PPCR MONITORING AND EVALUATION Preliminary Guidance Nte fr PPCR Cuntry Teams
I. INTRODUCTION PPCR MONITORING AND EVALUATION Preliminary Guidance Nte fr PPCR Cuntry Teams 1. A results framewrk fr the PPCR has been apprved by the Jint CTF/SCF Trust Fund Cmmittee in Nvember 2010. task teams need t wrk with PPCR pilt cuntries t implement the results framewrks as sn as pssible t build the fundatin fr results reprting. 2. Implementatin cmprises: wrking with pilt cuntries t integrate M&E activities in the preparatin and implementatin f PPCR financed (i) cuntry and reginal strategic prgrams fr climate resilience (SPCR); and (ii) related prjects/prgrams invlving public and private sectr peratins. The M&E system needs t reflect the interdependencies amng these tw levels. There is an urgent need t establish a cmprehensive M&E system t ensure that prjects/prgrams under the SPCR are indeed anchred within the verall strategic apprach. 3. T prvide a cmmn framewrk fr this undertaking, this nte summarizes the (i) bjective and institutinal arrangement; (ii) Cuntry level PPCR Mnitring and Evaluatin; (iii) Prject/Prgram level PPCR Mnitring and Evaluatin; and (iv) reprting. II. OBJECTIVE AND INSTITUTIONAL ARRANGEMENTS 4. The PPCR aims t pilt and demnstrate ways t integrate climate risk and resilience int develping cuntries cre develpment planning and activities. The PPCR prvides incentives fr scaledup actin and transfrmatinal change, and ffers additinal financial resurces t help fund public and private sectr investment fr climate resilient develpment plans. The bjective f PPCR M&E activities, therefre, is t help t strengthen natinal M&E systems t mnitr and evaluate the impact f activities aimed t address climate resilient develpment. The M&E system will supprt cuntries t mnitr implementatin f prjects and prgrams and take crrective actin/decisins based n infrmatin generated thrugh the M&E system. The results framewrks are designed t perate: (i) within existing natinal mnitring and evaluatin systems; and (ii) the s wn managing fr develpment results (MfDR) apprach. 5. By integrating the PPCR M&E results framewrks int natinal M&E systems, cuntries will take the lead and establish a managing fr results philsphy that will help enhance the design and impact f their investments. They als gain the pprtunity t share experiences and lessns with thers, thereby helping t accelerate the CIF s learning-by-ding prcess in supprt f the replicatin f gd practices fr managing and sustaining climate change transfrmatin at the cuntry level. 6. There are three key elements f the PPCR M&E apprach that need t be fllwed by PPCR financed prjects: 2
a) Planning PPCR prject/prgram planning shuld use a flexible planning apprach, with results cascading frm the cuntry level t prjects and indicatr reprting frm prjects/prgrams aggregated at the cuntry level. Reginal prgrams will als have t develp results framewrks demnstrating hw cuntry level initiatives are linked t the verall reginal results. There shuld be a lgic mdel in each SPCR that sets the strategic directin and identifies the results that identified pririty prjects/prgrams must cntribute t. SPCRs shuld articulate the issues, pririties fr investments, challenges, and risks t be addressed in a cuntry r reginal cntext. Catalytic results beynd the immediate utput f prjects/prgrams under the PPCR shuld als be clearly identified and the reprting apprach utlined in the SPCR. Prject and prgram dcuments shuld describe the expected results f individual interventins, linked t the verall results framewrk fr the pilt cuntry and the regin, if applicable. Prject and prgram dcuments shuld include results framewrks, indicatrs, baselines, and targets and the methdlgy hw the data will be prduced. These dcuments shuld be shared with the CIF Administrative Unit. b) Mnitring and Reprting PPCR financed prjects and prgrams are implemented using prcesses, prcedures and systems. Hwever, there is a set f indicatrs fr the PPCR that must be included in prjects/prgrams. Cuntries and reginal institutins (fr the reginal prgrams) supprted by the s are mainly respnsible fr cllecting and reprting data n all these key indicatrs. The gvernment will identify and charge an executing agency with reprting respnsibility. Prject utputs and utcmes are expected t be mnitred and reprted n a regular basis using the key indicatrs. Reprting is expected at the start when establishing the baselines, at mid-term and upn cmpletin. Annual reprting is desirable whenever feasible. Cuntries are the main reprting units f the PPCR. Reprting against the implementatin f the SPCRs/strategies is at the cre f the PPCR M&E system. The gvernment will identify and charge an executing agency with reprting respnsibility. A prgrammatic apprach at the cuntry r reginal level requires that cuntry r reginal institutins take the lead in cnslidating data frm prjects/prgrams at the cuntry level and reprt these t the PPCR Sub-Cmmittee thrugh the CIF Administrative Unit. Cuntries need t nminate a natinal r reginal institutinal fcal pint fr M&E taking the respnsibility t manage the PPCR M&E effrts, particularly the reprting t the PPCR Sub-Cmmittee. 3
