With Deutsche Gesellschaft fuer Internationale Zusammenarbeit (GIZ) GmbH for Republic of Ecuador - Green Climate Fund
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with Deutsche Gesellschaft fuer Internationale Zusammenarbeit (GIZ) GmbH for Republic of Ecuador 22 November 2019 | NDA Strengthening & Country Programming
Programme title: Ecuador NDA Institutional Strengthening and Digitalization Process Country: Ecuador National designated authority: Ministry of Environment Implementing Institution: Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH Date of first submission: Click or tap to enter a date. Date of current submission / Click or tap to enter a date. V.## version number
Readiness and Preparatory Support
Page 2 of 21
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 countries@gcfund.org.
- 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
countries@gcfund.org.
- You can also complete as much of this document as you can and then send it to countries@gcfund.org,
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.
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.
Please submit the completed form to:
countries@gcfund.org
Please use the following naming convention for the file name:
“GCF Readiness Proposal-[ECUADOR]-[2019/08/15]”Readiness and Preparatory Support
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1. SUMMARY
Country name: Ecuador
Name of institution representing NDA or Focal Point: Ministry of Environment
Name of contact person: Steven Petersen
Contact person’s position: Undersecretary of Climate Change
Country submitting
the proposal Telephone number: + (593 2) 398 7600 • Ext. 1302
Email: steven.petersen@ambiente.gob.ec
Full office address: Madrid 1159 y Andalucía, Quito-Ecuador
Additional email addresses that need to be copied on correspondences:
gabriela.vargas@ambiente.gob.ec; ricardo.proano@ambiente.gob.ec
Date of initial
21 August 2019
submission
Last date of V.5
5 November 2019 Version number
resubmission
☐ National designated authority
☒ Accredited entity
☐ Delivery partner
Please provide contact information if the implementing partner is not the NDA/focal point
Name of institution: Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH
Which institution will
implement the Name of official: Dennis Mutschler-Neumann
Readiness and Position: Focal Point GIZ Readiness Portfolio
Preparatory Support
Telephone number: +49 228 446080-1463
project?
Email: dennis.mutschler@giz.de
Full office address: Friedrich-Ebert-Allee 40, 53113 Bonn, Deutschland
Additional email addresses that need to be copied on correspondences:
dorothea.kallenberger@giz.de, willy.alarcon@giz.de; carla.gavilanes@giz.de;
christian.cutiupala@giz.de
Title of the Readiness Ecuador NDA Institutional Strengthening and Digitalization Process
support proposal
Please select the relevant GCF Readiness activity area below (click on the box):
☒ I. Country capacity for engagement with GCF
Type of Readiness ☒ II. Country programming process
support sought ☐ III. Direct access to climate finance
☐ IV. Climate finance accessed
☐ V. Formulation of national adaptation planning and/or other adaptation planning processesReadiness and Preparatory Support
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The Readiness proposal has the objective to support the NDA, as the main beneficiary of the
readiness, to have a better organization to improve complementarity and coherence between
the activities of the GCF and the activities of other relevant institutions, to better mobilize the
full range of financial and technical capacities ‒ focusing on the optimization of organization
and human capacities inside the organization ‒ and to enhance the efficiency and
transparency of the processes of the NDA by implementing digital solutions. To achieve this
the proposal builds on the existing structures from previous readiness proposals and transfer
them into a multi-functional system that enables systematic and strategic steering of Ecuador’s
engagement with the Green Climate Fund.
“Green Climate Fund Readiness and Preparatory Support for Ecuador”
From the results of this Readiness project this proposal will:
• develop a digitalized No objection procedure and if possible, optimize it,
• use any relevant information from the capacity building material developed, and
lessons learned
• support the project ideas identified in the “No-objection” process
• build on the capacities generated in the Interinstitutional Committee on Climate
Change (CICC)
“Enhance the capacity of Decentralized Autonomous Governments to access and manage
climate finance in Ecuador and contribute to the implementation of the NDC”
This proposal will:
Brief summary of the • facilitate that the projects in the pipeline start the “no objection” process, in particular
request the 4 concept notes to be developed.
• link their platform with the digital dashboard.
• Outreach all identified stakeholders for the development of the climate finance
strategy.
