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with United Nations Development Programme (UNDP) for Republic of India 24 December 2019 | NDA Strengthening & Country Programming

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Page 1: with United Nations Development Programme (UNDP) for ... · Ms. Preeti Soni . Chief Climate Change, Resilience and Energy . UNDP . 55, Lodhi Estate, New Delhi India . Email: preeti.soni@undp.org

with United Nations Development Programme (UNDP)

for Republic of India

24 December 2019 | NDA Strengthening & Country Programming

Page 2: with United Nations Development Programme (UNDP) for ... · Ms. Preeti Soni . Chief Climate Change, Resilience and Energy . UNDP . 55, Lodhi Estate, New Delhi India . Email: preeti.soni@undp.org

Programme title: India- Green Climate Fund Readiness and Preparatory Support- 2

Country: India

National designated authority: Ministry of Environment Forest and Climate Change

Implementing Institution: UNDP – Delivery Partner

Date of first submission: 30 July 2019

Date of current submission/ version number

10 December 2019 V.4

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Readiness and Preparatory Support Page 2 of 16

How to complete this document?

- Please visit the Empowering Countries page of the GCF website to download the Readiness Guidebook and learn how to access funding under the GCF Readiness and Preparatory Support Programme.

- This document should be completed by National Designated Authorities (NDA) or focal points with support from their Delivery Partners where relevant. Once completed, this document should be submitted to the GCF by the NDA or focal point to [email protected].

- Please be concise. If you need to include any additional information, please attach it to the proposal. - If the Delivery Partner implementing the Readiness support is not a GCF Accredited Entity for project

Funding Proposals, please complete the Financial Management Capacity Assessment (FMCA) questionnaire and submit it prior to or with this Readiness proposal. The FMCA is available for download at the Library page of the GCF website.

Where to get support?

- If you are not sure how to complete this document, or require support, please send an e-mail to [email protected].

- You can also complete as much of this document as you can and then send it to [email protected], copying both the Readiness Delivery Partner and the relevant GCF Country Dialogue Specialist and Regional Advisor. Please refer to the Country Profiles page of the GCF website to identify the relevant GCF Country Dialogue Specialist and Regional Advisor.

- We will get back to you within five (5) working days to acknowledge receipt of your submission and discuss the way forward.

Please submit the completed form to:

[email protected]

Please use the following naming convention for the file name: “GCF Readiness Proposal-[India]-[191120]”

Note: Environmental and Social Safeguards and Gender

Throughout this document, when answering questions and providing details, please make sure to pay special attention to environmental, social and gender issues, particularly to the situation of vulnerable populations, including women and men. Please be specific about proposed actions to address these issues. Consult Annex IV of the Readiness Guidebook for more information.

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Readiness and Preparatory Support Page 3 of 16

1. SUMMARY

Country submitting the proposal

Country name: India Name of institution representing NDA or Focal Point: Ministry of Environment, Forest & Climate Change

Name of contact person: Mr. Ravi S Prasad

Contact person’s position: Additional Secretary

Telephone number:91-11- 24695309 91-11-24695308

Email: [email protected]

Full office address: Ministry of Environment, Forest & Climate Change, Indira Paryavaran Bhawan, 3rd Floor, Prithvi Wing, New Delhi.

Additional email addresses that need to be copied on correspondences:

Date of initial submission 30 July 2019

Last date of resubmission 10 December 2019 Version number V.4

Which institution will implement the Readiness and Preparatory Support project?

☐ National designated authority ☒Delivery partner ☐Accredited entity

Name of institution: United Nations Development Programme (UNDP)

Name of official: Pradeep Kurukulasuriya Executive Coordinator UNDP-Global Environmental Finance Sustainable Development Cluster Bureau for Policy and Programme Support United Nations Development Programme Email:[email protected] Phone:+66 87 017 8667

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Readiness and Preparatory Support Page 4 of 16

Additional email addresses that need to be copied on correspondences: Ms. Preeti Soni Chief Climate Change, Resilience and Energy UNDP 55, Lodhi Estate, New Delhi India Email: [email protected] Phone: +91-11-46532388

Title of the Readiness support proposal

India Green Climate Fund Readiness Support- Second Phase

Type of Readiness support sought

Please select the relevant GCF Readiness activity area below (click on the box): ☐I. Country capacity for engagement with GCF ☐II. Country programming process ☐III. Direct access to climate finance ☒IV. Climate finance accessed ☐V. Formulation of national adaptation planning and/or other adaptation planning

processes

Brief summary of the request

The first phase of the readiness programme was implemented by UNDP from November 2016 to October 2019. Major focus was at national level a) to strengthen institutional capacity for NDA to fulfil its role and b) development of the country programme document. This was the only readiness and preparatory support provided to India on Green Climate Fund.

