1. Administrative Requirements for project management
Part III
Administrative Requirements for project management
The afternoon/second part of the training will look into the administrative requirements for UNEP projects. Can you mention a few reasons why we have administrative processes and requirements? What are the benefits and what are the down sides? Information sharing, legal documentation, quality control, brand management etc. slows down the process, requires knowledge from the project managers etc. The administrative requirements varies from project to project depending on the funding source, the size of the project and whether the project is internally or externally implemented.
UNEP / PCMU

2. 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
What was mentioned? Also some negative sides like; processes needs time and project managers needs to know the requirements
UNEP / PCMU

3. Project development process
Substantive Office (DD, PM, FMO) Prepares the Proposal
Regional Directors reviews PP to ensure needs properly addressed
Cooper. Agency/Supporting Org.
ensures consistency with capabilities & req. (external)
BFMS/UNON (FMO) Reviews/ensures that funds and rules are followed
PCMU reviews quality, consistency with UNEP’s project design criteria & priorities
IDR technical and substantive review
This slide repeats what was said in the previous slides on the concept proposal.After the comments from the IDR and PCMU has been incorporated the revised proposals is sent to PCMU who forwards them to the DEDs office. Only compliant and finalized proposals enter the sponsorship pipeline.
If a proposal isn’t relevant anymore the division should inform DEDs office about it and so that the proposal can be removed from the funding process
PM for changes/amendments in the proposal
Funding and Approval Processes begins

4. Project Proposal When developing a proposals:
Identify the priorities and needs of UNEP (Programme of Work and Governing Council decisions)
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
There’s a few procedural steps that has to be covered when developing a project proposal. Proposal should be based on our priorities and needs and if there is a regional focus it has to be discussed with the relevant regional office and DRC (also BFMS other division that are concerned)
UNEP / PCMU

5. Project Proposal
Proposals are forwarded by a Division Director to the Programme Coordination and Management Unit (PCMU) for technical screening and an inter-divisional 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.
After the comments from the IDR and PCMU has been incorporated the revised proposals is sent to PCMU who forwards them to the DEDs office. Only compliant and finalized proposals enter the sponsorship pipeline.
If a proposal isn’t relevant anymore the division should inform DEDs office about it and so that the proposal can be removed from the funding process
UNEP / PCMU

6. Review and Inter Divisional Review
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
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
Concept proposals or project proposals will all have to go through an IDR. Assure highest quality and consistency of UNEP projects (and that all issues have been dealt with e.g. gender and sustainability). The proposal is sent to the division directors who then chooses the one from their division that has an expertise in the field in question who will comment on the proposal.
UNEP / PCMU

7. PCMU receives comments from divisions
IDR process
Interdivisional review flow
1.PP sent to Division Directors 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
After the IDR comments, project revision, the project draft is shared with the staff who provided comments before final clearance.
PCMU compiles feedback and sends it to proponent
Division incorporates feedback (time ?)
UNEP / PCMU

8. Potential funding sourcesEU
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
In addition to internal funding from the Environment Fund (core funding) our potential external funding sources are ….. The first four have clear requirements for the proposal and the funding process (e.g. forms and deadlines) but the rest normally starts with a concept proposal. (If funds are received these projects/activities are then added to the costed work plan.). There can also be other funding sources e.g. private donations but these are the main ones.
UNEP / PCMU

9. Funding process Two processes for project proposals to get funding:
Response to a call: In response to a call for proposals by a donor. Often thematic area and specific format.
“Strategic” approach: ED or DED request proposals based on discussions with various donors.
Ad-hoc approach if indication from donor then DED asks for proposals (short or long)
UNEP / PCMU

10. Funding process
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.
If any indication of funding from donor this should be communicated to the DEDs office. Division Director can talk about funding with Governments and donors
UNEP / PCMU

11. Relationship between funding and implementation modalities
Project proposals with earmarked funding
Environment Fund projects
Internal
Impl.
Internal
Impl.
External
Impl.
Project document formulation
Funds merge into the costed workplan
When earmarked contributions (trust funds and earmarked contributions) are provided by donors towards the implementation of specific outputs or activities, it is useful (but not mandatory) to create separate projects so that the use of such additional donor funds can be effectively monitored and reported on, as is often required by donors. Projects with an external factor (e.g. external partner) have to create a full project document (or a MoU or a LoA). The approval process can be double (internal and external) for those projects responding to a call.
Quite a few of the donors and especially if we’re responding to a call there will be a requirement for a project document.
(Revised) costed workplan
Review and approval process

12. UNEP Project Document
When funding is secured a full project document is prepared (for projects answering to a call the proposal has to follow their project document formats). Yunae will our project managers then need to add those issues that the call project document has not considered before it fills UNEP requirements?
UNEP / PCMU

13. 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 For UNEP
Name and Functional Title Name and Functional Title
________________________________ _______________________________
Date: Date:
If the project proposal doesn’t have an identified funding source a concept proposal have to be created. Brief 4-5 pages. A concept proposal is needed to outline the basic information of a project that can be presented to the rest of the organization and the donor. It’s a short version of the final proposal and it’s used for fund rising.
The Format for Concept proposals. What is required can be seen in the format. A concept proposal is the short version of a UNEP project proposal document. Yunae will tell more about these later.

