for Niue 27 September 2017 NDA Strengthening & Country Programming

Transcription

1 with Secretariat of the Pacific Regional Environment Programme (SPREP) for Niue 27 September 2017 NDA Strengthening & Country Programming

2 PAGE 1 OF 19 ver. 19 August Readiness and Preparatory Support Proposal How to complete this document? A readiness guidebook is available to provide information on how to access funding under the GCF Readiness and Preparatory Support programme. It should be consulted to assist in the completion of this proposal template. This document should be completed by National Designated Authorities (NDAs) or focal points with support from their delivery partners where relevant. Please be concise. If you need to include any additional information, please attach it to the proposal. Information on the indicative list of activities eligible for readiness and preparatory support and the process for the submission, review and approval of this proposal can be found on pages of the guidebook Where to get support? If you are not sure how to complete this document, or require support, please send an e mail to countries@gcfund.org. We will aim to get back to you within 48 hours. You can also complete as much of this document as you can and then send it to countries@gcfund.org. We will get back to you within 5 working days to discuss your submission and the way forward. Note: Environmental and Social Safeguards and Gender Throughout this document, when answering questions and providing details, please make sure to pay special attention to environmental, social and gender issues, in particular to the situation of vulnerable populations, including women and men. Please be specific about proposed actions to address these issues. Consult page 4 of the readiness guidebook for more information.

3 PAGE 2 OF 19 ver. 19 August SECTION 1: SUMMARY 1. Country submitting the proposal 2. Date of initial submission 3. Last date of resubmission (if applicable) 4. Which entity will implement the Readiness and Preparatory Support project? (Provide the contact information if entity is different from NDA/focal point) 5. Title of the Readiness and Preparatory Support Proposal Country name: Niue Name of institution (representing National Designated Authority or Focal Point): Project Management and Coordination Unit, Office of the Premier Name of official: Angela Tuhipa Position: Establishment Director Telephone: Angela.Tuhipa@mail.gov.nu Full Office address: Project Management and Coordination Unit, Office of the Premier, Fale Fono, Alofi NIUE 25/01/17 02/03/17 Accredited entity Secretariat of the Pacific Regional Environment Programme (SPREP) Name of official: Mr. Kosi Latu Position: Director General Telephone: ext kosil@sprep.org Full Office address: SPREP Headquarters, Vailima, Apia, Samoa. Niue NDA/Focal Point Readiness and Preparatory Support Proposal The Project Management Coordination Unit (PMCU) is the NDA operational point within the Premier's Office and Ministry of Finance. The PMCU is responsible for the overall coordination and capacity building of Niue's engagement with the Green Climate Fund. Key priorities of the NDA are to strengthen its capacity to effectively perform its functions as the NDA and to develop a strategic approach to pipeline development and harmonisation of these resources and efforts with the Country's Climate agenda and broader development. Key activities in the project will include: 6. Brief summary of the request (200 words) Developing required policies and procedures to allow Niue to effectively engage with the GCF Secretariat and to subsequently secure GCF project funding. Where necessary readiness activities will also support work to streamline and improve Niue s financial management systems to help Niue gain direct access to readiness funding. The recruitment of consultants to build the capacity of the team within the NDA to manage the process of evaluating, developing and updating national climate change strategies and plans. This capacity building will include the establishment of a National Consultative Group. Develop a Strategic Framework for engagement with the Fund, including the preparation of a Country Programme and pipeline of project ideas/concepts and full proposals. Selection of accredited and implementing entities and development partners to advance Niue's Country Programme and strategic priorities in relation to climate mitigation and adaption. The readiness work will help ensure the successful management of the pipeline of programmes and projects aligned with the overall development agenda outlined in the Niue National Strategic Plan that will include sector, national and delivery plans that are focused on Niue's climate change priorities outlined in Niue's country programme and strategic framework relating to GCF Funding support to consultation will also ensure that appropriate assistance is provided to supporting consultation that will help the development of a Country Programme that has strong buy in and aligns with the national and community priorities

4 PAGE 3 OF 19 ver. 19 August 7. Total requested amount and currency $558,858 over 2 years 8. Anticipated duration 2 years 9. Is the country receiving other Readiness and Preparatory Support related to the GCF? Yes No If yes, please attach the relevant scope of work, and briefly (100 words) describe the scope of support provided by other institutions MFAT New Zealand and the GCF Secretariat through the Pacific Regional Adviser supported the first national GCF consultation and offered technical assistance to Niue during the August Regional meeting in Suva. The first consultation workshop was held on the 23rd November in Niue. MFAT is also willing to provide supplementary technical assistance where necessary to support Country Programme and GCF proposal development in partnership with the PMCU and relevant accredited entities. MFAT also stands ready to support Niue in gaining direct access to readiness funding.

