Grant Management & Operations Processing
Sonia M Rivera Grants and Co-financing Management Unit Office of Outreach & Partnerships September 2013
Today, you will learn about… Who We Are and What We Do What is a Technical Cooperation (TC) TC Processing from Programming to Approval and Beyond TC Execution and Implementation
ORP/GCM
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Main Responsible Departments at IDB PRESIDENT Luis A. Moreno Secretary
Strategic Planning & Development Effectiveness
Executive VP
Risk Management
External Relations
Auditor General
Outreach and Partnerships
GCM
VP Countries
VP Sectors & Knowledge
Southern Cone Central America, Mexico, Panama & Dominican Rep.
Infrastructure & Environment
Research and Chief Economist
Social Sectors
Integration & Trade
Andean Region Caribbean
Institutional Capacity and Finance
Knowledge & Learning
VP Private Sector & NonSovereign Guaranteed Operations Structured & Corporate Finance
IIC
MIF
Opportunities for the Majority
VP Finance & Administration
Finance
Human Resources Information Technology Budget & Admin. Services Legal
Country Offices
ORP/GCM
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Outreach and Partnerships Office ORP / ORP Outreach & Partnerships
ORP / GCM Grants & Co-financing Management Unit
Resource mobilization
Management of mobilized resources (SW)
Promotes and maintains the strategic relationships with donors/partners: • Public • Private • Philanthropic institutions/individuals
Day-to-Day relationship with donors in the management of resources
Generate and disseminate knowledge and lessons learned
Explore new areas and promote innovation
Leverage Bank’s financial services (increase competitiveness)
Wide Variety of Instruments
Technical Cooperation Development Grants Project Specific Grants Externally-Funded Complementary Workforce (EF-CWE) Investment Grants Reimbursable operations
ORP/GCM
Variety of Funding Sources
Public Private Single/Multi-donor Funds Tied/Untied
Types of Governance Structures
Public/Private Partnerships Facilities managed by the World Bank (FIFs)
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Single Window (SW)
The SW channels all funding needs through one same window to match TC demand with available resources
Established by the TC framework GN-2469-2
SW meetings are held once a week, where all funding opportunities are discussed for projects that arrived to SW
TCs vs. Decisions All Funds Administered by SW (OC+DTF) Jun’10-Jun’13 1,626
1,600 1,400 1,200 1,000 800
From June 2010 to June 2013:
A total of 883 TCs arrived to SW, US$ 473 Mn between Jun. ‘10 – Jun. ‘13 – – – –
724 were funded—82%, US $ 389 Mn 83 never received funding—9.4%, US$ 39 Mn 64 were withdrawn—7.2%, US$ 38 Mn 12 are still pending review—1.4%, US$ 7 Mn
SW Matching Workload 1,626 decisions to fund 724 TCs (Ratio: 2.2 to 1) 883 64 83
873
724
753
600 400
200 0 Funded
TCs Not Funded
Pending
Decisions Withdrawn
Probability of receiving funding = 82% The SW optimizes total resource allocation in a complicated environment ORP/GCM
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IDB Funds Donor
Bilateral Fund
Australia AUS Canada CPS Finland FTA France FCB France
FFI
France FTC Italy
ICR
Italy
ITC
Italy
Japan Korea
ITM JCF JPO JSF KPC
Korea
KPK
Japan Japan
Korea
KPR Portugal PTF Spain FEP Spain FGE Spain SFW Switz.
