ANNEX 11: Budget in UNEP Format for 1999 - 2000 - 2001 - 2002 - 2003.

AMOUNTS EXPRESSED IN US$		1999		2000	2001	2002		2003	TOTAL
10 PROJECT PERSONNEL COMPONENT 1100 Personnel 1101 Technical Coordinator (T.C) (44p/m) 1102 T.C’s Secretary (44p/m) 1103 T.C.’s clerk (44p/m) 1104 T.C.’s assistant (42p/m) [1] 1199 Total 1200 Consultants [2] 1201 External consultants (30p/m) [3] 1202 Local Consultants (40p/m) [4] 1299 Total 1300 Administrative support 1301 Overheads cost of the OAS [5] 1399 Total 1600 Travel 1601 Technical Coordinator’s travel (local and international) [6] 1699 Total 1999 COMPONENT TOTAL		25,000 7,500 2,500 7,000 42,000 50,000 30,000 80,000 24,000 24,000 8,000 8,000 154,000		60,000 18,000 6,000 56,000 140,000 140,000 100,000 240,000 44,000 44,000 17,000 17,000 441,000	60,000 18,000 6,000 56,000 140,000 80,000 60,000 140,000 30,000 30,000 17,000 17,000 327,000	60,000 18,000 6,000 55,775 139,775 20,000 10,000 30,000 30,000 30,000 22,000 22,000 221,775		15,000 4,500 1,500 9,000 30,000 10,000 0 10,000 12,000 12,000 5,000 5,000 57,000	220,000 66,000 22,000 183,775 491,775 300,000 200,000 500,000 140,000 140,000 69,000 69,000 1,200,775
20 SUB-CONTRACT COMPONENT 2200 Sub contracts (MOUs/LOAs for supporting Organizations) 2201 With basin stakeholders institutions 2299 Total 2999 COMPONENT TOTAL		515,000 515,000 515,000		624,950 624,950 624,950	376,150 376,150 376,150	90,150 90,150 90,150		40,775 40,775 40,775	1,647,025 1,647,025 1,647,025
30 TRAINING COMPONENT 3300 Training and Workshops[7] 3301 As per activity 4.6 3302 Unspecified (to be determined by the Steering Committee meeting) 3399 Total 3999 COMPONENT TOTAL		0 0 0 0		40,000 20,000 60,000 60,000	40,000 20,000 60,000 60,000	40,000 20,000 60,000 60,000		0 0 0 0	120,000 60,000 180,000 180,000
40 EQUIPMENT AND PREMISES 4100 Expendable Equipment 4101 Office supplies [8] 4102 Satellite images, aerial photographs, maps,... 4199 Total 4200 Non Expendable Equipment [9] 4201 Remote Sensing Equipment 4299 Total 4999 COMPONENT TOTAL		600 0 600 250,000 250,000 250,600		1,200 100,000 101,200 250,000 250,000 351,200	1,200 50,000 51,200 0 0 51,200	1,200 0 1,200 0 0 1,200		0 0 0 0 0 0	4,200 150,000 154,200 500,000 500,000 654,200
50 MISCELLANEOUS COMPONENT 5100 Operation and Maintenance of Equipment 5101 Maintenance of computer equipment and office equipment [10] 5199 Total 5200 Reporting costs 5220 Unspecified [11] [The nature of the reports and the medium will be agreed by SRH/MMA, UNEP and OAS, and the steering Group] 5299 Total 5300 Sundry [12] 5301 Communication costs (telephone, FAX) [Additional Communications costs will be charged to the counterpart contribution] 5302 Postage 5399 Total 5999 COMPONENT TOTAL		2,000 2,000 25,000 25,000 2,000 500 2,500 29,500		2,500 2,500 75,000 75,000 6,000 2,000 8,000 85,500	2,500 2,500 150,000 150,000 6,000 2,000 8,000 160,500	2,500 2,500 200,000 200,000 6,000 2,000 8,000 210,500		500 500 50,000 50,000 1,000 500 1,500 52,000	10,000 10,000 500,000 500,000 21,000 7,000 28,000 538,000
60 UNEP PARTICIPATION COMPONENT (directly controlled by UNEP Headquarters) 6100 Project Personnel 6110 P3 Fund Officer (4p/m) 6119 Total 6160 Travel on Official Mission 6161 Travel of headquarters staff (@US$5,000 per trip) 6169 Total 6199 COMPONENT TOTAL 6300 Training 6331 Steering Committee Meetings in Nairobi (2) 6339 Total 6399 COMPONENT TOTAL 6400 Equipment and Premises 6420 Non-expendable Equipment 6421 Computer 6422 Printer 6429 Total 6499 COMPONENT TOTAL 6500 Miscellaneous 6530 Sundry 6531 Communication costs 6532 Postage 6539 Total 6550 Evaluation costs 6551 Evaluation mission ([2] @15,000) 6552 Desk Evaluation @5,000 6553 Ex-Post Facto Evaluation @35,000 6559 Total 6599 COMPONENT TOTAL 6999 Total UNEP Participation Cost	8,800 8,800 5,000 5,000 13,800 0 0 0 4,000 1,000 5,000 5,000 2,000 600 2,600 0 0 0 0 2,600 21,400		8,800 8,800 20,000 20,000 28,800 10,000 10,000 10,000 0 0 0 0 6,000 1,000 7,000 15,000 0 0 15,000 22,000 60,800		8,800 8,800 15,000 15,000 23,800 10,000 10,000 10,000 0 0 0 0 6,000 1,000 7,000 15,000 0 0 15,000 22,000 55,800		8,800 8,800 10,000 10,000 18,800 0 0 0 0 0 0 0 6,000 1,000 7,000 0 5,000 35,000 40,000 47,000 65,800	0 0 5,000 5,000 5,000 0 0 0 0 0 0 0 1,000 200 1,200 0 0 0 0 0 6,200		35,200 35,200 55,000 55,000 90,200 20,000 20,000 20,000 4,000 1,000 5,000 5,000 21,000 3,8000 24,800 30,000 5,000 35,000 70,000 94,800 210,000
GRAND TOTAL	970,500		1,623,450		1,030,650		649,425	155,975		4,430,000

