Programme Committee Guideline
Annex 1: Key Appraisal Questions
The following list of questions should be applied at both the identification and design stages. There are three levels of questions under each criterion. The level that is applied will depend on the stage of the appraisal process and/or any particular risks or opportunities. If only a preliminary appraisal is required the ‘high level’ questions linked to each criterion may suffice. If more detailed analysis is required then the ‘broad’ and/or ‘specific’ questions can be applied.
These questions are based on the EC Quality Frame.
On this page
Relevance questions
High level question
Is the proposal clearly focussed on the needs, priorities and interests of the key stakeholders?
Important: For guidance on appraising whether cross-cutting issues are covered adequately, refer to the NZAID Screening Guide for Mainstreamed and Other Cross-cutting Issues
Broad questions
1.To what extent does the proposal embody good development practice as reflected in NZAID policies and strategies?
Specific questions
To what extent does the proposal provide evidence …
1.1 of how it will address poverty reduction?
1.2 that the differential impacts on women and men, girls and boys have been identified and addressed?
1.3 that it takes account of possible influences and impacts on key human rights issues?
1.4 that it has considered the potential impact of HIV/AIDS on its implementation?
1.5 that its potential influence or impact on the environment has been assessed, and that the impact is acceptable?
1.6 that it has considered the potential impact of conflict related risks and peace-building opportunities?
1.7 that it has taken into account relevant NZAID sectoral and thematic policies and strategies?
1.8 that it will contribute to the achievement of one or more international development targets?
2.To what extent is the proposal aligned with & supportive of the policies and systems of the partner government & of other partners & agencies?
To what extent does the proposal …
2.1 provide evidence of how it is aligned with partner government and/or sector policies, key strategy documents (e.g. national development plans and poverty reduction strategies) and systems?
2.2 demonstrate that it has considered what other donors are doing and how it harmonises with them?
3.To what extent is the proposal relevant to the needs and capacities of other key stakeholders?
To what extent does the proposal …
3.1 provide a clear stakeholder analysis including sex-disaggregated data on the socio-economic status of the target group?
3.2 show how the initiative will benefit those in the lowest socio-economic groups and those in marginalised groups (e.g. minorities, disabled, children)?
3.3 provide a clear analysis of problems and/or opportunities facing the target group?
3.4 show how the initiative will meet the different needs, priorities and interests of women, men, girls and boys?
3.5 provide evidence that the initiative will address local priorities?
3.6 identify and analyse existing or potential conflicts between stakeholders?
3.7 demonstrate how it will be compatible with the institutional capacity of the proposed implementing partner?
3.8 provide clear evidence of local ownership including active local participation in decision making?
3.9 show that representatives of key stakeholders have ‘signed-off’ on the proposal?
4.To what extent does the proposal take account of lessons learned from past and existing development experiences?
To what extent does the proposal …
4.1 reference and include lessons learned from research and other initiatives implemented in the sector or in similar contexts elsewhere?
4.2 explain how it will complement other on-going or planned activities, including those supported by other donors?
4.3 explain why the proposed approach or strategy was chosen?
Effectiveness questions
High level question
Are Activity objectives likely to be achieved?
Broad questions
5.To what extent is the Activity likely to lead to tangible and sustainable benefits?
Specific questions
To what extent does the proposal …
5.1 show clearly how the target group has a meaningful role in decisions related to changes in design and implementation of the initiative?
5.2 show how the goal fits with relevant policies or sector objectives?
5.3 identify Activity objectives which meet priority needs of the target group and will be sustainable?
5.4 demonstrate that the goals, outcomes, objectives, outputs and inputs are feasible?
5.5 demonstrate that the proposed delivery mechanism is appropriate to the activity?
5.6 identify improvements to policies, services, facilities, knowledge, skills or attitudes that contribute to poverty reduction?
5.7 include opportunities to renegotiate the details of later stages drawing on the findings of agreed monitoring and evaluation processes?
5.8 describe activities consistent with the proposed outputs and time-frame?
