Building on Cornerstones:
Replication and scaling-up strategy for community based innovative
projects of the UNDP GEF SGP India programme
A Draft Note
The SGP is a unique programme that contributes to solving some of the
world’s most pressing environmental problems while ensuring sustainable
livelihoods through a successful, country-driven, responsive grassroots
approach.
Small Grants Programme (SGP) funded by the Global Environment Facility
(GEF), seeks to support activities, which demonstrate community-based
innovative, gender-sensitive approaches and lessons learned from other
development projects that could reduce threats to the local and global
environment and poverty pressures on the environment.
SGP is a corporate programme of the Global Environment Facility (GEF),
implemented through UNDP, UNEP and World Bank that provides grants to
NGOs, CBOs and civil society organizations in developing countries for projects
that benefit the global environment and promote sustainable livelihoods in local
communities. SGP was launched in 1992 and is present in nearly 90 countries
globally. The funding to date compromises US $ 175.2 million from the GEF and
US $ 105.8 million from other partners in cash or in-kind equivalents. The
maximum grant amount per project is US 50,000$, but averages around US $
25,000. Grants are channeled directly to CBOs and NGOs. More than 6000
grants have been awarded worldwide to date, with many benefiting multiple
communities. SGP features decentralized decision making about grant awards,
based in strategic direction by a voluntary National Steering Committee in each
participating country.
SGP India is a unique partnership of government, civil society and a multi-lateral
agency.
SGP initiatives supports action - based and community led initiatives
Small Grants Programme strives to serve communities by providing grants to
organizations for activities that address local problems which have global
environmental benefits in the GEF focal areas through community-based
initiatives and action.
Biodiversity Conservation
Climate Change abatement
Protection of International Waters
Prevention of Land Degradation
Reduction of the impact of Persistent Organic Pollutants (POPs)
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Government of India’s perspective:
While the SGP programme is one of the most successful GEF projects, one
has to take the opportunity to go beyond grant giving, to seek ways of
scaling up, replicate successful experiences, reach out through innovative
communications, and promote advocacy strategies to influence policy on
key environmental issues.
The 10th Plan document of the Planning Commission has placed emphasis on
the need for biodiversity conservation and environmental protection and also for
these efforts to involve the participation of the local communities. Some of the
"thrust areas" outlined in the 10th Plan for sustainable development of natural
resources include:
a. Utilization of wastelands and un-utilized and under-utilized lands
b. Reclamation of problem soils
c. Rainwater harvesting and conservation for the development of rain-fed
areas
d. Conservation and utilization of biological resources
e. Promotion of organic farming
f. Development of coastal regions
g. Development of renewable energy resources for productive uses
In the context of natural resources, the 10th Plan emphasizes the need for
rainwater harvesting, conservation of all life forms and sustainable utilization of
resources while seeking to enhance sustainable livelihood systems in any given
area. While referring to global concerns - deteriorating conditions of fragile
ecosystems, deforestation, loss of biodiversity and pollution, it stresses that the
national development agenda must recognize the necessity of protecting the
long-term ecological security. It is also mentioned that conservation should be
assigned a high priority both at the central and state levels and this should be the
objective of all development programmers.
Given the critical importance of agro-biodiversity, the 10th Plan emphasizes the
need for agricultural research to focus on conservation and enhancement of the
ecological foundations of farming and fisheries (land, water, biodiversity, forests,
oceans and the atmosphere) through an integrated natural resources
management strategy involving PRIs and NGOs
UNDP India Programme strategy
Based on specific roles for UNDP, development co-operation identified through a
comprehensive review and stakeholder consultation process, all projects build on
the following qualities:
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A perspective ‘from below’, of low-income households and marginalized
communities - rural or urban, in order to strength their self-help and selfreliance capacities through innovative and catalytic, ‘action-research’ type of
interventions.
A common platform to bring a diverse set of development partners
(Government agencies at the Central, State and District levels; Private Sector,
Non-Governmental Organizations {NGOs} and Community Based
Organisations {CBOs}, and other UN system and bilateral donor partners)
together to devise innovative solutions to development challenges.
Emphasis on addressing the multi-sectoral dimensions of development
programming and when possible, integrating programming at selected
geographical locations/districts.
Comprehensive monitoring and documentation of development innovations
from proven success stories and effective pilot initiatives. Dissemination of
lessons learnt for policy-makers with regard to the design and implementation
of much larger public sector schemes.