During the first phase, the capacity of the key stakeholders was built through regional level workshops and consultations. However, it was observed that state governments and sub national actors require further hand holding to align state priorities with the priorities identified in the country programme as well as augmentation of their capacity to translate project proposal ideas into full-fledged funding proposals for GCF. During the first phase, the project received good response from the private sector but due to paucity of resources, there were limitations in private sector engagement.

The second phase will build on the outcomes of the first phase and will build capacity of DAEs and state governments to actively engage with NDA for implementation of the country programme and leveraging GCF resources while engaging the private sector for unleashing its full potential to undertake climate actions in the areas of clean energy and building climate resilience. The second phase has two major objectives:1) Accreditation support and building capacity of DAEs and state governments to develop fundable proposals based on the priorities identified in the country programme document with financing models that are innovative and can leverage various types of funds 2) Systematically engaging Businesses and financial institutions to invest in climate actions.

The primary beneficiaries of the project will be the NDA and DAE’s. The readiness support requested will augment NDA’s capacity to strengthen capacities of DAEs and state governments to address country’s climate priorities in line with GCF’s investment criteria. The readiness grant will also help in enhancing private sector participation in GCF related activities.

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Readiness and Preparatory Support Page 5 of 16

Total requested amount and currency USD300,000 Anticipated duration 24 months

Has the country received or is expecting to receive other Readiness and Preparatory Support funding allocations (including adaptation planning) from GCF or other donors?

☒ Yes ☐ No

India received the GCF readiness grant of USD 300,000 (2016-2019) to strengthen NDA’s capacity to engage with GCF and effectively access finance to respond to national climate change and development priorities, in a strategic, coordinated, and participatory manner.

Two elements were supported through the fund

1) Strengthening capacity to design and implement the institutional arrangements for managing and coordinating with the National Implementation Entities;

2) Developing strategic frameworks for engagement with the Fund

2. BACKGROUND

The amount of climate finance received by India is not enough if compared to its need for adaptation and pursuing mitigation. According to NDCs estimate, India would need around USD 2.5 trillion (at 2014-15 prices) between 2015 and 2030 for implementing adaptation and mitigation actions. India’s NDC is among the few that make specific reference to the GCF. India’s NDC also expects GCF to finance the transfer of climate technologies. Moreover, India’s NDCs, on mitigation and adaptation are well aligned with the Funds strategic impact areas vis-a-vis clean energy, energy efficiency, cities, transport, forestry, agriculture, water health and ecosystems.

The magnitude of funds required are huge, domestic funds alone will not suffice to undertake scalable climate actions.. Moreover, it is common knowledge that Climate finance through public flows has been deemed insufficient to fulfill adaptation needs globally, particularly in developing countries. Currently, only a limited number of business models or financial products are being utilized for climate actions by the government and private sector, with possible exceptions of infrastructure projects (PPP models). Private sector potential is yet to be harnessed fully to invest in low carbon, climate resilient future. We expect the GCF to harness this potential through its incremental financing and readiness support.

The GCF readiness fund has been instrumental in supporting NDA to fulfil its role. The first phase was successful for establishing a GCF technical cell to provide support on all operational and strategic matters related to GCF. The project established and strengthened coordination mechanisms to engage all relevant stakeholders including national and sub-national government bodies, private sector including financial institutions, civil society, and academia on GCF related roles. The project supported development and implementation of nationally appropriate ‘no-objection’ procedure according to the GCF guidelines and outlined clear screening procedures for GCF project pipelines. The project engaged key stakeholders at the regional level and supported development of country programme document which outlines clear programming priorities consistent with the Fund’s results management and investment framework.

The second phase proposal will build on the outcomes of the first phase particularly in two areas 1) further enhance DAEs (including identifying more accredited entities) and State Government capacity to develop, implement, monitor and evaluate GCF proposals 2) developing a strategy to begin implementation of the country programme document.

