with FAO for the Federation of Saint Christopher and Nevis 29 January 2018 NDA Strengthening & Country Programming

Transcription

1 with FAO for the Federation of Saint Christopher and Nevis 29 January 2018 NDA Strengthening & Country Programming

2 PAGE 1 OF 28 Ver. 15 June 2017 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. - For the final version submitted to GCF Secretariat, please delete all instructions indicated in italics in this template and provide information in regular text (not italics). 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, particularly to the situation of vulnerable populations, including women and men. Please be specific about proposed actions to address these issues. Consult page 7 of the readiness guidebook for more information.

3 PAGE 2 OF 28 Ver. 15 June 2017 SECTION 1: SUMMARY 1. Country submitting the proposal 2. Date of initial submission 3. Last date of resubmission 4. Which entity will implement the Readiness and Preparatory Support project? 5. Title of the Readiness support proposal 6. Type of Readiness support sought 7. Brief summary of the request Country name: The Federation of St. Kitts and Nevis Name of institution representing National Designated Authority (NDA) or Focal Point: Ministry of Sustainable Development, Department of Economic Affairs and Public Sector Investment Planning (PSIP) Name of NDA/Focal Point: Ms. Lavern Queeley Position: Director, Department of Economic Affairs and PSIP Telephone: / lcqueeley@gmail.com Full office address: Bladen s Commercial Development, Wellington Road 31 October November 2017 National Designated Authority X Accredited Entity Delivery Partner (Please provide contact information if the implementing partner is not the NDA/focal point) Name of institution: Food and Agricultural Organization of the United Nations Name of official: Lystra Fletcher-Paul Position: Sub- Regional Coordinator for the Caribbean ad-interim Telephone: Lystra.fletcherpaul@fao.org Full Office address: United Nations House, Marine Gardens, Christ Church, Barbados GCF Readiness and Preparatory Support in St. Kitts and Nevis Please select one option below (one box or circle) X Readiness o o o Establishing and strengthening national designated authorities or focal points Strategic frameworks, including the preparation of country programmes Support for accreditation and accredited direct access entities Adaptation Planning The Government of the Federation of St. Kitts and Nevis is committed to tackling the adverse impacts of climate change through the implementation of ambitious policies and actions enshrined in its NDCs. However, to meet the country s desired national goals and to access climate finance will require inter alia, strengthened institutional capacity and effective coordination mechanisms. The country s climate change governance and institutions present the following constraints that the GCF Readiness Programme will help to tackle: (i) inadequate mechanisms for stakeholder engagement and information exchange at both the

4 PAGE 3 OF 28 Ver. 15 June 2017 national and island levels; (ii) absence of an effective mechanism for meaningfully mainstreaming climate change programmes into the national strategic framework; and (iii) the absence of an institutional apparatus to access the GCF and other dedicated climate change financing mechanisms. The proposed readiness grant will address these underlying challenges through capacity building of the NDA to effectively undertake its GCF-related roles and responsibilities, designing a Country Programme for engaging with the Fund, and undertaking due diligence and capacity building of prospective National Implementing Entities with a view to realizing direct access. 8. Total requested amount and currency US$432, Anticipated duration 18 months

5 PAGE 4 OF 28 Ver. 15 June 2017 SECTION 2: LOGICAL FRAMEWORK Please complete the table below by including proposed outcomes, baseline situations, the targets for implementation period, and the activities to be undertaken, including key outputs or deliverables. Please add rows for additional outcomes as needed. For further guidance on completing the table, please refer to the guidebook Accessing the GCF Readiness and Preparatory Support Programme, including specific Outcomes to select from. OUTCOMES 1. Country capacity strengthened 1.1 Effective coordination mechanism BASELI NE TARGE T 1 2 ACTIVITIES Please include at least one specific deliverable output for each activity, and the timeframe (month number) in which it will be delivered to GCF Conduct a gap assessment of the policy, legislative and institutional frameworks governing the NDA s operations in St. Kitts and Nevis to undertake its GCF-related roles and responsibilities. [Deliverable: stocktake report on NDA capacities, including approved ToR for GCF Steering Committee. Timeframe: ] The assessment should include but not limited to: Review and document existing processes and systems governing the operations of the NDA focusing in particular on: (1) existing mechanisms to coordinate across stakeholders and facilitate effective consultation and communication and (2) current public system for planning, project formulation and resource mobilisation Identify entry points to align existing processes and systems governing the operations of the NDA with the GCF requirements to assist the NDA in performing its GCF-related responsibilities Develop draft terms of reference for a National Climate Change Committee to support the overall governance of climate change related activities Develop draft Terms of Reference for a GCF steering committee aiming to coordinate across stakeholders and facilitate effective consultation and communication Assess and recommend specific training needs for human resources development within the NDA Develop a Toolkit/ Manual containing operational guidelines for the NDA to perform its GCFrelated roles and responsibilities. [Deliverable: Toolkit/manual for NDA operations. Timeframe: ] Elaborate a procedure and criteria for transparently selecting readiness delivery partners. [Deliverable: Procedure for the selection of Readiness Delivery Partners. Timeframe: ]

