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United Nations Development ProgrammeCountry: Philippines

Programme Document

Programme Title: Philippines Green Climate Fund Readiness Programme

UNDP Strategic Plan Outcomes: #1. Growth and development are inclusive and sustainable, incorporating productive capacities that create employment and livelihoods for the poor and excluded; #5. Countries are able to reduce the likelihood of conflict and lower the risk of natural disasters, including from climate change

UNDAF Outcome: #4. Adaptive capacities of vulnerable communities and ecosystems are strengthened to be resilient to threats, shocks, disasters, and climate change.

Expected CP Outcomes: #4.1. By 2018, vulnerable communities and the national and local governments are better able to manage natural and human-induced disaster risks; #4.2. By 2018, capacities of vulnerable communities to adapt to climate change are enhanced; #4.3. By 2018, capacities of national & local government officials and communities to conserve & sustainably manage the country’s environment and natural resources, including biodiversity and sustainable energy sources are enhanced.

Implementing Partner: Climate Change Commission (CCC)

Responsible Parties: United Nations Environment Programme (UNEP); World Resources Institute (WRI); Philippine Atmospheric, Geosciences and Services Administration (PAGASA); Department of Environment and Natural Resources (DENR); DENR Environmental Management Bureau (EMB); DENR Forest Management Bureau (FMB); Department of Finance (DOF); Department of Interior and Local Government (DILG) and UNDP

Brief Description

The primary objective of the Philippines Green Climate Fund (GCF) Readiness Programme is to support the Government of Philippines in strengthening their national capacities to effectively and efficiently plan for, access, manage, deploy and monitor climate financing in particular through the GCF. Specifically, the Programme will support capacitation and empowerment of the Philippines’ Climate Change Commission (CCC) as the National Designated Authority (NDA) for the GCF including relevant partner-government agencies.

The Programme will also target two important aspects of the GCF approach, access to funds and private sector engagement, through the selection of national/sub-national implementing

Agreed by National Economic Development Authority:

Mr. ROLANDO G. TUNGPALAN, Deputy Director General Date: ___

Agreed by Climate Change Commission:

Mr. EMMANUEL DE GUZMAN, Commissioner Date: ___

Agreed by UNDP:

Mr. TITON MITRA, Country Director Date: ___

Brief Description

The primary objective of the Philippines Green Climate Fund (GCF) Readiness Programme is to support the Government of Philippines in strengthening their national capacities to effectively and efficiently plan for, access, manage, deploy and monitor climate financing in particular through the GCF. Specifically, the Programme will support capacitation and empowerment of the Philippines’ Climate Change Commission (CCC) as the National Designated Authority (NDA) for the GCF including relevant partner-government agencies.

The Programme will also target two important aspects of the GCF approach, access to funds and private sector engagement, through the selection of national/sub-national implementing

Programme Period: 1.5 yearsAtlas Award ID: 00094777Project ID: 00098867PIMS #: 5863Start Date: June 2016End Date: December 2017

Management Arrangement: NIMPAC Meeting Date: 19 April 2016

Total resources required: US$ 1,335,180

Total allocated resources: BMUB-UNEP US$ 1,335,180 Regular Other

o Governmento In-kindo Other in-kind contributions

T A B L E O F C O N T E N T S

1 Situational Analysis................................................................11.1 Climate-induced Problem..............................................................................1.2 Long-term Solution........................................................................................

1.3 Barriers to achieving an institutional mechanism to effectively access and manage additional climate finance, including from GCF...............................................................................................................

2 Strategy....................................................................................52.1 Programme Rationale and Policy Conformity................................................

2.1.1 Country Ownership..........................................................................2.1.2 Design Principles and Strategic Considerations..............................

2.2 Programme Outcomes, Outputs and Activities..............................................Output 1. Selection of national and sub-national entities as

NIE for direct access to the GCF Activities (WRI)............................Output 2. Develop a pipeline of prioritized climate change

programs/projects ready for submission to GCF (UNDP)...........................................................................................

Output 3. Support the preparation of a public-private partnership (PPP) modality to implement climate mitigation and adaptation solutions (UNEP Component)...................................................................................

2.3 Key Indicators, Risks and Assumptions......................................................2.3.1 Key Indicators (for UNDP outputs only).........................................

2.3.2 Risks and Risk Mitigation Measures..............................................2.4 Cost Effectiveness and Sustainability..........................................................

2.5 Responsiveness to Gender Inclusion..........................................................2.6 Replicability..................................................................................................

2.7 Stakeholder involvement plan.....................................................................2.8 Delivery Modality.........................................................................................

3 Results and Resources Framework....................................194 Total Budget and Work Plan (2016 – 2017).........................215 Management Arrangements.................................................25

5.1 Programme Management Unit....................................................................5.2 Programme Board.......................................................................................

5.3 Programme Assurance................................................................................5.4 Fund Flow Modality......................................................................................

5.5 Management and Financial Audit................................................................

5.6 UNDP Direct Project Support Services.......................................................

6 Monitoring Framework and Evaluation...............................286.1 Programme Inception and Implementation..................................................6.2 Quarterly Reports........................................................................................

6.3 Annual Programme Review (APR)..............................................................6.4 End of Project..............................................................................................

6.5 Learning and Knowledge Sharing:..............................................................6.6 Liaison with the Green Climate Fund:.........................................................

6.7 Communications and visibility requirements:..............................................

7 Legal Context.........................................................................318 Annexes.................................................................................33

8.1 Annex 1 – Terms of Reference for Programme Management Unit.............

8.1.1 Terms of Reference: National Coordinator – GCF Readiness Programme..................................................................

8.1.2 Terms of Reference: Administration and Finance Associate – GCF Readiness Programme......................................

8.2 Annex 2 – Social and Environmental Screening Template.........................8.3 Annex 3 – Programme Logo and Partners’ Logos......................................

Philippines Green Climate Fund Readiness Programme

1 Situational Analysis

1.1 Climate-induced Problem

The Philippines is an archipelagic country with a population of approximately 100 million. With robust economic growth in the first decade of 2000s during which annual GDP growth recorded 4.46%, the Philippines graduated to a middle income country in 2009. The Human Development Index showed an increase of 16.5% between 1980 to 2012 (from 0.561 to 0.654) and currently ranks 114th out of 186 (HDI report, 2012).

Notwithstanding the economic and human development gains, however, the performance over the poverty-related goals is especially worrying. The poverty incidence worsened from 30.0% in 2003 to 32.9% in 2006 and the number of income poor has in fact increased by 2.6 million between 1991 and 2009, showing increasing sub-national disparity (Philippines UNDAF 2012-2018). With the recent agreement on Sustainable Development Goals (SDG), there is an increase in the number of goals (17 goals) and correspondingly, the identification of 169 targets. The developmental challenge is made much harder to achieve.

In addition, the country is highly vulnerable to climate change and natural hazards. In the Global Climate Risk Index of Germanwatch, the Philippines ranked fifth with respect to the long-term Climate Risk Index (CRI) for the period of 1994 to 2014. In terms of the 2013 CRI, the Philippines was identified as the most affected country (ranked 1st).

While the Philippines is making significant strides toward a more inclusive growth aimed at further reducing poverty and creating more opportunities for shared prosperity, the challenge is to pursue economic development while adapting to the impacts of climate change and natural hazards simultaneously. Climate change will impact on sectors that are strategic for the growth of the economy, e.g., agriculture, fisheries, and water resource management. Increase in temperature, coupled with changes in precipitation patterns and hydrological regimes, can only exacerbate existing vulnerabilities.

Recognizing the critical and complex challenges as well as opportunities posed by climate change and having risen in the country’s political agenda, the Philippines has actively been pursuing a comprehensive climate change reform agenda through the following efforts:

The Government has enacted institutional reforms including the establishment of the Climate Change Commission (CCC) in 2009 to lead on policy development and to coordinate, monitor and evaluate climate response. The Climate Change Act mandated the mainstreaming of climate change into government policy formulations initiated by the National Framework Strategic Framework on Climate Change (NFSCC) and the National Climate Change Action Plan (NCCAP).

The Government adopted the NFSCC in 2010 which laid the foundation and roadmap for addressing climate change. It identified adaptation as the anchor strategy and considered mitigation as a function of adaptation.


With the adoption of NCCAP in 2011, the Government is implementing short- and medium-term actions in seven thematic areas of food security, water security, ecological and environmental stability, human security, climate smart industries and services, sustainable energy, and knowledge and capacity development. To demonstrate the realization of the action plan at the local level, the creation of Ecologically Stable and Economically Resilient Towns (Ecotown or CORE Initiatives) facilitated the development of guidelines for the local climate change action plans.

The Cabinet Cluster on Climate Change Adaptation and Mitigation (CCAM) was also created to focus on increasing convergence and coordination among government agencies with key roles on adaptation and mitigation.

Congress also enacted the Peoples Survival Fund (PSF) in 2012 to provide funding support for climate change adaptation programs at the local level.

The Government has also enacted complementary sectoral policies and programs including the guidelines on mainstreaming climate change adaptation/disaster risk reduction in land use plans to guide action at all levels and building capacities to support and implement low emission development through national mitigation actions in the public and private sectors which was initiated by institutionalizing the greenhouse gas inventory management and reporting system. Initiatives also includes the ongoing strengthening of building and infrastructure standards, the adoption of the building back better approach and promotion of energy efficiency and renewable energy standards to deepen the climate response.

In spite of these efforts, comprehensive climate action on mitigation and adaptation in Philippines still requires additional, sustainable, and predictable climate finance. To monitor climate investments, the Government installed a system for tagging its expenditure for climate change adaptation and mitigation which has demonstrated that climate appropriations in Philippines have increased by 2.5 times in real terms and on average 26% annually, outpacing the growth of the national budget (around 6%). This increase shows Government willingness to increase climate action, but the level of funding based on project needs remains low. The total climate appropriations correspond to about .3% of GDP, falling below the Stern review recommendations that countries should spend at least 2% of GDP to implement climate action.

The need for additional finance is also put forward in Philippines’s Intended Nationally Determined Contribution (INDC) which includes a conditional target of reducing GHG by 70% below business as usual (BAU) levels by 2030. However, the target is conditional “on the extent of financial resources, including technology development and transfer, and capacity building, that will be made available to the Philippines”. It also clearly specifies that full implementation of the INDC “requires support in the form of adequate, predictable and sustainable financing.”

1.2 Long-term Solution

In order for Philippines to adhere to its commitments to the UNFCCC (put forward in the INDC) and to address the life-threatening and negative economic impacts of climate change described above, the Government needs to systematically access and efficiently manage, sequence and monitor climate finance.


One of the potential sources of climate finance is the Green Climate Fund (GCF). The GCF is an international fund created to support low-emission and climate-resilient investments in developing countries. By engaging with the Fund, people, enterprises and ecosystems will become more resilient to the adverse impacts of climate change, and reduce emissions of GHG. During its 11th Board Meeting, in November 2015 the GCF approved the first project proposals submitted by national and multilateral accredited entities. In 2016, the Fund Board has expressed its commitment to invest an additional $2.5 billion in projects and programmes for adaptation and mitigation.

