Guidebook on ASEAN Foundation Project Management and Funding Procedures
GUIDEBOOK ON ASEAN FOUNDATION
PROJECT MANAGEMENT AND FUNDING PROCEDURES
CONTENTS
Page
A.INTRODUCTION ………………………………………………………………
B.THE WORK OF THE ASEAN FOUNDATION ……………………………..
C. CRITERIA FOR PROJECT APPROVAL …………………………………….
D. PROJECT PROPOSAL FORMAT ……………………………………………
E. PROJECT APPRAISAL CHECKLIST FORM ……………………………….
F. PROJECT CYCLE CALENDAR ………………………………………………
G. ALLOWABLE PROJECT COSTS ……………………………………………
- Project Staff
2. Transportation
3. Daily Subsistence Allowance (DSA)
4. Communication
5. Secretarial/Administrative Expenses
H.DISBURSEMENT PROCEDURES. …………………………………………...
- PROJECT IMPLEMENTATION REQUIREMENTS ………………………….
- AMENDMENT ……………………………………………………………….……
- LIST OF ANNEXES ………………………………………………………………..
ANNEX A : Project Proposal Format
ANNEX B : Cost Estimates
ANNEX C : Project Appraisal Checklist Form
ANNEX D : Project Cycle Calendar
ANNEX E : Terms of Reference
ANNEX F : Indicative Work Plan
ANNEX G : Technical Report
ANNEX H : Financial Report
ANNEX I : Evaluation Form
A. INTRODUCTION
The ASEAN Foundation (AF) was established by the ASEAN Leaders on 15 December 1997 with the following objectives:
- To promote greater awareness of ASEAN, and greater interaction among the peoples of ASEAN, as well as their wider participation in ASEAN’s activities inter alia through human resources development that will enable them to realise their full potential and capacity to contribute to the progress of ASEAN as productive and responsible members of society; and
- To endeavour to contribute to the evolution of a development co-operation strategy that promotes mutual assistance, equitable economic development, and the alleviation of poverty.
These objectives, which are consistent with and in support of the mandate of ASEAN, guide the work of the ASEAN Foundation.
This Guidebook specifies and explains procedures and requirements for the preparation and submission of proposals submitted to the ASEAN Foundation for assistance. The intended users of this guidebook are the staff of the ASEAN Foundation Secretariat and prospective project proponents.
B. THE WORK OF ASEAN FOUNDATION
The work of the ASEAN Foundation is focused on that aspect of ASEAN work called Functional Cooperation, which covers the following fields: science and technology, environment, culture and information, social development (youth, women, health and nutrition, education, labour affairs, disaster management, HIV/AIDS prevention and control, children, population, and rural development and poverty eradication), drug matters, and civil service.
In view of the fact that industries and economies of the future will more and more be dependent on human skills and knowledge, the Foundation deems that the most beneficial and effective means to attain its objectives would be by focusing on human resources development activities or projects such as education, training, seminars, workshops, exchanges/networks, fellowships, and information dissemination.
- CRITERIA FOR PROJECT APPROVAL
The Board of Trustees of the Foundation has adopted the following criteria for project approval:
The project must be consistent with the Memorandum of Understanding (MoU) on the Establishment of the ASEAN Foundation as well as the objectives and priorities of the ASEAN Foundation as provided in the ASEAN Foundation Plan of Action. Action/s being supported by the project must be specified in the project proposal submitted to the ASEAN Foundation.
The project must fall under the purview of the mandate of the ASEAN Foundation to focus its work on Functional Cooperation which covers, among others, the fields of science and technology, environment, culture and information, social development (youth, women, health and nutrition, education, labour affairs, disaster management, HIV/AIDS prevention and control, children, population, and rural development and poverty eradication), drug matters, and civil service.
The project/problem to be addressed must be regional in nature.
The project shall be undertaken at the ASEAN level with beneficiaries of all ASEAN member countries. However, in line with the need to assist new members of ASEAN in narrowing the gap in the level of development, the Foundation will also consider projects specifically for this purpose.
The project must be sustainable in nature, meaning the benefits of the project will continue or carry on even after the termination of external assistance.