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To access funding at scale, India needs to leverage, utilize and track climate finance effectively through the Direct Access Entities (DAEs). Till date, five Direct Access Entities have been nominated for GCF accreditation. Two of these are from the public sector and three from the private sector for accreditation by the GCF. The public sector entities are National Bank for Agriculture and Rural Development (NABARD) and Small Industries Development Bank of India (SIDBI). The private sector entities nominated are YES Bank, Infrastructure Development Finance Company (IDFC) Bank and IL&FS Environmental Services., All five nominated entities have been accredited by the GCF.

Climate change is increasingly becoming priority for the Government, but multi-sectoral and multi-stakeholder approach is limited or not being fully implemented at all levels in tandem with the changing development priorities. To mainstream and integrate climate imperatives into developmental sectors, India would require more accredited entities for skill, capacity development and leveraging finance from both private and public sector.

Though the implementation of the first phase has been successful, however there are few gaps let unaddressed and some emerging particularly in the area of accreditations, engaging sub national actors and the private sector. NDA intends to address these during the second phase of readiness programme. With three approved projects, India has learnt that for leveraging and utilizing GCF, DAEs and State governments should have requisite capacity to engage key stakeholders across all sectors and levels, enhance their understanding of GCF’s operations and processes and promote stakeholder consultations for putting GCF resources to best use. To amplify the impact of climate projects, private sector needs to be engaged more actively to unfold opportunities by reducing climate risks in their business operations and investing in climate actions. Component 1: Capacity building of Direct Access Entities and State Governments.

The NDA has undertaken the process to identify, screen and select organizations and has nominated 5 entities to the GCF Board for accreditation. Given the needs and priorities of India across geographies and sectors entailing diverse, multiple stakeholders at national and sub-national levels and range of organizations, NDA is in the process to identify more DAEs and building their long-term capacity to access, manage, direct, monitor and report on climate finance. This would entail providing institutional support to the DAEs to ensure they are strengthened to prepare, implement, and monitor GCF projects and programs in line with GCF’s Fiduciary and ESS guidelines. The accredited entities are expected to work closely with the state governments, hence adequate capacity is required at the state level to align country priorities with GCF to develop fundable proposals. Under this component, capacity gaps at the state level will be addressed through GCF sensitization programmes, proposal conceptualizing workshops, M&E frameworks and best financial practices.

Component 2: Improving access to climate finance

The NDA is encouraging the DAEs to combine traditional investments with innovative financing that can leverage more private investments together with public finance. The NDA seeks readiness support to develop innovative financing mechanisms, pulling together different investment partners to respond to the climate change related challenges. The second phase will implement key findings of the Country Programme Document (CPD) and will enable NDA to track the progress of the CPD implementation.

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Readiness and Preparatory Support Page 7 of 16

3. LOGICAL FRAMEWORK AND IMPLEMENTATION SCHEDULE

Outcomes Baseline1 Targets Activities2

(brief description and

deliverables)

Anticipated duration: Specify duration in multiples of six months

Monthly implementation plan of activities3 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36

Outcome 1: Capacities of DAEs and State Governments enhanced to plan and implement GCF projects

Sub-Outcome 1.1: Additional DAEs identified and supported for accreditation

0 1 2

0 1 2

Activity 1.1.1:Identifying and supporting 3 more institutions for accreditation based on their Fiduciary, Environmental, Social Safeguards and Gender consideration standards.

Deliverable 1.1.1: 3 additional DAEs supported for accreditation.

X

01 2

0 1 2

Activity 1.1.2Facilitate sharing of lessons learned from DAEs that have undergone the GCF accreditation process Deliverable 1.1.2 3 Meeting reports with accredited DAEs and DAEs that have submitted application for accreditation and 1 workshop report to facilitate learnings among accredited DAEs and potential institutions.

X

Sub-Outcome 1.2: Capacity of

01 2

0 1 2

Activity 1.2.1: Building capacity of 3 accredited DAEs on

X X

1 For baselines rated at 1 or 2, please shortly elaborate on current baselines on which the proposed activities can be built on, processes that are in place that the current Readiness proposal can strengthen, or any gaps that the proposed activities would fill in. If more space is needed, please elaborate this in Section 2. 2 Please include tangible and specific deliverables for each activity proposed, and the timeframe (month number) in which it will be delivered to GCF. Please note that during implementation all deliverables should be included within the implementation reports for GCF consideration. 3 If the duration of the proposal is longer than 24 months, please change the monthly columns to indicate 2 or 3 months each (e.g. change month “1” to month “1-2’ or “1-3”).