c) Learning and Knwledge Management 1 CIF knwledge management activities are clsely linked t CIF s wrk n mnitring and reprting. PPCR prjects and prgrams will need t include knwledge management activities invlving identifying, creating, rganizing, sharing and using lessns learned, and gd practices in PPCR pilt cuntry prgrams and prjects. PPCR s knwledge management activities have themselves t be targeted twards a set f KM results that must be mnitred and reprted n. 7. With the apprval f the results framewrks as living dcuments, the jint CTF/SCF Trust Fund Cmmittee established the basis fr an adaptive M&E apprach. The data generated thrugh the M&E system shuld allw cuntries t take crrective actin based n infrmatin/evidence. The adaptive management apprach requires a cnstant and sustained feedback mechanism which allws cuntries t reflect n measures, appraches, methdlgies etc. and initiate change when data r bservatins pint twards the need t adapt t changing circumstances. 8. A rbust M&E system requires apprpriate institutinal arrangements fr assigning functins and respnsibilities fr managing the integratin f M&E systems. The institutinal setting will be determined as part f the preparatin f the individual investments. They will be a cnsequence f the nature f prpsed M&E pririties, existing institutinal structures and arrangements, and the fact that the M&E system develpment needs t be managed at the gvernment level (see Table1). 9. Capacity develpment needs t be a key element in all effrts t strengthen a results-riented management apprach f individual prjects/prgrams but als the management f the SPCR. Hence, the identificatin f capacity needs is essential fr successful strategic management f CIF peratins in pilt cuntries and regins. 10. The capacity f cuntry r reginal institutins t carry ut abve and ther M&E activities wuld, as required, be strengthened thrugh upgrading f existing, r acquisitin f new, equipment and services t effectively link lcal teams t web-based perfrmance measurement systems; capacity develpment n the use f apprpriate methdlgies t measure results; using lcal cnsultant services (when feasible) t establish baselines and upgrade M&E systems; using lcal [staff] (when feasible) and/r cnsultants t manage the cuntry/prject sites fr generating and reprting perfrmance data; using lcal [staff] and/r cnsultants (when feasible) t capture and dcument experiences and lessns in develping and implementing strategic cuntry prgrams and their investment 1 Detailed guidance n infrmatin sharing and lessns-sharing activities (ISL) is available in Integrating Infrmatin Sharing and Lessns-Learning CIF Cuntry Prgrams and Prjects A Guidance Nte fr Task Teams, shared with the s n March 14, 2011. 4
prjects (including pssible ut-surcing t lcal rganizatins and academic institutins); cntracting fr the rganizatin, hlding, and dcumenting utcmes f M&E activities thrugh wrkshps with lcal stakehlders; and facilitating the participatin [travel, accmmdatin] f lcal team members in CIF pilt/partner cuntry meetings and ther relevant external knwledge sharing events. Table 1: Pssible Institutinal Arrangements fr Managing fr Results Respnsibility Unit r agency within the pilt cuntry with enhanced M&E capacity (lead fr develpment and implementatin f the strategic cuntry r reginal prgram) 2 Sectr ministries/private sectr arms f the s n behalf f private sectr entities Implementatin units (public/private sectr) fr individual CIF funded prjects Functin - Crdinate the integratin f the PPCR results framewrk int the natinal M&E system and ensure that M&E arrangements are reflected in the SPCR dcument submitted fr SC review and apprval. - Mnitr r assess the catalytic replicatin indicatrs. - Manage the assessment f current M&E capacity and gap analysis in terms f baselines, targets, technlgy (IT supprt) and HR capacity. - Manage the prgress reprting in implementing the SPCRs. - Prepare prgress reprts n SPCR implementatin t the Trust Fund Cmmittees/Sub-Cmmittees annually. - Mnitr prject/prgram implementatin and request regular prject perfrmance updates in line with agreed prcedures frm the relevant gvernment agencies and s. - Manage the M&E systems at the prject/prgram level and ensure regular prgress reprting t (i) the crdinating unit; and (ii) cmmunicate with all relevant stakehlders. - Private sectr entities reprt thrugh the respective s managing the relatinship as the legal and implementatin agreement is between the private client and the nly. The private sectr will include the PPCR cre M&E indicatrs as well as relevant prject-specific indicatrs t its standard institutinal reprting requirements and cmmunicate these t the unit r agency leading the SPCR M&E apprach in the pilt cuntry - Manage the establishment f M&E systems fr each individual prject/prgram. - As agreed with the central prgram crdinatin unit reprt n prgress n utputs and utcmes indicatrs n a regular basis. III. COUNTRY/REGIONAL LEVEL PPCR MONITORING AND EVALUATION a) Setting up the PPCR M&E system at the cuntry / reginal level 3 11. Regins and cuntries which are in the prcess f finalizing their SPCR design shuld discuss and present the envisaged M&E apprach in the SPCR. It is expected that the M&E sectin in the SPCR cmprises: (i) a results framewrk t mnitr prgress and evaluate the implementatin f the SPCR; (ii) a brief descriptin f the institutinal arrangements with assigning rles and respnsibilities; and (iii) 2 In the case f a reginal prject, it wuld be apprpriate fr the entity selected fr managing the reginal cmpnent f the prject t assume the crdinating functin fr ISL activities. 3 The term regins in the cntext f PPCR refers t the PPCR s reginal prgrams, namely the Caribbean and Suth Pacific reginal prgram. 5
