Transcript Slide 1

Part III
Administrative Requirements
for project management
UNEP / PCMU
Key benefits of the
administrative requirements
The administrative requirements ensure that:
• Financial rules and regulations are adhered to;
• The project is substantively and technically sound;
• UNEP project design, implementation and planning
criteria have been met;
• The proposal fits into UNEP priorities and overall
programme objectives;
• UNEP projects and activities are coordinated by and
amongst divisions (prevents overlapping);
• Risks likely to affect successful and timely project
implementation have been minimized;
• Managers are well informed about UNEP projects
• Accumulation of information
UNEP / PCMU
Project development process
Substantive Office (DD, PM,
FMO) Prepares the Proposal
BFMS/UNON (FMO)
Regional Directors reviews Cooper. Agency/Supporting Org.
ensures consistency with
Reviews/ensures that funds
PP to ensure needs
capabilities & req. (external)
and rules are followed
properly addressed
PCMU reviews quality, consistency with
UNEP’s project design criteria & priorities
IDR technical and substantive review
PM for changes/amendments in the proposal
Funding and Approval Processes begins
Project Proposal
When developing a proposals:
• Identify the priorities and needs of UNEP (Programme
of Work and Governing Council decisions)
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Coordinate with partners and BFMS
Coordinate with the Division of Regional Cooperation
(DRC) and other relevant regional offices
Likewise, regional offices discuss their proposed
projects with the relevant Divisions
UNEP / PCMU
Project Proposal
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Proposals are forwarded by a Division Director to the
Programme Coordination and Management Unit
(PCMU) for technical screening and an interdivisional review (IDR).
– Divisional approval of the project proposal shall
be indicated with a memo or cover letter.
– PCMU can return the project proposal if it does
not meet the formatting requirements or quality
standards.
UNEP / PCMU
Review and Inter Divisional Review
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The purpose of the review and IDR is to:
– Provide all divisions with an opportunity to comment
– Prevent overlaps (several same kind of projects)
– Assure the highest quality of UNEP project proposals and
coordination of funding applications
– Share information
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IDR is arranged by PCMU
Usually 5 days are given for IDR comments
The PCMU forwards all comments received to the project
proponents and advises them accordingly
IDR response rates of Divisions are reported and
compared at the PAG
UNEP / PCMU
IDR process
Interdivisional review flow
1.PP sent to Division Directors
2. Review and IDR
DD send PP onwards to expert
within division and informs
PCMU who the expert is
PCMU receives
comments from
divisions
3. Compilation of comments/recommendations
PCMU compiles feedback
and sends it to proponent
Division incorporates
feedback (time ?)
UNEP / PCMU
Potential funding sources
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EU
Global Environment Facility (GEF)
UN Development Account (UNDAC)
UN Foundation (UNF)
Partnerships (Belgium, Sweden, the Netherlands,
Ireland, Norway)
Other donor countries, institutions and private sector
UNEP / PCMU
Funding process
Two processes for project proposals to get
funding:
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Response to a call: In response to a call for
proposals by a donor. Often thematic area and
specific format.
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“Strategic” approach: ED or DED request
proposals based on discussions with various
donors.
UNEP / PCMU
Funding process
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The Office of the DED is responsible for overall
coordination and facilitation of fundraising
activities in UNEP.
Division directors can discuss funding of
activities or projects with Governments or
donors, (formal proposal shall be submitted by
the ED or the DED).
Project managers who have an indication of
possible funding or donor cooperation must
inform the DEDs office for further coordination.
UNEP / PCMU
Relationship between funding and implementation
modalities
Project proposals with
earmarked funding
Environment Fund
projects
External
Internal
Internal
Impl.
Impl.
Impl.