UNDP’s current work with communities on ecological and livelihood
security
The UNDP country office in India has been supporting community-based
initiatives across all programmes for the last 10 years. These community-based
initiatives have been designed to raise policy issues related to the rights of
marginalized communities to land and resources, particularly forest and water
resources. UNDP, in partnership with various government departments and
NGOs and CBOs, routinely raises issues for discussion with government. The
most recent discussions have been around community management and control
of water in Rajasthan and the rights of tribals to forests and other resources in
Jharkhand. Given the fact that the SGP programme in India is supporting a
number of good initiatives of smaller NGOs and CBOs it is clear that a number of
mutual benefits could be realized through cooperation and synergies between
the SGP and relevant UNDP CCF programmes, which share a thematic focus
and community based vision and strategy.
UNDP, through GEF has supported the preparation of the National Biodiversity
Strategy and Action Plan (NBSAP). India’s NBSAP has from the very beginning
taken the integration of biodiversity concerns into various sectors as one of its
main process goals. Raising awareness of the importance of biodiversity has
been part of the process of preparing the NBSAP and is a major component of
draft National Action Plan.
Cross-cutting issues such as equity and people's empowerment, gender
sensitivity, integration of biodiversity into all sectors of planning, integration of
indigenous knowledge systems, and international issues, were stressed in the
planning phase and continuously reiterated throughout the process; many of
these were incorporated at a number of sites and in various thematic working
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groups, and aspects such as globalisation, the integration of conservation and
livelihoods, biopiracy, received serious attention. However, at many sites such
integration remained weak, in particular, integration of equity, empowerment, and
gender.
Strong linkages with past and ongoing processes were built into the NBSAP
process, including a review of several national plans and policies relating to
natural resources. The MoEF’s own Macro-Action Plan on Biodiversity was a
base document; other documents added on were the National Wildlife Action
Plan, the National Forestry Action Plan, National Environment Action
Programme, National Conservation Strategy, Agenda 21 reports, and reports of
the Biodiversity Conservation Prioritization Project. At the level of each site,
linkages were built to many earlier or ongoing sub-states, state or eco-regional
level plans.
Opportunities for mainstreaming SGP India with UNDP Country programme
There are a large number of NGO led networks on thematic issues like water,
renewable energy for enhancing livelihoods, wetlands, and protection of wildlife.
 The SGP programme has to utilize the available opportunities to link the
community based organizations to these networks, so that these
organizations become part of the larger movement on these issues and
are able to upscale their programmes in a pragmatic manner.
 As a part of the strategy for creating synergy and dissemination of
technologies there is a need to set up replication funds, which focus on
institutional methods of learning. The purpose of such a fund would be an
encouragement of successful innovations spearheaded by successful
NGOs and CBOs who are already partners of the SGP India programme,
by supporting the adaptation of their proven solutions to different contexts.
 This replication could provide the transferability and scalability of
innovative approaches spawned by organizations working at the
grassroots. This would not only help in the process of compilation and
documentation of ‘ best practices’ from the SGP India programme, but
also support the actual replication of proven interventions by those who
have already had pragmatic results through implementation of these social
innovations.
 In order for replication to be successful it is necessary to establish a new
model for replication and innovation – Establish a self-sustaining,
evergreen financial resource.
 Shift from a completely grant based approach to a community based
locally owned model, where the local community pays a part of the
replication scheme. It is also important to include the NGOs/CBOs and the
villages in the particular region to plan and manage the replication
schemes.
 SGP India is creating opportunities and ways of working with community
based organizations, particularly women’s groups and people’s
organizations.
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This kind of a pilot effort would naturally have to entail a careful monitoring
and assessment of the replication process even involving the local
governance bodies and communities.
It is necessary to consolidate the already existing community of
practioners in a comprehensive and systematic manner.
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As a part of the process to upscale the SGP India programme work has
already begun on the development of a common regional website, project
database, and an e-network for dialogue on various operating programs.
This common regional website could then disseminate the replication
process. Thus a system would be in place whereby lessons learnt and
shared would become a living knowledge base that can be shared widely
and form the building blocks for further replication.
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The SGP India programme was made an integral partner at national and
state government level for future partnerships at GEF National Dialogue
Initiative in Mussourie 15-17 February 2006.
