with UNDP for the Federal Democratic Republic of Nepal · Government of Nepal’s national capacities to effectively and efficiently plan for, access, manage, deploy and monitor climate

with UNDP for the Federal Democratic Republic of Nepal

23 February 2018 | NDA Strengthening & Country Programming

READINESS AND PREPARATORY SUPPORT

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Readiness and Preparatory Support Proposal

How to complete this document? - A Readiness Guidebook is available to provide information on how to access funding under the GCF

Readiness and Preparatory Support programme. It should be consulted to assist in the completion of this proposal template.

- This document should be completed by National Designated Authorities (NDAs) or focal points with support from their delivery partners where relevant.

- Please be concise. If you need to include any additional information, please attach it to the proposal.

- Information on the indicative list of activities eligible for readiness and preparatory support and the process for the submission, review and approval of this proposal can be found on pages 11-13 of the guidebook.

- For the final version submitted to GCF Secretariat, please delete all instructions indicated in italics in this template and provide information in regular text (not italics).

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]. We will aim to get back to you within 48 hours. - You can also complete as much of this document as you can and then send it to

[email protected]. We will get back to you within 5 working days to discuss your submission and the way forward.

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 page 7 of the readiness guidebook for more information.

http://www.greenclimate.fund/documents/20182/466886/Readiness_and_Preparatory_Support_Guidebook.pdf/9eea580f-a109-4d90-b281-c54695114772

mailto:[email protected]




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SECTION 1: SUMMARY

1. Country submitting the proposal

Country name: Nepal

Name of institution representing National Designated Authority (NDA) or Focal Point: Ministry of Finance

Name of NDA/Focal Point: Mr. Kewal Prasad Bhandari Position: Chief of International Economic Cooperation Coordination Division (IECCD)

Telephone: +97714211837 ext.1317 Email: [email protected]

Full office address: Ministry of Finance, Government of Nepal, Singhadurbar.

2. Date of initial submission

26/09/2017

3. Last date of resubmission

14/02/2018

4. Which entity will implement the Readiness and Preparatory Support project?

National Designated Authority Accredited EntityDelivery Partner

Name of institution: United Nations Development Programme (UNDP)

Name of official: Renaud Meyer Position: Country Director

Telephone: +977 15523200 ext 1000 Email: [email protected]

Full Office address: United Nations Development Programme, UN House, Pulchowk, Lalitpur, GPO Box 107, Kathmandu, Nepal

5. Title of the Readiness support proposal

GCF Readiness and Preparatory Support in Nepal

6. Type of Readiness support sought

Please select one option below (one box or circle)

Readiness

o Establishing and strengthening national designated authorities or focal points o Strategic frameworks, including the preparation of country programmes o Support for accreditation and accredited direct access entities

Adaptation Planning

7. Brief summary of the request

The objective of the Green Climate Fund (GCF) Readiness Programme is to further strengthen the Government of Nepal’s national capacities to effectively and efficiently plan for, access, manage, deploy and monitor climate financing in particular through the GCF. The readiness activities will build up on key achievements, outputs and learnings from existing readiness support (currently funded by the Government of Germany) towards wider engagement of national stakeholders in the GCF process. The rationale of the current GCF Readiness Support request is two-pronged. Firstly, Nepal aims to enhance national ownership process beyond the National Designated Authority and engage the inter-ministerial technical committee and other stakeholders for a wider and stronger national ownership. Secondly, Nepal aims to strategically and systematically build the national capacity at different levels to ensure that the knowledge, processes and mechanisms are transferred to the extent possible and thus contributing to sustainable capacity building efforts. Based on these two conceptual pillars of enhanced national ownership and sustained national capacity building, Nepal’s GCF Readiness Team aspires to bring about a paradigm shift in its approach accessing and implementation of climate finance.




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Based on the afore-mentioned conceptual pillars, the Programme will target two important aspects of the GCF approach: i). engagement of private sector and ii). capacity building across the government in engaging with the Fund, both of which will require significant preparatory work before GCF financing will be possible at scale. The GCF Readiness Programme will focus on a) strengthening the institutional capacity of the national institutions including the NDA and direct access entities, b) build and strengthen Nepal to prepare a country programme and develop project pipelines for DAE access including climate change mitigation and adaptation investment priorities through the active involvement of the private and financial sectors.

8. Total requested amount and currency

898,509 USD

9. Anticipated duration 24 months


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1Refers to member institutions represented in Technical Committee and Climate Finance Steering Committee

SECTION 2: LOGICAL FRAMEWORK Please complete the table below by including proposed outcomes, baseline situations, the targets for implementation period, and the activities to be undertaken, including key outputs or deliverables. Please add rows for additional outcomes as needed. For further guidance on completing the table, please refer to the guidebook “Accessing the GCF Readiness and Preparatory Support Programme”, including specific Outcomes to select from.

OUTCOMES BASELINE TARGET ACTIVITIES

Please including key outputs or deliverables where applicable

1. Country capacity strength-ened

1.1 NDA/focal point lead effective coordination mechanism

1 2 1.1.1 Assess capacity and needs of the NDA and its governance structure,1 to effectively execute the function of the GCF NDA in Nepal as established by GCF criteria and national objectives (update BMUB supported plan with costed capacity building action plan)

Deliverables: - 1 report on initial assessment of national capacity gaps and GCF engagement mechanism responding

to GCF criteria and national objectives - 1 validation workshop report on the findings of the Capacity Needs Assessment and the Proposed

Costed Capacity Building Action Plan - A costed capacity building action plan with a clearly defined baseline, milestones, and intermittent

and final deliverables to enable reporting

1.1.2 Implement capacity building action plan to support NDA and its governance structure (training, workshop and exposure visits)

Deliverables: - 2 national capacity building training on GCF standards and process (for 60 (30x2) participants with

NDA, sector ministries, candidate DAEs, national CSOs, indigenous and women organization) - 1 international training attended as identified in capacity building action plan on evaluation, selection

and decision making of proposals as per GCF criteria (for8 participants from 2 NDA, and 6 technical committee members, for 3 days)

