Download Republic of Guatemala

Republic of Guatemala
28 December 2015
READINESS AND PREPARATORY SUPPORT
PROPOSAL
PAGE 1 OF 10
Executive Summary (in one page)
Country (or region)
Republic of Guatemala
Submission Date
28/12/2015
NDA or Focal Point
Ministry of Environment and Natural Resources
Focal Point:
Name
: H.E. Mr. Andreas Lehnhoff
Position : Minister
Email
: [email protected] / [email protected]
Tel
: +502 2423 0500 ext. 1208 and 1230
Full Office address: 20 calle 28-58 Zona 10, Edificio MARN
Contact Point
(both NDA/FP and
delivery partner)
Readiness Area/s
Delivery Partner: FAO Guatemala
Name of contact person: Diego Recalde
Position: Representative FAO Guatemala
E mail: [email protected]
Tel: (502) 22054242
Full Office address: 7a. Av. 12-90 zona 13, Edificio Infoagro, planta alta
C.P. 1013,
Ciudad de Guatemala, Guatemala
1. Establishing and strengthening National Designated Authorities
(NDAs) or Focal Points
2. Strategic frameworks for engagement with the Fund, including
the preparation of country programmes
3. Selection of implementing entities or intermediaries, and
support for accreditation
4. Initial pipelines of programme and project proposals
5. Information Sharing, experience exchange and learning
version 1.0 | 15 December 2014
READINESS AND PREPARATORY SUPPORT
PROPOSAL
PAGE 2 OF 10
Readiness support is required to strengthen the capacities of the Focal Point (FP)
to leverage a greater participation of different stakeholders at the national level,
including the Private Sector, as well as to support appropriate oversight of Fund
activities in the country and to establish a clear and articulated climate change
priority investments framework.
Request Summary
(in 200 words)
Through readiness support required for Activity 1 (Strengthening the NDA), the
Focal Point will hire short-term consultants for 12 months (one year) to build the
capacity of the team within the Ministry of Environment and Natural Resources,
which will be responsible for coordinating with other ministries, as well as with
other stakeholders, such as CSOs, PSOs etc., on matters related to the Green
Climate Fund (the Fund).
Through support required for Activity 2 (Strategic Engagement Framework with
the Fund), the FP will hire short-term consultants for 9 months to formulate a
Country Programme.
Anticipated
Duration
Estimated total cost
01/04/2016 – 31/03/2017 (12 months)
US$ 300,000
SECTION A: RATIONALE FOR REQUEST
A.1
Background
Ranking among countries with the highest economic risk exposure to three or more natural hazards,
Guatemala is a country in which economic activities accounting for 83.3% of the GDP is located in areas at
risk. The country also ranks in the top five countries in the world most affected by floods, hurricanes and
earthquakes, with 40.8 % of the population exposed to five or more threats simultaneously (WB 2011).
Guatemala has developed a base of work on climate change, under the leadership of the Ministry of
Environment and Natural Resources (MARN); to date a Policy on Climate Change has been developed and,
adopted by governmental agreement 329-2009, focused on the development of national capacities to tackle
climate change, reducing vulnerability and enhancing adaptation to climate change and contribute to the
mitigation of GHG emissions.
In this context, there is a great potential for Guatemala to engage with the Fund to build on ongoing
initiatives from national institutions, as well as from main donors such as IADB and UNDP, to promote a
paradigm shift in relevant sectors for both adaptation and mitigation, building on existing synergies or on
possibilities to take existing initiatives to scale to reduce the country’s vulnerabilities to climate change.
Guatemala has participated in a country-owned initiative aimed at creating a network of developing
countries in the region to foster exchange of experiences and good practices in preparation for engagement
with the GCF, including formulation of proposals in the future
Guatemala has not yet received any readiness support from other sources. The GCF readiness
programmes represents an important opportunity to strengthen Guatemala’s FP so that it can, among other
developments, convene a multi-stakeholder consultation process to identify priority investments in its
relation with the GCF.
version 1.0 | 15 December 2014
READINESS AND PREPARATORY SUPPORT
PROPOSAL
PAGE 3 OF 10
A.2
Justification for request
Readiness support is required to strengthen the capacities of the FP to leverage a greater participation of
different stakeholders at the national level, including the Private Sector (whose participation has been very
limited so far) as well as to support appropriate oversight of Fund activities in the country. One of the main
challenges for the Ministry of Environment and Natural Resources to fulfil its role and responsibilities as a
FP is to improve knowledge and information within the Ministry’s staff about operations and procedures of
the Fund. In this regard, readiness activities will improve understanding about the operations of the Green
Climate Fund and allow the FP to become fully operational in regards to the definition of national GCFrelated priorities and the identification of relevant stakeholders for the implementation of these priorities.