• use the material produced and lessons learned
Components of the proposal
• Capacity Strengthening, supporting the NDA Team to adequately fulfil its roles and
responsibilities in the relation to the GCF.
• Digital dashboard, a web-based system to help streamlining the NDA operating and the
“No-Objection” processes. Developed in the readiness programme ECD-RS-001
• Climate Finance Strategy, to set an operative framework for climate finance in
Ecuador
• MRV of Climate Finance, for increasing efficiency of international support and
domestic mobilization efforts
• Outreach & Dissemination. systematically informing stakeholders on key aspects such
the accreditation process, the no-objection procedure, best practices and the overall
context in which the GCF operates
All intellectual material and goods produced in the Readiness programme will be property of the
Ecuadorian NDA. Moreover, all deliverables produced will be uploaded in the digital dashboard
and will be available for all public. Moreover, the Ecuadorian Constitution stablishes that every
person has the right to have access to all information produced by public institutions.
The Ecuadorian NDA has in-house teams to properly administer the assets to be acquired during
the implementation of the Readiness Programme.
Total requested EUR
Anticipated duration 18 months
amount and currency 450.000Readiness and Preparatory Support
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☒ Yes
☐ No
ECD-RS-001. Proposal that defined a strategic engagement framework with the
GCF. The grant assisted with developing a first set of guidelines for processes
and structures required for fulfilling these functions. These include a guideline
for the no-objection procedure; kick-starting the process to formalize relations
with the GCF (incl. Privileges & Immunities); an initial outline for a climate finance
strategy; as well as an online platform to monitor budgetary and other public
climate flows in the country
ECD-RS-002. “Enhance the capacity of Decentralized Autonomous
Governments to access and manage climate finance in Ecuador and contribute
Has the country received or is to the implementation of the NDC”. Aiming to strengthen the capacities of
expecting to receive other Readiness Governments at provincial level in Ecuador to be able to access climate finance
and Preparatory Support funding from the GCF and other sources of finance for the implementation of strategic
allocations (including adaptation and prioritized climate related activities.
planning) from GCF or other
donors? Readiness Proposal “Green Climate Fund Readiness and Preparatory Support
for National Adaptation Plan in Ecuador” to initiate the development of its
National Adaptation Plan (NAP) following the directives of its National Strategy
for Climate Change (NSCC) as a principal means for its implementation.
Note: The Digital Dashboard will build on the results of [ECD-RS-001] by
transferring the guidelines and protocols for no-objection developed under that
readiness grant into a digital system. It further complements an online climate
knowledge platform for local governments created under readiness proposal
[ECD-RS-002]. Close coordination will ensure avoiding duplication. Set up of the
system includes south-south cooperation with the NDA team of Bangladesh that
already implemented such a system with support by [BGD-RS-002].Readiness and Preparatory Support
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2. BACKGROUNDReadiness and Preparatory Support
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Ecuador has an important legal framework on climate change. Based on the Constitution, since 2008, where
mitigation and adaptation are priority issues in the country. Plan Nacional Desarrollo 2017-2021 with its Objective
3: Guarantee the rights of the nature for present and future generations, its objective that seeks to promote good
practices that contribute to the reduction of pollution, conservation, mitigation and adaptation to the effects of
climate change, and promote them at the global level. Moreover, since 2013, Ecuador has its National Strategy
for Climate Change (NSCC), which includes mitigation and adaptation goals for the short, medium and long term.
Although the country has a legal framework on environmental and climate change, the mobilization and
monitoring of financial resources for the implementation of programs and projects can be optimized. Since the
nomination of the Ministry of Environment as the NDA, senior officials in the Ministry have performed various
NDA functions, such as organizing stakeholder engagement events, managing review processes for funding
applications by accredited entities, and tracking financial flows in an ad hoc manner. The objective of this
readiness request is to build on these existing structures and transfer them into a multi-functional system that
enables systematic and strategic steering of Ecuador’s engagement with the Green Climate Fund. To achieve
this, the readiness request comprises the following components:
Capacity Strengthening of NDA Team
Accredited entities in Ecuador require further guidance to develop high-quality proposals that respond to national
priorities and advance the objectives of national policies and strategies. Working knowledge of the GCF and its
policies by NDA staff is key for serving this need. Focused trainings for NDA personnel on the digitalized no-
objection procedure, strategies for private sector engagement, and modalities of the PPF as well as the SAP will
strengthen these capacities.Readiness and Preparatory Support
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The readiness programme will produce a readiness plan that will define the functions and actions items for the
NDA for its work with the GCF
Digital Dashboard
With increased interest and awareness of national and local stakeholders in the GCF, effective coordination and
efficient management of project ideas will become critical. A web-based system will help in electronically
streamlining and improving standard NDA operating processes: These include:
• A dedicated website for the NDA to provide an entry point for all engagement on climate finance
• An application software for managing the “No-objection” procedure for project proposals and concept
notes.
