Total budget and workplan Award ID: 00081135 Project ID(s): 00090570 Award Title: Country Name Project Title: Enhancing Capacity to Develop Global and Regional Environmental Projects in the Pacific. Business Unit: WSM10 Project Title: Country Name Project Title: Enhancing Capacity to Develop Global and Regional Environmental Projects in the Pacific. PIMS no._______ 5160 Implementing Partner (Executing Agency) Secretariat of the Pacific Regional Environment Programme (SPREP) GEF Outcome/Atlas Activity Responsible Party/ Implementing Agent Fund ID Donor Name Atlas Budgetary Account Code ATLAS Budget Description Amount Year 1 (USD) Total (USD) Budget Note OUTCOME 1: (as per the results framework) SPREP FUDICIARY CAPACITY ENHANCED UNDP 62000 GEF 71200 International Consultants $350,000 $350,000 International specialist/experts to strengthen policies, procedures and tools for SPREP's internal control framework, code of ethics, evaluation functions, whistle-blowing, project management guidelines, procurement, financial disclosure, and audit (internal and external). 71300 Local Consultants $150,000 $150,000 Local fiduciary consultants to help programs and strengthening plans - transferring of knowledge to in-country consultants for availability of services locally. Also paid for the remaining balance of salaries for the local project coordinator and technical coordinator performing technical support to the project. 71400 Contractual services - Individuals $217,430 $217,430 Consultants fees/services for fiduciary stocktaking of fiduciary capacity practices and capacity building. include finance service of a consultant for a period of one year. sub-total GEF $717,430 $717,430
001880 SPREP 74100 Professional Services $94,866 $94,866 Annual Operational Costs for the Internal Auditor plus 70% of staff time ($71,834) dedicated to supporting the evaluation outputs of this project. Also include 20% of staff time from SPREP legal adviser to support ethics, whistle-blowing outputs of this project and other policy work that will need legal guidance. sub-total SPREP $94,866 $94,866 Total Outcome 1 $812,296 $ 812,296 OUTCOME 2: (as per the results framework) ENV & SOCIAL SAFEGUARD POLICY & GUIDLEINES DEVELOPED UNDP 62000 GEF 71200 International Consultants $50,000 $50,000 International specialist to develop SPREP's organizational policy on environmental and social safeguards including training of SPREP staff on the application (implementation and M &E) of this policies. sub-total GEF $50,000 $50,000 001880 SPREP 74100 Professional Services $36,062 $36,062 20 percent technical and policy support provided by the SPREP Planning and Capacity Development Adviser and the Environment Planning Officer to the international consultant. sub-total SPREP $ 36,062 $36,062 Total Outcome 2 $86,062 $86,062 outcome 3: (as per the results framework) GENDER MAINSTREAMING POLICY & GUIDELINES DEVELOPED UNDP 62000 GEF 71200 International Consultants $50,000 $50,000 International specialist to develop SPREP's organizational policy on gender mainstreaming including training of SPREP staff on the application (implementation and M &E) of this policy. sub-total GEF $50,000 $50,000 Total Outcome 3 $50,000 $50,000 OUTCOME 4: UNDP 62000 GEF 71200 International Consultants $50,000 $50,000 International IT specialist to provide technical expertise for upgrading SPREP web-based project management information system, financial management information system, and human resource information system.
74599 UNDP cost recovery charges- Bills $25,000 $25,000 Direct Project Costs (DPC) are costs that are incurred by UNDP for the delivery of project inputs. These execution-related costs are completely separate and distinct from General Management Support (GMS) costs that are incurred by UNDP regardless of the implementation modality chosen for the project. The Letter of Agreement (LoA) specifies the support services that would be considered as DPCs. 74100 Professional Services (Audit Fee) $10,000 $10,000 Payment costs for the audit, considering an estimated budget based on audit quotations of other similar projects with SPREP, UNDP and GEF. sub-total GEF $82,570 $82,570 001880 SPREP 71400 Contractual Services - Individuals $361,241 $ 361,241 20 percent of 14 SPREP professional staff providing management, technical and policy support to the project. These include Director General, Deputy Director General, Director of Environment Monitoring and Governance Division, Finance and Administration Adviser, Procurement Officer, Human Resources Adviser, GEF Support Adviser, Executive Officer, Biodiversity Officer, Invasive Species Adviser, IT Manager, Solid Waste Management Adviser, Internal Auditor and Legal Adviser. 72100 Contractual Services - Companies $147,868.60 $147,867.60 Includes 6 months of electricity bill worth $60,000 plus Office space for the PMU and SPREP staff who are supporting this project (include water, furniture, administration support etc) totalling $87,939.60. sub-total SPREP $ 509,108.6 $509,108.60 Total Management $591,678.60 $591,678.60 PROJECT TOTAL $2,814,502.60 $2,814,502.60