Despite the fact that Guatemala has developed several climate change policies and strategic instruments,
another gap identified is the lack of capacity to coordinate these different instruments with a view to defining
national climate change priorities. In this regard, GCF readiness support will allow Guatemala to establish a
clear and articulated climate change priority investments framework that will guide identification and
preparation of funding proposals to be presented to the Fund in 2016 and 2017; it will also allow country
authorities to identify opportunities to facilitate direct access to GCF resources.
The Government of Guatemala has also identified important gaps in the compilation of lessons learned from
the previous experiences with the implementation of domestic and international resources targeting climate
change-related initiatives. As a starting point to develop a successful and beneficial relation with the GCF,
the FP capacities to be strengthened in the framework of the GCF readiness programme will focus not only
on improving the capacities for management of potential GCF resources, and the dissemination and
socialization of the main financial instruments at country level, such as the National climate change Fund, as
potential opportunities for engagement with the GCF, but also will pay close attention to the lessons learned
from the implementation of other international resources, as well as efforts carried out by other relevant
stakeholders with relevant work on climate change in the country.
SECTION B: SCOPE OF WORK
B.1
Description of activities (Please provide detailed logical framework as an annex. See
Annex I for template).
(Please also refer to Annex I)
Activity 1: Strengthening the NDA
The Ministry of Environment and Natural Resources, as FP will hire short-term consultants for 12 months
(one year) to build the capacity of the team responsible for coordinating with other ministries, as well as with
other stakeholders, such as CSOs, PSOs etc., on matters related to the Fund. More concretely, the
consultants will support the FP in undertaking the following tasks:
A) Consultants under the leadership of the FP will be responsible for the overall coordination with other
Ministries on matters related to the Fund, and more particularly will support the FP in undertaking the
following tasks:
i) Providing strategic and political advisory support to the FP to strengthen its leading role for the
coordination with other Ministries on all Fund-related matters, including to improve efficiency and
efficacy of inter-agency processes, systems and procedures to prioritize, manage, implement and
report on climate funding, taking in to account the lessons learned from other experiences and
programmes financed whit international resources, as well as from efforts carried out by other
stakeholders with relevant work on climate change.
ii) Strengthening the knowledge, capacities, processes, systems and procedures of the Ministry of
Environment and Natural Resources to fully comply with its role as FP.
iii) Defining the procedures for evaluation and nomination of entities with potential to become
accredited by the Fund.
iv) Defining the procedures and criteria to evaluate, within the FP, project/programme proposals
intended to be presented for consideration by the Fund.
In developing these activities, consultants should consider the different instruments of Guatemala’s
version 1.0 | 15 December 2014
READINESS AND PREPARATORY SUPPORT
PROPOSAL
PAGE 4 OF 10
climate change Law.
B) Additionally, consultants will be responsible for the overall coordination of the capacity building
component of this proposal, including the following concrete tasks:
v) Organizing a training/diploma course for FP staff on matters related to the Fund. A three months
training program, 8 hours per week will be designed and conducted.
vi) Developing concept notes for and facilitation of two (2) follow-up and analysis workshops with
participating stakeholders.
vii) Preparing, publishing and transmitting brochures and other publications, containing operational
manuals for national coordination and consultation mechanisms, based on the operative guidelines
and norms deemed relevant for the engagement with the GCF;
viii) Develop the mechanisms to make available to the public updated information on the Country
Programme and the various instruments included in Guatemala’s climate change Law.
The FP may also add other activities in accordance with the Fund’s defined resource envelope and scope of
work in the Standardized Package for NDA or Focal Point Strengthening, available at:
http://www.gcfund.org/fileadmin/00_customer/documents/Accreditation/Scope_of_Work_Package_1_NDA_
Strengthening.pdf.
Activity 2: Strategic Engagement Framework with the Fund
The FP will hire one short-term consultant (one individual or a firm) for (9) months to formulate a Country
Programme. Development of this country programme will include the following activities:
i) Identification of Guatemala’s development priorities with regards to the Green Climate Fund,
ensuring consistency with the Fund’s Initial Investment Framework and the Fund’s Initial Results
Management Framework, as well as with the National Development Plan K’atun 2032; and
prioritizing the proposals that are in line with the instruments included in the climate change Law,
developed in partnership with other state institutions such as the Ministry of Energy and Mines
(MEM), the Ministry of Finance (MINFIN), the Planning and Programming Secretariat of the
Presidency (SEGEPLAN) and the Superintendence of Tax Administration (SAT). Among other
instruments, the consultant/consultancy should consider:
• The National Plan of Action on Mitigation and Adaptation to Climate Change
• The National Climate Change Fund,
• The Information System on Climate Change -SNICC-.