6 2. Stakeholders engaged 2.1 Stakeholders engaged in consultative processes 2.2. Country programmes, including adaptation priorities, developed and continuously updated READINESS AND PREPARATORY SUPPORT PAGE 5 OF 28 Ver. 15 June Elaborate a nationally appropriate no-objection procedure, to review and issue no-objection letters for funding proposals/ concept notes received from Accredited Entities (AEs). [Deliverable: No-objection procedure. Timeframe: ] Elaborate an initial process for the nomination of Direct Access Entities (DAEs) seeking accreditation to the GCF. [Deliverable: Guidelines for nomination of DAEs. Timeframe: Deliver a 3-day training workshop to NDA personnel and selected stakeholders (including the GCF Steering Committee) on the approved toolkit, manual of operational guidelines and GCF Manual Mainstreaming Gender in GCF Projects. The training will also feature the application of the GCF Manual Mainstreaming Gender in GCF Projects, to support the integration of gender equality in climate change interventions and climate finance. [Deliverable: workshop report. Timeframe ] Develop and implement a communication and awareness-raising strategy. [Deliverable: Communication and awareness-raising strategy. Timeframe: ] This will be achieved through the following sub-activities: Undertake communications scoping and research to identify existing communication channels used by the NDA and other relevant national bodies and the type of information that relevant stakeholders require Develop a structured communications and awareness-raising strategy, including a clear plan of action and timetable for disseminating communications and awareness-raising products Produce associated knowledge and awareness-raising products that might include policy briefs, leaflets/flyers/brochures, audio interviews, infographics, articles and blogs The overall output for all activities within 2.2 is to develop a country programme, including a prioritized pipeline agreed with stakeholders and approved by the Cabinet Assess climate coordination and consultation mechanisms through the following: Draft an overview of strategic role and positioning of the NDA within the national legal and planning structure and institutional set up. 1 The report prepared by Charles and Associates in 2015 was a preliminary assessment and not an in depth analysis. This does not provide enough to inform a decision regarding readiness

7 PAGE 6 OF 28 Ver. 15 June 2017 Take stock of existing national coordination mechanisms for multilateral and bilateral funding and GCF Identify regional participation in terms of: climate negotiation groups, regional sectoral approaches Identify key stakeholder groups and consultations to be carried out (or recently carried out) with regards to determining climate priorities for the country and GCF engagement [Deliverable: Coordination Assessment Report. Timeframe This activity builds on activity 1.1.1] Determine the country s climate profile, identifying the climate change-related vulnerabilities and the potential opportunities to reduce greenhouse gas (GHG) emissions in comparison to current GHG emission standards. This analysis would build on existing policy and planning work such as (I)NDC, national communications and others, as available. The final report should: present the aggregate impacts of climate change on economy; identify productive areas and sectors most relevant from an adaptation and mitigation standpoint; assess the gaps and opportunities for mainstreaming climate into development planning; evaluate the robustness of existing data and of the need for further investigation. [Deliverable: Climate Profile Analysis Report. Timeframe: ] Define National Adaptation and Mitigation Focus Areas and prioritize adaptation and mitigation activities through an inclusive consultation (2 days, ~ 50 participants) based on the findings of the Climate Profile Analysis Report (activity 2.2.2) The workshop should achieve: Appraisal of mitigation options and needs Appraisal of adaptation options and needs List of top mitigation and adaptation priorities that demonstrate the strongest impact and transformational potential, and for which GCF funding is needed. In doing so, assess the cost requirements and the benefits of long-term priorities and consider the co-benefits of climate action. An initial list of priority mitigation, adaptation and crosscutting areas should result from this stakeholder workshop. [Deliverable: Consultation Report. Timeline ] Undertake Institutional, Market and Policy Gap Analysis through:

