United!Nations!University!...

United Nations University

Programme and Project Management Manual (PPMM)

Prepared by

Office of the Rector

Programme Management Steering Group

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Table of content Table of content .................................................................................................................................................. ii Acronyms and abbreviations ....................................................................................................................... iv Introduction ......................................................................................................................................................... 1

Strategic planning process and programme and project management .............................................................. 1 UNU programmes, projects, and activities ...................................................................................................................... 2 Results framework and quality management ................................................................................................................ 3 Donors and target audiences ................................................................................................................................................ 4 Funding ........................................................................................................................................................................................... 5

Part I: Programmes at UNU ........................................................................................................................... 6 Principles of UNU programmes ............................................................................................................................................ 6 Policies related to UNU programmes ................................................................................................................................ 7 UNU academic programme and budget ......................................................................................................................... 10

Part II: Projects at UNU ................................................................................................................................. 12 Introduction – Projects at UNU ............................................................................................................................ 13 1 Pre-‐proposal ............................................................................................................................................................. 14 The pre-‐proposal process .................................................................................................................................................... 14

2 Planning, appraisal, and approval ................................................................................................................... 16 Project planning ....................................................................................................................................................................... 16 Project appraisal ...................................................................................................................................................................... 17 Project approval ....................................................................................................................................................................... 18

3 Implementation and monitoring ..................................................................................................................... 19 Financial management .......................................................................................................................................................... 19 Project revisions ...................................................................................................................................................................... 19 Quality management .............................................................................................................................................................. 20 Project monitoring .................................................................................................................................................................. 21 Project completion .................................................................................................................................................................. 22

4 Evaluation .................................................................................................................................................................. 26 Evaluation framework and guidelines ........................................................................................................................... 26 Impact assessment .................................................................................................................................................................. 27 Use of results ............................................................................................................................................................................. 27

Glossary ............................................................................................................................................................... 28 Annexes ............................................................................................................................................................... 33 I Annex 1 -‐ Results Based Management (RBM) ............................................................................................. 33 Basic principles of RBM ........................................................................................................................................................ 33 Pitfalls in implementing RBM ............................................................................................................................................ 34 RBM and UNU ........................................................................................................................................................................... 34 Operationalizing RBM for programmes & projects .................................................................................................. 35 General steps for operationalizing RBM ....................................................................................................................... 35

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Adaptive project management based on RBM findings .......................................................................................... 36 Using RBM at the institutional level ................................................................................................................................ 36 Macro-‐indicators of institutional development – MIDs .......................................................................................... 36 Compiling information for macro-‐indicators .............................................................................................................. 38

II Annex 2 -‐ Sample LogFrame .............................................................................................................................. 39

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Acronyms and abbreviations ACABQ Advisory Committee on Administrative and Budgetary Questions CIDA Canadian International Development Agency CONDIR Conference of Directors of UNU institutes and programmes EXCO Executive Committee IAC International Advisory Committee ICA Institutional Contractual Agreements IPSAS International Public Sector Accounting Standards JIU Joint Inspection Unit MID Macro-‐Indicator of Institutional Development MOU Memorandum of Understanding RBM Results Based Management SPC Specific Programme Contributions TOR Terms of Reference UN United Nations UNU United Nations University UNU HQ United Nations University Headquarters

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Introduction Strategic planning process and programme and project management UNU programmes, projects, and activities Results framework and quality management Donors and target audiences

- Understanding target audiences - Interaction with donors - Legal components

Funding

1. This Programme and Project Management Manual (PPMM) has been prepared

taking account of (a) the core documents which guide the work and activities of the United Nations University (UNU), including the UNU Charter, the Strategic Plan, Council documents, and other fundamental guiding principles such as the University’s Statutes and (b) the best practices existing among the UNU institutes and programmes. This manual has been developed through extensive consultation within the University; the working group members contributed with their various backgrounds and expertise and represented selected UNU institutes and programmes. Directors of institutes and programmes have also contributed actively to the document through comments and suggestions for improvement. Specifically, they highlighted the important role of qualified human resources in implementing the University’s programmes, projects and activities; they underscored how programme and project management at UNU should provide a certain level of flexibility in its implementation so as to support the launching and implementation of innovative research and teaching programmes and projects; and they reiterated that adopting a result based management approach, is invariably a “learning-‐by-‐doing” process.

2. The PPMM provides rules, guidelines, and procedures to organize, regulate, and improve the management of UNU programmes and projects, focusing on programme/project planning, implementation, evaluation, and completion. However, it is important to highlight that teaching and degree programmes are to be separately regulated by the Office of Academic Affairs. The manual is intended to provide UNU personnel with a comprehensive and transparent approach for managing UNU academic activities.

3. The PPMM contains two distinct parts: Part 1: Programmes at UNU Part 2: Projects at UNU

Strategic planning process and programme and project management 4. The UNU Strategic Plan has a time horizon of four years. It sets out major research

areas of institutes and programmes and outlines a vision to make UNU a more

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effective research and teaching organization. It is meant to communicate explicitly the University’s mission, roles, goals, and objectives, as well as to outline clearly its major areas of focus.

5. The thematic orientation, goals and objectives contained in the UNU Strategic Plan

serve as a framework for developing UNU’s academic programme and budget documents. UNU programme planning and budget planning are closely interrelated through the development every two years of a document entitled the “UNU Academic Programme and Budget” which aggregates the academic work of all UNU institutes and programmes1 at the level of UNU programmes and includes estimated income figures and programme expenditures for a two-‐year period.

6. UNU’s programme planning and the budgeting processes are flexible in that they allow for projects or activities to be developed at any feasible time during the programme cycle (i.e. within the two-‐year period of an academic programme and budget cycle). All programmes and projects at UNU are meant to contribute to the UNU Strategic Plan. The institutionalization of a strategic planning process within the University, together with the preparation of biennial academic programmes and budgets is an important instrument for enhancing the coherence and cohesiveness of the UNU system as a whole.

UNU programmes, projects, and activities 7. The UNU’s mission is to contribute — through collaborative research, education and

capacity development, and advisory services — to efforts to resolve the pressing global problems of human survival, development, and welfare that are the concern of the United Nations, its Peoples, and Member States. UNU’s academic work can be classified into three distinct, but hierarchical and interrelated categories: programmes, projects and activities.

8. A programme is a cluster of individual projects and activities. Moreover, a programme strives to achieve more overarching, higher-‐level institutional objectives by effectively identifying and incorporating individual projects into the programme so that they contribute to programme outcomes. Programmes should have a specified duration that may be reviewed and extended for as long as the research, education, and dissemination activities are among the priorities of the University’s work. All programmes would need to be incorporated in the University’s biennial academic programme and budget document which is adopted by the UNU Council.

9. A project is an interrelated set of activities with a specific time frame, with start and end dates, a defined budget, and allocated resources in order to achieve specified objective(s). UNU projects can start at any point in time within a biennial academic programme and budget period and can be implemented either internally or jointly

1 “UNU institutes and programmes” refers to the research and training centres and programmes as defined in the UNU Charter, Article III, 1, d.

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with external organizations. As for a programme which comprises projects, a project comprises activities into its lifecycle to achieve certain results and outputs.

10. An activity is in most cases a task or work to be carried out in order to bring a project to completion and to accomplish the project’s objectives. In other cases, activities may not be related to any particular project, but contribute to the accomplishment of the objectives of a programme.2

Results framework and quality management 11. A results framework is an approach aimed at achieving effectiveness and enhancing

accountability. At UNU, the results framework is reflected in a chain of results that starts with the strategic goals and measures as defined in the UNU Strategic Plan, which in turn are achieved through project outputs. To efficiently achieve the respective goals and objectives of UNU, effective use of policies and strategies, supplemented by a Results Based Management (RBM) 3 approach and quality assurance mechanisms, are to be considered the norm.

12. RBM can be broadly defined as a flexible management approach that emphasizes results in planning, implementation, reporting, gender mainstreaming, and learning approaches. RBM can be carried out more effectively if lessons learned are shared and best practices disseminated. While it is recommended to incorporate the UNU RBM framework into all UNU programmes and projects (i.e. focus on the achievement of results), the degree to which RBM may be applied varies according to the size of the programme and/or project.

13. In ensuring the quality of UNU academic activities, emphasis will be given to their alignment with and contribution to the UNU Charter and the University’s Strategic Plan. The framework for UNU quality assurance is outlined within the UNU Policy on Quality Assurance.4 The overall approach to UNU quality assurance takes account of best practices internally and externally, highlighting quality as an integral part of the work of all UNU personnel.

