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Project Document The gef small Grants Programme Fourth Operational Phase (gef-4) July 2007 – June 2010 The gef small Grants Programme Fourth Operational Phase (gef-4) Table of Contents


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PART 1. SITUATION ANALYSIS




Introduction





  1. The GEF Small Grants Programme (GEF SGP) is a global corporate programme implemented by UNDP on behalf of Implementing Agencies (IAs) and Executing Agencies (EAs) of the Global Environment Facility and executed by the United Nations Office for Project Services (UNOPS). Launched in 1992, GEF SGP is rooted in the belief that global environmental problems can best be addressed if local people are involved and direct community benefits and ownerships are generated.




  1. GEF SGP is a decentralized and country-driven modality of the GEF. National Coordinators (NCs) facilitate its implementation in participating countries. Projects are reviewed and approved in line with Country Programme Strategies (CPS) developed by National Steering Committees (NSCs), or National Focal Groups (NFGs), in the case of small countries within GEF SGP Sub-regional Programmes). These national bodies are composed of national government representatives, including GEF Operational Focal Points, and civil society members representing non-governmental organizations (NGOs), community based organizations (CBOs), academia and the private sector. The CPS is developed on the basis of national environment and development priorities.




  1. There are now 101 participating countries in GEF SGP in five world regions: Africa, Asia/Pacific, Arab States, Europe/CIS and Latin America/Caribbean (see Annex 1).




  1. As of March 2007, GEF SGP has funded more than 8,190 projects worldwide. These projects have paid special attention to meeting GEF’s environmental objectives while at the same time achieving poverty reduction and local empowerment objectives. Special concern is also given to local and indigenous communities as well as gender concerns. GEF SGP supports the larger sustainable development goals and the achievement of key components of the Millennium Development Goals.




  1. The programme is now proceeding to an Operational Phase 4 (OP4) as per decision of the GEF SGP Steering Committee on 11 December 2006. This GEF SGP OP4 Project Document aligns the GEF SGP to the strategic priorities of GEF-4.




  1. This project document was developed by reviewing the “compact” made between the GEF Council and GEF CEO at the GEF Council meeting on 5 December 2006. GEF-4 focal area strategic priorities were also reviewed to identify the niche or supporting role of GEF SGP followed by consultations with GEF Secretariat focal area team leaders and programme managers as well as UNDP GEF focal area technical advisors. Requests for inputs were also sent to GEF units of IAs and EAs. Finally, consultations with all SGP NCs were done regarding complementation with Country Programme Strategies and, where RAF contributions are involved, with the focus agreed with GEF Focal Points and RAF committees as regards the utilization of such contributions.




  1. In line with GEF’s five-point sustainability compact from the 5 December 2006 GEF Council meeting, the GEF SGP will be more focused by identifying GEF-4 strategic priorities in all focal areas in which GEF SGP has a comparative advantage. It will continue its goal of helping the most vulnerable by making sure that even small grants can create concrete results, not only for the global environment, but also for sustainable development. In taking a programmatic approach, GEF SGP country programmes will be leading particular thematic priorities. Furthermore, in mature countries, projects and activities should now strive for higher level outcomes and stronger links to supporting global environmental benefits – thus the scaling up, replication, and mainstreaming efforts identified for GEF SGP OP4.




  1. In support of financing innovative efforts, GEF SGP is guiding ‘mature’ country programmes to utilize new support mechanisms (i.e., market instruments) and initiate new partnerships with the business and finance sectors. One of GEF SGP’s priorities for OP4 will be to develop a strong global knowledge management platform that would be part of GEF’s knowledge network. SGP will strengthen collaboration with IAs and EAs. In the activities section, identification of opportunities where IAs and EAs can best participate has been made.

Contribution to the GEF mandate





  1. GEF SGP has generated unprecedented levels of grassroots awareness of global environmental issues. It has become the “public face” of the GEF. Direct implementation of projects by communities and NGOs, together with decision-making on grants by National Steering Committees has produced a “very high degree of national ownership of the GEF SGP.” Stakeholders, including government institutions, have expressed appreciation of the GEF SGP as a fast and effective delivery mechanism for GEF resources. There is also increasing utilization of the GEF SGP mechanisms and procedures in the microgrants components by some full-sized projects of the GEF as well as other donors.




