 2.1 Introduction......................................................................................................3 2.2. Country demand and beneficiary countries ...........................................................4 2.3 Link to the Programme Budget ............................................................................4 2.4 Link to the MDGs...............................................................................................4 2.5 Link to the Internationally Agreed Development Goals (IADGs) ................................5 3. ANALYSIS ..........................................................................................................5 3.1 Problem analysis ...............................................................................................5 3.2 Stakeholder analysis and capacity assessment.......................................................6 3.3 Analysis of the objectives....................................................................................7 4. PROJECT STRATEGY: OBJECTIVE, EXPECTED ACCOMPLISHMENTS, INDICATORS, MAIN
ACTIVITIES............................................................................................................8 4.1. Project Strategy ...............................................................................................8 4.2. Objective.........................................................................................................8 4.3 Expected Accomplishments .................................................................................8 4.4 Indicators of achievement...................................................................................8 4.5. Activities ....................................................................................................... 10 4.6. Risks and mitigation actions ............................................................................. 11 4.7. Multiplier effects and sustainability.................................................................... 11 5. MONITORING AND EVALUATION.......................................................................... 12 6. IMPLEMENTATION PARTNERS AND ARRANGEMENTS............................................... 13 7. ANNEXES ......................................................................................................... 15 ANNEX 1: SIMPLIFIED LOGICAL FRAMEWORK ........................................................... 15 ANNEX 2: RESULT BASED WORK PLAN..................................................................... 15 ANNEX 3: RESULT-BASED BUDGET.......................................................................... 16 ANNEX 4: BUDGET DETAILS ................................................................................... 16
July 2013
INTRODUCTION
The present document contains updated guidelines to assist Development Account (DA)
project managers and DA Focal Points in the preparation of project documents for the 9th
tranche of the Account. The guidelines are not intended to provide comprehensive
instructions for developing a project but, rather, aim at supporting the expansion of
concept notes already submitted to the General Assembly into full-fledged project
documents, drawing on lessons learned from past DA programming experiences.
As part of the ongoing efforts to strengthen and improve the programming of the Account,
all new DA projects, starting with the 9th tranche, have undergone a new quality assurance
process requiring the project proposals/concept notes to be reviewed and cleared by the DA
Review Group, in addition to the quality assurance processes within the entities. The new
ex-ante quality assurance procedures are intended to provide more effective guidance to
the implementing entities prior to starting developing the project documents and to
encourage greater levels of internal control of the document at the level of the
implementing entities. This approach is intended to facilitate the approval process of
projects, leading to quicker allocation of funds and consequently earlier start of project
implementation. Along these lines, key sections of 9th tranche concept notes – especially the
logical framework - that have already been considered by the DA Review Group should not
feature any major deviation in the project document.
Unless there are strong and compelling reasons to do otherwise, the logical framework
components (title, objective and expected accomplishments) should remain essentially
the same as in the approved concept notes.
The General Assembly (GA) is expected to approve the 9th tranche fascicle in December
2013 in the context of the 2014-2015 Proposed Programme Budget (see A/68/6 (Sect. 35)
and Supplementary Financial Information for ACABQ on the DA website).
Following submission of the project documents by the DA Focal Points to the Development
Account Team, the project documents’ considerations will be reviewed to ensure adherence
with these guidelines. It is expected that the Development Account Team will send 1-2
rounds of comments to Focal Points in the implementing entities for each project document
prior to submitting it to the Development Account Review Group. In order to accelerate the
review process, the Programme Manager will be ready to start reviewing the project
documents by the end of September 2013. Following the review and clearance of the
project document by the Programme Manager, implementing entities may request the
issuance of an allotment from the Programme Planning and Budget Division (PPBD) (see
sample allotment request).
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To help ensure that the project documents submitted meet the requirements outlined in this
document, DA Focal Points in the implementing entities should complete and sign off on the
checklist and attach it to the cover e-mail submitting the project document to the DA Programme
Manager. The cover email should be used to explain other changes if needed.
Table 1 - Timeline for 9th tranche activities
Activities Timeline
Review of the budget fascicle by ACABQ 18 June 2013
Review of the budget fascicle by 5th
Committee and General Assembly
November/December 2013
Decision by General Assembly on approval of
the 9th tranche projects
Late December 2013
Preparation of project documents by
implementing entities together with the
implementing partners
June 2013 – June 2014
(Project documents should be received by the
DA Team latest by 1st June 2014).