ANNEX 12

FORMAT OF QUARTERLY OPERATIONAL REPORT TO UNEP

1. IDENTIFIERS

Country: Brasil

Project Title: Integrated Management of Land-based Activities in the Sao Francisco Basin

Focal Area: International Waters

Implementing Agency: United Nations Environment Programme

GEF Funding: US$4,771,000

Co-funding: US$8,543,0000 (in kind contribution from Costa Rica and Nicaragua)

US$175,000 (in kind contribution from UNEP)

US$100,000 (in kind contribution from the GS/OAS)

US$8,625,000 (WB - Proagua loan)

2. FINANCIAL STATUS

[Commitment and disbursement data as of the date of the report]

3. IMPLEMENTATION PROGRESS

[Statement of progress of the project components in relation to agreements or plans. Assessment of Overall status. Report on the reasons, in the event of delays, cost over-run or positive deviations]

4. ACHIEVEMENT OF PROJECT OBJECTIVES

[Assessment of likelihood that project objectives will be achieved.]

5. SPECIFIC ASSESSMENT OF FACTORS RELATING TO THE INTERNATIONAL WATERS FOCAL AREA.

[Status of the comprehensive Transboundary Diagnostic Analysis; and Strategic Action Programme; progress in developing multi-country institutional arrangements]

ANNEX 13: Format for half-yearly reports

Implementing Organization: __________________________________________________________________

Project No:________________________________________________________________________________

Projec Title:_______________________________________________________________________________

Reporting Period: __________________________________________________________________________

1. Project Personnel recruited (Project Coordinator/Administrative Assistants, other project staff)

Name	Nationality	Duration of Contract	Fee (in US$)	Brief Terms of Reference

2. Experts/Consultants recruited:

Name	Nationality	Duration of Contract	Fee (in US$)	Brief Terms of Reference

3. Major items of equipment ordered: (Value over $1,500)

Please attach to the 2nd quarter (April - June) and 4th quarter (Oct - Dec) progress reports an inventory of all non‑expendable equipment indicating date of purchase, description, serial number, quantity, location, cost and remarks, and for vehicles, give mileage report (see inventory format attached).

