PROJECT PREPARATION FOR ENHANCING RESILIENCE OF RURAL COMMUNITIES BY IMPROVING WATER SECURITY IN VANUATU - Secretariat of the Pacific Community ...
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PROJECT PREPARATION FOR ENHANCING RESILIENCE OF RURAL COMMUNITIES BY
Application Title
IMPROVING WATER SECURITY IN VANUATU
Country/ Region Vanuatu
Accredited Entity Secretariat of the Pacific Community (SPC)
Approval Date 04/08/2021
Application Title Project preparation for enhancing resilience of rural communities by
improving water security in Vanuatu
Country(ies) Vanuatu
Accredited Entity Pacific Community (SPC)
Date of first submission/ [2020-09-30] [V.1]
Version number
Date of current submission/ [2020-01-28] [V.5]
version number
Please submit the completed form to ppf@gcfund.org, using the following naming 2020
convention in the subject line and the file name:
“PPF-[Accredited Entity]- [Country]-yyyymmdd”
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Notes
• The PPF supports the development of projects and programmes and enhance their quality at
entry into the Fund’s pipeline. With a view to enhancing the balance and diversity of the project
pipeline, the PPF is designed to especially support Direct Access Entities for projects in the
micro-to-small size category. International Accredited Entities seeking project preparation
support from the PPF are encouraged to do so especially for LDCs, SIDS and African countries
where no Direct Access Entity is accredited. All Accredited Entities are encouraged to articulate
counterpart support for project preparation within their requests for support from the PPF.
• A PPF submission should include below documents:
1. PPF request (this form)
2. PPF No-Objection letter (note1)
3. Concept Note
• Please copy the National Designated Authority (ies) when submitting this PPF request.
• Requests for support from the PPF should be submitted at the same time or following submission
of a GCF Concept Note for a project or programme.
• A guidance note is annexed to this application form and referenced throughout the document
• Further information on GCF PPF can be found on GCF website Project Preparation Facility
Guidelines.
List of acronyms
AE: Accredited Entity
GCF: Green Climate Fund
LDCs: Least Developed Countries
PPF: Project Preparation Facility
PMC: Project Management Costs
SIDs: Small Island Developing States
TORs: Terms of Reference
USD: United States Dollars
[Please add any other acronyms used in the PPF application here]
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Note: This template serves to apply for the project preparation facility service, as part of the
GCF Project Preparation Facility (PPF). This service is provided by a roster of independent
project development firms. This PPF access modality is different from the traditional modality.
Upon approval of a PPF service application, GCF, in coordination with the AE, will launch a
tender process to hire an independent consultancy firm, to undertake the approved activities
directly. Costs related to the consultancy firm will be borne by the GCF directly. Same as
traditional PPF applications, the AE would be responsible for the quality control of the final
products produced by the firm.
A. Executive Summary
Name: Cameron Diver
Position: Deputy Director General
Accredited Entity Email: camerond@spc.int
(AE)
Tel: +687 26 20 00 (Ext: 31117)
Full Office address: B.P.D5 – 98848 Noumea Cedex, New Caledonia
Yes ☒ No ☐ Yes ☒ No ☐
If yes, please indicate Has a No-Objection
Has a Concept Note
Letter (note 3) been (Please note that a PPF No-
(note 2)
been submitted in Project/Programme title:
(Requests for support from the PPF submitted for this Objection Letter is a
association with this
should be submitted at the same request for support from requirement for the
request for support submission of this request)
time or following submission of a the PPF?
from the PPF? GCF Concept Note for a project or
programme)
Anticipated Duration
(note 4) Number of months to implement the Project Preparation activities:7 months
(Please provide a maximum 200 words brief description of the Project Preparation activities to
develop the Concept Note into a Funding Proposal with support from the GCF’s Project Preparation
Facility.)
Projected climate change effects in Vanuatu such as more intense cyclones, more extreme
rainfall events, changes in ENSO oscillation, increased air temperature and sea level rise,
will result in additional impacts on water systems through, for instance, seawater intrusion,
physical damage and additional bacterial contamination. Rural communities are particularly
vulnerable to such impacts. With GCF support, this project will achieve a paradigm shift
towards climate resilient water security for rural communities across Vanuatu, by enhancing
community-based planning and adaptation for climate-resilient water management,
developing climate-resilient rural water infrastructure, and creating an enabling environment
at provincial and national level to better address climate risks associated with water security.
The project has initially been submitted as a concept note to the GCF in May 2019 and was
Summary of the approved by the GCF Climate Investment Committee on 3 September 2020. The PPF
request for Project support from GCF is needed to conduct the following activities, which will help identify and
Preparation support assess existing conditions, gather available information and fill information gaps to develop
an accurate full funding proposal: (i) a technical study to improve the climate rationale and
assess vulnerability of target areas to justify interventions; (ii) a stakeholder consultation;
(iii) a review of water management planning and implementation in rural communities from
a climate resilience perspective; (iv) a feasibility study including a cost-benefit analysis of
potential adaptation options; (v) an environmental and social impact assessment and
management plan; (iv) a gender assessment and action plan; (vi) a stakeholder
engagement plan; (vii) an assessment of project risks and mitigation actions; (viii) the
development of the project’s logical framework with associated indicators, (ix) a
procurement plan, detailed project budget and financial report; and (x) required
coordination, synthesis and analysis to develop the full funding proposal.
The results of these activities will be included in the final proposal which will then be sent
to the GCF Board for final approval by the end of 2021.
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B. Description of Project Preparation Activities
Activities (note 5) and Outputs
(Please select Activity Areas (note 6) as needed)
Activity 1: Technical studies and reviews and feasibility study
PPF activity area: Pre-feasibility, feasibility studies and project design
Sub activity 1.1 Technical study on climate rationale and vulnerability assessment to justify interventions
The technical study will provide vulnerability assessments and climate information data (incl. observed and projected
climate change impacts) at national, provincial and community level in order to establish the problem statement and
climate rationale, using existing resources.