STC
Hybrid
ICS
CTF FMM GAF GIF HRF SCX
AusAID-MIF Partnership Trust Fund for the Reduction of Poverty in Latin America Canada Climate Fund for the Private Sector Finnish Technical Assistance Program French-IADB Partnership Contribution for the Caribbean Fund for the Development of Indigenous People of Latin America and the Caribbean French Technical Cooperation Fund for Consultancy Services and Training Activities Italian Trust Fund for Regional Competitiveness Italian Consulting Firms and Specialized Institutions Trust Fund Italian Trust Fund for MIF Project Preparation
Year % Tied 2011 untied 2012 untied 2003 untied 2001
75%
1999 untied
1995
75%
2007 untied 1992
50%
2000
75%
Japanese Trust Fund for Consultancy Services Japan Special Fund - Poverty Reduction Program
1995 50% 2001 untied
Japan Special Fund Korea Public Capacity Knowledge Partnership Korea Fund for Technology and Innovation Korea Poverty Reduction Fund
1988 untied 2010 untied
Portuguese Technical Cooperation Fund Spanish Trust Fund for the Entrepreneurship Program Spanish General Cooperation Fund Spanish Fund for Water and Sanitation Swiss Technical Cooperation Fund for Consulting Services and Training Activities Institutional Capacity Strengthening Thematic Fund
1998 50% 2008 untied 2001 50% 2009 untied
OC Special Programs/Grants AQF BBD BIO CND CSF CTE FDP FIR FOD GDF IPF PRO RPG SCI SCT SMP SOF SVC TCI
Aquafund Broadband Biodiversity Action Plan for C&D Countries Citizen Security Fund Emergency Assistance for Natural Disasters Disaster Prevention Fund Fund for Initiatives for Regional Infrastructure Integration Food Security Fund Gender & Diversity Fund Infrafund Prodev Regional Public Goods Sustainable Energy and Climate Change Fund Sustainable Cities Social Entrepreneurship Program Social Fund Small and Vulnerable Countries CT/Intra
2005 untied 2005 untied
1994 untied 2009 untied
Financial Intermediary Funds (FIF’s)
Year
Clean Technology Fund IDB/Global Environment Facility Trust Fund Global Agriculture and Food Security Program Trust Fund (GAFSP) Guyana REDD+ Investment Fund Haiti Reconstruction Fund Strategic Climate Fund
2010 2004 2011 2011 2010 2011
Multidonor Funds AAF AfT ESC KEF MAF MCS MDP MFR MHF MGD MSC OMJ
Anticorruption Activities Fund Aid for Trade Emerging and Sustainable Cities Knowledge Economy Fund Multi-donor Aquafund Citizen Security Fund Multidonor Disaster Prevention Trust Fund Multidonor FIRII Mesoamerican Health Facility Multidonor Gender and Diversity Fund Sustainable Energy and Climate Change Initiative Multi-donor Trust Fund Market Solutions to Mobilize Social Change Partially tied
Year 2008 2013 2013 2011 2012 2006 2006
2005 2008 2009 2006 2005 2004 2007 2012 2011 2007 2011 2011
Year 2007 2008 2011 2009 2009 2012 2007 2011 2009 2009 2007 2009
Parallel Funds
-6In total, 58 funds…
PSG’s Main Donors Project Specific Grants (PSGs) are grant contributions provided by donors to be administered by the Bank for financing specific Bank operations Other $1.8 4%
2012
2010
Other, $11.9, 17% DFID $17.2 37%
US$47 Mn 28 Donors
Swiss Agency for Development and Cooperation
CIDA, $27.8, 60%
$6.6, 9%
US$70 Mn +33 Donors
European Commission, $8.2, 12% European Commission, $0.8, 2% First Citizens Bank Limited, $1.0, 2%
2011
Citi Foundation, $1.1 3% KIPF, $1.4 3% NDF, $2.9 6% DFID, $1.2 3%
CIDA $18.3 26%
DFID $11.5 17% NDF $12.9 19%
Other $4.3 10%
US$46 Mn 38 Donors CIDA $31.3 68%
Acronyms: CIDA: Canadian International Development Agency KIPF: Korea Institute of Public Finance NDF: Nordic Development Fund
ORP/GCM -7-
TCs 1.0.1 What is a TC
Aims to facilitate the transfer of technical know-how and qualified experience with the purpose of complementing, strengthening and building capacity Restrictions: Max 30% to purchase goods/works, if necessary to achieve the objective Travel only if expressly allowed by Donor in the Agreement
TC Policy and Guidelines
TC Operational Guidelines: GN-2629-1 TC Policy: GN-2470-2 TC Framework: GN 2469-2 Delegation of Authority: OA-421 (Applies to issues during execution; post-approval)