Review of project documents by DA Team
and DA Review Group
End September 2013-June 2014
(1-2 rounds of comments by DA Team before
the prodoc is submitted to the DA Review
Group for decision and clearance)
Issuance of allotments after clearance by the
Programme Manager and submission of the
allotment request by the implementing entity
to PPBD
Starting February 2014
Submission of annual progress reports 31 January 2014, 31 January 2015, 31
January 2016
Operational closing of project At the latest by end of 2017
Financial closing of project December 2017
External evaluation / Final report Should start before the closure of project – by
the 3rd or 4th Quarter of 2017, with latest
submission of the final and evaluation reports
by 31 March 2018
Given the time lag between the preparation of the concept notes and the drafting of the project
document, as well as the tight timeline for preparing the concept notes, the project team in the
implementing entities should reconfirm the need and Member State demand for the project (see
the new section 2.2 of the 9th tranche guidelines i.e. the country demand for the project).
Implementing entities should provide clear evidence of this demand and the continued interest
and commitment of partners.
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OUTLINE OF A SAMPLE PROJECT DOCUMENT AND GUIDANCE ON HOW TO PREPARE IT
The following section outlines the structure and the content of a sample project document and
provides guidance on how to complete it. A project document template is available on the DA website.
1. EXECUTIVE SUMMARY
The executive summary provides a brief overview of the project, following the suggested
template below. The ‘brief description’ section should not exceed one page and is expected
to cover key project information, including: main elements of the project’s strategy, the
underlying context and the problem that it attempts to address, the key stakeholders and
the set of capacities that will be strengthened through the project, and the main entities
involved in project implementation.
Project Title:
Start date:
End date:
Budget:
Beneficiary Countries:
Executing Entity:
Co-operating Agencies within the UN system:
Project code and Development Account
fascicle:
Brief description:
2. BACKGROUND
2.1 Introduction
The introduction to the project document should establish, as concisely as possible, the
context in which the project was conceived. This includes identifying clearly the problem or
issue that the project aims to address and referring to relevant inter-governmental
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mandates or frameworks (e.g. an agreed conference outcome or programme plan of action,
recent inter-governmental decisions at ECOSOC, or the General Assembly, etc.) and/or to
recent findings of analytical work, including recommendations from functional commissions,
which the project aims at addressing. It should cite how the project fits into the normative
and analytical work and/or other sub programme(s) of the implementing entity of the UN
Secretariat, and provide an indication of the relationship with current priorities and
utilization of comparative advantages in the project area.
2.2. Country demand and beneficiary countries
This section should clearly spell out the demand for the project at country level based on
expressed needs and/or country assessments, with clear criteria for the selection of target
countries.
Should the selection of project countries not yet be completely finalized at the time of the
drafting of the project document, a clear methodology for their selection should be spelt
out and elaborated upon in this section. It is understood that the list can be tentative,
subject to a further process of validation based on criteria and other factors during the
project implementation.
If a project targets different groups of countries, such as pilot countries in its initial phase and
then, towards the end of the implementation period, adopts a broader scope, engaging with a
greater number of countries, it should be made very clear in this section. This approach should also
consistently reflect in the description of the activities and budget sections.
2.3 Link to the Programme Budget
In this section reference to the relevant expected accomplishment(s) of the concerned sub-
programmes of the 2014-2015 programme budget should be spelled out (only reference to
the codes was made in the concept note). This information should be reported for all UN
Secretariat partners.
2.4 Link to the MDGs
Implementing entities are kindly requested to include reference to the link to the MDGs, as
per the concept note submitted.
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2.5 Link to the Internationally Agreed Development Goals (IADGs)
This section should elaborate on the ways in which the project supports the IADGs, other
parts of the UN Development Agenda as well as Global UN Conferences (e.g. Rio+20). Given
the 2015 target date for the Millennium Development Goals (MDGs), it should also possibly
reflect on the ways in which the project can be incorporated in the Post-2015 Development
Agenda.
