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United Nations Development Programme Introduction to the Project Cycle & Milestones UNDP-Global Environmental Finance Unit Adey Tesfaye Regional Programme Associate UNDP) RSC Addis Ababa Pretoria, South Africa - Oct 7, 2016

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Page 1: UNDP-Global Environmental Finance Unit Introduction to the ...wasaproject.info/docs/SAWEP2Inception/UNDP-GEF... · 13) + Project Identification Form (PIF) (Oct 29, 13) GEF Council

United Nations Development Programme

Introduction to the Project Cycle & Milestones

UNDP-Global Environmental Finance Unit

Adey Tesfaye

Regional Programme Associate

UNDP) RSC Addis Ababa

Pretoria, South Africa - Oct 7, 2016

Page 2: UNDP-Global Environmental Finance Unit Introduction to the ...wasaproject.info/docs/SAWEP2Inception/UNDP-GEF... · 13) + Project Identification Form (PIF) (Oct 29, 13) GEF Council

Setting the Scene

i. Project Implementation Responsibilities

in UNDP-GEF

ii. UNDP-GEF Project Cycle

iii. Reporting Requirements of UNDP & GEF

iv. Financial Management

.

Page 3: UNDP-Global Environmental Finance Unit Introduction to the ...wasaproject.info/docs/SAWEP2Inception/UNDP-GEF... · 13) + Project Identification Form (PIF) (Oct 29, 13) GEF Council

UNDP – GEF Vision and expected

outcomes 2014 - 2018

Sustainable management of

ecosystem goods and services

Scaling up climate change adaptation

and mitigation

Sustainable, affordable and

accessible energy services

Improved water and ocean

governance

UNDP Vision

Helping countries achieve the simultaneous eradication of

poverty and significant reduction of inequalities and exclusion

Sustainable management of chemicals and

waste

UNDP – GEF Objective

Assisting Country Offices accessing environmental

finance for sustainable Development

Page 4: UNDP-Global Environmental Finance Unit Introduction to the ...wasaproject.info/docs/SAWEP2Inception/UNDP-GEF... · 13) + Project Identification Form (PIF) (Oct 29, 13) GEF Council
Page 5: UNDP-Global Environmental Finance Unit Introduction to the ...wasaproject.info/docs/SAWEP2Inception/UNDP-GEF... · 13) + Project Identification Form (PIF) (Oct 29, 13) GEF Council

UNDP-GEF Project Implementation

Roles and Responsibilities

Agreement and Formal

delegation of authority

to implement the GEF

project M&E

responsibilities

Reporting

responsibilities

GEF

UNDP-GEF (NY)

UNDP South Africa

Department of Energy (DoE)

Project Steering Committee PSC member

DTI, DST, DEA, DHET, SANEDI

PMU

UNDP-GEF Regional

Center – Addis Ababa

for Africa

Technical Advisory Committee PSC member

SAWEA, GIZ, DANIDA

Page 6: UNDP-Global Environmental Finance Unit Introduction to the ...wasaproject.info/docs/SAWEP2Inception/UNDP-GEF... · 13) + Project Identification Form (PIF) (Oct 29, 13) GEF Council

Project idea

PIF submission

LOE from GEF OFP (Mar 18,

13)

+ Project Identification Form

(PIF) (Oct 29, 13)

GEF Council Approval

GEF CEO endorsement

PPG phase stated on

April 24, 2013

ProDoc

submission

GEF CEO Approval

'package' prepared, cleared

technically and financially –

May 8, 2015UNDP Approval

Start Date

Prodoc signed

Dec 18, 2015

Inception

Workshop

Oct 7, 2016

Project Midterm

Year 2018

Project Closure

Dec 2019

UNDP-GEF Project Cycle

Project Title;South Africa Wind Energy Programme (SAWEP II)