- Two Peer-to-Peer Workshops with NDAs that have established best practices in GCF engagement and climate finance management and respond to Nepal’s NDA’s needs and priorities, as identified through 1.1.1. (4 NDA members for 2 days)

- 4 NDA members participate in climate finance related events to build understanding of best practices, broaden networks, and help build a community of practice (regional or international) -3 days


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- 2 Annual Progress Reports to document impact on the capacities of the NDA and governing structure, as compared to the baseline established in 1.1.1. and suggest further improvement upon the implementation of Capacity Building Plan (Output 1.1.1)

1.1.3 Lead effective coordination mechanism between the NDA and its governance structure (implementation of

BMUB supported GCF handbook for Nepal) Deliverables:

- 6 technical committee meeting minutes - 2 steering committee meeting minutes

1.2 No objection procedure established and implemented

1 2 1.2.1 Translate No Objection procedure into local language and implement Deliverables:

- No objection procedure for funding proposal published and disseminated in Nepali 1.2.2 Elaborate on the existing Environmental and Social Safeguards (ESS) guidelines and procedures Deliverables:

- Consultative Workshop reports on ESS procedures in Nepal - ESS guideline published and disseminated in Nepali and English.

1.3 Bilateral agreements between the country and the GCF executed

0 2 1.3.1 Bilateral agreements between the Nepal NDA and GCF executed - Agreement signed between NDA and GCF on privilege and immunities.

1.4 Monitoring, oversight and streamlining of climate finance

2. Stakeholders engaged in consultative processes

2.1 Stakeholders engaged in consultative processes

1 2 2.1.1 Build upon existing stakeholder engagement initiative to develop Comprehensive Stakeholder Engagement strategy to guide the roles, responsibilities and process of engagement of the key relevant stakeholders in GCF process and ensure adequate representation and voice across sectors, levels of government, and vulnerable populations

Deliverables:

- Survey developed, distributed and results aggregated to build consensus and collect feedback on established coordination mechanisms and climate finance strategies.


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- 5 consultative workshops and end report with GOs, CSOs, private sector, academia, indigenous people & women’s groups.

- 1 comprehensive stakeholder engagement strategy developed - 250 copies of Comprehensive Stakeholder Engagement Strategy/Guide translated, published and

disseminated in Nepali language 2.1.2 Organize national level stakeholder conferences to align the existing engagement strategies with the

Fund’s “Initial Best Practice options for country coordination and multi-stakeholder engagement”. Deliverables:

- Two national level stakeholder conference proceedings aimed at the private sector, government entities including provincial ministries, and civil society, including women-led/ women-focused organizations to inform the Nepal GCF Country Engagement strategy developed under BMUB (100 participants total)

2.1.3 Organize a series of sub-national level stakeholder round table dialogues to receive inputs on climate

change investment priorities in the country and disseminate Nepal GCF Country Engagement strategy developed under BMUB

Deliverables:

- 7 provincial level stakeholder consultative workshop reports (175 participants total) with concrete climate investment priorities disaggregated by provincial priorities

2.2 Country programmes, including adaptation priorities, developed and continuously updated

1 2 2.2.1 Develop Nepal GCF Country Programme, based on the above consultations, including gender engagement strategies among others Deliverables:

- 1 Scoping assessment report on potential priority areas by linking NAP, NDC, sector policy and the sub-national priorities identified by Output 2.1.3.

- 2 Consultations and 1 combined consultation report outlining the procedure with clearly defined rationale and criteria for prioritization of sectors, geographic areas and initiatives

- 1 GCF country programme developed disaggregated by immediate, medium term and long-term priorities.

2.2.2 Upgrade BMUB-supported Climate Finance Management Information System (MIS) web portal to function

as one-stop-knowledge hub on climate finance


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2The Gender Engagement Strategy developed will be aligned with national gender policies and follow the requirements stipulated in the GCF guidelines.

Deliverables: - Climate Finance MIS and Web portal updated regularly - Bimonthly GCF progress brief published and uploaded in the web portal

2.3 Stakeholder consultations conducted with equal representation of women

1 2 2.3.1 Prepare and implement gender and social inclusion engagement strategy2 to ensure adequate representation of women’s perspective, and interests at all stages of project cycle (Conceptualization, Design, Formulation, Implementation and Monitoring phases), and develop tools to implement the strategy

Deliverables:

- Reports of the consultative workshops - Checklist, Basic Operating Guidelines, Gender Strategy template and operationalization plan

developed to guide the AEs/DAEs in developing funding proposal. - Gender and social inclusion engagement and implementation strategy published with glossary of

terms

2.4 Annual participatory review of GCF portfolio in the country organized

0 2 2.4.1 Establish a process of annual review including tools, methods and templates to guide improvement of GCF country programmes involving all relevant stakeholders

Deliverables:

- Standard Operation Procedures for annual review process in line with GCF prepared and endorsed (which includes performance assessment criteria, performance against established baseline, GCF investment criterial, quantitative country targets and annual assessment of NDA governance mechanism, DAEs activity, accreditation, stakeholder engagement, private sector facility, EDA, Readiness & preparatory support, funding proposals, ESS and gender)

2.4.2 Implement above monitoring tools (2.4.1) and inform the stakeholders on the progress and way forward

Deliverables:

- Two Annual Participatory Review undertaken to test the SOPs as outlined in 2.4.1. - Two annual review reports prepared (80 participants representing NDA, DAEs, provincial ministries,

private sectors, CSOs, indigenous people and women organization) documenting Annual Review process to guide the consequent annual review processes

- Press release and media brief disseminated per event.


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3 Direct access realized

3.1 Candidate entities identified and nominated for accreditation

3.2 Direct access entity accredited

1 2 3.2.1 Technical Support to the nominated entities with their accreditation process as per the GCF Secretariat review and comments

Deliverables:

- Identified missing polices such as ESS, gender, project-at-risk, fiduciary framework, M& E policy prepared.

