readiness and preparatory support programme: progress report · readiness and preparatory support...

Readiness and Preparatory Support Programme: progress report

GCF/B.18/07

14 September 2017

Meeting of the Board 30 September – 2 October 2017 Cairo, Arab Republic of Egypt Provisional agenda item 16

Summary

The document provides an overview of progress made by the Readiness and Preparatory

Support Programme since its inception, with a focus on results expected under the

programme and progress since the last Board meeting.

The Board is requested to take note of the information provided in this document.

GCF/B.18/07

Page b

Table of Contents

I. Introduction 3

II. Progress overview 3

2.1 Progress in 2017 and outlook into the remaining months of 2017 5

III. Results achieved and expected outcomes 6

3.1 Strategic frameworks, including country programmes and pipeline development 7

3.2 National stakeholders engagement processes 8

3.3 Strengthening direct access entities’ capacities and pipelines 9

3.4 Establishment of no-objection procedures 10

3.5 Private-sector engagement and mobilization 11

3.6 Adaptation planning process developed 12

3.7 Knowledge-sharing and learning strengthened 13

IV. Monitoring of readiness grants 14

4.1 Portfolio overview and key issues 14

4.2 Remedial measures undertaken to address issues 15

V. Readiness Programme budget 16

5.1 Programme budget utilization 16

5.2 Budget forecast to close the rest of 2017 17

5.3 Budget projections for 2018 19

Annex I: Readiness and Preparatory Support portfolio by region as at August 2017 21

Annex II: Readiness and Preparatory Support in pipeline as at August 2017 38

Annex III: Expected results from the readiness resources disbursed 42

Annex IV: Countries whose national designated authorities/focal points nominated entities that are receiving in-kind accreditation support as at August 2017 48

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I. Introduction

1. The Board approved the operationalization of the Readiness and Preparatory Support Programme through decision B.08/11 and requested the Secretariat to report biannually to the Board on the progress of the programme. Given the interest in the early progress of the programme, the Secretariat has been reporting on it to the Board at each meeting since its ninth meeting in March 2015.

2. This report provides an overview of the cumulative progress achieved under the programme up to August 2017. This update focuses on the outcomes that the programme has achieved to date, projected programming for the last four months of 2017, and estimated demand for 2018. The report also includes a section on progress in the implementation of readiness grant agreements that have received disbursements, early challenges faced and remedial measures being taken. The report finally outlines the lack of financial resources to approve all the requests submitted in 2017 and projecting into 2018. The work programme for the Readiness and Preparatory Support Programme is included in the Secretariat Work Programme for 2018 (under preparation).

II. Progress overview

3. As at August 2017, the GCF has engaged with 114 countries on 215 readiness requests. Figure 1 below is a summary of the requests by type of activity. Figure 2 below depicts the summary of requests by region. Seventy-nine of the 114 countries are small island developing States, least developed countries or African States, which make up 69 per cent of the countries requesting readiness support (see figure 3).

4. Of the 123 readiness requests approved, 73 of them (59 per cent) have received disbursements, and entered the implementation stage. The programme has accelerated disbursements in 2017, reaching a cumulative total disbursement of USD 10.30 million as of August 2017 (see table 1).

Table 1: Quarterly disbursements since 2015 up to August 2017 (United States dollars)

Quarters (Q) 2015 2016 2017

Q1 77,306 328,913 1,520,768

Q2 56,748 696,400 1,601,594

Q3 15,950 399,815 3,766,134

Q4 163,668 1,657,800 –

Total 313,672 3,082,928 6,888,496

Note: The amount for 2017 Q3 includes disbursements up to 31 August 2017 only.

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Figure 1: Number of readiness requests by type of activity as at August 2017

Abbreviation: NDA = national designated authority.

Figure 2: Readiness requests per region as at August 2017

Figure 3: Readiness requests per GCF classification as at August 2017

Abbreviations: LDC = least developed country, SIDS = small island developing States.

Type of activitySubmitted

(USD amount)

Approved

(USD amount)

Disbursed

(USD amount)

NDA strengthening,

incl. country programmes

114

(37,205,050)

81

(24,661,187)

50

(7,089,656)

Support for direct access

entities

41

(7,706,565)

32

(4,320,395)

17

(1,016,643)

Adaptation planning

processes

35

(97,450,688)

3

(8,198,817)

2

(1,270,094)

Strategic Frameworks

25

(11,563,147)

7

(2,295,830)

4

(919,735)

All activities215

(153,925,450)

123

(39,476,229)

73

(10,296,128)

RegionSubmitted

(USD amount)

Approved

(USD amount)

Disbursed

(USD amount)

Africa91

(70,862,535)

44

(13,299,677)

27

(4,162,058)

Latin America & Caribbean

52

(35,609,527)

34

(9,341,166)

19

(2,406,170)

Asia - Pacific60

(33,385,425)

39

(15,301,471)

24

(3,353,555)

Eastern Europe12

(14,067,963)

6

(1,533,915)

3

(374,345)

Total215

(153,925,450)

123

(39,476,229)

73

(10,296,128)

RegionSubmitted

(USD amount)

Approved

(USD amount)

Disbursed

(USD amount)

SIDS, LDCs, Africa143

(98,854,409)

84

(27,129,878)

54

(8,411,281)

Other72

(55,071,041)

39

(12,346,351)

19

(1,884,847)

Total215

(153,925,450)

123

(39,476,229)

73

(10,296,128)

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2.1 Progress in 2017 and outlook into the remaining months of 2017

5. In the first three quarters of 2017, the Secretariat received 128 submissions from countries, comprising of 76 submissions in the first two quarters and 52 submissions in the third quarter (see annex II for the pipeline of requests). It is anticipated that an additional 64 proposals will be received in the fourth quarter, thus bringing the total number of submissions in 2017 to over 190 proposals. The fourth quarter estimate is based on information from the Secretariat’s day-to-day dialogues with countries, and information shared by delivery partners supporting countries. The submissions and approvals in 2017 (actuals and estimates) are presented by region (table 2) and by readiness activity (table 3).

6. As at August 2017, the Secretariat received a total of 128 readiness proposals, 29 of which are for national adaptation plans (NAPs) and/or other adaptation planning processes. Of the 99 readiness proposals that are not related to adaptation planning, the Secretariat has approved 37 which amount to a total of USD 10.51 million. Of the 29 readiness proposals for NAPs and/or other adaptation planning processes to date in 2017, 24 (82 per cent) were submitted with one of two international accredited entities as the delivery partner. The inter-divisional endorsement committee has reviewed 35 readiness proposals (including 5 seeking adaptation planning support) and these are pending approval, which total USD 23.63 million. In addition to the adaptation planning proposals approved or endorsed pending approval, the Secretariat has provided written comments on a further six proposals, which are now pending resubmission or further consideration; and has conducted initial review on an additional seven proposals. The Secretariat is also continuing to process the remaining 43 readiness proposals (including for adaptation planning support). With an additional 63 readiness proposals expected in the fourth quarter (of which 20 are anticipated to be for adaptation planning support), countries will be expecting the Secretariat to process nearly 119 proposals during the remainder of 2017.

7. With the Secretariat’s current capacity, it may only be possible to review an additional 20 to 30 proposals during the rest of 2017; thus only approving 110–130 of the 180–200 submissions by the end of this year. This problem principally arises because of capacity constraints resulting from limited staffing (where the same staff are focusing both on accelerating disbursements and supporting adaptation planning proposals), delays in automation and outsourcing as well as staffing transitions. Despite efforts to address the capacity constraints, the Secretariat is expected to process up to 80 per cent of readiness requests not related to adaptation planning by the end of 2017. Approval of all the remaining readiness proposals and some (28) adaptation planning proposals that are currently or foreseen to be received are likely to be carried forward to 2018.

