1. Key issues related to proposal development
Yunae Yi
Secretary of the Project Approval Group
UNEP, Nairobi
PCMU/UNEP

2. Results-Based Management
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
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

3. Preparation and formulation
Project Cycle
Identification
Phase 1
Preparation and formulation
Phase 2
Evaluation
Phase 5
Review and approval
Phase 3
Implementation
Phase 4
PCMU/UNEP

4. Phase 1 Project Identification
Preparation and formulation
Phase 2
Evaluation
Phase 5
Review and approval
Phase 3
Implementation
Phase 4
Situation analysis
Identification test
PCMU/UNEP

5. 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

6. 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
PCMU/UNEP

7. Situation analysis (2): Problem analysis
Define precisely the situation to be analyzed (sector, sub sector, area, etc.);
Define some major problem conditions related to the selected situation;
Organize the problem conditions according to their cause–effect relationships;
4. Check the logical order.
PCMU/UNEP

8. Situation analysis (3): Objectives analysis
Reformulate the problems as objectives;
Check the logic and plausibility of the means-to-ends relationship;
Select the scope and level of project intervention;
Link to Logical Framework development
PCMU/UNEP

9. Identification test There is compatibility with COP mandates;
Major options and alternatives have been identified and some initial choices made;
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.
PCMU/UNEP

10. Phase II Feasibility study Project document formulation
Identification
Phase 1
Preparation & formulation
Phase 2
Evaluation
Phase 5
Review and approval
Phase 3
Implementation
Phase 4
Feasibility study
Project document formulation
Project implementation planning
PCMU/UNEP

11. Feasibility study The core of the proposal preparation process
To provide the basis for choosing the most desirable options
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

12. Project document formulation
Add logical framework matrix, 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
The concept proposal is modified, transformed and expanded into a project document throughout the project formulation phase
The project document is a summary of the situation assessment, justification of methodology and strategies for achieving the targeted changes. Since project formulation is an iterative process, it is important to consult again with selected partners and colleagues as the document is formulated.
PCMU/UNEP

13. 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.
Legal aspect: The project document must be appropriately signed for funds to be disbursed for the project. The document forms the contractual basis for any undertaking with a cooperating agency or supporting organization.
PCMU/UNEP

14. Sustainability (1/2)
Most project interventions are temporary in nature
What happens after the project?
Capacity-building measures should be an integral part of project strategies and activities
Area of repeated concern by the donors and auditors
What happens after the project?
PCMU/UNEP

15. Sustainability (2/2)
Project will be sustainable depending on the following factors:
Policy support
Institutional and management capacity
Economic and financial viability
Ownership by beneficiaries
Appropriate technology
Social and cultural issues
Environmentally sustainable
Ownership by beneficiaries: extent of participation in design and implementation of target groups and beneficiaries: do they support it and will they continue with the activities?
Policy support: quality of the relevant sector policy and partner Governments support for the continuation of project services beyond the period of donor support;
Appropriate technology: e.g. availability of spare parts, sufficiency of safety regulations, local capabilities of women and men to operate and maintain equipment;
Social and cultural issues: does project consider local social and cultural norms and attitudes, measures that ensure that all beneficiary groups have appropriate access to project services and benefits during and after implementation;
Gender equality: does the project consider the specific needs/interests of women and men, will it lead to sustained/equitable access by women and men to the services and infrastructures, does it contribute to reducing gender inequalities;
Environmental protection: to what extent the project will preserve or damage the environment (undermine/achievement of longer-term benefits);
Institutional and management capacity: ability and commitment of implementing agencies to implement the project and continue with activities after project end;
Economic and financial viability: Whether the incremental benefits of the project will outweigh its costs and the project will represent a viable long-term investment.
PCMU/UNEP

16. Logical framework (1/3)
Donors often consider it as a mandatory component of the projects
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.
PCMU/UNEP

17. Logical framework: flow of logic (2/3)
Project planning flow
Objectives
Results
Outputs
Activities
Implementation flow
PCMU/UNEP

18. Objectively verifiable indicators (OVI) Means of verification (MOV)
Logical framework: format (3/3)
Objective:
Intervention logic
Objectively verifiable indicators (OVI)
Means of verification (MOV)
Assumptions
Results 1. 2.
Outputs
Activities
1.1.
2.1.
2.2.
PCMU/UNEP

19. Objectives 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;
Set the right level of articulation so that the objectives are both realistic and attainable;
Do not formulate objectives with active verbs, such as: to study, to advise and to cooperate.
Overall desired achievements involving a process of
change, to meet certain needs of identified end-users.
Objectives should identify long-term benefits to final
beneficiaries, the future desired situation or the conditions
that must be satisfied. Objectives are high-level aims
which the project’s results will not necessarily fully satisfy,
but will, nonetheless, contribute substantially towards.
The objectives of the project should be aligned with the
objectives of the UNEP programme
PCMU/UNEP

20. Results Direct consequences or effects of the generation of outputs
Show a clear cause-and-effect relationship with the objective
Project managers are accountable for the delivery of them
Address the specific needs of the end-users or beneficiaries
State a meaningful and detectable change
Avoid long-term goals beyond the project period
PCMU/UNEP

