APPROVAL OF PDF-A/PID FUNDS
It is possible to access preparatory funding (PDF-A) from the GEF to develop a Cross-cutting Capacity Development Medium-size Project (MSP). The PDF-A funds are normally used for the development of a project brief.
Any entity, be it a government institution, non-governmental organization, the private sector, or any other group can submit a PDF-A proposal. Project proponents are encouraged, wherever possible, to provide some level of self-financing and co-financing, including in-kind contributions.
PDF-A proposals must be endorsed by the government (through its GEF operational focal point) before submission to UNDP. UNDP can approve PDF-A funding up to a maximum of US$50,000. However, in the case of cross-cutting MSPs, where the project justification is based on priorities and processes already identified as part of the NCSA, we expect that the PDF-A activities can be carried out for USD$25,000. In some cases, a proponent that proposes a pioneering and technically complicated project in which the PDF-A will require a lengthy consultation process may be eligible for up to US$50,000, however this is exceptional and should be fully justified in the PDF-A proposal.
A PDF-A proposal is submitted as a UNDP PROJECT INITIATION DOCUMENT (PID) and approved by the UNDP-GEF Executive Coordinator. An annotated PID is provided in the Annex.
PDF-A funds can cover the following activities:
(a) local consultations, national hearings, and/or workshops to discuss specific project and/or program concepts, including translation into local languages, where appropriate, and the preparation of background papers that could facilitate discussion;
(b) consultancies to develop program and/or project options, including the preparation of terms of reference for feasibility studies, strategy papers, and, where possible, the preparation of such papers;
(c) scientific, technical, and environmental reviews of proposed projects to ensure that they warrant further consideration; and
(d) costs of external expertise, as appropriate.
Outputs of PDF-A grants can include:
(a) preliminary/initial project briefs;
(b) assessment of scientific, technical, environmental, and economic feasibility of the proposed activity, including its relevance for future funding;
(c) preparation of specific documents such as terms of reference for further feasibility work, short strategic notes on programs and policies designed to facilitate in-country discussion, sectoral strategy notes or issues and options papers designed to facilitate informed decision-making in the country; and
(d) documentation of in-country consultations on GEF programs and potential project options.
Items ineligible for PDF-A funding:
Normally, the following items would not be eligible for PDF funding: (i) in order to distinguish project preparation cost from the administrative costs of the Agencies, costs associated with the work of specialized Agency staff or consultants retained by the Agency needed for a particular task (over and above those covered by administrative budgets) unless, on an exceptional basis, a country requests a particular staff member of Agency consultant by name. In these latter circumstances, travel and subsistence costs could be covered; (ii) non-project preparation costs including: project start-up costs, demonstration and pilot projects; the implementation of large scale enabling activities including detailed country-wide inventories and country studies; training activities other than where they are directly related to project preparation; and major research; (iii) capital goods other than those directly required for project preparation, such as computers and engineering equipment; and (iv) goods and services that can be procured through funding channels other than the GEF.
Roles and responsibilities in the PDF-A/PID process:
Project Proponent / • Finalizes PID and submits to UNDP Country Office for review and transmittal to UNDP-GEF Regional Unit;• Contributes to response to Headquarters Focal Area Team comments consolidated by UNDP Country Office and GEF Regional Unit.
Government / • Reviews PID and provides formal endorsement via letter from GEF Operational Focal Point (OFP) to UNDP Resident Representative;
• Contributes to response to Headquarters Focal Area Team comments consolidated by UNDP Country Office and GEF Regional Unit.
UNDP Country Office / • Assists Proponent with finalization of PID, recommending changes and ensuring comments from GEF Regional Unit and Headquarters Focal Area Team are satisfactorily addressed;
• Obtains government endorsement letter(s) signed by the GEF Operational Focal Point;
• Submits PID to GEF Regional Unit for clearance and transmittal to Headquarters Focal Area Team;
• Consolidates response to comments from Headquarters Focal Area Team, liaising with Proponent, and Government and submits to GEF Regional Unit for clearance and transmittal to Headquarters Focal Area Team;
UNDP-GEF Regional Unit / • Assists UNDP Country Office(s) and Proponent with finalization of PID, overseeing technical quality, recommending changes and ensuring comments from Headquarters Focal Area Team are satisfactorily addressed;
• Reviews and clears response to comments from Headquarters Focal Area Team, liaising with Proponent, Government and UNDP Country Office, overseeing technical quality and recommending changes prior to transmittal to Headquarters Focal Area Team;
• Clears and submits PID to Headquarters Focal Area Team, recommending (1) formal technical clearance to Principal Technical Adviser (PTA) and entry of final-type project into UNDP-GEF pipeline (2) financial clearance by POSI and (3) formal approval by Executive Coordinator;
• Prompts Headquarters Focal Area to obtain signature of the Delegation of Authority (DOA) letter after completion of 5-day Headquarters review period, which includes POSI clearance and PID approval by Executive Coordinator.
UNDP-GEF Headquarters Focal Area Team / • Reviews PID and recommends changes to GEF Regional Unit;
• Provides formal technical clearance of PID and entry of final-type project into UNDP-GEF pipeline via completion by PTA of PIMS box "First accepted into UNDP HQ Pipeline" in the Concept leaf;
• Posts all relevant documentation in PIMS including the draft Delegation of Authority (DOA) letter.
UNDP-GEF Executive Coordinator / • Approves PDF A PID/project document via signature of a Delegation of Authority letter.
UNDP-GEF Registry / • Circulates PID and government endorsement letter(s) to GEF Secretariat and GEF partners for information and comments;
• In case of comments received from GEFSEC and/or other GEF Partners, forwards same to GEF Regional Unit copying Headquarters Focal Area Team;
GEF Secretariat (GEFSEC) / • Provides comments, via Review Sheet or other, recommending changes to be addressed in final type proposal;
Timing: PDF-A/PID approval occurs on a rolling basis.
Note: all PIDs for circulation to GEFSEC must be in English.