Independent insights from vulnerable developing countries - Supporting the most vulnerable to climate change.
←
→
Page content transcription
If your browser does not render page correctly, please read the page content below
M a k i ng t h e A da p tat ion Fun d wor k for t h e m os t v u l n e r a b l e
Independent insights from vulnerable
developing countries
Supporting the most vulnerable to climate change.
M a k i ng t h e A da p tat ion Fun d wor k for t h e m os t v u l n e r a b l e
Independent insights from vulnerable
developing countries
Brief summary
The Adaptation Fund established under the Kyoto Protocol has reached the implementation stage of adapt-
ation projects in developing countries. This is a decisive phase to see if and how the provisions of this
innovative funding instrument will work.
This publication summarises the state of play in the Adaptation Fund and the key experiences of members of
the Adaptation Fund NGO Network, at international policy level as well as within developing countries.
The document provides insights into the implementation of adaptation projects, as well as their preparation,
in seven developing countries. Four of the countries (Benin, Jamaica, Senegal, South Africa) will implement
direct access, while three of them (Honduras, Nicaragua, Pakistan) will work with multilateral Implementing
Entities including the UNDP.
The investigations, building on in-country consultations, provide important lessons for future operations of
the Adaptation Fund, as well as for adaptation projects in general and other international bodies, such as
the Green Climate Fund.
Publisher: Adaptation Fund NGO Network AF NGO Network
c/o Germanwatch e.V.
Contributing authors/coordinators (alphabetical order): Office Bonn
Krystel Dossou (Benin), Isaac Ferrera and Evelyn Rodri- Dr Werner-Schuster-Haus
guez (Honduras), Sven Harmeling (Germany), Alpha O Ka- Kaiserstr. 201
loga (Germany), Kashmala Shahab Kakakhel (coordination D-53113 Bonn
Pakistan), Monica Lopez-Baltodano (Nicaragua), Bettina
Phone +49 (0) 228 60492-0, Fax -19
Koelle (South Africa), Indy McLymont-Lafayette (Jamaica), Contact: kaloga@germanwatch.org
Emmanuel Seck (Senegal) Internet: www.af-network.org
December 2012
Coordination: Alpha O Kaloga and Sven Harmeling,
Purchase order number: 12-2-22e
Germanwatch
This publication can be downloaded at:
www.germanwatch.org/en/6440
This project is part of the Inter-
national Climate Initiative.
The Federal Ministry for the
Environment, Nature Conser-
vation and Nuclear Safety sup-
ports this initiative on the basis
of a decision adopted by the
German Bundestag.
Contents
Executive summary 6 6 Senegal 25
1 Introduction 7 Country background 25
Background to the Adaptation Fund and 7 Establishment of the NIE and 25
the Adaptation Fund NGO Network realisation of the direct access
Adaptation Fund operations 9 Objectives of the project and state 27
of implementation
2 How civil society can help shape the 11
success of the Adaptation Fund Process from concept to 28
implementation
3 Case studies: Purpose, methodology 14
Achievements and challenges 28
and key findings
Lessons learned and conclusions 29
Purpose 14
7 Nicaragua 30
Methodology 14
Country background 30
Key findings 15
Objectives of the project and 31
Some recommendations and the road 16 state of implementation
ahead
Process from concept to 32
4 Honduras 17 implementation
Country background 17 Achievements and challenges 32
Objectives of the project and state 18 Lessons learned and conclusions 33
of implementation
8 Jamaica 34
Process from concept to 18
Country background 35
implementation
Process from NIE accreditation 35
Achievements and challenges 19
to proposal development
Lessons learned and conclusions 20 Lessons learned and conclusions 36
5 Pakistan 21 9 Benin 36
Country background 21 Country background 37
NIE accreditation process 37
Objectives of the project and state 22
of implementation Lessons learned and future steps 38
Process from concept to 23 10 South Africa 40
implementation
Country background 40
Achievements and challenges 24 Process from NIE accreditation to 41
proposal development
Key challenges 24
Lessons learned and the road ahead 42
Lessons learned and conclusions 24
Adaptation Fund NGO Projects • Independent insights
Executive summary
The Adaptation Fund established under the Kyoto Proto- Lessons learned from country case studies
col has reached the implementation stage of adaptation
Although the process and project implementation in most
projects in developing countries. This is a decisive phase
to see if and how the provisions of this innovative funding of the countries is still in an early stage, and the case stud-
instrument will work. ies were carried out with limited resources, some gen-
eral conclusions can be drawn from the case studies. The
This publication summarises the state of play in the Ad- strength of these preliminary views is that they will be rel-
aptation Fund and the key experiences of members of the evant throughout the course of project implementation.
