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

PCMU/UNEP

Key issues related to proposal development

Yunae Yi Secretary of the Project Approval Group

UNEP, Nairobi

PCMU/UNEP

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 resultsAccountability of the project teamContinuous monitoring of the progressDemonstration of measurable changes

PCMU/UNEP

Project Cycle

IdentificationPhase 1

Review and approvalPhase 3

Preparation and formulation

Phase 2

EvaluationPhase 5

Implementation

Phase 4

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Phase 1 Project Identification

Situation analysis Identification test

Identification

Phase 1Preparation and

formulationPhase 2

Review and approvalPhase 3

EvaluationPhase 5

ImplementationPhase 4

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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

Situation analysis (1):

Stakeholder analysis1. Identify the principal stakeholders at various

levels – local, national, regional and international2. Investigate their roles, interests, and relative

powers and capacities to participate3. Identify the extent of cooperation or conflict in

the relationships among stakeholders4. Interpret the findings of the analysis and define

how they should be incorporated into project design

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Situation analysis (2):

Problem analysis1. 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. Check the logical order.

PCMU/UNEP

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

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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.

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Phase II

Feasibility study Project document formulation Project implementation planning

IdentificationPhase 1

Preparation & formulationPhase 2

Review and approvalPhase 3

EvaluationPhase 5

Implementation

Phase 4

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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

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

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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.

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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

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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

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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.

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Logical framework: flow of logic (2/3)

Objectives

Results Outputs

Activities

Project planning flow

Implementation flow

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Intervention logic

Objectively verifiable indicators (OVI)

Means of verification (MOV)

Assumptions

Results

1.2.

1.2.

1.2.

Outputs

1.2.

Activities

1.1.2.1.2.2.

Objective:

Logical framework: format Logical framework: format (3/3)(3/3)

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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.

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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

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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

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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

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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

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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

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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

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Intervention logic indicators MOV Assumptions

Results

1. Reduce weight by 5 kgs2. Reduce the glucose level in the blood to below 6

1 Number of Kgs reduced2 Level of glucose level reduced

1 Weekly weight records2 weekly record of glucose level

1. Other health conditions remain unchanged. 2. Scientific findings on diabetic patients hold.

Outputs

1. Regular exercise programme maintained2. Low carb and low calorie diet regime maintained

Activities

1.1. Daily exercise for 30 minutes1.2 Join the dance class and practice once a week2.1. Take 5 small meals a day2.2. Follow Atkins diet menu at least 2 times a day

Objective: Type 2 diabetic condition is improved to healthy level

Logical framework Exercise

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Project checklist1. 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?

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UNEP Project Document

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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

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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

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Key elements of the UNEP project document Contribution to work programme Clear linkage to

COP decisions and programme of work (objectives?)

MDG, WSSD and other major Conference outcomes

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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) Project impacts on poverty alleviation and gender-

equality Strategies for successful implementation Sustainability and replicability

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Key elements of the UNEP project document Logical framework

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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?

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Key elements of the UNEP project document Institutional framework

•Institutional arrangement of project implementation

•Project implementation modality

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Project cyclePhase 3

Project review and funding negotiation Internal and external project approval process Administrative steps

IdentificationPhase 1

Preparation and formulation

Phase 2

Review and approvalPhase 3

EvaluationPhase 5

Implementation

Phase 4

Funding and approvalPhase 3

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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!

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Project cyclePhase 4

IdentificationPhase 1

Preparation and formulation

Phase 2

Review and approvalPhase 3

EvaluationPhase 5

Implementation

Phase 4

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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

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Project monitoringGrowing 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

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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

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Project cyclePhase 5

IdentificationPhase 1

Preparation and formulation

Phase 2

Review and approvalPhase 3

EvaluationPhase 5

Implementation

Phase 4

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Evaluation 4 types of evaluations:

Desk In-depthImpactSelf-evaluations

Timing of evaluations: at any point during the life of the project (mostly mid-term an final stages)

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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+)

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Financial and operational capacity

Do the applicant and partners have sufficient experience of project management?

Do the applicant and partners have sufficient technical expertise? (notably knowledge of the issues to be addressed.)

Do the applicant and partners have sufficient management capacity? (including staff, equipment and ability to handle the budget for the action)?

Does the applicant have stable and sufficient sources of finance?

Relevance

How relevant is the proposal to the objectives and one or more of the priorities of the call for proposals?

How relevant to the particular needs and constraints of the target country/countries or region(s) is the proposal? (including avoidance of duplication and synergy with other EC initiatives.)

How clearly defined and strategically chosen are those involved (final beneficiries, target groups)? Have their needs been clearly defined and does the proposal address them appropriately

Methodology

Are the activities proposed appropriate, practical, and consistent with the objectives and expected results?

How coherent is the overall design of the action? (in particular, does it reflect the analysis of the problems involved, take into account external factors and anticipate an evaluation?

Is the partners' level of involvement and participation in the action satisfactory?

Is the action plan clear and feasible

Does the proposal contain objectively verifiable indicators for the outcome of the action?

Sustainability

Is the action likely to have a tangible impact on its target groups?

Is the proposal likely to have a multiplier effects? (including scope for replication and extension of the outcome of the action and dissemination of information.)

Are the expected results of the proposed action sustainable?

Budget and cost-effectiveness

Is the ration between estimated costs and the expected results satisfactory?

Is the proposed expenditure necessary for the implementation of the action?

EC Evaluation Criteria

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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

Website

www.unep.org/pcmu/project_manual/

PCMU/UNEP

Yunae YiSecretary of the

Project Approval Group (PAG) PCMU/UNEP

[email protected]