Functionality: Accredited Entities submit their proposals and concept notes online through the website.
NDA staff can assign reviews of proposals to members of the Inter-institutional Committee for Climate
Change (expert reviews). Digital checklists assist reviewers to ensure alignment with countries priorities
and country programme and specific timelines. Applicants receive compiled feedback online including
further guidance for finalization or resubmission.
Review guidelines and checklists will be elaborated using existing material and adapting it to the specific
circumstances of Ecuador.
The NDA has legal mandate and the resources and the to ensure that any digital product is properly maintained
after the end of this programme
Outreach & Dissemination
Currently there is a lack of key information available on Ecuador’s engagement with the GCF for systematically
informing stakeholders on key aspects such the accreditation process, the no-objection procedure and the
overall context in which the GCF operates in (linkage to NDC and Paris Agreement). Materials will include
brochures as well as video tutorials for stakeholder how to use the digital dashboard application to submit
project proposals.
The information will be developed in Spanish taking into consideration existing information from the GCF and
other readiness programmes and will be adapted for the specific circumstances of the country,
Since the approach of this readiness goes around digitalization, any training will be developed on-line and
materials produced as well as attendance lists and reports and feedback from participants will be collected and
evaluated in order to improve any future training.
Best practices will also be disseminated to show how project ideas in Ecuador went from project idea to
approved funding proposal, his will help to provide an idea on what is expected from the GCF
Climate Finance Strategy
Readiness grant [ECD-RS-001] supported the initial steps for developing a climate finance strategy: Guidelines
for constructing the strategy are in place, as well as a participatory mechanism that supported initial discussions
with selected stakeholders. It is important to take this work forward by developing the actual strategy that sets
an operative framework for climate finance in Ecuador.
The Climate Finance Strategy will set national climate change related investment priorities and the mechanisms
to implement them in the short and medium term. It will help to integrate the NDC and NAP into the national
planning and budgeting processes, considering scenarios and strategies for accessing and allocating funds.
Furthermore, it will identify resources from government budget, the GCF, climate funds, donors, and private
sector.
MRV of Climate Finance
Monitoring climate finance flows is an important ingredient for increasing efficiency of international support and
domestic mobilization efforts. Readiness grant [ECD-RS-001] created an online platform to monitor the public
budget assigned to climate change activities in order to monitor the country’s financial expenditures in climate
change. Readiness grant [ECD-RS-002] is in the process of conducting a brief document on climate investments
on finance at the province level. This readiness grant will focus on bringing these two aspects together in a
nation-wide MRV system that includes local, national, international and private sources of finance. Strengthening
MRV capacities will also benefit GCF-FP-095 “Transforming Financial Systems for Climate” as robust data and
analysis on existing climate flows will help to identify key interventions that have the potential to contribute towards
making all financial flows compatible with low-carbon and climate-resilient development.
Figure: Interlinkages between different of the different componentsReadiness and Preparatory Support
Page 9 of 21Readiness and Preparatory Support
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3. LOGICAL FRAMEWORK AND IMPLEMENTATION SCHEDULE
Activities 2 Anticipated duration: 18 months
(brief
Outcomes Baseline 1 Targets description Monthly implementation plan of activities 3
and
deliverables) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36
1 2
Outcome 1: Sub-Outcome Activity 1.1.1:
Institutional 1.1: Build an expert
capacity and NDA leads an team inside the
coordination effective NDA to increase
mechanisms in operation operational
x
place to govern mechanism capacity of the
and coordinate NDA
climate action
and finance Deliverable 1.1.1:
Country-specific
Readiness plan
1 2 Activity 1.1.2:
Develop
information material
for the NDA, which
will contain
systematized key
information on how
the fund operates
and its alignment
with Ecuador's
National Climate
Change Strategy
x x x
and NDC.
