Protectia Mediului

Chapter Eight Project Cycle—From Conceptualization To Completion

1. OVERVIEW

The May 1995 Council meeting reviewed and approved a project cycle, outlining a standard set of procedures for GEF-financed projects and the roles and responsibilities of project participants. (GEFDOC #11) The project cycle will be kept flexible to deal with differences among projects and will be reviewed periodically to make necessary changes identified through monitoring and evaluation activities (see Chapter 9).

The GEF project cycle reflects the major project requirements set out in the GEF Instrument (GEFDOC #22). These requirements state that projects should:

• be cost-effective;

• be country-driven and based on national priorities;

• include disclosure of nonconfidential information;

• consult with and participation of major groups and local communities; and

• cooperate with other international organisations, including NGOs.

The project cycle here deals with full projects, whereas Small and Medium-Size Grants have slightly different cycles. (GEFDOC #1 & #3)

The project cycle has three main phases encompassing six steps. The first phase covers project identification to approval by the GEF Council; the second covers Council approval to Implementing Agency approval; and the third covers project start up, implementation, and completion.

2. STEPS IN THE PROJECT CYCLE

Phase 1: From project concept to council approval

Step 1: Project concept identification and preparation

Step 2: Inclusion of project in proposed work programme for consideration by the GEF Council

As a first step, this phase involves the development of ideas into project proposals that meet national and local priorities and are eligible for GEF funding. This is usually coordinated by national operational focal points, usually a person or office in a relevant government department who liaises with the GEF on all projects. The responsibilities of the focal point during this phase are to:

• act as the principal contact point for all GEF activities and communications;

• review proposed project ideas and concepts, taking into account their consistency with national programmes and priorities, the country's participation in the relevant conventions, etc.; and

• facilitate broad-based, as well as project specific, consultations, involving all major stakeholders groups. (A full project proposal must list all the consultations that have been undertaken with major groups and local communities.)

During this first step, the Implementing Agencies (IAs) work with the national operational focal points to develop project ideas and prepare project proposals.

Once a potential project has been identified, it usually needs further preparation before a full project proposal can be developed. Funding to assist with project preparation is available through the GEF Project Preparation and Development Facility (PDF), which has three funding thresholds, known as "blocks." Block A funds (up to US $25,000) would be available at very early stages of project identification. Block B (up to US $350,000) would be used for completing project proposals and preparing necessary supporting documentation. Finally, Block C funds (up to US $1 million) would be used in large scale projects to complete technical design and feasibility studies. Each block has its own documentation requirements and approval levels. (GEFDOC #16)

Once a full project proposal has been prepared and received government endorsement, then an expert chosen from a list approved by the GEF's Scientific and Technical Advisory Panel (STAP) must review the project from a scientific and technical perspective. GEF Secretariat staff then meet with each IA to review its projects (the meetings are termed "bilaterals"), and provide a recommendation to the GEF's chief executive officer (CEO) as to which should be included in a proposed "work programme" for submission to the Council. The Council considers four proposed work programmes per year: two at Council meetings and two between meetings. Approval of the work programme by the Council, does not necessarily mean that the projects are ready to be implemented and that the funds will be released immediately. Council approval, rather, is a green light for further preparation.

During Council meetings, Council members are asked to limit their comments on proposed work programmes to GEF programming and associated policy issues that particular projects might raise. The intention is to avoid detailed discussions in Council meetings on the technical aspects of each project, leading to inefficient micro-management by the Council. However, Council members are invited and encouraged to submit comments of a technical nature directly to the Secretariat. Most projects in proposed work programmes are approved by the Council. If serious problems with a project are raised by Council members, a project is typically removed from the work programme, at least temporarily.

Phase 2: From Council approval to Implementing Agency approval

Step 3: Preparation of final draft project document

Step 4: Chief Executive Officer endorsement and project approval

As a third step, once a project is on the work programme, a final draft project document is prepared by the relevant IA, taking into account the Council's comments. The draft is then circulated to Council. members. As a fourth step in the project cycle, if there are no objections, the CEO endorses the project, and the IA and recipient country government can give their final approval of the project document. At that point, an agreement is negotiated with the host country and funds can be disbursed to implement the project.

Phase 3: From project approval to project completion

Step 5: Project implementation

Step 6: Project completion and final evaluation

Most of the actual project implementation is undertaken by the executing agency in the host country. The executing agency could be a government ministry, another U.N. agency, or an NGO. Often, components of the project are subcontracted to NGOs for implementation. The IA supervises and monitors implementation of the project and reports progress to the GEF Secretariat on a semiannual basis. The Secretariat organises a Project Implementation Review of all GEF projects, and the results are submitted to the Council. (See Chapter 9) Once a project is completed, the IA prepares a final evaluation report, addressing the project's performance and assessing whether it has achieved its objectives. Guidelines for final project evaluations across all IAs are being prepared by the GEF Secretariat on the basis of the monitoring and evaluation policy, approved by the Council.

At this stage (or earlier), the STAP may identify projects for scientific and technical review. These might include projects that are highly innovative, have significant elements of risk, cover more than one focal area, or may have serious scientific and technical problems.