Project document

5.PART III: Implementation Arrangements

5.1Project Management & Implementation

257. 
     The project will be implemented over a period of five years beginning in 2010. The project implementation plan is presented below. An inception period will be used to refine the project design and bring on board the relevant stakeholders for implementation.
     

5.1.1Execution Modality.

258. 
     The project will be implemented using two hybrid modalities: National Execution (NEX) and NGO Execution, and where UNDP will act as the provider of the services and facilities that come about through a successful proposal and the Ministry of Environment and Mineral Resources of the Republic of Kenya shall retain overall responsibility for UNDP support.
     
259. 
     The project will be executed by the Ministry of Environment and Mineral Resources (MEMR) and Nature Kenya with financial and technical support from the UNDP. The Ministry is responsible for policy mainstreaming and Nature Kenya is responsible for site activity execution. The three institutions, Ministry of Environment, Nature Kenya and the UNDP will be bound through a tripartite agreement.
     
260. 
     Within the Ministry, the National Environment Management Authority will be the GEF Focal point. The project would be funded by GEF through UNDP, which is accountable to GEF for project delivery. UNDP thus has overall responsibility for supervision, project development, guiding project activities through technical backstopping and logistical support.
     

5.1.2Oversight

261. 
     Project activities will be implemented at the national and landscape / site levels. The Project Coordination Unit will be responsible for overall national coordination of project activities, but in particular, it will coordinate national activities that are largely linked to policy and systematic and institutional capacities for managing expanded protected areas estates. Coordination among various Directorates, Government agencies and relevant stakeholders will be achieved through creation of a Project Coordination Unit (PCU) and Project Steering Committee (PSC).
     
262. 
     The PCU will also be responsible for coordination and mainstreaming of lessons and experiences into government operations, lessons learnt from activities in the Mau Forest Complex and linking with the National Task Force, a semi-autonomous body (agency) chaired by the Prime Minister which has oversight supervisory role on all project activities be they implemented by government or by Nature Kenya. The PCU will be headed by a Policy Specialist (PS) who shall be a salaried fulltime resource acquired competitively by both UNDP and Government.
     
263. 
     Nature Kenya will be responsible for coordinating the execution of all field activities as the technical partner and assumes accountability for financial management in respect of the activities.
     
264. 
     MEMR, UNDP and Nature Kenya will sign a tripartite agreement through which funds will flow from UNDP to MEMR through the Paymaster General which accounts for the government managed component and from UNDP to Nature Kenya for site level activities based on an approved workplan and via a disbursement scheduled agreed on during the project preparation and included in the project document detailing the resources and movement schedules.
     

5.1.3Project Steering Committee

265. 
     The Project will be guided and overseen by the Project Steering Committee (PSC), the highest decision making organ of the project. The PSC shall be housed within the MEMR. The PSC will be chaired by the Permanent Secretary of MEMR or his/her representative and shall be responsible for supervising project development, guiding project activities through technical backstopping and for contracting staff where necessary. UNDP will co-chair the PSC. The PSC members shall meet at least once in a year and comprise representatives from MEMR, UNDP, KFS, KWS, NEMA, KEFRI, Nature Kenya and East Africa Wildlife Society (EAWLS). The Policy Specialist and Site Support Specialist will be members of PSC as ex-officio observers responsible for taking and distributing minutes. Site Policy Officers shall attend meetings of the PSC by invitation and only on a need to basis.
     
266. 
     The role of the PSC will be to:
     

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  Supervise and approve the appointment of project staff
  
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  Supervise project activities through monitoring progress
  
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  Review and approve work plans, financial plans and reports
  
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  Provide strategic advice to the PCU for the implementation of project activities to ensure the integration of project activities with poverty alleviation and sustainable development objectives
  
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  Ensure coordination between the project and other ongoing activities in the country
  
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  Ensure interagency coordination
  
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  Ensure full participation of stakeholders in project activities
  
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  Provide technical backstopping to the project
  
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  Assist with organisation of project reviews and contracting consultancies under technical assistance
  
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  Provide guidance to the PCU
  

5.1.4Project Coordination Unit

267. 
     The PCU shall be located within the MEMR and will be responsible for day-to-day oversight and coordination on implementation of project activities including supervision of activities contracted to consultants by Government. The PS heading the PCU reports to the Permanent Secretary, MEMR and maintains liaison with UNDP. The Policy Specialist (PS) is assisted by an Administrator/ Accountant. The PS will liaise directly with the Site Support Specialist (SSS) at PCU meetings and will receive reports and feedback from Site Policy Officers through the SSS.
     
