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Mid-term evaluation of upscaling of Glacial Lake Outburst Floods Project
Commissioning Unit: Pakistan
Evaluation Plan: 2018-2022
Evaluation Type: Project
Completion Date: 12/2020
Unit Responsible for providing Management Response: Pakistan
Documents Related to overall Management Response:  
1. Recommendation:

UNDP should ensure that management arrangement and project governance are fully discussed and agreed upon during any project development/formulation phase. More emphasis should be put on the project inception phase. Secondly , UNDP to put more emphasis on the projects’ inception phases. All details about the project structure, reporting, monitoring and evaluation schemes, financial transfer and use of funds, and the role of the implementing partner vis-à-vis the executing partner should be discussed again during the project inception phase, changes should be documented and followed carefully to ensure smooth implementation of the projects.

Management Response: [Added: 2021/01/13] [Last Updated: 2021/01/14]

The signed UNDP/GCF Project Document (Section VII-ii) and project Inception Report (Section 3.1) has sufficient detail regarding the implementation arrangements, in line with standard UNDP programming requirements, including roles and responsibilities as agreed with different stakeholders at the time of project inception. The processes followed the standard UNDP practice in terms of stakeholder consultation. Given frequent changes in the key Government officials, decisions concerning management arrangements should be documented and processed through the appropriate Government systems.
UNDP continuously strives to improve management of its consultation process with all stakeholders, so that management arrangements and project governances are fully discussed and agreed from the outset and without any ambiguities, to mitigate the project risks during implementation.

 

Key Actions:

Key Action Responsible DueDate Status Comments Documents
1- Through adaptive management, UNDP will continue to monitor closely implementation of agreed management arrangements under the project, in consultation with key stakeholders, and report on any changes or measures to the UNDP regional bureau and donor (GCF) through appropriate channels/in timely manner
[Added: 2021/01/14]
UNDP - National Project Manager (NPM) 2021/11 Not Initiated History
2. Recommendation:

A comprehensive revision of the project log-frame and baseline at the inception workshop is crucial to ensure that the project design, baselines, and log frame are still valid.

Management Response: [Added: 2021/01/14]

UNDP conducted a 3-day Inception Workshop and discussed the project logical framework in full detail, which has been documented. UNDP agrees that timely completion of the baseline assessment is crucial to ensuring validity of the project approach and targets. 

Key Actions:

Key Action Responsible DueDate Status Comments Documents
1- Update the project logical framework based on recommendations of baseline study, as well as project M&E plan, conditional on GCF’s approval.
[Added: 2021/01/14]
UNDP - National Project Manager, Chief Technical Advisor 2020/10 Completed Baseline Assessment submitted to GCF on 22 Oct 2020 and is under review
3. Recommendation:

UNDP should ensure that management arrangement and project governance are fully discussed and agreed upon during any project development/formulation phase. More emphasis should be put on the project inception phase. Secondly , UNDP to put more emphasis on the projects’ inception phases. All details about the project structure, reporting, monitoring and evaluation schemes, financial transfer and use of funds, and the role of the implementing partner vis-à-vis the executing partner should be discussed again during the project inception phase, changes should be documented and followed carefully to ensure smooth implementation of the projects.

Management Response: [Added: 2021/01/14]

The signed UNDP/GCF Project Document (Section VII-ii) and project Inception Report (Section 3.1) has sufficient detail regarding the implementation arrangements, in line with standard UNDP programming requirements, including roles and responsibilities as agreed with different stakeholders at the time of project inception. The processes followed the standard UNDP practice in terms of stakeholder consultation. Given frequent changes in the key Government officials, decisions concerning management arrangements should be documented and processed through the appropriate Government systems.
UNDP continuously strives to improve management of its consultation process with all stakeholders, so that management arrangements and project governances are fully discussed and agreed from the outset and without any ambiguities, to mitigate the project risks during implementation.

 

Key Actions:

4. Recommendation:

A comprehensive revision of the project log-frame and baseline at the inception workshop is crucial to ensure that the project design, baselines, and log frame are still valid.

