Activity Design Document (ADD): Activity NameContents

1: Executive Summary..........................................................2

2: Analysis and Strategic Context.........................................3Country, region and Investment Priority issues.............3Stakeholder analysis......................................................3Problem analysis............................................................3Lessons learned.............................................................3Consistency with existing New Zealand and other donor/ multilateral programmes and policy/strategy.....4Rationale for New Zealand involvement........................4

3: Activity Description..........................................................5Results diagram.............................................................5Activity and inputs.........................................................5Form(s) of aid proposed.................................................5Estimated programme budget and timing.....................5

4: Implementation Arrangements.........................................6Management and governance arrangements and structure........................................................................6Implementation plan......................................................6Results measurement & monitoring and evaluation......6Sustainability issues......................................................6Procurement arrangements...........................................6Overarching policy issues including gender, human rights and environment.................................................7Critical risks and risk management strategies...............7Environmental and social impacts.................................7

5: Appendices......................................................................8

Appendix A: Results Framework...........................................9Results Diagram............................................................9Results Measurement Table.........................................12Monitoring and Evaluation Workplan...........................13

Appendix B: Risk Management............................................15

Appendix C: Detailed Outputs-Based Budget / Cost Estimates......................................................................17

Appendix D: Description of Programme Activities................18

Appendix E: Programme Management and Implementation Arrangements.................................................19

Appendix F: Relevant Analyses...........................................20

1: Executive SummaryMaximum 4 pages.

Please provide a succinct summary of the design in a form that can be treated as a stand-alone document. It should:

describe the development challenge and proposed response include a results diagram (planned outputs, and intended short,

medium and/or long-term outcomes which contribute to the goal) summarise tasks/activities outline key risks and mitigation recommend the delivery modality outline the expected total whole of life costs and the contribution

by New Zealand and others, noting explicitly any contingency that has been included in the total estimate.

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2: Analysis and Strategic Context Sections 2-4: Maximum 20 pages in total. Less detail is needed if the Activity is low risk than for an Activity that is high risk. For some lower risk Activities you may choose not to use all of the suggested headings.

Section 2 should provide a strategic analysis of the situation related to this aid activity providing relevant background information and provide sufficient information so that someone not familiar with the context can understand the issues.

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Country, region and Investment Priority issuesConcisely set out the country, region and relevant contextual challenges.

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Stakeholder analysisProvide a summary stakeholder analysis (additional detail can be annexed)

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Problem analysisExplain the specific problem being addressed including gender analysis and other relevant cross-cutting issues. The text should allow readers to comprehend what success would look like for this activity.

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Lessons learnedHighlight any existing or previous similar Activities undertaken by MFAT, other relevant activities are being undertaken by the partner government or other donors, and the principal lessons learned through these and similar thematic activities elsewhere.

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Consistency with existing New Zealand and other donor/ multilateral programmes and policy/strategy

Clearly set out how the activity links to New Zealand’s foreign and aid policy and strategy. It should outline links to and any implications for, existing country or regional programmes. It should also review the activities of other development partners operating in-country and explain how the proposed programme takes these other activities into account.

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Rationale for New Zealand involvementExplain the reasons why this activity is being proposed and what key development objectives (poverty reduction, service delivery improvement, improved governance framework, etc) will be achieved. It should outline New Zealand’s comparative advantage.

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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 aid activity.

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Results diagramThis section should include a results diagram (refer to Appendix A) which describes the Activity’s goal and identifies the desired change occurring over time by logically showing the links between the Activity’s outputs, desired short, medium and/or long-term outcomes. Explanatory notes should be included.

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Activity and inputsDescribe the activities and inputs required to achieve the outputs.

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Form(s) of aid proposed Briefly outline the forms of aid considered and describe and justify the forms of aid / modalities of assistance proposed, explaining specific arrangements for defining New Zealand’s role in working with other partners. Explain how the activity will work within partner government systems. If the activity will not work within partner government systems, explain why.

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Estimated programme budget and timingSet out the activity budget, providing a breakdown of expenditure between components and over time and what procurement arrangements will apply to them. A detailed budget should be provided in an Annex.

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4: Implementation ArrangementsThis section should set out the main issues and factors affecting how the proposed activity would be delivered on the ground.

Management and governance arrangements and structureExplain how the activity is intended to be governed and managed. It should set out in detail the envisaged relationship between NZ, partners, contractors (if relevant), other donors and the partner government. The roles and responsibilities of the active partners in the activity should be outlined.

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Implementation planOutline an implementation plan and timeline and/or provide Gantt chart showing critical milestones in the Annex.

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Results measurement & monitoring and evaluationProvide a brief overview of the results framework and how results will be reported. A Results Measurement Table and a Monitoring and Evaluation Workplan should be appended to the ADD.

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Sustainability issuesAt the end of the funding period, outline whether MFAT will exit or transition to a new, follow-up Activity. If transition, include a brief description of what is intended for the new, follow-up Activity, anticipated approach or modality, and partner(s) if known.

Outline the issues that are likely to affect the sustainability of Activity outcomes beyond the funding period (e.g. absence of direct donor / programme support, ongoing requirements for TA, budget issues, asset management, institutional arrangements, political instability, social unrest, etc). Describe key steps you will undertake to address these issues.

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Procurement arrangementsIf partner systems are proposed as the delivery mechanism for procurement, describe in detail their procurement processes and responsibilities and how this will be monitored.

Outline findings of any procurement and/or financial management capacity assessment relevant to the design.

Procurement must comply with the New Zealand Government Mandatory Rules for Procurement and New Zealand Aid Programme Contracting Policy.