14. Project Document format: Key elements of the UNEP project document
Project summary
Background
Legislative authority and contribution to sub-programme
Project description
Project impacts on poverty alleviation and gender-equality
Logical framework
Work plan
Institutional framework
Monitoring and reporting
Evaluation
Project budget
Hand outs of the Project document format!! Yunae will present (short additional information on back ground, legislative authority, project description and work plan). Many are same as in Concept proposal!
UNEP / PCMU

15. Key elements of the UNEP project document Background
Overall background and situation
Identify and elaborate urgency of the problem
Previous actions by UNEP and others
Lessons learned from similar actions
UNEP’s specific advantage to run the project
Experience and institutional capacity
UNEP / PCMU

16. Key elements of the UNEP project document Legislative authority and contribution to sub-programme
Clear linkage to
GC decisions and GA resolutions
MDG, WSSD and other major Conference outcomes
Sub-programme objectives and expected accomplishments
UNEP / PCMU

17. Key elements of the UNEP project document Project description
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
Tool kits and lessons learned
UNEP / PCMU

18. Project impacts on poverty alleviation and gender-equality
Overall description on how the project will address these aspects
through strategies, method, activities, results or indicators. State it also in the project submission checklist
UNEP / PCMU

19. Logical framework
UNEP / PCMU

20. Key elements of the UNEP project document Work Plan
Timetable for activities
Roles and responsibilities among implementation partners identified
Tool for monitoring and self-evaluation by project managers and project coordinators
Activity flow sequences to be carefully examined
Situation analysis and project planning part of work plan?
Are the time horizons realistic? Does activities collide with each other timewise?
Who is responsible for the activities?
UNEP / PCMU

21. Institutional framework
Institutional arrangement of project implementation
Project implementation modality
UNEP / PCMU

22. Project Approval Process
After the project document or costed work plan has been finalized the project/costed workplan has to go through an internal approval process. Projects and costed workplan changes larger then US$ have to be approved by a Project Approval Group (PAG). Project documents submitted to the Administrative Centre (ASC/Geneva) should have the same procedures as the ones submittted to PCMU/UNEP, except that the project budget threshold is US$ 500,000, rather than US$ 200,000.
UNEP / PCMU

23. Project Approval Group
DED is the chair, Chief of PCMU vice chair, all Nairobi based Division Directors, Chief of EOU, Chief of BFMS and the secretary
Time lap from PCMU review, IDR and PAG approval is normally 4 weeks
Projects above US$200,000 needs PAG approval
The PAG consists of the following persons. The time lap from first submission to PCMU review to final approval has normally been 4 weeks.
UNEP / PCMU

24. Project Approval Process
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
Submission through Division Director to PAG secretary (PCMU)
Review and IDR (if not conducted earlier)
The Division Director submits the project proposal to the PAG secretary. If less then $ the chair of PAG can approve them. Reviews and sends for IDR if not done already. Comments to drafter. Revision. Creation of Pink File (all documents needed for approval). If project or change in costed workplan is above $ (US$500,000 for Geneva based projects) it has to go for PAG approval otherwise it can be signed by Chair of PAG. So what are the benefits of this kind of approval group AND what are the down sides?
UNEP / PCMU

25. 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 No
Yes
After the finalization of the project proposal (review and IDR) all necessary documents are collected into a “Pink File” and submitted to PAG secretary (which is Yunae). The PAG secretary arranges a PAG meeting where the proposal is presented by the division director and discussed
Substantive Office for changes/amendments
in the proposal
Amendments
required?
Yes No
Chair, PAG Signs decision sheet; PCMU forwards to BFMS for further action

26. What happens then? 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)
Once the project proposal is approved it is forwarded to BFMS. Chief of BFMS verifies and checks that appropriate procedures have been followed.
UNEP / PCMU

27. Costed Work Plan (CWP)
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)
meeting the core operational needs of the divisions
(ii) direct cost of internally implemented outputs
Any new project will be mentioned in the costed work plan. Even though it would have a separate project document with a separate budget there will be information about the project in the costed work plan because these projects have to be based on the Programme of Work. Core operational needs: staff costs and other indirect costs of implementing the programme of work
UNEP / PCMU

28. Costed Work Plan (CWP) When to revise CWP:
to respond to new mandates or specific requests of Governments
to incorporate changes in budget, extension of project duration, changes in implementation, operational mode, objectives, outputs and activities (> $200,000 => PAG)
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
Revision as additional funding becomes available; when re-allocation of funds is required; for the reflection of actual expenditure; and any other programmatic reason that may arise. During the course of the biennium, the costed work plan may be amended, in other words outputs may be added, reformulated or postponed.
Changes in funding for an output often means changes in project scope, results or activities
UNEP / PCMU

