Transcript Slide 1

Key issues related to proposal
development
Yunae Yi
Secretary of the Project Approval Group
UNEP, Nairobi
PCMU/UNEP
Results-Based Management
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Why focus on results?
 Shift
of focus from delivery of goods and services
to benefits to the target beneficiaries
 Focus on effectiveness and impact of our work
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What does it mean?
 Flexible
and optimal approach to achieve results
 Accountability of the project team
 Continuous monitoring of the progress
 Demonstration of measurable changes
PCMU/UNEP
Project Cycle
Identification
Phase 1
Preparation and
formulation
Phase 2
Evaluation
Phase 5
Implementation
Phase 4
PCMU/UNEP
Review and
approval
Phase 3
Phase 1 Project Identification
Identification
Phase 1
Preparation and
formulation
Phase 2
Evaluation
Phase 5
Implementation
Phase 4
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Situation analysis
Identification test
PCMU/UNEP
Review and
approval
Phase 3
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
PCMU/UNEP
Situation analysis (1):
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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Situation analysis (2):
Problem analysis
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. Check the logical order.
PCMU/UNEP
Situation analysis (3):
Objectives analysis
•
Reformulate the problems as objectives;
•
Check the logic and plausibility of the meansto-ends relationship;
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Select the scope and level of project
intervention;
•
Link to Logical Framework development
PCMU/UNEP
Identification test
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There is compatibility with COP mandates;
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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;
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There is justifiable expectation that the project will have
adequate support from the relevant political authorities, other
stakeholders and the intended beneficiaries;
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The project options selected are expected to be justified,
given rough estimates of the expected costs and benefits.
PCMU/UNEP
Phase II
Identification
Phase 1
Preparation &
formulation
Phase 2
Evaluation
Phase 5
Implementation
Phase 4
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Review and
approval
Phase 3
Feasibility study
Project document formulation
Project implementation planning
PCMU/UNEP
Feasibility study
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The core of the proposal preparation process
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To provide the basis for choosing the most desirable options
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Consideration of the following basic questions:
 Does it conform to the development and environmental
priorities, such as PRSP?
 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 culture of the beneficiaries?
 Is it likely to be sustained beyond the intervention period?
PCMU/UNEP
Project document formulation
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Add logical framework matrix, details on budget,
implementation plan and modalities to the existing
concept proposal
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Project and project document formulation are
simultaneous and iterative processes
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The project document come from each step taken
through project cycle phases 1 and 2
PCMU/UNEP
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.
PCMU/UNEP
Sustainability
(1/2)
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Most project interventions are temporary in
nature
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What happens after the project?
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Capacity-building measures should be an
integral part of project strategies and activities
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Area of repeated concern by the donors and
auditors
PCMU/UNEP
Sustainability
(2/2)
Project will be sustainable depending on the
following factors:
 Policy support
 Institutional and management capacity
 Economic and financial viability
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Ownership by beneficiaries
Appropriate technology
Social and cultural issues
Environmentally sustainable
PCMU/UNEP
Logical framework
(1/3)
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Donors often consider it as a mandatory
component of the projects
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It identifies and states the main factors related
to the success of the project
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It clarifies how project success (qualitative and
quantitative) will be judged or measured, thus
providing a basis for monitoring and evaluation.
PCMU/UNEP
Logical framework:
flow of logic (2/3)
Project planning flow
Objectives
Results
Outputs
Activities
Implementation flow
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Logical framework: format
Objective:
Intervention Objectively verifiable
Means of
logic
indicators (OVI)
verification (MOV)
Results
1.
2.
1.
2.
1.
2.
Outputs
1.
2.
Activities
1.1.
2.1.
2.2.
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(3/3)
Assumptions
Objectives
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Overall desired achievements;
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Long-term benefits to final beneficiaries, the future desired
situation or the conditions that must be satisfied;
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High-level aims which the project’s results will contribute
substantially towards;
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Set the right level of articulation so that the objectives are
both realistic and attainable;
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Do not formulate objectives with active verbs, such as: to
study, to advise and to cooperate.
