Programming Cross-Cutting Capacity Development by hedongchenchen


									                          CRITERIA FOR REVIEW OF GEF MEDIUM-SIZED PROJECTS (Revised: October 2003)
                                Project Concept Review    Project Brief Review/CEO   Implementation/Completion
                                (delegated to IAs         Approval

1. Country Ownership
   Country Eligibility              Country be a party (ratified) to at least
                                      two conventions

                                 1.   For grants within the financial
                                      mechanism, country be in conformity
                                      with eligibility criteria decided by the
                                      COPs; or
                                 2.   For grants outside the framework of
                                      the financial mechanisms of the
                                      Conventions, country be eligible for
                                      country assistance from the UNDP or
                                      the World Bank.
                                                                                     Verfification of eligibility

   Country Drivenness           Concept consistent with priorities of the        Clear description of project’s fit within:
                                 country as identified in:                         NCSA Findings
                                  National Capacity Self-Assessment                 National reports/communications
                                     and/or                                           to Conventions
                                  National reports/communications to
                                     Conventions                                     National or sector development
                                  National or sector development plans               plans
                                     such as NBSAPs, energy sector plans,              (in case of regional projects)
                                 An explanation should be given on how the
                                 project will address priority capacity needs
                                 identified in the NCSA process and how
                                 stakeholders were involved in development
                                 of the NCSA and/or other plans and how
                                 project idea evolved
                                     Recommendations of appropriate
                                      regional intergovernmental meetings
                                      or agreements.
                                       Project Concept Review                           Project Brief Review/CEO                    Implementation/Completion
                                       (delegated to IAs                                Approval

   Endorsement1                       The endorsement of the GEF operational              focal point should state that the
                                       focal point should state that the focal points       focal points of the relevant
                                       of the relevant conventions were consulted           conventions were consulted and in
                                       and in agreement with the project proposal.          agreement with the project
                                       The endorsement should also state that the           proposal. The endorsement should
                                       project proposal was reviewed by NCSA                also state that the project proposal
                                       steering committee or similar organ where            was reviewed by NCSA steering
                                       key stakeholders, primarily convention               committee or similar organ where
                                       focal pints, were consulted.                         key stakeholders, primarily
                                                                                            convention focal pints, were
2. Program & Policy Conformity
   Program Designation &              Identify:                                        Describe briefly how project objectives
    Conformity                          How the project proposal is linked to          are consistent with Operational
                                           the GEF Strategic Approach to                Program objectives and strategic
                                           Enhancing Capacity Building and what         priority.
                                           benefits the project will bring to the
                                           focal areas covered by the project.

   Project Design                        Outline the incremental reasoning of         Describe briefly:
                                           the concept, including:                       sector issues related to the
                                          Problem statement of national and                convention areas that the project
                                           global environmental issues that the             will address, root causes as it
                                           project will tackle through capacity             relates to country capacities to deal
                                           building interventions. A preliminary            with global environmental issues,
                                           gap analysis and the description of the          threats, barriers, etc, affecting
                                           two alternatives should follow).                 global environment. Priority
                                                                                            environmental challenges of global
                                          What would happen without GEF
                                                                                            nature that the country is facing.
                                           (programs & global environmental
                                                                                            Priority capacity building needs
                                           consequences) – baseline scenario.

    Country endorsement is mandatory before a MSP Project Brief is submitted for CEO approval. No endorsement is required for the submission of a MSP Concept
    Document or draft project brief. However, country operational focal points may choose to endorse the Project Concept Document and state in the endorsement letter that
    they do not want to endorse the MSP brief. Endorsement is required for the submission of a PDF-A request for MSP project preparation. A PDF-A request could also
    double as a Concept submission.
                                          Project Concept Review                         Project Brief Review/CEO                     Implementation/Completion
                                          (delegated to IAs                              Approval

                                             What would happen with GEF                      identified in the NCSA process.
                                              (programs & global environmental               Project logical framework,
                                              consequences) – alternate scenario.             including a consistent strategy, and
                                                                                              details of goals, objectives,
                                          The analysis should consistently refer to           outputs, inputs/activities,
                                          the findings of the key analytical phases of        measurable performance
                                          the NCSA and what priorities the project is         indicators, risks and assumptions.
                                          trying to address.
                                                                                             Global environmental benefits of
                                                                                              project (performance indicators at
                                                                                              objective and outcome level should
                                                                                              refer to the environmental, socio-
                                                                                              economic, institutional and
                                                                                              policy/legal impact of the project).
                                                                                             Project cost to be financed by the
    Sustainability (including            Indicate factors that influence continuation   Describe briefly specific actions to be
     financial sustainability)            of project benefits after completion of        undertaken, within and/or outside the
                                          project implementation.                        project, to address factors that influence
                                                                                         continuation of project benefits after
                                                                                         completion of project implementation.
    Replicability3                       Outline the potential for repeating the        Describe briefly specific actions, with
                                          project lessons and transferring experience    work plan and budget, if any, to foster
                                          elsewhere.                                     knowledge transfer (for e.g.,
                                                                                         dissemination of lessons, training
                                                                                         workshops, information exchange,
                                                                                         national and regional forum, etc. and
                                                                                         provide the budget associated with
                                                                                         these efforts. It could also be within
                                                                                         project description)
    Stakeholder Involvement/             Identify major stakeholders, relevant to        Describe briefly how stakeholders

