with deutsche gesellschaft fuer internationale [email protected] full office address:...

with Deutsche Gesellschaft fuer Internationale Zusammenarbeit (GIZ)

GmbH for Republic of Ecuador

22 November 2019 | NDA Strengthening & Country Programming

Programme title: Ecuador NDA Institutional Strengthening and Digitalization Process

Country: Ecuador

National designated authority: Ministry of Environment

Implementing Institution: Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH

Date of first submission: Click or tap to enter a date.

Date of current submission / version number

Click or tap to enter a date. V.##

Readiness and Preparatory Support Page 2 of 21

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-[ECUADOR]-[2019/08/15]”

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.

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

mailto:[email protected]

https://www.greenclimate.fund/library/-/docs/list/574044



https://www.greenclimate.fund/countries



1. SUMMARY

Country submitting the proposal

Country name: Ecuador

Name of institution representing NDA or Focal Point: Ministry of Environment

Name of contact person: Steven Petersen

Contact person’s position: Undersecretary of Climate Change

Telephone number: + (593 2) 398 7600 • Ext. 1302

Email: [email protected]

Full office address: Madrid 1159 y Andalucía, Quito-Ecuador

Additional email addresses that need to be copied on correspondences: [email protected]; [email protected]

Date of initial submission 21 August 2019

Last date of resubmission 5 November 2019 Version number V.5

Which institution will implement the Readiness and Preparatory Support project?

☐ National designated authority ☒ Accredited entity ☐ Delivery partner Please provide contact information if the implementing partner is not the NDA/focal point

Name of institution: Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH

Name of official: Dennis Mutschler-Neumann Position: Focal Point GIZ Readiness Portfolio Telephone number: +49 228 446080-1463

Email: [email protected] Full office address: Friedrich-Ebert-Allee 40, 53113 Bonn, Deutschland

Additional email addresses that need to be copied on correspondences: [email protected], [email protected]; [email protected]; [email protected]

Title of the Readiness support proposal

Ecuador NDA Institutional Strengthening and Digitalization Process

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 Readiness proposal has the objective to support the NDA, as the main beneficiary of the readiness, to have a better organization to improve complementarity and coherence between the activities of the GCF and the activities of other relevant institutions, to better mobilize the full range of financial and technical capacities ‒ focusing on the optimization of organization and human capacities inside the organization ‒ and to enhance the efficiency and transparency of the processes of the NDA by implementing digital solutions. To achieve this the proposal builds on the existing structures from previous readiness proposals and transfer them into a multi-functional system that enables systematic and strategic steering of Ecuador’s engagement with the Green Climate Fund. “Green Climate Fund Readiness and Preparatory Support for Ecuador”

From the results of this Readiness project this proposal will:

• develop a digitalized No objection procedure and if possible, optimize it, • use any relevant information from the capacity building material developed, and

lessons learned • support the project ideas identified in the “No-objection” process • build on the capacities generated in the Interinstitutional Committee on Climate

Change (CICC)

“Enhance the capacity of Decentralized Autonomous Governments to access and manage climate finance in Ecuador and contribute to the implementation of the NDC”

This proposal will:

• facilitate that the projects in the pipeline start the “no objection” process, in particular the 4 concept notes to be developed.

• link their platform with the digital dashboard. • Outreach all identified stakeholders for the development of the climate finance

strategy. • use the material produced and lessons learned

Components of the proposal

• Capacity Strengthening, supporting the NDA Team to adequately fulfil its roles and responsibilities in the relation to the GCF.

• Digital dashboard, a web-based system to help streamlining the NDA operating and the “No-Objection” processes. Developed in the readiness programme ECD-RS-001

• Climate Finance Strategy, to set an operative framework for climate finance in Ecuador

• MRV of Climate Finance, for increasing efficiency of international support and domestic mobilization efforts

• Outreach & Dissemination. systematically informing stakeholders on key aspects such the accreditation process, the no-objection procedure, best practices and the overall context in which the GCF operates

All intellectual material and goods produced in the Readiness programme will be property of the Ecuadorian NDA. Moreover, all deliverables produced will be uploaded in the digital dashboard and will be available for all public. Moreover, the Ecuadorian Constitution stablishes that every person has the right to have access to all information produced by public institutions. The Ecuadorian NDA has in-house teams to properly administer the assets to be acquired during the implementation of the Readiness Programme.