Special consideration and high-priority shall be given to projects co-financed from other sources and counterpart contributions and to small-scale projects.
The project’s objectives must be achievable within a specified period of time.
The project must be cost-effective.
The project must not be a duplication of on-going or future/pending projects of the ASEAN Foundation and other ASEAN bodies.
The project must directly benefit people at the grassroots level.
Preference shall be given to project proponents and/or executing agencies that have the necessary network and proven track record in conducting such projects.
Note: This General Criteria for Project Approval should be read in conjunction with the Yearly Supplementary Guidelines for Project Approval which could be provided by the ASEAN Foundation Secretariat.
D. PROJECT PROPOSAL FORMAT
Project proposal for submission to the ASEAN Foundation should follow the standard format (see Annex A). A project proposal should normally be no longer than eight (8) pages , although it could be longer if necessary.
Project proposals should include detailed cost estimates and should follow the standard format (see Annex B). Supporting papers or documents may be attached.
E. PROJECT APPRAISAL CHECKLIST FORM
The Project Appraisal Checklist Form, which is based on the criteria, will be used in evaluating project proposals.
Although the Project Appraisal Checklist Form was designed for the use of the AF Secretariat staff, project proponents are advised to review their proposals on the basis of this form (see Annex C).
- PROJECT CYCLE CALENDAR
The Project Cycle Calendar (see Annex D) is a schedule of the main procedures that proposals go through starting from the deadlines for submission of proposals to the approval of proposals. The whole project cycle takes about one (1) year.
G. ALLOWABLE PROJECT COSTS
Project costs described below are considered as the usual costs to be included in the financial aspect of a proposal. When preparing the cost estimates, the project proponent should consult closely with the AF Secretariat, which will provide advice and assistance.
- Project Staff
- A project manager is responsible for the overall implementation of a project, based on the described objectives in the project proposal that have been approved by the Board of Trustees of the AF.
- Other project staff may be required for the day-to-day implementation of a project.
- Consultants or experts may be engaged in a project. The standard AF rates for the consultancy fees are set at a maximum rate of:
USD 200. - per man-day
USD 1,400.- per man-week
USD 6,000.- per man-month
Man-month fees are calculated on the estimated working time spent on the project in total. Please note that a man-month is not a calendar month.
- Terms of References (TOR) for each consultant/expert detailing his/her job description, length of contract and remuneration package shall be provided in the project proposal. Sample is attached (see Annex E)
- Transportation
- Transportation arrangements for project activities, both air travel and land transportation, should be planned carefully when preparing a proposal and indicated in detail in the proposal.
- Only economy class airfare is allowed whenever air travel is required.
- Vehicle(s) shall be rented, whenever land transportation is required.
- Daily Subsistence Allowance (DSA)
- Whenever a project staff has to travel, he/she should be entitled to DSA to cover his/her accommodation, meals, other incidental expenses such as city transportation, communications, tips, etc.
- DSA should be applied at a maximum rate of US$ 150 per day.
- The number of days for calculating DSA is the number of days of duty or meeting.
- When accommodation/meeting package meals are provided by another entity involved in the project, only 50% of the DSA shall be provided.
- DSA shall also be provided for consultants and/or experts engaged in the project. However, if the services of the consultants and/or experts are more than 20 days, then the project manager should make a reasonable reduction of the allowances of the consultants and/or experts in order to maintain project costs at a reasonable level.
- Communication
- Electronic mail (e-mail) is the preferred means of communication, and estimates of internet charges may be included in the proposal.
- Postal, telephone and facsimile are other means of communication that may be included in the proposal.
- Secretarial/Administrative Expenses
- These expenses include photocopying and office supplies, and should be estimated and built into the cost estimates.
- An amount equivalent to 10% of the total project cost shall be allocated as contingency cost. Should the need arise for additional expenses, please consult the AF Secretariat before making any new financial arrangement.
All major allowable project costs are listed above. Should the need arise for additional expenses, please consult the AF Secretariat before making any new financial arrangement.
H. DISBURSEMENT PROCEDURES
Upon approval of a project proposal, a project contract shall be prepared by the AF Secretariat for signing by the Executive Director of the AF and the project proponent. Funds shall be disbursed according to the following procedures:
- A bank account shall be opened exclusively for the project.
