1. M&E in the GEF Aaron Zazueta GEF Evaluation Office Expanded Constituency Workshop Dalat, Vietnam - April 2011

2.  Results-based management (RBM), and Monitoring and evaluation (M&E) in GEF-5  M&E policy for GEF-5  M&E Minimum Requirements  Involvement of focal points  Questions on NCSA evaluation  Evaluation planning for GEF-5 2

3. 3  Result based management - Setting goals and objectives, Monitoring, learning and decision making  Evaluation is a “reality check” on RBM  RBM, especially monitoring, tell whether the organization is “on track”  Evaluation could tell whether the organization is “on the right track”

4. Two overarching objectives:  Promote accountability for the achievement of GEF objectives through the assessment of results, effectiveness, processes, and performance of the partners involved in GEF activities.  Promote learning, feedback, and knowledge sharing on results and lessons learned among the GEF and its partners as a basis for decision making on policies, strategies, program management, programs, and projects; and to improve knowledge and performance. 4

5.  Reference to GEF Results-based Management (RBM)  Strengthened knowledge sharing and learning  Clarification of roles and responsibilities  Stronger role for GEF Operational Focal Points in M&E  Inclusion of programs and jointly implemented projects  Baseline data for M&E to be established by CEO endorsement  New Minimum Requirement on engagement of GEF Operational Focal Points in project and program M&E activities 5

6. Operating Level (bottom-up) Institutional Level (top-down) Project Objectives Focal Area Goal GEF Strategic Goals Focal Area Objectives GEB Impacts Outcomes Outputs 6

7. Project and Program DesignImplementationEvaluation LFA/Results framework M&E Plan Management, monitoring, and learning Monitoring of progress; midpoint course correction as needed Terminal Evaluations Lessons Learned Lessons learned; Good practices Adapted from the World Bank’s Results Focus in Country Assistance Strategies, July 2005, p. 13 7

8.  M&E contributes to knowledge building and organizational improvement  Findings and lessons should be accessible to target audiences in a user-friendly way  Evaluation reports should be subject to a dynamic dissemination strategy  Knowledge sharing enables partners to capitalize on lessons learned from experiences  Purpose of KM in the GEF:  Promotion of a culture of learning  Application of lessons learned  Feedback to new activities 8 Knowledge management is a process for improving performance by learning

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11.  A management response is required for all evaluations and performance reports presented to the GEF Council by the GEF EO  GEF Council takes into account both the evaluation and the management response when taking a decision  GEF EO reports on implementation of decisions annually (Management Action Record)  In the case of Country Portfolio Evaluations countries have the opportunity to provide their perspective to Council as well 11

12. Design of M&E Plans  Concrete and fully budgeted M&E plan by CEO endorsement for FSP and CEO approval for MSP  SMART indicators  Projects should align with GEF focal area results frameworks  Baseline data for M&E by CEO endorsement  Mid Term Reviews (where required or foreseen) and Terminal Evaluations included in plan  Organizational set up and budget for M&E 12

13. Implementation of M&E Plans Project/program monitoring and supervision will include execution of the M&E plan:  SMART indicators for process/implementation  SMART indicators for results  Baseline for the project fully established and data compiled to review progress  Organizational set up for M&E is operational and its budget is spent as planned 13

14. Project/Program Evaluations:  All full sized projects and programs will be evaluated at the end of implementation.  Evaluations should:  Be independent of project management or reviewed by GEF Agency evaluation unit  Apply evaluation norms and standards of the GEF Agency  Assess, as a minimum, outputs and outcomes, likelihood of sustainability, compliance with M&E minimum requirements 1 & 2  Contain: data on the evaluation itself (including TORs); basic project data, lessons  Should be sent to GEF EO within 12 months of completion of project/program Guidelines for evaluating MSPs/EAs will be developed 14

15. Engagement of Operational Focal Points  M&E plans should include how OFPs will be engaged  OFPs to be informed on M&E activities, including Mid Term Reviews and Terminal Evaluations, receiving drafts for comments and final reports  OFPs invited to contribute to the management response (where applicable)  GEF Agencies keep track of the application of this requirement in their GEF financed projects and programs 15

16.  Keep track of GEF support at the national level.  Keep stakeholders informed and consulted in plans, implementation and results of GEF activities in the country.  Disseminate M&E information, promoting use of evaluation recommendations and lessons learned.  Assist the Evaluation Office, as the first point of entry into a country:  identify major relevant stakeholders,  coordinate meetings,  assist with agendas,  coordinate country responses to these evaluations. 16

17.  GEF-5 Cross-cutting capacity development strategy:  Fifth component: enhancing capacities to monitor and evaluate environmental impacts and trends  This should be identified as a priority in the NCSA capacity development action plan  The capacity development plan should be formulated as a medium size project, or it should be integrated into a broader proposal that would be formulated as MSP or FSP – if MSP it should have 1:1 cofunding  Development of regional partnerships could be considered  Funding from $44m set-aside for capacity development 17

18. 18  Consolidation and strengthening of the four streams of evaluative evidence:  Country Portfolio Evaluations: up to 15 during GEF-5  Impact Evaluations: International Waters, Climate Change and other focal areas  Performance Evaluations: APR continued and strengthened as well as independent process reviews  Thematic Evaluations: focal area strategies and adaptation  These streams of evaluative evidence will enable a timely OPS5 for which less additional work should be needed than for OPS4

19.  Verification and ratings of outcome and progress toward impact  Coverage of the reform process: GEF project cycle and modalities, direct access, STAR, paragraph 28  Increased attention to the catalytic role of the GEF  Trends in ownership and country drivenness  Trends in global environmental problems and relevance of the GEF to the conventions  More in-depth look at the focal area strategies, including sustainable forestry management  Better understanding of the longer term impact of the GEF 19

20.  Support to NCSAs was one of the approaches to implement the GEF capacity development strategy and UN conventions guidance to GEF  NCSA aimed to identify country level priorities and needs for capacity development to address global environmental issues, holistic and long-term approach, country driven and led  As of August 2010:  153 NCSAs approved ($28.7 million), 119 completed (UNDP: 76%; UNEP: 23%; WB: 1%)  23 approved second phases to implement NCSAs recommendations (more in GEF5)  Global Support Programme for NCSA (completed)  Evaluation under preparation, report expected for the November 2011 GEF Council 20

21. Issues that will be tackled in the NCSA evaluation and that can be raised with us at this meeting:  To what extent have NCSAs been relevant to your country’s needs and priorities? Have they been relevant to support the implementation of conventions?  What was the process of NCSA preparation? Who participated?  What are the main achievements and results of the NCSAs?  Was capacity development improved during the implementation or NCSAs? Any specific examples?  What is the sustainability of the capacity developed? Any specific examples?  Other issues to be included? 21

22. Thank you! Discussion  Q&A on the new GEF M&E Policy  Any comments on the issues that will be tackled in the NCSA evaluation? Other issues to be included?