Adaptation Fund NGO1 Network, at international policy
level as well as within developing countries. 1. Local stakeholders (local communities, NGOs and local
government) must be involved from the beginning of the
The document provides insights into the implementation project design until the last stage of the evaluation. It is
of adaptation projects, as well as their preparation, in too early to say whether the revised AFB guidance, which
seven developing countries. Four of the countries (Benin, was approved at the 17th meeting (March 2012), will have
Jamaica, Senegal, South Africa) will implement direct ac- sufficiently positive effects in this regard.
cess, while three of them (Honduras, Nicaragua, Pakistan)
will work with multilateral Implementing Entities includ- 2. Related to inter-institutional and multi-stakeholder
ing the United Nations Development Programme (UNDP). coordination, the projects provide a useful opportunity
The case studies address key elements of the Adaptation to promote transparency and the free flow of information
Fund provisions for project proposals, including the con- between institutions and communities.
sultative processes and the focus on particularly vulner-
3. The establishment of synergies between all the ac-
able communities.
tors (government, beneficiaries, universities and NGOs)
The investigations, building on in-country consultations, seems to be the main route towards simplifying process-
provide important lessons for future operations of the es and enhancing results.
Adaptation Fund, as well as for adaptation projects in
4. Ownership by targeted communities is easier to secure
general and other international bodies. such as the Green
when the project contains some infrastructure compo-
Climate Fund.
nents or tangible deliveries. It can be more difficult to
Achievements of civil society engagement effectively engage local communities in projects with
stronger capacity-building elements, such as setting up
The Adaptation Fund (AF) NGO Network, after two years
an early-warning system, although in general commu-
of existence and building on previous work, has achieved
nities understand that these problems need to be ad-
much. The Network is regarded by the Adaptation Fund
dressed.
Board (AFB) as a solid partner, among others. It indepen-
dently assesses and follows the work of the AFB. Through 5. Accreditation of the National Implementing Entities
its activities, the Network and its members have contrib- opens up opportunities for better governance of climate
uted, inter alia, to: finance and for strengthening the institutional capacity
of developing countries.
an increased awareness of the strategic priority to
give special attention to the particular needs of the 6. Direct access is not an impediment to forming direct
most vulnerable communities; links with local communities and engaging civil society as
Implementing Entities. On the contrary, it can be a tool
greater transparency in AF work, for example through for enhancing dialogue between responsible agencies
regular webcasting of sessions, public disclosure of and civil society.
technical reviews of project proposals, and review
comments made by the Board to Implementing 7. Mainstreaming climate change adaptation projects
Entities; and involving the most vulnerable groups are critical and
require a holistic approach.
improvements to important provisions such as project
development guidance related to the consultative
processes, consideration of the needs of vulner- With 27 projects approved since the first call for propos-
able communities and gender issues, the evaluation als two and a half years ago, and with funding amounting
framework, and the knowledge management; to US$175 million, the AF is delivering on implementa-
tion. However, the overall performance of these projects
an enhanced, cooperative working relationship be-
needs to be observed continuously in order to help the
tween the AFB and civil society, and increased at-
tention to civil society contributions, for example most vulnerable communities build resilience to climate
through regular dialogue with civil society, and change. This publication aims to make a constructive con-
recognition of civil society in the knowledge man- tribution to the success of the AF.
