Community-Based Adaptation Project Project and Programme Development © 2007 UNDP. All Rights Reserved Worldwide. Proprietary and Confidential. Not For

Community-Based AdaptationProject

Project and Programme Development

© 2007 UNDP. All Rights Reserved Worldwide.Proprietary and Confidential. Not For Distribution Without Prior Written Permission.

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CBA Inception Workshop

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Country Programme Development

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CCPS Development

Development of the CCPS is the first task. Most of the other tasks are simply comprised of implementing the CCPS.–Funds are budgeted to support CCPS development

–Timeframe: target completion date for CCPS’s is quickly from the end of the inception workshop. Initial drafts are requested ahead of this date.

–CCPS’s will be approved by HQ

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Workplans will be requested after CCPSs are completed

NC’s will be requested to complete workplans detailing when they will complete the various activities described by the CCPS, when they anticipate receiving concepts and proposals, and when they anticipate the commencement of community projects.

These will include timeframes for:•Grantee Outreach•Concept development•NCC meetings•Proposal development•Proposal approval• Implementation

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There are a number of programme-level deadlines that country programmes will need to bear in mind

The following deadlines are spelled out in the PD logframe

4 months from implementation•CCPSs complete and approved in all countries

8 months from implementation•30 project concepts received by the national coordinator

Note: the exact figure will vary from country to country

11 months from implementation•3 Project proposals completed and NCC-approved in each country

12 months from implementation•At least one “lesson” has been developed from CBA

Note: in practice, this could take a variety of forms.

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Workplan Targets

Targets in individual country workplans should be significantly more ambitious.

•CCPS in ~10 weeks

•Several concepts in ~5 months

•Approved projects in ~8 months

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Ongoing activities

Ongoing activities will include:

• Continual grantee outreach for following rounds of proposals

• Ongoing monitoring and evaluation of projects–Evaluating progress reports–Site visits and technical assistance to grantees as necessary–Ongoing data entry into the database

• Compilation and dissemination of brief reports and lessons learned

• Engagement with policymakers to promote best practices and lessons learned from CBA projects

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Conclusion will focus on collection and dissemination of lessons globally

The programme will run for 5 years.

Towards the end of this period, each country will:•Choose especially successful projects for in-depth research for the

generation of case studies•Begin to evaluate progress and setbacks with replication, upscaling and

mainstreaming of best practices identified though CBA

The global project will conclude with a publication and workshop, highlighting lessons learned in global forums.

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Steps in project development

CBA projects are will all follow the following steps:• Project concept development• Project proposal development• Project implementation• First and second progress reports• Final progress reports

Please see the handouts for the various templates.

All projects will need to use these formats during concept, proposal, and progress reporting stages.

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Project concepts

STEP 1: Project Concept:

Project concepts should do the following:• concisely describe the project, and • establish eligibility with the SPA• establish eligibility with the CBA programme

NCs should work with proponents to:• Clarify and focus project ideas • Formulate concepts that are compatible with eligibility requirements

***Explain NSC Screening

Completed, eligible concepts will be submitted to UNDP for technical clearance approval, and for disbursement of the planning grant.

The global CBA team will reply within two business days.

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A note on technical clearance

Technical clearance is meant to serve a very specific role.

Technical clearance will solely evaluate concepts for compatibility with eligibility requirements–Of the SPA–Of the CBA Project

The NCC’s role in screening and recommending is to • determine technical quality, • fit with national priorities, fit with local priorities, and • to add a context-informed layer to project and concept

approval.

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Technical and Financial Clearnace

Clearance from UNDP comes in two phases

Technical clearance in the concept phase–HQ approves based on compatibility with the SPA

Financial clearance in the full proposal phase–HQ approves based on proof of 1:1 co-financing in cash

In both phases–To ensure that concepts/proposals are complete and contain all of the

required information

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Project Concepts – Administrative Points

Submission of concepts:• MS Word (unless this is impossible for the grantee)• Numbered paragraphs/sections• Following the format in the template

This will facilitate timely review and disbursement of planning grants.

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Concept Components – Project Rationale

Project objective–This is a general statement about what the project will do, how it will do it,

and why it is doing it–It must be aligned with the CCPS

Description of the community–This should be a short paragraph giving some context on the target

community. Should describe location, numbers, livelihoods, baseline stresses, etc.

–Anchors the concept in a context

Climate risk identification–What does the community need to adapt to?–What climate risks has it faced in the past?–What impact will climate change likely have without adaptation?

