with Corporación Nacional para el Desarrollo (CND) …...Email: [email protected] Full office...

with Corporación Nacional para el Desarrollo (CND)

for Eastern Republic of Uruguay

13 December 2018 | Entity Support

Programme title: CND capacity strengthening for direct access to GCF in Uruguay

Country: Uruguay

National designated authority: Ministerio de Vivienda, Ordenamiento Territorial y Medio Ambiente

Implementing Institution: Corporación Nacional para el Desarrollo

Date of first submission: 17 September 2018

Date of current submission /

version number

4 December 2018 V.3

Readiness and Preparatory Support Page 2 of 12

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-[Country]-[yymmdd]”

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: Uruguay

Name of institution representing NDA or Focal Point:

Ministerio de Vivienda, Ordenamiento Territorial y Medio Ambiente

Name of contact person: Ignacio Lorenzo

Contact person’s position: Climate Change Director

Telephone number: +598 2917 0710 ext. 1421

Email: [email protected]

Full office address: Zabala 1432, 4th floor. Montevideo

Additional email addresses that need to be copied on correspondences:

[email protected]

[email protected]

Date of initial submission

17 September 2018

Last date of resubmission

Click or tap to enter a date. (Please update for each resubmission.)

Version number V.03

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: Corporación Nacional para el Desarrollo

Name of official: Anna Fusco

Position: Gerente de Gobiernos Departamentales

Telephone number: +598-2916 2800

Email: [email protected]

Full office address: Rincón 528, Montevideo, Uruguay

Additional email addresses that need to be copied on correspondences:

Title of the Readiness support proposal

CND capacity strengthening for direct access to GCF in Uruguay

Type of Readiness support sought

☐ 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

CND has substantive experience of managing donor funds and executing projects with

multilateral financing, in accordance with its fiduciary standards. However, it has the

challenge of improving the documentation of its policies and procedures in order to

comply with GCF standards in fiduciary management policies and procedures, ESS and

gender perspective.

The objective of the Project is to support CND capacities to follow up its accreditation

process to the GCF and to internalize policies, procedures and capacities identified in the

gap assessment and the Readiness Action Plan delivered by PwC in June 2018, and in

the ESS and Gender manuals that will be delivered by PwC in the second semester of

2018. This includes the training of CND personnel in environmental considerations and

management, and gender and equality policies. It also includes the development of a

preliminary stakeholders’s engagement strategy and detection of opportunities for

development of projects ideas to present to the GCF.

The expected outcome is: CND complies with GCF standards and is accredited to the

GCF.

Total requested amount and currency

USD 91,810 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

- NDA Strengthening and Country Programming 2,

delivered by UNDP (proposal submitted, in process of

evaluation by GCF)

- Entity Support to CND to be delivered by PwC in second

semester of 2018 for the development of the ESS and

gender policies and the respective manuals.

- Adaptation Planning “Integrating adaptation into cities,

infrastructure and local planning in Uruguay”, delivered

by UNDP (approved 8th January 2018)

- NDA Strengthening and Country Programming,

delivered by UNDP (approved 25th

May 2017)

- Entity Support “Support for accreditation gap

assessment and action plan to direct access entity-

CND”, delivered by PwC (approved 17th May 2017)


2. BACKGROUND

In the last years, Uruguay has increased its political commitment in relation to climate change aspects, with the approval of its National Climate Change Policy 2050, its Energy Policy 2030 and its First Nationally Determined Contribution (NDC) submitted to the UNFCCC under the Paris Agreement in 2017.

In 2017, Uruguay received funding from GCF for Readiness Support to be finalized by December 31st, 2018, which has allowed –among others- for the NDA to finish its Country Programme Brief with a balanced approach between adaptation and mitigation and among sectors; the development of one funding proposal to be submitted to the pilot programme within the Private Sector Facility, which was considered one of the thirty best concept notes in the Mobilizing Fund at Scale RfP; the follow up on the accreditation process of its two nominated national Direct Access Accredited Entity (CND and BROU); and building specific relevant capacities in the Environmental and Social Policy and in gender issues.

CND is an established organization with substantive experience of managing donor funds from multiple sources.

CND was nominated for accreditation to GCF by the NDA in November 2016. Since then, it has completed the OAS Sections 4 and 5 concerning fiduciary management and has received a mission from PwC to elaborate the gap assessment in December 2017. CND has also participated in the GCF Structured Dialogue for Latin America and the Caribbean in March 2018 in Bogotá, Colombia.

