unep / pcmu part iii administrative requirements for project management

UNEP / PCMUUNEP / PCMU

Part IIIPart III

Administrative Administrative RequirementsRequirements

for project managementfor project management


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


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


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.


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


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


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


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.


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 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:


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


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


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


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


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


Logical frameworkLogical framework


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?


Institutional frameworkInstitutional framework

•Institutional arrangement of project implementation

•Project implementation modality


Project Approval ProcessProject Approval Process


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


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)


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)


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


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


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


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)


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


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


Biannually by 30 June/ Within 180 days of the completion of the project

Supporting organizations

Audited financial report


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


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)


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


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)


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)


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”


WebsiteWebsite

www.unep.org/pcmu/www.unep.org/pcmu/project_manual/project_manual/


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)


Questions?Questions?


Coffee BreakCoffee Break

unep / pcmu part iii administrative requirements for project management

Documents

unep pcmu review

unep priorities

sound unep project design

unep projects managers

overlapping unep projects

unep programme of work

project management slide

unep pcmu key benefits