Transcript Slide 1

UNEP training on
Project Management and
Administration Processes
Part I and II
UNEP / PCMU
Facilitators
Yunae Yi, PCMU
Niklas Hagelberg, PCMU
Jochem Zoetelief, PCMU
Pontus Molin, BFMS
Participants
Name
Project document writing experience
Expectation from the workshop
Experience with PCMU on costed workplans and project approval
process
UNEP / PCMU
Training coverage
Part I
•
Introduction
•
Programme vs. Projects
•
Project Cycle
Part II (Key Aspects of Project Management)
•
Gender sensitivity and Poverty
•
Project Sustainability
•
Logical Framework
Part III (Administrative Requirements)
•
Proposal Formats
•
Costed Work Plans
•
Project Review and Approval Process
•
Implementation (Monitoring, Reporting and Evaluation)
Part IV Funding Opportunities and Donor Trends
Part V BFMS Experiences with UNEP Proposals
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Expected results of the workshop
•
Improve the quality of project documents and
therefore, increase donor funding for UNEP work
•
Improved understanding of requirements and process
in UNEP project approval and implementation
•
Improve the project management and monitoring for
successful outcome (results) of the projects
•
Improve efficiency in project review, approval and
fund release process
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UNEP’s Core functions
•
Monitoring, assessment, and reporting on the state of
the global environment
•
Setting an agenda for action and managing the
process of establishing standards, policies and
guidelines
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Developing institutional capacity to address existing
and emerging problems
•
Catalyzing environmental actions
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Programme and Project Cycle
(for the biennium 06-07)
1.
Biennial Programme Plan (completion by Mar. 04;
approval by GC and GA by Dec. 04)
2.
Programme of Work (completion by May 04; CPR
review in Sep. 04; ACABQ review in Nov. 04; approval
by GC in Feb. 05; review by CPC in May 05; approval
by GA in Dec. 05)
3.
Costed Workplan (Nov. 05-Jan. 06)
4.
Projects and internally implemented activities
(implementation during 06-07)
5.
Programme Performance Report (end of 07)
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Relation between UNEP
objectives and activities
UNEP objectives
Thematic Objectives
Thematic
objectives
Implementation process
Planning process
Functional objectives
Divisions: DEWA, DPDL, DEPI, DTIE, DRC, DEC, DCPI, DGEF
Projects and internally implemented activities
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Linking projects/internally implemented activities
to UNEP programmes
UNEP Programme
Subprogrammes
Projects/Internally
implemented
activities
Objectives
Results
Objectives
Results
Objectives
Results
Outputs
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Activities
Funding Sources for UNEP
•
Regular Budget
•
Environment Fund
•
Trust Funds
•
Earmarked contribution, including
Partnership Agreements
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Project Cycle
Identification
Phase 1
Evaluation
Phase 5
Preparation and
formulation
Phase 2
Implementation
Phase 4
Review and
approval
Phase 3
UNEP mandate, objectives and requirements have to be kept in
mind during all stages
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Phase 1
Project Identification
Identification
Phase 1
Preparation and
formulation
Phase 2
Evaluation
Phase 5
Implementation
Phase 4
•
•
•
Review and
approval
Phase 3
Situation analysis
Identification test
Preparation of a concept project proposal for sponsorship
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Situation analysis
– Assess and analyze an environmental situation
needs
– Include analyses of needs, interests, strengths and
weaknesses of key stakeholders and beneficiaries
(stakeholder analysis)
– Explores likely causes and linkages between
existing problems and the needed actions (Problem
and objective analyses)
– Generates key actions and strategies to be applied
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Stakeholder analysis
1. Identify the principal stakeholders at various
levels – local, national, regional and
international
2. Investigate their roles, interests, and relative
powers and capacities to participate
3. Identify the extent of cooperation or conflict in
the relationships among stakeholders
4. Interpret the findings of the analysis and
define how they should be incorporated into
project design
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Problem analysis and the problem tree
1. Define precisely the situation to be analyzed
(sector, sub sector, area, etc.);
2. Define some major problem conditions related
to the selected situation;
3. Organize the problem conditions according to
their cause–effect relationships;
4. Add additional problems, thus describing
causes and effects; and
5. Check the diagram (tree) for completeness
(most relevant conditions) and logical order.