Sub activity 1.2 In-depth review of water management planning and implementation in Vanuatu’s rural
communities from a climate change perspective
An overall review of existing policies, planning efforts, processes, institutional arrangements, capacities,
infrastructures on water management in rural communities will be conducted and include:
- Review/assessment of key processes in the NIP (National Implementation Plan for Safe and Secure Water), in
particular Drinking Water Safety and Security Plan (DWSSP) methodology and prioritization process, to better
account for climate change and vulnerability (incl. quality control and review of facilitator training).
- Review/assessment of the potential for the NIP to include sanitation infrastructure that incorporates climate
change and vulnerability considerations.
- Capacity assessment of in-country stakeholders, incl. DOWR (Department of Water Resources), NWRAC
(National Water Resources Advisory Committee), PWRAC (Provincial Water Resources Advisory Committees),
facilitators, etc. that reviews current job descriptions, actual jobs completed, and how job descriptions should be
adapted to include NIP and climate related activities
- Evidence-based review, from an engineering perspective, of DOWR Standards and designs and actual
construction quality for climate resilience (e.g. infrastructure for rainwater harvesting and spring boxes, guidelines
on tree proximity and resistance of construction materials).
- Climate-resilient assessment of water infrastructures (approx. 100), covering at least those provinces affected by
tropical cyclones Pam in 2015 and Harold in 2020, to assess efficiency of proposed interventions.
- Review of water resources inventory to better determine resilient infrastructures costs.
- Assessment of water balance and sustainability of groundwater abstraction per aquifer for potential and existing
boreholes, if any.
- Review DOWR Gravity Fed System designs and adapt at least three to be full climate resilient as cost samples.
- Recommendations for possible improvements to be incorporated in funding proposal.
Sub activity 1.3 Feasibility study
Based on the vulnerability and climate change assessment exercise (deliverable 1.1), a range of problems will be
identified through further investigation and a wide range of options will be identified as solutions for climate-resilient
water management. A comprehensive baseline will be established based on collected and catalogued data from
existing plans, national policy documents, guidelines from ongoing and previous projects, studies, feasibility
assessments, etc. relevant to the assignment. The feasibility study will assess the technical, economic, legal,
operational and scheduling feasibility of the project. In particular, the feasibility study will include:
- Context, baseline, climate change impacts and gap analysis based on deliverable 1.1 and 1.3.
- Description of the project’s objectives against baseline incl. climate rationale, barrier analysis and theory of
change.
- Assessment of possible solutions in terms of efficiency and effectiveness to address climate change impacts and
barriers (incl. nature-based solutions and the inclusion of sanitation infrastructure in the NIP).
- Economic analyses of interventions options (e.g. cost-benefit), synthesised in the body of the feasibility study
and annexed in Excel spreadsheet format.
- Detailed description of the project design and implementation incl. proposed interventions, targeted beneficiaries,
operations and maintenance plan, description of implementation arrangements (roles of accredited entity and
executing entities, project governance…).
- Assessment of the project’s alignment with GCF investment criteria (incl. quantitative assessment of co-benefits,
for instance on health).
Output 1: Technical study on climate rationale, climate-resilient water management review, and feasibility
study (incl. economic analyses) completed
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Expected timeframe (note 4) for this output: June 2021
Activity 2: Environmental, social and gender studies
PPF activity area: Environmental, social and gender studies
Sub activity 2.1 Environmental and social impact assessment and management plan
An environmental and social impact assessment will be carried out to identify possible environmental and social
impacts of the project and better assess the risk level of the project, based on the environmental and social pre-
screening conducted by SPC. The impact assessment and management plan will be developed according to SPC
Social and Environmental Responsibility Policy, and the GCF- ESS policy and guidelines. The study will i) gather
secondary data through the review of data sources for laws and regulations, national reports, documents and website
and internet; ii) review existing water systems and infrastructure projects implemented by DOWR; and iii) review
documents and lesson learnt on such projects. It will include risks related to the project’s proposed interventions,
such as the no-to-low costs activities in component 1 and climate-resilient infrastructure in component 2. The study
will identify the required actions and outline plans to mitigate any potential environmental and social risks and
associated possible negative environmental, socio-economic and health impacts, including a waste management and
disposal plan for any equipment and materials procured and installed as well as a livelihoods restoration plan if the
project results in economic displacement. It will also identify and promote actions to enhance the positive
environmental, socio-economic and health impacts.
Sub activity 2.2 Gender assessment and action plan
The gender assessment and action plan will ensure the development of gender sensitive outcomes by addressing
gender issues of the project design and implementation. A gender assessment of the NIP and water management
planning and implementation in rural communities will be conducted, and will identify the issues, needs and
contextual factors affecting male and female stakeholders (incl. the potential for establishment of local water
committees with 40% female representation). Then, an action plan will be developed and will include activities
structured in several components:
- A monitoring and evaluation component with relevant indicators disaggregated by gender to allow tracking and
assessing progress toward goals and objectives to improve gender sensitivity.
- A targeting and participation component to ensure gender-sensitive engagement of beneficiaries and other
stakeholders in both the project design and implementation.
- A public awareness and mainstreaming component in order to inform and effect gender-sensitive behavioural
changes among water users in the way they gain access to and manage shared resources during the project
implementation.
- A capacity building and organizational development component to enable all stakeholders, from the implementing
agencies to the beneficiaries, to build required skills and knowledge for gender-sensitive water management and
resource management during the project implementation (incl. the engagement of a gender expert within the
project management unit or elsewhere within the project’s institutional arrangements).