3. ANALYSIS
The analysis section of the project document should further develop the concept note with
respect to the following issues: 1) the problem that the project has been developed to
respond to; 2) the stakeholders affected by this problem (individuals, organizations,
society), as well as their capacity assets and needs and 3) an analysis of what the project
can realistically be expected to accomplish to address the identified issue.
Particular attention should be devoted, in sections 3.1 and 3.2, to gender considerations,
identifying dimensions of gender inequality and the extent to which women and men may
be differently affected by the problem and require differentiated capacity development
support.
3.1 Problem analysis
A problem analysis maps out the underlying issues that the project attempts to address.
The aim of this section is to break down the main problem to be addressed by the project
into a set of sub-problems or underlying issues, and to present them in a cause-effect
framework. This is a useful exercise which disentangles the set of underlying issues and,
while conceiving them hierarchically and identifying their inter-dependencies, allows for a
better identification of the level at which the project operates.
A problem tree is a simple diagram illustrating the cause-effect relationships between
problem conditions and can help clarify the issues that the project will address.
Implementing entities are encouraged to develop a problem tree to reflect the specific
information of relevance to the project at stake. An example can be found in the figure
below.
The problem analysis should be pitched at the country level. It should not refer to any inter-
governmental process which should, instead, be reflected in an earlier section of the document.
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Figure 1 – Example of a problem tree (Problem Analysis)
3.2 Stakeholder analysis and capacity assessment
This section should identify and list the stakeholders of the project, including those who are
affected by the problem(s) outlined in the previous section (problem analysis), and
elaborate on each of them. The section should define the ways in which the stakeholders
are involved in the project; identify their capacity assets and gaps; outline the desired
outcomes that will results from project implementation; estimate how strong the
influence of the stakeholders is on the outcomes of the project and the set of actions that
will be undertaken to approach and involve each stakeholder, maximizing success of project
implementation and limiting the occurrence of obstacles.
In developing this section, implementing entities are encouraged to fill in the following table
for each relevant stakeholder.
Table 2 – Stakeholder Analysis
Stakeholder
Type and level of involvement in the project
Capacity
assets and gaps
Desired future
outcomes
Stakeholder
influence/impact
Strategies to secure involvement and/or
reduce obstacles
E.g.
government,
other agencies,
NGOs etc.
How does the
stakeholder
relate to the
project/problem
outlined in the
previous section?
What are the stakeholder’s resources and strengths that can help address the problem that the project strives to solve? What are the stakeholder’s
What are the desired
outcomes for the
stakeholder as a result
of project
implementation?
How strong is the
stakeholder’s influence
to impact the direction
and outcome of the
project?
i.e. High/Medium/Low
What are the actions
that are planned to
maximize the likelihood
of a smooth project
implementation?
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needs and vulnerabilities that the project attempts to bridge?
3.3 Analysis of the objectives
The analysis of objectives section should describe the future conditions that are desirable
and realistically achievable through the project. It should outline, in terms of capacities of
beneficiaries, the desirable scenarios that would result from addressing the problems
defined in the previous section. The problems previously identified should, in other words,
be reformulated into statements of sought accomplishments. Along the lines of the problem
analysis, this exercise involves an iterative process that includes identifying a set of
hierarchical relations which are then revised and re-adjusted in a way that reflects a logical
and plausible resolution of problems under a means-ends framework.
An objective tree is a simple diagram showing means-ends relationships between different
levels of objectives and can help clarify the intervention. Implementing entities are
encouraged to develop an objective tree that reflects the specificity of the project at stake.
An example can be found in the figure below.
Figure 2 – Example of an objective tree (Analysis of the Objectives)
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4. PROJECT STRATEGY: OBJECTIVE, EXPECTED ACCOMPLISHMENTS,
INDICATORS, MAIN ACTIVITIES
The title of the project, the objective and the expected accomplishments for the project
document should remain as outlined in the concept notes, as submitted to the General Assembly
(see A/66/6 Sect 35 and suppl. info)
4.1. Project Strategy
This section of the project document should describe the strategy that will be adopted to
drive the implementation of the project. It should explain how the project’s objective links
to the expected accomplishments and the main activities in a sound and coherent logical
framework. This section should be conceived as the project’s log frame in narrative form.
The strategy underlying the project has been one of the weakest parts of the project documents
submitted under previous tranches of the DA, for this reason it has been included as a separate
section of the revised guidelines for the 9th tranche.