- Accreditation application submitted for medium size, specialized fiduciary function application, or as appropriate.

3.3 Entity/ies annual/multi-annual work programme developed

0 1 3.3.1 Conduct a capacity building workshop for candidate DAEs on work plan development and screening of GCF project ideas, taking into account the DAE’s specific capacities and accreditation limits

Deliverables:

- 1 assessment report on DAE’s capacity and institutional gaps, and project ideas in line with national GCF engagement strategy.

- 1 Capacity building workshop report on DAE work plan development and screening of project ideas. (15 participants from DAEs and NDA)

- At least 4 annual and multi-annual work programme developed by the four DAEs as a result of the capacity building workshops

3.4 Funding proposals through enhanced direct access modality approved

4 Access to finance

4.1 Structured dialogue between the NDA/Accredited Entities and the GCF Secretariat organized

1 2 4.1.1 South/South Knowledge exchange with NDA and candidate DAE organized (regional or international) in GCF supported readiness programme countries.

Deliverables:

- 1 visit report on South-South exchange between GCF funded readiness and other donor funded readiness programme. (12 participants)

- 2 Comprehensive Reports prepared by the delegates participating in the Structured Dialogues organized/financed by GCF to brief the issues discussed and potential opportunities for Nepal.


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4.1.2 High level delegates from Nepal to the GCF Secretariat in Songdo for bilateral meeting to support review of accredited entity application, concept note, or other country-specific deliverable

- 1 visit report to update Nepal readiness activity to GCF secretariat (6 participants).

4.2 Country programmes, concept notes, including on adaptation, developed that implement high-impact priorities identified in INDCs and other national strategies or plans

4.3 Project/programme preparation support, including for adaptation, to develop funding proposals provided

0 1 4.3.1 Support the development and submission of two concept notes to access Project Preparation Facility (PPF) resources for nominated DAE

Deliverables:

- 2 concept notes targeting private sector and development sector developed in line with GCF engagement strategy developed under BMUB

4.4 Funding proposals, including for adaptation, that are aligned with country priorities approved

0 1 4.4.1 Develop step-by-step funding proposal development guidance document for the DAEs/AEs to develop funding proposals, using structured references to the GCF’s investment criteria and the country programme Deliverables:

- Project prioritization criteria developed using GCF investment criteria and country programme objectives

- 1 national guidance document for funding proposal development prepared 4.4.2 Provide training for the DAEs on development of funding proposals Deliverables:

- 1 national training report on funding proposal development (15 participants) - 1 national training report on mainstreaming gender and ESS for funding proposal development. (15

participants)

5 Private sector mobilization


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3 agriculture, manufacturing, extractives, commercial), population density, flood and drought zones and access to electricity, and domestic and international supply chains to help private sector partners identify vulnerable assets and populations for intervention

5.1 Private sector engaged in country consultative processes

1 2 5.5.1. Build upon outcome of BMUB supported private sector engagement study to map out productive sectors3 to identify investment opportunity across sectors through private sectors partnership. Deliverables:

- Data for productive sectors, flood/drought zones, energy access, and supply chains collected - Develop GIS map overlaying the data - Consultative workshop held with private sector and public-sector leaders to explain the data

visualization and application to project development - Resulting GIS data housed on Min of Finance’s website and updated annually to help decision makers

assess priority areas for intervention - Assessment report on technical and financial feasibility of priority intervention - Based on feasibility, National Private Sector financing strategy developed to leverage GCF PSF. - 1 Policy Brief on investment opportunity across priority sectors prepared.

5.5.2. Hold sharing workshops between the NDA, DAEs, technical advisory committee and leading

representatives to review the results of the study and understand where the private sector interests and NDA interests overlap.

Deliverables:

- Sharing workshop reports on the study findings (50 participants)

5.2 Enabling environment for crowding-in private sector investments at national, regional and international levels exists

5.3 Funding proposals for private sector projects/programmes, including for adaptation, approved

5.4 Funding proposals under the Private Sector Facility programmes (small- and


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medium-sized enterprises and mobilizing funds at scale) submitted and approved


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4http://www.gcfreadinessprogramme.org/nepal-gcf-readiness-programme

SECTION 3: ADDITIONAL INFORMATION

Please explain how this grant will help deliver on the country’s readiness needs as identified above and build on institutions, processes or existing work already underway in the country. Please refer to the Guidebook for more specific information on completing this section.

In 2016, Nepal implemented the GCF Readiness Programme with support from by the Federal Ministry for the Environment, Nature Conservation, Building and Nuclear Safety (BMUB) of the Federal Republic of Germany in collaboration with UN Environment and UNDP. The Global Programme is implemented in nine countries, with Nepal as one of the recipients of this support. The International Economic Cooperation Coordination Division (IECCD) within the Ministry of Finance, and the NDA to GCF is leading the GCF readiness support together with public and private sector stakeholders. The programme will conclude in April 2018.4The key areas of support and its major outputs of the programmes so far are as follows: i) Build core institutional capacity of NDA and candidate DAEs to access, absorb and manage climate finance is enhanced;

- The Climate Finance Unit within the NDA has been set up within the NDA. The unit is headed by Under Secretary of IECCD and supported by an officer from IECCD and another from Budget & Programme Division of the Ministry of Finance. The Climate Finance Unit will support and coordinate both international access as well as domestic financing on climate change.

- NDA made significant progress in strengthening its capacity for national ownership along with the establishment of a governance mechanism within the NDA for GCF. NDA has set up new climate finance unit, climate finance technical committee and climate finance steering committee.

- NDA prepared a GCF Handbook for Nepal to communicate NDA roles and responsibilities, governance mechanism, role of stakeholders in the GCF process, accreditation process of national entities, national process for funding proposal development, and opportunity to access readiness and preparatory support from GCF. The document provides guidance on national processes for GCF adopted by the Nepal NDA.