utlining the resurce requirements t establish and manage the M&E apprach. 4 Annex 1 utlines in mre details hw the M&E sectin in the SPCR culd be develped and specific aspects f M&E this sectin in the SPCR might highlight. Regins and cuntries which have already apprved SPCRs will need t re-engage, if necessary, with the s t discuss the M&E apprach. 12. The fllwing detailed steps fr the cuntry/reginal level M&E apprach are suggested: Step Activity Expected utput 1 access technical data and methdlgies, Synergies with infrmatin, and lessns learned frm ther ther managing fr develpment results (MfDR) managing fr develpment initiatives. A stck-taking exercise is needed t results explre whether ther initiatives are already initiatives prmting enhanced M&E system develpment. The PPCR might build n r cmplement these nging initiatives. Lead Gvernment/ reginal institutins (if applicable) Supprt 2 identify technical, system and capacity gaps fr M&E in climate change. It is expected that this analysis will prvide a better idea abut the nature f interventins needed t establish the reginal/cuntry M&E system. This step shuld als include a cst estimate fr establishing the M&E system. Gap analysis better understanding f the needs Gvernment/ reginal institutins (if applicable) implementing entity 3 discuss the institutinal and rganizatinal setting fr the M&E system. It is expected that investment plans include a paragraph abut the envisaged M&E apprach. This sectin shuld discuss and prvide which agency/ rganizatin is taking the lead in managing PPCR M&E. 4 assess baselines and establish targets fr catalytic and replicatin results at the cuntry level. The SPCRs shuld include a results framewrk with cuntry specific indicatrs. Ideally the results framewrk incrprates the suggested PPCR key indicatrs with baselines and targets. At least, the SPCR shuld utline an apprach hw t establish baselines fr relevant indicatrs. Clear institutinal and rganizatinal structure fr PPCR M&E at the cuntry level Results framewrk at the SPCR level with baselines and targets Gvernment/ reginal institutins (if applicable) Implementing entity 5 share lessns with ther pilt cuntries in assessing and establishing M&E systems. Pilt cuntries Learning frm experiences Gvernment/ reginal 4 Baselines and targets are very imprtant t establish a sund basis fr an effective M&E apprach. It can be expected that fr sme indicatrs it might be rather difficult t establish baselines r targets at the time f SPCR frmulatin. Hwever, it is imprtant t utline briefly in the M&E sectin hw the cuntry is ging abut establishing targets and baselines fr indicatrs which d nt have these at the time when the SPCR is presented t the PPCR Sub-Cmmittee. 6
Step Activity Expected utput shuld dcument the prcess f establishing PPCR M&E systems and share these lessns with stakehlders within and utside the PPCR pilt cuntries. Lead institutins (if applicable): PPCR crdinatin unit with implementing entities Supprt b) PPCR indicatrs at the cuntry level 13. Baselines and targets at the natinal level need t be established t the extent pssible fr the fllwing apprved PPCR key indicatrs: Results Indicatrs Means f Verificatin a) Change in the Glbal Adaptatin Index (GaIn) Glbal Adaptatin Institute 1.Imprved quality f life f peple living in areas mst affected by climate variability and climate change 5 b) Millennium Develpment Gals (MDG) indicatrs 1.1 t 1.9, 4.1, 4.2, 5.1, 6.6, 7.1-7.10, and 8.15-16 c) Percent (%) f peple classified as pr (wmen and men) and fd insecure (wmen and men) in mst affected regins Cuntry M&E/ UN The Millennium Develpment Gals Reprt Cuntry M&E 2.Increased resilience in ecnmic, scial, and ec-systems t climate variability and climate change thrugh transfrmed scial and ecnmic develpment d) Number f lives lst / injuries frm extreme climatic events (wmen/men) e) Damage / ecnmic lsses ($) frm extreme climatic events a) Cuntry utcme indicatrs (e.g., existence and effectiveness f early warning system fr extreme climate events; changes in land degradatin (sil prtectin, affrestatin); scpe f scial safety nets; existence f risk insurances; access t credit t transfrm agricultural practices as a result f increasing climate risks; diversifying incme surces; etc) b) Changes in budget allcatins f all levels f gvernment t take int accunt effects f climate variability and climate change acrss sectrs and regins. EM-DAT Internatinal Disaster Database (http://www.emdat.be/abut) Cuntry M&E system (ideally results framewrk f the Natinal Develpment Plan) Peridic qualitative assessment at the cuntry level and sub-natinal level- Public expenditure reviews 5 The indicatrs fr the impact level are rather high level and macr indicatrs. There is clear understanding that issues f attributin might arise when the PPCR is evaluated. Hwever, this issue is nt unique fr PPCR peratins but a general cncern in the sphere f Managing fr Develpment Results (MfDR). It is expected that impact evaluatin instruments in the future might be able t assess sme ptential causal linkages between PPCR prject/prgram activities at the lcal level and the high level impact. 7
