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Part III

Part III. Administrative Requirements for project management. Key benefits of the administrative requirements. The administrative requirements ensure that: Financial rules and regulations are adhered to; The project is substantively and technically sound;

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Part III

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  1. Part III Administrative Requirementsfor project management UNEP / PCMU

  2. Key benefits of the administrative requirements The administrative requirements ensure that: • Financial rules and regulations are adhered to; • The project is substantively and technically sound; • UNEP project design, implementation and planning criteria have been met; • The proposal fits into UNEP priorities and overall programme objectives; • UNEP projects and activities are coordinated by and amongst divisions (prevents overlapping); • Risks likely to affect successful and timely project implementation have been minimized; • Managers are well informed about UNEP projects • Accumulation of information UNEP / PCMU

  3. Project development process Substantive Office (DD, PM, FMO) Prepares the Proposal 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 & priorities IDR technical and substantive review PM for changes/amendments in the proposal Funding and Approval Processes begins

  4. Project Proposal When developing a proposals: • Identify the priorities and needs of UNEP (Programme of Work and Governing Council decisions) • Coordinate with partners and BFMS • Coordinate with the Division of Regional Cooperation (DRC) and other relevant regional offices • Likewise, regional offices discuss their proposed projects with the relevant Divisions UNEP / PCMU

  5. Project Proposal • Proposals are forwarded by a Division Director to the Programme Coordination and Management Unit (PCMU) for technical screening and an inter-divisional review (IDR). • Divisional approval of the project proposal shall be indicated with a memo or cover letter. • PCMU can return the project proposal if it does not meet the formatting requirements or quality standards. UNEP / PCMU

  6. Review and Inter Divisional Review • The purpose of the review and IDR is to: • Provide all divisions with an opportunity to comment • Prevent overlaps (several same kind of projects) • Assure the highest quality of UNEP project proposals and coordination of funding applications • Share information • IDR is arranged by PCMU • Usually 5 days are given for IDR comments • The PCMU forwards all comments received to the project proponents and advises them accordingly • IDR response rates of Divisions are reported and compared at the PAG UNEP / PCMU

  7. IDR process Interdivisional review flow 1.PP sent to Division Directors 2. Review and IDR DD send PP onwards to expert within division and informs PCMU who the expert is PCMU receives comments from divisions 3. Compilation of comments/recommendations PCMU compiles feedback and sends it to proponent Division incorporates feedback (time ?) UNEP / PCMU

  8. Potential funding sources • EU • Global Environment Facility (GEF) • UN Development Account (UNDAC) • UN Foundation (UNF) • Partnerships (Belgium, Sweden, the Netherlands, Ireland, Norway) • Other donor countries, institutions and private sector UNEP / PCMU

  9. Funding process Two processes for project proposals to get funding: • Response to a call: In response to a call for proposals by a donor. Often thematic area and specific format. • “Strategic” approach: ED or DED request proposals based on discussions with various donors. UNEP / PCMU

  10. Funding process • The Office of the DED is responsible for overall coordination and facilitation of fundraising activities in UNEP. • Division directors can discuss funding of activities or projects with Governments or donors, (formal proposal shall be submitted by the ED or the DED). • Project managers who have an indication of possible funding or donor cooperation must inform the DEDs office for further coordination. UNEP / PCMU

  11. Relationship between funding and implementation modalities Project proposals with earmarked funding Environment Fund projects Internal Impl. Internal Impl. External Impl. Funds merge into the costed workplan Project document formulation (Revised) costed workplan Review and approval process

  12. UNEP Project Document UNEP / PCMU

  13. UNITED NATIONS ENVIRONMENT PROGRAMME • PROJECT 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 Fund • Cost to Trust Fund • Cost to Earmarked Contribution • Cost to the Cooperating Agency/Supporting Organization • Programme 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:

  14. Project Document format:Key elements of the UNEP project document • Project summary • Background • Legislative authority and contribution to sub-programme • Project description • Project impacts on poverty alleviation and gender-equality • Logical framework • Work plan • Institutional framework • Monitoring and reporting • Evaluation • Project budget UNEP / PCMU

  15. Key elements of the UNEP project document Background • 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 UNEP / PCMU

  16. Key elements of the UNEP project document Legislative authority and contribution to sub-programme • Clear linkage to • GC decisions and GA resolutions • MDG, WSSD and other major Conference outcomes • Sub-programme objectives and expected accomplishments UNEP / PCMU

  17. Key elements of the UNEP project document Project 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) • Strategies for successful implementation • Sustainability and replicability UNEP / PCMU

  18. Project impacts on poverty alleviation and gender-equality Overall description on how the project will address these aspects UNEP / PCMU

  19. Logical framework UNEP / PCMU

  20. Key elements of the UNEP project document Work 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? UNEP / PCMU

  21. Institutional framework • Institutional arrangement of project implementation • Project implementation modality UNEP / PCMU

  22. Project Approval Process UNEP / PCMU

  23. Project Approval Group • DED is the chair, Chief of PCMU vice chair, all Nairobi based Division Directors, Chief of EOU, Chief of BFMS and the secretary • Time lap from PCMU review, IDR and PAG approval is normally 4 weeks • Projects above US$200,000 needs PAG approval UNEP / PCMU

