with the Ministry of Finance and National Planning for ... · • Other Sectors Climate Resilience:...

with the Ministry of Finance and National Planning

for Kingdom of Tonga

31 October 2019 | NDA Strengthening & Country Programming

Programme title: NDA Strengthening and Country Programming (Phase 2)

Country: Kingdom of Tonga

National designated authority: Ministry of Meteorology, Energy, Information, Disaster Management, Environment, Climate Change and Communications (MEIDECC)

Implementing Institution: Ministry of Finance and National Planning (MoFNP)

Date of first submission: 28 February 2019

Date of current submission/ version number

1 October 2019/V.4

Readiness and Preparatory Support Page 2 of 25

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-[Kingdom of Tonga]-[2019-10-01]”

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.

mailto:[email protected]



https://www.greenclimate.fund/countries



1. SUMMARY

Country submitting the proposal

Country name: Kingdom of Tonga

Name of institution representing NDA or Focal Point:

Ministry of Meteorology, Energy, Information, Disaster Management, Environment, Climate Change and Communications (MEIDECC)

Name of contact person: Mr. Paula Pouvalu Ma’u

Contact person’s position: Chief Executive Officer (CEO) MEIDECC

Telephone number: +676 28-170

Email: [email protected]

Full office address: MEIDECC O.G. Sanft Building, Taufa’ahau Road Nuku’alofa, Tonga

Additional email addresses that need to be copied on correspondences:

Ms. Lu’isa Tui’afitu-Malolo Director for Climate Change Email: [email protected]

Date of initial submission 28 February 2019

Last date of resubmission 30 August 2019 Version number V.4

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: Ministry of Finance and National Planning(MoFNP)

Name of official: Mrs. Balwyn Fa’otusia

Position: Chief Executive Officer (CEO)

Telephone number: +676 23-066

Email: [email protected] [email protected]

Full office address: Ministry of Finance and National Planning(MoFNP) St. George Building, Taufa’ahau Road, Nuku’alofa, Tonga

The NDA will implement the project in collaboration with the Delivery partner.

Title of the Readiness support proposal

NDA Strengthening and Country Programming (Phase 2)

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

Please include a brief description of the current status of needs in the country and the general readiness context (including non GCF initiatives); specific readiness challenge in the context of climate change; solution/outcome identified. Please also explain how GCF Readiness support activities will advance this solution in the context of climate change; how it will add value to national processes and how this change will be visible over time.

To continue the momentum from the first GCF Readiness support to Tonga in 2016, Tonga has successfully developed its Country Programme, NDA No-Objection Procedure, and other necessary elements. With these necessities in place, the country would be in a better position to pursue opportunities working more closely and collaboratively with GCF. Nonetheless, there are a few key challenges preventing the country from effectively accessing GCF resources. These include a) limited technical capacity of NDA for assessing potential GCF projects; b) un-prioritization of the national pipeline projects under the Tonga Country Programme; c) poor gender-responsive approach considered in climate finance programming d) to increase equal representation of all vulnerable groups and e) the need for private sector engagement in developing the sector concept notes and proposals.

The requested GCF Readiness support is aimed to deliver medium and long-term programmatic capacity building targeting the NDA and supporting staff within the Department of Climate Change (DCC) towards strengthened institutional capacity and coordination mechanisms to govern and coordinate climate action and finance in Tonga. It will help achieve the following expected outcomes in line with the recommended actions of the GCF Readiness Programme.

i. Country capacity for engagement with GCF ii. Country programming process iii. Direct access to climate finance iv. Climate finance accessed

Tonga has submitted two additional Readiness Preparatory Support proposals: “Assessment and Revision of the Outer Island Electrification Society (OISES)” and the Accreditation Gap Assessment support for the PricewaterhouseCoopers (PwC) to undertake gap assessments of the Ministry of Finance and National Planning (MoFNP) against GCF accreditation standards. These two proposals will be implemented to achieve the targets of Tonga NDC and JNAP 2. This sought readiness support will provide an opportunity to continue raising awareness, mobilizing, informing and engaging with key stakeholder groups around approaches to climate change issues and response efforts at all levels about the status of the NDC. The RP is also to enhance the capacity of the implementation of JNAP 2, which is fully consistent with the GCF eligibility criteria of strengthening country ownership and alignment with national priorities. Hence the Readiness support will contribute to achieving some of the targets for NDC and JNAP2. Beneficiaries of this Readiness project will include the Ministry of Finance and National Planning as the Delivery Partner, Department of Climate Change and NDA supporting staff, the Private Sector, NGOs, CSOs, vulnerable communities most impacted by climate change and vulnerable groups including women’s groups, youth and the disadvantaged.

Total requested amount and currency

USD500,000 Anticipated duration 24 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

If yes, please describe the scope of work and the scope of support provided or expected to be provided by the GCF and/or other institutions Tonga has received the following two GCF Readiness grants:

• TON-RS-001– US$300,000 implemented from February 2018 to October 2019: set to strengthening the NDA, developing of Strategic Frameworks for engagement with the GCF including the preparation of Country Programmes.

• TON-RS-002– US$200,000 implemented from April 2017 to August 2018: was for the development of an Energy Efficiency Master Plan for Tonga (TEEMP) by the Climate Technology Centre and Network (CTCN) and United Nations Environmental Programme (UNEP).


2. BACKGROUND The Kingdom of Tonga has high-level commitment to accessing climate financing for progressing its low-carbon emission and climate-resilient development goals. Existing work underway in the country drives not only the development but also the maintenance of institutional mechanisms and policies required for the effective implementation of adaptation and mitigation strategies under its Joint National Adaptation Plan on Climate Change and Disaster Risk Management (JNAP2: 2018 - 2028). In 2016, Tonga received its first funding from GCF for Readiness Support, which is now being rolled out by the Ministry of Finance and National Planning (MoFNP) under the guidance of the NDA. This support is expected to end by 06 October 2019 and is set to achieve the following:

• Development of the Tonga Country Programme (completed and endorsed in 2018); • Nomination of its NIE (MoFNP and Tonga Development Bank (TDB) as Accredited Entities toGCF); • Development of the NDA No-Objection Procedure (NObP) which was completed and endorsed in 2018; • Strengthened capacities of the NDA to consider funding proposals presented by Accredited Entities in the NObP

and aligned with national climate change priorities to increase equal representation of all vulnerablegroups. • Drafting and signing of the Privileges and Immunities Agreement between the Green Climate Fund and Tonga;

and last but not least a • Stock-take report of climate change priorities in Tonga (completed under the Tonga Country Programme in

alignment with JNAP2). In this context, the request made herein for additional readiness funds will allow continuing efforts to deepen the engagement of Tonga with the GCF. MoFNP has been selected as delivery partner, to facilitate the continuity of the processes, actions and team of experts, which have supported the NDA in a highly satisfactory manner. Tonga has submitted two additional Readiness Preparatory Support proposals: “Assessment and Revision of the Outer Island Solar Electrification Society (OISES)” and the Accreditation Gap Assessment Support for the PricewaterhouseCoopers (PwC) to undertake gap assessments of the Ministry of Finance and National Planning (MoFNP) against GCF accreditation standards. These two proposals will be implemented to achieve the targets of Tonga NDC and JNAP2.The NDC details Tonga’s commitment to reducing its greenhouse gas emissions and increasing investment in climate resilience. Tonga NDC makes an explicit call for a more cost effective national response and avoids the much bigger costs caused by climate inaction. The targets are as follows:

• 50% of electricity generation from renewable sources by 2020. In 2015renewable energy accounts for approximately 9% of total electricity generation, with confirmed and funded investments taking this to 13% in 2016.

• 70% of electricity generation from renewable sources by 2030. • Improve Energy efficiency through reduction of electricity line losses to 9 percent by 2020 (from a baseline of

18 percent in 2010). • To double the 2015 number of Marine Protected Areas by 2030. • Sector Emission Reduction Targets: Transport, Agriculture, Environment Friendly Waste Management and

Reforestation. • Other Sectors Climate Resilience: Public Infrastructures, foreshore protection, buildings and houses.