14. In order to achieve effective results and to ensure the highest possible quality within UNU in relation to programme and project management, a strong results-‐based orientation must be seen as a critical element of all UNU programmes, projects, and activities. Such an accountability framework will be focused at the level of (1) Programme Managers/Programme Officers/Project Managers; 5 (2) Directors of UNU institutes and programmes;6 and (3) the Rector.7

2 These activities could be captured in a special-‐purposed programme entitled ‘Programme Development’. Programme development should, however, not represent more than 15% of the total amount of the Institute’s budget. 3 See Note on RBM Approach in Annex 1. 4 The UNU Council adopted the UNU Quality Assurance Policy at its 57th session in December 2010; the Rector will approve the UNU Quality Assurance Handbook after consultation with the UNU CONDIR in November 2011. 5 ‘Project Manager’ is a role, not a functional title. See the definition in ‘Glossary’. 6 Directors of UNU institutes and programmes here and after “Director(s)”, for a definition, see the glossary. 7 Teaching and degree programmes would be separately regulated by Office of Academic Affairs.

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Donors and target audiences

Understanding target audiences 15. Identifying, understanding, and prioritizing target audiences 8 are important

elements of UNU programme and project management. This identify-‐prioritize-‐understand process will facilitate the development of focused strategies and effective implementation measures as well as efficient communications/ dissemination efforts for each programme and project.

Interaction with donors 16. Donors can be generally divided into nine categories: the public sector (national

governments, international and regional organizations, such as the European Union, and local governments), foundations, universities, private corporations, wealthy individuals, estates, private/public partnerships, professional associations, and alumni.9

17. It will be necessary in some cases to identify early on the areas of convergence between UNU’s programme and project management approach on the one hand and maintaining good relations with project donors on the other hand. Donors may have specific additional requirements for project document preparation, approval, and reporting. A checklist of donor requirements in the initiation, monitoring and evaluation, and finalization of a project should be used as a source of reference for all staff involved in that particular project. It is also best practice to communicate and maintain contact with the donor throughout the project cycle and to provide donors with indications of tangible results from the project in order to cultivate trust and build a strong relationship.

Legal components10 18. Agreements, memoranda of understanding (MOUs), and exchanges of letters or

letters of intent with a government, donor, or partner institution with legal and/or financial implications having regard to UNU programmes, projects, and activities may only be entered into after consultation with the Office of the Rector in conjunction with the UNU legal adviser. Such agreements shall be signed by the Rector or by a Director or in exceptional circumstances by other persons duly authorized to do so (in which case a document entitled “Full Powers” will be created to be recorded and filed with the original signed agreement). The original signed agreements shall be lodged with the UNU Registry in Tokyo and electronic copies shall be archived in the legal files of the Office of the Rector.

8 UNU Statutes define the University’s key recipients and audiences as (1) the United Nations and its agencies, (2) scholars, (3) policy makers and decision makers, (4) government and non-‐governmental organizations, (5) regional, national, and local organizations, (6) the media, (7) the general public, and (8) students. ‘Students’ were added to the list after the Programme Management meeting on 12 October 2010. 9 See Fundraising for the United Nations University -‐ Concept and Implementation (Draft), Information Paper No. 11 / ## 2009 (https://intranet.unu.edu/council/d114/ip12%20draft%20paper%20on%20fund-‐raising.pdf); a ninth category, ‘universities’, has been added. 10 See Rector’s memorandum on authorization of agreements (forthcoming).

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Funding 19. The major sources of funding for UNU projects are the following:

1) Core Funds: income derived from the UNU Endowment Fund, operating contributions, contributions for the UNU Headquarters Building, sales income and royalties from publications, and the cumulative surplus carried forward.11

2) Specific Programme Contributions (SPC):12 funding received from donors for specific UNU programmes and projects. Such contributions are intended to support academic activities over and above those planned activities financed from core income.

3) Other sources (a) In-‐kind contributions: voluntary contributions received13 in the form of

services or goods. Such contributions should normally be reported when the donation can be used in the normal course of UNU academic activities.

(b) Funding provided by donors to UNU’s associated institutions to run joint UNU activities, which does not flow through UNU bank accounts, but which represents support made available by outside entities to finance UNU activities implemented locally or by a partner institution.

20. The policies, guidelines, and frameworks outlined in this manual are recommended

best practices for all UNU programmes and projects, regardless of the source of funding.

11 These are reserve balance (excess of income over expenditure) from the financial statements. Utilization of this reserve/cumulative surplus is strictly upon approval of UNU Council. 12 See more detailed explanation of SPC in Glossary. 13 In kind contributions are recognized when received, not when pledged.

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Part I: Programmes at UNU Principles of UNU programmes

- General principles - Operational principles

Policies related to UNU programmes - Programme approach - General direction of the programmes - Programme planning - Programme approval - Programme budget and funding - Programme implementation - Programme monitoring and review - Programme completion - Programme evaluation

UNU academic programme and budget

Principles of UNU programmes 21. The following principles and policies form the basis for the establishment of

procedures for programme planning, implementation, and evaluation. These principles and policies were first approved and adopted by the Council of the University at its 35th session in June 1990.14

General principles 1) Excellence: the highest academic standards shall be the aim of all University

activities; 2) Relevance: programmes shall respond to the aspirations and vital needs of

people throughout the world, particularly in the developing countries; 3) Vision: visionary and anticipatory thinking is essential for a timely and

enlightened identification of problems and issues; 4) Priority: the University shall help solve the most urgent global problems, as

perceived by the United Nations system and the international community of scholars and scientists, specifically in areas where the University can make distinctive contributions;

5) Integration: holistic approaches are fundamental to the interdisciplinary method of the University’s work, and its research, education, and dissemination activities shall be carried out in an interrelated, mutually reinforcing manner.

Operational principles 1) Participation: the University shall seek the broadest possible participation of

scholars and scientists, both women and men, from all parts of the world, particularly developing countries, and ensure that they contribute to and benefit from its work;

14 See: “Principles and Policies for Programme Planning: Implementation and Evaluation”, UNU/C/35/L.6

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2) Networking: programmes shall be established and operated through decentralized networks of research and training institutions, notably associated institutions, and individual scholars and scientists from both the developed and developing countries;

3) Coherence: central programming and coordination shall ensure cohesion and orderly direction of the programmes and overall work of the University;

4) Competence: the University shall strive for the highest standards of competence commensurate with the objectives and requirements of its programmes and operations;

5) Impact: the University shall maximize the experience and capacity of its networks of collaborating institutions and individual scholars and scientists, and seek to ensure that its work is of the greatest benefit, particularly to developing countries;

6) Debate:15 the University shall strive for the highest standard for its research programmes through discussion based on freedom of expression which encourages the diversity of opinions, leading to innovation.

Policies related to UNU programmes16

Programme approach 22. The ‘Programme’ approach facilitates interventions of an interdisciplinary nature to

address the multisectoral character of most development problems. The programme approach further enables UNU personnel to focus on identifying key questions within themes or fields of research. By fostering the ability to identify good questions in a given field, the University aims to focus its resources on high quality research leading to relevant findings. Aggregating projects and activities and presenting them under the umbrella of a UNU programme offers a more focused understanding and execution of UNU research, education, and dissemination activities.

23. UNU programmes shall normally encompass research, teaching, capacity development, dissemination, and advisory activities. In the process of budget preparation, each institute and programme will be required to describe how individual programmes can be classified under the thematic areas of focus as set out in the UNU Strategic Plan. When designing programmes, a number of important issues must be addressed including leadership, purpose, approach, gender mainstreaming, target audience(s), value added, dissemination, timeline, evaluation, and challenges/risks. Each programme should also specify clearly its intended impact(s), expected research findings, and expected outputs including planned publications.

General direction of programmes 24. UNU programmes shall be developed in accordance with the general and

operational principles, set out in the section above, building on the University’s

15 To the five original operational principles listed in the document entitled “ Principles and Policies for Programme Planning: Implementation and Evaluation” (UNU/C/35/L.6) a sixth operational principle is added with the aim to emphasize the importance of fostering debate as a mean to encourage diversity. 16 UNU/C/35/L.6 (edited version)

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accomplishments, and taking into account the work of the United Nations system and other organizations and institutions related to the respective programmes. To the extent possible, new proposed programmes should take account of existing UNU programmes to ensure appropriate synergies and to reduce possible duplication.

25. The University’s programmes shall integrate research, education, and dissemination in a coordinated set of projects and activities. The Rector, with the assistance of the Office of the Rector, and the advice and assistance of the Conference of Directors (CONDIR), is responsible for ensuring the integration of all programmes within the University as a whole.

26. The University shall ensure that the expertise of its associated institutions is fully

utilized through participation in specific joint research projects, education, and dissemination activities.

27. Programmes shall help strengthen universities and other research and training institutions in developing countries and shall promote collaborative arrangements among institutions in developing countries and between these institutions and UNU institutes and programmes. Such an approach shall be the foundation of any UNU academic activities and more specifically when implementing the UNU twin institute concept.

