3.3 - Inception Phase
Following the recruitment of the PCU the project can be considered truly ‘operational’. The first significant milestone for the PCU will be to complete and inception phase. This phase provides additional clarity on the project or refines the ProDoc to account for changes that may have occurred since the ProDoc was prepared and CEO approval. The Inception Phase will result in a detailed project plan and budget (in considerable detail for year 1) and culminate in an Inception Meeting which is an opportune occasion to hold the first Project Steering Committee meeting to approve the workplan a budget.
This is often the first opportunity for Project Managers to meet key national and regional stakeholders to introduce themselves and the project prior to the formal PSC. The following are expected tasks for the project in the Inception Phase (typically within the first 3-6 months of the operational project):
Activity |
GEF implementing agency |
GEF executing agency |
PCU |
PSC |
Countries |
Establishing the PCU |
|||||
Equipping the office |
X |
L |
X |
||
Staff security/safety |
X |
L |
X |
||
Developing in-house manuals and procedures |
X |
X |
L |
||
PCU training material and plan |
X |
L |
|||
Templates for ToRs, reports etc. |
X |
L |
|||
Linking with regional/global projects, donors and stakeholders |
X |
X |
L |
X |
X |
Confirming GEF agencies reporting requirements |
X |
X |
L |
||
Confirming the GEF executing agency’s financial reporting and management expectations/procedures |
X |
L |
|||
Project Implementation Plan |
|||||
M&E review and planning |
L |
X |
|||
Review of indicators and establishment of baseline |
L |
X |
X |
||
Preparing stakeholder engagement plan |
L |
X |
|||
Information Management Plan |
L |
X |
|||
Communication plan (project identity, website, standard templates/layout etc.) |
L |
X |
|||
Establishing mechanism to track co-finance |
L |
X |
X |
||
Detailed workplan for year 1 (PIP) |
X |
L |
X |
X |
|
Detailed budget for year 1 |
X |
L |
X |
||
Inception Meeting/PSC/Project Launch |
|||||
Inception Report |
X |
X |
L |
X |
X |
Preparation for Inception Meeting/first PSC |
L |
X |
|||
Inception Workshop |
X |
X |
L |
X |
X |
Project Steering Committee |
X |
X |
X |
L |
X |
Revision to Inception Report & follow-up plan |
X |
L |
X |
L – Lead; X – involved
ESTABLISHING THE PCU
The PCU, personnel, offices, equipment, procedures etc. need to be established as quickly as possible. The requirements and issues will be very dependent on the arrangements identified in the ProDoc and agreed between the GEF implementing and executing for the project. Ensuring that these preparatory actions are completed efficiency will assist with completing inception phase leading to beginning the ‘real’ work of the project quickly. It is very easy at this stage of the project to lose significant time which is difficult to make-up later.
The following elements should be considered:
- Equipping the office: including buildings, furniture, IT equipment (consistent with the expectations of the ProDoc) etc.
- Staff security/safety: UN Security course, the GEF executing agency’s guidance
- Developing in-house manuals and procedures: Project summaries/briefs for different stakeholders, guidance on day-to-day activities for PCU staff
- PCU training material and plan: Link to the GEF executing agency and technical courses available;
- Templates for ToRs, reports etc.: presentations, reports, ToRs etc. should be designed to have a standard project appearance (including logos of all the agencies, partners etc).
- Project website: This should be developed as soon as possible keeping in mind the wide range of stakeholders that are likely to use this. IW:LEARN offers advice and assistance in developing IW project websites.
- The project will need to link with other on-going regional/global projects, donors and stakeholders to develop synergies and share results. It is likely that these links will have been highlighted in the Project Document but the Project Staff will need to review these and ensure there is an on-going process to maintain links and to generate new project linkages.
- Confirming GEF agencies reporting requirements, including: PIRs, Quarterly Reports, GEF Tracking Tools, for example
- Confirming the GEF executing agency’s financial reporting and management expectations/procedures.
