UNDP-GEF Guidance GEF Annual Monitoring Process

Transcription

1 UNDP-GEF Guidance 2017 GEF Annual Monitoring Process Contents A. Project-level reports to be submitted as part of the 2017 GEF Annual Monitoring Process... 1 B. PIR: 2017 deadlines... 2 C PIR: changes, tips and technical notes... 3 D. PIR: main roles and responsibilities... 6 E. GEF AMR: deadlines for other mandatory project reports... 8 F. GEF AMR: how are these project reports used?... 8 G. Contact information for 2017 PIR Support Annex 1: Overview of key dates of the 2017 GEF AMR process Annex 2: Overview of MTR, TE and GEF Tracking Tool requirements A. Project-level reports to be submitted as part of the 2017 GEF Annual Monitoring Process 1. Project Implementation Reports (PIRs): a. All full sized projects (FSP) and medium sized projects (MSP) financed by GEF/LDCF/SCCF/NPIF must submit a PIR each year of project implementation. b. Projects with a project document signature date on or before 30 June 2016 must complete a 2017 PIR. c. Expedited EAs and MSPs 1 with a project budget under USD 1,000,000 do not need to complete a PIR however a brief update on the status and disbursement of the GEF grant must be provided to the GEF annually. The UNDP-GEF Directorate will prepare this update. d. FSPs and MSPs do not need to submit a 2017 PIR if that project s draft or finalized Terminal Evaluation report AND draft or finalized terminal GEF Tracking Tool (as applicable) are posted in PIMS by 31 May Please notify the RBM team of all such postings. If this deadline is not met, then a 2017 PIR must be submitted to the GEF to ensure compliance with annual reporting requirements. 2. Country Office Timesheets: a. The UNDP Country Offices will be contacted by UNDP-GEF Finance staff based in the regions to assist in completing this mandatory GEF report. 1 Some teams may still require MSPs with a budget under USD 1,000,000 to complete a PIR. UNDP-GEF 2017 AMR FAQs Page 1

2 3. Midterm review (MTR) reports and the corresponding midterm GEF Tracking Tool: please see Annex 2 for further information. a. Full-size projects that will submit the 3 rd PIR in 2017 are expected to submit the MTR to the GEF this year. Though not ideal, some projects may be submitting the 4 th or later PIR with the MTR. b. MTR reports that are available in English, and have the completed and quality assured midterm GEF Tracking Tool, will be submitted to the GEF Secretariat in December Terminal evaluation (TE) reports and the corresponding terminal GEF Tracking Tool: please see Annex 2 for further information. a. TE reports that are available in English and have been posted to the UNDP Evaluation Resource Center ( by 11 December 2017 will be quality assessed by the UNDP Independent Evaluation Office (IEO) and then shared with the GEF IEO. The completed and quality assessed terminal GEF Tracking Tool will be shared with the GEF Secretariat. B. PIR: 2017 deadlines 1. Tuesday, 1 August 2017 or the date set by the UNDP-GEF team in the region (which may be earlier): 1 st draft due for regional team review. The first draft of the PIR should be completed and sent to the UNDP-GEF team in the region for review. By this date, inputs should be provided by the Project Team, the GEF Operational Focal Point, the UNDP Country Office, and any other key national partners that would like to provide input to the PIR. 2. Friday, 15 September 2017: Key Data. The finalized key data in the PIR must be submitted online by the UNDP-GEF Regional Technical Advisor (RTA). This is done by clicking the Approve/Submit Key Data button on the Approve and Submit Page of the PIR. The key data cannot be changed after this date and will be locked in the PIR system. Key data elements that the RTA must verify and submit are: a. Overall DO and IP Ratings b. Total number of critical risks c. Estimated cumulative GEF grant disbursed as of 30 June 2017 d. Revised project closing date (if any; official extension must be approved) 3. Monday, 2 October 2017: Finalized 2017 PIRs. The PIR must be fully completed (in English) and must be submitted online by the RTA. This is done by clicking the Final Approve/Submit button on the Approve and Submit Page of the PIR. After the Final Approve/Submit button has been clicked by the RTA, no further changes can be made to the PIR. UNDP-GEF 2017 AMR FAQs Page 2

