Effective GEF-UNIDO Project Management: Implementation and Execution Guidance

1. UNIDO-GEF PROJECT MANAGEMENT Project Implementation and Execution 17 March 2019

2. Rationale and benefits of this presentation • To inform and discuss about GEF-UNIDO project implementation criteria to ensure compliance • To inform and discuss about project execution procedures to ensure timely and efficient project completion

3. Outline GEF-UNIDO project implementation (a) Project Framework under GEF (b) GEF project principles (c ) Monitoring and Evaluation Project Execution • Project execution arrangements • Procurement • UNIDO Environmental and Social Safeguards • UNIDO Gender policy Others (Open data platform, questions…)

5. Who are we? • STOCKHOLM CONVENTION DIVISION (Environment Branch) • PROCUREMENT SERVICES DIVISION

6. Project Framework GEF PROJECT PRINCIPLES GEF Full-sized project : US$ 9.5 million Project Implementation Project Execution UNIDO procedures Mid-term Terminal Project duration: 5 Years

7. GEF project principles

8. I. National Ownership The GEF emphasis country ownership and stakeholder involvement as fundamental operational principles: • Operational Focal Points (OFPs): should be engaged from beginning of project inception throughout project implementation. • Relevant national stakeholders: to be updated about project progress and involvement, as needed

9. II. Segregation of Implementation and Execution Roles • The GEF Minimum Fiduciary Standards highlight that an important control function includes the clear separation of project supervision (i.e. implementation) functions from project execution functions. • Implementation is done by UNIDO. UNIDO conducts project supervision, completion and evaluation. • Execution is done by the national counterparts. They are responsible for the management and administration of the day-to-day project activities.

10. III. GEF-Project “incremental” activities The GEF finances only the agreed incremental activities (or cost) of a project project activities need to translate into GLOBAL ENVIRONMENTAL BENEFITS (here PBDE reduction) e.g.

11. IV. Global Environmental Benefits • GEF Secretariat measures project success on the achievement of global environmental benefits. • Project: (para 281): “The e-waste generated by the 13 participating countries, represents an emission of POP-PBDE estimated between 26 and 60 tons/year. The project aims to tackle about 10% of them (2.6 to 6 tons)” De modo que los residuos-e generados por los 13 países participantes representa una emisión de COP-EPBD estimada en alrededor de 26 y 60 toneladas/año. El proyecto tiene como objetivo afrontar alrededor de 10% de ellos (2.6 1 6 t/año durante cinco años). • Reporting: relevant sub-contract progress reports, AMR, mid-term and final evaluation.

12. V. Co-financing • GEF definition: As per GEF Co-financing Policy, resources which are additional to the GEF grant to support the implementation and achievement of project objectives. • Updated GEF co-financing Policy: Not applicable to total amounts, but recommended in terms of private sector involvement and type of co-financing • Each country needs to meet minimum of committed co-financing (mainly grant (cash), in-kind) • Adjustments possible (e.g. more co-financing from private sector) • Reporting: Deliverables, AMR, Mid-term and final evaluation continuous collection/monitoring/reporting of co-financing (e.g. meetings) is necessary

13. Grant: Resources provided without expectation of repayment In-kind: Contributions in the form of goods or services other than money, including but not limited to salaries, office space, communcation and utilities

14. Monitoring and Evaluation of GEF projects in UNIDO Monitoring: • Supervision and Oversight: UNIDO Project Manager, Carlos • GEF Annual Monitoring Report (AMR): Project Manager, Carlos together with executing countries, review by UNIDO-GEF Coordination Evaluation: • Mid-term Evaluations: Project Manager, Quality Assurance Division • Final Evaluations: Independent Evaluation Division, with support of Project Manager

15. GEF Annual Monitoring Report (AMR) • The Annual Monitoring Report (AMR) is mandatory by the GEF. • Reporting period: July 1-June 30 each year • The AMR entails a qualitative review on Implementation and Execution, including supporting documents. • Because of the number of stakeholders, Carlos will collect and eventually reach out for inputs (July-August each year).

16. Midterm Evaluations • Required for all full-size projects • To review progress and allow for corrective measures • Prepared by an independent evaluator. Note: Reporting also on co-financing, ESMP and gender

17. Final Evaluations • Required for all full-size projects at project completion • To assess performance & results • Managed by the UNIDO Independent Evaluation Division, in close cooperation with the PM. • Final evaluations will be submitted to the GEF in English. Note: reporting on realized co-financing, ESMP and gender

18. QUESTIONS?

19. Project Execution (a) Project management arrangements (b) Procurement (sub-contracts and technical specifications) (c) UNIDO Environmental and Social Safeguards (d) UNIDO Gender policy

20. Project arrangements Other executing partners: UNU, ILO, ITU, RELAC, WHO Execution (through sub-contracts)

21. (b) Procurement procedures Best Value for Money Effective Competition Fairness, Integrity and Transparency of the Procurement Process Best Interest of UNIDO’s clients

22. Contractual arrangements

23. Deliverables

24. Deliverables by Month 12

25. Deliverables • 7. LANGUAGE REQUIREMENTS • The working language of the Contract and reports will be English. However, reports may be presented in Spanish as long as it is also presented an executive summary in English. • Submission of deliverables: Please submit all reports and invoice to UNIDO SCD (Alfredo, Carlos, Maren, Celeste) for technical review. Once it is cleared to be forwarded to UNIDO Procurement.

26. Some benefits of this meeting • Workplans: 2nd Review and acceptance by Carlos • Technical aspects of workplan: How to best reach in practical terms? • Technical inputs: EWAM

27. Technical Specifications (goods) • Contract: “For each medium and large procurement process (EUR 5,000 or more) the NEA will request specific authorization from UNIDO” • Technical specifications needed for equipment, products, supplies, etc. • Should be neutral, clear and technical and/or performance oriented. • References to brand names must be avoided (if not possible, the words “or equivalent” shall be added). • Must completely and fully describe the technical requirements.