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Example of Problem Tree
Effects
Environmental degradation
due to inability to protect
the environment
Low quality
education due
to inadequate
reference
materials
Poor judgements
and access to
justice in
environmental
matters
Poor access to
materials for
environmental
management for
all users.
Causes
Low public
participation in
decision-making
due to lack of
information
Reaches less
people in the
country and
beyond with the
right information
Inappropriate/in
adequate decisionmaking and
implementation of
environment
Conventions
Inability to rely
on credible
sources of
environmental
information.
Lack of access to
Lack of capacity to store
environmental information
and retrieve information
by information technologyUNEP / PCMU
electronically
Objectives analysis and the objective tree
1.
Reformulate the problems as objectives;
2.
Check the logic and plausibility of the means-to-ends
relationship;
3.
Adjust the structure wherever necessary and revise
statements;
4.
Delete steps that are not desirable; and
5.
Add new steps if they appear to be relevant and
necessary.
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Example of Objective Tree
end
s
The environment is protected
according to the required regulation
Decision-makers work in
an informed manner to
protect the environment
Enhanced enforcement
and compliance of
environmental law
Access to Justice is
enhanced because of
the accessibility of
information
means
The Public can
participate in
decision-making at
the relevant level.
Build capacity to access
information by databases
& information technology
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The public in the country
and beyond has access
to environmental
information
Build capacity to store and
retrieve information using
keywords & search engines
Identification test
A proposal may be deemed to have passed the identification test
and be ready for preparation when:
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There is compatibility with UNEP mandate and objectives;
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Major options and alternatives have been identified and some initial
choices made;
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The principal institutional and policy issues affecting project
outcome have been identified and deemed amenable to solution;
•
There is justifiable expectation that the project will have adequate
support from the relevant political authorities, other stakeholders
and the intended beneficiaries;
•
The project options selected are expected to be justified, given
rough estimates of the expected costs and benefits.
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Phase II
Formulation and preparation
Identification
Phase 1
Preparation and
formulation
Phase 2
Evaluation
Phase 5
Implementation
Phase 4
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•
•
•
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Review and
approval
Phase 3
Feasibility study
Project document formulation
Logical framework matrix
Budgeting
Project implementation planning
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Feasibility study
•
•
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The core of the proposal preparation process
Purpose is to provide the basis for choosing the most
desirable options
Consideration of the following basic questions:
– Does it conform to the national and regional
development and environmental priorities?
– Is it technically and scientifically sound, and is the
methodology the best among the available alternatives?
– Is it administratively manageable?
– Is it financially justifiable and feasible?
– Is it compatible with the customs and traditions of the
beneficiaries?
– Is it likely to be sustained beyond the intervention
period?
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Project document formulation
•
Add details on budget, implementation plan and
modalities to the existing concept proposal
•
Project and project document formulation are
simultaneous and iterative processes
•
The project document come from each step taken
through project cycle phases 1 and 2
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Project document formulation
(con’t)
The full project document is:
• A legal agreement once signed;
• A tool for formulating and implementing
projects;
• A tool for communication among key partners;
• A tool for project monitoring and evaluation;
• Basis for the terms of agreement for any
consultancy/contractual service.
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Project implementation planning
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Successful implementation often depends on the
quality of project planning before the project begins
•
A project submission checklist is
– to assess the feasibility of projects and the
readiness of project managers to undertake them
– to guide project managers in project planning
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Project submission checklist
Yes
1. Have all relevant UNEP divisions and regional offices been consulted and are they
fully familiar with the project document?
2. Have the possible duplications or complementarities with the existing or former UNEP
projects been examined?
3. Have the roles and responsibilities of the implementing partners, including UNEP
divisions, cooperating agencies or supporting organizations, been clearly established and
agreed upon?
