Activity Planning Document: Activity Name

Contents

Contents

Executive Summary

Analysis and Strategic Context

Sector Issues

Stakeholder Analysis

Problem Analysis

Lessons Learned

Consistency with Existing Policy/Strategy

Rationale for Cook Islands Government Involvement

Activity Description

Results Diagram

Activity and Inputs

Form(s) of Funding and Development Modalities Proposed

Estimated Programme Budget and Timing

Implementation Arrangements

Management and Governance Arrangements and Structure

Implementation Plan

Results Measurement and Monitoring and Evaluation

Sustainability Issues

Procurement Arrangements

Overarching Policy Issues including Gender, Human Rights, Climate Change and Disasters, Environment and Social Safeguards

Critical Risks and Risk Management Strategies

Environmental and Social Safeguards

Appendices

Appendix A: Results Framework

Results Diagram

Results Measurement Table

Monitoring and Evaluation Work Plan

Appendix B: Risk Matrix

Appendix C: Detailed Outputs-Based Budget / Cost Estimates

Appendix D: Description of Program or Activities

Appendix E: Management and Implementation Arrangements

Appendix F: Relevant Analyses

Appendix G: Environmental and Social Assessment and Environmental and Social Commitment Plan ………………………………………………………………………………………………20

Executive Summary

Maximum 4 pages–(fewer for smaller scale activity).

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 whole of life costs and the contribution from development partner/s if ODA funded, noting explicitly any contingency that has been included in the total estimate.

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Analysis and Strategic Context

Sections 2-4: Maximum 20 pages in total. Less detail is needed if the activity is low cost and low risk. Not all of the suggested headings are required for lower risk activities.

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

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Sector Issues

Concisely set out the relevant sector context/challenges.

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Stakeholder Analysis

Provide a summary stakeholder analysis (additional detail can be annexed).

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Problem Analysis

Explain the specific problem being addressed include consideration of relevant environmental and social safeguards (e.g. climate change, gender). The text should allow readers to understand what success would look like for this activity.

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Lessons Learned

Highlight any existing or previous similar activities undertaken by theCook Islands Government and/or partners, including private sector, NGOs and donors if relevant. Also include principal lessons learned through these and other similar activities.

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Consistency with Existing Policy/Strategy

Clearly state how the activity links to the Cook Islands National Sustainable Development

Plan, relevant national, or sector policies and strategies, and the budget policy statement. It should outline links to and any implications for existing government plans, programs, and departmental business plans. IfODA funded,also state how the activity fulfills development partner engagement criteria.

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Rationale forthe Activity

Provide a clear summarized statement on why this activity is being proposed and what key objectives (economic growth, service delivery improvement, etc.) will be achieved.

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Activity Description

This section answers 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 funding proposed, detail the individual activity components, provide budget estimates and information on the suggested timing of the activity.

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Results Diagram

This section includes a results diagram (refer to AppendixA) which describes the Activity’s goal and identifies the desired change to occur over time, by logically linking the Activity’s outputs, desired short, medium and/or long-term outcomes. Explanatory notes are to be included.

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Activity and Inputs

Describe the tasks and inputs required to achieve the outputs.

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Form(s) of Funding and Development Modalities Proposed

Briefly outline the forms and sources of funding considered, describe and justify the forms of funding and development modalitiesproposed (if relevant).

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Estimated Programme Budget and Timing

Set out the activity budget, provide a breakdown of expenditure between components over time and list the procurement arrangements that will apply. A detailed budget should be provided in an Annex.

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Implementation Arrangements

This section sets out the main issues and factors affecting how the proposed activity will be delivered on the ground.

Management and Governance Arrangements and Structure

Explain how the activity will be governed and managed. Detail the envisaged relationship between theCook Islands government, partners and contractors (if relevant). The roles and responsibilities of thepartners in the activity should be outlined.

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Implementation Plan

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

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Results Measurement and Monitoring and Evaluation

Provide a brief overview of the results framework and how results will be reported. A Results Measurement Table and a Monitoring and Evaluation Work Planare to be appended to the activity planning document.

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Sustainability Issues

At the end of the activity, outline ifthe Cook Islands government/departmentwill 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 affect the sustainability of outcomes beyond the activity (e.g. absence of support, ongoing requirements for TA, budget issues, asset management, institutional arrangements, political instability, etc.). Describesteps you will undertake to address these issues.

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Procurement Arrangements

Describe in detail how the implementingagency will ensure the use of Cook Islandsprocurement 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 Procurement Policy, the Cook Islands Government Financial Policies and Procedures Manual. For grants provided through MFEM from external development partners, the MFEM Grant Beneficiaries Procurement Rules will apply.