On the other hand, the newly developed Tonga Joint National Action Plan on Climate Change Adaptation & Disaster Risk Management (JNAP 2) 2018-2028 launched on 17 August 2018 serves the central role in guiding the government’s continuous efforts to build resilience to climate change and minimize disaster risks as well as sets the policy framework for the implementation of this GCF Readiness and Preparatory Support Program, and outlines Tonga’s climate finance priorities including Implementing Entity accreditation with global climate funds and coordinated and needs-driven programming. JNAP 1 and 2 guided the development of Tonga’s Country Programme, which ensured that all GCF intervention areas are directly in line with national direction and are seamlessly integrated into government planning and budgeting processes. It sets out six policy objectives and targets and an implementation strategy for the country to achieve its vision of a Resilient Tonga by 2035. JNAP2 is aligned with the Tonga Climate Change Policy and covers both climate change adaptation and disaster risk management. The six objectives are:

• Mainstreaming for a resilient Tonga • Implement a coordinated approach to research, monitoring and management of data and information • Resilience-building response capacity • Resilience-building actions • Finance • Regional and international cooperation

The OISES Readiness Support proposal is linked to the current Readiness proposal in that both have a focus on mobilizing the private sector to support low carbon and climate resilient development in Tonga, building the capacity of the private sector to engage with the GCF Private Sector Facility. However, the OISES RP will focus on engaging the


1https://spccfpstore1.blob.core.windows.net/digitallibrary-docs/files/5c/5c74730005d35eb4c6769dbbc541adc9.pdf?sv=2015-12-11&sr=b&sig=SWot6zsXnOFWdS%2FSUcxxpouRd8Ef9Umlq%2FjQsPavrn4%3D&se=2019-10-16T17%3A24%3A10Z&sp=r&rscc=public%2C%20maage%3D864000%2C%20maxstale%3D86400&rsct=application%2Fpdf&rscd=inline%3B%20filename%3D%22WEDGET_STRATEGIC_PLAN_OF_ACTION_2019_2025_Final.pdf%22

private sector in outer island off grid solar systems while the NDA Strengthening and Country Programming Phase II Proposal will focus more broadly on private sector engagement at the national level. Both Readiness Supports are expected to facilitate equitable opportunities for the involvement of men and women and vulnerable groups like youth, elderly, PLWD, etc.1. Other linkages will be strengthening NDA-OISES coordination mechanism, building capacity of technical officers in the outer-islands as well as contribute to country programming including supporting the implementation of TREP. On the other hand, the Readiness Accreditation Gap Assessment Support is requested for PwC to conduct Gap Assessment and develop an Action Plan that will enhance MoFNP capacities to progress in the Accreditation process of the GCF. This will enable MoFNP to support the country’s projects and programmes. The MoFNP has been nominated for Accreditation to GCF by the NDA since 2016, however, some institutional gaps exist that need to be fulfilled for MoFNP to meet fiduciary and specialist requirements for Accreditation. The Readiness Accreditation Gap Assessment support has a strong link with the current Readiness proposal, as it will help in achieving Outcome 4 in the current Readiness proposal. GCF has been identified as a climate financing priority for the country. In complimenting the progress made, this request will respond to recommendations and gaps identified during the implementation of Readiness 1. As such, proposed activities will further strengthen national capacities, through the office of the NDA/FP and support staff (DCC and JNAP Secretariat) to effectively plan for accessing, managing and deploying climate financing towards transitioning to a low carbon society in order to meet Tonga’s NDC milestones. To reflect adequate climate finance programming for all vulnerable groups, this Readiness Proposal also seeks to strengthen Tonga’s National Women’s Empowerment and Gender Equality Policy and Strategic Plan of Action (2019-2025), prepared by the Ministry of Internal Affairs goal on gender mainstreaming into all policies, programmes as well as organizational and management processes designed, implemented, monitored and evaluated taking into account the different and relative needs and constraints of girls, boys, women and men with the aim of promoting equal access to opportunity. In this case, mainstreaming gender issues in considerations for climate change financing in the Kingdom (Sub Outcome 2.3 of the Logical Framework). Some of the few key barriers identified from the ongoing readiness support that the proposed will help build are as follows:

a) Limited technical capacity of NDA in assessing potential GCF projects – With the success of the no-objection procedure and evaluation criteria, the country is almost ready for GCF projects. However, the NDA is facing challenges on limited capacity regarding GCF project evaluation. Unless this has been successfully addressed, the NDA will not be able to process GCF projects efficiently and effectively.

b) Un-prioritization of the national pipeline projects under the Country Programme – The Country Programme provides a broad perspective of areas for the GCF project pipeline that should be developed for Tonga. However, it does not provide sufficient information and analyses on priority sectors. Without clear view on priority, it will be challenging for the country to develop a pipeline of projects for future GCF support.

c) Poor gender responsive approach considered in climate finance programming – This will inform the NDA/NIE to identify, develop and manage projects consistent with the gender requirements of the GCF as to enhance institutional framework for gender mainstreaming in all climate finance programming.

d) Increase equal representation of all vulnerable groups including women, youth and people living with disabilities (PLD)

e) Need for private sector engagement in developing the sector’s bankable project ideas/concepts to GCF – The private sector is a strategic stakeholder in climate change efforts in Tonga but its engagement with GCF efforts need to be further enhanced and strengthened.

Furthermore, the activities under this Readiness request will further support activities implemented under the first Readiness grant, specifically in providing support to continue the strengthening of the NDA’s coordination mechanism. This will allow the NDA to effectively manage the No-Objection Procedure and associated platforms. Furthermore, this will make a lasting difference through a strategic, fully embedded focus on capacity enhancement of the NDA and the support staff in processes and requirements for accessing and implementing GCF Readiness funds, which will help achieve the following expected outcomes in line with the recommended actions of the GCF Readiness Programme:

i. Country capacity for engagement with GCF ii. Country programming process iii. Direct access to climate finance iv. Climate finance accessed


3. LOGICAL FRAMEWORK AND IMPLEMENTATION SCHEDULE Outcomes Baseline2 Targets Activities3

(brief description and deliverables)

Anticipated duration: Specify duration in multiples of six months

Monthly implementation plan of activities4 1 2 3 4 5 6 7 8 9 1

0 11

12

13

14

15

16

17

18

19

20

21

22

23

24

Outcome 1 Institutional capacity and coordination mechanism in place to govern and coordinate climate action and finance

Sub-Outcome 1.1 NDA inter-institutional coordination mechanism

1 NDA has established an effective coordination mechanism: (monitor and report on climate finance flows from various ministries and sectors but meetings are not conducted regularly)

2 NDA/Focal Point leads an effective coordination mechanism, conducting monitoring and report on climate finance flows from various ministries and sectors regularly.

Activity 1.1.1: Strengthen the capacity of the office of the NDA to monitor and report on climate finance flows from various ministries and sectors. Note: This will be done in a manner complimentary to other climate finance funds such as those coming from other multilateral/bilateral sources of financing. The NDA capacity will be strengthened to allow for the effective management of the no-objection procedure and national coordination mechanism (implemented under Tonga’s first approved Readiness proposal). Deliverable 1.1.1: Climate finance investments tracking mechanism and tool developed and implemented. (The tool will identify potential synergies and complementarities of the country programme and priorities with other initiatives and projects from different, regional and international sources of finance). (5th month) Activity 1.1.2: Support the NDA’s supporting staff to effectively manage and implement the no-objection procedure and associated platforms in order to efficiently coordinate the application. Deliverable 1.1.2: No-objection procedure and associated platforms effectively and efficiently coordinated based on an analysis of best practices

x

x

2For 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. 3 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. 4If 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”).


from other countries and NDA awareness materials and manual developed. (15th month)

Sub-Outcome 1.2 NDA ‘No-Objection’ procedure for funding proposals and Concept Notes

2 The no objection procedure is established and translated into local vernacular but not yet fully implemented and disseminated.