Management Response: [Added: 2021/01/14]

UNDP conducted a 3-day Inception Workshop and discussed the project logical framework in full detail, which has been documented. UNDP agrees that timely completion of the baseline assessment is crucial to ensuring validity of the project approach and targets. 

Key Actions:

5. Recommendation:

UNDP should develop a small project to build the capacity of the MOCC, assist it in business process re-engineering to improve its efficiency, and organize micro-assessment exercise again and when the desired level of efficiency and business processes is achieved, advise and support MOCC to adopt full NIM modality.

Management Response: [Added: 2021/01/14]

Management Response: 
UNDP disagrees with this corrective action, since starting a new project only for capacity building of MoCC is outside the scope of this IE. UNDP stands ready to extend full support to the MoCC, through capacity building activities already embedded into the existing project. 

 

Key Actions:

6. Recommendation:

UNDP to provide continuous training, even if not requested, on NIM modality covering all its components to various government’s agencies at federal, provinces and district levels.

Management Response: [Added: 2021/01/14]

UNDP partially agrees with this corrective action, provided there is a Government request. UNDP has already been regularly organizing sensitization sessions for its counterparts to enhance their understanding of UNDP’s rules and regulations for smooth implementation of NIM projects.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Organize 1 workshop each year for national partners working with projects implemented under NIM modality
[Added: 2021/01/14]
Assistant Resident Representative, Programme Officer, Management Support Unit 2019/09 Completed Similar to sessions organised by UNDP CO in 2019 and 2020; next one to be organized in 2021.
7. Recommendation:

Even if the project is not progressing well, the project team should pay more attention to the monitoring and evaluation plan. Quarterly and annual progress reports are crucial not only to provide progress against the planned targeted but also to keep the risks, and issues closely monitored and managed.

Management Response: [Added: 2021/01/14]

UNDP agrees with this corrective action. UNDP will continue to enhance its M&E system for the project.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
2- Develop a monitoring plan in line with the updated baseline and results framework (5.4.1)
[Added: 2021/01/14] [Last Updated: 2021/08/31]
UNDP - ARR, PO, MSU jointly with the project team 2021/10 Initiated the monitoring plan development is underway History
1- Take stock of all project progress reporting to date and complete any remaining gaps
[Added: 2021/01/14] [Last Updated: 2021/04/01]
UNDP - ARR, PO, MSU jointly with the project team 2021/03 Completed all progress reports are compiled and available with project History
8. Recommendation:

High-level officials from UNDP, MOCC, and EAD need to meet urgently to discuss the way forward to improve the adaptive management mechanisms for project implementation using the NIM modality and the signed LOA and its amendments. A set of concrete actions need to be defined and agreed upon by all partners to be achieved before the end of 2020 (Project Revival Plan). 

Management Response: [Added: 2021/01/14]

UNDP agrees with this recommendation. However, UNDP would like to suggest that the key milestones document be reviewed in lieu of the revival plan. Key milestones document is a comprehensive plan that was prepared in consultation with the Government and submitted to GCF, covers all actions proposed under the revival plan. Progress is tracked regularly by the National Project Director and UNDP Deputy Resident Representative.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
1-Organize a meeting between EAD, UNDP and MoCC to discuss progress against key project milestones document (in lieu of “Revival Plan”
[Added: 2021/01/14] [Last Updated: 2021/04/25]
UNDP - Deputy Resident Representative (DRR), Assistant Resident Representative (ARR) 2021/04 Completed Tripartite meeting was held on 16th April 2021 History
9. Recommendation:

By December 2020, UNDP, MOCC and EAD assess the progress on the Project Rival Plan. Depending on the context, this may constitute a “major change”. 