Sub activity 2.3 Stakeholder consultations and stakeholder engagement plan
Stakeholder consultations at national, provincial and community level will be conducted to define priorities,
understand key barriers, refine proposed interventions, engage key partners and improve the project’s design and
strategy. These consultations will include a specific focus on gendered aspects of vulnerability to climate change as
well as entry points and opportunities for ensuring equitable participation in and benefit from project activities. Key
stakeholders include those with responsibilities under the NIP: DOWR staff, Provincial and National Water Resources
Advisory Committees (PWRAC and NWRAC), Department of Local Authorities (DLA), area councils, the private
sector, NGOs and trained DWSSP facilitators. Other ministries, such as Ministry of Internal Affairs, Ministry of Climate
Change and Natural Disasters, Ministry of Health, Ministry of Education and Training, Department of Forestry,
Department of Strategic Policy, Planning and Aid Coordination and Department of Environmental Protection &
Conservation should also be involved as well as relevant organizations (MFAT, DFAT, UNICEF, UNDP, GGGI, FAO,
and WHO, SPREP through the GCF Climate information services project FP035 etc.). These consultations will inform
the outputs under Activity 1 as well as be used to formulate the stakeholder engagement plan. The objectives of the
stakeholder engagement plan are to (i) ensure there are opportunities during the project for stakeholders to provide
feedback, ask questions and raise concerns; (ii) ensure information sharing and disclosure through the project’s
duration; (iii) to establish a culturally appropriate mechanism for filing complaints and addressing grievances; (iii)
foster strong project-stakeholder relationships, including at the community level; and (iv) ensure meaningful
consultation and secure social acceptability of the project. The plan will therefore:
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- Identify actions required to engage stakeholders and manage expectations through the duration of the project,
including for instance:
o Information dissemination and channels for feedback
o Conflict management and settlement
o A project-specific grievance redress mechanism (complementary to the grievance redress mechanisms of the
GCF and SPC)
o Key issues and concerns and how to address them
o Monitoring and reporting
- Enable conscious and rational relationship management of key stakeholders.
- Provide a strategy towards its effective implementation.
Output 2: Environmental, social and gender studies as well as stakeholder engagement plan completed
Expected timeframe (note 4) for this output: July 2021
Activity 3: Risk assessment
PPF activity area: Risk assessment
This activity will include:
a. An integrated risk assessment (including legal and regulatory due diligence) identifying any substantial
institutional, technical, legal, administrative, operational, organizational, economic, financial, social and
environmental risks that the project may face, based on consultation from sectorial experts and relevant
stakeholders, direct visit and observation of project area, and analysis of previous project interventions.
b. A mitigation plan clarifying the respective mitigation measures and the relevant role of key actors involved in
the delivery of the different project components.
Output 3: Risk assessment and mitigation plan completed
Expected timeframe (note 4) for this output: July 2021
Activity 4: Monitoring and evaluation framework
PPF activity area: Identification of programme/project level indicators
Based on previous deliverables, the project’s logical framework with SMART indicators will be developed, in line with
GCF expectations and performance management framework. The log frame will include, among others, indicators of
transformational paradigm shift, indicators of adaptation impacts, and indicators of financial sustainability. Specific
sex-disaggregated targets and indictors for the project beneficiaries will be integrated into the results framework. A
monitoring and evaluation plan will be developed to measure achievement, progress and adapt required corrective
measures. A standard reporting format will also be developed that will capture the effectiveness of planned and
achieved output and outcomes, along with real-time monitoring and feedback mechanisms to enable efficient
management of change throughout project implementation.
Output 4: Monitoring and evaluation framework completed
Expected timeframe (note 4) for this output: August 2021
Activity 5: Procurement plan and associated documents
PPF activity area: Pre-contract services, including the revision of tender documents
This activity will include all the necessary work to complete the procurement plan and draft procurement documents,
in accordance with SPC’s policies:
- Draft Terms of Reference for request for proposals and contracts.
- Draft procurement plan.
Output 5: Procurement plan and associated documents completed
Expected timeframe (note 4) for this output: August 2021
Activity 6: Budget plan and cofinancing
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PPF activity area: Advisory services and/or other services to financially structure a proposed activity
This activity will include advisory services for costing and budgeting according to GCF standards and policies,
including:
a. Drafting the detailed budget.
b. Justifying the level of concessionality.
c. Develop a co-financing framework and the assessment of resources leveraging potential.
Output 6: Detailed budget plan and co-financing framework completed
Expected timeframe (note 4) for this output: August 2021
Activity 7: Funding proposal
PPF activity area: Other project preparation activities
Based on all previous deliverables, the GCF funding proposal document will be drafted incl. all mandatory annexes.
Output 7: Draft funding proposal completed
Expected timeframe (note 4) for this output: September 2021
Estimated time for submission corresponding full Funding Proposal to the GCF: October 2021
C. Justification of the Project Preparation Request
(Please provide rationale for the AEs’ need to receive GCF Project Preparation fund to strengthen development of the
corresponding funding proposal. Especially for international AEs, please outline counterpart resources that will complement GCF
PPF fund also in the budget table in section E.)
The PPF is specifically designed to support DAEs and micro-to-small size category projects. This is exactly the case
for this proposal. To conduct all of the above-listed activities and develop the full funding proposal, SPC as the AE
and its executing partners in Vanuatu would have to spend a significant amount of resources to obtain the required
supporting documents. The expertise involved in the activities mentioned in the deliverables are very specific and will
involve local & international consultants to conduct the numerous field studies and consultations (incl. assessments of
past interventions and vulnerabilities), as well as robust analysis of the feasibility, viability and sustainability of project
interventions. The Government of Vanuatu, through the DOWR and the NDA, requested support from SPC in
conducting all these activities to develop the full Funding Proposal. The Pacific Community (SPC), as a DAE, does
not have dedicated funding internally to support the development a full proposal. Similarly, given the lack of resources
at all levels to deal with projected climate change impacts in the water sector in Vanuatu, coupled with a significant
national debt, a high level of poverty and an extreme vulnerability to climate change and natural disasters, there is no
available funding in Vanuatu that could be used to develop the full proposal.
