PF ADD Template Sept 2016 · Web viewOutline the specific roles, responsibilities and accountabilities of the New Zealand partner(s), and what value they will add to the Activity

New Zealand Partnerships for International Development Fund

Activity Design Document Template

Partnerships Fund Activity Design Document: Activity Name Lead organisation name

Developing partner organisation name(s)

New Zealand partner organisation name(s)

Contact person Name

Position

Phone

Email

Postal Address

Contract signatory Name

Position

Country(s) of implementation

Duration (years)

Start date End date

Total budget(NZD, excl GST)

Funding requested from MFAT

Activity summary (max 100 words)

Official use onlyActivity ID

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How to complete this document

This template is to be used for all New Zealand Partnerships for International Development Fund (Partnerships Fund) proposals which have been recommended by the International Development Advisory and Selection Panel (IDASP) for development into an Activity Design Document. This template is not to be used to make an application/ proposal to the Partnerships Fund.

Please discuss your Activity with your assigned MFAT Design Support Lead before starting to complete this template.

Indicative page limits have been provided. Enter information where prompted by [Enter text here] or in the tables included. Delete all of the guidance notes (purple italic writing) before submitting this document, including these instructions.

For guidance on the design process, see the New Zealand Partnerships for International Development Guidelines and supporting material at the Partnerships Fund page on the New Zealand Aid Programme website. The aid website also provides a number of Activity management tools and templates to assist MFAT staff and the partners we work with to plan, implement, evaluate and complete development activities. We have referred to some of the available tools that are applicable to the design process; others will not be as useful, so please discuss with your Design Support Lead first.

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Contents

1 Executive Summary...................................................................................................5

2 Context analysis........................................................................................................62.1 Development need/opportunity...........................................................................................6

2.2 Social, economic and political context.................................................................................6

2.3 Other interventions and lessons learnt................................................................................6

2.4 Consistency with New Zealand development objectives and developing partner plans......6

3 Activity Description....................................................................................................73.1 Activity description...............................................................................................................7

3.2 Activity Results Framework..................................................................................................8

3.3 Beneficiaries and stakeholders..........................................................................................10

3.4 Activity cost and value for money......................................................................................10

3.5 Business plan and financial forecasts (if relevant).............................................................12

4 Implementation arrangements................................................................................124.1 Partners..............................................................................................................................13

4.2 Governance arrangements.................................................................................................13

4.3 Management arrangements...............................................................................................13

4.4 Results measurement, monitoring and evaluation.............................................................13

4.5 Sustainability......................................................................................................................14

4.6 Cross-cutting issues...........................................................................................................14

4.7 Critical risks and risk management strategy......................................................................14

5 Appendices..............................................................................................................15Appendix A: Organisational structure and key roles...........................................................16Appendix B: Results Framework.........................................................................................17

Results Diagram............................................................................................................17Results Measurement Table...........................................................................................19Monitoring and Evaluation Workplan.............................................................................20

Appendix C: Year 1 Workplan.............................................................................................21Appendix D: Risk Matrix......................................................................................................22

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1 Executive Summary

Provide a succinct summary of the Activity in a form that can be treated as a stand-alone document. You should complete this last, drawing on the details you provide in other sections of this template. It should briefly:

describe the development need/problem/opportunity gap describe how the Activity will respond to this need state the timeframe and location(s) of the Activity state the desired development results and goal (and refer to the full results

framework in Appendix B) identify the key in-country partner organisation(s) and New Zealand partner

organisation(s) contributing to the design and implementation of this Activity describe how you will monitor Activity implementation and measure results state the total budget, the total funding requested through the Partnerships Fund,

and your own contributions (if applicable) summarise the implementation arrangements.

Maximum 2 pages

[Enter text here]

2 Context analysis

Section 2 should provide an analysis of the context in which the Activity will take place. It should provide sufficient information for someone not familiar with the context and development needs to understand the issues. Please complete all the sections below. Maximum 3 pages.

2.1 Development need/opportunityDescribe the development need, problem or opportunity which this Activity seeks to address.

[Enter text here]

2.2 Social, economic and political context Describe the local conditions in the area and any challenges (e.g. economic, infrastructure, environmental, political and social issues). Where relevant, include key issues relating to gender equality, human rights and environment. (These issues are covered in more detail in section 4.6.)

[Enter text here]

2.3 Other interventions and lessons learnt Outline how this Activity will complement existing, previous or planned activities in the same location or sector (whether funded by New Zealand, or other donors or local organisations) and avoid duplication of these other activities.

Summarise your organisation’s and your in-country partner’s previous experience in this field of work, the key lessons learned, and how these have been incorporated into the design of this Activity. Explain how this Activity is additional to any previous Activities undertaken.