4. Do the implementing partners have administrative, technical and human capacities to
undertake the project?
5. Do the UNEP divisions involved have technical and human capacities to undertake the
project?
6. Have the priorities and needs of the countries selected for the project been identified
and incorporated in the project?
7. Do relevant governments support/endorse the project?
8. Has gender analysis been conducted and incorporated in the project document?
9. Has the linkage to poverty alleviation been analyzed and incorporated in the project
document?
10. Have key stakeholders been identified and included in the partnership for project
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management?
No Comments
Project cycle
Phases 3-5
Identification
Phase 1
Evaluation
Phase 5
Preparation and
formulation
Phase 2
Review and
approval
Phase 3
Implementation
Phase 4
(will be discussed later)
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Coffee Break
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Part II
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Key aspects in project
formulation
•
Gender equality
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Poverty alleviation
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Project sustainability
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Logical framework approach
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Gender-related terms
•
sex vs. gender
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women vs. gender
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gender balance vs. gender equality vs. gender equity
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gender blind vs. gender sensitive vs. gender neutral
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gender institutionalization vs. gender mainstreaming
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GENDER SENSITIVITY
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Understanding of gender roles and responsibilities as well as their
relationships to each other;
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Understanding gender differences in access to resources and
opportunities for environmental conservation and sustainable
development;
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Addressing Gender needs for the effective project implementation
and project sustainability;
•
Gender sensitivity throughout the project cycle about gender
balance, gender mainstreaming and gender-sensitive project
implementation;
•
Build into the project documents in the form of project strategy,
activities, outputs, results or indicators. Alternatively, it can be
explained in the UNEP project checklist.
UNEP / PCMU
Gender equality statement-example 1
Sustainable Building and Construction Initiative
(SBCI)
…. On a worldwide average, women spend
considerable more time in the home. In this
regard SBCI would also contribute to improved
conditions for women. Also the Initiative
should contribute to an improved work place
environment (especially safety) and in
countries where women are more commonly
employed by the building and construction
industry, this would also benefit their situation.
UNEP / PCMU
Gender equality statementexample 1, modified
Sustainable Building and Construction Initiative (SBCI)
… On a worldwide average, women spend
considerable more time in the home. In this regard
SBCI would also contribute to improved conditions for
women.
From a project management perspective, a gender
balance in staffing and hiring of consultants will be
sought, as well as in invitation and participation in
SBCI meetings, trainings, projects etc. UNEP will also
seek to promote gender equality through this project
by, whenever possible, highlighting for SBCI members
the potential benefits from including women in
planning, networks and activities.
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Gender equality statement –
example 2
Capacity Building for Integrated Environmental
Assessment in Asia and the Pacific Region
The project will integrate gender perspectives, through
the following efforts:
•
•
Promotes the participation of female experts and
scientists as well as women’s groups in integrated
environmental assessment and related training;
Includes analysis on the role of woman in sustainable
use and management of natural resources, and policy
making for sustainable development, in regional and
national integrated environmental assessments.
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Poverty alleviation
•
Degradation of ecosystems disproportionately affect the
poor
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GC 22/10 in 2003 requested UNEP to mainstream the
poverty–environment nexus into UNEP projects
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In April 2004 the ED decided that all UNEP activities must
have a bearing on poverty alleviation
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UNEP/UNDP Poverty Environment Initiative (PEI) to achieve
MDG goals
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It is key to the realization of the MDGs
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Projects should be linked to the national PRSPs and UNDAF
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Project intervention strategies
for poverty alleviation
Ensuring that certain instrumental freedoms to
addressing the links between poverty and the
environment. These freedoms are:
•
•
•
•
•
participative freedom;
access to economic facilities and social opportunities;
the existence of transparency guarantees;
protective security;
ecological security.
These freedoms with strategic interventions in a
project will ensure that the poverty–environment links
are duly captured and addressed.