SGP’s strengths include:
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Having a concrete impact in improving people’s lives while addressing
global environmental concerns in the areas of biodiversity, climate
change, international waters, land degradation and persistent organic
pollutants (POPs)
Using its resources efficiently to achieve positive global impact
Using decentralized, demand-driven, participatory mechanisms to improve
project effectiveness, ensuring local relevance
The SGP has been recognized as model globally, not only for its
decentralized approach but also for it due diligence structure. SGP’s
monitoring and evaluation system provides its stakeholders and partners
with information about the status and results of individual projects, the
progress of country programmes and the achievement of overall
programme objectives
The SGP views monitoring and evaluation above all as a participatory and
forward-looking process that enables capacity building and learning,
maintains accountability, promotes sustainability and provides
opportunities to identify and communicate lessons learnt from project and
programme experiences at three levels – project, country and global.
Building a global action-oriented environmental centre of excellence by
facilitating exchanges, learning and networking among its constituencies
Being an effective and efficient partner in the global environmental
movement, seeking to build the capacity of local partners and cooperate
fully with other organizations that have similar missions and goals
Helping local communities build on their traditional knowledge and
practices, access new information and technologies to improve livelihoods
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while conserving biodiversity, using renewable energy sources and
mitigating pollution of international waters
Bringing together diverse groups and varied approaches adapted to
specific local circumstances towards achieving environment related goals
UNDP GEF Small Grants Programme India
Progress and Initiatives
SGP India became operational in September 1995. The overall responsibility of
SGP in India rests with the National Steering Committee (NSC), which comprises
representatives of Government of India, UNDP, NGOs, academicians and
Director of the National Host Institution and the National Coordinator UNDP GEF
SGP.
The UNDP and the Ministry of Environment (MoEF) jointly administer GEF Small
Grants Programme (SGP) in India. The Centre is implementing the program for
Environment Education (CEE), which is the National Host Institution (NHI) since
September 2000.
SGP India has facilitated 185 demand led community based action projects
countrywide. With the growth of SGP programs countrywide, there is a need to
consolidate outcomes to further upscale and build up the sustainability. SGP’s
resource mobilization strategy at the global and national levels has been revised
to better identify opportunities for partnership, co- financing, mainstreaming of the
SGP projects into larger projects of other donors, strengthen links with local
governments and increase the participation of the private sector.
Since September 2000, steps towards a decentralization of processes have
taken place in the SGP India program towards effective linkages. Strategic
linkages with donors and line departments have happened, encouraging the
NGOs and CBOs to work with district collectors and local governance.
The UNDP GEF SGP India purpose and vision
The UNDP GEF SGP India programme has been there for nearly a decade. As a
part of the mainstreaming into the larger UNDP CO programme SGP India has
begun the process of scaling up of some of its successful innovations
spearheaded by community based innovative models and projects.
The vision for the SGP India programme for the next five years is to strive
towards “establishing systems for allocating scarce GEF resources towards
maximizing the impacts of these resources on global environment improvement.
The promotion of national level policies through action based pilot projects, which
have local and global livelihood benefits. The systems within the NHI will
establish broadbased, flexible, sound and transparent assessments, which
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promote and enhance local capacities, build private-public partnerships, policies
and practices (e.g. local resource mobilization, links to governments &
replication and scaling up of environmentally sound and benefiting
community livelihoods projects). This vision would enable the successful
implementation of UNDP GEF SGP projects through Non governmental
organizations (NGOs) and Community based organisations (CBOs)”.
In the last four years, SGP India has raised USD 4.8 million as local cofinancing against the 4.2 USD million GEF grants, and the same is showing
an increasing trend.
At the SGP India:
 SGP India has linked up with GTZ and the Ministry of Environment and
Forests (MoEF) for an eco-city project on Solid Waste Management in the
four pilgrim cities of India. This program has brought in co financing of
USD 200,000 from GTZ and co financing of USD 100,000 from the
communities, Municipal Corporations and the Pollution Control Board.
 A platform has already been created with the UNDP country office to
propagate strategic interventions and diffusion of Knowledge through the
solution exchange programme via e-exchange.
 An additional amount of USD 100,000 has been added to the USD
750,000 portfolio of UNDP GEF, SGP India. The Planning Commission in
India via the MoEF to the National Host Institution, CEE, to scale up the
already existing SGP projects, which are innovative, scalable and
replicable, has given this.
 A common agreement has been reached between the five South Asian
nations i.e. Pakistan, Sri Lanka, Bhutan, Nepal and India to network,
exchange ideas, practices and knowledge through a common web site,
partners’ exchange of technologies and awareness on the policy issues.
Exchange between stakeholders in Sri Lanka and India have taken place.
