with GIZ for the Republic of Vanuatu 11 September 2015 NDA Strengthening & Country Programming

Transcription

1 with GIZ for the Republic of Vanuatu 11 September 2015 NDA Strengthening & Country Programming

2 READINESS AND PREPARATORY SUPPORT PROPOSAL PAGE 1 OF 8 (Please submit completed form to countries@gcfund.org) Executive Summary (in one page) Country (or region) Republic of Vanuatu Submission Date 3 August 2015 NDA or Focal Point Contact Point (both NDA/FP and delivery partner) Readiness Area/s Request Summary (in 200 words) Ministry of Climate Change Adaptation, Meteorology, Geo-Hazards, Energy, Environment and Disaster Management NDA Contact: Jotham Napat Position: Director General, Ministry of Climate Change Adaptation, Meteorology, Geo- Hazards, Energy, Environment and Disaster Management jnapat@vanuatu.gov.vu Tel: Full Office address: Department of Meteorology, Lini Highway, Port Vila, Vanuatu Delivery Partner: GIZ Mr. Dennis Mutschler dennis.mutschler@giz.de (GIZ Head Office) Dr. Wulf Killmann wulf.killmann@giz.de (SPC/GIZ CCCPIR Pacific) Dr. Christopher Bartlett chritopher.bartlett@giz.de (SPC/GIZ CCCPIR Vanuatu) 1. Establishing and strengthening National Designated Authorities (NDAs) or Focal Points 2. Strategic frameworks for engagement with the Fund, including the preparation of country programmes 3. Selection of implementing entities or intermediaries, and support for accreditation 4. Initial pipelines of programme and project proposals Work Package 1: Strengthening the NDA The Republic of Vanuatu, Ministry of Climate Change (MoCC) will work with GIZ to engage consultant support to build the capacity of the NDA, which also provides the co-chair and Secretariat Unit for the Vanuatu National Advisory Board on Climate Change & Disaster Risk Reduction (NAB 1 ), to fulfill its roles and responsibilities in relation to the Fund according to best-practice guidelines. Key activities will include: i. expand the NDA and NAB s capacity to recommend funding proposals to the GCF Board in the context of national climate change strategies and plans, including through comprehensive consultation processes. ii. facilitate the communication of nominations of prospective public and private iii. sector entities seeking accreditation with the Fund; Progress work towards Vanuatu s own accreditation including national agencies as implementing entities with the Fund. iv. Facilitate coordination of climate interventions across sectors, agencies and levels of governance, through the development of mechanisms (e.g. databases) and processes (operating protocols) to ensure consistency of programming and proposals that are fully in line with national policy, plans and strategies. v. Implement the no-objection procedure as per the Fund s Initial no-objection procedure; vi. other NDA strengthening activities in accordance with the Fund s defined scope of work for NDA Strengthening Work Package 2: Strategic Engagement Framework with the Fund GIZ will support Vanuatu s strengthened NDA to prepare a country program that is fully in line with the new National Climate Change & Disaster Risk Reduction Policy, specifically 1 The NDA falls under the oversight of the Ministry of Climate Change Adaptation, Meteorology, Geo-Hazards, Energy, Environment and Disaster Management and its National Advisory Board on Climate Change & Disaster Risk Reduction. The NAB Secretariat office will be the unit within the Ministry responsible for NDA functions. DG of Ministry of CC is automatically co-chair of the NAB..

3 READINESS AND PREPARATORY SUPPORT PROPOSAL PAGE 2 OF 8 including: i. programatized development and implementation of critical strategic frameworks including the Intended Nationally Determined Contribution, Nationally Appropriate Mitigation Action, National Adaptation Plan, and National Communications, among others. ii. identification and development, including through prioritized island vulnerability assessment/s, of bankable programme and project concepts/ideas that are consistent with the GCF s results and investment frameworks. identification of how the GCF can build on the ongoing work of government and development partners in Vanuatu, and deliver its support in a manner that is complementary and value adding. Under both Work Packages, GIZ will support Vanuatu to further expand multi-stakeholder engagement to fully capture the aspirations and development priorities of government, civil society and private sector actors at all levels. Anticipated Duration 18 th January, January, 2018 (24 months) Estimated total cost

4 READINESS AND PREPARATORY SUPPORT PROPOSAL PAGE 3 OF 8 SECTION A: RATIONALE FOR REQUEST A.1 Background Please provide country overview including initiatives related to climate finance e.g. NAMAs NAPs etc. Vanuatu is an archipelago of over 80 islands in the South Pacific, with an estimated population in 2012 of 247,300. As emphasised in Vanuatu s National Adaptation Programme of Action (NAPA), Vanuatu is extremely vulnerable to climate change. It was one of the first countries to sign and ratify the United Nations Framework Convention on Climate Change (UNFCCC) in 1993 and, with international support, has recently completed the development of a robust climate change policy framework. Given the country s high susceptibility to the impacts of climate change, particular attention is paid to climate change adaptation. The National Advisory Board on Climate Change and Disaster Risk Reduction (NAB), led, coordinated and supported by the NDA, has been formally instructed by Vanuatu s Council of Ministers (COM) to act as the official advisory body for climate change and mitigating the risks of natural disasters, including taking leadership on climate finance. It is comprised of high-level government representatives and is co-chaired by the Director General of the Vanuatu Ministry of Climate Change (NDA) and the Director of the National Disaster Management Office (NDMO). As evidence of its commitment to climate issues, the Government established the Ministry for Climate Change Adaptation, Meteorology, Geo-Hazards, Environment, Energy and Disaster Management (Ministry of Climate Change), housed within a new government-funded complex built as part of efforts to improve coordination. As the supreme authority on the country s climate change programme, the NAB is responsible for the overall management and coordination of climate finance, including the GCF. The Director General of the Ministry of Climate Change is the country s national focal point for the United Nation s Framework Convention on Climate Change (UNFCCC) and the NDA for the GCF. Along with the NAB, the NDA is mandated with coordinating all government and non-governmental initiatives addressing climate change and disaster risk reduction. A project management unit (PMU) housed in the NDA and operating under the supervision of the NAB is also responsible for the management and execution of some programmes and projects. The overall institutional set up has recently undergone review and reform in order to develop capacity and better fulfil the roles and responsibilities of government departments in the coordination, financial management and implementation of the various climate change initiatives underway in Vanuatu. Vanuatu is currently supported by several development partners on its climate and disaster risk policies, including strong support from the SPC/GIZ Coping with Climate Change in the Pacific Islands Region project which has worked closely with the climate governance institutional reforms including the creation of the NAB as well as climate and risk mainstreaming in multiple sector policies (e.g. Agriculture Sector Policy and National Sustainable Development Plan). The SPC/GIZ program has excellent collaboration with the government and non-government stakeholders on the NAB, and build on years of co-implementation and collective action in the climate change sector. The newly developed Vanuatu National Climate Change & Disaster Risk Reduction Policy sets the policy framework for the implementation of this GCF Readiness and Preparatory Support Program, and outlines Vanuatu s climate finance priorities including Implementing Entity accreditation with global climate funds and coordinated and needs-driven programming. The Government s policy framework will directly guide the development of Vanuatu s GCF Strategic Engagement Framework to ensure that all GCF intervention areas are directly in line with national direction and are seamlessly integrated into government planning and budgeting processes. A.2 Justification for request Please explain how the readiness request will have an impact in your country and align with the goals of the readiness program. Please also discuss how the proposed activities are aligned with country priorities and strategies, and how link with existing climate finance initiatives in country. The Republic of Vanuatu has prioritized sustainable and climate resilient development in its National Sustainable Development Plan. While the vision and aspirations are high, much depends on Vanuatu s ability to strengthen the institutional structures of the NDA of Vanuatu and its National Advisory Board on Climate Change & Disaster Risk Reduction to effectively fulfil the roles and responsibilities related to international climate finance frameworks, including those of the GCF. The GCF-improved coordination role played by a strengthened NDA will ensure that climate finance and resources are used most effectively to avoid potential duplications or overlaps. Vanuatu s Climate Public Expenditure and Institutional Review (CPEIR) activities in preparation to identify national entities to apply for accreditation will be further complemented and expanded by this GCF support allowing coordinated alignment with other climate finance initiatives. Past climate programming has been Government-dominated, and to overcome this approach, support is required from GCF to prepare Vanuatu s country programmes through a multi-stakeholder engagement process. Development

