TOR for International Monitoring and Evaluations (M&E) Specialist … · responsible for the preparation of progress reports and provision of training at project and subproject levels

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TOR for International Monitoring and Evaluations (M&E) Specialist A. Background 1. EPF Operations: The Environmental Protection Fund (EPF) was established in 20051 with an aim to strengthen environmental protection, sustainable natural resources management, biodiversity conservation and community development in Lao PDR. EPF funding support is provided through the following financing windows: Policy Implementation and Capacity Enhancement (PICE), Community and Biodiversity Investments (CBI), Water Resources Management (WRM), Pollution Control (PC, and Sustainable Land Management (SLM). EPF beneficiaries can be individual, commercial entities, government organizations or civil society entities. Funding supports include non-refundable grants, preferential loans, interest rate subsidies, or a combination of these. EPF funding sources includes benefits from EPF endowment, contributions from investment projects, and funding supports from international organizations. EPF Office (EPFO) is responsible for day-to-day operations under policy guidance of EPF Board. In 2017, the EPF decree was revised and the new Board has been established while EPF organization is part of MONRE. 2. LENS and LENS2: During 2006-mid 2013, through the Lao Environment and Social (LENS) project, the World Bank (WB) provided funding support ($7M) to key agencies through PICE and CBI windows in which PICE windows aiming for building capacity on sustainable hydropower management, establishment of Nam Theun Nam Kading, and social impacts assessment, and provincial environmental planning and public awareness while CBI windows aiming to build planning capacity on conservation area and initiate engagement with local communities on environmental conservation. In 2014-2015, through the second Lao Environment and Social (LENS2) project, WB provided additional funding support (about $38.83 million) (through PICE window) to build capacity in protected areas (PA) (national and provincial) and wild life trade and in implementation of environment and social safeguards as well as (through CBI window) support management of priority PAs including Nam Et Phou Loei (NEPL), Nakai Nam Thuen (NNT) and (through Component 3) capacity building of EPFO. Operations of LENS2 subprojects are governed by the 5 specific Project Implementation Manual (PIM) and 2 safeguard instruments i.e. the Environmental and Social Management Framework (ESMF) and a Community Engagement Framework (CEF). 3. At present, there are 39 LENS2 subprojects with a total value of about $31.31 million (see List in Annex 1). The subprojects comprise key agencies of the Ministry of Agriculture and Forestry and Rural Development (MAF), Ministry of Natural Resources and Environment (MONRE), Ministry of Planning and Investment (MPI), and the National University of Laos (NUOLs), and other related agencies. The closing date of LENS2 is mid2021. A technical committee (TC) has been established to ensure consistency of the LENS2 subprojects with government policy, endorsing the subproject proposals, and overseeing their implementation. All LENS2 subprojects will have to be approved by EPF Board. After the midterm review in mid2017, LENS2 was restructured with a set of new results monitoring matrix performance indicators (see Annex 2) which has been effective and applied to LENS2 since February 2018. Timely and effective M&E on achievement of the agreed results

1 The Prime Minister Decree No 146/PM established EPF as a financially autonomous organization. However per the revised EPF decree in 2017, EPF office is considered part of the Ministry of Natural Resources and Environment (MONRE).

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indicators is critical for ensuring effective implementation of LENS2 and achievement of the Project Development Objective (PDO). Table 1 shows list of LENS2 subprojects that require comprehensive M&E. 4. Non-LENS2 projects: There are also other EPF subprojects/projects with other EPF funding sources. Since 2007, EPF operates its own portfolio using fund from EPF budget obtained from interests of the EPF endowment and contribution from small mining investment and a few hydropower projects. The EPF portfolio comprises small subprojects while key beneficiaries are the provinces, local communities, and other key stakeholders that do not receive funding support from LENS or LENS2. These subprojects are operated through the operation manual (POM) which was applied during LENS1. At present there are about 90 small EPF subprojects (about $10K to $300K) under operations. All EPF subprojects will have to be approved by EPF Board and the TC will also be responsible for review and endorsement. 5 6. EPFO operations and need for effective IMS and M&E. Effective EPFO operations is considered important for facilitating effective and sustainable use of natural resources and management of environmental quality. At present, EPFO comprises 4 divisions: administration (AD), financial (FD), procurement (PD), and project management division (PMD) including M&E. Key EPFO operations and activities can be highlighted as follows:

• The AD is responsible for EPF overall administration, personnel, fundraising and communications, and IT services while the PD and FD are respectively responsible for procurement and financial management including monitoring the implementation progress and compliance with specific requirements. The PMD is responsible for operations of projects/subprojects including assisting the beneficiaries during the preparation of proposal and coordination/facilitation, and the implementation and M&E. To facilitate effective and sustainable operations of EPF, EPFO made an effort to secure additional funding sources as well as to improve management capacity of EPFO using funding support from LENS2 and other EPF funding sources. The planning and implementation progress of LENS2 and Non-LENS2 are reported to EPF Board every 6 months, however, there has not been specific results monitoring established for the EPF portfolio projects.

• On M&E, the implementation progress of the subprojects are being monitored by a small M&E team comprising 2 M&E Officers (one for LENS2 and 1 for non-LENS2) and 2 M&E Assistants (one for LENS2 and one for non-LENS2). The M&E team is also responsible for the preparation of progress reports and provision of training at project and subproject levels. The M&E and IMS system for LENS2 have been established using excel databases while the LENS2 project and subproject progress reports (semester and annual) are prepared using a set of standard format agreed between EPFO and WB. Main responsibilities of the M&E team are to plan and monitor the implementation progress of LENS2 subprojects, complete progress reports, and provide training on M&E to the SDAs and other key agencies. EPFO also established an accounting system to track fund flows and procurement activities for LENS2 subprojects and report the financial progress as part of LENS2 semester and annual reports.

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• On improving EPF operations, as part of the Government policy on green growth, EPF decree has been revised in early 2017 and it is expected that the Government will approve develop a legal framework to (i) increase the EPF revenue generation and (ii) establish mechanisms for EPF to prioritize its resources allocation. Through the “One EPF Agenda”, it is expected that one EPF management system will be developed and operational with full staff integration by end of 2020. In line with the new EPF decree, the EPF regulation (Bylaw) has been established and approved by EPF Board in early 2018, however, an amendment is being considered to provide clarity on EPF fund allocation and management. In line with the EPF Bylaws, a consolidated EPF operations manual (EPF-OM) comprising 5 volumes (covering documentation, operation manual, M&E, FM and PM) is being developed and they will be applied to all EPF funding projects including LENS2. It is expected that the final draft of these EPF-OM will be reviewed by the WB and the GIZ TA during Q1-Q2 2019 and the final drafts will be submitted to EPF Board for consideration in Q3-Q4 2019. In addition, in late 2018, the EPF Board also approved the 2030 EPF strategy, the EPF business plan (2018-2020), the EPF fundraising and communication plan (FRCP), and the EPF human resource management manual (HRDM).

