Guidance-Document-to-Complete-PPR-2
Guidance-Document-to-Complete-PPR-2
As part of the Fund’s reporting requirements, implementing entities are required to submit
a Project/Programme Performance Report (PPR) on an annual basis for review and
clearance by the secretariat. The PPR should be submitted on a rolling basis one year
after the start of project implementation (1st PPR to be submitted one year from the date
of inception workshop) and, PPRs shall be submitted no later than two months after the
end of the reporting year. The last PPR should be submitted six months after project
completion. This will be considered the project completion report. In addition to final PPR,
implementing entities are requested to prepare a project completion summary.
This guidance document is to help project proponents fill out the PPR template and
explains details regarding the type of information requested in each of the template’s
sections. Please note that the report should be submitted to the secretariat in English and
that all financial figures provided in the template should be in US dollars (USD).
Section 1: Overview
• Period of Report: the start and end dates i.e. the reporting period that is covered by the
PPR.
• Project Title: the title of the project as indicated in the project document approved by the
Board.
• Project Summary: the section should include a brief summary of the project including the
objectives, scope, and main outcomes of the project.
• Database Number: this is the project ID number provided by the Adaptation Fund
Secretariat.
• Implementing Entity (IE): agency/entity implementing of the project as included in the
approved project document.
• Type of IE: indicate whether the implementing entity is a National, Regional, or Multilateral
implementing entity (NIE, RIE, or MIE) in accordance with the Fund’s operational policies
and guidelines (OPG).
• Country(ies): List country(ies) in which the project is being implemented.
• Relevant Geographic Points (i.e. cities, villages, bodies of water): list the geographic area
in which the project is 1) being implemented and 2) will have considerable impact; for
example, specific cities, villages, countries, forests, lakes, rivers, etc.
Project Milestones:
• AFB Approval Date: date of project approval by the Adaptation Fund Board
• IE-AFB Agreement Signature Date: Signing date as indicated in the of legal agreement
signed between implementing entity and the Adaptation Fund Board
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• Start of Project/Programme: the project start date for the Adaptation Fund is the date of
the first day of the project/programme’s inception workshop, which should take place at a
maximum of six months after the first cash transfer.
• Mid-Term Review (MTR) Date: if applicable, provide the indicative date the mid-term
review is scheduled or the date the MTR was submitted. The MTR is mandatory for project
that have a duration of 4 or more years.
• Original completion date: Terminal Evaluation (TE) Date: provide the indicative date that
the terminal evaluation is scheduled to be undertaken or the date the TE report was
submitted.
• Revised completion date (if applicable): provide the completion date after the approval of
the project extension request by the Board. An extension request needs to be submitted
to the secretariat, through the Annex A of the Policy for Project Delays, as soon as it
becomes clear that the project cannot be completed within the original completion date,
and no later than six months prior to the expected project/programme completion date.
• List each approval condition, if any: this section is to be completed only for the project
approved by the Board with conditions. Please use the drop-down menu to fill the cells as
relevant.
• List inception report, extension request(s), mid-term evaluation, that have been prepared
for the project: provide the submission date for any report or request produced during the
reporting period.
• List the website address (URL) of project: if a website for the project has been established
or included on a page within a government or other agency website, please provide the
URL address.
Project Contacts:
• Government DA (Name, Email, Date): the name and contact of the designated
authority(ies). List DA for each participating country in case of a regional project.
• Implementing Entity (Name, Email, Date): the name and contact of the person managing
the project from the side of the implementing entity including email and phone number
• Executing Agency (Name, Email, Date): the name and contact information of the executing
agency including email and phone number (if there is more than one executing agency
provide the names of all in the separate fields available)
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Section 2: Financial information (provide information in USD)
• Add any comments on AF Grant Funds: Please provide the amount in US dollars (USD)
of uncommitted figures not yet disbursed to executing entities to date and any additional
information related to the disbursement status.
• Investment Income: amount of money generated from the implementing entity’s grant
account.
• Expenditure data (Table): list all expenditures associated with the outputs as outlined in
the project document that took place over the reporting period. The total amount under
this section should equal the amount disbursed to executing entities reported above. In
this table also report also on expenditures associated with the Implementing Entity Fee
and on the Project Execution Costs.