As a result, without PPF support, the project would not be able to progress from Concept Note to a full Funding
Proposal, given the project’s background, and the financial limitations of both the AE and main implementing
partners. This preparatory phase is a fundamental step in shaping the likelihood of the Project of achieving the
expected results as well as a transformational impact. A good preparation of the Project will ensure it addresses
national priorities, is country-driven, fills the investment gap and interventions are sustained in the long term.
SPC, UNICEF and the Department of Water Resources, will set aside some in-kind resources to complement the
GCF PPF service, mostly through providing relevant information, documentation, deliverables reviews, and technical
inputs regarding past water management activities in rural communities, climate change vulnerabilities, and the
project’s proposed interventions.
D. Terms of Reference
Please provide terms of reference for all studies, assessments and activities to be undertaken through this PPF in
below.
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Terms of Reference for output 1: Technical study on climate rationale, climate-resilient water management
review, and feasibility study (incl. economic analyses) completed
A technical study for climate rationale and vulnerability assessment to justify the project interventions will be
conducted as a first step. Then, following extensive consultations with stakeholders in Vanuatu, an in-depth review of
water management planning and implementation (incl. engineering aspects) in Vanuatu’s rural communities from a
climate change perspective will be conducted. Finally, a thorough and comprehensive feasibility assessment and
analysis will be undertaken to ensure a successful implementation of potential investments. The main proposed
activities of the feasibility study include: collection of baseline data, identification of target areas, study on the project
outcome and impact, and cost-benefit analysis.
More specifically:
a) A technical study will be conducted, including a review of and in coordination with other initiatives for assessing
vulnerability as well as an analysis of climate information data (incl. observed and projected climate changes) at
national, provincial and community level in order to improve understanding of scope of activities using existing
resources.
b) An overall review of existing policies, planning efforts, processes, institutional arrangements, capacities,
infrastructures on water management in rural communities will be conducted, including the following:
i. Review/assessment of key processes in the NIP (in particular DWSSPs methodology and prioritization
process) to better account for climate change and vulnerability (incl. quality control and review of
facilitator training).
ii. Review/assessment of the potential for the NIP to include sanitation infrastructure that incorporates
climate change and vulnerability considerations.
iii. Capacity assessment of in-country stakeholders (incl. DOWR, PWRAC, facilitators etc.) that reviews
current job descriptions, actual jobs completed, and how job descriptions should be adapted to include
NIP and climate related activities.
iv. Evidence-based review, from an engineering perspective, of current DOWR standards and recently built
designs and actual construction quality for climate resilience (e.g. infrastructure for rainwater harvesting
and spring boxes, guidelines on tree proximity and resistance of construction materials).
v. Climate-resilient assessment of water infrastructures (approx. 100), covering at least those provinces
affected by tropical cyclone PAM in 2015 and Harold in 2020, to assess efficiency of proposed
interventions.
vi. Review of water resources inventory to better determine resilient infrastructures costs.
vii. Assessment of water balance and sustainability of groundwater abstraction per aquifer for potential and
existing boreholes, if any.
viii. Review DOWR Gravity Fed System designs at least one from each engineer and adapt at least three to
be full climate-resilient as cost samples.
ix. Recommendations for possible improvements to be incorporated in funding proposal.
c) Based on vulnerability assessment exercises (point a. above), a range of problems will be identified through
further investigation and a wide range of options will be identified as solutions for climate-resilient water
management. A comprehensive baseline will be established based on collected and catalogued data from
existing and ongoing sustainable development and adaptation planning initiatives, national policy documents,
guidelines from ongoing and previous projects, studies, feasibility assessments, etc. relevant to the assignment.
The feasibility study will assess the technical, economic, legal, operational and scheduling feasibility of the
project. In particular, the feasibility study will include:
i. Context, baseline, climate change impacts, gap and adaptation need analysis based on deliverable 1.1
and 1.3
ii. Description of the project’s objectives against baseline incl. climate rationale, barrier analysis and theory
of change.
iii. Assessment of possible solutions in terms of efficiency and effectiveness to address climate change
impacts and barriers (incl. nature-based solutions).
iv. Cost-benefit analysis of interventions options.
v. Detailed description of the project design and implementation incl. proposed interventions, targeted
beneficiaries, operations and maintenance plan, description of implementation arrangements (roles of
accredited entity and executing entities, project governance…), complementarity with other initiatives,
etc.
vi. Assessment of the project’s alignment with GCF investment criteria.
Expected deliverables (deliverables will be reviewed by SPC together with the project executing entities, and
approved by SPC):
Deliverable 1.1: Technical study for climate rationale
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Deliverable 1.2: Review of water management planning and implementation in rural communities from a climate
resilience perspective
Deliverable 1.3: Feasibility study incl. economic analyses in spreadsheet format
Deliverable 1.4: Operations and maintenance plan
Indicative number of days: 55
Terms of Reference for output 2: Environmental, social and gender studies as well as stakeholder
engagement plan completed
Environmental, Social and Gender studies will be developed to ensure that the project is implemented in an
environmentally and socially sustainable manner and in full compliance with the environmental and social policies
and regulations of the GCF, SPC and the Government of Vanuatu. This will include preparing the environmental and
social impact assessment for the project and establishing an overall social and environmental management plan for
the project. A gender analysis and action plan will also be developed to mainstream gender considerations into the
funding proposal and into overall project implementation. The objective is to ensure that women, children and the
most vulnerable populations duly benefit from the implementation of this project both in the short- and long- run.
These activities are needed to determine the project strategy, priorities, key partners, and key barriers to success.
