5 June 2017 | Entity Support...473 Steve Biko, Arcadia, Pretoria, 0083 South Africa Alternate:...

withSouthAfricanNationalBiodiversityInstitute(SANBI)fortheRepublic

ofSouthAfrica5June2017|EntitySupport

READINESS AND PREPARATORY SUPPORT

PROPOSAL TEMPLATE

PAGE 1 OF 21 | ver. 19 August 2016

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

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, in particular to the situation of vulnerable populations, including women and men. Please be specific about proposed actions to address these issues. Consult page 4 of the readiness guidebook for more information.

http://www.greenclimate.fund/documents/20182/104167/Readiness_and_Preparatory_Support_Guidebook.pdf/9eea580f-a109-4d90-b281-c54695114772

mailto:[email protected]



PROPOSAL TEMPLATE


SECTION 1: SUMMARY

1. Country submitting the proposal

Country name: South Africa

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

Department of Environmental Affairs (DEA)

Name of official: Nosipho Ngcaba

Position: Director General

Email: [email protected]

Full Office address:

Environment House,

473 Steve Biko,

Arcadia,

Pretoria, 0083

South Africa

Alternate: Zaheer Fakir

Position: Chief Policy Advisor: International Relations and Governance

Telephone: +27 12 399 9235 Email: [email protected]

2. Date of initial submission

14/03/2017

3. Last date of resubmission (if applicable)

n/a

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

contact information if entity is different from NDA/focal point)

National Designated Authority Delivery partner Accredited entity

Name of institution: South African National Biodiversity Institute (SANBI) Name of official: Dr Mandy Barnett Position: Director: Climate Change

Adaptation

Telephone: +27 21 799 8875 Email: [email protected]

Full Office address:

SANBI Private Bag X7 Claremont 7735 South Africa Physical Address: Kirstenbosch National Botanical Gardens Rhodes Drive, Newlands, Cape Town

5. Title of the Readiness and Preparatory Support Proposal

Building SANBI’s capacity to develop GCF funding proposals and manage and monitor GCF projects in South Africa

6. Brief summary of the request (200 words)

SANBI is seeking readiness support from the GCF to: i) strengthen SANBI’s financial man-agement and project management systems, noting the need to improve systems to deal with the anticipated GCF programme of work, and to manage compliance with GCF poli-cies and the monitoring and reporting requirements; and ii) set up national processes that support the development of a transformative, rolling project pipeline e.g. piloting a national call for proposals based on SANBI’s institutional mandate in support of national priorities. The readiness funding will support capacity building and stakeholder engage-ment processes at the national and sub-national government level, including with com-




PROPOSAL TEMPLATE


munity stakeholders and the private sector. SANBI aims to identify through these na-tional processes at least two opportunities which can be progressed to Concept Notes and finally, Funding Proposal stage. These two Concept Notes are in addition to an En-hanced Direct Access (EDA) Concept Note, which is in the process of being developed into a Funding Proposal with domestic resources. SANBI is proposing an innovative approach to its GCF pipeline and project development process. This process will ensure alignment with national, provincial and local priorities, the use of best available science as well as local and indigenous knowledge, thorough stakeholder engagement and compliance with GCF safeguards and other policies. It will also ensure that GCF projects are transformative in their objectives and in the mobilisation of local actors who, without substantial engagement and support, would not engage in the GCF programme of work. Without a substantial increase in local involvement in climate change adaptation, and in particular the involvement of local government, South Africa will not be able to address the challenges that are experienced at the local level. In adopting this innovative approach, SANBI will contribute substantially to the national aims of a just transition to a low carbon economy and society.

7. Total requested amount and currency

USD 380,000

8. Anticipated duration 01/06/2017 – 30/05/2019 (24 months)

9. Is the country receiving other Readiness and Preparatory Support related to the GCF?

Yes No

If yes, please attach the relevant scope of work, and briefly (100 words) describe the scope of support provided by other institutions

Not applicable


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2016

SECTION 2: COUNTRY READINESS LOGICAL FRAMEWORK Please complete the table below, which enables a country to assess its readiness for the GCF and set targets for strengthening its readiness, including proposed outputs and activities to improve the country’s readiness. For further guidance on completing the table, please refer to the guidebook “Accessing the GCF Readiness and Preparatory Support Programme”.