• Planned Expenditure Schedule (Table): list all planned outputs and projected costs for the
next reporting period (one year) including the estimated completion date. Report also on
the planned Implementing Entity Fee and on the Project Execution Costs. Please make
sure that the planned expenditures for the next reporting period are aligned with the project
disbursement schedule included in the signed grant agreement.
• Actual Co-Financing: only if applicable, please specify actual co-financing that has
materialized. Provide information on the type of co-financing (only to be reported at mid-
term and end of project).
List of Contracts:
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• Contract Type: for example, firm fixed price, price agreement, retainer and/or contingency
fee contract, etc. Different implementing entities will have different terms. Please use the
terminology of the implementing entitty .
• Payment to Date: payments that have been made by the end of the reporting period
• Remaining Balance: the amount remaining on the contract (Equal to contracted value
minus payment to date)
List of Bids:
• Contract & Procurement Method (Name of Contract, Procurement Method, Date of Call (if
applicable): provide the name of the contract and how the procurement was undertaken.
For example, request for proposals (RFP), direct contracting, quality and cost-based
selection, quality-based selection, least cost selection, competitive quotations, invitation
to bid, etc. If applicable include the date of the call for bids.
• Submitted Bids: provide all the names of organizations or individuals submitting bids,
proposals, quotations, etc.
• Winning Bid Amount (USD): provide the amount of the winning bid.
• Selection Justification for the Winner: provide a brief justification for selecting the winner
including reason for direct contracting or single sourcing.
This section refers to financial and project/programme risk management as details in the section
III.B of the project proposal.
• Identified Risk, Current Status, Steps Taken to Mitigate Risk: provide information on all risks
identified in the project document, and their current on-the-ground status of each risk factor
(low, medium, or high); describe the steps that have been taken to mitigate these risk factors
during the reporting period.
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• Critical Risks Affecting Progress (Not identified at project design): this section should be filled
out only if applicable. If during project/programme implementation there are critical, risks that
have been identified that were not originally identified within the project document.
• Risk Measures: Were there any risk mitigation measures employed during the current
reporting period? If so, were risks reduced? If not, why were these risks not reduced? This
section provides the opportunity to describe whether and how the steps taken to mitigate risks
have or have not been effective.
• Was the ESP risk identification complete at the time of funding approval? The ESP
requires that environmental and social risks are identified for all project/programme
activities prior to funding approval. When not all the project/programme activities have
been sufficiently formulated at that time so that adequate risks identification is possible,
then the ESP risks identification is not complete. In this last case the project presents
Unidentified Sub-Projects (USPs).
• ESP principles: In this table the columns should be filled as reported below:
ESP principle Complete this section for all the ESP risks that have
been identified, not taking into account any USPs.
Are environmental or social risks present as The project proposal includes an overview table of
per table II.K (II.L for REG) of the proposal? identified environmental and social risks (Section II.K of
the proposal, Section II.L for regional projects). For each
of the 15 principles of the ESP, please tick the
corresponding box indicating the presence or absence of
risks (as identified in the approved project document).
During project/programme formulation, an Tick the corresponding box just for those ESP principles
impact assessment was carried out for the for which the risks were identified.
risks identified. Have impacts been identified
that require management actions to prevent
unacceptable impacts? (as per II.K/II.L)
List the identified impacts for which Report the impacts as in the approved project document
safeguard measures are required (as per
II.K/II.L)
List here the safeguard measures (i.e. The safeguard measures that must be implemented
avoidance, management or mitigation) during a project/programme are normally described in
identified for each impact that are supposed detail in the Environmental and Social Management Plan
to be (or had to be) implemented during the (ESMP) of the project/programme.
reporting period. Please break down the
safeguard measures by activity.
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List the monitoring indicator(s) for each See the monitoring plan in the ESMP.
impact identified
State the baseline condition for each Report on baseline data for each indicator, as in the
monitoring indicator ESMP.
Describe each safeguard measure that has For the first PPR of the project/programme, this column
been implemented during the reporting needs to be completed with full information. For
period subsequent PPR reports, an update of the information
previously provided is sufficient.
Describe the residual impact for each impact For the first PPR of the project/programme, this column
identified - if any - using the monitoring needs to be completed with full information. For
indicator(s) subsequent PPR reports, an update of the information
previously provided is sufficient.
Describe remedial action for residual For the first PPR of the project/programme, this column
impacts that will be taken needs to be completed with full information. For
subsequent PPR reports, an update of the information
previously provided is sufficient.