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Table 2: Actual and estimated quarterly requests and approvals (up to 31 August 2017), by region (number of requests, USD values in brackets)

Regions Q1 Q2 Q3 Q4

Submitted (actuals)

Approved (actuals)

Submitted (actuals)

Approved (actuals)

Submitted (actuals)

Approved (estimate)

Submitted (estimate)

Approved (estimate)

Africa 11 3 20 4 24 6 32 19

(9,087,646) (808,000) (12,987,138) (663,137) (30,605,677) (2,611,882) (27,185,000) (4,115,000)

Latin America and the Caribbean

13 9 8 2 10 4 8 3

(9,644,981) (2,894,191) (9,752,868) (408,203) (8,473,836) (1,252,051) (16,300,000) (1,300,000)

Eastern Europe

4 1 1 – 5 1 1 –

(3,836,914) (300,000) (3,000,000) – (9,325,656) (33,915) (300,000) –

Asia Pacific 10 7 9 6 12 5 22 13

(9,475,361) (3,155,691) (2,550,613) (1,568,163) (10,521,799) (2,093,695) (26,285,000) (4,585,000)

Total 38 20 38 12 52 16 63 35

(32,044,902) (7,157,882) (28,290,619) (2,639,453) (58,926,968) (5,991,543) (70,070,000) (10,000,000)

Table 3: Actual and projected quarterly requests by activities (up to 31 August 2017) (number of requests, USD values in brackets)

Activities Q1 Q2 Q3 Q4

Submitted (actuals)

Approved (actuals)

Submitted (actuals)

Approved (actuals)

Submitted (actuals)

Approved (estimate)

Submitted (estimate)

Approved (estimate)

NDA strengthen-ing and country programming

23 15 13 6 15 5 16 13

(8,695,159) (5,707,749) (4,179,711) (1,879,711) (6,901,654) (2,313,295) (5,900,000) (4,900,000)

Support to direct access entities

4 2 8 5 9 7 7 6

(1,153,000) (508,000) (1,828,014) (421,062) (2,252,219) (1,733,406) (520,000) (210,000)

Strategic frameworks

4 3 10 1 12 4 20 16

(1,292,133) (942,133) (5,193,953) (388,680) (6,995,502) (1,944,842) (6,150,000) (4,890,000)

Adaptation planning

7 – 7 – 15 – 20 –

(20,904,610) – (17,088,941) – (42,777,594) – (57,500,000) –

Total 38 20 38 12 52 16 63 35

(32,044,902) (7,157,882) (28,290,619) (2,639,453) (58,926,968) (5,991,543) (70,070,000) (10,000,000)


III. Results achieved and expected outcomes

8. The readiness proposals approved, under implementation or completed help to identify initial results achieved as well as results that may be expected in the coming months and over the next couple of years. Most of the readiness proposals under implementation are to strengthen national designated authorities (NDAs) and to enable them to develop a strategic framework, including country programmes, followed by providing support to direct access entities, support to access climate finance and finally, support for private sector mobilization. More recently, benefiting from an increase in Secretariat capacity, increased support is also being directed towards NAPs and/or other adaptation planning processes. The sections below include key results expected, including anecdotal examples of countries, building on the last report presented to the Board.

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3.1 Strategic frameworks, including country programmes and pipeline development

9. A key expected outcome is the development of country programmes and pipelines of projects/programmes. Recipient countries are supported to engage with stakeholders in their countries, as well as with accredited entities and the Secretariat, to further develop their country programmes and pipelines that serve to implement priorities in their nationally determined contributions and other national strategies or plans. Box 1 showcases activities planned in Mauritania.

Box 1: Activities undertaken to develop a country programme and pipeline of projects in Mauritania

10. Since the last report, several countries have progressed towards the following results:

(i) The Federated States of Micronesia (FSM) completed a draft of the country programme, developed through a consultative process, and presented it to other Pacific island countries and other partners at the Pacific Regional Dialogue in July 2017. FSM has distilled key areas of priority for the GCF over the short, medium and long term, and engaged a project development specialist to assist in the process to further refine priority areas towards project concepts and to secure accredited entities (AEs) and partners to take the programme forward;

(ii) Gabon determined the initial country strategic priorities, with an early definition of investment opportunities across sectors in country programming. Gabon began structuring the NDA team and its institutional arrangements by recruiting the first consultants and drafting terms of reference in order to form its climate finance task force and advisory technical committee. Gabon has put together a capacity-building plan, identifying the need for strengthening climate finance and project management capacities; and

(iii) Mali also produced a draft country programme, and is waiting for comments from the stakeholders before it can be finalized and presented at a national workshop during the second half of 2017. It also gathered inputs for the country programme through an open call for projects.

11. Other countries expected to develop similar country programmes include:

(i) 2017: Bangladesh, the Central African Republic, Ethiopia, India, Mauritius and Pakistan; and

(ii) 2018: Albania, Bahamas, Barbados, Belize, Bolivia (Plurinational State of), Chile, Colombia, Costa Rica, Dominica, Dominican Republic, Ecuador, El Salvador, Georgia, Grenada, Guatemala, Guyana, Haiti, Honduras, Jamaica, Kazakhstan, Kyrgyzstan, Mauritania, Montenegro, Morocco, Namibia, Oman, Paraguay, Peru,

MAURITANIA

• Review existing policies and strategies to identify national adaptation and mitigation priorities

• Draft the country programme

• Organize one multi-stakeholder consultation workshop on priorities for engagement with the GCF

• Organize four roundtable discussions on the country programme and a high level meeting to validate

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Republic of Moldova, Saint Vincent and the Grenadines, Tajikistan, Tonga and Uruguay.

3.2 National stakeholders engagement processes

12. Another key outcome of readiness support is to enable NDAs to engage the stakeholders in their countries to conduct dialogues and consultations, particularly on country programmes. Fifteen grants under implementation will produce this result by the end of 2018. These consultations are planned to be conducted with the balanced and effective representation of all relevant public, private and civil society stakeholders, including women’s groups. Box 2 showcases activities planned in Colombia.

Box 2: Activities planned in Colombia to engage national stakeholders on country programmes

13. Using readiness resources, Guyana developed a communications strategy to help raise awareness of the GCF and its operational modalities among key national stakeholders. The strategy aims to support Guyana to administer its responsibilities relating to the GCF, covering the period to the end of March 2018. The strategy details planned communications activities, products and target audiences, and is intended to be a ‘living document’ that will be updated as the project progresses and as new information emerges about the needs and preferences of the target audiences.

14. Other countries expected to engage with national stakeholders on country programmes include:

(i) 2017: Bangladesh, the Central African Republic, Ethiopia, Gabon, India, Mali, Mauritius, Montenegro and Pakistan; and

(ii) 2018: Albania, Bolivia (Plurinational State of), Chad, Chile, Costa Rica, the Congo, the Democratic Republic of the Congo, Djibouti, Dominica, the Dominican Republic, Ecuador, El Salvador, Gambia, Georgia, Guatemala, Guinea, Haiti, Honduras, Jamaica, Kazakhstan, Kyrgyzstan, Liberia, Mali, Mauritania, Micronesia (Federated States of), Morocco, Namibia, Oman, Paraguay, Peru, Senegal, Swaziland, Tajikistan, Timor-Leste, Togo, Tonga, Tunisia, Uruguay, Vanuatu and Zambia.

15. Furthermore, countries are leveraging support from different AEs and other development partners to initiate early stages of stakeholder engagement and consultations. Examples include national workshops held in Costa Rica, Kazakhstan, Kyrgyzstan, Mexico, Peru and other countries. The GCF Secretariat has lent support to NDAs for such stakeholder engagement through advice on the agenda, the provision of materials and, in some cases, through virtual or physical

COLOMBIA

• Design publications and communication products in digital and physical formats related to the processes of the GCF

• Articulate the priorities, and coordinate the engagement with relevant stakeholders

• Conduct workshops and training on climate finance to incorporate climate change in planning and budgeting

• Develop communications material of funding proposals in prioritized sectors

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participation. Growing demand for such support will require the Secretariat to strengthen its capacity to effectively respond to such requests.

3.3 Strengthening direct access entities’ capacities and pipelines

16. A third outcome of readiness support is to enable support for direct access entities in the accreditation process, from identification to accreditation, and once accredited develop their capacities to build their pipelines as articulated in their entity work programmes and to effectively implement projects/programmes funded by the GCF, including the pilot programme to enhance direct access. Box 3 showcases activities supporting the South African National Biodiversity Institute (SANBI) to achieve the outcomes post-accreditation.

Box 3: Activities that South Africa is conducting to develop the South African National Biodiversity Institute pipeline and concept notes and funding proposals

Abbreviations: AE = accredited entity, NDA = national designated authority.

17. Proposals for activities such as the one approved for SANBI have also been approved for the Agency for Agricultural Development of Morocco, Centre de Suivi Écologique in Senegal, and Environmental Investment Fund of Namibia, and these readiness activities are expected to yield similar outcomes to the SANBI case highlighted above.

18. With the technical assistance provided by the programme, two direct access entities, the Central American Bank for Economic Integration (CABEI) and the Micronesia Conservation Trust (MCT), were accredited at the fifteenth meeting and seventeenth meeting of the Board, respectively. Three more have reached Stage II of the accreditation process, and an additional five have reached Stage I. The provision of technical assistance for institutional gap assessments on the accreditation requirements and action plans reduces the time taken for reviews undertaken at Stage I and Stage II.

19. Other countries expected to strengthen the capacities and pipelines of direct access entities include:

(i) 2017: Antigua and Barbuda, and Chile; and

(ii) 2018: Albania, Argentina, Armenia, Dominican Republic, Egypt, Haiti, Jamaica, Jordan, Kazakhstan, Morocco, Namibia, Oman, Tajikistan, Tonga and Uruguay.

20. Further in-kind guidance and support by the Secretariat and its regional advisers has also been provided to 146 entities nominated by the NDAs/focal points of 68 countries in all four regions, which helps such entities to understand the accreditation requirements and advance their applications through the accreditation process (see the list of countries in annex IV).