• To ensure effective EPF operations, it is necessary to establish a strong M&E team with an effective information management system (IMS) that can facilitate effective planning, M&E, and reporting as well as can report directly to the EPFO managers. Since 2015, efforts have been made on the establishment and implementation of an effective M&E system for EPFO that can track the implementation progress of project activities and achievements. However, there are challenges in achieving this objective. Mobilization of an M&E advisor were made during 2017 and 2018, however, due to many reasons the contracts have been cancelled. Nonetheless, it is expected that with GIZ TA, a new M&E expert will be mobilized during Q2-Q3 2019 to ensure that EPFO M&E capacity will be adequate for EPF to be accredited for Green Carbon Fund (GCF) (see draft TOR in Annex 3). The M&E expert will provide recommendation on how to improve the M&E system at EPF covering all projects. However, LENS2 financing cannot rely on external parties to carry out basic fiduciary responsibilities including M&E and project management; EPF’s in-house capacity will need to be enhanced, which is a key duty of the M&E Specialist.

7. For LENS2, given that there are many subprojects are under implementation and the revised results framework monitoring indicators will be applied, it is necessary to ensure that (a) the M&E system for LENS2 are properly designed and effective, (b) EPFO staff, especially the M&E team and subproject coordinator team, know clearly how to apply and evaluate the subproject achievement, can provide guidance, and (c) the SDAs know clearly how to evaluate their subproject achievement. In this context, EPFO plans to mobilize one M&E Specialist to strengthen the M&E and information management system specifically for LENS2 and the objective and scope of the services is described in this TOR. B. Objective of the services 8. Main objective of the LENS2 M&E services is to upgrade and improve effectiveness of the existing M&E system being used at EPFO for LENS2 so that it can generate information necessary for

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EPFO staff and managers to monitor the implementation progress, generate reports, and demonstrate achievement of the LENS2 subprojects according to the project results framework (RF). The services will also include development of an integrated IMS for LENS2 including the preparation of the LENS2 project completion report in Q1-Q2 2021. Key deliverables include, but not limited to, the following:

• Operations of an effective LENS2 M&E system including an integrated IMS that can facilitate effective and timely planning, M&E, and reporting on the implementation progress of LENS2 activities and subprojects as well as monitoring achievement of the results indicators.

• Timely submission of the quality LENS2 progress reports (semester and annual) during 2019-2020.

• As part of semester and annual reporting, work with EPFO and SDA staff to review, compile, and report on other technical metrics of sub-project performance outside the strict project results monitoring matrix (examples include existing and planned independent studies from academia, panels and other organizations, government reports, NGO reports, etc.)

• As part of semester and annual reporting, work with EPFO and SDA staff to compile and improve the quality and timeliness of regular 2-page Subproject Briefs from each of the 39 subprojects;

• Establishment and undertaking a series of targeted-training program on evaluation of LENS2 achievement as well as the concept and practical methodology on the results-based M&E as agreed with EPFO.

• Submission of the LENS2 project completion report (PCR) during Q1-Q2 2021. C. Scope of the Services (Tasks and Deliverables) 9. In close consultation with the EPF Executive Director (ED) and/or the Deputy Executive Director (DED), the Consultant (LENS2 M&E Specialist) will work closely with the EPFO staff especially the M&E team and the LENS2 Project Technical Management Advisor (PTMA) to achieve the objective identified under Section B above. Specifically, the Consultant will carry out, but not limited to, the following tasks:

Task 1: Development of inception report including detailed work plan (5 man-days)

• The Consultant will review scope of the assignment in light of the existing capacity and tools being used for EPFO M&E systems including those for LENS2 and non-LENS2 projects and identify the approach describing ways to urgently build capacity of EPFO staff, especially SPC and M&E staff to carry out the resulted-based M&E of LENS2 as agreed with WB. Scope and key outputs/outcome of the workplan can be adjusted after discussion with EPFO managers. The financial management system is being upgraded by an IT specialist. It is important to ensure that the M&E and IMS system can fully integrate all key EPFO information regarding the financial management, procurement, administration and fund raising, and the subproject implementation progress focusing on demonstrating achievement of key results indicators for LENS2. Each SDA has established its functional capacity index (FCI) to measure the implementation progress of capacity building efforts. There are 10 subprojects related

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to protected area management and involve tracking the progress (METT) and training is on-going. Nonetheless the Consultant will review all the RF requirement and assist the EPFO M&E team to improve effectiveness of the M&E system, especially that for LENS2.

• It should be aware that for large LENS2 subprojects, efforts are being made by the SDA of MONRE and MAF to set up their own databases and/or IMS. The Consultant will also review these systems and trying to maximize possible connections among these systems and the EPFO IMS system as much as possible. Consultation with WB will also be encouraged. The Consultant will also work closely with the M&E expert being mobilized through the GIZ TA to develop and implement an M&E Framework in line with GCF requirement.

• Estimated working days will be about 5 man-days. Key deliverables include, but not limited to, (a) An inception report including detailed work plan, objective, scope, needs, activity and timeframe and (b) An inception meeting with the EPFO to consolidate feedback and suggestions on the overall work plan. It is noted that during the assignment, a number of progress reports will be prepared by the Consultant to record key activities, outputs, and/or recommendations made by the Consultant.

Task 2: Training on LENS2 specific M&E and the results-based M&E (20 man-days)

• There are two types of training. First type of training will focus on improving M&E performance of LENS2 by ensuring that staff of EPFO, DPC of MONRE, and DPF of MAF understand and can effectively provide guidance to the SDAs during implementation and completion of LENS2 both at project and subproject levels. The second type of training will focus on strengthening knowledge on the concept and practical application, including basic analytical skills related to the results-based planning, M&E, and reporting.

• For the LENS2 M&E, it is expected that at least 2 trainings will be conducted in 2019. The first training will be conducted for key staff of EPFO, DPC, and DPF (and selected PONRE/PAFO) on LENS2 M&E methodology being used for LENS2 (4 themes) using the “Training-of-Trainers” (TOT) approach. The second training will focus on SDAs to ensure that they know clearly how to complete the progress reports (semester and annual) as well as to update the annual work plan and budget (AWPB) for LENS2 and complete the subproject completion report. The Consultant will assist the M&E team plan and conduct training so that the SDA can submit quality progress reports and AWPB update on time (20 September for semester report, 20 January for annual report, 30 November for AWPB, and 45 days after completion of the subproject).

• For the second type training, it is expected that at least 2 trainings will be provided during 2019-2020. This training should be designed to strengthen knowledge and capacity of EPFO, MONRE, and MAF agencies on the application of an integrated databases between technical, financial, and procurement for LENS2 as well as for other investment project in general (see also Task4). The Consultant will identify specific needs for training with EPFO, DPC-MONRE, and DPF-MAF so that the training can be planned and executed in accordance with specific needs.

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• Key deliverables include: (a) Develop training materials for LENS2 TOT for EPFO staff involved in M&E and reporting. The materials should be designed to guide the relevant staffs to understand the workflow and tasks regarding M&E and Reporting. This will include, but not limited to, the M&E data collection, qualitative research and report writing, and the application of an integrated IMS approach. (b) Conduct at least 4 trainings specific for LENS2 as well as general training on M&E. The TOT members will demonstrate their knowledge and skills to advise the SDAs on the M&E and Reporting for LENS2. (c) A capacity assessment report on the M&E and Reporting post-training, including issues, key findings, and recommendation for the next steps. The report should include the baseline and end results of the capacity building activity for the M&E and Reporting staff (pre-post testing).