4. Status of the implementation of the activities listed under WORKPLAN in the project document, and status of documents, reports, manuals, guidelines, etc.

(a) List actual activities/outputs* completed/produced under the following headings where appropriate:

(Please tick appropriate box)

(i) Meetings (envisaged under the project)

Interovernmental (IG) Mtg Expert Group Mtg Training/Seminar Workshop Others

Title_______________________________________________________________________

Venue and Dates____________________________________________________________

Convened by______________________________________

Organized by______________________________________

Report issued as doc. no. /symbol_____________________ Languages_________Dated______

For Training Seminar/Workshop, please indicate: No. of participants_________

and complete the table below giving names and nationalities of participants.

Annex (Participants List)

Name	Nationality

(ii) Printed Materials

Report to (IG) Mtg Technical Publication Technical Report Others

Title______________________________________________________________________________

Author(s)/Editor(s)___________________________________________________________________

Publisher__________________________________________________________________________

Symbol (UN/UNEP/ISBN/ISSN)________________________________________________________

Date of publication______________________

(when the above reports have been distributed, attach the distribution list).

(iii) Technical Information Public Information

Description_______________________________________________________________________

________________________________________________________________________________

________________________________________________________________________________

________________________________________________________________________________

Dates___________________________________________________________________________

(iv) Technical Cooperation

Grants and Fellowships Advisory Services Others (e.g. materials & equipment donated)

Purpose_________________________________________________________________________

Place _______________________________ Duration___________________________

For Grants/Fellowships, please indicate:

Beneficiaries Countries/Nationalities Cost (in US$)

_______________________ _____________________ ____________

_______________________ _____________________ ____________

_______________________ _____________________ ____________

(b) Status of activities/outputs underway:

Meetings, seminars, workshops study tours, training courses, fellowships under preparation

i. Status of documents, reports, manuals, guidelines being prepared

ii. Status of studies, surveys underway

iii. Status of implementation of other activities

5. Summary of the problems encountered in project delivery (if any)

6. Actions taken or required to solve the problems identified in (5) above

ANNEX 14: Terminal Report.

Implementing Organization ____________________________________________________________

Project No.:__________________________________________________________________________

Project Title:_________________________________________________________________________

1. Project Objectives - Re-state the following:

Objectives:
Needs:
Results:

2. Project activities

Describe the activities actually undertaken under the project. Give reasons why some activities, planned at the outset, were not undertaken, if any.

Activities actually undertaken	Activities planned but not undertaken (reason for failure)

3. Project outputs

Compare the outputs generated with the ones listed in the project document.

Actual Outputs (generated)	Outputs envisaged under the project
a)
b)
c)
d)
* Below, provide more information on the outputs listed on this section:

Further information on outputs listed above:

a) MEETINGS

‚ Inter-governmental (IG) Mtg.	‚ Expert Group Mtg	‚ Training Seminar/Workshop	‚ Others
Title:______________ Venue _______________ Dates_____________ Convened by__________ Organized by ________ Report issued as doc. No/Symbol__________ Dated______________ Languages__________ Please complete list of participants below, giving their names and nationalities.	Title:____________ Venue _____________ Dates______________ Convened by__________ Organized by ________ Report issued as doc. No/Symbol__________ Dated______________ Languages__________ Please complete list of participants below, giving their names and nationalities.	Title:_______________ Venue _____________ Dates______________ Convened by__________ Organized by ________ Report issued as doc. No/Symbol__________ Dated______________ Languages__________ Please complete list of participants below, giving their names and nationalities.	Title:_______________ Venue _____________ Dates______________ Convened by__________ Organized by ________ Report issued as doc. No/Symbol__________ Dated______________ Languages__________ Please complete list of participants below, giving their names and nationalities.