268. 
     The PC will link with the Mau Task Force for sharing lessons learnt relevant to the Mau Forest Complex (South West Mau and Maasai Mau Forests) and also those that will be government led such as institutional strengthening activities, policy and preparation of management plans.
     
269. 
     The SSS will report directly to the PSC on the basis of approved workplan participate directly at the PSC with the agencies reports and workplan approved at the same meeting, and shall work under the guidance of the Executive Director of Nature Kenya.
     

5.1.5Site Level Project Management

270. 
     The project will focus on three forest landscapes: Kakamega, North and South Nandi, and the Cherangani Hills. Overall management of activities in these landscapes will be coordinated by the PCU through the National Project Coordinator under the guidance of the PSC.
     
271. 
     There shall be three site committees to coordinate activities at the local level. The committees will be for Kakamega, Cherangani Hills and the two Nandi landscapes. Site committees will be responsible for forging linkage between sectors (agriculture, wildlife, forestry, planning, land water etc).
     
272. 
     The site committees shall be responsible for guiding and coordinating the delivery of site activities. They will meet at least once every quarter-year to review work plans, review progress, discuss implementation barriers, agree on ways of addressing conservation barriers, forge linkages, harmonizes activities, exchange information and experiences, provide guidance for implementation, make financial decisions and raise funds. Site committees will be comprised of representatives from: KWS; KFS; NEMA; the Ministries (Environment, Wildlife and Forestry, Water, Agriculture, Lands, Local Government etc); Regional bodies (LBDA, Kerio Valley Development Authority, South Ewaso Nyiro Development Authority) and their Boards; representatives of communities; private sector of representatives; Nature Kenya and local or locally active NGOs.
     
273. 
     Site committees will be chaired by District Commissioners of the districts where the landscapes are situated. They are supported by salaried Site Projects Officers, who ensure that all institutions receive funds, deliver activities according to work plans, prepare reports and account for their funds in a timely manner. The site policy officers are secretaries to the site committees. The various sectors will be facilitated by Nature Kenya to deliver activities approved within site plans and mandates.
     
274. 
     There shall be two Field Extension Officers in each of the three project sites (Kakamega, North and South Nandi and Cherangani). These will be salaried project employees contracted by Nature Kenya through competitive bidding processes. In all cases, project staff will be competitively sourced in accordance with UNDP procurement procedures and in compliance with respective GoK and Nature Kenya regulations on recruitment.
     

5.1.6Coordination between MEMR, Nature Kenya and other Stakeholders.

275. 
     The PSC will appoint a National Project Coordinator to both manage the activities of the PCU in Nairobi and in the field and to ensure consistent and regular collaboration between MEMR and Nature Kenya in particular as well as other key stakeholders, especially KWS, KFS, NEMA, KEFRI, local government and site specific NGO and CBO representatives.
     

5.1.7Project components.

276. 
     The project will comprise three complementary components. Each addresses a different barrier and have discrete outcomes. Overall management of these shall be coordinated by Nature Kenya through the SSS under the wider oversight of the PSC.
     

5.1.8Inception workshop

277. 
     The project will begin with an inception workshop. The PS will review the project document prior to the workshop and recommend revisions in light of the prevailing situation. This may include updating the log frame and institutional arrangements. The PS will present the finalised work plan and first quarterly plan to the PMG. All key stakeholders will participate and the workshop will offer an opportunity to ensure coordination between all the players and establish a common ground of understanding necessary to ensure the smooth running of project implementation.
     
