UNEP training on Project Management and Administration Processes

1. UNEP training on Project Management and Administration Processes Part I and II UNEP / PCMU

2. Facilitators Yunae Yi, PCMU Niklas Hagelberg, PCMU Jochem Zoetelief, PCMU Pontus Molin, BFMS Participants Name Project document writing experience Expectation from the workshop Experience with PCMU on costed workplans and project approval process UNEP / PCMU

3. Training coverage Part I • Introduction • Programme vs. Projects • Project Cycle Part II (Key Aspects of Project Management) • Gender sensitivity and Poverty • Project Sustainability • Logical Framework Part III (Administrative Requirements) • Proposal Formats • Costed Work Plans • Project Review and Approval Process • Implementation (Monitoring, Reporting and Evaluation) Part IV Funding Opportunities and Donor Trends Part V BFMS Experiences with UNEP Proposals UNEP / PCMU

4. Expected results of the workshop • Improve the quality of project documents and therefore, increase donor funding for UNEP work • Improved understanding of requirements and process in UNEP project approval and implementation • Improve the project management and monitoring for successful outcome (results) of the projects • Improve efficiency in project review, approval and fund release process UNEP / PCMU

5. UNEP’s Core functions • Monitoring, assessment, and reporting on the state of the global environment • Setting an agenda for action and managing the process of establishing standards, policies and guidelines • Developing institutional capacity to address existing and emerging problems • Catalyzing environmental actions UNEP / PCMU

6. Programme and Project Cycle(for the biennium 06-07) • Biennial Programme Plan (completion by Mar. 04; approval by GC and GA by Dec. 04) • Programme of Work (completion by May 04; CPR review in Sep. 04; ACABQ review in Nov. 04; approval by GC in Feb. 05; review by CPC in May 05; approval by GA in Dec. 05) • Costed Workplan (Nov. 05-Jan. 06) • Projects and internally implemented activities (implementation during 06-07) • Programme Performance Report (end of 07) UNEP / PCMU

7. UNEP objectives Thematic Objectives Thematic objectives Functional objectives Divisions: DEWA, DPDL, DEPI, DTIE, DRC, DEC, DCPI, DGEF Projects and internally implemented activities Relation between UNEP objectives and activities Implementation process Planning process UNEP / PCMU

8. Linking projects/internally implemented activities to UNEP programmes UNEP Programme Subprogrammes Projects/Internally implemented activities Objectives Results Objectives Objectives Results Results Outputs Activities UNEP / PCMU

9. Funding Sources for UNEP • Regular Budget • Environment Fund • Trust Funds • Earmarked contribution, including Partnership Agreements UNEP / PCMU

10. Project Cycle UNEP mandate, objectives and requirements have to be kept in mind during all stages Identification Phase 1 Evaluation Phase 5 Preparation and formulation Phase 2 Review and approval Phase 3 Implementation Phase 4 UNEP / PCMU

11. Phase 1Project Identification Identification Phase 1 • Situation analysis • Identification test • Preparation of a concept project proposal for sponsorship Preparation and formulation Phase 2 Evaluation Phase 5 Review and approval Phase 3 Implementation Phase 4 UNEP / PCMU

12. 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 UNEP / PCMU

13. 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 UNEP / PCMU

14. Problem analysis and the problem tree 1. Define precisely the situation to be analyzed (sector, sub sector, area, etc.); 2. Define some major problem conditions related to the selected situation; 3. Organize the problem conditions according to their cause–effect relationships; 4. Add additional problems, thus describing causes and effects; and 5. Check the diagram (tree) for completeness (most relevant conditions) and logical order. UNEP / PCMU

15. Example of Problem Tree Effects Environmental degradation due to inability to protect the environment Low quality education due to inadequate reference materials Poor judgements and access to justice in environmental matters Low public participation in decision-making due to lack of information Inappropriate/in adequate decision- making and implementation of environment Conventions Reaches less people in the country and beyond with the right information Inability to rely on credible sources of environmental information. Poor access to materials for environmental management for all users. Lack of access to environmental information by information technology Lack of capacity to store and retrieve information electronically Causes UNEP / PCMU

16. Objectives analysis and the objective tree • Reformulate the problems as objectives; • Check the logic and plausibility of the means-to-ends relationship; • Adjust the structure wherever necessary and revise statements; • Delete steps that are not desirable; and • Add new steps if they appear to be relevant and necessary. UNEP / PCMU