3 C PIR: changes, tips and technical notes PIR tab Changes made since last year Tips Basic data 1. Eliminated the fields asking for the project s implementing partner. 2. Eliminated the question: Is this the terminal PIR that will serve as the final project report? 3. General Comments field eliminated. DO Progress 1. New question: Please Set Progress under each objective and outcome. The Project Manager must select whether each objective/outcome is on track, off track or achieved. 2. General Comments field eliminated. DO Ratings 1. Eliminated DO Rating comment field. 2. A new Progress Summary is displayed. This shows the on track, off track, achieved progress that has been selected in the DO Progress tab for each objective/outcome. 3. If any objective/outcome is off track then you will not be able to select a highly satisfactory DO rating. 4. DO Ratings definitions have been updated. 5. General Comments field eliminated. Adjustments 1. Questions on Annual Project Quality Assurance Assessment eliminated. 2. Project planning table moved to IP ratings tab (dates are displayed and not editable). Comments on any delays in key project milestones may be entered in the Adjustments tab. As in past years, most of the information in the Basic Data is for reference and can only be updated via PIMS+. Updates made to PIMS+ will automatically be updated in the PIR. The only editable fields in the Basic Data tab are the following: name and entry fields in the project contact table (Project Manager; UNDP Country Office; GEF Operational Focal Point; Project Implementing Partner; Other Partners). If the objective/outcomes and corresponding indicators from the project logframe/results framework are not accurate or complete, or were poorly transferred to the 2017 PIR please contact the RBM team. Project outputs should NOT be included in this tab. Only objective and outcome level indicators and results should be included. We recommend that no more than 18 indicators in total be included. The GEF Council does not allow substantive changes to the project objective or outcomes that may lead to a downgrading to the global environmental benefits to be achieved without their prior approval. Do not make major changes to the objective or outcomes! Minor revisions to the indicators are permitted, but must be approved by the Project Board and the UNDP-GEF RTA before they are entered into the PIR. Consult the RBM team for additional tips and support, if such changes are necessary. Comments on the DO Rating should be provided in the Overall Assessment section of the PIR, along with the IP Rating comments (as one cohesive narrative). KEY DATA Only the types of critical risks should be reported. These critical risks should be the same as those in the updated ATLAS risk log. UNDP-GEF 2017 AMR FAQs Page 3

4 PIR tab Changes made since last year Tips 3. General Comments field eliminated. IP Ratings 1. Eliminated IP Rating comment field. 2. New content related to Implementation Progress (financial performance, financing amount and key project dates) has been added to the Adjustments tab to better inform the selection of a rating. 3. Critical risks and dates of project steering committee meetings are displayed to better inform the selection of a rating. 4. IP Ratings definitions have been updated. 5. General Comments field eliminated. Comments on the IP Rating should be provided in the Overall Assessment section of the PIR, along with the DO Rating comments (as one cohesive narrative). KEY DATA Revised planned closing date: This is the date when the project is expected to have completed the terminal evaluation and will be operationally closed in ATLAS. A revised planned closing date will only be displayed if a project extension has been officially approved from the UNDP-GEF Executive Coordinator. No project can be extended without this approval. Gender General Comments field eliminated. NOTE FOR COUNTRY OFFICE: The progress reported in this tab should be used by the Country Office to revise and update the gender marker score in ATLAS. In general, projects in which gender has been taken into account adequately and has been mainstreamed in outputs and actions should be classified as GEN 2 or higher. Communicating Impact General Comments field eliminated. This information is used by the GEF and UNDP for reporting on development impacts and is therefore very important! All sections must be completed. Partnerships General Comments field eliminated. This information is used by the GEF and UNDP for reporting and is therefore very important! All sections must be completed. Environmental and social grievance 1. Eliminated question: What is the status of the grievance? 2. General Comments field eliminated. SDGs 1. Eliminated the tab in the 2017 PIR. SDG alignment must be completed in PIMS+ after the project s CEO endorsement. 2. General Comments field eliminated. This is the only optional section of the entire PIR. Update this section if the grievance occurred and/or was addressed between 1 July 2016 and 30 June The SDGs shown in the Basic Data tab is the alignment selected during the 2016 PIR process and has been quality assured by the UNDP-GEF Principal Technical Advisor. For new projects completing a PIR for the first time, starting in 2017, the SDG alignment is completed prior to the start of the PIR process. UNDP-GEF 2017 AMR FAQs Page 4

