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- Part II: Process and Activities
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- Describe the steps followed for the initiation of a project proposal
and the request of PDF-A funds
- Identify the main tasks undertaken during the PDF-A phase
- Explain the nature and the process involved in the preparation of the
draft concept paper
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- Identify common mistakes made by project proposers
- Describe the process of submission for pipeline entry and approval of
the concept paper and PDF-B funding request as well as the GEF decision
or review points.
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- Who may propose a project?: any
individual or group that has the backing of the government (in an
eligible country)
- To whom?: GEF project ideas may be proposed directly to UNDP, UNEP, the
World Bank and other GEF executing agencies (EAs) with expanded
opportunities
- What are the key criteria?:
- It must reflect national or regional priorities and have the support of
the country or countries involved.
- It must improve the global environment or advance the prospect of
reducing risks to it.
- For IW specifically, it must improve the transboundary waters
environment
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- PDF-A funds (up to $25,000):
- May be requested to provide assistance for preparing a Full Project
concept paper and a PDF-B proposal
- Requests should be endorsed by the government’s GEF operational focal
point
- Once the Implementing Agency approves the financing, submissions are
sent to the GEF Secretariat for information and comments.
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- Appointment of a neutral Facilitator who:
- Identifies stakeholder groups and initiate consultations with them
- Identifies possible
transboundary concerns in consultation with the stakeholders
- Identifies and consults with the prospective technical task team (TTT)
- Prepares a draft concept paper
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- What is it?: A formal process designed to identify the main stakeholder
groups (and their representatives)
- Purpose?: To solicit their opinions on the main transboundary issues in
the region
- Procedure?: The facilitator reports to the IA on his/her observations
regarding stakeholder representation
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- any form of anthropogenic degradation in the natural state of a water
body that concerns more than one country
- an environmental problem originating in one country and affecting (or
impacting) another
- the impact may be damage to the natural environment and/or damage to
human welfare
- Note: National (or domestic) concerns or problems are those that arise
in the same country as the cause. They do not affect third parties.
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- Who decides on the composition of TTT?: The IA task manager together
with the GEF focal points
- TTT responsibilities?: To undertake the joint fact-finding work of the
TDA
- Composition?: At the PDF-A stage, it could be relatively small. After
approval for PDF-B funding, the TTT should be expanded for the TDA
development phase.
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- Who prepares the CP?: The
facilitator, the IA and the EAs
- Purpose of the CP?: The concept paper is used as the
technical core for a (concurrent or subsequent) funding submission to
the GEF (usually PDF-B)
- Who submits the CP?: The GEF IA
submits the concept paper and the PDF-B funding proposal to the GEF
Secretariat following established procedures
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- What’s the Purpose: Reach general
agreement that the Concept meets the overall objectives of the GEF
before the IA/EA spends significant resources or makes major country
commitments.
- Which is the first GEF decision point:
Concept agreement review
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- Procedure:
- IA submit the CP to the GEF Secretariat
- The CP is also submitted to other IAs, the relevant Convention
Secretariats and the STAP Chair
- This is a 10-day circulation process followed by a project review
meeting
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- Who does what?:
- The GEF Secretariat: reviews the concept proposal against the strategic
priority and project review criteria (for conceptual conformity only)
- The Implementing/Executing Agency: is responsible for the technical
content of the concept
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- The first GEF decision at the Concept Agreement Review stage could
involve:
- Approval of the Concept Document only for entry into the project
pipeline
- A second GEF decision for approval of PDF-B financing, if requested
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- Explain how to set up a management structure for a TDA/SAP.
- Describe the process for carrying out a detailed stakeholder analysis
and public participation plan.
- Explain the objective and the format used in the preparation of Full
Project Brief and Monitoring & Evaluation Plan
- Outline the process of submission and approval of a Full Project brief
- Describe the process for full project document preparation and approval.
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- Project Manager (PM): Day to day
implementation of the project
- Facilitator: explains the TDA/SAP process to the Steering Committee and
the NICs (final task)
- Project Steering Committee: formed to oversee the project and composed
of project focal point representatives, eligible donors (as observers)
and IA/Executant representatives, plus stakeholder and civil society
representatives
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- National Interministry Committees (NICs): organized by project focal
point representatives to ensure adequate feed-back from each country and
that the interests of the different sectors are represented in the
TDA/SAP process.
- Technical Task Team (TTT): with
additional expertise, the TTT is the technical advisory body of the
Project Steering Committee
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- The Project Manager’s work plan should:
- Be practical and achievable
- Function in a stepwise manner
- Be based on the existing project documents (e.g. the PDF-B and concept
paper)
- Include a full breakdown of the budget
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- Stakeholder analysis
- Purpose: seeks to verify the
interest of groups and individuals in the project concept. It must also include information on
affected populations
- Draft public involvement plan
- Purpose: portraits the strategy chosen to build a system for
participation of stakeholders in the process of assessment, management,
protection and rehabilitation of the environment.
