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Unit 2 Identification Phase
Unit 2 Identification Phase
Unit 2 Identification Phase
2
Unit
Phase 1: Identification
Unit 2:
Phase 1: Identification
1 IDENTIFICATION
©FAOAmericas
FAO Project Cycle Workshop Unit 2: Phase 1: Identification
1.- As per AC/2016/14, for countries without FAORs, the Deputy Director-General Operations
(DDO), in consultation with the ADG-RR, designates the Deputy Regional Representative (DRR)
or Regional Programme Leader (RPL) [ex-Regional Strategic Programme Coordinator (RSPC)]
as Project Formulator for projects of national scope.
FAO Project Cycle Workshop Unit 2: Phase 1: Identification
Step 1:
Identification of a Potential
©FAOAmericas
Project Idea
FAO Project Cycle Workshop Unit 2: Phase 1: Identification
6
Unit 2:
Phase 1: Identification
Step 2:
Establishment of a Project
©FAO/ Max Valencia
The Project Formulator establishes a Project Task Force (PTF), considering the
following actions:
In addition, based on the specific operational modality and/or nature of the project,
the inclusion of the following Officers may be necessary.
• IT Officer
• OER Officer
• South-South Cooperation Officer
• Statistic Officer
• Legal Officer
Unit 2:
Phase 1: Identification
Step 3:
Development of the
©FAO/ Max Valencia
Concept Note
FAO Project Cycle Workshop Unit 2: Phase 1: Identification
The PTF chaired by the Project Formulator, with the LTO as alternate chair, develops the
CN in FPMIS. The Project Formulator and members of the PTF are accountable for the
technical substance and proposed operational modalities described in the CN. The CN
includes a mandatory section on alignment of the project to the Strategic Framework
and to the SDGs. When creating the Concept Note in FPMIS, the PTF fills in the specific
module of Alignment to FAO Strategic Framework, identifying the Programme Priority
Areas (PPAs) (up to three) and the associated SDG targets (up to ten) with relevant
percentages. The FPMIS module guides the selection of the SDG targets based on the
PPA/s selected (as per the FAO PWB). Only the SDG targets associated with each PPA
can be selected.
If there are technical areas of the project outside the expertise of PTF members, then
the Formulator, in consultation with the LTO and headquarters Technical Unit to which
the LTO relates from a technical perspective, should take necessary measures to
identify and negotiate the assignment of a Staff Member with the required expertise
(including, where relevant, a CIO Officer. Read more).
During the completion of the CN, the Project Formulator consults with the counterpart
country (or countries), identifies partner(s), regional organization(s) and potential
resource partners.
The requirement during the development of a CN is that the LTO is accountable for
ensuring:
Thus:
For low-risk projects, the In the case of moderate risk For high-risk projects, the
PTF can proceed with projects, the PTF will receive LTO needs to contact the
project Formulation without an automatic notification ESM Unit to determine the
taking any specific Risk from FPMIS once the modality and timing for
Management measures. certification is validated by carrying out an Independent
the ESM Unit, specifying the Environmental and Social
requirements related to the Impact Assessment.
Environmental and Social
Risk to be considered during
project Formulation.
A fast track ESRM process is applied to Emergency Response projects if they meet the
following three criteria:
1 2 3
Formulated as emergency To be implemented over 12 Classified as low or
projects (for definition see months or less. moderate risk projects.
section on “emergency
response projects”)
Risk Screening and Classification must always be carried out for Emergency Response
projects before the project is declared Operationally Active.
Step 4:
for endorsement
FAO Project Cycle Workshop Unit 2: Phase 1: Identification
Step 5:
©FAO/ José Negrón Valera
Endorsement of
Concept Note
FAO Project Cycle Workshop Unit 2: Phase 1: Identification
This instance corresponds to the last step of Phase 1, in which the approval of the CN
is obtained and the FAO’s next Phase of the Project Cycle is initiated.
Below are the possible scenarios and milestones that mark the final Step of Phase 1.
Review can be an interactive process but if the reviewers have been appropriately
involved in the process from the start, this will facilitate endorsement.
RLC has an internal NC review process in addition to that established in the manual,
in order to ensure the quality of the projects and the fluidity of formal approvals.
