CEPF grants are managed by monitoring the grantee’s technical and financial performance, tracking progress and completion for deliverables, reviewing payment requests, discussing grant issues with the grantee and local partners, conducting site visits, and ensuring adequate follow up to any issues that arise. In addition, CEPF and Regional Implementation Team staff members are available to answer questions about reporting and project specifics as well as to discuss biodiversity conservation challenges.
 
 
1. Reporting

Reporting requirements for individual grantees are set in their grant agreements, based on prior financial and programmatic risk assessments, but usually include:

 1.1. For small grants:

Financial Reports;

Progress (Performance Tracking) Reports;

Annual Perfomance Tracking Report Addendum;

Small Grant Final Project Completion Report;

GEF Management Effectiveness Tracking Tool 1 or 2 (see below).

 1.2. For large grants:

Grantees are still required to submit their Annual Perfomance Tracking Report Addendum to the BirdLife International Regional Implementation Team. Other performance and financial reports are submitted via a system called Grant Writer and are based on the Performance Tracking Worksheet and Budget from the approved project proposal. Grantees with reliable internet connections are encouraged to report online by logging into the reporting website with a secure user name and password.
 
Grantees without a reliable internet connection may report by downloading Grant Writer onto their computer, preparing the reports in Grant Writer on their local drive, and then connecting to the internet in order to submit the reports.
 
  

2. Independent Audits

When independent annual audits are required according to a Financial Risk Assessment, they are due within 120 days following the close of the grantee’s fiscal year. When audits are required, this requirement will be written into the grant agreement with the organisation in question. All audit reports will be reviewed after receipt. If CEPF is funding the audit, and there are material audit findings wherein expenditures failed to comply with provisions of the sub agreement, the grantee shall be responsible for the audit costs and will reimburse CEPF for any expenditure(s) disallowed by the auditors.
 
 

3. Site Visits

 
3.1. Programmatic Site Visits

Each year CEPF conducts selected programmatic site visits based on the programmatic risk levels and the dollar amounts of the grantees. In addition, CEPF and Regional Implementation Team staff will often visit many additional grantees and projects.

Site visits help CEPF to confirm activities and progress reported to date through technical reports. CEPF staff can assess the grantee’s capacity to continue implementation as planned and review or identify any potential constraints to success. Formal site visits result in a written summary of the visit containing recommendations, concerns, and follow-up steps.
 

 
3.2. Financial Site Visits

As part of the overall project review listed above, CEPF and Regional Implementation Team staff will review the financial progress of the grant and the related deliverables. In addition, as part of Conservation International (CI) efforts to build and maintain strong relationships with partners and promote fiscal accountability, each year CI identifies grantees that will receive a formal, CI-mandated financial site visit. CI considers the risk rating, grant award value, cash received to date, and issues identified when developing the list of grantees to receive a site visit. The purpose of this visit is to review the accounting and financial management practices of the grantee, to identify any capacity building needs, and to ensure that proper financial controls are in place. All visits are documented in detailed reports.
 
Site visit results may trigger a re-evaluation of financial risk. During the site visit issues may be identified that need follow-up and/or trigger a review of the financial risk rating. Issues and recommendations, where relevant, are documented in the site visit report. CI will schedule a follow-up visit, if appropriate.
 

 
4. Grant Close-Out
 

At project completion, all grantees will be required to submit a Final Project Completion Report. Grants will be closed upon verification that all deliverables have been completed, all progress, financial, and audit reports have been reviewed and approved and that the total grant amount has been reconciled. Reconciliation includes verification that all advances have been accounted for, the final payment has been issued, and any unspent funds have been returned and credited back to CEPF.
 
After the grant is closed, the grantee will be officially notified that the grant is complete and all deliverables are approved. If applicable, a final payment or refund request will be processed at this time.
 

 
5. Other evaluation tools
 
 

5.1. Global Environment Facility Tracking Tools (GEF-4) 

Where appropriate, grantees are required to submit one of the following two GEF-4 Management Effectiveness Tracking Tools.

Note: These are not full or official translations or versions of the GEF-4 Management Effectiveness Tracking Tools. They have been shortened and translated by BirdLife International in Indochina in order to be applied to projects funded by the Critical Ecosystem Partnership Fund in Indochina which fall under these strategic objectives. The original versions produced in English by GEF are available here.

GEF-4 Tracking Tool for Biodiversity Focal Area Strategic Objective One: Catalyzing Sustainability of Protected Area Systems: To measure progress in achieving the impacts and outcomes of projects focusing on protected areas. Download the tool in English, Khmer, or Vietnamese.

GEF-4 Tracking Tool for GEF Biodiversity Focal Area Strategic Objective Two: Mainstreaming Biodiversity Conservation in Production Landscapes/Seascapes and Sectors: To measure progress in achieving the impacts and outcomes of projects focusing outside of protected areas. Download the tool in English, Khmer, or Vietnamese.

5.2. Civil Society Tracking Tool

 
This 'tracking tool' is being piloted with some grantees in Indochina to monitor CEPF impact on civil society development. It is intended to be used to monitor the capacity of individual civil society organisations to effectively plan, implement and evaluate actions for biodiversity conservation. The Civil Society Tracking Tool can be downloaded here in English, Khmer or Vietnamese.