More specifically:
a) Based on the environmental and social screening conducted by SPC, a more in-depth social and environmental
impact assessment will be carried out to identify possible environmental and social impacts of the project and
better assess the risk level of the project, based on SPC Social and Environmental Responsibility policy, and the
GCF- ESS policy and guidelines. The study will i) gather secondary data through the review of data sources for
laws and regulations, national reports, documents and website and internet; ii) review existing water systems and
infrastructure projects implemented by DOWR; and iii) review documents and lesson learnt on such projects. It
will include risks and impacts related to the project’s proposed interventions, such as the no-to-low cost activities
in component 1 and climate-resilient infrastructure in component 2. The study will identify the required actions
and outline a plan to mitigate any potential environmental and social risks and manage any possible negative
environmental, socio-economic and health impacts including a waste management and disposal plan for any
equipment and materials procured and installed as well as a livelihoods restoration plan if the project results in
economic displacement. The plan will also identify actions to enhance the positive environmental, socio-economic
and health impacts.
b) The gender assessment and action plan will be developed using GCF guidance and template. It will ensure the
development of gender sensitive outcomes by addressing gender issues of the project design and
implementation through an in-depth gender analysis to identify the issues, needs and contextual factors affecting
male and female stakeholders in water management across Vanuatu’s rural communities. The plan will include
activities structured in several components:
i. A gender assessment of the NIP and water management planning and implementation in rural
communities (incl. the potential for 40% female representation in local water committees) as well as other
gender dimensions within the context of the project and proposed interventions.
ii. A monitoring and evaluation component with relevant indicators disaggregated by gender to allow
tracking and assessing progress toward goals and objectives to improve gender sensitivity.
iii. A targeting and participation component to ensure gender-sensitive engagement of beneficiaries and
other stakeholders in both the project design and implementation.
iv. A public awareness and mainstreaming component in order to inform and effect gender-sensitive
behavioural changes among water users in the way they gain access to and manage shared resources
during the project implementation.
v. A capacity building and organizational development component to enable all stakeholders, from the
implementing agencies to the beneficiaries, to build required skills and knowledge for gender-sensitive
water management and resource management during the project implementation (incl. the engagement
of a gender expert within the project management unit or elsewhere within the project’s institutional
arrangements).
c) Stakeholder consultations at national, provincial and community level will be conducted to define priorities
understand key barriers, refine proposed interventions, engage key partners and improve the project’s design
and strategy. Key stakeholders who should be consulted include those with responsibilities under the National
Implementation Plan for Safe and Secure Water (NIP): DOWR staff, Provincial and National Water Resources
Advisory Committees (PWRAC and NWRAC), Department of Local Authorities (DLA), area councils, the private
sector, NGOs and trained Drinking Water Safety and Security Plans (DWSSPs) facilitators. Other ministries, such
as Ministry of Internal Affairs, Ministry of Climate Change and Natural Disasters, Ministry of Health, Ministry of
Education and Training, Department of Forestry, Department of Strategic Policy, Planning and Aide Coordination,
Department of Environmental Protection & Conservation should also be involved as well as relevantProject Preparation Facility
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organizations (WHO, SPREP through the GCF Climate information services project FP035 etc.). Additional to
engagements with national level stakeholders in Port Vila, consultations with stakeholders in a minimum of two
additional provinces (deemed of suitable variety of context to enable generalisation of findings to the whole of
Vanuatu) will be required.
d) A stakeholder engagement plan will be developed. Its objectives are (i) to ensure there are opportunities during
the project for stakeholders to provide feedback, ask questions and raise concerns; (ii) to ensure information
sharing and disclosure through the project’s duration; (iii) to establish a culturally appropriate mechanism for filing
complaints and grievances at the project level that is complementary to the grievance redress mechanisms of
GCF and SPC; (iv) to foster strong project-stakeholder relationships, including at the community level; and (v) to
ensure meaningful consultation and promote social acceptability of the project. The plan will identify actions
required to engage stakeholders and manage expectations through the duration of the project and provide a
strategy towards their effective implementation.
Expected deliverables (deliverables will be reviewed by SPC together with the project executing entities, and
approved by SPC):
Deliverable 2.1: Environmental and social impact assessment and management plan
Deliverable 2.2: Gender assessment and action plan
Deliverable 2.3: Stakeholder consultations report and Stakeholder engagement plan
Indicative number of days: 35 (including national consultants for in-country consultations)
Terms of Reference for output 3: Risk assessment and mitigation plan completed
A risk assessment for the project will be undertaken and risk mitigation measures will be suggested.
More specifically:
a. An integrated risk assessment will identify any substantial institutional, technical, administrative, operational,
organizational, economic, financial, social and environmental risks that the project may face, based on
consultation from sectorial experts and relevant stakeholders, direct visit and observation of project area, and
analysis of previous project interventions. The risk assessment will quantify hazard, exposure and vulnerability
and propose different measures to achieve predefined objectives in terms of risk reduction, with respect to their
costs.
b. A mitigation plan will clarify the respective mitigation measures and the relevant role of key actors involved in the
delivery of the different project components.
Expected deliverables (deliverables will be reviewed by SPC together with the project executing entities, and
approved by SPC):
Deliverable 3: Risk Assessment and Mitigation Plan
Indicative number of days: 5
Terms of Reference for output 4: Monitoring and evaluation framework completed
This task will include identification and measurement of GCF core indicators relevant to the project and formulation of
a methodology to be used for calculating these core indicators. The indicators will be manageable and realistic
bearing in mind the scope and timeframe for the project and associated data collection. This is needed to clearly
identify project interventions, boundaries and scope, justify project duration and size, to clearly access paradigm shift
potential, sustainable development potential, and efficiency and effectiveness of the proposed project.
More specifically:
a) Based on previous deliverables, the project’s logical framework with SMART indicators will be developed, in line
with the project’s Theory of Change and baseline data collection during activity 1 and 2, and in line with GCF
expectations (e.g. see GCF Programming Manual for templates) and GCF’s performance management framework
for adaptation. The log frame shall include, among others, indicators of transformational paradigm shift, indicators
of adaptation impacts, and indicators of financial sustainability (incl. gender-specific indicators for project
beneficiaries and other relevant aspects of the project).
b) A monitoring and evaluation plan will be developed to measure achievement, progress and adapt required
corrective measures, using the GCF template.
c) A standard reporting format will also be developed that will capture the effectiveness of planned and achieved
output and outcomes.