5 PAGE 4 OF 19 ver. 19 August SECTION 2: COUNTRY READINESS LOGICAL FRAMEWORK Please complete the table below, which enables a country to assess its readiness for the GCF and set targets for strengthening its readiness, including proposed outputs and activities to improve the country s readiness. For further guidance on completing the table, please refer to the guidebook Accessing the GCF Readiness and Preparatory Support Programme. OUTCOMES 1 BASELINE TARGET ACTIVITIES (including key outputs or deliverables where applicable) 1. Country capacity strengthened NDA/focal point lead effective coordination mechanism Strengthen NDA capacity and capability to act as the primary communication channel with the Fund as well as stakeholders at national and sub national levels, including government, civil society, and private sector actors in a gender sensitive way and consistent with the Fund s Initial best practice options for country coordination and multi stakeholder engagement. Key activities will include: Procure 2 full time consultants (24 months each) (Establishment Consultant (EC) and Consulting Project Manager (PM)) to strengthen the capacity of the NDA to build the technical and institutional capacity of the team within the NDA and to undertake the functions necessary of the NDA until such time as this knowledge is entrenched in the NDA and relevant stakeholders supporting the GCF process in country. (see additional information section for brief TOR on these two positions) Renting a fit for purpose office space to accommodate GCF and climate finance unit within the NDA Procurement of necessary office equipment (details in excel budget) to support the NDA and additional necessary capacity to effectively undertake their responsibilities as NDA Conduct technical training and capacity building workshops in country (at least 2) and support participation of NDA representatives in relevant international training workshops/events to strengthen knowledge of the NDA team in climate change and related finance; project development and management; M&E; stakeholder engagement & facilitation and ESS to enable them to effectively execute their roles and responsibilities. 1 Based on decisions: B.08/10, annexes XII, XIII & XIV; B.08/11; B.11/10, annex I; B.12/20, annex I

6 PAGE 5 OF 19 ver. 19 August 1.2 No objection procedure established and implemented Establish a No Objection procedure for NOLs before they are submitted to GCF to ensure consistency of funding proposals from national, sub national, regional and international intermediaries and implementing entities with national plans and strategies (to be formalized as part of the Strategic Framework and Country Programme) Formalise the establishment of a Consultative Group (Genesis) through Cabinet that that will support the NDA in implementing the NOL procedure (deliverable will be a Cabinet Minute confirming members of the Genesis and their) The Terms of Reference of the Genesis group would include consideration of Project funding coordination with all related donors where projects and programmes have a potential relationship to GCF objectives 1.3 Bilateral agreements between the country and the GCF executed (NDA, EC & Strategic Adviser consultant managing this) To progress and finalize the Privileges and Immunities agreement and any other legal agreements between the Government of Niue and the GCF (deliverable will be a signed P&I agreement) (NDA with Crown Law to execute and this is already underway) 1.4 Monitoring, oversight and streamlining of climate finance The Project Management Coordination Unit (NDA focal point) has the government mandate to coordinate donor funded projects for government. The readiness proposal will strengthen The capacity and capability to monitor and provide oversight and streamlining of climate finance through the following activities; Develop processes, including through consultation, that recommend to the Genesis funding proposals in the context of national climate change strategies and plans. This will include support for identification of investment priorities and potential implementing entity partners;

7 PAGE 6 OF 19 ver. 19 August 2. Stakeholders engaged in consultative processes 2.1 Stakeholders engaged in consultative processes Develop the M&E capacity of NDA and put in place assistance mechanisms to monitor, evaluate and maintain an overview of activities of the Fund and other relevant climate funding mechanisms and institutions working in Niue. (Deliverable is M&E policies and procedures) Design a multi stakeholder Stakeholder Engagement and Communications Strategy, that is gender sensitive and inclusive of minority groups to ensure robust consultation and awareness activities are in place to acquire relevant input and commitment from key stakeholders. (EC &PM consultants time) Implement the Stakeholder Engagement and Communications Strategy that will, amongst other things, serve to review existing climate change policies, to distil an initial list of potential project ideas to inform the country programme and the identification of prospective public and private sector entities seeking accreditation with the Fund Implement Communications (social media/radio/tv/) and awareness (templates/posters/brochures) activities with relevant stakeholders to strengthen understanding about the low emission and climate resilient development agenda of Niue, opportunities with the GCF and how they can input to this process. This will include translation of materials into vagahau (Niuean language) and presentations in both English and Niuean.