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State governments and DAEs to develop, monitor evaluate GCF projects enhanced

GCF funding and investment priorities, criteria for investment, engagement process, co-financing etc. Deliverable 1.2.1: Developing one comprehensive training manual and impart one training session to DAEs.

01 2

0 1 2

Activity 1.2.2: Enhance understanding of the state governments on developing, monitoring and evaluating GCF projects through 3 regional events in North, South, East, West and North-East. Deliverable1.2.2 Report on 3 workshops conducted across India with a focus on enhancing state government capacity.

X X X

01 2

0 1 2

Activity 1.2.3 Organize field visits of NDA to targeted regions to identify priorities based on the country programme document. Deliverable 1.2.3 List of priorities developed for all 5 regions (North, South, East, West and North-East) of India.

X X X X X

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Outcome 2

Climate Finance accessed

Sub-Outcome 2.1 Strengthened capacity of Private sector including financial institutions on opportunities for investment in climate actions and Pipeline of strong projects developed

01 2

0 1 2

Activity 2.1.1: Develop 2 blended (GCF with public and/or private sector funds) financing mechanisms that can be adopted by projects being developed for submission to GCF Deliverable 2.1.1: Report on blended financing mechanism developed

X

0 1 2

0 1 2

Activity 2.1.2: DAEs develop 3projectconceptsbased upon the country work programme and building on existing country strategies like NDCs and actions plans Deliverable 2.1.2: Support provided for 3 project concepts developed by DAEs.

X X

0 1 2

0 1 2

Activity 2.1.3: Developed log frame for implementation of the of country programme document Deliverable 2.1.3: Programme level LFA (Logical Framework Analysis) and monitoring mechanism developed to track achievement of programme objective and financing as per the country programme document

X

01 2

Activity 2.1.4 X X

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Readiness and Preparatory Support Page 10 of 16

0 1 2

Build awareness of private sector including financial institutions on risk mitigation instruments and financing opportunities offered by GCF and Private Sector Facility. Deliverable 2.1.4 Two workshops in Delhi and Mumbai with private sector.

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4. ADDITIONAL INFORMATION (ONLY FOR ADAPTATION PLANNING SUPPORT)

This section is only to be completed when seeking support for formulation of national adaptation plans and/or other adaptation planning processes. Please see Part 3 Section 4 in the Readiness Guidebook.

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5. BUDGET, PROCUREMENT, IMPLEMENTATION, AND DISBURSEMENT 5.1 Budget plan Please complete the Budget Plan in Excel using the template available in the Library page of the GCF website. Attached 5.2 Procurement plan Please complete the Procurement Plan in Excel using the template available in the Library page of the GCF website. For goods, services, and consultancies to be procured, please list the items, descriptions in relation to the activities in section 2, estimated cost, procurement method, relevant threshold, and the estimated dates. Please include the procurement plan for at least the first tranche of disbursement requested below and provide a full procurement plan for the entire duration of the implementation period if available at this stage. Attached 5.3 Disbursement schedule Please specify the proposed schedule for requesting disbursements from the GCF. For periodicity, specify whether it’s quarterly, bi-annually or annually only. The disbursement requests and schedule for this project will be in line with Clause 4 of the “Framework

Readiness and Preparatory Support Grant Agreement” between GCF and UNDP” dated 2, September 2016

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Readiness and Preparatory Support Page 13 of 16

6. IMPLEMENTATION ARRANGEMENTS AND OTHER INFORMATION

6.1 Implementation map

Please describe how funds will be managed by the NDA and/or the Readiness Delivery Partner.