5 READINESS AND PREPARATORY SUPPORT PROPOSAL PAGE 4 OF 8 partners, including NGOs, private sector and other civil society actors, are standing by to support national programming, and have committed to following any coordination processes and mechanisms which may be fully established under GCF readiness support. Past climate programs and policies have been typically developed in a general way focused at the national-level without being designed from the outset to address island-specific climate vulnerabilities. It is proposed that a comprehensive multi-hazard vulnerability assessment undertaken in the context of developing the country programme for the GCF will ensure that the programme and project proposals are not only consistent with the GCF s results and investment frameworks, but also directly responsive to the context specific climate risks and needs of the most vulnerable island people. Accordingly, it will also help to distil and/or augment existing climate and resilient development policy priorities and plans for implementation over the short, medium and long term. Being such a diverse country geographically and culturally, the need for island-specific climate investment priorities is paramount. As the GCF is a new financial mechanism available to the country, Vanuatu would like to ensure that i) a unique role is identified for the Fund in Vanuatu, which is complementary to and integrated within existing domestic and international climate and development resources and ii) that Vanuatu s current capacity is strengthened to develop bankable proposals and concepts that are fully in line with national priorities, meet the Fund s investment mandate and meet the needs of the most climate vulnerable. Work Package 1 The National Advisory Board on Climate Change & Disaster Risk Reduction has a newly established Secretariat office within the MoCC, which will play a key role in NDA strengthening activities. This secretariat requires additional capacity and targeted expertise and capacity development in order to effectively accelerate their engagement with the Fund immediately and grow this relationship over the long term. Work Package 2 Vanuatu has recently completed a National Climate Change & Disaster Risk Reduction Policy, with Government playing a lead role in ensuring that all international climate finance is disbursed to support these national priorities without overlap or duplication. This coordination requires that a clear role is assigned to the Fund that aligns with other resources and complements and catalyses availability of much-needed climate finance. The country programme will form the basis for Vanuatu s continuous strategic engagement with the GCF. An important part of the GCF country program will include implementation of the Government policy directives which call for an alignment of existing strategic frameworks (e.g. the Intended Nationally Determined Contribution, Nationally Appropriate Mitigation Action, National Adaptation Plan, and National Communications) and that their further development and implementation is done in a programatized manner. SECTION B: SCOPE OF WORK Description of activities (Please provide detailed logical framework as an annex. See Annex I B.1 for content to build from). If consultancy service is required to undertake proposed activities, please also include a brief terms of reference of the service in this section or as an annex. See Annex I B.2 Expected results Work Package 1: Strengthening the NDA i. The NDA and NAB will have increased capacity to recommend funding proposals to the GCF Board in the context of national climate change strategies and plans, as a result of comprehensive consultation processes. ii. Increased options for access to the GCF through the identification of appropriate accredited entities, or entities to support for accreditation, that align with Vanuatu s priorities and interests utilizing a variety of instruments including assessments, workshops, and studies which will best serve to achieve the goals. iii. Vanuatu s own accreditation aspirations will be progressed including national agencies as implementing entities with the Fund. iv. Established and strengthened coordination mechanisms, including databases and operating protocols, that will improve climate interventions across sectors, agencies and levels of governance. Work Package 2: Strategic Engagement Framework with the Fund

6 READINESS AND PREPARATORY SUPPORT PROPOSAL PAGE 5 OF 8 iii. Vanuatu s critical strategic frameworks, including the Intended Nationally Determined Contribution, Nationally Appropriate Mitigation Action, National Adaptation Plan, and National Communications will be developed and implemented in a programatized manner. iv. A set of bankable programme and project ideas/concepts will be developed that are consistent with the GCF s results and investment frameworks and address real island vulnerabilities. v. GCF s role will be clarified in the context of the ongoing work of government and development partners in Vanuatu. Under both Work Packages, multi-stakeholder engagement processes that fully capture the aspirations and development priorities of government, civil society and private sector actors will be improved and utilized. SECTION C: BUDGET (include total cost and share of GCF funding) Please use the separate budget template provided to detailed relevant line items. Note: please refer to the Fund s guide on indicative budgets for the standardised packages for activity 1 and activity 2. SECTION D: IMPLEMENTATION PLAN D.1 Implementation arrangements Please include information on delivery partners. GIZ will take responsibility for implementing the readiness activities under the leadership and guidance of the NDA.GIZ will take responsibility for fiduciary management and delivery of the readiness funding, and support the NDA and the NAB to implement the program. GIZ will provide support to the NDA to identify, recruit and manage technical expertise required for implementation of both Work Packages according to tripartite agreements, procurement plans and detailed implementation plans as further elaborated in inception workshops. D.2 Disbursement and implementation schedule The funding will be transferred to GIZ in three equal tranches: The first disbursement, which amounts US$ 120,000 will be transferred upon the submission of an Inception Report from the NDA to the Fund, in an appropriate format and content acceptable to the Fund. The Inception Report will include a detailed 1) Implementation Plan, 2) Procurement Plan and 3) Detailed Budget; The second tranche of US$ 130,000 will be transferred upon submission of an Interim Progress Report and Financial Report, including an audited Expenditure Statement, in form and substance acceptable to the Fund; and The final disbursement of US$ 50,000 will be made upon submission of a Project Completion Report and Financial Report, including an audited Expenditure Statement, in form and substance acceptable to the Fund. D.3 Procurement plan Please provide detailed procurement plan including methods. GIZ will be responsible for oversight of financial management and procurement, according to strict international-standard procurement standards. In collaboration with the NDA, GIZ will competitively procure services and goods that are consistent with GIZ and Government of Vanuatu policies: Consultants will be procured 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

7 READINESS AND PREPARATORY SUPPORT PROPOSAL PAGE 6 OF 8 More detailed information on procurement processes will be outlined in the financing agreement between Government, GIZ and GCF. The procurement plan will be outlined in detail as an output of the inception workshop. SECTION E: MONITORING & REPORTING PLAN Please describe the frequency and responsibility for monitoring the indicators, the source of information that will be used to measure the indicators and the timing for submitting the interim and final reports of the activities implemented and outputs and outcomes achieved. The entire Readiness program falls under the remit of the National Climate Change & Disaster Risk Reduction Policy, which includes a monitoring and evaluation strategy. The M&E directive of the policy requires that all climate initiatives are reported to and evaluated by the Prime Minister s Office M&E unit. The NAB and the Ministry of Climate Change hold a monitoring and reporting mandate according to comprehensive corporate and business plans. Indicators for the GCF readiness programme will be developed in accordance to these high level M&E frameworks and be designed as a part of the initial inception workshops. Interim and final reports will be submitted in accordance with GCF requirements and as outlined in grant agreements. It is expected that high level outcomes may not be specifically measurable in the timeframe of this readiness program, and therefore proxy indicators will be designed to capture progress towards these longer term changes. SECTION F: RISK & MITIGATION MEASURES Please describe the expected risks (external and internal) that could influence the timing and quality of the deliveries. Highlight if there might be critical risks that could compromise the overall implementation. For each risk, identify the possible early corrective measures that will be in place to avoid or mitigate any negative impact. Precautions will be taken to minimize risks to the implementation and successful outcomes of this program. Risk: Stakeholders do not have the interest to engage throughout the program implementation o Mitigation: The NDA/NAB engage all actors, specifically women, young people and vulnerable groups, in the design and decision making processes, to ensure their needs and aspirations are embedded and expectations are realistic. Intensive selection processes and induction with stakeholders will be undertaken to build shared understanding. Stakeholder feedback mechanisms will be established to ensure any issues can be identified and addressed. Risk: Government governance structures to become unstable, de-prioritised/under-resourced, or unfavourable to addressing climate vulnerabilities. o Mitigation: The NDA/NAB liaise with all relevant government agencies through the design phase, include relevant government actors in training and project activities, hold continuous dialogue with government actors at provincial and national level, and liaison with key donors to build/maintain support. Risk: The programs are designed primarily by men without appropriate consideration of the vulnerabilities of women, youth, the disabled and other vulnerable groups. o Mitigation: The readiness programme s commitment towards gender and youth equality will be built into the design, training and implementation, highlighting the benefits of inclusiveness. We will build in leadership skills for women and young people so they can assert their rights and contribution to the program. Where issues arise we will work who take issue (men or others) and implement conflict resolution mechanisms. Risk: Low institutional capacities to manage the project. o Mitigation: Stakeholder capacity assessments, as per Government operating procedures, will be undertaken with new partners; capacity building initiatives and on-going support for partners and involved stakeholders will be undertaken as required. Risk: The project area is subject to cyclones or other disasters, interrupting the project s implementation. o Mitigation: Contingency plans will be developed, and project planning will schedule around peak rain and storm seasons. In an extreme event, we reschedule or amend the project implementation as necessary (in consultation with GCF).