Results Indicatrs Means f Verificatin PPCR Catalytic Replicatin Outcmes a) Number and quality f plicies intrduced t Cuntry M&E system address climate change risks r adjusted t incrprate climate change risks 1.Imprved institutinal structure and prcesses t respnd t climate variability and climate change b) Quality f participatry planning prcess (as assessed by private sectr, CSOs) Satisfactin survey c) Extent t which natinal results mnitring and evaluatin system includes prcess t mnitr adaptatin effrts (at all levels f gvernment) and related indicatrs are publically available d) Extent t which develpment decisin making is made based n cuntry-specific climate science, lcal climate knwledge (reginal and ec-reginal level), and (gender-sensitive) vulnerability studies e) staff in key line agencies that address climate resilience as part f the develpment agenda Peridic qualitative assessment at the cuntry level, including subnatinal Peridic qualitative assessment at the cuntry level, including subnatinal 2.Scaled-up investments in climate resilience and their replicatin 3.Replicatin f PPCR learning in nn-ppcr cuntries a) Number and value f investments (natinal and lcal gvernment, nn gvernment, private sectr, etc) in $ by type f climate resilient investments (e.g., fld prtectin, irrigatin, rads, dams, scial safety nets, insurance schemes, etc.) b) Evidence f integrating lessns learned (natinal and lcal gvernment, nn gvernment, private sectr) frm PPCR pilt prjects/prgrams c) Evidence f increased capacity t manage climate resilient investments a) Number f nn-ppcr cuntries and sectrs within the cuntry applying climate prfing and resilience principles in cuntry develpment strategy planning and sharing it thrugh PPCR knwledge management b) Number f nn-ppcr cuntries replicate PPCR prject apprach (e.g., investment dcuments citing PPCR pilt prject dcuments) Cuntry M&E system Budget allcatins at all levels crss-cuntry qualitative review crss-cuntry review c) PPCR financing fr establishing PPCR M&E systems at the cuntry level 14. The amunt f PPCR prject grant funding sught fr integrating the CIF results framewrks int natinal M&E systems will depend in each case n (i) the existing M&E system and related institutinal capacities, (ii) the extent t which nging activities are already in place t satisfactrily allw impact mnitring and evaluatin (e.g., natinal M&E systems fr mnitring and evaluating climate change actin plans); and (iii) the availability f nn-cif surces f funding fr this purpse (e.g., MfDR activities f bilateral r multilateral dnrs). Hence, there is n fixed limit t CIF funding. Cuntries and 8
s will incur additinal csts in develping PPCR-related natinal M&E systems. Funding arrangements are utlined in annex 2. IV. PROJECT/PROGRAM LEVEL PPCR MONITORING AND EVALUATION 15. Prject/prgram level PPCR M&E needs t ensure a clse link with the expected results at the cuntry level. The prject/prgram design dcument needs t utline clearly the envisaged results chain. a) Setting up the PPCR M&E system at the cuntry / reginal level 16. The fllwing steps are suggested t establish the M&E system fr PPCR financed prjects/prgrams: Step Activity Expected utput 1 discuss the lgic mdel with stakehlders The Results chain: lgic mdel discussin is imprtant t ensure prject/prgram that there is a clear understanding hw the utputs cuntry utcmes impact envisaged prject is fitting int the cuntry s apprach in initiating transfrmatinal change and climate resilient develpment. 2 discuss the results framewrk with respective prject/ prgram implementing entity. This prcess will help t identify the relevant indicatrs. Nt all prpsed indicatrs in the results framewrks will be relevant fr all the prjects/prgrams. 3 discuss the institutinal and rganizatinal setting fr the M&E system. It is expected that SPCRs include a paragraph abut the envisaged M&E apprach. This sectin shuld discuss and prvide which agency/ rganizatin is taking the lead in managing PPCR M&E. 4 assess baselines and establish targets fr the relevant indicatrs. A cst estimate fr assessing baselines is needed at this stage. 5 Develp a detailed M&E plan fr the implementatin f the prject/prgram and submit M&E plan fr Cmmittee apprval 6 Share lessns with ther prjects/prgrams in assessing and establishing M&E systems. Implementing entity/agency shuld dcument the prcess f establishing PPCR M&E systems and share these lessns with stakehlders within and utside the pilt cuntry. Agreement n the cre indicatrs fr tracking prject/prgram prgress Clear institutinal and rganizatinal structure fr prject/prgram M&E respnsibility Results framewrk at the prject/prgram level with baselines and targets M&E Plan Learning frm experiences Lead Supprt Gvernment / implementing entity/ agency Implementing entity/agency Implementing entity/agency Implementing entity/ agency Implementing entity/ agency Implementing entity/agency 9