SOUTH AFRICA

• Conduct a dialogue to discuss and update current and future projects funded by the GCF and enhance partnership between the NDA, AE and the Secretariat

• Strengthen NDA/AE capacity to access preparation support for developing funding proposals

• Prepare a country programme using the initial guidelines prepared by the Secretariat

• Ensure funding proposals are aligned with and adhere to national climate change and sustainable development priorities

• Develop a system to manage and monitor the SANBI’s GCF portfolio

• Launch a national call for project ideas based on SANBI’s GCF Investment Framework and identify ideas for consolidation into GCF Concept Notes

• Prepare a country programme in collaboration with relevant stakeholders using the initial guidelines prepared by the Secretariat

• Assess the submitted project ideas and

shortlist for further development

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3.4 Establishment of no-objection procedures

21. A fourth expected outcome of readiness support is the establishment of transparent and efficient no-objection procedures in countries. Forty-two countries expect to establish such a procedure, thus enabling the NDAs or focal points of these countries to lead effective coordination mechanisms, prioritize interventions for the GCF, and monitor, oversee and streamline climate finance in their countries. The example of Kiribati is showcased in box 4 below.

Box 4: Activities that Kiribati is conducting to establish a no-objection procedure


22. With the readiness support, the following countries have shown early results under this outcome:

(a) Vanuatu has developed a comprehensive and country-driven approach to assessing project ideas, concepts and proposals put forward by all stakeholders before the issuance of a no-objection letter, with a turnaround time of 1–2 months. This includes a tailored project concept note form and a publicly disclosed procedure which provides certainty for proponents;

(b) Guyana established a National GCF Steering Committee with an overarching mandate to direct, coordinate and deal with the related issues for defining the mode of mobilization and use of funding from the GCF. It will support all tasks related to the GCF, including implementing the no-objection procedures for approving funding proposals and concept notes, as well as nomination of prospective direct access entities to the GCF;

(c) The Cook Islands has developed a no-objection procedure through a ‘learning by doing’ approach and has considered seven projects to date. The process includes the assessment by the NDA of key elements of projects, as well as an approval process involving other relevant offices and bodies building on existing systems. The country is in the process of further refining and formalizing the procedure, which will clarify timelines for stages of the process, ensuring the relevant ministries and stakeholders are formally engaged in the review and recommendation process, and expects the Cabinet to approve the final no-objection procedure; and

(d) Countries such as Chile and Costa Rica have developed initial procedures that have been broadly shared and validated with national stakeholders and are also serving as good examples for other NDAs in the region through south–south exchanges. With GCF readiness support, they will further detail and adjust procedures based on their early experiences.

23. Other countries expected to establish no-objection procedures include:

KIRIBATI

• Design processes and procedures to consider new proposal ideas, review and approve proposals and submit no-objection [letters?]

• Convene a one-day workshop to discuss processes and procedures for no-objection [letters?] and proposals

• Identify and provide the necessary capacity development training to strengthen the NDA team and other stakeholders for effective project/programme management, monitoring and evaluation

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(i) 2017: Bangladesh, Central African Republic, Cook Islands, Ethiopia, Gabon, Guyana, India, Maldives, Mali, Montenegro, Pakistan, Thailand and Vanuatu; and

(ii) 2018: Albania, Bolivia (Plurinational State of), Chad, Congo, Democratic Republic of the Congo, Djibouti, Dominican Republic, Ecuador, El Salvador, Gambia, Georgia, Guatemala, Guinea, Haiti, Honduras, Jordan, Kiribati, Kazakhstan, Kyrgyzstan, Liberia, Mali, Mauritania, Micronesia (Federated States of), Morocco, Namibia, Oman, Paraguay, Republic of Moldova, Senegal, Swaziland, Tajikistan, Timor-Leste, Togo, Tonga, Tunisia, Uruguay and Zambia.

3.5 Private-sector engagement and mobilization

24. A fifth outcome that countries are expected to realize from readiness support is the mobilization of private-sector finance for climate action in their countries. Countries engage the private sector during their country consultative processes to identify opportunities to create enabling environments and to crowd-in private-sector investments from domestic as well as regional and international investors. Such engagements could result in the development of funding proposals for private-sector projects or programmes, including under the request for proposals targeting small- and medium-sized enterprises or to mobilize funds at scale. For example, Vanuatu has developed and launched in July 2017 the Vanuatu Business Resilience Committee which fosters private sector engagement in low-emission high climate resilient development in Vanuatu. The case of Jamaica is showcased in box 5 below.

Box 5: Activities that Jamaica is conducting to engage and mobilize the private sector

Abbreviations: ESS = environmental and social safeguards, NDA = national designated authority, PSF = Private Sector Facility.

25. Other countries expected to engage with and mobilize the private sector are:

(i) 2017: Chile, Montenegro and Tonga; and

(ii) 2018: Albania, Antigua and Barbuda, Armenia, Bahamas, Barbados, Belize, Colombia, Costa Rica, Dominica, Dominican Republic, Ecuador, Guatemala, Jamaica, Jordan, Kazakhstan, Kyrgyzstan, Kazakhstan, Moldova, Morocco, Namibia, Oman, Paraguay, Republic of Moldova, Tajikistan, Tonga and Uruguay.

JAMAICA

• Engage in dialogue with the private sector through a consultative process with the NDA (regional workshops)

• Launch a Call for project ideas from regional private sector entities aligned with the GCF investment criteria and the PSF

• Analyse barriers and propose recommendations to maximize private-sector engagement in climate change initiatives

• Assist private-sector candidates for accreditation (fiduciary, ESS, gender assessments) in developing consistent funding proposals for the GCF

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3.6 Adaptation planning process developed

26. A sixth outcome of readiness support enables countries to establish or strengthen their NAPs and/or adaptation planning processes. 34 countries have submitted readiness proposals seeking such support. The Readiness and Preparatory Support Programme has approved support that will yield such results in Liberia, Nepal and Pakistan, with implementation already underway in Liberia and Nepal. Additionally, such support to Antigua and Barbuda and Uruguay has also been endorsed for approval.

27. The following 29 countries are also seeking such support: Argentina, Armenia, Bangladesh, Benin, Bosnia and Herzegovina, Colombia, Costa Rica, Cote d’Ivoire, Democratic Republic of the Congo, Dominican Republic, Ecuador, Egypt, Honduras, Kenya, Madagascar, Malawi, Mali, Mauritania, Mongolia, Montenegro, Myanmar, Niger, Serbia, South Sudan, Sudan, Swaziland, United Republic of Tanzania, Uzbekistan and Zimbabwe. Nineteen requests come from least developed country, and two from small island developing States (SIDS).

28. To accelerate progress towards adaptation planning processes, the Secretariat has undertaken measures to strengthen the quality of submissions and to increase the efficiency of the approval process. Further guidance has been produced and shared with all NDAs and AEs to assist them in designing their adaptation planning proposals. The guidance includes an indicative list of adaptation planning outcomes and outputs and the requirements to build on complementary in-country adaptation planning processes. As an example of adaptation planning support sought from the GCF, box 6 below provides a brief overview of Pakistan’s proposal to strengthen its adaptation planning process.

Box 6: Objectives of Pakistan in strengthening its adaptation planning process

Abbreviation: NAP = national adaptation plan.

29. Additional steps are to be taken by the Secretariat in the remainder of 2017 to further support countries in strengthening the quality of adaptation planning proposals to ensure that they draw on good practices being identified based on proposals submitted to date. These steps include: (a) participating in person or virtually in all regional training provided by the Least Developed Countries Expert Group on NAPs in 2017; (b) direct engagement with numerous NDAs and current and/or potential delivery partners through thematic workshops and bilateral meetings; and (c) deepening the level of detail in guidance provided, including a set of review criteria considerations and indicative admissible activities. With an increase staff capacity, these steps are planned to increase in Q4 2017 and throughout 2018.

PAKISTAN

• Strengthen the institutional and technical capacity of the national adaptation planning process

• Establish a funding strategy for the NAP process including its implementation

• Strengthen climate information systems, and the prioritization of adaptation options

• Monitor, review and share knowledge to learn from the NAP process in Pakistan

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3.7 Knowledge-sharing and learning strengthened

30. Aside from the grants and technical assistance provided to countries, the Secretariat organizes structured dialogues and events to disseminate and share the knowledge accumulated by countries. The Secretariat has organized five major events since the beginning of 2017 and highlights from the Caribbean and Pacific Structured Dialogues, which represents most of the SIDS, are included in box 7 below.

31. Countries and entities have shared the benefits of being engaged in the regional structured dialogues organized by the Secretariat. So far, the Secretariat has organized four regional structured dialogues which facilitated engagements between NDAs, accredited entities and the Secretariat to build the pipeline for the GCF, and provided opportunities for sharing experiences, leading to furthering the understanding of countries’ experiences in engaging with the GCF. The first structured dialogues for Asia and the Caribbean, and the first regional workshop in the Eastern Europe and Central Asian countries took place during the second quarter of 2017. The Secretariat is planning a structured dialogue in Latin America at the end of November 2017 in Bogota, Colombia.