8 READINESS AND PREPARATORY SUPPORT PROPOSAL PAGE 7 OF 8 Annex I: Logical framework and implementation schedule PROJECT SUMMARY INDICATORS BASELINES OUTCOMES 1. NDA capacity to undertake Fund-related responsibilities and engage national stakeholders strengthened 2. Strategic framework for engagement with the Fund developed 1.1 Capacity to coordinate across stakeholders and facilitate effective consultation and communication 1.2 Knowledge on climate and finance priorities strengthened 1.3 System for reviewing proposals and issuing recommendations (or noobjections) established 1.4 Capacity and systems to monitor, evaluate and report on the activities of the Fund and other relevant finance mechanisms and institutions established 1.5 Information, including in local languages, on procedures of the Fund to disseminated to country stakeholders 2.1 Engagement of private sector, civil society, government and local government stakeholders on priorities for engagement with the fund 2.2 Priorities for project and concepts to be developed for accessing the fund 2.3 Country programming document developed and published in adherence with the initial guidance from the Fund

9 READINESS AND PREPARATORY SUPPORT PROPOSAL PAGE 8 OF 8 OUTPUTS 1.1 A process for supporting coordination across stakeholders and facilitating engagement (including periodic meetings / workshops) 1.2 Annual report on activities of the Fund and other relevant funding mechanisms and institutions in the country 1.3 Information materials on the operational procedures of the Fund in local languages (where relevant) and distribution lists of recipients Write up of the coordination process, and convening schedule Meeting minutes and participant lists documenting engagement of at least xx groups Electronic copy of the annual report, and details of public dissemination channels Links to electronic copies of presentations, information materials, climate and development information disseminated to distribution lists where relevant At least xx information materials on the fund developed and disseminated to at least xx people 2.1 Country programme, including elements provided in the Fund s Initial Guidelines for Country Programmes 2.2 Summaries of meetings of multistakeholder engagement, including list of participants Copy of country programme, completed using the initial guidance on country programmes prepared by the GCF secretariat Background documentation on the programme, and links to public dissemination channels Agendas and summaries from workshops convened as part of the country programme process Short note on lessons learned from country programming, and good practices in stakeholder engagement

10 PAGE 1 OF 18 (Please submit completed form to countries@gcfund.org) Summary Country Republic of Vanuatu Date of Submission 26/7/2016 Ministry of Climate Change Adaptation, Meteorology, Geo-Hazards, Energy, Environment and Disaster Management NDA or Focal Point contact details NDA Contact: Jesse Benjamin Position: Director General, Ministry of Climate Change Adaptation, Meteorology, Geo- Hazards, Energy, Environment and Disaster Management jbenjamin@vanuatu.gov.vu Tel: (+678) Full Office address: Department of Meteorology, Lini Highway, Port Vila, Vanuatu Delivery Partner: GIZ Mr. Dennis Mutschler dennis.mutschler@giz.de (GIZ Head Office) Dr. Wulf Killmann wulf.killmann@giz.de (SPC/GIZ CCCPIR Pacific) Dr. Christopher Bartlett christopher.bartlett@giz.de (SPC/GIZ CCCPIR Vanuatu) The overall goal of the grant is to put Vanuatu on a path towards enhanced engagement with the Green Climate Fund and improve its ownership and governance of climate finance in order to better address the real climate impacts of the most vulnerable. Work Package 1: Strengthening the NDA Summary of proposed activities and timeline (please also include overall objective of the grant, requested grant amount and expected timeline for implementation) (maximum 350 words) The Republic of Vanuatu, Ministry of Climate Change (MoCC) will work with GIZ to engage consultant support to build the capacity of the NDA, which also provides the co-chair and Secretariat Unit for the Vanuatu National Advisory Board on Climate Change & Disaster Risk Reduction (NAB 1 ), to fulfill its roles and responsibilities in relation to the Fund according to best-practice guidelines. Key activities will include: expand the NDA and NAB s capacity to recommend funding proposals to the GCF Board in the context of national climate change strategies and plans, including through comprehensive consultation processes. facilitate the communication of nominations of prospective public sector entities seeking accreditation with the Fund; Progress work towards Vanuatu s own accreditation including national agencies as implementing entities with the Fund; Facilitate coordination of climate interventions across sectors, agencies and levels of governance, through the development of mechanisms (e.g. databases) and processes (operating protocols) to ensure consistency of programming and proposals that are fully in line with national policy, plans and strategies. Implement the no-objection procedure as per the Fund s Initial no-objection procedure; other NDA strengthening activities in accordance with the Fund s defined scope of work for NDA Strengthening. Work Package 2: Strategic Engagement Framework with the Fund GIZ will support Vanuatu s strengthened NDA to prepare a country program that is fully in line with the new National Climate Change & Disaster Risk Reduction Policy, specifically including: programatized development and implementation of critical strategic frameworks including the Intended Nationally Determined Contribution, Nationally Appropriate 1 The NDA falls under the oversight of the Ministry of Climate Change Adaptation, Meteorology, Geo-Hazards, Energy, Environment and Disaster Management and its National Advisory Board on Climate Change & Disaster Risk Reduction. The NAB Secretariat office will be the unit within the Ministry responsible for NDA functions. DG of Ministry of CC is automatically co-chair of the NAB..

11 PAGE 2 OF 18 Mitigation Action, National Adaptation Plan, and National Communications, among others. identification and development, including through standard vulnerability assessment frameworks, of bankable programme and project concepts/ideas that are consistent with the GCF s results and investment frameworks. identification of how the GCF can build on the ongoing work of government and development partners in Vanuatu, and deliver its support in a manner that is complementary and value adding. Under both Work Packages, GIZ will support Vanuatu to further expand multi-stakeholder engagement to fully capture the aspirations and development priorities of government, civil society and private sector actors at all levels. The Readiness grant will commence on 1 October 2016, with work on Work Package 1 starting immediately, soon followed and implemented simultaneously with Work Package 2. The entire Vanuatu Readiness program should be completed by 15 June 2018 (18 months). Vanuatu Readiness program has a total estimated cost of US$ up to 300,000.

12 PAGE 3 OF 18 A. PROJET BACKGROUND & CONTEXT A.1 Assessment of strengths and needs of the NDA Please provide brief analysis on state of readiness to engage with the Fund and other climate finance, and highlight strengths, assets, weaknesses, and need for support. Vanuatu is an archipelago of over 80 islands in the South Pacific, with an estimated population in 2012 of 247,300. As emphasised in Vanuatu s National Adaptation Programme of Action (NAPA), Vanuatu is extremely vulnerable to climate change. It was one of the first countries to sign and ratify the United Nations Framework Convention on Climate Change (UNFCCC) in 1993 and, with international support, has recently completed the development of a robust climate change policy framework. Given the country s high susceptibility to the impacts of climate change, particular attention is paid to climate change adaptation. One of Vanuatu s great strengths towards GCF Readiness is the National Advisory Board on Climate Change and Disaster Risk Reduction (NAB). Led, coordinated and supported by the NDA, the National Advisory Board has been formally instructed by Vanuatu s Council of Ministers (COM) to act as the official advisory body for climate change and mitigating the risks of natural disasters, including taking leadership on climate finance. It is comprised of high-level government representatives 2 and is co-chaired by the Director General of the Vanuatu Ministry of Climate Change (NDA) and the Director of the National Disaster Management Office (NDMO). As evidence of its commitment to climate issues, the Government established the Ministry for Climate Change Adaptation, Meteorology, Geo-Hazards, Environment, Energy and Disaster Management (Ministry of Climate Change), housed within a new government-funded complex built as part of efforts to improve coordination. As the supreme authority on the country s climate change programme, the NAB is responsible for the overall management and coordination of climate finance, including the GCF. Currently the NAB is managing funds and implementing multiple climate finance streams, including from the World Bank, and the Least Developed Country Fund. Capacity challenges, and the ability to report and fully engage is an important justification for the current proposal to the GCF. Vanuatu has a strong asset in the Director General of the Ministry of Climate Change, who is the country s national focal point for the United Nation s Framework Convention on Climate Change (UNFCCC) and the NDA for the GCF. Along with the NAB, the NDA is mandated with coordinating all government and non-governmental initiatives addressing climate change and disaster risk reduction. Another asset is the project management unit (PMU) housed in the NDA and operating under the supervision of the NAB is also responsible for the management and execution of some programmes and projects. The overall institutional set up has recently undergone review and reform in order to develop capacity and better fulfil the roles and responsibilities of government departments in the coordination, financial management and implementation of the various climate change initiatives underway in Vanuatu. Stakeholder engagement in the past has been weak in Vanuatu, largely due to the inability of the Project Management Unit to effectively and transparently communicate with the range of Government agencies, non-government organizations and community groups that are all working towards climate resilience in the country. However, with the recruitment in September 2015 of a new National Advisory Board strategic manager and senior program officer, stakeholder engagement has markedly improved. Despite the institutional reforms, and the uptick in stakeholder engagement in the climate change sector in Vanuatu, substantial support is required to build the capacity of the NDA, which also provides the co-chair and Secretariat Unit for the Vanuatu National Advisory Board on Climate Change & Disaster Risk Reduction (NAB), to fulfil its roles and responsibilities. Of particular need is support to develop and recommend funding proposals to the GCF Board in the context of national climate change strategies and plans, including through comprehensive consultation processes. The National Advisory Board on Climate Change & Disaster Risk Reduction has a newly established Secretariat office within the MoCC, which will play a key role in NDA strengthening activities. This secretariat requires additional capacity and targeted expertise and capacity development in order to effectively accelerate their engagement with the Fund immediately and grow this relationship over the long term. Vanuatu has recently completed a National Climate Change & Disaster Risk Reduction Policy, with Government playing a lead role in ensuring that all international climate finance is disbursed to support these national priorities without overlap or duplication. This coordination requires that a clear role is assigned to the Fund that aligns with other resources and complements and catalyses availability of much-needed climate finance. The country programme will form the basis for Vanuatu s continuous strategic engagement with the GCF. An important part of the GCF country program will include implementation of the Government policy directives which call for an alignment of existing strategic 2 From the Ministry of Infrastructure, Ministry of Agriculture, Ministry of Foreign Affairs, Ministry of Internal Affairs, Ministry of Health, Ministry of Education, Ministry of Finance, Ministry of Lands, Ministry of Trade, & Ministry of Justice.