Task 3: Assist in the preparation of LENS2 progress report (20 man-days)

• EPFO is responsible for submission of LENS2 progress reports (semester and annual) to the WB within 45 days after the end of the report period. During 2019-2021, it is expected that 5 progress reports will be submitted: (i) the 2018 annual report by 15 February 2019, (ii) the 2019 semester report by 15 August 2019, (iii) the 2019 annual report by 15 February 2020, (iv) the 2020 semester report by 15 August 2020, and (v) the 2020 annual report by 15 February 2021. The reports will describe the implementation progress and achievement according to the results indicators based on the progress reports (semester and annual) to be submitted by the SDAs as well an integrated information within EPFO.

• The Consultant will establish a clear collaboration mechanism and working relationship for the M&E team with the management team, subproject coordinators, financial management team, and in particular the fundraising and communications team, with an aim to ensure that M&E team is able to work with timely and reliable input from other teams.

Task 4: Develop an integrated IMS and finalize the consolidated M&E manual (15 man-days)

• Being the executing agency of WB and other international development partner, EPFO has a number of obligations of monitoring, evaluation, and report to development partners as well as to key agencies within MONRE and MOF. This means that a number of different information will be collected and analyzed at different timeframe and using different formats to meet the requirements of different funding agencies. To monitor the implementation progress and fund flows of EPFO projects/subprojects, the EPFO financial management (FM) team operates two computerized accounting systems (one for LENS2 and one for non-LENS2 projects) while other divisions responsible for procurement, technical, M&E, and administration also established their own databases

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using excel datasheet. Efforts are being made to integrate key FM, PM, and technical information that can quickly accommodate the preparation of progress reports as well as for facilitating effective planning and evaluation of achievement, and implementation performance of the SDAs. However, coordination and management of these information remain a challenge for EPFO team. At present, EPFO also applied LENS2 M&E manual for LENS2 project and subprojects and is developing a consolidated M&E manual that can be applied to all funding sources and it is expected to complete this draft by end of Q3 2019.

• The Consultant will review and discuss needs with key divisions and managers and establish an effective IMS that can improve effectiveness and efficiency of integrated information and reporting for EPFO including establishing work flow of information and an effective coordination mechanism. The Consultant will also assist the M&E team finalizing the consolidated M&E manual (EPF-OM Vol 3) taken into consideration comments from the World Bank, GIZ, and others as may be required.

• The Consultant will also assist the EPFO M&E team and other EPFO staff to work closely with MONRE and MAF staff on improving, coordinating, and consolidating M&E across all their subprojects. These two ministries have the bulk of LENS2/EPF funds and consolidation on results reporting is one key priority to streamline EPF and LENS2 operations.

• Key deliverable is effective operations of the IMS that can facilitate effective integration of key information necessary for facilitate planning and management for (a) EPFO team and (b) EPFO team, DPC-MONRE team, and DPF-MAF team.

Task 5. Preparation of PCR for LENS2 (20 man-days)

• This activity will be conducted in Q1-Q2 2021. Cost for consultation meetings will be paid separately by EPFO.

• Based on the M&E system for LENS2 and other key information, the TA team will assess achievement and lessons learnt from LENS2 operations and prepare a PCR report in line with the methodology/scope agreed with WB. The Consultant will assist the M&E team prepare the LENS2 PCR report using information available in various project documents and progress reports as well as collection and analysis of additional data, including gender, necessary to assess adequacy of project design, relevancy, effectiveness, and key lessons learnt and recommendations. The final report will be submitted to EPF before the LENS2 closing date (i.e. 30 June 2021).

E. Estimated Inputs and Deliverable Timeline 10. It is estimated that an input of about 80 man-days during 2019-mid 2021. This is a part time assignment with a lump sum contract and the payment will be made against specific outputs as described in the contract. Specific agreement can be made between the consultant and EPFO managers.

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Contract duration: June 2019 - 30 June 2021.

Deliverables Timeline Remarks

Task 1: Submission of the work plan and the inception report, and completion of the inception meeting. The draft M&E manual will be reviewed.

Within 1 month after signing the contract or any date as agreed with EPFO managers

5 man-days

Task 2: Conduct at least 2 trainings per year during 2019-2020. TOT and general.

First training within 2 months after contract signing or other date as agreed with EPFO

20 man-days

Task 3: Assist the M&E team prepare LENS2 progress reports

Per the submission dates 20 man-days

Task 4: Assist the M&E team finalize the consolidated M&E manual (Vol 3) and develop and integrated IMS

As agreed with EPFO managers

15 man-days

Task 5: Prepare PCR for LENS2 Starting in Jan 2021 or other times as agreed to EPFO.

20 man-days

11. EPFO will provide an office space at EPF Office located in the MONRE building in the PMO government complex near Patuxay and assign the M&E staff to work closely with the expert including making all necessary arrangement with other agencies as needed. Actual work schedule will be agreed with EPFO managers. F. Reporting 12. In terms of reporting, the following reports will be submitted to EPFO managers:

• Inception report: This report will be submitted within 1 month after contract signing or per the schedule as agreed with EPFO managers. The report will identify the M&E framework and the work plan for achieving the expected outputs of the services including proposed work schedule of the Consultant. The payment schedule will be made per the contract.

• Progress reports: This will be submitted after 3 months signing the contract or per the schedule as agreed with EPFO managers. The report will identify the implementation progress of the services and may include key specific outputs/deliverables as agreed with the EPFO managers.

• Completion report: A draft completion report will be submitted at the end of the contract or per the schedule as agreed with EPFO managers. The report will identify the progress and final outputs of the service M&E framework and the work plan for achieving the expected outputs of the services including proposed work schedule of the Consultant.

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G. Qualifications and Skills 13. At a minimum, the following qualification will be met:

• Higher education degree (at least master degree) in policy, economics, natural or social sciences, international development, or other field in which EPF invests.

• Minimum 10 years of professional experience, of which 5 years at the international level, 5 years of experience with M&E of environmental, climate, biodiversity, or development programs or project management.

• Ability to lead the design and implementation of M&E systems and approaches.

• Ability to communicate in professional written and spoken English.

• Knowledge of theory of change, results based management concepts and tools.

• Experience in data collection, analysis, and management, including relevant software is a plus.

• Excellent communication skills to transfer the knowledge and improve the capacity of EPF M&E team.

• Experience in organizing and delivering training workshops (on results based management) is a plus.

• Experience working in the Lao context is a plus. 14. To succeed in the assignment, the following skills will be important:

• Strong strategic awareness and influencing skills.

• Innovative and creative approach, with solution-oriented problem solving skills.

• Employs active listening skills.

• Demonstrates commitment to the EPF’s purposes and best practice.

• Track record of timely delivery. 15. These qualifications and skills could be demonstrated through meetings with EPFO key staff/managers and/or written communication and/or documentations.

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Ann

ex 1.

