with UNDP for the Republic of Cuba 31 July 2018 NDA Strengthening & Country Programming

Transcription

1 with UNDP for the Republic of Cuba 31 July 2018 NDA Strengthening & Country Programming

2 PAGE 1 OF 29 Ver. 24 July 2018 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 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 29 Ver. 24 July 2018 SECTION 1: SUMMARY 1. Country submitting the proposal Country name: Cuba Name of institution (representing the National Designated Authority or Focal Point): Ministry of Science, Technology and Environment (CITMA) Name of official: Jose Fidel Santana Position: Deputy Minister Telephone: santana@citma.gob.cu Full Office address: Linea No. 8/ N and O. Vedado. Plaza de la Revolución, Havana, Cuba. Zip Code 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 28/04/ /07/2018 (Seventh- final version) National Designated Authority Delivery partner Accredited entity Name of institution: UNDP Name of official: Soledad Bauza Position: Representante Residente Adjunta PNUD-La Habana Telephone: registry.cu@undp.org Full Office address: Calle 18 No. 110, Miramar, La Habana, Cuba, Apartado 4138 GCF Readiness and Preparatory Support in Cuba GENERAL OBJECTIVE The general objective of this project is the creation and strengthening of Cuba s institutional capacities to access and engage with the Green Climate Fund. This support will focus on the first two GCF Readiness Outcomes aimed to: 6. Brief summary of the request(200 words) 7. Total requested amount and currency 1) Strengthening the NDA. The NDA will be strengthened through the capacity building, processes and the provision of equipment essential to fulfill its role, including the leadership and joint work that it must develop with other national agencies and institutions. 2) Creating a strategic framework for the collaboration of the NDA with other ministries, civil society and national stakeholders and its engagement with the GCF. Concerning this objective, the NDA will develop a GCF Country Program, including a plan for its work with the Fund and the identification of opportunities to engage new actors that may be involved in climate finance issues in the country. US$ 333, Anticipated duration 18 months 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

4 PAGE 3 OF 29 Ver. 24 July 2018 SECTION 2: COUNTRY READINESS LOGICAL FRAMEWORK 1 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 2 BASELINE TARGET ACTIVITIES (including key outputs or deliverables where applicable) 1. Country capacity strengthened NDA/focal point lead effective Conduct institutional assessments and diagnosis of the coordination mechanism 1 2 capacities of the NDA and other institutions linked with its work on matters related to the GCF Establishment of an Interministerial Coordinating Committee to support the NDA, that shall include representatives from the Cuban Central Bank (BCC), the Ministry of Economy and Planning (MEP), the Ministry of Finance and Prices (MFP) and the Ministry of Foreign Trade and Investment (MINCEX), among others, ensuring the participation of women in close collaboration with the Federation of Cuban Women (FMC). 1.2 No objection procedure established and implemented 1.3 Bilateral agreements between the country and the GCF executed 1.4 Monitoring, oversight and streamlining of climate finance Establish a no objection procedure through legal regulation, and other regulations required for the approval cycle of projects (Procedures for the elaboration, evaluation, internal approval and negotiation of the projects with the Accredited Entities, including the procedures related to feasibility studies and the social and environmental safeguards) Creation of a technical unit, which will support the work carried out by the NDA, in particular by reviewing and screening programs and projects Strengthening institutional capacities, mainly informatics, including the development of a website and dialogue platforms to facilitate communication among stakeholders on issues related to the GCF in Cuba. Key Outputs/derivables Minutes from first workshop on diagnosis of the capacities of the NDA and other institutions linked with its work on matters related to the GCF (3 month after project start) Legal framework for the Interministerial Coordinating Committee (ICC) - (Document validated by NDA: 8 months after project start) No objection procedure document (Document validated by NDA: 16 months after project start) - Terms of Reference and Standard Operating Procedures for technical unit (Document approved by NDA to be completed in the first 9 months) -Terms of reference for the development 1 See Annex 1: Implementation Schedule of Outcomes and Activities (Gantt Chart) 2 Based on decisions: B.08/10, annexes XII, XIII & XIV; B.08/11; B.11/10, annex I; B.12/20, annex I

5 PAGE 4 OF 29 Ver. 24 July Stakeholders engaged in consultative processes 2.1 Stakeholders engaged in consultative processes 2.2 Country programmes, including adaptation priorities, developed and continuously updated 2.3 Stakeholder consultations conducted with equal representation of women 2.4 Annual participatory review of GCF portfolio in the country organized Direct access realized Candidate entities identified and nominated for accreditation 3.2 Direct access entity accredited 3.3 Entity/ies annual/multi-annual work programme developed 3.4 Funding proposals through enhanced direct access modality approved 4. Access to finance Structured national dialogue between the NDA/National stakeholders/accredited Entities and the GCF Secretariat organized Conduct consultation processes at national and at territorial level to identify new stakeholders, project opportunities (consistent with National Development Plan, National Environmental Strategy, State Plan for Tackling Climate Change and NDC) and their review, with a gender approach, thus ensuring a broad participation of women Preparing, publishing and disseminating brochures and other publications, including operational manuals for the national coordination and consultation mechanisms, developed on the basis of GCF guidelines and standards Identify modalities for establishing a national structured dialogue between the NDA, national stakeholders, accredited entities and the GCF Secretariat on an annual basis. of the Website and print screens of different sections within the website. - to be completed in the first 12 months - Operational guideline for stakeholder consultations for GCF project prioritization in Cuba to be completed by end of project (18 month). Minutes of the workshops; (1 months after implementation starts) - 2 Knowledge products produced (by the first 12 months of the project) -Minutes from first National Structured dialogue and annual roadmap for engagement with the Fund (included in Cuba s Country Work Programme). (to