Programme planning 28. In the planning and development of its programmes, the University shall solicit as

broad a range of views as possible, representing various regions, socio-‐development conditions, cultures, traditions, and schools of thought, and consult individual specialists, including knowledgeable young scholars, scientists, and researchers from around the world, universities, and other research and teaching institutions, the organizations and agencies of the United Nations system, and other relevant organizations, as well as such programme advisory committees as may be established by the Rector.

29. For the purposes of programme planning, each programme will have a particular duration, which may be reviewed and extended for as long as the research, education, and dissemination activities of the programme are a priority for the University’s work.

30. Preparatory activities for UNU programmes are carried out at the level of UNU institutes and programmes through a process of consultation within the University involving advisory boards/committees and individual expertise within or external to the UNU.

31. Programme planning normally consists of exploratory meetings and other activities carried out with the objective of analysing the subject area or proposed issue for research and teaching, the necessity and feasibility of establishing a programme, and the preparation of a programme proposal. Programme planning activities may also be necessary after a programme has been approved in order to expand its scope or to plan new projects.

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Programme approval 32. UNU institutes and programmes shall develop and submit programme proposals for

adoption by their respective advisory board or committee. Programme proposals at the institute or programme level shall then be submitted to the Council of the University for incorporation into the overall UNU academic programme and budget every two years.

Programme budget and funding17 33. Each programme proposal shall contain a realistic estimate of the expenditure

requirements for the duration of the programme. This estimate shall indicate the source of assured income for each item, the sources of additional attainable income, and amounts that need to be mobilized externally. Appropriations for each programme shall be included in the respective biennial budget of the University.

34. The Programmes are funded by the University from core funds and by way of specific programme contributions (SPC). Exploratory and planning activities for new programmes should normally be covered by core funds, however it should be noted that programme development funds could also comprise SPCs.

35. In the implementation of programmes, the University seeks to mobilize additional support in the form of counterpart funds18 that are made available directly to the University’s associated institutions, other cooperating institutions and organizations, and to participating scholars and scientists. Support is also sought for the programmes in the form of provisions of in-‐kind contributions or through cost-‐sharing and other arrangements.

Programme implementation 36. UNU programmes are managed by UNU institutes and programmes under the

responsibility of the Directors. They are to be carried out in accordance with the specific objectives and approved work plans set out for the individual programme. Such programmes may be implemented solely by UNU academic personnel or with the involvement of scholars and scientists from different parts of the world.

37. UNU programmes may involve, inter alia, inter-‐disciplinary research, policy-‐oriented studies, and technical research; advanced training, especially for young scholars and scientists; dissemination of knowledge and the exchange of scientific and technological information; promotion of interaction among scholars, scientists, policy-‐makers, and others; and academic and scientific meetings.

17 It should be noted that since the “UNU Academic Programme and Budget Estimates for the Biennium 2010-2011” all narrative information relating to the Programmes of the University is being submitted by way of an electronic e-form –see: https://intranet.unu.edu/eforms/ - ; the data is then being reviewed and compiled by the Office of the Rector and Administration and Finance Unit before being submitted for approval to the Council of the University. 18 Counterpart funding refers to funding being made available to a project by a local donor which is not necessarily paid into UNU accounts, but supports the activities within the project.

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Programme monitoring and review 38. Directors shall monitor the implementation of the programmes for which they are

responsible, and report to the Rector twice per year 19 on the progress and performance of their respective programmes.

39. Periodic reviews of UNU programmes shall be carried out by the respective advisory boards/committees of UNU institutes and programmes, as appropriate, and collectively by the Conference of Directors, to ensure that the programmes meet the principles of UNU programmes.

Programme completion 40. A programme shall normally be completed when its component projects and

activities have been finalized and objectives achieved. A programme may be terminated before its completion by a decision of the University Council.20

Programme evaluation 41. The Rector shall arrange for the evaluation of UNU programmes to determine the

extent to which they have met the above-‐mentioned principles. 21 Evaluation methods shall be adapted to the nature of the programme being evaluated and may be conducted internally and/or externally. Programme evaluations will normally be covered as a part of the external peer evaluations of UNU institutes and programmes as set out in the UNU Policy on Quality Assurance.

42. The evaluations shall make recommendations concerning the utilization of the results of the programmes, the requirements for their possible continuation or the need for successor programmes. The findings of the evaluations shall guide the formulation and elaboration of the successive UNU programmes.

UNU academic programme and budget 43. The Council of the University adopts the UNU Academic Programme and Budget

document every two years.22 The document aggregates all UNU programmes as well

19 Reports provided for review by the Bureau at its mid-‐year meeting and at the annual Council session. Directors will also need to submit similar reports to the annual meeting of the Institute’s advisory board/ committee. 20 Projects and activities of terminated programme can be incorporated into other programmes. Note that the change or discontinuation of a programme does not necessarily entail the termination of projects or activities related to that particular programme. 21 Although it is not mandatory to evaluate UNU programmes, evaluation is encouraged in order to broaden the knowledge base for improving the quality of future UNU programmes. 22 The UN and UNU are in the process of implementing the International Public Sector Accounting Standards (IPSAS) which provide that financial statements should be presented at least annually. How this reporting requirement will impact the UNU budget cycle is not yet entirely known; however, it is proposed that yearly budget plans be made for the 2012-‐2013 biennium budget cycle, at the institute and programme level, to prepare for the IPSAS implementation. Most importantly, it is anticipated that the yearly budget plans would allow for better planning and monitoring of programme/project budgets as compared with the current practice of a simple budget allotment of 50:50 in each year of the biennium.

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as estimated income and estimated expenditure figures. It is a core management tool for planning, implementing, reporting, and evaluating the work of the University.23

44. Directors shall ensure that (1) the academic programme and budget proposals are within the framework of the UNU Strategic Plan; (2) programmes are linked to one or more thematic areas of focus as contained in the UNU Strategic Plan;24 and (3) relevant members of their academic/support team are fully involved in the formulation of the budget proposals.

45. The UNU Finance and Administration unit, in close collaboration with the Office of the Rector, compiles the proposals submitted by UNU institutes and programmes and seeks the advice and recommendations of the UN Advisory Committee on Administrative and Budgetary Questions (ACABQ). 25 The draft Academic Programme and Budget document is submitted by the Rector to the UNU Council together with the advice and recommendations of the ACABQ. In accordance with the UNU Charter, the Council adopts budget and approves the work programme for a two-‐year period.

23 As mentioned above and since the 56th session of the Council, each Institutes and Programmes are required to submit relevant information related to their programmes budget by way of an electronic e-‐form available at : https://intranet.unu.edu/eforms/ . 24 Since the 56th session of the Council, a maximum of five Programmes that together encompass all of the research and teaching activities are listed on the budget proposal of each institute. (Note that project level activities are no longer listed in the budget document.) The Institutes when designing their programmes have to describe how individual Programmes can be classified under the 26 topics of focus. Starting from the Biennium 2012-‐2013, all Institutes shall be submitting a maximum of seven programmes, the sixth programme being entitled ‘Programme Development’ and the seventh “ Teaching Activities”. 25 For more information on the role and function of the ACABQ, see http://www.un.org/ga/acabq/.

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Part II: Projects at UNU Introduction – Projects at UNU I. Pre-‐proposal Pre-‐proposal process II. Planning, appraisal, and approval Project planning

- Project formulation - Project selection

Project appraisal Project approval

- Approval authority and accountability III. Implementation and monitoring Financial management Project revisions

- Substantive revisions - Budget revisions

Quality management Project monitoring

- Monitoring mechanism Project completion

- Operational completion - Financial and administration completion - Suspension and cancellation - Archiving

IV. Evaluation

Evaluation framework and guidelines Impact assessment Use of results

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Introduction – Projects at UNU 46. This section of the manual entitled provides general guidelines and best practices

recommended for project management throughout the project cycle at UNU. It should be noted here that in exceptional cases, the Directors can waive these guidelines, or portions thereof, in relation to a specific project and decide on the applicability of specific procedures. However, the decision and justification to do so must be signed by the Director and archived.

Figure 1: UNU Project cycle

Pre-‐proposal

Project Planning

Project Appraisal

Project Approval Implementation and Monitoring

Completion and Evaluation

Lessons Learned

Best Practices Quality Management

Result Based Management

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1. Pre-‐proposal

The pre-‐proposal process 47. To ensure consistency among project submissions at UNU, to the extent feasible, a

two-‐step process (pre-‐proposal and full proposal) is recommended as a best practice. The pre-‐proposal represents the first step in project development. The pre-‐proposal should be brief, but it should contain sufficient detail to convey the importance and feasibility of the project.

48. Pre-‐proposals should be assessed by a committee composed of a minimum of two persons (one of which has expert knowledge of the thematic area of the project, and another with a sound knowledge of UNU programme/project management, administration, finance, and the project management), using the same criteria as ‘project selection criteria’ outlined in the ‘Project Planning’ section below.