agement strategy and the evaluation framework. ________________________________
1 NGO: non-governmental organisation
6
Adaptation Fund NGO Projects • Independent insights
1 Introduction Convention on Climate Change (UNFCCC) on a new issue
that strives to address loss and damage resulting from
1.1 Background to the Adaptation Fund and the climate change in terms of both human lives lost and eco-
Adaptation Fund NGO Network nomic metrics. The assumption behind this issue is that
even with ideal levels of adaptation, there will still be
There is broad scientific consensus that climate change some residual impacts leading to loss and damage.2 It is
is unequivocally one of the main challenges humankind therefore important to begin addressing urgent adapta-
has ever faced. Its negative impacts are already affecting tion needs to lay the foundation for long-term actions ad-
many poor people and their prospects of development. dressing the adaptation needs of poor countries.
In the future, climate change will have even more serious
The Adaptation Fund (AF) was created to assist poor
impacts on all countries, pushing millions of people into
countries in meeting their urgent adaptation needs. Un-
poverty and narrowing down the opportunities for sus- like other funds, such as the UNFCCC Least Developed
tainable development and for people to escape misery. Countries Fund (LDCF) or the World Bank Pilot Programme
Recent studies are warning that the world is likely to over- for Climate Resilience (PPCR), the AF is the only fund that
shoot the critical 2°C threshold, putting the planet on a 4o focuses on financing adaptation projects in all developing
to 6°C pathway of global warming (Sharman et al 2012). countries. Because of its innovative features – such as its
governance structure, financing mechanism, direct access
Avoiding this and “turning down the heat” (see World
and achievements in two years of operation – the AF has
Bank 2012) is still possible, feasible and advantageous, but
received attention and admiration from several climate
it requires an immediate turnaround in global economic
finance stakeholders.
and energy policies.
________________________________
2 Approaches to addressing loss and damage associated with climate change impact-
Warned about this bitter reality, Parties have started engag-
See: http://unfccc.int/adaptation/cancun_adaptation_framework/loss_and_
ing in negotiations under the United Nations Framework damage/items/6056.php; www.lossanddamage.net
7
Adaptation Fund NGO Projects • Independent insights
Since the accreditation of the first Implementing Entities of the AF by providing regular briefing papers and policy
and the first call for proposals by the Adaptation Fund suggestions, and by interacting with members at AFB
Board (AFB) in 2010, it has become obvious that the out- meetings. Civil society dialogue held in advance of AFB
comes and impacts of AF-financed projects for vulnerable meetings has become an important tool in this regard. The
communities will determine the true value of the Fund. overarching principle of the Network is to cooperate con-
Aware of this challenge, and based on previous tracking structively where possible with all institutions involved in
of the Fund’s development, several non-governmental or- an AF project, and to criticise where it is deemed necessary.
ganisations (NGOs) established an AF NGO Network in or-
After two years of existence, the AF NGO Network has
der to be involved with the implementation of AF projects.
achieved much. The Network is regarded by the AFB as
The AF NGO Network is an independent network made
a solid partner, among others. It independently assesses
up of more than 30 organisations. It strives to contribute
and follows the work of the Board. At almost every meet-
to successful outcomes of AF projects for the benefit of
ing, AFB members exchange views on key elements to be
the most vulnerable communities in project areas. The
debated on the agenda of the given meeting; the Network
Network intends to study the AF development to show
often submits views on strategic discussions related to
how institutional innovations can rise to the challenge of
the daily business of the AF. Through its activities, the
adaptation. It will also strive to contribute to the political
Network and its members have contributed, inter alia, to:
setting up and endowment of the AF into the whole de-
bate on climate finance architecture.
