GUIDELINES FOR THE PREPARATION OF CONCEPT NOTES FOR THE 12 TH TRANCHE

Transcription

1 GUIDELINES FOR THE PREPARATION OF CONCEPT NOTES FOR THE 12 TH TRANCHE 1. SUMMARY OF CHANGES These guidelines are issued t assist implementing entities (IEs) in develping cncept ntes fr prjects funded under the 12 th tranche f the Develpment Accunt (DA). Based n GA reslutin 72/266 endrsing the SG s prpsal t mve frm a biennial plan and budget t an annual ne, the new frmat will entail substantial changes t the presentatin f the Develpment Accunt in the fascicle. The cncept ntes will remain the main element fr the DA prgramming, and will have tw distinct purpses: Input int the Prgramme budget fascicle including the new mst significant planned result f the prjects. Frm the basis fr the prject dcument preparatin, and the guide fr the management f the prject implementatin and its evaluatin. The prject descriptin in the fascicle will have fewer elements. These elements need t describe a succinct stry. They include: A shrt backgrund fcusing n the issue(s) the prject will address. The mst significant planned result will use elements f the expected accmplishments and indicatrs f achievement t frm a narrative n the results f the prjects at a lwer level than the bjective, as well as including a prtfli f evidence which describes hw the result wuld be evidenced. The bjective, summary f deliverables, link t sub prgrammes and SDG targets. The supplementary infrmatin t the fascicle will als feature an itemized list f deliverables. At this pint, the cncept ntes are nt required t include this list but t present a list f activities, alike earlier tranches, in rder t capture the lgical flw f the prject. During the quality review prcesses, the DA Team will wrk tgether with entities t draft the itemized list f deliverables based n the prject activities. Due t the annual budget cycle each annual tranche will have half the budget f the previus tranche (i.e. $14m). Calls fr prject will nw be issued n an annual basis. Prjects retain their 4-year cycle and the prject envelpe will remain arund US$ ,000 with pssible additinal funds fr jint prjects. With regards t the timelines, the fascicle will need t be cmpleted 3 mnths earlier than befre, necessitating an earlier start and cmpletin f the review prcess.

2 2. 12 th TRANCHE THEME In its meeting f 6 June 2018, the Develpment Accunt Steering Cmmittee endrsed Supprting Member States t strengthen cherent plicies and appraches t implement the 2030 agenda at lcal, natinal and reginal levels as the theme fr the 12 th tranche. The Steering Cmmittee als stressed that it is essential that DA prjects build n the cmparative advantage f the implementing UN Secretariat entities and are implemented in partnerships t achieve tangible results. 3. QUALITY ASSURANCE AND SELECTION PROJECTSS The DA Fcal Pints are expected t guide the develpment f the prject cncept ntes ensuring their linkage t the theme, strng ptential fr capacity develpment results, and cmmitment t partnerships with relevant entities f the Secretariat and/r UN family. All cncept ntes shuld underg an internal quality review prcess t facilitate the subsequent review and finalizatin f the shrtlist fr cnsideratin by the Develpment Accunt Steering Cmmittee. Implementing entities shuld submit twice the number f prjects they expect t have financed per year. The submissin shuld include a priritizatin frm the entity. The GA has been very critical f lw implementatin rates. Given the annual budget, this will even be mre imprtant. Thus, DA Fcal Pints need t cnsider implementatin capacity f the prject implementatin sectin when preparing their submissin list, especially as the DA can nly prvide limited GTA and ther staff supprt. Prjects drafters are encuraged t fcus n cuntries with special needs. Additinal funding beynd the US$ ,000 envelpe can be freseen fr jint prjects. 4. TIMELINE FOR PROJECT DRAFTING AND IMPLEMENTATION The fllwing table prvides the varius deadlines fr initiatin, review, finalizatin and apprval f the prjects fr the 12 th tranche. 14 September 2018 Deadline fr submitting cncept ntes End September-early Octber 2018 DA Team cnsultatins with each entity t finalize the shrt list and ensure adherence t the guidelines fr the selected prjects Early Nvember 2018 Nvember/December 2018 DA Team presents the suggested shrt list t the Steering Cmmittee fr endrsement and recmmendatin t the Prgramme Manager fr apprval Quality Assurance Grup (QAG) reviews the cncept ntes fr the shrtlisted prjects t ensure that they meet the criteria in the DA guidelines 15 Jan 2019 DA fascicle and supplementary inf fr ACABQ submitted t PPBD April 2019 June 2019 Nvember 2019 August-September 2019 DA Fascicle and GA Prgress Reprt published Presentatin f the DA fascicle and Prgress Reprt t ACABQ in the cntext f the Prpsed Prgramme Budget Presentatin f the DA fascicle and Prgress Reprt t the Fifth Cmmittee Implementing entities start submitting prject dcuments t the DA Team 2