Deliverable 1.1.2:
Three information
materials (related
to: 1. No-objection
procedure; 2.
Accreditation
procedure; 3.
Application and
assessment of
projects)
1 2 Activity 1.1.3: x x x
1
For baselines rated at 1 or 2, please shortly elaborate on current baselines on which the proposed activities can be built on, processes that are in place that the current Readiness proposal can strengthen, or any gaps
that the proposed activities would fill in. If more space is needed, please elaborate this in Section 2.
2
Please include tangible and specific deliverables for each activity proposed, and the timeframe (month number) in which it will be delivered to GCF. Please note that during implementation all deliverables should be
included within the implementation reports for GCF consideration.
3
If the duration of the proposal is longer than 24 months, please change the monthly columns to indicate 2 or 3 months each (e.g. change month “1” to month “1-2’ or “1-3”).Readiness and Preparatory Support
Page 11 of 21
Support the NDA
in the organization
of GCF knowledge
dissemination
events to engage
key stakeholders
Deliverable 1.1.3:
Three Inclusive
events will serve to
showcase GCF
and the NDA
processes and
support structures
and also will
provide information
on relevant
projects and
financial
instruments
1 2 Activity 1.1.4:
Undertake
workshops
targeted at NDA
personnel on
GCF’s operational
modalities,
including its
financial
instruments.
Deliverable 1.1.4: x x x
Three Technical
events will focus
on more specific
aspects that will be
identified in the
inclusive events or
in the interaction
with the
stakeholders that
participate on
them.
Sub-Outcome 1 2 Activity 1.2.1:
1.2: Increase Develop guidelines
capacities in on how to assess
the CICC to submissions for
assess the project.
funding
x
proposals Deliverable 1.2.1:
One document
with the guidelines
on how to prepare
an assess a
proposalReadiness and Preparatory Support
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Sub-Outcome 0 1 Activity 1.3.1:
1.3: NDA ‘No Implement digital
Objection’ solution to
procedure for increase efficiency
funding and transparency
proposals and in the “No-
PPF Objection”
x
applications is Procedure
digitalized
Deliverable 1.3.1:
One on-line system
for No-objection
procedure.
Sub-Outcome 0 1 Activity 1.4.1:
1.4: Monitoring Identify climate
and finance flows
verification within the country
systems for considering
climate different climate
finance flow - finance sources
Process for an (national,
MRV for international,
climate private) x
finance flow
from public Deliverable 1.4.1:
and private One study to
sources is identify climate
designed finance flows
considering
national,
international, and
private sources)
0 1 Activity 1.4.2:
Design the process
for the MRV for
climate finance in
the country. x
Deliverable 1.4.2:
MRV Process
defined
Outcome 2. Sub-Outcome 0 2 Activity 2.1.1:
Climate 2.1: Climate Develop a climate
finance finance finance framework
strategies and strategy
project pipeline defines the Deliverable 2.1.1: x
strengthened potential use A climate finance
of a strategy exists
combination of
funding.
Outcome 3: Sub-Outcome 0 1 Activity 3.1.1:
Improved 3.1: Best Develop and
x
Knowledge practices with disseminate
management respect to information andReadiness and Preparatory Support
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system of the institutional awareness-raising
NDA capacity activities
building, and
direct access, Deliverable 3.1.1:
are collected One information
and material related to
disseminated GCF approved
projects and their
results.Readiness and Preparatory Support
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4. ADDITIONAL INFORMATION (ONLY FOR ADAPTATION PLANNING SUPPORT)
This section is only to be completed when seeking support for formulation of national adaptation plans and/or
other adaptation planning processes. Please see Part 3 Section 4 in the Readiness Guidebook.Readiness and Preparatory Support
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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.