49. Pre-‐proposals should be assessed based upon the relevance, feasibility, and

sustainability of the proposed projects as well as anticipated budgets. They are to be classified after the evaluation in one of the following three categories: 1) Further consideration is warranted (i.e. proceed to the planning phase); 2) Further clarification or additional information is needed; or 3) Further consideration is not warranted (i.e. not accepted).

50. It should be noted that a pre-‐proposal judged to be worthy of further consideration is not guaranteed approval when elaborated into a full project proposal.

51. On the basis of the above assessment, a decision is made on whether to draw up a full project proposal. Authors of pre-‐proposals recommended for further consideration will be invited to submit a full project proposal. Approval for submission of a project proposal will be done in writing and signed by the members of the committee; the approval will be archived together with the pre-‐proposal. Those invited to submit a full project proposal should be notified of the deadline for submission at the time of the invitation. If a full project proposal is invited, reasonable modifications of the budget or project work plan are permitted, as long as the scope and cost of the project are not significantly increased or decreased.

52. For ‘small projects’26 or projects/activities under the ‘Programme Development’

programme, which are judged by the committee to be time-‐sensitive and of sufficiently high quality at the pre-‐proposal stage, formal submission of a full project proposal is not required for implementation.27 In such case, the pre-‐proposal will stand in lieu and place of the project document, after the members of the committee have approved it. However, this should be considered as an exception; it is highly

26 Although defining financial thresholds for a project/activity may penalize institutes in developed countries, as the costs are generally higher; as a general guideline, projects with a total budget below USD 100,000 are classified as ‘small’ projects. For a definition of ‘small projects’, see the glossary. 27 This exception should be granted at the minimum. Written approval from the Directors of institutes and programmes is required.

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recommended that project managers develop full project proposals including for the so-‐called ‘small projects’.

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2. Planning, appraisal, and approval Project planning

- Project formulation - Project selection

Project appraisal Project approval

- Approval authority and accountability

Project planning 53. Project planning is a process whereby problems are identified, their causal linkages

analysed, and effective solutions developed. The result of this process may be embodied in a project with predefined objectives, activities, implementation plans and indicators of progress. There are two processes during project planning: 1) Project formulation; and 2) Project selection.

Project formulation 54. Project formulation is a process whereby relevant project ideas identified in the pre-‐

proposal phase are being further developed into operational project plans. During the project formulation phase, a full proposal is being developed which contains detailed information.28 The guidelines for full project proposal contain similar elements to those of the pre-‐proposals, with more detailed descriptions required together with appropriate budget information. 29 Project formulation involves further identifying and analysing the problem; identifying possible risks and finding possible solutions; preparing a strategy; estimating the level of support from a human resource perspective as well as the level of financial resources; and planning with regard to monitoring and evaluation. As projects are a component of programme(s), the project proposal should specify clearly how the project contributes to the implementation of the programme.

Project selection 55. In selecting topics for research, teaching, and dissemination activities, project

managers have the responsibility to ensure their high quality and relevance. Project managers also have the responsibility to ensure that the planned projects will bring added value to the institution rather than duplicating already existing projects; they have to ensure that there is a niche for the planned projects. They also have the responsibility to identify the outcomes and outputs of projects and to foresee relevant dissemination plans. In selecting specific projects, UNU project managers will assess the relative importance of the issues against six criteria that relate specifically to UNU. These criteria are: 1) The relevance of the topic to the UN objectives of promoting peace, security, and

prosperity including the Millennium Development Goals. The issues of peace and

28 A template project proposal will be made available for all UNU project managers. 29 Budget information includes budget expenditures and sources of funds.

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security, international law, humanitarian affairs, human rights, and development emerge most clearly from the UN Charter. This includes the issue’s particular relevance to the developing world, and whether it reflects the need to include and enhance North-‐South and South-‐South collaboration;

2) The relevance of the topic to the overarching goals of UNU to contribute to global sustainable development—which is development that meets the needs of the present without compromising the ability of future generations to meet their own needs (Brundtland Report, 1987);

3) The nature and scale of human impact and the extent of the problem (i.e., global problems or issues occurring in many countries with the potential for replicability of solutions) as well as its degree of urgency (i.e., pressing issues rather than potential problems in the distant future). The Charter mandates UNU to “devote its work to research into the pressing global problems of human survival, development, and welfare that are the concern of the UN and its agencies”;

4) Whether the issue requires focused attention and relates to a critical gap in understanding on the causes of the problem and its potential solutions, or a lack of capacity so that UNU can make a real contribution through research, education, and dissemination;

5) The additionality UNU could bring by focusing on the issue—the presence of expertise within UNU staff and its immediate networks and the existence of prior experience within UNU are important considerations, as is whether UNU can effectively solve the problem;

6) The extent to which a proposed topic of research and teaching takes account of its “interconnectedness” with other topics, issues, and problems.

Project appraisal

56. Appraisal is a critical, analytical review of the design and formulation of the project proposals that are submitted for approval. All UNU projects30 should be appraised before approval. The appraisal consists of a review of the draft project proposal, which should be conducted by a minimum of three experts31 selected by the Directors. Directors are responsible to make a final decision of the appraisal process32; an appraisal form should record their decision and bear their signature. The document should be archived with other project documents.

57. The appraisal is to ensure the merits of the proposal against the following selection criteria33:

30 No differentiation is made between core funded and SPC funded projects. 31 These experts should not be directly involved in the formulation of the project proposal (two of which with a substantive knowledge of the thematic area of the project, and another with knowledge of the UNU programme/project management, administrative, finance, and the project cycle). For ‘small’ projects (with threshold below USD 100,000), the appraisal can be conducted by a minimum of two experts (one plus another with the same background mentioned above). 32 It should be noted, however, that the Directors might decide not to follow the recommendation made by the Committee and allow an implementation of the project despite the absence of support for the project from the Committee. 33 A template for project appraisal will be developed and made available for this purpose.

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1) The extent to which the activities, results, and objectives conform and contribute to the UNU’s mandate and strategic and programme objectives;

2) The extent to which the results identified are realistic, clear, achievable, and sustainable; and related intervention is sustainable and replicable;

3) The extent to which gender and development perspectives are reflected in project strategies and activities;

4) The linkage between the justification or background and the intervention being proposed;

5) The comparative advantage and capacity of UNU and implementing partners to undertake the project;

6) The extent to which the project incorporates and builds on the previous experience and lessons learned of UNU;

7) The level of risk in full project implementation; 8) The proposal is in line with UN financial regulations and rules; meets the UNU

project design criteria; and is substantively and technically sound.

Project approval

Approval authority and accountability 58. The authority to approve projects is delegated to the Directors of UNU institutes and

programmes. However, in relation to projects requiring the issuance of Institutional Contractual Agreements (ICAs), over and above a USD 200,000 threshold34, approval by the Rector will be required.

59. As a part of the project approval process, Directors must certify that (a) sufficient funds are available for implementing the project from either (i) core funds; (ii) specific programme contributions; (iii) or a combination of (i) and (ii); or (b) that no funds are required for the implementation of the project as the activities will be implemented by an in-‐house researcher.

60. Once review comments from the project appraisal process have been addressed, and the project proposal is in line with UNU’s project guidelines, the respective Director may approve the project proposal by signing it. Once the project proposal is formally approved, it becomes the project document.

61. The project documents will guide the project implementation, monitoring, and evaluation throughout the project cycle. Funds may be disbursed for a project only after the Director has signed the project document. For externally implemented projects, the project document also forms the contractual basis for any undertaking with a cooperating agency or supporting organization. It also forms the basis for the terms of agreement for any consultancy or contractual services for the project.

34 This threshold applies to individual ICAs, not to total of all issued ICAs.

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3. Implementation and monitoring Financial management Project revisions

- Substantive revisions - Budget revisions

Quality management Project monitoring

- Monitoring mechanism Project completion

- Operational completion - Financial and administrative completion - Suspension and cancellation - Archiving

Financial management 62. Financial management of a project is to be implemented in line with UN financial

regulations and rules (ST/SGB/2003/7) throughout the project cycle. The project manager may be delegated certain aspects of financial management, often those associated with controlling and monitoring project expenses. Financial management involves applying controls by the certifying officer and approving officer that ensure the project stays within the agreed budget.35

63. In addition to the financial management aspects of a project (project income, budget allotments and expenditure), project managers must also monitor activities, output completion, and workflows against their implementation plans, output delivery, and the progress made towards achieving the results and objectives according to their anticipated milestones or benchmarks.

Project revisions 64. Project documents may be revised at any time by agreement with the approval of

the Director. The purpose of revising the document is to make substantive or financial adjustments to the project.

