unep / pcmu part iii administrative requirements for project management
TRANSCRIPT
UNEP / PCMUUNEP / PCMU
Part IIIPart III
Administrative Administrative RequirementsRequirements
for project managementfor project management
UNEP / PCMUUNEP / PCMU
Key benefits of the Key benefits of the administrative administrative requirementsrequirements
The administrative requirements ensure that: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 UNEP project design, implementation and planning
criteria have been met; criteria have been met; • The proposal fits into UNEP priorities and overall The proposal fits into UNEP priorities and overall
programme objectives; programme objectives; • UNEP projects and activities are coordinated by UNEP projects and activities are coordinated by
and amongst divisions (prevents overlapping); and amongst divisions (prevents overlapping); • Risks likely to affect successful and timely project Risks likely to affect successful and timely project
implementation have been minimized; implementation have been minimized; • Managers are well informed about UNEP projectsManagers are well informed about UNEP projects• Accumulation of informationAccumulation of information
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 UNEP’s project design criteria &
prioritiesIDR technical and substantive
review
PM for changes/amendments in the proposal
Substantive Office (DD, PM, FMO) Prepares the
Proposal
Project development process
UNEP / PCMUUNEP / PCMU
Project ProposalProject Proposal
When developing a proposals: When developing a proposals: • Identify the priorities and needs of UNEP (Programme of Identify the priorities and needs of UNEP (Programme of
Work and Governing Council decisions)Work and Governing Council decisions)
• Coordinate with partners and BFMSCoordinate with partners and BFMS• Coordinate with the Division of Regional Cooperation Coordinate with the Division of Regional Cooperation
(DRC) and other relevant regional offices(DRC) and other relevant regional offices• Likewise, regional offices discuss their proposed projects Likewise, regional offices discuss their proposed projects
with the relevant Divisionswith the relevant Divisions
UNEP / PCMUUNEP / PCMU
Project ProposalProject Proposal
• Proposals are forwarded by a Division Director Proposals are forwarded by a Division Director to the Programme Coordination and to the Programme Coordination and Management Unit (PCMU) for technical Management Unit (PCMU) for technical screening and an inter-divisional review (IDR).screening and an inter-divisional review (IDR).– Divisional approval of the project proposal Divisional approval of the project proposal
shall be indicated with a memo or cover shall be indicated with a memo or cover letter.letter.
– PCMU can return the project proposal if it PCMU can return the project proposal if it does not meet the formatting requirements does not meet the formatting requirements or quality standards.or quality standards.
UNEP / PCMUUNEP / PCMU
Review and Inter Divisional Review and Inter Divisional ReviewReview
• 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 commentProvide all divisions with an opportunity to comment– Prevent overlaps (several same kind of projects)Prevent overlaps (several same kind of projects)– Assure the highest quality of UNEP project proposals and Assure the highest quality of UNEP project proposals and
coordination of funding applicationscoordination of funding applications– Share informationShare information
• IDR is arranged by PCMUIDR is arranged by PCMU• Usually 5 days are given for IDR commentsUsually 5 days are given for IDR comments• The PCMU forwards all comments received to the The PCMU forwards all comments received to the
project proponents and advises them accordingly project proponents and advises them accordingly • IDR response rates of Divisions are reported and IDR response rates of Divisions are reported and
compared at the PAGcompared at the PAG
UNEP / PCMUUNEP / PCMU
IDR processIDR 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
UNEP / PCMUUNEP / PCMU
Potential funding Potential funding sourcessources
• EUEU• 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 Partnerships (Belgium, Sweden, the
Netherlands, Ireland, Norway)Netherlands, Ireland, Norway)• Other donor countries, institutions and private Other donor countries, institutions and private
sectorsector
UNEP / PCMUUNEP / PCMU
Funding processFunding process
Two processes for project proposals to getTwo processes for project proposals to get
funding:funding:• Response to a call:Response to a call: In response to a call for In response to a call for
proposals by a donor. Often thematic area proposals by a donor. Often thematic area and specific format.and specific format.
• ““Strategic” approachStrategic” approach: ED or DED request : ED or DED request proposals based on discussions with proposals based on discussions with various donors.various donors.
UNEP / PCMUUNEP / PCMU
Funding processFunding process
• The Office of the DED is responsible for The Office of the DED is responsible for overall coordination and facilitation of overall coordination and facilitation of fundraising activities in UNEP.fundraising activities in UNEP.