a) PPCR indicatrs at the prject/prgram level 17. PPCR financing is freseen fr several adaptatin-relevant sectrs, including water, agriculture, infrastructure, energy sectr, castal znes, disaster risks, hydrmeterlgy, climate infrmatin systems, and the health sectr. Hence, the prject/prgram results framewrks need t reflect the key indicatrs fr each f these areas. 18. The PPCR results framewrk is designed t prvide a flexible framewrk t allw fr (i) cuntrydriven, cuntry-cntext specific prjects/prgrams with a rather brad set f interventins; and (ii) wrking within the s wn managing fr results apprach. This means that the cncept f mandatry indicatrs needs be applied practically. Nt all prjects need t reflect all the indicatrs. Fr instance, agriculture prjects fcus n agricultural sectr relevant indicatrs, energy sectr prjects n energy prject relevant indicatrs and health sectr prjects n health relevant indicatrs. Nevertheless, the indicatrs n leveraging additinal resurces and n knwledge management and learning shuld be part f every single prject/prgram irrespective f the sectr fcus. 19. Institutinal capacity develpment prject/prgrams may include the fllwing indicatrs with baselines and targets (if feasible) in the prject/prgram M&E framewrks: Results Indicatrs Means f Verificatin a) Degree t which develpment plans integrate Peridic qualitative climate resilience by subjecting planning t review f strategies and climate prfing and assessments f ther dev. Plans and vulnerability (including gender dimensin) and plicies including measures t better manage and reduce related risk, and is disseminated bradly 1.Imprved integratin f resilience int cuntry develpment strategies, plans, plicies, etc. (at the natinal and lcal level) b) Budget allcatins (at all levels ) t take int accunt effects f climate variability and climate change (vulnerabilities) acrss sectrs and regins Peridic public expenditure reviews budget allcatins 2.Increased capacity t integrate climate resilience int cuntry strategies 3.Increased knwledge & awareness f climate variability and climate change impacts (e.g. climate change mdeling, a) Evidence f a functining crss-sectral mechanism that takes accunt f climate variability and climate change b) Evidence f line ministries r functinal agencies lead in updating r revising cuntry strategies (mving frm utside management t cuntry wnership) Cverage (cmprehensiveness) f climate risk analysis and vulnerability assessments within the limits that current scientific evidence permits (prject-specific: sectr, gegraphical area, sex, ppulatin grup, lcatin etc.) Prject M&E Prject M&E Prject M&E qualitative assessment Prject M&E 10
Results Indicatrs Means f Verificatin climate variability impact, adaptatin ptins) amng gvernment / private sectr / civil sciety / educatin sectr 5.Enhanced integratin f learning / knwledge int climate resilient develpment a) Relevance (demnstrated by cmplementing and integratin with ther initiatives) and quality (stated by external experts) f knwledge assets (e.g., publicatins, studies, knwledge sharing platfrms, learning briefs, cmmunities f practice, etc.) created Prject dcuments, M&E CIF AU qualitative assessment 6. Leveraging new and additinal resurces fr clean technlgy prjects b) Evidence f use f knwledge and learning Leverage factr f PPCR funding; $ financing frm ther surces (cntributins brken dwn by s, gvernments, multilaterals and bilaterals, CSOs, private sectr) Prject dcuments, M&E Prject M&E 20. Agriculture prjects/prgrams may include the fllwing indicatrs with baselines and targets (if feasible) in the prject/prgram M&E framewrks: Results Indicatrs Means f Verificatin a) Change in percent change in availability Prject M&E f drught/salt-tlerant, certified seeds/crps Increased capacity t withstand / recver frm CC / CV effects in investment prgram/ prject specific pririty infrastructure, castal / agricultural / water interventins, scial safety nets, insurance schemes, etc Enhanced integratin f learning / knwledge int climate resilient develpment b) Change in hectares f farms with sustainable access t irrigatin and drinking water a) Relevance (demnstrated by cmplementing and integratin with ther initiatives) and quality (stated by external experts) f knwledge assets (e.g., publicatins, studies, knwledge sharing platfrms, learning briefs, cmmunities f practice, etc.) created Prject M&E Prject dcuments, M&E CIF AU qualitative assessment Leveraging new and additinal resurces fr clean technlgy prjects b) Evidence f use f knwledge and learning Leverage factr f PPCR funding; $ financing frm ther surces (cntributins brken dwn by s, gvernments, multilaterals and bilaterals, CSOs, private sectr) Prject dcuments, M&E Prject M&E 11