The governing instrument of the Fund contains a strong emphasis on the importance of “readiness and preparatory activities”, such as the preparation or strengthening of low-emission development strategies and plans, NAMAs, NAPs, NAPAs, and for in-country institutional strengthening, including the strengthening of capacities for country coordination and to meet fiduciary standards.

The Governing Instrument of the Fund also established the direct access modality for recipient countries to access the Fund, stating that “access to the Fund resources will be through sub-national, national, regional and international implementing entities (IEs) accredited by the Board (accredited entities (AEs)”1. Access is categorized as follows:

a) “Direct Access: through subnational, national and regional entities. The Board will consider additional modalities that further enhance direct access, including funding entities with a view to enhancing country ownership of projects and programmes; or

b) International access: through international entities such as UN agencies, multilateral development banks, international finance institutions and regional institutions.”

Direct access is intended to promote country ownership of projects and programmes, given that the decision-making on such projects and programmes is made at the country and entity level. .

By engaging in readiness activities with the support of relevant multilateral entities, Philippines will have the institutional setup and technical capacities to successfully access funds from the GCF.

1.3 Barriers to achieving an institutional mechanism to effectively access and manage additional climate finance, including from GCF

While the interest and desire to access climate finance is high, the Philippines is currently challenged in achieving this objective. Among the issues and challenges are:

1. Limited capacities of the Climate Change Commission to effectively function as the National Designated Authority for the Green Climate Fund. The broad scope and many responsibilities of the CCC are straining its ability to streamline implementation of its functions under the Climate Change Act. Given its wide array of responsibilities, among the many challenges that the CCC is facing is the current reactionary and piece-meal approach on dealing with the impacts of climate change. There is a need to institutionalize and

1 From GCF Board Meeting document, GCF/B.10/05, “Additional Modalities that Further Enhance Direct Access”.


systematize this process and subsequently, channel enough resources to advocate effectively for immediate action on climate change. A strengthened CCC will also gain access to GCF to augment currently available resources for the scaling-up of mitigation and adaptation solutions at various levels.

2. Inconsistencies across national policies and strategies . There is a challenge in ensuring that sectoral policies and strategies are well aligned with NFSCC and NCCAP to avoid duplication and create opportunity for synergies, collaboration and coordination for efficient mobilization of scare resources. Inconsistencies in policy implementation are partly due to insufficient institutional resources and capacity on the part of the various agencies tasked with execution. There is also inconsistency in the enforcement of rules and regulations. It is critical that the country implements the measures and reforms needed to protect itself against ever-increasing climate change and variability.

3. Limited technology, research, and development . There is also a need to continuously build the capacity of concerned personnel and to put into place systems and life-cycle approaches for technologies of interest to the Philippines. All too often, cultural factors also come into play and hinder the uptake of the needed technologies. These barriers to technology transfer and diffusion must be understood and overcome through intensive advocacy and education. In addition, there is also a need to build the country’s capacity for research, education and provision of sustainable technical support by the relevant institutions. Research and development is an area that needs to be pursued in order for the country to fully tap its potential in the development and utilization of climate-friendly technologies. Also, increased support is needed for the Special Economic Zones as entry points for investments and technology transfer.

4. Limited access to climate finance . While expected to be scaled-up significantly over the next coming years both for mitigation and adaptation based on the pledges by the international community, there appears a bottleneck in accessing and using climate finance efficiently at the beneficiary country level. Notwithstanding the protocols in accessing funds from external sources, the CCC is implementing national actions to address access to funds for the implementation of climate actions.

Based on the recommendations of the Climate Public Expenditure and Institutional Review, climate action was scaled up through: (i) Strengthening the planning, execution and financing framework for climate change, (ii) Enhancing leadership and accountability through monitoring, evaluation, and reviews of policies and activities; and (iii) Building capacity and managing change alongside the other oversight agencies - Department of Budget and Management (DBM), National Economic and Development Authority (NEDA) and the Department of Finance (DOF). Institutionalization of the climate tagging and budgetary process tools deepen the quality of the planning, prioritization, funding gaps assessments process in mobilizing the entire budget cycle for a more effective execution of the national climate response. The climate budget tagging is coupled by the People’s Survival Fund, which provides for support to climate change actions at the local level.

5. Weak institutional frameworks for climate finance: There is a need to understand the roles and needs of key institutions involved in climate finance and the corresponding enabling legal and policy environment needed for


effective, transparent, and efficient use of available climate funding and anticipated climate financing. Likewise, there is a need for institutional readiness to comply with the fiduciary standards of international climate funds and access additional funding from external sources. The country so far has limited experience in accessing climate finance from international sources. The Philippines does not currently have a national entity accredited to directly access international climate funds due mainly to: lack of institutional capacity; strategic fit with the demand and role of the accredited entity; and lack of political support from across a number of agencies.

2 Strategy

In an effort to overcome the above-mentioned barriers, the Government of Philippines is participating in a global initiative funded by the German Ministry for the Environment, Nature Conservation, Building and Nuclear Safety (BMUB) and implemented by the United Nations Environment Programme (UNEP), the United Nations Development Programme (UNDP) and the World Resources Institute (WRI). The initiative is aimed at building countries' capacities to access the Green Climate Fund by preparing countries to plan for, manage, disburse and monitor climate financing. Activities undertaken to prepare countries for the GCF are closely coordinated with the Fund itself, in line with its policies and its readiness and preparatory support activities.

The global GCF Readiness Programme is active in 9 countries: Benin, Colombia, El Salvador, Fiji, Ghana, Kenya, Nepal, Philippines, and Uzbekistan. UNEP, UNDP, and WRI work closely in each country with key domestic stakeholders in charge of access, management and monitoring of climate finance, such as Ministries of Environment, Finance, Energy, Development and Planning, as well other climate-change related public institutions and local-level governments, together with institutions that carry the fiduciary responsibility for national and international funds.

The goal of this programme in Philippines is to support an ambitious, yet practical approach to readiness and establish systems that will not only drive access to the GCF in the shorter term but also support the effective transformation of the NCCAP into practical climate solutions for decades to come.

2.1 Programme Rationale and Policy Conformity

2.1.1 Country Ownership

The support expected under the Philippines GCF Readiness Programme is in line with the national strategies and priorities to combat climate change and its impacts as well as natural hazards.

The GCF readiness programme is based on the need to support Philippines in the effective transformation of the NFSCC and NCCAP into practical and feasible climate solutions in the long term.

The NCCAP outlines the country’s agenda for adaptation and mitigation to comprehensively address the challenges of climate change. It is a comprehensive plan with key actions that enhances adaptive capacity and resilience of communities and natural ecosystems to climate change. The key actions in the strategic priorities are defined along thematic outcomes – food security, water sufficiency, ecosystem


and environmental stability, human security, climate smart industries and services, sustainable energy, knowledge and capacity development. There is a conscious decision to veer away from conventional sectoral planning to thematic outcomes, which was motivated by the desire to recognize the importance of convergence planning among national agencies and concerted efforts for implementation and monitoring and evaluation. This process would require a systematic, harmonized and normative planning and implementation approach supported by a strong national policy and support from national government agencies as capacity development agents, capacitated local government units and partners to adaptation and mitigation projects that contribute to sustainable development goals of the country.

Currently however, most of the climate response initiatives are reactionary and piece-meal approaches to minimize the impacts of climate change. There is a need to ensure sustainability of climate solutions by institutionalizing and systematizing the delivery of long term viable climate solutions to achieving a shift towards a low–emission and climate-resilient sustainable development. To remain sustainable beyond the donor-supported pilot projects, climate solutions could be scaled up using innovative market/output-based and inclusive value chain business approaches where poor and marginalized groups, women and youth could be empowered and incentivized to participate as value chain actors and social entrepreneurs. GCF Readiness Programme offers an opportunity to overcome some of these barriers by enhancing and strengthening the capacity of National Implementing Entities to effectively fulfill its roles and responsibilities as capacitate the CCC in its role as NDA in endorsing projects for funding through the development of pipeline projects as initial offering for funding.

2.1.2 Design Principles and Strategic Considerations

The Programme will address the institutional capacity and individual competency gaps to deepen the quality of the planning, prioritization and funding gaps assessment processes to enable the country to develop and implement climate and natural risks responses.

By addressing disaster/climate policy development, planning and programming requirements of the concerned institutions and improving their competencies on climate/disaster risk management (including access to climate financing), the programme is expected to contribute to the attainment of Outcome 4 identified in the current United Nations Development Assistance Framework (UNDAF) and the UNDP Country Programme by contributing to the adaptive capacities of vulnerable communities and ecosystems will have been strengthened to be resilient toward threats, shocks, disasters, and climate change (Outcome Area 4, UNDAF 2012 – 2018). Consistent with the country’s development needs and priorities, including its commitment to achieve the Sustainable Development Goal on the empowerment of women, the programme will likewise ensure the incorporation of gender perspectives in its various outputs and activities by giving emphasis to gender-sensitive concerns especially in the capacity-building and protection of women, including the children and the elderly, in the event of disasters and from impacts of climate change.

The GCF Readiness Programme shall be implemented in coordination with the following climate change related projects, supported by UNDP and other development partners:

1. The ongoing Low Emission Capacity Building (LECB) Global Programme funded by BMUB, the Australian Government, and the EU:


The programme is an initiative aimed at building capacities to design and implement low emission development through national mitigation actions in the public and/or private sectors. Through the programme, the country commits to pursue a development path decoupled from high GHG emissions and to develop capacities of stakeholders by strengthening institutional frameworks and improving coordination mechanisms. Overall, the programme aims to strengthen national capacities to: 1) develop/establish GHG inventory management system; 2) formulate Nationally Appropriate Mitigation Actions (NAMAs) and/or low emission development strategies (LEDS); and 3) design MRV (measurement, reporting and verification) systems to support implementation and evaluation of NAMAs and LEDS.

2. Understanding disaster risks in changing climate and working towards sustainable recovery and development is addressed by two (2) ongoing UNDP projects: (a) “Resilience Capacity Building for Cities and Municipalities to reduce Disaster Risks from Climate Change and Natural Hazards (Project ReBUILD), and (b) Project Climate Twin Phoenix – Resilience and Preparedness Towards Inclusive Development (PCTP-RAPID). Project ReBUILD is supported by the New Zealand Aid Programme and the PCTP-RAPID is supported by the Australian government.

Project ReBUILD aims to assess the disaster vulnerabilities of selected river basins to geological, meteorological and meteorologically induced hazards due to climate change and enhance the competencies of concerned local government units on mainstreaming climate/disaster risk management into local land use and development planning and regulatory processes. To increase the resilience of vulnerable communities, the Project also supports the development of climate resilient livelihoods and risk sharing/transfer models.