8 PAGE 7 OF 19 ver. 19 August 2.2 Country programmes, including adaptation priorities, developed and continuously updated Develop an agreed strategic framework that can be put in place and implemented and a country programme that can be put in place and implemented including the development of a short, medium and long term planning view Develop a strategic framework that will take stock of existing strategies, policies, and needs assessments, including low emission development strategies that will help realize a paradigm shift in achieving low emission and climate resilient development for Niue. This will also include an assessment of available finance options including the GCF and will be undertaken through a dedicated consultancy Develop a country programme, building on guidance (template) provided by the fund, that identifies priorities for engagement with the Fund, this would include Review and updating the Joint National Action Plan on Climate Change Adaptation and Disaster Risk Management as necessary Review of existing climate change and development priorities, including as identified through the consultation process and strategic framework, relevant to the investment framework of the fund Formulating a pipeline list of potential project ideas/concepts. 2.3 Stakeholder consultations conducted with equal representation of women Ensure that NDA led stakeholder engagement processes include both women specific groups (i.e..national Council of Women) and targeted women/women s groups in the private sector, civil society, government, and stakeholders, on priorities for engagement with the fund. 2,3,2 Develop clear policies on community based stakeholder engagement in conjunction with the Ministry of Social Services who manages engagement of this nature with Village Councils and other local groups. 2.4 Annual participatory review of GCF portfolio in the country organized Conduct annual participatory review of the GCF Country Programme Prepare and distribute Annual Review Report to relevant stakeholders in both English and Niuean within timeframes relevant to existing country systems e.g. annual planning,

9 PAGE 8 OF 19 ver. 19 August budgetary processes and donor harmonization discussions. 3. Direct access realized Candidate entities identified and nominated for accreditation Identify and consider any prospective public, private and non governmental entities for nomination for accreditation in line with Niue s National Climate Change priorities with respect to the Fund and present a report and recommendations to the Genesis Group for consideration. [EC & PM time]. Deliverable Report and recommendations would include a list of candidates identified to be nominated for accreditation, and NDA decides which ones to put forward Draw from experiences of other DAEs and AEs as relevant towards progressing Niue s direct access aspirations These experiences and any associated recommendations will be captured in the report in above. [Establishment Consultants time & pursued through separate readiness including with SPREP] 3.2 Direct access entity accredited Based on the scoping exercise from 3.1, and recommendations made to Genesis, pursue through separate readiness proposal as necessary. Deliverable would include readiness proposals to support GAP Assessments or capacity building for any identified entities to support their accreditation (to be done by the EC and PM). 3.3 Entity/ies annual/multi annual work programme developed 3.4 Funding proposals through enhanced direct access modality approved Where possible, secure commitment from DAEs available to Niue (e.g. SPREP) to assist Niue develop some of their Project ideas/concepts. Deliverable is agreement by DAE e.g. SPREP, to include some of Niue s projects (as outlined in the Country Programme) in their EWP. [EC and PM consultants time] Explore the potential for enhanced direct access as a suitable modality for any of Niue s country priorities identified in the Country Programme. Deliverable EDA proposal identified in Niue Country Programme for further development with relevant DAE or AE. [Establishment Consultant & AE support]

10 PAGE 9 OF 19 ver. 19 August 3.5 Direct Access to Readiness Funding achieved through FMCA clearance by selected national entities Support relevant Niue national entities including Niue Development Bank and Treasury to undertake the Financial Management Capacity Assessment (FMCA) in order to gain direct access to Readiness Funding. This will entail the EC and PM working with those entities and drawing on support from NZMFAT and others who have recently worked through the FMCA process. (Deliverables NDB and Treasury cleared as delivery partners for readiness) 4. Access to finance Structured dialogue between the Undertake regular structured dialogue with accredited entities, GCF secretariat and NDA/Accredited Entities and the GCF relevant stakeholders to progress the implementation of Niue s country programme and Secretariat organized pipeline for GCF. This will be achieved through increased correspondence from NDA ( , skype, phone calls) and through face to face meetings (minimum of 4 per year) as project idea s require further discussion or clarification from relevant stakeholders. 4.2 Country programmes, concept notes, including on adaptation, developed that implement highimpact priorities identified in INDCs and other national strategies or plans 4.3 Project/programme preparation support, including for adaptation, to develop funding proposals provided Support the refinement/development of project ideas as they are identified through the country programme and project pipeline. This will be achieved by the NDA, EC and PM working with relevant proponents to assess priorities against GCF investment framework, and/or by securing the necessary support from external expertise and/or AEs to further development them towards bankable concept notes/projects/programmes Strengthen the NDA and relevant stakeholders capacity and capability to develop and manage quality programmes and funding proposals. The details for these activities will be identified through a capacity assessment (deliverable) and addressed through an action plan. The assessment will be based on early pipeline priorities, the strengthens and skill sets of the NDA, Genesis group and other key stakeholders involved as well as the EC and PM consultants. In general the Readiness support is expected to cover the following types of specific activities: Professional development of the NDA, Genesis and relevant stakeholders Training and skills development as determined by an early assessment of key stakeholders involved in the development of the country programme and pipeline including relevant proponents. Additional capacity for specific areas of support e.g. gender mainstreaming, project M&E, economic cost benefit analysis, where this is not available in the team.