Implementation Arrangement NDA: Ministry of Environment Forest and Climate Change At the institutional level, the project will delineate the roles and responsibilities of the NDA, strengthen the coordination mechanisms, identify the manpower requirements, and build capacities through targeted training programmes. At the national, regional and state level, thrust will be on building institutional capacities so that the NDA can effectively fulfil its role and establish coordination mechanism(s) to engage all relevant stakeholders including national and sub-national government bodies, private sector including financial institutions, civil society, and academia on GCF related roles including implementation of the country programme. Consultation workshops, training programmes, seminars will be organized at national, regional and state level to sensitize stakeholders and to seek their inputs for building effective engagement with the fund. Delivery Partner: UNDP The Government of India has identified UNDP as its delivery partner for the readiness support programme. UNDP will take responsibility, under the leadership and guidance of the NDA/FP, for the implementation of the proposed programme including fiduciary management. The project will be implemented in accordance with the Readiness and Preparatory Support Framework Agreement between the GCF and the UNDP. UNDP India will be responsible for services related to recruitment of project staff (where necessary) and consultants, travel, sub-contracting, and organization of national workshops. UNDP HQ will delegate spending authority to the UNDP India Country Office. UNDP HQ will approve the budget, and UNDP Country Office can spend within the approved spending limits established by UNDP HQ. The project will be overseen by the GCF global coordinator in UNDP HQ, while day-to-day management will be undertaken by the Programme Manager (budget line 23), under the direct supervision of the Chief Climate Change, Resilience and Energy in the Country Office. The Project Steering Committee will provide strategic direction and ensure that project activities are country-led. The NDA/ Focal Point will provide leadership in the implementation of activities by working with Service Contractor to ensure that the project achieve results that will deliver long-term impacts. UNDP will provide financial and technical oversight services for the outcomes and outputs of the project. UNDP will ensure that project monitoring and evaluation run according to an agreed schedule, and in line with UNDP and GCF requirements. Key stakeholders will include Direct Access Entities: DAEs will assist executing entities to build viable funding proposals that amalgamate GCF investment criteria with country priorities and play participatory role for implementing readiness activities.

Line Ministries: The Ministries for instance Agriculture, health, water, disaster, renewable energy, urban development etc. will be involved in the project for planning, design and implementation of the project activities. State governments: State governments (29 states and 7 Union Territories) will be involved in the project implementation and monitoring of activities. Their capacities will be built to support implementation of the GCF projects at the domestic level. They will provide inputs for engagement with the Fund. Private Sector: Private sector entities including financial institutions will be engaged for leveraging private sector funds to implement climate change activities at scale.

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Readiness and Preparatory Support Page 14 of 16

The Project Management Unit (PMU) will be established in the MoEFCC. The PMU will ensure seamless communication, coordination, planning and delivery of technical inputs. The PMU will be responsible for the overall coordination with the various national agencies for the delivery of project outputs in a timely and effective manner. It will facilitate project-related planning activities such as preparation of annual work plans and be responsible for overall project monitoring and reporting.

Implementation Map

a-d: GCF provide funds for implementation of the project d-a: UNDP reports to GCF on project activities, outcomes and financials. a-c: GCF provides comments on the project concept and proposals c-a: NDA submits concepts and proposals to GCF b-c: GCF empowered committee provides strategic direction for overall GCF submissions. c-e: MoEFCC seeks inputs from ministries on design, plan and implementation of activities e-c: Ministries shares priorities with MoEFCC c-f: MoEFCC provides its views on identified priorities and no objection to DAEs f-c: DAEs submits the concept to MoEFCC f-g: The DAEs provide support to state government in developing concepts and proposals f-h: DAEs engages private sector proposal development.

6.2 Risks, monitoring and evaluation (M&E), and other relevant information

Risks

Risks Risk Probability

Risk Impact Mitigation Measure

Entities to manage the risk

Limited involvement of state government and stakeholders in prioritizing climate change adaptation and mitigation options

Low High One of the prime focuses of the project is strengthening stakeholder capacities and facilitating their involvement. This will be undertaken largely under the capacity development component of the project

NDA

a. GCF

d. UNDP

c. MoEFCC (NDA)

f. Direct Access Entities

g. State Governments h. Private Sector/Financial Institutions

e. Other Ministries

b. GCF Empowered Committee/ Project Steering Committee

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Readiness and Preparatory Support Page 15 of 16

for proposal development

and NDA will engage with state government and other stakeholders directly.

Private sector does not show much interest

Medium Medium To be mitigated through enhancing understanding of the private sector entities on economic benefits in mitigating and adapting to climate change

NDA and DAEs

The government staff is shifted/transferred across agencies and departments – a possible effect of this could be the loss of capacity that has already been built for the program.

Medium Low To be mitigated through creating pool of experts and regular training programs for senior department officials. Documentation of the project activities, learnings and outcomes will serve as guiding principle.

