with Organisation of Eastern States (OECS) Commission for and , , , and , 29 December 2019 | Entity Support & Strategic Frameworks

Programme title: Improving Eastern Caribbean Engagement with the Green Climate Fund OECS Member States Party to the UNFCC and the Paris Agreement: Country: , of Dominica, Grenada, Saint Lucia, and and the Grenadines NDAs of Antigua and Barbuda, Commonwealth of Dominica, Grenada, National designated authority: Saint Lucia, Saint Kitts and Nevis

Implementing Institution: Organisation of Eastern Caribbean States (OECS) Commission

Date of first submission: 31 2017

Date of current submission / 5th December 2019 version number Readiness and Preparatory Support Page 2 of 18

How to complete this document?

- Please visit the Empowering Countries page of the GCF website to download the Readiness Guidebook and learn how to access funding under the GCF Readiness and Preparatory Support Programme. - This document should be completed by National Designated Authorities (NDA) or focal points with support from their Delivery Partners where relevant. Once completed, this document should be submitted to the GCF by the NDA or focal point to [email protected]. - Please be concise. If you need to include any additional information, please attach it to the proposal. - If the Delivery Partner implementing the Readiness support is not a GCF Accredited Entity for project Funding Proposals, please complete the Financial Management Capacity Assessment (FMCA) questionnaire and submit it prior to or with this Readiness proposal. The FMCA is available for download at the Library page of the GCF website.

Where to get support?

- If you are not sure how to complete this document, or require support, please send an e-mail to [email protected]. - You can also complete as much of this document as you can and then send it to [email protected], copying both the Readiness Delivery Partner and the relevant GCF Country Dialogue Specialist and Regional Advisor. Please refer to the Country Profiles page of the GCF website to identify the relevant GCF Country Dialogue Specialist and Regional Advisor. - We will get back to you within five (5) working days to acknowledge receipt of your submission and discuss 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 Annex IV of the Readiness Guidebook for more information.

Please submit the completed form to: [email protected]

Please use the following naming convention for the file name: “GCF Readiness Proposal-[OECS]-[190530]”

Readiness and Preparatory Support Page 3 of 18

SUMMARY Country name: Antigua and Barbuda, St.

Kitts and Nevis, Grenada and Saint Lucia Readiness and Preparatory Support Page 4 of 18

Name of institution representing NDA or Focal Point:

ANTIGUA & BARBUDA Mrs. Dianne Black-Layne Director Department of Environment Ministry of Health & the Environment Botanical Gardens, Factory St. John's, Antigua Tel. +1.268.462.4625 or +1.268.562.2568 E-mail: [email protected]

SAINT KITTS AND NEVIS Ms. Lavern Queeley Senior Director Department of Economic Affairs and PSIP Ministry of Sustainable Development Bladen's Commercial Development Wellington Road Tel: 869-467-1255 Country Fax: 869-466-7398 submitting the proposal Email: [email protected]

DOMINICA Mr. Samuel Carrette Chief Development Planner Ministry of Finance E-mail: [email protected]

GRENADA Ms. Isha Abraham Deputy Permanent Secretary Department of Economic & Technical Cooperation Ministry of Finance, Planning, Economic Development & Physical Development Financial Complex, Carenage St. Georges, Grenada E-mail: [email protected]

SAINT LUCIA Mr. Claudius Emmanuel Permanent Secretary Department of Economic Development, Transport and Civil Aviation Readiness and Preparatory Support Page 5 of 18

Finance Administrative Centre Pointe Seraphine, Saint Lucia E-mail: [email protected]

Date of initial 31 October 2017 submission Last date of 12 2019 Version number V.## resubmission

☐ National designated authority ☐ Accredited entity ☒ Delivery partner

Organisation of Eastern Caribbean States (OECS) Mr. Chamberlain Emmanuel

Which institution Head, Environmental Sustainability will implement the Cluster Readiness and Telephone number: 758-455-6300/6327 Preparatory Support project? Email: [email protected] Full office address: P. O. Box 179 Morne Fortune Castries SAINT LUCIA

Title of the Readiness Improving Eastern Caribbean engagement with the Green Climate Fund support proposal

Please select the relevant GCF Readiness activity below (click on the box):

☒ I. Country capacity for engagement with GCF Type of ☐ II. Country programming process Readiness ☒ III. Direct access to climate finance support sought ☐ IV. Climate finance accessed ☐ V. Formulation of national adaptation planning and/or other adaptation planning processes Readiness and Preparatory Support Page 6 of 18

The six Member States of the OECS which are party to the Framework Convention on Climate Change (UNFCCC) and the Paris Agreement (PA) are at various stages in their GCF respective readiness processes. Antigua and Barbuda, Grenada and Dominica have already secured GCF funding for concrete project activities through the project “Integrated physical adaptation and community resilience through an enhanced direct access pilot in the public, private, and civil society sectors of three Eastern Caribbean small developing states”. Nevertheless, the Member States face some common challenges, including with regard to project development, data and information and public-private engagement as well as inclusion of women.

The OECS Commission is seeking to support all of these Member States in accessing the Green Climate Fund, Antigua and Barbuda, Grenada, Dominica, Saint Kitts and Nevis, Saint Lucia and St, Vincent and the Grenadines. This request will begin to address some of the issues pertaining to project development; data and information Brief summary of gaps; public-private engagement; facilitate and support the participation of non-state the request stakeholders in project identification and development and address previously-identified fiduciary and related gaps within the Commission. We will therefore be working with entities including ministries, non-governmental organisations, private sector, among others.

This request is particularly timely, given that countries are in the process of trying to mobilise resources to implement their respective NDCs and have recognised the need to engage the private sector and civil society. Member States are also in the process of reviewing and updating their NDCs and this initiative is well timed to realise synergies with the updated NDCs.