PCTP’s main goal is to design and implement a comprehensive and long term capacity development programme for vulnerable communities addressing both risks from climate change and other related natural hazards. RAPID has significant focus on community and LGU-based risk management, which would encompass natural resource, disaster and climate risk vulnerability assessments, emergency preparedness and response and climate/disaster risk mitigation. It would also contribute to strong regulatory frameworks by applying control measures to land use planning, engineering standards and project design approval.

3. The “Support to the Philippines in Shaping and Implementing the International Climate Change Regime (SupportCCC II)” is being funded by the German Federal Ministry for the Environment, Nature Conservation, Building and Nuclear Safety (BMUB) and jointly undertaken with GIZ. The Project has the objective of strengthening the CCC, the Department of Energy and other key actors in implementing and coordinating the national climate change regime as well as developing and operationalizing national contributions to the international climate change regime. The key measure include works on the five components: 1) implementation of the national climate change policy within the framework of the Philippine international climate change commitment; 2) climate proof land use and development planning at the local level; 3) climate finance; 4) renewable energy and energy planning; and 5) awareness raising, knowledge management and networking/interfacing.


The project builds on the experiences and results of the previously BMUB-IKI funded “Support to the Climate Change Commission in Implementing the National Climate Change Action Plan (SupportCCC I)”.

4. The completed “Integrating Disaster Risk Reduction and Climate Change Adaptation into Local Development Planning and Decision-making Processes (Integrating DRRCCA Project)” which is funded by Australian and New Zealand Governments, characterizes the natural hazards and climate change risks to vulnerable populations and their support systems, the results of which are being fed into all aspects of planning and programming at the national, sub-national and local levels.

5. The completed Government of Spain-funded MDGF 1656 UN Joint Programme on “Strengthening the Philippines’ Institutional Capacity to Adapt to Climate Change” whose intervention was built around three outcomes at the national and local levels i.e. Outcome 1: Climate Risk Reduction (CRR) integrated into key national and selected local development plans and processes; Outcome 2: Enhanced national and local capacity to develop, manage and administer projects addressing climate change risks; and Outcome 3: Coping mechanisms improved through pilot adaptation project.

6. Institution of a comprehensive and long term capacity development programme

for all cities and municipalities, addressing both acute (disaster) and chronic (slow creeping) risks from climate change and other related natural hazards needs to address and reduce vulnerabilities through the project “Enhancing the Greater Metro Manila’s Institutional Capacities for Effective Disaster/Climate Risk Management toward Sustainable Development (GMMA Ready Project)” being completed in partnership with UNDP and the Australian Government.

2.2 Programme Outcomes, Outputs and Activities

The Philippines GCF Readiness Programme is premised on the need to support Philippines in adopting ambitious yet practical approaches that will not only enable access to the GCF in the short term but also support the effective transformation of the NCCAP into practical and feasible climate solutions in the long term. The main goal is to strengthen the capacities of the Government of Philippines to effectively and efficiently plan for, access, manage, deploy, and monitor climate finance, in particular from the Green Climate Fund.

Specifically, the Programme can be an opportunity to explore the feasibility to blend and sequence the PSF resources with GCF in translating the NCCAP’s targets into climate business opportunities especially in securing access to safe food, clean water, renewable energy and efficient transport.

As part of the Programme, a team comprised of UNEP, UNDP, WRI, (the “Partners”) and independent experts, held extensive consultations between 18 to 26 Nov 2014 with government, civil society and the private sector to explore the needs, gaps, challenges and opportunities in climate finance in Philippines. The scoping mission used a common three-part analytical framework that puts the domestic climate response in context; maps the institutions and actors that have been involved in efforts to invest in solutions to climate change; and reflects on the modalities of engagement, and analyses their implications. Further consultations during 2015 concluded that the following three outputs needed to be attained in order to achieve the overall objective:


Selection of national and sub-national entities as National Implementing Entities (NIEs) for direct access to the GCF

Development of a pipeline of prioritized climate change programmes/projects ready for submission to GCF

Support the preparation of a public-private partnership (PPP) modality to implement climate mitigation and adaptation solutions.

Below is a description of the activities in each of these outputs. UNEP, UNDP, and WRI each are responsible for a specific output. This prodoc makes mention of all outputs and activities to provide a complete picture of the framework of the programme in Philippines. However, UNEP and WRI-led outputs are not the responsibility of UNDP. At the time of writing, some of the activities led by WRI have started.

Output 1. Selection of national and sub-national entities as NIE for direct access to the GCF Activities (WRI)

This output will provide technical and institutional support to strengthen national capacities (in particular, of CCC as NDA) in making informed decisions in the identification and selection of entities as NIE for enabling direct access and on mobilizing and managing climate finance. Selection criteria for NIEs will be developed with the key partners and the roles and responsibilities of the NDA and NIE will be defined according to GCF requirements and guidelines. This output also ensures that the actors (especially potential NIEs) are fully empowered and capacitated on the GCF fiduciary standard and ESS requirements and processes.

Activities under this output will complement ongoing activities under the GCF-supported Philippines GCF Readiness and Preparatory Support Project. Overlaps will be avoided to ensure that convergence of activities is achieved.

Activity 1.1: Develop guidelines and procedures for screening and selection of NIEs for direct access to the GCF

At the national level, an institutional assessment report with gaps analysis will be undertaken. In order to ensure that there is post-accreditation appetite for project development and implementation, it is critical that short listing screenings of the entities are developed.

Indicative actions include the following:

Develop institutional assessment report with gap analysis

Provide information on the requirements for direct access to the GCF and support the identification of appropriate NIEs

Develop roadmap for NIE accreditation

Specifically, an institutional assessment of CCC (as NDA) and key agency-partners will be undertaken to review existing/similar systems and procedures for accreditation (e.g., CDM, AF). This will provide the foundation for the development of system and procedures (guidance document) that will be used to screen and select NIEs for endorsement to GCF secretariat for accreditation. In addition, an action plan (roadmap) will be formulated to ensure the efficient and effective implementation of screening/accreditation process.


Activity 1.2: Select national and sub-national entities as NIE for direct access to the GCF.

To complement the screening and selection process for NIEs, there is a need to develop and strengthen the capacity of potential NIEs (including LGUs and CSOs) for meeting the fiduciary standard and ESS requirements and management of the GCF.

Indicative actions include the following:

Develop guidebook and provide training to strengthen the capacity of identified NIEs for meeting international fiduciary and other standards according to GCF requirements

Support identified NIEs to identify any gaps in meeting accreditation requirements

Specifically, the programme will facilitate the identification and selection of potential NIEs based on a capacity assessment of agencies or private entities (e.g., bank, private entity, LGUs, CSOs) who have experiences in meeting fiduciary and other requirements. In addition, guidebook and other capability building materials will be developed to capacitate potential NIEs in meeting fiduciary and other requirements of GCF. To expand the pool of potential NIEs, the programme will conduct capacity building activities for potential NIEs as well as extend technical assistance/support to selected NIE during the accreditation process.

Activity 1.3: Roundtable with NIEs and the NDA (this activity has been completed)

WRI hosted a consultation workshop/roundtable in the Philippines on September 17, 2015. At the workshop, the Land Bank was confirmed as the priority institution for accreditation. The workshop was attended by representatives of potential NIEs, the Philippines government, and other readiness providers.

Output 2. Develop a pipeline of prioritized climate change programs/projects ready for submission to GCF (UNDP)

This output seeks to identify and support the development of a climate change adaptation and/or mitigation pipeline of prioritized programmes/projects that are ready for submission to GCF.

Activity 2.1: Develop guidelines and procedures for prioritizing climate change needs and interventions for authorities aligned with L/NCCAP and Sub-national development plans

Consistent with the NFSCC and the NCCAP, the programme will support stakeholder engagement processes as well as enhance the understanding of other national partners and project developers/proponents of GCF project development process.

This will be done by undertaking relevant studies to produce clear guidelines for climate change project development, appraisal, and identification. Such studies will include a comprehensive review of ongoing or completed initiatives on mitigation (e.g. NCCAP, LECB, NAMA and process documentation in the preparation of INDCs) and adaptation (e.g. NCCAP); prioritization procedures for REDD+, adaptation, and mitigation projects; procedures for formulating the baseline and additionality arguments of a project, and estimation of GHG savings; and procedures for


development of a GHG emissions MRV system. These policy studies will also serve as the basis for the proper tagging of climate change projects and resource allocation vis-a-vis the priorities of the NCCAP. The project preparation guidelines will include institutional mechanisms to facilitate CSOs’ participation in project implementation and monitoring activities.

The activity will culminate in the identification of priority projects aimed at bringing transformational impact on climate change adaptation and/or mitigation, which are aligned with the climate change strategies of the country, the Intended Nationally Determined Contribution (INDC) of Philippines, and consistent with stakeholder consultations.

Activity 2.2: Support preparation of a pipeline of prioritized climate projects ready for GCF submission

Based on the project prioritization process, the UNDP will provide the technical expertise to develop at least two (2) full project proposals and corresponding studies and assessments, including: feasibility studies, cost-benefit analyses, financial models, environmental and social safeguards, gender analyses, procurement plans, and term sheets and financial structuring (in the field of climate change mitigation, adaptation, and/or REDD).

Project preparation experts will be engaged, to 1) build the capacities of project developers from diverse institutions, including national government, LGUs, and CSOs to apply GCF investment criteria and requirements, make use of GCF templates and understand the key components of a proposal and the proposal development steps/process; and 2) provide technical and financial support for the completion of full proposals and for the undertaking of accompanying studies and assessments.

Based on experiences and learnings from previous accreditation and climate financing initiatives (e.g., AF), the project pipeline will be developed with and designed for implementation by national entity/s. While a national entity will be prioritized, the Government of Philippines will not be precluded from selecting an international or multilateral entity/s to implement the project.

Output 3. Support the preparation of a public-private partnership (PPP) modality to implement climate mitigation and adaptation solutions (UNEP Component)

This output prepares the ground for prioritized and investment-ready climate actions through a viable PPP modality. To provide the basis for this, an analysis will be conducted on how to strengthen public-private partnerships (PPP), including the use of specific business models and through regulatory incentives for private sector investment in line with national climate strategies; In addition, the development of new climate relevant financial products and services will be facilitated for scaled-up financial flows into climate change solutions.

Activity 3.1: Conduct analysis to map out value chain actors, business service providers, trade associations, gaps, risks and monetization of environmental services

Under this activity, a study will be conducted to cover the following topics:


Market assessment regarding climate relevant technologies and sectors (incl. climate relevant projects/companies; other stakeholders; potential market barriers/distortions/failures; financing risks);

Map the characteristics of private sector engagement in climate relevant activities, highlighting needs, gaps, opportunities and challenges.

Review regulatory, technical and financial framework for private sector investments in climate change solutions

Map out opportunities to green up and innovate the value chain of SMEs

Analyze how the private sector can access the GCF and similar climate financing mechanisms with a view to facilitating investments and mitigating (perceived) financial and policy risks; this includes opportunities via the GCF adaptation and mitigation windows and via the GCF Private Sector Facility.