Expected deliverables (deliverables will be reviewed by SPC together with the project executing entities, and
approved by SPC):
Deliverable 4: (1) Draft Log Frame; (2) Monitoring and evaluation plan; and (3) Standard reporting format
Indicative number of days: 5Project Preparation Facility
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Terms of Reference for output 5: Procurement plan and associated documents completed
This task will include all the necessary work to complete the procurement plan and draft procurement documents
following SPC’s policies, aiming at a smooth and successful implementation of the project.
More specifically:
a) Draft Terms of Reference for contracts and grant agreements will be prepared, in accordance with SPC’s
policies.
b) Draft Request for Proposals and grant agreements incl. prequalification criteria will be prepared.
c) Draft procurement plan will be developed, using the GCF template.
Expected deliverables (deliverables will be reviewed by SPC together with the project executing entities, and
approved by SPC):
Deliverable 5: Draft procurement plan and documents
Indicative number of days: 5
Terms of Reference for output 6: Detailed budget plan and co-financing framework completed
This will include advisory services for costing and budgeting according to GCF standards. In particular:
a) A draft detailed budget plan will be prepared as per GCF template.
b) The level of concessionality will be properly justified.
c) A co-financing framework and the assessment of resources leveraging potential will be developed.
Expected deliverables (deliverables will be reviewed by SPC together with the project executing entities, and
approved by SPC):
Deliverable 6: Project budget report incl. detailed budget plan and co-financing framework
Indicative number of days: 5
Terms of Reference for output 7: Draft funding proposal completed
The full funding proposal will be drafted as per the GCF template. The funding proposal package will include the
mandatory annexes 2 (feasibility study), 3 ( economic analyses in spreadsheet format), 4 (detailed budget plan), 5
(implementation timetable including key project milestones), 6 ( E&S documents and ESS disclosure form), 7
(Summary of consultations and stakeholder engagement plan), 8 (gender assessment and project-level action plan),
10 (procurement plan), 11 (monitoring and evaluation plan) and 14 (term sheet including a detailed disbursement
schedule) based on outputs from the above activities. The funding proposal package will be revised and updated
based on comments from the GCF Secretariat and ITAP, for up to three rounds of revisions.
Expected deliverables (deliverables will be reviewed by SPC together with the project executing entities, and
approved by SPC):
Deliverable 7: Funding Proposal package incl. the mandatory annexes developed in activities 1-6
Indicative number of days: 45Project Preparation Facility
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E. Terms and Conditions
In submitting this application form, the Accredited Entity agrees to the following:
1. The Accredited Entity shall be responsible of:
a) managing the independent consultancy firm selected to provide project preparation support services.
b) providing instructions to the independent consultancy firm selected to provide project preparation support
services.
c) the quality control of the final products produced by the independent consulting firm.
2. The Accredited Entity shall provide to the GCF the relevant certification that the Services are satisfactory and
meet the contract standards within thirty [30] days from the date of completion of services by the independent
consultancy firm (Note 7).
3. The Green Climate Fund shall have no liability for the performance or quality of the services provided by the
independent consultancy firm. To the maximum extent permitted by law, the Accredited Entity agrees to
release the Green Climate Fund, and its employees, agents and representatives from any and all liability
related to damage, loss, cost, expense incurred or injury suffered by the Accredited Entity as a result of the
project preparation support services.Project Preparation Facility
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Annex I: PPF Service Application Guidance note
Note 1: PPF No-Objection letter:
Please note that the PPF No-Objection Letter is different from the Funding Proposal No-Objection Letter. PPF No-Objection
Letter template can be downloaded from here.
Note 2: Concept Note.
See here to download the Concept Note template.
Note 3: PPF No-Objection letter.
Template for PPF No-Objection Letter can be downloaded here.
Note 4: Anticipated Duration and Expected timeframe: Please note that this is only the expectation from the AE. The
definitive timeline will aim to align with the AE’s preferred timeline and will be available once the firm selection process is
complete.
Note 5: Activities
If seeking support from the GCF’s PPF for project preparation studies related to environmental and social safeguards:
please 1) specify the provisional environmental and social risk category in Section A.14. of the Concept Note, 2) provide a brief
justification of this initial categorisation and annex a screening report of potential environmental and social risks and impacts.
This should be consistent with the environmental and social management system of the accredited entity specified during the
GCF Accreditation, (Definitions of GCF risk categories can be downloaded here), and 3) provide Terms of Reference of the
environmental and social safeguards studies.
If seeking support from the GCF’s PPF for project preparation studies related to gender:
Please provide Terms of Reference of the gender studies.
Please ensure that ESS studies and Gender studies are separated in the description of activities as these should be presented
separately when the FP is submitted to GCF.
If seeking support from the GCF’s PPF for stakeholders consultation:
Please note that consultations of stakeholders should ideally be consolidated in order to avoid stakeholder fatigue and improve
efficiency of the use of PPF resources.
Note 6: PPF activity areas.