Successfully realising the key deliverables under this request will enable Member States to more effectively identify and include private sector considerations and adaptation synergies into their GCF proposals thereby making these proposals more robust, while also laying the groundwork for enhanced implementation, monitoring and reporting.

Total requested USD $493,880 Anticipated duration 18 months amount and currency Readiness and Preparatory Support Page 7 of 18

☒ Yes

☐ No

The OECS Commission has previously received readiness support, through the of Antigua & Barbuda, Dominica, Grenada and Saint Lucia to pursue accreditation as an accredited entity. The Commission has also received additional funding from these governments to identify gaps Environmental and Social Safeguards and Gender policies Has the country received or is expecting to (ESS and Gender). The OECS Member States who will receive other Readiness and Preparatory benefit from this readiness, have also received national level Support funding allocations (including adaptation planning) from GCF or other readiness support to commence the process of addressing donors? some of the barriers to successful implementation of GCF funded activities. Specifically, for Saint Lucia, its initial readiness seeks to strengthen the institutional arrangements in Saint Lucia to ensure the efficient, effective and transparent use of climate finance leading to concrete adaptation and mitigation interventions that can lead to transformative and impactful results. This readiness will also build on the readiness work in Grenada and Saint Vincent and the Grenadines. In all the countries, this readiness will also build on the work currently being undertaken by laying the foundation for engaging the private sector in adaptation and mitigation activities and accessing climate finance.

BACKGROUND

The OECS Commission is endeavouring to support Member States in their efforts to access GCF finance by strengthening the ability of the OECS Commission to support countries. The 4th Council of Ministers on Environmental Sustainability (COMES4, 2017), inter alia: “encouraged Member States, in collaboration with the OECS Commission, to explore opportunities for formulating an integrated OECS climate finance strategy and the establishment of a regional framework for Climate financing...” and “mandated the OECS Commission to “explore opportunities for securing such human, financial and material resources as may be necessary, to enable the Commission to effectively enhance climate finance access in the region to implement the Convention and the Paris Agreement.” The OECS Commission proposes to assist the OECS member States of Antigua and Barbuda, Dominica, Grenada, St. Kitts and Nevis, St. Vincent and the Grenadines and Saint Lucia, to: (i) build upon the work and recommendations of the GCF Study titled “Climate Change Adaptation in the Caribbean“.; (ii) enhance Private Sector engagement at all levels of the project cycle in climate finance implementation activities in the Eastern Caribbean; and (iii) support accreditation of nominated national direct access accredited entities in the OECS by undertaking activities recommended in the PWC Gap Assessment conducted for the OECS Commission. 1. Addressing Common Barriers to Adaptation Action The recently-completed GCF study entitled “Climate Change Adaptation in the Caribbean” assessed the substantial investment options and also developed a preliminary pipeline of project recommendations. This study aimed to set forth a path towards reducing the risk of damage or loss of the island nations in the Caribbean region and increase their adaptive capacity to climate change, including the region’s resilience to severe weather events, such as those experienced during the 2017 Atlantic Hurricane Season. In that regard, the Study compiled information and analysed information for climate change adaptation recommendations for each country related to power, water, and telecommunication utility infrastructures based on their heightened risk due to climate change consequences. Readiness and Preparatory Support Page 8 of 18

• The study notes that “Data gaps are still substantial and many of them should be addressed before making decisions at the portfolio level.” “Further work must be done together with local stakeholders to structure and analyse all relevant data at a more detailed level”. “Climate adaptation is still a work in progress and there is not yet a well-established knowledge framework as in many other areas”. Finally that “Information on investment options and priorities is still being developed.” On infrastructure interdependencies the study notes that “infrastructure interdependency has become a potential cause of failure itself and these must be fully understood in order to propose appropriate adaptation measures that increase resilience of the infrastructure sectors”. Infrastructure interdependencies have been identified in the study as a major area for research and one that needs increased awareness and attention within the Caribbean’s infrastructure sectors. It also specifies the need to identify key interdependencies and vulnerabilities within and between the three infrastructure sectors ( water, power and telecommunication) before cross sector solutions can be developed. The study also identifies the need to put in place a public adaptation platform which can facilitate discussion and raise awareness on the need to invest in adaptation measures between industry, government and other national stakeholders. The study notes that “Such a public tool could be used to receive public feedback already at an early project stage to build up a broad and solid ownership. Creativity and public know how could be captured by a tool that is publicly accessible and used by the population.” Effectively addressing the foregoing observations and recommendations will, among others, contribute greatly to improving the enabling environment for project pipeline development. In light thereof the region, the OECS Commission seeks, through this readiness proposal, GCF resources to support adaptation action at the national and regional levels through the following actions: 1. Identify key data gaps with respect to adaptation and elaborate an inclusive strategy to address these at the national and regional levels. 2. Identify key interdependencies and vulnerabilities within and between the Water, Power and Telecommunications sectors and identify cross-sector solutions and; 3. Develop a blueprint/proposal for a regional public-private platform to (i) share and discuss climate investment opportunities and to capture and disseminate related information; (ii) assist in the visualisation of risks and an overview of critical infrastructure assets might be useful and (iii) facilitate the exchange of information about risk mitigation and risk transfer opportunities, related knowledge management, stakeholder engagement and transparency. This blueprint should be accompanied by a proposal for a related outreach and engagement programme. This public-private platform will address both adaptation and mitigation actions in order that it may also be responsive to the NDCs. 4. It is anticipated that outputs of the foregoing actions can be considered for further implementation by the Member States once the readiness activities are completed. 2. Private Sector Engagement Strategy The OECS Commission recognises the valuable contribution that the private sector can make to its programmes through targeted participation and strategic partnerships, in particular, towards implementing Protocol Article 24 of the Revised Treaty of – that is, the St. Georges Declaration of Principles of Environmental Sustainability, including: . Goal 2 - Incorporate the Objectives, Perspectives, Resources and Talents of all of Society in Environmental Management; . Principle 5 - Ensure Meaningful Participation by the Private Sector. Many private sector entities including at national, regional, and international levels exist and operate in the Caribbean region. Given the multitude of actors, the OECS recognises that it requires an effective and efficient process to determine how it can engage the private sector in the delivery of its programmes and projects, specifically those related to environmental management and sustainable development. The Commission recognises that the private sector in the region has an untapped potential that can be harnessed in the quest for building resilience and achieving its sustainable development goals. In addition, private sector has approached the OECS Commission to express interest in collaborating, which signals the need for a clear process and criteria to guide the development of such partnerships and to ensure that the private sector can effectively contribute to the delivery of the Commission’s mandates and sustainable development overall in the region. The need for engagement of the private sector came out strongly from the first Nationally Determined Contribution (NDC) Readiness and Preparatory Support Page 9 of 18