8 PAGE 7 OF 28 Ver. 15 June 2017 Mapping existing policies, mechanisms and other initiatives for mobilization and deployment of climate finance resources, including public private partnerships at national level Review of the current roles and jurisdictions of public and private sector agents Mapping existing national and international institutional partners and existing in-country capacity Mapping of the private sector, looking at type and capacity of market and financial system within the country, including national credit rating Summarize identified gaps, weaknesses and opportunities [Deliverable: Gap Analysis Report. Timeline ] Conduct a financial assessment for top priorities through: Taking stock of the enabling environment and regulatory framework for mobilization and deployment of climate finance resources, including public-private partnerships at national level Taking stock of current access to finance for projects in mitigation and adaptation from both national and international sources across the public and private sector, including other UNFCCC mechanisms Summarizing financing needs for top priorities and shortlist financing gaps by order of priority List options for finance mobilization and applicable instruments for top priorities [Deliverable: financial assessment report. Timeframe ] Define transparent prioritisation mechanism for GCF funding proposals / review no-objection procedure Summarize the process of distilling these priorities into projects and programmes that are consistent with GCF policies, principles and access modalities. [Deliverable: concrete screening mechanism that considers the priorities that emerge from Activity and the gaps that result from Activity Timeframe ] Identify DAEs and/or executing/implementing entities through transparent process, presenting an overview of the criteria based on which partners have been identified and utilizing the identification/ nomination process of Direct Access Entities, developed under activity and offer recommendations for improvements [Deliverable: List of DAEs. Timeframe ].

9 PAGE 8 OF 28 Ver. 15 June Define and validate Country Programme for strategic GCF Engagement 2 Endorse the pipeline for projects and programmes, Project Preparation Facility requests, Readiness and accreditation through the national coordination mechanism For each project idea, outline the next steps for taking it forward, along with the lead actor for taking the action forward and a timeline by which the action should be completed. Formulate concept note for two selected main priority projects or programmes. [Deliverable: Pipeline endorsed by coordination mechanism and two concept 3 notes based on priorities outlined. Timeline ] Establish a Monitoring and Evaluation system for Country Programme and Implementation outlining key steps in the updating, monitoring and evaluation of the country programme and its related activities. [Deliverable: M&E system endorsed by coordination mechanism. Timeline ] Conduct a final Validation Workshop (1 day, ~50 participants) to present the draft Country Programme to the NDA and selected stakeholders, gather feedback and revise document accordingly. [Deliverable: final Country Programme endorsed. Timeline ]. 2.3 Gender considerations 3. Direct access realised 0 2 Organization of all stakeholder engagement activities implemented under this readiness project while ensure equal participation of women in such events Conduct a training session to NDA personnel and identified NIEs on the application of the GCF Manual Mainstreaming Gender in GCF Projects to support the integration of gender equality in climate change interventions and climate finance. [Deliverable: training workshop report/participants lists. Timeframe: Q This activity will be implemented bundled with activity as a specific training module on Mainstreaming Gender in GCF projects ] 2 Consultations will include government ministries, government agencies, academia, non-governmental organizations and community-based organizations and will be gender-balanced 3 The NDA is unaware of the scope of the specific initiatives and chooses not to utilize the SAP process at this time. The concept notes will be developed using the regular GCF format

10 PAGE 9 OF 28 Ver. 15 June Direct access entity s nomination Conduct a one-week training session with potential NIEs vis-à-vis GCF fiduciary and operational requirements, ESS and Gender standards [Deliverable: workshop report. Timeframe ] Undertake a gap assessment of prioritised NIE and prepare personalised action plan against the GCF accreditation standards and develop missing policies, manuals and procedures [Deliverable: gap assessment report and action plan. Timeframe: ] Nominate candidate entity(ies) for GCF accreditation through official process [Deliverable: nomination letter. Timeframe ] 4 The Development Bank of St. Kitts and Nevis (DBSKN) was assessed in the 2015 study by Charles and Associates against the fiduciary standards of the GCF. Further assessments will have to be conducted against the ESS and gender requirements. In addition, the report stated that the DBSKN was undergoing some capacity building of its own therefore the fiduciary standards may have since been upgraded, the assessment will be used as an opportunity to verify any changes in the fiduciary standards.