3 Octber 2019 Late December 2019 January 2020 June 2023 December 2023 Latest date t submit prject dcuments. Dcuments nt apprved by December 2019 will need t be reprgrammed t anther prject Expected GA apprval f the Prgramme Budget fr 2020 including the DA sectin Mst prject dcuments have been reviewed and apprved. All alltments issued during Q1 Operatinal clsing dwn f prjects and starting evaluatin Clsure f the 12th tranche 5. MAIN ELEMENTS OF THE CONCEPT NOTES Implementing entities must frmulate the 12 th tranche cncept ntes using the template prvided. Cncept ntes need t include the fllwing ten elements (incmplete dcuments will nt be cnsidered): i. Title ii. Implementing entity and partners iii. Backgrund iv. Mst significant planned result v. Relatinship t the Strategic Framewrk fr the perid 2020and the SDGs and targets vi. Objective vii. Expected Accmplishments viii. Indicatrs f Achievement ix. Activities x. Budget narrative Each f the abve cmpnents is elabrated belw: i. Title The title shuld capture the verall prgrammatic thrust f the prject. It shuld be shrt and cncise and include the thematic area f the prject and its gegraphical scpe. Ex: Disaster risk management fr a resilient future in Asia and the Pacific; Climate change impacts n castal transprt infrastructure in the Caribbean: Adaptive capacities f Small Island Develping States; Evidence-based plicies fr imprved cmmunity safety in Latin American and African cities; Innvative climate finance mechanisms fr financial institutins in the Asia-Pacific regin; Implementatin f the Arab Custms Unin; Air quality data fr health and envirnment plicies in Africa and the Asia-Pacific regin ii. Implementing entity and partners All Secretariat implementing entities that will be invlved in implementing the prject, starting with the lead entity (i.e. the entity submitting the prpsal), shuld be listed in this sectin. While implementing partners ften include the 10 DA implementing entities, DA prjects are als expected t crdinate with UN funds, prgrammes and/r specialized agencies, when relevant and beneficial fr the prject. Cncept ntes which refer t cperatin with ther UN Secretariat partners as active partners in the prject s implementatin shuld be shared with thse entities fr cmments and cnfirmatin f their participatin. 3