Annex 2: Logical Framework Project Strategy Objectively verifiable indicators Sources of verification Risks and Assumptions Indicator Baseline value Target value and date Long-term goal: To enable SPREP to support 14 Pacific Island Countries to more effectively achieve global environmental benefits by strengthening their key institutional and individual capacities. Project objectives: A. To strengthen SPREP's capacity to assist Pacific Island Countries' implementation of the three Rio Conventions. B. To enable pacific island countries to expedite access to GEF resources through SPREP. Outcome indicators: Number of Pacific Island countries enabled to implement the three Rio Conventions Extent to which SPREP’s policies, procedures &core functions pertaining direct access to GEF resources (including fiduciary capacity, social & environmental safeguard policy, gender been met. Number of Pacific Island countries strengthened their relevant Government functions that expedite access to GEF resources through SPREP SPREP’s fiduciary capacity is limited, and its policies and procedures are not aligned to GEF’s social (including gender mainstreaming)& environmental safeguard All Pacific island countries are slow in accessing MEAs funding. By the end of the project: 14 Pacific countries successfully implemented the three Rio Conventions SPREP accredited as a GEF Project Agency by the end of the project. All of the 14 Pacific island countries will have fast track access to MEA funding such as the GEF. Meeting Minutes Working Group meeting reports UNDP quarterly progress reports Independent and final evaluation reports Social and environmental policy. Gender mainstreaming policy. GEF Cross-Cutting Capacity Development Scorecard SPREP Stage II application. Implementation of 14 Pacific Countries NCSA Action Plans and other GEF Projects. Pacific island government's and the GEF maintain deep commitment to SPREP's accreditation application. The project will be executed in a transparent, holistic, adaptive, and collaborative manner Policy and institutional reforms and modifications recommended by the project are correct and match GEF's minimum accreditation standards. Objectively verifiable indicators Sources of Risks and Assumptions
Project Strategy verification Indicator Baseline value Target value and date Outcome 1: MEA funding access fast tracked. Output 1.1 Stage I &II application for GEF accreditation completed and submitted. Status of accreditation of Stage II applications SPREP Stage I application submitted, while stage II has not been submitted yet. Stage I Value-Added Review noted 3 areas need strengthening: (1) Demonstration of Environmental or Climate Change Adaptation Results; (2) Institutional Efficiency; and (3) Network and Contacts. Stage II applications finalized and received by the GEF Secretariat by 31 December 2014. Final Stage II application form. GEF Secretariat acknowledgement of receipt. GEF Council maintains support to SPREP's application. The MSP is not completed in time the accreditation deadline expires by the 31st December 2014. Assume that the GEF Council will approve a second or third round of accreditation. New Policies introduced through this project will need time to be tested and reported back to the GEF; Stage II application will be affected from the lack of evidence to testify the success of new policies that would meet GEF minimum accredited standards. Outcome 2: SPREP Fiduciary Capacity strengthened and met GEF’s accreditation standards Project Strategy Objectively verifiable indicators Sources of verification Risks and Assumptions Indicator Baseline value Target value and date Output 2.1: SPREP’s financial management/controls (including external audit Appointment/contracting an External Auditor firm . Financial control Existing SPREP Independent Audit Committee. Audit committee to Adequate financial control (including external audit) in place and operational External Audit Firms recruited biennial under External auditor ToR Meeting minutes Tracking and Independent external auditor has always been recruited annual and audit opinion reports are submitted
function) strengthened and become adequate/in compliance with financial regulation & procedures. mechanisms/types of audit Number of external audits of audits financial control oversee management of issues raised by the internal auditor. Limited SPREP fiduciary capacity. EU audit in 2008, 2011, and end of 2014. the financial regulations progress reports Audit Reports SPREP Governing Council Meeting approval of external auditor reports. to the SPREP Governing Council Meeting for discussions and approval. Management response and action plans for every audit are channeled through the independent audit committee consisting of Non-SPREP staff. New Policies introduced through this project will need time to be tested and reported back to the GEF; Stage II application will be affected from the lack of evidence to testify the success of new policies that would meet GEF minimum accredited standards. Project Strategy Objectively verifiable indicators Sources of verification Risks and Assumptions Indicator Baseline value Target value and date Output 2.2: Financial Management and Control Frameworks strengthened and meet GEF’s accreditation standards. Extent to which SPREP has functioning internal control framework Extent to which Roles and responsibilities Limited internal control framework. SPREP Financial Regulations. Procurement Manual. Financial Manual of SPREP's internal control framework and procedures are revised/developed and meet GEF Minimum accreditation standards. SPREP Internal Control Framework Approved. Meeting minutes Internal control frameworks will consolidate all of SPREP's operational and management procedures and