  1. The GEF SGP, with its focus on supporting local communities, builds capacity and initiates new actions for co-managing their natural resources. It exemplifies the implementation of GEF’s strategic priorities such as sustainable use activities both within protected areas and their buffer zones; conservation in productive landscapes and seascapes; productive uses of renewable energy, market mechanisms for energy efficiency and sustainable transport; innovative demonstrations and capacity building foundational work in international waters; implementation of innovative and indigenous sustainable land management practices, and targeted capacity building and demonstration of innovative and cost-effective approaches in the POPs focal area.



Table 1. Summary Table of GEF SGP 1992 - 2006

Phase

GEF Funding

(million US$)

Actual Cofinancing in cash

(million US$)

Actual Cofinancing in kind (*)

(million US$)

Number of Participating Countries

Number of Grants

Pilot Phase

(1992-1996)



18.0

5.9

NA

42

563

Operational Phase I

(1996-1998)



24.0

5.4

NA

53

896

Operational Phase II

(1999 -2004)

Year 1 & 2

Year 3


Year 4

Year 5


Year 6

Cumulative OP2



31.6


22.8

20.7


26.9

31.2


133.2

24.3


19.2

4.5


8.6

23

79.6



7.3


8.4

6.4


8.5

17.3


47.9

58

63



64

73

82



82

785


795

878


739

1,124


4,321

Operational Phase III (2005 – 2008)

Year 1


Year 2 (**)

47

60





19.7

29.5



15.7

31.6

92

101



1140


1046

Cumulative since 1992

282.2

140.1

95.2

101

7,939

(*) Information on in-kind co-financing is not available for the Pilot and First Operational Phases. SGP began recording in-kind co-financing from mid-1999 when the database was designed and made operational.

(**) Est. as of March 2007

Rationale for a new project document





  1. This new project document is intended to align the GEF SGP with the GEF4 strategic priorities and replenishment cycle, as agreed upon in the GEF SGP Steering Committee meeting in December 2006.




  1. The project document serves an important purpose of raising the level of outcomes, particularly in GEF SGP country programmes that have developed higher level of capabilities (also referred to as ‘mature’ countries). The primary objective of OP3 was to strengthen the internal capacity to deliver GEF’s strategic priorities. With stronger internal structure and systems, GEF SGP is thus better prepared to meet and deliver on the GEF strategic priorities.

Target partners





  1. Since its inception, GEF SGP grant-making has been directed principally towards vulnerable, disadvantaged, and poor communities. Grants are provided either directly to CBOs, or to communities assisted by local or national NGOs, who play a key role as a mentor, cofinancier, partner and who later form strong constituencies for environment and development concerns. The programme has operated on the premise that local people will be empowered to protect the environment when they are organized to take actions, have a measure of control over access to the natural resource base, can deploy the necessary information and knowledge, and believe that their social and economic well-being is dependent on sound long-term natural resource management. GEF SGP has provided experimentation, innovation, and demonstration of community-based solutions to global environmental problems, with local communities as an integral part of the process. Most country programmes have given priority to working with local and indigenous communities and have taken gender equity into consideration in grant making. At the global program level, this concern for making GEF equitable is reflected in increasing programme extended to supporting more LDCs and SIDS.




  1. The NSC has been a target of GEF SGP attention during the Third Operational Phase. One of the key roles that NSC members play is to link good practices and lessons learned to the larger policy making processes, as well as to global environmental governance.




  1. GEF SGP’s contributions extend far beyond providing grants in the GEF focal areas to NGOs and CBOs. By raising public awareness, building partnerships, and promoting policy dialogue, the GEF SGP seeks to promote an enabling environment within countries for achieving sustainable development and addressing global environmental issues. The GEF SGP has helped NGOs CBOs, in collaboration with other stakeholders, to support local, community-based initiatives while meeting national obligations and global commitments. Hence key stakeholders who benefit from GEF SGP activities in addition to local CBOs and NGOs include: national and international NGOs and NGO networks, research institutions, foundations, the private sector, donor and government agencies.