Operational Support (OS) When linked to a Loan (preparation, execution or evaluation of a loan or guarantee) Demand-driven: Requested by countries or private sector client Client Support (CS) Not linked to a loan, stand-alone Demand-driven: Requested by countries or private sector client Research and Development (RD) Knowledge products and dissemination activities Originated by the Bank
Taxonomy
ORP/GCM
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Looking at TC Taxonomy Within the Wider Scope of Bank Products Technical Cooperation
1
2
3
4
5
6
Loans/ Guarantees
Investment Grants
Operational Support
Client Support
Research and Dissemination
Corporate Input Products
Origination
Dema nd-dri ven
Investment + Policy Reform + Technical Assistance
Purpose
Ba nk-dri ven
Ca pa ci ty bui l di ng + Knowl edge crea ti on a nd di s s emi na ti on
Funding
OC + FSO
Beneficiaries
Publ i c a nd pri va te s ector cl i ents i n borrowi ng member countri es
ORP/GCM
DTF
EF-CWE
Knowl edge crea ti on a nd di s s emi na ti on
Net Income + DTF + Admi ni s tra ti ve Budget
Publ i c a nd pri va te s ector cl i ents i n borrowi ng member countri es + Externa l a udi ences + the Ba nk
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TCs are not‌ The following types of operations are NOT TCs and consequently do not fall under the Umbrella of the TC operational guidelines:
Loans/Guarantees
Investment Grants
Corporate Input Products
EF-CWE
ORP/GCM
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Project Cycle at a Glance Registration
Registration in OPUS
TC enters Inventory
Funding process (Max 45 days)
TC Abstract is sent to SingleWindow
TC abstract sent to Donor/ESC
TC enters PIPELINE when declared eligible
Project Preparation Max 4 Months for CS/RD Max 6 Months for OS TC Document preparation by Team
QRR
Certification and Bank Approval
Approval by the Bank authority
ORP/GCM
Execution (OA-421)
Certification of funds Signature of Agreement and Eligibility
Execution and Disbursements
Close of Operations
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TC Processing Workflow
IN SINGLE WINDOW
In SW
ORP/GCM
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TC Templates and Certification
Templates
TC-Abstract TC-Document
Document Package for certification must contain: TC Document + Annexes: Letter of request/Portfolio Review/Memo Mission/Aide Memoire/CPD (these documents should be in IDBDocs under the corresponding operation number) TORs (for consultancies) Procurement Plan Checklists QRR comments with answers/actions taken Fund eligibility minute and/or email Emails with OK by LEG ESG Screenings The complete document with all annexes must be uploaded into a single file in IDBODCs Bring documents to NW-927
Certification
ORP/GCM
(IDBDocs # 36279458) (IDBDocs # 36279477)
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Checklist & Certification
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This is NW-927
Instructions
NW-927
Approvals
Inboxes Pen (just in case)
Certification
Timestamp
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Get Bank Approval Approval Authority
1
2
3
4
Amount $0 up to $750,000 >$750,000 up to $1 million > $1 million up to $1.5 million > $1.5 million
Approval Division Chief/ Country Rep. Sector Manager Office of the President Board of Directors
• Signed document uploaded in IDBDOCs
• Original signed document sent to ORP/GCM Approvals Inbox in NW-927 • Indicate the IDBDOCs number in OPUS • ORP/GCM will register approval and provide an approval number (ATN) in LMS
• Team Leader must coordinate with Project Attorney for SIG transaction and/or drafting of the agreement
• Team Leader is responsible for ensuring all conditions prior to first disbursement are met to reach eligibility
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Once the TC Document is Approved… According to Access to Information Policy (GN-1831-36) 1.The original document with signatures must be saved in IDBDOCS in PDF format. Must include: 1. 2. 3.