NDAs and State Government

Monitoring and Evaluation The monitoring of the activities aims at achieving projected results and quality control. Monitoring indicators of project activities is outlined in the Logical Framework. Activity monitoring will take place as project interventions occur. Project outputs and risks will be monitored as part of the ongoing discussion and reporting to the GCF Empowered Committee formulated by the Ministry. Reporting will be done to GCF on regular basis i.e. quarterly on the activity progress.

Project Steering Committee: The existing GCF Empowered committee will act as the Project Steering Committee for this project which will regularly monitor the achievement of targets set against the indicators presented in Annex I of this readiness proposal. The committee will supervise the entire process and review the final findings of the project. The GCF Empowered Committee was setup in 2015 to administer the Green Climate Fund in India. It is chaired by Secretary, MoEFCC and comprises of line Ministries (Department of Economic Affairs, Ministry of External Affairs, Ministry of New and Renewable Energy, Niti Aayog, Ministry of Power, Ministry of Housing and Urban Affairs, Ministry of Agriculture and Farmers Welfare, Ministry of Water Resources, River Development & Ganga Rejuvenation, Ministry of Health & Family Welfare, Department of Science & Technology, Ministry of Science and Technology). The NDA will ensure that proposals submitted to GCF has been cleared by the GCF Empowered Committee. Activity monitoring –all project activities will be monitored on a regular basis based against the expected outcome. UNDP is responsible for complying with all UNDP project-level M&E requirements as outlined in the UNDP POPP. This includes ensuring the UNDP Quality Assurance Assessment during implementation is undertaken annually; the regular updating of the ATLAS risk log; and, the updating of the UNDP gender marker on an annual basis based on gender mainstreaming progress reported in the Annual Project Report and the UNDP ROAR. Any quality concerns flagged during these M&E activities (e.g. Annual Project Report quality assessment ratings) must be addressed by the PMU. UNDP will also ensure that the standard UNDP and GCF M&E requirements are fulfilled to the highest quality. Audit: The project will be audited according to UNDP Financial Regulations and Rules and applicable audit policies on DIM implemented projects. Inception Workshop: Project inception workshop will be held within three months after the project document has been signed by all relevant parties to, a) Sensitize stakeholders on the overall readiness approach planned through the project.

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b) Discuss the roles and responsibilities of the project team, including reporting and communication lines and conflict resolution mechanisms;

c) Review the results framework and finalize the indicators, means of verification and monitoring plan

Bi-Annual Project Report: The Project Management Unit, NDA and UNDP will provide inputs to the bi-annual project report of project implementation. The PMU will ensure that the indicators included in the project results framework are monitored bi-annually in advance so that progress can be included in the report.

Final Report: The project’s final Annual Project Report will be prepared and submitted to GCF highlighting achievements against the Logframe.

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The following considerations are important when completing the budget:

1. Before preparing the Readiness and PPF budget, please read the full guidance on our website

2. You can select the appropriate budget categories from the dropdown list in the budget plan:

3. To insert additional rows, right click on the row number below where you wish to insert the new row and choose INSERT.

4. Additional budget categories may be added by manually typing them on the Budget Category sheet. :

Project Management Cost: Project management costs (PMC) are the direct administrative costs incurred to execute a project. They should cover only incremental costs incurred due to the GCF contribution. In most cases, these costs are directly related to the support of a dedicated project management unit (PMU) which managesthe day to day execution related activities of the project.

General Principles for PMC costs: 1. The percentage of PMC financed by GCF should not be more than the percentage share of the overall budget financed by GCF 2. PMC budget thresholds: Up to 7.5 per cent of total activity budget. > PMC exceeding 7.5 per cent for the readiness (including NAPs) proposals, and PPF proposals, up to $ 3 million will require detailed documentation and justification supporting the entire PMC budget. > The PMC should be shown as a separate component in the project budget. A detailed breakdown of PMC should be provided by budget category. > Indicative list of eligible project management costs:

> Project staffing and consultants: Project manager, Project Assistant, Procurement personnel, Finance personnel & Support/admin. Personnel> Other direct costs: Office equipment, Mission related travel cost of the PMU, Project management systems and information technology, Office supplies, Audit cost

Contingency :1. Select the appropriate % of Contingency Budget from the dropdown list :

2. Contingency budget for unforeseen costs arising during the project implementation should not be included in the outcome budget separately.3. Contingency budget must be used for any unforeseen programme (output level) cost that is unrelated to implementation/service fee.4. Any use of contingency must be reported to and agreed by the GCF Secretariat in writing in advance provided with justifications that are acceptable to the GCF5. If you get to the end of the project and you haven’t spent Contingency, you can’t increase the scope of the project or buy some more equipment to use it up.