4.2. Objective
State the objective of the project, as per the concept note submitted. In case implementing
entities require an explanation on what a project objective is, please follow this link.
4.3 Expected Accomplishments
State the expected accomplishments of the project, as per the concept note submitted. In
case implementing entities require an explanation on what an expected accomplishment is,
please follow this link.
4.4 Indicators of achievement
The guidance below should be used in cases where implementing entities feel the need to
further strengthen the indicators.
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Consistency should be observed in the way indicators are formulated throughout the project
document (i.e. in the main text and Annex 1).
Entities are encouraged to include benchmarks for all indicators. When providing
benchmarks, it should be ensured that there is a baseline for measurement or assessment
of change either or both quantitatively and qualitatively.
Table 3 below provides a few insights into building stronger indicators for capacity
development efforts.
In case implementing entities require an explanation on what an indicator of achievement
is, please follow this link.
Table 3
Formulating effective indicators:
Some tips for capacity development efforts
Indicators should provide a measure of the degree of attainment of the expected
accomplishments and not a measure of the completion of the project’s activities;
Indicators should take into account the specific scope and influence of the project.
References to changes that cannot be explained by the project alone, therefore
featuring a questionable attribution, should be avoided;
Implementing entities should try to avoid using measures of outputs (e.g. number of
people trained) or refer to changed policies (e.g. number of new policies enacted) as
indicators of achievement: there is a whole range of possible measures that lie in
between such measures that would be excessively ‘low’ or ‘loose’, respectively;
Indicators should measure the specific conditions that the project seeks to change i.e. the
set of capacities that will be strengthened as a result of the project. This does not
mean that indicators should simply re-phrase the expected accomplishments
referring, for instance, to “increased capacities” to do whatever the expected
accomplishment aims at. What strengthened capacities actually entail should be carefully
thought through, and guide the formulation of the indicator;
Indicators utilizing general terms such as “initiatives”, “concepts” or “measures” should
be avoided. Indicators should instead use specific terminology related to what the
project seeks to change;
Implementing entities should refrain from developing indicators that are not measurable
during the lifetime of the project and would require longer-term monitoring;
Implementing entities must be realistic about the ways in which data will be collected
to inform indicators: available, feasible and realistic sources of verification must,
therefore, be carefully considered while developing the indicators. There is, for instance,
no point in developing sophisticated measures for which the process of data gathering
would turn out to be excessively costly (e.g. “increased number of downloads from the
internet site” is not a good indicator if the relevant web page/website is not preliminarily
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set up with a mechanism to track the number of downloads). Please keep this in mind
when filling in the table in Annex 1;
Both qualitative and quantitative indicators are useful: quantifiable indicators, to the
extent that they are appropriate and available are, however, preferred as they are more
objectively verifiable and can be aggregated;
Indicators should be relevant to the management information needs of stakeholders who
will be using the data.
4.5. Activities
Activities, as developed in the concept note, should be reviewed and can be modified based
on the analysis in section 3. Implementing entities should ensure that the activity mix is
the best and most efficient way to achieve the expected accomplishments. The section
below provides more details on the ways to develop the activities.
The main activities are the specific set of actions and means that will be undertaken to
achieve the expected accomplishments. Examples of activities across capacity development
efforts include: conducting workshops, seminars and training events; preparation of
publications, and provision of advisory services.
Table 4
Formulating effective activities
In developing the set of activities that support the project’s logical framework,
implementing entities are strongly encouraged to be mindful of the relationship between
the project activities and the expected accomplishment. Successful implementation of
the activities should be sufficient to plausibly achieve the expected
accomplishment that they support. Should this not be the case then there may be
need to review and strengthen the supporting activities accordingly.
Entities are encouraged to engage in a thorough review process that involves linking the
activities to the relevant expected accomplishments and also the project objective, as an
attempt to ensure soundness and consistency with the overall approach and log frame of
the project. Such review should entail a series of top-down and bottom-up questions,
including the following:
- Suggested top-down questions: (1) How can the objective be met? ….by achieving the
expected accomplishments; (2) How can the expected accomplishments be achieved?
…..by undertaking the main activities;
- Suggested bottom-up questions: (1) If the project delivers the main activities, will they
contribute to achieving the expected accomplishments? (2) If the project achieves the
expected accomplishments, will this help in meeting the objective?