29. Revision of projects When to revise:
Budget is adjusted, extension of project duration, changes in implementation, operational mode, objectives, outputs and activities (>$ => PAG)
On closure of UNEP annual accounts to reflect actual expenditures
To close the project once all activities and reports are done
What about if something needs to be revised? If the change is less then $ then the programme officer shall draft a revision and submit I to the chief of BFMS. If plenty of crucial other changes the project might still have to go through PAG (decided by PCMU). There is a check list in the manual for revision of project documents that you should use.
UNEP / PCMU

30. Project Implementation
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)
During the implementation there are also certain requirements that have to be followed. These procedures are UN and UNEP set rules. Regarding procurement you can get assistance from the Purchasing and Contracts Unit (UNON). And regarding publications and websites from DCPI. When hiring staff you should consult UNON Human Resources and their Recruitment and Classification Section. For the establishment of MoUs some new format is being investigated, if there will be any new guidelines on MoUs you will be informed of this.
UNEP / PCMU

31. 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
The monitoring per say is not a straight requirement but as there is a growing emphasis on demonstrating performance it is important to lift up the monitroing as part of UNEP project management. The logical framework that Yunae talked about earlier is one of the most important tools in monitoring and reporting. It creates the basis for our monitoring and helps us to focus.
UNEP / PCMU

32. 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
The reporting is our main tool to inform manager and donors about fund usage and progress and as documentation of lessons learned. Without reporting fudns can not be released. The lessons learned is apart of UENP as a learning organisation
UNEP / PCMU

33. Reporting requirements for internally implemented projects
type
Prepared by
Responsibility
Preparation
Frequency/period
Submission to
Progress
report
Project
coordinator
Project
manager
1 annually
by end of January
To division
director
cc: PCMU &
BFMS
Final
report
Project
coordinator
Project
manager
End of the
project/
within 60 days of
the completion To
Division
director
cc: PCMU
& BFMS
There compulsory reports for internally implemented projects: Progress report, Final report and Self evaluation fact sheets)
Project Coordinator (person that has been hired to run the project). Project Manager is UNEP officer that manages details for that project (the PM can have several projects on his/her responsibility)
Self
Evaluation
Fact
Sheet
(EFS)
Project
managers
Project
manager
1 annually by the
end of January
To EOU
cc:
Project
manager

34. 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
Audited financial report
Supporting organizations
Biannually by 30 June/ Within 180 days of the completion of the project
To project manager
cc: BFMS
For externally implemented projects it is the UNEP project manager responsibility that all this reports are submitted on time. The reporting requirements for externally implemented projects can be seen on this slide that has been printed for you. Activity report is needed for releasing of funds (quite often e.g. every few months), the progress report focuses on result.
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 non-expendable 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

35. Evaluation
EOU has a mandate to conduct, coordinate and over see evaluations
4 types of evaluations:
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)
In addition to reporting UNEP has a evaluation system in place and EOU is mandated to….Evaluation type depends varies with the size of the project. A desk evaluation focuses on the process (planning and implementation of activities and outputs)
An In-depth evaluation are comprehensive and they focus on planning and implementation and effectiveness, efficiency and impact)
An Impact evaluation evaluates the entire range of effects of the project (e.g. long term and objective level)
Self-evaluations are made annually by the project manager (more information from Evaluation and Oversight Unit)
Terminal evaluation as desk or in-depth evaluation.
Budgets between $ $ =>terminal evaluation
>$ => terminal in-depth evaluation (included in project budget)
Mid-term evaluations needed for projects with long implementation (5-6 years). Mid-term evaluation are either in-depth or desk evaluations
UNEP / PCMU

36. Evaluation
UNEP recommend that all projects include evaluation in project budget (e.g. consultants fees, travel, communication and dissemination)
Usually a few % of total budget (ranging from $ ,000)
2-4%
$5,000 for desk evaluation
$15,000 for in-depth evaluation (visits to several countries)
$20,000-25,000 for in-depth evaluation with multi-region visits
$75,000 for impact evaluation
UNEP / PCMU

37. Project report to Programme Performance Report
Project performance links to the (preliminary) Programme
Performance Report of the Division through IMDIS:
Project reports and other internally implemented activities are reviewed
Provide interim results achieved for each performance indicator
Information => “Accomplishments Accounts” and “Statement of Accomplishment”
After Analyzing and synthesizing the reports from all projects and activities they form a part of the sub-programme indicators.
UNEP / PCMU

38. Website www.unep.org/pcmu/project_manual/
And finally this information can be found on internet at ….
UNEP / PCMU

39. Brown Bag Lunch
PCMU) launched a series of informal seminars on various angles and phases of project cycle-project 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

40. Questions?
UNEP / PCMU

41. Coffee Break
UNEP / PCMU