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Concept Components – Project Description

Project Outcomes–What will need to be achieved to meet the objective?–Outcomes must relate to maintaining ecosystem resilience or managing

natural resources in the face of climate change threats, in order to reduce community/ecosystem vulnerability to climate change

–Potential activities to support the outcomes should be described

Community Benefit–How will adaptation to climate change be measured?–What are the ancillary benefits of the project?

SPA Reasoning (important!)–How will GEB be secured? What OP?–How will adaptation measures reduce risks from climate change?–How will GEB be made resilient in the face of climate change?

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Concept Components – NGO/CBO Background

NGO/CBO Background–Description of history, mission, accomplishments–Description of experience in adaptation or risk reduction activities–Description of other activities that will compliment the proposed project

activities–Description of how the community participated in developing this concept

paper–Description of experience in developing proposals and implementing

projects funded by outside donors, if any–Description of the organization’s total budget and main sources of funding

This section is required in order to provide context, and shouldn't affect technical clearance approval if complete.

Note that grantee eligibility requirements are the same as SGP.

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Concept Components – Project Cost and Planning Phase

Project cost:–Estimate of project cost–Estimate of likely co-financing–Description of co-activities to be completed with co-financing

These elements will need to be specified more completely in the full proposal

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Concept Components – Planning Phase DescriptionDescription:–What will be done to help plan the full project? –How will you measure the VRA?–Will you use outside help to draft the proposal and plan the project?–Please make a budget for the planning phase based on the budget table

below

Map:–A map of the country, with the location of the project site is sufficient.

Latitude and longitude are also acceptable.

Budget:–Should specify support from CBA and other groups during the planning

phase–May request up to $2000 from CBA (with detailed budget)–Planning grant amounts will be deducted from total project funding, up to

$50K

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Submission of Project Concepts

Completed project concepts will be forwarded to HQ.

HQ fill evaluate for eligibility, and reply within two business days:–If approved: Authorizing and proceeding with transference of funds for

planning grant. Positive review sheet will be sent.–If conditional: With a review sheet describing clarifications needed to

ensure eligibility–If not approved: With a review sheet, describing how the project is

incompatible with the CBA

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Project Planning Phase

STEP 2: Planning Phase:

The planning phase will lead to a full proposal, and accomplish the following:–Selection and measurement of baseline indicators–Securing co-financing–Developing the full proposal (including log-frame and budget)

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Project Concepts vs Project Proposals

Step 3: Project proposals Proposals will add detail to the framework of the concept.

• More detail required on the climate risks faced by the community

• A detailed work plan will be developed (see handout)

• M&E plan must be developed and begun. (More detail on this in the M&E presentation)

• Baseline indicator measurements reported

• Detailed budget developed

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Financial clearance approval of project proposals

The major focus of UNDP clearance will be on the project concepts. However…

HQ will need to financiall clear proposals for the following points:• Is 1:1 co-financing in place?• Is the proposal complete?• Is there any major deviation from the technically approved

concept?

Similar to concepts, proposals will receive a review sheet, and approved proposals will receive the first tranche of project funds (generally 30% of the total).

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Project Progress Reports

Project progress reports will be required twice during project implementation.

They will serve four purposes:• Monitoring progress towards agreed outcomes• Collecting indicator data• Accounting for funds spent • Authorizing the disbursement of subsequent funding

tranches

Progress reports should be forwarded to headquarters, who will then disburse funding tranches.

Funding disbursement will be contingent on satisfactory completion of reporting requirements (database and progress reports)

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Final Project Report

Final project reports will be more extensive than progress reports.

Final reports will serve all of the functions of progress reports, and also include a lessons learned component.

This will feed project lessons and experiences into the UNDP-GEF Adaptation Learning Mechanism.

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Lessons Learned Template

The lessons learned template will seek information on the following aspects of the project:• Local-level impact and vulnerability assessments• Assessment of adaptation measures• Role of partners• Stakeholder involvement• Policy dialogue• Institutional and community capacity building• Tools and approaches for mainstreaming• Project impacts: adaptation• Project impacts: GEB• Project impacts: Local Benefits• Sustainability• Innovation• Replication• Lessons on execution modality• Project leadership• Recommendations based on experiences from this project

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Project Development Timeline: Funding

Timeline and Benchmarks

Approved Concept $2,000

Approved Proposal 30% of total

1st Progress Report 30% of total

2nd Progress Report 30% of total

Final Report Last 10%

Exceptions to this framework can be considered on a case-by-case basis, if needed by project activities.

Documents

Community-Based Adaptation Project Project and Programme Development © 2007 UNDP. All Rights Reserved Worldwide. Proprietary and Confidential. Not For