Country Programme structure and requirements of country teams





  1. In each participating country, GEF SGP will continue to operate in a highly decentralized and country-driven manner through a NC and a NSC, with support from the UNDP Country Office, as well as country offices and representatives of other IAs and EAs, and in some countries, from an NGO or National Host Institution (NHI). The membership of the voluntary NSC comes from NGOs and other civil society organizations, academic and scientific institutions, government, and the UNDP Country Office, with the majority from the non-governmental sector. NSCs have been encouraged to include members from the private sector who can advise on sustainability strategies, for example, micro-enterprises, sustainable marketing, and business plan development. The main purpose of the NSC is to provide overall guidance and direction to the country programme, in addition to selecting and approving projects for funding and helping access additional resources. The NSC provides for a decentralized structure of the GEF SGP that encourages maximum country and community level ownership and initiative, with decisions about country programme strategies and project approval taken at the country. Composed of key national leaders from government and civil society, the NSC also links GEF SGP to national policy-making and development planning. The Country Programme Strategy (CPS) is the instrument which will be used to articulate how the GEF SGP complements the national priorities and GEF’s strategic priorities.




  1. For SIDS, where a country programme would be comparatively small, and administrative costs would be relatively high, GEF SGP has pioneered a sub-regional implementation approach whereby several islands join together under one host institution and one coordinator for the sub-region. This has ensured that GEF SGP remains within its 25% non-grant cost ceiling supported by National Focal Groups (NFGs). NFGs which serve in lieu of NSCs in GEF SGP sub-regional programmes have been organized for most countries in the Pacific, and for some SIDS in the Caribbean.



GEF SGP during the Third Operational Phase (March 2005 – June 2007)





  1. The Third Operational Phase (OP3) was approved by the GEF Council in November 2004. At that time, a one-year replenishment of US$47 million was granted as the initial installment of OP3, based on the agreement that the two subsequent annual “rolling” financial replenishments would be adopted to ensure continuity of activities. As per decision of the GEF SGP Steering Committee on December 11, 2006, the programme has developed a GEF SGP Operational Phase 4 (OP4) Project Document that aligns the GEF SGP to GEF 4 strategic priorities for submission to the June 2007 GEF Council meeting.




  1. The six main outcomes of the OP3 are being accomplished. An expansion strategy that has brought in 20 new countries was implemented in accordance with established selection criteria and a focus on LDCs or SIDS. GEF SGP country programmes were further strengthened through internal expertise, systems improvements, human resources support, and links to external institutions for additional technical and logistical support which resulted in a higher level of performance and satisfaction. Number of projects, including the new focal areas, has increased with a strengthened knowledge management system which provides the ability to conduct impact assessments. Publications, including ex-post studies and cases were developed to improve the capacity of the key stakeholders and to communicate the lessons to improve global environmental benefits. Country Programmes encouraged project sustainability strategies incorporating innovative market mechanisms (including payment of environmental services, environmentally sustainable products, revolving funds). The SGP Operational Group was upgraded to a Programme Steering Committee, which includes the memberships from GEFSec, IAs and EAs, with the GEF CEO serving as the Chairperson, following the Fourth GEF Assembly. The first meeting was held in December 2006. Analysis was made on how many full-sized projects with IAs and EAs have or could have GEF SGP components or use GEF SGP approaches and strategies.

Geographic expansion of the programme





  1. New country applications for participation in GEF SGP have been received and processed by the GEF SGP. The programme has taken a proactive approach to inform LDCs and SIDS on procedures to apply, and applications from these countries are expected to further increase.




  1. During Year 1 and 2 of OP3, at least ten countries were brought in to participate in the programme, with priorities for LDCs and / or SIDS (See Table 2 for GEF SGP New Country Programme Entries during OP3).




  1. For GEF SGP OP4, 21 countries have already been approved by the GEF SGP Steering Committee for entry into the programme (See Annex 2). Start-ups will be on a phased approach over the next three years of GEF-4.




  1. A major criterion for the selection of a new participating country is that the country should be a party member to the Conventions for which the GEF is a financial mechanism. It is also important that there should be commitment between governmental and non-governmental stakeholders to work together. With the new RAF policy, the country’s readiness for resource mobilization and provision of additional RAF resources to GEF SGP also becomes an important criterion.




