GCF Templates and Guidance: Window A

Transcription

1 GCF Templates and Guidance: Window A [COVER PAGE] General Information Applicant: Jurisdiction: Project title: Proposed start date: Proposed duration (must not exceed 18 months): Total request in USD (must not exceed $400,000): Applicant contact details Contact name: Title: Organisation: Address: Phone: Jurisdiction contact details (if multiple jurisdictions, please list each jurisdiction separately) Contact name: Title: Department: Address: Phone: 1

2 Proposal Outline 1. Rationale and Approach 1.1. Summary 1.2. Self-Assessment 1.3. Strategic Opportunities 1.4. Objectives and Expected Results 1.5. Description of Project Activities 1.6. Implementation Plan and Timeframe 1.7. Cross-Cutting Themes 2. Risks, Monitoring and Evaluation 2.1. Risk Management 2.2. Monitoring 2.3. Sustainability of Results 3. Budget 2

3 Template and Guidelines The following template and guidelines are designed to assist the jurisdiction and its selected partner to formulate and submit a proposal for funding under Window A of the Norwegian government s pledge to the Governors Climate and Forests Task Force (GCF). 1 It is expected that the proposal will be developed in close collaboration between the jurisdiction and its partner, and will reflect the particular jurisdictional context, priorities, and needs. In accordance with the Overall Framework, a proposal under funding Window A should be accompanied by an official letter from the Governor of the relevant member jurisdiction that: a. confirms the jurisdiction s commitment to the Rio Branco Declaration; b. describes the current status of the jurisdiction s efforts to develop or update a strategy and investment plan; c. confirms the jurisdiction s partner; and d. describes the jurisdiction s intended contributions, including in-kind contributions and co-financing, to the development or improvement of a strategy and investment plan (to be presented to UNDP under this window). An additional eligibility requirement is for member jurisdictions to ensure that information in the Governors Climate and Forest Task Force (GCFTF) database is up to date and that the 2017 GCF Annual Survey (circulated January 2018) has been completed. The proposal should include a cover page, a table of contents, and should contain approximately 12 pages of single-spaced text (plus tables, charts, and diagrams). All proposals should be submitted to alexis.arthur@undp.org in English, French, Spanish, or Portuguese. 2 The proposal includes three main sections: Rationale and Approach (Section 1); Risks, Monitoring & Evaluation (Section 2); and Budget (Section 3). Further detail on each of these sections is provided below. 1. Rationale and Approach This section will outline the problem that the jurisdictional strategy and/or investment plan aims to address and the means by which this process will occur, as well as expected outcomes and the means by which these will be achieved. This process will begin with a brief selfassessment, which will allow the jurisdiction and partner to identify the gaps and strategic opportunities that will then help frame the proposal s expected results and workplan. For more information on what constitutes a jurisdictional strategy and investment plan, as well as other jurisdiction-wide initiatives that may be considered under Window A, please refer to the Concept Note on Jurisdictional Strategies and Investment Plans. 1 Please direct any questions regarding the template and guidance or preparation of proposals to Ms. Alexis Arthur (alexis.arthur@undp.org) 2 Indonesian jurisdictions are requested to prepare their proposals in English. 3

4 1.1. Summary (1/2 page) This section will provide a brief outline of the proposal for development of a jurisdictional strategy and/or investment plan under Window A. It should also state briefly why the jurisdiction needs or merits financial support to develop a new or improve an existing strategy and/or plan. In the case of a jurisdiction that has already completed a jurisdictional strategy and/or investment plan, please refer to the additional options outlined in the Concept Note Self-Assessment (2 4 pages) The purpose of the self-assessment is to provide a brief overview of jurisdictional processes already in place, to evaluate the status of jurisdictional strategies and investment plans if relevant, and to identify the critical gaps and strategic opportunities that will guide the proposal for funding under Window A. The self-assessment should consider the following areas: Existing Jurisdictional Strategies Is there an existing jurisdictional REDD+ strategy? Yes No If yes, please provide name, year of approval, and link to the strategy online. What is the geographic coverage of the strategy? Which drivers of deforestation (direct and underlying) are addressed? Which agents of deforestation/change are associated? How does the strategy fit with the broader policy framework, including sectoral policies? Are there any inconsistencies? Is there a link between the jurisdictional strategy and national REDD+ strategy or processes? Yes No What about global processes? Yes No If yes, please describe. Is there a system for monitoring progress of the existing jurisdictional strategy (forest and non-forest data)? Yes No Please describe and provide links where relevant. Does the strategy link to national forest monitoring systems, safeguards information systems, or other relevant national/global monitoring processes? Yes No If yes, please describe. Other Relevant Low-Emissions Development Processes Are there any supply chain commitments and/or initiatives currently active in the jurisdiction? Yes No If yes, how does your existing jurisdictional strategy relate to existing sustainable supply chain initiatives, if at all? Are there any commitments and/or initiatives with Indigenous Peoples and/or Local Communities (IP/LC)? Yes No If yes, how does your existing jurisdictional strategy relate to existing IP/LC initiatives, if at all? Are there any other important projects or activities relevant to REDD+/LED occurring in the jurisdiction? Yes No If yes, please list the organisation(s) or partner(s) and briefly 4