Box 7: Major outcomes from the first structured dialogue in the Caribbean

Abbreviations: CPB = country programme brief, DAE = direct access entity, NDA = national designated authority, PPF = Project Preparation Facility.

32. The Caribbean Structured Dialogue was held in Placencia, Belize, from 19 to 22 June 2017, with 66 participants representing 13 Caribbean countries, including ministers, NDA representatives, AEs and civil society organizations. The four-day gathering saw Caribbean countries come together to lay out their plans to address climate change in partnership with GCF.

GCF structured dialogue with the Caribbean

19–22 June 2017, Placencia, Belize

• 42 potential projects covering 13

countries (USD 1.2 billion in GCF

requested resources) were elaborated:

o 8 readiness proposals were

advanced for submission by

delivery partners and NDAs;

and

o A pipeline of 34 potential

projects was identified for

further development.

• 11 CPBs were approved and 4 advanced

for submission in 2017.

• Three regional initiatives were

identified for further development,

including:

o (i) Building a regional platform

to manage climate risk;

o (ii) Strengthening the capacity

of DAEs at the regional level;

and

o (iii) Mobilizing private-sector

engagement in the Caribbean

region.

• Two new national entities expressed

interest in seeking GCF accreditation,

namely St. Kitts and Nevis Development

Bank, and Trinidad and Tobago’s

Environmental Management Authority

http://www.greenclimate.fund/meetings/2017/belize

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Participants learned from the GCF and from each other, and explored areas for regional collaboration. Each country took concrete steps to move their climate priorities forward through intensive interactions with GCF, the AEs and other partners.

33. The dialogue concluded with a roadmap for the region, identifying a prospective pipeline of 42 projects and programmes with estimated GCF investment totalling USD 1.2 billion for a total project value of USD 2.1 billion. The projects and programmes were clustered around the following themes: scaling up energy access and energy efficiency; climate-proofing infrastructure; and increasing resilience in communities, ecosystems and land use. The Structured Dialogue laid the foundations for greater regional cooperation and programmes to address the challenges of climate change in the Caribbean. This was demonstrated through the following three priority regional initiatives identified for further development: (a) building a regional platform to manage climate risk; (b) strengthening the capacity of direct access entities at the regional level; and (c) mobilizing private sector engagement in the Caribbean region.

34. The GCF Structured Dialogue for the Pacific, which took place in Nukualofa, Tonga, from 18 to 21 July 2017, involved 150 participants, representing 13 out of 14 Pacific countries. These participants included members of a high-level ministerial panel, and representatives of the NDAs, AEs and civil society organizations. Given the Pacific’s success in accessing GCF resources (seven full funding proposals have been approved for the Pacific to date: six public sector and one private sector) the dialogue focused on lessons learned to date, including those as countries move towards implementation. The dialogue also focused on enhancing the engagement of the private sector.

35. The dialogue concluded by updating the Pacific Road Map, which showcased 24 concepts and funding proposals totalling USD 561 million in its regional pipeline. The priority sectors for the region are: enhanced livelihoods, resilient infrastructure, health and well-being, resilient ecosystems and low-emission energy. The dialogue was also timed to coincide with a half-day workshop for Pacific National Designed Entities for the Climate Technology Centre and Network (CTCN) and the Global Environment Facility Expanded Constituency Workshop for Asia Pacific.

36. The GCF, in implementing the Strategic Plan for the GCF and at the request of several NDAs and direct access entities, is seeking to develop innovative solutions for stakeholders to exchange knowledge. This initiative is inspired by the belief that knowledge exchange by the largest possible number of individuals and entities able and available to offer information, experience, skills and expertise on a voluntary basis, will reinforce the capacities of the NDAs and direct access entities, support access to GCF and help to build a stronger pipeline of projects and programmes.

IV. Monitoring of readiness grants

4.1 Portfolio overview and key issues

37. Of the 58 readiness grants that received first tranches of disbursements and are under implementation managed by the Portfolio Management Unit (PMU), 2 have been completed, and 22 have submitted progress reports, with only 19 submitting financial reports. The remaining 28 grants are yet to reach their reporting deadlines. See figure 4 below for an overview.

GCF/B.18/07

Figure 4: Overview of readiness grants under implementation as at August 2017

Note: The figures in the post-disbursement stages are limited to the number of readiness projects implemented under the PMU from March to August 2017.

38. The PMU was established in January 2017. One of its key tasks is to support the Division of Country Programming (DCP) in monitoring a growing number of readiness grants that are implementing activities after receiving first disbursements. Furthermore, PMU is also processing subsequent disbursements based on the review of progress and financial reports.

39. Since it started monitoring readiness grants, PMU has identified issues with 11 readiness grants, including delays in reporting and grant term expiry requiring extensions. Of the four grants whose term had expired, two recipients submitted completion and audited expenditure statements, while two others requested no-cost extensions. Of the seven grants experiencing delays in reporting, six have fulfilled all or part of their past due reporting requirements, and the seventh is in the process of doing so.

40. Under the requirements of the readiness framework agreements, the United Nations Development Programme (UNDP) and the United Nations Environment Programme (UNEP) submitted the first portfolio reports covering 10 readiness grants. One grant was cancelled at the request of the NDA due to the limitation that the implementation modality of the delivery partner posed on waiving procurement procedures.

41. For subsequent disbursements, PMU has processed the second disbursements for two grants totalling USD 184,000.

42. PMU has also been working with and other relevant divisions/offices across the Secretariat to develop and manage procedures for subsequent disbursements, and prepare relevant guidelines for such procedures.

4.2 Remedial measures undertaken to address issues

43. Contractual issues during implementation: Where PMU identified contractual issues, it has worked collaboratively with DCP to contact NDAs, AEs and delivery partners requesting justification for delays and overdue reports and provided them with new due dates and requirements. For four expired grants, the Secretariat requested financial and progress reports to verify the use of proceeds and the progress of the activities. Two of these grants proceeded with subsequent disbursements after the review of the relevant documents, while the other two (which have requested no-cost extensions) received official letters from the Secretariat including specific conditions required for the extensions.

44. Reports received in different formats: The proposals and reporting templates have been evolving during the course of the implementation of the Readiness Programme. As a result, PMU has found it somewhat challenging to review progress and financial reports that are inconsistent across reports and lacking important elements for monitoring, such milestones for activities. PMU has been working with DCP, and where required the Secretariat has also contacted NDAs, AEs and

58

22 Progress/Portfolio reports

19 Financial reports

GCF/B.18/07

delivery partners, to close information gaps. Furthermore, PMU is collaborating with DCP and other relevant divisions/units to revise templates and develop guidelines for future reporting.

45. Limited capacity: Only one officer has been monitoring the full portfolio of readiness grants under implementation, including corresponding with NDAs/AEs/delivery partners on issues during implementation, reviewing progress/portfolio reports and financial reports, managing database for readiness grants under implementation, processing subsequent disbursements, developing reporting templates, and addressing policy gaps. In order to more effectively monitor a growing portfolio of readiness grants under implementation, PMU has recently recruited a consultant and a Senior Specialist who are expected to join in September 2017.

V. Readiness Programme budget

5.1 Programme budget utilization

46. A summary of resources of the Readiness and Preparatory Support Programme, including amounts approved by the Board, resources committed, resources available for execution, and amounts disbursed and spent, is included in table 4 below. Of the total amount of USD 80 million approved by the Board, USD 45.34 million has been committed or spent, leaving USD 34.70 million available for the further execution of the programme.

47. Of the USD 45.34 million, USD 39.48 million has been committed to countries in the form of grants or technical assistance for a total of 123 requests in 88 countries (see annex I for details on the portfolio of approved requests), and an additional USD 5.82 million has been spent on activities such as events (both regionally and targeting direct access entities), on regional consultants advising and supporting countries, and on visits by NDAs to the GCF headquarters.

Table 4: Programme budget utilization up to 31 August 2017* (Millions of United States dollars)

Items 2014 2015 2016 2017 Total

Approved by Board (a) 16.00 14.00 50.00 – 80.00

Available for execution (b) 16.00 29.60 68.96 50.90 80.00

Requests submitted by countries (c)

– 12.18 23.74 118.01 153.93

Committed to countries (d) – 9.39 15.64 14.45 39.48

Disbursed (e) – 0.31 3.09 6.89 10.29

Other expenses or commitments (f)

0.4 1.25 2.37 1.80 5.82

Total committed or spent (g) = (d) + (f)

0.4 10.64 18.06 16.24 45.30

Balance available for commitments (h) = (b) – (g)

15.6 18.96 50.90 34.66 34.70

Notes: (a) includes amounts approved by the Board at B.06, B.08, B.11 and B.15 for execution of the Programme

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(b) includes amounts approved by the Board plus budget available for execution from the previous year (c) includes requests officially submitted as proposals by national designated authorities (NDAs)/focal points for all activities to date (d) includes resources committed by way of approvals of grants and technical assistance (i.e. PricewaterhouseCoopers support for direct access entities) (e) includes resources disbursed (f) includes other expenses incurred or committed towards the organization of events, hosting NDAs visiting the Secretariat and in-kind support provided by consultants (g) includes all commitments and expenditures (h) balances available for further commitments * All lines are updated to 31 August 2017 except (f), as this is not confirmed from the finance team. The Secretariat has committed USD 0.3 million to develop an online platform to support the NDAs and the direct access entities, which has been added to line (f).

