Empowered lives.

Resilient nations.

Project Cycle and

Monitoring & Evaluation

Midori Paxton Regional Technical Adviser, Ecosystems and Biodiversity

E-PASS Project Inception Workshop Bogor, Indonesia, November 19-20, 2015

Outline

1. Global Environmental Facility

2. Project Implementation

Responsibilities and Project Cycle

3. Adaptive Management

4. Reporting

5. Risk Management

What is GEF? Financial mechanism for international

conventions: CBD, UNFCCC, UNCCD, Stockholm Convention on POPs

Mechanism for financing “incremental costs” of new “global environment” actions by developing countries ;

Trust fund established in 1991

Invested $ 31.5 biil, leveraging $ 65 bil. In co-financing, for >3,900 projects in 165 developing countries (29% BD)

UNDP is a GEF implementing agency

UNDP/GEF project implementation responsibilities

Formal

delegation of

authority to

implement the

GEF project

M&E

responsibilitie

s

Reporting

responsibi-

lities

GEF Secretariat (DC)

UNDP/EEG (NY)

UNDP Country Office

– Myanmar

OFP and Government

Executing Agency

PSC PMO

UNDP/EEG Regional

Center - Bangkok

Project Implementation Cycle

Project

Approval

DOA and ProDoc

signature Project staff recruitment

Inception Workshop /

Inception Report Mid-term

Review TT

Terminal Evaluation,

TT

Project Closure

LPAC

GEF GEF

No no-cost extension !

Adaptive Management

ADAPTIVE MANAGEMENT What is it?

Project is adaptive when it anticipates challenges and

responds effectively

• Focus on “results”:

– Progress towards impact indicators

– Navigate towards the targets under changing environment

• The “process” should change to take account of:

– New risks or change in risk rating

– Monitoring results (current strategy not working)

– Situation changes

– New opportunities

ADAPTIVE MANAGEMENT What changes are allowed?

• Objective level: – Clearance from GEF in Washington D.C. – Revised Project Document – very difficult process – It is basically a new project – so not recommended, as you will need to

resubmit

• Outcome level: – Clearance from UNDP-GEF, reported to GEF – Revised Project Document – Not recommended , resubmission might be necessary

• Output/Activity level: – Clearance from PSC and UNDP-CO, reported to RTA – Revised Workplan, Budget Revision

• Input level: – Agreement with UNDP-Regional Technical Advisor – Substantive Budget Revisions cleared by RCU

Reporting

REPORTING ON PROGRESS

Inception report

Quarterly report

Project Implementation

Reviews /Annual Project Report

Inception Report 1. Project Inception Update

2. Updated risk analysis and SESP

3. Implementation Plan

4. Workplan for 2016 - 2017

5. Terms of Reference for all the consultancies and subcontracts to be procured in 2016 – a full and advertisement-ready version based on the bullet points provided in the ProDoc

6. Updated Logical Framework

7. Information on project staff, name, qualification and contacts etc

8. Monitoring and Evaluation Plan for monitoring of each indicator in the strategic results framework

9. Gender mainstreaming plan (indicating how gender can be mainstreamed in each output)

10. Sustainability plan (indicating (indicating how each output and outcome will be sustained beyond the project period)

Project Implementation Report (PIR)

Main GEF monitoring tool. Systematic portfolio-wide data and information collected

Annually in July

Excel format

Progress reporting: DO, IP, tracking tool

Performance rating by PMU, EA, CO and Regional Unit

Some issues to monitor in APR/PIRs

4. Partnerships: lessons learned

working with indigenous

communities, NGOs, private Sector,

Small Grants Programme

5. Gender: how being addressed in

project implementation

1. Progress: ratings. Encourage GEF OFP to rate progress as well

Toward development objective (DO) = objective + outcome level,

cumulative Implementation progress (IP) = outputs + inputs,

process + delivery , annual

2. Risk: critical risk in ATLAS + progress ratings = GEF risk system

(high, moderate, low)

3. Evaluation: how will the project address recommendations of MTE

and FE

Value of the APR/PIRs 1. Project implementation: remind project team what the project is

after, signals whether strategies should be adjusted, flags constraints to find solutions

2. UNDP: identifies best practice and lessons to share across the portfolio ,

and to integrate into project design

• UNDP GEF Focal Area Performance reports + UNDP GEF Annual Performance Report

• Information provided to UNDP communications and Executive Office for speeches, UNDP reports to Executive Board, UNDP annual report

• UNDP Evaluation Office uses in country evaluations

3. GEF: • Secretariat prepares Annual Monitoring Report for GEF Council, used by Focal

Areas to adjust strategies

• Evaluation Office uses for strategic evaluations

APR/PIRs MOVING FROM:

• Only a donor requirement

TO:

• Tool for adaptive management + results reporting

Mid-Term Review and Terminal Evaluations

• Mandatory independent evaluation

• Organized by the UNDP CO and

facilitated by the project

• Conduct the Tracking Tools (METT

and Financial Scorecard) before

MTR and TE

• MTE and TE reports sent to GEF

M&E for review and quality control

• Prepare management response

after evaluation

UNDP/GEF Risk Management System

GEF - funded projects are complex and therefore likely to face risks

and challenges

- SEVEN STANDARD RISK CATEGORIES – all projects should monitor

• ENVIRONMENTAL

• FINANCIAL • OPERATIONAL

• ORGANIZATIONAL

• POLITICAL • REGULATORY

• STRATEGIC

• OTHER

1. ENVIRONMENTAL RISKS Natural disasters

2. FINANCIAL External: interest rates, exchange rate fluctuations,

bank collapses etc;

Internal: co-funding difficulties; financial mechanisms

3. OPERATIONAL RISKS

Ineffective Management

Professional negligence

Human error/incompetence

Safety being compromised

Infrastructure failure

Poor monitoring and evaluation

Slow delivery

4. ORGANIZATIONAL RISKS Institutional arrangements. Institutional / Execution

capacity. Implementation arrangements. CO capacity

5. REGULATORY RISKS: New unexpected regulations, policies. Critical policies or legislation fails to pass or

progress in the legislative process

6. POLITICAL RISKS

Government commitment

Political will

Political instability.

Change in government

Armed conflict and

instability.

7. STRATEGIC RISKS

Partnerships failing to deliver

OTHER RISKS - whatever doesn’t fit in the other categories -

Poaching

Encroachment

Population pressure

RISK CLASSIFICATION BASED ON THE LEVEL OF CONTROL:

• Risks that arise from factors potentially under your control (e.g. ineffective management, poor performance by contractors)

• Risks that arise from wider policy and institutional environment, which are only controllable by decision makers elsewhere (e.g. poor policy environment, institutional weakness, lack of political will)

• Risks that are essentially uncontrollable (e.g. natural disasters, political instability, interest rates)

PROJECT CLASSIFICATION ACCORDING TO RISK

•Standard

-No critical risks

-No unresolved key issues

•Potential problem project

-One or more critical risks

•Actual problem project

One or more key unresolved issues

Identified Risks 1. Poaching pressure fuelled by the existence of

global illegal wildlife trade may decimate wildlife populations (Medium)

2. Provincial and District Governments may be reluctant to promote conservation oriented land use with a fear of losing state revenues(Medium)

3. International and national REDD Plus process does not progress fast enough loses the confidence among the project stakeholders. (Medium)

4. Major natural disasters (earthquake, floods, volcanic eruption etc.) inhibit the increase in national and provincial government investment in PA system (Medium)

5. Climate change may undermines the conservation objectives of the Project (Low)

Thank you!

Empowered lives.

Resilient nations.

www.thegef.org

www.undp.org