- A9-member Climate Finance Technical Committee chaired by Joint Secretary of IECCD has been set up within the NDA to aid decision-making by the NDA and Climate Finance Unit on issuance of “Expression of Interest”, “No Objection” and “Nomination letter”. The technical committee will review concept notes, funding proposal, and application review of direct access entities. The committee members include representatives from the National Planning Commission, Budget and Programme Division of MoF; Ministry of Population and Environment, Ministry of Forest and Soil Conservation, Nepal Rastra Bank, Federation of Nepalese Chamber of Commerce and Industries and Climate Finance Expert. The head of Climate Finance Unit resides as the Member Secretary of the committee.

http://www.gcfreadinessprogramme.org/nepal-gcf-readiness-programme


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- NDA set up an 11-member Climate Finance Steering Committee to provide policy guidance and coordination support to the NDA. - NDA has nominated two direct access entities i.e. AEPC (small) and NTNC (micro) with basic fiduciary function i.e. project management

category accreditation process, which are ongoing Stage 1 review. - NDA has selected Town Development Fund, a public institution that has the capacity to implement ‘Medium’ size ‘Category B’ projects

and meet the specialized fiduciary function of project management, granting and loans. Town Development Fund works closely with municipal governments and has experience working with International Development Banks. The BMUB funded Readiness Programme will work with TDF towards supporting their application for ‘Accreditation’ in early 2018.

- NDA has already undertaken the gap assessment of Nepal Investment Bank Limited, a commercial bank which can access ‘Medium’ size Category B projects and will meet the specialized fiduciary function of project management and loans. NIBL has extensive experience in working with private sector and other financial institutions

- NDA has setup a Climate Finance MIS and web portal for the purpose of tracking of the climate finance accessed by Nepal in terms of the Green Climate Fund by all Accredited Entities as well as other climate finance resources.

ii) Prepare investment frameworks for adaptation and mitigation options to reduce climate change-induced disaster risks; - Developed investment framework for adaptation and mitigation action on Tamakoshi river basin (mountain ecosystem) with sustainable

forest management and sustainable water management as key intervention. - Development of investment framework for adaptation of agroecological region underway in three river basins. They are: Babai (Bardiya,

Salyan and Dang districts), Lohare (Dailekh district) and MuguKarnali (Mugu and Dolpa district), iii) Develop the national capacity to prepare bankable project pipeline.

- Two funding proposals targeted to address adaptation concerns and mitigation efforts in agriculture and ecosystem services at Gandaki and Koshi river basin level are being prepared by two accredited entities (FAO and IUCN) with focal line ministry.

- A national medium-term GCF engagement strategy for Nepal and pipeline of projects for GCF stakeholders is being developed. - A guidance document for climate finance investment is being prepared.

Building upon these outputs from the ongoing programme, this second phase of the Readiness Programme is deemed necessary to continue the process of enhancement of institutional capacities of the NDA and DAEs, engaging national stakeholders in the GCF process, building access to finance, and helping private sectors to access resources from the GCF. This Readiness Support will enhance NDA and candidate DAEs capacity to effectively engage with the Fund with the necessary institutional and regulatory capacity. Nepal will advance stakeholder engagement processes systematically to reach out to and include relevant national and sub-national actors. The stakeholders will have ownership of the high impact country programme priorities and support the


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process of development of concept notes for DAEs. The business case for private sector actors will be explored to encourage their investment in climate resilient low carbon development initiatives as well open opportunities to engage with GCF private sector facility. The proposed project will be monitored through the following monitoring and evaluation activities.

• The project inception workshop will be held within in 2 months of the project start with those with assigned roles in the project organization structure, NDA, UNDP CO and UNDP HQ.

• The Inception workshop will assist to a) all partners to fully understand and take ownership of the readiness support. It will detail out roles, support services and complement responsibilities. B) based on the project logical 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) agree on reporting mechanism on quarterly and annual basis of the progress made with GCF. D) Discuss financial reporting procedures, obligations and arrangement for annual audit.

• Quarterly Reports: Progress made shall be monitored based on a result based management approach agreed by GCF. Based on the initial risk analysis submitted risk log shall be regularly updated during quarterly project executive board.

• Annual Reports: The Annual Project Review will include progress made toward project objective, outcome, lesson learned/good practice, annual work plan and expenditure reports, risk and adaptive management. The second annual report will be more comprehensive which will focus on the delivery of the project results and look at impact and sustainability of results including the contribution to capacity building. It will further provide recommendation for follow-up activities and requires a management response.

• Learning and Sharing: Results from the project will be disseminate within and beyond the project intervention areas through existing information sharing networks and forums. The project team including NDA will identify and participate as relevant and appropriate in scientific, policy based and or any other networks which may be of benefit to project implementation through lessons learned. The NDA together with project team will identify, analyse and share lesson learned to GCF that might be beneficial in the design and implementation of follow up future course of action. It is expected that Nepal NDA and UNDP stay in close communication with GCF focal point to update and receive guidance to ensure high visibility of the project results.


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SECTION 4: BUDGET, PROCUREMENT, IMPLEMENTATION AND DISBURSEMENT

GCF Readiness Outcome Budget Description Amount

US$ (year 1)

Amount US$ (year

2)

Total Amount

US$

See budget note:*

GCF Readiness Outcome 1 : Country Capacity Strengthened

International Consultants 20,000 - 20,000 1

Local Consultants 39,000 8,000 47,000 2

Contractual Services - Individ 4,000 4,000 8,000 3

Contractual Services-Companies - 20,000 20,000 4

Travel – Local 250 250 500 5

Travel – International 12,492 24,000 36,492 6

Supplies 5,250 1,250 6,500 7

Training, Workshops and Conferences 7,650 4,150 11,800 8

Total Outcome 1

88,642 61,650 150,292

GCF Readiness Outcome 2: Stakeholders engaged in consultative pro-cess

International Consultants - 20,000 20,000 9

Local Consultants 45,000 15,000 60,000 10


Contractual Services-Companies 10,000 50,000 60,000 12


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Travel – Local 12,096 5,396 17,492 13