List

of

LEN

S2

Sub

proj

ect

No Project

name Code Project signing date Project ending date Budget

PAM Group 12,405,421

1 DOF (DFRM) PICE 001 06/05/15 31/12/20 2,581,126

2 PAFO BLX2 CBI 011 23/08/17 31/12/20 499,840

3 PAFO SAV CBI 012 23/08/17 31/12/20 499,990

4 PAFO VTE CBI 013 23/08/17 31/12/20 499,998

5 NT2 WMPA CBI 014 01/11/17 31/12/20 2,999,783

6 PAFO KM CBI 016 23/02/18 31/12/20 529,705

7 PAFO HP CBI 017 23/02/18 31/12/20 500,000

8 PAFO LPB CBI 018 23/02/18 31/12/20 599,999

9 PAFO XK CBI 019 23/02/18 31/12/20 539,660

10 NEPL 31/12/20 3,000,000

11 DPF 20/12/18 31/12/20 155,320

Lao WEN Group 4,428,627

12 DOFI PICE 002 01/06/15 30/06/20 1,822,150

13 LCD PICE 011 01/10/16 31/12/19 600,000

14 DCNEC PICE 012 01/10/16 31/12/19 598,862

15 POFI-BLX CBI 006 01/06/15 30/05/20 492,415

16 POFI-KMN CBI 007 01/06/15 30/05/20 444,620

17 POFI-HP CBI 008 01/07/15 01/06/20 470,580

ENV/Planning Group 6,179,167

18 DPC PICE 005 01/07/15 01/06/20 498,000

19 DNEP (DESIA) PICE 013 10/10/16 30/12/20 1,008,801

20 DEQP/MONR

E PICE 014 01/10/16 30/12/20 799,115

21 PCD PICE 015 01/10/16 30/12/20 699,773

22 NREI PICE 016 01/10/16 30/12/19 829,000

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Ann

ex 2:

Res

ults

Mon

itori

ng

Mat

rix

of

LEN

S2

(effe

ctive

in

mid-

Febr

uary

2018)

Revised Results Framework and Monitoring Indicators

Country: Lao PDR

Project Name: Second Lao Environment and Social Project

February 2, 2018

Notes: All indicators refer to support provided by the project between 2014 - June 2021 and are cumulative, unless

otherwise noted. Baseline dates vary depending on the indicator.

Project Development Objective and Global Environmental Objective

Current PDO/GEO Statement

To help strengthen selected environmental protection management systems, specifically for protected areas

conservation, enforcement of wildlife laws and environmental assessment management.

The results are at Project Level

PDO/GEO Indicators

Indicator Name Baseline

Cumulative Target Values (unless otherwise noted)

Dec

2014

Dec

2015

Dec

2016

Dec

2017

Dec

2018

Dec

2019

Dec

2020

End

Target

June

2021

Revised

indicator 1.

0

(2016) - - 0 0 2 5 7 10

23 MPI NERI PICE 017 02/02/17 02/12/20 499,730

24 PONRE VTE PICE 022 01/06/17 31/12/20 149,996

25 PONRE SAV PICE 025 01/06/17 31/12/20 149,930

26 PONRE HPH PICE 019 20/07/17 31/12/20 149,798

27 PONRE XKH PICE 020 20/07/17 31/12/20 149,890

28 PONRE BLX PICE 023 01/06/17 31/12/20 149,710

29 PONRE KMN PICE 024 01/06/17 31/12/20 149,996

30 PONRE LPB PICE 021 20/07/17 31/12/20 150,000

31 NEIO PICE 026 04/04/18 31/12/20 795,428

Capacity Building (NUOL&Others) 5,596,369

32 NOUL-FFS PICE 003 01/04/15 31/03/20 2,299,847

33 GO PICE 004 27/05/15 27/05/18 299,750

34 NUOL-FSS PICE 006 01/07/16 30/12/20 740,000

35 NUOL-FEB PICE 008 01/07/16 31/12/19 799,997

36 NUOL-FES PICE 009 01/07/16 31/12/20 658,075

37 NUOL-FNS PICE 010 01/07/16 31/12/20 598,700

38 NAPA PICE 018 15/08/17 31/12/19 200,000

Component 1 and 2 28,609,584

Component 3 4,685,827

C3.1 3,348,588

C3.2 1,337,239

Component 1, 2 and 3 33,295,411

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(replaces original

indicator 1)

Increased score on

Protected Area

Management

Effectiveness

Tracking Tool

(METT) (number)

Achievements: 0 - - 0

Indicator definition: The indicator supports the PDO dimension “protected areas conservation.” It measures the strength

and effectiveness of institutions in managing protected areas (PA) and biodiversity on 1,297,469 ha in 11 PAs using the

standardized Management Effectiveness Tracking Tool (METT) for PAs. The 11 PAs are Nakai-Nam Theun 438,000 ha,

Nam-Et Phou Louey 420,000 ha, Upper Nam Mouane 107,000 ha, Dong Natad 6,300 ha, Phoumeuth-Phousankheuan

24,307 ha, Nam Xam 70,000 ha, Tad Kuang Xi 34,934 ha, Phou Saboth Poung Chong 149,030 ha, Nam-In Phou

Hinleckfai 16,898 ha, Phou Chomvoy 23,000 ha and Phou Khao Khoay 8,000 ha. Each individual PA subproject under

implementation with LENS2 financing will be scored separately, and averaged together for aggregated reporting in this

results framework. Individual scores for each PA will be presented in the EPF’s semi-annual M&E reports for LENS2.

Baseline METT score is 22 and end of project target is 32, which is an increase of 10 compared to the baseline year. The

10 subprojects supporting the 11 PAs are scheduled to all be under implementation in calendar year 2018 after subproject

proposals were completed and submitted to EPF in 2017.

Revised indicator

2.

(replaces original

indicator 2)

Wildlife trafficking

cases involving

CITES 1 listed

species that are

referred to the

national and/or

provincial public

prosecutor office

(number)

0

(2016) - - 0 2 18 55 75 75


Indicator definition: The indicator supports the PDO dimension “enforcement of wildlife laws.” This indicator measures

the relative strength of the Lao Wildlife Enforcement Network (Lao-WEN) agencies (DOFI and POFI, Environmental

Police, Customs) to enforce wildlife trafficking laws involving CITES 1 listed species, including capacity to detect,

investigate and ultimately prosecute wildlife trafficking cases. Any Lao-WEN agency can open an investigation but only

the public prosecutor’s office can prosecute; when a case is referred to the public prosecutor’s office for prosecution, the

case is counted as ’1’ and reported in this matrix.

Sub-indicator 1a: This sub-indicator counts the number of wildlife trafficking cases involving CITES 1 and non-CITES

listed species opened for investigation by any of the Lao-WEN agencies. Opening a case for investigation is the

intermediary step within the law enforcement process (detection, investigation, prosecution), and allows law enforcement

agencies to investigate, search and gather evidence necessary for prosecution. A case is considered open for investigation

when a search warrant is issued. Any Lao-WEN agency can open an investigation; when this happens, and the agency is

supported directly or indirectly by the LENS2 project, a case is counted as ’1’ and reported in this matrix.

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Revised sub-

indicator 2a.

Number of wildlife

trafficking cases

involving CITES1

and non-CITES

listed species

opened for

investigation

(number)

0

(2016) - - 0 20 65 145 250 250


Revised indicator

3.

(replaces original

indicator 3)

Score of functional

capacity of

Environment

Protection Fund

(EPF) and key

institutions

implementing

subprojects

(number) (annual)

11

(2016) - - 11 18 23 27 30 31


Indicator definition: The indicator supports all PDO dimensions. This indicator measures the level of improvement of

functional capacity of mentioned agencies and institutions. The calculation relies on a matrix developed by targeted

agencies and institutions (with Environment Protection Fund team technical support) combined with a self-assessment

approach. This matrix, named Index of Functional Capacity, is made of 10 criteria, each scored from 1 to 10 for a

potential of 100 for each SDA. Each targeted institution implementing sub-projects with LENS2 financing will be scored

separately, and averaged for reporting on this indicator in this results framework.