21. Infrastructure prjects/prgrams may include the fllwing indicatrs with baselines and targets (if feasible) in the prject/prgram M&E framewrks: Results Indicatrs Means f Verificatin a) Change in km f rads built/rehabilitated Prject M&E accrding t climate-resistant cdes and standards (e.g. raised rads, imprved cver materials) Increased capacity t withstand / recver frm CC / CV effects in investment prgram/ prject specific pririty infrastructure, castal / agricultural / water interventins, scial safety nets, insurance schemes, etc Enhanced integratin f learning / knwledge int climate resilient develpment b) Change in number f peples with access t climate resilient husing and shelter a) Relevance (demnstrated by cmplementing and integratin with ther initiatives) and quality (stated by external experts) f knwledge assets (e.g., publicatins, studies, knwledge sharing platfrms, learning briefs, cmmunities f practice, etc.) created Prject M&E Prject dcuments, M&E CIF AU qualitative assessment Leveraging new and additinal resurces fr clean technlgy prjects b) Evidence f use f knwledge and learning Leverage factr f PPCR funding; $ financing frm ther surces (cntributins brken dwn by s, gvernments, multilaterals and bilaterals, CSOs, private sectr) Prject dcuments, M&E Prject M&E 22. Energy sectr prjects/prgrams may include the fllwing indicatrs with baselines and targets (if feasible) in the prject/prgram M&E framewrks: Results Indicatrs Means f Verificatin a) Change in number f energy-related Prject M&E infrastructure integrating climate resilience features Increased capacity t withstand / recver frm CC / CV effects in investment prgram/ prject specific pririty infrastructure, castal / agricultural / water interventins, scial safety nets, insurance schemes, etc Enhanced integratin f learning / knwledge int climate resilient develpment b) Availability f tls t assess climate risks t pwer plants and ther surces f energy a) Relevance (demnstrated by cmplementing and integratin with ther initiatives) and quality (stated by external experts) f knwledge assets (e.g., publicatins, studies, knwledge sharing platfrms, learning briefs, cmmunities f practice, etc.) created Prject M&E Prject dcuments, M&E CIF AU qualitative assessment b) Evidence f use f knwledge and learning Prject dcuments, M&E 12
Results Indicatrs Means f Verificatin Leveraging new and additinal resurces fr clean technlgy prjects Leverage factr f PPCR funding; $ financing frm ther surces (cntributins brken dwn by s, gvernments, multilaterals and bilaterals, CSOs, private sectr) Prject M&E 23. Castal Znes prjects/prgrams may include the fllwing indicatrs with baselines and targets (if feasible) in the prject/prgram M&E framewrks: Results Indicatrs Means f Verificatin Change in percentage f castal area with Prject M&E natural buffer znes (e.g. green belts n embankments) t manage sea level rise and extreme strms (hurricanes, cyclnes, typhns) Increased capacity t withstand / recver frm CC / CV effects in investment prgram/ prject specific pririty infrastructure, castal / agricultural / water interventins, scial safety nets, insurance schemes, etc Enhanced integratin f learning / knwledge int climate resilient develpment a) Relevance (demnstrated by cmplementing and integratin with ther initiatives) and quality (stated by external experts) f knwledge assets (e.g., publicatins, studies, knwledge sharing platfrms, learning briefs, cmmunities f practice, etc.) created Prject dcuments, M&E CIF AU qualitative assessment Leveraging new and additinal resurces fr clean technlgy prjects b) Evidence f use f knwledge and learning Leverage factr f PPCR funding; $ financing frm ther surces (cntributins brken dwn by s, gvernments, multilaterals and bilaterals, CSOs, private sectr) Prject dcuments, M&E Prject M&E 24. Health sectr prjects/prgrams may include the fllwing indicatrs with baselines and targets (if feasible) in the prject/prgram M&E framewrks: Results Indicatrs Means f Verificatin a) Change in respnse time fr natinal and Prject M&E lcal emergency respnse units t extreme climatic events Increased capacity t withstand / recver frm CC / CV effects in investment prgram/ prject specific pririty infrastructure, castal / agricultural / water interventins, scial safety nets, insurance schemes, etc b) Change in percent in access f ppulatin in prject/prgram area t health prducts mitigating the risks f water-brn diseases due t the impacts f climate change Prject M&E 13
Results Indicatrs Means f Verificatin Enhanced integratin f learning / knwledge int climate resilient develpment a) Relevance (demnstrated by cmplementing and integratin with ther initiatives) and quality (stated by external experts) f knwledge assets (e.g., publicatins, studies, knwledge sharing platfrms, learning briefs, cmmunities f practice, etc.) created Prject dcuments, M&E CIF AU qualitative assessment Leveraging new and additinal resurces fr clean technlgy prjects b) Evidence f use f knwledge and learning Leverage factr f PPCR funding; $ financing frm ther surces (cntributins brken dwn by s, gvernments, multilaterals and bilaterals, CSOs, private sectr) Prject dcuments, M&E Prject M&E 25. There might be ther sectrs which will be added when all SPCRs have been develped and