11 PAGE 10 OF 19 ver. 19 August Administration and Technical support (EC consultant time and NDA) Creation of a database to support development of the country programme including a comprehensive matrix of Niue's climate change initiatives 4.4 Funding proposals, including for adaptation, that are aligned with country priorities approved Support for Genesis and NDA to undertake informed assessments of final full proposals developed by AEs reflect Niue s current priorities before issuing NOL. It is envisaged that this will be based on the NOL procedure and seeks to ensure the commitment and necessary expertise of the relevant stakeholders (Genesis members and NDA) to reviewing project idea s/concepts and full proposals in consultation with their respective constituencies. At least 8 meetings of the Genesis group are envisaged over 24months. NGO reps will be engaged with a retainer and expected to deliver informed reviews of proposals and feed in project ideas from their respective constituencies at these meetings and out of session. Rather than a sitting fee, Genesis members (including government reps) will be provided with professional development opportunities (to the value of USD500 each over the 24month period) in line with the needs of the Genesis group role in the NOL procedure. There will also be dedicated resources to contract in specialized expertise specific to projects reviewed as necessary. 5. Private sector mobilization Private sector engaged in country consultative processes Engage at an early stage with Private Sector stakeholders through dedicated consultations and workshops as relevant to ensure awareness and participation in the country consultative process. This will be achieved through NDA, EC, PM and Strategic Advisor reaching out to the private sector with the Chamber of Commerce s support Work with chamber of commerce to develop an options paper on how the private sector can support the low emission high resilience development agenda of Niue. Depending on skill sets of the EC, PM, Chamber and Genesis team members this may be drafted in house by EC and Strategic Adviser or an additional short term consultancy Structured dialogues with relevant private sector stakeholders and AEs to progress

12 PAGE 11 OF 19 ver. 19 August identified project opportunities. 5.2 Enabling environment for crowding in private sector investments at national, regional and international levels exists Investigate and encourage the concept of Public Private Partnerships (PPPs) to amplify private sector investment toward implementation of climate change programmes and activities at all levels national, regional and international. Opportunities for these PPPs will be outlined in the options paper and development of the Strategic Framework and Country Programme (as per activity 5.1.2). The NDA and their consultants will identify these opportunities and in consultation with the Genesis, propose ways to encourage their further development Support the participation of private sector stakeholders to attend relevant regional and international events relating to opportunities for low emission high resilience agendas. Based on the outcomes of the NDA will support relevant private sector stakeholder engagement in key regional (e.g. FEMM and Private Sector Dialogue, Climate change Meetings) and international events. 5.3 Funding proposals for private sector projects/programmes, including for adaptation, approved Support private sector stakeholders build their capacity to develop GCF related projects with relevant accredited entities. Meeting with relevant AE s to progress project proposals either by correspondence ( , skype, phone calls) in country as possible or to meet face to face with AEs overseas as necessary and relevant. Project development and management training through one on one support from the NDA, EC, PM and/or through participation in in country workshops. 5.4 Funding proposals under the all relevant projects to go through NOL procedure Private Sector Facility programmes (small and medium sized enterprises and mobilizing funds at scale) submitted and approved TOTAL

13 PAGE 12 OF 19 ver. 19 August SECTION 3: ADDITIONAL INFORMATION Please explain how this grant will help deliver on the country s readiness needs as identified above and build on institutions, processes or existing work already underway in the country (maximum 500 words) Niue is situated approximately 2,400 kilometres northeast of New Zealand, and has a total surface area of 259 square kilometres. Niue is a single raised limestone atoll with a population of approximately 1,600 which is focused in the capital, Alofi. The atoll of Niue consists of three terraces, the rim of the lower terrace averages 28 metres above sea level and the upper terrace averages 69 metres above sea level. It has a rugged coastline. Niue has a hot wet season from November to March and a cool dry season from April to November. Due to its location on the edge of the tropical cyclone belt, Niue currently is hit by a cyclone about every four years and experiences a severe cyclone about once in every ten years. The tropical cyclone period occurs during the hot wet season. These events have historically caused significant physical and economic damage to the country. Two cyclones in particular have caused significant damage in Niue Cyclone Ofa in February 1990 with the lowest recorded pressure at the time and considerable damage. Niue was amongst 7 island nations that were impacted by the cyclone High seas several meters high, swept over the islands northern and western coasts, this was despite seaward high cliffs in parts. All but a few of all the possible landing places on the island were swept away or badly damaged. Much of the island infrastructure was damaged including the hospital, hotel, roads, houses, churches and other facilities. Due to the damage to the power lines, electricity was out for about 24 hours. Most of the islands private water supply tanks were contaminated by salt water and declared unsuitable for drinking.. During Cyclone Heta in 2004 The cyclone also caused damage to resources that sustain material culture, including stocks of the moota tree used to make the distinctive outrigger canoes, an important symbol of Niuean culture. Attempts to sustain Niuean culture have focused on canoe building and traditional fishing practices from these canoes. Cyclone Heta also damaged culturally significant artifacts, including the Niue national museum and the Huanaki cultural centre, which was the central venue to meet and take part in traditional dances, singing and narration of oral histories. As a small island nation Niue is highly vulnerable to climate change. Any rise in the sea level or changes to rainfall patterns would threaten Niue s freshwater aquifers its only significant source of water. Other climatic changes could also impact food security. Niue lies on the boundary of the southern tropical cyclone belt. An increase in the incidence and severity of tropical cyclones could cause damage to existing infrastructure, agricultural systems and the environment. Niue is particularly concerned about the environmental impacts on its fisheries and tourism sectors. Ocean warming, acidification could potentially undermining Niue's fragile marine ecosystems and infrastructure impacting on food security. Niue sees a critical relationship between climate changes impacting on the marine environment and sustainable land based activities that are affected by coral bleaching, storm damage, reducing fish stocks and distribution. Niue has also suffered from significant population decline since Of all present Niuean s born in Niue, about 5,500 live in New Zealand more than three times the number of the current resident population. Niuean s living in Niue therefore perceive themselves as trustees of Niue's 'Taoga' their precious possessions, including its resources, customs and traditions, language, and arts and crafts. Niuean s perceive their Taoga as how they interact with the land and sea, and with each other. For example, harvesting talo and fish ritualizes Niuean belonging to the land and seas: these foods are the material products of cultural practice. As climate change undermines yields of these resources it simultaneously undermines the sustainability of Niuean culture. Niuean s understand the risks posed by climate change. The devastation caused by Cyclone Heta in 2004 and the immediate impact on lives and livelihoods had enormous, social, cultural and economic impacts. Niuean s receive information about climate change and interpret it in terms of their existing concerns: cyclones and droughts, population decline and there sustainability of life and livelihoods. Knowledge about climate has therefore subtly changed Niuean s' confidence in the sustainability of the island and culture, making their island home seem less safe, and the future less secure. Niue has a long history of partnerships in the regional to help combat the effects of climate change. For example they have just successfully completes a joint project under the Pacific Adaptation to Climate Change (PACC) Project that started in 2009 and ended in December 2015 to build water tanks on the island. PACC covers 14 Pacific island countries, helping to adapt to climate change by targeting one of the three key areas of food security and production, water resource management and coastal protection. In terms of the Government of Niue s climate response, the impacts of climate change and climate change related disaster

