UNDEF PROJECT REVISION AND EXTENSION GUIDELINES
This paper elaborates on the conditions for UNDEF project revision and extension procedures. They have been drawn from UN standards in the matter.
A general distinction is to be made between project revisions and project extensions.
1- Project Revisions
Changes to a project that affect its scope (outputs and objectives), require a project revision approved by the UNDEF Office.
Changes to a project that do not affect the scope do not require a project revision approved by the UNDEF Office. For example, changes in activities to ensure achievement of an output do not require a project revision. While no specific approval procedure is required, these changes should be mentioned in the financial and narrative mid-term progress reports sent to UNDEF.
Substantive revisions
Conditions
A substantive revision involves a change either in the objective or outputs of the project.
Providing that the project remains relevant to the objectives of UNDEF and consistent with the project proposal on which the base for the allocation of the grant was made, project revisions can be made at any point in time under one of the following three circumstances:
A) in in the national or regional context,
B) to adjust the design and resource allocation to ensure the project operates effectively in a changing environment or
C) to undertake improvements in the design that may emerge during implementation.
Improvements justifying revisions are, for example clarifying objectives, adjusting expected results or indicators, making it easier to measure success; adjusting assumptions or conditions that are not materializing; the need for additional activities to produce the planned outputs.
In some cases, improvements may be introduced to the work plan instead of in a full revision, for example to introduce benchmarks for measuring progress.
Procedure
Substantive project revisions result from a participatory process involving the key stakeholders.
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They may be prompted by project team deliberations, by reports from beneficiaries or by monitoring, evaluation or review activities. Where a project is not proceeding as planned, the Implementing Agency should discuss with the Executing Agency and other partners how to improve the situation. The Executing Agency is expected to raise the issue in the narrative mid-term progress report.
The Executing Agency submits the project revision to UNDEF after consultations with
UNDEF.
The revision document should be signed by all the signatories to the original project document.
It describes changes in the relevant sections of the project document and contains the following:
- a cover page with justification
- a separate page which details any changes in objectives, outputs, activities or inputs by including new sections to replace old sections of the project document
- a revised Results Framework and budget
“Special situations”
A substantive revision may also be needed when a country faces an emergency or a
“special situation”.
Such a revision may include a change in the management arrangements for a project.
The Programme Manager of the Executing Agency is authorized to modify the management arrangements after consulting the other parties/stakeholders in writing and obtaining authorization of the UNDEF Office.
Similar to the procedure highlighted above, a change in management arrangements should be requested by sending UNDEF:
- A cover page which includes a detailed explanation of the context leading to the change in the management arrangements
- A new project document cover page signed by all the parties to the project information”)
- An updated version of the Results Framework highlighting clearly, in case of several implementing partners, the new activities to be undertaken by each.
In emergency situations , achievement of expected results may be jeopardized if ongoing activities are no longer appropriate. In such cases, the Executing Agency may need to suspend ongoing assistance.
In the case of a suspension in project implementation, the suspension needs to be explained formally to UNDEF including detailed information on the circumstances leading to the suspension of the project activities. Also, during the suspension, updates on the possibility for the project to restart should be sent to UNDEF.
Once it becomes likely that the project will resume its implementation activities, UNDEF should be notified in writing of the upcoming resumption and it should be indicated whether a Project Revision or a Project Extension will be requested.
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2- Extension of project duration
Project extensions may be needed due to unexpected delays. Such extensions do not entail changes in the overall budget.
Conditions
The Executing Agency and the implementing partners need to be in agreement (on amended time-frame) before requesting the UNDEF Office for an extension.
UNDEF projects may be extended for several months in most circumstances and for a period up to 12 months in exceptional circumstances beyond their initially approved duration.
Procedure
In normal circumstances, project extensions need to be requested by the Executing
Agency, after consultation with all project partners, at least two months before the initially foreseen project termination date. A specific template for requesting a project extension is available on the UNDEF website
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In addition to the extension request form, an updated Results Framework should be enclosed clearly highlighting the activities already completed at the time of the request and the ones that will be implemented during the project extension.
Depending on the duration of the extension, the reporting requirements to UNDEF might be affected and these new requirements will be notified upon approval of the extension request. For extensions of 4 months or longer , an extension status report should be provided to UNDEF half way through the extension period, i.e. at month six of a twelve month extension. This report should inform the progress of activities and outputs achieved under the revised Results Framework and the status of the budget at this time. This report should not exceed 3 pages. No specific template is required.
Resources that were budgeted for but not spent in the year originally allocated should be reallocated to the next year.
1 http://www.un.org/democracyfund/Docs/Project%20Extension%20Request%20Form.doc
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