5.2 Budget forecast to close the rest of 2017

48. The Readiness Programme has USD 34.70 million available for further commitments according to the table 4 above. With the remaining readiness proposals from 2017 that need further processing and those projected for submission in the last quarter of 2017, the Secretariat is faced with both a lack of human capacity to operationally process them, and financial resources to further approve and take on additional readiness funding commitments under the current budget allocation. The Secretariat has analysed the current portfolio of those already submitted, and those projected to be submitted, along with proposals that need commitments. The section below explains the analysis conducted and the additional resources required to meet future commitments.

Table 5: Q1–Q3 readiness proposals submitted and approved as at August 2017 (number of proposals; USD millions in brackets)

Q1 Q2 Q3 Total

Submitted Approved Submitted Approved Submitted Approved Submitted Approved

NAPs 7 – 7 – 15 29 –

(20.90) – (17.09) – (42.78) (80.77) –

Other readiness proposals

31 20 31 12 37 5 99 37

(11.14) 7.16 (11.20) 2.64 (16.15) (0.71) (38.49) (10.51)

Total 38 20 38 12 52 5 128 37

(32.04) 7.16 (28.29) 2.64 (58.93) (0.71) (119.26) (10.51)

Table 6. Projected approvals of those proposals that have been reviewed by the Secretariat (number of approvals; USD millions in brackets)

Q3 2017 Q4 2017

NAPs 3 1

(8.90) (2.60)

Other readiness proposals 3 15

(1.77) (5.15)

Events (Latin American Structured Dialogue, Africa Structured Dialogue)

(0.30) (0.80)

Total (10.97) (8.50)

(19.52)

49. The Secretariat has already reviewed 35 readiness proposals that have been submitted since the beginning of 2017 and that are pending final approval; some of them are expected to materialize into full commitments within the next 1–2 months, as shown on table 6. Thus, of the

GCF/B.18/07

USD 34.70 million, the Secretariat will be left with USD 15.18 million without processing any other additional readiness proposals. If the Secretariat were to only approve non-adaption planning-oriented readiness proposals, excluding all the adaptation planning proposals submitted and currently under review, it will have USD 26.68 million available.

50. The Secretariat expects to process and approve most of the pending proposals within the next 3–4 months, and therefore with the USD 15.18 million available the Secretariat would exceed the resources available to make further commitments. The Secretariat could approve readiness proposals other than adaptation planning proposals with the remaining resources, but under this scenario none of the adaptation planning proposals could be approved. Table 7 shows the required financial resources if the Secretariat were to review and approve all of the readiness proposals (including adaptation planning) by end of the year. Table 8 presents a more realistic and conservative projection of those in table 7, based on current capacity, indicating the number of requests and associate monetary value that will realistically be reviewed and approved by end of the year.

Table 7: Proposals that have been submitted between Q1 and Q3 2017, and need to be reviewed and approved

Number of submissions Amount (USD millions)

NAPs and/or other adaptation planning processes

25 71.59

Other readiness proposals 31 15.84

Total 56 87.43

Table 8: Estimated approvals of those pending proposals submitted between Q1 and Q3 2017

Number of submissions Amount (USD millions)

NAPs and/or other adaptation planning processes

17 43.9

Other readiness proposals 25 12.0

Total 42 55.9

51. As shown in table 9, from the Q4 submissions, the Secretariat would need to focus mostly on the readiness proposals for non-adaptation planning because of the annual cap, and to defer further approval of adaptation planning proposals submissions until 2018.

GCF/B.18/07

Table 9: Q4 readiness proposals projections in submissions and approvals (as of 31 August 2017)

Activity

Submissions Approvals

(estimate, USD millions)

Number of requests Amount

(USD millions)

Strengthening national designated authorities and country programming

16 5.9 4.9


7 0.52 0.21

Strategic frameworks

20 6.15 4.89

Adaptation planning 20 57.5 –

Total 63 70.07 10

52. In summary, based on the analysis above, the scenarios to close of 2017 (with and without adaptation planning proposals) are as shown in table 10 below, and are consistent with the estimates previously presented at the fifteenth meeting of the Board (B.15) for the 2017 Readiness budget.

Table 10: Total budget needed to close 2017 (USD millions)

Without national adaptation plans

With national adaptation plans

Budget approved by Board 80 80

Committed as of 31 August 2017 45.30 45.30

Approvals pending for reviewed proposals 8.02 19.52

Approvals likely for Q1–Q3 submissions pending review

12 55.9

Approvals likely for Q4 submissions 10 10

2017 closing balance 4.68 –50.72

5.3 Budget projections for 2018

53. The Secretariat is also projecting to process 140 proposals by end of 2018, and would need additional resources to be approved by the Board in order to be able to do so. The indicative projections are shown in table 11 below, by activities.

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Table 11: Indicative projections of readiness requests to be processed in 2018 by type of activity

Readiness activities

Requests

Projected disbursements Number

Estimated average

value (USD)

Total (USD)

Adaptation planning

40 2,500,000 100,000,000 30,000,000

National designated authority support, including for country programmes

40 500,000 20,000,000 10,000,000

Strategic frameworks for GCF programming

20 500,000 10,000,000 7,000,000


20 250,000 5,000,000 3,000,000

Structured dialogues and other knowledge-sharing activities

10 500,000 5,000,000 5,000,000

Total 130 – 140,000,000 55,000,000

54. In conclusion, based on the analysis set out above, the Secretariat requests the Board to approve a total budget of USD 190.76 million, of which USD 50.72 million would be to close 2017 and USD 140 million to close 2018.

55. The Secretariat is considering options to continue to strengthen the Readiness and Preparatory Support Programme that could serve as a strategic tool at the very beginning of the project cycle. Objectives may be to further ensure the programme so that it: (a) is truly country-driven; (b) results in strengthening in-country capacity; (c) is directly focused on the countries’ specific needs as expressed by the NDA; and (d) is directly aligned with strengthening the quality of project and programme funding proposals. Additional capacity and resources will be required in the last quarter of 2017 and into 2018 for effective implementation, consistent with previous Board decisions on country resource allocation under the Readiness and Preparatory Support Programme.

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Annex I: Readiness and Preparatory Support portfolio by region as at August 2017

Region Country Results Delivery Partner

Approved amount (USD) Disbursed (%)

Duration (months) 2015 2016 2017

Africa

Benin No-objection procedure established UNEP 150,000 24 Direct access entities accreditation supported and pipeline developed

PwC 37,000 36,070*

(completed) -

Burkina Faso

No-objection procedure established

IUCN

300,000

12

National stakeholders engaged in dialogues on country programmes

Direct access entities accreditation supported and pipeline developed

Country programmes and pipeline developed

Private sector engaged and mobilized

Cameroon


IUCN

300,000

12





Central African Republic

No-objection procedure established UNDP 300,000

150,000 (50%)

12 National stakeholders engaged in dialogues on country programmes

Chad No-objection procedure established

CSE 300,000

120,000 (40%)


Comoros No-objection procedure established

UNDP 300,000


Congo No-objection procedure established

UNDP

300,000

150,000 (50%)


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Africa

Côte d'Ivoire No-objection procedure established

CSE 300,000


Democratic Republic of Congo

No-objection procedure established CSE 300,000

120,000 (40%)


Djibouti No-objection procedure established

CSE 300,000

120,000 (40%)


Egypt


UNEP

300,000 122,456 (41%)



Ethiopia

No-objection procedure established Ministry of Finance and

Economic Planning

300,000

120,000 (40%)


Gabon

No-objection procedure established CDC-Gabon

300,000

120,000 (40%)



PwC

33,415 -

Gambia


Economic Affairs

300,000

75,000 (25%)


Ghana Country programmes and pipeline developed

CTCN

300,150 300,150 (100%)

13

Guinea


UNDP 300,000

300,000 (100%)



GCF/B.18/07




Africa

Kenya No-objection procedure established

Kenya National Treasury

150,000

12


PwC 37,000 34,102*

(completed) -

Liberia

No-objection procedure established UNDP 300,000

150,000 (50%)


Adaptation planning processes developed

UNDP

2,263,467 804,684 (36%)

24

Mali

No-objection procedure established Sahel Eco 41,165

41,165 (100%)


No-objection procedure established Sahel Eco 252,000

100,000 (40%)


Mauritania

No-objection procedure established Ministry of Environment

and Sustainable

Development (CCPNCC)

300,000 120,000 (40%)


Mauritius


Ministry of Finance and

Economic Development

(MoFED)

300,000

12





GCF/B.18/07




Africa

Morocco


Beya Capital

300,000

100,000 (33%)

12




Private Sector engaged and mobilized Direct access entities accreditation supported and pipeline developed