5 PIR tab Changes made since last year Tips New tab: All PIR contributors are required to The Overall Assessment should include: enter a narrative Overall Assessment, replacing DO and IP Ratings comments. Overall Assessment Approve and Submit Page EBD Annex Full justification for the DO rating based on full and complete progress reported in the DO tab (note: RTA and Country Office users must provide justification for both DO and IP ratings). If the rating provided is not the same as previous years (if relevant), explain what changed and why. If progress is rated in the unsatisfactory range explain why and outline steps that will be taken to get the project back on track in the coming year. Note that ratings in the unsatisfactory range are welcome when progress warrants an unsatisfactory rating. Do not avoid an unsatisfactory rating; provide a credible and realistic rating; Specify whether the previous year s annual workplan was fully implemented or not. If not, explain why not and what will be done to improve annual work plan implementation in the coming year; Provide an assessment of current project risks and the most important risk management measures to be taken in the coming year. This should include an update of measures undertaken to address social and environmental risks if relevant, and any new risks identified over the past year. None When you have completed your contribution to the PIR you must go to the Approve/Submit Page to finalize your contribution. Only users that have submitted their name and address in this section of the PIR and clicked Submit or Final Approve/Submit (RTA PIR users only) will receive an automated with the final Word PIR report. Users that have logged into and edited the PIR but have not provided their name and address in this section and not clicked Submit in the Approve/Submit Page will not receive the final Word PIR report. The average or overall DO and IP ratings appear in the Approve and Submit Page for RTAs only. The RTA can change this overall rating if necessary and appropriate and must provide a justification of why the overall rating was changed. Eliminated in 2017 PIR and no longer required of any project. EBD Annex information from previous years will be viewable in PIMS+. We are now exclusively relying on GEF Tracking Tools for these results data. UNDP-GEF 2017 AMR FAQs Page 5

6 New for 2017! Login Mobile-friendly Technical Notes UNDP-GEF RTAs and PAs must sign on to the PIR with their PIMS+ logins. In order to access their PIRs, UNDP-GEF RTAs and PAs must be assigned as the RTA or PA role in the project s PIMS+ Roles & Contacts section. For all other users, the PIR login works the same as past years users must enter their name and then select their role in the PIR process. You can access, edit and submit the PIR on your smart phone or tablet. Tech support available For technical support, questions or to report any issues please PIRtechsupport@undp.org ( address is also accessible in all PIRs). D. PIR: main roles and responsibilities A. Project Manager: The Project Manager is closest to the project results and starts the PIR process. Specific tasks: Done 1 Ensure the project logframe indicators are monitored throughout the year. Update the DO tab with latest monitoring data. For each objective/outcome, select whether it is on track/off track/achieved. Upload evidence to support progress reported. 2 Discuss the previous year s PIR quality rating with the UNDP Country Office to identify areas for improvement. 3 Complete every section of the PIR. Provide a DO rating and comments in the Overall Assessment to justify it. Submit to the UNDP Country Office for discussion and review. Finalize the PIR. 4 Discuss the final PIR with the Project Board and the UNDP Country Office. B. UNDP Country Office Programme Officer (CO): The Environment Focal Point (EFP) should work with the Project Team to ensure the PIR is fully completed. Specific tasks: Done 1 Discuss the previous year s PIR quality rating with the UNDP-GEF Regional Team and the Project Manager to identify areas for improvement. 2 Complete Adjustments tab. In the critical risk management table, copy the type and status of critical risks reported in the ATLAS risk log. 3 Complete Environmental or Social Grievances tab if a grievance related to the environmental or social impacts of the project was addressed this reporting period. 4 Provide DO and IP ratings, and comments in the Overall Assessment to justify the ratings. 5 Review all sections of the PIR for completeness, consistency, reliability and substantiveness, and clarity. 6 Submit PIR to the appropriate UNDP-GEF Programme Associate in the regional team for discussion and review. Finalize the PIR. 7 Discuss the final PIR with the Project Board and the Project Team. UNDP-GEF 2017 AMR FAQs Page 6