[Enter text here]

2.4 Consistency with New Zealand development objectives and developing partner plans

Explain how the Activity supports the priorities of the Partnerships Fund.

Describe how the Activity complements the plans and objectives of the partner communities and country(ies) in which this Activity will be implemented.

[Enter text here]

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3 Activity Description

This section should answer the question “what will this Activity do, with what resources and over what timeframe?” It should include a results diagram. It should explain and justify the forms of aid proposed, detail the individual programme components, and provide budget estimates and information of the suggested timing of the Activity.

3.1 Activity descriptionProvide a summary description of the Activity. What will the Activity do? Describe the activities and inputs required to achieve the outputs. What products/goods/services (outputs) will be delivered? How will they be delivered? How do the inputs relate to the outputs and outcomes which the Activity aims to deliver? How has the Activity been designed to achieve the outcomes effectively and efficiently? (See the definitions of outputs and outcomes on the next page.)

Attach a copy of the proposed Year 1 activities in a workplan/implementation plan format as Appendix C.

Maximum 3 pages.

[Enter text here]

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Long-term outcomeLong-term outcome

Medium-term outcome Medium-term outcome

Short-term outcome Short-term outcome Short-term outcome

Long-term outcome

Medium-term outcome

Short-term outcome Short-term outcome

Medium-term outcome

Long-term outcome(s)

Medium-term outcomes

Short-term outcomes

3.2 Activity Results FrameworkThe Activity Results Framework consists of a results diagram, a results measurement table, and a monitoring and evaluation work plan. It is at the centre of the Activity’s design and should be the starting point of design discussions with your partners and MFAT. Consult the ‘MFAT guidance on developing an Activity Results Framework’ 1 on the Aid Tools website to guide you in completing these components.

Please begin by completing the results diagram in the section below (the layout can be modified to create your own results diagram). Refer to pages 6-9 and Appendix A of the ‘Developing, Appraising and Approving an Activity Design Guideline’ for the format to use and the standards that apply when developing a results diagram. Once the diagram is agreed and finalised with your partner/s, copy to Appendix B.

Also complete the results measurement table and monitoring and evaluation work plan in Appendix B.

Results diagramThe results diagram should clearly illustrate how the Activity’s outputs lead to the intended outcomes, and how outcomes contribute to the Activity’s goal. Where gender, human rights or environment are central to activity design these should be included in the outputs and/or outcomes. Modify the template to reflect the number of outputs and outcomes expected of this Activity, and show the links between these. Tip: State outputs and outcomes in the past tense (e.g. ‘Training workshop delivered’).

A Goal is the overall, aspirational impact that the Activity is expected to contribute toward

Outcomes are the changes that will result if the Activity is successfully implemented

Outputs are the goods and services that will be delivered as a part of this Activity to achieve the outcome

Goal of the Activity:      

1 https://www.mfat.govt.nz/en/aid-and-development/working-with-us/tools-and-guides-for-aid-activities/

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3.3 Beneficiaries and stakeholders Activity BeneficiariesDescribe who will benefit from the Activity. Describe how beneficiaries were selected and their involvement in the Activity’s design. Be specific. Include numbers, location and demographic features. Provide sex-disaggregated data wherever possible (girls, boys, women, men).

[Enter text here]

Key Activity StakeholdersBriefly describe key stakeholders (other than the identified in-country partner organisation(s) and New Zealand partner organisation(s) you will be working with - this is covered in 4.1) who will contribute to or be affected by the Activity. This may include government agencies, civil society organisations, local government, business associations. Describe their involvement and interest in, and ability to influence if applicable, the Activity’s design and implementation.

[Enter text here]

3.4 Activity cost and value for moneyA detailed budget must be provided in a separate Excel spreadsheet (available at Partnerships Fund Budget Template). The budget should be costed by Output and reflect the inputs in your implementation workplan.

Summarise the budget information from the Excel spreadsheet in the table below, ensuring that the figures are the same in both places. The Output statements in the budget table should be copied word-for-word from the Results Diagram. Figures should be in NZD and GST exclusive.

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High-level Activity Budget (in NZD and GST exclusive)

Year 1 Year 2 Year 3 Year 4 Year 5 Total

Output: [Enter text here]

Output: [Enter text here]

Output: [Enter text here]

Output: [Enter text here]

Output: [Enter text here]

Direct management costs in-country

Indirect management costs (in-country)

Indirect management costs (NZ-based)

Total

Funding Sources – list below Contribution (NZD excl GST)

Applicant cash contributions (matched funding) $

Applicant in kind contributions* $

Any other contributions (where relevant) $

Total funding required from Partnerships Fund $

Total(GST exclusive)

$

*See the Partnerships Fund Guidelines for matched funding requirements. Up to 30% of contributions may be in-kind, if agreed with MFAT.