11 SECTION 3: ADDITIONAL INFORMATION PAGE 10 OF 28 Ver. 15 June 2017 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. Please refer to the Guidebook for more specific information on completing this section. The twin island Federation of Saint Kitts and Nevis is a democratic and sovereign country. Climate change is one of the most critical issues facing the Caribbean region and it is already being experienced through rising sea levels, increasing mean temperatures and changes in rainfall and weather patterns. All these impacts, in many ways, affect the socio-economic development of the country in sectors such as Tourism, Agriculture, Water and Infrastructure, particularly, Coastal Infrastructure. The country faces the prospect of irreversible and permanent loss and damage resulting from climate change, despite best efforts at adaptation and mitigation. St. Kitts and Nevis is committed to tackling the adverse impacts of climate change. It considers its NDCs to be ambitious and continues to exhibit evidence of environmentally sound development. Furthermore, St. Kitts and Nevis inventories of GHGs demonstrate that the country is a net sink for global carbon emissions, although like other Small Island Developing States, it is expected to bear the brunt of the impacts. Saint Kitts and Nevis INDC is conditional and based on the availability of financing and technological support. St. Kitts and Nevis NDA has initiated its engagement with the Green Climate Fund through a series of dialogues with the GCF and accredited entities within the region. These dialogues have served to strengthen the NDA s understanding of the Fund s operations, and provide the country with platforms to communicate its priorities to the Fund, and to facilitate knowledge sharing and peer-to-peer learning. To date, the NDA has participated in the first Caribbean Regional Workshop from October 6-8, 2015, in Belize. This engagement sought to deepen the understanding of GCF processes among NDAs and focal points in the Caribbean, and create a platform for the exchange of best practices between stakeholder groups. An additional and key activity of the workshop was a focus on developing readiness requests that will enable countries to apply for financial support from the Fund. More recently, St. Kitts and Nevis participated in the first GCF OECS sub-regional structured dialogue in April 2017, which aimed to accelerate the Eastern Caribbean s direct access engagements with the Fund. While St. Kitts and Nevis prepares to submit its indicative project pipeline to the GCF, in the interim, the country continues to actively participate in multi-country projects through the Fund s accredited entities. Further, St. Kitts and Nevis participated in the Caribbean Structured Dialogue in June 2017 where they were able to advance dialogue regarding the submission of its GCF readiness and preparatory support proposal. The Government of the Federation of St. Kitts and Nevis recognises the threats of climate change to national development. While climate change is included as a part of several policy documents relating to national development, at the operational level, there is limited consideration to climate risks and impacts in decision-making in the National Adaptation Strategy ( ) and the Public Sector Investment Programme. Climate change programming has therefore occurred in the absence of a dedicated, comprehensive and widely accepted national climate change policy, strategy and/or action plan. As such, the planning and response imperatives and specific actions that would serve to better inform the macro-economic process are lacking. However, a draft National Climate Change Policy has been under review, consultations

12 PAGE 11 OF 28 Ver. 15 June 2017 with stakeholders were held and feedback solicited and incorporated. The draft policy has been submitted to the Cabinet for approval. In order to operationalize the National Climate Change Policy, a National Climate Change Adaptation Strategy is necessary. Such a strategy is currently being developed to address the impacts of climate change and build resilience, it is scheduled to be completed by the second quarter of At the national level, day-to-day responsibility for climate change matters resides with the Environment Unit of the Ministry of Agriculture, Human Settlement, Cooperatives and Environment, which is the National Focal Point for climate change. This Unit is responsible for a range of environment-related programming including Biodiversity; Land Degradation and other matters concerning the United Nations Convention to Combat Desertification. The Climate Change Focal point, based in that Unit is supported by another officer, but neither deals exclusively with climate change, given the relatively wide portfolio and limited staff complement, of the Unit. There are very few persons in St. Kitts and Nevis who are formally trained in climate change related fields. This limited capacity has further constrained the development of formal climate change programming. Stakeholder engagement and interaction is also done on an ad hoc basis depending on project requirements. When the Initial National Communication was being prepared, a Steering Committee was established with a mandate to review policies and programmes and provide guidance to the Government in the context of UNFCCCrelated issues. This committee comprised representatives drawn from Government, the private sector and the NGO community. However, after completion of that process, the constancy of that body waned. During the period of May 12-15, 2015, the Consultancy of Charles and Associates was undertaken with the objective of assessing climate finance readiness. It highlighted weaknesses in the existing system. These include: (i) (ii) (iii) (iv) (v) (vi) (vii) (viii) Limited institutional capacity within the Environment Unit available for overseeing day-to-day national climate change programming; Limited climate change capacity at the sector agency and national level. This results in, among others, delays in undertaking critical actions such as the preparation of National Communications; Inadequate climate change sensitivity within key government and statutory entities leading to the implementation of climate change-relevant activities exclusive of climate change considerations; Inadequate mechanisms for stakeholder engagement and information exchange at both the national and island levels; The absence of an effective mechanism for meaningfully mainstreaming climate change programmes into the national strategic framework; The absence of an institutional apparatus to access the GCF and other dedicated climate change financing mechanisms; Inexperience with developing or implementing large-scale climate projects; The inadequate level of climate change awareness and ownership at the national level;