7 C. UNDP-GEF Programme Associates (PAs): The UNDP-GEF Programme Associates (PAs) based in the regions support the COs in completing the PIR on time and undertake a quality review of the draft PIR. Global PAs undertake these PIR tasks for Global projects. Specific tasks: Done 1 Review the previous year s PIR quality rating to inform the quality review of the 2017 PIR. 2 Follow up with the CO regularly to address any questions the CO or project team may have. 3 Upon receiving the PIR from the CO review the PIR and: Check that all mandatory sections of the PIR have been completed. Check that the text provided in each tab is legible and coherent, and does not repeat the previous PIR submission (and is in English). Check that the DO progress and Adjustments tabs have been updated and do not repeat the previous PIR submission. Check that the DO and IP ratings have been completed. In addition, the related comments should not repeat those submitted in the previous PIR, and must be relevant, substantive and outline next steps to be taken particularly when the DO and/or IP ratings are in the unsatisfactory range (i.e. HU/U/MU). 4 If requested to make changes to the Development Objective Progress tab, do so if these are minor changes to the indicators only. These changes must have been approved by the Project Board and the RTA and be documented in the Inception Workshop Report or the MTR. If you have any questions about making changes to this tab, please contact the RBM Team. 5 Review all sections of the PIR for completeness, consistency, reliability and substantiveness, and clarity. 6 Work with the CO and RTA to finalize the PIR. 7 Once PIR process is complete, follow up with the CO to confirm they have received the PIR Word report. Confirm that all PIR data including the Word report has been transferred to PIMS 3. D. UNDP-GEF Regional Technical Advisers (RTAs): RTAs are accountable to the PTA for the quality of the PIR. Specific tasks: Done 1 Communicate with COs/project teams on the PIR process and quality expectations during inception phase/workshops, supervision missions and regular communications. 2 Review the previous year s PIR quality rating. 3 Supervise PA on the coordination of the PIR process and the timely submission of the PIR. 4 Prepare DO and IP ratings, and comments for the Overall Assessment 5 Undertake final quality review of the PIR. 6 Submit/approve key data by 15 September Submit/approve final PIR by 2 October Discuss quality ratings of portfolio of PIRs with PTA and PA. UNDP-GEF 2017 AMR FAQs Page 7

8 E. GEF AMR: deadlines for other mandatory project reports 1. Friday 14 July 2017: The Country Office timesheets must be submitted to UNDP-GEF finance staff in the region. 2. Tuesday 11 July 2017: Key data 2 for each expedited EAs with a project budget under USD 1,000,000 must be submitted to UNDP-GEF Directorate. The table will be circulated to the relevant UNDP-GEF team EA focal points in June Monday 11 December 2017: The MTR reports available in English must be posted in PIMS by UNDP-GEF PAs. The TE reports available in English must be posted to the ERC by UNDP Country Offices. Each MTR and TE report must be submitted to the UNDP-GEF team with the completed GEF Tracking Tool. 4. Rolling basis: The required midterm and terminal GEF Tracking tools of projects undertaking MTRs or TEs must be prepared by the project team (or partners) and then submitted by the UNDP Country Office to UNDP-GEF RTAs on a rolling basis for centralized quality review before the MTR or terminal evaluation mission takes place. F. GEF AMR: how are these project reports used? 1. Key data from 2017 PIRs: Key data are extracted from each PIR and consolidated into one file that is sent to the GEF Secretariat. These data are used by the GEF Secretariat to prepare the Corporate Scorecard for the June 2017 GEF Council Meeting and an Annual Portfolio Monitoring and Results Report (APMR; formerly the Annual Monitoring Reports (AMR) Parts I and II) for the October 2017 GEF Council Meeting. When a project does not submit the key data on time it is listed as non-compliant in the APMR. The 2016 GEF Annual Portfolio Monitoring Report and Corporate Scorecard can be found here. 2. Final 2017 PIR: a. Each PIR is sent to the GEF Secretariat and is used to prepare the Corporate Scorecard and the APMR Report that are presented to the GEF Council. b. All PIRs are sent by the UNDP-GEF Directorate to an external consultant for quality review. c. PIRs are used by the UNDP-GEF Directorate to identify risks and slow performing projects that may need additional implementation support. d. PIRs are used to prepare a wide range of communications material including the UNDP-GEF Annual Performance Report (APR). The 2016 UNDP-GEF APR was presented to the GEF Council in May 2017 and is available here Country Office timesheet: The timesheets are used to prepare the UNDP Administrative Expenses report, included as an Annex to the 2017 APMR Report that will be presented to the GEF Council in November MTRs and mid-term/terminal GEF Tracking Tools: The MTRs and mid-term/terminal GEF Tracking Tools are sent to the GEF Secretariat and are used to prepare the 2017 Corporate Scorecard and APMR. 2 Key data for EAs includes: start date; proposed closing date; revised closing date; cumulative GEF grant expenditure; status of implementation (i.e. closed, cancelled, under implementation) UNDP-GEF 2017 AMR FAQs Page 8