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Overarching Policy Issues including Gender, Human Rights, Climate Change and Disasters, Environment and Social Safeguards

Explain concisely how overarching policy issues such as gender, human rights, climate change and disasters, environment and social safeguards have been addressed through the design. The text should provide an explanation of the approach adopted in each case. This should not substitute for consideration and discussion of these issues in Sections A & B of the Planning Document if the issuesare central to the design (gender in particular should be a central consideration in any activity). Refer to the MFEM ESS Framework and the MFEM Gender Policy and Tools for guidance.

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Critical Risks and Risk Management Strategies

Outline the most critical risks and explain how these risks will be addressed and managed. A risk matrix should be annexed.

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Environmental and Social Safeguards

Where the activity has previously been assigned a provisional category A or 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 environmental and social laws and regulations, and measures to strengthen capacity for their implementation.

Appendices

The following appendices are required.

This section includes the following appendices:

  • Appendix A: Results Framework (Results Diagram, Results Measurement Table, Monitoring and Evaluation Work Plan)
  • Appendix B: Risk Matrix
  • Appendix C: Detailed Outputs-Based Budget/Cost Estimates (including costing methodology)
  • Appendix D: Detailed Description of Programme activities (if appropriate)
  • Appendix E: 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, etc.).
  • Appendix G: The Environmental and Social Assessment and Environmental and Social Commitment Plan

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

  • Implementation Schedule
  • Procurement Plan
  • Position Descriptions/Terms of Reference (if activity includes TA)
  • Scope of Services and Basis of Payment (mandatory if being tendered)
  • Transition or Exit Planning
  • Other relevant reports and assessments as appropriate.

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Appendix A: Results Framework

The results framework below includes a results diagram, results measurement table and a monitoring and evaluation Work Plan.

Results Diagram

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

Goal of the Activity:

Sample Layout

Refer to the Activity Planning Guideline for the format to use and the standards that apply when developing a results diagram.

Outputs/Inputs Table

Refer to the Activity Planning 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

Results Measurement Table

Refer to the guide Developing, Appraising and Approving an Activity Design, 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

Monitoring and Evaluation Work Plan

Refer to the guide Developing, Appraising and Approving an Activity Design, for the format to use and the standards that apply.

Note when completing the table below:

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

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

Monitoring & 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 / $

Appendix B: Risk Matrix

[Insert your Risk Matrix here]

Refer to the example below for a layout of a risk matrix. Additional rows can be added to the table as needed.

Risk Category and Description / Potential Impact / Likelihood / Consequence / Risk Profile / Proposed Risk Management / Responsibility

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Key to Risks

1.Risk Category and Description

Risk categories include:

  • External
    e.g. Economic, Political, Natural Event, Security
  • Organisational
    e.g. Personnel, Capacity, Policies
  • Financial
    e.g. financial management weaknesses, corruption, fraud, cost/exchange rate escalation, lack of funding.

2.Potential Impact

Describe the impact

3.Likelihood

Identify thelikelihood of the risk occurring:

Likelihood / Description
Almost certain / Expected to occur in most circumstances
Likely / Will probably occur in most circumstances
Possible / 50/50 that it might occur at some time
Unlikely / Could occur at some time
Rare / May occur only in exceptional circumstances

4.Consequence

Identify the level of consequence if the risk occurs:

Descriptor / Description (Indicative Examples)
Severe / Causes serious harm to Activity beneficiaries, (individual; community, organisation, or country).
Serious reputational damage to contributing partners.
Major / 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.
Moderate / Achievement of Activity objectives compromised.
Costs escalate more than 30%.
Significant implementation delays.

5.Risk Profile

Determine the risk profile from the level of likelihood and consequence.

Likelihood
Almost certain / Extreme risk
Likely
Possible
Unlikely
Rare / Low risk
Consequence / Moderate / Major / Severe
Colour / Risk level / Measures required
Green / Low / Normal control and monitoring measures will be sufficient.
Orange / Medium / This requires measures to manage the likelihood or consequence of a risk and active monitoring.
Red / High / Extreme risks are likely to occur and would prevent achievement of outcomes, cause unacceptable cost overruns and/or schedule slippage. Significant reputational damage will occur.

Appendix C: Detailed Outputs-Based Budget / Cost Estimates

Attach the sequenced costed Work Plan template (Excel file)that is appropriate for the activity, either the:

  • Summary by OutputWork Plan
  • Detailed by Output Work Plan
  • Detailed by Input Work Plan.

The Work Plan is to cover the period of activity implementation.

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Appendix D: Description of Program or Activities

(Include if appropriate)

This appendix provides a detailed description of program or Activities

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Appendix E: 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, etc.)

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Appendix G: Environmental and Social Assessment and Environmental and Social Commitment Plan

(Refer to the MFEM ESS Framework to guide the preparation of the activity Environmental and Social Assessment and Environmental and Social Commitment Plan. DCD staff will be able to advise if your activity will have to fulfil these requirements.)

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