Project document
Funds merge into the costed
formulation
workplan
(Revised) costed workplan
Review and approval process
UNEP Project Document
UNEP / PCMU
UNITED NATIONS ENVIRONMENT PROGRAMME
PROJECT DOCUMENT
Section 1: Project identification
1.1 Title of subprogramme:
1.2 Title of project: (refers to proposed project)
1.3 Project number*: (to be allocated by BFMS)
1.4 Geographical scope: (refers to the countries or regions where the project will be implemented.
1.5 Implementation (internal, or cooperating agency or supporting organization)
1. 6 Duration of the project : (total number of months)
Commencing: Month, Year
Completion: Month, Year
1.7 Cost of project: (Expressed in US $)
US$
Cost to the Environment Fund
Cost to Trust Fund
Cost to Earmarked Contribution
Cost to the Cooperating Agency/Supporting Organization
Programme Support Cost ( ___%)
In-kind Contribution (including UNEP contribution)
Total cost of the project
Signatures:
For the Cooperating Agency/ Supporting Organization
Name and Functional Title
________________________________
Date:
%
-----------------------------For UNEP
Name and Functional Title
_______________________________
Date:
Project Document format:
Key elements of the UNEP project
document
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Project summary
Background
Legislative authority and contribution to subprogramme
Project description
Project impacts on poverty alleviation and genderequality
Logical framework
Work plan
Institutional framework
Monitoring and reporting
Evaluation
Project budget
UNEP / PCMU
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
UNEP / PCMU
Key elements of the UNEP project document
Legislative authority and contribution to
sub-programme
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Clear linkage to
– GC decisions and GA resolutions
– MDG, WSSD and other major Conference outcomes
– Sub-programme objectives and expected
accomplishments
UNEP / PCMU
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)
Strategies for successful implementation
Sustainability and replicability
UNEP / PCMU
Project impacts on poverty
alleviation and gender-equality
Overall description on how the project will address these
aspects
UNEP / PCMU
Logical framework
UNEP / PCMU
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?
UNEP / PCMU
Institutional framework
•Institutional arrangement of project implementation
•Project implementation modality
UNEP / PCMU
Project Approval Process
UNEP / PCMU
Project Approval Group
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DED is the chair, Chief of PCMU vice chair,
all Nairobi based Division Directors, Chief
of EOU, Chief of BFMS and the secretary
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Time lap from PCMU review, IDR and PAG
approval is normally 4 weeks
Projects above US$200,000 needs PAG
approval
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UNEP / PCMU
Project Approval Process
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Preparation of Pink File (by FMO)
– Project document
– Project submission checklist (signed by division
director)
– Decision sheet for signature by PAG chair
– Background documentation
– Approval by Executive Director of new posts
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Submission through Division Director to PAG
secretary (PCMU)
– Review and IDR (if not conducted earlier)
UNEP / PCMU
Project Approval Process
FMO/BFMS/UNON Prepares PP file “Pink File” and submitts to PAG
secretary for approval process (signed by DD & FMO)
Secretary of PAG reviews (IDR if not earlier)
PAG Reviews and discusses the proposal (5 days to arrange meeting)
PCMU returns
PP to DD for
amendments
Project
Proposal/Revision
Approved
Amendments
required?
Substantive Office for
changes/amendments
in the proposal
Chair, PAG Signs decision sheet; PCMU forwards to BFMS for further action
What happens then?