14 PAGE 13 OF 19 ver. 19 August risks were assessed and prioritized for adaptation and mitigation actions. These were addressed in the following climate change policy, plans and reports; Niue National Strategic Plan (NNSP) ; National Climate Change Policy 2009; Joint National Action Plan for Disaster Risk Management and Climate Change (JNAP) 2012; National Energy Policy and Action Plan 2005; National Integrated Strategic Energy Road Map (NISERM) Implementation of Strategic Renewable Energy Map (SREM) Sustainable Coastal Development Policy 2008; National Action Plan Addressing Land Degradation and Drought 2004; Climate Change and Health Plan 2012; National Youth Policy ; and National Biodiversity Strategy and Action Plan (NBSAP) Asset Management Plan Implementation Niue has also embarked on key projects relating to spatial mapping of its sea and land based environment. It has a number of plans to enhance its climate response indicated above, but funding for these projects has been inconsistent and in general terms has lacked both scale and coherence to result in an effective transformation change to the country's climate change response. Accessing GCF is seen as a mechanism to achieve transformational changes in Niue's climate change response that it cannot achieve adopting its current approach. This is largely because funding has been too small or infrequent to achieve f the government's climate change strategic objectives. Including the issues of sustainability and a clear pathway for investment. The focal point for the National Designated Authority (NDA) for Niue Premier Talagi was nominated in October The Project Management Coordination Unit (PMCU) is a small unit which has a number of work commitments outside the scope of the GCF. The unit has limited experience in relation to the Green Climate Fund and climate financing more broadly. Given GCF is a new mechanism there is limited knowledge and understanding of this Fund and its operational procedures in Niue. Given Niue s precarious position with regard to the effects of climate change, there is an urgent need for this project to be implemented. Strengthening the National Designated Authority The GCF Readiness and preparatory support programme will strengthen the technical and institutional capacity and capability of the NDA and his officers to enable him to effectively discharge his roles and responsibilities effectively with the Fund. Donors and development partners have funded projects and priority activities under Niue s national climate change policy, strategy and action plans on mitigation and adaptation (national climate change policy, national climate change action plan and other related national strategies and plans as stated above). As mentioned this has not resulted in the paradigm shift required for the reasons mentioned earlier New and additional financial support is still required to build resilience of the country to those detrimental impacts and risks of climate change and to also position Niue in a low emission development pathway. Niue has therefore submitted its request for GCF readiness and preparatory support to develop its country programme and update and develop required policies and procedures. These strategic initiatives will help Niue to access GCF and to also realise a paradigm shift in its efforts to achieving low emission and climate resilient developments. These programmes will be closely linked and implement those priority activities addressed under the aforesaid climate change policy, strategy and action plans.