Substantive revisions 65. A substantive revision is a formal change in the design of the project during the

project cycle. It is made in response to changes in the project context, unforeseen risks, or to correct flaws in the design that emerge during implementation.

66. Substantive revisions should be reviewed and approved by the Director. The project revisions must be in writing, signed by the Director and archived. The changes or modifications should be reflected in the project documents describing changes in

35 It should be noted that, at UNU, financial management is taking place through the ATLAS System.

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the relevant sections of the project document. Where there are extensive changes to the project, or when serious difficulties in achieving results are encountered to the extent that a redesign may not bring a permanent solution, the project team must consider suspension of activities and, where appropriate, formulate a new project document.

Budget revisions 67. In the interest of sound financial management, budgets must be kept up to date and

aligned with agreed plans in order to properly assess progress and performance. If during a project cycle, a project budget deviates substantially from the budget in the project document, a budget revision must be made by the project manager, in conjunction with Administration and Finance, and signed by the Director of the institute or programme.

Quality management36 68. Aiming at the highest possible quality across the University system, quality

management should be integrated throughout project cycle. The project manager should ensure that project team members understand their roles in achieving quality goals and expected results are achieved through effective and efficient use of resources. Institutes and programmes managing a project should set up the necessary mechanisms to track progress towards results.

69. In order to achieve expected results within the approved budget and time frame, the planning of projects requires the integration of key indicators from results that specify the project objectives; setting of baselines, benchmarks, targets, and milestones; and collecting data, analysing, and reporting.

70. Indicators are important and useful tools for monitoring progress (or lack thereof)

toward project objectives. 37 All indicators should, wherever possible, be disaggregated by gender, age, ethnicity and socio-‐economic grouping. Gender-‐sensitive indicators have the special function of pointing out how far and in what ways development programmes and projects have met their gender objectives and achieved results related to gender equity. Gender-‐sensitive indicators have the special function of pointing out how far and in what ways programmes and projects have met their gender objectives and achieved results related to gender equity.

71. Indicators may be used at any point along the results chain of outputs, outcomes, and impacts.38 There are three main levels of indicators: 1) Output indicators that measure the quantity and timeliness of the results from

specific activities, projects or programmes. Output indicators could be, for example, target audiences reached, the number of printed outputs/documents/

36 Subject to revision based on UNU Quality Assurance Framework. 37 See proposed framework of Macro-‐indicators of Institutional Development in Annex 1. 38 It is recommended to have output and impact indicators at the level of programme with a possibility of tracing back to the project level.

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papers, outreach/coordination initiatives; or electronic/digital outputs (system, Internet, CDs, DVDs);

2) Outcome indicators that are likely to be qualitative observations on progress being made (or lack of progress) as a result of the outputs having been realized;

3) Impact indicators that serve to identify the degree of change over the long term, which can be used in any ex-‐post evaluation of the project, several years after its completion.39 Examples include academic impact, policy impact, socio-‐economic impact, strategic impact, scientific and technological impact, and environmental impact and sustainability.

Project monitoring 72. Project monitoring is an essential component of project management. Monitoring is

a continuous process to ensure that the project activities are being implemented in an effective and timely manner. Monitoring also makes it possible to provide the main partners in the project with an early indication of the progress being made in achieving project objectives. It is a continuous and internal process that also looks at project processes (both programmatic and financial) and makes changes in assumptions and risks associated with target audiences, institutions, or the surrounding environment.

73. A regular analysis of the progress made during project implementation through monitoring serves to validate the initial assessment of relevance, effectiveness and efficiency or to fill in potential gaps; or to detect project deviations; or to detect early signs of the project’s success or failure. Monitoring also entails effective assessment of a project budget allowing for analysis of actual project expenditures against the planned project budget. Monitoring assists project managers to address any impediments to progress and to take corrective actions to achieve results within the project time frame.

74. In practice, the design, establishment, and role of internal monitoring depends mainly on the individual expertise and vision of the project managers. Several factors to be monitored include a) management of inputs, b) progress towards outputs, outcomes, and impacts, and c) potential risks to achieving project results allowing for early implementation of effective mitigation strategies. Project monitoring could also imply administrative monitoring as well as monitoring of research quality and performance of research projects. This project monitoring can be carried out informally (through meetings) or formally (through written reports using a web-‐based information sharing system), the latter being strongly encouraged.

Monitoring mechanism 75. The project monitoring mechanism may include the following components:

39 Impacts are generally not realized over the duration of a typical project. For operational purposes it is recommended focusing on programme and projects outcomes and ensuring that they are measurable over the lifetime of the programme and project.

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1) Reporting and analysis on financial and non-‐financial aspects (e.g. annual project report; six-‐month progress report, work plan);40

2) Validation (e.g. field visits, external assessments, surveys, and evaluations); 3) Participation (e.g. outcome groups, steering committees, donor meetings, annual

review). 76. Reporting promotes continuity and clarity of progress made to all who are involved

in the projects and activities. Reporting guidelines define two kinds of monitoring reports: 1) Progress reports show the current state of implementation and should be

compiled by the project manager. A progress report includes a brief narrative on the status of implementation of the project in relation to the original work plan. The report should describe what activities have been undertaken to date. It should also highlight any achievement or output made within the project and should describe any problem or constraints encountered in the project. The progress report should also include a brief description of the forthcoming planned activities within the project.

2) An annual report describes the status of implementation of each project and related activities throughout the preceding year.

Project completion 77. UNU projects range from small short-‐term research projects with no external donor

or only one donor to larger projects spanning many years comprising international consortia and numerous project partners to strategic cooperation within the UN system with other UN agencies. What makes the University so unique is the vast diversity of projects it carries out. Yet one defining feature of a project remains constant—a project is finite (i.e. it has a beginning and an end).

78. All projects come to an end on two interrelated, fundamental levels: 1) Operational completion: project activities, goals, and objectives outlined in the

project document have been completed and realized; 2) Financial and administrative completion: all financial and contractual

transactions have been processed and the final financial and administrative reports have been completed.

79. Effectively completing and closing a project at UNU positively contributes to the

soundness of academic programming but also to the objectives and mission of UNU in various ways. By incorporating certain minimum project completion activities at the end of a project, valuable feedback can be generated indicating where strengths and weaknesses occurred throughout the project. Such vital feedback makes it possible not only to avoid similar project pitfalls in future activities, but also highlights project strengths and methodologies that can be applied in future projects.

80. Completing a project is characterized by a(n): 40 Progress reports should ideally be completed each quarter. However, the minimum periodicity of progress reports is once every six months.

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1) Final Report41 The Final Report outlines the use of resources, accentuates the activities implemented, and assesses project results and outputs. This provides an impetus for subsequent evaluation of actual project activities, results, and outputs against those planned in the project document. Because operational and financial completion of a project is interrelated, the Final Report should elaborate on how project funds were utilized throughout the project cycle. The Final Report shall also highlight the lessons learned over the process.

2) Internal Financial Statement

The Internal Financial Statement reports the final financial results of the project which provides a forum for comparing final expenditures against the planned project budget. The Internal Financial Statement certifies the total amount of resources used in implementing the project. The Financial Statement is be signed off by a UNU Approving Officer signifying that all financial and contractual transactions related to the project have been settled.

81. The following sections provide guidelines and principles explaining when a project

has ended, both operationally and financially.

Operational completion 82. A project is operationally complete when all activities have been implemented,

project results and objectives have been achieved, project outputs have been delivered within the time frame, and quality and budget constraints have been indicated in the project document. Implementation of activities, realization of results, and project outputs should be included in the Final Report drafted by the project manager and signed off by the respective Director.

83. If a project will not be operationally complete within the time frame denoted in the project document, a request for a project extension including the rationale for the extension may be approved by the Director and submitted to the project donor(s). The project extension must be in writing, signed by the Director and appropriate donor signatories. The extension must also indicate the new date of expected completion, and must be archived.

84. As a good practice, project deviations42 in terms of timeline, budget, scope, for

example, should be identified by the project manager and corrective action taken during the course of project execution, for example through project revisions. Such deviations should be mentioned in the Final Report.

41 This ‘Final Report’ could be an appropriate place to report on staff time per particular project. However, it should be noted that documentation of researcher hours/time on a project should be kept flexible and should not present an undue burden on the researcher. 42 There may be cases where deviations from the original project plans are inevitable due to unforeseen circumstances, these issues should be quickly addressed and in this sense, the project manager and Director should consult the donor to develop a way forward so that correction actions or alternative procedures are taken during the project cycle.

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Financial and administrative completion 85. Financial closure is the process of completing all project-‐related financial

transactions and closing the project financially.43 A project can only be financially completed after it is operationally complete or has been cancelled. Financial completion of a project provides a detailed overview of actual expenditures which can be compared against planned project costs as outlined in the project document. As a general rule, all UNU projects should be financially complete within a maximum of 24 months after having been operationally completed.