Propose regulatory incentives for private sector investment in line with national climate strategies

The programme will also conduct a capacity building workshop to (1) train the private sector on opportunities to green up and innovate the value chain of SMEs; and on how to access the GCF and similar climate financing mechanisms; and (2) to propose to the Government potential regulatory incentives for increased private sector investment in line with national climate strategies.

A roadmap will also be developed for a PPP that includes the following aspects:

Assess options to strengthen the public private partnership Make recommendations based on assessment, including a specific business

model. Develop options and a process to manage, blend and sequence local budget,

PSF with GCF resources for the implementation of climate actions.

Finally, the programme will conduct capacity building workshop to train public and private stakeholders regarding (1) specific PPP business models and financial structure; and (2) options and process to manage, blend and sequence local budget and PSF with GCF resources for the implementation of climate actions.

Activity 3.2: Provide technical assistance to local financial institutions to develop new financial products and services for prioritized climate sectors

Under this activity, the programme will review the financial sector (e.g. banks, MFIs) activities with focus on finance for mitigation and adaptation measures, review key success factors and assess lessons learned in implementing initial sustainable green finance, and identify the financing gap between investment potential and finance supply.

It will also provide technical assistance and training to financial institutions to enable them to develop new financial products and services (e.g. start-up loans, crop insurances) in climate relevant sectors such as renewable energy, energy efficiency, sustainable forestry and climate resilient agriculture. The technical assistance and training will strengthen the financial institutions’ understanding of risks and opportunities of climate investments and can include a broad range of aspects such as: feasibility studies; market assessments; credit cycle management; business models; monitoring of climate change results, etc.


2.3 Key Indicators, Risks and Assumptions

2.3.1 Key Indicators (for UNDP outputs only)

Focusing on the UNDP Output, the key indicators will be the number of policy studies undertaken, policy issuances formulated (i.e., guidelines and procedures) and the number of project proposals developed for submission to GCF. These indicators are summarized as follows:

Outputs Output Targets IndicatorsDevelop a pipeline of prioritized climate change programmes/ projects ready for submission to GCF.

Guidelines and procedures for prioritizing climate change needs and interventions for authorities aligned with L/NCCAP and Sub-national development plans developed

Number of policy studies undertaken to understand national landscape and gaps for GCF-appropriate project/programme developmentTarget: 4

Number of guidelines prioritizing climate change projects/programmesTarget: 1

Number of project ideas identified by consultative process that align with country and GCF prioritiesTarget: at least 2

A pipeline of prioritized climate projects ready for GCF submission prepared

Number of project proposals developed and submitted to GCFTarget: 2

2.3.2 Risks and Risk Mitigation Measures

The programme faces high political, organizational, financial and strategic risks. Political risks are attributed to the coming elections in May 2016 where a change in national and local leadership is anticipated. Organizational and strategic risks are due to the rapid turn-over of staff in CCC and partner agencies. For political risks, mitigation will consist of “deepening the bench” by working with all levels of the government, especially the technical and planning personnel who are less likely to be affected by changes in leadership. Organizational and strategic risks will be closely monitored and mitigated with the augmentation of existing manpower with programme-hired staff and external experts.

Risks Level Mitigation MeasuresPolitical RiskThe change in national and local leadership after the May 2016 elections will create a transition process that may result in delay in project implementation because

High Insure the “deepening of the bench” by working with all levels of the government, especially the technical and planning personnel who are less likely to be affected


Risks Level Mitigation Measuresof changed priorities or uncertainties.

by changes in leadership.

Conduct of proper and continuing consultations and dialogue at all levels and sectors will be undertaken to ensure support and continuous ownership of/buy-in for the programme.

Briefing to be specifically provided to new or incoming leadership to enable an understanding of and secure buy-in for the programme.

Organizational RisksInsufficient technical and implementation capacity of key actors may impede timely achievement of outputs due to the rapid turn-over of staff in CCC and partner agencies.

Medium Close monitoring and mitigation of risk with the augmentation of existing manpower with programme-hired staff and external experts

Detailed orientation and training on processes, especially technical and financial reporting, programme management, etc. Mentoring will also be resorted to.

Strategic RisksSome critical partners may fail to deliver outputs on time due to the rapid turn-over of staff in CCC and partner agencies

Medium The absorptive capacity levels of the receiving institutions shall be considered in the selection of Responsible Parties (RPs).

Close monitoring of implementation of deliverables of responsible agencies; Facilitation and streamlining of activities and outputs of RPs vis-a-vis the IP. If necessary, augmentation of existing manpower with programme-hired staff and external experts

Financial RisksDelay in financial releases because of non-compliance with set protocols like reporting.

Medium Detailed orientation and training on processes, especially financial system and reporting protocol.

Close monitoring of financial performance vis-a-vis operational activities. If necessary, augmentation of existing manpower with programme-hired


Risks Level Mitigation Measuresstaff.

2.4 Cost Effectiveness and Sustainability

The paramount requirement for any climate agenda is that strong climate finance capacities and decision-making tools for accessing and managing finance are properly incorporated into national policies, plans, and institutions.

While there are ongoing initiatives, much needs to be done. To support the climate reform agenda, the Philippines (with assistance from World Bank) carried out a Climate Public Expenditure and Institutional Review (CPEIR). As a consequence, the Climate Change Expenditure Tagging (CCET) was made part of the government framework for planning, budgeting, monitoring and reporting of public Climate Change (CC) expenditures. In addition, the Philippines have several projects related to climate financing. Two of the government banks have several green financial products such as Climate Change and Carbon Financing Facility (for CDM-eligible projects); Green Financing Program (long-term loan for local government to implement environment-friendly projects); Renewable Energy for Wiser and Accelerated Resources Development or REWARD (promote renewable energy and biofuel projects) among others.

However, all these initiatives are reactionary and piece-meal approaches to minimize the impacts of climate change. There is a need to ensure sustainability of climate solutions by institutionalizing and systematizing the delivery of long term viable climate solutions. The climate challenges need not be seen as problems but rather as business opportunity to convert and monetize the environmental services into tangible assets and capitals. To remain sustainable beyond the donor-supported projects, climate solutions could be scaled up using innovative market/output-based and inclusive value chain business approaches where poor and marginalized groups, women and youth could be empowered and incentivized to participate as value chain actors and social entrepreneurs.

The Programme offers an opportunity to overcome some of these barriers by enhancing and strengthening the institutional capacity of CCC as NDA – by providing an integrated package of measures that will effectively generate the necessary systemic and institutional capacities, decision-making tools and actions for achieving readiness for climate finance. Simultaneously, the project will demonstrate a range of options to address both the supply and demand side of climate change financing.

The proposed project is cost-effective for two reasons. First, the programme brings to bear the comparative advantages of three distinct partner agencies (UNDP, WRI, and UNEP) with previous experience in building climate finance capacities. Since this is part of a larger pioneering effort to build GCF readiness, this approach will reduce transaction costs and ensure cohesiveness with emerging international norms. In addition, the global GCF Readiness Programme is designed to work with existing stakeholders and institutions by building capacities in the national context.

The programme will also build on previous and other ongoing projects, applying best practices from the past and ongoing interventions that are proven to be cost effective.

In addition, programme partners represent some of just a few of the organisations who have built these capacities before. The experiences gained will be applied to


optimize management of climate finance. For long term sustainability, the programme will help strengthen CCC to gain access to GCF to augment currently-available resources for the scaling-up of mitigation and adaptation solutions at various levels. Using the National Climate Change Action Plan (NCCAP) as a platform to identify climate business opportunities, the country’s ultimate outcome of a successful transition towards climate-smart development will be achieved.

2.5 Responsiveness to Gender Inclusion

The programme will adhere to the principles on gender as contained in the current United Nations Development Assistance Framework (UNDAF) and the UNDP Country Programme. The programme was formulated to ensure the incorporation of gender perspectives in its various outputs and activities.

The implementation mechanism will be multi-sectoral and gender sensitive in nature, bringing in the other key players, especially from civil society and the private sector.

The Philippine Commission on Women (PCW), a government agency created under Republic Act 9710, shall likewise be represented in the Project Board to ensure that gender issues including the critical roles of women in project prioritization and development of pipeline are given utmost importance.

The Project will address, as appropriate, cross-cutting issues on disability, gender, anti-corruption and child protection. These will also be included, as appropriate, in the monitoring and evaluation and reporting plan.

2.6 Replicability

As with any UNDP-led project, the implementation of this programme will be undertaken with replication (through institutionalization) will be a driving factor. Programme implementation will be in the manner to ensure that the acquired capacities are carried forward to other and future actors in the CCC and relevant agencies to ensure replicability of results. The proposed assessments, tools, and methods will be tested at the national and sub national levels as may be necessary.

The programme will also support the development of sustainability plans for the institutionalization of appropriate systems developed and tested under the programme.

2.7 Stakeholder involvement plan

The participation of different partners involved in the program are discussed below:

Partners RolesClimate Change Commission (CCC)

CCC is the NDA for GCF. It is also mandated to ensure the mainstreaming of climate change, in synergy with disaster risk reduction, into the national, sectoral and local development plans and programs. CCC also coordinate and synchronize climate change programs of national government agencies as well as formulate a Framework Strategy on Climate Change to serve as the basis for a program for climate change planning, research and development, extension, and

The Project Management Unit will be hosted at CCC. It will harmonize and link the GCF readiness project to the rolling out of the national climate change policy. Responsible for the overall delivery of the project. Provide overall technical coordination and facilitation of the technical deliverable of the expected outputs. Support the


Partners Rolesmonitoring of activities on climate change. Other functions includes: exercise policy coordination to ensure the attainment of goals set in the framework strategy and program on climate change; recommend legislation, policies, strategies, programs on and appropriations for climate change adaptation and mitigation and other related activities; and recommend key development investments in climate- sensitive sectors such as water resources, agriculture, forestry, coastal and marine resources, health, and infrastructure to ensure the achievement of national sustainable development goals among others.

technical preparation of the pipeline.

National Economic and Development Authority (NEDA)

NEDA sets the requirements for climate financing through the Philippine Development Plan 2011-2016 that is then translated into the Public Investment Program 2011-2016 (PIP). Activities under CCA/DRRM category include: (i) formulation/enhancement of local land use plans; (ii) provision of early warning system; (iii) forecasting/modeling device; (iv) hydro-meteorological equipment; (v) capacity building including IEC; (vi) construction of flood control facilities.

With their strong local presence, could coordinate and harmonize the mainstreaming of climate change into national development at all levels including M & E systems for local government authorities

Department of Budget and Management (DBM

DBM had already institutionalized a programmatic approach in the 2013 national budget preparation. The agencies identified under set key result areas, such as climate change, are requested to provide copies of the agency budget proposal to CCC concerning climate change adaptation and mitigation projects. CCC then endorses the budget proposal to DBM through an executive review. The intention is to prevent duplication of projects among several agencies so that funds can be saved and allocated to other priorities.

Focus on national public expenditure tracking and mainstreaming into budget, leverage the on-going public private partnership models including the sharing of best practices and drawing linkages between environmental fiscal reforms.