Pre-SESP

SESPTTs

Gender Analysis

Inception Report

PIRs

Page 7: UNDP-Global Environmental Finance Unit Introduction to the ...wasaproject.info/docs/SAWEP2Inception/UNDP-GEF... · 13) + Project Identification Form (PIF) (Oct 29, 13) GEF Council

M&E Milestones & Requirements

1) Inception Workshop

2) Project Implementation Review (PIR)

3) Midterm Review

4) Terminal Evaluation

5) GEF Tracking Tools

6) Risk Management

Page 8: UNDP-Global Environmental Finance Unit Introduction to the ...wasaproject.info/docs/SAWEP2Inception/UNDP-GEF... · 13) + Project Identification Form (PIF) (Oct 29, 13) GEF Council

Inception Workshop – Timeline

ProDoc signed

• Considered the official

start of implementation

Project Team

recruited

• Ideally before Inception

Workshop

Inception

Workshop held

• Within 2 mos of ProDoc

signature

Adjustments to

Results Framework

• (minor, only if necessary)

• Continuous monitoring

8

Page 9: UNDP-Global Environmental Finance Unit Introduction to the ...wasaproject.info/docs/SAWEP2Inception/UNDP-GEF... · 13) + Project Identification Form (PIF) (Oct 29, 13) GEF Council

PIR: Project Implementation Review

•Annual internal monitoring of project progress toward its

development objective and in implementationWhat?

•Mandatory input: Project Team, UNDP CO, UNDP-GEF RTA

•Optional input: GEF OFP, Implementing Partners, OthersWho?

• PIR process starts in late May / early June

• PIR process ends in OctoberWhen?

• To comply with GEF reporting requirements

• To communicate progress and resultsWhy?

• Online platform

• Unique web link for each projectHow?

.

Page 10: UNDP-Global Environmental Finance Unit Introduction to the ...wasaproject.info/docs/SAWEP2Inception/UNDP-GEF... · 13) + Project Identification Form (PIF) (Oct 29, 13) GEF Council

PIR: Project Implementation Review

.

The project is expected to complete first

PIR in June 2017

Page 11: UNDP-Global Environmental Finance Unit Introduction to the ...wasaproject.info/docs/SAWEP2Inception/UNDP-GEF... · 13) + Project Identification Form (PIF) (Oct 29, 13) GEF Council

Project Midterm Review – Timeline

• Prepare MTR ToR before

submission of 2nd

PIR

• Prepare midterm GEF

Tracking Tool

Pre-MTR

• Engage MTR team

MTR

Preparation

• MTR Inception report

and mission

MTR

Implementation

• Report drafted,

reviewed, finalized

• Management Response

and follow-up action

Post-MTR

Mission

.

The

project is

expected

conduct

MTR- Year

2018

Page 12: UNDP-Global Environmental Finance Unit Introduction to the ...wasaproject.info/docs/SAWEP2Inception/UNDP-GEF... · 13) + Project Identification Form (PIF) (Oct 29, 13) GEF Council

What

What

What

MTR TOR

template

available in

English,

French and

Spanish

UNDP-GEF

Midterm

Review

Guidance

(2014)

Project

Results

Framework

can be

revised in

response to

MTR findings

Project Midterm Review

12

Page 13: UNDP-Global Environmental Finance Unit Introduction to the ...wasaproject.info/docs/SAWEP2Inception/UNDP-GEF... · 13) + Project Identification Form (PIF) (Oct 29, 13) GEF Council

(4) Project Terminal Evaluation –

Timeline

Pre-TE

• TE in CO

Evaluation

Plan

• Prepare TE

ToR

• Prepare

terminal GEF

Tracking Tool

TE

Preparation

Engage TE

team

TE

Implementatio

n

TE Inception

report and

mission

Post-

TE

Missi

on

• Report

drafted,

reviewed,

finalized

(English)