PwC has delivered the final fiduciary management gap assessment and readiness action plan in June 2018, which states that CND needs to develop and evidence a number of formal policies or procedures. Some of these have since then been prepared by CND and are ready for the Stage 1 Review, but others, in particular concerning OAS Section 4 and 5, need to be developed in the next months. CND is currently undergoing a consultancy from PwC to develop the entity’s ESS and gender policies and the respective manuals. In its next mission (December 2018), PwC will deliver workshops on the GCF standards on gender issues and environmental and social safeguards, the new policies developed for CND and their implementation, of approximately 10 hours per subject.

Since CND has been nominated for accreditation to GCF, the NDA has been following up the accreditation process, including addressing CND doubts regarding GCF and participating in PwC missions.

CND has involved its permanent staff in the accreditation process but has also hired with own resources an extra consultant to do its follow up since March 2018 and there is still several months-work envisaged before completing it.

The individual consultant to be hired with GCF resources would help to coordinate the development of fiduciary policies and procedures identified in the gap assessment, and, in particular, to develop new, or expand existing, policies and procedures for GCF project management and grant awarding (OAS, Section 4 and 5), complete the OAS, and support CND to resolve new comments or additional information or documents requested by GCF after OAS submission. The consultant would also collaborate in internalizing in CND the ESS and gender policies and manuals provided by PwC support.

Building on the basis of the workshops delivered to CND by PwC, GCF resources will also allow for a longer-term and more-in-depth training to CND staff in environmental management and gender and equality policies (through higher education courses of 210-220 hours each), to strengthen the entity’s capacities. The purpose of the courses is to have referents in CND in each specialization, in particular for the future GCF projects pipeline.

CND will also develop a preliminary stakeholders’ engagement strategy and detection of opportunities for development of projects ideas to present to the GCF.

The NDA will keep on following up the CND accreditation process and will have a guidance and oversight role in this project.


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

1. Outcome 3.2. Accreditation of CND

Sub-Outcome 1.1: Readiness Action Plan implemented

1

CND is an

established

organization

and in many

areas has

well-

developed

procedures

and policies

in place.

It also has

substantive

experience

of managing

donor funds

from multiple

sources and

adhering to

the fiduciary

standards

expected of

these

donors.

2

CND

complies

with GCF

standards on

fiduciary

management

policies and

procedures,

ESS and

gender

perspective.

CND’s

application

for

accreditation

submitted to

the GCF and

approved

Activity 1.1.1: Address the identified gaps to comply with the fiduciary standards (it includes the development of new policies and procedures). Deliverable 1.1.1: Readiness Action Plan advance report, with fiduciary policies and procedures generated (e.g. Anti-money laundering and anti-terrorist financing policy, Monitoring and evaluation policy, Risk Management policy, etc.)

X

Activity 1.1.2: For the use of GCF funds, development of procedures and formal grant award mechanism. Deliverable 1.1.2: Procedures for the use of GCF funds on project evaluation and implementation

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”).


However,

several key

actions have

been

identified

through the

accreditation

process,

required to

meet the

GCF

Standards in

policies and

procedures.

Activity 1.1.3 Follow up the site visit of PWC for the development of the ESS and gender policies, and the respective manuals Deliverable 1.1.3 Site visit report and supervision of PWC deliverables.

X

Activity 1.1.4: Prepare the documents needed to comply with the ESS and Gender standards (it includes documents collection and its analysis, and implementation of ESS and Gender policies and procedures), and elaborate CND track record. Deliverable 1.1.4: List of inputs for the ESS and Gender Policy and Procedures, and CND track record report.

X

Activity 1.1.5: Analyze the OAS uploaded documents and select the sections to be translated to English. Deliverable 1.1.5: List of OAS documents to be translated to English

X


Activity 1.1.6: Complete the OAS with new documents generated, and summarize them in the system. Deliverable 1.1.6: OAS completed and submitted

X

Activity 1.1.7: Follow-up of GCF comments on the OAS and preparation of new documents that GCF requires in the accreditation process. Deliverable 1.1.7: List of documents submitted to GCF.

X

Activity 1.1.8 Participation in the Structured Dialogue and other GCF events Deliverable 1.1.8: CND participates in 2019 Structured Dialogue and other GCF events.