Procedures documented and practiced. policies that would meet GEF minimum accredited standards. Project Strategy Objectively verifiable indicators Sources of verification Risks and Assumptions Indicator Baseline value Target value and date Output 2.4: Strengthens SPREP's Code of Ethics. Status of documentation and functionality of SPREP's internal control framework addressing ethics. Approval and application status SPREP's Code of Ethics . Availability of Procedures for administering the Code of Ethics . Internal Control Framework not documented. SPREP's Code of Conduct and Organizational Value Pamphlet. SPREP Staff Regulations Booklet. Internal control framework that includes ethics available and functional SPREP's Code of Ethics approved and applied. Procedures for administering the Code of Ethics prepared and applied SPREP's internal control framework documented. Current Code of Ethics are appropriate but may need revision to meet GEF minimum accredited standards. New Policies introduced through this project will need time to be tested and reported back to the GEF; Stage II application will be affected from the lack of evidence to testify the success of new policies that would meet GEF minimum accredited standards. Project Strategy Objectively verifiable indicators Sources of Risks and Assumptions
verification Indicator Baseline value Target value and date Output 2.5: Strengthens SPREP's internal audit functions. SPREP's internal control framework documented. IIA standards applied. Terms of Reference revised. Audit Plan Internal Auditor post established and filled since 2011. Terms of Reference. Independent Audit Committee. Revised Terms of Reference IIA compliance. SPREP's internal control framework. Revised Terms of Reference. Audit Plan. Meeting Minutes Current Terms of Reference may need revisions to meet GEF minimum accredited standards. New Policies introduced through this project will need time to be tested and reported back to the GEF; Stage II application will be affected from the lack of evidence to testify the success of new policies that would meet GEF minimum accredited standards. Project Strategy Objectively verifiable indicators Sources of verification Risks and Assumptions Indicator Baseline value Target value and date Output 2.6: Strengthens SPREP Project Management through Results Based Management. Extent which SPREP's Project and activity appraisal process fulfils GEF guideline. SPREP's Project Management Guideline in place. SPREP's Risk No SPREP Project Management Guidelines. SPREP's Project Management Guideline. SPREP Risk Management Plan. SPREP's Environmental and Social Safeguard Policy. SPREP's Gender SPREP's internal control framework. SPREP's project appraisal process. SPREP's Project Management Guideline. New Policies introduced through this project will need time to be tested and reported back to the GEF; Stage II application will be affected from the lack of evidence to testify
Management Plan in place. SPREP's Environmental and Social Safeguard Policy and Procedures in place. SPREP's Gender Mainstreaming Policy and Procedures in place. SPREP's Monitoring and Evaluation Policy and Guidelines in place. Enterprise Risk Management Framework adopted in SPREP. Mainstreaming Policy. Enterprise Risk Management SPREP's Risk Management Plan. SPREP's Environmental Social Safeguard Policy and Procedures. SPREP's Gender Mainstreaming and Procedures. SPREP's Monitoring and Evaluation Policy and Guidelines. Enterprise Risk Management Framework the success of new policies that would meet GEF minimum accredited standards. Project Strategy Objectively verifiable indicators Sources of verification Risks and Assumptions Indicator Baseline value Target value and date Output 2.7: Performance and accountability improved by integrating M&E information system policy, guideline, framework and plan into SPREP project/programme management.. Availability and functionality of SPREP's internal control framework Availability of SPREP's Monitoring and Evaluation Policy and Guidelines. NO functional internal control framework No M&E policy and guideline No enterprise risk management SPREP's Monitoring and Evaluation Policy and Guidelines prepared and operational. Enterprise Risk Management Framework available and used. SPREP's internal control framework. SPREP's Monitoring and Evaluation Policy and Guidelines. Enterprise Risk New Policies introduced through this project will need time to be tested and reported back to the GEF; Stage II application will be affected from the lack of evidence to testify