Department of Finance (DOF)

DOF is mandated to take the lead in fiscal policy of the national government and participate in key committees on public investment projects. DOF also act as mother agency of main revenue-making agencies, Bureau of Local finance, which is also a key agency on Climate Finance. Another agency under DOF is the Municipal Development Fund Office (MDFO). Moreover, the DOF takes the lead in financing the requirements identified by the DBCC involving macro parameters, revenue and borrowings. It also leads in the formulation of International Finance Mechanism such as ODAs. DOF also seats in the Board of the Government Financing Institutions such as Development Bank of the Philippines and Land Bank of the Philippines.

Coordination of national and international public financing. DOF can also focus on working out how public fiduciary standards can be used to bring in more private capital. Support processes for accessing climate funds in conjunction with national banks

With strong local presence and financing track record, MDFO has the potential to become a NIE.

Land Bank of the Philippines (LBP) LBP is the link for mobilizing


Partners RolesLBP, a universal bank owned by the Philippine government with a special focus on serving the needs of farmers and fishermen. As a government financial institution, LBP strikes a balance in fulfilling its social mandate of promoting countryside development while remaining financially viable. The profits derived from its commercial banking operations are used to finance the Bank's developmental programs and initiatives. Its priority sectors include the farmers and fisherfolk, small and medium enterprises and microenterprises, livelihood loans and agribusiness, agri-infrastructure and other agri- and environment-related projects, socialized housing, schools and hospitals.

Development Bank of the Philippines (DBP)As a government-owned development financing institution, DBP takes on the strategic task of influencing and accelerating sustainable economic growth, through the provision of resources, for the continued well-being of the Filipino people. It provides banking services principally to cater to the medium and long-term needs of agricultural and industrial enterprises with emphasis on small and medium-scale industries.

Philippine Chamber of Commerce and Industry (PCIC)The PCCI, an organization of businesspeople and entrepreneurs, is recognized as the “voice of business” recognized by government and international institutions. As a proactive catalyst of development, PCCI promotes and supports the drive for globally competitive Philippine enterprises in partnership with government, local chambers, and other business organizations.

private capital investment through development of portfolios targeted at climate change by rural and community banks. LBP has the potential of becoming a NIE. Focus using their unique opportunity to influence greater role the rural banks can place in providing access to capital to local authorities.

DBP provides the link for mobilizing private capital investment through development of portfolios targeted at climate change. DBP has the potential of becoming the NIE.

PCCI will partner to encourage private sector interest in making investment decisions in climate related sectors through investment promotion activities. Provide the platform to reach the SME businesses in Philippines involved in climate change. Raise the awareness of its members regarding investments in climate change portfolios.

2.8 Delivery Modality

United Nations Development Programme will manage the delivery of Output 2. Output #1 will be managed by WRI and Output #3 will be managed by UNEP.

Programme implementation will be a collaborative endeavor between and among a number of government agencies and instrumentalities as well as local government units and civil society organization(s). The Climate Change Commission (CCC) will be the lead Implementing Partner (IP), with overall responsibility for the timely and cost-effective implementation of programme activities, to be assisted by relevant partners such as Philippine Atmospheric, Geosciences and Services Administration (PAGASA); Department of Environment and Natural Resources (DENR); DENR Environmental Management Bureau (EMB); DENR Forest Management Bureau (FMB); Department of Finance (DOF); Department of Interior and Local Government (DILG) and the National Economic & Development Authority (NEDA). Selected civil society organizations, academic institutions and associations will also be brought in as the need arises.


3 Results and Resources Framework

Intended Outcome as stated in the Country Program Results and Resource Framework:

Adaptive capacities of vulnerable communities and ecosystems are strengthened to be resilient to threats, shocks, disasters, and climate change (CP/UNDAF Outcome 4)Outcome indicators as stated in the Country Program Results and Resources Framework, including baseline and targets:

Percentage of unfunded climate change investments implemented with GCF supportApplicable Key Result Area (Strategic Plan):

Enhance conflict and disaster risk management capabilities; Address increasing threats from climate changePartnership Strategy:

This programme will be implemented in partnership with the Philippine Government (CCC; with PAGASA, DENR; DENR-EMB, DENR-FMB, DOF, DILG and NEDA); CSOs; academic institutions and associations; and professional organizations (as may be necessary).Programme title:

Philippines GCF Readiness ProgramINTENDED OUTPUTS OUTPUT TARGETS

FOR (2016-2017) INDICATIVE ACTIVITIES RESPONSIBLE PARTIES INPUTS

Output 2: Develop a pipeline of prioritized climate change programmes/projects ready for submission to GCF.

Baseline: There is no standard procedure for adequate prioritization and identification of climate

Targets Number of policy studies undertaken to understand national landscape and gaps for GCF-appropriate project/programme developmentTarget: 4

Number of guidelines prioritizing climate

Activity 2.1: Develop guidelines and procedures for prioritizing climate change needs and interventions for authorities aligned with L/NCCAP and Sub-national development plans

Support national-level stakeholder engagement processes and enhance the understanding of GCF project development

Undertake policy studies on prioritization procedures, baseline formulation/computation, MRV formulation, and project preparation

Lead - UNDP (Philippines)

National Counterpart: CCC

Year 1: USD 606,900Year 2: USD 606,900(see details in next section)

ConsultantsSuppliesEquipmentTransport EquipmentTravel CostsPrinting CostsConsultation/Training/ Meeting

Philippines Green Climate Fund Readiness Programme 19

INTENDED OUTPUTS OUTPUT TARGETS FOR (2016-2017) INDICATIVE ACTIVITIES RESPONSIBLE

PARTIES INPUTS

change project pipeline in Philippines

Indicators:

Number of policy studies undertaken to understand national landscape and gaps for GCF-appropriate project/programme development

Number of guidelines prioritizing climate change projects/programmes

Number of project ideas identified by consultative process that align with country and GCF priorities

Number of project proposals developed and submitted to GCF

change projects/programmesTarget: 1

Number of project ideas identified by consultative process that align with country and GCF prioritiesTarget: at least 2

Target Pipeline of mitigation and adaptation programme/project prioritized and ready for submission to GCF

Number of project proposals developed and submitted to GCFTarget: 2

Activity 2.2 - Support preparation of a pipeline of prioritized climate projects ready for GCF submission

Identify projects that align with consultations and policy study outcomes

Develop full project proposals and corresponding feasibility studies

Lead - UNDP (Philippines)

National Counterpart: CCC and potential NIEs

Total USD 1,213,800


4 Total Budget and Work Plan (2016 – 2017)

Award ID: 00094777 Output ID(s): 00098867

Award Title: Green Climate Fund (GCF) Readiness Programme in PhilippinesBusiness Unit: PHL10Project Title: Green Climate Fund (GCF) Readiness Programme in PhilippinesPIMS no. 5863Implementing Partner (Executing Agency) Climate Change Commission, Government of the Philippines

SOF Outcome/Atlas Activity

Responsible Party/

Implementing Agent

Fund Code

Donor Code

Atlas Budgetary Account

CodeATLAS Budget Description

Amount Year 1 (USD)

Amount Year 2 (USD)

Total (USD)

See Budget Note:

Output 2: Develop a pipeline of prioritized climate change programmes/projects ready for submission to GCF.Activity 2.1: Develop guidelines and procedures for prioritizing climate change needs and interventions for authorities aligned with L/NCCAP and Sub-national development plan

CCC 62040 00041

75700 Training Seminar/ Workshop 40,160 40,160 80,320 a71300 Local Consultants 50,000 50,000 100,000 b71200 International Consultants 50,750 50,750 101,500 c71600 Travel 10,000 10,000 20,000 d71600 Travel (International) 12,550 12,550 25,100 e

74200 Audio Visual & Print Prod cost 3,895 3,894 7,789 f

75100 GMS 16,736 16,735 33,471 gTotal Activity 2.1 184,091 184,089 368,180

Activity 2.2:Support preparation of a pipeline of prioritized climate projects ready for GCF submission

CCC 62040 00041 75700 Training Seminar/ Workshop 17,500 17,500 35,000 h71300 Local Consultants 172,113 165,113 337,226 i71200 International Consultants 92,138 92,138 184,276 j72100 Contractual Services –

Companies62,500 62,500 125,000 k


SOF Outcome/Atlas Activity

Responsible Party/

Implementing Agent

Fund Code

Donor Code

Atlas Budgetary Account

CodeATLAS Budget Description

Amount Year 1 (USD)

Amount Year 2 (USD)

Total (USD)

See Budget Note:

71600 Travel 20,000 20,000 40,000 l72500 Supplies 4,158 4,158 8,316 m

72400 Commu & Audio Visual Equip 1,000 1,000 2,000 n

75100 GMS 36,941 36,241 73,182 oTotal Activity 2.2 406,350 398,650 805,000Sub-Total for Output 2 590,441 582,739 1,173,180

Project management unit CCC-UNDP 62040 00041

71400 Contractual Services-Individ 24,000 44,000 68,000 p71400 Contractual Services-Individ 9,000 18,000 27,000 q72500 Supplies 2,500 2,500 5,000 r72800 IT Equipment 3,136 3,136 6,272 s74100 Professional Services 5,000 5,000 10,000 t

72400 Commu & Audio Visual Equip 1,000 1,000 2,000 u

74200 Audio Visual & Print Prod cost 1,000 1,000 2,000 v

71600 Travel 2,500 2,500 5,000 w72200 Equipment and Furniture 1,000 1,000 2,000 x74500 Miscellaneous - DPC 10,000 10,000 20,000 y75100 GMS 5,914 8,814 14,728 z

Total PMU 65,050 96,950 162,000

PROJECT GRAND TOTAL 655,491 679,689 1,335,180


Budget Note Description of Budget Item (Description)

a. At least six (6) consultation workshops including stakeholder consultationsb. Local technical expertise to conduct the policy studies and prepare reports;

c. International technical expertise to support and provide inputs on baseline formulation/computation and MRV formulation

d. Travel related to in-country consultations and training

e. International travel related to capacity building events for NDA and other personals including travel provisions for international experts

f. Printing/Reproduction of programme outputsg. 10% GMS for Activity 2.1

h. Training and workshops on identification and prioritization of pipeline projects as well as engagement with key stakeholders.

i. Local technical expertise to provide technical services in the preparation and finalization of project proposals (including FS studies and other project development milestones, e.g., due diligence, financial closure, risk profiling)

j.International technical expertise to provide technical assistance and inputs (advice and guidance including review/oversight) in the preparation and finalization of project proposals (including FS studies and other project development milestones, e.g., due diligence, financial closure, risk profiling)

k.Contractual Services –Companies to provide technical assistance and inputs in the preparation and finalization of project proposals (including FS studies and other project development milestones, e.g., due diligence, financial closure, risk profiling)

l. Travel related to in-country fieldworks, consultations and other activitiesm. Office stationery and other suppliesn. Communication and courier expenseso. 10% GMS for Activity 2.2p. Salaries of National Coordinator (SC contract) q. Salaries of Administration and Finance Associate (SC contract) r. Office stationery and other suppliess. IT equipment (e.g., computer)t. M & E costs including project audit, periodic and final reporting


Budget Note Description of Budget Item (Description)

u. Communication and courier expensesv. Printing/Reproduction of programme collateralsw. Travel related to in-country fieldworks, consultations and other activitiesx. Office equipment/furniture/fixturesy. Direct project cost – please refer to LOA for UNDP support services for more detailsz. 10% GMS for PMU Activity


5 Management Arrangements

While the overall programme implementation will be led by the Government of Philippines (GOP) through Climate Change Commission, UNEP, WRI and UNDP will be responsible for managing their part of GCF Readiness funds and produce outputs as indicated in this prodoc. While UNDP will be responsible only for implementing the Activities and Actions as indicated in the Results Framework in Section 3, the partner agencies (UNEP and WRI) will cooperate to deliver their components in collaboration with the GOP and other agencies.