• Division directors can discuss funding of Division directors can discuss funding of activities or projects with Governments or activities or projects with Governments or donors, (formal proposal shall be donors, (formal proposal shall be submitted by the ED or the DED).submitted by the ED or the DED).
• Project managers who have an indication Project managers who have an indication of possible funding or donor cooperation of possible funding or donor cooperation must inform the DEDs office for further must inform the DEDs office for further coordination. coordination.
InternalImpl.
ExternalImpl.
Project proposals with earmarked
funding
Environment Fund projects
Project document formulation
Review and approval process
Funds merge into the costed workplan
(Revised) costed workplan
InternalImpl.
Relationship between funding and implementation modalities
UNEP / PCMUUNEP / PCMU
UNEP Project DocumentUNEP Project Document
UNITED NATIONS ENVIRONMENT PROGRAMMEPROJECT 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 FundCost to Trust FundCost to Earmarked ContributionCost to the Cooperating Agency/Supporting OrganizationProgramme 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:
UNEP / PCMUUNEP / PCMU
Project Document format:Project Document format:Key elements of the UNEP project Key elements of the UNEP project
document document • Project summaryProject summary• BackgroundBackground• Legislative authority and contribution to sub-Legislative authority and contribution to sub-
programmeprogramme• Project descriptionProject description• Project impacts on poverty alleviation and Project impacts on poverty alleviation and
gender-equalitygender-equality• Logical frameworkLogical framework• Work planWork plan• Institutional frameworkInstitutional framework• Monitoring and reportingMonitoring and reporting• EvaluationEvaluation• Project budgetProject budget
UNEP / PCMUUNEP / PCMU
Key elements of the UNEP project Key elements of the UNEP project document document BackgroundBackground
• Overall background and situationOverall background and situation
• Identify and elaborate urgency of the problemIdentify and elaborate urgency of the problem
• Previous actions by UNEP and othersPrevious actions by UNEP and others
• Lessons learned from similar actionsLessons learned from similar actions
• UNEP’s specific advantage to run the projectUNEP’s specific advantage to run the project
UNEP / PCMUUNEP / PCMU
Key elements of the UNEP project Key elements of the UNEP project document document Legislative authority and Legislative authority and
contribution to contribution to sub-programmesub-programme
• Clear linkage to Clear linkage to
– GC decisions and GA resolutionsGC decisions and GA resolutions
– MDG, WSSD and other major Conference MDG, WSSD and other major Conference outcomesoutcomes
– Sub-programme objectives and expected Sub-programme objectives and expected accomplishmentsaccomplishments
UNEP / PCMUUNEP / PCMU
Key elements of the UNEP project Key elements of the UNEP project document document
Project descriptionProject description
• MethodologyMethodology• Implementation modalitiesImplementation modalities• Justification of selected project location Justification of selected project location • Links between outputs, activities and the Links between outputs, activities and the
problemproblem• Key stakeholders and beneficiaries and Key stakeholders and beneficiaries and
impacts on them (consideration of impacts on them (consideration of marginalized groups)marginalized groups)
• Strategies for successful implementationStrategies for successful implementation• Sustainability and replicabilitySustainability and replicability
UNEP / PCMUUNEP / PCMU
Project impacts on poverty Project impacts on poverty alleviation and gender-equalityalleviation and gender-equality
Overall description on how the project will address Overall description on how the project will address these aspectsthese aspects
UNEP / PCMUUNEP / PCMU
Logical frameworkLogical framework
UNEP / PCMUUNEP / PCMU
Key elements of the UNEP project Key elements of the UNEP project document document Work PlanWork Plan
• Timetable for activitiesTimetable for activities
• Roles and responsibilities among implementation Roles and responsibilities among implementation partners identifiedpartners identified
• Tool for monitoring and self-evaluation by project Tool for monitoring and self-evaluation by project managers and project coordinatorsmanagers and project coordinators
• Activity flow sequences to be carefully examinedActivity flow sequences to be carefully examined
• Situation analysis and project planning part of work Situation analysis and project planning part of work plan?plan?