Travel – International - 1,890 1,890 14

Supplies 14,500 11,500 26,000 15


Total Outcome 2

102,396 120,186 222,582

GCF Readiness Outcome 3: Direct Acess Realized

International Consultants 30,000 15,000 45,000 17


Travel – Local - - -

Travel – International 5,560 2,780 8,340 19

Supplies 1,000 1,000 2,000 20


Total Outcome 3 43,560 31,780 75,340

GCF Readiness Outcome 4: Access to finance

International Consultants - - -

Contractual Services - Individ 4,000 4,000 22


Travel- local - 800 800 24

Travel- International - 31,200 31,200 25

Supplies - 7,000 7,000 26


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Training, Workshops and Conferences - 12,000 12,000 27

Total Outcome 4 - 220,206 220,206

GCF Readiness Outcome 5: Private Sector mobilization

International Consultants - - -

Contractual Services - Individ - 4,000 4,000 28


Travel – Local - - -

Travel – International - - -

Supplies - 2,000 2,000 30

Training, Workshops and Conferences - 3,500 3,500 31

Total Outcome 5 - 84,348 84,348

Total operation costs (Outcome 1+2+3+4+5) 234,598 518,170 752,768

Contingency (max. 5% of total operation costs) Miscellaneous Expenses 11,730 25,909 37,638 32

Total operation costs + Contingency 246,328 544,079 790,406

Project management costs ( max 10 % total operation costs with contin-gency)


Total Project management costs 13,210 13,210 26,420

TOTAL PROJECT COSTS EXCLUDING DP FEE 259,538 557,289 816,826

DP fee (10%) 25,954 55,729 81,683

TOTAL PROJECT COSTS INCLUDING DP FEE 285,492 613,017 898,509


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*budget notes are mandatory

1. International consultant: One consultant ($20,000) with 40 days inputs (at $500 per day) to support lead in design and delivery of assessment of capacity and needs of the NDA and its governance structure to effectively execute the function of GCF NDA in Nepal and prepare costed capacity development action plans (activity 1.1.1); 2. Local consultants: i) Local consultant ($10,000) with 50 days inputs (at $200 per day) will support NDA together with international consultant to assess capacity gaps and costed capacity action plan for NDA (activity 1.1.1.); ii) Local consultant ($16,000) with 80 days inputs (at $200 per day) to develop training content and deliver trainings on GCF standards and training to 60 participants in total for NDA, sector ministries, candidate DAEs, national CSOs, indigenous and women organization. Also support in preparing strategic thematic focus areas from capacity building action plan during design of international training, international participation on climate finance related events and peer to peer exchange and lead in reporting the annual progress to document impact on capacities of the NDA and governance structure and suggest further improvement required (activity 1.1.2); iii) Local consultant to support translation of no-objection procedures in Nepali ( $5,000) for 25 days ($200 per day)- activity 1.2.1 ; iv) Local consultant ($10,000) with 50 days inputs (at $200 per day) will help develop national ESS guideline- activity 1.2.2; v) Local legal expert consultant ($6,000) with 30 days inputs ($200 per day) to support on bilateral agreements between NDA and GCF and translation in Nepali. The local consultant will perform project manager role (UNDP service contract) for overall technical oversight for outcome 1-country capacity strengthened ($8000). 3. Service contractor will allocate approximately 14% of his/her time to provide technical support to the activities under Outcome 1 ($8000). 4. Service Firm Procurement: To deliver 5 days in-person training on developing action plan on evaluation, selection and decision making of proposals as per GCF criteria via international service firm ($ 20,000 @ 2500 USD per person) for 8 participants from 2 from NDA (Joint secretary and undersecretary secretary), and 6 members from technical committee representing 1 National Planning Commission, 3 members from sector ministries, 1 private sector representative and 1 climate change expert (activity 1.1.2).

5. Local Travel is estimated to be USD 700 to travel in and around Kathmandu to achieve outcome 1 activities result. 6. International Travel: i) 2 travel to Nepal for international consultant for inception and validation workshop for capacity gaps and needs assessment of NDA in new federal structure context (USD 4492 @178 USD per day DSA for 14 working days in Nepal and 2 round trip ticket (@ USD 1000) for activity 1.1.1); ii) travel support to attend 5 days international training to develop action plan on evaluation, selection and decision making of proposal as per GCF criteria for 8 participants representing 2 NDA (joint secretary, undersecretary) and 6 members from technical committee representing 1 National Planning Commission, 3 members from sector ministries, 1 private sector representative and 1 climate change expert in service firm destination country ($9600 DSA estimated for 8 person @$200 for 6 days and $ 6400 total round trip ticket @$800 per person); iii) Travel related to international peer to peer workshop with NDAs that have established best practices in GCF engagement and climate finance management ( $8000 total for 4 participants from NDA for 4 days @$250 DSA and 4 round trip airfare @$1000 per person); iv) Two travels for 4 NDA members participation support for climate finance related events (regional or international) and meetings ($8,000 in total with DSA @$ 250 for 4 days for 4 person ($4000) and air fare cost for 4 person @$1000 per person ($4000).