13 PAGE 12 OF 28 Ver. 15 June 2017 (ix) The absence of well-developed project concepts that can be rapidly completed so that they may be considered for funding or for inclusion in the national planning process. Notwithstanding these challenges, the Government has appointed the Department of Economic Affairs and PSIP in the Ministry of Sustainable Development as the country s National Designated Authority (NDA) to the Green Climate Fund. This Department is well positioned as the NDA as it already carries out the economic planning function and the PSIP management and has oversight of all economic activity. However, it will have to develop stronger linkages with the climate change operational programming mechanisms in the country. In order to ensure that St. Kitts and Nevis is well positioned to access climate financing, it is important that the requisite capacity be built and that strong systems be in place, so that coordination of funds are improved, ultimately leading to attainment of national goals and objectives. The Focal Point/NDA s ability to effectively perform its GCF-related roles and responsibilities is constrained by the above-mentioned factors. This GCF Readiness proposal aims to address these underlying barriers and set the stage for future elaboration of national priorities and follow-up. This will be done through building the capacity within the office of the NDA, which has the responsibility for overall coordination of activities related to engagement with the GCF and other relevant stakeholders. The Charles and Associates assessment identified some priorities areas for GCF investment but they will need to be verified and developed further, as such this readiness proposed to develop two of those priority areas into concept notes. An ultimate output will be the development and endorsement of a Country Programme based on climate and vulnerability evidence and inclusive stakeholder engagement.

14 PAGE 13 OF 28 Ver. 15 June 2017 SECTION 4: BUDGET, PROCUREMENT, IMPLEMENTATION AND DISBURSEMENT 4.1. Budget Plan Please provide a breakdown of cost estimates and implementation schedule analysed according to the activities suggested in Section 2. Please feel free to replicate this table on Excel spreadsheet if needed. OUTCOMES (same as in section 2) 1.1 Effective coordination mechanism ACTIVITIES Conduct a gap assessment of the policy, legislative and institutional frameworks governing the NDA s operations in St. Kitts and Nevis to undertake its GCF-related roles and responsibilities Develop a Toolkit/ manual for the NDA to perform its GCF-related roles and responsibilities TOTAL COST (per activity) Consultants 6 Travel 7 COST CATEGORIES Workshops/ Trainings 8 $72,210 $47,180 $500 $19, $5,530 $72,210 EXPENDITURE AND IMPLEMENTATION SCHEDULE (add columns if >24 months) Others 9 6m 12m 18m 24m 5 Annex 1 contains Gantt chart indicating when all deliverables would be submitted 6 Consultants costs includes days work and travel, more details in the additional information section 7 All figures under this budget line involves national travel only. St. Kitts and Nevis is a twin island nation, for the purpose of participating in workshops and consultations persons will have to travel via Ferry from Nevis to St. Kitts and vice versa. 8 Workshop/trainings budget line covers workshop venue, sound equipment and catering for facilitation 9 Other budget line covers workshop materials, communication material, rapporteurs etc that may be needed for successful implementation for the activity 10 One workshop will be held on St. Kitts (approx. 40 persons, US$7,000) and one on Nevis (approx. 20 persons, US$3,000). Approximately six persons will need to travel to Nevis for the session (US$500). Facilitate realization of training workshop (US$9000).

15 2.1 Stakeholders engaged in consultative processes 2.2. Country programmes, including adaptation priorities, developed and continuously updated Elaborate an initial process for the nomination of Direct Access Entities (DAEs) seeking accreditation to the GCF Elaborate a procedure and criteria for transparently selecting readiness delivery partners Elaborate a nationally appropriate no objection procedure Deliver a 3-day training workshop to NDA personnel and selected stakeholders (including the GCF Steering Committee) on the approved toolkit and no-objection procedure Develop and implement a communication and awareness-raising strategy. Includes individual stakeholder consultations in St. Kitts and on Nevis as well as a workshop to validate and create awareness about the strategy among various stakeholders Country programme developed including a shortlist of priority projects agreed with stakeholders and approved by Cabinet. 12 $39,135 $21,635 $500 $7, $10,000 $39,135 PAGE 14 OF 28 Ver. 15 June 2017 $183,025 $160,995 $1,000 $15, $5,530 $52,653 $75,458 $54, One day workshop, approx.50 persons including from Nevis (US$4000). Logistic arrangements for awareness sessions (US$3000) 12 Includes one main consultant and several specialists. See section 4.4 for breakdown 13 One 2 days workshop for prioritization of adaptation and mitigation actions (approx. 40 persons - $7000). One 2 days workshops CPF validation (approx. 50 persons - $8500)

