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UNEP / PCMU Part III Administrative Requirements for project management.

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Presentation on theme: "UNEP / PCMU Part III Administrative Requirements for project management."— Presentation transcript:

1 UNEP / PCMU Part III Administrative Requirements for project management

2 UNEP / PCMU Key benefits of the administrative requirements The administrative requirements ensure that: Financial rules and regulations are adhered to; Financial rules and regulations are adhered to; The project is substantively and technically sound; The project is substantively and technically sound; UNEP project design, implementation and planning criteria have been met; UNEP project design, implementation and planning criteria have been met; The proposal fits into UNEP priorities and overall programme objectives; The proposal fits into UNEP priorities and overall programme objectives; UNEP projects and activities are coordinated by and amongst divisions (prevents overlapping); UNEP projects and activities are coordinated by and amongst divisions (prevents overlapping); Risks likely to affect successful and timely project implementation have been minimized; Risks likely to affect successful and timely project implementation have been minimized; Managers are well informed about UNEP projects Managers are well informed about UNEP projects Accumulation of information Accumulation of information

3 Funding and Approval Processes begins Cooper. Agency/Supporting Org. ensures consistency with capabilities & req. (external) BFMS/UNON (FMO) Reviews/ensures that funds and rules are followed Regional Directors reviews PP to ensure needs properly addressed PCMU reviews quality, consistency with UNEPs project design criteria & priorities IDR technical and substantive review PM for changes/amendments in the proposal Substantive Office (DD, PM, FMO) Prepares the Proposal Project development process

4 UNEP / PCMU Project Proposal When developing a proposals: Identify the priorities and needs of UNEP (Programme of Work and Governing Council decisions) Identify the priorities and needs of UNEP (Programme of Work and Governing Council decisions) Coordinate with partners and BFMS Coordinate with partners and BFMS Coordinate with the Division of Regional Cooperation (DRC) and other relevant regional offices Coordinate with the Division of Regional Cooperation (DRC) and other relevant regional offices Likewise, regional offices discuss their proposed projects with the relevant Divisions Likewise, regional offices discuss their proposed projects with the relevant Divisions

5 UNEP / PCMU 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). 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.

6 UNEP / PCMU Review and Inter Divisional Review The purpose of the review and IDR is to: 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 IDR is arranged by PCMU Usually 5 days are given for IDR comments Usually 5 days are given for IDR comments The PCMU forwards all comments received to the project proponents and advises them accordingly 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 IDR response rates of Divisions are reported and compared at the PAG

7 UNEP / PCMU IDR process DD send PP onwards to expert within division and informs PCMU who the expert is PCMU receives comments from divisions PCMU compiles feedback and sends it to proponent Division incorporates feedback (time ?) 1.PP sent to Division Directors 2. Review and IDR 3. Compilation of comments/recommendations Interdivisional review flow

8 UNEP / PCMU Potential funding sources EU EU Global Environment Facility (GEF) Global Environment Facility (GEF) UN Development Account (UNDAC) UN Development Account (UNDAC) UN Foundation (UNF) UN Foundation (UNF) Partnerships (Belgium, Sweden, the Netherlands, Ireland, Norway) Partnerships (Belgium, Sweden, the Netherlands, Ireland, Norway) Other donor countries, institutions and private sector Other donor countries, institutions and private sector

9 UNEP / PCMU 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. 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. Strategic approach: ED or DED request proposals based on discussions with various donors.

10 UNEP / PCMU Funding process The Office of the DED is responsible for overall coordination and facilitation of fundraising activities in UNEP. 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). 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. Project managers who have an indication of possible funding or donor cooperation must inform the DEDs office for further coordination.