ADA

300,000

24 Country programmes and pipeline developed

Namibia


EIF Namibia

391,009

244,209 (62%)

12





Niger


UNEP

300,000

18





Rwanda


Environment and Climate

Change Fund 300,000

120,000 (40%)

12




GCF/B.18/07




Africa

Senegal

No-objection procedure established CSE 300,000

120,000 (40%)



IFC

600,000 12


CSE

205,000 24


PwC

29,722 -

Seychelles Direct access entities accreditation supported and pipeline developed

PwC

37,000 34,222*

(completed) -

South Africa


SANBI

380,000



Swaziland No-objection procedure established

UNDP 300,000

150,000 (50%)


Togo No-objection procedure established

CSE 300,000

100,000 (33%)


Tunisia No-objection procedure established The Sahara

and Sahel Observatory

300,000

250,000 (83%)


United Republic of Tanzania


Planning 300,000

12 National stakeholders engaged in

dialogues on country programmes

Zambia No-objection procedure established

Ministry of Finance

300,000

60,000 (20%)


Zimbabwe No-objection procedure established

UNEP

300,000


GCF/B.18/07




Africa Zimbabwe Direct access entities accreditation supported and pipeline developed

PwC

33,915 -

Asia Pacific

Bangladesh

No objection procedure established UNDP 150,000 150,000

(100%) 12


GIZ 150,000 69,680

(46%) 12


PwC

34,620

-

Cambodia


PwC

37,000 35,343*

(completed) -

No-objection procedure established DCC of the General

Secretariat of the National Council for Sustainable

Development

272,338

20




Cook Islands



Economic Planning

150,000

135,000 (90%)

12


PwC

29,722 -



Economic Planning

685,900

24




GCF/B.18/07




Asia Pacific

Micronesia (Federated States of)

No-objection procedure established Secretariat of the Pacific

Community (SPC)

300,000

250,000 (83%)



PwC

74,000 76,037*

(completed) -

India No-objection procedure established

UNDP 300,000

150,000 (50%)


Jordan


UNEP

300,000 150,000 (50%)

18





Kazakhstan


UNDP

300,000

12





Kiribati


NZ MFAT

585,935

24





GCF/B.18/07




Asia pacific

Kyrgyzstan No-objection procedure established

FAO

300,000


Lao PDR No-objection procedure established

UNDP

300,000 150,000 (50%)


Maldives


UNEP

300,000 198,545 (66%)



Mongolia


XacBank 300,000

12




Private sector engaged and mobilized No-objection procedure established

GGGI

350,000



Myanmar Country programmes and pipeline developed

CTCN

338,680 12

Nauru


PIFS

339,250

24





GCF/B.18/07




Asia Pacific

Nepal Adaptation planning processes developed

UNEP

2,935,350 456,410

(16%) 36

Niue


PwC 37,000 42,122*

(completed) -


NZ MFAT

558,858

24





Oman


Sultan Qaboos University

300,000 150,000 (50%)

12





Pakistan


PwC

37,000 35,367*

(completed) -

No-objection procedure established NRSP 300,000

135,000 (45%)


Adaptation planning processes developed

UNEP

3,000,000 36

Palau Direct access entities accreditation supported and pipeline developed

PwC

37,000 37,890*

(completed) -

Philippines

No-objection procedure established Department of Environment and Natural Resources

300,000


GCF/B.18/07




Asia Pacific

Thailand No-objection procedure established GIZ 292,184 104,343

(36%) 6

Timor-Leste No-objection procedure established

UNDP

300,000

150,000 (50%)


Tonga



National Planning

300,000

130,000 (43%)

12




Private sector engaged and mobilized National stakeholders engaged in dialogues on country programmes

CTCN

200,000 200,000 (100%)



Vanuatu

No-objection procedure established GIZ 300,000

120,616 (40%)



SPREP 137,000 123,585 (90%)

5


GGGI

370,000

296,000 (80%)



Vietnam

No-objection procedure established Ministry of

Planning and Investment

299,634


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Latin America and the

Caribbean

Antigua and Barbuda

No-objection procedure established Ministry of Health and

Environment 300,000

250,000 (83%)


Direct access entities accreditation supported and pipeline developed Ministry of

Health and Environment

620,250 235,000 (38%)


Private sector engaged and mobilized Direct access entities accreditation supported and pipeline developed

PwC

30,209 -

Bahamas


Caribbean Community

Climate Change Centre

300,000

250,000 (83%)

12





Barbados



Economic Affairs

300,000

12





Belize


Caribbean Community


300,000

122,500 (41%)

12





GCF/B.18/07





Caribbean

Bolivia (Pluri-national State of)

No-objection procedure established Ministry of

Development Planning

300,000

60,000 (20%)


Brazil Direct access entities accreditation supported and pipeline developed

PwC 37,000 33,851*

(completed) -

Chile

No-objection procedure established Chilean Development Cooperation

Agency

300,000

200,000 (67%)



CAF

700,000



CAF

300,000


Colombia


PwC 74,000 68,639*

(completed) -

No-objection procedure established Colombian

Presidential Agency of

International Cooperation

(APC-Colombia)

380,000

12





Costa Rica


CAF

300,000

12




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Caribbean

Dominica


UNDP

464,778 232,389 (50%)

24





Dominican Republic


FRP 300,000

75,000 (25%)

12





Ecuador


UNDP

300,000

12





El Salvador No-objection procedure established

300,000


Grenada No-objection procedure established

GIZ

380,311


GCF/B.18/07





Caribbean

Guatemala


IUCN

300,000

12





Guyana

No-objection procedure established Caribbean Community


300,000

120,000 (40%)


Haiti


UNDP

430,000

215,000 (50%)



Honduras

No-objection procedure established MiAmbiente

300,000

135,000 (45%)



PwC 74,000 68,346*

(completed) -

Jamaica


MEGJC

300,000

18 National stakeholders engaged in

dialogues on country programmes


582,000

18 Private sector engaged and mobilized

Mexico Direct access entities accreditation supported and pipeline developed

PwC

37,000 35,445*

(completed) -

GCF/B.18/07





Caribbean

Paraguay


CAF

300,000

12





Peru Direct access entities accreditation supported and pipeline developed

PwC

33,415 -

Saint Vincent and the Grenadines

No-objection procedure established Ministry of Economic Planning,

Sustainable Development,

Industry, Labour and Information

300,000 120,000 (40%)


Uruguay


UNDP

370,000 185,000 (50%)

12




Private sector engaged and mobilized Direct access entities accreditation supported and pipeline developed

PwC

28,203 -

GCF/B.18/07




Eastern Europe

Albania


UNEP

300,000

147,500 (49%)

12





Georgia

No-objection procedure established GIZ

300,000

81,930 (27%)



PwC

33,915 -

Moldova


Climate Change Office,

Ministry of Environment

300,000

24





Montenegro


UNEP

300,000

145,000 (48%)

12





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* These approved and implemented readiness proposals have been completed. The support provided is under the technical assistance contract between the GCF and PricewaterhouseCoopers (PwC) for conducting gap assessments and developing action plans for entities nominated by the NDAs/Focal Points for accreditation. An average of 15 entities may receive support under this contract totaling USD 555,000 (e.g. approximately USD 37,000 per entity, subject to changes pending actual expenses incurred during site visits to the entities, as consulted with the NDA/Focal Point). The differences shown between the actual disbursement following completion compared to the potential disbursement at the approval stage take into account the actual expenses during the site visit.




Eastern Europe

Serbia


UNEP

300,000

12




Private sector engaged and mobilized TOTAL 9,390,184 15,693,796 14,446,250 10,296,128

GCF/B.18/07

Annex II: Readiness and Preparatory Support in pipeline as at August 2017

Region Country Activity Delivery Partner Amount (USD) Duration (months)

Africa

Benin NDA strengthening and country programme UNEP 299,998 24 Adaptation planning UNDP 2,916,514 36

Botswana NDA strengthening and country programme GIZ 507,212 18 Burkina Faso Strategic frameworks FAO 342,815 18

Burundi NDA strengthening and country programme UNDP 500,000 24 Strategic frameworks* COMIFAC 100,000 18

Cameroon Strategic frameworks* COMIFAC 100,000 18

Central African Republic Strategic frameworks COMIFAC 328,020 18 NDA strengthening and country programme CFRD International 300,000 Strategic frameworks* COMIFAC 100,000 18

Chad Strategic frameworks* COMIFAC 100,000 18

Congo Strategic frameworks FAO 820,000 12 Strategic frameworks* COMIFAC 100,000 18

Cote d’Ivoire Adaptation planning UNDP 2,999,783 36

Democratic Republic of the Congo

Adaptation planning UNDP 2,999,646 36 Entity support Beya Capital 700,000 18 Entity support ETI Consulting 349,965 24 Strategic frameworks ETI Consulting 398,764 24 Strategic frameworks COMIFAC 100,000 18

Egypt Adaptation planning UNDP 2,811,414 36

Equatorial Guinea NDA strengthening and country programme FAO 300,000 12 Strategic frameworks* COMIFAC 100,000 18 Strategic frameworks FAO 600,000 12

