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

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

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

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

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

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

PCMU receives comments from divisions 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 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

Potential funding sources 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 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

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

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

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

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

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.

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

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

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

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

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

Logical framework UNEP / PCMU

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

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

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$200.000 have to be approved by a Project Approval Group (PAG). Project documents submitted to the Administrative Centre (ASC/Geneva) should have the same procedures as the ones submittted to PCMU/UNEP, except that the project budget threshold is US$ 500,000, rather than US$ 200,000. UNEP / PCMU

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

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 $200.000 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 $200.000 (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

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

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

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

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

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 What about if something needs to be revised? If the change is less then $200.000 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

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

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

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

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

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

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 $250.000-$500.000 =>terminal evaluation >$500.000 => 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

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 $5000-75,000) 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

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

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

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

Questions? UNEP / PCMU

Coffee Break UNEP / PCMU