86. Prior to financial and administrative completion, the project manager in cooperation with Finance and Administration, shall take the necessary steps to address any project surplus or deficit. Surpluses will be transferred back to the donor or retained by UNU, if agreed to by the donor(s). The project manager and respective Director will decide where to transfer the project surplus (e.g. to another project or to a programme development fund). After this has been determined, the project manager will notify Finance and Administration to where the funds should be transferred and a General Ledger Journal Entry will be made by Finance and Administration accordingly.

87. If a UNU project ends with a deficit,44 the respective Director will contact the project donor(s) in order to suggest a budget revision in the project document to reflect the budget deviation. If the budget revision is granted by the donor(s), financial completion may proceed as per the revised project document. If a budget revision is not granted by the donor(s), the project manager and the Director will identify surplus funds from other sources to cover the budget deficit. Once funds are successfully identified, financial completion may proceed accordingly.

88. Upon financial and administrative completion, the project manager, in consultation with Finance and Administration, will prepare a Financial Statement which explicitly states:

"All [NAME OF PROJECT] costs and corresponding project budget have been duly settled and [NAME OF PROJECT] has been financially closed."

89. The Final Report including the lessons learned, as mentioned above, will be

completed by the project manager, signed off by the respective Director, and archived with the project document.

Suspension and cancellation 90. A UNU project may be suspended or cancelled before its completion by a decision of

the project manager and the respective Director. The most common reason for project cancellation is that expected project results will not be able to be realized even if a project redesign is undertaken. If it is decided to suspend a project, the project manager or respective Director must notify the donor(s) accordingly.

43 UNU projects cannot be considered financially closed until all contractual obligations have been settled and all financial transactions have been processed in the ATLAS system. 44 The project manager must take necessary actions to ensure that there is no project budget deficit at project completion.

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Additionally, if the project manager or respective Director decides to continue operation of a suspended project, the donor(s) must also be notified accordingly.

91. If a project is cancelled before its completion, the project manager or respective Director shall consult the project donor(s). A report, including justification of project cancellation, is then to be drafted by the project manager and signed off by the respective Director.45

Archiving 92. Archiving refers to the systematic storing of project artefacts46 throughout the

project cycle. While hard copy archives may be maintained by project staff in order to increase transparency, ensure accountability, and cultivate a forum where essential project information is readily available, archiving should take place digitally in an Intranet-‐based system which shall also support the Programme Project Management System (PPMS).

93. Digital archiving will also be vital in facilitating the development and maintenance of an Intranet-‐based project management tool whereby project documents and reports are filed and available to all UNU project staff.47 In this sense, project personnel at one UNU institute or programme will be able to gain practical insight into the research and development activities of other institutes and programmes, thereby fostering potential synergies and collaboration as well as providing a forum for basic knowledge sharing.

45 All unspent project funds and net of cancellation costs will either be transferred to another project or programme development fund in the ATLAS system or they will be transferred back to the donor(s) by Finance and Administration, depending on the donor’s stipulations. If total project costs, including cancellation costs, exceed the funds provided for the project, the Director will identify surplus funds from other sources to cover the deficit. 46 Project artifacts or primary documents include, but are not limited to, the pre-‐proposal and project proposal, signed project document, project content and financial reports, donor reports, strategic and noteworthy correspondence, memos for the record, Final Report, and Internal Financial Statement. 47 Discretion will be needed to ensure that sensitive information is archived appropriately and not made available publicly.

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4. Evaluation

Evaluation framework and guidelines Impact assessment Use of results 94. Evaluation is a systematic and objective assessment of projects (and/or

programmes), in relation to stated objectives and target audiences, aiming to determine the relevance, efficiency, effectiveness, impact, and sustainability. Project evaluation is an assessment that takes place at a specific point in time in which objective procedures are used in a systematic way to judge the effectiveness of activities within the project, the project’s design, its implementation, and overall results. Within the scope of the duration of the project, the evaluation should not only examine the immediate objectives, results, and activities, but also the outcomes, impacts, and sustainability of the project. The process of reviewing or evaluating work48 is vital for recognizing and understanding successes and failures, for learning from experiences, and for sharing lessons learned with others.

Evaluation framework and guidelines 95. Evaluation is an important tool to analyse and assess performance against its

objectives. 49 It can be conducted from an accountability perspective, a developmental perspective, or a knowledge/academic values perspective. Evaluation can be carried out by the project team itself (internal evaluation, self-‐evaluation, or self-‐study), by an independent group of consultants or peer review (external evaluation), or by a well-‐balanced combination of internal and external evaluation.

96. An evaluation report should be prepared as a self-‐evaluation report or factsheet at

the project closure, including the elements below: 1) A presentation of findings, conclusions, recommendations, and further

elaboration of lessons learned; 2) Evaluation of administrative and management performances; 3) Self assessment on how well the goals of the project were achieved and analysis

for all quality work carried out; 4) Team performance;50 5) Special acknowledgements to team members; 6) Special acknowledgement of donors (optional).

97. For external evaluation, the ‘peer review’ approach can be used to cover the overall

coherence and impact of the programmes as well as the quality of completed projects. This approach shall consist of involvement by knowledgeable contracting

48 The monitoring system and project reviews could be used to provide complementary information for evaluation process. 49 Evaluation could be used as a decision-‐making process for project extension. 50 This section should be confidential when it applies to specific individuals and their performance.

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professionals and personnel from related disciplines that are from outside the project team being reviewed. These personnel are to be involved in the design and conduct of the review, in the verification and validation of review policies, procedures, practices, and in the resolution of review findings.

98. Institutes could carry out internal or external evaluation depending on the scope and overall goal of the project.

Impact assessment 99. Impact assessment is the systematic analysis of the lasting or significant changes—

positive or negative, intended or unintended. Impact assessment therefore considers more than the immediate, predicted outputs of an intervention (project or programme) and is much more concerned with the implications in the medium and long term. However, assessing impact must be looked at from a long-‐term perspective, taking into account the different impact indicators identified in paragraph 71.3.

Use of results 100. A project evaluation should be conducted at the end of the project to foster the

learning process. Project lessons learned should be actively captured throughout the project cycle to ensure ongoing learning and adaptation within the organization. In addition, in order to promote knowledge sharing, ideas, experiences, and lessons deriving from the project should be shared with other UNU colleagues through the Intranet-‐based system for future project design and implementation. This information should then be fed back to senior management or future policy, as it will inform other projects underway or planned.

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Glossary

Terms Working Definitions

Accountability Accountability is the obligation of the Organization and its staff members to be answerable for delivering specific results that have been determined through a clear and transparent assignment of responsibility, subject to the availability of resources and the constraints posed by external factors. Accountability includes achieving objectives and results in response to mandates, fair and accurate reporting performance results, stewardship of funds, and all aspects of performance in accordance with regulations.51

Activity An activity is in most cases a task or work to be carried out in order to bring a project to a completion and accomplish the project’s objectives. In other cases, activities are not related to any particular project, but contribute to the accomplishment of the objectives of a programme.

Appraisal Appraisal is a critical analytical review of the design and formulation of the project proposals that are submitted for approval.

Approval A formal process whereby a Director of a UNU institute or programme must certify that (a) sufficient funds are available for implementing the project from either (i) core funds; (ii) specific programme contributions; (iii) or a combination of (i) and (ii); or (b) that no funds are required for the implementation of the project as the activities will be implemented by an in-‐house researcher.

Approving Officer Approving officers are designated by the Under-‐Secretary-‐General for Management to approve the entry into the accounts of obligations and expenditures relating to contracts, agreements, purchase orders and other forms of undertaking after verifying that they are in order and have been certified by a duly designated certifying officer. Approving officers are also responsible for approving the making of payments once they have ensured that they are properly due, confirming that the necessary services, supplies or equipment have been received in accordance with the contract, agreement, purchase order or other form of undertaking by which they were ordered and, if the cost exceeds USD 2,500 (or its equivalent in other currencies), in accordance with the purpose for which the relevant financial obligation was established. Approving officers must maintain detailed records and must be prepared to submit any supporting documents, explanations and justifications requested by the Under-‐Secretary-‐General for Management. (Source: Financial Regulations and Rules of the United Nations -‐ ST/SGB/2003/7)

Baseline A baseline is information about the situation before a programme, a project, or an activity begins. Without a baseline, effective monitoring is not meaningful.

Benchmark A benchmark is a standard of excellence or achievement, which can be used to compare current achievement to or to set a target. A benchmark serves as a reference point in determining the current situation or position relative to the stated objective.

Best Practice Best practice is a technique, method, or process (either within UNU or within other organizations) that has been identified as a more efficient and effective way to bring about the intended result. Best practice is based on experience and is certainly one that an organization should consider using to improve overall performance, taking

51 New definition of “accountability” as proposed in the Report to the Secretary-General “Towards an accountability system in the United Nations Secretariat”, A/64/640, 29 January 2010

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into account the circumstances of the organization. Biennium The two-‐year period during which a UNU Academic Programme and Budget is being

implemented after its formal adoption by the Council.