16 PAGE 15 OF 28 Ver. 15 June Stakeholder consultations conducted with equal representation of women Gender will be mainstreamed into all stakeholder engagement activities under this readiness project. (Costs bundled with activity 1.1) 3.1 Direct access entity s nomination Conduct a one-week training session with potential NIE vis-à-vis GCF fiduciary and operational requirements, ESS and Gender standards Undertake a gap assessment of prioritised NIE and prepare personalised action plan against the GCF accreditation standards and develop missing policies, manuals and procedures Candidate entity for GCF accreditation nominated by NDA Sub-total (Operational cost) Project management 15 6%operational cost) $60,210 $47,180 $ $7,000 $5,530 $27,445 $32,765 $354, $21, Contingency (5% of Operational Costs) $17, Subtotal 2 (operational, contingency and PM costs) DELIVERY PARTNER FEE 16 (10% OF TOTAL ACTIVITIES) TOTAL $393, $39, $432, $276,990 $2,500 $48,500 $26,590 $124,86 3 $142,03 8 $87, Travel of 2 persons from Nevis local government relevant division to participate in training for the week 15 Technical Advisor to provide technical support and oversee overall implementation for the project. Draft TOR in Annex 2 16 The delivery Partner fee will be used for activities such as overall supervision, fiduciary management, progress reporting and project evaluation

17 PAGE 16 OF 28 Ver. 15 June Procurement Plan 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. As stated in the Framework Readiness and Preparatory Support Grant agreement signed in November 2016 between the GCF and FAO, the project goods will be procured in accordance with FAO s rules, regulations and procedures, as set out in FAO s Manual Section 502 Procurement of Goods, Works and Services. The principal objective of the Organization s procurement activities is the timely acquisition of goods, works and services in a competitive and transparent manner, while ensuring fitness for purpose to meet the user s requirements, as well as the optimum combination of expected whole life benefit versus cost to procure ( Best Value for Money ). FAO s procurement procedures are intended to: promote efficiency, economy and the attainment of best value for money in the use of public funds; promote transparency, probity and accountability of public procurement FAO-wide; provide procurement best practices and procedures for application and consideration in procurement-related decision-making by all stakeholders; Such procedures are in line with United Nations international standards and fully comply with GCF requirements. No major goods or non-consulting services are foreseen under this readiness. Procurement will be mainly be in relation to workshop/training venue and organization (including transport, meals, simultaneous translations, etc.). 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 1.1. Workshops institutional strengthening $19,500 Direct Procurement February Workshops, Communication and Awareness $7,500 Direct Procurement raising April Workshops: adaptation and mitigation priorities; CPF validation $16,500 Direct Procurement July 2018, May 2019

18 PAGE 17 OF 28 Ver. 15 June Workshop, Direct Access entity training $7,500 Direct Procurement 1.1, 2.1, Stationery and workshop related $26,590 Direct 3.1 materials Procurement SUB-TOTAL (US $) $77, Consultancy Services Consultant, Institutional Strengthening $47, Consultant, Communication and awareness Consultant 2.2.1, 2.2.3, 2.2.6, 2.2.7, 2.2.8, $21,635 $83, Consultant, Climate profile $23, Consultant, Institutional, Market and Gap assessment $23, Consultant, Financial assessment $14, Consultant, Monitoring and Evaluation $17, Consultant, Direct access entities $47,180 SUB-TOTAL (US $) 276,990 Technical Advisor 18 $21, TOTAL COST (US $) $375, Open Selection process as per FAO s procedures Open Selection process as per FAO s procedures Open Selection process as per FAO s procedures Open Selection process as per FAO s procedures Open Selection process as per FAO s procedures Open Selection process as per FAO s procedures Open Selection process as per FAO s procedures Open Selection process as per FAO s procedures January 2018 April 2018 February 2018 March 2018 July 2018 July 2018 January 2019 July 2018 February All consultants under the project operations are categorized as international consultants since St. Kitts and Nevis has very limited persons with the capacity to conduct the activities 18 The procurement method for the technical advisor will be an Open Selection process as per FAO s procedures.

19 PAGE 18 OF 28 Ver. 15 June 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. Disbursement requests will be submitted in accordance with the requirements and timing set out in Clause 4 of the Framework Readiness and Preparatory Support Grant Agreement between the Green Climate Fund and FAO 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. Analogous estimation, was the costing methodology used for the goods and non-consulting services included in this proposal, they were based on the records of previous projects completed by FAO in St. Kitts and Nevis complemented with costing information provided by the Department of Economic Affairs and PSIP (NDA). For consultancy services, the daily rate and time to complete the tasks were estimated based on Three Point Estimating Method considering previous work completed in St. Kitts and Nevis commissioned by donors and development agencies with support of the St. Kitts Government. The consultancy figures include travel and DSA for the consultants , 2.2.3, 2.2.6, 2.2.7, 2.2.8, Activity Consultant Consultant Travel Totals Technical Advisor 19 Number of days Rate Sub-total 1 number of days Sub-total $36, $11,180 $47, $15, $6,635 $21, $72, $11,180 $83, $18, $5,090 $23, $18, $5,090 $23, $12,000 5 $2,545 $14, $12, $5,090 $17, $36, $11,180 $47, $21,240 2 $34.8 $21, The technical advisor would be required for the entire duration of the project. Travel is foreseen to Nevis to participate in the workshop under activity 1.1.