Total requested amount and currency

EUR 450.000 Anticipated duration 18 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 ECD-RS-001. Proposal that defined a strategic engagement framework with the GCF. The grant assisted with developing a first set of guidelines for processes and structures required for fulfilling these functions. These include a guideline for the no-objection procedure; kick-starting the process to formalize relations with the GCF (incl. Privileges & Immunities); an initial outline for a climate finance strategy; as well as an online platform to monitor budgetary and other public climate flows in the country ECD-RS-002. “Enhance the capacity of Decentralized Autonomous Governments to access and manage climate finance in Ecuador and contribute to the implementation of the NDC”. Aiming to strengthen the capacities of Governments at provincial level in Ecuador to be able to access climate finance from the GCF and other sources of finance for the implementation of strategic and prioritized climate related activities. Readiness Proposal “Green Climate Fund Readiness and Preparatory Support for National Adaptation Plan in Ecuador” to initiate the development of its National Adaptation Plan (NAP) following the directives of its National Strategy for Climate Change (NSCC) as a principal means for its implementation. Note: The Digital Dashboard will build on the results of [ECD-RS-001] by transferring the guidelines and protocols for no-objection developed under that readiness grant into a digital system. It further complements an online climate knowledge platform for local governments created under readiness proposal [ECD-RS-002]. Close coordination will ensure avoiding duplication. Set up of the system includes south-south cooperation with the NDA team of Bangladesh that already implemented such a system with support by [BGD-RS-002].


2. BACKGROUND


Ecuador has an important legal framework on climate change. Based on the Constitution, since 2008, where mitigation and adaptation are priority issues in the country. Plan Nacional Desarrollo 2017-2021 with its Objective 3: Guarantee the rights of the nature for present and future generations, its objective that seeks to promote good practices that contribute to the reduction of pollution, conservation, mitigation and adaptation to the effects of climate change, and promote them at the global level. Moreover, since 2013, Ecuador has its National Strategy for Climate Change (NSCC), which includes mitigation and adaptation goals for the short, medium and long term. Although the country has a legal framework on environmental and climate change, the mobilization and monitoring of financial resources for the implementation of programs and projects can be optimized. Since the nomination of the Ministry of Environment as the NDA, senior officials in the Ministry have performed various NDA functions, such as organizing stakeholder engagement events, managing review processes for funding applications by accredited entities, and tracking financial flows in an ad hoc manner. The objective of this readiness request is to build on these existing structures and transfer them into a multi-functional system that enables systematic and strategic steering of Ecuador’s engagement with the Green Climate Fund. To achieve this, the readiness request comprises the following components: Capacity Strengthening of NDA Team Accredited entities in Ecuador require further guidance to develop high-quality proposals that respond to national priorities and advance the objectives of national policies and strategies. Working knowledge of the GCF and its policies by NDA staff is key for serving this need. Focused trainings for NDA personnel on the digitalized no-objection procedure, strategies for private sector engagement, and modalities of the PPF as well as the SAP will strengthen these capacities.


The readiness programme will produce a readiness plan that will define the functions and actions items for the NDA for its work with the GCF Digital Dashboard With increased interest and awareness of national and local stakeholders in the GCF, effective coordination and efficient management of project ideas will become critical. A web-based system will help in electronically streamlining and improving standard NDA operating processes: These include:

• A dedicated website for the NDA to provide an entry point for all engagement on climate finance • An application software for managing the “No-objection” procedure for project proposals and concept

notes. Functionality: Accredited Entities submit their proposals and concept notes online through the website. NDA staff can assign reviews of proposals to members of the Inter-institutional Committee for Climate Change (expert reviews). Digital checklists assist reviewers to ensure alignment with countries priorities and country programme and specific timelines. Applicants receive compiled feedback online including further guidance for finalization or resubmission.