Certifying Officer Certifying Officers are responsible for managing the utilization of resources, including posts, in accordance with the purposes for which those resources were approved, the principles of efficiency and effectiveness and the Financial Regulations and Rules of the United Nations. Certifying officers must maintain detailed records of all obligations and expenditures against the accounts for which they have been delegated responsibility. They must be prepared to submit any supporting documents, explanations, and justifications requested by the Under-‐Secretary-‐General for Management. (Source: Financial Regulations and Rules of the United Nations -‐ ST/SGB/2003/7)

Core Funds Income derived from the UNU Endowment Fund, operating contributions, contributions for the UNU Headquarters Building, sales income and royalties from publications, and the cumulative surplus carried forward.

Donors Donors or funders are those from whom the UNU can potentially receive donations. At the UNU, eight types of donors are identified, including, the public sector (national governments, regional organizations, such as the European Union, and local governments), foundations, private corporations, wealthy individuals, estates, private/public partnerships, professional associations, and alumni.

Directors of Institutes and Programmes (or Director(s))

The Directors of institutes and programmes currently52 comprise the Directors of UNU-‐BIOLAC, UNU-‐CRIS, UNU-‐EHS, UNU-‐FNP, UNU-‐FTP, UNU-‐GTP, UNU-‐IAS, UNU-‐IIAOC, UNU-‐IIGH, UNU-‐IIST, UNU-‐INRA, UNU-‐INWEH, UNU-‐ISP, UNU-‐MERIT, UNU-‐WIDER. “Directors of institutes and programmes” means the Directors of UNU Research and Training Centres and Programmes as defined in the UNU Charter.

Evaluation Evaluation is a systematic and objective assessment of projects (and/or programmes), in relation to stated objectives and target audiences, aiming to determine the relevance, efficiency, effectiveness, impact, and sustainability.

Financial and Administrative Completion

The stage of a project cycle where all financial and contractual transactions have been processed and final financial and administrative reports have been completed.

Impact The overall and long-‐term changes – positive or negative, intended or unintended—caused by implementation of a project or a programme.

In-‐kind Contribution

In-‐kind contributions are voluntary contributions received in the form of services or goods. Such contributions should normally be reported when the donation can be used in the normal course of UNU academic activities.

Indicator A quantitative or qualitative verifiable variable that provides a simple and reliable basis to measure changes, results, performance, or achievement.

Input Resources that a project can draw upon in order to conduct programme or project activities to accomplish objectives.

Lessons Learned Any insights gained based on the findings of one or more evaluation that can be usefully applied on future projects in order to foster knowledge transfer across the UNU system.

52 As of September 2011.

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LogFrame A management tool mainly used in the design, monitoring, and evaluation of projects to help assess what has been achieved against the plan.

Milestone A significant event in the project toward achieving a targeted result. It is used as a project checkpoint to validate how a project is progressing.

Monitoring Monitoring is a continuous process to ensure that the project activities are being implemented in an effective and timely manner.

Objective A stage that a person, a project, a programme, or an organization intends to accomplish. It can be expressed in terms of outputs, outcomes, and/or impacts.

Operational Completion

The stage of a project cycle where project activities, goals, and objectives outlined in the project document have been completed and realized.

Outcome The medium and/or long term results of a programme or project relative to its objectives that are brought about as a result of outputs.

Output The products that result from the completion of activities.

Peer Review A review approach that consists of involvement by knowledgeable contracting professionals and personnel from related disciplines from outside the project team being reviewed. These personnel are to be involved in the design of the review, in the verification and validation of review policies, procedures, practices, and in the resolution of review findings.

Pre-‐Proposal The pre-‐proposal represents the first step in project development. The pre-‐proposal is a brief document which contains sufficiently detailed information to convey the importance and feasibility of the project.

Programme A programme is a cluster of individual projects and activities aimed at reaching the same overall objectives.

Project A project is an interrelated set of activities with a specific time frame, with start and end dates, and defined budget and resources in order to achieve an objective.

Project Document A project document is a project proposal which has been formally approved. The project document further serves as a binding document between UNU and the project donor(s).

Project manager Project manager is a role, not a functional title. Based on each institute, a project manager can be called, for example, project implementer, project leader, project focal point, etc. The project manager is involved in all phases of a project, from its beginning stages to completion; ensures that the expected results are achieved on time to the highest quality and standard, and within the budget outlined in the project document; and is accountable for the overall project management. Project managers should have a thorough understanding of the goals of a project and guidelines related to project management and quality assurance framework. The project manager takes decisions related to the project, yet with consultation of administrative and others personnel in relevant matters. A project must have someone assigned as a project manager to take care of all aspects of the project.

Project Planning A process whereby problems are identified, their causal linkages analysed, and effective solutions developed. The result of this process may be embodied in a project with predefined objectives, activities, implementation plans and indicators of progress.

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Project Proposal (or Full Proposal)

A project proposal is a document which identifies and analyses the problem, as well as possible risks and solutions; it describes a strategy; it comprises estimation regarding the level of support and resources required from both human and financial perspectives; it further includes some indication on planning, monitoring and evaluation. The project proposal must further specify clearly how the project contributes to the implementation of the programme. Once formally approved, the project proposal becomes the project document.

Qualitative Indicator

A measure used to assess changes that are not easily quantified. It helps providing descriptive information related to the changes.

Quality Quality is a relative concept determined by comparing a set of characteristics with a set of requirements. Quality should be an integral part of the work of all UNU personnel.

Quality Management

Quality management includes best practices drawn from internal and external organizations to ensure quality of all areas of UNU activities.

Quantitative Indicator

A measure of quantity and time in numerical form.

Results Based Management (RBM)

A flexible management approach that emphasizes results in planning, implementation, learning and reporting, gender mainstreaming, and learning approaches.

Small Project A project with a total budget below USD 100,000.

Specific Programme Contributions (SPC)

Funding received from donors for specific UNU programmes and projects. It is intended to support academic activities over and above planned activities financed from the core income. A “Report on Overhead Policy on Specific Programme Contributions (SPCs)” was submitted for adoption at the 57th session of the Council (UNU/c/57/L.11). On this occasion, the members of the Council endorsed the implementation of the policy of overhead charges on SPCs to supplement the core income in the preparation of the 2012–2013 budget, provided that this was done flexibly, taking into consideration the specificity of the institutes. Obligations can be incurred and payments made only after SPC funds have been received. If the funds for specific programmes and projects do not materialize in the course of budget execution, the activities will not be initiated and no expenditures will be incurred. NOTE: At its 48th session, the UNU Council introduced the concept of a “Gearing Ratio”, which represents the ratio of the SPC income to total income, as an indicator of the ability to mobilize external contributions for specific UNU programmes and projects. The UNU Council has since reiterated the importance of working towards attaining this benchmark as an average while acknowledging that the reality may be quite different for the different parts of the UNU.

Target A defined level of accomplishment which a project, programme, or organization plans to achieve within a specific time frame.

Target Audience A primary group of people who will be directly affected by the project or benefit from the project and who would be the main user(s) of project results.

Task A specific piece of work required to be done.

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Work Plan A summary of tasks, time frames and responsibilities used as a monitoring tool to ensure the production of outputs and progress towards outcomes.

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Annexes

I. Annex 1 -‐ Results Based Management (RBM) Basic principles of RBM Pitfalls in implementing RBM RBM and UNU Operationalizing RBM for programmes & projects General steps for operationalizing RBM Adaptive project management based on RBM findings Using RBM at the institutional level Macro-‐indicators of institutional development – MIDs Compiling information for macro-‐indicators

Basic principles of RBM Results Based Management (RBM) can be broadly defined as a flexible management approach that emphasizes results in planning, implementation, learning and reporting, gender mainstreaming, and learning approaches. A results approach aims at improving management effectiveness and accountability by defining objectives realistically, monitoring progress toward achievement of the expected results, integrating lessons learned in management decisions and reporting on performance. A UNU results framework is reflected in a chain of results that starts with the strategic goals and measures as defined in its Strategic Plan, which in turn are achieved through project outputs. RBM may take on different forms when applied to different institutes or projects. However, to ensure quality across the University system in relation to programme and project management, a strong results orientation must be seen as a critical element of all UNU programme and project activities, providing accountability framework outlines at the level of (1) Programme Manager/Programme Officer/Project Manager; (2) Director; and (3) overall monitoring by the Rector. At the broadest level, RBM process should supply answers to some fundamental questions, like:

1) Are the programmes/projects relevant to the attainment of the objectives of the UNU?

