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Key issues related to proposal development

Key issues related to proposal development. Yunae Yi Secretary of the Project Approval Group UNEP, Nairobi. Results-Based Management. Why focus on results? Shift of focus from delivery of goods and services to benefits to the target beneficiaries

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Key issues related to proposal development

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  1. Key issues related to proposal development Yunae Yi Secretary of the Project Approval Group UNEP, Nairobi PCMU/UNEP

  2. Results-Based Management • Why focus on results? • Shift of focus from delivery of goods and services to benefits to the target beneficiaries • Focus on effectiveness and impact of our work • What does it mean? • Flexible and optimal approach to achieve results • Accountability of the project team • Continuous monitoring of the progress • Demonstration of measurable changes PCMU/UNEP

  3. Project Cycle Identification Phase 1 Preparation and formulation Phase 2 Evaluation Phase 5 Review and approval Phase 3 Implementation Phase 4 PCMU/UNEP

  4. Phase 1 Project Identification Identification Phase 1 • Situation analysis • Identification test Preparation and formulation Phase 2 Evaluation Phase 5 Review and approval Phase 3 Implementation Phase 4 PCMU/UNEP

  5. Situation analysis • Assess and analyze an environmental situation needs • Include analyses of needs, interests, strengths and weaknesses of key stakeholders and beneficiaries (stakeholder analysis) • Explores likely causes and linkages between existing problems and the needed actions (Problem and objective analyses) • Generates key actions and strategies to be applied PCMU/UNEP

  6. Situation analysis(1):Stakeholder analysis 1. Identify the principal stakeholders at various levels – local, national, regional and international 2. Investigate their roles, interests, and relative powers and capacities to participate 3. Identify the extent of cooperation or conflict in the relationships among stakeholders 4. Interpret the findings of the analysis and define how they should be incorporated into project design PCMU/UNEP

  7. Situation analysis(2):Problem analysis • Define precisely the situation to be analyzed (sector, sub sector, area, etc.); • Define some major problem conditions related to the selected situation; • Organize the problem conditions according to their cause–effect relationships; 4. Check the logical order. PCMU/UNEP

  8. Situation analysis(3):Objectives analysis • Reformulate the problems as objectives; • Check the logic and plausibility of the means-to-ends relationship; • Select the scope and level of project intervention; • Link to Logical Framework development PCMU/UNEP

  9. Identification test • There is compatibility with COP mandates; • Major options and alternatives have been identified and some initial choices made; • The principal institutional and policy issues affecting project outcome have been identified and deemed amenable to solution; • There is justifiable expectation that the project will have adequate support from the relevant political authorities, other stakeholders and the intended beneficiaries; • The project options selected are expected to be justified, given rough estimates of the expected costs and benefits. PCMU/UNEP

  10. Phase II Identification Phase 1 • Feasibility study • Project document formulation • Project implementation planning Preparation & formulation Phase 2 Evaluation Phase 5 Review and approval Phase 3 Implementation Phase 4 PCMU/UNEP

  11. Feasibility study • The core of the proposal preparation process • To provide the basis for choosing the most desirable options • Consideration of the following basic questions: • Does it conform to the development and environmental priorities, such as PRSP? • Is it technically and scientifically sound, and is the methodology the best among the available alternatives? • Is it administratively manageable? • Is it financially justifiable and feasible? • Is it compatible with the culture of the beneficiaries? • Is it likely to be sustained beyond the intervention period? PCMU/UNEP

  12. Project document formulation • Add logical framework matrix, details on budget, implementation plan and modalities to the existing concept proposal • Project and project document formulation are simultaneous and iterative processes • The project document come from each step taken through project cycle phases 1 and 2 PCMU/UNEP

  13. Project document formulation (con’t) The full project document is: • A legal agreement once signed; • A tool for formulating and implementing projects; • A tool for communication among key partners; • A tool for project monitoring and evaluation; • Basis for the terms of agreement for any consultancy/contractual service. PCMU/UNEP

  14. Sustainability (1/2) • Most project interventions are temporary in nature • What happens after the project? • Capacity-building measures should be an integral part of project strategies and activities • Area of repeated concern by the donors and auditors PCMU/UNEP

  15. Sustainability (2/2) Project will be sustainable depending on the following factors: • Policy support • Institutional and management capacity • Economic and financial viability • Ownership by beneficiaries • Appropriate technology • Social and cultural issues • Environmentally sustainable PCMU/UNEP

  16. Logical framework (1/3) • Donors often consider it as a mandatory component of the projects • It identifies and states the main factors related to the success of the project • It clarifies how project success (qualitative and quantitative) will be judged or measured, thus providing a basis for monitoring and evaluation. PCMU/UNEP

  17. Logical framework: flow of logic (2/3) Project planning flow Objectives Outputs Activities Results Implementation flow PCMU/UNEP

  18. Logical framework: format (3/3) Objective: PCMU/UNEP

  19. Objectives • Overall desired achievements; • Long-term benefits to final beneficiaries, the future desired situation or the conditions that must be satisfied; • High-level aims which the project’s results will contribute substantially towards; • Set the right level of articulation so that the objectives are both realistic and attainable; • Do not formulate objectives with active verbs, such as: to study, to advise and to cooperate. PCMU/UNEP