Sub-indicators 3a to 3f: The sub-indicators disaggregate the parent indicator to track the level of improvement of

functional capacity of the Environment Protection Fund (EPF), the relevant Department of Forestry (DOF) under

Ministry of Agriculture and Forestry (MAF) supported by LENS2 project to supervise management of the National

Protected Areas (NPAs) systems of Lao PDR and strengthen the management capacities of the Protected Area and

Protection Forest and wildlife conservation (ex-DFRM), the National Academy of Public Administration (NAPA), the

Department of Public Relation of the Prime Minister Office (DPR-PMO), the group of Faculties2

, and the group of

Protected Areas Management Units3

.

Revised sub-

indicator 3a.

Score of functional

capacity of

Environment

Protection Fund

22

(2015) - 22 22 30 35 45 52 52

2 This group includes National University of Laos (NUOL) Faculty of Forestry Science (FFS), Faculty of Social Science (FSS),

Faculty of Natural Science (FNS), Faculty of Environmental Science (FES) and Faculty of Economic and Business Management

(FEBM). 3 This group includes Nam-Et Phou Louey NPA Management Unit, Nakai-Nam Theun NPA Management, Dong Natad PPA

Management Unit (PAFO Savannakhet), Nam Xam NPA Management Unit (PAFO Houaphan), Phou Sabot Poung Chong NPA

Management Unit (PAFO Xieng Khouang), Tag Kuang Xee PPA (PAFO Luang Prabang), Upper Nam Mouane NPA (PAFO

Bolikhamxay), Nam-In Phou Hinleckfai PPA (PAFO Khammouane), Phou Meud – Phou San PPA (PAFO Vientiane).

14

(EPF) (number)

(annual)

Achievements: 22 - 22 28

Revised sub-

indicator 3b.

Score of functional

capacity of

Department of

Public Relations of

the Prime Minister

Office (DPR PMO)

(number) (annual)

11

(2015) - 11 11 29 34 34 34 34

Achievements: 11 - 11 20

Revised sub-

indicator 3c.

Average of score of

functional capacity

of Faculties (NUOL

FFS, FSS, FNS,

FES, FEB) (number)

(annual)

11

(2016) - - 11 17 22 25 28 28

Achievements: 11 13

Revised sub-

indicator 3d.

Average of score of

functional capacity

of Protected Area

Management Units

(NEPL, WMPA,

PAFO LPB, PAFO

HUA, PAFO XKG,

PAFO BLX, PAFO

KHA, PAFO SVK

and PAFO VTP)

(number) (annual)

11

(2016) - - 11 11 17 24 30 31


Revised sub-

indicator 3e.

Score of functional

capacity of MAF

DOF Protected

Area Management

Division (ex-DFRM)

(number) (annual)

10

(2014) 10 11 13 19 20 20 22 22

Achievements: 10 10 12 13

Revised sub-

indicator 3f.

Score of functional

capacity of National

Academy of Public

Administration

1

(2016) - - 1 6 11 13 13 13

15

(NAPA) (number)

(annual)


Revised indicator

4.

(replaces original

indicator 4)

Up-to-date reports

published on

relevant government

websites including

(i) compliance

monitoring for

Category 2 projects,

and (ii) state of air

and noise quality

and (iii) national

pollution inventory

(number)

0

(2017) - - 8 21 43 55 87 87

Achievements: 0 - -

0

(Note: 8

reports

prepared

but not

disclosed

on website

as of Dec.

2017)

- - - - -

Indicator definition: The indicator supports the PDO dimension “environmental management and assessment.” This

indicator measures delivery and disclosure of reports on regulatory compliance, an important feature of good

environment management and assessment, including governance and transparency. The indicator counts the number of

reports, disaggregated into five sub-indicators which measure the individual strengths of relevant MONRE departments

to monitor pollution and mitigate environmental impact of large Category 2 projects (energy production, extractive

industry, road infrastructure) that have potentially severe environment and social impact (comparable to the World Bank

Category A).

Subproject indicators 4a to 4c: The sub-indicators disaggregate the parent indicator to track the effort and outcomes of

relevant MONRE department work to monitor the level of compliance of investment projects registered in Category 2

with Environmental and Social Impact Assessment (ESIA) / Initial Environmental Examination (IEE) regulations and

ensure public information disclosure.

Subproject indicator 4d and 4e: The sub-indicators disaggregate the parent indicator to track the effort and outcomes of

relevant MONRE work to monitor pollution in targeted provinces and/or at national level, as well as ensure public

information disclosure.

Revised sub-

indicator 4a.

Compliance

monitoring reports

for hydropower

projects registered

in environment

impact Category 2

published on the

MONRE website

(number)

0

(2017) - - 7 16 24 32 40 40

16


Revised sub-

indicator 4b.

Compliance

monitoring reports

for mining projects

registered in

environment impact

Category 2

published on the

MONRE website

(number)

0

(2017) - - 1 5 7 10 24 24


Revised sub-

indicator 4c.

Compliance

monitoring reports

for road projects

registered in

environment impact

Category 2

published on the

MONRE website

(number)

0

(2017) - - 0 0 2 4 7 7


New sub-indicator

4d.

State of air and

noise quality report

published on the

MONRE website

(number)

0

(2017) - - 0 0 1 3 7 7


New sub-indicator

4e.

National pollution

inventory report

published on the

MONRE website

(number)

0

(2017) - - 0 0 3 6 9 9


17

New indicator 5.

(replaces original

indicator 5 moved

to intermediate

level)

5-year provincial or

sectoral

development plans

that include

environmental

planning,

monitoring,

assessment, or

management

components

supported by

MONRE or MPI

(number)

0

(2017) - - 0 0 0 0 20 20


Indicator definition: The indicator supports all PDO dimensions. The new indicator measures the number of development

plans (sectoral or provincial) that incorporate at least one environmental management component developed or promoted

by LENS2 subprojects implemented by MPI and MONRE. The four components are:

1. “Review of environmental monitoring arrangements” -- a section in the plan that defines effective

environmental monitoring;

2. “Integrated Green Growth (GG) M&E framework” -- the inclusion of GG indicators in the plan’s M&E

framework with a section on how the sector or province contributes to the country’s GG priorities.

3. “Review of Integrated Spatial Plans (ISP)” -- an ISP annexed to the plan and a section listing investment

projects that potentially conflict with land use plans;

4. “Review of Strategic Environmental Assessment (SEA) recommendations” -- a section in the plan that lists

SEA recommendations and how each one has been or will be addressed.

Development plans refer to:

• 5-year Sector Strategic Plan developed by relevant ministry departments and approved by Minister (MONRE,

MAF, MOICT, MPTW, MEM)

• 5-year Provincial Sector Strategic Plans developed by provincial agencies (PONRE).

• 5-year Provincial Socio-Economic Development Plans developed and implemented by provincial government.