5 describe the initiative(s). Financing and Investment Is the jurisdictional strategy supported by a clear and detailed investment/implementation plan? Yes No If yes, what is the reach of the investment plan (for example, geographic reach, sectoral reach)? Please describe. Have you identified the various existing financial streams that may be relevant to the implementation of the REDD+ strategy/plan and ways to engage them (at the very least public financial flows, domestic and international, and potentially private streams)? How much of the budget is being financed, and by whom? Are there opportunities to align existing financing to the jurisdictional REDD+ objectives? Yes No If yes, please describe. Learning from existing strategies or plans (if applicable) What have been the main results of the jurisdictional strategy(ies) and/or plan(s), and have they led to the expected outcomes and/or outputs? What is (still) needed in order to achieve the desired impact? Have there been any unexpected outcomes or outputs? What are the most important lessons learned (good or bad) from implementation of existing strategy(ies) and/or plan(s)? Describe the most important challenges in developing or implementing the strategy(ies) or plan(s)? Please consider the following: o Which aspects of the strategy(ies) and/or plans have not been implemented and why? o What are the ongoing barriers? Partner Capacity Does the partner organisation have a strong presence in the jurisdiction? Yes No Briefly describe any previous relevant REDD+/LED initiatives led by the partner organization. Is this a regional proposal? Yes No If yes, please describe why a regional approach is necessary. Does the partner have the capacity to effectively manage a project of this scale? Yes No Please describe. Is the partner working with other jurisdictions on separate proposals? Yes No If yes, does the partner have the capacity to work with multiple jurisdictions? Yes No Please describe Strategic Opportunities (1 page) Based on the self-assessment, this section should identify critical gaps and strategic 5

6 opportunities for the jurisdiction as a framework for the proposal. This section should refer to the specific jurisdictional context, its status on progress on REDD+ (and/or LED), new or unused opportunities, its priorities, and needs. This section should also describe the theory of change for how your jurisdiction will meet the targets of the Rio Branco Declaration given the particular circumstances in your jurisdiction. State what change is expected that will be directly attributable to the development of the jurisdictional strategy or investment plan. The theory of change may be represented as a diagram. Additionally, if there is an existing jurisdictional REDD+ strategy or investment plan in place, please consider the following questions: How will the existing REDD+ strategy or investment plan(s) be revised or updated? How will this process address any challenges experienced in developing or implementing jurisdictional REDD+ strategies and investment plans in the past? How can smart combinations of elements from existing REDD+ strategies, investment plans, and/or new ideas be used innovatively in building a meta-strategy to address new opportunities and challenges in the implementation of the Rio Branco Declaration and lay the foundation for further reductions in the post-2020 period? 6

7 1.4. Objectives and Expected Results (table) This section should be laid out as a results framework with expected outputs, output indicators, and targets. Please also include how you intend to collect data that demonstrates targets have been reached, as well as key assumptions for the project. Please note that indicators should be S.M.A.R.T. (Specific, Measurable, Attainable, Relevant, and Time-bound), provide accurate baselines and targets underpinned by reliable evidence and data, and avoid acronyms so that external audiences can clearly understand the results. Expected Outputs Output Indicators Data Source Baseline Targets Data Collection Method & Risks Value Year Key Assumptions

8 1.5. Description of Activities (1 page) The workplan should be a description of activities that outlines what will actually be done to produce the expected results and accomplish the project's objectives. There should be a clear and direct linkage between the proposed activities and the expected results or outcomes. Activity descriptions should be as specific as possible, identifying what will be done, who will do it, when it will be done (beginning, duration, completion), and where it will take place. This should be linked to the Theory of Change. In describing the activities, please identify the stakeholders involved in, or benefiting from, the activity. Additionally, you may consider the following questions: How have your prioritized your actions? How have you sequenced your actions? What can you do with existing resources? Have the costs of the actions been estimated? 8

9 1.6. Implementation Plan and Timeframe: Months (table) This section should indicate the sequence of all major activities and implementation milestones, including targeted beginning and ending dates for each step. Provide as much detail as possible at this stage. The implementation plan should show a logical flow of steps, indicating that all the things that must happen have been carefully thought through from the current to the end of project situation. Please include the required reports, reviews, and evaluation activities. And also, please indicate whether the government or partner will be responsible for carrying out each activity. If including the development of an investment plan, please describe the methodology to conduct a financial and economic appraisal, including risks. Implementation Schedule Expected Outputs 1. Monitoring 2. Monitoring Evaluation Planned Activities Responsible (government or partner) Q1 Q2 Q3 Q4 Q5 Q6 9