11 Internal Impl. External Impl. Project proposals with earmarked funding Environment Fund projects Project document formulation Review and approval process Funds merge into the costed workplan (Revised) costed workplan Internal Impl. Relationship between funding and implementation modalities

12 UNEP / PCMU UNEP Project Document

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 OrganizationFor UNEP Name and Functional Title _______________________________________________________________ Date:

14 UNEP / PCMU Project Document format: Key elements of the UNEP project document Project summary Project summary Background Background Legislative authority and contribution to sub- programme Legislative authority and contribution to sub- programme Project description Project description Project impacts on poverty alleviation and gender- equality Project impacts on poverty alleviation and gender- equality Logical framework Logical framework Work plan Work plan Institutional framework Institutional framework Monitoring and reporting Monitoring and reporting Evaluation Evaluation Project budget Project budget

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

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

17 UNEP / PCMU Key elements of the UNEP project document Project description Methodology Methodology Implementation modalities Implementation modalities Justification of selected project location Justification of selected project location Links between outputs, activities and the problem Links between outputs, activities and the problem Key stakeholders and beneficiaries and impacts on them (consideration of marginalized groups) Key stakeholders and beneficiaries and impacts on them (consideration of marginalized groups) Strategies for successful implementation Strategies for successful implementation Sustainability and replicability Sustainability and replicability

18 UNEP / PCMU Project impacts on poverty alleviation and gender-equality Overall description on how the project will address these aspects

19 UNEP / PCMU Logical framework

20 UNEP / PCMU Key elements of the UNEP project document Work Plan Timetable for activities Timetable for activities Roles and responsibilities among implementation partners identified Roles and responsibilities among implementation partners identified Tool for monitoring and self-evaluation by project managers and project coordinators Tool for monitoring and self-evaluation by project managers and project coordinators Activity flow sequences to be carefully examined Activity flow sequences to be carefully examined Situation analysis and project planning part of work plan? Situation analysis and project planning part of work plan?

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

22 UNEP / PCMU Project Approval Process

23 UNEP / PCMU 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 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 Time lap from PCMU review, IDR and PAG approval is normally 4 weeks Projects above US$200,000 needs PAG approval Projects above US$200,000 needs PAG approval

24 UNEP / PCMU Project Approval Process Preparation of Pink File (by FMO) 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) Submission through Division Director to PAG secretary (PCMU) –Review and IDR (if not conducted earlier)

25 Chair, PAG Signs decision sheet; PCMU forwards to BFMS for further action Secretary of PAG reviews (IDR if not earlier) PCMU returns PP to DD for amendments Yes Project Proposal/Revision Approved PAG Reviews and discusses the proposal (5 days to arrange meeting) Yes Substantive Office for changes/amendments in the proposal No Amendments required? No Project Approval Process FMO/BFMS/UNON Prepares PP file Pink File and submitts to PAG secretary for approval process (signed by DD & FMO)

26 UNEP / PCMU What happens then? Approved project proposal forwarded to BFMS Approved project proposal forwarded to BFMS Checked by FMO Checked by FMO Chief of BFMS verifies and sends project document to cooperating or supporting agency for signature Chief of BFMS verifies and sends project document to cooperating or supporting agency for signature Chief of BFMS counter signs Chief of BFMS counter signs Project is allocated a project number and IMIS identification Project is allocated a project number and IMIS identification –No financial obligations can occur before this! (project managers should ensure that project doesnt start before this)

27 UNEP / PCMU Costed Work Plan (CWP) Overarching framework for all activities to be implemented by divisions during the biennium 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 Based on the biennial programme of work approved by the Governing Council Legal basis for the disbursement of Environment Fund (EF) 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

28 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

29 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) 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 On closure of UNEP annual accounts to reflect actual expenditures To close the project once all activities and reports are done To close the project once all activities and reports are done

30 UNEP / PCMU Project Implementation Procurement has to follow UN procurement regulations Procurement has to follow UN procurement regulations Websites and publications have to follow UNEPs Publishing Policy Websites and publications have to follow UNEPs Publishing Policy Hiring of staff have to follow UNEP regulations (e.g. ToR needed) Hiring of staff have to follow UNEP regulations (e.g. ToR needed)