6 PAGE 5 OF 29 Ver. 24 July Country programmes, concept notes, including on adaptation, developed that implement high-impact priorities identified in INDCs and other national strategies or plans 4.3 Project/programme preparation support, including for adaptation, to develop funding proposals provided 4.4 Funding proposals, including for adaptation, that are aligned with country priorities approved Private sector mobilization Private sector engaged in country consultative processes 5.2 Enabling environment for crowding-in private sector investments at national, regional and international levels exists 5.3 Funding proposals for private sector projects/programmes, including for adaptation, approved 5.4 Funding proposals under the Private Sector Facility programmes (small- and medium-sized enterprises and mobilizing funds at scale) submitted and approved TOTAL Development of a gender-inclusive GCF country program consistent with the 2030 National Economic and Social Development Plan, the National Environmental Strategy, State Plan for Tackling Climate Change, NDC and the GCF regulations. The country programme will include the key priority areas and ideas of projects to be developed as conceptual notes in a further stage. take place 17 months after implementation starts) 1 GCF Country Programme developed (Document validated by the end of project/ 18 months), including a pipeline of ideas of projects.

7 SECTION 3: ADDITIONAL INFORMATION PAGE 6 OF 29 Ver. 24 July 2018 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) Cuba is a Party to the United Nations Framework Convention on Climate Change (since 1994), the Kyoto Protocol (2002) and the Paris Agreement (January 2017). In October 2007, the Council of Ministers discussed climate change for the first time and approved a program that prioritized adaptation in the economic and social sectors, focused on the coastal zone and linked to disaster reduction. In 2015, under the coordination of the Ministry of Science, Technology and Environment, a process was begun to update the documents already approved by the Council of Ministers for tackling climate change. The same year, Cuba appointed the Deputy Minister of CITMA as National Designated Authority to the Green Climate Fund. At the same time, Cuba submitted its Intended Nationally Determined Contribution, which should be considered as the basis of the national projects, together with the Guidelines to Confront Climate Change and its Plan of Action, which were submitted to the Economic and Financial Commission of the Cuban Council of Ministers in January Guideline No.11 states: "To manage and use the available international financial resources, both from global and regional climate funds, and from bilateral sources; To execute the investments, projects and actions that derive from each one of these Guidelines and their set stipulations ". Despite these efforts, the work at national level still faces several barriers and limitations, including: Poor knowledge of the Green Climate Fund functioning, and, in general, of the channels and forms of application to climate finance and the opportunities it offers. Very limited availability of trained human resources in this area. The organizational structures, and the legal instruments that make feasible, the use of these funds are not established. The State Plan for Tackling Climate Change approved in April 2017 by the Council of Ministers, is the document with the highest legal status on the subject approved in the country. This Plan identifies priority lines of action for the adaptation and mitigation of climate change in the country. Its implementation will require a progressive investment program that will be implemented in the short (2020), medium (2030), long (2050) and very long (2100) deadlines. For the full implementation of its NDC, and further development of adaptation and mitigation actions (as considered in Cuba s strategies for the period 2016/2020), and the recent State Plan, Cuba requires to strengthen its institutional capacities to develop projects and programmes, as well as complying with regulations to guide and support these efforts. The current economic and financial constraints restrict the implementation of important actions, especially for adaptation and mitigation of climate change.

8 SECTION 4: BUDGET, PROCUREMENT, IMPLEMENTATION AND DISBURSEMENT PAGE 7 OF 29 Ver. 24 July 2018 GCF Readiness Outcome Budget Description Amount US$ (year 1) Amount US$ (year 2) Total Amount US$ See budget note:* International Consultants 21,100 21,100 1 Local Consultants 2,000 5,700 7,700 2 Travel 8,700 4,900 13,600 3 GCF Readiness Outcome 1 Contractual Services-Companies 18,200 7,500 25,700 4 Equipment and Furniture 17,200 28,000 45,200 5 Communic & Audio Visual Equip 3,500-3,500 6 Information Technology Equipmt 38,000 38,000 7 Training, Workshops and Conferences 3 11,000 5,000 16,000 8 Total Outcome 1 98,600 72, ,800 Local Consultants 1,500 1,500 9 GCF Readiness Outcome 2 Audio Visual&Print Prod Costs 6,000 10,000 16, Training, Workshops and Conferences 29,400 18,600 48, Total Outcome 2 36,900 28,600 65,500 GCF Readiness Outcome 4 International Consultants 8,700 8, Training, Workshops and Conferences 7,700 20,300 28, Total Outcome 4 7,700 29,000 36,700 Total operation costs (Outcome 1+2+4) 143, , ,000 3 The schedule of the workshops and conferences is shown in the table below budget the notes.

9 Contingency (max. 5% of total operation costs) READINESS AND PREPARATORY SUPPORT PAGE 8 OF 29 Ver. 24 July 2018 Miscellaneous Expenses 7,160 6,490 13, Total operation costs + Contingency 150, , ,650 Project management costs** Contractual Services - Individ 6,500 11,900 18, Rental & Maintenance-Premises 1, , Communic & Audio Visual Equip Total Project management costs 7,900 12,639 20,539 TOTAL PROJECT COSTS EXCLUDING DP FEE 158, , ,189 DP fee (8,5%) 13,452 12,659 26, TOTAL PROJECT COSTS INCLUDING DP FEE 171, , ,300 Budget Notes 1 Two international consultants to review: a document that establishes the procedure for the feasibility studies of projects prepared by national experts to be submitted to the GCF and documents establishing the methodological procedures on environmental and social safeguards. In addition, they will give advice on conducting the workshop No.2 and will personally lead the sessions in which the corresponding procedures will be analyzed. Daily fee: $800x10 days = $8,000 ; DSA Havana + Terminal Expenses: 269x5 nights = $1,533; Air Ticket: $1,017 $10,550, each consultant Total= $21,100