Detailed Budget (in EUR)
Total Budget
Outcomes Budget Categories Total Budget Total Budget
Unit # of Unit Unit Cost (per outcome)
choose from the drop-down list (per budget category) (per sub-outcome)
Consultant - Individual - International W/Day 20 850,75 17.015,00
Consultant - Individual - Local W/Day 270 196,48 53.050,00
Consultant - Individual - Local W/Day 270 131,48 35.500,00
IT Equipment misc 1 3.600,00 3.600,00
1.1: NDA leads an effective operation Office Supplies misc 1 3.500,00 3.500,00
209.378,43
mechanism Travel – Local Trip 8 575,00 4.600,00
Travel - International Trip 3 2.500,00 7.500,00
Audio Visual & Printing misc 1 2.500,00 2.500,00
Workshop/Training Workshop 3 3.000,00 9.000,00
GIZ + PMC + Contingency + Indirect
misc 1 73.113,43 73.113,43
1. Country capacity Cost
Consultant - Individual - International W/Day 30 292,33 8.770,00 394.528,10
strengthened 1.2: Increase capacities in the CICC to
GIZ + PMC + Contingency + Indirect 14.957,00
assess funding proposals Sub-outcome misc 1 6.187,00 6.187,00
Cost
Consultant - Individual - Local W/Day 150 300,00 45.000,00
1.3: NDA ‘No Objection’ procedure for IT Equipment misc 1 15.000,00 15.000,00
funding proposals and PPF applications is Workshop/Training Workshop 3 2.500,00 7.500,00 104.516,37
digitalized
GIZ + PMC + Contingency + Indirect
misc 1 37.016,37 37.016,37
Cost
1.4: Monitoring and verification systems for Consultant - Individual - International W/Day 35 815,14 28.530,00
climate finance flow - Process for an MRV Consultant - Individual - Local W/Day 90 150,00 13.500,00 65.676,30
for climate finance flow from public and
GIZ + PMC + Contingency + Indirect
private sources is designed misc 1 23.646,30 23.646,30
Cost
2. Clim ate finance Consultant - Individual - Local W/Day 80 288,75 23.100,00
2.1: Climate finance strategy defines the
strategies and project 36.809,30 36.809,30
potential use of a combination of funding. GIZ + PMC + Contingency + Indirect
pipeline strengthened misc 1 13.709,30 13.709,30
Cost
Consultant - Individual - Local W/Day 40 180,00 7.200,00
3. Im proved Know ledge 3.1: Best practices w ith respect to
m anagem ent system of institutional capacity building, and direct Audio Visual & Printing misc 1 4.000,00 4.000,00 18.662,60 18.662,60
the NDA access, are collected and disseminated GIZ + PMC + Contingency + Indirect
misc 1 7.462,60 7.462,60
Cost
Total Outcom e Budget 450.000,00
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.Readiness and Preparatory Support
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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 4 “Disbursement of Grants” and 5 “Use of Grant Proceeds
by GIZ” of the Framework Readiness and Preparatory Support Grant Agreement entered into between
GCF and GIZ on 6 September 2016 (the “Framework Agreement”). The Delivery Partner is entitled to
submit 2 request(s) for disbursement each year, and an Interim Request for Disbursement within 30 days
of approval by the GCF of a proposal, which must be in accordance with the Framework Agreement.”
The tentative disbursement schedule is detailed in the following table
Year Disbursement date Amount (EUR)
2020 2 January 2020 175.000
1 July 2020 140.000
2021 2 January 2021 60.000
31 May 2021 75.000Readiness and Preparatory Support
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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.
GIZ has a Framework Agreement with the GCF to act as the Beneficiary s implementing partner, if nominated
to that role by the relevant Beneficiary for the implementation of Readiness Support to GIZ Partner Countries.
The Ecuadorian NDA has nominated GIZ to be its Delivery Partner for this readiness proposal, whereby the
funds will be disbursed from the GCF to GIZ to undertake the project implementation.
Overall, the activities will be steered through a project steering committee (PSC). The PSC will comprise of the
NDA and GIZ. It will provide oversight on the implementation of the Readiness Programme, including taking
strategic decisions towards the achievement of the Programme’s objectives, defining of the consultants’
strategic outcomes and deliverables as well as approval of the inception report, interim progress reports,
completion report provided by the delivery partner, and any other assignments contributing towards the
Programme’s objectives, as may be required during the course of implementation.
The proposed activities will be implemented over a 18 month period by GIZ, as the delivery partner, as well as
being the grant recipient, working in close collaboration with the NDA. GIZ is responsible for the
implementation of the activities and will coordinate and cooperate closely with the NDA. GIZ will be
responsible for the fiduciary management.