4 iii. Backgrund (max ne page) The backgrund sectin needs t include the fllwing infrmatin: a) The issue that the prject intends t address. While there can be ne paragraph defining the brader cntext f the issue, this sectin shuld describe the actual prblems that the prject intends t address. If already knwn, the tentative list f ptential target cuntries shuld be included. This sectin shuld emphasize specific demand(s) and requests fr supprt frm these cuntries; b) The mst recent intergvernmental legislatin and entity-specific mandate which calls fr actin n this issue. This sectin shuld explain hw the prject activities will cntribute t the SDGs and 2030 Agenda; c) Hw the prject links t the verall nrmative and analytical wrk f the implementing entity/ies and its cmparative advantage(s) in this area; d) The lessns learned and achievements frm past activities in the target cuntries, and/r cmplementary activities which are currently nging; and e) The implementatin arrangements with ther entities f the UN Secretariat and the brader UN System, where apprpriate. iv. Mst significant planned result (max 250 wrds) [NEW] This sectin has been included t facilitate the presentatin f prjects in the new budget fascicle frmat. It shuld prvide a summary f the mst significant planned result f the prject as well as hw the result wuld be evidenced. The mst significant planned result sectin shuld begin by briefly describing the trigger fr the prject (e.g. a new reslutin/utcme dcument/etc calling fr this actin/prject; increasing requests frm Member States; r ther recent develpments), after which it shuld cnvey the mst imprtant psitive change expected in the prject beneficiary cuntries fllwing the cmpletin f the prject. Pssible cnsideratins in identifying the mst significant planned result culd be t describe a change that is high prfile, nvel r representative f the prject s effrts. While the mst significant planned result shuld be ambitius, it shuld als be achievable within the scpe f the prject, taking int cnsideratin the prject budget and timeframe available fr its implementatin. It is, therefre, essential that the mst significant planned result derives frm the lgical framewrk. This sectin shuld als include the descriptin f the evidence that will be used t demnstrate the achievement f the mst significant planned result, i.e. the related indicatr f achievement. The belw is an example f a mst significant planned result. The underlined language is the templated language required by the new fascicle frmat. Ex. [Describe the trigger ] There are psitive develpments that link yuth develpment and the advancement f persns with disabilities in Latin America. Fr example, the Iberamerican Yuth Pact, signed by the heads f State f the gvernments f the regin during the Americas Summit, held in Clmbia in 2016, explicitly calls gvernments in the regin t t prmte the scial, ecnmic and plitical integratin f yung peple with disability, recgnizing their right t emplyment, thrugh the implementatin f plans fr access t training and adaptatin f jbs. The prject will build n this mmentum, by supprting the design and implementatin f natinal plicies fr scial inclusin f yuth with disabilities, as well as design f natinal prgrammes and strategies fr creating emplyment pprtunities and including yuth with disabilities in natinal labur markets. [Describe the result] The expected result f the prject wuld be an imprved capacity amng lcal and natinal gvernment fficials in three Latin American cuntries t develp r amend plicies, legal framewrks and administrative measures, in clse cllabratin with yuth rganizatins and disabled 4

5 persns rganizatins, t ensure scial integratin and inclusive develpment f yuth with disabilities. [Describe the evidence] The expected result wuld be evidenced by each f the participating cuntries having revised r prepared at least ne plicy r administrative measure fr the scial integratin and inclusive develpment f yuth with disabilities. The expected result wuld demnstrate prgress twards the cllective attainment f the bjective f prject. v. Relatinship t the Strategic Framewrk fr the perid 2020 and the SDG targets This sectin shuld prvide reference t the implementing entity s/ies Strategic Framewrk(s) fr the perid 2020 referring t the relevant sub prgramme(s). Similar infrmatin needs t be included fr the ther UN Secretariat partners. (ex: Habitat subprgramme 7 (Research and capacity develpment)). Reference shuld als be made t the mst relevant SDG targets (ex: 12.3, 16.3 and 16.5) vi. Objective The bjective states the intended gal f the prject, describes the verall achievement targeted by the prject, invlving a prcess f change aimed at meeting the needs f identified beneficiaries. Each prject shuld have nly ne bjective, which shuld nt be lnger than ne sentence. The bjective shuld include reference t the prject s beneficiaries, its gegraphical scpe and its substantive fcus. The bjective shuld nt attempt t explain the ways in which the prject intends t achieve the bjective (i.e. it shuld nt include the wrd thrugh ), r describe the internal wrk f the UN using verbs such as supprt, facilitate r cntribute. The prject s delivery will cntribute t the attainment f the bjective, yet the bjective may nt be achieved in full during the prject s implementatin perid. Ex: T strengthen natinal capacities f selected develping cuntries fr the sustained, regular prductin f a pririty set f envirnmental statistics ; T imprve the capacity f selected cuntries t design, adapt and implement institutinal and regulatry framewrks that fster sustainable practices in the field f svereign debt gvernance; T strengthen the capacity f selected target cuntries with ecnmies in transitin and develping cuntries t imprve the planning, management and regulatin f crss brder agricultural fd supply chains in rder t supprt enhanced cmpetitiveness and imprved fd security; T enhance the capacity f selected develping cuntries in Asia and the Pacific t develp plicies and strategies fr multi-sectral disaster-resilient develpment planning fr safer cmmunities. vii. Expected Accmplishments The expected accmplishments (EAs) describe the changes that are expected t ccur as a result f the prject s activities. EAs shuld be achievable within the prject s timeframe and budget and shuld be specific enugh t be measured by the assciated indicatrs f achievement. In develping the EAs, it is imprtant t assess whether the implementatin f the activities is likely t achieve what is defined in the EA. Given that Develpment Accunt prjects have an implementatin time f three t fur years, it is expected that mst prjects wuld cntain at least tw EAs, but prjects with cmplex activities r a large budget may exceptinally have three EAs. Ex: Enhanced technical capacities f selected cuntries t regularly prduce a cmprehensive set f envirnment statistics; Imprved capacity f plicymakers in beneficiary cuntries t identify regulatry and institutinal gaps in the field f svereign debt gvernance; Imprved capacity f public and private stakehlders t identify and select sectrs fr natinal prductin and exprt f green/sustainable prducts; Strengthened natinal capacity f beneficiary cuntries t develp plicies fr sustainable husing; Strengthened capacity f plicymakers t frmulate crss-sectral plicies that enhance 5

