1. 1 Monitoring and Evaluation John Hough RBEC Environment & Energy Practice Workshop Almaty, 6-9 October 2004

2. 2 Purpose 1. Accountability 2. Management Decision Making 3. Lesson Learning

3. 3 GEF Project Monitoring & Evaluation ActivityResponsibilityTimeframe Logframe with Indicators, Baselines and Targets Design team During project design M & E Plan Design team During project design Inception Report Project Team During Inception Phase Activity Plan Project Team Annually PIR / APR Project, CO, RCU, PTA Annually TPR Country Office Annually Mid-term, Final, ex-Post Evaluations Country Office + Independent Evaluators Mid point, end, 2 years post completion Terminal Report Project Team 1 month before end Audit Executing Agency Annually

4. 4 Other GEF Monitoring & Evaluation SMPR – Secretariat Managed Project Review SMPR – Secretariat Managed Project Review Programme Study – by focal area Programme Study – by focal area Performance Study – OPS 2, OPS 3, etc Performance Study – OPS 2, OPS 3, etc Thematic Review – eg. Private Sector, MSP’s Thematic Review – eg. Private Sector, MSP’s Replenishment Targets Replenishment Targets Tracking Tools Tracking Tools Other Other

5. 5 Sources / Standard Text

6. 6 Adaptive Management

7. 7 Using Adaptive Management Requires effective monitoring Requires effective monitoring Requires effective indicators Requires effective indicators Requires measuring of indicators Requires measuring of indicators Requires review of progress (PIR / APR / TPR) Requires review of progress (PIR / APR / TPR) Requires changes in approaches, strategies and activities - Annual Activity Plans Requires changes in approaches, strategies and activities - Annual Activity Plans

8. 8 Risk Management In the process of being introduced in UNDP-GEF In the process of being introduced in UNDP-GEF

9. 9 Project Risk Classification New Projects New Projects –Standard –Risky  inherant level of complexity –Size – large or multicountry –Technically complex –Innovativeness –Multiple sources of financing  external risks and assumptions –Government commitment, political will, institutional coordination –Capacity of national executing agency –Passage of critical policies and legislation –Enabling environment –Disbursement of cofinancing –Political and economic factors –Natural disasters Reclassified after the first year of implementation and annually thereafter

10. 10 Risk Classification Ongoing Projects Ongoing Projects –Standard –Risky –Problem Project –Project in Danger Based on Based on –Inherant level of complexity –External risks and assumptions –Implementation difficulties –Progress towards objectives

11. 11 Project Risk Checklist Project assumptions Project assumptions External environment External environment Project management issues Project management issues Effectiveness delays – start up, disbursement Effectiveness delays – start up, disbursement Executing Agency / Country Office capacity Executing Agency / Country Office capacity Implementation arrangements Implementation arrangements Delivery, procurement, disbursements Delivery, procurement, disbursements Monitoring and evaluation Monitoring and evaluation

12. 12 Assessing Risks (GEF M&E unit) High Risk (H) 76 - 100% Substantial Risk (S) 51% - 75% Modest Risk (M) 26% - 50% Low Risk (L) 0% - 25% Probability assumptions may fail to hold or materialize:

13. 13 Remedial Actions Modified Delegation of Authority letter Modified Delegation of Authority letter Mandatory / increased frequency of project visits Mandatory / increased frequency of project visits More frequent reporting More frequent reporting Changes in project Changes in project

14. 14 Approval required for Changes to Project Change Action Required Project Objective Request to the GEFSEC for approval Project Outcome Request to the GEFSEC for approval Cancellation after CEO Endorsement Termination during Implementation Inform the GEFSEC Implementing Arrangements eg. Executing Agency, Primary Institutional Responsibilities, Supervisory Committee responsibilities or composition Consultation with the Regional Coordinator Inputs / Budget – more than X% shifted between input categories Report through the PIR Retro-fitting indicators Report through the PIR Implementation targets and / or dates Report through the PIR Project Outputs Report through the PIR Closing Date Report through the PIR Project Activities Adjust Annual Work Plan