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Provide explanatory notes here, describing how the Activity will use financial resources economically and efficiently. Consider the following:

• Are costs clearly justified and aligned to achieve the intended outputs and outcomes?

• Are costs sufficient to provide all the inputs of sufficient quality required for the planned outputs?

• Does the budget avoid waste, unnecessary inputs, or duplication both within the Activity and relative to other interventions?

• Are costs market based or otherwise assessed to be fair and reasonable?

Do matched funding and in-kind contributions meet Partnerships Fund guidelines?

• What assumptions have you made?

[Enter text here]

3.5 Business plan and financial forecasts (if relevant)If your Activity is a part of a business or has a commercial component, attach your business plan as Appendix E (this will be subject to due diligence). This must clearly set out the long term viability and sustainability of the enterprise.

Attach a full set of budgets and financial forecasts (for at least three years) as Appendix F. These should include:

Profit and loss forecast

Cashflow analysis

Balance sheet forecast

Capital expenditure budget

Break even analysis

Sensitivity analysis

List the appended documents here.

[Enter text here]

4 Implementation arrangements

This section should set out the main issues and factors affecting how the proposed Activity would be delivered on the ground. Maximum 4 pages.

4.1 Partners Describe the partners (both New Zealand-based and developing (in-country) partner organisations) and the nature of the relationship between them. Include any legal

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arrangements, MOUs, history of working together. Outline financial management policies and processes where funding is being transferred from the NZ lead agency to in-country partners.

Partner information provided in the table under 5.1 of your Partnerships Fund Proposal can be copied to Appendix A.

[Enter text here]

4.2 Governance arrangementsOutline the Activity governance arrangements. Include a description of the role of the NZ lead agency, implementing partners and other key stakeholders in setting Activity direction and oversight of Activity implementation.

[Enter text here]

4.3 Management arrangementsOutline the management arrangements for the Activity. (Relevant information for this section can be summarised from the tables in 5.1 of your Partnerships Fund Proposal and copied to Appendix A.)

Outline the specific roles, responsibilities and accountabilities of the New Zealand partner(s), and what value they will add to the Activity throughout its lifecycle. Highlight any specific expertise, support, capacity or resources that will be contributed.

Describe the roles and responsibilities and accountabilities of the in-country partner(s) with respect to the Activity. Comment on their organisational capacity and capability.

[Optional] Provide an organisational chart in Appendix A to show the roles, responsibilities and accountabilities relating to this Activity.

[Enter text here]

4.4 Results measurement, monitoring and evaluationProvide a brief overview of how results will be monitored, measured, and reported. This should reflect information in the results measurement table and monitoring and evaluation workplan in Appendix B.

[Enter text here]

4.5 SustainabilityOutline the issues that are likely to affect the sustainability of Activity outcomes beyond the funding period (e.g. parter country ownership, resourcing, asset management,

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institutional arrangements, and political and social stability). Describe measures to address these issues. Descibe how the exit strategy (or handover of the Activity to local partners) will be built into the Activity design.

[Enter text here]

4.6 Cross-cutting issuesExplain concisely how the cross-cutting issues of gender, human rights, and environment have been incorporated into the Activity design and will be incorporated into Activity implementation. The text should provide an explanation of the approach adopted in each case. If any of these issues are central to the activity design, they should also be described and included in previous sections. Refer to Cross cutting issues tools for more information on cross-cutting issues in the New Zealand Aid Programme.

[Enter text here]

4.7 Critical risks and risk management strategyOutline the most critical risks and explain how these risks will be addressed and managed. A risk management table should be provided in Appendix D. Include any risks of serious harm to workers (Health and Safety Risks). These risks could relate to the country/location, work type or other factors.

[Enter text here]

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5 Appendices

The following Appendices are required. You may include additional appendices if they provide information that is essential for understanding the design of the Activity.

Appendix A: Organisational structure and key rolesAppendix B: Results Framework (comprising results diagram, results measurement

table, monitoring and evaluation workplan)Appendix C: Year 1 WorkplanAppendix D: Risk ManagementAppendix E: Business plan (if relevant)Appendix E: Financial forecasts (if relevant)Appendix F: Safety Plan – your Activity Manager will discuss this with you.

[Add additional appendices here]

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Appendix A: Organisational structure and key roles

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Appendix B: Results Framework The results framework below includes a results diagram, results measurement table and a monitoring and evaluation workplan.