10 1.7. Cross-cutting Issues (2 pages) The following section outlines a series of cross-cutting issues that should also be captured in the process of developing a jurisdictional strategy and/or investment plan. Some of these areas were identified in the self-assessment process but will need to be discussed in terms of how they will be taken into account during this proposal. Interaction with Broader Policy Framework Please describe how the proposed strategy and/or investment plan will interact with other jurisdictional priorities. Consider what coordination is needed with national policies and processes and how your strategy will address potential conflicts with other identified jurisdictional priorities. Consider how the proposal aligns with and supports the country s nationally determined contribution (NDC) and how the process can help inform a revision to the NDC prior to Partnerships Please describe partnership needs and opportunities. For example, what are the assumptions and expected results to be achieved by partners that are critical for the achievement of the project s overall results? Where are the partnership opportunities between the jurisdiction and chosen partner as well as with other relevant partners? Multi-stakeholder Participation Please describe how relevant stakeholders were involved in proposal planning and design and how they will be involved in: i) implementation and ii) monitoring and evaluation. This information will serve a basis for assessing and understanding stakeholder participation and ownership. Jurisdictional processes involve multiple stakeholders and this section should identify engagement with national and sub-national government agencies, private sector entities, civil society organisations, and women, men and youth from forest-dependent communities, indigenous peoples, and smallholders. Gender Mainstreaming Please describe how the project will integrate a gender perspective and promote women s empowerment. To ensure such efforts advance gender equality and women s empowerment and thereby also more sustainable REDD+ and LED processes and outcomes, a gender approach needs to be integrated throughout the project, including in design, implementation, monitoring, and evaluation. This means the project needs to take into consideration the roles, needs, and priorities equitably of men and women (with a focus on the needs and priorities of women), and illustrate how these dynamics and considerations will be reflected in the design, implementation, results, and benefits of the project. 3 Thus, to adequately take gender and women s empowerment into account, the proposal needs to: 1) Provide information within the self-assessment on the gender context within the 3 For guidance and tips on how gender can be effectively integrated into these different sections of the proposal, please see Section 4 and Annex 1 of the UN-REDD Programme s, Methodological Brief on Gender. 10

11 jurisdiction. For example, on the different social, economic, cultural, and political conditions that both women and men (and youth, girls and boys when applicable) face, as well as identify any potential opportunities, barriers, risks, and inequalities among these groups. 2) Fully integrate gender considerations and women s empowerment within the proposal, including within the 1) objectives and expected results; 2) project activities; 3) implementation plan; 4) risks; 5) monitoring framework; and 6) budget. Knowledge Management and Communications Briefly describe how you plan to capture, share, and disseminate the results, knowledge, lessons learned, and good practices with relevant stakeholders in the jurisdiction. How do you plan to work with GCF s regional coordinators and the global Secretariat to communicate results at regional, national, and global levels? 2. Risks, Monitoring and Evaluation (2 pages) This section should detail the risks, issues, assumptions, sustainability strategies, and also describe the project work plan and monitoring during the implementation Risk Management (1/2 page) Please identify and list the major risk factors that could result in the project not producing the expected results. These should include external factors specific to the jurisdictional context, such as social and environmental issues, political factors, or risks specific to stakeholders or sectors involved in the development of the jurisdictional strategy (such as commodities producers or forest communities). The proposal should also identify internal factors such as jurisdictional or partner capacity and capabilities, and project ownership. Consider how your jurisdiction will manage potential risks and conflicts associated with the investments and funded activities. Please also propose mitigation measures to address the potential risks Monitoring (1/2 page) Briefly describe how you will measure progress against the results indicators over the course of the project Sustainability of Results (1 page) The proposal should outline the steps to be taken before, during, and at completion to ensure the sustainability of jurisdictional strategies and investment planning processes after all funds under Window A have been disbursed. Alternatively, consider how funding under Window A will catalyse impact for REDD+ jurisdictional processes beyond the project life cycle. Additionally, the proposal could consider how funding under Window A will lay the 11

12 foundation for innovative approaches under Window B and/or seeking additional funding to take REDD+ jurisdictional strategies and investments to the next phase. 3. Budget (to be included as separate excel file) Careful attention to issues of financial management and integrity will enhance the effectiveness and impact of jurisdictional processes. That said, every effort has been made to keep financial management requirements as straightforward and non-burdensome as possible. The following principles should be kept in mind in preparing the budget: Include only costs which directly relate to efficiently carrying out the activities and producing the objectives which are set forth in the proposal. Other associated costs should be funded from other sources. The budget should be realistic. Find out what planned activities will actually cost, and do not assume that you will be able to make do with less. The budget should include all costs associated with managing and administering the project. Please include the cost of monitoring and evaluation. Funds should be spent according to the agreed budget. All relevant, financial records should be made available. These may be independently audited and may become public information. The budget line items are general categories intended to assist in thinking through where money will be spent. If a planned expenditure does not appear to fit in any of the standard line item categories, list the item under other costs, and state what the money is to be used for. The figures contained in the budget should concur with those on the proposal cover page. Funding requests under Window A should not exceed four hundred thousand United States Dollars (US$400,000). Please include the jurisdiction s intended contributions, including in-kind contributions as well as additional co-financing (public, private, or other sources). The project budget should follow the results framework and be costed at output and activity level. 12