Subproject indicators 5a to 5c: The sub-indicators disaggregate the parent indicator to track the relative strength of

relevant MONRE and MPI or NIER in supporting provinces and sectors to integrate environmental management into

development planning in line with the country’s new Green Growth priorities.

Sub-indicator 5a.

Plans supported by

MONRE

departments on

environmental

monitoring

arrangements

(number)

0

(2017) - - 0 0 0 0 8 8


Sub-indicator 5b.

Plans supported by

MONRE

departments on ISP

and/or SEA

(number)

0

(2017) - - 0 0 0 0 7 7

18


Sub-indicator 5c.

Plans supported by

MPI or NIER on GG

M&E (number)

0

(2017) - - 0 0 0 0 5 5


19

.

Intermediate Results Indicators

Baselin

e

Cumulative Target Values

Indicator Name Dec.

2014

Dec.

2015

Dec.

2016

Dec.

2017

Dec.

2018

Dec.

2019 Dec. 2020

End

Target

June

2021

Revised indicator

1

(replaces original

indicator 1.1).

Staff of SDA and

SDA partner

institutions that

received formal

short courses or

participate in study

tours under the

project (number)

0

(2015) - - 1,300 1,500 2,500 2,700 3,000 3,000

Achievements: 0 - - 1,315

Indicator definition: The intermediate indicator supports all PDO dimensions. It measures the number of individual staff

of Subproject Delivery Agencies (SDAs) and SDA partner institutions that receive eligible training and so, indirectly the

strengthening of SDA and partners’ institutions capacities. “Formal short courses” refers to training with longer than 16

hours and less than 80 hours qualify. A person receiving several courses can be counted more than once.

Sub-indicator 1a: The sub-indicator disaggregates the parent indicator to measure the level of female participation in

training and track potential gender issues. The female beneficiary refers to the number of female participants in the total

number of staff of SDAs and SDA partner’s institutions that receive formal short courses or participate in study tours.

Revised sub-

indicator 1a.

Female staff

(Number)

0

(2015) - - 260 300 500 540 600 600

Achievements: 0 - - 404 - - -

Revised indicator

2 (replaces

original indicator

1.3).

Score tracking the

development and

management of a

NPA system (point)

0

(2014) 0 0 0 25 50 70 90 90


Indicator definition: The intermediate indicator supports the PDO dimension “protected areas conservation” and

“enforcement of wildlife laws.” It uses point-based cumulative scoring to measure progress toward developing and

managing a National Protected Area system [including “National Conservation Forests (NCF)” and “National Protection

Forests (NPF)”]. The indicator calculation is based on a point system for key elements of a strong NPA management

system, as below:

Point system: 100 points total are potentially available for scoring, broken down as follows: Final report on Optimization

of the NPA Management System, including legal, policy, institutions, and financing (15 points); Baseline NPA

Information Available (24 Final NCF Reports or 1 point each for 24 points total); NPA Master Plan approved (21

points); NPA Management Guidelines officially approved by MAF (15 Guidelines or 1 point each for 15 points total);

MAF DOF Website Operational (7 points); Database for Tracking Investments in NPAs (8 points); Draft Decrees

20

formulated to establish Two National Parks (5 points for each park’s decree for 10 points total).

Revised indicator

3. (replaces

original indicator

1.4)

Category 1 and

Category 2 projects

that are under

design,

construction, or

operation that have

a valid

Environmental

Compliance

Certificate (ECC)

(percentage)

19

(2016) - - 19 20 30 40 50 50


Indicator definition: This indicator supports the PDO dimension: “environmental assessment management.” It measures

the strength and effectiveness of the provincial office of Natural Resources and Environment (PONRE) and relevant

MONRE department in monitoring and managing the compliance of investment projects classified as Category 1

(investment projects that have potentially limited environment and social impact) within the 7 provinces targeted and as

Category 2 (investment projects that have potentially severe environment and social impact) in the whole country with

environmental laws and Environmental Impact Assessment (EIA)/Initial Environmental Examination regulations.

This indicator includes sub-indicators disaggregated by category and by sector that together provide a relatively full

picture of progress toward improving environmental and social risk management and assessment.

New sub-indicator

3a. Category 1

hydropower

projects with ECC

(percentage)

35

(2016) - - 35 35 40 45 50 50


New sub-indicator

3b.

Category 1 mining

projects with ECC

(percentage)

11

(2016) - - 11 20 30 40 50 50


New sub-indicator

3c.

Category 1 roads

projects with ECC

(percentage)

0

(2016) - - 0 10 30 40 50 50


New sub-indicator

3d.

Category 2

hydropower

projects with ECC

(percentage)

65

(2016) - - 65 70 75 80 85 85


New sub-indicator 10 - - 10 20 25 30 45 50

21

3e.

Category 2 mining

projects with ECC

(percentage)

(2016)


New sub-indicator

3f.

Category 2 road

and railway

projects with ECC

(percentage)

0

(2016) - - 0 10 20 30 40 50


New indicator 4.

(replaces original

indicator 1.2

dropped)

Score tracking the

design and

adoption of

pollution

management

instruments (point)

0

(2017) - - - 0 0 20 60 80

Achievements: 0 - - - 0

Indicator definition: This new indicator supports the PDO dimension: “environmental management and assessment.” By

using a cumulative point-based scoring system, it aims to track progress in development of pollution management

instruments at national level and submission to the relevant authorities or processes for approval. It is calculated on the

basis of a cumulative point system, as below:

Point system: 100 points total are potentially available for scoring, broken down as follows: (a) Pollution Prevention and

Control Regulation submitted for approval (30 points), (b) Waste and Hazardous Chemical Management Regulation

submitted for approval (20 points); (c) National Environmental Standard Regulation submitted for approval (30 points);

(d) National Pollution Control planning documents approved (20 points) including: Vision to 2030, 10-Year Strategy

(2016-2025), and 5-Year Action Plan (2016-2020).

New indicator 5.

(replaces original

indicator 3.2

dropped)

Score tracking the

development of

national, provincial

or sectoral guiding

documents and

planning tools that

integrate

environment into

development

planning (point)

0

(2017) - - - 0 50 75 90 90

Achievements: 0 - - -

Indicator definition: This indicator supports the PDO dimension: “environmental management and assessment.” By

using a cumulative point-based scoring system, it aims to track delivery of specific guiding documents and planning tools

supported by MPI/NIER and relevant MONRE (DPC and DEQP) subprojects and submitted to relevant authorities or

processes for approval. It is on the basis of a cumulative point system, as presented below:

22

Point system: 100 points total are potentially available for scoring, broken down as follows: (a) National GG Strategy (15

points), (b) Integrated Spatial Planning Guidelines (15 points), (c) SEA Guidelines (10 points), (d) 6 Provincial

Integrated Spatial Plans (5 points each for 30 points total), (e) 2 SEAs (10 points each for 20 points total), and (f) ENR

M&E Guidelines (10 points).

Revised indicator

6. (replaces

original indicator

2.1)

Village

organizations that

meet the terms of

Conservation

Agreements, and as

a result, receive

grants for

implementing their

action plans

(number)

0

(2014) 0 0 10 55 150 170 190 190


Indicator definition: This indicator supports the PDO dimension “protected area conservation.” It measures the strength

and effectiveness of Protected Area conservation at village/community level in and surrounding the 11 PAs supported by

the project (see PDO indicator 1). Protected Area conservation is carried out through the development and

implementation of village/community Conservation Agreements, a process that includes action plans, grant management,

and participatory land use plans (PLUP).