One of the following options should be adopted: 

  • If the “Revival Plan” is fully implemented as planned, the project should continue and follow up on the list of recommendations listed below. 
  • If the two parties; UNDP and MOCC fail to achieve any of the planned activities due to lack of trust, collaboration, and communication. The Project should be terminated. 
  • If the two parties could not achieve some of the planned activities (50% of the agreed plan) due to the delay in getting the needed approval and/or the limited participation of the MOCC personnel in different procurement and/or recruitment events; the Project should be extended but a “major change” should be considered as follows. 
    • convert the management arrangement from NIM to Direct Execution Modality (DIM), or 
    • change the project implementing partner to be the provincial governments of GB and KP. 
Management Response: [Added: 2021/01/14] [Last Updated: 2021/01/14]

UNDP partially agrees with the recommendation. UNDP, MOCC, and EAD will jointly review progress. UNDP, EAD and MoCC will convene a meeting in January 2021 and based on progress made, will discuss the course of action with GCF. UNDP notes that what constitutes a ‘major change’ is decided by GCF based on the modifications proposed.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
1- Joint assessment of progress by UNDP, MoCC and EAD (same as R.1.1.1)
[Added: 2021/01/14] [Last Updated: 2021/04/25]
UNDP - DRR, ARR, NPM 2021/04 Completed Tripartite meeting was held on 16th April 2021 History
2- Discussion with GCF of conclusions from the tripartite review meeting and proposals for modifications (if any)
[Added: 2021/01/14] [Last Updated: 2021/07/04]
UNDP - DRR, ARR, NPM Regional Technical Advisor/Principal Technical Advisor 2021/07 Completed the findings have been shared with BRH for endorsement History
10. Recommendation:

UNDP should submit a request to GCF for project extension by 2-years. UNDP should organize an independent rapid assessment of completed infrastructure targets at the end of every year to assess progress and define bottlenecks, if any. For 2021, the project should achieve at least 30% of the hard targets (installation of hydro-meteorological equipment and completion of infrastructure projects).

Management Response: [Added: 2021/01/14]

UNDP agrees with this recommendation in principle. The requests for extension will be in line with UNDP/GCF procedures and processes for project extensions. An independent verification of infrastructure targets will be included in the M&E system to be reported in the APRs.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
1- Prepare an official request for project extension and submit for review and approval by UNDP BPPS NCE
[Added: 2021/01/14] [Last Updated: 2021/06/29]
UNDP - ARR, NPM RTA, PTA 2021/06 Completed The official request for project No-Cost Extension has been submitted to GCF on 10th June 2021 History
3- UNDP CO will submit a request for additional procurement capacity to handle large procurement contracts in 2021 for timely completion of infrastructure targets
[Added: 2021/01/14] [Last Updated: 2021/06/29]
UNDP – ARR, UNDP – NPM, PO 2021/06 Completed Dedicated support from Denmark Procurement Office has already been requested by CO along with onboarding IC (EWS expert) to expedite BTI of EWS History
2-Develop the ToR and conduct an independent assessment of infrastructure projects and their impact on local communities
[Added: 2021/01/14] [Last Updated: 2021/08/31]
NDP - NPM, CTA, PO 2021/10 Not Initiated History
11. Recommendation:

UNDP and MOCC should consider revision of the PSC/PB Terms of Reference to better define its role and functions for the project. The updated TOR could include e.g. possibility of one additional meeting per year as well as alternatives for decision-making processes on urgent implementation issues.

Management Response: [Added: 2021/01/14]

MOCC in consultation with UNDP should streamline and simplify the approval mechanism of project-related decisions to avoid delays in project implementation. After approval of the AWP by the PSC, the PMU/IPs should be allowed to implement activities as per plan without the approval of each activity on the file. On the other hand, more details should be shared with the NPD; a monthly brief and detailed quarterly report would keep his office fully abreast of the progress, emerging issues, and adaptive actions being taken.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
1- UNDP and MoCC will revisit the procedures for approval and implementation of project annual work plan
[Added: 2021/01/14] [Last Updated: 2021/04/01]
UNDP - DRR, ARR, NPM, CTA 2021/03 Completed Mutual meetings held with MoCC in 2020 and 2021 History
12. Recommendation:

The Project to be more proactive in producing and disseminating information on the project and ensure its visibility. All Partners and key stakeholders should be aware of MOCC, UNDP and GCF roles in the Project.