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7. Supplies cost under outcome 1 in total $6500 which includes; a) training resources and supplies for 60 participants during two national level capacity building training on GCF standards and process workshop ($1500); b) resources print for 6 technical and 2 steering committee ( $ 1000)resources prints, c) translation and publication cost related to no-objection procedure in Nepali ($ 1500), and d) translation in Nepali and publication of ESS guideline (English and Nepali) ($ 2500). 8. Workshop, meeting and trainings: a) One inception and One validation workshop for capacity gaps and needs assessment for activity 1.1.1 ($2,000); b) organize 2 national level training (each 3 days) for NDA, DAEs, sector ministries and provincial ministries representative ($6,000) (60 participants total); c) Hold 2 steering committee and 6 technical committee meeting ($ 2,300); d) Two national consultative workshops organized to finalize national ESS guideline ($1,500). 9. International consultant; a) 1 peer review support ($5,000) of country programme developed by service provider firm (activity 2.2.1) with 10 days remote inputs ($500 per day). B) international consultant ($15,000) with 30 days inputs ($500 per day) to provide lead support remotely and one field mission to preparation of gender engagement strategy (activity 2.3.1) 10. Local Consultants: a) National consultant ($ 24,000) with 120 days inputs (at $ 200 per day) to support finalize stakeholder engagement strategy and hold 2 national and 7 provincial level stakeholder round table reports; b) National Consultant ($20,000) with 100 days inputs ($200 per day) will support publication of bi-monthly newsletter in English and Nepali and support in web portal content development (activity 2.2.2); c) National consultant ($16,000) with 80 days inputs (at $200 per day) to support establish a process and procedures for national annual review of GCF engagement process (activity 2.4.1 and activity 2.4.2) and write the two annual reports, press and media releases. 11. Service contractor will allocate approximately 14% of his/her time to provide technical support to the activities under Outcome 2 ($8000) 12. Service Contract Firm: a) National Service firm will be hired to jointly deliver activity 2.2.1 (country programme document) and activity 2.3.1. (Gender engagement strategy)- The service values is ($ 40,000) with 200 days national inputs (at $ 200 per day) with role lead consultant ( 40 days), indigenous and social expert (40 days), adaptation specialist ( 30 days), mitigation specialist (30 days) and gender expert (50 days) to develop and update country pro-gramme and gender engagement strategy; b)National service firm (IT company) hired to support update Climate Finance MIS ($ 20,000) for two years as apart annual maintenance cost per year (activity 2.2.2). 13. Local Travel total cost $ 17492 : a) $4492 to support travel to 14 provincial level staffs to attend two national stakeholder conference in Kathmandu (@$178 DSA per person and $2000 lump sum land and local air travel for 14 provincial participants to attend conferences; b) local travel cost for NDA and team members to organize and host seven provincial level stakeholder dialogue ($ 7,000); c) travel related to two annual review process for seven provincial ministries including DSA ($4,800); local travel support to gender expert to attend provincial roundtables ($500) 14. International Travel: a) Travel cost total $ 1890 related to one international round trip ticket ($1000) and 5 days DSA @$178 for 5 days to consult with stakeholder and share outcomes of gender engagement strategy (activity 2.3.1); 15. Supplies total cost $26,000: a) cost for stakeholder engagement process for activity 2.1.1, 2.1.2 and 2.1.3 respectively for resources print, translation and publication of stakeholder engagement strategy ($4,000); b) Activity 2.2.1 ($2,000) for translation and publication of Nepal's Country Programme. c)


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Server hardware procurement for MoF Climate Finance MIS ($10,000) and bimonthly publication of briefs (Nepali and English) ($6,000)- activity 2.2.2; d) Translation and publication of gender engagement strategy ($ 2,500)- activity 2.3.1; e) resources print, press meet, media release support during annual participatory review process activity 2.4.2 ($1,500). 16. Workshop, training and conference : a) Five consultative workshop with GOs, CSOs, private sector, academia and indigenous and women organization ($ 3,000) venue and catering cost for 100 total participants at the national level (activity 2.1.1); b) organize two national level stakeholder conferences (activity 2.1.2) for 100 participants ($ 5000)-venue and catering cost; c) Seven provincial level stakeholder dialogue (175 participants total)- venue and catering cost estimated $800 per event for half day event in respective province ($ 5,600)- activity 2.1.3; national consultative workshop (two) and sharing meeting (one) for initial scoping, further dialogue and sharing meeting of country programme ($ 4,000); e) consultative workshop and dialogue to prepare gender engagement strategy ($ 2000) at the national level; f) Two events: two days national level annual review process ($ 9,600) for 40 participants in one event (80 total participants in total)- includes venue, full board catering and accommodation attended by NDA, sectoral government, provincial ministries DAEs, representatives of civil society members, expert, academia, & private sectors. and c) other cost includes ten consultative, sharing and validation meetings (activity 2.4.2). 17. International consultants: Accreditation specialist ($45,000) with 90 days inputs (at $500 per day) to support nominated entity in the accreditation process through identified missing polices, support in submission of application, develop content and deliver capacity assessment and deliver training for candidate DAEs and develop annual or multi-year work program for 4 nominated DAEs; 16. The local consultant will perform project manager role (UNDP service contract) for overall technical oversight for outcome 3- direct access realized ($8000) 18. Service contractor will allocate approximately 14% of his/her time to provide technical support to the activities under Outcome 3 ($8000). 19. International Travel: 3 international round trips planned for accreditation specialist ($8,340) with 30 days field mission to Nepal (@$178 per day DSA- $5340) and $3000 for round trip ticket to support accreditation process to nominated DAEs and delivery of capacity building workshop to DAEs and develop action plan for nominated entity (activity 3.2.1 and activity 3.3.1). 20. Supplies cost under outcome 3 includes ($ 2,000): Audio visual support, simultaneous translation, recorder, sound system, training and workshop handouts resources print- activity 3.2.1 and activity 3.3.1. 21. Workshop, conferences and training cost: a) meeting and workshop costs during technical support to nominated entities for accreditation process ($ 3,000); b) capacity assessment workshop ($800) and capacity building workshop for candidate DAE on work plan development ($8,200)-3 days training full board venue and catering for 15 participants; 22. Service contractor will allocate approximately 6.5% of his/her time to provide technical support to the activities under Outcome 4 ($4000). 23. Service Firm Procurement: a) Two service firm procurement to develop concept notes for private and development sector (activity 4.3.1) for two DAEs ($120,680). Total efforts estimated for consulting firm with 80 days lead international expert ($500 per day), 40 days international subject matter expert ($500 per day), 160 days inputs for four national experts ($200 per day). 4 International experts requiring four international travel ($14,680) for total 60