17. ends Example of Objective Tree The environment is protected according to the required regulation Decision-makers work in an informed manner to protect the environment Enhanced enforcement and compliance of environmental law The public in the country and beyond has access to environmental information Access to Justice is enhanced because of the accessibility of information The Public can participate in decision-making at the relevant level. means Build capacity to access information by databases & information technology Build capacity to store and retrieve information using keywords & search engines UNEP / PCMU

18. Identification test A proposal may be deemed to have passed the identification test and be ready for preparation when: • There is compatibility with UNEP mandate and objectives; • 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. UNEP / PCMU

19. Phase IIFormulation and preparation Identification Phase 1 • Feasibility study • Project document formulation • Logical framework matrix • Budgeting • Project implementation planning Preparation and formulation Phase 2 Evaluation Phase 5 Review and approval Phase 3 Implementation Phase 4 UNEP / PCMU

20. Feasibility study • The core of the proposal preparation process • Purpose is to provide the basis for choosing the most desirable options • Consideration of the following basic questions: • Does it conform to the national and regional development and environmental priorities? • 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 customs and traditions of the beneficiaries? • Is it likely to be sustained beyond the intervention period? UNEP / PCMU

21. Project document formulation • Add 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 UNEP / PCMU

22. 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. UNEP / PCMU

23. Project implementation planning • Successful implementation often depends on the quality of project planning before the project begins • A project submission checklist is • to assess the feasibility of projects and the readiness of project managers to undertake them • to guide project managers in project planning UNEP / PCMU

24. Project submission checklist UNEP / PCMU

25. Project cyclePhases 3-5 (will be discussed later) Identification Phase 1 Evaluation Phase 5 Preparation and formulation Phase 2 Review and approval Phase 3 Implementation Phase 4 UNEP / PCMU

26. Coffee Break UNEP / PCMU

27. Part II UNEP / PCMU

28. Key aspects in project formulation • Gender equality • Poverty alleviation • Project sustainability • Logical framework approach UNEP / PCMU

29. Gender-related terms • sex vs. gender • women vs. gender • gender balance vs. gender equality vs. gender equity • gender blind vs. gender sensitive vs. gender neutral • gender institutionalization vs. gender mainstreaming UNEP / PCMU

30. GENDER SENSITIVITY • Understanding of gender roles and responsibilities as well as their relationships to each other; • Understanding gender differences in access to resources and opportunities for environmental conservation and sustainable development; • Addressing Gender needs for the effective project implementation and project sustainability; • Gender sensitivity throughout the project cycle about gender balance, gender mainstreaming and gender-sensitive project implementation; • Build into the project documents in the form of project strategy, activities, outputs, results or indicators. Alternatively, it can be explained in the UNEP project checklist. UNEP / PCMU

31. Gender equality statement-example 1 Sustainable Building and Construction Initiative (SBCI) …. On a worldwide average, women spend considerable more time in the home. In this regard SBCI would also contribute to improved conditions for women. Also the Initiative should contribute to an improved work place environment (especially safety) and in countries where women are more commonly employed by the building and construction industry, this would also benefit their situation. UNEP / PCMU

32. Gender equality statement-example 1, modified Sustainable Building and Construction Initiative (SBCI) … On a worldwide average, women spend considerable more time in the home. In this regard SBCI would also contribute to improved conditions for women. From a project management perspective, a gender balance in staffing and hiring of consultants will be sought, as well as in invitation and participation in SBCI meetings, trainings, projects etc. UNEP will also seek to promote gender equality through this project by, whenever possible, highlighting for SBCI members the potential benefits from including women in planning, networks and activities. UNEP / PCMU

33. Gender equality statement –example 2 Capacity Building for Integrated Environmental Assessment in Asia and the Pacific Region The project will integrate gender perspectives, through the following efforts: • Promotes the participation of female experts and scientists as well as women’s groups in integrated environmental assessment and related training; • Includes analysis on the role of woman in sustainable use and management of natural resources, and policy making for sustainable development, in regional and national integrated environmental assessments. UNEP / PCMU

34. Poverty alleviation • Degradation of ecosystems disproportionately affect the poor • GC 22/10 in 2003 requested UNEP to mainstream the poverty–environment nexus into UNEP projects • In April 2004 the ED decided that all UNEP activities must have a bearing on poverty alleviation • UNEP/UNDP Poverty Environment Initiative (PEI) to achieve MDG goals • It is key to the realization of the MDGs • Projects should be linked to the national PRSPs and UNDAF UNEP / PCMU