9 5. TEs: The TE reports are sent to the UNDP Independent Evaluation Office (IEO) for quality review. The GEF IEO uses the TE reports and quality ratings to prepare the GEF Annual Performance Report; the next will be presented to the GEF Council in June The GEF IEO 2015 Annual Performance Report can be found here. UNDP-GEF 2017 AMR FAQs Page 9

10 G. Contact information for 2017 PIR Support Contact UNDP-GEF Team Areas of Focus Coordinates Margarita Arguelles RBM Team (New York) Latin America & Caribbean Europe & CIS Arab States Nancy Bennet RBM Team (New York) General support Ciara Daniels RBM Team (New York) Global General Support Hilda Van Der Veen Chemicals (New York) All Chemicals and Waste projects Jessie Mee RBM Team (Bangkok) Asia & Pacific Africa Gabriella Toth Finance (Istanbul) CO timesheets Annex 1: Overview of key dates of the 2017 GEF AMR process 1. Tuesday, 11 July 2017: Key data 3 for each expedited EA and MSP with a project budget under USD 1,000,000 that are not submitting PIRs must be submitted to UNDP-GEF Directorate. The table will be circulated to the relevant UNDP-GEF team EA focal points in June Friday, 14 July 2017: The Country Office timesheets must be submitted to UNDP-GEF Finance staff in the region August or date set by the UNDP-GEF team in the region which may be earlier: The first draft the PIR should be completed and sent to the UNDP-GEF team in the region for review. 4. Friday, 15 September 2017: The key data in the PIR must be submitted online by the UNDP-GEF Regional Technical Advisor (RTA). 5. Monday, 2 October 2017: Finalized 2017 PIR must be submitted online by the RTA December 2017: The 2017 MTR reports available in English must be posted in PIMS by UNDP- GEF PAs. The 2017 TE reports available in English must be posted in PIMs and to the ERC by UNDP Country Offices (or by the relevant UNDP-GEF specialist for global projects). Each MTR and TE report must be submitted to the UNDP-GEF team with the completed GEF Tracking Tool, as required. The UNDP-GEF RBM team must be alerted when any MTR or TE is posted in PIMS/ERC, to enable submission to the GEF. 7. Rolling basis: The required midterm and terminal GEF Tracking tools must be submitted by the UNDP Country Office to UNDP-GEF RTAs on a rolling basis for quality review before the MTR or terminal evaluation mission takes place. 3 Key data for EAs includes: start date; proposed closing date; revised closing date; cumulative GEF grant expenditure; status of implementation (i.e. closed, cancelled, under implementation) UNDP-GEF 2017 AMR FAQs Page 10