  20. Results • Direct consequences or effects of the generation of outputs • Show a clear cause-and-effect relationship with the objective • Project managers are accountable for the delivery of them • Address the specific needs of the end-users or beneficiaries • State a meaningful and detectable change • Avoid long-term goals beyond the project period PCMU/UNEP

  21. Outputs • The lowest level results of the project • The optimal combination necessary for achieving the results • Its delivery must be within the control of project management team • Outputs are the outcomes of activities PCMU/UNEP

  22. Activities • The specific work or tasks to be performed within the project to transform resources into outputs • The links between inputs and outputs • Activities must be pertinent not only to the project outputs but also to the wider context of the project’s aims • Special attention to the interests of under-represented groups, such as women and people living in poverty PCMU/UNEP

  23. Indicators • What will show us that the objective, results and outputs have indeed occurred? • Indicators provide an opportunity to restate intervention logic in specific and directly observable terms • Objectively verifiable indicators should be ‘SMART’. SMART stands for: • Specific • Measurable • Attainable • Realistic • Time-based PCMU/UNEP

  24. Means of verification • Maximize existing data sources • With existing data sources, caution regarding validity and reliability of the data • Review or content analysis; internal records; audit reports; reports by NGOs and other international agencies; surveys; interviews; and rapid assessments • Build the cost for data collection in the project budget PCMU/UNEP

  25. Assumptions • External factors which could affect the progress and success of the programme or project, or its long-term sustainability • Underlying conditions which have to be met for the project to succeed • Project managers should assess external factors and risks in project implementation and articulate them in the planning phase • Project managers should monitor the influences of key external factors PCMU/UNEP

  26. Logical framework Exercise Objective:Type 2 diabetic condition is improved to healthy level

  27. Project checklist 1. Have the priorities and needs of the countries been identified and incorporated in the project? 2. Have all relevant key stakeholders been consulted? 3. Have the duplications or complementarities with the existing or past projects been addressed? 4. Do the implementing partners have capacities to undertake the project? 5. Does the Secretariat (or the applicants) have capacities to undertake the project? 6. Has the linkage to poverty alleviation been incorporated? 7. Does the project actively address the sustainability aspect? PCMU/UNEP

  28. UNEP Project Document PCMU/UNEP

  29. Project Document format:Key elements of the UNEP project document • Project summary • Background • Contribution to the work programme • Project description • Logical framework • Work plan • Institutional framework • Monitoring and reporting • Evaluation • Project budget PCMU/UNEP

  30. Key elements of the UNEP project documentBackground • 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 PCMU/UNEP

  31. Key elements of the UNEP project documentContribution to work programme • Clear linkage to • COP decisions and programme of work (objectives?) • MDG, WSSD and other major Conference outcomes PCMU/UNEP

  32. Key elements of the UNEP project documentProject 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) • Project impacts on poverty alleviation and gender-equality • Strategies for successful implementation • Sustainability and replicability PCMU/UNEP

  33. Key elements of the UNEP project documentLogical framework PCMU/UNEP

  34. Key elements of the UNEP project documentWork 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? PCMU/UNEP

  35. Key elements of the UNEP project documentInstitutional framework • Institutional arrangement of project implementation • Project implementation modality PCMU/UNEP

  36. Project cyclePhase 3 Identification Phase 1 • Project review and funding negotiation • Internal and external project approval process • Administrative steps Evaluation Phase 5 Preparation and formulation Phase 2 Funding and approval Phase 3 Implementation Phase 4 Review and approval Phase 3 PCMU/UNEP

  37. Administrative process • Review and approval by fund management office, Nairobi • 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! PCMU/UNEP

  38. Project cyclePhase 4 Identification Phase 1 Evaluation Phase 5 Preparation and formulation Phase 2 Review and approval Phase 3 Implementation Phase 4 PCMU/UNEP

  39. Project Implementation • Financial Regulations and Rules according to UN Secretariat system • Contractual agreements (MoUs) will soon need to follow UNEP standard formats • Hiring of staff have to follow UN OHRM Regulations and Rules (e.g. ToR, classification, contractual types) • Implementing organizations should comply with the agreed terms--on time, on budget and on-project terms PCMU/UNEP

  40. 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 PCMU/UNEP

  41. 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 PCMU/UNEP

  42. Project cyclePhase 5 Identification Phase 1 Evaluation Phase 5 Preparation and formulation Phase 2 Review and approval Phase 3 Implementation Phase 4 PCMU/UNEP

  43. Evaluation • 4 types of evaluations: • Desk • In-depth • Impact • Self-evaluations • Timing of evaluations: at any point during the life of the project (mostly mid-term an final stages) PCMU/UNEP

  44. Evaluation • UNEP requires all projects to include evaluation in project budget (e.g. consultants fees, travel and communication and dissemination) • Usually a few % of total budget • For a project over $500,000, in-depth evaluation is required (suggested $20,000+) PCMU/UNEP

  45. EC Evaluation Criteria

  46. Summary • A project concept should start from identification of needs and what has been done; • After feasibility test, formulate Logical Framework as the first step in proposal preparation; • Think of project sustainability and replicability PCMU/UNEP

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

  48. Yunae Yi Secretary of the Project Approval Group (PAG) PCMU/UNEP Yunae.yi@unep.org 254-20-762-4660 PCMU/UNEP

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