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Implementing entities are also strongly encouraged to consider the extent to which the
activity is consistent with the capacity development approaches (i.e. prioritizing local
dimensions). By building on external expertise, rather than the host entity’s personnel
capacities as suggested by the GA, the appropriateness of General Temporary Assistance
(GTA) should in some cases be carefully assessed. The need for entities to justify budget
deviations e.g. cases in which GTA exceeds pre-determined percentages of the projects’
budget must be read with this in mind. Conversely, by engaging with the direct
beneficiaries of the projects, workshops and seminars feature high level of consistency
with what building national capacity should entail.
4.6. Risks and mitigation actions
The project document should identify the conditions that are expected to promote and/or
hinder the achievement of the project objectives and accomplishments. It should mention
external factors, both positive and negative, beyond the control of project management
that could influence the success of the project. Positive factors are closely related to
incentives that are conducive to the achievement of accomplishments (e.g. access to new
sources of funding.); negative factors could pose risks to the project’s accomplishments
(e.g. political instability). Once these factors have been identified, this section should also
clearly indicate the actions planned to mitigate risks.
All risks identified in this section that may affect the expected accomplishments should be
systematically reflected in Annex 1.
4.7. Multiplier effects and sustainability
The creation of multiplier effects and the sustainability of the project’s outcomes,
beyond the life of the project, should be discussed as key considerations in this section and
incorporated in the project strategy.
Multiplier effects and sustainability should be drivers and key components in the design
of the project rather than an ex-post consideration. This section should elaborate on the
ways in which the project has been designed to achieve (positive) multiplier effects (i.e.
amplifying its impact, reaching beyond immediate target beneficiaries or intended
achievements) and sustain the benefits of its achievements beyond the completion of the
project. It should highlight, for instance, any network created through the project that can
be expected to be maintained and/or alternative sources of funding that can potentially be
secured for a potential continuation of the project beyond its original horizon.
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Implementing entities are not required to draft a stand-alone section on gender; however, particular
attention should be devoted to gender considerations throughout the project document,
identifying the ways in which the design and implementation of the project incorporates the needs
and priorities of both women and men. Such considerations should reflect any dimension of gender
inequality and/or need for differentiated capacity development support that is outlined in earlier
sections of the document (see section 3).
5. MONITORING AND EVALUATION
In drafting this section implementing entities are encouraged to cover the following issues:
i) Confirm and elaborate on the consultative quality assurance process, specifically
involving M&E experts, that the project log frame has gone through (especially with
respect to the formulation of the indicators);
ii) Outline the M&E plan for the project in the context of the implementing entity’s
policies and systems (i.e. defining the entities responsible for the exercise; the timeline;
the budget; the deliverables; internal M&E procedures the project will undergo etc.);
iii) Elaborate on the need for/value of in-depth evaluation or additional evaluation
components for the project. All DA projects need to undergo a mandatory evaluation upon
completion of activities – with at least two per cent of each project’s budget earmarked
for this purpose. While this condition remains valid, as part of the process of
strengthening the DA’s monitoring and evaluation function, implementing entities are
encouraged to adopt a more structured and systemic approach for evaluation planning at
the implementing entity level, with a view to maximize the usefulness of the evaluations,
while keeping the limited financial and human resources available in mind. Implementing
entities are, in other words, encouraged to start considering, already at the time of
drafting the project document, whether the project at stake might require an in-depth
evaluation or additional evaluation components (e.g. reviewing/comparing results of
earlier projects in a similar field).
It is strongly encouraged that project officers in charge of drafting the project document liaise and
prepare this section together with M&E colleagues.
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6. IMPLEMENTATION PARTNERS AND ARRANGEMENTS
Most DA projects will be carried out at national level, involving different participating
countries and actors. A detailed list of national and international implementation
partners should be provided in this section. Please note that project beneficiaries are not
considered implementation partners and should therefore not be mentioned in this section.