278. 
     A fundamental objective of this Inception Workshop will be to assist the project team to understand and take ownership of the project’s goals and objectives, as well as finalize preparation of the project's first annual workplan on the basis of the project's logframe matrix. This will include reviewing the logframe (indicators, means of verification, assumptions), imparting additional detail as needed, and on the basis of this exercise finalize the Annual Work Plan (AWP) with precise and measurable performance indicators, and in a manner consistent with the expected outcomes for the project.
     
279. 
     Additionally, the purpose and objective of the Inception Workshop (IW) will be to: (i) introduce project staff with the UNDP-GEF expanded team which will support the project during its implementation, namely the CO and responsible Regional Coordinating Unit staff; (ii) detail the roles, support services and complementary responsibilities of UNDP-CO and the project team; (iii) provide a detailed overview of UNDP-GEF reporting and monitoring and evaluation (M&E) requirements, with particular emphasis on the Annual Project Implementation Reports (PIRs) and related documentation, the Annual Project Report (APR), Tripartite Reviews, as well as mid-term and final evaluations. Equally, the IW will provide an opportunity to inform the project team on UNDP project related budgetary planning, budget reviews, and mandatory budget re-phasings.
     
280. 
     The IW will also provide an opportunity for all parties to understand their roles, functions, and responsibilities within the project's decision-making structures, including reporting and communication lines, and conflict resolution mechanisms. The Terms of Reference for project staff and decision-making structures will be discussed again, as needed, in order to clarify each party’s responsibilities during the project's implementation phase.
     

6. 
   Project Hierarchy
   

5.1.9Technical Assistance

281. 
     Short-term national as well as international technical assistance (TA) may be provided by the Programme, on a consultancy basis, in order to overcome barriers and achieve the project outputs/outcomes (for example biodiversity surveys, conservation education, participatory planning, and income generating activities). TA will be directly contracted by the PSC, through a transparent procurement process (i.e. the development of Terms of References and recruitment) following UNDP regulations and will directly assist the implementing entities and report to the PAC. Many of the project components are innovative and need some level of local consultancy input. These include issues such as: Landscape planning, Protected Area Economics, Business Plans, Institutional Capacity Building, Protected Area gap analysis and climate change adaptation strategies, etc. Where needed these local consultancy inputs have been identified and budgeted.
     

5.1.10Funds flow

282. 
     Project funds will pass from GEF to UNDP and thereafter divided accordingly to MEMR on the one hand and Nature Kenya on the other, according to the specific tasks agreed upon.
     

5.1.11Secretariat

283. 
     As this is a single project with single reporting into GEF, a small administrative secretariat will be formed; with the mandate for reporting and coordinating work plans, between the activity centres (Nairobi and the field landscapes). The PSC will provide this function.
     

5.1.12Site Level Project Management

284. 
     At the site level the project will continue to work with established local CBOs and NGOs as well as with site specific village governments. At the district level within each of the three landscape sites a technical committee will be established, initially as an advisory body and to aid in effective dissemination of project related information to a broad array of stakeholder groups. As implementation of the project progresses it is planned that village associations and local organisations as well as district councils and KFS and KWS filed staff will take an increasingly responsible role in decision making about local project activities, fund raising and financing decisions in line with the principles of community-driven development and protected areas management that the project is to embrace.
     
285. 
     Daily project management at site level is provided through a Project Manager. Implementation of the project on a landscape, site specific level will fall to Nature Kenya as detailed above, working in close partnership with government and other stakeholders.
     

5.1.13Public involvement Plan

286. 
     At the national level the project will engage with governments, donors, NGOs, experts and representatives of relevant Kenyan Districts and Provinces over the finalization and ratification of an agreed strategy for the conservation of the Eastern Montane Forests of Kenya. The project will also seek to inform all stakeholders of the values of the Montane Forests, the problems that they are facing, and why they need better management. Nature Kenya will be heavily involved with this work, although all partners will also play their part.
     