OUTCOMES1 BASELINE TARGET ACTIVITIES

(including key outputs or deliverables where applicable)

1. Country capacity strengthened 0-8 0-8

1.1 NDA/focal point lead effective coordination mechanism

0 1 2 0 1 2

1.2 No objection procedure established and implemented

0 1 2 0 1 2

1.3 Bilateral agreements between the country and the GCF executed

0 1 2 0 1 2

1.4 Monitoring, oversight and streamlining of climate finance

0 1 2 0 1 2

2. Stakeholders engaged in consultative processes

0-8 0-8

2.1 Stakeholders engaged in consultative processes

0 1 2 0 1 2

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

0 1 2 0 1 2

2.3 Stakeholder consultations conducted with equal representation of women

0 1 2 0 1 2

2.4 Annual participatory review of GCF portfolio in the country organized

0 1 2 0 1 2

2 Direct access realized 0-8 0-8

3.1 Candidate entities identified and nominated for accreditation

0 1 2 0 1 2

3.2 Direct access entity accredited 0 1 2 0 1 2

1 Based on decisions: B.08/10, annexes XII, XIII & XIV; B.08/11; B.11/10, annex I; B.12/20, annex I



2016

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

0 1 2 0 1 2

3.4 Funding proposals through enhanced direct access modality approved

0 1 2 0 1 2

3.5 Monitoring, oversight and streamlining of climate finance* *Note: this Outcome has copied from Outcome 1.4 and added here, to build AE capacity to managing GCF projects

0 1 2 0 1 2 3.5.1 Develop a system to manage and monitor the SANBI’s GCF portfolio.

• Assess SANBI’s current project and financial management systems to establish where knowledge, capacity, processes, systems and procedures are required for managing SANBI’s GCF portfolio; de-velop financial management and project management processes and tools for the SANBI’s GCF projects (including an innovative web-enabled information capture and reporting system for man-aging GCF projects, including against the GCF’s Environmental and Social Safeguards); and train rel-evant SANBI staff members on the application of these procedures and tools.

• Formulate an organogram that will serve these needs and write job descriptions for staff who will be needed to augment the current team; and initiate recruitment processes (future salaries will be paid from AE fees and not Readiness funds).

• Build SANBI’s capacity to understand and comply with the GCF’s Gender Policy, which will include developing of an over-arching gender action plan for SANBI’s GCF projects, and training relevant SANBI staff members on the application of this plan.

Deliverable: A set of processes and tools and the necessary capacity to effectively manage SANBI’s GCF portfolio, gender action plan and implementation reports

3 Access to finance 0-8 0-8

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

0 1 2 0 1 2

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

0 1 2 0 1 2 4.2.1 Launch a national call for project ideas based on SANBI’s GCF Investment Framework and identify ideas for consolidation into GCF Concept Notes.

In this call, it will be made clear that it is SANBI’s intention to build GCF projects that are transformative, have high impact and paradigm shift potential, are sustainable and address the vulnerability needs to the target population. In order to achieve this, SANBI may suggest that project ideas are grouped into single concepts. In this regard, applicants will need to be willing to work in a collaborative and cross-sectoral way.



2016

Note: this call is separate from the call for projects under SANBI’s Small Grants Facility Enhanced Direct Access programme, which is currently under development. The call for small grant projects will happen as part of implementation of the EDA project, once this is approved by the GCF Board.

• Finalise SANBI’s GCF investment niche via a process that is already underway. This niche will es-tablish SANBI as a GCF Accredited Entity that will focus on climate change adaptation in the con-text of biodiversity and natural resource management (thus expanding on SANBI’s mandate) and on scaling up SANBI’s Adaptation Fund project investments, and will form the basis of a national call for ideas.

• Develop a concise template document that applicants will use when writing up their project ideas.

• Develop prioritization criteria, based on SANBI’s GCF Vision, Strategy and Investment Framework, which will be used to assess the project ideas. (SANBI is an agency of the National Designated Authority i.e. it reports to the Department of Environmental Affairs who manages the climate and sustainable development portfolio of the country and is custodian of the Climate Change Act. SANBI’s priority setting will thus be aligned with the national Climate Change Act.)

• Establish a technical review panel with clear terms of reference, who will assist with the idea review and subsequent development process.