Certification Technical Cooperation Document Annexes
2.Complete the following mandatory fields in the IDBDOCS Document Profile: IDBDOCS Electronic Document Profile Doc Name Country IDB Operation Doc Date Doc Type Approval Language Activity IDB Author Org Unit Security
Documento de Aprobación Country Operation Number APR Date FULL DOC CHF, REP, MANAGER, PDTE, VP, DE English, Spanish, Portuguese, French TC-DOCUMENT Team Leader ORP/GCM ORP/GCM FILE – Full Access Operations File- Full Access DOCS Users – Read Only
4. Take the document to NW-927 and timestamp the back of the Certification 5. Leave the Approval Document, your contact information (name and extension) and IDBDOCS number in the GCM Approvals Incoming Box 6. To publish in the Bank’s external website, a new version of the approved document must be saved WITHOUT SIGNATURES in IDBDOCS following the Bank’s publication procedures All operations signed the last day of the month must be stamped before 5:00 PM on that same day
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2013 Deadlines for Certification & Approvals 2013 Deadlines for grant-financing operations (TCs, investment grants, PSGs, grants):  Last day for Certifications: December 11th, cob  Last day for Approval of operations: December 18th, cob
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Monitoring: Alert System  Alert Reports available at ORP/GCM website Alerts
Description Eligibility deadline expired Expired; less than 60% disbursed IN CANCELLATION No commitments; deadline expired Signature deadline expired Eligibility deadline expires within one month (Bank-executed) Eligibility deadline expires within two months Less than 60% disbursed; expires within two WARNING months No commitments; expires within two months Signature deadline expires within two months Final disbursement deadline expired Fully disbursed, revolving fund justification deadline expired No disbursements in one year No disbursements in six months ISSUE No Team Leader Signature deadline expired Eligibility deadline expired (Recipient-executed) Six months since eligibility and zero disbursements
ORP/GCM
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OA-421 Section II. Extension of Deadlines Decision Tree Approval Date
On or After 2012
Before 2012
Executed By
Executed By
Bank
Recipient
Requires Signature of Agreement
No
3
Bank
Requires Signature of Agreement
Requires Ratification
Yes
No
1
Recipient
Yes
No
2
6
Requires Ratification
Yes
No
4
Yes
5
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If approved on or after 2012
3 months +3 months
Depends on the project
6 months +3 months
Recipient executed
1
M
+12 months
+12 months
Disbursements
Approval Date
Eligibility
Signature Date (EF) R /DC
Original Expiration Date
6 months +3 months
2
Bank executed
Extended Disbursement Expiration Date R /DC
M
+12 months
+12 months
R /DC
R /DC
3 months +3 months 12 months +3 months
Depends on the project
Disbursements
Approval Date
Legend
R /DC R /DC
R /DC
Signature Date
3 months
Depends on the project
Ratification (EF)
R /DC
M
+12 months
+12 months
Eligibility
Disbursements
3
Approval Date (EF)
Eligibility*
Original Expiration Date
Extended Disbursement Expiration Date
Original Expiration Date
Extended Disbursement Expiration Date
*Exception: Bank-executed operations requiring any kind of agreement, will be treated as recipient-executed (See # 1)
R /DC Extension must be authorized by Representative (R) or Sector Division Chief (DC), if commitments have been made in the last 12 months M
Extension must be authorized by Country Manager or Manager (M), if TC has disbursed at least 60% of total amount approved
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If approved before 2012 3 months +3 months
Depends on the project
6 months +3 months
4
R /DC
M
+6 months
+12 months
+12 months
Recipient executed
Disbursements
Approval Date
Eligibility
Signature Date R /DC
Original Expiration Date
Extended Disbursement Expiration Date TL
R /DC
M
+6 months
+12 months
+12 months
R /DC
R /DC
3 months +3 months 12 months +3 months
6 months +3 months
Depends on the project
5 Disbursements
Bank executed
Approval Date
Legend
TL R /DC
R /DC
Signature Date
3 months
Depends on the project
6
Eligibility
TL
R /DC
M
+6 months
+12 months
+12 months
Disbursements
Approval Date TL
Ratification
Eligibility*
Original Expiration Date
Extended Disbursement Expiration Date
Extended Disbursement Original Expiration Date Expiration Date
*Exception: Bank-executed operations requiring any kind of agreement, will be treated as recipient-executed (See # 4)
Extension must be authorized by Team Leader (TL). This extension applies only if TC was approved before Jan. 2, 2012
R /DC Extension must be authorized by Representative (R) or Sector Division Chief (DC), if commitments have been made in the last 12 months
M
Extension must be authorized by Country Manager or Manager (M), if TC has disbursed at least 60% of total amount approved
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Finally…
How to close a TC? Refer to Guide to Closing TC Operations
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Last but not least… Where can you find more information? Visit our website: http://gcm.iadb.org/ Contact us
GCM-infogp@iadb.org Want to learn more?
Sharing our experience - 24 -
Thank You!