13 PAGE 4 OF 18 frameworks (e.g. the Intended Nationally Determined Contribution, Nationally Appropriate Mitigation Action, National Adaptation Plan, and National Communications) and that their further development and implementation is done in a programatized manner. Thus an area requiring substantial support is to prepare strategic investment programs, fully in line with the new National Climate Change & Disaster Risk Reduction Policy, that measurably address real island climate risks and are consistent with international results and investment frameworks. Finally, support is urgently required to further expand multi-stakeholder engagement to fully capture the aspirations and development priorities of government, civil society and private sector actors at all levels. A.2 List of national climate change policies and initiatives Please highlight information on key national climate change response policies and initiatives (e.g. national policies, NAPs, NAMAs, INDCs, etc.) that are to be reflected / prioritised in the country programme. Highlight country and donor strategies and programmes that are of relevance, and institutions to be engaged in the process. The Government of Vanuatu is currently preparing a 15-year National Sustainable Development Plan (NSDP) for endorsement. The NSDP is proposed to come into operation in 2016, and will incorporate three pillars: economic, environment and social, underpinned by a focus on culture. Like its predecessor the Priorities and Action Agenda and its Plan Long Act Short document the new NSDP identifies climate change and disaster risk reduction as key priorities for government. This policy is aligned with the directions of the NSDP. The newly developed Vanuatu National Climate Change & Disaster Risk Reduction Policy sets the policy framework for the implementation of this GCF Readiness and Preparatory Support Program, and outlines Vanuatu s climate finance priorities including Implementing Entity accreditation with global climate funds and coordinated and needs-driven programming. The Government s policy framework will directly guide the development of Vanuatu s GCF Strategic Engagement Framework to ensure that all GCF intervention areas are directly in line with national direction and are seamlessly integrated into government planning and budgeting processes. Vanuatu has had great success with mainstreaming climate change and disaster risk reduction into sector policies, including the Overarching Productive Sector Policy, National Forest Policy, Agriculture Sector Policy, National Curriculum Statement, National Environment Policy, Tourism Strategic Action Plan, National Land Use Planning Policy, and the National Livestock Policy. Vanuatu s Disaster Risk Reduction and Disaster Management National Action Plan maps out priorities and a pathway for disaster risk reduction and management, although it has not yet been fully revised to address climate change considerations. Vanuatu s National Adaptation Plan of Action 2006 listed priority adaptation strategies for the country. The plan focused on immediate actions without taking a strategic approach by compiling project concepts, many of which have now been implemented, around agriculture and food security, sustainable tourism development, community-based marine resource management, sustainable forestry management and integrated water resource management. Vanuatu s INDC, submitted to the UNFCCC Secretariat in September 2015, outlines a pathway for both climate mitigation with a goal of 100% renewable by 2030 conditional on support but also sustainable adaptation based on the National CCDRR Policy including through climate finance reform and community-based vulnerability assessments. The GCF country programme builds on the aforementioned documents and will thus be fully aligned with national priorities. The country program will be used to help implement the INDC and the other policy and strategy documents. Vanuatu has a comprehensive development and strategic framework to guide GCF Readiness implementation across a range of sectors. These relevant country strategies include the National Gender Policy, National Curriculum Statement and Education Sector Strategy, Health Sector Strategy, Decentralization Policy, IT Strategy, Biodiversity Action Strategy, which will each influence GCF Readiness in various ways. These strategies tend to be stewarded by government agencies but implemented by all, including civil society, academia, the private sector and development partners. The Department of Strategic Policy, Planning and Aid Coordination under the Office of the Prime Minister is responsible for approving programs and projects (including GCF activities) and ensuring alignment with Government strategies and priorities. They make recommendations to the Council of Ministers and Parliament. While the GCF readiness program will focus on adaptation, Vanuatu s National Energy Road Map (NERM) and Second National Communication (SNC) establish clear climate mitigation outcomes and targets through Donors to Vanuatu also have clear investment programs. Australia is Vanuatu s largest development partner. In recent years, Australian aid has comprised more than 60 per cent of total ODA to Vanuatu. The Aid Investment Plan, to (AIP) for Vanuatu proposes a strategic framework for the provision of Official Development Assistance to Vanuatu over and includes four strategic objectives: Build resilient infrastructure and an environment for economic

14 PAGE 5 OF 18 opportunity, Improve early education and essential health services, Improve community safety and resilience, and Support cyclone recovery and reconstruction. The European Commission has signed a National Indicative Program with Vanuatu for the period of The NIP is built on a single sector: Rural Development, and aims to contribute to poverty reduction and improved livelihoods through a broad based sustainable economic growth of the rural economy. This will be done by supporting value chain development, addressing the urban/rural gap and ensuring the reduction of vulnerability against climate change impacts in the agricultural sector. The World Bank focuses on cumulative lending (IBRD and IDA) to the Pacific Island countries with a portfolio concentrated in transportation, communications, and climate change resilience. ADB's country operations business plan (COBP), for Vanuatu aligns with the government s Priorities and Action Agenda, The COBP addresses the development needs of Vanuatu in four core sectors: energy, transport, water and other urban infrastructure and services, and private sector development. A Joint Commitment for Development signed in October 2011 by the New Zealand and Vanuatu governments establishes a shared vision for achieving long-term outcomes. This commitment will be refreshed in The New Zealand Aid Programme activities in Vanuatu follow the broad mandate for New Zealand's development work overseas and focus on lifting economic performance, improving education outcomes and strengthening governance. The priority areas include: tourism, renewable energy, transport, education, water/sanitation, the judiciary, corrections, civil society and disaster response. The GCF country programme will be designed in a way that it is complementary to the aforementioned programmes to achieve the objectives of the Government in terms of climate smart development. Key stakeholders to be involved & Proposed process for multi-stakeholder A.3 engagement Please provide overview of the key stakeholders in the country engaged in climate policy dialogue, project development, public awareness, etc. Multi-stakeholder engagement is central in activities supported by the Fund; please indicate the stakeholder engagement approach anticipated in the development of the country programme, including prospective implementing entities / intermediaries where possible. The NDA leads the National Advisory Board on Climate Change & Disaster Risk Reduction and sits within the Ministry of Climate Change. These three entities are interlinked, and with numerous technical government officers and technical advisors, make up the primary governing stakeholders of the GCF Readiness Program. This NDA-NAB-MCC complex is engaged heavily in policy dialogue (including the National Climate Change & Disaster Risk Reduction Policy and the National Sustainable Development Plan) as well as project management and public awareness. Other Government agencies have taken on strong sectoral climate leadership including the Ministry of Agriculture, the Ministry of Infrastructure, and the Ministry of Education. Climate change and disaster risk reduction interventions are relatively new and rapidly growing areas that require increasing levels of planning and coordination. This is particularly evident given the large number of stakeholders involved in this work in Vanuatu, including government at all levels, various sectors, donors, regional bodies, academic institutions, CSOs, the private sector and communities. As a country that is highly vulnerable to climate and disaster risks, and one that has limited resources and competing needs, it is crucial for Vanuatu to use existing and potential resources more strategically and effectively. Agencies commonly have climate and/or disaster human resources now in their structure as well as dedicated sectoral units; for example, the Ministry of Agriculture s newly launched Risk and Resilience Unit. Another important set of actors in Vanuatu s climate sector include civil society, the private sector and non-government organizations. The Vanuatu Climate Action Network was established to ensure efficient cooperation among the major civil society climate action partners including Oxfam, Save the Children, Care International, World Vision, and others. At present there are over 15 organizations associated with the Network. Several private sector agencies in the tourism as well as shipping industries are already implementing climate programs, and have even served as official delegates in Vanuatu UNFCCC negotiations. These stakeholders are critical in the design and implementation of programs and initiative at the grass roots levels. They often work in close collaboration with grassroots communities and local level government. Non-government agencies have played an important role in communication and awareness with the public. Working in favour of Vanuatu s GCF Readiness program is the support of several development partners on its climate and disaster risk policies, including strong support from the SPC/GIZ Coping with Climate Change in the Pacific Islands Region project which has worked closely with the climate governance institutional reforms including the creation of the