Forum which took place in Saint Lucia in 2018 and which was a mandate issued by the 4th and 5th Meetings of the Council of Ministers for Environmental Sustainability (COMES). In light of this, the OECS Commission is pursuing efforts to realise this goal and as it views private sector involvement as pivotal to supporting the approved Enhanced Direct Access Project on “Integrated physical adaptation and community resilience through an enhanced direct access pilot in the public, private, and civil society sectors of three Eastern Caribbean small island developing states” which benefits three of the OECS Member States. The efforts of the OECS Commission through this readiness will utilize the information produce through the private sector readiness work for CARICOM States currently being spearheaded by Jamaica. The OECS commission proposes the activities under outcome 2 of this readiness as its contribution to building of the sub-regions efforts towards increased engagement with the Private Sector.

3. Pre-Accreditation Support to OECS Commission The OECS Commission has been nominated by NDAs in the sub-region to be accredited to the GCF as a direct access entity The OECS Commission accessed USD $30,209 from Antigua and Barbuda in 2017 for pre- accreditation support from PricewaterhouseCoopers and USD $95,000, from Saint Lucia in 2018 for ESS and Gender capacity-building support which is currently ongoing. This readiness proposal also seeks to be responsive to the gaps identified by the PwC gap assessment, notwithstanding, these activities are not intended to prejudge the outcome of the OECS accreditation process. In the event that the OECS Commission is not successful in the accreditation process, addressing the gaps identified in this readiness proposal will further strengthen the ability of the sub-regional organization to meet the various mandates handed down by its Member States. While some of the gaps identified are being addressed internally, though other funding sources it is proposed that the GCF readiness resources address the activities identified under outcomes 3 of this proposal.

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3. LOGICAL FRAMEWORK AND IMPLEMENTATION SCHEDULE

Anticipated duration: 18 months Baseline Activities2 Outcomes Targets 3 1 (brief description and deliverables) Monthly implementation plan of activities

1 1 2 3 4 5 6 7 8 9 10 11 13 14 15 16 17 18 19 2

2. Country Sub-outcome 2.1. The OECS Commission is endeavouring to support Member States in their efforts to access Programming Country GCF finance, by building upon the work and recommendations of the GCF Study titled “Climate Process Programme for Change Adaptation in the Caribbean and simultaneously the review and update of the St. Climate Finance George’s Declaration of Principles for Environmental Sustainability in the OECS; These Developed activities are intended to support future project development in the OECS sub-region. across the climate finance Activity 2.1.1: landscape Establish a regional public-private platform platform to i) share and discuss climate investment opportunities and to capture and disseminate related information; ii) assist in the visualisation of 1 2 risks and an overview of critical infrastructure assets iii) facilitate the exchange of information X about risk mitigation and risk transfer opportunities, related knowledge management, (gender- considerate) stakeholder engagement and transparency. This blueprint should be accompanied by a proposal for a related outreach and engagement programme. The platform can eventually be utilized for all projects whether adaptation or mitigation orientedMember States are currently endeavouring to implement their NDC which are also undergoing review and updating. This initiative will therefore assist countries to be better able to access climate finance that can assist in NDC implementation. Deliverables: (a) Validated ToR for the platform and work plan (b) Outreach and engagement action plan developed (c) Reports of consultations/workshops held, including list of participants and materials Activity 2.1.2: Identify key interdependencies and vulnerabilities within and between the Water, Power and Telecommunications sectors and identify cross-sectorial solutions to be pursued by OECS, in association with MS. 1 2 Deliverable 2.1.2: X a. Report identifying key interdependencies and vulnerabilities within and between the Water, Power and Telecommunications sectors and identify cross-sectorial solutions proposed (Month 7) b. Reports of consultations/workshops held, including list of participants and materials Activity 2.1.3: Identify key data gaps with respect to adaptation and elaborate an inclusive strategy to address these at the national and regional levels, to be pursued by OECS in collaboration with MS X Deliverable 2.1.3: Report identifying key data gaps with respect to adaptation and elaborating an inclusive strategy to address these at the national and regional levels.( Month 7) Sub-Outcome In order to ensure that there is country ownership of the activities articulated in this readiness 2.3: Stakeholder 0 1 programme, the OECS Commission will engage stakeholders (governments, private sector, X X X X Engagement

1 For baselines rated at 1 or 2, please shortly elaborate on current baselines on which the proposed activities can be built on, processes that are in place that the current Readiness proposal can strengthen, or any gaps that the proposed activities would fill in. If more space is needed, please elaborate this in Section 2. 2 Please include tangible and specific deliverables for each activity proposed, and the timeframe (month number) in which it will be delivered to GCF. Please note that during implementation all deliverables should be included within the implementation reports for GCF consideration. 3 If the duration of the proposal is longer than 24 months, please change the monthly columns to indicate 2 or 3 months each (e.g. change month “1” to month “1-2’ or “1-3”). Readiness and Preparatory Support Page 11 of 18