Most DA projects are, furthermore, executed jointly with other DA implementing entities and
often also with the involvement of other UN organizations, regional bodies and NGOs. This
section should, therefore, provide a description of who is responsible for what and how
the different actors will work together to achieve the project’s objective and intended
impact. The project document should, in this respect, be shared with the other
implementing partners and the collaboration agreement should be cleared by major
partners prior to submitting it to the Programme Manager for review. Relevant letters of
intent from partners can be attached at the end of the project document. Should there be
different divisions within an entity that will execute the project, then this section should also
elaborate on this distribution of activities. Existing coordination mechanisms in the context
of the Resident Coordinators systems, if relevant, and the ways in which the project fits in
the broader United Nations Development Assistance Framework (UNDAF), should also be
specified.
In conclusion, Table 5 below provides a brief overview of some of the most common issues
affecting project document development in the context of the DA.
Table 5
Key issues affecting DA projects and project documents:
Pitfalls to avoid when planning capacity development efforts
A review of project documents for the 8th tranche and recent progress reports of active projects
suggests that DA project design and project implementation could in general be strengthened
with regards to a few recurrent issues (listed below). Implementing entities may, therefore,
wish to keep these in mind when developing project documents, as a more formalized and
thought-through document can contribute to limiting their occurrence as the project unfolds.
Lessons learned from the design of projects
Analysis
- The problem that justifies the need for the project is not always clearly stated in the
project document, nor are the ways in which the set of activities to undertake will
systematically contribute towards its solution;
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- Partner entities are not always consulted prior to submitting the project document to the
DA Programme Manager, leading to a missed preliminary assessment of the capacity assets
and gaps that can affect project implementation;
- Gender considerations are not always properly addressed and formalized in the project
document. A missed differentiation of capacity needs represents a missed opportunity to tailor
activities to the specific requirements of the beneficiaries.
Project strategy
- Target countries are not always identified in the project document, often leading to a
lack evidence of the actual demand for assistance from countries/Member States. In some of
these cases, valuable implementation time is consequently spent, before the project’s kick-off
and following approval and allocation of funds, on identifying beneficiary countries. This flawed
process can sometimes be the source of, and explain cases of inconsistent commitment to the
project by the Governments that have ended up being targeted by the project;
- Indicators are in some cases weak and in need of strengthening to provide an effective
tool to monitor and evaluate the success of the project. See table 3 for insights into the
formulation of indicators;
- Sustainability aspects of the project, which should drive the planning of the project’s
design and activities, have at times not been thought through enough, resulting in an
insufficiently developed multiplier and sustainability section (see section 4.7).
Allotment request
- Insufficient detail and breakdown is at times provided in annex 4.2 (objective code on
GTA, travel of staff and consultancies - including number of work months, DSA cost and
number of missions);
- Budgeted figures per item tend to be unrealistic: low travel cost, high consultancy fees
(cost per day), etc.
Lessons learned from the implementation of projects
as extracted from progress/final/evaluation reports
- Some projects reportedly experience difficulties in securing workshop/training attendance
or in identifying suitable candidates to train. Inconsistent levels of local commitment to the
project’s activities can be caused by flaws in the problem analysis and/or the capacity gaps
at stake;
- Project implementation is at times faced with limited ‘readiness’ by the local
environment to absorb capacity development efforts of the project. Constraints might include
limited presence of local experts that had been envisioned to work as consultants for the
project on a certain issue; systems which are too basic for the project to build on; or challenges
in accessing localized data. A strong ex-ante analysis can contribute to limiting such
occurrence.
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7. ANNEXES
The annexes should contain a simplified logical framework and additional information
regarding the work plan and budget. Please attach other useful and relevant information
(e.g. detailed work plans, terms of reference, memoranda of understanding, and
implementation agreements) as appropriate.
ANNEX 1: SIMPLIFIED LOGICAL FRAMEWORK
The following table represents a simplified version of the project’s logical framework that
has been outlined in previous sections of the project document. Means of verification
refer to the sources and the ways in which data will be collected to inform the indicators.
Assumptions should clarify the set of conditions under which the indicator can be
considered a sound measurement of the expected accomplishment. Risks represent any
event that may have a negative impact on the expected accomplishments and should
systematically reflect the information reported in section 4.6 of the project document.
In filling in the table below, implementing entities are kindly requested to be consistent with
the information reported in the rest of the document (e.g. Section 4).