Gabon Strategic frameworks* COMIFAC 100,000 18 Guinea-Bissau NDA strengthening and country programme Beya Capital 300,000 12

Kenya Adaptation planning FAO 3,000,000 36 Strategic frameworks NEMA 776,160 24

Lesotho NDA strengthening and country programme DBSA 300,000 24 Libya NDA strengthening and country programme OSS 300,000 24

Madagascar NDA strengthening and country programme UNEP 300,000 12 Adaptation planning UNDP 2,994,276 36

Malawi NDA strengthening and country programme UNDP 300,000 24

GCF/B.18/07


Adaptation planning UNEP 2,814,021 30 Mali Adaptation planning Sahel Eco 2,557,357 24 Mauritania Adaptation planning UNEP 2,965,231 36 Morocco NDA strengthening and country programme GIZ 700,000 18

Mozambique NDA strengthening and country programme

Fundo Nacional de

Desenvolvimento

Sustentavel (FNDS)

300,000 36

Namibia NDA strengthening and country programme, entity support

EIF 300,000 24

Niger Adaptation planning UNDP 3,000,000 36 Nigeria NDA strengthening and country programme UNDP 300,000 18

Rwanda Strategic frameworks GGGI 600,000 12 Strategic frameworks* COMIFAC 100,000 18

Sao Tome and Principe Strategic frameworks* COMIFAC 100,000 18 Senegal Strategic frameworks FAO 315,700 18

Seychelles NDA strengthening and country programme

Development Bank of Seychelles

300,000 13

Entity support Indian Ocean Commission

756,987 24

Sierra Leone NDA strengthening and country programme Environmental

Protection Agency 300,000 12

South Sudan NDA strengthening and country programme UNEP 300,000 18 Adaptation planning UNEP 3,000,000

Sudan NDA strengthening and country programme UNDP 300,000 24 Adaptation planning FAO 2,796,750 18

Swaziland Adaptation planning UNEP 2,796,359 36 United Republic of Tanzania

Adaptation planning UNDP 3,000,000 36

Zimbabwe Strategic frameworks The Ocean Foundation 983,174 6 Adaptation planning UNEP 2,993,349 36

Asia Pacific Bangladesh Adaptation planning UNDP 3,000,000 36 Indonesia NDA strengthening and country programme LEAD Pakistan 300,000 12 Iraq NDA strengthening and country programme UNDP 668,295 24

GCF/B.18/07


Lao People’s Democratic Republic

Entity support GIZ 300,000 12

Malaysia NDA strengthening and country programme Carbon Trust 300,000 6 Marshall Islands NDA strengthening and country programme SPREP 300,000 12

Mongolia Adaptation planning UNEP 2,969,670 36 Strategic frameworks UNEP 382,500 12 Entity Support PwC 33,915 -

Myanmar Adaptation planning UNEP 2,850,000 36 NDA strengthening and country programme UNEP 300,000 18

Pakistan Entity support GIZ 345,780 18

Palestine NDA strengthening and country programme UNDP 327,779 24 Strategic frameworks UNEP - CTCN 255,000 12

Papua New Guinea NDA strengthening and country programme GGGI 952,825 24 Samoa Strategic frameworks SPREP 77,743 6 Sri Lanka NDA strengthening and country programme UNEP 851,466 36

Tajikistan NDA strengthening and country programme Committee for

Environment Protection 300,000 18

Uzbekistan Adaptation planning UNDP 2,994,607 48 Viet Nam Entity Support PwC 35,722 -

Latin America and the Caribbean

Antigua and Barbuda Adaptation planning Ministry of Health and

Environment 3,000,000 36

Argentina

Entity support UCAR 265,000 24 Strategic frameworks Fundacion Avina 434,824 18 Adaptation planning UCAR 2,932,426 36 NDA strengthening and country programme 300,000 24

Chile Strategic frameworks CAF 700,000 12

Colombia Adaptation planning

Fondo para la Acción Ambiental y Niñez (FONDO ACCIÓN)

2,683,977 30

Strategic frameworks Asobancaria 315,000 12 Strategic frameworks Findeter 310,000 12

Costa Rica Adaptation planning UNEP 2,594,390 36 Cuba NDA strengthening and country programme UNDP 360,000 18 Dominican Republic Adaptation planning UNEP 2,112,239 36 Ecuador Adaptation planning UNDP 3,000,000 36

GCF/B.18/07


Guyana Strategic frameworks FAO 700,000 18

Honduras Strategic frameworks UNEP 764,960 18 Adaptation planning UNEP 2,487,435 36

Uruguay Adaptation planning UNDP 2,998,380 36

Eastern Europe

Armenia Adaptation planning EPIU SI 2,936,914 48 NDA strengthening and country programme UNDP 300,000 24

Azerbaijan NDA strengthening and country programme UNDP 300,000 18 Bosnia and Herzegovina Adaptation planning UNDP 3,000,000 36 Montenegro Adaptation planning UNDP 2,997,606 48 Serbia Adaptation planning UNDP 2,999,528 48

TOTAL 113,861,476

* This is a regional proposal submitted by 10 countries, contributing $100,000 each, which is under Secretariat’s review for approval. Each country contributing their allocation is noted.

GCF/B.18/Inf.XX

Annex III: Expected results from the readiness resources disbursed

Country (USD disbursed)

List of selected outputs Due

Albania, UNEP (USD 147,500)

• Knowledge and capacity of NDA strengthened • No-objection procedure established • Country programme developed

May 2018

Antigua and Barbuda, Ministry of Health and Environment (USD 250,000)

• Internal processes for project management, reporting and participatory project identification improved

• Knowledge management, communication and public awareness improved

• Country programme developed

May 2017

Antigua and Barbuda, Ministry of Health and Environment (USD 235,000)

• EDA project proposal developed and submitted • A sub-regional structured dialogue between OECS and

the GCF organized • Comprehensive training programme on environmental

and social safeguards, and gender implemented

April 2018

Bahamas Caribbean Community Climate Change Centre (USD 250,000)

• Knowledge and capacity of NDA strengthened • Country programme developed

August 2018

Bangladesh, UNDP (USD 150,000)

• Country programme developed through a stakeholder engagement process, and including programming priorities and programme/project concepts

October 2017

Bangladesh, GIZ (USD 69,680)

• Knowledge and capacity of NDA strengthened • No-objection procedure established

January 2018

Belize Caribbean Community Climate Change Centre (USD 122,500)

• Knowledge and capacity of NDA strengthened • Country programme developed

August 2018

Benin, PwC (USD 36,070)

• Institutional gaps identified for the entity nominated by the NDA

• Action plans based on the gap assessments generated

Completed

Bolivia (Plurinational State of), Ministry of Development Planning (USD 60,000)

• Strengthening of the NDA capacity on knowledge management, procedures and systems regarding GCF operations

• Country programme prepared

October 2017

Brazil, PwC (USD 33,851)



Completed

Cambodia, PwC (USD 35,343)



Completed

Central African Republic, UNDP (USD 150,000)

• Multi-party training, workshops and consultations • Assessment of mitigation and adaptation priorities • Identification of roles for prospective public- and

private-sector entities that may be accredited by the GCF


April 2018

GCF/B.18/Inf.XX



Chad, CSE (USD 120,000)

• Knowledge and capacity of the NDA strengthened • No-objection procedure established • Country programme developed

March 2019

Chile, Chilean International Cooperation Agency (USD 200,000)


April 2018

Colombia, PwC (USD 68,639)

• Institutional gaps identified for the two entities nominated by the NDA


Completed

Congo, UNDP (USD 150,000)

• Strengthened capacities of the NDA • Increased awareness of relevant stakeholders about the

opportunities and procedures of the GCF • Country programme developed

April 2018

Cook Islands, Ministry of Finance and Economic Management (USD 135,000)

• Online materials on the nomination of direct access entities and a no-objection procedure developed

• Assessment of the country’s priorities in line with the principles of the GCF, identified through stakeholder consultations

January 2017 (mid-term report received)

Democratic Republic of Congo, CSE (USD 120,000)

• Coordination process among stakeholders improved • Country programme prepared

February 2018

Dominica UNDP (USD 232,389)

• Knowledge and capacity of NDA strengthened • Country programme developed • Private sector engaged in climate finance consultative

processes

August 2019

Djibouti, CSE (USD 120,000)

• Country programme prepared • Multi-party training, workshops and consultations • Assessment of mitigation and adaptation priorities

August 2018

Dominican Republic Fundación Reservas del País (USD 75,000)

• Country programme prepared • Strengthening of the NDA capacity on knowledge

management, procedures and systems regarding GCF operations

April 2018

Egypt, UNEP (USD 122,456)

• Country programme prepared • Coordination process among stakeholders established • Candidate entities identified and nominated for

accreditation

January 2019

Ethiopia, Ministry of Finance and Economic Cooperation (USD 120,000)

• Coordination process among stakeholders established • Training provided to the NDA on the operations of the