• Launch a call for national circulation that invites the submission of project ideas that align with SANBI’s GCF Investment Framework. This call will include links to the Framework, as well as to a template into which the project ideas should be written.

• Advertise the call nationally via newspapers, websites and e-mail circulation.

• Organise and hold, collaboratively with the National Designated Authority, Provincial sectoral and private sector workshops to sensitise stakeholders to the opportunity to submit project ideas against SANBI’s GCF Investment Framework – this will include building national stakeholder capac-ity for engagement with the GCF project identification and development processes. Equal repre-sentation of women at all stakeholder consultation will be promoted and supported.

4.2.2 Assess the submitted project ideas and shortlist for further development

• Assess, review and prioritise project ideas against the developed criteria, and make recommendations on those that should be further developed (the assessment will be undertaken by SANBI’s Climate Finance Oversight Committee with inputs from the Climate Finance Review Panel).

• Identify opportunities for integrating ideas that are complementary, and scaling these up so that projects benefits are at scale.



2016

• Confirm with the National Designated Authority (Department of Environmental Affairs Climate Change Adaptation Team) and the Climate Finance Coordination Committee that the recommendations of prioritised project ideas align with national climate change priorities and actions (as outlined in the national GCF Investment Framework, the National Adaptation Strategy, the Long Term Adaptation Scenarios (LTAS), and other relevant policies).

• Notify the successful applicants of the decision to develop their ideas into Concept Notes.

4.2.3 Support stakeholders to develop two GCF Concept Notes that build on the shortlisted project ideas.

• Convene workshops with proponents of selected ideas and build theories of change for anticipated projects.

• Undertake desktop research and obtain relevant technical inputs (noting that these will be limited to Concept Note and not Funding Proposal development).

• Apply GCF safeguards and policies to ensure that activities with unacceptable risks are eliminated.

• Build local capacity and convene site level workshops to ensure that local stakeholders are ade-quately consulted – this will include innovative methods of consultation such as focus groups and Skype engagements, as well as national workshops. Equal representation of women at all stake-holder consultation will be promoted and supported.

• Convene project discussions between the Executing Entities and relevant local and national stake-holders and stakeholder groups, to strengthen the development of the Concept Notes.

• Explore opportunities to take project ideas to scale, to increase the impact potential, paradigm shift potential and sustainability of the interventions, whilst at all times ensuring they address the vulnerability needs of the target population.

• Undertake institutional due diligence assessments of the Executing Entities against SANBI and the GCF’s fiduciary standards and the relevant safeguards, to ensure that they have the required ca-pacity and systems to execute the projects.

• Present integrated Concept Notes to relevant local government and other forums to obtain high level institutional support.

• Seek guidance on how to complete GCF Concept Notes (and Funding Proposals) – this will include conversations (via Skype, for example) with AEs who have developed and submitted Concept Notes and Funding Proposals, as well as interactions with GCF staff.

• Write the Concept Notes into the GCF template, conduct local review processes and obtain institu-tional approvals for Concept Note submission.

• Submit the Concept Note and make amendments based on GCF comments as required.



2016

Deliverable: Two Concept Notes developed

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

0 1 2 0 1 2

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

0 1 2 0 1 2 4.4.1 Develop two GCF Funding Proposals based on the two Concept Notes.

• Elaborate Concept Notes and develop these into GCF Funding Proposals in the GCF template, in collaboration with the applicant Executing Entities and stakeholder groups, ensuring adequate stakeholder input.

• Convene stakeholder workshops and meetings.

• Apply for PPF support if appropriate.

• Submit the Funding Proposals and make amendments based on GCF comments, as required. Deliverable: Two Funding Proposals developed and submitted to the GCF.

5 Private sector mobilization 0-8 0-8

5.1 Private sector engaged in country consultative processes

0 1 2 0 1 2 5.1.1 Identify relevant private sector role players and engage them in project development processes

• Establish a SANBI-Private Sector reference group.

• Commission a study that examines the potential role of the private sector in SANBI’s GCF project development process. Particular focus will be given to private sector actors who have natural re-source management footprints (for example agriculture, mining, fisheries and water sectors) and the financial instruments that could enable climate resilient interventions. Support for local Small, Medium and Micro Enterprises (SMMEs) that support climate change adaptation will also be in-vestigated.