Consultative Associations as well as individual private sector agencies and civil society organisations. These Process consultations will seek to ensure gender equitable participation. Activity 2.3.1: Conduct (4) stakeholder consultations/workshops over the duration of implementation of the readiness (months 2, 5,8, 12)to; provide information on the objectives and components of the readiness (month 2); generate input for the outputs outputs under activity 2.3.2 under outcome 2 of this readiness proposal (month 8) and present final products for endorsement by stakeholders (month 12). Deliverable 2.3.1: a. Stakeholder workshops and associated deliverables b. Reports of consultations/workshops held, including list of participants and materials 3. Direct Access to Sub-Outcome The OECS Commission has been nominated for Accreditation, and received pre-accreditation Climate Finance 3.2: support for a PwC gap assessment. This sub-outcome area and associated activities seeks to Accreditation of implement some of the recommendations emanating from the Gap Assessment, which address, direct access inter ala, Project Management, M&E and Legal issues. In particular, the following activities are entity proposed:

Activity 3.2.1: Develop a suite of documents in response to the gaps identified by PwC; (a) Develop Project-at-Risk Management system ; (b) Develop Monitoring and Evaluation Procedure for inclusion in the project management cycle guidelines; (c) Develop procedures and formats for periodic reporting/publishing of status of project implementation of approved funding proposals to be included in the project management cycle guidelines; (d) Develop Project Closure Policy for the OECS; 1 2 (e) Develop a paper on the exit procedure for inclusion in the updated guidelines; X (f) Develop comprehensive project appraisal process into the updated guidelines which will include climate change aspects in project preparation along with a wider definition of social consideration and including form on environmental, social and climate change aspects into the appraisal project. (g) Develop Evaluation disclosure policy (h) Develop guidelines for Project-at-risk management System (i) Update Fraud Policy to include anti-terrorist financing, whistleblower protection, provision for reporting fraud and financial mismanagement (j) Updating Audit Committee TORs to include termination of appointed members; appointment of an Ethics Committees with TORs

Deliverable 3.2.1: Report abd suite of policies, procedures and guidelines listed under Activity 3.2.1 developed.

Activity 3.2.2: Develop training modules for Leadership and Technical personnel across the organisation to include virtual learning tools (e.g. e-tutorials and e-manuals) on the suite of procedures, policies and guidelines developed under activity 3.2.1 0 1 X Deliverable 3.2.2: Training modules on the suite of procedures, policies and guidelines under activity 3.2.1 developed

Activity 3.2.3: Conduct training workshops on the suite of procedures, policies and guidelines develop under activity 3.2.1 for OECS staff members.

Deliverable 3.2.3: i. Three (3) training workshops for OECS the 155 staff of the OECS x Commission including staff from Overseas Missions. ii. Workshop reports including participants’ list and materials 4. Climate 4.3 Concept Note Deliverable 4.3: CN developed for 1 prioritized cross-sectorial solution identified from activity Finance Strategies Development 2.1.2 and project 0 1 X pipeline strengthened Readiness and Preparatory Support Page 12 of 18

4. Climate Finance Sub-outcome 4.5 The OECS Commission seeks to develop a framework strategy and implementation plan to Strategies and Private Sector engage Civil Society (NGOs, CBOs and private sector, including women. It is intended to develop project pipeline Engagement the private sector engagement component of the strategy under this readiness proposal to allow strengthened Civil Society Oorganisations (CSOs) to contribute meaningfully to OECS environment and sustainable development mandates. This will build on the stakeholder consultations conducted under activity 2.3.1 of this readiness proposal. This activity will be conducted taking into consideration the efforts, lessons learnt and results derived by Jamaica in the Regional Readiness proposal approved and under implementation to support and involve the private sector. The strategy and IP will provide a robust basis for engagement with the private sector by 1 2 both the OECS and MS.

Activity 4.5.1: Private Sector consultations to support for the development of a Private Sector Engagement Strategy and implementation plan developed X . Deliverable 4.5.1: a. Report of engagement process showing the involvement of private sector the in development of strategy and implementation plan. (Month 12) b. Reports of consultations/workshops held, including list of participants and materials

Activity 4.5.2: Development of a Private Sector Engagement Strategy and implementation Plan highlighting points of implementation, evaluation and updating. The IP will be shared with MS and its implementation will be led by the OECS Commission, working in partnership with the MS. The IP will be updated, as needed through a process overseen by the OECS. Deliverable 4.5.2 a. Private Sector Engagement Strategy and Implementation Plan developed (Month 12) b. Reports of consultations/workshops held, including list of participants and materials 0 1 X Activity 4.5.3 a. Conduct a baseline assessment of the Dominica Private Sector b. Conduct a baseline assessrnent of the Dominica NGO community4

Deliverable 4.5.3 a. Baseline assessment of the Dominica Private Sector developed IMonth 12) b. Baseline assessrnent of the Dominica NGO community developed (Month 12)

4 The Commonwealth of Dominica specifically requested this support as a condition for support to the OECS regional readiness. The NDA felt that this more targeted approach would be supported by the region-wide lessons learnt which Dominica could benefit from in the implementation of the Regional CSO readiness. For this reason, Dominica did not provide support to the CSO readiness as it did not anticipate specific in-country support from the CSO readiness, having provided support to OECS for specific in-country support Readiness and Preparatory Support Page 13 of 18

4. ADDITIONAL INFORMATION (ONLY FOR ADAPTATION PLANNING SUPPORT)

This section is only to be completed when seeking support for formulation of national adaptation plans and/or other adaptation planning processes. Please see Part 3 Section 4 in the Readiness Guidebook and please limit to maximum of 500 words.

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5. BUDGET, PROCUREMENT, IMPLEMENTATION, AND DISBURSEMENT

5.1 Budget plan Please complete the Budget Plan in Excel using the template available in the Library page of the GCF website.