28. Example: Portable XRF equipment

29. (c) UNIDO Environmental and Social Safeguards

30. Policy: Guiding Principles • Compliance with national and international laws • Transparency and inclusivity • Harmonization in multi-Organization projects • Gender equality • Climate resilience

31. UNIDO Operational Safeguards (OSs) Programmatic Operational Safeguards • OS 1: Environmental and Social Assessment • OS 2: Protection of Natural Habitats and Biodiversity • OS 3: Involuntary Resettlement and Land Acquisition • OS 4: Indigenous People • OS 5: Pest Management • OS 6: Cultural Heritage • OS 7: Safety of Dams • OS 8: Labour and Working Conditions • OS 9: Resource Efficiency and Pollution Prevention • OS 10: Community Health, Safety and Security Framework Operational Safeguards • OS 11: Information Disclosure and Stakeholder Consultation • OS 12: Accountability and Grievance Systems

32. Environmental and Social Safeguard Steps along the Project Cycle • 1. Project identification/screening/categorization; • 2. Project formulation; • 3. Project clearance/compliance verification/approval; and • 4. Project implementation/monitoring/evaluation Allowing for environmental and social issues to be identified, analyzed, mitigated and monitored

33. Environmental and Social Screening/Categorization Outcome Required for pilot interventions (separation and final disposal of POP-PBDE containing plastics

34. Environmental and Social Management Plan (ESMP) Required for Category B projects Environmental and Social Management Plan (ESMP) Would you/private WEEE sector have already ESMP? If yes, please share. If not, let’s discuss how to approach this topic. Working group?

35. Monitoring and Reporting ESS compliance • Needs to be integrated into regular project monitoring and reporting • Part of GEF-AMR reporting • Important aspects to note: •  Relevance of stakeholder engagement • Keep up to date!

36. QUESTIONS?

37. (d) Gender policy Gender ratio (female: male) UNIDO: 2:1 This meeting: 2:1

38. GEF Requirements New GEF Gender Policy requires: • Gender Analysis or equivalent socio-economic assessment that identifies and describes any gender differences, gender differentiated impacts and risks, and opportunities to address Gender Gaps and promote the Empowerment of Women that may be relevant to the proposed activity • Any corresponding gender-responsive measures to address differences, identified impacts and risks, and opportunities through a gender action plan or equivalent; if gender-responsive measures have been identified, the results framework or logical framework include actions, Gender-Sensitive Indicators and sex-disaggregated targets.

39. GEF Requirements • For new projects • The new Policy came into effect on July 1, 2018, and applies to all new GEF-financed activities submitted on or after the date of effectiveness • For existing projects • The new Policy will apply to all annual project implementation reports, as well as mid-term reviews and terminal evaluations submitted after one year from the date of effectiveness

40. http://www.unido.org/gender/publications.html

41. Gender and the Stockholm Convention on POPs

42. Project Approach (paragraphs 273 onwards) • In line with UNIDO’s Environment Branch Gender Strategy, specific attention will be given to (i) workshops (e.g. participants- male/ female; number of gender specific presentations; number of gender-specific information materials) (ii) trainings (e.g. participants- male/ female; number of gender specific presentations; number of gender-specific information materials; (iii) gender-specific awareness raising campaigns (iv) others? Practical/technical aspects?

43. Project Approach • Please include participants ratio in each training/ workshop • Pay attention to specific gender-issues (e.g. technical during dismantling of WEEE) • Awareness campaign: include gender activity, if possible • Reporting during AMR and deliverables (where applicable) • Others?

44. For more information: • Gender Policy: https://intranet.unido.org/intranet/images/7/7a/DGB110Rev2_gender_policy.pdf • Gender Strategy: https://intranet.unido.org/intranet/images/f/fb/Gender_Strategy.pdf • Gender Parity Action Plan: https://intranet.unido.org/intranet/images/8/80/UNIDO_Gender_Parity_Action_Plan_2018-2023_FINAL.pdf • Gender Mainstreaming Sector Guides: http://www.unido.org/gender/publications.html

45. QUESTIONS?

46. Open data platform- UNIDO’s Transparency Initiative • https://open.unido.org/

47. UNIDO Team: Stockholm Convention Division Alfredo Cueva: a.cueva@unido.org Carlos Alberto Hernandez Santana: c.hernandezsantana@unido.org Maria Celeste Gomez: m.gomez@unido.org Keira Louise Ives-Keeler: K.IVES-KEELER@unido.org Maren Mellendorf: m.mellendorf@unido.org Procurement: Alessandra Bravin: a.bravin@unido.org

49. For the LAC E-waste project, the project population is 200 million people.  We estimated an e-waste production about 3 kg/person/year which results in 600,000 tons per year.  With this population we also estimated 72 million CRTs  (a weight of 1.8 million tons).  From this weight of CRT, we estimated a mass of PBDEs ranging from about 458,000 kg to about 1,336,000 kg. • Based on the total e-waste (600,000 tons/year) we estimated around  72,000 tons plastic / metal composites (12%) and 90,000 tons plastics (15%).  These streams correspond to 16,200 and 13,500 kg c-octaBDE. • Compiling the c-octa coming from CRT, plastic / metal composites, and other plastics, we get between 121.2 to 296.9 tons c-octaBDE. • Considering an average collection rate about 20%, we estimated collecting between 24.4 to 59.4 tons c-octaBDE per year in all 13 countries.  From here, we decided that the project will tackle 10% of it.