6 effective participatin f yuth in ecnmic, scial and plitical life; Enhanced engagement between plicymakers and yuth grups in jintly designing, amending and implementing yuth-based plicies fr inclusive and sustainable develpment. viii. Indicatrs f Achievement The indicatrs f achievement (IAs) prvide the measures fr mnitring prgress twards achieving the stated expected accmplishments and reprting n them after cmpletin f the prject. Every indicatr needs t prvide clearly defined units f measurement and targets, detailing the quantity, quality and timing f expected results. At least ne indicatr shuld be develped fr each EA, althugh 2 r 3 indicatrs are encuraged (e.g. IA1.1 & IA 1.2 fr EA1, IA2.1, 2.2, 2.3 fr EA2 etc.). Entities shuld be careful nt t reflect prject activities as indicatrs (e.g. the number f peple trained), but rather the level f skills and knwledge gained thrugh the prject s activities (e.g. training indicatr), r preferably the subsequent actins taken by the beneficiaries based n the prject (e.g. actin plans created, legislatins drafted, r methdlgies develped). Ex: X (number) ut f X target cuntries design plicy ptins and instruments t fill the regulatry and institutinal gaps identified in the field f svereign debt gvernance; Sustainable prduct sectrs identified and selected fr natinal prductin and exprt by natinal stakehlders in X ut f the Y target cuntries; Natinal Actin Plans fr the implementatin f sustainability measures in the residential sectr are develped and adpted in all beneficiary cuntries. ix. Activities The prject s activities are the set f actins t be taken t achieve the expected accmplishments. Well-frmulated activities shuld answer the questin, What are the specific actins that need t be taken by the prject team, in cperatin with the beneficiaries, t achieve in full the expected accmplishments? Each activity shuld be clearly linked t the expected accmplishment it cntributes t (e.g. A.1.1, A.1.2 and A.1.3 cntribute t EA1; A.2.1 and A.2.2 cntribute t EA2 etc.). In sme instances, activities may cntribute t multiple EAs; in this event, the dual nature f the activity shuld be ftnted. Ex: Organize six natinal wrkshps t discuss plicy ntes and ther technical dcuments with gvernment fficials aiming at drawing lessns n hw plicy recmmendatins that are derived frm mdelling-based plicy analyses can be transmitted; Organizing tw interreginal study turs fr 10 fficials frm the seven member cuntries t share knwledge and learn best practices; Organize a reginal advisry missin fr three cuntries t assess crss-brder ecsystem and plicy pprtunities; Develp a plicy paper, which will cntain an analysis f best practices and lessns learned and guidelines n the preparatin and implementatin f Natinal Actin Plans fr Sustainable Husing based n experiences and lessns learnt frm the beneficiary cuntries; Develp a tl kit fr cmpiling and disseminating natinal data f Shrt-Term Ecnmic Statistics (STES) that includes applicatin sftware, a catalgue f metadata and disseminatin tls. Strng linkages amng the fur elements utlined abve (i.e. bjective (v), expected accmplishments (vi), indicatrs (vii) and activities (viii)) are key fr the develpment f a strng lgical framewrk. In rder t ascertain the validity and chesiveness f the lgical framewrk, entities are encuraged t cnduct a tp-dwn and bttm-up review, by raising the fllwing questins, reflecting n the answers and revising any f the fur elements, if required: 6

