1. Tracking national portfolios and assessing results
Sub-regional Workshop for GEF Focal Points
in Latin America
Sao Paulo, Brazil, October 2007

2. Presentation Outline
GEF and the Evaluation Office
Monitoring & Evaluation
Role of Focal Points in M&E
Tracking the Portfolio: Tools & Approaches
GEF National Coordination – Lessons Learned from Bolivia, China, Colombia, Poland and Uganda
Monitoring: Issues for Discussion
Evaluation: Issues for Discussion

3. Donor Replenishment Group
IAs/EAs
UNDP
Donor Replenishment Group
Evaluation Office
UNEP
CBD
STAP WB
UNFCC
Assembly
ADB
POPs
NGOs
AfDB
Council
CCD
EBRD
CEO/Chair
GEF Secretariat
FAO
Multilateral
Fund of
Montreal
Protocol
IDB
IFAD
International
Waters
UNIDO

4. The M & E pyramid…

5. Monitoring & Evaluation Policy
Purpose of M&E in the GEF:
Promote learning, feedback and knowledge sharing as basis for decision making on all levels
Promote accountability: results, effectiveness, processes and performance
Clarifies roles and responsibilities
Includes minimum standards for project M&E
Further Information: Monitoring and Evaluation Policy (2006) - under Evaluation Office, under Policies and Procedures

6. Key roles & responsibilities in M&E
Partner
Key Roles and Responsibilities in M&E
GEF Council
Policy-making; oversight; enabling environment for M&E
GEF Evaluation Office
Independent GEF evaluation
Oversight of and setting minimum requirements for GEF M&E
GEF Secretariat
GEF portfolio monitoring and reporting
Review of GEF M&E requirements in project proposals
Agency GEF operational units
Monitoring of the Agency GEF portfolio
Ensure M&E at the project level
Agency evaluation units
Project and/or corporate Agency evaluations
Mainstreaming GEF into relevant Agency evaluation
STAP
Advice on and support to scientific and technical indicators
Participating Countries
Collaboration on M&E at portfolio and project levels.
GEF Focal Points
Implementation of country GEF M&E activities; Participation in
Evaluations; integrating lessons & recommendations in future work
Stakeholders
Participation in monitoring activities and mechanisms
Providing views and perceptions to evaluations

7. GEF Evaluation Office Work Program FY07-10
Small Grants Programme Evaluation
Impact Evaluations leading to Annual Report on Impact
Capacity Development Evaluation
4 Country Portfolio Evaluations in Africa + 2 new CPEs
Catalytic Role of the GEF
RAF mid-term review
Annual Performance Report
Start-up of GEF Focal Areas evaluations
Evaluation of Partnership and umbrella projects
FY09-10
Country Portfolio Evaluations
Annual Performance Report
Annual Impact Report
Six Focal Area evaluations
Fourth Overall Performance Study

8. What is Monitoring & Evaluation? 2 (2)
Monitoring provides management with a basis for decision making on progress and GEF with information on results. This involves:
Ongoing, systematic gathering of qualitative and quantitative information to track progress on project outcomes & outputs
Identification of implementation issues and propose actions to solve these
Evaluation provides lessons learned and recommendations for future projects, polices and portfolios. This involves:
Periodic assessment of results (i.e. outputs, outcomes and impact) according to the criteria of relevance, effectiveness, efficiency and sustainability

9. Role of GEF Focal Point in M&E
Role depends on country specific circumstances…..
What are some of the potential roles and responsibilities in M&E?
Keeping track of GEF support at the national level
Promoting use of evaluation recommendations and lessons learned, particularly in new project proposals
Supporting and ensuring dissemination of GEF M&E information
Keeping stakeholders informed and consulted in plans, implementation and results of country GEF M&E activities
Assisting the Evaluation Office, as the first point of entry into a country, during evaluations: identifying major relevant stakeholders, coordinating meetings, assisting with agendas – and coordinating country responses to these evaluations
Other examples?
A number of entities in GEF participating countries are involved in monitoring and evaluation in different ways. Many countries are undertaking efforts to establish or improve national monitoring, evaluation and assessment systems on local and global environmental benefits. This may include efforts to improve basic census and other data in partner countries; establishing national and project baselines; using national communications and inventories of global environmental benefits; participating in various global initiatives such as the Global Reporting Initiative and monitoring of the Millennium Development Goals, with the support of development partners as appropriate.
In line with the GEF Operational Principles, GEF M&E activities shall be country-driven and provide for consultation and participation. Staff members of the cooperating governments or institutions will be expected to support evaluations by responding promptly and fully to evaluation office requests for information relating to GEF projects, portfolio or policies, and for sharing relevant experiences. 9