The PPF can provide support within the following project preparation activity areas:
i. Pre-feasibility and feasibility studies
ii. Environmental, social (guidance can be downloaded here and here), and gender studies (guidance can be downloaded
here)
iii. Risk Assessments (including legal and regulatory due diligence)
iv. Identification of programme and project level indicators
Other activities of direct relevance for Direct Access Entities that the PPF can support are as follows:
v. Pre-contract services, including the revision of tender documents
vi. Advisory services and/or other services to financially structure a proposed activity
vii. Other project preparation activities, where necessary, and with sufficient justification
Note 7: PPF Confirmation of Services Rendered FormEnhancing Adaptation and Community Resilience by Improving
Project/Programme Title:
Water Security
Country(ies): Vanuatu
National Designated Ministry of Climate Change Adaptation, Meteorology, Geo-
Authority(ies) (NDA): Hazards, Energy, Environment and Disaster Management
Accredited Entity(ies) (AE): The Pacific Community (SPC)
Date of first submission/
2019-04-12 Version 1.0
version number:
Date of current submission/
2020-07-22 Version 3.0
version number
Please submit the completed form to fundingproposal@gcfund.org,
using the following name convention in the subject line and file name:
“CN-[Accredited Entity or Country]-YYYYMMDD”PROJECT / PROGRAMME CONCEPT NOTE Template V.2.2
Notes
• The maximum number of pages should not exceed 12 pages, excluding annexes.
Proposals exceeding the prescribed length will not be assessed within the indicative
service standard time of 30 days.
• As per the Information Disclosure Policy, the concept note, and additional documents
provided to the Secretariat can be disclosed unless marked by the Accredited Entity(ies)
(or NDAs) as confidential.
• The relevant National Designated Authority(ies) will be informed by the Secretariat of the
concept note upon receipt.
• NDA can also submit the concept note directly with or without an identified accredited
entity at this stage. In this case, they can leave blank the section related to the accredited
entity. The Secretariat will inform the accredited entity(ies) nominated by the NDA, if any.
• Accredited Entities and/or NDAs are encouraged to submit a Concept Note before making
a request for project preparation support from the Project Preparation Facility (PPF).
• Further information on GCF concept note preparation can be found on GCF website
Funding Projects Fine Print.PROJECT / PROGRAMME CONCEPT NOTE Template V.2.2
A. Project/Programme Summary (max. 1 page)
☒ Project A.2. Public or ☒ Public sector
☐ ☐
A.1. Project or programme
Programme private sector Private sector
☐ Confidential
Yes ☐ No ☒
A.3. Is the CN submitted in
If yes, specify the RFP: A.4. Confidentiality 1
response to an RFP? ☒ Not confidential
______________
Mitigation: Reduced emissions from:
☐ Energy access and power generation
☐ Low emission transport
☐ Buildings, cities and industries and appliances
A.5. Indicate the result
☐ Forestry and land use
areas for the
Adaptation: Increased resilience of:
project/programme
☒ Most vulnerable people and communities
☒ Health and well-being, and food and water security
☒ Infrastructure and built environment
☐ Ecosystem and ecosystem services
A.7. Estimated
74,200 direct
A.6. Estimated mitigation adaptation impact
beneficiaries
impact (tCO2eq over (number of direct
24% of Vanuatu
lifespan) beneficiaries and % of
population
population)
A.8. Indicative total project Amount: USD 18,777,930 A.9. Indicative GCF Amount: USD
cost (GCF + co-finance) funding requested 14,764,930
A.10. Mark the type of
financial instrument ☒ Grant ☐ Reimbursable grant ☐ Guarantees ☐ Equity
requested for the GCF ☐ Subordinated loan ☐ Senior Loan ☐ Other: specify___________________
funding
a) disbursement period: 2021-2026 A.12. Estimated
A.11. Estimated duration
project/ Programme 2021-2045
of project/ programme: b) repayment period, if applicable: lifespan
A.13. Is funding from the Yes ☒ No ☐ ☐ A or I-1
Project Preparation Other support received ☐ If so, by A.14. ESS category 3
☒ B or I-2
Facility requested? 2 who: ☐ C or I-3
A.15. Is the CN aligned
A.16. Has the CN been
with your accreditation Yes ☒ No ☐ Yes ☒ No ☐
shared with the NDA?
standard?
Yes ☒ No ☐
A.18. Is the CN
A.17. AMA signed (if If no, specify the status of AMA
included in the Entity Yes ☒ No ☐
submitted by AE) negotiations and expected date of
Work Programme?
signing:
Projected climate change effects such as more intense cyclones, more extreme rainfall
events, changes in ENSO oscillation, increased air temperature and sea level rise, will
A.19. Project/Programme result in additional impacts on water systems through, for instance, saltwater intrusion,
rationale, objectives and physical damage and additional bacterial contamination. As part of Vanuatu’s National
approach of Implementation Plan for Safe and Secure Water 4 (NIP), rural communities are
programme/project (max identifying water systems’ climate risks and possible adaptation solutions while creating
100 words) Drinking Water Safety and Security Plans (DWSSPs). This project aims at
strengthening the NIP and DWSSPs process to better address climate change impacts,
supporting more communities to develop climate-resilient DWSSPs and then adapt
water supplies to make them more climate-resilient, through water protection zones and
1 Concept notes (or sections of) not marked as confidential may be published in accordance with the Information
Disclosure Policy (Decision B.12/35) and the Review of the Initial Proposal Approval Process (Decision B.17/18).
2 See here for access to project preparation support request template and guidelines
3 Refer to the Fund’s environmental and social safeguards (Decision B.07/02)
4 Vanuatu’s National Implementation Plan for Safe and Secure WaterPROJECT / PROGRAMME CONCEPT NOTE Template V.2.2
physical water system improvements 5. The accredited entity for this project is the
Pacific Community (SPC). The project will be implemented by the following executing
entities: Vanuatu’s Department of Water (DoWR), SPC and UNICEF.
B. Project/Programme Information (max. 8 pages)
B.1. Context and baseline (max. 2 pages)
Describe the climate vulnerabilities and impacts, GHG emissions profile, and mitigation and adaptation needs that the
prospective intervention is envisaged to address.