5.2 Procurement plan Please complete the Procurement Plan in Excel using the template available in the Library page of the GCF website. 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 and provide a full procurement plan for the entire duration of the implementation period if available at this stage.

5.3 Disbursement schedule Please specify the proposed schedule for requesting disbursements from the GCF. For periodicity, specify whether it’s quarterly, bi-annually or annually only.

Please choose one option among the two below and delete the one that does not apply to you. Please fill in information under brackets:

☐ Readiness Proposal that falls within a Framework Agreement with the GCF Disbursements will be made in accordance to [Clause xx] “Disbursement of Grants” and [Clause xx] “Use of Grant Proceeds by the Delivery Partner” of the Framework Readiness and Preparatory Support Grant Agreement entered into between GCF and OECS on Click or tap to enter a date. The Delivery Partner is entitled to submit [number] request(s) for disbursement each .

☒ Readiness Proposal that requires a bilateral Grant Agreement to be signed with the GCF (please add more disbursement as needed) • The first disbursement US$250,000.00 will be transferred upon approval of the readiness request and effectiveness of the Grant Agreement; • The second disbursement amounting USD 172,670.00 will be transferred upon submission of two progress reports [1 after 6 months of project implementation and 1 after 12 months of project implementation] [and audited financial report] , in form and substance acceptable to the Fund, [including an audited expenditure statement]; and • The third disbursement amounting USD USD71,210.00 will be made upon submission of a completion report and financial report, in form and substance acceptable to the Fund, including an audited expenditure statement.

Please include an indicative disbursement table showing the expected amounts to be requested and keep to multiples of USD 5,000.

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6. IMPLEMENTATION ARRANGEMENTS AND OTHER INFORMATION

6.1 Implementation map Please describe how funds will be managed by the NDA and/or the Readiness Delivery Partner.

The readiness funds received will be managed by the Organisation of Eastern Caribbean States (OECS) Commission through its Accounts Department under the leadership and guidance of the NDAs for Antigua & Barbuda, Dominica, Grenada, St. Kitts and Nevis, Saint Lucia and Saint Vincent and the Grenadines. As such all UNFCCC OECS Member States will benefit from the proposed activities. In this regard, support has been received from NDA Member States, as follows:

1. Antigua and Barbuda - US$100,000.00 2. Dominica - US$100,000.00 3. Grenada - US$100,000.00 4. Saint Kitts and Nevis - $100,000.00 5. Saint Lucia - US$100,000.00

The OECS Commission will open a separate bank account in order to mange the readiness grant proceeds.

The OECS Commission, in consultation with the respective NDAs, will be responsible for overall implementation of the project and for timely achievement of results. Two OECS staff members will be involved in the day-to-day implementation of this initiative. The Programme Coordinator for Climate Change and Disaster Risk Management (PC-CCDRM) within the Environmental Sustainability Cluster (ESC) will have direct long-term oversight responsibility and will be supported by a Programme Officer. Support will be provided by a Project Support Team comprising a Procurement Officer, a Finance Officer, a Monitoring and Evaluation Officer and the ESC Project Oversight Team. These staff members will assist with the procurement of goods and services; disbursements and financial management and monitoring and evaluation, respectively. Further support will be provided by the Legal Department, as needed.

Throughout the project, a short-term project manager shall have direct day-to-day managerial responsibility, under the supervision of the PC-CCDRM and with the Project Support Team. The project manager will also liaise with respective NDAs, as needed. To ensure country ownership, engagement and participation, the NDAs of the six participating Member States will serve as a regional project advisory committee (PAC) and will be engaged and updated on a regular basis. The Project Support Team and the project manager will also liaise with the GCF as needed.

The project implementation team will be based at the OECS Commission offices in Saint Lucia and will work closely with the Saint Lucia NDA. This will facilitate knowledge-sharing and capacity-building within both entities.

The start date for project implementation will be in accordance with the grant agreement to be entered into between the grant recipient and the GCF or UNOPS as agent for the GCF and from that date, the end date of implementation will be calculated taking into account the total duration of the project as presented in the approved proposal.

The OECS Commission affirms compliance with the standard terms and conditions for GCF readiness grants: - The OECS Commission will open a designated Separate Bank Account for the GCF grant and readiness resources will not be be co-mingled with other funds; - The GCF grants will be strictly spent for GCF program/project related activities; - No direct or indirect cost of other program/project activities will be borne or incurred with the GCF grant funds; - No arrear or outstanding payments of OECS Commission will be made from the GCF grant funds; and OECS Commission will conduct periodic (at least yearly ) internal audits. Readiness and Preparatory Support Page 16 of 18

Flow of funds

Flow of information

NDAs/PAC

Project Oversight Team (ESC-OECS) Project Management Team-OECS GCF Secretariat (Finance, Legal, M& E, Procurement)

Any physical assets, such as computers, shall remain the property of the OECS Commission, upon completion of the activities. Knowledge/intellectual products developed for use by citizens and/or governments of beneficiary countries shall, as needed, be shared with stakeholders. In addition, these products will be made accessible on the OECS Commission’s website. Knowledge products will be reviewed and, as appropriate, updated, in keeping with standard OECS practice.

A monitoring and evaluation (M&E) plan will be developed and implemented. This will be developed with the M&E Unit and will identify key results, indicators, targets and means of verification. M&E will be undertaken as part of the Commission's regular project M&E process, as well as on a targeted basis, to ensure implementation within agreed timeline, budget and other agreed parameters.

The OECS was established in 1981 through the Treaty of Basseterre (Revised Treaty, 2010). It has a robust record of regional integration and functional cooperation in a wide range of areas such as trade; environmental management; free movement of people goods and services; education; health; youth issues and sports. With mandates from Heads of Government and Environment Ministers, respectively, to address climate change and related finance and with its effective and responsive mode of operation, the OECS Commission is best placed to serve as the delivery partner for this initiative. As previously indicated, the Commission has worked with, and received readiness support from three Member States. The receipt of additional support from those, as well as two other, Member States, indicates the level of confidence in its ability as a delivery partner that will respond directly to the needs of eligible countries in the OECS region.