  1. A strengthened system for appraisals and start-ups, as well as the training and backstopping of new country teams have been established and will be utilized for new countries in OP4. These new countries are being provided with strategic guidance for developing and tracking portfolio strategy and composition to ensure that all GEF focal areas are effectively covered. For all participating countries of GEF SGP, geographic and/or thematic focus, as well as complementation with RAF-related priorities will be further promoted to enhance portfolio and project impacts.




  1. The entire Pacific region is now covered by GEF SGP. An umbrella partnership with NZAID was launched on World Environment Day to assist all 15 Pacific Island Countries (PICS) in the implementation of programmes financed by GEF SGP and NZAID regional Pacific Environment Fund (PEF). Through a region-wide umbrella approach, the partnership will provide capacity building assistance to PICS, national ownership, and reduced dependence on regional organizations and external agencies.

Table 2

GEF SGP New Country Programme Entry during OP3




Year

New Countries


LDC

SIDS

2005

Argentina

Benin


Bulgaria

Cameroon


Chad

Comoros


Cook Islands

Haiti


Niue

Panama


Uruguay

Vanuatu


No

Yes


No

Yes


Yes

Yes


No

Yes


No

No

No



Yes

No

No

No



No

No

Yes



Yes

Yes


Yes

No

No



Yes


2006

Lesotho

Guinea


Gambia

Malawi


Zambia

Kiribati


Nauru

Solomon Islands

Tonga

Tuvalu



Yes

Yes


Yes

Yes


Yes

Yes


No

Yes


No

Yes



No

No

No



No

No


Yes

Yes


Yes

Yes


Yes




Grants portfolio





  1. By March 2007, SGP’s portfolio was comprised of 8,190 projects, of which 2,168 projects were approved during the OP3. In comparison with the focal area compositions of the GEF SGP portfolio in the OP2 in which biodiversity accounted for 65 percent of the entire portfolio, the portfolio of the OP3 has developed a more balanced focal area distribution, particularly with the introduction of two new focal areas, land degradation and POPs (see Chart 1). Land degradation, in particular, has seen a dramatic increase in its proportion of the overall portfolio.


Chart 1. Portfolio Distribution by Focal Areas in OP3




  1. As of early 2007, GEF SGP had approved at least 993 biodiversity projects in OP3 amounting to over $22 million in grants. In terms of Operational Programme breakdown, some 306 projects targeted forest ecosystems, 222 related to agriculture, 114 in arid and semi-arid ecosystems, 131 in mountains, and 202 in marine and freshwater ecosystems.




  1. Since 2000, a strategic partnership with the United Nations Foundation (UNF) has developed a Community Management of Protected Area Conservation, or ‘COMPACT’, model for 8 World Heritage (WH) sites in different biophysical settings. Six functioning cost-effective Local Consultative Bodies (LCBs) are in place in natural WH sites; and a range of partnerships have been established with international NGOs (RSPB/Birdlife International, International Coral Reef Action Network), multilateral agencies such as UNESCO and the CBD Secretariat; as well as with biological corridor networks. However, at the policy level, most CCAs and indigenous areas are currently unrecognized in most GEF SGP countries.




  1. During OP3, SGP supported 323 community climate change projects valued at US$10.6 million in GEF funding. The projects included 168 renewable energy projects, 105 energy efficiency projects and 23 environmentally sustainable transport projects. A review of the GEF SGP portfolio of environmentally sustainable transport projects was initiated and completed in 2006. The results of the review and cases studies were documented in to a publication entitled “Environmentally Sustainable Transport and Climate Change: Experiences and lessons from community initiativespublished in November 2006. The publication was distributed to participants of the UNFCCC COP 12 in Nairobi in December 2006 and has been shared internationally through the UNDP energy and environment knowledge network. At the same period, UNDP GEF working jointly with GEF SGP prepared and submitted a Full-size Community Based Adaptation Project under the GEF Strategic Priority on Adaptation (SPA) that was approved by the GEF Council in August 2006. Implementation of activities will be carried out during the GEF 4 period.




  1. In the international waters focal area, 126 projects were developed during OP3 with a total funding of about $2.5 million, accounting for 6% of the entire portfolio. In comparison with previous operational phases, the IW focal area resources have been better targeted, focused, and channeled to certain transboundary waterbodies. GEF SGP piloted an approach to target resources towards international waters where larger interventions of GEF have built the foundational capacity and established transboundary institutional mechanisms. GEF SGP has developed partnerships and directed resources towards addressing regionally identified priorities in the Nile Basin River and the East Asian Seas. The regional approach will be replicated in other international waterbodies in GEF-4.