• Convene stakeholder workshops and sessions with the private sector to present and verify the findings of the report.

• Work with private sector actors to collaboratively develop a programme of work for private sector involvement in SANBI GCF projects.

• Gender considerations will be included in all private sector activities and equal representation of women at all stakeholder consultation will be promoted and supported.

Note: private sector consultations will focus within SANBI’s nice GCF investment areas (as defined in the Investment Framework – see Activity 4.2.1), and will complement the broader consultations under-taken by the NDA, and by other AEs in South Africa, working in their niche areas. The reference group will be responsible for: developing the scope of work for the private sector study; assisting SANBI to oversee the consultants; alerting SANBI to any ongoing work that could be aligned with or built on; and assisting SANBI to target and unlock the engagement of priority actors. Representatives of the SANBI-



2016

Private Sector reference group will be identified through interaction with the National Business Initia-tive (NBI), DEA and the Endangered Wildlife Trust (EWT) National Biodiversity and Business Network (NBBN). Deliverable: Private sector engagement is part of the SANBI project development process, and pro-gramme of work developed for private sector involvement in projects.

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

0 1 2 0 1 2

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

0 1 2 0 1 2

5.4 Funding proposals under the Private Sector Facility programmes (small- and medium-sized enterprises and mobilizing funds at scale) submitted and approved

0 1 2 0 1 2

TOTAL 0 4


PROPOSAL TEMPLATE


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 (maximum 500 words)

SANBI’s Entity Work Programme that will be enabled through this Readiness grant will unlock a programme of work that will contribute to achieving South Africa’s INDCs, South Africa’s National Adaptation Strategy (NAS) and the higher goals of the National Climate Change Response Policy. Furthermore, the activities will align with SANBI’s GCF Investment Framework and the Department of Environmental Affairs’ GCF Investment Framework (both under development), as well as the GCF’s Strategic Impact Areas. As part of its efforts to mobilise GCF proposals that are paradigm shifting and transformative, and that unlock new actors and capacity from across South Africa, SANBI is proposing an innovative approach to its GCF pipeline and project development process. This process will ensure alignment with national, provincial and local priorities, the use of best available science as well as local and indigenous knowledge, thorough stakeholder engagement and compliance with GCF safeguards and other policies. It will also ensure that GCF projects are transformative in their project objectives and in the mobilisation of local actors who, without substantial engagement and support, would not engage in the GCF programme of work. Without a substantial increase in local involvement in climate change adaptation, and in particular the involvement of local government, South Africa will not be able to address the challenges that are experienced at the local level. In adopting this innovative approach, SANBI will contribute substantially to the national aims of a just transition to a low carbon economy and society. Institutional strengthening for GCF project management SANBI’s anticipated GCF portfolio represents a significant increase in the size of climate change adaptation projects managed and monitored by SANBI. A need therefore exists to ensure that SANBI’s financial and project management systems, and monitoring and evaluation processes, are robust enough to accommodate the GCF funds. Readiness support is thus requested to develop a set of processes and tools and build the necessary capacity to effectively manage SANBI’s GCF portfolio. This will ensure that the GCF’s operational policies (including the Environmental and Social Safeguards and Gender Policy) are fully integrated into the programme of work and applied effectively. Innovative means of capturing lessons and success stories will also be developed, which will enable the flow of information from the project sites into SANBI’s oversight activities from where they can be shared nationally. Pipeline, concept note and funding proposal development SANBI plans to develop a rolling pipeline of projects based on a national call for project ideas that will be issued against SANBI’s GCF Investment Framework. (SANBI’s GCF Vision, Strategy and Investment Framework are currently in development, and will be finalised with input from SANBI’s Climate Change Oversight Committee and Exco). This call will be supported with gender-sensitive national stakeholder consultations and targeted capacity building processes that will enable stakeholders to engage meaningfully in the GCF project development processes. A dedicated programme of work will aim to unlock private sector participation in this process. Once received and reviewed, project ideas will be grouped into working concepts, and project proponents will be invited to engage in a series of meetings and workshops that explore how ideas can be merged, integrated and scaled to optimally achieve South Africa’s climate change adaptation ambitions. Following the collaborative building of Theories of Change, expert technical inputs, the assessment of the emerging concepts against GCF safeguards and other policies, and thorough local consultation, Concept Notes will be developed in the required GCF format for submission to the GCF Board. The Concept Notes will detail activities and objectives that will result in transformative adaptation benefits at scale, and will provide the opportunity for a paradigm shift towards climate-resilient sustainable development in the relevant sectors.