6.2 Risks, monitoring and evaluation (M&E), and other relevant information

Risk Category Specific Risk Likelihood of Impact Level Entity Mitigation Occurrence (Low, Managing Risk Action Medium, High) Procurement Outsourcing Low Medium OECS,Member To the extent Risk delays or States (MS) possible, deliverables not providers with a met as a result robust track of lack of record for vendor and procurement Readiness and Preparatory Support Page 17 of 18

supply and delivery will availability be engaged. Under- Low Medium OECS, MS Undertake costing/over- detailed and costing of proper costings activities to reflect adequately in the project budget. Engage, to the extent possible, providers with a robust track record. Review previous proposals with similar activities to gauge the appropriate costs. Schedule Risk Delays in Moderate Medium OECS, MS To minimise implementation, delays, the disbursements OECS will: and reporting ensure that schedules are as realistic as possible, identify and plan for potential delays, ensure regular monitoring of implementation timelines, establish and ensure regular meetings of an oversight team consisting of representatives of the internal units responsible for, inter alia, finance, procurement, and project management, to ensure timely procurement, implementation, disbursement and reporting. The OECS Commission will also seek to Readiness and Preparatory Support Page 18 of 18

engage in non- cost activities prior to the start of the costed activities with deliverables to save time. Force-Majeure Natural Medium Medium-High OECS, MS Where there is disaster, significant conflict disruption, e.g, as in a severe hurricane, activities may have to be halted in one or more MS and rescheduled to when operations may be resumed. Human Delays in Medium Medium OECS, MS Staggering of Capacity recruiting activities will Deficits consultants help to reduce delays. OECS Commission will also look to its networks of consultants as well as the DCAP pilot to support identification of consultants.

The project will have one authorized source of funding (GCF)". This reduces the risk of money laundering and money from other illegal activities.Significant outflows of funds from the project will be through the procurement of consultancies etc. The OECS Commission has developed, implemented and complies with a rigorous procurement process. All disbursements to consultancies are evaluated and vetted through this process to ensure the prospective vendors are authentic and competent in their area of expertise. This reduces the risk of corruption, terrorist financing, and illegal activities from the use of OECS funds. The organisation’s evaluation process prior to the issuance of contracts and continued monitoring of the contracts confirms its commitment to effective due diligence on all its vendors. Readiness Grant Budget Preparation Guidelines

The following considerations are important when completing the budget: 1. Before preparing the Readiness and PPF budget, please read the full guidance on our website (https://www.greenclimate.fund/how-we-work/empowering-countries). 2. You can select the appropriate budget categories from the dropdown list in the budget plan: 3. To insert additional rows, right click on the row number below where you wish to insert the new row and choose INSERT. 4. Additional budget categories may be added by manually typing them on the Budget Category sheet. :

Project Management Cost: Project management costs (PMC) are the direct administrative costs incurred to execute a project. They should cover only incremental costs incurred due to the GCF contribution. In most cases, these costs are directly related to the support of a dedicated project management unit (PMU) which manages the day to day execution related activities of the project.

General Principles for PMC costs: 1. The percentage of PMC financed by GCF should not be more than the percentage share of the overall budget financed by GCF 2. PMC budget thresholds: Up to 7.5 per cent of total activity budget. > PMC exceeding 7.5 per cent for the readiness (including NAPs) proposals, and PPF proposals, up to $ 3 million will require detailed documentation and justification supporting the entire PMC budget. > The PMC should be shown as a separate component in the project budget. A detailed breakdown of PMC should be provided by budget category. > Indicative list of eligible project management costs: > Project staffing and consultants: Project manager, Project Assistant, Procurement personnel, Finance personnel & Support/admin. Personnel > Other direct costs: Office equipment, Mission related travel cost of the PMU, Project management systems and information technology, Office supplies, Audit cost

Contingency : 1. Select the appropriate % of Contingency Budget from the dropdown list :

2. Contingency budget for unforeseen costs arising during the project implementation should not be included in the outcome budget separately. 3. Contingency budget must be used for any unforeseen programme (output level) cost that is unrelated to implementation/service fee. 4. Any use of contingency must be reported to and agreed by the GCF Secretariat in writing in advance provided with justifications that are acceptable to the GCF 5. If you get to the end of the project and you haven’t spent Contingency, you can’t increase the scope of the project or buy some more equipment to use it up.

6. The Budget Notes sheet should be used to record explanations, further details or cost breakdowns for individual lines

If you are unsure about how to complete the budget template, please send your query to: [email protected] 5.1 Budget Plan Please add rows for Outcomes, Outputs and Cost Categories as required. Additional budget categories may be added by manually typing them on the Budget Category sheet.

Budg Detailed Budget (in US$) Disbursement Plan et Outcomes Total Budget Note Budget Categories Unit # of Unit Unit Cost Total Budget Total Budget (per outcome) 6m 12m 18m 24m 30m 36m choose from the drop-down list (per budget category) (per sub-outcome) # 2. 1.1 Establish a regional public-private platform 1 Workshop/Regional 1 45,000.00 45,000.00 45,000.00 to i) share and discuss climate investment opportunities and to capture and disseminate 2 Consultant - Individual - International W/Day 60 600.00 36,000.00 12,000.00 24,000.00 related information; ii.) assist in the visualisation of 3 IT Equipment Laptop 1 1,500.00 1,500.00 1,500.00 risks and an overview of critical infrastructure IT Equipment Printer 1 1,500.00 1,500.00 1,500.00 assets might be useful( iii) facilitate the udate and 4 review of the SGD and MS in accessing finance to 5 Consultant - Individual - Local W/Day 35 400.00 14,000.00 8,000.00 6,000.00 support NDC implementation. Deliverables 2.1.1 Travel Travel – Local 15 300.00 4,500.00 106,500.00 1,500.00 1,500.00 1,500.00 (a) Validate TORs for the platform and workplan. 6 Mission (b) Outreach and engagement action plan developed. Travel Mission to 7 Travel - International OECS 8 500.00 4,000.00 2,000.00 2,000.00 Member States