It is to be noted that by signing this document, UNDP is assuming responsibility and accountability for the activities it undertakes and the funds it administers as agreed between UNEP and UNDP under a global Cost Sharing Agreement. The outputs and the budget that UNDP is administering in Philippines is described in Section 4.

UNDP programme component will be managed as per the National Implementation Modality (NIM) for which UNDP will set up a Programme Management Unit (PMU) under the leadership of CCC/GOP.

UNDP Philippines will support the GOP in the implementation of this programme with technical oversight support from UNDP-GEF. CCC will be the national implementing partner. UNDP Philippines (through the Environment and Energy Portfolio) will function as the overall coordination and oversight for the programme at country level. The UNDP Team Leader (Environment and Energy) will serve as the Quality Assurance focal person at the country office and facilitate the implementation of the programme. A National Coordinator tasked to manage and coordinate the project in its entirety (UNDP, UNEP, and WRI-led activities) will be recruited by the GCF Readiness programme and facilitation support will be provided by UNDP Philippines. The day-to-day administrative and financial functions will be supported by the PMU who will report to the National Coordinator (See Annex 1 for the TORs).


5.1 Programme Management Unit

The Programme Management Unit (PMU) will be stationed at the CCC. The PMU will consist of a national coordinator and other programme staffs that will be engaged.

The National Coordinator has the responsibility to coordinate the programme’s daily workings within the framework defined by the programme board. He or she is responsible for coordinating and making everyday decisions for the programme. His or her primary responsibility is to ensure the outputs and activities of all three delivery partners, as described in this project document, are achieved at the required quality standards and within the specified cost and time limits. The national coordinator will be hired through UNDP according to UNDP rules and procedures.

Other project staffs will be engaged to provide administrative, management and technical support to the national coordinator as needed.

5.2 Programme Board

The Programme Board (PB) will be the decision-making body of the programme and will take necessary management and policy decisions needed for the effective implementation of programme activities. The PB will approve work plans and budget, review progress and provide support for programme implementation. The PB will advise the PMU as necessary to ensure effective and timely implementation of the project activities to achieve the envisioned results/outputs.

The PB will consist of representatives from the CCC, Department of Finance (DOF); Department of Interior and Local Government (DILG); National Economic & Development Authority (NEDA), Philippine Commission on Women (PCW); UNEP, WRI, and UNDP. A National Project Director appointed by the CCC will lead the programme with the support from the National Coordinator. The National Coordinator will serve as the Secretariat for the PB.

The PB will have the following roles, relating both to the UNDP programme and to the partnership project/programme:

Provide recommendations on the overall implementation of the Programme in the country;

Review and approve draft country readiness programmes and annual work plans and budgets against country needs and priorities;

Facilitate linkages and collaboration with relevant national partners, centers of expertise/excellence and other target country stakeholders;

Address issues that may have major implications for the national implementation of the Programme;

Facilitate consultative processes with stakeholders at the country level, and other relevant government agencies and institutions, civil society, and private sector at national and sub national level in defining and implementing activities to avoid duplication or overlap between the Programme and other similar activities in the target country, and to create necessary linkages and develop synergies with other activities in the target country;

Ensure that the Programme takes into account new policies or initiatives being developed;


Foster positive visibility of the Programme at the national level;

Foster exchange and dialogue and opportunities for learning.

The PB will operate according to the following rules:

The PB will meet annually or upon the initiative of any member of the PB. The PB will be chaired by CCC.

The PB meeting will be organized to the extent possible within the scope of planned in-country missions to accommodate UNDP-GEF, WRI, and UNEP colleagues. Being a global project if any member cannot participate in person, (depending on technical logistics) participation by phone will be facilitated.

The National Coordinator will serve as the secretary to the PB and will not be a voting member. His/her tasks will include conveying/organizing the PB meetings; presenting the Programme’s progress to the PB; taking notes during – and circulating notes after the PB meetings.

Additional representatives of the partners may join PB meetings in an observer role (if and when required).

5.3 Programme Assurance

The programme assurance (PA) role ensures that work is done in line with the objectives and targets set for the programme. The programme will rely on strong cooperation at the national level (through a National Coordinator who will ensure the programme is implemented as per the plan and guidance from PB) and global level (Global Steering Committee, Global Programme Coordination), to ensure national and global-level objectives are reached and outcomes completed. The UNDP Country Office for Philippines, along with the PMU, UNDP, and UNEP support the National Coordination Committee by carrying out interdependent project oversight and monitoring functions. The assurance role also ensures appropriate project management milestones, which need to be managed and completed by the programme team.

Although the CCC has the overall quality assurance role of the programme with the support of the National Coordinator, programme implementation will be further supported through an additional assurance role performed by a designated Global Technical Advisor for the UNDP-led Outcomes/Outputs. Finally, a Global Programme Coordinators of UNDP and UNEP will ensure coherence between the national programmes and the overall global programme, aggregate best practices and lessons learned for knowledge sharing between programme countries and the global readiness community of practice, and liaise with the donor for reporting and administrative purposes.

5.4 Fund Flow Modality

The Government of Germany through the Federal Ministry of Environment, Nature Conservation, Building and Nuclear Safety (BMUB) has provided EUR 15 million for three years for a larger programme to build climate finance readiness in nine countries, including Philippines. Within Philippines, the funds for which UNDP has responsibility are presented as the total budget with corresponding work plans in this document. BMUB will transfer the funds to the UNEP Trust Fund. From the Trust Fund, the UNDP Philippines programme funds (USD 1,335,180) will be transferred to UNDP HQ in terms of the UN agency to UN agency contribution agreement between UNEP and UNDP, from where the funds will be made available to this NIM project


under the UNDP Philippines country office, based on the disbursement schedule in the contribution agreement with UNEP. UNDP will disburse the funds as per NIM modality.

Approximately, US $1,598,000 will be allocated for the Philippine GCF readiness programme for joint implementation of the partnership project by UNDP, WRI and UNEP.

5.5 Management and Financial Audit

Based on NIM policies, UNDP will conduct management and financial audit of the programme on an annual basis. Management structures will be set up in terms of the UNDP programme but will serve the implementation of the broader partnership programme as well. The audit will also look into the compliance of the programme in terms of sub-contractual agreements as well as fulfilment of the work plan. Formal financial audit will be carried out by a government-registered auditor at all levels of implementation for UNDP implemented funds. Project Audit will follow UNDP Financial Regulations and applicable audit policies.

5.6 UNDP Direct Project Support Services

Apart from the standard programme implementation support and oversight provided by UNDP to the implementation of GEF projects, as outlined above under ‘Project Execution and Oversight’, the UNDP may provide the following specific direct project support services based on the request of the GOP and a signed letter of agreement. The project will have to bear the costs of services provided by UNDP as per the prevailing rules and practices of UNDP.

Recruitment and contract management of National Coordinator for the PMU; Recruitment and contract management of international and local consultants;

Procurement of goods required for the delivery of the different outcomes under the programme, as requested by the implementing partners.

6 Monitoring Framework and Evaluation

The programme will be monitored through the following Monitoring and Evaluation (M&E) activities which are budgeted as part of the programme management unit costs.

6.1 Programme Inception and Implementation

An Inception Workshop will be held within the first 2 months of programme start with those with assigned roles in the programme organization structure, UNDP country office and where appropriate/ feasible regional technical policy and programme advisors as well as other stakeholders. The Inception Workshop will discuss both the UNDP programme and the broader partnership programme and is crucial to building ownership for the programme results and to plan the first year annual work plan.

The Inception Workshop should address a number of key issues including:

a) Assist all partners to fully understand and take ownership of the programme. Detail the roles, support services and complementary responsibilities of programme partners vis a vis the programme team. Discuss the roles, functions,


and responsibilities within the programme's decision-making structures, including reporting and communication lines, and conflict resolution mechanisms. The Terms of Reference for programme staff may be discussed again as needed.

b) Based on the programme results framework, finalize the first annual work plan. Review and agree on the indicators, targets and their means of verification, and recheck assumptions and risks.

c) Provide a detailed overview of reporting, monitoring and evaluation (M&E) requirements. The Monitoring and Evaluation work plan and budget should be agreed and scheduled.

d) Discuss financial reporting procedures and obligations, and arrangements for annual audit.

e) Plan and schedule PB meetings. Roles and responsibilities of all project organization structures should be clarified and meetings planned. The first PB meeting should be held within the first 6 months following the inception workshop.

An Inception Workshop report is a key reference document and must be prepared and shared with participants to formalize various agreements and plans decided during the meeting.

6.2 Quarterly Reports

Progress made shall be monitored based on a results based management approach jointly agreed by implementing partners. Based on the initial risk analysis submitted, the risk log shall be regularly updated. Risks become critical when the impact and probability are high. Based on the information, a Programme Progress Report (PPR) can be generated in the Executive Snapshot.

6.3 Annual Programme Review (APR)

The Annual Programme Review (APR), a key report, is prepared to monitor progress made since programme start and in particular for the previous reporting period (30 June to 1 July).

The APR includes, but is not limited to, reporting on the following:

Progress made toward programme objective and outcomes - each with indicators, baseline data and end-of-project targets (cumulative)

Programme outputs delivered per programme outcome (annual).

Lesson learned/good practice.

AWP and other expenditure reports

Risk and adaptive management

ATLAS QPR

Portfolio level indicators are used by most focal areas on an annual basis as well.


6.4 End of Project

An independent Terminal Evaluation will take place three months prior to the final PB meeting and will be undertaken in accordance with UNDP guidance. The final evaluation will focus on the delivery of the programme’s results as initially planned. The final evaluation will look at impact and sustainability of results, including the contribution to capacity development.

The Terminal Evaluation should also provide recommendations for follow-up activities and requires a management response which should be uploaded to PIMS and to the UNDP Evaluation Office Evaluation Resource Centre (ERC).

During the last month of the programme, the programme team will prepare the Programme Terminal Report. This comprehensive report will summarize the results achieved (objectives, outcomes, outputs), lessons learned, problems met and areas where results may not have been achieved. It will also lay out recommendations for any further steps that may need to be taken to ensure sustainability and replicability of the project’s results.