PROJECT IMPLEMENTATION PLAN
The preparation of a detailed operational plan (especially for the first years’ work) is essential. It is likely that several years will have passed since the conception of the project and the preparatory work of the PIF that led to the project document. Clearly there is a need to review the whole document to ensure that the project logic is still correct (note: changes to the ProDoc objectives and outcome are only permitted with GEF approval), to evaluate the outputs expected, to assess the M&E plan (specifically to assess the planned indicators), to establish the project baseline (against which progress will be reported/monitored), to identify if the risk logic is appropriate, etc. The Inception Phase is an opportunity to undertake a ‘reality check’ of the proposed work and to present the updated/confirmed (‘adaptive’ management) approach to the stakeholders of the project and to seek approval of the workplan and budget from the first Project Steering Committee.
- M&E review and planning: Key points for consideration in the review and planning of M&E will include:
- Review of indicators and means to record/report progress;
- Establishment of baseline;
- PIR requirements;
- Mid-term and terminal reviews/evaluations
- Project Steering Committees (see below)
2. Preparing stakeholder engagement plan: Key points for stakeholder engagement include:
- Identification of stakeholders and relationships (building on the information in the Project Document);
- Understanding the needs and expectations of stakeholders;
- Identifying what information is required and when it is needed.
3. Communication plan: Key points for consideration in developing a communication plan include:
- What will the project ‘communicate’ to who and why (link with information management plan)?
- Developing a project identity, website, standard templates/layout etc.
4. Information Management Plan:
- What information will the project collect and how should this be presented (link with stakeholder engagement plan)?
- How to record all information (link to web) and how to make it available (links to communication plan)
5. Establishing mechanism to track co-finance:
Key points for consideration include:
- Reconfirming the expected co-finance from partners. The Project Document will have identified cash and in-kind contributions from a range of project partners (and these amounts will have been confirmed in writing by the partners in the project preparation).
- To develop a process to identify that the commitments made are realised and any new contributions are recorded and progress on co-financing reported to the PSC;
6. Preparation of a detailed workplan for year 1 (Project Implementation Plan): The PIP is a substantive part of the Project Inception Report and will be submitted for approval by the PSC. The PIP will cover in detail: [examples]
- All key activities expected in the first year (with an outline leading to future years).
- Clear assignment of responsibilities for all tasks and activities;
- A detailed time-line indicating milestones and other deliverables expected in the first year;
- Expected meetings, reports etc.
- Links to the project budget (see below)
7. Detailed budget for year 1: The Project Document will have provided an overview of the budget against components and activities but a key task for the PCU will be to transform this overview budget to a detailed operational budget and to review the planned expenditures for the first year. It is likely that in reviewing the workplan and priorities there will inevitably be a need to change budgets between expense headings and/or activities. Key points to consider include:
- What changes are permitted between different expense headings from the approved Project Document and where approval for these changes have to be given (e.g. PSC, GEF agencies) - (references to limits maybe specified in the Project Document);
- Phasing of work and planned cash replenishments;
- Potential time-lags with any requests for budget changes and approval;
- Agreeing the level of detail for presentation to the PSC (keeping the balance between transparency and overloading participants with information detail)
8. Miscellaneous
- Private sector linkages. These may have been identified in the Project Document, however it is beneficial to review what opportunities exists to further expand private sector engagement. An important part of the PCU’s role is to assist with gathering additional co-finance and means of sustaining project activities post-project.
- Mainstreaming gender and ensuring climate variability issues are addressed within the project’s activities.
- Development and implementation of legal agreements with project partners in-line with the ProDoc and PIP (and subject to approval by the PSC). Note: these agreements can often take more time than anticipated.
INCEPTION MEETING/PSC/PROJECT LAUNCH
The first Project Steering Committee Meeting (sometimes linked with an Inception Meeting) is the first real challenge for the PCU. It is also the first opportunity to present the review of the inception phase and the detailed first year’s workplan. In preparation for the PSC it is essential that key documents and reports are prepared sufficiently far in advance (ideally a month) to enable stakeholders and partners time to review and prepare for the meeting. Careful attention should be given to the planning of the PSC (location, duration, participation etc.) and a formal ‘Project Launch’ to gain high level political support for the project.