Activity 2.1.2 .Identify key interdependencies and vulnerabilities within and between the Water, Power and Telecommunications sectors, and identify 8 Workshop/Regional W/Day 1 35,000.00 35,000.00 35,000.00 cross-sectorial solutions to be pursued by OECS in association with Member States. Deliverable 2.1.2 (i) Report identifying interdependencies and vulnerabilities within and between the Water and Power and Telecommunications Sectors and 9 Consultant-Individual-International W/Day 72 600.00 43,200.00 14,400.00 14,400.00 14,400.00 identify cross-sectorial solutions proposed. (ii) 2. 1 County Programme for Concept notes developed for an intervention (to be Climate Finance Developmed submitted to the AEs) which will be responsive to 197,200.00 across the Climate Finance NDC Targets in MS, that may be implemented Landscapte during the accreditation process. Travel Activity: 2.1.3 Identify key data gaps with respect to 10 Travel - International 8 500.00 4,000.00 2,000.00 1,000.00 1,000.00 Mission adaptation and elaborate an inclusive strategy to address these at the national and regional levels to be pursued by OECS in collaboration with member Travel 11 Travel – Local 15 300.00 4,500.00 1,500.00 1,500.00 1,500.00 states. Deliverable 2.1.3: (i) Report identifying key Mission data gaps with respect to adaptation and 90,700.00 elaborating an inclusive strategy to address the at the national and regional levels.

Professional Services – Graphics 12 1 3,000.00 3,000.00 1,000.00 1,000.00 1,000.00 Companies/Firm Design

13 Audio Visual & Printing 20 50.00 1,000.00 300.00 300.00 400.00

Activity 2.3.1: Conduct (4) stakeholder consultations/workshops over the duration of implementation of the readiness (months 2, 5,8, 12)to; provide information on the objectives and components of the readiness (month 2); generate 2.3 Stakeholder Engagment Stakeholder input for the outputs outputs under activity 2.3.2 14 Workshop/Regional 1 45,000 45000 45,000.00 45,000.00 Consultative Process consultations under outcome 2 of this readiness proposal (month 8) and present final products for endorsement by stakeholders (month 12).Deliverable 2.3.1: Stakeholder workshops and associated deliverables 45,000 3. Direct Access to Climate Activity 3.2.1. .Develop Develop a suite of 15 Workshop/Training Sessions 3 2,000.00 6,000.00 6,000.00 Finance documents in response to the gaps identified by PwC. Deliverabe 3.2.1: Suite of documment in Travel response to PwC gaps. Activity 3.2.2: Develop 16 Travel - International 3 500.00 1,500.00 1,500.00 training modules for Leadership and Tehcnical Mission personnel across organisation to include virutal

tools (e.g. e-tutorials and e-manual) on the suite of procedures, policies and guidelines developed under activity 3.2.1. Deliverable 3.2.2: Training 72,300.00 72,300.00 modules on the suite of procedures, polices and guidelines udner activity 3.2.1 developed. Activity 3.2.3 Conduct training workshops on the suite of 17 Consulting Firm- International W/Day 108 600.00 64,800.00 21,600.00 21,600.00 21,600.00 procedures, policies and guidelines develop under activity 3.2.1 for OECS staff members to capacitate/enable them to effectively apply these tools and processes. Delivrable 3.2.3: Conduct stakeholder consultations Deliverable 4.3.1.: CN developed for 1 prioritized cross-sectorial solution identified from activity 2.1.2. 18 costs covered under 2.1.1

Activity 4.5.1 Private Sector Consultation 19 Consultant- Individual- International W/Day 30 600.00 18,000.00 6,000.00 12,000.00 Deliverable 4.5.1 Report on engagment. Activitity 20 Travel – Local 6 300.00 1,800.00 900.00 900.00 4.5.2 Development of Sector engagment strategy & implementation plan Deliverable 4.5.2: Sector 21 Workshop/Training Local 5 1,000.00 5,000.00 70,800.00 2,500.00 2,500.00 engagment strategy & implementation plan 4. Climate Finance Strategies 22 Travel - International Consultant Trave 6 1,000.00 6,000.00 1,500.00 1,500.00 3,000.00 and project pipeline 23 Workshop/Training Regional 1 40,000.00 40,000.00 40,000.00 strengthened 106,400.00 Activity 4.5.3: (a)Conduct stakeholder 24 Consultant- Firm Local W/Day 80 400.00 32,000.00 consultations/workshops Activity 4.5.3:(b) Conduct Baseline Studies of the Dominica Private Sector and the NGO Sectors Deliverable 4.5.3 (a): 35,600.00 Stakeholder consultations. Deliverable 4.5.3. (b): : 25 Consultations- Local Sessions 4 900.00 3,600.00 13,200.00 13,200.00 9,200.00 Baseline Assessments for Private Sector & NGOs

Total Outcome Budget 420,900.00 80,400.00 238,400.00 102,100.00 - - - 420,900.00 Project Management Cost (PMC) 26 Consultant - Individual - Local Month 15 1,472.00 22,080.00 Up to 7.5% of Total Activity Budget 27 Audit Fee Lumpsum 2 4,000.00 8,000.00 30,080.00 Percentage of - PMC requested: - 7.1% -