  1. During OP3, the land degradation focal area was the second largest focal area of the GEF SGP portfolio. The barriers for community-based land management are lower, in comparison with the IW focal area. In OP3, there were 367 LD projects approved with a funding of $7.7 million, addressing various aspects of land degradation while promoting local livelihoods. GEF SGP further strengthened its strategic partnership with Global Mechanism of UNCCD which provided $250,000 in funding to five country programmes to support community-based sustainable land management.




  1. The POPs focal area was initiated during OP3. As of March 2007, 34 GEF SGP country programs developed 77 POPs projects, with approximately $1.4 million funding. The geographical distribution of POPs projects by region is: Asia and the Pacific region (23), followed by Africa (17), Latin America and Caribbean (20), Europe and CIS (13) and Arab States (4). The portfolio contains the following main thematic focuses: integrated pest management, waste management, organic farming, awareness-raising and capacity building, stakeholder consultation, and applied study and research. The first three themes focus on activities on the ground, with an objective to search and apply models and demonstration at the community level to address POPs issues directly, while the other three themes emphasizes the process.




  1. The multifocal area includes 282 projects (about $6 million) that are comprised of elements of more than one focal area. GEF SGP has developed an indicator system that enables the focal area weights of each of the projects through a ranking system to assign primary, secondary, and tertiary focal areas to each project funded. Through this system, each multifocal area project captures the respective individual focal areas addressed in terms of importance. In OP3, multifocal area projects continued to make up a significant proportion of GEF SGP projects.

Project impacts and global benefits





  1. In all the focal areas, GEF SGP has continued to employ multiple approaches to expand the scope and capacity to effectively contribute to the achievement of both direct and indirect global environmental results and local benefits. The following combination of approaches has been used:

  • Forging partnerships with relevant stakeholders that creates a network that is global in scope

  • Focusing on globally important ecosystems, such as in the WH sites, biosphere reserves, Ramsar sites, and important bird areas, as well as on endangered species, such as those in the IUCN Red Data List

  • Knowledge management system that disseminates information across countries

  • Implementing demonstration projects in partnership with government agencies and the private sector for wider application

  • Designing innovative approaches for up-scaling, replication, or mainstreaming by international donors

  • Creating awareness and empowering communities to participate in global environmental concerns

  • Policy advocacy at national and global levels




  1. In the Biodiversity focal area, GEF SGP has pioneered with a range of innovative community based approaches for conservation. In particular, the biodiversity portfolio has aggregated producer and NGO networks around a wide variety of GEF priority themes, including: migratory species, such as turtles and birds; pollinators, such as bees; agricultural biodiversity; as well as alternative livelihood around protected areas. Since the beginning of GEF SGP, the programme has supported over 800 projects in Protected Area landscapes and buffer zones and at least 200 projects in Community Conserved Areas (CCAs) and indigenous areas towards fulfilling the biodiversity objectives. During OP3, GEF SGP expanded its partnership with United Nations Foundation (UNF) for the 'Community Management of Protected Areas Conservation' (COMPACT) programme working in and around global priority conservation areas. Consolidating achievements from the first phase (2000-2005) with the UNESCO World Heritage Centre, GEF SGP has included new partners, such as the CI 'Verde Ventures' investment programme, 'Conservation Measures Partnership', and International Coral Reef Action Network. During OP3, COMPACT focused efforts on sustainable productive supply chains, ecotourism promotion, transboundary protected areas, as well as geographic areas proposed for international protected area status.




  1. Over the last 14 years, GEF SGP in the climate change focal area has developed models and approaches that have removed barriers to the promotion of renewable energy, energy efficiency and sustainable transport. The models and approaches have enhanced the promotion of renewable, energy efficiency and sustainable transport technologies and/or approaches. In specific mature GEF SGP country programmes, they have been mainstreamed, replicated, or scaled up expanding the impacts of the interventions at the national level. The following categories of models/approaches are currently applied : focused and targeted market mechanisms, innovative financing modalities, inclusive partnerships, leveraging social capital with financial and technical resources, and focused lobbying, awareness creation and capacity development.. Lessons are disseminated and applied to new and ‘younger’ Country programmes for replication, scaling up, or mainstreaming. For example, in the city of Pune, India, the environmentally sustainable, people centered urban transport project has contributed to the establishment of the first city-wide Bus Rapid Transit system.