Results DiagramCopy the finalised results diagram from section 3.2.

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Outputs/Inputs TableRefer to the ‘Developing, Appraising and Approving an Activity Design Guideline’ for the format to use and the standards that apply. Add additional rows to the table as required.

Outputs from the Results Diagram

Activities to Delivery Outputs Inputs to Resource Activities

Output 1

Output 2

Output 3

Output 4

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Results Measurement Table

Refer to the ‘Developing, Appraising and Approving an Activity Design Guideline’ for the format to use and the standards that apply. Add or delete rows as needed.

Results Indicator(s) Baseline Information and Targets Methodology/Data Sources

Long-Term Outcomes

Medium Term Outcomes

Short-Term Outcomes

Outputs

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Monitoring and Evaluation WorkplanRefer to the ‘Developing, Appraising and Approving an Activity Design Guideline’ for the format to use and the standards that apply.Note when completing the table below:Approach: Includes the methods and processes you will use in undertaking the monitoring and evaluation activitiesReporting & Deliverables: What and how the information will be reported; to whom and by when; how the findings will be shared and used.

Monitoring and Evaluation Tasks

Approach Timeline Roles and responsibilities

Deliverables and Reporting

Indicative Costs

Monitoring

Evaluation

TOTAL INDICATIVE COSTS $

Overall Monitoring and Evaluation Budget

Funding source $

Funding source $

TOTAL BUDGETED $

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Appendix C: Year 1 Workplan

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Appendix D: Risk Management[Insert your Risk Management Table here]Refer to the example below for a sample layout of a risk management table. Additional rows can be added to the table as needed.

Risk Description Potential Impact Likelihood Consequence Risk Rating

Proposed Risk Management

Responsibility

Key to Risk Management Table

1. Risk Description

Describe potential uncertain events or conditions that, if they occur, may have a negative effect on the Activity’s outputs and outcomes. Risks are described in terms of ‘if X happens, it will result in Y’. Consider risks arising from organisational, political, legal, financial, environmental and social impact, disaster, and security sources. Health and safety risks must be considered specifically (risks relating to the location where the work is to be performed; key risk to workers and other relating to the work undertaken).

2. Potential Impact

Describe the impact of the risks.

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3. Likelihood, Consequence & Risk Rating

Use the following risk matrix to assess the likelihood and consequence of each identified risk and the resulting risk rating:LI

KELI

HO

OD

Almost Certain• Expected to occur in most circumstances

• Occurs every 6 months or more frequently• >90% chance of event occurring

Medium

11

High

16

High

20

Extreme

23

Extreme

25

Likely• Will probably occur in most circumstances • Occurs every 6-12 months• 75%-90% chance of event occurring

Medium

7

Medium

12

High

17

High

21

Extreme

24

Possible• Could occur at some stage • Occurs every 12-24 months• 50%-75% chance of event occurring

Low

4

Medium

8

Medium

13

High

18

Extreme

22Unlikely• Will occur in exceptional circumstances• Occurs every 24-48 months• 10%-50% chance of event occurring

Low

2

Low

5

Medium

9

High

14

High

19Rare• May occur in exceptional circumstances• Occurs every 4 or more years• <10% chance of event occurring

Low

1

Low

3

Medium

6

Medium

10

High

15CONSEQUENCE: Negligible Minor Moderate Major Severe

Health & Safety Consequences• Insignificant injury, no lost time, no long term effects

• First aid injury, minimal lost time, no long term effects

• Off-site medical attention required, some lost time, Reversible disability or injuries

• Considerable hospitalisation required, significant time lost, Irreversible disability to one person

• One or more fatalities, Unable to return to work, Significant irreversible disability to more than one person

Activity Consequences

• No significant impact on the timing, cost or quality of outputs• No significant adverse impact on the environment or stakeholder relations.

• Minimal impact on the timing, cost or quality of outputs• Minimal adverse impact on the environment or stakeholder relations.

• Achievement of Activity objectives compromised• Costs escalate more than 30%• Significant implementation delays.

• Some harm to Activity beneficiaries, (individual; community, organisation, or country)• Achievement of Activity objectives significantly compromised• Reputational damage to contributing partners• Significant financial loss to contributing partners, organisations, communities, individuals.

• Causes serious harm to Activity beneficiaries, (individual; community, organisation, or country)• Serious reputational damage to contributing partners.

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4. Proposed Risk Management and Responsibility

Outline key measures planned to manage the risk and lessen either likelihood or consequences and where responsibility sits for these measures. Important measures to manage high or extreme risk should also be captured elsewhere in the ADD including in the description of activities, outputs/inputs table and budget.

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