Review guidelines and checklists will be elaborated using existing material and adapting it to the specific circumstances of Ecuador. The NDA has legal mandate and the resources and the to ensure that any digital product is properly maintained after the end of this programme Outreach & Dissemination Currently there is a lack of key information available on Ecuador’s engagement with the GCF for systematically informing stakeholders on key aspects such the accreditation process, the no-objection procedure and the overall context in which the GCF operates in (linkage to NDC and Paris Agreement). Materials will include brochures as well as video tutorials for stakeholder how to use the digital dashboard application to submit project proposals. The information will be developed in Spanish taking into consideration existing information from the GCF and other readiness programmes and will be adapted for the specific circumstances of the country, Since the approach of this readiness goes around digitalization, any training will be developed on-line and materials produced as well as attendance lists and reports and feedback from participants will be collected and evaluated in order to improve any future training. Best practices will also be disseminated to show how project ideas in Ecuador went from project idea to approved funding proposal, his will help to provide an idea on what is expected from the GCF Climate Finance Strategy Readiness grant [ECD-RS-001] supported the initial steps for developing a climate finance strategy: Guidelines for constructing the strategy are in place, as well as a participatory mechanism that supported initial discussions with selected stakeholders. It is important to take this work forward by developing the actual strategy that sets an operative framework for climate finance in Ecuador. The Climate Finance Strategy will set national climate change related investment priorities and the mechanisms to implement them in the short and medium term. It will help to integrate the NDC and NAP into the national planning and budgeting processes, considering scenarios and strategies for accessing and allocating funds. Furthermore, it will identify resources from government budget, the GCF, climate funds, donors, and private sector. MRV of Climate Finance Monitoring climate finance flows is an important ingredient for increasing efficiency of international support and domestic mobilization efforts. Readiness grant [ECD-RS-001] created an online platform to monitor the public budget assigned to climate change activities in order to monitor the country’s financial expenditures in climate change. Readiness grant [ECD-RS-002] is in the process of conducting a brief document on climate investments on finance at the province level. This readiness grant will focus on bringing these two aspects together in a nation-wide MRV system that includes local, national, international and private sources of finance. Strengthening MRV capacities will also benefit GCF-FP-095 “Transforming Financial Systems for Climate” as robust data and analysis on existing climate flows will help to identify key interventions that have the potential to contribute towards making all financial flows compatible with low-carbon and climate-resilient development. Figure: Interlinkages between different of the different components


3. LOGICAL FRAMEWORK AND IMPLEMENTATION SCHEDULE

Outcomes Baseline1 Targets

Activities2 (brief

description and

deliverables)

Anticipated duration: 18 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: Institutional capacity and coordination mechanisms in place to govern and coordinate climate action and finance

Sub-Outcome 1.1: NDA leads an effective operation mechanism

1 2 Activity 1.1.1: Build an expert team inside the NDA to increase operational capacity of the NDA Deliverable 1.1.1: Country-specific Readiness plan

x

1 2 Activity 1.1.2: Develop information material for the NDA, which will contain systematized key information on how the fund operates and its alignment with Ecuador's National Climate Change Strategy and NDC. Deliverable 1.1.2: Three information materials (related to: 1. No-objection procedure; 2. Accreditation procedure; 3. Application and assessment of projects)

x x x

1 2 Activity 1.1.3: x 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”).


Support the NDA in the organization of GCF knowledge dissemination events to engage key stakeholders Deliverable 1.1.3: Three Inclusive events will serve to showcase GCF and the NDA processes and support structures and also will provide information on relevant projects and financial instruments

1 2 Activity 1.1.4: Undertake workshops targeted at NDA personnel on GCF’s operational modalities, including its financial instruments. Deliverable 1.1.4: Three Technical events will focus on more specific aspects that will be identified in the inclusive events or in the interaction with the stakeholders that participate on them.

x x x

Sub-Outcome 1.2: Increase capacities in the CICC to assess funding proposals

1 2 Activity 1.2.1: Develop guidelines on how to assess submissions for the project. Deliverable 1.2.1: One document with the guidelines on how to prepare an assess a proposal

x


Sub-Outcome 1.3: NDA ‘No Objection’ procedure for funding proposals and PPF applications is digitalized

0 1 Activity 1.3.1: Implement digital solution to increase efficiency and transparency in the “No-Objection” Procedure Deliverable 1.3.1: One on-line system for No-objection procedure.

x

Sub-Outcome 1.4: Monitoring and verification systems for climate finance flow - Process for an MRV for climate finance flow from public and private sources is designed

0 1 Activity 1.4.1: Identify climate finance flows within the country considering different climate finance sources (national, international, private) Deliverable 1.4.1: One study to identify climate finance flows considering national, international, and private sources)

x

0 1 Activity 1.4.2: Design the process for the MRV for climate finance in the country. Deliverable 1.4.2: MRV Process defined

x

Outcome 2. Climate finance strategies and project pipeline strengthened

Sub-Outcome 2.1: Climate finance strategy defines the potential use of a combination of funding.