Management Response: [Added: 2021/01/14]

UNDP agrees with this recommendation. Project communications, advocacy and engagement strategy will be updated and an action plan for 2021 prepared, with specific activities to further enhance the visibility of all stakeholders, including MoCC, UNDP and GCF. 

Key Actions:

Key Action Responsible DueDate Status Comments Documents
1- Organize a meeting between MoCC and provincial stakeholders to discuss the functions of the TWG and its elimination
[Added: 2021/01/14]
UNDP - ARR, NPM 2020/11 Completed TWG has been eliminated
13. Recommendation:

UNDP should sign a blanket agreement with each P&DD/line department for the entire project duration indicating the activities to be completed along with the estimated budget. Then based on the approved AWP of each year, a memo is to be sent to the P&DDs/line departments highlighting activities to be implemented during the year and the funds transferred to their accounts. In the PSC, the provinces are represented by the Additional Chief Secretaries (Development), therefore, their commitment is already there. This practice will save a lot of time and effort from all the parties. The signing of LOAs with IPs every year should be eliminated.

Management Response: [Added: 2021/01/14]

UNDP partially agrees with this recommendation. UNDP programming rules do not provide for “blanket agreements”. The LoA with IP (MoCC) for provision of support to NIM implementation have already been signed which remain valid until the end of the project life, and there is no need to sign them every year. 
Now that the implementation arrangements are finalized between UNDP and MoCC (IP) (support to NIM implementation), UNDP will engage Government entities in KP and GB as responsible parties (RPs) and sign such agreements for longer duration. 

 

Key Actions:

Key Action Responsible DueDate Status Comments Documents
UNDP to prepare multi-year agreements with Responsible Parties (P&DDs of KP and GB, PMD, etc.) based on multi-year workplan of the project
[Added: 2021/01/14] [Last Updated: 2021/04/01]
UNDP - NPM, CTA, PO, MSU 2021/04 Completed LOAs are being drafted and signed with RPs History
14. Recommendation:

PMU and the executing beneficiaries in GB and KP should develop a deliverables-oriented annual plan to accelerate the implementation of project activities to ensure completion of the components by the end of the extended project period. 

Management Response: [Added: 2021/01/14]

UNDP partially agrees with this recommendation. UNDP projects have Annual Work Plans and Multi-year Work Plans. UNDP is currently conducting a review of its multi-year workplan to identify activities which can and should frontloaded to accelerate implementation of project activities at provincial level. 

Key Actions:

Key Action Responsible DueDate Status Comments Documents
1-Ensure that all AWPs include relevant indicators with targets and that the PMU and CO regularly monitor progress against results.
[Added: 2021/01/14]
UNDP - NPM, M&E Officer, CTA, PO 2021/12 Initiated The same action will be repeated for 2022 and subsequent year.
15. Recommendation:

PMU with the support of MOCC and UNDP should refit the project LF, complete with indicators, identify risks, assumptions and propose reassignments of budgets. Risk management by UNDP CO should be enhanced and management response to the risks should be prepared and updated on ATLAS systematically. 

Management Response: [Added: 2021/01/14]

UNDP agrees with this recommendation. While Interim Evaluation was ongoing, UNDP completed the Baseline Study, where the project logical framework was revised, and submitted to GCF for review and approval. At the same time, Environmental and Social Management Plan (ESMP) of the project was updated, along with a comprehensive update of the project Risk Log. 
Risks will be monitored in line with the UNDP M&E systems (see also management response under Corrective Action 6). 

 

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Conditional on GCF’s approval, revise all project documentation (including Project QA, SESP, risk log, etc) to reflect the updated baselines, indicators, mid-term and final targets from the updated project logical framework.
[Added: 2021/01/14] [Last Updated: 2021/08/31]
UNDP - NPM, CTA 2021/10 Initiated History
16. Recommendation:

The PMU should ensure that AWPs contain a monitoring component in terms of the status of progress to the end of project targets to improve operational monitoring of the project progress.