endrsed. a) PPCR financing fr establishing PPCR M&E systems at the prject/prgram level 26. Funding requirements fr establishing PPCR M&E systems fr each prject/prgram will depend n the cuntry- cntext (e.g., existing capacity at the prject level); and (ii) the nature f the individual prject/prgram. Cuntries and s will incur additinal csts in develping prject/prgram specific M&E systems. Funding arrangements are utlined in annex 2. V. REPORTING 27. CORE INDICATORS The lgic mdel and the results framewrk are designed t prvide a basis fr lng-term reprting and eventually evaluatin effrts. Therefre, it is imprtant t establish cmprehensive M&E systems within a pilt cuntry based n the PPCR results framewrk. Hwever, fr medium-term prgress reprting t the PPCR Sub-Cmmittee there is a need fr fcusing n a limited set f cre indicatrs. These cre indicatrs prvide the basis fr a mre standardized apprach acrss the pilt cuntries and reginal pilts. It is expected that the cuntry teams discuss these cre indicatrs with all the pilt cuntries and reginal prgrams (if applicable) and establish baselines and targets fr these cre indicatrs within the next three mnths. The PPCR Sub-Cmmittee expects that cre indicatrs are in place fr all the prgrams by Nvember 2011, s that reprting against these indicatrs can start in 2012. 14
28. The fllwing cre indicatrs are suggested fr PPCR medium-term reprting: Indicatr Baseline Target SPCR level Change in number f natinal-level ecnmic sectr and develpment plicies and regulatry framewrks integrate climate resiliency and vulnerability reductin cnsideratins (incl. insurance systems) Change in Glbal Adaptatin Index (GaIn) Effective natinal early warning system (incl. accurate weather frecast and lead time fr respnse) Change in percent in budget allcatin t take int accunt effects f climate variability and climate change (vulnerabilities) by ecnmic sectr and cuntry regins Leverage factr f PPCR funding: $ financing frm ther surces (cntributins brken dwn by gvernments, s, ther multilateral and bilateral partners, CSOs, private sectr) Prject/prgram level Change in hectares (ha) f area in prject/prgram area with management plan that integrate climate change cnsideratins Change in number f institutins/cmmunities in prject/prgram area with knwledge n climate change and respnse ptins PPCR prgram/prject utcme indicatrs by ecnmic sectr and vulnerable regins (applicability depends n sectrs addressed in each SPCR), e.g.: Change in percentage f husehlds (in areas at risk) whse livelihds have imprved (acquisitin f prductive assets, fd security during particularly sensitive perids f the year, nutritin fr < 5 year ld children, etc.) Evidence f change in number/quality/frequency f frms f slidarity (mutual supprt, tntines, rganizatin f cmmunity wrks, etc.) amng beneficiary husehlds/cmmunities Agriculture: - Change in percent change in availability f drught/salt-tlerant, certified seeds/crps - Change in hectares f farms with sustainable access t irrigatin and drinking water Infrastructure: - Change in km f rads built/rehabilitated accrding t climate-resistant cdes and standards (e.g. raised rads, imprved cver materials) - Change in number f peples with access t climate resilient husing and shelter Energy Sectr: - Change in number f energy-related infrastructure integrating climate resilience features - Availability f tls t assess climate risks t pwer plants and ther surces f energy Castal Znes: 15
Indicatr Baseline Target - Change in percentage f castal area with natural buffer znes (e.g. green belts n embankments) t manage sea level rise and extreme strms (hurricanes, cyclnes, typhns) Health Sectr: Change in respnse time fr natinal and lcal emergency respnse units t extreme climatic events Change in percent in access f ppulatin in prject/prgram area t health prducts mitigating the risks f water-brn diseases due t the impacts f climate change Others? 29. The number f cre indicatr reprting fr PPCR is significantly higher than fr the ther prgrams because f the nature f the PPCR results framewrk reflecting the cmplexity f climate resilient develpment. It is suggested that cuntry teams review careful the abve indicatrs and reprt nly against the indicatrs fr the sectrs which the SPCR is ging t address. Other sectr cre indicatrs can be ignred. Such an apprach will allw the s and the CIF AU t cver the whle range f SPCR peratins. 30. These cre indicatrs need t be cmplemented with data cncerning the prtfli develpment. There is n need fr any additinal analysis r data mining, prject prtfli perfrmance data shuld be extracted frm the s wn prject prtfli review system. Basic essential infrmatin n the prjects/prgrams including: (i) financial infrmatin (cmmitments, expenditures, cntract awards, etc.); (ii) prject rating; (iii) thematic and peratinal pririties; (iv) rating n cvenants; and (v) majr issues and prblems. 