10 Budget Notes 2 3 READINESS AND PREPARATORY SUPPORT PAGE 9 OF 29 Ver. 24 July 2018 Four local consultants (rates below are estimated lump sum rates per deliverable, based on local consultancy rates): -Consultant 1 Develops a General Procedure to conduct prefeasibility and feasibility studies, compatible with the internal approval mechanism and in line with the NDA- AE-GCF chain for adaptation and mitigation projects for the different financial mechanisms: Grants; Grants with reimbursement, credits, insurance and equity. Expected Lump Sum Cost: $2,000 -Consultant 2 elaborates the General Procedure for environmental safeguards applicable to the GCF projects, including the elaboration, consultation, evaluation and implementation phases. Expected Lump Sum Cost: $1,600 -Consultant 3 elaborates the General Procedure for social safeguards applicable to the GCF projects, including the elaboration, consultation, evaluation and implementation phases. Expected Lump Sum Cost: $1,600 -Consultant 4 elaborates the General Guidelines that is the basis of the draft Resolution under Cuban legislation on GCF financing, which includes its general definitions, the organization of NDA and related governing bodies, functions and attributions, general approval process of GCF projects, requirements in each Level and associated documents (financial procedures and safeguards prepared by national consultants). Expected Lump Sum Cost: $2,500 Total: $7,700 Travel of Cuban specialists to countries in the region that have made advances in their relationship with the GCF, to understand the processes and exchange experiences on issues related to the establishment coordination mechanism and No-objection process (Colombia); related to NAP, nomination and inter-institutional relations with Acredited Entities (Costa Rica); and to the implementation of the Readiness project and development of the country programme (Dominican Republic). Countries to be visited: Costa Rica, Colombia and Dominican Republic, have been identified as per previous discussions with these countries NDAs: Colombia (2 pax): ATKT $600 + DSA 7x$158 + TE $188 = $3,788 Costa Rica (2pax): ATKT $800 + DSA 7x$212 + TE $188 = $ 4,944 Dominican Republic (2 pax): ATKT $500 + DSA 7x$253 + TE $188 = 4,918 Total: $13, Website design service for the GCF in Cuba will be procured to accomplish activity 1.5. Connectivity and website hosted service will be procured to accomplish activity 1.5. Furniture for office (tables, desks, chairs, etc.) = $9,000; 3 A/C units for $ 1,200 = $10,200 Means of transportation for the technical unit (Activity 1.4): 1 car $28,000 Maintenance and vehicle insurance: $7,000 Total: $45,200 See section 4.4. and annex 2 for details on these items. Telephone communications of the technical unit with the NDA, the Interministerial Coordination Committee and stakeholders. This budget covers the cost of 5 minutes per day of mobile communication for 6 specialists at the prices of services in Cuba (40 USD for 158 minutes). The costs of communication equipment (landlines and cell phones) and fixed telephony services are covered by the counterpart.

11 Budget Notes 7 8 READINESS AND PREPARATORY SUPPORT PAGE 10 OF 29 Ver. 24 July 2018 IT equipment and supplies for technical unit which will support the work carried out by the NDA to accomplish activity server $5,000; 6 docking stations $15,000; 4 laptops $4,000; 4 tablets $1,000 ; 1 projector system $5,000; 1 comm. system $5,000; 200 USB 8GB $2,000; 10 USB 2TB $ 1,000 Total: $ 38,000 See section 4.4. and annex 2 for details on these. Two workshops: -Workshop 1 corresponds to activity 1.1. Objective: to have a diagnosis of the capacities of the NDA and other institutions linked with its work, a proposal of organizational design, and the content of the normative framework required for the approval cycle of projects. (Havana, 40 persons, 4 days. Venue, meals and other services = $5,000). -Workshop 2 corresponds to activity 1.3. Objective is to review and validate documents, guidelines and procedures elaborated by national consultants and revised by international consultants. (Havana, 40 persons, 4 days. Venue, meals and other services $5,000) -Consumables for the project management office and workshops 1 and 2: $6,000 Total: $16, One local consultant to develop the communication strategy to encourage the insertion of the country in the GCF (rate is estimated lump sum per deliverable, based on local consultancy rates). $1,500 Publications. Seven documents will be published ( (i) Legal framework for the Interministerial Coordinating Committee document (50 pages), related to output 1.1; (ii) No objection procedure documents (3 documents, 150 pages each), related to output 1.2; (iii) Two brochures ( 2 documents 50 pages each), related to output 2.1; (iv) GCF Country Program (50 pages), related to output 4.1). 230 copies will be published from each one. The target audience is: 16 provincial governments (2 copies for each), 30 state agencies (2 copies for each), 50 Superior business management organization (5 for each). In Cuba the cost of printing is calculated as follows: number of documents(7)*number of copies per document (230) * cost per unit (9 USD) = 14,490 USD. Translations The sum of 1510 USD is foreseen for translation for services of key GCF guidance documents. Total: $16, Six workshops: -Workshop 3 corresponds to activity 2.1. Objective: to train officials and specialists from the energy, transport and industry sectors, to identify sectoral project ideas, and new stakeholders to be involved in investments in the country. (Havana, 30 persons, 3 days. Venue, meals and other services $4,000) -Workshop 4 corresponds to activity 2.1. Objective: to train officials and specialists from the agriculture, tourism and water resources sectors, to identify sectoral project ideas, and new stakeholders to be involved in investments in the country. (Havana, 30 persons, 3 days. Venue, meals and other services $4,000) -Workshop 5 corresponds to activity 2.3. Objective: to train officials and experts from the Provinces of Pinar del Río, Artemisa, Mayabeque, Havana and La Isla de la Juventud, and to identify local project ideas, and new stakeholders to be involved in investments in the country. (This workshop is organized in the western region of the