• Has monitoring for unanticipated ESP risks been carried out?: State if the monitoring was
undertaken, for any potential new ESP risks that were not identified in the approved project
document. A yes or no answer is sufficient.
• Have unanticipated ESP risks been identified during the reporting period?: Provide a yes
or no answer. If unanticipated risks have been identified, kindly list them.
• If unanticipated ESP risks have been identified, describe the safeguard measures that
have been taken in response and how an ESMP has been prepared/updated: Be as
specific as possible. In case the ESMP has been prepared, submit it in a separate file to
the secretariat, along with the PPR is preferable. If an ESMP has been updated, list the
modifications that have been made, and submit the revised ESMP to the secretariat along
with the PPR.
Categorization:
• If No, please describe the changes made at activity, output or outcome level, approved by
the Board, that resulted in this change of categorization: Report on any changes
undertaken, these should be approved by the secretariat and/or the Board. Please consult
the project implementation policy available at: https://www.adaptation-fund.org/wp-
content/uploads/2017/11/OPG-ANNEX-7-Project-Programme-Implementation-Approved-
Oct-2017.pdf
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Implementation Arrangements:
• What arrangements have been put in place by the Implementing Entity during the reporting
period to implement the required ESP safeguard measures?: Describe the
actions/arrangements taken by the IEs to implement the ESP safeguard measures.
• Have the implementation arrangements been effective during the reporting period?:
Answer should be supported by a justification.
• What arrangements have been put in place by each Executing Entity during the reporting
period to implement the required ESP safeguard measures?: Describe the
actions/arrangements taken by the EE(s) to implement the ESP safeguard measures.
• Have the implementation arrangements at the EEs been effective during the reporting
period?: Answer should be supported by a justification.
• Have the arrangements for the process described in the ESMP for ESP compliance for
USPs been put in place?: Tick the appropriate box. If you select yes, please include details
on the planned timing to have all the USP implementation arrangements in place.
• Is the required capacity for ESMP implementation present and effective with the IE and
the EE(s)? Have all roles and responsibilities adequately been assigned, and positions
filled? Please provide details.
• Has the overall ESMP been updated with the findings of the USPs that have been
identified in this reporting period?: Please submit the updated ESMP together with the
PPR.
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Have the data used to identify risks and
impacts been disaggregated by gender as
required?
List the environmental and social safeguard
measures (avoidance, mitigation,
management) that have been identified for
the USPs
List the monitoring indicator(s) for each
impact identified
Grievances:
• List all grievances received during the reporting period regarding environmental and social
impacts; gender related matters; or any other matter of project/programme activities: After
listing each grievance, provide information on each grievance redress process used and
the status/outcome.
Quality at entry (this section needs to be completed only for the 1st PPR):
• Does the results framework include gender-responsive indictors broken down at the
different levels (objective, outcome, output)?: Please provide a yes or no answer. If yes,
please complete the below table:
List the gender-responsive elements that were incorporated in the project/programme results framework
Gender-responsive element Add lines as appropriate, one line for each gender-responsive
element (e.g. capacity training for women)
Level Specify if the gender-responsive element is at objective, outcome,
output level.
Indicator Report the indicators as the ones included in the approved project
document (in the project results framework table).
Baseline Report on the baseline value, as the ones included in the approved
project document.
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Target Report on the target value, as the ones included in the approved
project document.
Related results for the reporting Select one among: poor, satisfactory, good and provide a brief
period (poor, satisfactory, good) justification for the choice.
Quality during implementation and at exit (this section needs to be completed just in the final
PPR):
The risks reported in the below table related to gender equality and women's empowerment,
should be reported in the ESP compliance tab as well, under the section of unanticipated ESP
risks.
List gender equality and women's empowerment issues encountered during implementation of the
project/programme. For each gender equality and women's empowerment issue describe the progress
that was made as well as the results.
Gender equality and women's empowerment Rated result for the reporting period (poor,
issues satisfactory, good)
List and briefly describe each gender equality and Select one among poor, satisfactory, good, and
women’s empowerment issue. Add lines as provide a justification for it.
appropriate, one line for each issue.
Implementation arrangements:
• What arrangements have been put in place by the Implementing Entity during the reporting
period to comply with the GP?: Describe the type of actions/arrangements put in place by
the IE.