Participants List

(Attach a separate list for each meeting)

Name	Nationality

(b) PRINTED MATERIALS

‚ Report to IG Mtg	‚ Technical Publication	‚ Technical Report	‚ Others
Title______________ Author(s)/ Editor(s) ____________ Publisher ___________ Symbol (UN/UNEP/ ISBN/ISSN)_________ Date of publication _____ (When reports/ publications have been distributed, complete distribution list below or attach a separate list)	Title______________ Author(s)/ Editor(s) ____________ Publisher ___________ Symbol (UN/UNEP/ ISBN/ISSN)__________ Date of publication _____ (Complete distribution list below or attach a separate list)	Title______________ Author(s)/ Editor(s) ____________ Publisher ___________ Symbol (UN/UNEP/ ISBN/ISSN)___________ Date of publication _____ (Complete distribution list below or attach a separate list)	Title______________ Author(s)/ Editor(s) __________ Publisher __________ Symbol (UN/UNEP/ ISBN/ISSN)________ Date of publication __ (Complete distribution list below or attach a separate list)

Distribution List (IG Meeting reports/ technical reports or publications)

Title of Report	Name of Recipient (Agency/individual recipient)

c) INFORMATION

‚ TECHNICAL INFORMATION Description___________________________________________________________________________________________________________________________ Dates _______________________________

‚ PUBLIC INFORMATION Description___________________________________________________________________________________________________________________________ Dates _______________________________

(d) TECHNICAL COOPERATION

‚ Grants and Fellowships Purpose__________________ Place___________________ Duration ________________ For Grants/Fellowships, please indicate cost (in US$)_________ Beneficiaries and their nationalities

‚ Advisory Services Purpose__________________ Place___________________ Duration ________________ Please indicate cost (in US$)______ Beneficiaries and their nationalities

‚ Others (materials & equipment donated) Purpose________________ Place___________________ Duration ________________ Please indicate cost (in US$)_____ Beneficiaries and their nationalities

(e) OTHER OUTPUTS/SERVICES

4. Use of outputs

State the use made of the outputs.

5. Degree of achievement of the objectives/results

On the basis of facts obtained during the follow‑up phase, describe how the project document outputs and their use were or were not instrumental in realizing the objectives/results of the project.

6. Conclusions

Enumerate the lessons learned during the project execution. Concentrate on the management of the project, indicating the principal factors which determined success or failure in meeting the objectives set down in the project document.

7. Recommendations

Make recommendations to:

(a) Improve effect and impact of similar projects in the future;

(b) Indicate what further action might be needed to meet the project objectives/results.

8. Non-expendable equipment (value over US$1,500)

Please attach to the terminal report a final inventory of all non-expendable equipment (if any) purchased under this project, indicating the following: Date of purchase, description, serial number, quantity, cost, location and present condition, together with your proposal for the disposal of the said equipment (see separate inventory format).

FOR REFERENCE, SEE ATTACHED DEFINITIONS BASED ON UN TERMINOLOGIES

ANNEX 15: FORMAT OF QUARTERLY PROJECT EXPENDITURE ACCOUNTS FOR SUPPPORTING AGENCIES

Quarterly project statement of allocation (budget), expenditure and balance (Expressed in US$) covering the period ……to…..

Project No. ................................................. Agency name .....................................................................................

Project title: .....................................................................................................................................................................................

Project commencing: ................................ Project ending: .....................................