11 Annex 2: Overview of MTR, TE and GEF Tracking Tool requirements DETAILS WHAT WHEN GEF tracking tools (TT) All full sized projects (FSPs) must complete the relevant GEF Tracking Tool three times during their life 4 : CEO endorsement; at mid-term before the mid-term review mission; and at closing before the terminal evaluation mission. All medium sized projects (MSPs) must complete the relevant GEF Tracking Tool two times during their life: CEO endorsement; and at closing before the terminal evaluation mission. Therefore, mid-term TTs are not required for MSPs. EAs are not required to complete GEF TTs at any stage. The project manager is responsible for completing the GEF Tracking Tool. (i.e. not the UNDP Country Office or the UNDP-GEF RTA) Excel templates prepared by GEF available at: The structure of these templates cannot and should not be altered for any reason, unless explicitly allowed (e.g. in the TT guidance or instructions). The draft TTs must be submitted by the project manager to the UNDP CO before the CO advertises the TOR for the MTR/TE (i.e. one to two months before the MTR/TE mission). The UNDP CO must then submit the TT to the UNDP-GEF Unit for quality review. The GEF TT is a key project information document and the final quality assured TT must be provided to the independent MTR/TE team before the review/evaluation mission. When a project is implemented by more than one GEF Agency, only the GEF Agency with the largest portion of the GEF grant should submit a GEF TT on behalf of the entire project. Other cooperating GEF Agencies are expected to provide the reporting GEF Agency with relevant input. UNDP-GEF Quality Assurance: All GEF TTs must be centrally quality assured by the UNDP-GEF Unit for final clearance before they can be submitted to the GEF Sec. Mid Term Review (MTR) Multiple Focal Area projects are required to complete some elements of a number of different GEF focal area tracking tools. The procedures outlined here apply to MFA projects as well. All full sized projects must undertake a mid-term review and prepare a mid-term review report and management response. Medium sized projects can undertake a mid-term review at the discretion of the RTA. The RTA should consider: Project duration: Medium sized projects with a planned duration greater than 3 years should do a MTR. MTR report and corresponding management response. The MTR report must be translated into English. The GEF will not accept MTRs in any other language. As of July 2014, the MTR should be submitted to the GEF along with the 3 rd PIR. Full sized projects that have prepared more than 3 PIRs and have not yet undertaken their MTR should initiate the process immediately. Full size projects must prepare the midterm GEF Tracking Tool before the TOR for the MTR is advertised. 4 For the following GEF focal areas, only those projects approved in GEF-5 or later are required to complete the GEF focal area tracking tool: Land degradation, Climate Change Adaptation Page 11 of 12

12 Annex 2: Overview of MTR, TE and GEF Tracking Tool requirements DETAILS WHAT WHEN Project complexity: Medium sized projects that are implemented in remote areas or in countries with weak governance systems or with complex project designs should do a MTR. The RTA should include the requirement to undertake a MTR for a medium sized project in the project document before it is sent for CEO endorsement. If the MTR is not required in the project document, the Project Board can still decide to undertake (and allocate budget) for a MTR. Full size projects must prepare the midterm GEF Tracking Tool before the TOR for the MTR is advertised. Medium sized projects do not need to submit the GEF Tracking Tool at midterm, regardless of whether they undertake a MTR or not. Terminal Evaluation (TE) Expedited EA projects with a budget under USD 500,000 do not need to undertake a MTR. All full sized and medium sized projects must undertake a terminal evaluation and prepare a terminal evaluation report and management response. Expedited EA projects with a budget under USD 500,000 do not need to undertake a TE. TE report and corresponding management response. The TE report must be translated into English. The GEF will not accept TE reports in any other language. TEs should be undertaken during the period six months before and six months after operational closure. Full size projects and medium size projects must also complete the terminal GEF Tracking Tool before the TOR for the TE is advertised. Management Responses Note that a management response to the MTR and TE is mandatory as noted in the UNDP-GEF MTR Guidance Document and the UNDP-GEF TE Guidance Document. The TE process is not considered complete until the management response and the TE report have been posted to the ERC. Management response template provided in the UNDP-GEF MTR Guidance Document and the UNDP- GEF TE Guidance Document. Within 3 months of the completion of the MTR report and TE report. MTRs: The management response should be copied into the MTR report as an Annex to the report (or entered/uploaded to the ERC if the MTR report is uploaded to the ERC) and in PIMS. TEs: The management response should be entered/uploaded to the ERC and posted in PIMS Page 12 of 12