15 PAGE 6 OF 18 NAB as well as climate and risk mainstreaming in multiple sector policies (e.g. Agriculture Sector Policy and National Sustainable Development Plan). The SPC/GIZ program has excellent collaboration with the government and nongovernment stakeholders on the NAB, and build on years of co-implementation and collective action in the climate change sector. Other development partners working on climate issues in Vanuatu include the World Bank, the Asian Development Bank, and UNDP. Vanuatu s GCF readiness program will be led by the NDA and Ministry of Climate Change, with implementation support from GIZ. Vanuatu s GCF readiness program has planned an intensive and comprehensive consultation and multi-stakeholder process. This will not be a single conversation but a series of opportunities to create understanding about the program, its goals and objectives, the initiatives to be implemented and monitoring and evaluation. Consultation activities will be undertaken among those it will likely affect or interest, and to learn how these external parties view the project and its attendant risks, impacts, opportunities, and mitigation measures. Listening to stakeholder concerns and feedback is seen by the NDA as a valuable source of information that will vitally improve project design and outcomes and help to identify and minimize risks. The Vanuatu multi-stakeholder engagement process will operate through the currently existing, but underutilized mechanisms of the National Advisory Board and the Vanuatu Climate Action Network, and will form the basis for future GCF collaboration and partnerships. For Vanuatu s stakeholders, the GCF Readiness consultation process will be both an opportunity to get information, as well as the change to educate individuals about the GCF mechanisms and the context in which project will take place. During this gender-inclusive process, stakeholder will be empowered to raise issues and concerns, ask questions, and shape programming in a participatory, open and transparent way. The proposed iterative consultation process will commence with the development of a Stakeholder Engagement Plan which will outline the overall consultation strategic purpose, requirements, stakeholder maps, approaches/methods, responsibilities and required documentation. It is expected that the approaches utilized will include traditional face-toface meetings as well as novel SMS and social media outlets. The process for multi-stakeholder engagement will be ongoing throughout the GCF Readiness phase in Vanuatu, and be guided by core principles including: - two-way dialogue so that each stakeholder has the opportunity to exchange views and information, to listen, and to have their issues addressed; - gender-inclusiveness to ensure that the differing views and needs of men, women, youth are heard and considered; and localization to reflect appropriate timeframes, context, and local languages. Specific opportunities for engagement include the piggybacking onto major climate events and functions, for example was recently accomplished by utilizing the Fest Napuan annual national music festival in order to share people s climate aspirations through music. Regular NAB meetings and gatherings of the above mentioned Vanuatu Climate Action Network (VCAN) provide unique opportunities to engage with partners in formal and informal settings. Use of SMS technology and the NAB online portal are two additional planned avenues for ensuring regular and open engagement. In all cases, engagement will strive towards participatory tools and approaches, with the choice of methods depending heavily on the context and the type of stakeholders being engaged. What works well in one cultural/island context or with one particular set of stakeholders may be less-effective elsewhere. For this reason, we have not detailed the multiple and specific tools or techniques, but rather share our plans to adhere to participatory methodologies that will increase the level of involvement of stakeholders in the process and for engaging specific sub-groups within a community (e.g. women, youth, vulnerable groups, minorities and the elderly). B. DETAILED PROJECT ACTIVITIES B.1 Detailed plan for strengthening the NDA If applicable, please provide detailed information on the implementation of the proposed activities including workshops, trainings, etc. All activities should be included in the Implementation schedule in annex. Summary: Year 1 (2016) & Year 2 (2017) 1 x GCF Readiness Introductory Workshop (National Workshop; 3 days; 40 pax) 1 x Standard Operating Procedures training (NDA Processes Meeting) (Inter-Ministerial Meeting; 2 days; 40)

16 PAGE 7 OF 18 Ongoing support on Coordination, GCF processes, and accreditation. Year 2 (2017): 1 x NAB Web Portal Training (Inter-Ministerial Training; one day; 40 pax) Ongoing support on Coordination, GCF processes, and accreditation The Vanuatu Readiness Program is designed with a very strong national capacity-building objectives, and thus contains a series of important workshops and inter-ministerial meetings.. It will be noted that the program of implementation outlined below shows great complementarity between Work Program 1 and Work Program 2. Most, if not all, activities, workshops and meetings are designed to simultaneously reach the goals of both areas. The first major national workshop is planned for Year 1 Quarter 4 (Y1Q4) and is the Introductory Summit of the GCF Readiness program generally, its purposes, processes and mechanisms of support (WP1) along with the details pertaining to the development of new Standard Operating Procedures. This includes discussion of project endorsement and approval processes, program M&E and standardized templates for project budgets and reports (WP1). This discussion will ensure that strengthening of NDA processes is done fully in-line with Vanuatu s new CCDRR policy as well as the new National Sustainable Development Plan under the Prime Minister s Office. This will provide stakeholders the opportunity to provide feedback on the design of new NDA systems and processes that meet GCF standards but are also applicable to Vanuatu s developing country context. This workshop will also include introductions to the works related to the Country Program document and the Vulnerability Assessment undertakings (WP 2), elaborated in section B.2 (below) of this document. This workshop will be facilitated jointly by the NDA, GIZ experts and Consultant #1, 3 and 4. It aims to pull together 40 key stakeholder from Government, civil society, the private sector and others to introduce them to the Readiness program and its key goals in support of Vanuatu. During this workshop, stakeholders will be consulted on the proposed implementation plan and adjustments will be made to suit changing contexts. This workshop will also initiate the consultation and national NDA ownership process (WP1) [as well as set the stage for the initiation of the Country Program (WP2).] In Y2Q1 an Inter-Ministerial training will be conducted with key stakeholders on how to utilize and find climate finance information within the online portal of the National Advisory Board on Climate Change & Disaster Risk Reduction. Government officers and other stakeholders (40 pax) will learn over 1 day how to take full advantage of the website s functionality and obtain information on GCF and other climate programs in Vanuatu (WP1). This training is critical to ensure that all available climate knowledge products and documents created by any of several dozen agencies are being uploaded onto the portal for access by all, which will vastly improve climate coordination by the NDA. This meeting will also be jointly facilitated by the NDA, GIZ and Consultant #2. In both of these activities in Year 1 and 2, tasks will be implemented alongside national experts to ensure capacity transfer. The priority will be to utilize local expertise to the full extent possible, to ensure that capacity remains within country and is tailored to the local context as tightly as possible. Much of the NDA strengthening work of Work Program 1 in Year 1 and Year 2 will happen internally within the Ministry of Climate Change. Locally based GIZ technical advisors and the GCF Readiness coordinator will work daily with the NDA to strengthen its role in climate finance coordination and fulfil its roles and responsibilities in relation to the Fund according to best-practice guidelines. Regular one-on-one sessions will be organized with the Ministry staff regarding the processes of the GCF Board, nominations of entities seeking accreditation, and no-objections procedures. A series of local language brochures, posters and other media products will be developed and disseminated to the public on the goals, processes and procedures of the GCF by the NDA, GIZ GCF Coordinator and GIZ technical experts. Another NDA internal series of activities will focus on coordination of climate interventions across sectors, agencies and levels of governance, to ensure consistency of programming and proposals that are fully in line with national policy, plans and strategies. The National Advisory Board on Climate Change & Disaster Risk Reduction and its Secretariat will be the focus of comprehensive capacity building to ensure that they are able, on behalf of the NDA, to fulfil their role in climate program coordination. Each month, the NAB should meet with stakeholders from across government, civil society the private sector and development partners. During these regular meetings, the NDA will begin to take on its role for climate finance coordination and begin to establish its stakeholder engagement and consultation processes. A final series of semi-internal activities by the NDA will focus on progressing work towards Vanuatu s own accreditation (including national agencies) as implementing entities with the Fund. Vanuatu has long stated its aspirations to achieve direct access to climate finance, and undertook a major Climate Public Expenditures and Institutional Review (CPEIR) in 2013 to move this process forward. At present, Vanuatu and the NDA are working towards surpassing the minimum