15 SECTION 4: BUDGET, PROCUREMENT, IMPLEMENTATION AND DISBURSEMENT PAGE 14 OF 19 ver. 19 August Budget please refer to the attached detailed budget (in excel sheet) Procurement plan Procurement processes will be managed by SPREP, as is the role of the Delivery Partner, in accordance with SPREPs Procurement Policy. SPREP will directly transfer some of the budget to Niue to lead on the procurement of Individual Consultancies (Establishment Consultant, Project Manager Consultant, and Strategic Framework Consultant) as to be determined via a letter of agreement between SPREP and the Government of Niue. The letter of agreement will require that all project procurements are undertaken consistently with SPREP s procurement policy. The resources to be transferred for specific activities is summarised (see Table 1), and is reflected in the Procurement Plan table (2) below. The government of Niue will be required to account for all expenditure associated with the transferred funds including by providing all receipts of payment, and other relevant records and documentation so as to demonstrate compliance with the SPREP Procurement Policy. Unspent funds will need to be returned to SPREP (for return to the GCF). The specific terms and conditions will be set out in a letter of agreement between the parties. Table 1 Summary of direct funds transfer to Niue Amount to be Relevant Activity Notes transferred (USD) 108, Establishment Consultant To comply with SPREP procurement policy 83, Consulting National Project Manager To comply with SPREP procurement policy 45, Strategic Framework Consultant To comply with SPREP procurement policy 14, Rent Office Space To comply with SPREP procurement policy 19, Operational Equipment Costs To comply with SPREP procurement policy 10, / 1.2 Local Transport Meetings Awareness and To comply with SPREP procurement policy Consultation TOTAL: 281,200 All other procurements (i.e. all procurements other than the 3 Individual Consultants) will be managed by and via the SPREP systems for ease of accounting and reporting. SPREP Procurement Policy and Procedures. Project Procurement Thresholds The following value thresholds apply to SPREP s procurement of goods, services and works. Maximum Total Estimated Value of the Contract over the whole of its life Rule <$1000 Over the counter Direct purchases can be authorised by the appropriate delegate. Seeking and comparisons of quotations is encouraged USD ,000 USD 10,001 50,000 Direct Source. Three competitive quotes for prices from known suppliers or a tender placed on the website for wider circulation; Individual officer s evaluation submitted to the officer with delegated financial authority; In case of individual consultants, compare at least three CVs against the consultancy Terms of Reference (TOR) and select the one most qualified. Open Tender. Division Director to authorise based on recommendations of evaluation panel following international market tendering. Evaluation Panel to include: Senior

16 PAGE 15 OF 19 ver. 19 August Officer responsible for the Tender. A SPREP officer from a different program area; Finance representative; Human Resource representative; The Procurement Officer (2 4 weeks) USD 50, ,000 Open Tender. Division Director to authorise based on recommendations of evaluation panel following international market tendering. Evaluation Panel to include: Senior Officer responsible for the Tender. A SPREP officer from a different program area; Finance representative; Human Resource representative; The Procurement Officer (4 6 weeks) 100, ,000 Open Tender. Deputy Director General to authorise based on recommendations of evaluation panel, following an international market tender, including: The Senior Officer responsible for the Tender; Director of the Division responsible for the Tender; A SPREP officer from a different program area; An external representative with knowledge of the procurement area; Finance representative; Human Resource representative; The Procurement Officer Permitted exceptions include: 1. Individual travel purchases: Procurement will be sourced by providing at least 3 quotes for prices and itineraries for each travel from known suppliers, with evaluations submitted to the officer with delegated authority for approval. 2. Donor directed procurements: Where SPREP has a procurement role under a contract with a donor who requires certain donor procurement procedures to be followed; SPREP will follow the donor procedures in preference to its own. This procurement process will require endorsement by the Director General or Deputy Director General. 3. Project funding that specifies a preferred supplier: Where SPREP is obliged by a funding contract to procure services from a specified supplier; no additional procurement process is required. This procurement process will require endorsement by the Director General or Deputy Director General. 4. Partnership Agreements: Where there are pre existing MOUs or similar association agreements between SPREP and its partners, and where SPREP agrees for the partner to carry out work under the terms of such existing agreements, including MOUs, no additional procurement process is required. 5. Retainer Agreements: Where SPREP has previously entered into a retainer agreement with a supplier using appropriate competitive procedures that have established, at the minimum, the qualifications and reputation of the supplier, price structure, general scope of services and terms of reference contemplated, and the ability and willingness of the supplier to respond to requests from SPREP, no additional procurement process is required so long as the services currently sought are consistent with the procedures and retainer agreement in place for that supplier. Authorized SPREP staff shall maintain appropriate records of the competitive process used to select a supplier from the list of suppliers with current retainer agreements in force at the time the selection is made. SPREP is also able to sub delegate activities to a vetted executing entity or partner. The basic rule is that the executing partner or sub delegatee should follow the appropriate policies, rules and procedures (equivalent to the procedures used by SPREP) in all material aspects for providing financing from the donor funds through procurement. In the case of this Readiness project SPREP will sub delegate certain procurement activities (see below, and in summary the recruitment of the Establishment Consultant, Consulting Project Manager, and Strategic Framework Consultancy) the to the Government of Niue based on a Letter of Agreement and a direct funding mechanism. The table below itemises the procurements to be undertaken using the first tranche of funds, including the procurement method to be to be used by the NDA. The NDA will undertake all procurement with assistance from NZMFAT as required. Table 2 Procurement Plan Niue Readiness Proposal (12 months only)