20 PAGE 19 OF 28 ver. 15 June 2017 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) questionnaire and submit it with this proposal. The GCF Readiness Programme will be implemented by the FAO under the guidance and leadership of the NDA. As an Accredited Entity, FAO will manage the Readiness funding and will be responsible for providing and contracting the services contained in this proposal, as well as reporting on the progress of this implementation in close coordination with the NDA (more details below). In the execution, the Readiness Project will receive technical support from a national GCF Steering Committee (to be established under Outcome 1), which will act as an advisory body to the project and be chaired by the GCF Focal Point, Director, Department of Economic Affairs and Public Sector Investment Planning. Throughout the project s implementation, the Steering Committee s role will be to discuss and deliberate on technical products, and provide technical oversight and advice to the NDA. General responsibilities will include brainstorming, review and approve TORs, and support the processes necessary for the efficient implementation of the Project. Through targeted capacity building, the functions of the committee will be strengthened to serve beyond the duration of the readiness project, resulting in a robust, inclusive and transparent coordination mechanism to identify national priorities for country programming and assist the NDA in ascertaining no-objections to funding proposals. The FAO Sub-Regional Office for the Caribbean, which is situated in Barbados will be responsible for overall execution of the project and for timely achievement of project results, under the leadership and guidance of the NDA. FAO is an accredited entity to the GCF and has extensive experience on climate change issues/projects at national and state level, which will be useful for the readiness initiative. To achieve sustainability of the project outcome, emphasis will be placed on creating systems and procedures and institutionalizing them within the NDA. The project will be implemented through a transparent, participatory and inclusive consultative process, which aims to engage all stakeholders. The key stakeholders and direct beneficiaries have been preliminarily identified as follow: The GCF NDA and her team and other Government staff and Ministries, whose capacities and means will be strengthened to facilitate access to GCF and reinforce country s efforts on climate change mitigation and adaptation. National candidate entities identified for potential accreditation to GCF. Private sector Stakeholders, including civil society, local/indigenous communities, academia and research institutions, who will be engaged in a process to establish GCF national process for selection, implementation and monitoring of proposals, to develop a GCF national country programme, and to formulate a GCF concept note(s) Other international and regional organizations The project will be led by the Government of St. Kitts and Nevis (who is the ultimate beneficiary), with the technical and operational support of FAO, as delivery partner, through FAO s Sub Regional Office Barbados, FAO s regional office for Latin America and the Caribbean (in Santiago, Chile), and the headquarters of the organisation (Rome). In this way, the project will benefit from the technical and implementation capacities of FAO at national, regional and international levels. The responsible technical unit will be the CBC division, which will provide technical assistance in close collaboration with other FAO departments, ensuring cross-sectoral expertise as

21 PAGE 20 OF 28 ver. 15 June 2017 needed. A project team focal point in St. Kitts and Nevis will be entirely dedicated to the execution of the project and to support to national counterparts will be established during the course of this project and subsequent Readiness proposals; additional technical assistance is foreseen through short missions of experts in specific technical subjects. FAO will ensure possible synergies with other countries, in relation to GCF experience and capacity building. On a day-to-day basis, the project will be implemented under the direct supervision of the budget holder, and the technical supervision of the Lead Technical Officer. FAO will create a task force, which will integrate all experts from FAO and the ministries involved in the project, both at the headquarters, at the subregional office and in the country office. The task force will be presided over by the budget holder, together with the Lead Technical Officer. The task force is a management and consulting body composed of FAO staff members with the authority and technical knowledge required to ensure efficient technical, operational and administrative management of the project. A Technical advisor, reporting to the lead technical officer, will be hired to facilitate the implementation and coordination of activities under this project as well as to maintain strong and frequent communication between the FAO and the NDA. Finally, the FAO headquarters will provide administrative support and supervision on issues such as purchasing goods internationally and presenting reports. Project implementation flow chart