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- Progress in the TDA development will depend on:
- the size of the project
- the level of funds available
- the number of stakeholders and
- the number of countries involved.
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- Explain the objective and the format used in the preparation of Full
Project Brief and Monitoring & Evaluation Plan
- Outline the process of submission and approval of a Full Project brief
- Describe the process for full project document preparation and approval.
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- What is a full project brief?:
- The project concept is developed into a FP brief, in close consultation
with the GEF Coordination Office
- It is the primary vehicle for presenting the project proposal for
approval to the GEF Council
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- What is a full project brief? (Cont.):
- It must convince Council members of the need for an intervention and
its consistency with the GEF Instrument, the Operational Strategy and
the relevant Operational Programmes
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- Requirements:
- Written government endorsement from those countries participating in
the project
- An independent external technical review from an expert on the
Scientific and Technical Advisory Panel (STAP) Roster of Experts must
be attached to the project brief
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- The IA/EA will submit the brief documents to the GEF Secretariat (including
the project executive summary, an incremental cost analysis, the STAP
Roster review, and the country operational focal point endorsement)
- The project documentation is also submitted to the other IAs, relevant
EAs, the relevant convention secretariat, and the STAP Chair for
comments to the GEF Secretariat
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- The Secretariat will review the proposal primarily on the basis of the
project executive summary, the project review criteria, and comments
received from other partners
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- The Secretariat can make one of the following four decisions:
- 1. Recommended for Work Programme inclusion with specific conditions
for CEO endorsement.
- 2. Recommended for Work Programme inclusion if specified agreements
with the GEF Secretariat are reflected in the project documentation
within a week and with specific conditions for CEO endorsement.
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- 3. Work Programme submission deferred, but proposal may be resubmitted
for consideration for a future Work Programme once issues have been
resolved or preparation is further advanced.
- 4. Project has become ineligible and not recommended for Work Programme
inclusion or further development
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- he IAs/EAs will then submit revised final project executive summaries
for Work Programme inclusion
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- The Council may approve the Work Programme in whole, subject to comments
made at the meeting or by Council Members in writing within two weeks of
the meeting
- Projects submitted to Council intersessionally are considered approved
on a no objection basis after a four week review period through posting
on the GEF website
- Projects that have been approved by the Council for Work Programme
inclusion are now ready for further preparation and appraisal by the
IA/EA.
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- Once it has received Council approval for Work Program inclusion, the
IA/EA appraise the project and finalises detailed project arrangements
- The final project document (incorporating response to earlier comments
by Council, Secretariat, etc), is approved by the authorising body of
the IA/EA
- The final project document is sent to the GEF Secretariat and endorsed
by the CEO
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- Project review criteria required for CEO endorsement. In particular:
- The document is consistent with the project executive summary approved
by Council
- Co-financing is in place and written confirmation of commitment by the
co-financiers has been obtained
- All comments from the Secretariat and Council have been responded to
and there are no other outstanding comments in the project.
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- The CEO will endorse the project at the end of a four week review period
- The project document is publicly available and posted by the Secretariat
on the GEF website
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- Explain management structure requirements for full project
implementation
- Review the steps required for SAP implementation
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- It should be built on the structure put in place for the PDF-B
implementation phase, namely:
- Project Manager (PM): day-to-day implementation of the project
- Project Management Unit (PMU):
staff of technical specialists (between 3 and 5, plus
administrative support)
- Project Steering Committee and National Interministry Committees
(NICs): should be incorporated into the Full Project phase
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- Two major initiatives may assist in the adoption and implementation of
the SAP:
- The Ministerial Conference
- Conducting a Donors Conference
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- Official adoption of the SAP (and the associated NAPs), is necessary to:
- Ensure solid support from government authorities
- Ensure that the SAP is brought into the mainstream of policy, legal and
budget provisions, enforcement mechanisms, and technical and scientific
frameworks
- Give the process the legitimacy and support that will be needed to
bring on board a wide range of stakeholders, both from the public and
private spheres
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- Official adoption of the SAP (and the associated NAPs), is necessary to:
- Formalise national commitment to the regional SAP, giving suitable
press coverage and celebrating the conclusion of the policy process
- Act as a launch pad for further GEF initiatives and interventions such
as a further Full Project (FP) for SAP implementation
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- Purpose:
- To allow bilateral and multilateral organizations to review the
proposals and to engage in joint planning for future projects
- Suggested preparation for a meeting:
- Inform relevant donors of planned meeting at least six months in
advance
- Distribute preliminary NAPs at least two months prior to the meeting
- Distribute nationally endorsed SAP as soon as it is available
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- Upon completion of the first Full Project there is an opportunity to
develop a further FP to implement the SAP
- The steps for this process are essentially the same as for the
preparation of the first FP document
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Notes