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Poverty Alleviation statement –
example 1
GRASP project
.… The overall objective of the action is the preservation
of forest resources and improved livelihoods of forest
peoples through pro-poor conservation strategies. The
focus is on forests containing great apes for the following
reasons:
Ape habitats are vital to humans and many other species
as a source of food, water, medicine and timber and as a
regulator of our changing climate. Apes play a key part in
maintaining the health and diversity of tropical forests, by
dispersing seeds and creating light gaps in the forest
canopy, which allow seedlings to grow and replenish the
ecosystem.
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Poverty Alleviation statement –
example 2
The Partnership for Clean Fuels and Vehicles (PCFV)
Mobile source emissions have direct effects on
poverty, the health of low-income urban populations,
especially women and children, and transboundary air
pollution and climate change. Vehicles, both gasoline
and diesel, emit significant quantities of toxic
chemicals. These pollutants can be reduced by using
lower-sulphur and lead-free fuels and by introducing
the new vehicle technologies and emission control
devices that require such fuels. Efforts for clean fuels
and clean vehicles should be integrated into a
country’s overall strategy for transport and air quality.
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Gender and Poverty: references
On Gender:
•
•
•
•
Women and the Environment (WAVE) (UNEP and WEDO)
Integrating Gender responsiveness in Environmental Planning and
Management (UN-HABITAT & UNEP)
Government reports to Committee on the Elimination of Discrimination
Against Women (CEDAW) on progress
Gender-related Development Index (GDI) and Gender Empowerment
measure (GEM)
On Poverty:
•
Exploring the Link: Human well-being, poverty and ecosystem services
(UNEP & IISD)
•
Background paper for ministerial-level consultations: implementation of
the internationally agreed development goals of the Millennium
Declaration (UNEP/GC23/10)
•
Human Development Index (HDI)
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Sustainability
(1/2)
•
Most project interventions are temporary in nature
•
What happens after the project?
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Capacity-building measures should be an integral part
of project strategies and activities
•
Area of repeated concern by the donors, PAG and
auditors
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Sustainability
(2/2)
Effectiveness or impacts of the project will be sustainable
depending on the following factors:
•
•
•
•
•
•
•
Ownership by beneficiaries
Policy support
Institutional and management capacity
Economic and financial viability
Appropriate technology
Social and cultural issues
Environmentally sustainable
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Logical framework
(1/4)
•
Mandatory component of the all UNEP projects
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UNEP uses a simplified log-frame matrix format
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It identifies and states the main factors related to
the success of the project
•
It clarifies how project success (qualitative and
quantitative) will be judged or measured, thus
providing a basis for monitoring and evaluation.
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Logical framework: format
(2/4)
Objective:
Intervention
logic
Objectively
verifiable
indicators (OVI)
Means of verification
(MOV)
Results
1.
1.1.
1.2.
1.1.
1.2.
Outputs
1.
2.
Activities
1.1.
2.1.
2.2.
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Assumptions
Logical framework:
flow of logic (3/4)
Project planning flow
Objectives
Outputs
Results
Activities
Implementation flow
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Logframe: intervention logic
At the Sub-programme level
At the project level
Objective
Objective
Expected
Accomplishment
Results
Outputs
Outputs
Activities
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(4/4)
Objectives
(1/2)
•
Overall desired achievements
•
Long-term benefits to final beneficiaries, the future
desired situation or the conditions that must be satisfied
•
High-level aims which the project’s results will
contribute substantially towards
•
Should be aligned with the objectives of the UNEP
programme
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Objective: formulation
(2/2)
•
Set the right level of articulation so that the objectives
are both realistic and attainable;
•
Do not set objectives that are equivalent to strategies,
activities, processes or outputs;
•
State a meaningful and detectable level of change
over a given period of time;
•
Make a clear distinction with results;
•
Do not formulate objectives with active verbs, such as:
to study, to advise and to cooperate.