0 2 Activity 2.1.1: Develop a climate finance framework Deliverable 2.1.1: A climate finance strategy exists

x

Outcome 3: Improved Knowledge management

Sub-Outcome 3.1: Best practices with respect to

0 1 Activity 3.1.1: Develop and disseminate information and

x


system of the NDA

institutional capacity building, and direct access, are collected and disseminated

awareness-raising activities Deliverable 3.1.1: One information material related to GCF approved projects and their results.


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.


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.

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. 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.

Consultant - Individual - International W/Day 20 850,75 17.015,00

Consultant - Individual - Local W/Day 270 196,48 53.050,00


IT Equipment misc 1 3.600,00 3.600,00

Off ice Supplies misc 1 3.500,00 3.500,00

Travel – Local Trip 8 575,00 4.600,00 Travel - International Trip 3 2.500,00 7.500,00 Audio Visual & Printing misc 1 2.500,00 2.500,00 Workshop/Training Workshop 3 3.000,00 9.000,00 GIZ + PMC + Contingency + Indirect Cost

misc 1 73.113,43 73.113,43

Consultant - Individual - International W/Day 30 292,33 8.770,00 GIZ + PMC + Contingency + Indirect Cost

misc 1 6.187,00 6.187,00


IT Equipment misc 1 15.000,00 15.000,00

Workshop/Training Workshop 3 2.500,00 7.500,00 GIZ + PMC + Contingency + Indirect Cost

misc 1 37.016,37 37.016,37

Consultant - Individual - International W/Day 35 815,14 28.530,00

Consultant - Individual - Local W/Day 90 150,00 13.500,00 GIZ + PMC + Contingency + Indirect Cost

misc 1 23.646,30 23.646,30


GIZ + PMC + Contingency + Indirect Cost

misc 1 13.709,30 13.709,30


Audio Visual & Printing misc 1 4.000,00 4.000,00 GIZ + PMC + Contingency + Indirect Cost

misc 1 7.462,60 7.462,60

450.000,00

36.809,30

394.528,10

3. Improved Knowledge management system of the NDA

3.1: Best practices w ith respect to institutional capacity building, and direct access, are collected and disseminated

18.662,60 18.662,60

1.1: NDA leads an effective operation mechanism 209.378,43

1.3: NDA ‘No Objection’ procedure for funding proposals and PPF applications is digitalized

104.516,37

1.4: Monitoring and verif ication systems for climate f inance f low - Process for an MRV for climate f inance f low from public and private sources is designed

65.676,30

1. Country capacity strengthened

2. Climate finance strategies and project pipeline strengthened

2.1: Climate f inance strategy defines the potential use of a combination of funding. 36.809,30

# of Unit

Detailed Budget (in EUR)

Total Budget(per sub-outcome)

Total Budget(per budget category)

Total Budget(per outcome)Unit Cost

14.957,00 1.2: Increase capacities in the CICC to assess funding proposals Sub-outcome

Outcomes Budget Categorieschoose from the drop-down list

Unit

Total Outcome Budget




Please choose one option among the two below and delete the one that does not apply to you. Please fill in information under brackets: ☒ Readiness Proposal that falls within a Framework Agreement with the GCF

Disbursements will be made in accordance to 4 “Disbursement of Grants” and 5 “Use of Grant Proceeds by GIZ” of the Framework Readiness and Preparatory Support Grant Agreement entered into between GCF and GIZ on 6 September 2016 (the “Framework Agreement”). The Delivery Partner is entitled to submit 2 request(s) for disbursement each year, and an Interim Request for Disbursement within 30 days of approval by the GCF of a proposal, which must be in accordance with the Framework Agreement.”

The tentative disbursement schedule is detailed in the following table

Year Disbursement date Amount (EUR) 2020 2 January 2020 175.000

1 July 2020 140.000 2021 2 January 2021 60.000

31 May 2021 75.000


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.