17 Projected Cost (US$) Proc Meth od Office Rent S 7, Operational Equipment & Costs G 15,964 Open 1.1.4, 4.3.1, 5.2.2, 2.1.1, 2.1.2, 1.2.3, Consultations/Workshops/Training Refreshments G 59,220 Open 2.1.3, 2.2.1, Activity Reference Procurement Description Type Goods and Non Consulting Services Direct* Recruitment Costs S 3, Repatriation S 14,400 Open Direct* Communication, Production & Translation Costs S 10,000 Open SUB-TOTAL Consultancy Services Open * Open * Direct ** Establishment Consultant Ind C 63, Consulting Project Manager IC 41, Strategic Framework Consultancy IC 46,400 SUB-TOTAL TOTAL PAGE 16 OF 19 ver. 19 August Estimated start date TBC on approval Projected Contracting Date S = Services G = Goods IC = Individual Consultant * Funds Transfer to Niue to manage an Open and competitive tender process against a ToR to be agreed between SPREP and the Government of Niue as per the LOA, unless adequate justification is provided whereby a Direct sourcing processes can be used. ** Funds Transfer to Niue to manage direct sourcing of consultant, pending adequate justification against SPREPs procurement policy. Disbursement Schedule It is proposed that disbursements are made to Delivery Partner in three tranches: 1st Tranche: USD 294,890 (US Dollar two hundred and ninety four thousand and eight hundred and ninety only) the first disbursement will be made upon or after effectiveness of the Grant Agreement and also upon fulfilment of the disbursement conditions specified in the Grant Agreement and Standard Conditions. 2nd Tranche: USD 208,082 (US Dollar two hundred and eight thousand and eighty two only) will be transferred upon submission of an interim progress report and Audited Financial Report and also upon fulfilment of the disbursement conditions specified in the Grant Agreement and Standard Conditions. Final Tranche: USD 55,886 (US Dollar fifty five thousand and eight hundred and eighty six only) will be transferred upon submission of a project completion report and final Audit Report. Submission of a completion and audit report will be furnished no later than three (3) months after the completion of the Readiness Support.

18 Additional information PAGE 17 OF 19 ver. 19 August It is critical for GCF to understand that the proposal for Year 1 outlined in this document is focused on building the NDA and the GCF team in Niue. Given the newness of this Fund and the low threshold of knowledge and capacity that exists in Niue with regards to GCF, the proposed consulting positions in the proposal are key to ensure Niue s NDA is best placed to undertake the GCF functions effectively and efficiently. The proposed positions are required to successfully deliver the GCF function in Niue by building a sound foundation complete with the introduction and implementation of technical capacity building, processes and systems thereby strengthening the NDA, and delivering a strategic framework and country programme for Niue in its first year(s) of operations. Establishment Consultant (24 month contract) Tasked with overall set up, procurement coordination, recruitment and eventual management of the Readiness Programme including the facilitation of building capacity (which may include contracting in additional external expertise from time to time) of NDA and staff/stakeholders and the process to effectively engage with the Fund. Further to provide oversight in the development of the Strategic Framework and Country Programme for Niue and establish the necessary mechanisms for their complimentary implementation and review. Consulting Project Manager (24 month contract) Focused on developing and coordinating information gathered and databases developed, processing of procurement, purchase orders, financial management, project identification and development. Also focused on exploring institutional strengthening requirements for PMCU as it explores Direct Access; including where existing programmes and line Ministry budgets of Government might benefit from the GCF. Strategic Framework Consultancy (12 month contract payments based on key milestones delivered) Focused on delivering activity development of a Strategic Framework for Niue s GCF response and associated policy reviews, consultations and refinement of the NOL ( to be delivered in the first year). This work will build on efforts of the PMCU (NDA) to date to streamline and strengthen country systems for improved development effectiveness. Developing a framework for better coordination and Linking the National Strategic Plan, relevant policies and resources (public and external) and reporting process including the GCF relevant ones within that.