12 Budget Notes READINESS AND PREPARATORY SUPPORT PAGE 11 OF 29 Ver. 24 July 2018 country, 30 persons, 3 days. Transportation, accommodation, venue, meals and other services $8,200) -Workshop 6 corresponds to activity 2.3. Objective: to train officials and specialists from the Provinces of Matanzas, Villa Clara, Sancti Spiritus and Cienfuegos, and to identify local project ideas, and new stakeholders to be involved in investments in the country. (This workshop is organized in the central-western region of the country, 30 persons, 3 days. Transportation, accommodation, venue, meals and other services $8,200) -Workshop 7 corresponds to activity 2.3. Objective: to train officials and specialists from the Provinces of Ciego de Ávila, Camagüey, Las Tunas, to identify local project ideas, and new stakeholders to be involved in investments in the country. (This workshop is organized in the central-eastern region of the country, 30 persons, 3 days. Transportation, accommodation, venue, meals and other services $8,800) -Workshop 8 corresponds to activity 2.3. Objective: to train officials and specialists from the Provinces of Holguin, Granma, Guantánamo and Santiago de Cuba, and to identify local project ideas, and new stakeholders to be involved in investments in the country. (This workshop is organized in the eastern region of the country, 30 persons, 3 days. Transportation, accommodation, venue, meals and other services $9,800) -Consumables for workshops 3,4,5,6,7 and 8: $5,000 Total: $48,000 One international consultant to participate in a workshop to assess project ideas for the GCF to evaluate the proposals and recommend improvements Daily fee: $800x8 days = $6,400; DSA Havana + Terminal Expenses: 269x5 nights = $1,533; Air Ticket: $767. Total: $ 8,700 Workshop 9 corresponds to activity 4.3. Objective: : To present and review GCF country programme consistent with 2030 National Economic and Social Development Plan, National Environmental Strategy, State Plan for Tackling Climate Change and NDC. To review an initial set of project ideas in line with GCF country programme. (Havana, 30 persons,5 days. Venue, transportation, accomodation, meals and other services $10,000) Structured National Dialogue corresponds to activity 4.1. Target audience: ICC, NDA, Acredited Entities, GCF representatives, relevant national stakeholders, civil society, development partners. Objective: to develop a roadmap for articulating local and national priorities and opportunities in the engagement with the GCF. (Havana 40 persons, 2 days. Venue, transportation, accommodation, meals and other services $12,000. Comsumables for workshop 9 and structure national dialog: $6,000 Total: $28, Unforeseen Expenses (The budget will be used for any unforeseen programme (output level) cost that is unrelated to implementation/service fee) Administrative Assistant. To be locally recruited by UNDP Cuba to support the Tehcnical Unit in matters of day to day administration, reporting and logistical support to execute the project's activities. She/he will hold a part-time Service Contract for a period of 17 months. The cost is according to "2017 Proforma cost for UNDP Service Contract Holders (SC)" based on remuneration and other entitlements. This Proforma is official and validated for UNDP Cuba Service Contract posts. It includes Salary, Medical insurance, Life and disability insurance, Pension fund contribution, etc.). Rental costs and services (associated to Administrative Assistant) The Administrative Assistance will be based interchangeably in UNDP Cuba and NDA Technical Unit premises. In order to facilitate the administrative management of

13 Budget Notes READINESS AND PREPARATORY SUPPORT PAGE 12 OF 29 Ver. 24 July 2018 the project (infrastructure and services), a space will be provided to the Administrative Assistant in UNDP Cuba premises. The estimated cost for a physical area in UNDP Cuba premises is $ 8,500 for 17 months. It includes electricity, water, internet, land telephone, security, etc. UNDP Cuba will cover $6,961 out of these $8, Communication costs for Administrative Assistant 18 Delivery Partner fee Schedule of workshops Month Month 2 Month 3 Month 6 Month 7 Month 8 Month 9 Month 10 Month 13 Month 15 Month 17 Workshop Workshop 1 Workshop 3 Workshop 4 Workshop 5 Workshop 6 Workshop 7 Workshop 8 Workshop 2 Workshop 9 Structured National Dialog