6. The Budget Notes sheet should be used to record explanations, further details or cost breakdowns for individual lines

(https://www.greenclimate.fund/how-we-work/empowering-countries).

If you are unsure about how to complete the budget template, please send your query to: [email protected]

Readiness Grant Budget Preparation Guidelines

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5.1 Budget PlanPlease add rows for Outcomes, Outputs and Cost Categories as required. Additional budget categories may be added by manually typing them on the Budget Category sheet.

Workshop/Training workshop 1 8000 8,000.00

Travel – Local Trips 8 600 4,800.00

Consultant - Individual - Local Days 65 400 26,000.00

Audio Visual & Printing 5 1000 5,000.00

Travel – Local Trip 8 600 4,800.00

Workshop/Training workshop 3 10000 30,000.00 Professional Services – Companies/Firm Agency 1 10000 10,000.00

Consultant - Individual - Local Days 80 400 32,000.00

Travel – Local Trips 40 600 24,000.00 Professional Services – Companies/Firm Agency 2 25000 50,000.00

Consultant - Individual - Local Days 70 450 31,500.00

Workshop/Training workshop 2 10000 20,000.00

Travel – Local Trips 15 600 9,000.00

255,100.00 75,000.00 125,000.00 55,100.00 - - -

Consultant - Individual - Local Days 60 200.00 12,000.00

Office Supplies Lumpsum 1 1,846.00 1,846.00

IT Equipment Lumpsum 2 1,000.00 2,000.00 do not change the formula do not change the formula

Audit Fee Lumpsum 1 3,000.00 3,000.00 18,846.00 19,132.50

- 7.39% 7.50%

Total (per budget category)

5,000.00

3,000.00

-

101,500.00

60,000.00 Project Management Cost (PMC) 7.4% requested

2,000.00 Contingency requested

1,846.00

-

42,600.00

58,000.00

-

-

-

-

-

273,946.00

Delivery Partner Fee (DP) - Up to 8.5% of the Sub-Total

Project Management Cost (PMC)Up to 7.5% of Total Activity Budget

Total Outcome Budget + PMC

0

Consultant - Individual - International

Consultant - Individual - Local

Professional Services – Companies/Firm

Travel – Local

Total Project Budget (Total Activity Budget + Contingency + PMC + DP)

Sub-Total (Total Outcome Budget + Contingency + PMC)

FOR GREEN CLIMATE FUND SECRETARIAT'S USE ONLY

FOR GREEN CLIMATE FUND SECRETARIAT'S USE ONLY

300,000.00$

276,497.00

23,502.25

2,551.00

Breakdown (per budget category)

Workshop/Training

0

0

Audit Fee

0

0

Audio Visual & Printing

IT Equipment

Office Supplies

Travel - International

Outcome 1: Capacities of DAEs and State Governments enhanced to plan and

implement GCF projects

144,600.00

Total Outcome Budget

Sub-Outcome 1.2: Capacity of State governments and DAEs to develop, monitor evaluate GCF projects enhanced

2. Outcome: Climate Finance accessed

Sub-Outcome 1.1:Additional DAEs identified and supported for accreditation

Sub-Outcome 2.1: Strengthened capacity of Private sector including financial institutions on opportunities for investment in climate actions and Pipeline of strong projects developed

OutcomesDisbursement Plan

Budget Categorieschoose from the drop-down list

Unit 6m 24m

Detailed Budget (in US$)

18mUnit Cost# of Unit Total Budget(per sub-outcome)

255,100.00

1%

Total Outcome Budget

36mTotal Budget(per budget category)

18,846.00

Total Budget(per outcome) 12m 30m

96,000.00

Actual amount and % of PMC requested:

Maximum PMC that can be requested:

110,500.00

48,600.00

110,500.00

30,000.00

30,000.00

30,000.00 8,600.00

50,000.00 16,000.00

6846 6000 6000

15,000.00 45,000.00 30,500.00

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Budget Note (Cell No.) Detailed Description (USD)