GIZ has a Framework Agreement with the GCF to act as the Beneficiary s implementing partner, if nominated to that role by the relevant Beneficiary for the implementation of Readiness Support to GIZ Partner Countries. The Ecuadorian NDA has nominated GIZ to be its Delivery Partner for this readiness proposal, whereby the funds will be disbursed from the GCF to GIZ to undertake the project implementation. Overall, the activities will be steered through a project steering committee (PSC). The PSC will comprise of the NDA and GIZ. It will provide oversight on the implementation of the Readiness Programme, including taking strategic decisions towards the achievement of the Programme’s objectives, defining of the consultants’ strategic outcomes and deliverables as well as approval of the inception report, interim progress reports, completion report provided by the delivery partner, and any other assignments contributing towards the Programme’s objectives, as may be required during the course of implementation. The proposed activities will be implemented over a 18 month period by GIZ, as the delivery partner, as well as being the grant recipient, working in close collaboration with the NDA. GIZ is responsible for the implementation of the activities and will coordinate and cooperate closely with the NDA. GIZ will be responsible for the fiduciary management. The activities described in this Readiness Proposal will be executed by the GIZ Programme “Sustainable Intermediate Cities - CIS” under the leadership and guidance of the NDA and supported by the global GIZ Climate Finance Readiness Programme. GIZ as the delivery partner will assume the overall organization and responsibility for project implementation in terms of provision of technical expertise and guidance.

- Monitor project activities, including financial matters, prepare semi-annual reports. - Prepare annual work plan of activities in coordination with the NDA. - All deliverables will be submitted to the NDA for their appraisal before submission to the GCF. - The hiring process of the experts/consultants will take place in close coordination with the NDA, in

line with GIZ recruitment processes. - In collaboration with the NDA, GIZ will also procure services and goods that are consistent with GIZ

and the Government of Ecuador procurement policies - Consultants will be designated on a competitive basis and according to detailed terms of reference. - For items such as venues and travel for stakeholder workshops, a shopping method will be used at

all times seeking competitive quotes above pre-set thresholds. Figure: Structure of operation for the implementation of the readiness project


The PSC will comprise of the NDA and GIZ. It will provide oversight on the implementation of the Readiness Programme, including taking strategic decisions towards the achievement of the Programme’s objectives, defining of the consultants’ strategic outcomes and deliverables as well as approval of the inception report, interim progress reports, completion report provided by the delivery partner, and any other assignments contributing towards the Programme’s objectives, as may be required during the course of implementation. The decision-making process will be based in consensus but if no agreement is reached then NDA will have the last decision, meetings will be held at least once per month, additional meetings will be decided on ad-hoc basis. For the case of procurement and consultancies GIZ standards will be followed. The following process thresholds shall apply to national/regional/local procurement of goods and services

Procurement of Goods and Services Method Threshold

Direct procurement by Project (no tender) ≤ 1.000 Euro Restricted tendering by GIZ bureau 1.000 – 2.500 Euro Restricted tendering by GIZ bureau* 1.000 – 20.000 Euro Tender by publication (by GIZ bureau in coordination with headquarter)*

> 20.000 Euro

Local Subsidies (by GIZ bureau) ≤ 50.000 Euro Local Subsidies (by GIZ bureau in coordination with headquarter) > 50.000 Euro EU wide procurement (by GIZ bureau in coordination with headquarter) ≥ 209.000 Hotel, Event and Catering by Project (direct procurement) ≤ 1000 Euro Hotel, Event and Catering by GIZ bureau (restricted tendering) ≤ 20.000 Euro

*Exceptions possible under GIZ rules and regulations for direct awards without tendering if only one supplier/consultant/company is suitable or order placement is objectively urgent. The following process thresholds shall apply to international procurement of goods and services

Procurement of Goods and Services Method Threshold

Direct procurement by GIZ headquarter ≤ 1.000 Euro Restricted tendering / Direct contracting by GIZ headquarter 1.000,01 – 8.000 Euro Restricted informal tendering by GIZ headquarter* 8.000.01 – 50.000 Euro Formal tendering by GIZ headquarter* ≥ 50.000 Euro EU wide procurement by GIZ headquarter ≥ 221.000 Euro


Hotel, Event and Catering by GIZ headquarter Euro ≤ 20.000 *Exceptions possible under GIZ rules and regulations for direct awards without tendering if only one supplier/consultant/company is suitable, or order placement is objectively urgent.