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Approved project proposal forwarded to BFMS
Checked by FMO
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! (project
managers should ensure that project doesn’t start before this)
UNEP / PCMU
Costed Work Plan (CWP)
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Overarching framework for all activities to be
implemented by divisions during the biennium
Based on the biennial programme of work
approved by the Governing Council
Legal basis for the disbursement of
Environment Fund (EF)
(i) meeting the core operational needs of the divisions
(ii)(ii) direct cost of internally implemented outputs
UNEP / PCMU
Costed Work Plan (CWP)
When to revise CWP:
(i) to respond to new mandates or specific requests
of Governments
(ii) to incorporate changes in budget, extension of
project duration, changes in implementation,
operational mode, objectives, outputs and
activities (> $200,000 => PAG)
(iii) To close UNEP annual accounts to reflect actual
expenditures (automatic re-phasal => no PAG)
Output, Project and MoU tables in the CWP need to
be updated routinely
UNEP / PCMU
Revision of projects
When to revise:
• Budget is adjusted, extension of project
duration, changes in implementation,
operational mode, objectives, outputs and
activities (>$200.000 => PAG)
• On closure of UNEP annual accounts to
reflect actual expenditures
• To close the project once all activities and
reports are done
UNEP / PCMU
Project Implementation
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Procurement has to follow UN
procurement regulations
Websites and publications have to follow
UNEPs’ Publishing Policy
Hiring of staff have to follow UNEP
regulations (e.g. ToR needed)
UNEP / PCMU
Project monitoring
Growing emphasis to demonstrate performance
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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
UNEP / PCMU
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
UNEP / PCMU
Reporting requirements for internally
implemented projects
Report
type
Progress
report
Final
report
Prepared
by
Project
coordinator
Project
coordinator
Self
Evaluation
Project
Fact
managers
Sheet
(EFS)
Responsibility
Preparation
Frequency/period
Submission
to
Project
manager
1 annually
by end of January
To division
director
cc: PCMU
&
BFMS
Project
manager
End of the
project/
within 60 days of
the completion
To
Division
director
cc: PCMU
& BFMS
1 annually by the
end of January
To EOU
cc:
Project
manager
Project
manager
Reporting requirements for externally implemented projects
Report type
Prepared by
Preparation frequency/period
Submission
Activity report
Cooperating agencies/
Supporting organizations
Annually for Jan–June/
Due by 31 July (or as per reporting
cycle agreed with the donor)
To
Project manager
cc: BFMS & PCMU
Progress report
Project coordinator/
Cooperating agencies/
Supporting organizations
Annually for Jan–Dec/
Due by 31 Jan. (or as per reporting
cycle agreed with the donor)
To
division director
cc: PCMU & BFMS
Final report
Project coordinator/
Cooperating agencies/
Supporting organizations
End of the project/ Due within 60 days
of completion
To
division director
cc: PCMU & BFMS
Self-evaluation
fact sheet (EFS)
Project managers
Annually on each current or completed
project/ by the end of January
To EOU
cc: Project
manager
Quarterly financial
report and cash
advance statement
Cooperating agencies/
Supporting organizations
Quarterly report
Due by 30 April, 31 July, 31 Oct, and
31 Jan.
To project
manager
cc: BFMS
Supporting organizations
Biannually by 30 June/ Within 180
days of the completion of the project
To project
manager
cc: BFMS
Final statement
of account
Cooperating agencies
Annually by 15 February/ Within 60
days of the completion of the project
To Project
manager
cc: BFMS
Inventory of nonexpendable
equipment (items
over $1,500)
Project coordinator/
Cooperating agencies/
Supporting organizations
Annually by 31 January and within 60
days of the completion of the project/
to be attached to the progress report
To project
manager
cc: BFMS
Audited financial
report
Evaluation
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EOU has a mandate to conduct, coordinate and over see
evaluations
4 types of evaluations:
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Desk
In-depth
Impact
Self-evaluations
The size of the project has an impact on evaluation type
Timing of evaluations: at any point during the life of the
project (self-evaluation is annual)
UNEP / PCMU
Evaluation
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UNEP recommend that all projects include
evaluation in project budget (e.g.
consultants fees, travel, communication
and dissemination)
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Usually a few % of total budget (ranging
from $5000-75,000)
UNEP / PCMU
Project report to Programme
Performance Report
Project performance links to the (preliminary) Programme
Performance Report of the Division through IMDIS:
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Project reports and other internally implemented
activities are reviewed
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Provide interim results achieved for each performance
indicator
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Information => “Accomplishments Accounts” and
“Statement of Accomplishment”
UNEP / PCMU
Website
www.unep.org/pcmu/project_manual/
UNEP / PCMU
Brown Bag Lunch
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PCMU) launched a series of informal seminars
on various angles and phases of project cycleproject development, planning, implementation
and evaluation.
Share knowledge and experiences on project
management among colleagues and raise
UNEP’s internal capacity in project
management.
Approximately one seminar/month. Next in the
series will be a presentation on Issue Based
Modules by Ms. Ines Verleye (DEC)
UNEP / PCMU
Questions?
UNEP / PCMU
Coffee Break
UNEP / PCMU