1. Preparation for Inception Meeting/first PSC: It is the PCU’s responsibility to organise and inception meeting and the first Project Steering Committee. In general, the Inception Meeting (or workshop) is an opportunity to present the technical elements and approaches of the project, to review the overall plan, to confirm objectives, outcomes and goals of the project (as specified in the Project Document) and to reaffirm stakeholders who are involved (or should be involved) with the project. The Project Steering Committee is a formal body (usually defined in the Project Document) that reviews the approach presented, confirms the workplan and budget (subject to GEF Agency agreement). The PCU (in conjunction with the GEF implementing/executing agencies) should agree if these two meetings are better held independently or consecutively (usually the Inception Meeting proceeds the PSC for the formal endorsement of the plan). The PCU should prepare for these meetings by considering:
- Participants, location, date and duration of the meeting(s);
- Agenda for the meetings (including awareness on any controversial or contentious issues)
- Clarity on the role of the PCU (and its staff), the PSC, advisory groups etc.
- Internal clarity of the objectives of both meetings and what changes are likely to be requested (and what changes are possible/desirable respecting the Project’s goal and objectives)
- Funding/budget for the Inception meeting/PSC including clarity over who is supported (and who isn’t);
- Identification and preparing of material for the meetings (ToRs for PSC, background documents, hand-outs, ppts etc)
2. Inception Report: The purpose of the Inception Report is to refine and update the approach presented in the Project Documentation and to present a detailed workplan (including budget) for the first years’ activities. The Inception Report should strike a balance for being too comprehensive (trying to include too much) and being read by the main stakeholders of the project – including the PSC members. The PCU should consider:
- The expected purpose of the Inception Report (for example, to update all stakeholders on the project purpose, activities and any revisions, to present the detailed year 1 work programme and budget, to present any changes to the project baseline, etc.), including how it will be used operationally by the PCU
- ToC with examples presented HERE
- Inclusion of the detailed Project Implementation Plan and budget for the first year;
- Review (or update) of the project risks and mitigation measures;
- Proposed project approach to M&E;
- Indicators and project baseline to be used for monitoring progress.
3. Inception Meeting: The purpose of the Inception Meeting (or Workshop) is to present the goals, objective and approach of the project as agreed in the Project Document together with any recommendations for revision (due, for example, to the time between project design and start-up) to the stakeholders. This meeting should be carefully designed to focus the discussions on implementation rather than the original concept of the project that has been agreed by the GEF and countries. The PCU is responsible for organising this meeting and should consider:
- Objective of the meeting;
- How the workshop participants (and their discussions) can assist with the project implementation;
- Agenda for the meeting (including format for any parallel discussions, workshop activities, etc.;
- Expected output(s) and delivery of conclusions to the PSC.
- Experiences from GEF IW Projects in conducting Inception Meetings can be found here.
4. First Project Steering Committee: The first formal PSC will set the approach for the whole project, so it is important that this is carefully organised and managed. The PCU, together with the GEF implementing/executing and the countries will be responsible for coordinating the meeting. During the preparation for the PSC key issues will have been agreed [see above] including, location, duration, agenda, participation etc. It is usual for the PCU to act as the secretariat for the meeting and consequentially they will be responsible for all logistics, smooth operation of the meeting and preparing the minutes. In addition it is likely that the PCU (at least the Project Manager) will have a very active role at this meeting taking the lead in presenting the approach and explaining the workplan/budget. In addition to the preparation activities the PCU will need to address the following during the meeting;
- Formal acceptance of the Agenda;
- Appointment of the Chair for the meeting and the mechanism for sharing this responsibility across the countries/partners involved;
- Presentation of key aspects of the workplan, budget, project activities, M&E, reporting, etc.
- Confirming the Terms of Reference of the PSC
- Preparation of the draft Minutes and revision following comments (with agreed deadlines for both draft and final minutes).
5. Revision to Inception Report & follow-up plan: The final stage of the inception phase is the finalisation of the draft Inception Report following the discussions / comments from the Inception Meeting (or Workshop) and the formal PSC endorsement of the workplan. The Inception Report will be the operational document which the PCU will follow for implementation in the first year and sets the path for the subsequent years of the project.