PROPOSAL TEMPLATE


In the period for which readiness support is requested, SANBI intends to submit at least two fully developed Funding Proposals, in the order of USD 50 million each, to the GCF. (This ambition is in addition to SANBI’s EDA project which is already at an advanced stage of development, and for which Readiness funds are not being requested at this time.) SANBI will support the Executing Entities and partners of the selected project ideas to develop these two Concept Notes into two Funding Proposals for submission to the GCF. These processes will require further stakeholder engagement, as well as a deepening of ideas and possible further technical inputs. In addition to the requested Readiness support for this activity, PPF support may be requested at this time. Governance All of the above will be governed by a high level internal Climate Change Oversight Committee and SANBI’s National Steering Committee that was established to govern its work as National Implementing Entity to the Adaptation Fund. SANBI is in the process of strengthening its governance structures for its expanded GCF programme of work. This will included strengthening SANBI’s senior management and Board oversight of the GCF programme of work, establishing a dedicated panel of experts to provide technical support to SANBI and modifying the Terms of Reference of the National Steering Committee, to a National Climate Finance Coordination Committee whose primary function will be to ensure national alignment and coordination between spheres of government and government sector departments.


PROPOSAL TEMPLATE


SECTION 4: BUDGET, PROCUREMENT, IMPLEMENTATION AND DISBURSEMENT

4.1. Budget Plan

Please provide a breakdown of cost estimates and implementation schedule analysed according to the activities suggested in Section 2.

OUTCOMES

(same as in section 2)

ACTIVITIES

(same as in section 2)

TOTAL COST

(per activity)

USD

COST CATEGORIES

EXPENDITURE AND IMPLEMENTATION SCHEDULE

(add columns if >24 months)

Consultants Travel Workshops/

Trainings Others 6m 12m 18m 24m

3.5 Monitoring, oversight and streamlining of climate finance

3.5.1 Develop a system to manage and monitor the SANBI’s GCF portfolio

• Assess SANBI’s current project and finan-cial management systems; develop pro-cesses and tools; and train relevant SANBI staff members

27,953 27,953 0 0 0 27,953 0 0 0

• Formulate an organogram; write job de-scriptions; and initiate recruitment pro-cesses

17,091 17,091 0 0 0 0 17,091 0 0

• Build SANBI’s capacity to understand and comply with the GCF’s Gender Policy

5,317 5,317 0 0 0 0 5,317 0 0

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

4.2.1 Launch a national call for project ideas based on SANBI’s GCF Investment Framework and identify ideas for consolidation into GCF Concept Notes

• Finalise SANBI’s GCF investment niche via a process that is already underway

0 0 0 0 0 0 0 0 0

• Develop project idea template document 3,038 3,038 0 0 0 3,038 0 0 0


PROPOSAL TEMPLATE


• Develop prioritization criteria 1,519 1,519 0 0 0 1,519 0 0 0

• Establish a technical review panel with clear terms of reference

0 0 0 0 0 0 0 0 0

• Launch a call for national circulation that invites the submission of project ideas that align with SANBI’s GCF Investment Frame-work

0 0 0 0 0 0 0 0 0

• Advertise the call nationally 15,192 0 0 0 15,192 15,192 0 0 0

• Organise and hold Provincial sectoral and private sector workshops

37,980 0 0 37,980 0 37,980 0 0 0

4.2.2 Assess the submitted project ideas and shortlist for further development

• Assess, review and prioritise project ideas, and make recommendations on those that should be further developed

6,715 5,697 1,018 0 0 0 6,715 0 0

• Identify opportunities for integrating ideas 12,154 6,077 0 6,077 0 0 12,154 0 0

• Confirm with the NDA and CFCC that the recommendations align with national cli-mate change priorities and actions

1,139 0 1,139 0 0 0 1,139 0 0

• Notify the successful applicants 0 0 0 0 0 0 0 0 0

4.2.3 Support stakeholders to develop two GCF Concept Notes that build on the shortlisted project ideas

• Convene workshops with proponents of se-lected ideas

33,422 3,038 0 30,384 0 0 0 33,422 0

• Undertake desktop research and obtain relevant technical inputs

7,596 7,596 0 0 0 0 5,317 2,279 0

• Apply GCF safeguards and policies to en-sure that activities with unacceptable risks are eliminated.