14 4.2. Procurement Plan READINESS AND PREPARATORY SUPPORT PAGE 13 OF 29 Ver. 24 July 2018 For goods, services, and consultancies to be procured, please list the items, descriptions in relation to the activities in section 2, estimated cost, procurement method, relevant threshold, and the estimated dates. Please include the procurement plan for at least the first tranche of disbursement requested below. Also, please feel free to replicate this table on Excel spreadsheet if needed. UNDP will manage the readiness funding and be responsible for providing and contracting the services described in this proposal, as well as reporting on the progress of its implementation in close coordination with and under guidance of the NDA. Procurement processes will be in accordance with the procurement guidelines and policies of UNDP. The NDA will approve the interim progress report and completion report provided by the Accredited Entity. UNDP, in collaboration with the NDA, will competitively procure services consistent with its procurement policies and rules. Consultants will be procured on a competitive basis and the terms of reference of consultants will be jointly developed to include the tasks outlined in the request summary above. The NDA may also add other tasks to the TORs of the consultants in accordance with the Fund s defined scope of work on NDA strengthening within the resource envelope in this proposal and any supplementary resources secured from other sources. For items such as venues and travel for stakeholder workshops to be organised, a shopping method will be used to procure such services consistent with UNDP s procurement policies and rules. Information on the process and the results of procurement to undertaken will be included in the inception report where such information can be provided in advance, and in interim progress or completion reports when such procurement has been undertaken and completed. The residual value of assets or equipment to be acquired will be managed in accordance with Clause 7.03 of the Framework Readiness and Preparatory Support Grant Agreement between the GCF and UNDP dated 2 September 2016, thus supporting future GCF readiness and funded activities in Cuba. Specifically, Clause 7.03, Disposal of Goods, of the said Agreement states: If, in relation to an Approved R&P Support Proposal, a part of a related Grant is used to purchase any durable assets or equipment used to implement the Approved R&P Support Proposal (such as vehicles or office equipment), upon completion of the Approved R&P Support Proposal or its termination in accordance with this Framework Agreement, the Delivery Partner shall take such steps in relation to such assets or equipment which it reasonably deems in the best interest of the sustainability of the activities initiated pursuant to the Approved R&P Support Proposal, taking into consideration the objectives of the Fund and the terms of the agreement between the Delivery Partner and the relevant Host Country relating to the Approved R&P Support Proposal. ITEM ITEM DESCRIPTION ESTIMATED COST (US $) PROCUREMENT METHOD THRESHOLDS (Min-Max monetary value for which indicated procurement method must be used) ESTIMATED START DATE PROJECTED CONTRACTING DATE Goods and Non-Consulting Services 4 4 On the demands of activities and means for readiness under the Cuban national circumstances see section 4.4. on Aditional information, and Annex 2.

15 Workshop 1 Workshop 2 Workshop 3 Workshop 4 Workshop 5 Workshop 6 Workshop 7 Workshop 1 Objective: to have a diagnosis of the capacities of the NDA and other institutions linked with its work, a proposal of organizational design, and the content of the normative framework required for the approval cycle of projects Workshop 2 Objective: to review and validate documents, guidelines and procedures elaborated by consultants Workshop 3 Objective: To train officials and specialists from the energy, transport and industry sectors, to identify sectoral project ideas, and new stakeholders to be involved in investments in the country. Workshop 4 Objective: To train officials and specialists from the agriculture, tourism and water resources sectors, to identify sectoral project ideas, and new stakeholders to be involved in investments in the country. Workshop 5 Objective: To train officials and experts from the Provinces of Pinar del Río, Artemisa, Mayabeque, Havana and La Isla de la Juventud, and to identify local project ideas, and new stakeholders to be involved in investments in the country. Workshop 6 Objective: To train officials and specialists from the Provinces of Matanzas, Villa Clara, Sancti Spíritus and Cienfuegos, and to identify local project ideas, and new stakeholders to be involved in investments in the country. Workshop 7 Objective: To train officials and specialists from the Provinces of Ciego de Ávila, Camagüey, Las Tunas, to identify local project ideas, and new stakeholders to be involved in investments in the country. READINESS AND PREPARATORY SUPPORT PAGE 14 OF 29 Ver. 24 July 2018 $ 5,000 Open tender 5,000 USD TO 100,000 USD $ 5,000 Open tender 5,000USD TO 100,000 USD $ 4,000 Open tender 5,000 USD TO 100,000 USD $ 4,000 Open tender 5,000 USD TO 100,000 USD $ 8,200 Open tender 5,000 USD TO 100,000 USD $ 8,200 Open tender 5,000 USD TO 100,000 USD $ 8,800 Open tender 5,000 USD TO 100,000 USD It is expected to start the implementation of the project on September 1 st 2018 for a 18-month period

16 Workshop 8 Workshop 9 Structured National Dialogue Web design service Connectivity service Document translation services Publishing of Documents and Printing Services Informatic and communication equipment Office equipment Means of transportation Workshop 8Objective: To train officials and specialists from the Provinces of Holguin, Granma, Guantánamo and Santiago de Cuba, and to identify local project ideas, and new stakeholders to be involved in investments in the country. Workshop 9 Objective: To present and review GCF country programme consistent with 2030 National Economic and Social Development Plan, National Environmental Strategy, State Plan for Tackling Climate Change and NDC and to review an initial set of project ideas in line with GCF country programme. Objective: to develop a roadmap for articulating local and national priorities and opportunities in the engagement with the GCF Website design service for the GCF in Cuba will be procured to accomplish activity 1.5. Connectivity and website hosted service will be procured to accomplish activity 1.5. Document translation services (English-Spanish- English) are requested to accomplish activities 1.2 and 2.1 It aims to contract service to publish brochures and other publications, developed on the basis of GCF guidelines and standards to accomplish activity 1.2, 2.1 It aims to acquire computer equipment i.e. computers, printers, projectors, webcams among others for communication purposes to strengthen the technical unit which will support the work carried out by the NDA to accomplish activity 1.4. It aims to acquire office equipment for the technical unit which will support the work carried out by the NDA to accomplish activity 1.4. Office furniture and workshop classroom. It corresponds to activity 1.4 and aims to acquire means of transportation for the technical unit that is READINESS AND PREPARATORY SUPPORT PAGE 15 OF 29 Ver. 24 July 2018 $ 9,800 Open tender 5,000 USD TO 100,000 USD $ 10,000 Open tender 5,000 USD TO 100,000 USD $ 12,000 Open Tender 5,000 USD TO 100,000 USD $ 5,000 Open tender 5,000 USD TO 100,000 USD $ 20,750 Open tender 5,000 USD TO 100,000 USD $ 1,000 Open tender 5,000 USD TO 100,000 USD $ 15,000 Open tender 5,000 USD TO 100,000USD $ 30,000 Open tender 5,000 USD TO 100,000 USD $ 10,200 Open tender 5,000 USD TO 100,000 USD $ 28,000 Direct Procurement 5,000 USD TO 100,000 USD