17 PAGE 8 OF 18 fiduciary requirements for accreditation. The NDA, with ongoing support from the GIZ GCF Readiness coordinator and GIZ experts will move this process along, particularly be facilitating critical discussions among the GCF, the Ministry of Finance and other key players in order to institutionalize a Climate change financing framework at both national and sub-national levels. B.2 Detailed plan for developing the country programme If applicable, please provide more information on the detailed activities, initial timelines and process for the elaboration of the country programme, including a specification of opportunities for input from the Secretariat. All activities should be included in the Implementation schedule in annex. Summary: Year 1: 1 x Readiness Introductory Summit (introductions to Vulnerability Assessment and the Country Program) (National Workshop; 1 day, 40 pax) Year 2: 1 x Vulnerability and Adaptation (V&A) Results Assessment & Proposal Development Summit (Inter- Ministerial meeting; 3 days; 30 pax) Year 3 1 x V&A NAB Validation workshop (NAB meeting Inter-Ministerial meeting; 1 day; NAB members) 1 x Country Program Validation (National Workshop; 2 days, 40 pax) It will be noted that the program of implementation outlined below shows great complementarity between Work Program 1 and Work Program 2. Most, if not all, activities, workshops and meetings are designed to simultaneously reach the goals of both areas. Generally, Vanuatu s proposed WP2 Country Program activities are dependent on the commencement of NDA Strengthening WP1 activities and the foundational processes put in place. Thus, Vanuatu proposes to commence Country Program development in Year 1 Quarter 4 (Y1 Q4). Vanuatu s GCF country program (WP2) is the defining document that sets national GCF priorities and ensures that support is tailored to address countries specific circumstances. The up to US$ 1 million per calendar year in readiness support available to Vanuatu will be clearly articulated in the country program, and defined both on national needs and feedback from the GCF Secretariat. This country program will clearly identify how the GCF can build on the ongoing work of government and development partners in Vanuatu, and deliver its support in a manner that is complementary and value adding. At the critical Year 1 Quarter 4 (Y1 Q4) GCF Readiness Introductory Summit (held nominally as part of WP1), the GCF Country Program concept and the V&A framework concept will also be introduced, thus commencing the process of stakeholder dialogue and consultation. Consultant #3 will focus on the preparation of the Country Program document based on the multiple WP1 activities and consultations throughout Years 1 and 2. At the Introductory Summit, the consultant will present to key NDA stakeholders about what the country program documents contain and the expectations of GCF. Topics to be included in this meeting include review of the Fund s initial general guidelines for country programmes, the Fund s initial results management framework and Initial investment framework. The workshop will also ensure that all stakeholders are aware of, and provide feedback on, the proposed country program development process led by the NDA, that will fully include national government agencies, provincial and municipal institutions, civil society, and the private sector actor. After the workshop, a consultant will pull together the ideas and comments provided during the inception into a very first draft country program and annexes. The draft country program will include the programatized development and implementation of critical strategic frameworks including the Intended Nationally Determined Contribution, Nationally Appropriate Mitigation Action, National Adaptation Plan, and National Communications, among others. Importantly, the Country Program document must identify, including through standardized vulnerability assessment frameworks, bankable programme and project concepts/ideas that are consistent with the GCF s results and investment frameworks. Activities related to the development of these project concepts will commence in the 1 st Quarter of Year 2 (Y2 Q1) (during the V&A Results Assessment & Proposal Development Summit). This activity will be facilitated with Consultant #4. Following the V&A Results Assessment and Proposal Development Summit, the bankable project proposals will be presented to the National Advisory Board on Climate Change and Disaster Risk Reduction for final validation and endorsement. In Y2Q3, the consultant will facilitate a vulnerability analysis exercise alongside NDA officers. This activity will lead to several bankable proposals put forward to the GCF as well as raise the capacity of NDA partners to develop projects

18 PAGE 9 OF 18 that directly and comprehensively address local needs while at the same time builds on the ongoing work of government and development partners in Vanuatu (delivering support in a manner that is complementary and value adding). Once the project concepts are drafted and based on the results of the vulnerability assessment, the NDA with support from the local GIZ GCF coordinator and technical expert will launch another validation process to ensure that stakeholders views had been fully integrated into the draft. The Country Program will be drafted and consulted on with the support of Consultant #3. The validation process will also ensure that the country program is aligned with and strengthens other national strategies and donor plans. Once all stakeholders have been given the opportunity to provide feedback and comment, the NDA will host, in the middle part of Year 3, a major 2-day Country Program validation summit, wherein the proposals will be scrutinized and approved by heads of agencies and companies. It is during this final validation that the specific roles and obligations of important stakeholder will be elaborated. Once fully vetted, and county endorsement is received, the Country program and project concepts will be submitted to the GCF Secretariat for their own round of validation and comments. Due to the already close working relationship among GIZ, the NDA and the GCF Secretariat, it is proposed that Pacificbased GCF colleagues will be invited to and be in communication on all Vanuatu related workshops and country programme drafts to ensure that Vanuatu takes full advantage of the opportunity for Secretariat views and ideas, and that these are incorporated at every stage of the process. Vanuatu s GCF Readiness program strives to be fully transparent and participatory, led fully by Government s NDA but open to engagement and feedback from a variety of civil society and private sector stakeholders. In nearly all cases, planned activities commence with a consultation initiative, progress through technical work, and end with a stakeholder validation. Vanuatu s National Advisory Board on Climate Change & Disaster Risk reduction has found that by inviting stakeholders to come to meetings and face-to-face discussions, there is a much greater probability that participation is genuine, rather than simply sending around s and requesting feedback. Thus the program is built on a series of workshops and validation meetings to take every available opportunity for wide engagement. Vanuatu s GCF country program is the defining document that sets national GCF priorities and ensures that support is tailored to address countries specific circumstances. It is imperative that the GCF country program is based on comprehensive consultation because allocation of resources will take into account those urgent and immediate needs identified in the programming process. The up to US$ 1 million per calendar year in readiness support available to Vanuatu must be targeted and reach those most vulnerable as defined by our own stakeholder and our own implementing agencies. As with all programs in the Vanuatu readiness project, the NDA, through the National Advisory Board on Climate Change will call stakeholders together in Y1Q4 to learn more about what the country program documents contain and the expectations of GCF. Topics to be included in this workshop include review of the Fund s initial general guidelines for country programmes, the Fund s initial results management framework and Initial investment framework. The workshop will also ensure that all stakeholders are aware of, and provide feedback on the proposed stakeholder engagement process led by the NDA, that will fully include national government agencies, provincial and municipal institutions, civil society, and the private sector actor. Stakeholders will provide their views on how best to ensure gender sensitivity in all activities, in a way that is also fully consistent with the Fund s initial best practice options for country coordination and multi-stakeholder engagement: Country strategic framework. Current stakeholder engagement processes of the NDA and NAB include regular meetings in which both official members as well as civil society observers may learn about and witness decision-making around climate change and disaster risk reduction at the highest level. Notice of meetings is shared via and on several online forums. Another and innovative element that will greatly enhance stakeholder engagement in the Readiness program will be the use of social media, including Facebook and twitter. Tangible and substantive roles and responsibilities for existing civil society networks and private sector actors will be granted through the Readiness program for specific activities, for example the on-ground vulnerability assessments, the design of awareness materials, and the development of proposals. This decentralization and inclusive approach will ensure that the Readiness process is not held by Government alone, but truly belongs to the people of Vanuatu. C: LOGICAL FRAMEWORK C.1 Detailed log frame with implementation schedule