2 The NDA no-objection procedure is fully implemented and disseminated to all stakeholders.

Activity 1.2.1: Develop NObP pamphlet/leaflet and disseminate to key stakeholders through trainings and annual Donor Roundtable. Deliverable1.2.1:NObP pamphlet/leaflet developed and fully disseminated in both Tongan and English versions at stakeholder trainings, annual donor roundtable and uploaded to the Climate Change Portal (3rd month) Activity 1.2.2: Conduct 3 trainings with key stakeholders on implementing the NOP. Deliverable 1.2.2: NObP training curriculum developed and disseminated to all key stakeholders, including Government, NGOs, CSOs and PSOs and uploaded onto Climate Change Portal. (7th month) Activity 1.2.3: Revise the NObP (annually) to analyze lessons learned on how effective it is being implemented. Deliverable 1.2.3: Lessons Learned documented and disseminated to key stakeholders and revised NObP uploaded onto Climate Change Portal. (9th month)

x

x

x

Sub-Outcome 1.3 Monitoring and verification systems for climate finance flows

1 Sources of internal and external climate finance are being monitored however; further oversight mechanisms and streamlining of climate finance flows are required.

2 Monitoring and verification systems for all sources of climate finance flows established and operational.

Activity 1.3.1: Establish the national Monitoring and Verification system at the MoFNP to register and track all climate finance flows to Tonga. Deliverable 1.3.1: A Monitoring and Verification System (M & V system) database for tracking and monitoring climate finance inflows at the national level fully established and operational. (6th month) Activity 1.3.2: Upgrade and link the existing DCC climate finance database to the national M&V system.

x


Deliverable 1.3.2:DCC climate finance database upgraded and linked to the national M&V system) (12th month)

x

Outcome 2 Country programming process

Sub-Outcome 2.1 Country programme for climate finance developed across the climate finance landscape

2 The Tonga GCF Country programme was developed and endorsed in 2018 but pipeline projects are not yet prioritized.

2 Prioritization of the national pipeline projects under the Country Programme completed.

Activity 2.1.1: Conduct 3 meetings with NDA supporting team to confirm the remaining prioritized pipeline projects for accessing GCF funds. Deliverable 2.1.1: Regular reports completed and generated during consultation meetings and a finalized prioritization of national pipeline projects completed (6thmonth, 12th month, 18thmonth)

Activity 2.1.2. With stakeholders, progress project ideas toward concept notes through identification of complementary resources potential project partners (i.e. AE and EEs).

Deliverable 2.1.2 Reports of prioritised pipeline include identified AEs, EEs and key stakeholders to progress ideas/concepts with proposed timelines for development.

x

x

x

x

Sub-Outcome 2.2 Periodic participatory review and updating of the Country Programme

1 Process for periodic participatory review is in place but is subject for revision. A Country Programme was developed in 2018 and will be updated annually.

2 Revised Process for periodic participatory review and updating is endorsed by NDA and implemented.

Activity 2.2.1: Establish a process for reviewing (annually) the section on the prioritized project pipelines in the Country Programme. Deliverable 2.2.1: Review process established and operational (7th month). Activity 2.2.2: Conduct an annual review of the Country Programme pipeline projects with stakeholders Deliverable 2.2.2: Updated Country Programme pipeline projects completed (12th month)

x

x


Sub-Outcome 2.3 Gender issues and Vulnerable Groups considered in climate finance programming

2

The Ministry of Internal Affairs has developed a national Gender Policy, while gender issues are also reflected in the Community Development Plans (CDPs) and the JNAP2. However, this does not reflect adequate climate finance programming for all vulnerable groups.

2 Climate Finance programming responsive to gender and vulnerable groups.

Activity 2.3.1: Conduct training with DCC and NDA supporting staff on mainstreaming gender approaches and sensitization to the needs of vulnerable groups.

Deliverable 2.3.1: Training material developed on mainstreaming gender approaches and addressing needs of vulnerable groups in concept notes developed for accessing GCF funds (4th month). Activity 2.3.2: Provide training for all vulnerable groups including men and women, youth, and the disadvantaged when developing concept note for accessing climate finance/GCF funds. Deliverable2.3.2: Awareness material on issues faced by vulnerable groups and accessing climate finance developed and distributed to all key stakeholders (8th month). Activity 2.3.3: Conduct consultation with vulnerable groups to confirm their priority issues related to climate change for the development of concept notes to access GCF funds. Deliverable 2.3.3:Priority issues of vulnerable groups confirmed and concept note developed (linked to Sub-outcome 4.1) (11th month) Note: Both Activity and Deliverable 2.3.3 includes women in the vulnerable groups.

x

x

x


Outcome 3 Direct access to climate finance

Sub-Outcome 3.1 Accreditation of direct access entities

0 PwC has been contracted by GCF to carry out the Gap Assessment and Action Plan for the accreditation process. Note: The Gap Assessment activities will only focus on MoFNP.

2 Nominated direct access entities (MoFNP) application for accreditation completed and submitted to the GCF and approved.

Activity 3.1.1: Conduct capacity training for MoFNP to understand the PwC Gap Assessment and how to implement Action Plan and the key areas requiring policy development.

Deliverable 3.1.1: Training materials and key policies developed, disseminated and uploaded to the MoFNP database (2nd month)

Activity 3.1.2: MoFNP to complete and upload all related documents for Online Accreditation System.

Deliverable 3.1.2: Online Accreditation System (OAS) completed. (6th month) Activity 3.1.3: Address gaps identified and recommended in the Action Plan of the PwC assessment. Deliverable 3.1.3: MoFNP’s gender, fiduciary, and/or ESS policies developed and/or strengthened per the gap assessment report. [Once the gap assessment report is available specific policies/procedures will be identified and strengthened through this activity and deliverable] Activity 3.1.4: GCF Unit and NDA Support Staff to attend regional AEs, South-South exchanges on peer-to-peer learning about best practices and experiences on GCF Accreditation process. Deliverable 3.1.4: Best practices on GCF Accreditation learning documented and disseminated to stakeholders in Tonga (5th month and 10th month)

x

x

x

x

x


Outcome 4 Climate finance strategies and project pipeline strengthened

Sub-Outcome 4.1 Project Concept Notes development

2 Pipeline of project ideas identified, and priority project concept notes developed and submitted that are fully consistent with the Country Programme. [(29) Project ideas are identified in the Tonga Country Programme, but not all priority project concept notes are developed yet for submission to the GCF. - (1) The Tonga Renewable Energy Project (TREP) was approved by the GCF Board in 2018. - (1) The Coastal Resilience project was submitted and is yet to be endorsed by the GCF Board. - (1) NAP was submitted to GCF and comments received and being addressed.

2 Screening of remaining concept notes completed. 2 SAP Concept Notes, and 2 Concept Notes towards Full Project proposals developed and submitted to GCF within project period.

Activity 4.1.1: Develop at least 2 SAP Concept Notes by 2020/2021. Deliverable 4.1.1: At least 2 SAP Concept Notes developed and submitted to GCF by 2020/2021 (10th month & 20th month)

Activity 4.1.2: Develop at least 2 Concept Notes by 2020/2021. Deliverable 4.1.2: At least 2 Concept Notes developed and submitted to GCF by 2020/2021(12th month and 22nd month)

x

x

x

x


Sub-Outcome 4.2 Private sector engagement

1 Some private sectors are engaged in consultative processes however no structured dialogue established.

2 Private sector having systematic engagement as part of the country consultative processes and structured dialogues with the NDA/FP, Accredited Entities and the GCF Secretariat established and strengthened.

Activity 4.2.1: Engage Private Sectors in three robust consultations (workshop training) to enhance their full engagement Deliverable 4.2.1: Three Consultation reports reflecting strong private sector engagement fully disseminated (4th month, 8th month and 15th month). Activity 4.2.2: Develop two bankable/paradigm shifting and transformative concept notes for Private Sectors by 2020/ 2021. Deliverable 4.2.2: At least 2 project concept notes developed by private sectors in close collaboration with the Department of Climate Change and submitted to the GCF by 2020/2021 (19thmonth)

x

x

x

x


4. ADDITIONAL INFORMATION (ONLY FOR ADAPTATION PLANNING SUPPORT)


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] onClick 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 USD225,000.00 will be transferred upon approval of the readiness request and effectiveness of the Grant Agreement;

• The second disbursement amounting USD150,000.00 will be transferred upon submission of an interim progress report [and audited financial report]5, in form and substance acceptable to the Fund, [including an audited expenditure statement]; and

• The third disbursement amounting USD125,000.00 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.

Please include an indicative disbursement table showing the expected amounts to be requested and keep to multiples of USD 5,000.