- Disbursements are made in US Dollars, while financial management shall be done in the national currency and in US Dollars.
- Disbursement procedures may vary from project to project. The number of disbursements for a project and the amount of each disbursement shall be decided by the Executive Director of the ASEAN Foundation and stated in the project contract.
- The AF Secretariat is under no obligation to make any disbursement not covered or specified in the project contract or in a manner that is not in accordance with disbursement procedures.
I. PROJECT IMPLEMENTATION REQUIREMENTS
Upon approval of a project, the project manager assigned by the executing agency shall work with the AF Secretariat on the following:
- Revision or updating of work plans to real time;
- Financial and accounting arrangements for the implementation of the project; and
- Arrangements for the submission of progress reports, as required by the AF Secretariat; and the final report.
- Work Plan Update
The project manager shall revise or update the work plans to real time, taking into account any changes that have occurred since the project was approved.
Three (3) work plans are required: (1) operational work plan for the current quarter; (2) operational work plan for the current year; and (3) a summary schedule of output production for the intended duration of the project, if the project duration is more than one year. Sample is attached (see Annex F).
- Financial Arrangements
a. Only projects approved by the Board of Trustees shall be funded by the AF.
b. Bank interest that is derived from the AF fund, if there is any, shall also be used exclusively for the implementation of the AF projects.
c. All financial transactions must be appropriately documented and recorded in the financial report of the project.
d. All transactions should be denominated in US dollars, and transactions in national currency should be converted into US dollars using the exchange rate on the day of receipt of the disbursement by the bank.
e. The project manager shall provide the AF Secretariat all necessary information and assistance so that it can carry out financial audits or inspections required to monitor the implementation of a project. Therefore, all transactions should be recorded immediately and financial records should be kept up to date.
Original bank statements, invoices, transaction bills and other evidences should accompany the financial reports, both progress and final. The project manager may submit a list of such evidences only. The list must, however, be certified by a chartered or certified accountant. Furthermore, a statement stating where the originals of such evidences will be kept for a period of five years should accompany the list.
- Progress and Final Reports (Technical and Financial)
The ASEAN Foundation shall monitor the projects in order to contribute to any improvement in the implementation of a project. The ASEAN Foundation Secretariat may use various methods to monitor the project’s progress, namely desk study of the project work plans and progress reports, review of the financial statements, meetings with the project managers, and when necessary, field inspections.
Progress reports will enable the ASEAN Foundation to observe and evaluate project implementation and provide feedback.
- Progress Report (Technical and Financial)
The project manager shall prepare and submit a progress report describing the progress against the work plan and the budget estimate; identifying any problems encountered and indicate, if any, solutions that have been applied and the results of such; explaining the main variances from the work plan; and presenting any plans or recommendations for the next phase of the project.
- Final Report (Technical and Financial)
The project manager shall also prepare and submit a final report which shall include the principal results and important findings of the project. This report shall also technical reports that were included in the last work plan prepared and submitted; and a financial report. A complete record of all financial transactions shall be submitted together with this report.
A sample of the report is attached as Annex G and Annex H.
c. Evaluation Form
The project manager shall require the participants of the project to complete an evaluation form to enable the ASEAN Foundation to assess the project. The project manager shall prepare a summary of the results and submit all the forms to the Foundation Secretariat. In this evaluation form, the participants will have the opportunity to write any comments, views and suggestions which will be used by the ASEAN Foundation to plan the next project. There are three samples of evaluation form (Internship, Study Tours/Exchange Workshop/Trainings/Seminars/Courses)
Samples of the evaluation forms are attached as Annex I.
J. AMENDMENT
This guidebook may be amended from time to time. Please consult with the AF Secretariat if you need anything clarified.
- LIST OF ANNEXES
ANNEX A : Project Proposal Format
ANNEX B : Cost Estimates
ANNEX C : Project Appraisal Checklist Form
ANNEX D : Project Cycle Calendar
ANNEX E : Terms of Reference
ANNEX F : Indicative Work Plan
ANNEX G : Technical Report
ANNEX H : Financial Report
ANNEX I : Evaluation Form
1