6.5 Learning and Knowledge Sharing:

Results from the programme will be disseminated within and beyond the programme intervention areas through existing information sharing networks and forums.

The programme team will identify and participate, as relevant and appropriate, in scientific, policy-based and/or any other networks, which may be of benefit to programme implementation though lessons learned. The programme team will identify, analyze, and share lessons learned that might be beneficial in the design and implementation of similar future activities.

6.6 Liaison with the Green Climate Fund:

It is expected that the Programme’s Partners (UNDP and UNEP) stay in close communication with the GCF Board and actively disseminate in due course, lessons learnt from the Programme’s activities, in international meetings and forums including the UNFCCC climate change negotiations and to ensure high visibility for the Programme results.

M&E work plan and budget

Type of M&E activity Responsible Parties

Budget US$

excluding staff time

Time frame

Launch Workshop and Report

National Project Coordinator (NPC)

UNDP Philippines, UNEP5,000

Within first two months of project start up

Annual Results Reporting (ARR)

NPC & PMU UNDP Philippines 0 Annually

Periodic status/ progress reports

NPC & PMU 0 Quarterly

Project Terminal Evaluation and Report

NPC & PMU UNDP Philippines & UNEP Local consultant (if necessary)

7,500

At least three months before the end of the project


http://erc.undp.org/index.aspx?module=Intra

Type of M&E activity Responsible Parties

Budget US$

excluding staff time

Time frame

Audit UNDP CO NPC & PMU 7,500 Yearly

TOTAL indicative COST (excluding project team staff time and UNDP staff and travel expenses) 20,000

6.7 Communications and visibility requirements:

In all of the joint programme’s publications, reports, websites, events’ documentation, and contact with the media, the Programme’s logo and the BMUB logos must always be used. Clear mention must always be made of the support provided for the programme by BMUB and IKI (International Climate Initiative). For example, the following sentence can be used: “This project is part of the International Climate Initiative (IKI). The German Federal Ministry for the Environment, Nature Conservation, Building and Nuclear Safety (BMUB) supports this initiative on the basis of a decision adopted by the German Bundestag.”

In doing the above, full compliance is required with UNDP’s Branding Guidelines. These can be accessed at http://intra.undp.org/coa/branding.shtml, and specific guidelines on UNDP logo use can be accessed at: http://intra.undp.org/branding/useOfLogo.html.

7 Legal Context

This programme document shall be the instrument referred to as such in Article 1 of the SBAA between the Government of the Philippines and UNDP, signed by the Parties on 21 July 1977. The host country implementing agency shall, for the purpose of the Standard Basic Assistance Agreement, refer to the government co-operating agency described in that Agreement.

The UNDP Resident Representative in Philippines is authorized to effect in writing the following types of revision to this Programme Document, provided that he/she has verified the agreement thereto by UNEP and is assured that the other signatories to the Programme Document have no objection to the changes:

(a) Revision of, or addition to, any of the annexes to the Programme Document;

(b) Revisions which do not involve significant changes in the immediate objectives, outputs or activities of the programme, but are caused by the rearrangement of the inputs already agreed to or by cost increases due to inflation;

(c) Mandatory annual revisions which re-phase the delivery of agreed programme inputs or increased expert or other costs due to inflation or take into account agency expenditure flexibility; and

(d) Inclusion of additional annexes and attachments only as set out here in this Programme Document

Consistent with the Article III of the Standard Basic Assistance Agreement, the responsibility for the safety and security of the implementing partner and its


http://intra.undp.org/branding/useOfLogo.html

http://intra.undp.org/coa/branding.shtml

personnel and property, and of UNDP’s property in the implementing partner’s custody, rests with the implementing partner, i.e. the Climate Change Commission (CCC).

CCC, as the implementing partner shall:

(a) put in place an appropriate security plan and maintain the security plan, taking into account the security situation in the country where the programme is being carried;

(b) assume all risks and liabilities related to the implementing partner’s security, and the full implementation of the security plan.

UNDP reserves the right to verify whether such a plan is in place, and to suggest modifications to the plan when necessary. Failure to maintain and implement an appropriate security plan as required hereunder shall be deemed a breach of this agreement.

The implementing partner agrees to undertake all reasonable efforts to ensure that none of the UNDP funds received pursuant to the Programme Document are used to provide support to individuals or entities associated with terrorism and that the recipients of any amounts provided by UNDP hereunder do not appear on the list maintained by the Security Council Committee established pursuant to resolution 1267 (1999). The list can be accessed via http://www.un.org/Docs/sc/committees/1267/1267ListEng.htm. This provision must be included in all sub-contracts or sub-agreements entered into under this Programme Document”.


8 Annexes

8.1 Annex 1 – Terms of Reference for Programme Management Unit

8.1.1 Terms of Reference: National Coordinator – GCF Readiness Programme

1. Position Information

Job Title: National Coordinator – GCF Readiness ProgrammeDepartment: UNDP Country Office (Philippines)Duty Station PhilippinesReports to: Direct Supervisor: National Programme Director at CCC

UNDP Country Office (Energy and Environment Portfolio) in close consultation with Programme Office (Climate Change) at UNDP CO and guidance from GCF readiness Global Programme Coordinator at UNDP HQ

Expected Start Date of Assignment:

1 March 2016

Duration 1 Year

2. Context

The Green Climate Fund Readiness Programme is funded by the BMUB (Germany) and will be implemented by the Ministry of Finance with the technical support from UNDP, UNEP and WRI. The programme aims to support the Government of Philippines in strengthening its national capacities to effectively and efficiently plan for, access, manage, deploy and monitor climate financing in particular through the GCF.

The UNDP activities will be nationally executed as per UNDP National Implementation Modality (NIM) procedures. According to UNDP guidelines on National Implementation Modality, the Government (CCC in this case) is responsible for the management and delivery of programme activities to achieve programme outcomes/outputs. Government regulations, rules and procedures therefore apply to programme implementation to the extent that they do not contravene the principles of the Financial Regulations and Rules of UNDP.

Under direct supervision of the NPD at CCC and UNDP Philippines (Energy and Environment Team Leader), in close consultation with Programme Officer (Climate Change) at UNDP CO; and under the guidance of the Global Programme Managers of the GCF Readiness Programme in UNDP, WRI and UNEP, the National Coordinator is responsible for the day to day management of the GCF readiness programme in the Philippines on behalf of the implementing partner and within the limitations laid down by the Programme Board (PB). He/she will ensure proper monitoring, evaluation and reporting of all programme activities (led by UNDP, WRI, and UNEP).

The National Coordinator will provide technical advice and support to the implementation of the different programme activities, and in doing so will work to ensure coherence with the programme framework developed on the global level and with relevant initiatives at the national level. The National Coordinator will undertake overall monitoring of the use of funds, the procurement of materials/equipment and


the recruitment of personnel and will be supported by an administration and finance associate. In addition, he/she will provide guidance on the strategic direction of the programme to other PMU staff (i.e., administration and finance associate) and technical experts recruited to deliver programme activities.

The National Coordinator will also serve as the Secretary of the Programme Board (PB) which is comprised of key stakeholders and programme partners.

3. Functions / Key Results Expected

Summary of key functions:

i. Management of the GCF Programme activities (including activities led by WRI, UNEP and UNDP);

ii. Creating strategic partnership with key stakeholders;

iii. Providing technical advice and support to the implementation of the programme activities;

iv. Monitoring, evaluation and reporting of the overall programme deliverables.

i. Manage the overall implementation of the GCF National Programme activities:

Organize and coordinate programme activities (such as workshops, studies and publications, advisory services and other activities and outputs), subcontracts, equipment and administrative support;

Promote overall integration of the programme into the country’s existing and planned readiness and related activities, the national climate change policies and plans;

Encourage shared learning with national partners and the other national coordinators;

Supervise personnel and subcontractors engaged in delivering aspects of the programme’s work plans (UNDP, WRI, and UNEP);

Provide secretariat services to the PB; this will include conveying/coordinating the PB meetings; ensuring that all PB representatives receive relevant information ahead of meetings; presenting the Programme’s progress to the PB; taking notes during – and circulating notes after the PB meetings;

Prepare annual work plans with indicative scheduling of identified main outputs and activities as guidance documents for the formulation and review of annual work plans.

Provide guidance and reviews of technical specifications of project outputs and activities;

Ensure close coordination between other relevant climate change projects and programmes, both in-country and those lead by the partners, the GCF Secretariat, and other organizations;

Facilitate coordination and other support for consultants hired for the Programme, and for any relevant UNDP, UNEP and WRI missions directly related to the Programme;

Timely preparation and submission of required reports, including technical and financial reports to relevant parties.


ii. Creating strategic partnership with key stakeholders:

Coordinate the activities of the partners in the Programme (UNEP,UNDP, and WRI) to ensure harmonization and avoid redundancy;

Ensure continuous liaison with the MoF, UNDP and UNEP;

Coordinate the implementation of the country readiness activities in accordance with the GCF Readiness Programme at the global level;

Update and seek authorization from the Partner agencies at the global level regarding significant changes to annual work plans, in order to ensure global coherence of the Programme.

iii. Providing technical advice and support to the implementation of the Programme activities:

Provide technical inputs to the implementation of the different Programme activities and outputs – including by organizing and participating in meetings, trainings, workshops and other events and by providing analysis of results of the workshop/trainings/meetings/events, by providing technical inputs to workshop presentations, to studies, to advisory services and to other activities and outputs of the national Programme;

Prepare, in consultation with the partners, TORs for consultants and comment on their reports ;

Facilitate the building of capacity and awareness of key stakeholders regarding climate finance readiness, including among the private sector and civil society;

Develop relevant policy briefs, lessons learned documents, communication materials, website updates, and other relevant publications ;

Provide policy advice related to the GCF process.

iv. Monitoring, evaluation and reporting of the overall Programme deliverables:

Carry out regular follow-up and monitoring of implementation activities;

Carry out regular monitoring and reporting on risks and mitigation measures;

Ensure timely preparation and submission of required reports, including bi-annual progress and expenditure reports, per the requirements of the donor (UNEP and BMUB);

Provide regular updates on the Programme’s progress to the i) UNDP Environment team leader, ii) Global Programme Coordinators of UNDP, UNEP, and WRI; iii) PB, and iv) BMUB. In principle, the same report should be used where possible for all parties and reporting requirements;

Facilitate independent evaluations as fielded by Programme partners.

4. Impact of Results

The key results have an impact on the success of country programme within specific areas of cooperation. In particular, the key results have an impact on the design,


operation and programming of activities, creation of strategic partnerships as well as reaching resource mobilization targets.

5. Recruitment Qualifications

Master’s degree in environmental science/management/policy, finance, economics or other relevant subject.

At least 7 years of relevant experience in policy analysis, advice and capacity development related to climate and/or development finance, public policy/finance/budget management and in engagement of the private sector/finance sector in climate related activities in developing countries;

Expertise and experience in climate change and relevant sectors such as energy, forestry, agriculture, water and cross-cutting issues such as gender;

Experience in programme design, monitoring and evaluation is an asset; Experience working for the Government of Philippines and UN is an asset; Ability to work under pressure and time constraints. Excellent written and oral communication skills; Fluency in English is required.