21. Outputs The lowest level results of the project
The optimal combination necessary for achieving the results
Its delivery must be within the control of project management team
Outputs are the outcomes of activities
Its delivery must be within the control of UNEP and the implementing partners and UNEP and the implementing partners can be held fully accountable.
Common understanding: reports, publications, training courses, advisory missions and servicing of meetings and so on
However, they are not ends in themselves, but are often means for further activities, such as public awareness campaigns, advocacy to the policy makers, or consultation for the acceptance of key findings or recommendations. Outputs in the UNEP logical framework matrix, however, define the “lowest level results”. Some of the examples of the outputs are “training participants understood different approaches of participatory management of natural resources,” “support structure organized and revitalized”, and so on.
PCMU/UNEP

22. Activities
The specific work or tasks to be performed within the project to transform resources into outputs
The links between inputs and outputs
Activities must be pertinent not only to the project outputs but also to the wider context of the project’s aims
Special attention to the interests of under-represented groups, such as women and people living in poverty
PCMU/UNEP

23. Indicators
What will show us that the objective, results and outputs have indeed occurred?
Indicators provide an opportunity to restate intervention logic in specific and directly observable terms
Objectively verifiable indicators should be ‘SMART’. SMART stands for:
Specific
Measurable
Attainable
Realistic
Time-based
A result is not always directly observable. It may reflect a broad idea that needs to be further defined before it can be measured.
Objectively verifiable indicators (OVI) provide an opportunity to restate results in specific and directly observable terms and are used to measure the extent to which the results have been achieved.
OVIs correspond directly or indirectly to the results and are used to measure performance. The value of an indicator is obtained by measurement. The value of the indicator is important in measuring performance.
PCMU/UNEP

24. Means of verification Maximize existing data sources
With existing data sources, caution regarding validity and reliability of the data
Review or content analysis; internal records; audit reports; reports by NGOs and other international agencies; surveys; interviews; and rapid assessments
Build the cost for data collection in the project budget
PCMU/UNEP

25. Assumptions
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
Projects are always subject to the influence of factors outside the direct control of project managers. Particularly projects that: require the cooperation of a number of different stakeholder groups, are implemented in poorly resourced and unstable environments, and that require behavioral changes on the part of participants.
Assumptions are external factors which could affect the progress and success of the programme or project, or its long-term sustainability, but over which the project manager has no direct control.
Underlying the framework are several conditions which have to be met for the project to succeed, but which are outside of the project’s control.
have a clear view of the external factors and risks in project implementation and articulate them in the planning phase. During project implementation, project managers should monitor the influences of key external factors in order to assess the progress towards and barriers against the stated results and objectives.
PCMU/UNEP

26. 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
1. Other health conditions remain unchanged.
2. Scientific findings on diabetic patients hold.
Outputs
1. Regular exercise programme maintained
2. Low carb and low calorie diet regime maintained
Activities
1.1. Daily exercise for 30 minutes
1.2 Join the dance class and practice once a week
2.1. Take 5 small meals a day
2.2. Follow Atkins diet menu at least 2 times a day

27. 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

28. 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?
PCMU/UNEP

29. Project Document format: Key elements of the UNEP project document
Project summary
Background
Contribution to the work programme
Project description
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!
PCMU/UNEP

30. 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
PCMU/UNEP

31. Key elements of the UNEP project document Contribution to work programme
Clear linkage to
COP decisions and programme of work (objectives?)
MDG, WSSD and other major Conference outcomes
PCMU/UNEP

32. 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)
Project impacts on poverty alleviation and gender-equality
Strategies for successful implementation
Sustainability and replicability
Tool kits and lessons learned
PCMU/UNEP

33. Key elements of the UNEP project document Logical framework
PCMU/UNEP

34. 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?
PCMU/UNEP

35. Key elements of the UNEP project document Institutional framework
Institutional arrangement of project implementation
Project implementation modality
PCMU/UNEP

36. Preparation and formulation
Project cycle Phase 3
Identification
Phase 1
Evaluation
Phase 5
Preparation and formulation
Phase 2
Funding and approval
Phase 3
Implementation
Phase 4
Review and approval
Phase 3
Project review and funding negotiation
Internal and external project approval process
Administrative steps
PCMU/UNEP

37. 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!
PCMU/UNEP

38. Preparation and formulation
Project cycle Phase 4
Identification
Phase 1
Evaluation
Phase 5
Preparation and formulation
Phase 2
Review and approval
Phase 3
Implementation
Phase 4
PCMU/UNEP

39. 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
PCMU/UNEP

40. 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

41. 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

42. Preparation and formulation
Project cycle Phase 5
Identification
Phase 1
Evaluation
Phase 5
Preparation and formulation
Phase 2
Review and approval
Phase 3
Implementation
Phase 4
PCMU/UNEP

43. 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)
PCMU/UNEP

44. Evaluation
UNEP requires all projects to include evaluation in project budget (e.g. consultants fees, travel and communication and dissemination)
Usually a few % of total budget
For a project over $500,000, in-depth evaluation is required (suggested $20,000+)
PCMU/UNEP

45. 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?

46. 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
PCMU/UNEP

47. Website
PCMU/UNEP

48. Project Approval Group (PAG)
Yunae Yi
Secretary of the
Project Approval Group (PAG)
PCMU/UNEP
PCMU/UNEP