6.Does the proposal contain a clear, practical and partnership-oriented monitoring and evaluation system?
Does the proposal …
6.1 provide a set of indicators and sources of verification that will provide adequate information for effective Activity management?
6.2 provide evidence that the key partners involved have agreed on an approach to monitoring and evaluating the initiative?
6.3 contain monitoring, reporting, review, and evaluation arrangements that will promote effective learning and improvement?
6.4 include adequate resources to support the monitoring and evaluation arrangements?
6.5 clearly describe the roles and responsibilities for collecting, recording, analysing reporting and using sex-disaggregated data and information, and do these build on existing systems?
6.6 specify ways in which the target group can voice their opinions and receive feedback?
6.7 …specify ways in which the target group can have a meaningful role in the selection of monitoring indicators for effectiveness and impact?
7.Does the proposal include adequate analysis of risk and appropriate risk management arrangements?
Important: For guidance on analysing risk refer to the NZAID Risk Assessment Guideline (this tool is currently in development).
Does the proposal …
7.1 identify anything outside the direct control of the initiative that is likely to affect achievement of its objectives?
7.2 contain evidence of a careful analysis of the importance of the different risks and their potential impact on success?
7.3 identify clear and appropriate arrangements for managing these risks?
7.4 leave any ‘high probability’ / ‘high impact’ risks as Assumptions?
Efficiency questions
High level question
How well are resource inputs, (including funds, expertise and time), being combined?
Broad questions
8.Are the cost implications of the proposed initiative clear and do they show financial viability and positive economic returns?
Specific questions
Does the proposal …
8.1 clearly identify the resources required from each of the stakeholders?
8.2 show that it is financially and economically viable?
8.3 clearly identify the costs and benefits to different stakeholders?
9.Are appropriate management and financing arrangements built into the design?
Does the proposal …
9.1 include analysis of the existing institutional capacity of the implementing partner?
9.2 define practical management arrangements given the capacity of the implementing partner?
9.3 clearly specify financial management arrangements that promote accountability and transparency?
9.4 demonstrate and define the mutual accountabilities of the partner organisations for the delivery of the agreed results?
Impact questions
High level question
To what extent is the Activity likely to contribute to poverty reduction?
Broad questions
10.What positive and negative consequences are likely?
Specific questions
Does the proposal…
10.1 clearly define all the likely impacts?
10.2 show how different groups of poor men and women, girls and boys, really benefit?
10.3 have a convincing logic behind the Activity? (see NZAID Logical Framework Approach Guideline)
10.4 give sufficient attention to identifying potential losers?
Sustainability questions
High level question
Is the flow of benefits likely to continue after external support for the Activity has ended?
Broad questions
11.Is the proposal designed to ensure that the benefits to the target group will continue after it has been completed?
Specific questions
Does the proposal…
11.1 include activities to promote sustainability?
11.2 specify all recurrent cost implications and will these costs be able to be met locally once external support has finished?
11.3 include any technologies or equipment that may be difficult to operate and maintain locally?
11.4 give sufficient attention to institutional capacity building issues?
11.5 identify and address any potential environmental impacts?
11.6 help empower the target group to secure their ongoing access to development benefits after external support has ended?
11.7 Consider an exit strategy?
Design Process questions
High level question
Was the design process carried out appropriately?
Broad questions
12.Was there adequate participation to ensure ownership by key stakeholders?
Specific questions
Does the proposal…
12.1 appear to have been developed through a participatory process with partners (government, donors, civil society, private sector and community representatives)?
12.2 show evidence that women and men were consulted, and involved in proposal development and design?
12.3 use language that is clear and comprehensible to key stakeholders?
12.4 include mechanisms to ensure ongoing engagement of key stakeholders throughout implementation?
13.Did the design process meet normal NZAID standards?
Was the design process…
13.1 based on ToR that were clear, comprehensive and appropriate?
13.2 participatory?
13.3 assessed using the cross-cutting screening guide?
13.4 assisted by a subject matter specialist and if not should it have been?
13.5 Have all of the comments/feedback on the draft document been addressed in the final version?