GEF-6 Policies

GEF Expanded Constituency Workshop

Managua, NicaraguaMarch 3-4, 2015

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Overview

Background: GEF Policies are normally submitted to Council for approval via Council papers but do not capture discussions/views of Council during the meeting.

GEF Policy Framework:In GEF-6: Types and Hierarchy of Policy and Procedure Framework was established

Policy: A statement of principles or values approved by the GEF Council that mandates or constrains activities undertaken to achieve the institutional goals of the GEF Secretariat.

Guideline: Additional information to help explain or implement a particular policy. Guidelines are approved by the CEO with responsibility of the relevant Policy or relevant operational area or subject matter.

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Overview…………(2)

1. GEF Agency Fee Policy, 42th and 47th Council Meeting

2. Update on Project Cancellation Policy, 47th Council Meeting

3. Co-financing Policy, 46th Council Meeting

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Agency FeesSince January 2013, a new fee structure approved by Council in the June 2012 meeting has been implemented:

• For all projects (FSPs, MSPs and EAs) where GEF project grants are up to, and including, $10 million, GEF Partner Agencies will receive fees at 9.5 percent of the grant; for GEF Project grants above $10 million, GEF Partner Agencies will receive fees at 9.0 percent of the grant;

• Agency fees for Programmatic Approaches follow the same fee level similar to all other projects (approved by Council in October 2014);

• The fees for the Small Grants Program are set at 4.0 percent;• For new GEF Project Agencies accredited under the Pilot Program on

Accrediting GEF Project Agencies, fees will be at 9.0 percent of the GEF project/program grant, irrespective of project grant amount; GEF Project Agencies will not be compensated for any involvement in GEF “corporate activities” in which they may choose to become involved;

• The fees for PPGs follow the same rate of the related project.

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Project Cancellation Policy

Objectives: to improve the GEF’s operational efficiency, particularly in the amount of

time it takes to prepare and deliver projects; to ensure that GEF-financed projects remain relevant to the objectives and

priorities of the GEF and recipient countries.

Using Phased approach to implement the policy:• After 12 months of Council approval of PIF, a notification will be sent to the

Agency and OFP of the recipient country to alert them of the remaining 6 months for submission of project for CEO endorsement;

• After 18 months, the Secretariat informs all relevant stakeholders on the cancellation of the project.

• The Secretariat will consider exception to the above cancellation only on extraordinary events, and if agreed, will notify Council.

• Cancelled projects maybe resubmitted within a year for consideration of CEO endorsement if resources are available.

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Project Cancellation Policy……..(2)

For Programs: Cancellation of unused program amount:• All child projects should be submitted for CEO endorsement by

the program commitment deadline – this is the time when Trustee commits Program fund to the child project upon CEO endorsement;

• Six months before the program commitment deadline, if there are still program funds not yet committed, the Secretariat sends a notification to the Lead Agency notifying it of the upcoming cancellation of such program funds.

• After the passing of the program commitment deadline, the CEO notifies the relevant Lead Agency and the Trustee of the cancellation for the remaining program funds.

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Project Amendment Categories of Project amendment :

Major amendments:• Amendments to project design or implementation are consider

major if the change involves the following:Shifts of project outcomes that have a high probability of

leading to significant changes in project objectivesAn increase in the required GEF funding above 5% of the

original GEF project grant. Minor amendments:

• Any amendment to the PIF or project that is not major.• Increase of GEF project grant at 5% or below.

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Amendment Procedures

Amendments before CEO endorsement: Major amendments:

• Explain in the CEO endorsement request and provide justification on the amendment.

• Project will be circulated to Council for four weeks prior to CEO endorsement.

Minor amendments:• If there is an increase in project grant requested at 5% or

less, provide justification; if accepted, the project will follow the normal CEO endorsement.

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Amendment Procedures………(2)

Amendments after CEO endorsement: Major amendments:

• Send a letter to the Secretariat providing justification on the amendment.

• Project will be circulated to Council for four weeks prior to CEO approving the amendment.

Minor amendments:• Undertaken at the discretion of the GEF Agency and

report to the Secretariat through the annual Project Implementation Review reports;

• If an increase in project grant is requested at 5% or less, write to the Secretariat and provide justification; if accepted, CEO approval letter will be sent.

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GEF Co-financing Policy• Approved by Council in May 2014, which has been posted as Policy FI/PL/01.

This Policy: Establishes the objectives for co-financing in GEF-financed projects; Defines co-financing for GEF-financed projects and programs; and Provides rules/requirements on co-financing for GEF-financed projects and

programs.

• Applies to GEF Trust Fund and the Nagoya Protocol Implementation Fund (GEF-financed projects) financed projects and programs but not to LDCF or SCCF financed projects.

• Council Document that proposed the Policy to the Council (Document GEF/C.20/6/Rev.1, Co-financing) contains helpful background and guidance on how it will be implemented.

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GEF Co-financing Policy……..(2)

Objective: “to attain adequate levels of co-financing as a means to: enhance the effectiveness and sustainability of the GEF in achieving

global environmental benefits; strengthen partnerships with recipient country governments,

multilateral and bilateral financing entities, the private sector, and civil society.”

• Includes “an ambition for the overall GEF portfolio to reach a co-financing ratio of at least 6:1, with expectations for greater co-financing in upper-middle income countries that are not SIDs.”