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days field visit (@$178) and four round trip tickets ($4000). The field visit cost to the sites ($ 5000) and series of national and local level consultative workshop and meetings ($7000) and $2000 incidental supplies cost related to print resources. b) For activity 4.4.1 and activity 4.4.2 hire service firm ($ 58,526) to develop step by step guide for funding proposal development for the DAEs and deliver training. The efforts for service firm is 50 days national inputs ($ 200 per day) and 50 days international inputs ($ 500 per day) with 3 international travel required for international expert ($ 8,400) with 17 days (@$178 per day DSA and $3000 round trip fare) for consultation, sharing workshop and delivery of capacity building training. 24. Local Travel: travel to venue for 20 participants for capacity building training event for funding proposal development and mainstreaming of ESS and gender ($800). 25. International Travel: a) 12 members from 2 NDA, 4 DAEs, 6 technical committee members travel south-south knowledge exchange at regional or international level ($22,800) with each head cost $1900 for at least 3 days round trip ticket and DSA- in GCF supported Readiness programme country-activity 4.1.2 b) 6 members high level delegates meeting with GCF secretariat ($8,400) with each head cost $1400 per head travel and DSA to Korea for 2 days - activity 4.1.3; 26. Supplies: a) resource print and materials for South-South Knowledge exchange and high-level delegates visit to Songdo ($ 4000) b) publication of step-by-step guide for funding proposal development in Nepali and English ($ 3,000); 27. Workshop, conference and trainings. The five days training for 20 DAEs and NDA participants for funding proposal development and mainstreaming of ESS and gender. ($12,000). 28. Service contractor will allocate approximately 6.5% of his/her time to provide technical support to the activities under Outcome 5. 29. Service Firm Procurement: Procurement of service ($74,848) firm to prepare private sector investment opportunity through financing strategy to engage with GCF PSF. The effort of firm includes two international expert looking at technical and financial feasibility expert ($ 50,000 for 100 days inputs at $ 500 per day) and one national expert ($12,000 for 60 days inputs at $ 200 per day) and one national GIS expert ( $6,000 for 30 days inputs $200 per day): 4 international travel ($ 6,848 total for 16 days field mission ($178 per day with $4000 round trip ticket) during inception and sharing of technical and financial feasibility study and financing strategy. 30. Supplies cost under outcome 5 includes ($ 2,000): Audio visual cost, translation, and publication of 1 policy brief on private sector financing strategy in Nepali and English. 31. Workshop and training: a) Two consultative meeting for activity 5.5.1 ($ 2,000); b) one national sharing workshop to share technical and financial feasibility of private sector engagement and sharing of national private sector financing strategy ($1,500)

32. Contingency cost to support project items: For any unforeseen cost. 33. The UNDP service contractor will perform project manager role for overall management and financial oversight (45 %) of the project activities for two years ($ 26,420). The technical oversight role (55%) is distributed amongst the 5 outcomes.


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4.2. Procurement Plan

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 thresh-old, and the estimated dates. Please include the procurement plan for at least the first tranche of disbursement requested below. Also, please feel free to replicate this table on Excel spreadsheet if needed.

ITEM ITEM DESCRIPTION ESTIMATED COST (US $)

PROCUREMENT METHOD

THRESHOLDS ESTI-

MATED START DATE

PROJECTED CONTRACTING DATE

(Min-Max monetary value for which indicated pro-

curement method must be used)

Goods and Non-Consulting Services

1 Service Contractor - Project Manager and Technical Support

58,420 Desk Review/Expert Ros-ter/National RFQ

US 56,000 to US 60,000 1/1/2018 2018-01-01 to 2019-12-31

4 International Consultants 85,000 International RFQ US 90,000 to US 95,000 1/1/2018 2018-01-01 to 2019-12-31

3 Local Consultants 107,000 Desk Review/Expert Ros-ter/National RFQ

US 105,000 to US 110,000 1/1/2018 2018-01-01 to 2019-12-31

4 Supplies 43,500 Micro Canvass (Multiple) US 45,000 to US 55,000 1/1/2018 2018-01-01 to 2019-12-31

5 Workshop Planning/Logistics 68,500 LTA/ Local RFQ US 120,000 to US 135,000 1/1/2018 2018-01-01 to 2019-12-31

6 Local Travel 18,792 Direct Contracting/LTA N/A 1/2/2018 2018-01-01 to 2019-12-31

7 International Travel 77,922 Direct Contracting/LTA N/A 1/1/2018 2018-01-01 to 2019-12-31

SUB-TOTAL (US $) 459,134

Consultancy Services

Contractual Services- Companies 320,054 Request for Proposal 290,000- 315,000 1/1/2018 2018-01-01 to 2019-12-31

SUB-TOTAL (US $) 320,054

TOTAL COST (US $) 779,188


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4.3. Disbursement schedule Specify the proposed schedule for requesting disbursements from the GCF, including amounts and periodicity. For amounts requested, keep to multiples of USD 5,000, and 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.

4.4. Additional information This box provides an opportunity to include further explanations related to the budget, procurement plan and disbursement schedule, including any details on the assumptions to justify costs presented in the budget.

UNDP will be responsible for the implementation of the readiness activities and provisioning procurement and contractual services, as well as reporting on the progress of this implementation in close coordination and strategic guidance from the NDA/FP. The procurement actions and the operational services will be carried forward in accordance with UNDP policies and procurement guidelines as agreed under the Framework Readiness and Preparatory Support Grant Agreement (Framework Agreement) between Green Climate Fund (GCF) and the UNDP. Progress Reports will be prepared by UNDP, in alignment with the requirements set forth in the Frame-work Agreement, and will subject to review by the NDA/FP before its submission to the GCF Secretariat.

SECTION 5: IMPLEMENTATION ARRANGEMENTS AND OTHER INFORMATION

5.1. Please attach an “implementation map” or describe how funds will be managed by the NDA/FP or delivery partner

If the entity implementing the readiness support is not an accredited entity of the GCF, please complete the Financial Management Capacity Assessment (FMCA) questionnaire and submit it with this proposal.