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Overarching policy issues including gender, human rights and environment

Explain concisely how overarching policy issues such as gender, human rights and environment, have been addressed through the design. The text should provide an explanation of the approach adopted in each case; however, it should not substitute for consideration and discussion of these issues in Sections A & B of the Design Document where the issue is central to the design (gender in particular should be a central consideration in any activity). If the design involves a building or structure, explain how accessibility for people with disabilities will be considered.

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Critical risks and risk management strategiesOutline the most critical risks (including health and safety risks) and explain how these risks will be addressed and managed. A risk management table should be annexed.

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Environmental and social impactsWhere the Activity has previously been assigned a provisional category A, B, P(A), or P(B) note:

- The agreed category assigned to the Activity, the scope of any impact assessment and impact management plan, and whether a reassignment from a provisional category assigned at the identification stage is being recommended.

- A summary of any adverse impacts or risks, and measures designed to avoid or mitigate these

- Confirmation of the complaints and conflict resolution procedure- Any major risks posed by climate variability, climate change and

natural hazards, and measures to address these and improve resilience

- The degree of compliance with relevant Partner Government environmental and social laws and regulations, and measures to strengthen in-country capacity for their implementation

5: AppendicesThe following appendices are required:

This section includes the following appendices: Appendix A: Results Framework (Results Diagram, Results

Measurement Table, Monitoring and Evaluation Workplan) Appendix B: Risk Management Appendix C: Detailed Outputs-Based Budget / Cost Estimates

(including costing methodology) Appendix D: Detailed Description of Programme activities (if

appropriate) Appendix E: Programme Management & Implementation

Arrangements – Organization Chart and other details as appropriate including Roles / Responsibilities of Parties/Stakeholders

Appendix F: Relevant analyses (Social, Economic, Environment, Gender, Poverty, Stakeholder, institutional/fiduciary capacity, health and safety risks, etc)

The following appendices are optional and included if relevant. Delete reference to those that are not required:

Implementation Schedule Transition or Exit Planning Position Descriptions / Terms of Reference (if design includes TA) Scope of Services and Basis of Payment (mandatory if being

tendered). Other relevant reports and assessments as appropriate

Long-term outcomeLong-term outcome

Output Output

Medium-term outcome Medium-term outcome Medium-term outcome

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

Output

Long-term outcome

Medium-term outcome

Short-term outcome

Output Output

Short-term outcome

Medium-term outcome

Long-term outcome(s)

Medium-term outcomes

Short-term outcomes

Outputs

Appendix A: Results FrameworkThe results framework below includes a results diagram, results measurement table and a monitoring and evaluation workplan.

Results DiagramEither modify this layout and text to create your results diagram, or replace the layout below with a results diagram created in Visio.

Goal of the Activity:      

Sample layout

Output OutputOutput

Long-term outcome

Short-term outcome

Medium-termoutcome

Long-termoutcome

Short-termoutcome

Goal of the Activity:

Refer to the guideline Developing an Activity Design for the format to use and the standards that apply when developing a results diagram.

Outputs/Inputs TableRefer to the guideline Developing an Activity Design 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

Results Measurement Table

Refer to the guideline Developing an Activity Design for the format to use and the standards that apply. Add or delete rows as needed.

Results Indicator(s) Baseline Information

Target Methodology/Data Sources

Long-Term Outcomes

Medium Term Outcomes

Short-Term Outcomes

Outputs

Monitoring and Evaluation Workplan

Refer to the guideline Developing an Activity Design for the format to use and the standards that apply.

Notes when completing the table below:

Approach: Includes the methods and processes we will use in undertaking the monitoring and evaluation activities

Reporting & Deliverables: What and how the information be reported; to whom and by when; How the findings will be shared and used.

Monitoring Tasks Approach Timeline Roles and responsibilities Deliverables and Reporting Indicative Costs

i. Initial data collection (including baselines)

ii. Create/ strengthen systems, processes and capacity

iii. On-going data collection tasks (including methods used for data collection), monitoring, formal visits and reporting

iv. On-going results discussions (include annual review of Activity Results Framework involving MFAT and partners)

12 month assessment of Activity Results Framework

Assess RD, RMT and M&E Work Plan for intended purposes. Refine and update where needed, especially monitoring and evaluation tasks.

Within 12 months of implementation commencing

Assessment by implementing partners / MFAT.

Confirmation that Activity Results Framework is fit for purpose.

None

Evaluation Tasks Approach Timeline Roles and responsibilities Deliverables and Reporting Indicative Costs

Formal evaluation (based on New Zealand Aid Programme Policy- include rationale, timing, information needs and objectives)

NA

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Total Indicative Costs $

Overall Monitoring and Evaluation Budget

Funding source $

Funding source $

TOTAL BUDGETED $

Appendix B: 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.

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

25Likely• 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

24Possible• 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.

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.

Appendix C: Detailed Outputs-Based Budget / Cost Estimates

Activity manager to attach the sequenced costed workplan template (Excel file) that is appropriate for the likely implementing partner: either the:- Summary by Output Workplan- Detailed by Output Workplan- Detailed by Input Workplan

The workplan is to cover the period of Activity implementation.

If the partner is not yet known, use the summary workplan template.

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Appendix D: Description of Programme Activities(Include if appropriate)

This appendix provide a detailed description of programme Activities[???]

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Appendix E: Programme Management and Implementation Arrangements

Include organization chart and other details as appropriate including roles and responsibilities of parties/stakeholders

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Appendix F: Relevant Analyses(Include relevant analyses: Social, economic, environment, gender, poverty, institutional/fiduciary capacity, health and safety risks, etc)

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