• The four instruments of the mitigation chapter of the referred climate change Law:
a) National Plan of energy for production and consumption based on the use of renewable
natural resources, the promotion of technologies for energy saving and efficiency and
reducing greenhouse gases;
b) Regulations to register Projects to remove or reduce emissions of greenhouse gases;
c) Proposed regulations for a tax incentives and subsidies program to promote the use of
clean energy for public and private transport; and
d) The program of offsetting GHG emissions from fossil fuels and program of incentives to
motivate voluntary action to reduce or remove emissions.
ii) Identification of the main challenges and opportunities of the National Climate Change Fund
created under the Climate Change Law, to channel climate finance resources from the Green
Climate Fund;
iii) Identification of the roles of prospective public and private sector entities that may be accredited
by the Fund in implementing Guatemala’s programming priorities with respect to the Fund;
iv) Identification of opportunities to engage the private and cooperative sectors, including micro,
small and medium-sized enterprises, and leverage their capacity to implement Guatemala’s
programming priorities;
v) Identification of programmes and projects, including public-private partnerships, consistent with
the Fund’s initial investment framework; and
vi) Identification of how the GCF can build on ongoing work of other development partners in the
country, and deliver its support in a manner complementary to the efforts of other partners in the
country.
version 1.0 | 15 December 2014
READINESS AND PREPARATORY SUPPORT
PROPOSAL
PAGE 5 OF 10
The FP/NDA may add other elements to the country programme and will also undertake stakeholder
consultations in a manner that is consistent with the Fund’s defined resource envelope and scope of work in
the Standardized Package for Country Strategic Frameworks, available at:
http://www.gcfund.org/fileadmin/00_customer/documents/Accreditation/Scope_of_Work_Package_2_Countr
y_Programme.pdf
B.2
Expected results
- Development of strategic priorities of Guatemala for engagement with the Fund, in accordance and
alignment with national plans and including a participatory process including other national stakeholders
(involving stakeholders such as other ministries, public agencies, civil society, academia and the private
sector)
- Diagnostic and recommendations regarding FP and inter-agency procedures, systems and processes to
effectively manage, implement and report on climate funding.
- FP staff strengthened in their capacities to:
a) Convene National Stakeholders
b) Assess national entities to be accredited and provide nomination letters for direct access
c) Evaluate project/program proposals and provide no-objection letters for project/programmes
d) Provide Strategic oversight of Fund’s activities aligned to national priorities
SECTION C: BUDGET (include total cost and share of GCF funding)
Category
Total (USD)
Consultancy
Travel and per diem of
consultants
Workshops (Venue,
catering, travel, per
diem, materials, etc)
Other (incl. audit
costs)
125,000
GCF Share
(USD)
125,00
35,000
35,000
90,000
90,000
9,600
9,600
Contingency
Project Management
costs
13,200
13,200
27,200
27,200
Grand Total
300,000
300,000
SECTION D: IMPLEMENTATION PLAN
D.1
Implementation arrangements
The Government of Guatemala has identified the Food and Agriculture Organization (FAO) as its delivery
partner for the readiness programme. FAO will take responsibility, under the leadership and guidance of the
NDA, for the implementation of the proposed programme including fiduciary management.
The FP will lead the implementation process of this programme in collaboration with FAO. FAO, under the
leadership and guidance of the FP, will take the responsibility for fiduciary management of the readiness
funding and will identify and hire individual consultants or a consulting firm to deliver Activities 1 and 2 in
accordance with the procurement plan and a detailed implementation plan, both of which will be further
elaborated in the inception document.
FAO will provide counselling, support and supervision (as described below) during the project
version 1.0 | 15 December 2014
READINESS AND PREPARATORY SUPPORT
PROPOSAL
PAGE 6 OF 10
implementation and will administer the GCF funds, in accordance with FAO rules and procedures and the
agreement signed with the MARN.
For these purposes, MARN and FAO will create a Operational Coordination Unit, as described below.