7 Tp dwn questins: 1. Hw can the bjective be met? [ By achieving the expected accmplishments] 2. Hw can the expected accmplishments be achieved? [...By delivering the main activities] Bttm up questins: 1. If the prject delivers the main activities utlined, are the expected accmplishments likely t be achieved? 2. If the prject achieves the expected accmplishments, will this help meeting the bjective? x. Budget narrative Belw are the budget categries that shuld be used when preparing cncept ntes. Fill in the blanks in the budget narrative template including disaggregated figures by activity; number f participants; number f days etc. Delete lines/categries nt used. Belw are sme general cmments n the main budget classes. Entities are encuraged t cnsult with their finance sectin t ensure budgets crrespnd t the latest UMOJA guidance. 1. Other Staff csts GTA (015): This budget class is fr General Temprary Assistance (GTA) used t respnd t shrt- term, interim needs f the implementing entity in carrying ut the prject s activities, using staff resurces. Staff charged t GTA are usually lcated with the Implementing Entity s HQ ffice, but may ccasinally be assigned t a reginal center f the entity. GTA shuld nt be used fr the recruitment f cnsultants, natinal prject staff r UNVs. As the Develpment Accunt des nt fund psts, the GTA share f the prject budget shuld be reasnable i.e. max 5%. 2. Cnsultants and Experts (105): Cnsultants shuld be split int tw grups: Internatinal cnsultants, and natinal/reginal cnsultants. The share f the prject budget allcated t internatinal cnsultancies shuld be limited. Resurce persns in advisry rles, such as panelists at meetings, wrkshps, seminars, shuld nt be budgeted here but under Grants and Cntributins. Expert grup meeting participants must be listed in this budget class. 3. Travel f staff (115): This budget class is used exclusively fr travel f UN system-wide staff, fr all types f travel (participatin in expert grups, wrkshps, prviding advisry services). Staff travel shuld nt be included under wrkshps. 4. Cntractual Services (120): Cntractual services include institutinal cntracts with natinal, reginal r internatinal institutins, cmpanies, IGOs r NGOs fr preparing publicatins, cnducting studies, carrying ut technical wrk, assisting with the rganizatin f wrkshps, translating r printing dcuments, etc. The use f lcal and reginal institutins and/r NGOs is encuraged as it cntributes t the strengthening f natinal capacities. 5. General perating expenses (125): This budget class shuld be used fr cmmunicatins and pstage csts which are directly attributed t the prject, as well as in-huse r lwvalue printing f reprts. Fr majr undertakings related t printing services, use the cntractual services budget class. Venue rentals assciated with wrkshps/trainings/seminars/expert grup meetings shuld als generally be included in this budget class. 7

8 6. Wrkshps / Study Turs (145): This budget class is fr csts related t the travel/ DSA f participants attending seminars, wrkshps and study turs nly. Resurce persns nt cntracted, i.e. meeting participants in advisry rles, such as panelists at meetings/wrkshps/seminars shuld als be charged frm this budget class. Grants and subcntracts issues t implementing partners t carry ut training activities shuld NOT be charged here but t cntractual services. Any cnference related expenditures including venue rental shuld generally be charged t general perating expenses. 8