Object of expenditure by UNEP budget code	Project budget allocation for year.........		Total expenditure for quarter * .................		Total unliquidated obligations...................	Cumulative expenditure for year ...............	Unspent balance of budget allocation for year ............
	m/m (1)	Amount (2)	(3)		(4)	(5)	m/m (6)	Amount (2)-(5)
1100 Project personnel
1200 Consultants
1300 Administrative support
1400 Volunteers
1600 Travel
2100 Sub-contracts
2200 Sub-contracts
2300 Sub-contracts
3100 Fellowships
3200 Group training
3300 Fellowships
4100 Expendable equipment
4200 Non-expendable equipment
4300 Premises
5100 Operation
5200 Reporting costs
5300 Sundry
5400 Hospitality
99 GRAND TOTAL
*breakdown of expenditures per quarter with related information such as name of person hired, duration of contract, fees, purpose...should be reported in a separate annex.				Signed: _____________________________________________________ Duly authorized official of cooperating agency

ANNEX16: Format for cash Advance Statements

cash advance statement

Statement of cash advance as at ..............................................................................

And cash requirements for the quarter of ..................................................................

Name of cooperating agency/
Supporting organization ___________________________________________

Project No. ___________________________________________

Project title ___________________________________________

I. Cash statement

1. Opening cash balance as at ......................... US$ __________________

2. Add: cash advances received:

Date Amount

............................................... ............................................

............................................... ............................................

............................................... ............................................

............................................... ............................................

3. Total cash advanced to date US$ __________________

4. Less: total cumulative expenditures incurred US$ (_________________)

5. Closing cash balance as at ........................... US$ __________________

II. Cash requirements forecast

6. Estimated disbursements for quarter
ending ......................................................... US$ __________________

7. Less: closing cash balance (see item 5, above) US$ (_________________)

8. Total cash requirements for the ...................
quarter ......................................................... US$ __________________

Prepared by_________________________ Request approved by_______________________

Duly authorized official of cooperating agency/ supporting organization

ANNEX 17

FORMAT OF GEF QUARTERLY REPORT

1. IDENTIFIERS

Country: [to be completed as per the Identifiers noted in the GEF Project Brief]

Focal Area: [to be completed as per the Identifiers noted in the GEF Project Brief]

Project Title: [to be completed as per the Identifiers noted in the GEF Project Brief]

Requesting Agency:. [to be completed as per the Identifiers noted in the GEF Project Brief]

PDF Block B or Project Funding: US $

Co-funding:

Other support (in kind): US $

(in cash): US $

2. IMPLEMENTATION PROGRESS

[Statement of progress of the project components in relation to agreements or plans. Assessment of Overall status. Report on the reasons, in the event of delays, cost over-run or positive deviations]

3. ACHIEVEMENT OF PROJECT OBJECTIVES

[Assessment of likelihood that project objectives will be achieved.]

4. SPECIFIC ASSESSMENT OF FACTORS RELATING TO THE PARTICULAR GEF FOCAL AREA.

[e.g. status of the comprehensive Transboundary Diagnostic Analysis and Strategic Action Programme in the case of international waters PDFs, projects; progress in developing multi-country institutional arrangements]

Annex 18

INVENTORY OF NON-EXPENDABLE EQUIPMENT PURCHASED AGAINST UNEP PROJECTS

UNIT VALUE US$ 1,500 AND ABOVE AND ITEMS OF ATTRACTION

As at______________________

Project No.________________________________

Project Title_______________________________

Implementing Agency_______________________

Internal/SO/CA (UNEP use only)_____________

FPMO (UNEP use only)_____________________

Description	Serial No.	Date of Purchase	Original Price (US$)	Present Condition	Location	Remarks/ Recommendation for disposal

The physical verification of the items was done by:

Name:____________________________________ Signature:__________________________________

(Duly authorized official)

Title:_____________________________________ Date:______________________________________

Non-expendable Equipment

The implementing agency will maintain records of non-expendable equipment (items for US$1,500 or more or with a serviceable lifetime of 5 years or more) as well as items of attraction such as pocket calculators, cameras, etc. costing more than US$500) purchased with UNEP funds (or with Trust Funds of Counterpart Funds administered by UNEP) and will submit to UNEP an inventory of all such equipment following the inventory format attached, indicating description, serial number, date of purchase, original cost, present condition and location of each item. This list should be attached to the half-yearly progress report.