The Operational Coordination Unit
The Operational Coordination Unit consists of a national project coordinator (NCP) appointed by the MARN,
and a technical coordinator appointed by FAO. Both functionaires will promote, negotiate, monitor and
jointly coordinate the implementation of the project, by establishing synergies, eliminating potential
duplication, and promoting the systematization of the experience. They will articulate and facilitate the
execution of the activities related to each product. The coordinators will be selected according to the
standard procedures of both institutions, the MARN and FAO.
The NCP will carry out functions and activities specified in the Project Association Agreement. In some
cases, FAO may consider it necessary to send written requests to the NCP, in order to assume specific
commitments or obligations, or to make specific payments on behalf of FAO. In such cases, it is possible
that funds are approved by the project budget, up to the amounts allowed by the FAO standard rules and
regulations. In such cases, the Government will compensate to FAO the losses that eventually might arise
from any irregularity done by the NCP related to the management of funds provided by FAO.
As the Delivery Partner, FAO will have the following responsibilities:
1. To prepare the Project Operational Plan, under the guidance of the MARN and, under this
framework, to provide supervision as well as all administrative and financial services required for
project implementation.
2. To administer and disburse the funds provided by GCF, in accordance with the FAO institutional
rules and procedures.
3. To monitor and supervise project execution, in accordance with the plans and budgets established
in the Project Operational Plan, in accordance with FAO standard rules and procedures.
4. To provide guidance to ensure technical quality for all activities to be developed.
5. To report on project progress to the MARN, to the GCF Secretariat, and other instances indicated in
the association agreement signed between MARN and FAO, providing also financial reports.
6. To approve the annual work plans and budgets as well as the necessary adjustments to achieve the
expected results and direct effects.
7. To suggest corrective actions for strategic problems or operational problems that arise.
8. To guide the administration of project resources to achieve the effects and products defined.
9. To ensure accomplishment with all reports and justifications envisaged by the project.
10. To review work plans budgets and reports.
11. To supervise all activities envisaged in the annual operational plan (POA) which will include
activities annual schedule, budget distribution, responsible entities and persons, outputs, outcomes
and correspondent indicators.
12. To analyze reallocation of funds and perform budget reviews when necessary and in accordance
with the Fund’s defined resource envelope and scopes of work.
13. To support the solution of all project administrative and implementation problems.
14. To identify and systematize lessons learned from the implementation of the project.
D.2
Disbursement Schedule
Activities under the two areas will be implemented in a 12-month period, in a parallel way.
Activity area 1 – Strengthening FP – will be implemented in 12 months starting in April 2016 and is expected
to be completed in March 2017.
Activity area 2 – Development of a country programme - will start in April 2016 and is expected to be
version 1.0 | 15 December 2014
READINESS AND PREPARATORY SUPPORT
PROPOSAL
PAGE 7 OF 10
completed in January 2017.
Disbursement will be made directly to FAO, the delivery partner, in three tranches:
• The first disbursement, which amounts to US$120,000.00 will be transferred upon the submission of
an inception report from the NDA, prepared with the support of FAO, in form and substance
acceptable to the Fund, which includes a detailed implementation plan, procurement plan and
budget;
• The second tranche of US$130,000.00 will be transferred upon submission of an interim progress
report and financial report, including an expenditure statement; and
• The final disbursement of US$ 50,000.00 will be made upon submission of a completion report and
financial report, including an audited expenditure statement.
D.3
Procurement plan
Under the guidance of and in close coordination of the FP, FAO will manage the readiness funding and will
be responsible for providing and contracting the services described in this proposal, as well as reporting on
the progress of this implementation. The procurement will be processed in accordance with the procedures
of the procurement manual and acquisitions of FAO. In particular, FAO will adhere to its revised General
Terms and Conditions for Goods (available here:
http://www.fao.org/fileadmin/user_upload/procurement/docs/2015_April_FAO_General_TCs_Goods.pdf)
and its revised General Terms and Conditions for Services (available here:
http://www.fao.org/fileadmin/user_upload/procurement/docs/2015_April_FAO_General_TCs_SERVICES.pdf
)
The FP will approve the inception document, the interim progress report and the completion report
provided by the delivery partner.
FAO, in collaboration with the FP, will competitively procure services consistent with its procurement
policies:
•
Consultants will be procured on a competitive basis and the terms of reference of consultants
will be developed further to include the tasks outlined in the request summary above. The FP
may also add other tasks to the ToRs of the consultants in accordance with the Fund’s defined
scopes of work for Readiness Areas 1 and 2, within the resource envelope in this proposal and
any supplementary resources secured from other sources.