Context: Vanuatu’s climate and water insecurity
Vanuatu is one of the most vulnerable countries globally, and one of the most highly exposed countries to disaster risks
(World Risk Report 2012). In 2018, the total population was 304,500 of which 75% live in rural areas (see
https://sdd.spc.int/vu).Vanuatu is characterized by 6 provinces (see maps in annex 1), of mostly mountainous volcanic
islands with steep catchments leading to narrow coastal plains vulnerable to flooding and sea-level rise. Vanuatu’s
population is concentrated along the coastal environment that plays a vital role in the subsistence and commercial life
of Ni-Vanuatu. Vanuatu has uniquely fragile water resources due to its small size, lack of storage and limited freshwater
lens.
Vanuatu’s climate varies considerably from year to year due to the El Niño Southern Oscillation. Rainfall in Vanuatu is
subject to wide inter- and intra-annual variability due principally to geography resulting in only some parts of islands
receiving rainfall, frequent ENSO events and the seasonality of rainfall (see figure 3 for historical annual rainfall in Port
Vila). Lowest annual and seasonal rainfalls on record reveal complex dependencies on El Niño events. This complex
dependency means it is difficult to forecast severity of rainfall deficits, which are especially important in Vanuatu from
the intensity of ENSO Indices 6.
Figures 1. Annual average air temperature (red dots and line) and total rainfall (bars) at Bauerfield Airport, Port Vila. 7
Vanuatu is highly exposed to climate-induced hazards: tropical cyclones, floods, and droughts (see World Bank’s
Climate Risk and Adaptation Country Profile). In the last 30 years (1988 to 2017), Vanuatu experienced 72 tropical
cyclones.
Such climate-induced hazards exacerbate the current Water, Sanitation and Hygiene situation 8 in Vanuatu, which is
globally poor 9. Only one-third of households have access to water 24 hours per day, every day of the year; and one-
third of households are reliant on rainwater, which is highly variable. Water rationing occurs frequently.The situation is
5 See Annex 5 for examples of infrastructure upgrade.
6 Falkland, T., 2011. Report on Water Security & Vulnerability to Climate Change and Other Impacts in Pacific Island
Countries and East Timor. Pacific Adaptation Strategy Assistance Program, 133p.
7 2014 Climate Variability, Extremes and Change in the Western Tropical Pacific: New Science and Updated Country
Reports, Vanuatu Chapter
8 A summary of Vanuatu’s current levels of WASH access can be found in Vanuatu WASH Sector Analysis. A demand side
and supply side assessments are provided in annex 1 and 2 of the Vanuatu National Water Policy 2017-2030.
9 UNICEF/WHO Joint Monitoring Project Vanuatu DatasetsPROJECT / PROGRAMME CONCEPT NOTE Template V.2.2
worse in rural communities 10. Water shortages are common during the dry season 11. Drought severity and serious
water shortages for each main island can be visualized here: https://mol.gov.vu/images/water/Maps/Drought-Severity-
Index.pdf. Meanwhile, when rain does come it can arrive in the form of extreme rainfall. Flooding events also repeatedly
contaminate some water sources. Latest government collected test results show that levels of bacterial contamination
are over 60% 12.
The direct effects of limited water supply and drinking contaminated water are well known: diarrhoea, stunting and other
illnesses. But there are widespread indirect effects too: unpredictable water supplies can lead to food insecurity and
increased stress, and poor health can lead to reduced economic opportunities, poor school attendance and reduced
educational achievement. These effects reduce adaptive capacity, and, for instance, a community’s ability to withstand
climate-induced disasters.
Observed climate changes in Vanuatu and consequences on water security
Important changes are already observed in Vanuatu: annual and seasonal mean, maximum and minimum temperatures
have increased (see figure 2 for historical annual air temperature), sea level has risen (see figure 3 for historical sea-
level change in Vanuatu), and average sea-surface temperatures have increased 13. Recent evidence also shows
increases in cyclone intensity 14, and points to a more frequent occurrence of El Niño weather patterns 15 in the South
Pacific region.
Figures 2 and 3. Historical and projected temperature (left) and sea-level (right) 16
Such changes are impacting water and santitation. For instance, Vanuatu recently suffered considerable damages from
two category 5 tropical cyclones, TC Pam in 2015 (see the Post-Disaster Needs Assessment), and TC Harold in 2020,
with serious damages on water systems across rural communities. As a result of sea-level rise and increasing storm
surges, one community, Lateu on Tegua in the Torres Group was recently relocated 17, with a need for new water
systems. Droughts and associated water crises are also becoming increasingly common on smaller and remote islands
that rely primarily on rainwater and have limited harvesting capacity, and increased sea-levels come with the threat of
salt-water intrusion in the shallow freshwater lens, particularly in coastal areas and in areas where recharge rates are
on the decline 18.
10 See results for rural communities from the Vanuatu WASH Sector Analysis
11 Ian White. 2016. Summary of Hot Spot Analysis Based on Historic Rainfall Data,Vanuatu. Australian National
University,UNICEF PACIFIC.
12 A government dashboard of water quality results from government and research partners.
13 Bell, J.D., et al. 2011. Vulnerability ofTropical Pacific Fisheries and Aquaculture to Climate Change: Summary for Pacific
Island Countries and Territories. Secretariat of the Pacific Community, Noumea, New Caledonia, 386 pp.
14 Kossin, J. P. et al. (2020) Global increase in major tropical cyclone exceedance probability over the past four decades,
Proceedings of the National Academy of Sciences, doi/10.1073/pnas.1920849117
15 Wang B. et al. 2019. Historical change of El Niño properties sheds light on future changes of extreme El Niño. PNAS.
DOI: 10.1073/pnas.1911130116
16 2014 Climate Variability, Extremes and Change in the Western Tropical Pacific: New Science and Updated Country
Reports, Vanuatu Chapter
17 Vanuatu: Climate Change Refugees Collection of News Articles
18 See World Bank’s Climate Risk and Adaptation Country Profile (2011); Falkland, T., 2011. Report on
Water Security & Vulnerability to Climate Change and Other Impacts in Pacific Island Countries and East Timor. Pacific
Adaptation Strategy Assistance Program, 133p.You can also read