  1. Global environmental benefits have been achieved in International Waters through scaling up and transboundary replication, demonstration of innovative approaches, and joint launching of transboundary community-based activities among GEF SGP country programs. Project experience on the participatory management in watersheds has been shared and replicated between Thailand and Laos. For example, GEF SGP Iran has supported the invention of a new design of reef pyramids, making them smaller, less expensive, and easier to transport and install by communities. The project won the nominee for UNDP Administrator Award on Innovation and Creativity in 2006, and project experience is, hence, disseminated throughout the UNDP development network. GEF SGP country programs in Belize and Guatemala successfully launched joint transboundary community activities in addressing land-based pollution in Mopan River. A critical accomplishment of the GEF SGP-funded project has been to open up direct lines of communication across the political divide – principally in the form of shared community meetings between the border towns of Melchor and San José de Succotz.

Links with full sized and medium sized GEF projects





  1. SGP has continued to support the creation and implementation of small grants components of large GEF projects. For example, GEF SGP has been integrally involved in the development of the GEF Nile supported Transboundary Environmental Action Project (NTEAP). GEF SGP’s procedures and Operational Guidelines were adopted to set up a micro-grants programme in six Nile Basin countries. GEF SGP is responsible for overseeing the implementation of the NTEAP micro-grants programmes.




  1. GEF SGP has also signed an MOU to help implement a small grants component within the GEF Niger River Basin project. SGP actively participated in the design of the GEF Niger River Basin project, and is assisting in the implementation of its micro-grants component of about $5 million. Both of these efforts involve more than one GEF implementing agency (UNDP and the World Bank). GEF SGP country programmes in Central America have also continued to work closely with the World Bank and UNDP GEF Mesoamerican Biological Corridor projects in promotion, capacity-building, planning, and project implementation at the local level.




  1. Climate change activities have been mainstreamed in Governments, other UN agencies and NGOs in different ways. The lessons from the climate change portfolio, for example, have been integrated into that of the UNDP Energy and Environment Group (EEG), which includes that of UNDP GEF. This has ensured global reach in the circulation of GEF SGP lessons learned in the climate change focal area.




  1. GEF SGP has worked with UNEP for the management, implementation and monitoring of the Micro-Grants Programme (MGP), component of a project “Capacity Building to Alleviate Poverty through Synergetic Implementation of Rio Multilateral environmental Agreements (MEAs)” within the framework of the New Partnership for Africa’s Development (NEPAD). As in the EU-supported Promotion of Tropical Forests (PTF) and in the GEF-supported NTEAP-MGP, GEF SGP National Coordinators and National Steering Committees review and approve proposals and are involved in their supervision and monitoring. This partnership is considered a pilot effort that can grow to cover more similar projects of UNEP.




  1. The GEF SGP has been working to mainstream GEF SGP components into various private sector components of MSP and FSPs including the application by GEF SGP producers for biodiversity-friendly loans as part of the GEF-approved CAMBIO project which provides a partial risk guarantee to work with a Central American regional development bank; an approved FSP working on biodiversity-friendly coffee production and marketing with the Rainforest Alliance; as well as a UNDP Finance Cluster global review of the biodiversity standards of different certification agencies under the ISEAL umbrella organization. GEF SGP has been establishing a range of new partnerships during OP3 in order to prepare for a strategic shift towards innovative market mechanisms under OP4. In OP3, GEF SGP grantees have already deployed GEF seed grant funds to provide small-scale “revolving loan funds” (i.e. Egypt, Brazil) to organizations or groups of individuals




  1. At the level of innovative financial instruments for MSP and FSPs, it has been recognized that there is a need to develop new instruments for the introduction of “partial risk guarantee” mechanisms in order to leverage private sector participation and incremental co-financing in GEF project activities. The World Bank and International Finance Corporation (IFC) have expressed interest to learn from GEF SGP on the experience of decentralized capacity-building support beneath $250,000 to nascent Small and Medium Enterprises built up through the successful approach of GEF SGP’s gradual incremental funding to producer organizations. GEF SGP will also engage the EAs, including regional development banks, to develop and implement innovative market mechanisms.