2) What major results have been achieved to date? Are they relevant? 3) Were these results achieved in a cost-‐effective manner? 4) Are these results sustainable? 5) Is there adequate sharing of responsibility and accountability within the

institution? 6) Is there institutional capacity for informed and timely action to adapt to

changing situations?

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RBM presents a structured and organized way to achieve this improvement and to steer institutional strategies. In a pragmatic sense, RBM emphasizes specific steps that are taken and associated techniques that are employed in order to focus more attention on the achievement of results. Effectiveness of RBM also depends on how the staff members in an organization engage in and benefit from it. Acceptance, adoption, and deployment by staff members and management teams are thus central to its success. This proposed RBM process relies heavily on those promoted by the Joint Inspection Unit (JIU) of the United Nations and the Canadian International Development Agency (CIDA).

Pitfalls in implementing RBM Some aspects of RBM approaches, if not designed carefully, can be counterproductive. It is useful to know these pitfalls and actively plan to avoid them. Examples of common pitfalls are:

1) Creating monitoring and reporting processes that are overly elaborate, so that they assume a life of their own and detract from the intended objective;

2) Incorrect definition of indicators such that they are either not representative of the results sought or simply not measurable;

3) Setting the bar too low for achievements, such that while the projects or institutions may ostensibly meet the goals set out in a RBM framework, they represent major under-‐performance;

4) Not putting adequate adaptive management processes in place at either the project or the institutional level, so that lessons learned are not adequately applied.

RBM and UNU In today’s constantly changing environment, UNU is faced with new challenges and opportunities. In order to fully meet the challenges and exploit the opportunities, it must follow a systematic and carefully laid out strategy. Such a strategy must be underpinned by contemporary approaches used to measure performance and provide course correction as needed. RBM provides such a framework within which achievement of results is assured by regular monitoring, feedback and strategic guidance. Devising an RBM approach for a unique institution like UNU, which serves as a bridge between the academic and UN realms, is no textbook task. There are not any readily available methodologies that can be picked off the shelf, ready for use. In designing a new approach, one has to be particularly mindful that it should not stifle the innovative and entrepreneurial spirit of a relatively small organization with its varied institutes and programmes.

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Adoption of an RBM approach is invariably a learning-‐by-‐doing process—it is also gradual and iterative. As a very first step, an intense and engaged discussion with UNU’s staff members within each institute is required in order to shape the overall approach and how it might be applied.53

Operationalizing RBM for programmes & projects At the operational level, an RBM approach influences how programmes and projects are designed recorded, implemented, monitored, reported, and modified over time. Some general steps for its implementation are outlined here.

General steps for operationalizing RBM In a broad sense, the following seven key steps are undertaken to operationalize RBM for an institution: Step 1: Establish a clear conceptual framework for the introduction of RBM. Step 2: Articulate realistic objectives and sought-‐after results for each project. This takes the form of a “logical framework” (or LogFrame), described in Annex 2, that ties objectives, activities, outputs, outcomes, and impacts. Emphasis should be given to measuring outcomes of programmes and projects and the indicators required to do so. This is because impacts are generally not realized over the duration of a typical project. Rather there is a broad target impact that is aimed for over a relatively long period of several years. For operational purposes it is more convenient to focus on programme/project outcomes and to ensure that they are measurable over the lifetime of the programme/project. Step 3: Identify and list the key indicators to be used in measuring progress—typically aligned with outputs, outcomes and impacts. Step 4: Align the resource inputs with the planned activities and initiatives. Step 5: Develop a simplified monitoring and reporting process, using the indicators selected in Step 3. Step 6: Learn from the successes and shortcomings to the benefit of future development. A systematic strategic review process can be central to this exercise; for example, the advisory board or committee of each institute or programme could perform this function on a regular basis.

53 A two-year test cycle is to be implemented during the 2012-2013 Biennium, for the University to gauge the PPMM and the proposed RBM approach, whether the management of project has improved and resulted in more effective projects.

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Step 7: Identify actions to be undertaken and assign responsibilities for responding to the review.

Adaptive project management based on RBM findings The results of RBM should be used adaptively (Steps 6 and 7 above) in order to modify projects and programmes and hence it is viewed as an on-‐going process rather than a rigid prescriptive system of check offs. In the short term, regular annual reports to the UNU Council should contain inter alia summary analyses of progress being made by each programme and project. These annual reports would draw upon the monitoring of the projects, assessments of lessons learned from end-‐of-‐project reviews, and assessments of significant change in UNU’s global operating environment.

Using RBM at the institutional level General principles UNU needs to learn lessons from its successes and setbacks to help guide its on-‐going development as an organization. To ensure that the feedback is utilized, a clear, practical and systematic procedure must be established. This procedure should take advantage of information generation by each programme and project, as well as taking a broad overview of institutional progress. Such a broad institutional overview requires some measurable indicators to be monitored on a periodical (e.g., annual) basis. Those indicators—both quantitative and qualitative—can be used to answer broad questions that the UNU wishes to pose such as those outlined in the UNU Strategic Plan. Conversely, those questions can be used to construct a framework of indicators. Such a framework of Macro-‐indicators of Institutional Development (or simply, MIDs) is presented in this section.

Macro-‐indicators of institutional development – MIDs MID 1: Relevance of UNU design: The following measurements need to be made for this indicator (some are qualitative in nature):

1) The clarity in articulation of UNU’s objectives; 2) The fit between UNU’s substantive and procedural objectives and broadly

accepted principles of international development; 3) The resources available to UNU as: (a) the core funding; and (b) additional leveraging; 4) The degree of success with which UNU orchestrates the movement from start to

finish of an activity, including e.g., the development of networks; the ability to gain in-‐kind contributions from partners; etc.

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MID 2: Relevance of the results: The key interested parties (the donors, the developing country partners, UN organizations and UNU’s staff) share an interest in ensuring the relevance of UNU’s work to the needs arising from global issues. The following qualitative measures can be used for this purpose.

1) The fit between UNU’s priorities and those of related national governments, the scientific/researcher community, and international development organizations, as expressed through the number of partners actively working with UNU.

2) Uptake of the findings from UNU’s activities into on-‐going policy formulation and planning processes at the international and national levels.

MID 3: Cost-‐effectiveness of the results: This indicator records the reasonableness of the relationship between the costs and the results of UNU’s activities. The following measurements are used:

1) The resource leverage obtained for every dollar of core, untied funding, in terms of:

(a) specific programme contributions; and (b) direct and indirect revenue leverage by UNU’s partners; 2) Significant staff and administrative changes implemented to increase cost

effectiveness. MID 4: Sustainability of the results: This indicator relates to the sustainability of the results being achieved in the partner countries as well as the sustainability of UNU to continue to generate such results. The following measurements are used:

1) The percentage of the project completed that had succeeded in getting adequate resources in place for its execution;

2) The percentage of projects that succeeded in meeting: (a) their targets completely; and/or (b) less than 75 per cent of their targets;

3) The percentage of received funding and other services that were sought from the partner institution for the reporting period;

4) The satisfaction with UNU’s work, expressed in terms of the number of requests received for further collaboration from: (a) donors and other investor partners; and (b) developing country partners.

MID 5: Sharing of responsibility and accountability: UNU depends upon its sharing of responsibility and accountability with its partners. The following measurements are situation indicators designed to maintain up-‐to-‐date quantitative information on the nature of the network:

1) UNU partners in implementation; 2) UNU personnel and network associates, by country; 3) UNU staff, stakeholders and project partners.

MID 6: Capacity for informed and timely action: This indicator should capture significant changes in UNU’s capacity to minimize risks associated with the development, funding and implementation of creative responses to developing country needs. The following qualitative measurements are used for this purpose:

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1) The capacity of UNU’s extensive networks to provide UNU with the information needed to comprehend fully its operating environment within which it plans, funds and implements its projects;

2) The capacity of UNU’s staff to learn from its setbacks and successes and thus to demonstrate resilience in, and to recover from, adverse situations;

3) The capacity of UNU to minimize and respond to risks that may affect project funding through:

(a) the involvement of local people in project design (to ensure relevance); and (b) the involvement of more than one funding and operating partner, where appropriate (to add to the relevant experience and to spread financial risk);

3) The capacity to make appropriate trade-‐offs in responding to developing country needs and the known risks associated with meeting those needs.

Compiling information for macro-‐indicators In order to successfully use the MIDs for strategic planning and direction setting, it is essential that the baseline for each MID is clearly defined and the overall targets to be achieved are laid out at the outset of the planning cycle. Operationally, it is also useful to define “stepping stones” or short-‐term targets. Similarly, it is important to articulate the assumptions and risks associated with achievement of sought-‐after results and targets. Reporting on most of the MIDs should be done on an annual basis. However, it is reasonable to anticipate that some MIDs may be measurable only over longer periods of time, and thus, be reviewed only in five-‐year institutional reviews.

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