UNEP / PCMUUNEP / PCMU
Institutional frameworkInstitutional framework
•Institutional arrangement of project implementation
•Project implementation modality
UNEP / PCMUUNEP / PCMU
Project Approval ProcessProject Approval Process
UNEP / PCMUUNEP / PCMU
Project Approval GroupProject Approval Group
• DED is the chair, Chief of PCMU vice DED is the chair, Chief of PCMU vice chair, all Nairobi based Division chair, all Nairobi based Division Directors, Chief of EOU, Chief of Directors, Chief of EOU, Chief of BFMS and the secretaryBFMS and the secretary
• Time lap from PCMU review, IDR and Time lap from PCMU review, IDR and PAG approval is normally 4 weeksPAG approval is normally 4 weeks
• Projects above US$200,000 needs Projects above US$200,000 needs PAG approvalPAG approval
UNEP / PCMUUNEP / PCMU
Project Approval ProcessProject Approval Process
• Preparation of Pink File (by FMO)Preparation of Pink File (by FMO)– Project documentProject document– Project submission checklist (signed by division Project submission checklist (signed by division
director)director)– Decision sheet for signature by PAG chairDecision sheet for signature by PAG chair– Background documentationBackground documentation– Approval by Executive Director of new posts Approval by Executive Director of new posts
• Submission through Division Director Submission through Division Director to PAG to PAG secretary (PCMU)secretary (PCMU)– Review and IDR (if not conducted earlier)Review and IDR (if not conducted earlier)
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 proposalN
o
Amendmentsrequired?
No
Project Approval ProcessFMO/BFMS/UNON Prepares PP file “Pink File” and submitts to
PAG secretary for approval process (signed by DD & FMO)
UNEP / PCMUUNEP / PCMU
What happens then?What happens then?
• Approved project proposal forwarded to BFMSApproved project proposal forwarded to BFMS• Checked by FMOChecked by FMO• Chief of BFMS verifies and sends project Chief of BFMS verifies and sends project
document to cooperating or supporting agency document to cooperating or supporting agency for signaturefor signature
• Chief of BFMS counter signsChief of BFMS counter signs• Project is allocated a project number and IMIS Project is allocated a project number and IMIS
identificationidentification– No financial obligations can occur before this! (project No financial obligations can occur before this! (project
managers should ensure that project doesn’t start managers should ensure that project doesn’t start before this)before this)
UNEP / PCMUUNEP / PCMU
Costed Work Plan (CWP)Costed Work Plan (CWP)
• Overarching framework for all activities to Overarching framework for all activities to be implemented by divisions during the be implemented by divisions during the bienniumbiennium
• Based on the biennial programme of work Based on the biennial programme of work approved by the Governing Councilapproved by the Governing Council
• Legal basis for the disbursement of Legal basis for the disbursement of Environment Fund (EF) Environment Fund (EF) (i)(i) meeting the core operational needs of the meeting the core operational needs of the
divisions divisions
(ii)(ii)(ii) direct cost of internally implemented outputs(ii) direct cost of internally implemented outputs
UNEP / PCMUUNEP / PCMU
Costed Work Plan (CWP)Costed Work Plan (CWP)
When to revise CWP:When to revise CWP:(i)(i) to respond to new mandates or specific to respond to new mandates or specific
requests of Governments requests of Governments (ii)(ii) to incorporate changes in budget, extension of to incorporate changes in budget, extension of
project duration, changes in implementation, project duration, changes in implementation, operational mode, objectives, outputs and operational mode, objectives, outputs and activities (> $200,000 => PAG)activities (> $200,000 => PAG)
(iii)(iii) To close UNEP annual accounts to reflect To close UNEP annual accounts to reflect actual expenditures (automatic re-phasal => actual expenditures (automatic re-phasal => no PAG)no PAG)
Output, Project and MoU tables in the CWP need Output, Project and MoU tables in the CWP need toto
be updated routinelybe updated routinely
UNEP / PCMUUNEP / PCMU
Revision of projectsRevision of projects
When to revise:When to revise:• Budget is adjusted, extension of Budget is adjusted, extension of
project duration, changes in project duration, changes in implementation, operational mode, implementation, operational mode, objectives, outputs and activities objectives, outputs and activities (>$200.000 => PAG)(>$200.000 => PAG)
• On closure of UNEP annual accounts to On closure of UNEP annual accounts to reflect actual expendituresreflect actual expenditures
• To close the project once all activities To close the project once all activities and reports are doneand reports are done
UNEP / PCMUUNEP / PCMU
Project ImplementationProject Implementation
• Procurement has to follow UN Procurement has to follow UN procurement regulationsprocurement regulations
