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.