     The share of the project cost to be borne by the GEF should be related to the incremental reasoning of the project. The project brief should identify partners who will co-
     finance the project.
    Replication refers to repeatability of the project under quite similar contexts based on lessons and experience gained. Actions to foster replication include dissemination of
    results, seminars, training workshops, field visits to project sites, etc.
                              Project Concept Review                  Project Brief Review/CEO                  Implementation/Completion
                              (delegated to IAs                       Approval

    Intended Beneficiaries    project objectives:                         have been involved in project
                               GEF and Conventions focal points          development.
                               Private sector                           Describe briefly the roles and
                               NGOs                                      responsibilities of relevant
                               Communities                               stakeholders in project
                               public agencies                           implementation.
                               marginal groups in ecosystem-based       Describe how the marginal groups
                                  projects such as nomads,                are going to be involved in the
                                  transhumants, young people and          project implementation.
                               Others
   Monitoring & Evaluation                                              Describe briefly M&E Plan , based        On an annual basis, during
                                                                          on the project logical framework,         project implementation, submit
                                                                          including the following elements:         project implementation report to
                                                                         Budget.                                   GEF M&E as input into the PIR.
                                                                         Organizational arrangements for
                                                                          implementing M&E                         Prepare project completion
                                                                                                                    report and submit it to GEF
                                                                         Specification of indicators for           M&E.
                                                                          project objectives, outputs and
                                                                          activities, including intermediate
                                                                          benchmarks, and means of
3. Financing
   Financing Plan               Indicate potential sources of co-      Project cost, including:
                                  financing, if known.                   Costing by activity and sub-
                                 Indicate financing instrument, if       activity
                                  known.                                 Project Implementation Plan.
                                                                         Financing plan, including
                                                                          commitments by co-financiers,. In
                                                                          kind contribution will be
                                                                          considered as co-financing but the
                                                                          plan has to specify specific inputs
                                                                          to be provided by the government
                                     Project Concept Review                     Project Brief Review/CEO                  Implementation/Completion
                                     (delegated to IAs                          Approval

                                                                                    or other institution.
   Cost-effectiveness                                                             Estimate cost effectiveness, if
                                                                                    feasible. Refer to how cross-
                                                                                    cutting intervention will be a
                                                                                    cost-effective approach to
                                                                                    dealing with conventions and
                                                                                    global environmental issues
   Co-financing                        Indicate the nature of co-financing:      Update the financing plan with           Implementing Agency should
                                         whether it is “initial” co-financing       respect to the status of any co-          report to the Secretariat any
                                         critical to project success or             financing that would be mobilized         substantive changes on the co-
                                         “subsequent” co-financing which            during implementation.                    financing arrangements
                                         would be mobilized during                 Clearly identify if co-finances are       throughout the project cycle.
                                         implementation.                            in-kind or in-cash contributions.
                                                                                   Provide explanation if co-financing
                                                                                    amount or sources included in the
                                                                                    MSP Concept Document deviate
                                                                                    substantially from the current
                                                                                    project brief submitted for CEO
4. Institutional Coordination & Support
   Core commitments & Linkages                                                 Describe how the proposed
                                                                                project is located within the
                                                                                   Country/regional/global/sector

                                                                                   GEF activities with potential
                                                                                    influence on the proposed project
                                                                                    (design and implementation).
   Consultation, Coordination and                                                 Describe how the proposed project
    Collaboration between IAs, and      Ensure that project does not               relates to activities of other IAs
    IAs and ExAs.                        duplicate/overlap with activities of       (and relevant ExAs) in the
                                         other IAs and ExAs in the country.
                                    Project Concept Review                      Project Brief Review/CEO                 Implementation/Completion
                                    (delegated to IAs                           Approval

                                                                                   Describe planned/agreed
                                                                                    coordination, collaboration
                                                                                    between IAs/ExAs in project
                                                                                   Provide documentation to support
                                                                                    these consultations and agreements
                                                                                    (e.g. minutes of the meetings,
                                                                                    memos, MOUs, etc.)
   Implementation/execution           Explain how the IA will ensure a high      Attach a written plan for
    arrangements                        quality technical and financial             implementation/execution
                                        implementation of the project (e.g.         arrangements, or clearly address
                                        international project coordinator,          the plan in the Project Executive
                                        supervision by country-based staff or       Summary.
                                        HQ, UNOPS, arrangements with other
                                        involved agencies.
5. Response to Reviews
GEF Secretariat                                                                 Respond to upstream comments from
                                                                                GEFSEC, if applicable.
Convention Secretariat                                                          Respond to upstream comments from
                                                                                Convention Secretariat, if applicable.
Other IAs and relevant ExAs.                                                    Respond to upstream comments by
                                                                                other IAs and relevant ExAs, if
Review by expert from STAP Roster                                               Respond to review by expert from
(Optional)                                                                      STAP roster.

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