• Websites and publications have to Websites and publications have to follow UNEPs’ Publishing Policyfollow UNEPs’ Publishing Policy
• Hiring of staff have to follow UNEP Hiring of staff have to follow UNEP regulations (e.g. ToR needed)regulations (e.g. ToR needed)
UNEP / PCMUUNEP / PCMU
Project monitoringProject monitoring
Growing emphasis to demonstrate performanceGrowing emphasis to demonstrate performance
• In-built in the activities as routinesIn-built in the activities as routines• Agree on performance measurement tool, Agree on performance measurement tool,
frequency of analysis and method and data sourcefrequency of analysis and method and data source• Assess performance against the results and Assess performance against the results and
management risksmanagement risks• Assessment of project activities vis-à-vis resultsAssessment of project activities vis-à-vis results• Regular documentation and analysis of reportsRegular documentation and analysis of reports• Generation of lessons learned and possible Generation of lessons learned and possible
adjustment of activities strategy and methodologiesadjustment of activities strategy and methodologies
UNEP / PCMUUNEP / PCMU
Project reportingProject reporting
Why reporting is needed:Why reporting is needed:• To inform management of progressTo inform management of progress• To validate usage of fundsTo validate usage of funds• Tool for audits and evaluationTool for audits and evaluation• Reference for future projects (lessons learnt)Reference for future projects (lessons learnt)• Reporting towards donors on project Reporting towards donors on project
progressprogress• Projects can only be closed once all Projects can only be closed once all
reporting requirements have been metreporting requirements have been met
To EOUcc:
Projectmanager
1 annually by theend of January
Project manager
Projectmanager
s
SelfEvaluation
FactSheet(EFS)
ToDivisiondirector cc: PCMU& BFMS
End of theproject/
within 60 days ofthe completion
Projectmanager
Projectcoordinato
r
Finalreport
To divisiondirector cc: PCMU
& BFMS
1 annuallyby end of January
Project manager
Projectcoordinato
r
Progressreport
Submission
to
PreparationFrequency/period
ResponsibilityPrepared
byReporttype
Reporting requirements for internally implemented projects
Reporting requirements for externally implemented projects
To project managercc: 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 managercc: BFMS
Annually by 15 February/ Within 60 days of the completion of the project
Cooperating agenciesFinal statement of account
To project managercc: BFMS
Biannually by 30 June/ Within 180 days of the completion of the project
Supporting organizations
Audited financial report
To project managercc: 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 EOUcc: Project manager
Annually on each current or completed project/ by the end of January
Project managersSelf-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 managercc: 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
UNEP / PCMUUNEP / PCMU
EvaluationEvaluation
• EOU has a mandate to conduct, coordinate and EOU has a mandate to conduct, coordinate and over see evaluationsover see evaluations
• 4 types of evaluations:4 types of evaluations: – Desk Desk – In-depthIn-depth– ImpactImpact– Self-evaluationsSelf-evaluations
• The size of the project has an impact on The size of the project has an impact on evaluation typeevaluation type
• Timing of evaluations: at any point during the life Timing of evaluations: at any point during the life of the project (self-evaluation is annual)of the project (self-evaluation is annual)
UNEP / PCMUUNEP / PCMU
EvaluationEvaluation
• UNEP recommend that all projects UNEP recommend that all projects include evaluation in project budget include evaluation in project budget (e.g. consultants fees, travel, (e.g. consultants fees, travel, communication and dissemination)communication and dissemination)
• Usually a few % of total budget Usually a few % of total budget (ranging from $5000-75,000)(ranging from $5000-75,000)
UNEP / PCMUUNEP / PCMU
Project report to Project report to Programme Performance Programme Performance
ReportReportProject performance links to the (preliminary) Project performance links to the (preliminary)
ProgrammeProgrammePerformance Report of the Division through IMDIS:Performance Report of the Division through IMDIS:
• Project reports and other internally implemented Project reports and other internally implemented activities are reviewedactivities are reviewed
• Provide interim results achieved for each Provide interim results achieved for each performance indicatorperformance indicator
• Information => “Accomplishments Accounts” and Information => “Accomplishments Accounts” and “Statement of Accomplishment” “Statement of Accomplishment”
UNEP / PCMUUNEP / PCMU
WebsiteWebsite
www.unep.org/pcmu/www.unep.org/pcmu/project_manual/project_manual/
UNEP / PCMUUNEP / PCMU
Brown Bag LunchBrown 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 / PCMUUNEP / PCMU
Questions?Questions?
UNEP / PCMUUNEP / PCMU
Coffee BreakCoffee Break