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GEF Policies and Processes in GEF 4


... Concept Review and Work Program Inclusion: using a Project Identification Form ... Consistency with GEF strategic objectives/programs; ... – PowerPoint PPT presentation

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Title: GEF Policies and Processes in GEF 4

GEF Policies and Processes in GEF 4
  • Sub-regional Workshop for GEF Focal Points
  • Eastern and Southern Africa
  • Nairobi, 14-16 May 2007

  • I. New Vision for the GEF
  • II. Evolving Policies and Processes
  • III. Role of Countries
  • IV. Comparative Advantages of GEF Agencies

I. New Vision for the GEF
  • Strategic
  • Innovative
  • Equitable
  • Accessible
  • Focused

GEF will be Strategic
  • Set clear priorities for the global environment
  • Refocus Focal Area Strategies
  • Biodiversity
  • Climate Change (mitigation and adaptation)
  • International Waters
  • Ozone Depletion
  • Land Degradation
  • Persistent Organic Pollutants (POPS)
  • Build synergies for cross-cutting issues
  • Sustainable forest management
  • Sound chemicals management
  • GEF Sec will submit revised strategies for
    review and approval by June 2007 Council

GEF will be Strategic (continued)
  • Promote programmatic approach
  • Move away from project driven approach
  • Develop and apply indicators of outcomes and

GEF will be Innovative
  • Finance cutting edge and entrepreneurial efforts
    to establish sustainable technologies
  • Leverage global capital on sustainable
  • Reach out to private sector at the country level

GEF will be Equitable
  • Create special mechanisms by which more
    vulnerable countries can have easier access GEF
  • - Special focus on SIDS
  • Ensure that a minimum level of resources are
    available to all countries under the RAF

GEF will be Accessible
  • Engage in direct and transparent dialogue with
    countries to ensure that new policies and
    procedures are understood
  • Enhance GEFs corporate image and public
  • Improve data management system and website

GEF will be Focused
  • Equalize playing field among Agencies
  • Ensure all Agencies have direct access to GEF
  • Engage with Agencies based on comparative
  • Simplify GEF project development process
  • Redesign project cycle
  • Reduce and better manage pipeline
  • Target resources towards countries with greater
    potential to generate global environmental
    benefits and country performance

II. Evolving Policies and Processes
  • Resource Allocation Framework
  • Project Cycle
  • Focal Area Strategies
  • Small Grants Programme
  • Comparative Advantage of GEF Agencies

Resource Allocation Framework
  • New system to allocate scarce GEF resources to
    all eligible countries
  • Allocations are based on
  • Global Environmental Benefits
  • Country level Performance

Resource Allocation Framework(continued)
  • Provides predictability and transparency to
  • Applies to Biodiversity and Climate Change focal
    areas in GEF4

Allocations under the RAF
  • Countries receive Individual Allocations in the
    Biodiversity and Climate Change focal areas
  • OR
  • Countries have access to Group resources in the
    Biodiversity and Climate Change focal areas

Allocations under the RAF
  • Initial Allocations are for the 4-year period of
  • Only 50 of Allocation can be used for approvals
    in first 2 years of GEF4
  • Allocations will be adjusted after 2 years if
    country performance and global benefits change

Group Allocations
  • Countries in Group collectively access group
  • Average GEF4 allocation for countries in Group
  • Biodiversity 1.6 million
  • Climate Change 1.3 million

Group Allocations (continued)
  • To ensure equity and predictability to all
    countries in the Group the following provisions
  • One proposal up to 1 million to be reviewed
    expeditiously within national context
  • Additional proposals to be reviewed in
    comparison with projects from all countries in
    the Group
  • Group resources cannot be channeled to Small
    Grants Programme or Cross-cutting Capacity

Programming Resources under the RAF
  • GEF Secretariat engages in direct dialogues with
  • Countries determine national priorities and
    projects for GEF funding based on GEF guidance
  • Countries discuss identified priority
    concepts/projects with appropriate GEF Agency for
    further development
  • GEF Agency fees are considered part of the
    country RAF allocation and should be included in
    project grant amounts in country endorsement
    letters under the RAF