  24. Project Approval Process • Preparation of Pink File (by FMO) • Project document • Project submission checklist (signed by division director) • Decision sheet for signature by PAG chair • Background documentation • Approval by Executive Director of new posts • Submission through Division Director to PAG secretary (PCMU) • Review and IDR (if not conducted earlier) UNEP / PCMU

  25. FMO/BFMS/UNON Prepares PP file “Pink File” and submitts to PAG secretary for approval process (signed by DD & FMO) Secretary of PAG reviews (IDR if not earlier) PAG Reviews and discusses the proposal (5 days to arrange meeting) PCMU returns PP to DD for amendments Substantive Office for changes/amendments in the proposal Chair, PAG Signs decision sheet; PCMU forwards to BFMS for further action Project Approval Process Project Proposal/Revision Approved No Yes Amendments required? Yes No

  26. What happens then? • Approved project proposal forwarded to BFMS • Checked by FMO • 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! (project managers should ensure that project doesn’t start before this) UNEP / PCMU

  27. Costed Work Plan (CWP) • Overarching framework for all activities to be implemented by divisions during the biennium • Based on the biennial programme of work approved by the Governing Council • Legal basis for the disbursement of Environment Fund (EF) • meeting the core operational needs of the divisions • (ii) direct cost of internally implemented outputs UNEP / PCMU

  28. Costed Work Plan (CWP) When to revise CWP: • to respond to new mandates or specific requests of Governments • to incorporate changes in budget, extension of project duration, changes in implementation, operational mode, objectives, outputs and activities (> $200,000 => PAG) • To close UNEP annual accounts to reflect actual expenditures (automatic re-phasal => no PAG) Output, Project and MoU tables in the CWP need to be updated routinely UNEP / PCMU

  29. Revision of projects When to revise: • Budget is adjusted, extension of project duration, changes in implementation, operational mode, objectives, outputs and activities (>$200.000 => PAG) • On closure of UNEP annual accounts to reflect actual expenditures • To close the project once all activities and reports are done UNEP / PCMU

  30. Project Implementation • Procurement has to follow UN procurement regulations • Websites and publications have to follow UNEPs’ Publishing Policy • Hiring of staff have to follow UNEP regulations (e.g. ToR needed) UNEP / PCMU

  31. 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 UNEP / PCMU

  32. 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 UNEP / PCMU

  33. Reporting requirements for internally implemented projects Report type Prepared by Responsibility Preparation Frequency/period Submission to Progress report Project coordinator Project manager 1 annually by end of January To division director cc: PCMU & BFMS Final report Project coordinator Project manager End of the project/ within 60 days of the completion To Division director cc: PCMU & BFMS Self Evaluation Fact Sheet (EFS) Project managers Project manager 1 annually by the end of January To EOU cc: Project manager

  34. Reporting requirements for externally implemented projects Report type Prepared by Preparation frequency/period Submission Activity report Cooperating agencies/ Supporting organizations Annually for Jan–June/ Due by 31 July (or as per reporting cycle agreed with the donor) To Project manager cc: BFMS & PCMU Progress report Project coordinator/ Cooperating agencies/ Supporting organizations Annually for Jan–Dec/ Due by 31 Jan. (or as per reporting cycle agreed with the donor) To division director cc: PCMU & BFMS Final report Project coordinator/ Cooperating agencies/ Supporting organizations End of the project/ Due within 60 days of completion To division director cc: PCMU & BFMS Self-evaluation fact sheet (EFS) Project managers Annually on each current or completed project/ by the end of January To EOU cc: Project manager Quarterly financial report and cash advance statement Cooperating agencies/ Supporting organizations Quarterly report Due by 30 April, 31 July, 31 Oct, and 31 Jan. To project manager cc: BFMS Audited financial report Supporting organizations Biannually by 30 June/ Within 180 days of the completion of the project To project manager cc: BFMS Final statement of account Cooperating agencies Annually by 15 February/ Within 60 days of the completion of the project To Project manager cc: BFMS Inventory of non-expendable equipment (items over $1,500) Project coordinator/ Cooperating agencies/ Supporting organizations Annually by 31 January and within 60 days of the completion of the project/ to be attached to the progress report To project manager cc: BFMS

  35. Evaluation • EOU has a mandate to conduct, coordinate and over see evaluations • 4 types of evaluations: • Desk • In-depth • Impact • Self-evaluations • The size of the project has an impact on evaluation type • Timing of evaluations: at any point during the life of the project (self-evaluation is annual) UNEP / PCMU

  36. Evaluation • UNEP recommend that all projects include evaluation in project budget (e.g. consultants fees, travel, communication and dissemination) • Usually a few % of total budget (ranging from $5000-75,000) UNEP / PCMU

  37. Project report to Programme Performance Report Project performance links to the (preliminary) Programme Performance Report of the Division through IMDIS: • Project reports and other internally implemented activities are reviewed • Provide interim results achieved for each performance indicator • Information => “Accomplishments Accounts” and “Statement of Accomplishment” UNEP / PCMU

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

  39. Brown 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 / PCMU

  40. Questions? UNEP / PCMU

  41. Coffee Break UNEP / PCMU

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