3,798 3,798 0 0 0 0 1,899 1,899 0


PROPOSAL TEMPLATE


• Build local capacity and convene site level workshops

37,524 0 0 37,524 0 0 18,534 18,990 0

• Convene project discussions between the Executing Entities and relevant local and national stakeholders and stakeholder groups

5,317 3,798 1,519 0 0 0 5,317 0 0

• Explore opportunities to take project ideas to scale, to increase the impact potential, paradigm shift potential and sustainability of the interventions

3,798 3,798 0 0 0 0 3,798 0 0

• Undertake institutional due diligence as-sessments of the Executing Entities against SANBI and the GCF’s standards and safe-guards

3,798 3,798 0 0 0 0 0 3,798 0

• Present integrated Concept Notes to rele-vant local government and other forums to obtain high level institutional support.

11,014 2,279 1,139 7,596 0 0 0 11,014 0

• Seek guidance on how to complete GCF Concept Notes (and Funding Proposals) – conversations with AEs and interactions with GCF staff.

0 0 0 0 0 0 0 0 0

• Write the Concept Notes into the GCF tem-plate, conduct local review processes and obtain institutional approvals

3,798 3,798 0 0 0 0 0 3,798 0

• Submit the Concept Note and make amendments based on GCF comments as required.

0 0 0 0 0 0 0 0 0

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

4.4.1 Develop two GCF Funding Proposals based on the two approved Concept Notes

• Elaborate approved Concept Notes and de-velop these into GCF Funding Proposals

31,449 31,449 0 0 0 0 0 0 31,449

• Convene stakeholder workshops and meet-ings

18,990 2,279 7,596 9,115 0 0 0 0 18,990

• Apply for PPF support if appropriate 1,139 1,139 0 0 0 0 0 0 1,139


PROPOSAL TEMPLATE


• Submit the Funding Proposals and make amendments based on GCF comments, as required

0 0 0 0 0 0 0 0 0

5.1 Private sector engaged in country consultative processes

5.1.1 Identify relevant private sector role play-ers and engage them in project development processes

• Establish a SANBI-Private Sector reference group

5,317 760 1,519 0 3,038 0 0 5,317 0

• Commission a study that examines the po-tential role of the private sector in SANBI’s GCF project development process

9,115 9,115 0 0 0 0 0 9,115 0

• Convene stakeholder workshops and ses-sions with the private sector

11,394 0 0 11,394 0 0 0 11,394 0

• Work with private sector actors to collabo-ratively develop a programme of work for private sector involvement in SANBI GCF projects

4,558 4,558 0 0 0 0 0 4,558 0

Audit Undertake annual external audits of the GCF

Readiness funds provided to SANBI

9,875 9,875 0 0 0 0 4,937 0 4,937

CONTINGENCY (UP TO 5%) 16,000

DELIVERY PARTNER FEE (UP TO 10%)

34,000

TOTAL

380,000 157,770 13,931 140,069 18,230 85,682 82,219 105,584 56,515


PROPOSAL TEMPLATE


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 threshold, 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 (Min-Max monetary

value for which indicated procurement method must be used)

ESTIMATED START DATE

PROJECTED CONTRACTING

DATE

ESTIMATED FINISH DATE

Goods and Non-Consulting Services – see Note 1

4.2.1

Workshop costs associated with the national call for project ideas (approximately 7 x 1-day workshops for 110 people each)

37,980 Shopping

As per National Treasury’s cost containment directives – see Note 2

1 June 2017 15 June 2017 30 November 2017

4.2.1 Costs associated with national advertisement of the call for project ideas

15,192 Shopping


1 June 2017 15 June 2017 30 November 2017

4.2.2 Travel costs associated with engaging entities who have submitted project ideas (approximately 5 flights)

2,157 Shopping


15 November 2017

1 December 2017 31 May 2018

4.2.2

Workshop costs associated with engaging entities who have submitted project ideas (approximately 4 x 1-day workshops for 30 people each)