• Have the implementation arrangements at the IE been effective during the reporting
period?: Provide a yes, no, partially answer and justify the choice.
• What arrangements have been put in place by each Executing Entity during the reporting
period to comply with the GP?: Describe the type of actions/ arrangements put in place by
the EE(s). If the project count with more than one EE, add lines as appropriate, one line
for each executing entity.
• Have the implementation arrangements at the EE(s) been effective during the reporting
period? Provide a yes, no, partially answer and justify the choice. Add lines as appropriate,
one line for each executing entity.
• Have any capacity gaps affecting GP compliance been identified during the reporting
period and if so, what remediation was implemented?
Grievances
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• List all grievances received through the grievance mechanism during the reporting period
regarding gender-related matters of project/programme activities: If any grievances were
received that must not be made public, please inform the AF Secretariat of such
grievances, detailing the reasons for them to remain confidential. Confidential information
may be redacted by the IE in the report. This section will not be published on the AF
website. For each grievance, provide information on the grievance redress process used
and the status/outcome.
Section 7: Rating
In this section, at a minimum a separate rating needs to be provided by the implementing entity
(IE) and the executing entity (EE). If there is more than one executing entity, a rating should be
provided from each one for the outputs/outcomes of the project for which the entity is responsible.
Since this is a self-assessment by the IE and EE, the rating should reflect project's progress
against the project components/outcomes.
In addition, the rating should reflect any strengths or weaknesses observed during the project
implementation and/or execution.
The ratings should correspond to the overall assessment of implementation progress i.e. are
project/programme actions/activities that were planned for the current reporting period on track to
achieve most of the project/programme’s major outcomes/outputs?
• Alignment with AF outcome(s): Select the outcome towards which the project component in
aligned (using the drop-down menu function). Refer to the table “alignment with the AF
strategic results framework”, in the project document.
• Rating: provide a rating for each component/outcome and an overall rating for implementation
progress. The overall rating should be an average of the single ratings provided. Provide a
justification for the overall rating in the box below each rating section (500 words maximum),
outlining both the positive aspects as well as the challenges in the project
implementation/execution encountered during the reporting period. The definition of the six
possible ratings can be found at the bottom of the rating tab in the PPR template.
In this section information on all the indicators outlined in the project results framework in the
project document as approved by the Board needs to be provided.
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• Type of Indicator: this refers to whether the indicator is measuring the project/programme
outcome, output, etc.
• Indicators: provide the indicators as identified through the results framework developed in the
project documentation.
• Baseline: provide the value of the indicator prior to project start; if this was not available at the
project design phase, the value must be reported in the first PPR submitted to the Board.
• Progress since inception: provide data on the progression of the indicator value since the start
of the project.
• Targets: provide the end targets as set out in the project document for each of the identified
indicators.
The first set of questions related to adaptive management and implementation include:
• Were there any delays in implementation? If so, include any causes of delays. What
measures have been taken to reduce delays?: Please provide more detailed information
about any delays the project may be facing and what is being done to mitigate them. If the
project had a delay in its inception, elaborate on the challenges that the project faced at
inception stage, and how these are impacting on the timely completion of activities. If
needed, the implementing entity needs to submit a formal project extension request to the
secretariat through the Annex A of the Policy for Project Delays, as soon as it becomes
clear that the project cannot be completed within the original completion date, and no later
than six months prior to the expected project/programme completion date.
https://www.adaptation-fund.org/wp-content/uploads/2020/01/AFB-34-35.6-DRAFT-
Updated-Policy-for-Project-and-Programme-Delays-2.pdf
• Describe any changes undertaken to improve results on the ground or any changes made
to project outputs (i.e. changes to project design): If any changes have been made to
project outputs, activities, outcome/output targets these should be clearly outlined. There
should also be a description of how the revised outputs will meet the overall objectives
and outcomes that the project/programme was originally designed to achieve. These
changes also include adjustments made in response to comments and requests received
during ongoing project consultations. These changes should be proposed changes but no
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changes that were already made. Inform promptly the secretariat of any changes in the
budget or in the project results framework in accordance with the Project Implementation
Policy https://www.adaptation-fund.org/wp-content/uploads/2017/11/OPG-ANNEX-7-
Project-Programme-Implementation-Approved-Oct-2017.pdf
• Have the environmental and social safeguard measures that were taken been effective in
avoiding unwanted negative impacts?: Describe if the measures taken to ensure
compliance with the environmental and social safeguards were effective. If not, kindly
provide an explanation and a proposed mitigation measure.