The activities described in this Readiness Proposal will be executed by the GIZ Programme “Sustainable
Intermediate Cities - CIS” under the leadership and guidance of the NDA and supported by the global GIZ
Climate Finance Readiness Programme.
GIZ as the delivery partner will assume the overall organization and responsibility for project implementation in
terms of provision of technical expertise and guidance.
- Monitor project activities, including financial matters, prepare semi-annual reports.
- Prepare annual work plan of activities in coordination with the NDA.
- All deliverables will be submitted to the NDA for their appraisal before submission to the GCF.
- The hiring process of the experts/consultants will take place in close coordination with the NDA, in
line with GIZ recruitment processes.
- In collaboration with the NDA, GIZ will also procure services and goods that are consistent with GIZ
and the Government of Ecuador procurement policies
- Consultants will be designated on a competitive basis and according to detailed terms of reference.
- For items such as venues and travel for stakeholder workshops, a shopping method will be used at
all times seeking competitive quotes above pre-set thresholds.
Figure: Structure of operation for the implementation of the readiness projectReadiness and Preparatory Support
Page 18 of 21
The PSC will comprise of the NDA and GIZ. It will provide oversight on the implementation of the Readiness
Programme, including taking strategic decisions towards the achievement of the Programme’s objectives,
defining of the consultants’ strategic outcomes and deliverables as well as approval of the inception report,
interim progress reports, completion report provided by the delivery partner, and any other assignments
contributing towards the Programme’s objectives, as may be required during the course of implementation.
The decision-making process will be based in consensus but if no agreement is reached then NDA will have
the last decision, meetings will be held at least once per month, additional meetings will be decided on ad-hoc
basis.
For the case of procurement and consultancies GIZ standards will be followed.
The following process thresholds shall apply to national/regional/local procurement of goods and services
Procurement of Goods and Services
Method Threshold
Direct procurement by Project (no tender) ≤ 1.000 Euro
Restricted tendering by GIZ bureau 1.000 – 2.500 Euro
Restricted tendering by GIZ bureau* 1.000 – 20.000 Euro
Tender by publication (by GIZ bureau in coordination with > 20.000 Euro
headquarter)*
Local Subsidies (by GIZ bureau) ≤ 50.000 Euro
Local Subsidies (by GIZ bureau in coordination with headquarter) > 50.000 Euro
EU wide procurement (by GIZ bureau in coordination with headquarter) ≥ 209.000
Hotel, Event and Catering by Project (direct procurement) ≤ 1000 Euro
Hotel, Event and Catering by GIZ bureau (restricted tendering) ≤ 20.000 Euro
*Exceptions possible under GIZ rules and regulations for direct awards without tendering if only one
supplier/consultant/company is suitable or order placement is objectively urgent.
The following process thresholds shall apply to international procurement of goods and services
Procurement of Goods and Services
Method Threshold
Direct procurement by GIZ headquarter ≤ 1.000 Euro
Restricted tendering / Direct contracting by GIZ headquarter 1.000,01 – 8.000 Euro
Restricted informal tendering by GIZ headquarter* 8.000.01 – 50.000 Euro
Formal tendering by GIZ headquarter* ≥ 50.000 Euro
EU wide procurement by GIZ headquarter ≥ 221.000 EuroReadiness and Preparatory Support
Page 19 of 21
Hotel, Event and Catering by GIZ headquarter Euro ≤ 20.000
*Exceptions possible under GIZ rules and regulations for direct awards without tendering if only one
supplier/consultant/company is suitable, or order placement is objectively urgent.