•
For items such as venues and travel for stakeholder workshops to be organized, a shopping
method will be used to procure such services consistent with FAO’s procurement policies.
Information on the process and the results of procurement to be undertaken will be included in the
inception document where such information can be provided in advance and, in any case, in interim
progress or completion reports once such procurement has been undertaken and completed.
SECTION E: MONITORING & REPORTING PLAN
version 1.0 | 15 December 2014
READINESS AND PREPARATORY SUPPORT
PROPOSAL
PAGE 8 OF 10
The reports to be submitted will be as per what is included in section D.2, and will include
reporting against the logical framework included in Annex I.
SECTION F: RISK & MITIGATION MEASURES
FAO has been identified as the delivery partner for the readiness programme, but it is also an institution –
as several others around the world – with potential to become an international Accredited Entity (AE). In
such a Case, FAO may have interest in presenting project/programme funding proposals from Guatemala
for consideration by the Fund. It is therefore imperative to mention that, in such a case, the FP will not
assure exclusiveness to FAO as an AE, and that nevertheless FAO is not excluded from the implementation
process. There might be a possible conflict of interests. The FP will implement the following measures to
manage this conflict of interest:
-
Sign a Memorandum of Understanding with FAO as delivery partner for readiness support within the
scope of this proposal, in which the roles of coordination and facilitation between the FP and FAO
respectively are clearly differentiated.
-
The role of the FAO as an AE, if such a scenario presents itself, should be clear in order to prevent
any conflict of interest. Thus, the prioritization of investments and projects to be included in the
country programme will be made through a broad consultation process with relevant stakeholders,
including other potential implementing entities for Guatemala, and the final validation of the country
programme will be carried out with the participation of other government agencies, as well as
representatives from civil society and private sector, to ensure chosen priorities are fully aligned with
national plans and strategies and adequately includes inputs from consulted stakeholders.
version 1.0 | 15 December 2014
READINESS AND PREPARATORY SUPPORT
PROPOSAL
PAGE 0 OF 10
Annex I. Logical Framework
OUTCOMES
PROJECT SUMMARY
INDICATORS
1.
NDA capacity to undertake Fund-related
responsibilities and engage national
stakeholders strengthened
1.1 Capacity to coordinate across stakeholders
and facilitate effective consultation and
communication
1.2 Knowledge on climate and finance
priorities strengthened
1.3 System for reviewing proposals and
issuing recommendations (or noobjections) established
1.4 Capacity and systems to monitor, evaluate
and report on the activities of the Fund
and other relevant finance mechanisms
and institutions established
1.5 Information, including in local languages,
on procedures of the Fund to
disseminated to country stakeholders
1.6 Knowledge strengthened on procedures,
systems and processes to manage,
implement and report on climate funds
2.
Strategic framework for engagement with
the Fund developed
2.1 Engagement of private sector, civil society,
government and local government
stakeholders on priorities for engagement
with the fund
2.2 Priorities for project and concepts to be
developed for accessing the fund
2.3 Country programming document
developed and published in adherence
with the initial guidance from the Fund
BASELINES
version 1.0 | 15 December 2014
READINESS AND PREPARATORY SUPPORT
PROPOSAL
PAGE 1 OF 10
OUTPUTS
1.1 A process for supporting coordination
across stakeholders and facilitating
engagement (including periodic meetings
/ workshops)
1.2 Annual report on activities of the Fund
and other relevant funding mechanisms
and institutions in the country
1.3 Information materials on the operational
procedures of the Fund in local languages
(where relevant) and distribution lists of
recipients
1.1.1
1.1.2
1.2.1
1.3.1
1.3.2
2.1 Country programme, including elements
provided in the Fund’s Initial Guidelines
for Country Programmes
2.2 Summaries of meetings of multistakeholder engagement, including list of
participants
2.1.1
2.1.2
2.2.1
2.2.2
Write up of the coordination process,
and convening schedule
Meeting minutes and participant
lists documenting engagement of at
least xx groups
Electronic copy of the annual report,
and details of public dissemination
channels
Links to electronic copies of
presentations, information materials,
climate and development
information disseminated to
distribution lists where relevant.
At least xx information materials on
the fund developed and
disseminated to at least xx people
Copy of country programme,
completed using the initial guidance
on country programmes prepared by
the GCF secretariat
Background documentation on the
programme, and links to public
dissemination channels
Agendas and summaries from
workshops convened as part of the
country programme process
Short note on lessons learned from
country programming, and good
practices in stakeholder engagement
version 1.0 | 15 December 2014