17 Maintenance service Constructive maintenance service Telephone Communication services Supplies created based on the project management and executive functions of the NDA. It corresponds to activity 1.4 and is aimed at guaranteeing and providing maintenance to the equipment and means acquired It corresponds to activity 1.4 and is aimed at the upgrading and adaptation of the technical unit premises It corresponds to activity 1.4 and aims to provide telephone communications of the technical unit with the NDA, the Interministerial Coordination Committee and stakeholders. Different materials (diaries, notebooks, pens, files, flash memories, fuel for transportation) to support the 9 planned workshops and the Structured National Dialog READINESS AND PREPARATORY SUPPORT PAGE 16 OF 29 Ver. 24 July 2018 $ 7,000 Shopping 0 to 5,000 USD $ 6,000 Shopping 0 to 5,000 USD $ 3,500 Shopping 0 to 5,000 USD $19,000 Open tender 5,000 USD TO 100,000 USD Travel $ 13,700 Direct Procurement 0 to 5,000 USD Subtotal Goods and Non-Consulting Services $ 234,000 Consultancy Services International consultant 1 International consultant 2 The consultant is to review a document that establishes the procedure for the feasibility studies of projects prepared by national experts to be submitted to the GCF, as well as the general regulations to allow the country to have access to the GCF. This person will give advice on conducting workshop 2 and will personally lead the sessions in which the procedures for feasibility studies are analyzed. This consultant will review documents establishing the methodological procedures on environmental and social safeguards. In addition, this person will give advice on conducting the workshop 2 and will personally lead the sessions in which the procedures referred to environmental and social safeguards will be analyzed. $ 10,550 Open tender 5,000 USD TO 100,000 USD $ 10,550 Open tender 5,000 USD TO 100,000 USD

18 International consultant 3 Local consultant1 Local consultant2 Local consultant3 Local consultant4 Its role is to participate in a workshop to assess project ideas for the GCF to evaluate the proposals and recommend improvements. National consultant to develop a General Procedure to conduct prefeasibility and feasibility financial studies, compatible with the internal approval mechanism and in line with the NDA-AE-GCF chain for adaptation and mitigation projects for the different financial mechanisms: Grants; Grants with reimbursement, credits, insurance and equity. The tender will be based on price per finished product. The consultant elaborates the General Procedure for environmental safeguards applicable to the GCF projects, including the elaboration, consultation, evaluation and implementation phases. The tender will be based on price per finished product. The consultant elaborates the General Procedure for environmental safeguards applicable to the GCF projects, including the elaboration, consultation, evaluation and implementation phases. The tender will be based on price per finished product. This consultant elaborates the General Guidelines that is the basis of the draft Resolution on GCF financing, which includes its general definitions, the organization of NDA and related governing bodies, functions and attributions, general approval process of GCF projects, requirements in each Level and associated documents (financial procedures and safeguards prepared by national consultants). The tender will be based on price per finished product. $ 8,700 Open tender 5,000 USD TO 100,000 USD READINESS AND PREPARATORY SUPPORT PAGE 17 OF 29 Ver. 24 July $ 2,000 Open tender 5,000 USD TO 100,000 USD $ 1,600 Open tender 5,000 USD TO 100,000 USD $ 1,600 Open tender 5,000 USD TO 100,000 USD $ 2,500 Open tender 5,000 USD TO 100,000 USD

19 Local consultant 5 The consultant is in charge of developing the communication strategy to encourage the insertion of the country in the GCF. These communication guidelines must be taken into account during the elaboration, evaluation and implementation of the GCF projects. The tender will be based on price per finished product. Subtotal Consulting Services $ 39,000 Grand Total Operational Costs $ 273,000 READINESS AND PREPARATORY SUPPORT PAGE 18 OF 29 Ver. 24 July 2018 $ 1,500 Open tender 5,000 USD TO 100,000 USD