Non-expendable equipment purchased with funds administered by UNEP remains the property of UNEP until its disposal is authorized by UNEP. The (Implementing agency) will be responsible for any loss or damage to equipment purchased with UNEP funds. The proceeds from the sale of the equipment, (duly authorized by UNEP) shall be credited to the accounts of UNEP, or the appropriate trust fund or counterpart funds, upon completion of the project.

The implementing agency shall attach to the terminal report, a final inventory of all non-expendable equipment purchased under the project, including a proposal for the disposal of the said equipment. The inventory will include information such as equipment description, serial number, date of purchase, original cost, present condition and location of each item. The equipment is deemed to have been physically verified by a duly authorized official of the implementing agency.

DEFINITIONS (BASED ON UN TERMINOLOGIES)

ACTIVITY. In general terms, Activity denotes a programme, subprogramme, programme element or project. Specifically, it refers to action taken to transform inputs into outputs.

OUTPUTS. These are specific products or services which an activity is expected to produce in order to achieve its objectives; eg., trained personnel, meetings serviced, reports, publications or advisory, editorial, translation and security services. Activities may also have intermediate outputs, which in turn may serve as inputs to other activities or final outputs.

INTER‑GOVERNMENTAL MEETING. A meeting is intergovernmental when the participants are representatives of Governments.

EXPERT GROUP MEETING. The objective of an expert group meeting is to advise the secretariat on a specific subject. Participants at these meetings act in their individual capacities, even when they are nominated by their Governments.

REPORTS SUBMITTED TO INTER‑GOVERNMENTAL MEETINGS. These are official documents brought for the consideration of intergovernmental meetings. These reports are identified by a United Nations symbol; eg. the 1988 Annual Report of the Executive Director bears symbol UNEP/GC.15/4. SWMTEP 1990‑1995 bears symbol UNEP/GCSS.I/7/Add.1.

TECHNICAL PUBLICATIONS. These include (i) sales publications, published internally or externally; or (ii) technical or scientific bulletins, journals, newsletters and similar publications distributed free of charge when they are intended primarily for users external to the Secretariat. A technical publication is generally identified by an international standard book number (ISBN) or an international standard serial number (ISSN) for periodical publications.

TECHNICAL REPORTS. These include reports of a technical nature which are not widely distributed outside the Secretariat. Generally technical reports are intermediate outputs which are used as inputs into other activities.

TECHNICAL INFORMATION. These include information of a technical nature provided to recipients outside the Secretariat. Typical technical information in UNEP is provided by INFOTERRA, IRPTC and IE/PAC; such as responses to queries of technical

nature.

PUBLIC INFORMATION. This category includes all material which are generally of non‑technical nature, whether free of charge or sold, that is distributed by the United Nations directly or through intermediaries to the general public. The material falls into two main groups of outputs:

1. Publications

(a) Books, reports, yearbooks, chronicles and biographical notes.

(b) Periodical bulletins, newsletters, magazines and booklets.

(c) Pamphlets, brochures, fact sheets and wall sheets.

2. Other public information services

(d) Press releases.

(e) Exhibits and other visual materials.

(f) Films and videotapes.

(g) Radio broadcasts and tapes of news, documentary and feature programmes.

(h) Guided tours, group briefings, lectures and seminars.

(i) Organization of special events.

GRANTS AND FELLOWSHIPS. These are funds awarded to individuals, organizations, etc. for specific activities/training. Grants and fellowships are considered final outputs.

ADVISORY SERVICES. Assistance provided to developing countries on environmental matters through the provision of consultants and/or UN staff expertise.

OTHER TECHNICAL COOPERATION. This includes among others, materials and equipment donated to developing countries for the implementation of certain projects.

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