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Results
(1/2)
•
Desired outcomes involving tangible benefits to endusers, expressed as a quantitative or qualitative
standard or value
•
Direct consequences or effects of the generation of
outputs and lead to the fulfillment of the stated
objectives
•
Project managers are accountable for the delivery of
them
•
Should be sensitive to the beneficiaries’ specific needs
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Results: formulation
(2/2)
•
Express results as qualitative, quantitative or valueadded rates
•
Show a clear cause-and-effect relationship with the
objective
•
Address the specific needs of the end-users or
beneficiaries
•
State a meaningful and detectable change
•
Avoid long-term goals beyond
the project period
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Outputs
(1/2)
•
The lowest level results of the project
•
A specific product/service delivered by the activities
that are needed to accomplish the project’s objectives
and results
•
The definitions of outputs are different for different
institutions
•
Its delivery must be within the control of UNEP and
the implementing partners
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Output: formulation
(2/2)
•
The optimal combination necessary for achieving the
results
•
Should be deliverable, given the project timeframe and
resources
•
Describe as concretely and precisely as possible, and
in quantifiable terms
•
Avoid confusion with activities: Outputs are the
outcomes of activities
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Activities
•
The specific work or tasks to be performed within the
project to transform resources into outputs
•
The links between inputs and outputs
•
Activities should be targeted to produce outputs
•
Activities must be pertinent not only to the project
outputs but also to the wider context of the project’s
aims
•
Project managers should pay special attention to the
specific interests of under-represented groups, such as
women and people living in poverty
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Objectively verifiable indicators (OVI)
(1/2)
•
What will show us that the results have indeed
occurred?
•
A result is not always directly observable. It may
reflect a broad idea that needs to be further defined
before it can be measured
•
OVI provide an opportunity to restate results in
specific and directly observable terms
•
OVI measure the extent to which the results have
been achieved
•
The value of an indicator is obtained by measurement
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OVI: formulation
(2/2)
Objectively verifiable indicators should be ‘SMART’.
SMART stands for:
•
Specific
•
Measurable
•
Attainable
•
Realistic
•
Time-based
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Establishment of baseline and target data
•
Information on current situation versus situation after
project
•
Baseline data: gather during the phase 1 and analyze
to assess the starting condition or situation of the
targeted populations or areas
•
Baseline data: If existing data not insufficient, not
valid, or irrelevant => conduct rapid assessments
•
Target data: Feasibility study can guide in proposing
reasonable and achievable targets or outcomes
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Means of verification (MOV)
•
Maximize existing and available data sources from
academia, government and NGOs
•
While selecting existing and available data sources,
caution regarding validity and reliability of the data
selected is required
•
Review or content analysis; internal records, including
memos and e-mail; audit reports; reports by NGOs
and other international agencies; surveys; interviews;
and rapid assessments
•
Build the cost for data collection in the project budget
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Assumptions
•
Factors outside the direct control of project managers
•
External factors which could affect the progress and
success of the programme or project, or its long-term
sustainability
•
Underlying conditions which have to be met for the
project to succeed
•
Project managers should assess external factors and
risks in project implementation and articulate them in
the planning phase
•
Project managers should monitor the influences of key
external factors
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Example from a PAS
Goal (results):
• Enhance the quality of the UNEP proposals
Actions (activities):
• Revise UNEP project manual …
• Conduct project management training and workshops on
project design and planning…
• Provide on-going support and assistance regarding project
formats and procedures
Success criteria (indicators):
• Change in quality of the project proposals submitted to
PCMU
• Positive feedbacks from sponsors on the quality of the
UNEP proposals
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Logical framework Exercise
Objective: Improve my physical health condition
Intervention logic
Objectively verifiable
indicators (OVI)
Means of
verification (MOV)
1 Number of Kgs
reduced in 6 months
2 Level of blood
pressure reduced in 6
months
1 Daily weight
records
2 Daily blood
pressure recorded
Assumptions
Results
1. Reduce weight by 5 kgs
2. Reduce blood pressure
level by 30 points
(within 6 months)
Outputs
1. Regular exercise programme maintained
2. Low fat and low calorie diet regime maintained
Activities
1.1.
1.2
2.1.
2.2.
Daily exercise for 30 minutes
Join the dance class and practice once a week
Fast once a week
Strictly follow Akins diet program
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Other health
conditions
remain
unchanged.