Intervention logic
Objective
Indicators Means of
verification
Risks/Assumptions
Expected
accomplishment 1
1.1 Main activity
1.2 Main activity
Expected
accomplishment 2
2.1 Main activity
2.2 Main activity
External evaluation
ANNEX 2: RESULT BASED WORK PLAN Expected
accomplishment
Main activity Timeframe by output/activity
2014 2015 2016 2017
EA1: A 1.1
EA2: A 2.1
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ANNEX 3: RESULT-BASED BUDGET
Implementing entities are kindly requested to provide a cost for each activity.
The number of participants in each project activity should be spelt out clearly and
reflect consistently throughout the project document. Countries targeted by one same
activity are expected to feature the same number of participants. Any discrepancy in the
number of participants of a given activity across target countries should be explained and
reflect in the project budget.
Expected
accomplishment
Main activities / group
of activities
Object class and object
code (split of
activities/outputs by
budget categories)
Amount
(USD)
EA1: A 1.1 608 (2302) Travel of Staff
604 (0111/2601)
Consultants
621 (7202) Travel of
participants
Etc (See Annex 4.3 for a
list of frequently used
objective codes)
ANNEX 4: BUDGET DETAILS
The table 4.1 provides details by object class and object code. If there are deviations
compared to the concept paper, these need to be explained. This table should be used to
request the allotment (see memo allotment request)
4.1. SUMMARY TABLE (see below for details on object codes/classes) Object
Class
Object
Code
Object Description Allotment Explanation of
changes in
budget compared
to the concept
note
602 General Temporary Assistance
604
0111
0140
2601
Consultants and Expert Groups:
International consultants (fee)
National/regional consultants (fee)
Consultant travel
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2602 Expert Group (travel)
608 2302 Travel of staff
612 3908 Contractual services
616 4707 Operating expenses
618 Supplies & Material & Furniture &
Equipment
621
7202
7203
Fellowships, grants and contributions
Workshops
Study tours
Total
4.2. DETAILED JUSTIFICATION BY OBJECT CODE
Based on the logical framework a more detailed description of the budgets by object code
should be developed in this section. For each object code details should be provided on the
link to the project activities.
As mentioned above, the number of participants in each project activity should be spelt
out clearly and reflect consistently throughout the project document.
General Temporary Assistance
Temporary assistance to perform the tasks of (______________), in support of activities
A#.# and A#.#. (no. of work months) x ( $____ per work month) = $_________.
Consultants (provide breakdown by national/regional consultants and international
consultants)
(a) International consultants
International consultants for the task(s) of (_____________), in support of activities A#.#,
A#.# and A#.#. (# of work months) x ($_____per month) = $_________.
In support of the evaluation of the project: (no. of work months) x ( $____ per work
month) = $_________.
(b) National / Regional consultants
National consultants for task(s) of (_____________), in support of activities A#.#, A#.#
and A#.#. (no. of work months) x ($______per month) = $_________ .
(c) Consultant travel
(no. of missions) by consultants for the purpose of (_____________) (if possible indicate
countries), in support of activities A#.#, A#.#, A#.#, and A#.#. ($_______average
mission cost) x (no. of missions) = $________.
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Expert groups
A provision of $_______ is required for x expert group meetings:
- In support of activity A#.#: title of meeting, possible country of venue, duration, number
of participants, number of resource persons, budget.
Travel of Staff
(a) UN Staff from the implementing entity
(no. of missions) by UN staff for the purpose of (_____________) (if possible indicate
countries), in support of activities A#.#, A#.#, A#.#, and A#.#. ($_______average
mission cost) x (no. of missions) = $________.
(b) Staff from other UN entities
(no. of missions) by other UN staff for the purpose of (_____________) (if possible
indicate countries), in support of activities A#.#, A#.#, A#.#, and A#.#.
($_______average mission cost) x (no. of missions) = $________.
Contractual services
A provision of $______ is required for X services for ______
- In support of activities A#.# : description of services, duration and cost of each contract
and if possible recipient country.
General operating expenses
(a) communications
In support of A#.#, A#.#, and A#.#. = $_______.
(v) other general operating expenses
In support of A#.#, A#.#, and A#.#. = $_______.
Equipment
A provision of $....... is required for equipment
Provide budget estimates, details on the type of equipment and possible recipient
countries).