Adoption of Enterprise Risk Management Framework in SPREP. Number of Evaluation Reports produced Evaluation Reports. Management Framework. .Evaluation Reports the success of new policies that would meet GEF minimum accredited standards. Project Strategy Objectively verifiable indicators Sources of verification Risks and Assumptions Indicator Baseline value Target value and date Output 2.8: Strengthens SPREP's Investigative Capacity. SPREP's Fraud Policy Updated. SPREP's investigation guidelines, procedures and Terms of Reference approved. SPREP's Monitoring and Evaluation Policy and Guidelines in place. Enterprise Risk Management Framework adopted in SPREP. Case Trends Reports SPREP's Fraud Policy. Staff Regulation. Financial Regulation. Risk Management Plan. SPREP's Updated Fraud Policy. SPREP's investigation guidelines, procedures and Terms of Reference. SPREP's Monitoring and Evaluation Policy and Guidelines. Enterprise Risk Management Framework adopted in SPREP. Case Trends Reports. SPREP's Fraud Policy. SPREP's investigation guidelines, procedures and Terms of Reference. SPREP's Monitoring and Evaluation Policy and Guidelines. SPREP's Enterprise Risk Management Framework. Case Trends Reports. New Policies introduced through this project will need time to be tested and reported back to the GEF; Stage II application will be affected from the lack of evidence to testify the success of new policies that would meet GEF minimum accredited standards. Project Strategy Objectively verifiable indicators Sources of verification Risks and Assumptions Indicator Baseline value Target value and date Output 2.9: SPREP's Whistleblower Protection function strengthened. Status of SPREP's Fraud Policy and Procedures. Status of SPREP's Whistleblower Policy and Procedures Availability of SPREP's Fraud Policy outdated. SPREP’s Whistleblower Policy and Procedure not available SPREP's Fraud Policy and Procedures updated. SPREP's Whistleblower Policy and Procedures approved. Hotline Number available SPREP's Fraud Policy and Procedures. SPREP's Whistleblower Policy and New Policies introduced through this project will need time to be tested and reported back to the GEF; Stage II application will be
Telephone Hotline. Status of SPREP webpage dedicated for reporting fraud Availability of Periodical Reports of intake information available. No telephone hotline Risk Management Plan not available. Email address for public complaints not available. and operational. SPREP Website includes webpage for fraud operational. Periodical Reports of intake information available and used Procedures. Telephone Hotline Number. SPREP webpage dedicated for reporting fraud. Periodical Reports of intake information. affected from the lack of evidence to testify the success of new policies that would meet GEF minimum accredited standards. Outcome 3: SPREP's Environmental and Social Safeguard Policy and Guideline Developed. Project Strategy Objectively verifiable indicators Sources of verification Risks and Assumptions Indicator Baseline value Target value and date Output 3.1: Develop SPREP's Environmental and Social Safeguard Policy and Guideline. Recruitment of an Environmental Specialist/Expert. Recruitment of a Social Scientist. SPREP Environmental and Social Safeguard Policy and Guideline. SPREP does not have an Environmental and Social Safeguard Policy and Guideline per se. Environmental Specialist/Expert. Social Scientist. SPREP Environmental and Social Safeguard Policy and Guideline. Consultancy Contracts. Meeting minutes Tracking and progress reports SPREP Environmental and Social Safeguard Policy and Guideline. New Policies introduced through this project will need time to be tested and reported back to the GEF; Stage II application will be affected from the lack of evidence to testify the success of new policies that would meet GEF minimum accredited standards. Outcome 4: SPREP's Mainstreaming Policy and Guideline Developed. Project Strategy Objectively verifiable indicators Sources of verification Risks and Assumptions Indicator Baseline value Target value and date
Output 4.1: Develop SPREP's Gender Mainstreaming Policy and Guideline. Recruit Gender Specialist/Experts. SPREP's Gender Mainstreaming Policy and Guideline approved. SPREP Procedures and Tools in place for gender mainstreaming in the secretariat and project designs. Gender mainstreaming training undertaken for key staff. Gender mainstreaming considered at project levels but no such policy exists for the organizations as a whole. SPREP's Gender Mainstreaming Policy and Guideline. SPREP Procedures and Tools. Gender mainstreaming training. SPREP's Gender Mainstreaming Policy and Guideline. SPREP Procedures and Tools. Gender mainstreaming training. New Policies introduced through this project will need time to be tested and reported back to the GEF; Stage II application will be affected from the lack of evidence to testify the success of new policies that would meet GEF minimum accredited standards. Outcome 5: SPREP's Information, Communication and Technology Systems Enhanced. Project Strategy Objectively verifiable indicators Sources of verification Risks and Assumptions Indicator Baseline value Target value and date Output 5.1: Strengthen SPREP's Information, Communication and Technology Systems. SPREP Intranet upgraded for including new functions and features to support policy implementation introduce SPREP Financial Management Information (FMIS) and Human Resource Information(HRIS) Systems upgraded with project management interface functions. SPREP Intranet. CC Portal Pacific Environment Information Network (PEIN). SPREP's FMIS and HRIS systems. SPREP web-based project management information system. web-page. SPREP's FMIS and HRIS systems upgraded. SPREP web-based project management information system. SPREP's FMIS and HRIS systems upgraded. New Policies introduced through this project will need time to be tested and reported back to the GEF; Stage II application will be affected from the lack of evidence to testify the success of new policies that would meet GEF minimum accredited standards.