6. Competencies

Corporate Competencies:

Demonstrates integrity by modeling the UN’s values and ethical standards; Promotes the vision, mission, and strategic goals of UNDP; Displays cultural, gender, religion, race, nationality and age sensitivity and

adaptability; Treats all people fairly without favoritism; Fulfills all obligations to gender sensitivity and zero tolerance for sexual

harassment.

Functional Competencies:

Demonstrated excellence in clear, concise and convincing writing and communication skills;

Highly organized with strong analytical and research skills; Demonstrated ability to work effectively as part of a collaborative team and

process; Ability to work with multiple stakeholders across a wide range of disciplines; Ability to work with diverse partners and ensure coherence in activities; Ability to identify areas of potential conflicts and take appropriate steps to deal

with these.


8.1.2 Terms of Reference: Administration and Finance Associate – GCF Readiness Programme

1. Position Information

Job Title: Administration and Finance Associate (AFA)– GCF Readiness Programme

Department: UNDP Country Office (Philippines)Duty Station PhilippinesReports to: Under the guidance of National Project Director at CCC in

close consultation with UNDP Country Office (Energy and Environment Portfolio)

Direct Supervisor: National Coordinator, GCF Readiness Programme

Expected Start Date of Assignment:

1 March 2016

Duration 1 Year

2. Context

The Green Climate Fund Readiness Programme is funded by the BMUB (Germany) and will be implemented by the Ministry of Finance with the technical support from UNDP and UNEP. The programme aims to support the Government of Philippines in strengthening its national capacities to effectively and efficiently plan for, access, manage, deploy and monitor climate financing in particular through the GCF.

The programme will be nationally executed as per UNDP National Implementation Modality (NIM) procedures. According to UNDP guidelines on National Implementation Modality, the Government (CCC in this case) is responsible for the management and delivery of programme activities to achieve programme outcomes/outputs. Government regulations, rules and procedures therefore apply to programme implementation to the extent that they do not contravene the principles of the Financial Regulations and Rules of UNDP.

Under the direct guidance of the NPD at CCC and direct supervision of National Coordinator – GCF Readiness Programme, the Administration and Finance Associate (AFA) will coordinate the smooth administrative and financial management of the Green Climate Fund Readiness Programme in the Philippines.

AFA will also work under the guidance of UNDP Country Office (Energy and Environment Portfolio)

The AFA will ensure that the maintenance of the project financial systems is in accordance with the finance policies and procedures. He/She will ensure the timely provision of accurate financial reports to the GCF National Coordinator.

3. Functions / Key Results Expected

Summary of key functions:

i. Provided efficient administrative support to the GCF Programme.


ii. Ensured timely and efficient management of all financial and payment processes; including budget monitoring, procurement, and financial reporting.

iii. Ensured smooth delivery of assigned human resource management functions, in particular as regards the recruitment of consultants.

Administration:

Provide secretariat, administrative, logistics support to activities, seminars, meetings, conferences and regular activities of the office including the preparation of meeting summary reports.

Ensure the smooth running of the office through sound administration and maintenance of a dual physical and electronic “filing system” of rules, regulations, administrative instructions, correspondences, publications and other related documentation, and manage a comprehensive contacts database that supports all correspondence.

Develop efficient administrative procedures to facilitate effective coordination of GCF activities in the Philippines.

Prepare, process and follow-up on administrative arrangements and forms related to the official travel of staff, national representatives, consultants and others; including travel plans, e-travel requests and security clearances.

Manage and support the office’s electronic and physical communication

Draft routine correspondence and perform other related administrative duties, as required.

Assist the preparation and compilation of progress and terminal reports for submission to donors and disseminate these reports and other information on GCF activities in the Philippines.

Support in preparation of annual work plans with indicative scheduling of identified main outputs and activities as guidance documents for the formulation and review of annual work plans.

Finance and Payment:

Maintain accurate financial and personnel records of the programme as required by GOP, UNDP and UNEP

Assist with the preparation of budgets for the operation programme activities.

Monitor budgets and continuously maintain up-to-date financial records for the account of the GCF Programme, of allotments and expenditures under each budget line, prepare regular financial reports, including annual reports. Take lead to undertake all tasks related to the audit

Prepare purchase order and service requests ensuring correct objects of expenditure and availability of funds.

Inspect goods and services provided by selected vendors and ensure payment of bills for one-off and recurrent expenses

4. Impact of Results

The key results have an impact on the success of country programme within specific areas of cooperation. In particular, the key results have an impact on the design,


operation and programming of activities, creation of strategic partnerships as well as reaching resource mobilization targets.

5. Recruitment Qualifications

Bachelor’s degree in Management, Business Administration or other relevant subject.

Relevant government professional license. 5 years of relevant experience in administration or programme support

service. Experience in the usage of computers and office software packages (MS Word, Excel, etc.). Experience in handling of web-based management systems.

Experience in providing a streamlined financial service role to a project management team, including experience in developing and delivering financial reports.

Experience working for the Government and UN is an asset; Demonstrated initiative in carrying out his/her duties and ability to work

independently to tight deadlines. Ability to operate standard office equipment and familiarity with principles of

accounting and office practice are essential. Excellent written and oral communication skills; Fluency in English is required.


8.2 Annex 2 – Social and Environmental Screening Template

Project InformationProject Information

1. Project Title Green Climate Fund (GCF) Readiness Programme in Philippines 2. Project Number (PIMS) 58633. Location

(Global/Region/Country) Philippines

Part A. Integrating Overarching Principles to Strengthen Social and Environmental SustainabilityQUESTION 1: How Does the Project Integrate the Overarching Principles in order to Strengthen Social and Environmental Sustainability?Briefly describe in the space below how the Project mainstreams the human-rights based approach

UNDP will uphold the principles of accountability and the rule of law, participation and inclusion, and equality and non-discrimination, noting that prohibited grounds of discrimination include race, ethnicity, gender, age, language, disability, sexual orientation, religion, political or other opinion, national or social or geographical origin, property, birth or other status including as an indigenous person or as a member of a minority. UNDP will also ensure the meaningful, effective and informed participation of stakeholders in the formulation, implementation, monitoring and evaluation of Programmes and Projects.

The Project takes a focused approach to build capacity in Philippines to facilitate equitable access to financing to achieve climate change mitigation and adaptation impacts. The Project is in line with agreed international standards on readiness, which make clear references to country-owned processes, gender equality considerations, and vulnerable groups. Moreover, the implementation activities at the national level in Philippines were devised in cooperation with Government stakeholders and are aligned with national development plans and climate strategies and priorities.

The project document was developed based on clear demands for readiness support from Philippines and the development of the national project was done with the meaningful, effective and informed participation of all stakeholders identified in the project at both the national and subnational levels and with government, private sector, and civil society stakeholders.

Briefly describe in the space below how the Project is likely to improve gender equality and women’s empowerment


Consistent with the principles on gender as contained in the current United Nations Development Assistance Framework (UNDAF) and the UNDP Country Programme, the programme will ensure the incorporation of gender perspectives in its various outputs and activities by giving emphasis to gender-sensitive concerns especially in the capacity-building and protection of women, including the children and the elderly.

The proposed programme will strengthen the capacity of national stakeholders and subnational and civil society groups to access, manage and benefit from sources of climate finance. Women will be prioritized to take part in trainings and workshops aimed at increasing their ability to plan for, access, and manage sources of climate finance.

Briefly describe in the space below how the Project mainstreams environmental sustainability

The proposed project is financed by the Federal Ministry for the Environment, Nature Conservation, Building and Nuclear Safety of Germany and is intended to assist stakeholders to access funds from the Green Climate Fund (in its role as a financial mechanism of the UN Framework Convention on Climate Change) and therefore environmental benefits and sustainability are central to and the primary focus of the entire project.

Part B. Identifying and Managing Social and Environmental RisksQUESTION 2: What are the Potential Social and Environmental Risks? Note: Describe briefly potential social and environmental risks identified in Attachment 1 – Risk Screening Checklist (based on any “Yes” responses). If no risks have been identified in Attachment 1 then note “No Risks Identified” and skip to Question 4 and Select “Low Risk”. Questions 5 and 6 not

QUESTION 3: What is the level of significance of the potential social and environmental risks?Note: Respond to Questions 4 and 5 below before proceeding to Question 6

QUESTION 6: What social and environmental assessment and management measures have been conducted and/or are required to address potential risks (for Risks with Moderate and High Significance)?


required for Low Risk Projects.Risk Description Impact

and Probability (1-5)

Significance(Low, Moderate, High)

Comments Description of assessment and management measures as reflected in the Project design. If ESIA or SESA is required note that the assessment should consider all potential impacts and risks.

Risk 1: No risks identified I = P =

Risk 2 …. I = P =

Risk 3: …. I = P =

Risk 4: …. I = P =

[add additional rows as needed]QUESTION 4: What is the overall Project risk categorization?

Select one (see SESP for guidance) CommentsLow Risk XModerate Risk ☐High Risk ☐QUESTION 5: Based on the identified risks and risk categorization, what requirements of the SES are relevant?Check all that apply CommentsPrinciple 1: Human Rights ☐Principle 2: Gender Equality and Women’s Empowerment ☐1. Biodiversity Conservation and Natural Resource Management ☐2. Climate Change Mitigation and ☐


http://www.undp.org/content/undp/en/home/librarypage/operations1/undp-social-and-environmental-screening-procedure.html

Adaptation3. Community Health, Safety and Working Conditions ☐4. Cultural Heritage ☐5. Displacement and Resettlement ☐6. Indigenous Peoples ☐7. Pollution Prevention and Resource Efficiency ☐

Final Sign Off Signature Date DescriptionQA AssessorClaudia OrtizGlobal Programme Manager

February 2016

UNDP staff member responsible for the Project, typically a UNDP Programme Officer. Final signature confirms they have “checked” to ensure that the SESP is adequately conducted.

QA ApproverTiton MitraUNDP Country Director

April 2016 UNDP senior manager, typically the UNDP Deputy Country Director (DCD), Country Director (CD), Deputy Resident Representative (DRR), or Resident Representative (RR). The QA Approver cannot also be the QA Assessor. Final signature confirms they have “cleared” the SESP prior to submittal to the PAC.

PAC ChairAmelia SupetranISD Team Leader, UNDP

April 2016 UNDP chair of the PAC. In some cases PAC Chair may also be the QA Approver. Final signature confirms that the SESP was considered as part of the project appraisal and considered in recommendations of the PAC.


8.3 Annex 3 – Programme Logo and Partners’ Logos

GCF Readiness Programme Logo

BMUB Logo:


8.4 Annex 4- UNEP, UNDP, and WRI Budget and Activity Table cleared by CCC on November 2016

Please see attached Excel file.

Note: Some of the activities and budgets in the Annex have been revised. UNDP activity revisions are now reflected in this prodoc.


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