19 PAGE 10 OF 18 Please provide detailed log frame including activity level. See Annex I. Only sections relevant to the project should be filled in. D: CONSULTANTS AND EXPERT SUPPORT D.1 Consultants Please provide brief description of roles of the consultants. Detailed TORs should be provided in annex. Vanuatu s Readiness package includes technical inputs both from GIZ experts as well as regional and nationally-based consultants. Currently, the capacity of the national NDA is limited. Vanuatu has decided on a joint-implementation approach to work closely alongside the current GIZ in-country technical capacity throughout the implementation of this Readiness Program. This approach best suits national capacity development aspirations. The Government of Vanuatu and NDA will have ready and as-needed access to GIZ s international climate expertise, both on-ground in Port Vila as well as from international GCF experts abroad. This kind of on-demand, as-needed support, brings a level of confidence to implementation of this critical program within the capacity-constrained context of the new Ministry of Climate Change. Specifically, the NDA will have regular and if needed, daily access to the GIZ climate expert based in Port Vila as part of the SPC/GIZ Coping with Climate Change in the Pacific Island Region program. This GIZ program has complementary goals to the GCF Readiness program, and has been operating in Port Vila since 2009 and the GIZ technical advisor has very close working relationships with the NDA and staff of the Ministry of Climate Change and other climate-involved stakeholders. For smooth implementation of the Readiness program, the NDA will have access to the technical advisor for a period of a full 6 months throughout the Readiness 2-year program. Put another way, at least one quarter of the GIZ expert s time over the next two years will be dedicated to this GCF program and supporting implementation by the NDA. No special recruitment is required. The technical expert will work alongside the NDA to ensure program consistency and coordination at all levels. To support the NDA and the GCF coordinator, a local Administration staff will be recruited to ensure that program budgets and fiscal standards are fully implemented. Existing GIZ administrative staff will work alongside NDA administrative staff and the GCF Administration staff to support. To ensure maximum ownership, GIZ will hire a full-time GCF Readiness coordinator who will report directly to the NDA and eventually be absorbed into the structure of the Ministry. This coordinator will ensure that all logistical, reporting and program management obligations are fulfilled. This proposed NDA-GIZ partnership yields the greatest ownership and capacity building for the NDA and is substantially more cost-effective than the traditional, implemented-by-consultant or implemented-by-implementing-agency approaches that have failed in the Pacific and in Vanuatu in the past. This approach also ensures maximum flexibility as there will, at all times, be an expert resource on hand to respond to government queries and requests. This yield great value for money as compared to consultants which have a fixed number of days. GIZ staff will be available in country for the entire duration of the program. In addition to the always-available technical support from on-ground GIZ staff, it is expected that Readiness implementation will require 4 consultancy contracts for specific deliverables, with a preference for national and regional experts. These consultants will be coordinated and managed by the NDA, with strong support from the on-ground GIZ staff. International consultants will not be hired in areas where local capacity is high, but rather supplement technical areas where capacity development is required. Areas requiring consultant support include GCF processes and mechanisms, monitoring and evaluation, vulnerability assessment analysis, IT web portals, and country program development. The proposed consultants tasks are outlined below (and TORs are attached as an appendix), including an indication of their origin and the number of expected working days. Consultant 1 (also referred to as Standard Operating Procedures (SOP) consultant will, under the guidance of the NDA, undertake tasks under output areas (1.3, 1.4). This consultant will, depending on available capacity, be an expert from within the Pacific region or from International areas. The contract is for 50 days. The consultant will: Conduct a desktop review of existing*: Project appraisal processes (including existing templates: Project Design, Project Budget, Report) Project Monitoring and Evaluation processes Lead stakeholder consultations on a project appraisal process, to build on and refine existing Project endorsement processes and that specifically seeks to ensure consistency of funding proposals from national, subnational, regional and international intermediaries and implementing entities with national plans and strategies.

20 PAGE 11 OF 18 M&E frameworks in-line with PMO requirements and CCDRR Policy standardized templates for project budgets and reports in line with PMO requirements Draft project appraisal Standard Operating Procedures (SOPs) for project appraisals to be used by the NDA and the NAB as well as a user-friendly set of guidelines M&E frameworks to be used by the NDA and the NAB as well as a user-friendly set of M&E guidelines standardized templates for project budgets and reports to be used by the NDA and the NAB as well as a userfriendly set of project budget and report guidelines Facilitate an inception workshop on project appraisal processes, experiences and SOPs Facilitate a 2-day training on the draft SOPs, M&E frameworks and standardized templates upload final products onto the NAB Portal for ease of access among stakeholders Consultant 2 will, under the guidance of the NDA, undertake tasks under output areas (1.2, 1.1). This consultant will, depending on available capacity, be an expert from within the Pacific region or from International areas. The contract is for 5 days. The consultant will: update the content of the NAB portal for GCF integration and user accessibility. Develop user guidelines to upload and access GCF content on the NAB facilitate a 1-day training on revised NDA-GCF portal functionality to NAB members and wider stakeholders. Consultant 3 will, under the guidance of the NDA, undertake tasks under outcome (1.3, 1.2,, 2.3). This consultant will, depending on available capacity, be an expert from within the Pacific region or from International areas. The contract is for 40 days. The consultant will: review national climate strategic frameworks (including the CCDRR Policy, NSDP, Intended Nationally Determined Contribution, Nationally Appropriate Mitigation Action, National Adaptation Plan, and National Communication) and produce draft Map of strategies, obligations, actions and plans for use in developing the GCF Country Program for Vanuatu. prepare and facilitate a major 1 day GCF introduction summit with all key stakeholders to introduce the Fund, the Country Program document 3, and inter alia its processes, accreditation requirements to all stakeholders from Government, civil society and the private sector. develop locally relevant climate finance informational materials based on 1) procedures of the Fund and 2) climate finance priorities as per CCDRR Policy and Climate Public Expenditures and Institutional Review (CPEIR) develop a consultation program for specific aspects of GCF engagement through the Readiness program draft and facilitate consultation on the GCF Country Program document including a GCF long-term engagement strategy. upload final products onto the NAB Portal for ease of access among stakeholders Facilitate a 2-day validation workshop on the approved GCF Country program to NAB members and wider stakeholders. Consultant 4 will, under the guidance of the NDA, undertake tasks under outcome 2.2. This consultant will, depending on available capacity, be an expert from within the Pacific region or from International areas. The contract is for 33 days. The consultant will: prepare and facilitate an inception workshop on CCDRR Vulnerability Assessment frameworks, approaches and methodologies with all stakeholders. draft a standard VA framework for Vanuatu, based on existing practices and approaches used by all stakeholders with the purpose of standardization and reporting. facilitate a participatory workshop to analyse results and to develop of elements of bankable proposals for GCF based on VA results and that builds on the ongoing work of government and development partners in Vanuatu (delivering support in a manner that is complementary and value adding). Finalize, based on the results of the VA results, bankable proposals according to GCF requirements and for inclusion in the Vanuatu Country Program documents. Hold a 1-day validation workshop with the NAB (at NAB meeting) Procurement plan 3 based on GCF s Initial Guidelines for Country Programmes

21 PAGE 12 OF 18 Please describe the different procurement packages and method of procurement used for each, using the attached template in Annex III. Vanuatu Procurement Plan is in Annex III. E: BUDGET E.1 Budget Please provide detailed budget using the attached template. Please refer to Annex XVI of the Standardized packages document to check the eligible expenses under the grant. The aggregate version of the budget has been sent separately

22 PAGE 13 OF 18 Annex I: Logical framework PROJECT SUMMARY INDICATORS BASELINES TARGETS OUTCOMES i. NDA capacity to undertake Fund-related responsibilities and engage national stakeholders strengthened 1.1.Capacity to coordinate across stakeholders and facilitate effective consultation and communication 1.2.Knowledge on climate and finance priorities strengthened 1.3. System for reviewing proposals and issuing recommendations (or no-objections) established 1.4.Capacity and systems to monitor, evaluate and report on the activities of the Fund and other relevant finance mechanisms and institutions established 1.5.Information, including in local languages, on procedures of the Fund to disseminated to country stakeholders B1.1 Weak coordination capacity of the NDA/NAB across stakeholders as only 4 NAB meetings were held in 2015, with fewer than 10 organizations represented. Recently NAB Secretariat has been established with a newly hired Manager and Policy Officer. B1.2 Ministry of climate change stakeholders have some knowledge on climate and finance priorities through the National CCDRR Policy and the Climate Public Expenditures and Institutional Review (CPEIR) process, however the technical knowhow and human resource capacity to implement and move forward on climate finance standards is limited. The general public and private sector have little to no knowledge on climate finance priorities. T1.1 Strong NDA coordination capacity across all stakeholder groups, with highly effective consultation processes and communication mechanisms. Goal is at least 10 multisectoral NAB meetings held each year, with over 20 organizations represented. T1.2 CPEIR recommendations and knowledge on climate finance priorities are fully achieved, primarily through enhanced dialogue among key stakeholders in the Ministry of Climate Change and Ministry of Finance. The public has a vastly expanded knowledge of climate finance priorities through the development of local language brochures, posters and other media. Goal is that Vanuatu s Ministry of Climate Change meets the GCF requirements as a national implementing entity. B1.3 The NAB has developed a process for screening new climate activities, although it is not widely followed and conflicts with other development screening processes. The NAB has put in place a process to screen Information Education and Communication (IEC) T1.3 The NDA and NAB release revised and locally appropriate protocols, guidelines and processes for project templates and budgets and the NDA utilizes these as part of an institutionalize review and noobjections screening process. Goal is to achieve a. project appraisal process established for

23 PAGE 14 OF 18 Materials, although it is not widely followed. CC/DRR projects b. standard for project budgets and reports developed that meets GCF and other partners requirements ii. Strategic framework for engagement with the Fund developed 2.1.Engagement of private sector, civil society, government and local government stakeholders on priorities for engagement with the fund 2.2.Priorities for project and concepts to be developed for accessing the fund B1.4 The new National CCDRR Policy calls for the development of a standardized climate monitoring and evaluation framework that captures project and national-level development. At present no such framework exists, and projects utilize a variety of unconnected M&E systems and processes. B1.5 Little Information in local languages or in English on procedures of the Fund is available to accesses by country stakeholders. Most Vanuatu organizations have heard of the GCF in name only, but do not understand its role within national climate priorities. B2.1 Civil society has become well engaged through the Vanuatu Climate Action Network (VCAN) and the Vanuatu Humanitarian Team (VHT) in climate activities, however they remain unlinked into climate finance opportunities, and especially to the new GCF. T1.4 A comprehensive system for monitoring and evaluating the outcomes of climate action in Vanuatu will be established. All stakeholder from across government, civil society, the private sector and development partners commit to reporting against standardized indicators as per the National CCDRR Policy. Goal is to have in place detailed M&E procedures that are consistent with GCF evaluation frameworks T1.5 The public, and particularly climate stakeholders in local level government, civil society and the private sector are aware of the GCF and its procedures, roles and mechanisms of support to Vanuatu. Stakeholders have access to local language informational materials about the GCF in Vanuatu. T2.1 Civil society, as well as private sector, local and government stakeholders will fully participate in, provide feedback on, and generally engage in the GCF Vanuatu Readiness program and all subsequent GCF investments in Vanuatu.