Managing Pipeline of Projects Under Preparation
  • GEFs Goal Balance resources availability with
    demand in predictable and transparent manner
  • Projects to be entered into pipeline based on
  • Fit with GEF Focal Area Strategy
  • National priority based on country endorsement
  • Realistic project preparation timeframe
  • Measurable results and global impacts

Managing Pipeline of Projects Under Preparation
  • Near term focus on Pipeline 2007
  • Identified project priorities for preparation and
    approval in 2007
  • Projects to be considered for next Pipeline after
    June 2008

Focal Area (FA) Strategies
  • FA strategies presented to Dec 2006 Council
    considered as interim or working drafts
  • Based on Council guidance, CEO to revise
    strategies while ensuring consultative process,
    has established
  • 5 Technical Advisory Groups (TAGs) in each of
    the focal areas (POPs and Ozone combined).
  • Coordinating Strategy Advisory Group (SAG)
  • Purpose of revising FA Strategies to sharpen
    their focus and harmonize/integrate approaches in
    different FAs
  • Revised FA Strategies will be presented to June
    2007 Council for review and approval.

Focal Area (FA) Strategies(continued)
  • Interim strategies formed basis for 2007
    pipeline, whereas revised strategies will provide
    basis for 2008-2010 pipelines
  • Focal Points can follow progress of this
    undertaking by visiting GEFSEC website
  • http//
  • Focal Points welcome to provide feedback to
    on-going work channeled through the Council
    Member in their respective constituencies

Proposed GEF Project Cycle
  • Objectives of the proposed new project cycle
  • Greater upstream strategic programming of GEF
  • Reduction of project preparation time from 66 to
    22 months on average and
  • Simplified GEF process and transparency in
    decision making.

Proposed GEF Project Cycle
  • Progression from one phase to the next is through
    two discrete GEF review points
  • Project Concept Review and Work Program
    Inclusion using a Project Identification Form
    (PIF) for concept review and approval by CEO
    and a Work Program Document which describes the
    overall programmatic coherence of the GEF
    pipeline of projects and focuses on policy and
    strategic issues will be submitted by CEO for
    Council consideration and
  • CEO endorsement Fully prepared projects would
    be submitted for CEO endorsement before such
    projects are approved by the Agencies.

Proposed GEF Project Cycle
  • GEF Agencies are responsible for three
  • major phases
  • Project preparation
  • Project approval and implementation supervision
  • Project closing and evaluation

GEF Pipeline Management
  • All approved PIFs go into GEF pipeline
  • Proposals in the pipeline will be processed with
    time-bound milestones
  • Proposals not meeting the milestones are subject
    to cancellation policies approved by the Council.

Project Review Criteria
  • Criteria for PIF and Work Program Inclusion
  • Country eligibility
  • GEF operational focal point endorsement
  • Consistency with GEF strategic objectives/programs
  • Comparative advantage of the GEF agency
    submitting the PIF
  • Consistency of the GEF grant amount with
    resources available in the focal area, strategic
    objectives, strategic program, and Resource
    Allocation Framework allocations
  • Estimated cost of the project and
  • Milestones for further project processing.

Project Review Criteria
  • Criteria for CEO Endorsement of Projects
  • Final cost tables for project components, project
    management, consultants, and co-financing
  • GEF Monitoring and Evaluation Policy provisions
  • Explanation for any changes in expected global
    environmental benefits, consistency with focal
    area strategy, GEF grant amount and co-financing
    since PIF approval and
  • Project preparation grant status report.

Country Endorsement(by Country National
Operational Focal Point)
  • Endorsement is required when PIF is submitted for
    CEO approval
  • Projects in the biodiversity and climate change
    focal areas should follow the endorsement rules
    of RAF (all resources requested are out of
    country/group allocations).

Project Identification Form (PIF)
  • Submission of a PIF for CEO approval is on a
    monthly basis.
  • PIF template includes key information on project
    idea and best estimate of project cost.

Project Preparation Grant (PPG)
  • Available only for
  • Approved PIFs
  • After receipt of Focal Point endorsement letter
  • Grant amount based on estimate of project
    preparation costs and deducted from total project
  • Approved on a rolling basis

Country Endorsement(by Country National
Operational Focal Point)
  • Endorsement required
  • when PIF is submitted for CEO approval and Work
    Program inclusion.
  • PIFs for Biodiversity and Climate Change
    projects need to be in line with the agreements
    reached with a country during the direct
    dialogues with GEFSEC.