22 PAGE 21 OF 28 ver. 15 June 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. ADDRESSING ANY POSSIBLE CONFLICTS OF INTEREST FAO has been identified as the delivery partner for the Readiness programme, but is also an Accredited Entity (AE) of the Fund. There may, therefore, be possible conflict of interests in its role as an AE with activities under this proposal relating to prioritization of investments and projects to be developed. In this regard, in accordance to Board Decision GCF/B.06/07 on Country Ownership, the NDA of St. Kitts and Nevis will be responsible for country coordination and multi-stakeholder engagement to provide inputs to the development of national priorities, and has identified the following mechanisms to manage this conflict of interest: The prioritization of investments and projects to be developed will be made through a broad consultation process with relevant stakeholders, including other potential implementing entities for St. Kitts and Nevis; The final validation of these priorities will be carried out in a GCF National Committee " chaired by the NDA, to ensure chosen priorities are aligned with national plans and strategies and includes the inputs from consulted stakeholders. RISK MANAGEMENT The potential risks that the project could face are: Limited institutional coordination and/or limited time by key officials to devote to the project: the work plan will clarify roles and responsibilities, so as to clarify the timeframe and capacities required for successful implementation of the project. Certain national development policies in conflict with climate change objectives: the development of the GCF country programme will be done through a multi stakeholder consultative process that will consider and align to existing national strategies and policies. Delays linked to the need to provide enough time and space for consultation processes, especially in the case of conflicts linked to a lack of understanding regarding climate change issues, excessively high expectations, or conflicts of interest in the choice of the climate change actions: consultations and workshops will be organised seeking synergies with other ongoing process, so as to get the maximum of each gathering and use efficiently the time and resources. In case of more difficult discussions, targeted sessions will be organised with facilitation experts Limited capacities of staff of the various Ministries involved in the implementation of the project: technical advisor would provide overall support to the NDA for implementation of the Project. SUSTAINABILITY OF THE OUTOMES Environmental sustainability The activities put forward within this proposal are in line with the country s efforts to contribute to the national response to climate change, and promote a low-emission and climate-resilient development, including to enhance environmental sustainability. All activities will be implemented under that principle, and environmental safeguards will be considered when planning and/or carrying out all activities, particularly when formulating the GCF country programme and readiness interventions.

23 PAGE 22 OF 28 ver. 15 June 2017 Gender equality As specified in the GCF proposal, the specific needs, priorities, and concerns of women and men will be taken into account and supported during the implementation of this proposal. The active participation of women in the consultation and decision-making processes will be promoted and mainstreamed to ensure equitable participation between men and women, so that both contribute and benefit from the outcomes of the project. Development of abilities The development of capacities (of all stakeholders, public and private), through trainings and awareness raising sessions is an integral and crucial part of the project activities and essential to achieve the desired outcomes and ensure their sustainability. At the end of the project, country actors will have reinforced substantially their capacities to engage with the GCF and efficiently deploy its funding. FAO COMPARATIVE ADVANTAGE FAO is key international agency for climate change adaptation and mitigation interventions in agricultural, forestry, fisheries, landscape and other related sectors. FAO also has considerable expertise on GHG related statistics and measurements as well as international climate change processes. FAO is therefore well placed to provide the NDA with the needed readiness support activities that have been outlined in this document. In particular: FAO has a broad mandate, which covers multiple disciplines and sectors (agricultural crops, livestock, forest management, fisheries, climate change, management of natural resources, legal and policy frameworks, etc.), shall allow the provision of a holistic and multi-sectorial support towards identifying the priorities on climate change adaption and mitigation, and benefit from the advice of technical experts from different technical areas. FAO has renowned experience in developing and reinforcing countries technical capacities, particularly considering institutional needs, as well as in promoting and facilitating dialogue, consultation and consensus processes with multiple stakeholders. FAO has also large experience in supporting climate change adaptation (e.g. Mitigation of Climate change in Agriculture (MICCA) programme; Adapting irrigation to climate change (AICCA) project ), and in Climate smart agriculture (CSA). Additional information on FAO s work on climate change is available here: For decades, the FAO has been supporting many countries in the development of monitoring systems, with the aim of generating information and data needed for international reporting and improving the policies, planning, and management.

24 PAGE 23 OF 28 ver. 15 June 2017 Annex 1 Implementation Schedule of outcomes and activities (Gantt Chart) Outcomes Activities Anticipated Duration: January 2018 June 2019 Monthly Implementation Plan Country Capacity Strengthened 1.1. Effective coordination mechanism Conduct a gap assessment of the policy, legislative and institutional frameworks governing the NDA s operations in St. Kitts and Nevis to undertake its GCF-related roles and responsibilities. Deliverable: stocktake report on NDA capacities, including approved ToR for GCF Steering Committee Develop a Toolkit/ Manual containing operational guidelines for the NDA to perform its GCF-related roles and responsibilities Deliverable: Toolkit/manual for NDA operations Elaborate a procedure and criteria for transparently selecting readiness delivery partners. Deliverable: Procedure for the selection of Readiness Delivery Partners Elaborate a nationally appropriate no-objection procedure, to review and issue no-objection letters for funding proposals/ concept notes received from Accredited Entities (AEs). Deliverable: No-objection procedure Elaborate an initial process for the nomination of Direct Access Entities (DAEs) seeking accreditation to the GCF. Deliverable: Guidelines for nomination of DAEs.