19 PAGE 18 OF 19 ver. 16 August SECTION 5: IMPLEMENTATION ARRANGEMENTS AND OTHER INFORMATION Please attach an implementation map or describe how funds will be managed by the NDA/FP or delivery partner SPREP is a GCF Accredited Entity and has previously delivered a Readiness project (Vanuatu) and has as an accredited entity one full proposal approved with the GCF (Vanuatu Climate Information Services for Resilient Development). SPREP is the nominated Delivery Partner for the Project. Flow of Funds and Reporting: We anticipate readiness funding will be channelled to SPREP from the GCF Secretariat as per the disbursement schedule. Some components of this funding will in turn be transferred to the Government of Niue Ministry of Finance and Planning in line with arrangements to be agreed by Niue and SPREP in Letter of Agreement (and consistent with the Procurement Plan above). Funds will only be disbursed once the LOA is effective. The effectiveness of the LOA will be conditional on Niue demonstrating capacity to receive, expend, account for, and return unused funds, to a level satisfactory to SPREP. The maximum amount to be transferred will be USD 281,200 (see Table 1 in procurement section for details). The Ministry of Finance and Planning will then make available funds to the Project Management Coordination Unit (PMCU) within the NDA office to undertake project activities, in line with a letter of agreement (LOA) o be established between the parties As per the procurement plan the funds to be directly transferred to Niue will be for procurement of relevant consultancy positions (along with relevant operating cost budget). The terms and conditions of this transfer, including to ensure adherence with SPREP procurement policies, and adequate accounting of expenditure for auditing purposes will be detailed and finalised in the letter of agreement between the parties. In summary, and in terms of auditing and reporting the LOA will require that the Government of Niue: expend received funds for specific activities (as per this proposal, see procurement section Table 1); provide official documentation of expenditure, authorised by the appropriate delegate, in a timely manner; provide other relevant documentation that may be required under the SPREP Procurement Policy; Provide progress updates on a 6 monthly basis with regard to the delivery of key activities to be performed by consultancy positions established by Niue; and Provide other material that may be determined in the letter of agreement between the parties. The LOA will set out the general terms and conditions, a schedule of payments, and clear reporting requirements etc. SPREP will be responsible for ensuring all complete and high quality reporting to the GCF is made in a timely manner. Schematic of project stakeholders: GCF GCF disburses funds to SPREP and reviews progress and financial reports SPREP SPREP receives funds and expends funds for activity delivery including release of funds to MFP as per agreement. MFP MFP expends budget on project activities using MFP systems and keeps records, as per agreement with SPREP PMCU PMCU undertakes and manages the project activities, requesting where necessary SPREP support for procurement and travel and maintains activity progress reports (Project Consultants work within and through the PMCU) Third party Services Engaged as needed.

20 PAGE 19 OF 19 ver. 16 August Inception Phase SPREP will also facilitate an initial inception workshop to review the project implementation schedule, and GCF Grant Agreement requirements and establish a detailed work plan, consistent with and building on the detail of this proposal, and the GCF Grant Agreement. This will be undertaken as a priority upon approval and first disbursement. SPREP Management Fee: The SPREP Management Fee will support SPREP to manage and provide oversight to the delivery of the project. This will require: Establishing legal arrangements with the GCF and the Letter of Agreement with the Government of Niue. Receiving and disbursing funds via the SPREP FMIS as per the agreements. International travel from Samoa to Niue at least twice each year to check in on progress and provide support in the delivery of certain activities, as well as support for the inception workshop Facilitate the inception workshop. Process procurements (workshop, catering, other service providers) through the SPREP system, as per the SPREP Procurement Policy Processing project activity transactions through the SPREP Financial Management Information System, including processing international travel requests. Maintaining the Project Management and Information System (PMIS) within SPREP. Coordinate with Niue NDA office activity progress reporting, and submit reports to the GCF. Generate financial reporting for the GCF. Provide general technical backstopping and capacity support (for example assist with development of ToR etc.) Prepare and oversee independent audits as required by the Grant agreement with the GCF. Other relevant information Provide general support, technical backstopping and troubleshooting support.

21 Niue Readiness Draft implementation schedule (to be finalised in inception workshop) Nov / Dec Outcome Activities 2017 J F M A M J J A S O N D J F M A M J J A S O N D Outcome 1. Inception / start up / recruitment phase etc Establishment Consultant in place Consulting National Project Manager in place and Operational Costs ongoing Conduct technical training (x2) Deliverable: Workshop Report 1 and NoL established Deliverable: NOL Procedure and Genesis Group established (by cabinet) Deliverable: Genesis Group ToR Deliverable: Cabinet Minute establishing Genesis Group P&I Deliverable: Signed P&I Genesis process for project inputs established Deliverable: Genesis Process Document M&E policies in place

22 DeliOutco me 2. Deliverable: M&E policy Stakeholder Engagement and Comms Strategy in place (and & 2.3.2) Deliverable: Communications Strategy Implement Stakeholder and Comms Strategy ongoing Implement Comms (media) Activities ongoing Strategic Framework Developed Deliverable: Strategic Framework Document Country Programme Established Deliverable: Niue Country Programme (first iteration) Annual Participatory Review of CP (and report) Deliverable: Revised (and adopted CP) (and 3.1.2) NIE recommendations made to Genisis Deliverable: NIE recommendations (update) paper(s) New Readiness Proposal developed Deliverable: Readiness Project Proposal(s) submitted AE Entity programme projects (ongoing, but consolidate after 2.4.1) Deliverable: Agreement with 1 AE (x2) to develop a project as per CP