5.1.14Reporting

287. 
     As head of the PCU, the National Project Coordinator will be responsible for the preparation of reports for the PSC and UNDP on a regular basis, including the following: (i) Inception Report; (ii) Annual Project Report; (iii) Project Implementation Report; (iv) Quarterly Progress Reports; and (v) Project Terminal Report. The Quarterly progress reports will provide a basis for managing project disbursements. These reports will include a brief summary of the status of activities, explaining variances from the work plan, and presenting work-plans for each successive quarter for review and endorsement. The Annual Project Report will be prepared annually, and will entail a more detailed assessment of progress in implementation, using the set indicators. It will further evaluate the causes of successes and failures, and present a clear action plan for addressing problem areas for immediate implementation.
     
288. 
     Annual Monitoring will occur through the Tripartite Review (TPR). The TPR will be composed of Government representatives, UNDP and the Project. This will serve as the highest policy-level meeting of the parties directly involved in the implementation of the project. The project will be subject to Tripartite Review (TPR) at least once every year. The first such meeting will be held within the first twelve months of implementation. The Annual Project Report (APR) will be prepared and submitted to UNDP-CO and the UNDP-GEF Regional Office at least two weeks prior to the TPR for review and comments. The project will be subjected to at least two independent external evaluations:
     

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  Mid-term Evaluation - will be undertaken at the end of the second year of implementation. The Mid-Term Evaluation will determine progress being made towards the achievement of outcomes and will identify course correction if needed;
  
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  Final Technical Evaluation - will take place three months prior to the terminal tripartite review meeting, and will focus on the same issues as the mid-term evaluation. The final evaluation will also look at impact and sustainability of results, including the contribution to capacity development and the achievement of global environmental goals.
  

289. 
     The PCU will, utilising input from the NK Project Manager, provide the country UNDP Resident Representative with certified periodic financial statements, and with an annual audit of the financial statements relating to the status of funds according to the established procedures set out in the Programming and Finance manuals. The Audit will be conducted by the legally recognized auditor of the Government, or by a commercial auditor engaged by the PCU.
     
290. 
     The Government of Kenya will provide the country UNDP Resident Representative with certified periodic financial statements, with an annual audit of the financial statements relating to the status of funds according to the established procedures set out in the Programming and Finance Manuals. The Audit will be conducted by the legally recognized auditor of the Government, or by a commercial auditor engaged by the Government.
     

5.1.15Legal Context

291. 
     This Project Document shall be the instrument referred to as such in Article I of the Standard Basic Assistance Agreement (SBAA) between the Government of Kenya and the United Nations Development Programme. The host country implementing agency shall, for the purpose of the Standard Basic Assistance Agreement, refer to the government co-operating agency described in that Agreement.
     
292. 
     UNDP acts in this Project as Implementing Agency of the Global Environment Facility (GEF), and all rights and privileges pertaining to UNDP as per the terms of the SBAA shall be extended mutatis mutandis to GEF.
     
293. 
     The UNDP Resident Representative in Kenya is authorized to effect in writing the following types of revision to this Project Document, provided that s/he has verified the agreement thereto by the UNDP-GEF Unit and is assured that the other signatories to the Project Document have no objection to the proposed changes:
     

1. 
   Revision of, or addition to, any of the annexes to the Project Document;
   
2. 
   Revisions which do not involve significant changes in the immediate objectives, outcomes or activities of the project, but are caused by the rearrangement of the inputs already agreed to or by cost increases due to inflation;
   
3. 
   Mandatory annual revisions which re-phase the delivery of agreed project inputs or increased expert or other costs due to inflation or take into account agency expenditure flexibility; and
   
4. 
   Inclusion of additional annexes and attachments only as set out here in this Project Document.
   

5.1.16Audit Requirement

294. 
     Nature Kenya will provide UNDP with certified periodic financial statements, having first passed them through the PAC, with an annual audit of the financial statements relating to the status of project funds according to the established procedures set out in the UNDP Programming and Finance manuals.