10. Tracking the Portfolio: Tools and Approaches
M & E of the portfolio: what are some experiences?
Creating a simple tracking system for GEF projects (see slide 12).
Including the GEF Support in national tracking system of international grants/loans.
Reporting GEF achievements against national development goals and objectives (MDGs? Reporting to Conventions?)
Establishing a close collaboration with GEF Agencies M&E officer and projects managers.
Exchanging experiences and information in workshops – both sub-regional and national.
Supporting annual workshops to discuss project implementation, experiences and lessons and results with key GEF players in the country.

11. Available information sources:
Project Implementation Reports produced annually by the projects and GEF Agencies (self assessments)
Supervision reports from GEF Agencies
Project evaluations: mid-term and final (independent)
National development goals tracking systems
Knowledge exchange during workshops (national coordination committees, with other focal points, annual workshops with implementing / executing agencies, other actors in the field – NGOs, CBOs etc)
Information from established focal area task forces, networks, environmental assessments and other relevant activities.
Evaluations conducted by GEF-EO and independent evaluation offices of GEF Agencies

12. Tracking the Portfolio - an example
Portfolio Tracking System –
Project level data:
Project name and GEF ID (and your own ID number)
Focal area (strategic priority)
GEF Agency
National Executing Agency
Financial information: GEF grant (including preparatory funding, allocations from RAF) and cofinancing (including sources)
Project cycle dates (entry into pipeline, PPG, Council approval, CEO Endorsement, start up, completion: proposed and actual)
Objective(s)
Expected Outcome(s)
Expected contribution to GEF 4 targets
Project Status description (updated at least twice a year)
Ratings: implementation progress and likelihood of achieving objectives
Once completed: actual achievements and lessons learned
Project documents
Contact person in project and with GEF Agency
This information feeds into the progress of overall environmental achievements at higher levels, namely - the national targets, the MDGs and the GEF strategic targets. Keep it simple and only collect and record information that will be used!

13. Tracking the portfolio: Why is it useful? (1)
To have an overall overview of the GEF portfolio currently under implementation in the country
For national coordination of the GEF portfolio: between ministries, implementing and executing agencies, civil society etcetera
To feed into national decision making on GEF support
Resource Allocation Framework: setting of priorities
Project endorsements
Planning for future support
To keep track of environmental achievements towards national targets, the MDGs and the GEF strategic targets and mandate
For harmonization purposes: preventing overlap between donors, agencies, government policies and so on
From Policy: 2.8 Stakeholders
A number of locally and internationally-based stakeholders are involved in GEF monitoring and evaluation activities. Stakeholders are the individuals, groups, or institutions that have an interest or stake in the outcome of a GEF-financed project, including those potentially affected by a project. Stakeholders may include recipient country governments, implementing agencies, project executing agencies, groups contracted to conduct project activities at various stages of the project, and other groups in the civil society which may have an interest in the project. Their involvement in M&E depends on the project and the role of the stakeholder. For example, academic institutions or private sector companies that are involved with the project may support monitoring activities directly and provide outside perspectives and expertise. Non-governmental organizations and civil-society organizations may play an important role in monitoring local level project activities, as well as providing feedback as beneficiaries or as representatives of community groups.
Consistent with provisions in the GEF Instrument, there should be transparency in the preparation, conduct, reporting, and evaluation of public involvement activities in all projects, including for monitoring and evaluation. This ensures full disclosure of all non-confidential information, and consultation with major groups and local communities in monitoring and evaluation. Monitoring and evaluation in the GEF shall involve project stakeholders and beneficiaries, both as participants and contributors and as users and beneficiaries as appropriate. Stakeholder participation and participatory approaches to M&E are particularly necessary in projects which impact the incomes and livelihoods of local groups, especially disadvantaged populations in and around project sites (for example, indigenous communities, women, and poor households).
The stakeholders have a particular responsibility in providing their views and perspectives. They use monitoring and evaluation to assess progress, raise issues or confirm the achievement of results, to improve performance and learning. In the design of monitoring systems and in the terms of reference for evaluations, the specific possibilities for interaction with stakeholders and participation of the various groups of stakeholders will be identified, taking account of conditions such as cultural, political, and project-specific factors. Any budgetary requirements will be addressed in the relevant project proposals.