X

Sub-Outcome 1.2: Staff trained in environmental management

Activity 1.2.1: Training in environmental management Deliverable 1.2.1: 2 staff specialized in environmental management

X

Sub-Outcome 1.3: Staff trained in gender and equality policies

Activity 1.3.1: Training in gender and equality polices Deliverable 1.3.1: 2 staff with higher degree in gender and equality policies.

X


Sub-Outcome 1.4: CND certified in gender and equality policies

Activity 1.4.1: Advice and certification in the national Quality with Equity Model Deliverable 1.4.1: CND certified in the national Quality with Equity Model

X

Sub-Outcome 1.5: Opportunities detected for development of project ideas to present to GCF.

Activity 1.5.1: Development of a preliminar stakeholders’ engagement strategy and detection of opportunities for development of projects ideas to present to the GCF Deliverable 1.5.1: Report of opportunities detected and its alignment with the NDC and the Country Program; map of actors.

X


4. ADDITIONAL INFORMATION (ONLY FOR ADAPTATION PLANNING SUPPORT)

Not applicable.


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.

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 [Clause xx] “Disbursement of Grants” and [Clause xx] “Use of Grant Proceeds by the Delivery Partner” of the Framework Readiness and Preparatory Support Grant Agreement entered into between GCF and [Delivery partner name] on Click or tap to enter a date. The Delivery Partner is entitled to submit [number] request(s) for disbursement each year.

☒ Readiness Proposal that requires a bilateral Grant Agreement to be signed with the GCF (please add

more disbursement as needed)

The first disbursement amounting USD 30,000 will be transferred upon approval of the readiness

request and effectiveness of the Grant Agreement;

The second disbursement amounting USD 40,000 will be transferred upon submission of an interim

progress report [and audited financial report]4, in form and substance acceptable to the Fund,

[including an audited expenditure statement]; and

The third disbursement amounting USD 21,810 will be made upon submission of a completion report

and financial report, in form and substance acceptable to the Fund, including an audited expenditure

statement.

Disbursement table:

Month 0 Month 6 Month 12 Total

Disbursements in USD 30,000 40,000 21,810 91,810

4 For second disbursement, audited financial report and audited expenditure statement are only required for readiness and preparatory support

proposals expected to last over 12 months.




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.

CND will manage the grant funds, and the procurement. Also, CND will be responsible for the implementation

of activities, project oversight monitoring and reporting. The NDA will have a guidance and oversight role in

this project.

CND has submitted its Financial Management Capacity Assessment (FMCA) in year 2017.

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

No risks identified.

5.1 Budget Plan

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

Consultant - Individual - Local

[Institutional strengthening and project

management]

Month 15 2,440.00 36,600.00 14,640.00 14,640.00 7,320.00 (A)

Travel - International People 2 2,500.00 5,000.00 5,000.00 (B)

1.2 Staff trained in environmental management Workshop/Training Workshop 2 3,000.00 6,000.00 6,000.00 6,000.00 (C)

1.3 Staff trained in gender and equality policies Workshop/Training Workshop 2 3,000.00 6,000.00 6,000.00 6,000.00 (D)1.4: CND certified in gender and equality

policies

Consultant - Individual - Local [Gender

and equality policies]Assessment 1 8,000.00 8,000.00 8,000.00 8,000.00 (E)


[Institutional strengthening and project

management]

Month 3 2,440.00 7,320.00 7,320.00 (F)


[Environment policies and projects]Day 17 300.00 5,100.00 2,550.00 2,550.00 (G)

Travel - Local Per Diem 7 196.57 1,376.00 688.00 688.00 (H)

75,396.00 25,640.00 31,878.00 17,878.00 - - -

Consultant - Individual - Local Day 18 200.00 3,600.00 (I)

Audit Fee Lumpsum 1.5 1,500.00 2,250.00 (J)-

-

-

34% 42% 24%

31,221.93$ 38,817.96$ 21,770.11$

Total (per budget category) 30500 33500 27,810.00$

-

2,250.00

-

60,620.00

- Project Management Cost (PMC) 7.8% requested

- Contingency requested

-

5,000.00

1,376.00

12,000.00

-

-

-

-

-

81,246.00

Disbursement Plan (Total)

34% 42% 24% 100%

31,222 38,818 21,770 91,810

Proposal: 30,000 40,000 21,810 91,810

0

FOR GREEN CLIMATE FUND’S SECRETARIAT USE ONLY

FOR GREEN CLIMATE FUND’S SECRETARIAT USE ONLY

85,015.80

6,793.26

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

3,769.80

75,396.00

91,810.00$

5%

Total Outcome Budget

5,850.00

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

Outcomes

Disbursement Plan

Budget Categorieschoose from the drop-down list

Unit 6m 24m

Detailed Budget (in US$)