 

Management Response: [Added: 2021/01/14]

AWP already contains an M&E component outlining key tasks and responsibilities. (Also reference to management response under Corrective Action 6), no action required. 

Key Actions:

17. Recommendation:

Keeping in view the difficult and dangerous terrain where the project is operational, it is imperative to provide comprehensive medical and life insurance to all the staff of the project and IPs involved in fieldwork. The staff is already entitled to daily subsistence allowance as per UNDP rules which are conducive for their engagement in the project. 

Management Response: [Added: 2021/01/14]

This recommendation is beyond UNDP’s ability to implement and is not accepted. For IP and RPs, once funds are transferred to them, medical and other types of insurance and other benefits are provided or arranged in line with their own applicable rules and regulations. Nonetheless, UNDP will engage with IP and RPs to reiterate this point. No action required.

Key Actions:

18. Recommendation:

The PMU and PIUs to consult a qualified engineer to design a proper irrigation scheme for equal distribution of water in all the corners of the field. This could be achieved by laying the main pipeline vertically, and lines for the water outlets horizontally. 

Management Response: [Added: 2021/01/14]

UNDP agrees with this recommendation. Small-scale irrigation related activities are transferred to Responsible Parties in provincial governments of KP and GB under the Letter of Agreement with UNDP. Relevant departments in KP and GB are involving qualified engineers into design and construction of these structures.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
1-Review design documents for irrigation schemes to ensure technical feasibility
[Added: 2021/01/14] [Last Updated: 2021/08/31]
KP P&DD and GB P&DD and relevant line departments 2021/10 Initiated the process if underway History
2- Project safeguards specialist to visit all small-scale infrastructure activities in KP and GB and develop site-specific safeguards plans
[Added: 2021/01/14]
NPM, PPCs, Safeguards expert 2020/12 Completed Safeguard Specialist visited infrastructure sites and proposed safeguard mechanisms and plans with stakeholders/RPs. Capacity building and sensitization of relevant Government executing agencies was conducted on 20 Dec 2020. The safeguard mechanisms and plans have been shared with all stakeholders for their consideration and compliance.
19. Recommendation:

PMD should compile a database of all the AWSs and water-flow meters installed in the mountainous region of KP and GB and publish this on its website. With the assistance of MOCC, the PMD should collect all the available historical and new GIS, weather, and water-flow data from all the public and private (INGOs/NGOs) organizations, develop metadata and deposit all datasets with the nationally designated data repository (maybe Federal Bureau of Statistics) and the Higher Education Commission so that it could be accessed easily by researchers for further analysis.

Management Response: [Added: 2021/01/14]

UNDP disagrees with this recommendation, and notes that it is beyond its control. UNDP discussed this recommendation with PMD, which agreed to take action on this recommendation. 
UNDP will facilitate MoCC and PMD other stakeholders in establishing data repository/digital library and a CC portal (which is an activity within the project) where all data relevant to GLOFs would be stored and made available to the public. If the recommended data sets are made available, they could be uploaded to the same portal. 

 

Key Actions:

Key Action Responsible DueDate Status Comments Documents
1- Once data repository/digital library is established, UNDP will facilitate in uploading relevant information made available by PMD
[Added: 2021/01/14]
PMD 2021/12 Not Initiated to be initiated.
20. Recommendation:

Senior management of MOCC should provide support to the project by actively engaging with the project implementing teams on important events such as this IE exercise.

Management Response: [Added: 2021/01/14]

UNDP will share this recommendation with the MoCC. UNDP and MoCC have been proactively engaging over the past several months and both partners wish to capitalize on this momentum and accelerate project implementation. UNDP will discuss with MoCC to arrange quarterly meetings between senior officials of both institutions to discuss project related matters. 

Key Actions:

Key Action Responsible DueDate Status Comments Documents
1-UNDP and MoCC to agree on schedule of meetings between senior officials in 2021
[Added: 2021/01/14]
MoCC 2020/12 Completed UNDP and MoCC management agreed to the proposed meeting schedule and agreed to meet once every quarter. The same was presented in the 5th PSC meeting.

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