PCMU/UNEP
Results
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Direct consequences or effects of the generation of outputs
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Show a clear cause-and-effect relationship with the objective
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Project managers are accountable for the delivery of them
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Address the specific needs of the end-users or beneficiaries
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State a meaningful and detectable change
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Avoid long-term goals beyond the project period
PCMU/UNEP
Outputs
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The lowest level results of the project
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The optimal combination necessary for achieving
the results
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Its delivery must be within the control of project
management team
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Outputs are the outcomes of activities
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Activities
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The specific work or tasks to be performed within the
project to transform resources into outputs
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The links between inputs and outputs
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Activities must be pertinent not only to the project outputs
but also to the wider context of the project’s aims
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Special attention to the interests of under-represented
groups, such as women and people living in poverty
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Indicators
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What will show us that the objective, results and outputs
have indeed occurred?
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Indicators provide an opportunity to restate intervention
logic in specific and directly observable terms
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Objectively verifiable indicators should be ‘SMART’.
SMART stands for:
 Specific
 Measurable
 Attainable
 Realistic
 Time-based
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Means of verification
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Maximize existing data sources
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With existing data sources, caution regarding validity
and reliability of the data
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Review or content analysis; internal records; audit
reports; reports by NGOs and other international
agencies; surveys; interviews; and rapid
assessments
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Build the cost for data collection in the project budget
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Assumptions
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External factors which could affect the progress
and success of the programme or project, or its
long-term sustainability
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Underlying conditions which have to be met for the
project to succeed
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Project managers should assess external factors
and risks in project implementation and articulate
them in the planning phase
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Project managers should monitor the influences of
key external factors
PCMU/UNEP
Logical framework Exercise
Objective: Type 2 diabetic condition is improved to healthy level
Intervention logic
indicators
MOV
Assumptions
Results
1. Reduce
weight by 5 kgs
2. Reduce the
glucose level in
the blood to
below 6
1 Number of
Kgs reduced
2 Level of
glucose level
reduced
1 Weekly
weight records
2 weekly
record of
glucose level
Outputs
1. Regular exercise programme maintained
2. Low carb 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
Take 5 small meals a day
Follow Atkins diet menu at least 2 times a day
1.
Other health
conditions remain
unchanged.
2. Scientific
findings on diabetic
patients hold.
Project checklist
1. Have the priorities and needs of the countries been
identified and incorporated in the project?
2. Have all relevant key stakeholders been consulted?
3. Have the duplications or complementarities with the
existing or past projects been addressed?
4. Do the implementing partners have capacities to
undertake the project?
5. Does the Secretariat (or the applicants) have
capacities to undertake the project?
6. Has the linkage to poverty alleviation been
incorporated?
7. Does the project actively address the sustainability
aspect?
PCMU/UNEP
UNEP Project Document
PCMU/UNEP
Project Document format:
Key elements of the UNEP project document
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Project summary
Background
Contribution to the work programme
Project description
Logical framework
Work plan
Institutional framework
Monitoring and reporting
Evaluation
Project budget
PCMU/UNEP
Key elements of the UNEP project document
Background
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Overall background and situation
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Identify and elaborate urgency of the problem
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Previous actions by UNEP and others
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Lessons learned from similar actions
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UNEP’s specific advantage to run the project
PCMU/UNEP
Key elements of the UNEP project document
Contribution to work programme
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Clear linkage to
 COP
decisions and programme of work (objectives?)
 MDG,
WSSD and other major Conference outcomes
PCMU/UNEP
Key elements of the UNEP project document
Project description
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Methodology
Implementation modalities
Justification of selected project location
Links between outputs, activities and the
problem
Key stakeholders and beneficiaries and impacts
on them (consideration of marginalized groups)
Project impacts on poverty alleviation and
gender-equality
Strategies for successful implementation
Sustainability and replicability
PCMU/UNEP
Key elements of the UNEP project document
Logical framework
PCMU/UNEP
Key elements of the UNEP project document
Work Plan
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Timetable for activities
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Roles and responsibilities among implementation partners
identified
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Tool for monitoring and self-evaluation by project managers
and project coordinators
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Activity flow sequences to be carefully examined
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Situation analysis and project planning part of work plan?
