UNDP POPP - Project ManagementInitiation Plan – Deliverable Description

Title / INITIATION PLAN - DELIVERABLE DESCRIPTION
Responsible Unit / Bureau for Development Policy – Capacity Development Group
Contributor(s) / BOM/CBS Team, BDP/CDG, Management Practice Team
Date approved / January 2008
Applicability / The Initiation Plan applies to UNDP-funded projects, when financial resources are required to complete the Initiating a Project process
Contact /
Document Location / Management Practice Document Repository
Project Management - Defining - Deliverables
Is part of / UNDP Programme & Operations Policies and Procedures – Project Management

Purpose/Description

The purpose of the Initiation Plan is to articulate the activityresults, schedule, budget, and management arrangements required to complete the Initiating a Project process. The Initiation Plan is only required when the Initiating a Project process requires financial resources, in order to approve and sign-off the plan and budget needed to complete the process. An Initiation Plan may be required, for example, if consultants need to be recruited to complete project planning, finalise the Project Document, or conduct pre-project data analysis and research. It could also be use for the start-up of pilot activities. The Initiation Plan replaces the previously defined approach known as “Preparatory Assistance”. An Initiation Plan schedule must not exceed 12 months in duration.

The Initiation Plan is reviewed in the Project Appraisal Committee (PAC) meeting, and is approved and signed by the UNDP Programme Manager (UNDP Resident Representative or delegated authority) based on the recommendations of the PAC, which shall include the representatives from the government and the Implementing Partner. When the Initiation Plan is signed by the UNDP Resident Representative, the Initiation Plan budget is approved in Atlas, and funds become available to complete the Initiating a Project process.

Format

Click here for the MS Word format of the Initiation Plan.

The MS Word format should be used for the Initiation Plan. The Initiation Plan Budget must be prepared using the standard AWP template, covering the duration of this Plan.

The Initiation Plan may include as an attachment a draft Project Document if already available.

If an Initiation Plan spans two calendar years, two budgets or AWP tables must be produced in the Initiation Plan.

Because the Initiation Plan articulates start-up activities to support a project as defined in the draft Project Document which is also reviewed in the PAC appraisal, the Initiation Plan should be clear, specific, and concise. It should not replicate any information that may already be found in the draft Project Document; and should reference the draft Project Document as an attachment when necessary. In some cases, the Initiation Plan includes activities to write or complete the Project Document, in which case the Initiation Plan should contain enough information to support a clear understanding of the purpose, activities, results, schedule, and budget required for the Initiating a Project process.

Composition

  1. Cover Page – to allow approval sign-off; closely resembling the Project Document cover page, but without the need for certain details, including Government or Implementing Partner signatures.
  2. Purpose – to describe and justify why funding is required to complete the Initiating a Project process.
  3. Expected Output – articulation of the output to be produced.
  4. Management Arrangements – articulation of roles and responsibilities to conduct the activities of the Initiation Plan.
  5. Monitoring –description of the monitoring requirements to assess the results of the Initiation Plan.
  6. Budget – A standard budget in the form of an AWP, articulating budget needs for each activity; this may be produced directly from Atlas.

The Initiation Plan should be clear and brief; typically totalling 3 to 6 pages in length, not including an optionally attached draft Project Document.

Derivation/Inputs

Initiation Plan information and content are typically derived from a draft Project Document, or project proposal if the Initiation Plan is required early in the formulation process. The only relatively unique information in an Initiation Plan includes the Purpose section, which justifies the need for a budget during the Initiating a Project process, and thus an Initiation Plan; and the Management Arrangements section, noting specific responsibilities for the Initiating a Project process.

Atlas Action Points

A proposal must have been created in Atlas during the Justifying a Project process to capture the initial project idea. It is recommended to use the same proposal for the Initiation Plan, which is the preliminary component of a broader project, in order to facilitate the reporting and ensure that all results related to the project are captured under one single Atlas Award.

An Initiation Plan must, therefore, be articulated in Atlas under an output (project ID) with a set of activities categorised as “Initiation Plan”.

Once an Initiation Plan is signed and approved, the proposal is generated as an Award in Atlas. The Initiation Plan budget is sent to Commitment Control, allowing funds to be available.

The same output can be used to incorporate the activities of the full project once approved. Alternatively, separate outputs can be added as required for the actual implementation of the project activities.

Quality Criteria

Is the need for an Initiation Plan clearly and logically justified?

Is the Initiation Plan clear and concise (approximately 3-6 pages in total, not including an optionally attached draft Project Document)?

Are the activities and deliverables clear, measurable, achievable, and consistent with the needs and plans of the overall project?

Is the Initiation Plan schedule clear, reasonable, and achievable?

Is the Initiation Plan schedule 12 months in duration or less?

Is the Initiation Plan budget detailed, clear, reasonable, and based on sound estimating factors?

Are management arrangements and responsibilities clear for the Initiation Plan?

Do those responsible for conducting the activities of the Initiation Plan have sufficient skills, experience, and capacities to do the job effectively and efficiently?

Quality Control Method

The members of the Project Appraisal Committee shall ensure that the need for the Initiation Plan is justified, and that the plan has been developed according to the criteria defined above.

Responsibilities & Accountability

During the process “Defining a Project”, the Project Developer drafts the Initiation Plan and submits it to the PAC for appraisal review.

The PAC recommends approval of the Initiation Plan to the UNDP Programme Manager (UNDP Resident Representative or delegated authority), or may recommend amendments to, or abandonment of, the Initiation Plan.

The UNDP Programme Manager approves the Initiation Plan, based on the recommendations of the PAC, which shall include the representatives from the government and the Implementing Partner.

Once the UNDP Programme Manager approves the Initiation Plan, the Initiation Plan can be awarded and its budget sent to Commitment Control by appropriate management levels as defined in the UNDP office or unit.

A UNDP staff member taking the role of the Project Developer during the Initiating a Project process is responsible for managing the activities and deliverables of the Initiation Plan.

Depending on the duration and scope of the Initiation Plan, UNDP may decide to establish a temporary Project Board to oversee the implementation of the Initiation Plan. Please refer to the section “Programme & Project Management Organization Structure”.

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