 UNDP GEF SGP-India responded to the Tsunami catastrophe and
supported CREED, SEVA, Progress and Social Welfare Trust with a grant
support of USD $ 83,575 and leveraged co-financing of USD 760,067 from
other sources. Approximately 2,374 families have benefited from the
project with poverty focused disaster rehabilitation plan.
 Representatives from United Nations Environment Programme (UNEP),
the Indian Chemical Industry, UNDP GEF SGP and CEE collectively
drafted a paper on Interventions in Phasing out of POPs in India through
an action-based program. This was supported by a follow up workshop
organized by the SGP India in partnership with POPs Elimination Network
(IPEN) and Toxic Links in New Delhi. Toxic Links (NG0) is formulating
proposal.
 An agreement was reached between the Indian Institute of Forest
Management and the National Host Institution of SGP India to develop a
joint partnership to support sustainable development initiatives in India
from 2005 to 2008.
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SGP India is working with Indigenous Groups/vulnerable or marginalized
communities in approximately 85% of the grants provided to various
projects.
Recently in the Regional Conference held between the five South Asian
partners (16 – 20 January 2005), there was an exchange of “real
practioner’s” for e.g. between India and Sri Lanka i.e. NGOs and CBOs
partners. This is fast catching up in the learning by doing approaches
through exposure visits, email exchanges.
UNDP GEF SGP scaling up strategy
Not only is the UNDP GEF SGP recognized globally as a model because of its
community-based approach but also for its monitoring and evaluation systems
that are transparent, and which are firmly in place. The NGOs and CBOs play a
key role as a resource and constituency for environment and development
concerns. With the pro-active experience of the NHI and the strong support of the
MoEF and implementing agency UNDP CO, the GEF SGP India portfolio has
been able to expand its efforts to different regions in India with positive results.
The SGP India programme has a well-documented and monitored community of
CBOs and NGOs implementing solutions at the grassroots level in the
environmental focal areas of:
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Biodiversity
Climate Change
International Waters
Persistent Organic Pollutants
Land Degradation
Multi-focal areas
Poverty Alleviation/Empowerment
Why should the project be up scaled?
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The SGP supports projects that are innovative and demand driven.
In such cases, good projects often remain isolated pockets of excellence.
Implementing them on a bigger scale gives them the requisite visibility and
synergy
to
be
adopted
as
proven
solutions/technologies/methods/processes by the government, other
organizations and donor agencies.
Scaling up would also help better to disseminate better how livelihoods
can be better sustained and draw synergies from other programs,
projects, processes and communities.
Which are the projects that should be up scaled?
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Projects that have achieved measurable, quantifiable and qualitative
results while adhering to high-quality and fair practices/processes.
Pro-active demand from the communities, institutions for scaling-up and it
should not be a top-down initiative.
Projects that have linkages with community-managed institutions, benefits
and ownerships
Projects encouraging participation, decision-making, local and indigenous
expertise, partnerships, networking, sharing of costs, equity and enhanced
gender relations.
Meets local demands, links markets, and sustains actions on scale and
areas.
Reflect in the share of community contribution out of the total co-financing
that is achieved/proposed for the project. In addition it is important to
assess that the organization has the adequate capacity to handle the
project at the proposed scale. The co-financing from community as well as
government and other sources should show an increasing trend.
Projects that show access of funds, resources from the local, district, state
and national level Government sources.
Project/program should have locally managed sustainable institutional
arrangements, i.e. SHGs, Federations etc.
Flexible, informal and responsive arrangements should be made and
systems created, especially for income generation activities, marketing
arrangements etc.
Links to institutions/banks for access of resources, loans, repayments etc.
Technology learnt, adopted, disseminated by the partners with other
partners and institutions.
Focus on Geographical & Thematic focus?
While there is no clear criteria for maintaining any specific geographic or thematic
focus,1 it is expected that while recommending proposals, a balance should be
maintained between the Scaling Up quality projects and on the
geographical/thematic areas.
What can be up scaled?
Scaling up can be done in terms of the following:
Increase in the number of beneficiaries/households covered under the
project
Increase in the area brought under coverage of the project
Introducing new and/or up-graded technology in the project area
Adopting better processes in project implementation – Cluster Approach2
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At this point the SGP has given grants to projects in 21states in India.