5For second disbursement, audited financial report and audited expenditure statement are only required for readiness and preparatory support proposals expected to last over 12 months.

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

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


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.

Please describe the differing responsibilities of the NDA and their Delivery Partner for the management of the grant, procurement, implementation of activities, project oversight, monitoring, and reporting. If applicable, please also describe any delegation of responsibility from the Delivery Partner to another Executing Entity.

This proposed Readiness Support will use the same implementation arrangement as the first Readiness (TON-001). The NDA and its supporting staff (DCC in MEIDECC) will lead the implementation process of this Readiness Support in close collaboration with MoFNP (Delivery Partner) over a period of 24 months project period.

As the Delivery Partner, the MoFNP will be responsible for overall fiduciary management, progress reporting and project evaluation. The MoFNP is also Tonga’s nominated National Implementing Entity (NIE) to seek accreditation as of 2016, and is currently filling its OAS application. In February 2019, the NDA has sought the GCF Accreditation Gap Assessment Support for PricewaterhouseCoopers (PwC) to undertake gap assessments at the Ministry of Finance and National Planning (MoFNP) against GCF accreditation standards.

The MoFNP has sufficiently demonstrated its capacity to receive, manage and account for funds, both from the government and multilateral agencies. MoFNP will open a dedicated bank account separately for managing this GCF Readiness funding. Financial management will be undertaken strictly in accordance with MoFNP’s financial management and procurement policies. Requisite financial reports will be generated and submitted at intervals agreed with the GCF taking into account the duration of the requested support. MoFNP will be responsible for ensuring that the objectives and components of the programme are delivered and that resources are allocated and disbursed in an efficient and effective manner to the required standard of quality and within the specified constraints of time and cost. The NDA will identify and recruit consultants (PMU) to deliver activities of this programme in accordance with the Procurement Plan.

The Implementing Entity for this project is the Department of Climate Change (MEIDECC), which will be accountable to MoFNP for managing the project, including the monitoring and evaluation of project interventions, achieving project outcomes, and for the effective use of all goods and services procured by MoFNP. Coordination and oversight of the project is the role of the Department of Climate Change (MEIDECC) in close collaboration with the JNAP Technical Team and National Climate Change Coordination Committee (NCCCC). Regular meetings will be also held with high level climate change committees (Cabinet and Parliament) and DCC will report on progress of all climate change programs and projects including this Readiness program. Support from relevant government ministries, NGOs, private sectors and communities will be engaged to assist where necessary based on their previous and current engagement with the implementation of Tonga JNAP1 & 2. Refer to Figure 1 for the proposed implementation arrangements and to Table 1 for the roles and functions in the implementation of the proposed RP. The DCC will provide project support in terms of office premises for the project team as well as telephone communication lines, and the required expertise and services of their corresponding staff. Support of their relevant subdivisions and staff is considered as an in-kind contribution to the project implementation to be provided by the Government of Tonga.


Figure 1: Implementation Arrangement for the proposed Readiness Support. Table 1: Roles and Functions for the Implementation of the proposed Readiness Support

Cabinet Committee • Advice the Government of Tonga on appropriate and effective policy responses on the issues of climate change and for Tonga to effectively access climate change funds

National Climate Change Coordinating Committee (NCCCC)

• High-level oversight policy guidance and direction • Coordination of all Climate Change related activities • Review of JNAP implementation progress • Provide oversight role, guidance and policy advice to the Project during its implementation period. • Meet quarterly to discuss progress and issues of the project. In special cases, the NCCCC shall meet

upon request from the Project. • Provide quality control and endorsement of reports (Technical, Monitoring and Evaluation Report) and

documents (Traditional Knowledge on Climate Change) produced under the project. • Ensure the implementation of the project is carried out following the approved work plan and budget. • Facilitate inter-linkages and ensure close coordination with other climate change programmes and

projects. • Help evaluate the success of the project activities. • Help identify other potential sources of support for replication and upscaling of the project. • Other duties as agreed by the committee from time to time.

Department of Climate Change – MEIDECC

• High-level oversight policy guidance and direction • Mandated to promote sustainable development, protect the environment, and respond to the country’s

development needs

CABINET Climate Change Cabinet

Committee

PARLIAMENT Standing

Committee on Climate Change

MEIDECC Department of Climate

Change GCF- RPSP

PMU

NCCCC & NEMC Joint

Meeting CCDRM

National Climate Change

Coordination Committee

(NCCCC)

NEMC National

Emergency Management

Committee

JNAP Technical Team (Multi-Sector CCDRM

Working Group)

GCF

Delivery Partner - MoFNP

GCF

PRIVATE SECTOR

JNAP Implementa

tion MEL, and Reporting

CSO’s/NGO’s

JNAP Implementa

tion MEL and

Reporting

MINISTRIES JNAP

Implementation

MEL and Reporting

COMMUNITIES

JNAP Implementa

tion MEL, and Reporting


(JNAP Secretariat/ GCF Readiness PMU)

• In charge of climate change in the country and serves as the National Designated Authority to the GCF • Manage and coordinate all climate activities in Tonga. This will also assist in avoiding duplication and

promoting replication • Sourcing variable climate finance and new climate initiatives applicable to the Tonga context including

capitalization of Climate Change Trust Fund (CCTF) • Integrate JNAP actions into Corporate Plans and Annual Management Plans. • Organize meetings and develop project profiles and related documentation to facilitate a request for

funding and technical assistance • Liaise with donors and development partners to secure funding and technical assistance to implement

JNAP 2 and GCF NAP activities • Provide narrative and financial reports of the GCFNAP bi-annually/ six-month basis

JNAP Technical Team • Providing high-level guidance to the JNAP Secretariat; • Advise the NCCCC on technical matters relating to JNAP 2 and GCF NAP; • Liaise with all Ministries to ensure that all mainstreaming, data and information management, capacity

building, and resilience-building actions are fully implemented. Ministries agencies and local partners

• Government Line Ministries: Support the implementation of JNAP 2 and GCF NAP activities and facilitate the integration of JNAP actions into Corporate Plans and Annual Management Plans

• Local Partners: Facilitate Integration of JNAP/ GCF NAP actions into respective planning and budget and, assist with the implementation of JNAP 2/ GCF NAP activities in collaboration with the JNAP Technical Team.

Private Sector • Support the implementation of JNAP 2/ GCF NAP activities and provide feedback for monitoring Villagers and Community Groups

• Support implementation of JNAP 2/ GCF NAP activities particularly the community projects • Provide feedback to assist monitoring and evaluation

Donor and Development Partners

• Provide financial and technical support to enable the successful implementation of the JNAP 2/ GCF NAP activities

The Project Management Unit (PMU) The PMU will be housed at the Department of Climate Change (MEIDECC) and be responsible to carry out day-to-day project implementation under the direct supervision of the Director of Climate Change. The PMU will consist of9 staff (PMU) including Project Coordinator, Climate Change Policy and Planning Officer, Climate Change Technical Officer, Finance and Administrative Assistant, Monitoring and Evaluation Officer, Gender Specialist, Accreditation Specialist, Project Development Specialist, Climate Finance Technical Specialist, and Climate Finance Programming Specialist. The PMU function will end when the final project terminal evaluation report and other documentation required by the GCF and MoFNP has been completed and submitted to GCF. Table 2 shows the Terms of Reference for the PMU members and individual consultants as well as the linkage of the roles in the log-frame activities and deliverables. The PMU shall carry out the following responsibilities:

• Monitor and review the progress of the project activities to ensure that the objectives are attained • Prepare work plan and budget of the Project • Preparing the monitoring and evaluation timetable • Making modifications, as necessary, to the number and scope of national workshops being organized under

the project • Making modifications, as necessary, to activities and outputs in order to achieve the project • Develop an established monitoring and review process for implementation • Meet as often as possible using a combination of techniques including emails, discussions and teleconference.

Table 2: Consultants ToR, linkage to log-frame activities/deliverables and justification of rates

Position title Bullet point TOR Linkage to log-frame activities/deliverables

Justification for daily rate

Project Management Unit (PMU)

Project Coordinator/Team Leader

• Prepare a detailed work plan and budget for the NDA Strengthening and Country Programming (Phase 2)

• Oversee the overall implementation of the program and lead the implementation of Sub-outcome 4.1

• Lead training and workshops on project concept notes development

• Ensure effective communications and adequate information flow with the relevant government

Activity 4.1.1, Activity 4.1.2, Activity 4.1.3.

Project Coordinator can also do multiple tasks in leading all the implementation of the project activities from Outcome 1 to Outcome 4.

The salary for the Project Coordinator/Team Leader will be aligned with the Tonga Public Service Salary Structure.

Monthly Rate: US$2000/month


ministries in development of concept notes and project proposals.

Climate Change Policy and Planning Specialist

• Review prioritized project pipelines in the Country Programme

• Conduct the annual review of the Country Programme Pipeline projects with stakeholders

• Document the review of the Country Programme Pipeline projects

• Assist the Project Coordinator in conducting of training with key stakeholders

Activity 2.2.1 and Activity 2.2.2

The salary rate for the local Climate Change Policy and Planning Specialist will be based on working experience, skills and qualification and it will also align with the New Salary Structure for the Tonga Public Service Monthly Rate: US$1,200/month

Climate Change Technical Specialist

• Coordinate meetings with NDA supporting team to confirm the prioritized pipeline projects for accessing GCF funds

• Draft meeting reports and submit to Director for Climate Change for approval.

• Finalize prioritization and national pipeline projects.

• Lead the formalization of the engagement of AEs and conduct meeting with stakeholders to develop concept notes.


The salary rate for the local Climate Change Technical Specialist will be based on working experience, skills and qualification and it will also align with the New Salary Structure for the Tonga Public Service Monthly Rate: US$1,200/month

Senior Finance and Administrative Officer

• Assist Project Coordinator/Team Leader in managing project finance and overall resource allocation

• Prepare minutes for all meetings • Carry out monthly financial

reconciliation with Ministry of Finance

• Prepare financial reports (monthly quarterly reports)

• Regularly updated the asset registry and robust hard copy and e-copy archive filing system for the program

Project Management Cost (PMC)

The salary rate for the local Senior Finance and Administrative Officer will be based on working experience, skills and qualification and it will align with the New Salary Structure for the Tonga Public Service Monthly Rate: US$1,114.55/month

Accreditation Specialist • Assist the International consultant to conduct training on Gap Assessment for Ministry of Finance

• Develop training materials for training

• Assist International Consultant to carry out assessment with the Fund’s fiduciary standards, ESS and Gender PolicyCollect relevant information to upload for online accreditation system.

• Complete the Online Accreditation System (OAS).

Activity 3.1.1, Activity 3.1.2, Activity 3.1.3, Activity 3.1.4

The salary rate for the local Accreditation Specialist and Administrative Officer will be based on working experience, skills and qualification and it will align with the New Salary Structure for the Tonga Public Service Monthly Rate: US$1,200/month

Accreditation Specialist – International Consultant

• Implement the recommendations of the Gap Assessment/Action Plan

• Assist MOFNP in strengthening, drafting/revising Gender, ESS and fiduciary policies.


Daily Rate: US$ 500/day

Communication Specialist • Develop awareness materials for No-objection procedure (e.g. pamphlet/ leaflet)

• Develop newsletter about the program and distribute to national stakeholders.

Activity 1.2.1, Activity 1.2.2 and Activity 1.2.3

The salary rate for the local Communication Specialist will be based on working experience skills and qualification and it will align with the New Salary


• Develop lessons learned from the program, documented and disseminated to key stakeholders

• Conduct awareness programs of program

• Develop training curriculum for no-objection procedure and disseminate to key stakeholders

• Assist the Project Coordinator in revising the NOP annually

Structure for the Tonga Public Service Monthly Rate: US$1,200/month

Climate Finance Programming Specialist

• Conduct training to strengthen the capacity of the NDA and its support staff to monitor and report on climate finance flows.

• Develop a Climate finance tracking mechanism and tool

• Conduct workshops for NDA support staff to effectively manage and implement the no-objection procedure.

• Assist with development of NDA awareness materials and manual


The salary rate for the local Climate Change Programming Specialist will be based on working experience, skills and qualifications and it will align with the New Salary Structure for the Tonga Public Service Monthly Rate:US$1,200/month

Climate Change Project Development Specialist

• Lead meetings to engage private sectors in project development

• Develop workshop materials for private sector engagement

• Lead workshops with Private Sectors on how to write good quality concept notes.

• Develop workshop reports and submitted for approval.


The salary for the Climate Change Project Development Specialist will be aligned with the Tonga Public Service Salary Structure and will be based on working experience, skills and qualifications Monthly Rate:US$1,200/month

Gender Specialist • Conduct training with Department of Climate Change and NDA Supporting Staff to strengthening gender mainstreaming in climate finance programming.

• Develop training material on mainstreaming gender issues in concept notes

• Conduct training to raise awareness of vulnerable groups in relation to gender issues and developing concept notes

• Develop awareness materials on gender issues

• Lead consultation with vulnerable groups to confirm their priority issues for the development of concept notes.

• Assist the Project Coordinator/Team Leader in development of concept note for vulnerable groups

Activity 2.3.1, Activity 2.3.2, Activity 2.3.3

The salary for the Gender Specialist will be aligned with the Tonga Public Service Salary Structure and will be based on working experience, skills and qualifications Monthly Rate: US$1,200/month

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

Please include a set of identified risks and mitigation actions for each, monitoring plan, and any other relevant information you wish to bring to the attention of the GCF Secretariat but has not been included in the sections above.

A. Risks Key risks underlying the project have been analyzed during the design phase. The risks facing the project and the risk mitigation strategy (counter measures) are summarized in Table 3. Table 3: Risks identified and mitigation strategies


Type of Risk Risk Risk Level

Likelihood of Occurrence

Mitigation Measures

Operationalization

Delayed disbursements from GCF can result in costly implementation delays and can cause a domino effect where project consultants and technical staff rearrange their priorities, the project loses key technicians, and the project overruns costs without achieving key outputs.

Low Low

Early and quick negotiation of the grant agreement with the GCF, which would allow for early disbursement of funds. MoFNP will seek to address this risk by requesting high up-front disbursements, submitting timely reports, maintaining good communication with the GCF Secretariat, and by transitioning to a results-based accounting and billing system.

Coordination Poor coordination leading to delays in deliverables

Low Low Clear Project Management arrangements finalized in the inception phase, including a comprehensive budget and work plan with clear roles, responsibilities, tasks and timeframes for implementation.

Organizational The institutional capacity created by the project would not be sustainable beyond the end of the project implementation period due to lack of financial support.

Low Low Parallel activities supported under IPA-II funding will support legislation that mandates reporting capacity. Furthermore, specific project activities will address post-project resource mobilization, and they will present clear roadmaps for data archiving and storage.

Non- acquisition of skills

Staffs do not have and cannot acquire the necessary skills to carry out M&E, proposal development, screening projects for environmental and social risks.

Low Low During Readiness 1 implementation participating staffs have developed significant capacities. The project will continue its emphasis on capacity building, reaching greater coverage in DCC and JNAP Secretariat, but also reinforcing capacities of existing staff and building up financial management and accounting skills.

Natural Disaster (Tropical Cyclone)

Tonga is prone to tropical cyclones, which may affect or interrupt the implementation of the project.

Medium Medium In an extreme event, we will reschedule or amend the project implementation as necessary (in consultation with GCF). Request for a no-cost extension of the project may be required.

B. Monitoring plan: The project will be monitored based on the GCF’s procedures for Monitoring, Evaluation and Reporting (MER). Interim Progress Reports shall be prepared every six months, which include progress in activity implementation, financial and procurement management. Project M&E will be based on the measurable performance indicators in each component as outlined in the results-based project logical framework and the project implementation work plan. Monitoring will be conducted as part of regular project management activities based on the four project outcomes. An M&E specialist will be responsible for monitoring all aspects of project implementation and will report through monthly performance evaluations, Interim Progress Report (IPR) and Project Completion Report. Joint supervision and mid-term review missions will be conducted by the DCC during the implementation of this project. Interim Progress Reports shall be prepared.

Project Inception workshop will be held within the first month of the project starting with those with assigned roles in the project organization structure to agree to the annual work plan, this workshop will be a vital step in establishing and reinforcing ownership/responsibility for project activities and ensuing impact. Workshop proceedings will address a number of key issues, including: - Ensuring that all partners fully understand and take ownership of the project, detailing their respective roles, support

services and complementary responsibilities. - Discussing the roles, functions, and responsibilities within the project's decision-making structures, including reporting

and communication lines, and conflict resolution mechanisms. - Finalization of the first annual work plan.


- Review and agreement on project indicators and targets and their means of verification, and rechecking of assumptions and risks.

- Agreement on mechanism for reporting, monitoring and evaluation requirement; and Monitoring and Evaluation work plan and budget.

- Discussion of agreement on financial reporting procedures and obligations. - Schedule for Project Steering Committee meetings.

Project Inception Workshop Report which will act as a key reference document for both project partners and stakeholders and will be compiled and distributed within one month of the workshop in order to formalize various agreements and plans relating to project implementation and project monitoring and evaluation. Interim Progress Report will explain the progress of the project implementation to the GCF, six months after commencement date of the project.

Project Completion Report: Towards the end of the project implementation period PMU will prepare and submit the Project Completion Report to GCF Secretariat.

C. Financial Management and Procurement

The Ministry of Finance (MoFNP) has expertise in working with donor funds and has a good track record in implementing many programs and projects using sound financial management practices. MOFNP adheres to policies and procedures that meet donor agencies’ requirements. For this project, it will be responsible for fiduciary aspects and will be accountable for all financial and investment activities. International accounting financial reporting standards will be applied to the project. The MoFNP follows the standard accounting procedures for auditing of Project expenditure on an annual basis. The MoFNP assumes overall responsibility for financial management of the projects and ensure that funds are used efficiently to support the intended activities. A certified external auditor will submit all accounts to the GCF on an annual basis. The audits are documented by a signed audit report. The public maintains the right to inspect the account on request as well as study reports, accounts, inventories and other relevant materials. The MoFNP Procurement Policy is closely aligned to the GCF and national laws in order to facilitate services within standardized framework.

The MoFNP has a financial management system that allows separations of accounts from other projects and that is authorized by the Minister for MoFNP. The project will therefore have a dedicated account. The system makes it easy to track and account for funding while offering financial transparency in reporting. MoFNP will do all procurement and will not be sub-awarding funds to any other organization. In terms of disbursements and payments, the MoFNP will facilitate direct payments to suppliers or contractors upon approval of such request by the Director for Climate Change and Accountant with supporting documentations attached such as contracts, milestone reports, quotations, invoices, etc. Direct payments will make it easier to withhold or claim back tax. In terms of operational costs for grantees, an advance payment system is in place to enable mobility of project activities and implementation. Grantees are therefore required to report on their advance on a quarterly basis with supporting documentations submitted. The Project Accountant and the M&E will thereafter reconcile the financial report with the agreed milestone and recommend subsequent payments. Site visits are also undertaken to verify the expenditures and activities.

The MoFNP, working with the implementation structure of the project will ensure: (i) the substantive quality of the project implementation, (ii) the effective use of both international and national resources allocated to it, (iii) the availability of time for national contributions to support project implementation, and (iv) the proper coordination among all project stakeholders, in particular national, sub-national and local partners. Government has indicated its wishes to escalate efficient and effective project management and delivery, thus has agreed for the MoFNP (as the project delivery Partner) within the approval of the MoFNP Board, to procure certain services by means of signing Memorandum of Agreement (MoA) where, for instance, additional and extra specialized national or global services providers may be required. The MoA will govern the contract arrangements, thus will clearly spell out the responsibilities and roles regarding the delivery of the project outputs and the judicious use of the project resources allocated to them.

Projects funded through MoFNP are given a code with the aim to monitor financial transactions of the project. Furthermore, the MoFNP authorizes all project bank accounts before being opened. The current GCF Readiness fund is held at the Bank of the South Pacific (BSP). Furthermore, the BSP established the Financial Intelligence Centre which is the Financial Intelligence Unit of the Government of the Kingdom of Tonga and it is designed to:

• Combat money laundering, financing of terrorism activities and other financial crimes within the borders of Tonga, and

• Protect the integrity and stability of the financial system, by monitoring and supervising the anti-money laundering and anti-financing of terrorism controls and systems implemented by businesses that are vulnerable to money laundering or terrorist financing and by producing intelligence products that incorporates the analysis of relevant classified information.


Furthermore, the Tongan Government established the Anti-Corruption Act through an Act of Parliament in 2007 to combat and prevent corruption in Tonga under the Ombudsman office. The Ombudsman office is responsible for taking measures for the prevention of corruption in public bodies and private bodies including revision of practices, systems and procedures which may be prone or conducive to corrupt practices, advising such bodies on ways to prevent corruption and educating the public on the evils and dangers of corruption.

The MoFNP developed a policy on Anti-Corruption in line with the national provisions for monitoring corruption in the country and devised several ways for reporting corruption incidents and allegations. Among others, the MoFNP has developed a process to receive oral or written complaints from members of the public and other institutions. Complaints may be submitted in person, telephonically or by post, email, fax or by registering a complaint on this website. In turn, the MoFNP assesses the nature of the complaints and reports to the Anti-Corruption Commission for further investigation.

D. Project Start Date

After the approval of the Grant, a notification letter will be sent by the GCF to NDA with copy to the Delivery Partner. The date of such notification by the GCF will be treated as the start date for project implementation. From that date, the end date of implementation will be calculated considering the total duration of the project as presented in the approved proposal. E. Lessons learned from current and past Readiness proposals • Lessons learned from implementing the first Readiness proposal is that the transaction times for start of Readiness

project approval can be extensive, due to a number of factors. Therefore, this second Readiness proposal can be extended from 24 months to 30 months to account for the additional time required to sign agreements, procure, implement and close out contracts. However, the MoFNP will still aim to implement the project activities within the 24-month period, with the additional time allocated for delays due to formalization of agreements and administrative close-out.

• On the sharing of some of the PMU positions, the two RP projects will be housed in two different departments with this Readiness being housed in the Department of Climate Change and the OISES RP in the Department of Energy. Therefore each RP will have its own PMU for effective implementation of the projects.

• Regarding the progressively increasing climate impacts being experienced in Tonga, the MoFNP will work with the

GCF to craft a cyclone clause into the grant agreement special conditions, to take such force majeure events during implementation.

• The “current readiness” programme has presented Tonga with an opportunity to design it vision and put the

systems in place to systematically address climate finance gaps and opportunities. • The NDAs have significantly increased understanding and engagement with the GCF and work with the established

technical JNAP team to decide on future climate investments, which are aligned with their Nationally Determined Contributions and Sustainable Development Goals.

• This Readiness allowed Tonga to shape its own national readiness plans based on institutional needs. Various

ministries and NGO’s are working together to explore ways to effectively access climate finance from public and private, domestic and international sources, even beyond the GCF. Project proposal screening and formulation tools are been formulated and national institutions willing to be accredited to the GCF are trained on these processes, as well as financial management and project implementation. The Ministry of Finance and National Planning and the Tonga Development Bank have been nominated by the NDA for accreditation and with the MoFNP is now awaiting a gap assessment by PwC against GCF accreditation standards.

Sustained capacity building is necessary to properly strengthen NDA capacities, as a functional national coordination system is key to successful engagement with GCF.

The following considerations are important when completing the budget:

1. Before preparing the Readiness and PPF budget, please read the full guidance on our website

2. You can select the appropriate budget categories from the dropdown list in the budget plan:

3. To insert additional rows, right click on the row number below where you wish to insert the new row and choose INSERT.

4. Additional budget categories may be added by manually typing them on the Budget Category sheet. :

Project Management Cost: Project management costs (PMC) are the direct administrative costs incurred to execute a project. They should cover only incremental costs incurred due to the GCF contribution. In most cases, these costs are directly related to the support of a dedicated project management unit (PMU) which managesthe day to day execution related activities of the project.

General Principles for PMC costs: 1. The percentage of PMC financed by GCF should not be more than the percentage share of the overall budget financed by GCF 2. PMC budget thresholds: Up to 7.5 per cent of total activity budget. > PMC exceeding 7.5 per cent for the readiness (including NAPs) proposals, and PPF proposals, up to $ 3 million will require detailed documentation and justification supporting the entire PMC budget. > The PMC should be shown as a separate component in the project budget. A detailed breakdown of PMC should be provided by budget category. > Indicative list of eligible project management costs:

> Project staffing and consultants: Project manager, Project Assistant, Procurement personnel, Finance personnel & Support/admin. Personnel> Other direct costs: Office equipment, Mission related travel cost of the PMU, Project management systems and information technology, Office supplies, Audit cost

Contingency :1. Select the appropriate % of Contingency Budget from the dropdown list :

2. Contingency budget for unforeseen costs arising during the project implementation should not be included in the outcome budget separately.3. Contingency budget must be used for any unforeseen programme (output level) cost that is unrelated to implementation/service fee.4. Any use of contingency must be reported to and agreed by the GCF Secretariat in writing in advance provided with justifications that are acceptable to the GCF5. If you get to the end of the project and you haven’t spent Contingency, you can’t increase the scope of the project or buy some more equipment to use it up.

6. The Budget Notes sheet should be used to record explanations, further details or cost breakdowns for individual lines

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

If you are unsure about how to complete the budget template, please send your query to: [email protected]

Readiness Grant Budget Preparation Guidelines

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






5.1 Budget PlanPlease 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.

1. Institutional capacity and coordination mechanisms in Office Supplies lumpsum 1 5,000.00 5,000.00 71,800.00 71,800.00

IT Equipment lumpsum 1 10,000.00 10,000.00

Consultant - Individual - Local month 24 1,200.00 28,800.00

Workshop/Training stakeholders' meetings 7 4,000.00 28,000.00 71,800.00

Consultant - Individual - Local months 24 1,200.00 28,800.00 38,800.00 38,800.00

Audio Visual & Printing per person 160 25.00 4,000.00

Workshop/Training training 3 2,000.00 6,000.00 38,800.00

Professional Services-Companies/Firm

w/Day 20 500.00 10,000.00 14,500.00 14,500.00 14,500.00

Workshop/Training workshop 2 1,500.00 3,000.00

Workshop/Training Training 1 1,500.00 1,500.00

Consultant - Individual - Local months 24 1,200.00 28,800.00

Travel – Local lumpsum 1 3,000.00 3,000.00 36,300.00



Workshop/Training workshop 3 2,000.00 6,000.00 37,800.00

Travel – Local lumpsum 1 3,000.00 3,000.00



Travel – Local lumpsum 1 3,000.00 3,000.00

Workshop/Training training 3 2,000.00 6,000.00


Workshop/Training workshop 3 2,000.00 6,000.00 77,800.00 Consultant - Individual - International

days 60 500.00 30,000.00

Travel - International lumpsum 2 4,500.00 9,000.00

Workshop/Training training 2 2,000.00 4,000.00



Consultant - Individual - Local months 24 1,200.00 28,800.00 34,800.00


409,600.00 188,400.00 135,600.00 85,600.00 - - -

Consultant - Individual - Local Month 24 1,114.55 26,749.20

Audit Fee Lumpsum 2 2,000.00 4,000.00 Total Outcome Budget + Contingency (5%)

20,480.00 219,149.20

Total Outcome Budget + Delivery Partner (8.5%)

39,170.48 156,080.00

Total Outcome Budget + PMC Cost(7.5%)

30,749.20 124,770.48

Total (per budget category)

4,000.00

4,000.00

30,000.00

276,349.20

10,000.00 Project Management Cost (PMC) 7.5% requested

10,000.00 Contingency requested

5,000.00

9,000.00

9,000.00

83,000.00

-

-

-

-

-

440,349.20

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

Sub-Outcome 4.2: Private Sector Engagement

Project Management Cost (PMC)Up to 7.5% of Total Activity Budget

Total Outcome Budget + PMC

Total Outcome Budget

Audio Visual & Printing

500,000.00$

Total Outcome Budget30,749.20

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

FOR GREEN CLIMATE FUND SECRETARIAT'S USE ONLY

FOR GREEN CLIMATE FUND SECRETARIAT'S USE ONLY

460,829.20

39,170.48

30,749.20

20,480.00

Breakdown (per budget category)

Workshop/Training

0

0

0

Consultant - Individual - International

Consultant - Individual - Local

Professional Services – Firm

IT Equipment

Office Supplies

Travel - International

Travel – Local

Audit Fee

0

0

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)

409,600.00

5%

4. Outcome: climate finance strategies and projecct pipeline sttrengthened.

Sub-Outcome 3.1: Accreditation of direct access entities

Sub-Outcome 2.3: Gender issues considered in climate finance programming

2. Country Programming Process

Sub-outcome 4.1: Project Concept Notes development

3. Outcome: Direct access to climate finance

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

54,000.00

34,800.00 34,800.00

43,800.00

77,800.00

Sub-Outcome 1.1: NDA Inter-institutional coordination mechanism

Percentage of PMC requested: 7.5%

36,300.00

37,800.00 37,800.00

Sub-Outcome 2.1: Country programme for climate finance developed across the climate finance landscape

Sub-Outcome 2.2: Participatory review and updating of the climate finance Country Programme

54,000.00

43,800.00

77,800.00

36,300.00

Sub-Outcome 1.3: Monitoring and verification systems for climate finance

Sub-Outcome 1.2: NDA No-Objection procedure for funding proposals and PPF applications

Budget Note Detailed Description

Professional Services-Firm Firm (Monitoring and Verfification System Specialist) for 20 w/days @$500 per day for Activity 1.3.1 & Activity 1.3.2

Consultant/Individual-International International Consultant for 60 days @$500/day for $30,000 for implementation of Activity 3.1.1 and Activity 3.1.3 Consultant-Individual/Local Local Consultant (Climate Finance Programming Specialist) for 24 months @ $1200/monthly for Activity 1.1.1, Activity 1.1.2Consultant-Individual/Local Local consultant (Climate Change Technical Specialist) for 24 months @ $1200 per month for Activity 2.1.1 & Activity 2.1.2Consultant-Individual/Local Local Consultant (Climate Change Policy and Plannning Specialist) for 24 months @ $1200 for Activity 2.2.1 and Activity 2.2.2Consultant-Individual/Local Local consultant (Gender Specialist) for 24 months @ $1200/month for Activity 2.3.1, Activity 2.3.2 and Activity 2.3.3Consultant-Individual/Local Local consultant (Accreditation Specialist) for 24 months @ $1200/month to lead the implementation of Activity 3.1.2 and assist International consultant with the implementation of Activity 3.1.1 and Activity 3.1.3

Consultant-Individual/Local Local consultant (Project Coordinator/Team Leader) for 24 months @ $2000/monthly for Activity 4.1.1, Activity 4.1.2 and Activity 4.1.3Consultant-Individual/Local Local consultant (Climate Change Project Development Specialist) for 24 months @ $1200 per month for Activity 4.2.1 and Activity 4.2.2Consultant-Individual/Local Local Consultant (Climate Change Communication Specialist) for 24 months @ $1200 for Activity 1.2.1 and Activity 1.2.2

Workshop/Training 7 meetings with NDA supporting staff for 20 people (4 meetings in Y1 and 3 meetings in Y2) each @ 4,000(venue,catering, training materials(printing, pens, pencils, note pads, folders, banners, etc) Activity 1.1.1 and Activity 1.1.2

Workshop/Training 3 trainings for 20 people in Qrt 1,Qrt 2 and Qrt 3 in Y1 @2,000 (venue, catering, training materials (printing, pens, folders etc) for Activity 1.2.1

Workshop/Training 2 workshops for 20 people ( 1 in Qrt 1 and 1 in Qrt 3 of Y1) @ $1,500 (venue, catering, workshop materials and other supporting workshop materials.) for Activity 1.3.1 and Activity 1.3.2

Workshop/Training 1 training for 20 people in Qrt 2 @ 1,500 (venue, catering, training materials (printing, folders, note pads etc) for Activity 1.3.1 and Activity 1.3.2

Workshop/Training 3 workshops for 15 peopole (2 in Y1 and 1 in Y2) @ 1,500 ( venue, catering, workshop materials, note pads, pens, folders etc. ) for Activity 2.1.1.

Workshop/Training 3 workshops for 20 people (1 in Qrt 1, 1 in Q2 and 1 in Q3 of Y1) @ 2,000( catering, workshop materials, pens, folders and other supporting workshop materials. ) for Activity 2.2.1.

Workshop/Training 3 workshops for 20 people (2 in Qrt 1 and Qrt 3 of Y1 and 1 in Qrt 2 of Y2) @2,000 (venue, catering, workshop materials, pens, folders etc.) for Activity 2.3.1 and Activity 2.3.2.

Workshop/Training 3 trainings for 20 people (2 training in (Q1 & Q2 of Y1) and 1training in (Q1 of Y2) @2,000 (venue, catering, training materials, pens, folders etc.) for Activity 2.3.1 and Activity 2.3.2Workshop/Training 2 training for 15 people (2 trainings in Qrt 1 and Qrt 2 of Y1) @ 1,000 (venue hire, catering, and training materials) for Activity 3.1.1, Activity 3.1.2, Activity 3.1.3 and Activity 3.1.4

Workshop/Training 3 workshops for 20 people (3 in Y1 and 2 in Y2) @$2,000 (venue hire, catering, andworkshop materials) for Activity 3.1.1,Activity 3.1.2 and Activity 3.1.3 and Activity 3.1.4

Workshop/Training 3 workshops for 15 people from stakeholders and line ministries (3 in Qrt 1,Qrt 2 and Qrt3 of Y1) @2,000 (venue hire, catering and workshop materials) for Activity 4.1.1, Activity 4.1.2 and Activity 4.1.3

Workshop/Training 3 workshops for 15 people from private sectors (Qrt 2, Qrt 3 of Y1 and Qrt 1 of Y2) @1541.88 (printing, note pads, pens, folders and other supporting workshop materials.) for Activity 4.2.1

Travel/Local3 Local travels for GCF Unit and NDA Support staff to conduct workshops at the outer islands (Vava'u Island, Ha'apai Is, 'Eua Is and the two Niuas) on country programming and gender . DSA included. Of these trips, 5 will be local flights @$9,000 for Activity 2.1.1, Activity 2.2.1 and Activity 2.3.1

Travel/International 2 International travels for GCF Unit/NDA Support Team to participate in a south-south exchanges and regional AEs. They can participate in a Peer-to-peer review of best practices of lessons learned from carry out the Accreditation process. Perdiem and airfare included @$9,000 for activity 3.1.5 and to achieve Deliverable 3.1.5

IT EquipmentAcquisition of 1 external hard drive, 1 printer, 1 projector and other supporting equipment, as needed by the project @ $10,000 to assist the implementatation of Activity 1.1.1 and the rest of the project activities

OfficeSupplies Office desks, telephone (landline), stationeries and other office supplies required by the project to assist with theimplementation of Activity 1.1.1 to Actiity 4.2.1 @ $5,000

Audio Visual & Printing Knowledge and awareness raising products (e.g. briefs, leaflets/flyers/brochures,posters, blogs etc for 160 persons @ $25 per person for Activity 1.2.11 Local consultant (Senior Finance and Administrative Officer) @1,113.41 per month for 24 months

2 Audits for the project (1 audit in Yr 1 and 1 audit in Y2 @ $2,000/auditProject Management Cost

Budget CategoriesAudio Visual & PrintingAudit FeeConsultant - Individual - InternationalConsultant - Individual - LocalProfessional Services – FirmIT EquipmentOffice SuppliesTravel - InternationalTravel – LocalWorkshop/Training

Indicate additional budget categories

5.2 Procurement Plan

Item Item Description Estimated Cost (US$)

(7) Workshop/Trainings Venue,catering, training materials(printing, pens, pencils, note pads, folders, banners, etc and participation fees, 28,000.00

(3) Workshop/Trainings Venue,catering, workshop materials (printing, pens, folders etc 6,000.00

(2) Workshops/Trainings Venue,catering, workshop materials (printing, pens, folders etc 3,000.00

(1) Workshop/Trainings Venue, catering, training materials (printing, pens, folders etc 1,500.00 Direct Procurement(3) Workshop/Training Venue, catering, training materials (printing, folders, note pads etc 4,500.00

(3) Workshop/Trainings Venue, catering, workshop materials, transportation fees and other supporting workshop materials 6,000.00

(3) Workshop/Trainings Venue, catering, workshop materials, note pads, pens, folders etc. 6,000.00

(3) Workshop/Trainings Catering, workshop materials, pens, folders and other supporting workshop materials 6,000.00

(3) Workshops/Trainings Venue, catering, workshop materials, pens, folders etc. 6,000.00

(2) Workshops/Trainings Venue, catering, workshop materials, pens, folders etc. 4,000.00 Direct Procurement

(3) Workshop/Trainings Venue, catering, workshop materials, pens, folders etc. 6,000.00 Direct Procurement

(3) Workshop/Trainings Venue, catering, training materials, pens, folders etc 6,000.00

Professional Services/Firm Firm to strengthen the national monitoring and verification system. 10,000.00 Direct Procurement $2,000-$20,000 Month 6 Month 7

Audio Visual & Printing briefs, leaflets/flyers/brochures,posters, blogs 4,000.00

IT Equipment

1 external hard drive, 1 printer, 1 projector and other supporting equipment as needed by the project to assist with the implementation of project activities during 24 months

10,000.00

Local Travel 3 Local travels for GCF Unit to conduct workshops in the outer islands (Vava'u Island, Ha'apai Is, 'Eua Is and the two Niuas) on country programming and gender. DSA included. Of these trips, 5 will be local flights

9,000.00 Direct Procurement

International Travel 2 International travels for GCF Unit to participate in a south-south exchanges and regional AEs. They will participate in the Peer-to-peer review of best practices of lessons learned from carry out the Accreditation process. Perdiem and airfare included.

9,000.00 Direct Procurement

Office Supplies Office desks, telephone (landline), stationeries and other office supplies required by the project 5,000.00 Direct Procurement

Audit Fee 2 annual audits for the project 4,000.00 Direct Procurement

$ 134,000.00

International Consultant International AccreditationSpecialist 30,000

Local Consultant Climate Change Communication Specialist 28,800Local Consultant Project Coordinator/ Team Leader 48,000 Local Consultant Climate Change Policy and Planning Specialist 28,800 Local Consultant Climate Finance Programming Specialist 28,800 Local Consultant Gender Specialist 28,800 Local Consultant Accreditation Specialist 28,800 Local Consultant Climate Change Project Development Specialist 28,800 Local Consultant Climate Change Technical Specialists 28,800 Local Consultant Senior Finance and Administrative Officer 26,749.20

$ 306,349.20

$2,000-$5,000Direct Procurement Month 1 Month 3

Month 1Month 1

Month 2Month 2

Direct Procurement $2,000-$6,000 Month 5 Month 6

Direct Procurement $2,000-$6,000 Month 10Month 8

Month 17

Month 15

Month 18

Month 17

$1000-$5,000

Month 3

Month 3

Open tender

Direct Source

$25,000-$50,000

$40,000-$50,000

Month 2

Month 1

Month 3

Month 2

Sub-Total (US$)

Month 2 Month 3

Open tender $3,000 - $50,000 Month 2 Month 3


Open tenderOpen tender

Open tender $20,000 - $50,000

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.

Open tender $20,000 - $50,000 Month 3 Month 4Open tender $20,000 - $50,000 Month 2 Month 3

$2,000-$5,000

Month 1 Month 3

Direct Procurement


Direct Procurement

Direct Procurement $2,000-$6,000

$2,000-$6,000

Goods and Non-Consulting Services

Procurement Method

Thresholds (Min-Max monetary value

for which indicated procurement method

must be used)

Estimated Start Date

Projected Contractin

g Date



Month 4

$2,000-$5,000

$20,000-$50,000$40,000-$50,000

Direct Procurement Month 2 Month 4

Month 4

$2,000-$20,000

$2,000-$20,000

$2,000-$20,000

Request for Quotations/ $2,000-$20,000

$2,000-$20,000

Month 1

$1,000-$5,000

$2,000-$6,000

Month 18

Month 5

Sub-Total (US$)

Month 14


Month 11 Month 23

Month 3

TBC

Month 1

Month 9

Consultancy Services

Month 3

TBC

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