The Government of Nepal has identified UNDP as its delivery partner for the readiness programme. UNDP will take responsibility, under the leadership and guidance of the NDA, for the implementation of the proposed programme including fiduciary management. As per the Framework Readiness and Preparatory Support Grant Agreement, the project will be implemented under Direct Implementation Modality following UNDP POPP guidance available here:https://info.undp.org/global/popp/frm/Pages/direct-implementation-dim-modality.aspx. UNDP Nepal will be responsible for services related to recruitment of project staff and consultants, travel, sub-contracting, and organization of national workshops. UNDP HQ will delegate spending authority to the UNDP 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 UNDP Global GCF Readiness Coordinator while day-to-day management will be undertaken by the Service Contract holder (budget line), performing the role of project manager. 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. For these purposes, the NDA and UNDP will establish and follow existing implementation arrangements within NDA and Climate Finance Unit, as described below:

http://www.greenclimate.fund/documents/20182/104167/Financial_Management_Capacity_Assessment_Template.docx/5328f652-cf6e-44ab-b115-ae081be805fb

http://www.greenclimate.fund/documents/20182/104167/Financial_Management_Capacity_Assessment_Template.docx/5328f652-cf6e-44ab-b115-ae081be805fb

https://info.undp.org/global/popp/frm/Pages/direct-implementation-dim-modality.aspx


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Entity Role Responsibility

Ministry of Finance/ Climate Finance Unit

GCF NDA Ensure implementation of the GCF Readiness grant upholds country ownership

UNDP CO Delivery Partner Oversee implementation and reporting of the programme

UNDP (individual service contractor)

project management and coordination / technical expertise and support

Undertake the day-to-day programme management activities, including services related to recruitment of project staff and consultants, travel, sub-contracting, and organization of national workshops (45% of time). The incumbent will provide technical assurance to activities under Outcomes 1 through 5, in collaboration with the team of experts (consultants) (55% of time).

Technical Committee (inter-ministerial, private sectors and experts)

Technical Working Group led by NDA

Provide technical inputs to the NDA

Steering Committee (inter-ministerial, private sectors, experts)

High level steering committee led by NDA

Provide strategic advice to the NDA and sector line ministries

5.2. Other relevant information This box provides an opportunity to include any important information you wish to bring to the attention of the GCF Secretariat, but did not have an opportunity to provide in the sections above.

In the spirit of attaining comprehensive capacity building at all relevant levels, the proposed activities are designed such that the GCF’s requirements and expected results are systematically transferred. The activi-ties and the deliverables are need-based and have been identified through repetitive brainstorming ses-sions led by the NDA with the stakeholders. Some of the activities such as the comprehensive climate risk and vulnerability assessment to establish a baseline will contribute significantly to bridge existing gap wherein country lacks comprehensive climate risk status. The assessment will feed in crucial inputs to the preparation of the Country Programme until the climate priorities are set by the NAP in the future.

In the meantime, Nepal has so far considered five funding proposals for further development and submis-

sion to GCF with support from international access entity. They are as follows;

1. Building a Resilient Churia Region (Landscape) in Nepal (FAO)

2. Safeguarding Lives and Livelihood against Flood and Glacial Lake Outburst Floods (GLOF) risks in

Nepal (UNDP)

3. Promoting Transformative and Climate Resilient Agriculture for Sustainable Livelihoods and Food

Security in Koshi River Basin in Nepal (FAO).

4. Building Adaptive Capacity and Resiliency of the Climate Vulnerable Communities and Ecosystems

in Gandaki River Basin in Nepal (IUCN).

5. Building Communities Resilience by Integrating Adaptation and Disaster Risk Management (Eastern

Nepal) (UNDP).


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Annex I: Terms of reference

TERMS OF REFERENCE: PROJECT MANAGER / Technical expert on GCF Readiness

Under the direct supervision of the UNDP Country Office Chief of Unit and in close coordination with the GCF

NDA in Ministry of Finance and dedicated team in the ministry, the Project Manager will be responsible for

management and technical oversight of the following tasks:

- Coordinate and monitor the Project Implementation activities;

- Facilitate the day-to-day management of the project; responsible for the timely delivery of all project

outputs

- Provide necessary technical oversight and quality assurance of various activities under the GCF readiness

outcomes.

- Prepare annual work plan of activities in consultation with the NDA;

- Prepare the annual budget and the annual procurement plans;

- Monitor project activities, including financial matters, prepare quarterly and annual progress reports

- Manage human and financial resources to achieve results in line with the outputs and activities outlined

in the project document;

- Liaise with the various UNDP units, including General Services, Personnel, Accounting, Travel,

Environment, and UNDP-GEF Headquarters and follow-up on project activities for good project

execution;

- Monitor and assist with logistical arrangements for field trips for national and international consultants

in accordance with UNDP procedures;

- Lead procurement processes required for the project

- Verify inventory of materials and equipment for the project;

- Follow-up for financial requests, disbursement of funds, purchasing actions;

- Maintain project accounts in accordance with existing UNDP Nepal procedures and regularly monitor

payments with UNDP accounts;

- Prepare regular budgetary and financial monitoring reports, as requested by UNDP-GEF HQ for the GCF

- Controlling and monitoring the statement of expenditure with the Accounting Department and the PMSU

of the UNDP office

Required Competencies

- At least 5 years of relevant experience in project management/quality assurance and monitoring associated with climate change adaptation and mitigation and/or climate finance;

- Master’s degree in the following areas: climate change, energy, environmental or climate policy or related area;

- Act as a team player and facilitating team

work;

- Possesses knowledge of organizational

policies and procedures relating to

project management/ sustainable

development

Documents

with UNDP for the Federal Democratic Republic of Nepal · Government of Nepal’s national capacities to effectively and efficiently plan for, access, manage, deploy and monitor climate