31. Based n the prject/prgram reprting, the cuntries will cnslidate the reprts in a cmprehensive implementatin prgress reprt t the PPCR Sub-Cmmittee. The prgress reprt will have t demnstrate hw cuntries are perfrming in terms f established gals and bjectives. The CIF AU will cnslidate the reprts f the cuntries and prvide feedback t the Sub-Cmmittee within the CIF Annual Reprt, Semi-Annual reprts n PPCR Operatins, and ccasinally in thematic results reprts. Such an apprach will ensure that the PPCR Sub-Cmmittee receives updates n the status f the implementatin and achievement f results by investment plan at the CIF prgrammatic level n a regular basis. 32. LEARNING - Annual reprts t the PPCR Sub-Cmmittee cncerning the develpment f establishing M&E systems are needed. Hence, the s are advised t dcument the prcess f setting up the PPCR M&E system in a pilt cuntry and share these cuntry-specific reprts with the CIF AU. In additin, s are requested t assist their gvernment cunterparts t prepare and share lessns cncerning M&E in annual PPCR pilt cuntry meetings. 16
ANNEX 1 Mnitring and Evaluatin in the SPCR The SPCR shuld utline the M&E apprach. It is expected that the M&E sectin in the SPCR cmprises: (i) a results framewrk t mnitr prgress and t prvide the basis fr evaluating the implementatin f the SPCR; (ii) a brief descriptin f the institutinal arrangements with assigning rles and respnsibilities; and (iii) utlining the resurce requirements t establish and manage the M&E apprach. The fllwing apprach fr preparing the M&E sectin is suggested: A. Preparatin f the results framewrk The results framewrk is the mre imprtant element f the M&E sectin. It is key t develp a cuntry/spcr specific results framewrk t ensure that the cuntry s wn climate resilient develpment apprach can be mnitred and hencefrth managed. The fllwing steps are recmmended: Step 1: Discuss the need fr a PPCR lgic mdel results framewrk with the pilt cuntry Step 2: Develp a cuntry-specific PPCR results framewrk and agree n indicatrs Step 3: Establish baselines and targets fr the results indicatrs B. Institutinal and rganizatinal arrangements fr SPCR M&E Clear assignments f rles and respnsibilities are required t establish an efficient and effective M&E system. Reprting requirements and respnsibility need t be mapped ut. Fr the CIF, is key t identify an rganizatin which takes the lead M&E f the SPCR. This can be either a lead ministry, a specialized gvernment agency, a think tank r any ther institutinal r rganizatinal setting the pilt cuntry wuld like t cnsider. Step 1: Analyze the existing (r nn-existing natinal) M&E system fr climate related activities Step 2: Assess the adequacy f the existing M&E in meeting the requirements in A (preparatin f the results framewrk) Step 3: Identify gaps and prpse measures t address the gaps Step 4: Prpse and agree n the institutinal arrangements and respnsibility fr M&E f PPCR investments/activities C. Resurce requirements Pilt cuntries need t identify areas where they may need supprt in setting up the M&E system. Needs may include technical supprt, hard and sftware, and capacity develpment. It wuld be very useful t quantify the needs and identify the apprach t access these resurces. Annex 2 prvides an verview f the CIF mdalities t cver expenses incurred by the pilt cuntries and the s. 17
ANNEX 2 Financing Mechanisms A. Preparatin f Cuntry-level PPCR M&E Results Framewrks fr Inclusin in Strategic Prgrams fr Climate Resilience (SPCR) Cst Categry Cuntry csts incurred in cmpleting activities set ut in para.12 in the main text. Financing Mechanisms TA grants t pilt cuntries fr SPCR preparatin. csts fr supprting abve cuntry-led preparatin activities. CIF administrative budget resurces fr supprt t cuntry-led prgramming f SPCR resurces. B. Preparatin f M&E Cmpnents in Individual Prjects/Prgrams Cst Categry Cuntry csts fr detailed develpment f PPCR M&E cmpnents in individual prjects/prgrams cntained in the SPCR. This includes (i) preparatin f a capacity building prject (r prject cmpnent ) designed t supprt integratin f the PPCR M&E results framewrk (develped under (a) abve) in the natinal M&E system, and (ii) preparatin f prject/prgram level PPCR results framewrks/lgic mdels in all SPCR prjects/prgrams. Financing Mechanisms TA grants t pilt cuntries fr prject preparatin. csts fr supprting abve cuntry-led preparatin activities. Cvered under arrangements apprved by the SDF TFC n June 23, 2011 (ref. SCF/TFC.7/6, Prject Implementatin Services under SCF s Targeted Prgrams: Surces f Funding and Implementatin Arrangements ) - First payment (50% f the initial estimate f MPIS csts) t be made t s at time f IP endrsement; the secnd payment (final estimate f MPIS csts less first payment) wuld be transferred at time f SC apprval f prpsed prject. Payments fr MPIS are t be funded ut f the reserve 18
ANNEX 2 Cst Categry Financing Mechanisms funds that have been set aside by the PPCR Sub-Cmmittee in its decisin n the allcatin f funds pledged t the targeted prgram. C. Implementatin f M&E Cmpnents in Individual Prjects/Prgrams Cst Categry Cuntry csts fr implementing M&E activities defined in prject/prgram level M&E cmpnents csts fr supprting and supervising cuntry-led implementatin f PPCR M&E cmpnents at prject/prgram level Financing Mechanisms PPCR prject grants t pilt cuntries Cvered under the prvisins apprved by the SCF TFC fr Payments fr Prject Implementatin Services (MPIS) see abve. 19