New Guidelines for SGP
  • Balancing the demands of Small Grants Programme
    (SGP) with available resources
  • New guidelines developed by SGP Steering
  • Expansion of SGP to 21 additional countries
  • SGP Graduation policy
  • Determination of amount countries can allocate to
    Small Grants Programme

III. Role of Countries
  • Countries should rethink their approach to GEF
  • Develop comprehensive and coherent GEF strategy
    in consultation with key stakeholders
  • Integrate GEF priorities with broader national
    environment and sustainable development
  • Identify national priorities for GEF funding

Role of Countries (continued)
  • Dialogue with GEF Secretariat to discuss proposed
    project concepts and approach
  • Endorse project concepts after proper
    consultation process
  • Begin project development and implementation in
    partnership with appropriate Implementing

IV. Adaptation to Climate Change
  • Funds for Adaptation - only limited funds still
    available from the 230 million pledged for
  • Features of Funds
  • Strategic Priority on Adaptation (SPA) Trust Fund
  • LDC Fund (UNFCCC)
  • SCCF Fund (UNFCCC)
  • Adaptation Fund under discussion (Kyoto Protocol)

Different features
  • Incremental cost
  • Global benefits
  • RAF
  • Co-financing
  • New FUNDS
  • Additional cost
  • Sliding scale (optional)
  • NO RAF
  • NO Global benefits
  • Different approach to co-financing

Piloting an Operational Approach to Adaptation
  • Projects will Show how adaptation planning and
    assessment can be practically translated into
    projects that will provide real benefits
  • Of the 50 million allocation, only 18 million
    are left for very competitive projects gt after
    an evaluation of the pilot the program will
  • Policy guidelines GEF Assistance to Address
  • SPA operational guidelines

Climate Change New fundsLDCF and SCCF focus on
  • Least Developed Countries Fund
  • implementation of NAPAs (urgent and immediate
  • Special Climate Change Fund
  • (a) top priority adaptation
  • Areas Water, land management, agriculture,
    health, infrastructure development, fragile
    ecosystems, integrated coastal zone management,
    disaster risk management and prevention
  • gt Complementarity of the funds

Status of the new funds
  • LDCF
  • Existing resources, including pledges 115
  • The LDCF has supported the preparation of NAPAs
    in 44 LDCs and will support NAPA implementation
  • SCCF
  • Total resources, including pledges 60 million
  • 34 million already programmed in projects on the
    ground, 100 million in proposals received
  • gt About 90 million mobilized in the last 12

V. Comparative Advantages of GEF Agencies
  • Implementing Agencies (UNDP, UNEP and World Bank)
  • broad primary roles identified in the GEF
  • Executing Agencies (ADB, AfDB, EBRD, IADB, FAO,
    IFAD and UNIDO)
  • granted access to GEF resources and assigned more
    definite roles based on specific business needs
    of the GEF

Level Playing Field
  • Move towards a more level playing field among the
    GEF agencies
  • Executing Agencies have direct access to GEF
    funding based on their comparative advantages.
  • Comparative advantage assessed by GEF
    Secretariat, in consultation with the country,
    during the Project Concept Review.

Guiding criteria
  • Increasing capacity of GEF to address new and
    emerging areas, and respond to country driven
    priorities and the requirements of the
  • Increasing the diversity of experience from which
    the GEF can draw on for innovative interventions
  • Leveraging additional resources
  • expanding the GEFs capacity to mobilize
    financial and technical resources and
    co-financing for its projects.

Assessment of Comparative Advantage
  • Comparative advantages assessed based on
  • Institutional role and core functions as
    described in
  • official mandate
  • mission statement
  • policies approved by its governing body
  • The agencys actual capacity, expertise and
  • business plan
  • portfolio of completed and ongoing projects
  • Country Presence

  • Preliminary description of each agencys
    comparative advantage with agency input
  • Description of the role of each GEF agency
  • within each of the GEF focal areas
  • Agency comments by April 20 and paper available
    on web by May 11.

Thank you