G10 One consultant for activity 1.1.1 for 65 days @400

One consultant for activity 1.2.1 and 1.2.2 for 50 days @400

One consultant for activity 1.2.3 for 30 days @400G18 One consultant for activity 2.1.2 and 2.1.3 for 70 days @400G7 One workshop for activity 1.1.2 @ 8000

G13 One training sessions for activity 1.2.1 and two regional workshops for activity 1.2.2 (one workshop @ 10000)G8 One professional company for activity 1.1.1 @20000

G14 One professional company for activity 1.2.1 @10000G17 One professional company for activity 2.1.1 @30000

G12, G16, G20 71 Pax Domestic travel for 1.1.1, 1.2.1, 1.2.2, 1.2.3, 2.1.2, 2.1.4 @600 (Location: Guwahati, Lucknow, Kolkata, Chennai, Mumbai, Delhi, Jaipur and other state capitals)G11 One time cost for audio visual and printing @5000G23 Two years cost for office supplies @1,846G24 One time cost for two IT equipments @ 2000

G25 One time audit fees @ 3000

G15

Page 21: with United Nations Development Programme (UNDP) for ... · Ms. Preeti Soni . Chief Climate Change, Resilience and Energy . UNDP . 55, Lodhi Estate, New Delhi India . Email: preeti.soni@undp.org

Budget CategoriesAudio Visual & PrintingAudit FeeConsultant - Individual - InternationalConsultant - Individual - LocalProfessional Services – Companies/FirmIT EquipmentOffice SuppliesTravel - InternationalTravel – LocalWorkshop/Training

Indicate additional budget categories

Page 22: with United Nations Development Programme (UNDP) for ... · Ms. Preeti Soni . Chief Climate Change, Resilience and Energy . UNDP . 55, Lodhi Estate, New Delhi India . Email: preeti.soni@undp.org

5.2 Procurement Plan

Item Estimated Cost (US$)

Workshops 58,000

Office supplies 1,846

IT Equipment 2,000

$ 61,846.00

Hiring of Agency 20,000

Hiring of Agency 10,000

Hiring of Agency 30,000

Hiring of Individual consultant 26,000

Hiring of Individual consultant 32,000

Hiring of Individual consultant 31,500

Hiring of Individual consultant 12,000

$ 161,500.00

Agency to support Sub-Outcome 2.1: Strengthened capacity of Private sector including financial institutions on opportunities for investment in climate actions and Pipeline of strong projects developed

25000-30000

Nov-20

Apr-20

Oct-20

Mar-20

Agency to support sub outcome 1.2: Capacity of State governments and DAEs to develop, monitor evaluate GCF projects enhanced

Open tender

Open tender

8000-10000

Sub-Total (US$)

Consultancy ServicesAgency to support sub outcome 1.1: Additional DAEs identified and supported for accreditation

Open tender 18000-20000 Feb-20 Jan-20

In the 2nd and 12th month after the approval date.

Event Open tender 8000-10000 In the 5th, 11th and 17th month from the approval date.

In the 5th, 11th and 17th month from the approval date.

Sub-Total (US$)

Jan-20

IT Equipment Direct 1800-2000 Apr-20 Mar-20

For goods, services, and consultancies to be procured, please list the items, descriptions in relation to the activities in Section 3, estimated cost, procurement method, relevant threshold, and the estimated dates. Please include the procurement plan for at least the first tranche of disbursement requested below and provide a full procurement plan for the entire duration of the implementation period if available at this stage.

Consultant for sub outcome 1.1- Additional DAEs identified and supported for accreditation

Open tender 350-400 USD per day Feb-20 Jan-20

Goods and Non-Consulting Services

Item Description Procurement MethodThresholds

(Min-Max monetary value for which indicated procurement method must be used)

Estimated Start Date Projected Contracting Date

Office supplies Direct 1500-1900 In the 2nd and 12th month after the approval date.

Jan-20

Consultant for sub outcome 1.2- Capacity of State governments and DAEs to develop, monitor evaluate GCF projects enhanced

Open tender 350-400 USD per day Feb-20

Project Management Open tender 180-200 USD per day Feb-20

Consultant for Sub outcome 2.1- Strengthened capacity of Private sector including financial institutions on opportunities for investment in climate actions and Pipeline of strong projects developed

Open tender 350-400 USD per day Apr-20 Mar-20