This is a portfolio ambition, not project-by-project. GEF Secretariat “will not impose minimum thresholds and/or specific

co-financing sources in the review of individual projects or work programs.”

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GEF Co-financing Policy……..(3)

• Definition: “resources that are additional to the GEF grant1 and that are provided by the GEF Partner Agency itself and/or by other non-GEF sources that support the implementation of the GEF-financed project and the achievement of its objectives.”

• Co-financing is required for all GEF full-sized and medium-sized projects and programmatic approaches (PAs). Optional for enabling activities.

PIFs & PAs must list indicative co-financing for work program inclusion.

For CEO endorsement, Agencies must confirmed co-financing and provide evidence.

Agencies must list co-financing by source and type. Secretariat reviews proposals for consistency with Policy.

____________1 GEF financing (e.g. the GEF grants) is determined on the basis of the agreed incremental cost principle.

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GEF Co-financing Policy……..(4)

Council Document GEF/C.20/6/Rev.1 also notes that the Secretariat will “continue to review project co-financing as part of its assessment of whether the project is supported by an adequate financing package in light of the needs of the project.” (Paragraph 16)

• GEF Secretariat will also monitor portfolio co-financing and report to Council through Annual Monitoring Review (AMR).

• Agencies to report on materialized co-financing during implementation and project closure (per GEF PIR and TER-Terminal Evaluation Report)

• Evaluation Office may evaluate co-financing through Overall Performance Studies.

Link to the paper: http://www.thegef.org/gef/policy/co-financing

GENDER EQUALITY ACTION PLAN (GEAP)

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GEF Policy on Gender Mainstreaming (2011) “The GEF recognizes that gender equality is an important goal in the context of the projects that it finances because it advances both the GEF’s goals for attaining GEBs and the goal of gender equity and social inclusion”.

The GEF 2020 Strategy Commits to further strengthen GEF’s focus on gender equality and women’s empowerment.

• GEF-6 Policy Recommendations: The GEF Secretariat, together with GEF Agencies and other relevant partners, develop an action plan on gender to enhance gender mainstreaming.

Introduction

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• Policy on Gender Mainstreaming (PL/SD/02) was adopted (2011)- GEF’s commitment to enhancing gender equality through GEF

operations.- The Policy calls on the GEF Agencies to have policies, strategies,

or action plans that meet the seven minimum standards:1)Institutional capacity for gender minastreaming2)Consideration of gender elements in project design,

implementation and review3)Undertake project gender analysis4)Measures to minimize/mitigate adverse gender impacts5)Integration of gender sensitive activities6)Monitoring and evaluation of gender mainstreaming

progress7)Inclusion of gender experts in projects\

GEF Policy on Gender Mainstreaming

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• Policy on Gender Mainstreaming• Gender approach and indicators in

some focal areas• Revised project templates and

review criteria• Gender in Results-based framework• Annual Monitoring Review on

Gender• Appoint a Gender Focal Point• Assessment of GEF Agencies on

Gender Mainstreaming

Progress to Date

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Gaps and Challenges Gender integration varies between Focal Areas, GEF

Agencies, and Projects: • Relatively strong in NRM and CCA projects

(LD 82%, BD and IW 50%, CCA 40%) • OPS5: 73% of the gender-relevant GEF projects have

addressed gender, but only 35% of them adequately addressed gender mainstreaming

Some Reasons for the Gaps: • Lack of concrete guidance (e.g. project cycle, etc); • Limited analysis and approach identified by each

focal area; • limited sharing of information and tools; • limited institutional capacity

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GEF Gender Equality Action Plan (GEAP)

Concrete road map to implement the GEF Policy on Gender Mainstreaming that builds on the existing and planned gender strategies and plans of the GEF Agencies

Goal: to operationalize the mainstreaming of gender in GEF policy and programming to advance both the GEF’s goals for attaining GEBs and the goal of gender equality and women’s empowerment.

Duration: Initially during the GEF-6 period (FY15-18).

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1. Project Cycle• Develop a Guideline on Mainstreaming Gender in GEF Project

Cycle• Incorporate in Project Templates and Guidelines

2. Programming and Policies• Support gender responsive projects, based on country demand

and GEF-6 Strategy• Mainstream gender in key GEF Strategy and Policy documents.

3. Knowledge Management• Enhance KM on gender equality, in line with new KM strategy

(Knowledge products, webpage, etc)4. Results Based Management

• Strengthen GEF-wide accountability for gender mainstreaming by having Corporate and Focal Area level indicators and targets.

5. Capacity Development– Strengthen capacity at GEFSEC institution and staff levels, OFPs and

partners at the country level

Key elements

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1. Percentage of projects that have conducted gender analysis during project preparation.

2. Percentage of projects that have incorporated gender responsive project results framework (e.g. gender responsive output, outcome, indicator, budget, etc).

3. Share of women and men as direct beneficiaries of project.

4. Share of convention related national reports incorporated gender dimensions (e.g. NBSAP, NAPA, TDA/SAP, etc.).

5. Percentage of monitoring and evaluation reports that incorporates gender equality/women’s empowerment issues and assess results/progress.

GEF-6 Core Gender Indicators

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Thank you for your attention!

Questions?

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