11

Monitoring and Evaluation

John HoughJohn Hough

RBEC Environment & Energy Practice WorkshopRBEC Environment & Energy Practice Workshop

Almaty, 6-9 October 2004Almaty, 6-9 October 2004

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Purpose

1.1. AccountabilityAccountability

2.2. Management Decision MakingManagement Decision Making

3.3. Lesson LearningLesson Learning

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GEF Project Monitoring & Evaluation

ActivityActivity ResponsibilityResponsibility TimeframeTimeframe

Logframe with Logframe with Indicators, Baselines and Indicators, Baselines and TargetsTargets

Design teamDesign team During project designDuring project design

M & E PlanM & E Plan Design teamDesign team During project designDuring project design

Inception ReportInception Report Project TeamProject Team During Inception PhaseDuring Inception Phase

Activity PlanActivity Plan Project TeamProject Team AnnuallyAnnually

PIR / APRPIR / APR Project, CO, RCU, PTAProject, CO, RCU, PTA AnnuallyAnnually

TPRTPR Country OfficeCountry Office AnnuallyAnnually

Mid-term, Final, ex-Post Mid-term, Final, ex-Post EvaluationsEvaluations

Country Office + Country Office + Independent EvaluatorsIndependent Evaluators

Mid point, end, 2 years Mid point, end, 2 years post completionpost completion

Terminal ReportTerminal Report Project TeamProject Team 1 month before end1 month before end

AuditAudit Executing AgencyExecuting Agency AnnuallyAnnually

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Other GEF Monitoring & Evaluation

• SMPR – Secretariat Managed Project ReviewSMPR – Secretariat Managed Project Review

• Programme Study – by focal areaProgramme Study – by focal area

• Performance Study – OPS 2, OPS 3, etcPerformance Study – OPS 2, OPS 3, etc

• Thematic Review – eg. Private Sector, MSP’sThematic Review – eg. Private Sector, MSP’s

• Replenishment TargetsReplenishment Targets

• Tracking ToolsTracking Tools

• OtherOther

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Sources / Standard Text

66

Adaptive Management

77

Using Adaptive Management

• Requires effective monitoringRequires effective monitoring

• Requires effective indicatorsRequires effective indicators

• Requires measuring of indicatorsRequires measuring of indicators

• Requires review of progress (PIR / APR / Requires review of progress (PIR / APR / TPR)TPR)

• Requires changes in approaches, strategies Requires changes in approaches, strategies and activities - Annual Activity Plansand activities - Annual Activity Plans

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Risk Management

• In the process of being introduced in In the process of being introduced in UNDP-GEFUNDP-GEF

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Project Risk Classification• New ProjectsNew Projects

– StandardStandard

– RiskyRisky inherant level of complexityinherant level of complexity

– Size – large or multicountrySize – large or multicountry

– Technically complexTechnically complex

– InnovativenessInnovativeness

– Multiple sources of financingMultiple sources of financing

external risks and assumptionsexternal risks and assumptions– Government commitment, political will, institutional coordinationGovernment commitment, political will, institutional coordination

– Capacity of national executing agencyCapacity of national executing agency

– Passage of critical policies and legislationPassage of critical policies and legislation

– Enabling environmentEnabling environment

– Disbursement of cofinancingDisbursement of cofinancing

– Political and economic factorsPolitical and economic factors

– Natural disastersNatural disasters

Reclassified after the first year of implementation and annually thereafterReclassified after the first year of implementation and annually thereafter

1010

Risk Classification

• Ongoing ProjectsOngoing Projects– StandardStandard

– RiskyRisky

– Problem ProjectProblem Project

– Project in DangerProject in Danger

• Based onBased on– Inherant level of complexityInherant level of complexity

– External risks and assumptionsExternal risks and assumptions

– Implementation difficultiesImplementation difficulties

– Progress towards objectivesProgress towards objectives

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Project Risk Checklist

• Project assumptionsProject assumptions

• External environmentExternal environment

• Project management issuesProject management issues

• Effectiveness delays – start up, disbursementEffectiveness delays – start up, disbursement

• Executing Agency / Country Office capacityExecuting Agency / Country Office capacity

• Implementation arrangementsImplementation arrangements

• Delivery, procurement, disbursementsDelivery, procurement, disbursements

• Monitoring and evaluationMonitoring and evaluation

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Assessing Risks(GEF M&E unit)

High Risk (H)High Risk (H) 76 - 100% 76 - 100%

Substantial Risk Substantial Risk (S)(S)

51% - 75%51% - 75%

Modest Risk (M) Modest Risk (M) 26% - 50%26% - 50%

Low Risk (L)Low Risk (L) 0% - 25%0% - 25%

Probability assumptions may fail to hold or materialize:Probability assumptions may fail to hold or materialize:

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Remedial Actions

• Modified Delegation of Authority letterModified Delegation of Authority letter

• Mandatory / increased frequency of project Mandatory / increased frequency of project visitsvisits

• More frequent reportingMore frequent reporting

• Changes in projectChanges in project

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Approval required for Changes to Project

ChangeChange Action RequiredAction Required

Project ObjectiveProject Objective Request to the GEFSEC for approvalRequest to the GEFSEC for approval

Project OutcomeProject Outcome Request to the GEFSEC for approvalRequest to the GEFSEC for approval

Cancellation after CEO EndorsementCancellation after CEO Endorsement

Termination during ImplementationTermination during Implementation

Inform the GEFSECInform the GEFSEC

Implementing Arrangements eg. Executing Implementing Arrangements eg. Executing Agency, Primary Institutional Agency, Primary Institutional Responsibilities, Supervisory Committee Responsibilities, Supervisory Committee responsibilities or compositionresponsibilities or composition

Consultation with the Regional CoordinatorConsultation with the Regional Coordinator

Inputs / Budget – more than X% shifted Inputs / Budget – more than X% shifted between input categoriesbetween input categories

Report through the PIRReport through the PIR

Retro-fitting indicatorsRetro-fitting indicators Report through the PIRReport through the PIR

Implementation targets and / or datesImplementation targets and / or dates Report through the PIRReport through the PIR

Project OutputsProject Outputs Report through the PIRReport through the PIR

Closing DateClosing Date Report through the PIRReport through the PIR

Project ActivitiesProject Activities Adjust Annual Work PlanAdjust Annual Work Plan