14. Tracking the portfolio: Why is it useful? (2)
To be informed of implementation progress of projects (start, end, major events, delays)
To be able to address common problems – reoccurring in the portfolio
To resolve implementation issues (related to national scope)?
To integrate lessons learned, disseminate valuable experience and give recommendations in future work/ project proposals
To act as the central hub for GEF country information across all agencies
To support the GEF portfolio among stakeholders and ministries
Other?

15. GEF National Coordination – Lessons Learned from Bolivia, China, Colombia, Poland and Uganda ( October 2005)
Good practice:
Inviting national project executing agencies to make presentations to coordination committee meetings (including project visits and reports from ongoing projects)
Regular access to the GEF Agencies monitoring and post-completion projects evaluation reports enables feedback on project performance in future project proposals
Lessons learned:
National coordination mechanisms involvement in monitoring efforts enhances national project ownership
Collaboration in monitoring efforts increase national accountability and also helps ensure that the objectives and progress made by projects reaches a much broader audience

16. Monitoring: Issues for discussion
How are the partners working together in monitoring? (Focal Point, Agency, project staff, technical ministry or department, beneficiaries…)
Who does what? How is information circulating? How can the Focal Point support GEF portfolio in national management and decision-making?
Further development of tools for tracking portfolios.
How are available tools used?
What type of information is required? How will the information be used?
Who should be involved in national knowledge sharing forum? And how?
The Agencies are responsible for developing M&E plans and performance and results indicators for projects, and for adequately monitoring the project activities, the production of outputs and the progress towards outcomes.
Through their internal monitoring systems, the relevant Agency operational departments ensure periodic assessment of trends and issues in their GEF Agency portfolio, and periodic reporting (at least annually) to the GEF Secretariat on project implementation and performance.
They also work with the GEF Secretariat in developing program indicators in focal areas where operational policies and programs have been endorsed.

17. Evaluation: Issues for discussion
What is the experience of country reviews of GEF portfolios? (Costa Rica, Philippines, Samoa)
How is planning, undertaking and sharing project evaluations working in your country? How can it be improved?
Project evaluations are conducted independently. How should Focal Points add value?
How can Focal Points support dissemination of evaluations and their use in new project design?
How can countries use lessons learned from GEF corporate evaluations?
The Agencies are responsible for ensuring that projects are evaluated periodically and in line with internationally recognized standards, and that any project or portfolio evaluations conducted are shared with the GEF Evaluation Office.
The Agencies supports the GEF Evaluation Office by responding promptly and fully to requests for information or support relating to monitoring or evaluation of GEF activities, and by making project evaluations publicly accessible and project documentation available to the GEF Evaluation Office. Agencies ensure that their staff are aware of this responsibility.
The Agencies also encourage public involvement in all stages of the project cycle, by fully consulting, informing and briefing GEF participating countries and stakeholders regarding M&E activities.

18. More information….
The GEF M&E Policy: under Evaluation Office, under Policies and Procedures
GEF corporate evaluations and lessons learned: under Evaluation Office, under Publication or Ongoing Evaluations
Project evaluations (161 terminal evaluations): under Project Database, for search click on Evaluation Documents
contact: