Terms of Reference for Grant Assistance for the Preparation of the Risk Resiliency and Sustainability Program. Task: Program Development

Transcription

1 Terms of Reference for Grant Assistance for the Preparation of the Risk Resiliency and Sustainability Program Task: Program Development A. BACKGROUND Recognizing the critical and complex short- to long-term challenges, the Philippines has demonstrated leadership early on through its strong commitment to a comprehensive climate change policy, institutional, and financing reform agenda. Since 2009, the Government has embarked on several reforms to improve its policy framework for climate response: The Climate Change Act 2009 (CCA) calls for the systematic integration of climate change in various phases of policy formulation, development plans, poverty reduction strategies and other tools and techniques by all agencies of the government. The National Framework Strategy on Climate Change in 2010 defined the overall objectives and the scientific evidence base for climate action. The National Climate Change Action Plan (NCCAP) in 2011 provided a long term roadmap for climate action for reaching its two ultimate outcomes (i) enhanced adaptive capacity of communities, resilience of natural ecosystems, and sustainability of built environment to climate change, and (ii) successful transition towards green growth. Climate change adaptation and mitigation was one of five Key Results Areas (KRA) in President Aquino s Social Contract with the Filipino people, and the Philippines Development Plan identifies climate risks as one of the major challenges to the country s inclusive growth goals. The Government has also issued a complementary policies on disaster risk reduction and management during this period to enhance convergence between climate adaptation and disaster risk reduction actions. This includes the Philippine Disaster Risk Reduction and Management Act of 2010 which emphasized a substantial policy shift from emergency response to disaster preparedness, risk reduction, prevention and mitigation, rehabilitation and recovery, and financial protection. As a result of these policy reforms, the scope of the Government s climate change response has been further defined across agencies and at the national and local levels. National Government Agencies (NGAs) have to some extent integrated climate adaptation measures into sectoral plans and programs including agriculture, natural resources, and rural and urban infrastructure. At the local level, climate change adaptation and disaster risk reduction are also aimed to be integrated into local development plans and land use plans guided by the DRRM-CCA planning guidelines. The cross-sectoral nature of climate response necessitated a number of important institutional reforms that facilitated dialogue across NGAs and with LGUs and aimed to strengthen convergence across programs. To better coordinate the climate response, the Government strengthened institutional arrangements for planning and delivering climate action by establishing the Climate Change Commission. It is supported by climate change offices and focal points of key NGAs and LGUs to implement climate change strategies and measures. The Cabinet Cluster on Climate Change Adaptation and Mitigation, a cross-departmental mechanism that includes secretaries of ten departments and agencies, was created to strengthen the delivery of results of the Key Result Area 5 corresponding to the integrity of the environment and climate change adaptation and mitigation. The Philippines DRRM Act of 2010 also established the National Disaster Risk Reduction and Management Council to coordinate and manage all disaster risk management interventions of government. 1

2 The Government has demonstrated a strong effort to increase finance for climate adaptation and risk resiliency, particularly through the mobilization of domestic resources in the context of a growing national budget, which has been buttressed by a strong economy that has led to a sizeable fiscal space. This overall financing effort has been articulated under two pillars: (1) disaster response financing and disaster risk insurance, and (2) climate adaptation, resilience building and disaster risk reduction investment. The first pillar emphasizes the need for a financing strategy at the national, local, and individual level for disaster risk recovery and response. The second pillar relates to scaling up direct, larger scale, convergent investments for climate adaptation and risk resiliency, supported by improved integration of climate and disaster risks into regular planning, financing and execution processes. In this context, the Government has started to leverage climate change as one growing driver of planning, prioritization, and budgeting processes. Through its national budgeting process, the Government has set the stage to more effectively identify, plan, budget, monitor and report its action on climate change. This has allowed government policymakers to better understand the scope, take stock of the national climate change response, and assess the institutional readiness for scaling up climate change finance. A significant innovation and element of the climate financing reform agenda was the program convergence budgeting (PCB) adopted by the Department of Budget and Management (DBM), which has provided an opportunity to bring together under a convergence program, and scale up, climate change actions by NGAs. The PCB is meant to better allow the Government to focus the available fiscal space on key priority programs that support the achievement of the Government s KRAs. As such, the Cabinet Cluster on CC Adaptation and Mitigation (CCAM) formulated the Risk Resiliency Program (RRP) as the framework program to assist the GOP to deliver the outcomes for KRA-5 particularly on strengthening the resiliency of natural ecosystems and the adaptive capacity of vulnerable groups and communities to short and long term risks using a landscape management approach in the 18 major river basins of the country. Further, The People s Survival Fund (PSF) in 2012 established a dedicated source of financing for climate action by local government. To further scale up climate action, the Government aims to mobilize additional domestic and international resources that would allow for: i) investment for enhancing climate resilience supporting climate change adaptation as well as low carbon growth, and, ii) ensuring insurance that is affordable to poor and vulnerable households and support development of mandatory disaster insurance for local governments and to promote a reinsurance mechanism at the international level. Despite this strong progress, commitment and leadership, the Government s response to climate change needs further improvement on a programmatic basis, as it remains fragmented and limited in scope and effectiveness. The planning and execution, implementation, and operational frameworks remain a work in progress and correspondingly, the budgeting process could also be strengthened, building on the important development of the past three years. There is, clearly, a significant opportunity and need to build on the achievements and lessons learned from the past few years to further develop a Government national response program for climate risk adaptation and resilience. The Government has set in motion a process to address these gaps as it envisions an operational framework to improve the response to climate risks through better adapted and more resilient ecosystems, infrastructure, and livelihoods in vulnerable areas across key Philippine landscapes. 1 CCAM Cabinet Cluster Resolution indicates that a national Risk Resiliency and Sustainability Program (RRSP) would be developed, with support from the World Bank/PPCR, to serve as the framework program for national investment aimed at building climate resilience. 1 In line with the Intergovernmental Panel for Climate Change (IPCC) Assessment Report climate risks are defined as the risk of climate change impacts as determined by the interaction of hazard, exposure and vulnerability. 2

3 The RRSP would aim to increase investments and their results by 1) improving understanding of adaptation and resilience investment needs through identification of climate risks; 2) increased mobilization of adaptation and resilience investments through risk-informed identification of options, planning and financing; and 3) strengthened response to climate risks through efficient and resultsoriented execution of adaptation and resilience investments. Through these, the RRSP would improve climate processes between NGAs, LGUs, and communities through consensus building and coordination among agencies, cross-sectoral convergence and complementarity of investments, and effective mechanisms for planning, budgeting, execution, monitoring and evaluation, and learning. The RRSP could involve programs, activities and projects (PAPs) within four components, which would complement other activities that are critical for building adaptive capacities and resilience, such as improved health services and social protection: (i) (ii) (iii) (iv) Reducing exposure through ecosystem stability and resilience: Investments in sustainable management of natural resources and ecosystem services (e.g. protection of forest/mangroves, re/afforestation, rehabilitation of degraded landscapes, sustainable management of timber and fish stocks, soil and water quality management, etc); Reducing asset vulnerability through protective and resilient infrastructure: Investments in rehabilitating existing and developing new physical structures (e.g. soil and water impounding structures, embankments, evacuation roads and shelters, resilient housing and roads, early warning systems, etc); Increasing coping capacity through sustainable and resilient livelihoods: Investment in strengthening and diversifying income activities and providing insurance (e.g. increase productivity through improved techniques, create new incomes through cash-for-work programs, micro-enterprises, timber plantations, nature-based tourism, weather-based insurance products, etc); Cross-sectoral response to climate risks through information, knowledge, and institutional capacities: Areas would include data systems including a collection of climate data, analytical tools, climate information services, trainings and programs for risk-informed planning, and risk-informed development plans and strategies. The CCAM welcomed the support of the Pilot Program for Climate Resilience (PPCR) 2 of the Climate Investment Fund (CIF) as it offers the opportunity to support the operationalization of the RRSP at a larger and targeted scale. On January 15, 2016, the PPCR Multilateral Development Bank (MDB) Committee approved USD 1,500,000 in PPCR Funding towards the preparation of the Strategic Program on Climate Resilience (SPCR) for the Philippines, with Department of Environment and Natural Resources (DENR) as the Government focal point and the WB as the lead MDB for its preparation. 3 The grant proposal confirmed that the RRSP would constitute the SPCR of the Philippines. The preparation of the RRSP, will follow five complementary building blocks, which aim to enable the Government of the Philippines to increase climate adaptation and resilience investments and their effectiveness in reducing climate risks impacting people and livelihoods in key vulnerable landscapes of the Philippines: 2 The PPCR is designed to pilot and demonstrate ways to integrate climate risk and resilience into developing countries core development policies and planning. 3 DENR as the assigned focal agency for the CIF, submitted an Expression of Interest (EOI) to participate in the PPCR in March 2015 The Philippines were selected as a new pilot country during the meeting of the PPCR sub-committee on May 14,

4 I. Business case and knowledge for the RRSP: the development of the technical, socioeconomic, and policy-based rationale for a national program that enables risk-informed planning, budgeting, prioritization, and implementation; II. Scope, content, and approach: the development of criteria and tools to formulate the scope, content, and approach of the RRSP; III. Execution processes and modalities: the development of institutional and operational mechanisms and procedures to translate plans and budgets into implementable actions and initiate program roll-out; IV. Monitoring, evaluation, and reporting: the development of the framework to monitor, evaluate and report RRSP results and allow feedback and learning; and V. Consultative Process: securing inclusive cross-sector, cross-level dialogue and/or consensus across key stakeholders to prepare and implement the RRSP. It is in this context, that this context will support the GoP in formulation of the RRSP through the preparation and facilitation of these five building blocks. This assignment will initiate the work and lay the ground for developing and undertaking more specialized studies and developing the five building blocks as well as the operational framework for the RRSP. B. OBJECTIVE The objective of this assignment is to support the GoP in the formulation of the RRSP program through the technical and logistic preparation of the development of the Business Case & Knowledge, Scope, Content & Approach, Execution Processes & Modalities, Monitoring & Evaluation Framework, and Consultative Process. The firm will liaise between the GoP and the World Bank and other Development Partners through close interaction and engagement with the inter-agency RRSP Steering Committee and the inter-agency Technical Working Groups and DENR Program Development Secretariat. More specifically, the assignment aims to enable the GoP to: (1) Identify existing knowledge, institutional and financing gaps for responding to climate risks in the Philippines through a gap analysis based on a review of existing policies, studies, frameworks and documents. (2) Inform the scope and content of the analytics, technical tools and frameworks produced for the RRSP implementation through targeted inputs into specialized studies including economic analysis, risk assessment, incentive and finance framework, resilience investment planning framework and roll-out framework, and M&E scoping paper. (3) Secure inclusive cross-sector, cross-level dialogue and/or consensus across key stakeholders on the RRSP formulation through the organisation of consultation events throughout the preparation process; (4) Define the direction of the RRSP through the preparation of the program development notes on consultation, business case, scope and content, procedures and processes, and M&E. (5) Develop an operational framework for the RRSP through inputs into final program document, as well as planning update, investment plans, operations manuals, and M&E protocols & work plan; 4

5 C. SCOPE This assignment will contribute to the development of the five building blocks of the RRSP preparation: I. Building Block 1. Business Case & Knowledge: The objective of this block is to develop the technical, socio-economic, and policy-based rationale for a national program that enables riskinformed planning, budgeting, prioritization, and implementation. Building on an initial stocktaking, this will include: (1) a knowledge, institutional, finance gap paper with a synthesis of existing knowledge and rationale for a national program, including a policy review of current gaps in institutional and legal frameworks, financing and policies; (2) national-level risk assessments of climate hazards and their potential socio-economic and environmental impacts across provinces and landscapes, (3) a national-level economic analysis of investment needs and their financial and social costs subject to uncertainty; (4) a business case note that summarizes the climate hazards and their socio-economic and environmental (current and projected) impacts, investment options and their social and financial costs and current gaps in institutional and legal frameworks, policies, and financing; and (5) a planning update to integrate climate risks into key planning frameworks. II. III. IV. Building Block 2. Scope, Content & Approach: The objective of this block is to develop criteria and tools to formulate the scope, content, and approach of the RRSP. This will include: (1) a focus and prioritization technical paper with an overview of existing criteria, analyses, decisionsupport tools, information and data used for site selection and prioritization of adaptation and resilience investments; (2) in-depth case studies of climate risks, including different hazards and their impacts in selected sites in key landscapes; (3) in-depth case studies of the costs and benefits of investment options to make selected provinces and landscapes climate-resilient subject to uncertainty; (4) a scope and content note specifying (i) the technical and socio-economic (e.g., gender, poverty) and spatial criteria for site selection, including prioritization of landscapes through vulnerability assessment tools; (ii) the criteria for eligibility, prioritization and types of investments and actions (including benefits and costs); (iii) the criteria for determining eligibility, capacity and implementation readiness; and (5) investment plans outlining an initial set of investments (3 years and rolling) for the first phase. Building Block 3. Execution Processes & Modalities: The objective of this block is to develop institutional and operational mechanisms and procedures to translate plans and budgets into implementable actions and to initiate program roll-out. This will include: (1) an implementation guidance note summarizing the institutional and planning arrangements for the RRSP including the identification of the required institutional processes, planning, budgeting, and implementation modalities; (2) an incentive and finance framework outlining the potential incentive mechanisms and funding arrangements to incentivize NGA-LGU convergence and participation, including through public and private sector finance; (3) a resilience investment planning and roll-out framework to guide convergent national and local investment plans and to mobilize public and private funding; (4) processes and procedures note to implement area-based investments at landscape and LGU level; and (5) operational manuals detailing the technical requirements for technical design, selection and approval processes, procurement, financial management, safeguards, O&M, and M&E. Building Block 4. Monitoring & Evaluation Framework: The objective of this block is to develop the system to track, report, monitor, and evaluate RRSP results and allow feedback and learning. This will include: (1) a tracking and M&E analytical note mapping current roles, responsibilities, capacities, institutional arrangements, procedures, and processes for adaptation and resilience related M&E and to identify existing gaps; (2) a M&E scoping paper that defines options to develop a systematic approach to results monitoring, impact evaluation, knowledge management and learning; (3) a M&E note outlining the program-level results chain that maps 5

6 the expected cross-sectoral outputs, outcomes and impacts of the various RRSP inputs and activities and describes the RRSP scorecard template with key program-level results indicators for Cabinet-level oversight and management; (4) investment-specific M&E protocols for results monitoring of the different PAPs and work plans for conducting baseline surveys for the evaluation of strategic elements of the first-phase of the RRSP. V. Building Block 5. Consultative Process: The objective of this block is to secure inclusive crosssector, cross-level dialogue and/or consensus across key stakeholders (e.g., NGAs, LGUs, CSOs, NGOs, Private Sector, Academia, and development partners) to prepare and implement the RRSP. This will include: (1) engagement capacity support to the key agencies for the RRSP preparation; (2) joint MDB missions to support the RRSP preparation; (3) consultation events for the preparation of the RRSP; (4) communication and outreach materials summarizing the recommendations for RRSP implementation; and (5) a consultation note outlining the development of a consultation and stakeholder engagement plan for implementation, monitoring and feedback on the program. D. TASKS All tasks under this assignment are undertaken in close consultation with the GoP and with guidance and supervision of the World Bank. For all tasks the firm will closely interact and engage with the interagency RRSP Steering Committee and multi-agency Technical Working Groups and DENR Program Development Secretariat. A key element of this assignment is also to build on, and connect the development of this work with, other relevant tasks and products (funded by the WB, ADB, IFC, or other development partners), such as, for example (the list is to be further refined): - the development of tools to prioritize investments types that reduce disaster risks in most riskprone provinces (NEDA), - planning tools for integrated water resource management (DPWH & DENR), - WAVES work on natural capital accounting and the valuation of coastal protection services of mangroves and coral reefs (DENR), - PROFOR case studies on the resilience functions and values of forest (DENR), and - a case study on social protection, disaster risk management, and climate resilience (DSWD). The following include an indicative list of tasks that will be further refined as needed in the inception note and throughout the process: (1) Prepare and draft gap analysis: This task includes the review of existing adaptation and resilience-relevant economic and scientific studies, legal, institutional and policy frameworks and documents at national and sub-national level, M&E approaches applied by NGAs and LGUs, data and information building on an initial stock-taking exercise. It will also cover a synthesis of national and international approaches, experiences and best-practice example of institutional and planning arrangements, site selection, mobilization of public and private finance, investment prioritization, investment tracking and results monitoring, evaluation and reporting from adaptation and resilience initiatives. A knowledge, institutional and finance gap paper, a focus and prioritization technical paper, an implementation guidance note and a tracking and M&E analytical note will be drafted and revised based on feedback from stakeholder consultations and expert reviews. A more detailed description of this task is presented in Appendix I. 6

7 (2) Provide targeted inputs into specialized studies including economic analysis, risk assessment, incentive and finance framework, resilience investment planning framework and roll-out framework, and M&E scoping paper. Based on close liaison and coordination with the consultants of these studies, this task will involve identification of relevant policies, studies, frameworks, and documents, collection of relevant data, as well as preparing meetings with technical counterparts. (3) Document consultation events to ensure adequate capture of discussions and provide consistent quality meeting and workshop materials including agenda that will be undertaken as part of the preparation process. This task will be carried out jointly with the Program Support Secretariat of the DENR and working under the guidance and supervision of the Technical Working Group. The meetings and workshops will include periodic consultation meetings of the multi-agency technical working group to present and discuss findings and recommendations as a means to obtain feedback, guidance and help build consensus as the work proceeds. (4) Support preparation of the program development notes on consultation, business case, scope and content, procedures and processes, and M&E. This tasks involves the preparation and drafting of written materials for developing the five building blocks of the RRSP in close consultation with the multi-agency Steering Committee and Technical Working Groups, as well as the World Bank team and consultants drafting the notes on behalf of the GoP. (5) Support the development of the final operational framework, including a program document, planning update, investment plans, operations manuals, and M&E protocols and work plan. This task involves the support of the multi-agency Steering Committee and Technical Working Groups, as well as the World Bank team and consultants drafting the framework on behalf of the GoP. E. DELIVERABLES The assignment will produce the following deliverables under each task: (1) Review and Gap Analysis Documents: Written documents and presentations, as well as data and information repository for each: i. Knowledge, Institutions, Finance Gap Paper (40-50 pages) with a synthesis of existing knowledge and rationale for a national program, including a policy review of current gaps in institutional and legal frameworks, financing and policies. The paper should include an executive summary, a detailed description of information and data sources used, the main results and a discussion of the policy implications for the RRSP concerning (i) climate hazards and their socio-economic and environmental impacts, (ii) technical and investment needs and their financial and social costs; (iii) current gaps in institutional and legal frameworks, policies and financing. This background paper should cover various aspects outlined in Appendix I and be sufficiently detailed to inform an analytical report on the business case for a more comprehensive and targeted approach to address adaptation and resilience through the RRSP and a guidance Note for the updating of overall planning frameworks (e.g., PDP and related PIP development, NCCAP update, Filipino 2040, SDGs, GCF adaptation investment Readiness exercise, other climate funds and initiatives). ii. Focus and Prioritization Technical Paper (ca. 30 pages) with an overview of existing criteria, analyses, decision-support tools, information and data used for site selection and prioritization of adaptation and resilience investments, including recommendations for criteria and assessments to be undertaken and an initial list of priority landscapes, sites and investments 7

8 types, which will be further refined through the risk and economic study. This note should be sufficiently detailed to inform the subsequent preparation of Operation Manuals, particularly in regard to procedures and approaches to assist in the design and feasibility assessment of programs, activities and sub-projects to be supported. iii. Implementation Guidance Note (ca. 20 pages) summarizing the institutional and planning arrangements for the RRSP. The note should outline the institutional requirements for implementing the RRSP from national-level oversight and departmental program planning and execution, through to LGU implementation, and the planning processes and instruments through which national strategic objectives and programs are to be integrated with provincial plans and investment programs and public and private sector finance can be mobilized. iv. Tracking and M&E Analytical Note (ca. 20 pages) mapping current roles, responsibilities, capacities, institutional arrangements, procedures, and processes for adaptation and resilience related M&E and to identify existing gaps and options to develop a systematic approach to investment tracking, results monitoring, impact evaluation, knowledge management and learning. (2) Targeted Inputs into Specialized Studies: existing materials from other sources as needed to undertake a climate risk assessment and economic analysis of adaptation and resilience investment options, develop an incentive and finance, investment planning and roll-out framework and prepare a M&E scoping paper: i. Studies and documents, including extracts policies, legislations and frameworks made available upon request of the consultants of the other studies to inform and guide their work. ii. Data collected from national data sources where these data are not easily accessible for the consultants of the other studies. (3) Consultation Event Documentation i. Meeting and workshop agendas: Clear description of the workshop objectives, annotated outline of the content and logistics of each sessions, and a list of invitees. ii. Meeting and workshop materials: Presentations, hand-outs and other materials to inform and guide the workshop discussions. iii. Meeting and workshop summaries: A detailed write-up of the discussions and main conclusions including lists of participants (4) Inputs into the Program Development Notes: as needed written summaries or extracts, and data tables or visuals to be included in the business case, scope and content, delivery mechanisms, M&E framework and consultation note. In particular this will include written statements of key considerations and directions for these elements as prepared by the inter-agency RRSP Steering Committee and Technical Working Groups: i. Business case inputs: Materials and statements of relevance for determining the main climate risks, adaptation and resilience investment options and current gaps in institutional and legal frameworks, policies, and financing. 8

9 ii. Scope and content inputs: Materials and statements of relevance for specifying (i) the technical and socio-economic (e.g., gender, poverty) and spatial criteria for site selection, including prioritization of landscapes through vulnerability assessment tools; (ii) the criteria for eligibility, prioritization and types of investments and actions (including benefits and costs); (iii) the criteria for determining eligibility, capacity and implementation readiness. iii. Procedures and processes note: Materials and statements of relevance for defining the procedures and to implement area-based investments at landscape and LGU level. iv. M&E note: Materials and statements of relevance for developing the program-level results chain that and the RRSP scorecard with key program-level results indicators for Cabinet-level oversight and management. v. Consultation note: Materials and statements of relevance for developing the consultation and stakeholder engagement plan for implementation, monitoring and feedback on the program. (5) Inputs Into Final Operational Framework: as needed written summaries or extracts, and data tables or visuals to be included in the program document, planning update, investment plans, operations manuals, and M&E protocols and work plan. This will include written statements of key considerations and directions for the program development as prepared by the inter-agency RRSP Steering Committee and Technical Working Groups. F. PAYMENT SCHEDULE Through the Program Development Secretariat draft outputs are to be submitted to the Technical Working Groups for discussion and comments, and final outputs to the RRSP Steering Committee for review and approval. The World Bank team plays a quality assurance role by reviewing all draft and final documents before they are submitted to the Program Development Secretariat, and before final payment. Payments are made subject to meeting the quality standards upon clearance by the World Bank. The submission of the deliverables is organized into two phases: (i) phase I for the preparation of the review and gap analysis and targeted inputs into the specialized studies from May till October 2016 (50% of the contact value), and (ii) phase II for coordination and inputs into the program development notes and the final operational framework from November 2016 till May 2017 (50% of the contract value). When Deliverable Payment May 1 Signature of contract 10% June 30, 2016 Inception report with a separate note for each deliverable outlining the work plan, information sources, team and resources 10% August 31, 2016 First drafts of the Review and Gap Analysis documents presented: Targeted Inputs into Specialized Studies as requested. 10% 9

10 October 31, 2016 February 28, 2017 Final drafts of Review and Gap Analysis documents presented: Targeted Inputs into Specialized Studies as requested. Inputs into Program Development Notes to be presented 20% 20% May 31, 2017 Inputs in Final Operational Framework 30% G. REQUIREMENTS The firm to be hired should meet the following criteria: Inter-disciplinary staff with a minimum of M.Sc degrees in the relevant fields (including environmental economics, soil management and hydrology, climate science, disaster risk management, and institutional and legal frameworks) with ten years of experience; Experience in informing climate and disaster related planning and policy implementation based on applied science/economics; Experience working with NGAs and LGUs on climate and disaster risks management related issues; Expertise in using and interpreting hazard maps and climate change scenarios for analysing environmental impacts, including a sound understanding of topography, hydrology and soil science; Expertise in socio-economic assessments of policies and investments, including sectoral and distributional impacts, cost-effectiveness and cost-benefit analysis; Expertise in review of institutional, legal and policy frameworks related to climate change and disaster risk management in the Philippines; Expertise in investment tracking and results monitoring and evaluation of program, activities and projects in the context of larger landscape, infrastructure, livelihood and capacity building initiatives; Expertise in LGU planning, implementation and M&E processes and capacities, their strength and weaknesses; Complete fluency in the English language, including excellent demonstrated English writing skills. H. PROPOSALS Proposals are to be submitted to the World Bank and will be jointly evaluated with RRSP Steering Committee. Submissions should include: (i) technical proposal describing the work plan including implementation steps, information sources and staff expertise and staff weeks for each deliverable, as well as CVs for each staff member and a detailed timeline; (ii) a financial proposal outlining the costs broken down by each deliverable and staff member. 10

11 APPENDIX I. Task Description: Review of existing policies, studies, frameworks and documents and gap analysis The Review and Gap Analysis forms a key element of the RRSP preparation, as it will lay the ground for developing the building blocks of the RRSP and more specialized studies. It should provide the incoming Administration with an underpinning of the decision and options to continue the efforts and implement the RRSP as an inter-agency, cross-sectoral operational framework to respond to climate risk across different landscapes. Through a systematic review of existing information, experience and activities, this task will cover four elements: (i) an analytical overview of knowledge for climate-informed decision-making and identify gaps to show why the current ways of doing business from national to local level need to be changed to effectively respond to climate risks, (ii) recommendations for the criterial analyses, decision-support tools, data and information to use for use for climate-informed site selection and investments prioritization; (iii) recommendations for the institutional and planning arrangements and public and private financing options to translate the RRSP into implementable investments on the ground, and (iv) options for tracking adaptation and resilience investments and to monitor, evaluate and report their results and impacts. I.1. Rationale and Needs for a National Program The assignment will require an analytical synthesis of i) existing knowledge, tools and experience, and ii) the needs for a national program to address climate risks including an assessment of the following: I.1.1. Climate hazards and their socio-economic and environmental (current and projected) impacts Based on existing scientific studies on climate hazards and economic studies of their impacts on different sectors and groups, this assignment will include an analysis of current knowledge on the extent of short to longer term climate risks for the Philippines. This work will provide the context for a more detailed climate risk assessments. In particular, the consultant will provide an analytical overview of existing information at the sub-national, national level and provide a synthesis of: i. Main climate hazards by region and provinces (and finer spatial scales where possible), including natural disasters and climate shocks under current conditions and in climate change scenarios until 2100 using existing hazard maps and new down-scaled climate scenarios being produced by the Philippine Atmospheric, Geophyscial and Astronomical Services Administration (PAGASA); ii. Environmental impacts of the relevant climate hazards on different landscapes and ecosystems considering different climate change and land use scenarios; iii. Macro-economic costs of relevant climate hazards in main sectors (with a focus on agriculture, transport, water supply, fisheries & forestry) in different climate change and socio-economic scenarios (i.e. costs of inaction); iv. Distributional impacts of relevant climate hazards based on an analysis of the exposure, vulnerability and coping capacity of different groups with a focus on poor people, considering different climate change and socio-economic scenarios. I.1.2. Technical and investment options to reduce climate risks Based on existing data and information, this assignment will undertake a qualitative assessment of technical and investment options, which will also inform a more detailed economic analysis of investment options. As list of possible investment areas for investing in ecosystem stability and resilience, protective and resilient infrastructure, and sustainable livelihoods across different landscapes will be prepared including a detailed analytical discussion of: i. Past and current adaptation and resilience investments and their effectiveness in addressing climate risks across key landscapes, their financial costs and broader economic, environmental, and social impacts; ii. Potential technical and investment options to reduce climate risks in different climate change scenarios across different landscapes, ecosystems, sectors and social groups as identified above; 11

12 iii. iv. Environmental and social co-benefits and impacts of technical and investment options identified in ii); Key costs elements of the technical and investment options in identified in in different climate change scenarios. I.1.3. Identify ccurrent gaps in institutions, policies and financing for adaptation and resilience investments This assignment will undertake a review of institutions, legislation, polices and expenditure and finance flows. Drawing upon experience and lessons from previous programs and interventions, including national and subnational level, initial recommendations should be derived on potential institutional, legal, and policy reforms and finance needed to address key gaps. The review should assess: i. Availability of data and information related to climate risks and how it is used to inform planning, budgeting, investment prioritization and implementation. This would include: a) an analysis of the current institutional mechanisms, mandates, and data sharing protocols for the generation and use of data and information related to climate risks; b) an analysis of the internal agency investment programming processes (across key relevant agencies including DENR, DA, DPWH, DOE, DOTC, etc.) to assess how climate risks information and data are being used during program, activity, and project formulation; c) an analysis of how LGUs are currently leveraging climate risks information and data) in investment programming process (this would likely require a case study of LGUs across different income classifications, geography, and capacity); ii. Mechanisms for which government agencies and other stakeholders (NGAs, LGUs, CSOs, private sector) in the Philippines deliver adaptation and resilience investments, including examples of this being done in an effective, convergent manner on the ground (across NGAs, between NGAs, LGUs, across Gov-CSO-private sector); iii. Current institutional and financial incentives and disincentives (for NGAs, LGUs, CSOs, and private sector) for investing in adaptation and resilience in the Philippines across selected landscapes and for executing, monitoring, and oversight of those interventions; iv. Current capacity, awareness & knowledge gaps of government agencies and other stakeholders (NGAs, LGUs, CSOs, private sector) in the Philippines as it pertains to delivering adaptation and resilience investments in an effective, convergent manner on the ground (across NGAs, between NGAs, LGUs, across Gov-CSO-private sector). v. Current finance flows and potential finance sources for adaptation and resilience investment, including a review of public climate expenditure and current gaps (building on the Climate Budget Briefs), as well as private sector finance and means to mobilize private resources. I.2. Approach for Site Selection and Investments Prioritization The assignment includes a review of existing approaches including the criteria applied, analyses, decision-support tools, data, and information for site selection and investment prioritization. This review should focus on work done at the national, and sub-national level in the Philippines, but also draw on international experiences taking into account data and capacity constraints in the Philippines. This work should also build on other work, such as the planning tools for integrated water resource management developed by DPWH and DENR in collaboration with the WB and the disaster resilience and risk measurement tool being developed by NEDA and the World Bank to assess the priority provinces and policy areas for investments. I.2.1 Technical and socio-economic, spatial criteria and analyses for site selection, including a prioritization of landscapes The assignment will include the development of recommendations for the spatial targeting of adaptation and resilience investments and site selection in non-urban areas across key landscapes, including: i. Priority landscapes according to their exposure to climate hazards and presence of vulnerable assets and socio-economic groups considering non-urban areas including coastal and marine areas, forested and/or 12

13 ii. iii. iv. protected areas and watersheds, upland agricultural and livestock lands, irrigated agricultural land, periurban areas, etc; Approaches to assess the exposure of different provinces, sites and social groups to the main climate hazards as identified; Approaches to assess the vulnerability of assets and social groups in different provinces and sites to the main climate hazards; Approaches to assess the socio-economic capacity within different provinces and sites to manage the main climate hazards. I.2.2. Develop criteria for eligibility, prioritization and types of investments and actions The assignment will also include the development of recommendation for the prioritization of adaptation and resilience investments relevant for investing in ecosystem stability and resilience, protective and resilient infrastructure, and sustainable livelihoods. This work should cover: i. Approaches to assess the effectiveness of different investment options to respond to climate risks in different climate change scenarios; ii. Approaches to assess social and financial costs (including implementation, maintenance, but also transaction and opportunity costs) of different investment options to respond to climate risks in different climate change scenarios; iii. Options to undertake a comprehensive cost-benefit analysis of different investment options to respond to climate risks in different climate change scenarios considering their wider economic benefits and social and environmental impacts. I.2.3 Develop criteria for determining eligibility, capacity and implementation readiness The assignment will also include the development of recommendations for the selection of LGUs to participate in implementing investments and activities under the RRSP, building on and expanding on criteria such as: i. Performance in internal housekeeping, such as local legislation, development planning, resource generation, resource allocation and utilization, customer service, and human resource management and development, as for example defined by the Seal of good housekeeping by DILG; ii. Co-finance mobilization: as for example implementation arrangements signed by the Local Council as a basis for annual financing or ability to leverage private sector resources; iii. Ability to undertake risk informed investment implementation, such existence of climate and disaster risk relevant plans or hazard and vulnerability information; iv. Capacity and commitment to undertake results-oriented investment implementation, as for example measured by staff and systems for M&E and reporting. I.3. Institutional, Planning and Financing Arrangements The assignment will include the identification of recommendations for the institutional and planning arrangements for the RRSP that translate national-level and departmental programs and plans into implementable LGU adaptation and resilience investments. In undertaking the work, the approach should take into account that the RRSP may well need to provide for different approaches, timelines and procedures; i.e., not one size may fit all. While some interventions must be directed and implemented by National Agencies, it is equally the case that for many interventions, achieving the integrated and mutual reinforcing impact desired through convergence, will require mechanisms for more effective localized planning, prioritizing, financing, operation maintenance and monitoring and evaluation. Institutional arrangements should, to the extent feasible, not impose any new structure or authority, but rather work through and accommodate existing institutions and procedures. While it is envisaged that the National RRSP would be a framework program providing a common set of strategic objectives, policies and procedures, and risk, and resiliency outcome indicators, it is anticipated that each implementing agency would adopt and implement the RRSP in accordance with their own institutional arrangements, e.g., in regard to how they partner with LGUs, provide technical services and undertake, procurement, accounting, monitor and evaluate performance. 13

14 Provincial Governments, through their planning process, are seen as the key interlocutor for all RRSP investments/interventions that require the participation and or cooperation of local government and communities for their successful implementation and sustainability. The mechanism by which this needs to be achieved should to the maximum extent follow existing planning and implementation mechanisms, so as to have a program that attracts a high level of commitment and support; i.e., is providing resources in a way that is implementable, transparent and meets priority needs established on well-defined technical grounds. Planning processes should provide for linkages between top-down strategic objectives and the bottom-up provincial plans; a process that must be based on agreed scientific climate change, technical and socio-economic related criteria. This should, to the maximum extent feasible, build on existing LGU planning mechanisms. Such planning processes, in keeping with the LGU code, would also need to provide for convergence within and between National Government Agency Programs and those of LGUs. Particular attention should be given to those agencies with substantial climate change programs and key activities (e.g., DPWH, DENR, DA, DAR & DOST). In developing the institutional, planning and financing arrangements for the RRSP, an assessment should be made of existing arrangements, to draw out best practices, lessons and options. The following should be specifically addressed: i. Identification of the appropriate RRSP- National Policy and Coordinating Body. Determine the legal framework needed to provide the national oversight, policy and strategic guidance and coordination. To this point the CCAM has led the RRP, although the future of the Cabinet Cluster in the next Administration needs to be determined and its functions and modus operandi reconfirmed or modified as appropriate, taking account, in particular, of the strategic plan of the CCC; ii. iii. iv. Guidelines and work agenda for a RRSP National Policy and Coordinating Body. Building on a review of existing functions and guidelines, define the proposed leadership, membership, legal framework requirements, and modus operandi for this oversight body (e.g. secretariat requirements, functions, location, capacity, budgetary needs, M&E responsibilities etc.).. Based on ongoing and planned initiatives especially of the CCC and NEDA, an agenda should be developed of where decisions are needed for the RRSP (e.g. in terms of key strategic objectives, policy imperatives, budget formulation and planning guidelines, drafting of executive and administrative orders needed to facilitate convergence, data management for M&E, provision of secretariat functions, etc..). This should be based on an assessment and assimilation of the other substantial initiatives underway or planned, especially by the CCC and NEDA. Recommendations as to the incentive framework that could be required to encourage active NGA and LGU engagement. Such incentive frameworks should take account of additional incentives for those interventions often perceived as being of a lesser priority e.g., longer-term impact.(refer to Incentive Framework Discussion Paper for the RRSP); Planning processes to be followed under the RRSP should be defined taking account current RRP modalities at NGAs level, as well as other initiatives to consolidate and strengthen LGU plans and planning processes. Such assessment and recommendations should address how LGU plans are to be integrated across Landscapes/River Basins and how convergence between PAPs is to be facilitated. This should take account of the different coordination mechanisms operating across watersheds, coastal areas and Regions and the relative strengths of each. v. Recommendations to improve targeting and mobilization of public and private finance. Options include the improvement of current allocation and tagging of domestic expenditure for climate change adaptation and resilience, access to international climate funds (e.g. SPCR or GCF) and mechanism to leverage leveraging private sector resources. I.4 Investment Tracking and M&E This assignment will cover a systematic review of existing information, experience and activities undertaken both in the Philippines and internationally in order to identify current gaps and options for improved investment tracking and results monitoring, evaluation, reporting and learning, including: 14