Training
(a) Workshops & seminars
Seminar / Workshop on (title of seminar) in country of ____, in support of A#.#. ($______
per participant) x (no. of participants) x (no. of workshops) + ($______ per resource
persons) x (no. of resource persons) x (no. of workshops) = $_______.
(b) Study Tours
Study tours for the purpose of (_____________) in country of ____, in support of A#.#.
($______per study tour) x (no. of participants) x (no of study tours) = $_______.
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4.3. FREQUENTLY USED OBJECT CODES, DEFINITIONS, AND NORMATIVE INSTRUCTIONS
This table provides details on the most common budget lines used in the implementation of
the Development Account projects. In order to ensure consistency among all offices
implementing DA projects, reference should be made to this table and codes indicated.
Attention is called to the observations provided in the table, especially as concerns the use
of GTA, national consultants, expert group meetings, contractual services and training.
It should be observed that there are 2 levels of budget codes: the object classes and the
object codes. Object codes provide more details within the object classes. DA budgets
attempt to limit the classes and codes in order to simplify for the project managers to
prepare the allotment codes. For most expenditures only object classes are used, unless
further differentiation is required, in which case the object code is indicated.
DESCRIPTION
OF ACTIVITY
OBJECT
CLASS TO BE
USED
OBJECT
CODE (if
needed to
differentiate
further)
OBSERVATIONS / USE OF THE BUDGET LINE
General
Temporary
Assistance
(GTA)
602: General
Temporary
Assistance
GTA should be used to respond to temporary
assistance needs through the recruitment and/or
extensions of staff members only, and are usually
located with the UN Department implementing the
project. GTA should not be used for the
recruitment of consultants, national project staff,
or UNVs. The GTA share of the project budget
should be reasonable.
Consultants 604:
Consultants
and Expert
Groups
0111
Consultants -
Personal
service fees
0140 National
Project Staff
& Consultants
2601
Consultant
travel
The GA requested to differentiate between
international and national consultancies, thus the
two different object codes should be used. The
budget should include fees and travel. Resource
persons, such as panelists at meetings,
workshops, seminars are normally classified as
consultants and not as meeting participants. The
share of project budget allocated to international
consultancies should be limited.
Expert
Groups
604:
Consultants
and Expert
Groups
2602 Travel
of expert
groups
Expert groups meetings are used to finalize
methodologies or papers/studies. They are not
intended to strengthen the knowledge and skills of
the participants. If the main purpose is knowledge
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and skill transfer, then they should be budgeted
under workshops (object class 621). Resource
persons to the EGM meetings should be budgeted
under consultants (object class 604).
Travel of
Staff
608: Travel
of Staff
2302 This line is for travel for UN system-wide staff
only, for all types of travel (participation in Expert
groups, workshops, providing advisory services).
Travel of experts, consultants and participants to
workshops should be budgeted under object
classes 604 and 621 respectively. Staff travel costs
should not be included under workshops
Contractual
Services
612:
Contractual
Services
3908 The contractual services budget line might include
institutional contracts for preparing publications or,
for example, for NGOs that might organize
activities through subcontract or grant
arrangements. Contractual services with local and
regional institutions and/or NGOs are encouraged
for the implementation of certain activities of the
projects.
Operating
expenses
616:
Operating
expenses
4707 Should be used for postage, communications, in-
house or low-value printing of reports, etc.
For major undertakings related to printing
services, use object class 612, contractual
services.
Equipment
and Supplies
618:
Supplies,&
Materials &
Furniture and
Equipment
This line should be used for office equipment,
office automation equipment, software and
supplies for beneficiary countries only. Equipment
for UN staff or offices such as laptops or projectors
will not be considered.
Seminars and
workshops
and Study
Tours
621:
Fellowships,
Grants and
Contributions.
7202
Seminars and
workshops
7203 Study
Tours
This object class/code should be used for capacity
building/training activities other than Expert Group
Meetings, and include costs related to the
travel/DSA of participants, as well as rental of
venue and local conference related expenditures.
Grants and subcontracts which are issued to
implementing partners to carry out training
activities should not be charged here but to object
class 612 (contractual services, see details above).
Study tours are visits of sites and institutions in
one or more selected countries to observe
developments, gather information and exchange
experience with host counterparts. The term
‘fellowship' is also used in the UN when the
duration of the visit is more than six months.