6.2 Risks, monitoring and evaluation (M&E), and other relevant information
Risk assessment
Risks Likelihood Impact level Mitigation actions Responsible
of
occurrence
Delay in recruiting low Low Upon endorsement of the work NDA/DP
national/regional plan, procurement will be
and international facilitated by the NDA to
experts promptly recruit national and
international experts having
experiences in high quality
advisory services in readiness
capacity building in line with
GCF requirements
Competing official Medium Low The DP will ensure clear NDA/DP
assignments that understanding of the PSC
might result in roles and responsibilities and
failure by PSC to defining expectations from the
meet regularly as committee members from the
required onset, adopting a schedule of
meeting agreed upon by
members in advance
Lack of Medium Medium The readiness project will NDA/DP
coordination prioritize outreach and give
among technical support and advice
stakeholders on the basis of clearly
identifying functions,
responsibilities and associated
areas
Staff turnover Low Medium Evaluate the institutional NDA/DP
changes and continue to
maintain the flexibility and
adjust to any new functions
and/or missionsReadiness and Preparatory Support
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Changing Low Low Readiness project will focus on NDA/DP
requirements/ ‘no‐regret’ actions to
priorities of GCF strengthen institutional
effectiveness for climate
change response
How the project Low Low GIZ has internal policies to DP
will be prepared to ensure the business continuity
deal with potential in case of any potential
disruptions from disruption. Those policies will
conflict or natural be followed in case of any
disasters disruption due to external
factors
In addition, GIZ Ecuador has
developed rules and
recommendations on how to
deal with potential
emergencies and crisis and
they are in line with similar
regulations of other
international cooperation
organisms working in the
country.
Are there any Low Low GIZ has a worldwide normative DP
unique threats, addressing the issues raised in
risks, challenges this point. In broad terms, GIZ
or obstacles to policy requires that any activity
implementation, by an individual within the
particularly with organization must be
respect to money controlled (reviewed, double
laundering, checked) by a second
terrorism individual that is independent
financing, or and competent.
prohibited
practices that In addition, GIZ offices all over
have been the world follow country
identified in the specific policies and
project? If so, recommendations.
have any
strategies or
planned efforts to
identify, monitor,
address and
mitigate those
threats,
challenges, risks
or obstacles been
made?
After approval of the Grant, a notification letter will be sent by the GCF to the NDA. The date of such
notification of approval by the GCF will be treated as the start date for project implementation and from that
date, the end date of implementation will be calculated taking into account the total duration of the project as
presented in the approved proposal”
Experience of the delivery partnerReadiness and Preparatory Support
Page 21 of 21
GIZ has been working in Ecuador for more than 25 years with the objective of contributing and reciprocally
helping in matters of common interest for the promotion and technical and economic development. The
decision to work with GIZ in this readiness proposal is because GIZ has experience implementing similar
readiness programmes in other countries, so the lessons learned from those programmes could be used in
Ecuador.
Currently the GIZ work in Ecuador in climate change programs and projects comprise more than 30 million of
Euros. The most recent cooperation between GIZ and the NDA are the support in the preparation of the NDC
(together with the NDC Partnership and CAEP), the implementation of projects in adaptation to climate change
in certain areas of the country (ProCamBio II), the development of policies for a sustainable cities
development (Sustainable Intermediate Cities); and there are other projects being developed for the
implementation of the NDC and the scaling up of climate change measures in rural areas that could
complement the work of the proposed Readiness Programme. FC
In addition, GIZ has a vast experience supporting several developing countries with different readiness
programmes. In special this proposal takes from readiness porogrammes implemented in Bangladesh and in
Peru.
Lessons learnt from past Readiness projects
The NDA has identified the following lessons from the implementation of previous readiness programmes that
are relevant for this proposal:
• It is necessary to keep a good coordination arrangement among NDA, Delivery Partner, independent
experts and other direct and indirect beneficiaries of the readiness grant to prioritize actions and stay
on track with the timelines and deliverables.
• It is necessary to identify and involve key institutions for the success of outcomes that have
overarching strategic importance such as the climate finance strategy. Working closely with local
institutions is key as they have relevant knowledge and expertise that will be essential for making the
deliverables aligned with the country context.
• A key priority is the improvement of the “No-objection” process in order to reduce turn-around time for
the review of project proposals and concept notes and make the process transparent and inclusive
for all stakeholders.
• The use of a digital platform will increase the transparency of the “No-objection” process and ensures
that project ideas are really rooted within country structures, are ambitious, and result in
transformational impact in key climate relevant sectors.
• Experience shows that working with strategic partners increases the outreach of information and
increase the possibility to generate projects from different stakeholders from national government to
local institutions.
The NDA and GIZ have several years of experience in working together through different projects. In the
process of developing the proposal key stakeholders were already identified that should be involved during the
implementation of the readiness project such as ministries, development banks and private sector
organizations.
Monitoring and Evaluation
In line with the Framework Agreement, the project will undertake continuous monitoring of the project to
provide mechanism for regular collection of information on progress to support oversight and adaptive
management.You can also read