18m 36mTotal Budget

(per budget category)

Total Budget(per outcome) 12m 30mUnit Cost# of Unit

Total Budget(per sub-outcome)

Breakdown (per budget category)

Workshop/Training

0

0

0

Consultant - Individual - International


Professional Services – Companies/Firm

IT Equipment

Office Supplies

Travel - International

Travel – Local


Audit Fee

0

13,796.00 13,796.00 1.5 Opportunities detected for development of

project ideas to present to GCF.

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

Project Management Cost (PMC)

Up to 7.5% of Total Activity Budget


Audio Visual & Printing

1. Outcome 3.2. Accreditation

of CND

1.1 Readiness Action Plan implemented

61,600.00

41,600.00

Percentage of

PMC requested:

7.8%

5,850.00

Budget Note Detailed Description

AOne national individual consultant (projects management and institutional capacities specialist) for 15 months

(months 1 to 15) for sub outcome 1.1.

BGCF Structured Dialogue for Latin America and the Caribbean travel expenses (flight

tickets+accomodation+allowances) for two CND officials and partial expenses in other GCF events.

CNon-Consulting Services. High education course (of 210-220 hours) in environmental management for two CND

officials.

DNon-Consulting Services. High education course (of 210-220 hours) in gender and equality policies for two CND

officials.

EOne national individual consultant (gender and equality policies specialist) to deliver a product (assessment) for

sub outcome 1.4

FOne national individual consultant (projects management and institutional capacities specialist) for 3 months

(months 15 to 18) for sub outcome 1.5

GOne national individual consultant (environmental specialist) to provide assessment during 17 days (months 13 to

15) for sub outcome 1.5

HNational travel expenses (transportation+accomodation+allowances) for field visits to stakeholders and

opportunities screening for sub outcome 1.5

I One national individual consultant for management support (18 days).

J Two external audits (1 after 12 months and 1 upon project completion).

Budget Categories

Audio Visual & Printing

Audit Fee

Consultant - Individual - International


Professional Services – Companies/Firm

IT Equipment

Office Supplies

Travel - International

Travel – Local

Workshop/Training

Indicate additional

budget categories

5.2 Procurement Plan

Item Estimated Cost (US$)

Travel - International 5,000.00

Workshop/Training 6,000.00

Workshop/Training 6,000.00

Travel - Local 1,376.00

$ 18,376.00

Local Consultant 43,920.00




Audit Fee 2,250.00

$ 62,870.00

$8,000.00 1-Jul-2019 1-Jun-2019

Environment policies and projects

Gender and equality policies Competitive

Direct Selection. CND has hired with its own

resources a consultant since march 2018, for

following up the accreditation process. This

will be an extension of this contract and an

expansion of these TORs.

$36,600.00 1-Jan-2019 20-Dec-2018

Training in ESS management Price contest 1-Mar-2019 1-Feb-2019

Preliminar stakeholders engagement and

detection of opportunities for development

of projects ideas to present to the GCF

Direct Selection. Several low budget

expenses.1-Jul-2019 1-Jun-2019

1-Feb-2019

Goods and Non-Consulting Services

Item Description Procurement Method

Thresholds

(Min-Max monetary value for which indicated

procurement method must be used)

Estimated Start Date Projected Contracting Date

Participation in the Structured Dialogue

and other GCF eventsPrice contest 1-Jun-2019 1-Mar-2019

Competitive $5,100.00 1-Jul-2019 1-Jun-2019

Sub-Total (US$)

Sub-Total (US$)

Consultancy Services

Institutional strengthening and project

management

For goods, services, and consultancies to be procured, please list the items, descriptions in relation to the activities in Section 3, estimated cost, procurement method, relevant threshold, and the estimated dates. Please include the procurement plan for at least the first

tranche of disbursement requested below and provide a full procurement plan for the entire duration of the implementation period if available at this stage.

Administrative support Competitive $3,600.00 1-Jan-2019 1-Jan-2019

Audit services

Direct Selection. CND has selected an audit

firm for the next three years. This will be an

expansion of these TORs.

$2,250.00 1-Jan-2019 1-Jan-2019

Training in gender and equality

policies.Price contest 1-Mar-2019

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