20 PAGE 19 OF 29 Ver. 24 July Disbursement schedule Specify the proposed schedule for requesting disbursements from the GCF, including amounts and periodicity. For amounts requested, keep to multiples of USD 5,000, and for periodicity, specify whether it s quarterly, bi-annually or annually only. The disbursement requests and schedule for this project will be in line with Clause 4 of the Framework Readiness and Preparatory Support Grant Agreement between GCF and UNDP. Under clause 4 of said Framework Agreement, the Delivery Partner shall be entitled to submit two requests for disbursement each year. Each such request for disbursement must be submitted to the Fund within 30 days of receipt by the Fund of the Portfolio Report referred to in Section Additional information This box provides an opportunity to include further explanations related to the budget, procurement plan and disbursement schedule, including any details on the assumptions to justify costs presented in the budget. The application of Readiness in Cuba aspires to be a sustainable and long-term process. Cuba wants to establish a permanent institution, backed by adequate means, to accompany the entire process of resilient and low carbon national climate financing. For these reasons, the proposals for activities are directed more towards achieving that solidity and stability through the strengthening of infrastructure and resources, than to the work of consultants, which is recognized as important, but whose work will have a very punctual role in this first phase of Readiness, and whose functions, in the future, will be met in great measure by the permanent structure that is created, except in those cases in which this consultancy support continues to be demanded, due to the high specialization that a given topic may have. The Readiness scope is national, and encompass all relevant sectors and stakeholders. In order to achive the project objectives and outcomes described in the logical framework, it has been necessary to include nine workshops. All these workshops are necessary since they have different audience, different subjects and different products to obtain. In order to achieve the project objectives, a key element is the creation and strengthening of the technical unit comprised of four highly-qualified Cuban government officials (one of whom will perform the role of the coordinator/manager of this project), which will lead the strategic execution of all project s activities. Their role in leading the project (staff time) will not represent any additional cost to the project and will be covered completely by Cuban Government. UNDP Office will hire a project assistant to support this technical unit, with the day-to-day implementation of the project activities. In the specific conditions of the country, there are goods and services that are crucial to the rapid creation and strengthening of the project technical unit that will continue fulfilling the executive functions of the NDA once the project is completed. That is why in the following items are budgeted: computers, office equipment, maintenance services and means of transportation. There are important difficulties in Cuba regarding transportation. The non-acquisition of these goods and services may represent a very important barrier to fulfill the main objective of the project and particularly to ensuring multi-stakeholders participation at the national and local level, as requested by the GCF. To shed more light on the context it is important to know that: According to the laws governing the US blockade against Cuba (Torricelli Law , Helms-Burton Act ), the US companies and subsidiaries in third countries are forbidden to sell goods to Cuba, on penalty of sanctions for those that violate the prohibition. This affects the purchase of most US-owned technologies, including ICT. These laws impose restrictions on shipping companies that put in at Cuban ports. In addition, shipping lines arriving in Cuba have irregular itineraries, which results in a reduction in the availability of vessels. This becomes a challenge and has a negative impact on the delivery deadlines of contracted goods. On a financial level, the blockade prevents transfers in US dollars. For this reason and despite the fact that budgets of all projects are registered in US dollars, all external transfers are made in a currency other than US dollars (usually in euros). On the other hand, and even when payments are made in a currency other than US dollars, banks randomly withhold payments in order to prepare additional information that may be requested by the OFAC of the US Department of the Treasury. In order to guarantee the efficient use of the resources acquired under the project and to ensure the sustainability of the project, once the external resources have been exhausted, the country demands that national regulations for the import of goods be complied with, and that the beneficiaries of international cooperation projects have prior approval in the plan of the year of the Ministry of Economy and Planning that includes all the goods and services related to the project. Other national permits are required in the case of a significant group of products (IT, means of transportation, among others) that must be issued by identified government agencies.

21 PROPOSALTEMPLATE PAGE 20 OF 29 Ver. 24 July 2018 SECTION 5: IMPLEMENTATION ARRANGEMENTS AND OTHER INFORMATION 5.1. Please attach an implementation map or describe how funds will be managed by the NDA/FP or delivery partner If the entity implementing the readiness support is not an accredited entity of the GCF, please complete the Financial Management Capacity Assessment (FMCA) questionnaireand submit it with this proposal. The Government of Cuba has identified UNDP as its delivery partner for the readiness programme. UNDP will take responsibility, under the leadership and guidance of the NDA, for the implementation of the proposed programme including fiduciary management. As per the Framework Readiness and Preparatory Support Grant Agreement, the project will be implemented under Direct Implementation Modality following UNDP POPP guidance available here: UNDP HQ will delegate spending authority to the UNDP Country Office. UNDP HQ- will approve the budget, and UNDP Country Office can spend within the approved spending limits established by UNDP-. The project will be overseen technically by the UNDP Global GCF Readiness Coordinator and financially by UNDP Directorate.UNDP Cuba will be responsible for services related to recruitment of consultants, travel, sub-contracting, and organization of national workshops. An administrative assistant will be recruited under the direct supervision of UNDP Cuba (as included under the Project Management Costs, budget line of the budget) to support the technical unit in matters of day to day administration, reporting and logistical support to execute the project s activities. In order to fulfill the functions of the GCF s NDA, the government has approved an organizational structure, with a decision-making level based on the Interministerial Coordination Committee and an executive level coordinated by a Technical Unit (See Annex 2). The structure adopted should ensure a coherent, coordinated and agile participation of all stakeholders based on broader access to the GCF, in accordance with the needs and priorities of the country Other relevant information This box provides an opportunity to include any important information you wish to bring to the attention of the GCF Secretariat, but did not have an opportunity to provide in the sections above. To avoid any possible conflicts of interest deriving from the delivery partner s role as an accredited entity, the prioritization of investments and projects to be included in the country programme will be made through a broad consultation process with relevant stakeholders, including other potential implementing entities for Cuba. The final validation of the country programme will be carried out by the country s coordination mechanism with the participation of other government agencies, as well as representatives from civil society and private sector, to ensure chosen priorities are fully aligned with national plans and strategies and adequately includes inputs from consulted stakeholders.

22 ANNEX 1. IMPLEMENTATION SCHEDULE OF OUTCOMES AND ACTIVITIES (GANTT CHART) READINESS AND PREPARATORY SUPPORT PROPOSALTEMPLATE PAGE 21 OF 29 Ver. 24 July 2018 Implementation Schedule of Outcomes and Activities (Gantt Chart) Outcomes Activities Monthly Implementation Plan of Activities Country capacity strengthened 1.1 NDA/focal point lead effective coordination mechanism Conduct institutional assessments and diagnosis of the capacities of the NDA and other institutions linked with its work on matters related to the GCF. Derivable: Minutes from first workshop on diagnosis of the capacities of the NDA and other institutions linked with its work on matters related to the GCF Establishment of an ICC to support the NDA, that shall include representatives from the Cuban Central Bank (BCC), the Ministry of Economy and Planning (MEP), the Ministry of Finance and Prices (MFP) and the Ministry of Foreign Trade and Investment (MINCEX), among others, ensuring the participation of women in close collaboration with the Federation of Cuban Women (FMC).