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

Risk assessment

Risks Likelihood of

occurrence

Impact level Mitigation actions Responsible

Delay in recruiting national/regional and international experts

low Low Upon endorsement of the work plan, procurement will be facilitated by the NDA to promptly recruit national and international experts having experiences in high quality advisory services in readiness capacity building in line with GCF requirements

NDA/DP

Competing official assignments that might result in failure by PSC to meet regularly as required

Medium Low The DP will ensure clear understanding of the PSC roles and responsibilities and defining expectations from the committee members from the onset, adopting a schedule of meeting agreed upon by members in advance

NDA/DP

Lack of coordination among stakeholders

Medium Medium The readiness project will prioritize outreach and give technical support and advice on the basis of clearly identifying functions, responsibilities and associated areas

NDA/DP

Staff turnover Low Medium Evaluate the institutional changes and continue to maintain the flexibility and adjust to any new functions and/or missions

NDA/DP


After approval of the Grant, a notification letter will be sent by the GCF to the NDA. The date of such notification of approval by the GCF will be treated as the start date for project implementation and from that date, the end date of implementation will be calculated taking into account the total duration of the project as presented in the approved proposal” Experience of the delivery partner

Changing requirements/ priorities of GCF

Low Low Readiness project will focus on ‘no‐regret’ actions to strengthen institutional effectiveness for climate change response

NDA/DP

How the project will be prepared to deal with potential disruptions from conflict or natural disasters

Low Low GIZ has internal policies to ensure the business continuity in case of any potential disruption. Those policies will be followed in case of any disruption due to external factors

In addition, GIZ Ecuador has developed rules and recommendations on how to deal with potential emergencies and crisis and they are in line with similar regulations of other international cooperation organisms working in the country.

DP

Are there any unique threats, risks, challenges or obstacles to implementation, particularly with respect to money laundering, terrorism financing, or prohibited practices that have been identified in the project? If so, have any strategies or planned efforts to identify, monitor, address and mitigate those threats, challenges, risks or obstacles been made?

Low Low GIZ has a worldwide normative addressing the issues raised in this point. In broad terms, GIZ policy requires that any activity by an individual within the organization must be controlled (reviewed, double checked) by a second individual that is independent and competent.

In addition, GIZ offices all over the world follow country specific policies and recommendations.

DP


GIZ has been working in Ecuador for more than 25 years with the objective of contributing and reciprocally helping in matters of common interest for the promotion and technical and economic development. The decision to work with GIZ in this readiness proposal is because GIZ has experience implementing similar readiness programmes in other countries, so the lessons learned from those programmes could be used in Ecuador. Currently the GIZ work in Ecuador in climate change programs and projects comprise more than 30 million of Euros. The most recent cooperation between GIZ and the NDA are the support in the preparation of the NDC (together with the NDC Partnership and CAEP), the implementation of projects in adaptation to climate change in certain areas of the country (ProCamBio II), the development of policies for a sustainable cities development (Sustainable Intermediate Cities); and there are other projects being developed for the implementation of the NDC and the scaling up of climate change measures in rural areas that could complement the work of the proposed Readiness Programme. FC In addition, GIZ has a vast experience supporting several developing countries with different readiness programmes. In special this proposal takes from readiness porogrammes implemented in Bangladesh and in Peru. Lessons learnt from past Readiness projects The NDA has identified the following lessons from the implementation of previous readiness programmes that are relevant for this proposal:

• It is necessary to keep a good coordination arrangement among NDA, Delivery Partner, independent experts and other direct and indirect beneficiaries of the readiness grant to prioritize actions and stay on track with the timelines and deliverables.

• It is necessary to identify and involve key institutions for the success of outcomes that have overarching strategic importance such as the climate finance strategy. Working closely with local institutions is key as they have relevant knowledge and expertise that will be essential for making the deliverables aligned with the country context.

• A key priority is the improvement of the “No-objection” process in order to reduce turn-around time for the review of project proposals and concept notes and make the process transparent and inclusive for all stakeholders.

• The use of a digital platform will increase the transparency of the “No-objection” process and ensures that project ideas are really rooted within country structures, are ambitious, and result in transformational impact in key climate relevant sectors.

• Experience shows that working with strategic partners increases the outreach of information and increase the possibility to generate projects from different stakeholders from national government to local institutions.

The NDA and GIZ have several years of experience in working together through different projects. In the process of developing the proposal key stakeholders were already identified that should be involved during the implementation of the readiness project such as ministries, development banks and private sector organizations. Monitoring and Evaluation In line with the Framework Agreement, the project will undertake continuous monitoring of the project to provide mechanism for regular collection of information on progress to support oversight and adaptive management.

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