31 UNEP / PCMU Project monitoring Growing emphasis to demonstrate performance In-built in the activities as routines In-built in the activities as routines Agree on performance measurement tool, frequency of analysis and method and data source Agree on performance measurement tool, frequency of analysis and method and data source Assess performance against the results and management risks Assess performance against the results and management risks Assessment of project activities vis-à-vis results Assessment of project activities vis-à-vis results Regular documentation and analysis of reports Regular documentation and analysis of reports Generation of lessons learned and possible adjustment of activities strategy and methodologies Generation of lessons learned and possible adjustment of activities strategy and methodologies

32 UNEP / PCMU Project reporting Why reporting is needed: To inform management of progress To inform management of progress To validate usage of funds To validate usage of funds Tool for audits and evaluation Tool for audits and evaluation Reference for future projects (lessons learnt) Reference for future projects (lessons learnt) Reporting towards donors on project progress Reporting towards donors on project progress Projects can only be closed once all reporting requirements have been met Projects can only be closed once all reporting requirements have been met

33 To EOU cc: Project manager 1 annually by the end of January Project manager Project managers Self Evaluation Fact Sheet (EFS) To Division director cc: PCMU & BFMS End of the project/ within 60 days of the completion Project manager Project coordinator Final report To division director cc: PCMU & BFMS 1 annually by end of January Project manager Project coordinator Progress report Submission to Preparation Frequency/period Responsibility Prepared by Report type Reporting requirements for internally implemented projects

34 Reporting requirements for externally implemented projects To project manager cc: BFMS Annually by 31 January and within 60 days of the completion of the project/ to be attached to the progress report Project coordinator/ Cooperating agencies/ Supporting organizations Inventory of non- expendable equipment (items over $1,500) To Project manager cc: BFMS Annually by 15 February/ Within 60 days of the completion of the project Cooperating agencies Final statement of account To project manager cc: BFMS Biannually by 30 June/ Within 180 days of the completion of the project Supporting organizations Audited financial report To project manager cc: BFMS Quarterly report Due by 30 April, 31 July, 31 Oct, and 31 Jan. Cooperating agencies/ Supporting organizations Quarterly financial report and cash advance statement To EOU cc: Project manager Annually on each current or completed project/ by the end of January Project managers Self-evaluation fact sheet (EFS) To division director cc: PCMU & BFMS End of the project/ Due within 60 days of completion Project coordinator/ Cooperating agencies/ Supporting organizations Final report To division director cc: PCMU & BFMS Annually for Jan–Dec/ Due by 31 Jan. (or as per reporting cycle agreed with the donor) Project coordinator/ Cooperating agencies/ Supporting organizations Progress report To Project manager cc: BFMS & PCMU Annually for Jan–June/ Due by 31 July (or as per reporting cycle agreed with the donor) Cooperating agencies/ Supporting organizations Activity report SubmissionPreparation frequency/periodPrepared byReport type

35 UNEP / PCMU Evaluation EOU has a mandate to conduct, coordinate and over see evaluations EOU has a mandate to conduct, coordinate and over see evaluations 4 types of evaluations: 4 types of evaluations: –Desk –In-depth –Impact –Self-evaluations The size of the project has an impact on evaluation type 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) Timing of evaluations: at any point during the life of the project (self-evaluation is annual)

36 UNEP / PCMU Evaluation UNEP recommend that all projects include evaluation in project budget (e.g. consultants fees, travel, communication and dissemination) 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 $5000-75,000) Usually a few % of total budget (ranging from $5000-75,000)

37 UNEP / PCMU 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 Project reports and other internally implemented activities are reviewed Provide interim results achieved for each performance indicator Provide interim results achieved for each performance indicator Information => Accomplishments Accounts and Statement of Accomplishment Information => Accomplishments Accounts and Statement of Accomplishment

38 UNEP / PCMU Website www.unep.org/pcmu/project_manual/

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 UNEPs 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)

40 UNEP / PCMU Questions?

41 Coffee Break


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