• TE and mgmt

response

uploaded to

ERC

• UNDP IEO

reviews TE

report,

submits it to

1

3

Page 14: UNDP-Global Environmental Finance Unit Introduction to the ...wasaproject.info/docs/SAWEP2Inception/UNDP-GEF... · 13) + Project Identification Form (PIF) (Oct 29, 13) GEF Council

What

What

What

TE TOR

template

available in

English,

French and

Spanish

UNDP-GEF

Terminal

Evaluation

Guidance

(2012)

TE Report &

Mgmt

Response to

be uploaded

by CO to

Evaluation

Resource

Center (ERC)

Project Terminal Evaluation

14

Page 15: UNDP-Global Environmental Finance Unit Introduction to the ...wasaproject.info/docs/SAWEP2Inception/UNDP-GEF... · 13) + Project Identification Form (PIF) (Oct 29, 13) GEF Council

GEF Tracking Tools

•Periodic internal monitoring of project progress toward a

set of indicators specific to each GEF Focal Area.

•TTs allow the GEF to track progress made by GEF-

financed projects toward global targets set out in the GEF

results framework.

What?

• To comply with GEF reporting requirements

• To track our results at the portfolio levelWhy?

• Baseline TT submitted at CEO Endorsement

• Midterm TT prepared before Midterm Review

• Terminal TT prepared before Terminal Evaluation

When?

• Prepared by Project Team, government partners,

or technical consultant

• Reviewed and cleared by UNDP-GEF team

Who?

• Standard Excel templates for each Focal AreaHow?

Page 16: UNDP-Global Environmental Finance Unit Introduction to the ...wasaproject.info/docs/SAWEP2Inception/UNDP-GEF... · 13) + Project Identification Form (PIF) (Oct 29, 13) GEF Council

GEF Tracking Tools

1

6

Page 17: UNDP-Global Environmental Finance Unit Introduction to the ...wasaproject.info/docs/SAWEP2Inception/UNDP-GEF... · 13) + Project Identification Form (PIF) (Oct 29, 13) GEF Council

2017

1st

PIR

2018

MTR

Midterm

TT

2019

TE

Terminal

TT

Simple Timeline of M&E Milestones

Project PIMS 5256 South Africa

1

7

Page 18: UNDP-Global Environmental Finance Unit Introduction to the ...wasaproject.info/docs/SAWEP2Inception/UNDP-GEF... · 13) + Project Identification Form (PIF) (Oct 29, 13) GEF Council

Risk Management

Why manage risk in a UNDP-GEF project?

GEF-funded projects

are complex and

therefore likely to face

risks and challenges

Strengthen project and

portfolio management

(efficiency and

effectiveness)

Page 19: UNDP-Global Environmental Finance Unit Introduction to the ...wasaproject.info/docs/SAWEP2Inception/UNDP-GEF... · 13) + Project Identification Form (PIF) (Oct 29, 13) GEF Council

FINANCIAL MANAGEMENT

Page 20: UNDP-Global Environmental Finance Unit Introduction to the ...wasaproject.info/docs/SAWEP2Inception/UNDP-GEF... · 13) + Project Identification Form (PIF) (Oct 29, 13) GEF Council

• Preparatory (PPG) funds cannot be transferred to the main

project

• Project Management Cost (PMC) budget can be:

• max. 5% of outcomes subtotal for projects above $2 mil of GEF grant

• PMC cannot be overspent at all over the project lifetime

Project PMC is USD 169250

• Miscellaneous and Supplies is kept within 3-5% of the total

budget over the lifetime of the project

FINANCIAL MANAGEMENT

Page 21: UNDP-Global Environmental Finance Unit Introduction to the ...wasaproject.info/docs/SAWEP2Inception/UNDP-GEF... · 13) + Project Identification Form (PIF) (Oct 29, 13) GEF Council

Major change (amendment) requiring re-

submission to the GEF for approval (applies for

GEF 5 and GEF 6 projects):