6,077 Shopping


15 November 2017


4.2.3

Travel costs associated with supporting stakeholders to develop two GCF Concept Notes (approximately 6 flights)

2,659 Shopping


15 November 2017

1 December 2017 30 November 2018

4.2.3 Workshop costs associated with supporting stakeholders to develop two GCF Concept Notes

75,504 Shopping As per National Treasury’s cost

15 November 2017

1 December 2017 30 November 2018


PROPOSAL TEMPLATE


(approximately 27 x 1-day workshops for 56 people each)

containment directives – see Note 2

4.4.1

Travel costs associated with supporting stakeholders to develop two GCF Funding Proposals (approximately 17 flights)

7,596 Shopping


15 November 2018


4.4.1

Travel costs associated with supporting stakeholders to develop two GCF Funding Proposals (approximately 6 x 1-day workshops for 30 people each)

9,115 Shopping


15 November 2018


5.5.1 Travel costs associated with identifying relevant private sector role players (approximately 3 flights )

1,519 Shopping


15 May 2018 1 June 2018 30 November 2018

5.5.1

Workshop costs associated with identifying relevant private sector role players (approximately 3 x 1-day workshops for 75 people each)

11,394 Shopping



5.5.1 Advertisement costs associated with establishing a SANBI-Private Sector reference group

3,038 Shopping



SUB-TOTAL (US $) 172,231

Consultancy Services – see Note 3

3.5.1 Institutional review firm 22,500 Open tender Up to R500,000 (approximately US $38,000)

1 June 2017 1 August 2017 30 November 2017

3.5.1 Systems development firm 22,500 Open tender Up to R500,000 15 November 2017

15 January 2018 31 May 2018

3.5.1 Safeguards compliance firm 4,950 Open tender Up to R500,000 15 November 2017

15 January 2018 31 May 2018

4.2.1 / 4.2.2 / 4.2.3 / 4.4.1

Programme Developer (individual) 22,500 Open tender Up to R500,000 1 June 2017 1 August 2017 31 May 2019

4.2.1 Stakeholder engagement firm 8,100 Open tender Up to R500,000 1 June 2017 1 August 2017 30 November 2017


PROPOSAL TEMPLATE


4.2.3 / 4.4.1 Project development firm 1 (Concept and Full Proposal)

24,300 Open tender Up to R500,000 15 November 2017

15 January 2018 31 May 2019

4.2.3 / 4.4.1 Project development firm 2 (Concept and Full Proposal)

24,300 Open tender Up to R500,000 15 November 2017

15 January 2018 31 May 2019

4.2.3 Due Diligence firm 3,600 Open tender Up to R500,000 1 April 2018 1 June 2018 30 November 2018

5.5.1 Private sector engagement firm 14,400 Open tender Up to R500,000 1 April 2018 1 June 2018 30 November 2018

N/A External audit firm 9,900 Open tender Up to R500,000 1 February 2018 1 April 2018 31 May 2019

SUB-TOTAL (US $) 157,050

TOTAL COST (US $) 329,281 * see Note 4 as to why this differs from Table 4.1.

Notes: 1 Travel and workshops/training (including venue, catering and printing of training material): These items will be procured through SANBI’s assigned travel agents and in

accordance with SANBI’s procurement policies. All flights will be local and economy class, and have been budgeted at an average cost of USD 450 per return flight. Workshops are budgeted at an average cost of USD 50 per person (inclusive of venue hire). The number of flights and workshops listed in Table 4.2 is indicative, and will be confirmed at the time the workshops are organised and based on stakeholder interest and nature of the workshop.

2 SANBI complies with the cost containment measures as set by National Treasury. These include threshold limits for inter alia air travel, vehicle hire, venue hire, accommodation and meals. For example, as relevant to this proposal: i) all flights must be on Economy Class, and at the discount rates that National Treasury has pre-negotiated for government employees travelling on official business; and ii) rates for dinner, bed and breakfast cannot exceed R1,400 per night. The relevant instructions i.e. “Treasury Instruction No 3 of 2016-2017 Cost Containment related to Travel and Subsistence” can be accessed through the following link: http://www.treasury.gov.za/legislation/pfma/TreasuryInstruction/AccountGeneral.aspx [accessed 8th May 2017].