23 PROPOSALTEMPLATE PAGE 22 OF 29 Ver. 24 July 2018 Implementation Schedule of Outcomes and Activities (Gantt Chart) Outcomes Activities Monthly Implementation Plan of Activities Derivable: Legal framework for the Interministerial Coordinating Committee (ICC) - (Document validated by NDA) 1.2 No objection procedure Establish a no objection procedure established and implemented through legal regulation, and other regulations required for the approval cycle of projects (Procedures for the elaboration, evaluation, internal approval and negotiation of the projects with the Accredited Entities, including the procedures related to feasibility studies and the social and environmental safeguards). Derivable: No objection procedure document (Document validated by NDA) Monitoring, oversight and streamlining of climate finance Creation of a technical unit, which will support the work carried out by the NDA, in particular by reviewing and screening programs and projects. Derivable: Terms of Reference and Standard Operating Procedures for technical unit (Document approved by NDA)

24 PROPOSALTEMPLATE PAGE 23 OF 29 Ver. 24 July 2018 Implementation Schedule of Outcomes and Activities (Gantt Chart) Outcomes Activities Monthly Implementation Plan of Activities Strengthening institutional capacities, mainly informatics, including the development of a website and dialogue platforms to facilitate communication among stakeholders on issues related to the GCF in Cuba. Derivable: Terms of reference for the development of the Website and print screens of different sections within the website. 2. Stakeholders engaged in consultative processes Stakeholders engaged in consultative processes Conduct consultation processes at national and at territorial level to identify new stakeholders, project opportunities (consistent with National Development Plan, National Environmental Strategy, State Plan for Tackling Climate Change and NDC) and their review, with a gender approach, thus ensuring a broad participation of women. Derivable: Operational guideline for stakeholder consultations for GCF project prioritization in Cuba

25 PROPOSALTEMPLATE PAGE 24 OF 29 Ver. 24 July 2018 Implementation Schedule of Outcomes and Activities (Gantt Chart) Outcomes Activities Monthly Implementation Plan of Activities Preparing, publishing and disseminating brochures and other publications, including operational manuals for the national coordination and consultation mechanisms, developed on the basis of GCF guidelines and standards. 2 Knowledge products produced Access to finance 4.1 Structured national dialogue between the a national structured dialogue between Identify modalities for establishing NDA/National stakeholders/accredited Entities and ed entities and the GCF Secretariat on an the NDA, national stakeholders, accredit- the GCF Secretariat organized annual basis. Derivable: Minutes from first National Structured dialogue and annual roadmap for engagement with the Fund (included in Cuba s Country Work Programme).

26 PROPOSALTEMPLATE PAGE 25 OF 29 Ver. 24 July 2018 Implementation Schedule of Outcomes and Activities (Gantt Chart) Outcomes Activities Monthly Implementation Plan of Activities 4.2 Country programme, concept notes, including on adap- GCF country program consistent with the Development of a gender-inclusive tation, developed that implement high-impact priorivelopment Plan, the National Environ National Economic and Social Deties identified in INDCs and mental Strategy, State Plan for Tackling other national strategies or Climate Change, NDC and the GCF regulations. The country programme will include plans the key priority areas and ideas of projects to be developed as conceptual notes in a further stage. 1 GCF Country Programme developed, including a pipeline of ideas of projects

27 ANNEX 2. NDA TECHNICAL UNIT FOR THE GREEN CLIMATE FUND (GCF). 1. Institutional framework in Cuba for national GCF Project management READINESS AND PREPARATORY SUPPORT PROPOSALTEMPLATE PAGE 26 OF 29 Ver. 24 July 2018 Mr. José Fidel Santana Núñez, Deputy Minister of CITMA was appointed as the National Designated Authority (DNA) of Cuba to the Green Climate Fund (GCF). The mentioned Deputy Minister is also responsible for all scientific, technological and environmental activities, among others, in specialized management offices of the ministry. Given the importance of the Fund in the country, a mechanism was established to encourage, carry out and approve GCF projects at national level: the Interministerial Coordination Committee (ICC). This Committee is formed by the Central Bank of Cuba (BCC), which presides it; the Ministry of Science, Technology and Environment (CITMA), which acts as its Secretariat; the Ministry of Foreign Trade and Foreign Investment (MINCEX); the Ministry of Economy and Planning (MEP); the Ministry of Finance and Prices (MFP); the Ministry of Energy and Mines (MINEM); the Ministry of Agriculture (MINAG) and the National Institute of Hydraulic Resources (INRH). For this mechanism to effectively function, the decision was taken to create an executive level, coordinated by the Technical Unit of the NDA (TU / NDA). Thus, the institutional framework to be engaged in the GCF the country has created two organizational levels with clearly differentiated functions (Figure 1): A policy and approval management level, constituted by the Inter-ministerial Coordination Committee and the Ministry of Science, Technology and Environment in its capacity as National Designated Authority to the GCF. This management level is responsible for the national approval of GCF projects. An executive and promotional level, coordinated by the Technical Unit for the Implementation of the GCF. The Technical Unit also coordinates the Inter-sectoiral Expert Group, that has the function of evaluating at the technical level the projects and submetting an evaluation to the ICC. Figure 1. National organization of the NDA to the GCF OACE- Ministries and Agencies of the State Central CITMA- Ministry of Science, Technology and Administration Environment BCC - Central Bank of Cuba DRI- International Relations Office MINCEX- Ministry of Foreign Trade and Investment DCIT- Office of science and technological innovation