• How have gender considerations been taken into consideration during the reporting
period? What have been the lessons learned as a consequence of inclusion of such
considerations on project performance or impacts?: List lessons learned specific to
gender, detailing measures taken (if any) and project/programme-specific indicators
highlighting the role of women as key actors in climate change adaptation. You can include
any information regarding training courses, stakeholder participation, etc.
The second set of questions regarding lessons for adaptation, knowledge management,
readiness interventions, innovation, complementarity/coherence with other climate finance
sources, need to be filled just by the project mid-term and completion, these include:
• What have been the lessons learned, both positive and negative, in implementing climate
resilience measures that would be relevant to the design and implementation of future
projects/programmes for enhanced resilience to climate change?: List and describe any
climate resilience measure which provided lessons learned for any future project design
and implementation.
• What is the potential for the climate resilience measures undertaken by the
project/programme to be replicated and scaled up both within and outside the project
area?: Describe successful interventions, approaches and activities that could provide a
blueprint for future replication and scalability.
Readiness Interventions (Applicable just to NIEs that received one or more readiness grants):
• What have been the lessons learned, both positive and negative, in accessing and
implementing climate finance readiness support that would be relevant to the preparation,
design and implementation of future concrete adaptation projects/programmes?: Provide
details of kind of readiness grant accessed (Technical Assistance (TA), Project
Formulation Assistance (PFA)) and how it helped create an enabling environment/ build
capacity to prepare, design and implement future concrete adaptation
projects/programmes.
• How have the outputs (such as manuals, guidelines, procedures or the experience from
providing peer support, etc.) from employing readiness grants been used to inform
institutional capacity needs, gender issues, and environmental and social aspects in
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developing and implementing concrete projects/programmes for enhanced resilience to
climate change?
• What have been the lessons learned, both positive and negative, in implementing concrete
adaptation interventions that would be relevant to the design and implementation of future
projects/programmes implementing concrete adaptation interventions?
• What is the potential for the concrete adaptation interventions undertaken by the
project/programme to be replicated and scaled up both within and outside the project
area?
Knowledge Management:
iii. Please list any knowledge products generated and include hyperlinks whenever possible
(e.g. project videos, project stories, studies and technical reports, case studies, training
manuals, handbooks, strategies and plans developed, etc.)
iv. If learning objectives have been established, have they been met? Please describe.
v. Describe any difficulties there have been in accessing or retrieving existing information
(data or knowledge) that is relevant to the project. Please provide suggestions for
improving access to the relevant data.
vi. Has the identification of learning objectives contributed to the outcomes of the project? In
what ways have they contributed?
Innovation:
vii. Describe any innovative practices or technologies that figured prominently in this project:
Provide information on any innovation that was expected from the project or that originated
during the project implementation.
viii. Has the project been scaled-up from any other climate finance? Or has the project built
upon any other climate finance initiative? It the project has been scaled-up or if it is
stemming from other projects, provide the name of the Fund/Organization and the name
of the project, if possible.
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Section 10: Adaptation Fund results tracker
The Adaptation Fund results tracker allows the Fund to ensure that projects/programmes align
with the Fund level results and to aggregate a select set of indicators from the individual
project/programme level to the portfolio level.
Projects and programmes are required to fill in the results tracker three times:
i. When submitting the 1st PPR just data under the column “baseline information” and under
the column “target performance at completion” need to be filled;
ii. At project mid-term, data under the column “performance at mid-term” needs to be filled;
iii. When submitting the last PPR, data under the column “performance at completion” need
to be provided. Remember that data need to be provided always for the core indicator:
number of beneficiaries providing figures for direct, indirect and total beneficiaries.
Other data needs to be provided just for those outcomes and related indicators, and outputs and
related indicators as per the project alignment to the AF strategic results framework, as the table
in section F of the approved project document “Demonstrate how the project / programme aligns
with the Results Framework of the Adaptation Fund”.
The secretariat has developed a specific “Results Tracker Guidance Document” to help
implementing entities fill this section of the PPR. This is available at: https://www.adaptation-
fund.org/wp-content/uploads/2019/10/Results-Tracker-Guidance-Document-Updated_July-
2019.pdf
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