FOR GREEN CLIMATE FUND SECRETARIAT'S USE ONLY Breakdown (per budget Total (per budget category) category) Audio Visual & Printing 1,000.00 FOR GREEN CLIMATE FUND Audit Fee - SECRETARIAT'S USE ONLY Consultant - Individual - 97,200.00 97,200.00 International 450,980.00 Consultant - Individual - Local 46,000.00 Total Outcome Budget 420,900.00 Professional Services – 67,800.00 Companies/Firm Project Management Cost (PMC) 7.1% requested 30,080.00 IT Equipment 3,000.00 Contingency 1% requested 4,209.00 Office Supplies - Travel - International 15,500.00

Sub-Total (Total Travel – Local 10,800.00 Outcome Budget + 455,189.00 Contingency + PMC)

Workshop/Training 179,600.00 Delivery Partner Fee (DP) - Up to 0 - 38,691 8.5% of the Sub- Total 0 - 0 - Total Project Budget (Total 0 - Activity Budget + $ 493,880 Contingency + PMC + DP) 0 - Total Outcome Budget + 420,900.00 PMC 47,670 Budget Note Detailed Description

1 1 Regional Workshop (3days each) @ 45000 (36 persons each @ $1250( airfare, per diem, terminal expenses, conference facilities)

2 One Individual international Consultant for 60 working days @ US$600/day 3 IT Equipment: 1 Laptop at $1500 4 IT Equipment: 1 Printer at $1500 5 One Individual local Consultant for 35 working days @ US$400/day 6 15 trips local @ US$300 7 Eight (8) international travel missions @ $500/mission 8 1 Workshop/Regional @ $35,000 (28 persons each @ $1250( airfare, per diem, terminal expenses, conference facilities) 9 Consultant-Individual-International $43,200 (72 days @ $600) 10 Travel - International $4000 (8 missions @ $500). To include country missions (6) as well as Inception and Closeout (2) 11 Travel – Local $4500 (15 @ $300) 12 Professional Services – Companies/Firm Graphich design/publication $3000 13 Audio Visual & Printing: $1000.00 20 @ 50- Printing of documents and related 1 Final Regional Workshop (3days each) @ 45000 (36 persons each @ $1250( airfare, per diem, terminal expenses, conference 14 facilities). This will be held during month 12. The other 3 consulations to support 2.3 will be held virtually by the commission and will be at no cost to the GCF. 15 Local Workshop/Training (OECS Personnel)-$6,000 which is 3 @ $2000.00 per session 16 Travel - International: 3000 (6 missions @ $500) 17 Consultant - Firm: $64,800 (3 persons for total of 108 days @ 600 per day) 18 Cost for 4.3.1 covered under 2.1.2 19 Consultant- Individual- International $18,000 (30 days @ $600) 20 Travel – Local $1800 (6 @ $300) 21 Workshop/Training Local $5000.00) (5@ $1000) 22 Travel International $6000 ($6 @ 1000) 23 2 Workshop/Training Regional $40,000 each (32 persons each @ $1250( airfare, per diem, terminal expenses, conference facilities) 24 Consultant -Firm local $32,000: 80 w/days @$400/day 3 25 Consultations-local: $3,600- 4 sessions @ $900/session 26 Part Time Project Manager - $22,080 [one employed part time @ $1472 per month for 15 months] 27 Project Audits- $8,000.00. [2 audits @ $4000 each] Budget Categories Audio Visual & Printing Audit Fee Consultant - Individual - International Consultant - Individual - Local Professional Services – Companies/Firm IT Equipment Office Supplies Travel - International Travel – Local Workshop/Training

Indicate additional budget categories 5.2 Procurement Plan For goods, services, and consultancies to be procured, please list the items, descriptions in relation to the activities in Section 3, 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 and provide a full procurement plan for the entire duration of the implementation period if available at this stage.

Thresholds Item Item Description Estimated Cost (US$) Procurement Method (Min-Max monetary value for which indicated Estimated Start Date Projected Contracting Date procurement method must be used) Goods and Non-Consulting Services > XCD 10,000 < XCD 100,000.00 (> XUSD 3,704 Procurement of IT Equipment 1 laptop, 1 printer 3,000.00 RFQ 12-Jan-2020 < USD 37,037) Printing Services Prints (20) 1,000.00 Shopping < XCD 10,000.00 (USD3,704) Workshops & local consultation venue rental et.(12) 179,600.00 Based on Invoices Non-procurable Will vary with event Travel- local local travel (36) 10,800.00 Based on Invoices Non-procurable Will vary with activity Travel-International international travel (28) 15,500.00 Based on Invoices Non-procurable Will vary with activity

Sub-Total (US$) $ 209,900.00

Consultancy Services 2.1.1 International Individual Public-Private Engagement 36,000.00 CQS-INDV $0 and up 12-Feb-2020 consultant Local Indivudual Consultant Private Sector Engagment/IT 14,000.00 CQS-INDV $0 and up 12-Feb-2020 2.1.2 International Individual 43,200.00 CQS-INDV $0 and up 12-Jan-2020 consultant and 4.3.1 2.1.3 Professional Services - Graphics Design 3,000.00 Single Tender < XCD 20,000.00 (USD7,407) 12-Jan-2020 Firm

4.5.3 Consulting Firm-local 32,000.00 CQS > XCD 100,000 (USD37,037) 15-Jan-2020

3.2.1 to 3.2.3 Consulting Firm- 64,800.00 QCBS > XCD 100,000 (USD37,037) 15-Jan-2020 International 4.5.1 to 4.5.2 International 18,000.00 CQS-INDV $0 and up 15-Apr-2020 Consultant Local Consultant for Project Project Coordinator 22,080.00 CQS-INDV 0 and up 15-Jun-2020 Management Project Audit- Audit Firm local Audit Firm 8,000.00 CQS-Firm > XCD 100,000 (USD37,037) 15-Feb-2021 Sub-Total (US$) $ 241,080.00