PCMU/UNEP
Key elements of the UNEP project document
Institutional framework
•Institutional arrangement of project implementation
•Project implementation modality
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Project cycle
Phase 3
Identification
Phase 1
Evaluation
Phase 5
Preparation and
formulation
Phase 2
Implementation
Phase 4
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Funding
and
Review and
approval
approval
Phase33
Phase
Project review and funding negotiation
Internal and external project approval process
Administrative steps
PCMU/UNEP
Administrative process
Review and approval by fund management
office, Nairobi
 Chief of BFMS verifies and sends project
document to cooperating or supporting
agency for signature
 Chief of BFMS counter signs
 Project is allocated a project number and
IMIS identification
 No financial obligations can occur before
this!
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PCMU/UNEP
Project cycle
Phase 4
Identification
Phase 1
Evaluation
Phase 5
Preparation and
formulation
Phase 2
Implementation
Phase 4
PCMU/UNEP
Review and
approval
Phase 3
Project Implementation
Financial Regulations and Rules according to
UN Secretariat system
 Contractual agreements (MoUs) will soon
need to follow UNEP standard formats
 Hiring of staff have to follow UN OHRM
Regulations and Rules (e.g. ToR,
classification, contractual types)
 Implementing organizations should comply
with the agreed terms--on time, on budget
and on-project terms
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PCMU/UNEP
Project monitoring
Growing emphasis to demonstrate performance
 In-built in the activities as routines
 Agree on performance measurement tool, frequency
of analysis and method and data source
 Assess performance against the results and
management risks
 Assessment of project activities vis-à-vis results
 Regular documentation and analysis of reports
 Generation of lessons learned and possible
adjustment of activities strategy and methodologies
PCMU/UNEP
Project reporting
Why reporting is needed:
 To inform management of progress
 To validate usage of funds
 Tool for audits and evaluation
 Reference for future projects (lessons learnt)
 Reporting towards donors on project
progress
 Projects can only be closed once all
reporting requirements have been met
PCMU/UNEP
Project cycle
Phase 5
Identification
Phase 1
Evaluation
Phase 5
Preparation and
formulation
Phase 2
Implementation
Phase 4
PCMU/UNEP
Review and
approval
Phase 3
Evaluation
4 types of evaluations:
Desk
In-depth
Impact
Self-evaluations
 Timing of evaluations: at any point during the
life of the project (mostly mid-term an final
stages)
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PCMU/UNEP
Evaluation
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UNEP requires all projects to include
evaluation in project budget (e.g. consultants
fees, travel and communication and
dissemination)
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Usually a few % of total budget
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For a project over $500,000, in-depth
evaluation is required (suggested $20,000+)
PCMU/UNEP
EC Evaluation Criteria
Financial and operational capacity
Do the applicant and partners have sufficient experience of project management?
Do the applicant and partners have sufficient technical expertise? (notably knowledge of the issues to be addressed.)
Do the applicant and partners have sufficient management capacity? (including staff, equipment and ability to handle the budget for the action)?
Does the applicant have stable and sufficient sources of finance?
Relevance
How relevant is the proposal to the objectives and one or more of the priorities of the call for proposals?
How relevant to the particular needs and constraints of the target country/countries or region(s) is the proposal? (including avoidance of
duplication and synergy with other EC initiatives.)
How clearly defined and strategically chosen are those involved (final beneficiries, target groups)? Have their needs been clearly defined and
does the proposal address them appropriately
Methodology
Are the activities proposed appropriate, practical, and consistent with the objectives and expected results?
How coherent is the overall design of the action? (in particular, does it reflect the analysis of the problems involved, take into account external
factors and anticipate an evaluation?
Is the partners' level of involvement and participation in the action satisfactory?
Is the action plan clear and feasible
Does the proposal contain objectively verifiable indicators for the outcome of the action?
Sustainability
Is the action likely to have a tangible impact on its target groups?
Is the proposal likely to have a multiplier effects? (including scope for replication and extension of the outcome of the action and dissemination
of information.)
Are the expected results of the proposed action sustainable?
Budget and cost-effectiveness
Is the ration between estimated costs and the expected results satisfactory?
Is the proposed expenditure necessary for the implementation of the action?
Summary
A project concept should start from
identification of needs and what has been
done;
 After feasibility test, formulate Logical
Framework as the first step in proposal
preparation;
 Think of project sustainability and
replicability
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PCMU/UNEP
Website
www.unep.org/pcmu/project_manual/
PCMU/UNEP
Yunae Yi
Secretary of the
Project Approval Group (PAG)
PCMU/UNEP
[email protected]
254-20-762-4660
PCMU/UNEP