24 PAGE 15 OF Country programming document developed and published in adherence with the initial guidance from the Fund B2.2 The Government has developed general climate priorities according to the new National Climate Change & Disaster Risk Reduction Policy, and individual agencies have developed more specific goals, but at present there is no single prioritized climate investment program for Vanuatu that could be applied to accessing the fund B2.3 Vanuatu has no country program document for engagement with the Fund T2.2 The NDA will facilitate a process whereby priority projects and concepts are developed and endorsed for accessing the GCF. T2.3 A Vanuatu Country program document is developed and published in adherence with the initial guidance from the Fund, and includes bankable investment proposals targeting the most vulnerable PROJECT SUMMARY INDICATORS BASELINES TARGETS/EXPECTED RESULTS OUTPUTS A process for supporting coordination across stakeholders and facilitating engagement (including periodic meetings / workshops) Annual report on activities of the Fund and other relevant funding mechanisms and institutions in the country Information materials on the operational procedures of the Fund in local languages (where relevant) and Write up of the coordination process, and convening schedule Meeting minutes and participant lists documenting engagement of at least 20 groups Electronic copy of the annual report, and details of public dissemination channels Links to electronic copies of presentations, information materials, climate and development information disseminated to B1.1.1 The NDA/NAB should meet monthly with stakeholders, although this does not often occur. No plan of meetings has yet been released for 2016 or B1.1.2 Meeting minutes and participant lists are currently collected for all official NDA/NAB meetings. B1.2.1 The NDA/NAB has T1.1.1 The NDA/NAB meets monthly with stakeholders, publishes in advance its schedule of meetings, and writes up the coordination process. It is expected that this activity will engender greater participation of more organizations in the climate governance process. Stakeholders will better understand their roles and responsibilities in terms of engaging with the NDA and the GCF T1.1.2 Meeting minutes and participant lists documenting GCF-relevant engagement are compiled for the NAB, VCAN and the VHT. It is expected that by documenting stakeholder engagement, the NDA will be able to identify key partners as well as possible gaps in stakeholders that have not yet fully engaged in GCF processes at the national level. T1.2.1 The NDA/NAB produces annual reports and places these

25 PAGE 16 OF 18 distribution lists of recipients distribution lists where relevant. At least 2 information materials on the fund developed and disseminated to at least people never produced an annual report, although it does at times place electronic materials on the NAB portal on the NAB portal, distributes them though Ministry lists and publishes hardcopies for all Government agencies and key partners. It is expected that undertaking a process of compiling annual reports will increase transparency and set an example for the standardized monitoring and evaluation that the NDA seeks from its partners. B1.3.1 A NDA/NAB list exists, although the list of contacts is not current, and s are irregular B1.3.2 No information materials on the GCF have yet been developed or disseminated T1.3.1 The existing NDA/NAB list exists will be revised, and automated such that stakeholders can easily register to receive automatic and regular climate notifications on the NAB portal including links to electronic copies of presentations, information materials, climate and development information. It is expected that by improving the communication mechanisms, more stakeholders will become involved in climate governance activities and have a greater ownership in climate finance planning and benefits. T1.3.2 At least 2 information materials on the fund will be developed and disseminated to at least 2000 people via print and electronic mediums. Country programme, including elements provided in the Fund s Initial Guidelines for Country Programmes Summaries of meetings of multistakeholder engagement, including list of participants Copy of country programme, completed using the initial guidance on country programmes prepared by the GCF secretariat Background documentation on the programme, and links to public dissemination channels Agendas and summaries from workshops convened as part of the B2.1.1 Vanuatu has not yet developed its country programme B2.1.2 Vanuatu stakeholders have not yet participated in any GCF Country programming activities B2.2.1 No workshops have yet been convened as part of the country T2.1.1 Copy of the Vanuatu country programme is completed using the initial guidance on country programmes prepared by the GCF secretariat T2.1.2 Background documentation on the development of the Vanuatu country programme, and links to public dissemination channels are published on the NAB portal T2.2.1 Agendas and summaries from workshops convened as part of the Vanuatu country programme process are compiled and published on the NAB portal.

26 PAGE 17 OF 18 country programme process Short note on lessons learned from country programming, and good practices in stakeholder engagement Note: Please fill in only sections relevant to the project programming process B2.2.2 No lessons have yet been generated T2.2.2 Lessons learned from Vanuatu country programming, and good practices in stakeholder engagement are prepared and published on the NAB portal.

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28 Annex III: Procurement Plan The procurement plan will cover the implementation period. The implementing entity shall update the procurement plan throughout the duration of the project at least annually by including contracts previously awarded. All procurement plans, their updates or modifications shall be published on the website of the implementing entity. General Information Project Name: : Readiness and Preparatory Support Programme Country: Republic of Vanuatu Grant Amount: ,00 EUR Executing Agency: GIZ Grant Agreement Number: Date of First Procurement Plan NN Date of updated Procurement Plan A. Process Thresholds, Review - Month Procurement Plan Project Procurement Thresholds 1. The following national process thresholds shall apply to procurement of goods and works Procurement of Goods and Works Method Threshold 3 Competitive quotations EUR 3 Competitive quotations + company/individual Above 2500EUR blacklist check Open Advertisement Above 20,000EUR Full Tender Above 50,000EUR National Prior or Post Review 2. The following national prior or post review requirements apply to the various procurement and consultant recruitment methods used for the project. Procurement Method Prior or Post Comments Procurement of Goods and Works 3x competitive quotations Prior To be screened by admin and project management personnel 3 Competitive quotations + company/individual blacklist check Prior With support from GIZ administrative teams Open Tender Prior and Post Recruitment of Consulting Firms Check on Company Registration, Formal Offer in-line with TORs Prior Contracts over 20,000Euros will require advertisement Recruitment of Individual Consultants

29 Procurement Method Prior or Post Comments CV, Offer based on TORs, Prior Contracts over 20,000Euros will require advertisement

30 Goods and Works Contracts Estimated 3. The following table lists goods and works contracts for which procurement activity is either ongoing or expected to commence within the next 12 months. General Description Contract Value [EUR] Procurement Method Prequalification of Bidders (y/n) Advertisement Date (quarter/year) Comments International Airfares (for international consultants) Competitive Quotations n Q3/Y1 May use travel agency for best efficiency Domestic Airfares (includes provincial participants airfare Selection n Q3/Y1 Single supplier in Vanuatu & the IT expert airfare entitlement) Domestic land & selection n Q3/Y1 - water transportation (includes transportation to workshops for provincial participants & GIZ staff transportation) Vila Accommodation (Includes workshop participants accommodation) Competitive Quotations n Q3/Y1 Criteria of proximity to MCC workshop space Venue Competitive Quotations n Q3/Y1 Capacity for 40+ pax Catering Competitive Quotations y Q3/Y1 Must be registered catering companies Equipment & materials Competitive Quotations Consulting Services Contracts Estimated n Q3/Y1-4. The following table lists consulting services contracts for which procurement activity is either ongoing or expected to commence within the next 12 months. General Description Contract Value [EUR] Country Program consultant Recruitment Method 1 Advertisement Date (quarter/year) Consultants (includes consultant fee + accommodation + DSA) Direct Q3/Y1 Selection International or National Assignment National / Regional /International Comments Stand: Erstellt von: Seite 3

31 Standard Operating Procedure consultant Direct Selection Q3/Y1 National / Regional /International IT drupal web experts 2705 Vulnerability Assessment consultant Direct Selection Direct Selection Q3/Y1 Q2/Y1 National National/Regional/International 1 QCBS On of July, 2016, in Port Vila, Vanuatu Approved by Jesse Benjamin National Designated Authority Director General Green Climate Fund Ministry of Climate Change Stand: Erstellt von: Seite 4