Sub-indicator 6a: The sub-indicator measures the participation of women in development and implementation of

village/community Conservation Agreements process.

Revised sub-

indicator 6a.

Village

organizations with

at least 40% female

participation

(number)

0

(2014) 0 0 10 35 100 130 160 160


New indicator 7.

(replaces original

indicator 2.2)

Area within

selected PAs where

the status of

selected wildlife

population and

threats are

measured (hectare)

(annual)

242,000

(2016) - - 242,000 242,000 400,000 500,000 634,000 634,000

Achievements: 242,000 - - 242,000

Indicator definition: This indicator supports the PDO dimension “protected area conservation” and “wildlife law

enforcement” by tracking the area within the 11 Protected Areas (see PDO indicator 1) in which a regular wildlife

assessment takes place. The assumption is that effective and efficient PA management requires access to reliable

management information. The measurement of the status of the selected wildlife population and threats is carried out on

the basis of patrolling activities. Patrolling activities are conducted by patrol teams (foot patrols and mobile patrols)

23

which involve protected area staff and law enforcement staff (army, police, DOFI). It includes data collection

(measurement of the status of selected wildlife species), monitoring and reporting, wildlife crime prevention and

detection as well as threat identification.

New indicator 8.

Area within

selected PAs where

the gross forest loss

rate is measured

(hectare)

305,000

(2016) - - 305,000 - - - 1,250,000 1,250,000

Achievements: 305,000 - - 305,000

Indicator definition: This indicator supports the PDO dimension “protected area conservation” by tracking the area

within the 11 Protected Areas (see PDO indicator 1) in which gross forest cover change is tracked. The gross forest loss

rate is based on remote sensing analysis.

Revised indicator

9. (replaces

original indicator

2.3)

Wildlife crime

cases detected by

law enforcement

officers of SDAs

supported by the

project (number)

188

(2016) - - 188 630 1445 2040 3100 3100


Indicator definition: This indicator supports the PDO dimension: “wildlife law enforcement.” It aims at measuring the

strength and effectiveness of Subproject Delivery Agencies (SDAs) to prevent and detect international and domestic

wildlife crimes through the implementation of their core activities such as patrolling, check point control, etc. Wildlife

crime cases detected refers to domestic and/or international evidence of a potential crime detected, inspected, found

and/or confiscated.

Revised indicator

10.

(replaces original

indicator 3.1)

Financing

mobilized by EPF

each year from (a)

public sources and

(b) private sources

(US$) (annual)

800,000

(2014) 800,000 800,000 850,000 1,100,000 1,300,000 1,500,000 1,600,000 1,600,000

Achievements: 800,000 800,000 1,124,0

00 1,023,000

Indicator definition: This indicator measures the capacity of the Environment Protection Fund (EPF) to raise or convene

financing to implement its priorities related to LENS2 objectives and the country’s emerging Green Growth strategy.

Sub-indicator 10a and 10b: These sub-indicators disaggregate the parent indicator to measure the share of public and

private sources in financing mobilized by EPF.

Sub-indicator 10a.

Funds from public

sources (US$)

(annual)

350,000

(2014) 350,000 350,000 350000 450,000 550,000 650,000 700,000 700,000

24

Achievements: 350,000 350,000 309,000 376,000

Sub-indicator 10b.

Funds from private

sources (US$)

(annual)

450,000

(2014) 450,000 450,000 500,0000 650,000 750,000 850,000 900,000 900,000

Achievements: 450,000 450,000 815,000 647,000

25

Annex 3: Draft Terms of Reference for M&E Expert (as of 03 January 2019)—GIZ-TA

“Accreditation support: Impl”

Program title: Climate Finance Readiness Program (CF Ready)

Program No: 12.9769.6-001.40

Objective of the

support:

The objective of this assignment is to:

- Develop and implement an M&E Framework in line with GCF requirement in

the EPF

This objective will be achieved through the following main activities:

- Review EPF’s planned institutional-level M&E manual (which will build on

LENS 2 M&E and PIM manuals) and ensure GCF monitoring requirements are

adequately taken into account.

- Support EPF to develop an evaluation function which meets GCF

requirements

Duration of

assignment:

The support is expected to start 21.01.2019 and last until 30.09.2019

The period of assignment of the Consultant is 30 days:

• Up to 20 days desk analysis/ Report writing

• Up to 10 days in country work

1. BACKGROUND

The Green Climate Fund (GCF) is the main operating entity of the financial mechanism of the United

Nation Framework Convention on Climate Change (UNFCCC). The GCF was launched out of the UNFCCC

process in 2011 and through its initial resource mobilisation, efforts the Fund so far has received

contributions of more than USD 10 billion – making it the largest dedicated multilateral climate fund. Its

objective is to promote the paradigm shift towards low-emission and climate resilient development

pathways by providing support to developing countries to limit or reduce their greenhouse gas emissions

and adapt to the impacts of climate change. Through the adoption of the Fund’s Initial Strategic Plan, the

Board linked this objective closely to the implementation of the Paris Agreement – the most recent and

comprehensive international treaty governing the global response to the threat of climate change. At its

core, the Agreement aims at holding the increase in the global average temperature to well below 2°C above

pre-industrial levels and pursuing efforts to limit the temperature increase to 1.5°C. More than 176 Parties

have already ratified the Paris Agreement and through the ratification registered their Nationally

Determined Contributions, which capture the actions that countries aim to implement under the Agreement.

As such, NDCs are the key instrument for delivery under the Agreement and implementing current as well as

gradually increasing the ambition of subsequent NDCs will be instrumental for achieving its temperature

limits. Country driven processes that will catalyse the envisaged paradigm shift across all sectors of the

economy play an important role in this regard and the GCF has put country ownership at the core of its

funding model – inter alia by providing readiness and preparatory support National Designated Authorities

(NDAs) for setting up institutional structures for in-country coordination and dialogue on project

development and prioritization.

Laos is positioning itself to access the Green Climate Fund (GCF). Laos’ request for support from the

GCF’s readiness and preparatory programme is aimed in particular to provide technical assistance for the

accreditation process of the Environmental Protection Fund (EPF) to become a direct access entity (DAE) to

26

the GCF. This support is closely coordinated with the National Designated Authority (NDA) of Laos, which is

part of the Ministry of Natural Resources and Environment (MONRE).

The main objective of this readiness support is to prepare the EPF for the accreditation to the GCF

and ensure that capabilities are in place to develop, implement and monitor projects which receive funding

from the GCF. The GCF has issued strict policies and management system requirements for its accredited

entities and projects to be financed, which need to be applied throughout the institution. These

requirements cover the strict adherence to environmental, social and governance (ESG) safeguards, as well

as strong fiduciary standards to prevent and minimize the risk resulting from money laundering, corruption,

financial mismanagement, fraud and conflict of interest through different management systems, such as due

diligence practices and “know-your-customer” activities. Furthermore, the applicant needs to prove its

capacities to manage external funds, implement and monitor projects that are relevant for the country’s

climate change policy implementation and closely coordinate its activities with the NDA and other

stakeholders,. Additionally, the GCF also requires entities to have a comprehensive gender policy that

supports and promotes the role of women both within accredited entities and its projects, as well as a

detailed policy on the involvement of indigenous people and potential grievance mechanisms.