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The Cluster approach ensures an integrated thematic response, drawing upon the comparative advantages of each agency, fund and
programme and leveraging resources through inter-agency partnerships. The Clusters can address key priorities, developing projects
in partnership. This ensures coordination among diverse stakeholders, joint programming, information sharing, knowledge sharing on
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While the first two can be stand alone criteria for up scaling, it is expected that
the last two will be accompanied by either an increase in the number of
beneficiaries/households or an increase in the area of coverage.
How will the UNDP GEF SGP build capacities of partners for scaling-up?
To take a pro-active stand and build capacities of SGP partners for scaling up of
projects, the SGP will encourage cross sharing and visits between partners and
their communities, sharing skills, ideas, technologies and knowledge. Regional
workshops/ focused meetings will be organized to provide the partners with a
common platform for cross learning and networking. This should in fact start at
the year one of the ongoing projects time period
What “essential criterias” should be fulfilled by proposed scaling-up
proposals?
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The ongoing SGP project should have clear monitoring and evaluation
reports and audited accounts.
Ongoing projects should indicate clear, quantifiable and qualitative results.
The justification given for the up-scaling should be based on the lessons
learnt from the ongoing project.
Address livelihood, equality and gender concerns and sensitivities.
Generate people’s participation in planning, implementation and monitoring
of programmes within project.
Up-scaling efforts should not only focus on increasing the number of
beneficiaries or geographical area, but should also address additional
barriers, forge more partnerships & linkages and generate more cofinancing.
Scaling-up projects should be more financially sound than the ongoing
project.
Sources of co-financing and other partnerships should be clearly identified.
Community mobilization should be strong and the community and the
organization should have a clear idea of the additional risks, roles,
contributions etc. associated with scaling up.
Cross sharing with other SGP partners and exposure visits should be
integrated into the project plan.
technical and policy issues, joint formulation of sectoral/thematic strategies, promote implementation synergies by combining support
and common services.
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Resource Mobilization
 Due to the India SGP program being one of the portfolios in the policy
of ‘phase out and graduation’, the GEF SGP funding will only be
$250,000 from 2007-2008 onwards. The UNDP CO has agreed to
provide $500,000 from the TRAC funding. It is envisaged that the
MoEF will also be providing support annually with an amount of
$200,000 for the coming year under the 10th Plan. Within this funding a
support of 5-7 % as administrative expenses for the NHI (National Host
Institution) in facilitating implementation of the program. Funds are
required for scaling up and replicating innovative strategic pilot
demonstrations, which have clear global environment benefits and
impact on the livelihoods of the community in poverty focused areas. 3
 Media outreach through production of short films to be aired through
national, regional and private television channels. For e.g. NDTV and
CNBC in India are already producing short films on lessons learnt at
grassroots level in partnership with community, private sector,
international donors and government agencies.
 Communications tools like outreach through the support of community
radio, innovative methods such as organizing festivals in the form of
melas, cycle rallies, cultural programmes, bullock cart rallies, yatras
and even boat rallies needs to be developed. Tie in with the regional
South Asian environmental journalists’ forum and re-emphasize the
role of radio and literacy programmes that would address not only
educational issues, but incorporate environmental awareness – i.e.
organic farming initiatives, eco tourism etc.
 Develop linkages with regional SGP programmes and innovations in
the region to establish better south-south cooperation on
environmental issues. Franchise successful projects for the common
benefit of the South Asian region.
 The replication models have to take into context sustainable livelihood
schemes and projects with innovative technologies. The Replication
Fund would also stimulate projects to learn from one another, and
exchanging practical technologies, approaches and methodologies.
Seed investments are required to kick start the replication process,
subject to approval of the budget with a description.
 Set up an Advisory group to monitor these activities so that resource
mobilization and implementation of funds takes place effectively and
transparently. The advisory group will also build on the existing
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This process of up-scaling has already begun in the year 2005-2006 through the support of the MoEF
$100,000. As the SGP India is in the process of mainstreaming its innovative projects with the UNDP CO
office programs it is important to get the requisite ‘guidance and support’. This convergence under the
funding provided by the UNDP CO and MoEF for projects will help the GEF SGP India program to link up
with the state government development priorities and influence policies. There are approximately 12
projects already in the pipeline for scaling up with potential public private partnerships.
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systems of the SGP (for management, monitoring and evaluation)
through one to one meetings with different stakeholders, regular
midterm and final due diligence visits, development of impact
assessment indicators enabling the partners to formulate a pragmatic
framework, and a vision for deliverables.
A review of the replication and up-scaling fund shall be held through an
independent evaluation after 24 months to have an understanding of
lessons learnt and potential for further funding.
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