Internal Strengthening





  1. GEF SGP OP3 focused on internal strengthening efforts in preparation for targeting higher level outcomes in succeeding years. Below are the outputs resulting from these efforts:




Capacity building of GEF SGP country teams

GEF SGP country teams further strengthened through internal expertise, systems improvements, human resources support, and links to external institutions for additional technical and logistical support which resulted in a higher level of performance and satisfaction, specifically:

  • Internal capacity building programme designed and implemented by CPMT, including Resource Mobilization toolkit, CPS based programme management, gender training, communications training, results based management (PRINCE2) certification (45 NCs), regional workshops, trainings, and learning visits

  • New NCs oriented on programme functions through learning visits to mature country programmes

  • Capacity building for community based adaptation (CBA) programme implementation conducted in 3 countries

  • Increased overall efficiency of the programme through the ATLAS financial management training for NCs and the development of a financial tracking tool and streamlining of the grants disbursement by UNOPS led to

  • The National Coordinators Performance and Resource Assessment (PRA) refined to include quantitative parameters of project description quality, indicator sets for project baselines, integration with GEF corporate programme, etc.

  • Revised database with global indicators for all focal areas introduced to NCs to aggregate impacts (discussed with GEF evaluation unit and Secretariat)

  • Additional human resources support to cover workload of a growing project portfolio provided by: secondment of technical advisors from bilateral donors, UNVs, corporate volunteer placements, on-line volunteering (business plans for marketing and certification activities), interns, Junior Professional Officers, and partners

  • Project selection strengthened by expanding specialized expertise and network of NSC

  • NSC members strengthened through a listserv for exchanges and learning visits to other GEF SGP countries



Lessons learned / knowledge management

    GEF SGP strengthened its knowledge management outreach, activities included (see Annex for Knowledge Management publications):

  • Database platform for Impact Assessment System enhanced, including new workspace for e-filing

  • New coordinate mapping function (through GoogleEarth) launched enabling the graphic depiction of country programme portfolios in 3-D terrain models

  • Categorization, analysis, and dissemination of 132 ex-post projects done resulting in series of knowledge products

  • Communications strategy implemented targeting print media, radio, and national TV

  • NSCs participated in National Dialogue Initiatives in different regions, as well as communicating with GEF focal points and policy makers

  • Portfolio review of biodiversity projects completed up until 2003 and an analysis of needs of GEF SGP marketing projects completed in 2005

  • Publication on expanding access to modern energy services highlighted the replication, scaling up and mainstreaming at the local level and was disseminated at CSD 14

  • A handbook for participatory video was presented

Development of project sustainability strategies

Country Programmes initiated the preparation of project sustainability strategies (including payment of environmental services, environmentally sustainable products, revolving funds)






Monitoring and Evaluation





  1. The programme’s M&E framework has been upgraded to give importance to impact assessment and the development of global indicators. In OP4, country programme teams will assess further the projects they have supported and report on impacts. The global database now includes an “outcome/impacts” field and will be utilized to regularly review the portfolio with updates on trends, and progress on targeted impacts. In addition, the results of ex-post studies, started in 2004 will be inputted into a system for tracking the impacts and sustainability of initiated projects. Because of cost-cutting measures in OP4, the support from donors for ex-post studies will be solicited. Assessment of GEF SGP impacts will also be facilitated by the identification by GEF SGP country programmes of their geographic and/or thematic focus, which will allow better assessments of baselines and consequently better assessments of portfolio and project impacts. The programme’s development of this M&E system will be linked to that of the larger GEF family.

Resource mobilization





  1. All grantees of GEF SGP are considered partners as they raise cash cofinancing, or at the very least, in-kind cofinancing. The amounts are as small as $30 to $1,000. Some can go higher and certain country programmes have succeeded in getting cofinancing from bilaterals and governments. The consolidation of these small contributions comprises 90 percent of cofinancing raised.