The steps of this internal process are detailed below:
a. Review by PTF members.
b. Technical approval by the LTO (via email).
c. “Submit” by a PTF member.
d. Endorsement by Formulator in FPMIS
e. Internal circulation (also known as “Peer Review”) between the sub-regional
Coordinator (in case of national projects) and the lead RI leader, who give their
validation via e-mail.
f. Endorsement of the ADG/RR in FPMIS.
FAO Project Cycle Workshop Unit 2: Phase 1: Identification
When the last clearance has been provided, this action automatically:
II. changes the projects status from ‘Idea’ to ‘Active Pipeline’ in FPMIS;
III. opens the facility for subsequent submission of project Budget for clearance on
cost recovery by OSP (where required2); and
IV. notifies all members of the PTF (as recorded in FPMIS) via email.
2.- The OSP submission process is explained in the Phase 3 Assessment and Approval.
FAO Project Cycle Workshop Unit 2: Phase 1: Identification
On the basis of the endorsed CN, the Formulator and/or FLO obtain an indication
of the resource partner’s general interest in funding the project. This informs the
Formulator’s decision on whether to develop a Project Document.
PSR is the Corporate Unit responsible for liaising with donors at capital level and
is the main channel for communicating and formalizing projects with resource
partners.
PSR is the Corporate Unit responsible for liaising with donors at capital level
and is the main channel for communicating and formalizing projects with
resource partners. OER handles the humanitarian projects while OCB the Global
Environment Facility (GEF) and Green Climate Fund (GCF)3.
Funding liaison functions for TCPs are handled by PSS for GLO and INT TCPs and by
the Regional Offices for national, subregional and regional TCPs.
3.- Appendix to the Project Cycle Guide provides more details. Funding liaison functions for
TCPs are handled by PSS for GLO and INT TCPs and by the Regional Offices for national,
subregional and regional TCPs.
https://intranet.fao.org/faohandbook/area/projects/guide_to_the_project_cycle/appendices/
FAO Project Cycle Workshop Unit 2: Phase 1: Identification
By way of summary, the main objectives in the development of Phase 1, and key
recommendations to consider at this stage, are reiterated below:
• The NC structures the project idea around the FAO Quality Assurance Criteria of
relevance, feasibility and sustainability giving rise to a complete project document.
The formulation of the project Concept Note (CN) is developed and validated by
technical teams (LTO, Formulator, RI Coordinator, Sub-regional Coordinator, ADG)
in order to ensure alignment with the strategic framework and priorities of the
organisation, as well as national priorities within the CPF.
• The procedure contained in this Phase applies to all FAO projects, covering both
Trust Funds (TF) and Technical Cooperation Programmes (TCP ).
Key Messages
However, now... How is it done?
a. Contact the RI and cluster leader, for the identification of the LTO and/or LTC of
the project. The RLC has a subsidiarity criterion for technical assistance, i.e.
that the projects are technically assisted by staff located in the sub-regional
offices, the Regional and HQ.
b. The project formulation team must ensure that the Concept Note has a
sufficiently solid basis from the technical, strategic and operational point of
view, i.e. ensure the quality assurance criteria (Relevance, Sustainability and
Feasibility), in order to obtain the approval of the LTO, initiate the peer review
and approval in FPMIS. To the extent that the formulating team has contacted
the project’s technical staff, the gender and indigenous peoples team, and
field programme colleagues, collegial approval will be easier. Remember that
in RLC this review process is initiated “off-line” to facilitate exchange and
modifications, which facilitates approval in the system.
3. Address environmental and social risks: For projects classified Moderate or High
Risk, the LTO must coordinate with the ESM unit the necessary requirements to
obtain the respective approval.
5. Always ensure the correct alignment of the project with the country needs of
the MPP and the corresponding scalability of the results at the national level to
ensure progress on the SDGs.
6. Ensure the correct identification of the problem and solution tree to correctly
identify the impacts, outcomes and outputs that will form the Logical Framework
matrix and their respective indicators.
8. Consider that projects under USD 500.00 do not have to go through a PPRC
process, therefore, it is highly recommended for this type of projects to involve
the gender, indigenous peoples and capacity development units to ensure a
successful implementation in a comprehensive and integrated manner.
FAO PROJECT CYCLE WORKSHOP
FAORLC FIELD PROGRAMME UNIT