35. Project intervention strategies for poverty alleviation Ensuring that certain instrumental freedoms to addressing the links between poverty and the environment. These freedoms are: • participative freedom; • access to economic facilities and social opportunities; • the existence of transparency guarantees; • protective security; • ecological security. These freedoms with strategic interventions in a project will ensure that the poverty–environment links are duly captured and addressed. UNEP / PCMU

36. Poverty Alleviationstatement –example 1 GRASP project .… The overall objective of the action is the preservation of forest resources and improved livelihoods of forest peoples through pro-poor conservation strategies. The focus is on forests containing great apes for the following reasons: Ape habitats are vital to humans and many other species as a source of food, water, medicine and timber and as a regulator of our changing climate. Apes play a key part in maintaining the health and diversity of tropical forests, by dispersing seeds and creating light gaps in the forest canopy, which allow seedlings to grow and replenish the ecosystem. UNEP / PCMU

37. Poverty Alleviationstatement –example 2 The Partnership for Clean Fuels and Vehicles (PCFV) Mobile source emissions have direct effects on poverty, the health of low-income urban populations, especially women and children, and transboundary air pollution and climate change. Vehicles, both gasoline and diesel, emit significant quantities of toxic chemicals. These pollutants can be reduced by using lower-sulphur and lead-free fuels and by introducing the new vehicle technologies and emission control devices that require such fuels. Efforts for clean fuels and clean vehicles should be integrated into a country’s overall strategy for transport and air quality. UNEP / PCMU

38. Gender and Poverty: references On Gender: • Women and the Environment (WAVE) (UNEP and WEDO) • Integrating Gender responsiveness in Environmental Planning and Management (UN-HABITAT & UNEP) • Government reports to Committee on the Elimination of Discrimination Against Women (CEDAW) on progress • Gender-related Development Index (GDI) and Gender Empowerment measure (GEM) On Poverty: • Exploring the Link: Human well-being, poverty and ecosystem services (UNEP & IISD) • Background paper for ministerial-level consultations: implementation of the internationally agreed development goals of the Millennium Declaration (UNEP/GC23/10) • Human Development Index (HDI) UNEP / PCMU

39. 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, PAG and auditors UNEP / PCMU

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

41. Logical framework (1/4) • Mandatory component of the all UNEP projects • UNEP uses a simplified log-frame matrix format • 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. UNEP / PCMU

42. Logical framework: format (2/4) Objective: UNEP / PCMU

43. Logical framework: flow of logic (3/4) Project planning flow Objectives Outputs Activities Results Implementation flow UNEP / PCMU

44. At the Sub-programme level At the project level Logframe: intervention logic (4/4) Objective Objective Expected Accomplishment Results Outputs Outputs Activities UNEP / PCMU

45. Objectives(1/2) • 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 • Should be aligned with the objectives of the UNEP programme UNEP / PCMU

46. Objective: formulation(2/2) • Set the right level of articulation so that the objectives are both realistic and attainable; • Do not set objectives that are equivalent to strategies, activities, processes or outputs; • State a meaningful and detectable level of change over a given period of time; • Make a clear distinction with results; • Do not formulate objectives with active verbs, such as: to study, to advise and to cooperate. UNEP / PCMU

47. Results (1/2) • Desired outcomes involving tangible benefits to end-users, expressed as a quantitative or qualitative standard or value • Direct consequences or effects of the generation of outputs and lead to the fulfillment of the stated objectives • Project managers are accountable for the delivery of them • Should be sensitive to the beneficiaries’ specific needs UNEP / PCMU

48. Results: formulation(2/2) • Express results as qualitative, quantitative or value-added rates • Show a clear cause-and-effect relationship with the objective • Address the specific needs of the end-users or beneficiaries • State a meaningful and detectable change • Avoid long-term goals beyond the project period UNEP / PCMU

49. Outputs (1/2) • The lowest level results of the project • A specific product/service delivered by the activities that are needed to accomplish the project’s objectives and results • The definitions of outputs are different for different institutions • Its delivery must be within the control of UNEP and the implementing partners UNEP / PCMU

50. Output: formulation (2/2) • The optimal combination necessary for achieving the results • Should be deliverable, given the project timeframe and resources • Describe as concretely and precisely as possible, and in quantifiable terms • Avoid confusion with activities: Outputs are the outcomes of activities UNEP / PCMU