  1. At the global level, some major cofinancing partnerships are in implementation. Since 2000, GEF SGP has cumulatively mobilized approximately $7,000,000 from the United Nations Foundation (UNF) for the Community Management of Protected Areas Conservation programme (COMPACT), a landscape-level initiative for the protection for natural World Heritage Sites in Belize, Dominica, Mexico, Madagascar, Kenya, Philippines, Tanzania and Senegal. UNF have helped support the development of a common methodology for landscape-level clustering and synergy of SGP small grants and complementation with other donors and agencies. The partnership has resulted in a number of ‘donor forums’ to increase the financial sustainability and governance models for protected area management.




  1. The New Zealand Aid for International Development (NZAID) has contributed NZ $6,147,555 over 3 years for the SGP Pacific Environment Fund (SGP PEF), a regional umbrella project designed to assist 15 Pacific Island Countries (PICS) countries including: Cook Islands, Federated States of Micronesia, Fiji, Kiribati, Marshall Islands, Nauru, Niue, Palau, Papua New Guinea, Samoa, Solomon Islands, Tokelau, Tonga, Tuvalu, and Vanuatu. The cost sharing project fully utilizes GEF SGP procedures and mechanisms, and is intended to provide expedited assistance to SIDS countries. The PEF allows for management of funds in-country, increasing national ownership and reducing dependence on regional organizations and external agencies evaluated by NZAID as the cause of failures of regional aid programs in the past. Added benefit to the GEF SGP has been a cost-sharing agreement whereby NZAID share administrative costs as well as grant activities, including in the provision of fielding technical advisers, top-up of honorariums for National Focal Persons, regional trainings, and participation in regional meetings.




  1. In the energy and climate change sector, GEF SGP has received significant technical and cost-sharing inputs from the UNDP Environment and Energy Group (EEG), including focused resources for the West Africa Sahel regional. Similarly, the Regional Programme for the Promotion of Household and of Alternative Energies in the Sahel (PREDAS) has provided US$ 400,000 to jointly support activities on household energy projects in Burkina Faso, Mali, Senegal, Mauritania, and Niger.




  1. The UNDP Special Unit for South-South Cooperation (SSC) has provided GEF SGP with $1,519,000 for the promotion by the UN of innovative, small-scale projects to deal with emergencies for South-South support. The collaboration has supported community-based and natural resource based livelihood activities in Indonesia, Sri Lanka, Thailand and India, particularly in communities damaged by the 2005 tsunami which included SGP projects. At the height of the tsunami emergency, GEF SGP was able to rapidly mobilize its NGO/community networks. South-South Cooperation donors were in need of a fast delivery mechanism and the partnership with GEF SGP was formed. The success of the partnership demonstrates the value of existing GEF SGP structures and networks as a ready and fast mechanism available for dealing with emergencies.




  1. The Global Mechanism (GM) has provided $250,000 to GEF SGP in order to support the UNCCD implementation process (pre-investment). Joint programmes to combat land degradation and improve the livelihood of communities have been initiated in Mali, Burkina Faso, Ghana, Jordan, and Honduras. Support and capacity building for Sustainable Land Management has followed an integrated approach to NAP/CCD implementation through resource mobilization and mainstreaming of drylands issues into national development planning frameworks and poverty reduction strategies




  1. In terms of engagement of the private sector during OP3, BP Pakistan Exploration and Production, Inc. has provided $1,200,000 in cost-sharing to the GEF SGP country programme in Pakistan. Other similar exploratory partnerships have been started with Coca Cola in Romania, Talisman Petroleum Trinidad in Trinidad and Tobago, and others. A full table of GEF SGP partnerships and resource mobilization is presented in Annex 3.




  1. Table 3 shows the kinds of cofinancing partners of GEF SGP and the ratio of added resources that contribute to projects and country programmes.


Table 3. Cofinancing Partners at project level


Donor Type

Cash Ratio

In-Kind Ratio

Bilateral Donor

11.6%

1%

Foundation

1.3%

1%

Grantee

14.7%

30%

International Charitable Organization

1.2%

1%

International NGO

8.0%

2%

Local Government

5.7%

7%

Multilateral Organization

21.3%

22%

National Environmental Fund

9.4%

0%

National Government

9.6%

22%

National NGO

8.9%

10%

Private Sector

8.2%

5%

Transnational Corporation

0.1%

0%


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