Funds transfer between project outcomes exceeding

10% of the total GEF project grant

Introduction of new budget items or outcomes exceeding

5 % of the total GEF project grant

Authorized changes in TBWP

FINANCIAL MANAGEMENT

Page 22: UNDP-Global Environmental Finance Unit Introduction to the ...wasaproject.info/docs/SAWEP2Inception/UNDP-GEF... · 13) + Project Identification Form (PIF) (Oct 29, 13) GEF Council

BUDGET LINES NOT ALLOWED, NOT RECOMMENDED:

• 75100 (F&A) – GMS is paid separately to XB budget

• 72700 (Hospitality) – use 75700 instead

• 73500 (Reimbursement Costs) - unless approved in

prodoc by GEF

• BLs starting with …6 – except DIM projects and DPC

BL 64398

• 73100 (Rental and maintenance of premises) –

unless approved in prodoc by GEF

FINANCIAL MANAGEMENT

Page 23: UNDP-Global Environmental Finance Unit Introduction to the ...wasaproject.info/docs/SAWEP2Inception/UNDP-GEF... · 13) + Project Identification Form (PIF) (Oct 29, 13) GEF Council

• Original budget

• Amount disbursed by end of previous year

• Latest approved current year budget

• Proposed current year budget revision

• Justification for changes +/- $5,000

• Plan on spending GEF funds by end of project

Use budget revision excel template

Budget revision vis-à-vis GEF requirements

FINANCIAL MANAGEMENT

Page 24: UNDP-Global Environmental Finance Unit Introduction to the ...wasaproject.info/docs/SAWEP2Inception/UNDP-GEF... · 13) + Project Identification Form (PIF) (Oct 29, 13) GEF Council

Budget revision template

Original budget from Prodoc Budget revisions

GEF

Outcome/Atlas

Activity

Responsible

Party

(Implementin

g Agent)

Fund

ID

Donor

Name

Atlas

Budgetary

Account Code

ATLAS

Budget

Description

Amount

(USD)

Year 1

Amount

(USD)

Year 3

Total (USD)

Disbursement

till end of 2014

(USD)

A

Latest approved

budget revision

2015 (USD)

B

Proposed

budget

revision 2015

(USD)

C

Difference

C = B - A

budget for

future

year

(2016)

budget for

future

year

(2017)Total

expenditure

by end of

project (USD)

Budget

Note

OUTCOME 1:

(add title)

62000

62160

62180

(insert

as

needed

GEF

71200 Intnl Consult.100 200 300 0 0 1

71300 Local Consult. 200 200 400 0 0 2

71600 Travel 30 30 60 0 0 3

72100 Contr. s. comp 10 30 40 0 0

72400 Print. cost 25 50 50 0 0

74500 Miscellaneous 10 10 20 0 0

TOTAL OUTCOME 1350 520 870 0 0

OUTCOME 2:

(add title)

62000 GEF

71300 Local Consult25 10 35 0 0

71600 Travel35 10 45 0 0

72200 Equip. 40 10 50 0 0

74100 Profes. Srv.10 10 20 0 0

74200 Audiovis. cost25 10 35 0 0

74500 Miscellaneous15 10 25 0 0

TOTAL OUTCOME 2150 60 210 0 0

TOTAL 500 580 1080 0 0

:

Page 25: UNDP-Global Environmental Finance Unit Introduction to the ...wasaproject.info/docs/SAWEP2Inception/UNDP-GEF... · 13) + Project Identification Form (PIF) (Oct 29, 13) GEF Council

THANK YOU

For more information please contact us

UNDP –GEF Project support team in Regional

Centre Addis Ababa

Adey Tesfaye - [email protected] - RPA

Page 26: UNDP-Global Environmental Finance Unit Introduction to the ...wasaproject.info/docs/SAWEP2Inception/UNDP-GEF... · 13) + Project Identification Form (PIF) (Oct 29, 13) GEF Council

Discussion