GCF • Communication plan prepared • Country programme prepared

September 2017

Gabon, CDC-Gabon (USD 120,000)

• Country programme prepared • Strengthening of the NDA capacity on knowledge

management, procedures and systems regarding GCF operations

November 2017

Gambia, Ministry of Finance and Economic Affairs (USD 75,000)

• Country programme prepared • Coordination process among stakeholders established • Assessment of country’s mitigation and adaptation

priorities

April 2018

Georgia, GIZ

• Country programme prepared July 2018

GCF/B.18/Inf.XX



(USD 81,930) • Designated NDA and institutional arrangements strengthened and supported for engagement with the GCF

Ghana, CTCN (USD 300,150)

• Awareness and knowledge of spatially distributed drought issues within Ghana enhanced

• Scientific based information for drought warning and forecasting within Ghana provided

• Both a roadmap and a GCF Concept note developed proposing how this initiative could be up-scaled nationally, to facilitate agreement on direction and access to financing

August 2018

Guinea, UNDP (USD 300,000)

• Improved capacity to coordinate and consult with stakeholders

• Assessment of country’s mitigation and adaptation priorities

• Identification of roles of prospective public- and private-sector entities that may be nominated for accreditation by the GCF


October 2017

Guyana, Caribbean Community Climate Change Centre (USD 120,000)

• Capacity to coordinate across stakeholders and facilitate effective consultation and communication

• Establishment of a system for reviewing proposals and issuing no-objections

• Capacity and systems to monitor, evaluate and report on the activities of the GCF

• Priorities for project and concepts determined • Country programme prepared

March 2017

Haiti UNDP (USD 215,000)

• Knowledge and capacity of NDA strengthened • No-objection procedure established • Country programme developed • National entities identified and prepared for

accreditation

August 2019

Honduras, Secretariat of State of Energy, Natural Resources, Environment and Mining (USD 135,000)


March 2018

Honduras, PwC (USD 68,346)



Completed

India, UNDP (USD 150,000)

• Designated NDA and institutional arrangements strengthened and supported for engagement with the GCF


April 2018

Jordan UNEP (USD 150,000)


January 2019

Kenya, PwC (USD 34,102)



Completed

Lao PDR • Strengthened capacities of the NDA February 2019

GCF/B.18/Inf.XX



UNDP (USD 150,000)


Liberia, UNDP (USD 954,684)

• Strengthened capacities of the NDA • Country programme developed

April 2018

• National adaptation planning processes developed July 2020

Maldives UNEP, (USD 198,545)


July 2018

Mali, Sahel Eco (USD 141,000)

• Workshop on country programming priorities Completed

• Country programme prepared • NDA capacity for project prioritization improved

Interim report expected by end Nov 2016

Mauritania Ministry of Environment and Sustainable Development (CCPNCC) (USD 120,000)


June 2019

Mexico, PwC (USD 35,445)



Completed

Micronesia (Federated States of), Secretariat of the Pacific Community (USD 250,000)

• Coordination process among stakeholders improved • Country programme prepared

December 2017

Micronesia (Federated States of), PwC (USD 76,037)



Completed

Montenegro, UNEP (USD 145,300)

• Knowledge and capacity of the NDA strengthened • No-objection procedure established • Priorities and modalities for project preparation

support identified • Country programme developed

May 2018

Morocco, Beya Capital (USD 100,000)

• Country programme prepared • Multi-party training, workshops and consultations • Assessment of mitigation and adaptation priorities

April 2018

Namibia, EIF (USD 244,209)

• Fiduciary, environmental and social safeguards, and monitoring and evaluation capacities of EIF strengthened

• EDA tourism proposal developed

June 2018

Nepal UNEP (USD 465,410)

• National adaptation planning processes developed July 2020

Niue, PwC (USD 42,122)



Completed

Oman Sultan Qaboos University (USD 150,000)

• Institutional capacities strengthened to develop strategic frameworks and to identify implementing entities at various levels along with capacity development

July 2018

GCF/B.18/Inf.XX



• Pipeline of potential projects/programmes aligned with country objectives and investment criteria of the Green Climate Fund identified

Pakistan, NRSP (USD 135,000)

• Country programme prepared • Coordination process among stakeholders improved • Strengthened capacities of the NDA

February 2018

Pakistan, PwC (USD 35,367)



Completed

Palau, PwC (USD 37,890)



Completed

Rwanda, Environment and Climate Change Fund (USD 120,000)

• Country programme prepared • Process for supporting coordination across

stakeholders established • A no-objection procedure established

Due December 2016 (interim report received)

Saint Vincent and the Grenadines Ministry of Economic Planning, Sustainable Development, Industry, and Information (USD 120,000)

• Country programme prepared • Strengthened institutional capacities of the NDA

February 2019

Senegal, CSE (USD 120,000)

• Process for supporting coordination across stakeholders established

• A no-objection procedure established • Country programme prepared

December 2017

Seychelles, PwC (USD 34,222)



Completed

Swaziland, UNDP (USD 150,000)

• Establishment of an articulated framework for engagement with the GCF

• Integration of a gender perspective in the identification of transformational investment opportunities


April 2018

Thailand, GIZ (USD 104,343)

• Strengthened institutional capacities of the NDA July 2017

Timor-Leste, UNDP (USD 150,000)

• Strengthened institutional capacities of the NDA • Country programme developed

April 2018

Togo, CSE (USD 100,000)

• Outreach and information tools on the GCF developed • Potential implementing entities and project sponsors

encouraged and prepared to submit projects to the GCF • Establishment of a no objection procedure • Country programme developed

August 2018

Tonga, Ministry of Finance and National Planning (USD 130,000)

• Process for supporting coordination across stakeholders established

• A no-objection procedure established • Country programme prepared

April 2018

Tonga, CTCN

• Tonga Energy Efficiency Master Plan (TEEMP) developed with achievable energy efficiency (EE) and

January 2019

GCF/B.18/Inf.XX



(USD 200,000) greenhouse (GHG) targets to ensure the transition to an energy efficient future

Tunisia, Sahara and Sahel Observatory (USD 250,000)

• Country programme prepared • NDA capacity to assess projects or programmes for GCF

financing improved

November 2018

Uruguay UNDP (USD 185,000)

• Knowledge and capacity of NDA strengthened • Country programme developed • National entities identified and prepared for

accreditation

Vanuatu GIZ (USD 120,616)

• Country programme prepared • Process for supporting coordination across

stakeholders established • A no-objection procedure established

January 2019

Vanuatu SPREP (USD 123,585)

• The Climate Information and Services needs of policy developers, planners and decision makers in Vanuatu determined

November 2016 (final report and audit report received)

Vanuatu GGGI (USD 296,000)

• First stage of development of National Green Energy Fund (NGEF) completed

January 2018

Zambia Ministry of Finance (USD 60,000)

• Country programme developed • NDA capacity to assess projects or programmes for GCF

financing improved

October 2017

Abbreviations: CDC-Gabon = Caisse Des Depots et Consignations – Gabon, CSE = Centre de Suivi Ecologique. CTCN =

Climate Technology Centre and Network, EDA = enhanced direct access, EIF = Environmental Investment Fund, GGGI =

Global Green Growth Institute, GIZ = Deutsche Gesellschaft für Internationale Zusammenarbeit, NDA = national

designated authority, NRSP = National Rural Support Programme, OECS = Organisation of Eastern Caribbean States,

PwC = PricewaterhouseCoopers, SPREP = Secretariat of the Pacific Regional Environment Programme, UNDP = United

Nations Development Programme, UNEP = United Nations Environment Programme.

GCF/B.18/Inf.XX

Annex IV: Countries whose national designated authorities/focal points nominated entities that are receiving in-kind accreditation support as at August 2017

Asia and the Pacific Africa Latin America and the

Caribbean

Eastern Europe

Bangladesh (5) Benin (2) Antigua and Barbuda (2) Albania (2)

Bhutan Botswana Argentina (2) Armenia

Cambodia Cameroon Belize Georgia (3)

China (3) Central African Republic Brazil (3)

Cook Islands (2) Chad (2) Colombia (4)

Fiji (2) Congo El Salvador (3)

India (5) Côte d'Ivoire (2) Grenada

Indonesia (5) Democratic Republic of

the Congo Guatemala (2)

Jordan (4) Ethiopia Haiti

Republic of Korea Equatorial Guinea Honduras (3)

Lao PDR Gabon (2) Mexico (4)

Maldives Gambia (2) Panama (3)

Marshall Islands (2) Kenya (3) Peru (2)

Micronesia

(Federated States of) (3) Mali Uruguay

Mongolia (4) Mauritania (2) Venezuela

Nepal (2) Morocco (5)

Niue Mozambique

Pakistan (5) Namibia (2)

Palau Rwanda

Philippines Senegal (3)

Samoa Seychelles (2)

Sri Lanka South Africa (4)

Viet Nam (2) Tanzania

Tunisia (5)

Uganda (2)

Zambia (2)

Zimbabwe

Note: The numbers in parentheses are the number of entities.

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