3 Consultancy services will be competitively sourced as per SANBI’s procurement policies and processes. The Terms of Reference for each consultancy service will be developed in due course. The consultants will be local, and it is anticipated that contracts will be on a part-time basis. An average rate of US $ 450 per day has been used in the budget calculations.

4 The total for consultants in Table 4.1 differs slightly from the total in Table 4.2, as the budget was calculated in South African Rand (ZAR) and value for each consultancy service in Table 4.2 has been rounded to the nearest full day.


PROPOSAL TEMPLATE


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 activities outlined in Section 2 will be implemented over a 24-month period starting in May 2017 and ending in April 2019. It is proposed that disbursements are made to SANBI in two tranches:

• First disbursement (USD 195,000) covering activities for the 6-month and 12-month periods, upon signature of the contract.

• Second disbursement (USD 185,000) covering activities for the 18-month and 24-month periods, upon submission of a mid-term report covering the first 12 months of activities.

Note: the actual amount of anticipated expenditure in the first 12 months is USD 193,341. This figured has been amended so as to be a multiple of USD 5,000, as requested.

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.

Expenses related to Readiness activities will be incurred in South African Rand (ZAR). The budget has therefore been prepared in ZAR and converted to USD. At the time of writing this proposal, the USD: ZAR exchange rate is 1: 13.16. An assumption is that this exchange rate remains the same, or more favourable (i.e. more ZAR per USD). Any exchange rate gains will be used strengthen the implementation of the activities in this Readiness proposal. The SANBI Financial Manager will closely monitor the USD: ZAR exchange rate and communicate any implications to the SANBI Project Development team so that project management can be adaptive.


PROPOSAL TEMPLATE


SECTION 5: IMPLEMENTATION ARRANGEMENTS AND OTHER INFORMATION

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.

Funds will flow from the GCF to SANBI, depending on the status of SANBI’s AMA and compliance with its accreditation conditions. It is envisaged that the AMA will be signed and all conditions met by April 2017. Funds will flow from SANBI to service providers in a manner that is fully compliant with SANBI’s procurement and disbursement policies, as outlined in SANBI’s GCF accreditation application. The implementation of the GCF Readiness activities will be led by SANBI’s Climate Change Adaptation team, who anchor SANBI’s work as AE of the GCF and NIE of the AF. This team reports to a high level internal committee comprising SANBI executive management, and to a Climate Finance Coordination Committee that oversees SANBI’s work as NIE to the AF and whose scope of work is currently under review in anticipation of its role in support of SANBI’s GCF activities. All project programming will seek to engage meaningfully with South African stakeholders, noting that different groups of stakeholders will need to be engaged at the various stages of project development. Targeted capacity building will be essential to unlocking meaningful engagement and is a cornerstone of SANBI’s implementation plan.

This description is shown in diagram below, where green arrows represent the flow of funds, and black arrows the flow of information.

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


PROPOSAL TEMPLATE


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.

This submission of this Readiness proposal has been discussed at SANBI’s National Implementing Entity Steering Committee meeting (which currently oversees South Africa’s Adaptation Fund programme of work), and at SANBI’s Executive Committee meeting. It is noted that SANBI is already undertaking a number of activities in preparation for the GCF project work in South Africa. The activities listed below are on-going, and it is anticipated that they will be concluded before the Readiness funding is available. They are therefore excluded from this proposal.

• Setting up and strengthening governance systems for the GCF projects (including setting up a high level internal oversight committee within SANBI and strengthening the terms of reference of the National Steering Committee that was set up in 2012 to govern SANBI’s work at NIE to the Adaptation Fund).

• Ensuring alignment of the work with national investment priorities. SANBI is currently working closely with the NDA and others in DEA who are developing a national framework of investment for the GCF in South Africa and will ensure that the SANBI pipeline is entirely aligned with this.

• Developing an internal strategy for SANBI’s niche for the GCF in SA – this will draw on SANBI’s strengths as a Nat-ural Resource Management institute, and on our experience working with Climate Change Adaptation as the Na-tional Implementing Entity for the Adaptation Fund.

• The development of a full Funding Proposal for SANBI’s EDA project.

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