Support for these activities has been granted under the GCF Readiness and Preparatory Programme

and MONRE has nominated GIZ to serve as delivery partner.

2. DESCRIPTION OF THE ASSIGNMENT

The support of the consultants aims to develop and implement an M&E framework for the EPF that

it based on the current systems and in line with GCF criteria. This includes an update to relevant policies,

manuals, processes, as well as developing new policies and ensure a deep anchoring of the newly introduced

support into the daily work of the EPF.

2.1. MAIN TASKS

Background: The Green Climate Fund (GCF) supports projects and programmes that address a wide

variety of sectors reaching from energy and transport to water, agriculture and increasing resilience to the

adverse effects of climate change. In order to collect and analyze data on the impact of its project, the GCF

requires its DAEs to establish a thorough and comprehensive M&E framework.

Deliverables:

1. A detailed work plan for the assignment, addressing the following four deliverables

2. Review EPF’s planned institutional-level M&E manual (which will build on LENS 2 M&E and PIM

manuals) and ensure GCF monitoring requirements are adequately taken into account.

Deliverables by the consultancy provider: In coordination and consultation with the EPF:

a. Review the framework and develop jointly with the EPF adjustments and amendments to align the

framework with GCF requirements

3. Support EPF to develop an evaluation function which meets GCF requirements including:


a. Develop the following new policies

27

1. Preparation of a policy for undertaking independent evaluation of project results, noting

that body/function undertaking evaluation should be independent of project

responsibility/accountability

2. Preparation of TOR for the evaluation function and/or evaluations of different projects that

demonstrate that the evaluation function follows impartial, widely recognised, documented

and professional standards and method.

3. Preparation of an institutional-level project evaluation disclosure policy (either as part of

evaluation policy or as a separate policy), that requires evaluation reports to be

disseminated as widely as possible and preferably public, at a minimum to all parties directly

or indirectly involved in the project.

4. Develop a monitoring and evaluation framework for EPF’s strategy (i.e. broader than EPF’s finance-

related targets)


1. Objectives which provide clear guidance on what EPF wants to achieve; indicators to measure

defined objectives

2. Action plan for implementing EPF’s strategy and Annual Work Plan.

3. Processes and responsibilities for monitoring and reporting on the objectives (including but not

limited to adhering to budgets)

4. Enhancing EPF strategic planning documents (Medium Term Plan, Annual Work Plans) as needed

to reflect the monitoring and evaluation framework.

5. Enhancing EPF processes to support the preparation of annual or half-yearly reports that

evaluate the achievement of EPF objectives including identifying well-defined actions to correct

variances if needed

6. Prepare a formal document which documents EPF’s process for setting long term and short term

objectives including the alignment of the objectives/plans with EPF’s mission. This should

consider how EPF can increase the consistency between EPF’s Annual Work Plans and Medium

Term Plans, as well as consistency between progress reports.

5. Training and workshop mission


a. Provide an extensive workshop/training focused to build capacities with respect to the newly

developed policy, mechanisms and assessment procedures

6. Confirmation document


b. Prepare a document to clarify in detail the compliance of EPFs M&E manual and management

processes with categories of GCF. On behalf of the commissioning body, the contractor is obliged to

comply with EU General Data Protection Regulation (GDPR) in the provision of his/her services, to

closely coordinate compliance with it and to ensure that, the activities and deliverables are

conducted in accordance with the regulation.

3. PARTNER & GIZ STAFF SUPPORT

The consultancy assignment requires close collaboration with Environmental protection fund and

the NDA/MONRE who will lead and supervise the GCF readiness activities. While it will be expected that the

28

expert will conduct the drafting of the above listed documents, several feedback rounds with EPF can be

expected.

The consultancy provider will agree on the sequencing of the tasks of this assignment in an inception

meeting with the EPF.

A local readiness adviser from GIZ Laos will assist the consultancy provider in the implementation of

this assignment and will be the focal point for its operational aspects and facilitate the collaboration with

EPF.

A readiness adviser in GIZ Headquarters together with the NDA will undertake review and backstopping

of deliverables.

4. PROFESSIONAL REQUIREMENTS FOR THE CONSULTANCY PROVISION

The consultancy requires the involvement of maximum 2 experts, fulfilling the following skillsets:

Lead expert (required):

• Degree in Environmental Science (E.g. Engineering), (or equivalent) development economics,

Finance

• 7 - 10 years’ experience in coordinating the execution of assignments in the field of Climate and

Climate Finance

• climate finance background and experience in working with the Green Climate Fund;

• experience in evaluating project ideas and developing concept notes for the GCF or other

multilateral climate funds

• working experience with ministries and government structures in LDC states, preferably in Laos

or South-East Asia

• very good understanding of the accreditation process to the GCF and the expected standards

and capacities for project management

• experience in supporting the GCF accreditation process of national institutions

• comprehensive knowledge and understanding of international climate policy and climate finance;

• Ability to strengthen capacities with regard to project management, by providing training and

support on a level-eyed, tailored approach

• fluent in the English language and has the ability to analyze legal and policy documents in English

language, knowledge of Lao is a strong asset

Local or Regional Short-term expert (optional):

Please note, that should you opt for this option, the below criteria are mandatory and will not be

considered in the technical grid.

• 3 - 7 years’ experience in project management and institutional capacity building

• experience in working in sustainable development and project management

• working experience with ministries and government structures in Lao PDR

• basic understanding of the accreditation process and projects of the GCF

• fluent in the English language and has the ability to analyze legal and policy documents in English

language

29

Please, add a CV of the candidate to your offer.

5. LOCATION OF THE ASSIGNMENT

The assignment will require presence in Lao PDR of up to 15 days for the lead expert during the task,

excluding travel time. International flights will only be covered by this assignment for two trips to Lao PDR.

6. DELIVERABLES, DURATION AND SCHEDULE OF ASSIGNMENT

Summary of the deliverables Due Date

A detailed work plan for the assignment, addressing the following 6

deliverables

January 2019

Kick-off mission in Laos, jointly with other consultancies Early February 2019

Develop policies for transparency, accounting and fiduciary standards (as

listed under 2.1.3.)

March 2019

Formulate and provide assistance to establish the respective processes for

transparency, accounting and fiduciary standards (as listed under 2.1.4.)

May 2019

Provide a strategy to set up and ethics and audit committee (HR strategy,

proposal for institutional reform, policies and documentation)

May 2019

Provide a training mission with training possibilities and workshops June 2019

Assist the EPF in the workshop preparation with external counter parts and

brief/support the EPF throughout the workshop

June 2019

Prepare a document to clarify in detail the compliance of EPFs manual and

management processes with categories of GCF

July 2019

Duration of the Assignment 21.01.2019 – 30.09.2019

Relevant Documents to consider:

From the EPF:

• Gap Analysis, work plan and recommendations by a previous consultancy

• Policies and manuals

• Sub-project Safeguard Screening Forms

• Prime Minister’s Decree 146 (2005) on Decree on the Environmental Protection Fund

Other documents:

• UNDP, EPF: Case Study Report: Environmental Protection Fund in Lao PDR.

• GIZ (2014): First Steps for Making Climate Finance Work in Lao PDR.