At country level, the Network’s partner organisations aim an increased awareness of the strategic priority to
to act as a bridge between the most vulnerable communi- give special attention to the particular needs of the
ties and the entities entrusted with implementation of an most vulnerable communities;
AF project. Accordingly, the Network’s partners advocate
greater transparency in AF work, for example through
for an inclusive and transparent consultative process from regular webcasting of sessions, public disclosure of
the outset of each project until the final evaluation. In technical reviews of project proposals, and review
doing so, the AF NGO Network promotes and supports comments made by the Board to Implementing
sustainable dialogue between interested stakeholders at Entities;
national level and between NGOs and members at interna-
tional level. This is indispensable to ensure positive project improvements to important provisions such the pro-
outcomes as well as to keep AF Board members informed ject development guidance related to the consulta-
about the advancement of projects. tive processes, consideration of the needs of vul-
nerable communities and gender issues, the evalu-
Communicating the targeted communities’ expectations ation framework, and knowledge management;
and concerns is another important task. At international
an enhanced, cooperative working relationship be-
level, Network members try to influence the development
tween the AFB and civil society, and increased at-
tention to civil society contributions , for example
through regular dialogue with civil society, and
recognition of civil society in the knowledge man-
agement strategy and the evaluation framework.
In developing countries, the Network’s partners have is-
sued baseline mappings showing the level of involvement
of the different stakeholders in the projects. They have
also engaged in ongoing exchange with the implementing
agencies. In addition, the partners have regularly organ-
ised national workshops on the AF projects and conducted
several field visits. The field visits have helped to gener-
ate insights on how AF operations are perceived by the
intended beneficiaries.
Apart from providing a general overview of Adaptation
Fund operations, this publication contains independent
case studies from different countries where AF projects
are being implemented or will be implemented. The case
studies not only gauge the situation in different coun-
tries, but also make realistic recommendations to improve
implementation early on rather than only through end-of-
project evaluations. This should inform the implementa-
tion of AF projects in other countries.
8
Adaptation Fund NGO Projects • Independent insights
The Adaptation Fund was created at the critical time,
Adaptation Fund: overview of key features when international negotiations seemed to be drawn-out,
Project level in order to display tangible results on the ground and dem-
Full projects approved 27 Argentina, Cambodia, Co- onstrate its potential, until a climate finance architecture
lombia, Cook Islands, Djibou- is shaped. Unlike other funds under the Convention, such
ti, Ecuador, Egypt, Eritrea,
as the LDCF and the Special Climate Change Fund (SCCF),
Georgia, Honduras, Jamaica,
Lebanon, Madagascar, Mal- the AF was established by the Parties to the Kyoto Proto-
dives, Mauritania, Mauritius, col of the UNFCCC, in Marrakesh in 2001. It’s main goal
Mongolia, Nicaragua, Pa- is to finance practical adaptation projects in developing
kistan, Papua New Guinea, countries that are Parties to the Kyoto Protocol (Decision
Samoa, Senegal, Solomon
10/CP.7).
Islands, Sri Lanka, Tanzania,
Turkmenistan, Uruguay However, because negotiations were being delayed, only
Project concepts 10 Argentina, Benin, Belize, El six years later, in 2007 in Bali, Parties to the Kyoto Protocol
endorsed (full project not Salvador, Fiji, Guatemala,
yet approved) Myanmar, Seychelles, Leba-
(CMP) decided that the operating entity of the Fund would
non, Paraguay, Peru be the Adaptation Fund Board served by a Secretariat
Funding Decisions (full project) US$178 million and a Trustee (Decision 1/CMP.3). Currently, the Global
Environment Facility (GEF) provides secretariat services
Implementing Entities (IE) accredited
and the World Bank serves as the Fund’s trustee. Both in-
National (IE): 15 Argentina, Belize, Benin, stitutional arrangements are on interim basis 4. Because of
Direct Access Chile, Costa Rica, India, Ja-
maica, Jordan, Kenya, Mexi- its unique features – such as the way it is funded, managed
co, Morocco, Rwanda, Sen- and governed – the AF has generated the interest of sev-
egal, South Africa, Uruguay eral stakeholders working in international climate finance.
Multilateral 10 ADB, IFAD, UNDP, WFP,
World Bank, WMO, IABD,
ADB, BOAD, UNESCO Key innovative features of the Adaptation Fund
Regional 1 West African Development
Bank (BOAD) Funding mechanism: The Adaptation Fund was not de-
Resources in AF Trust Fund (in US$)
signed as a traditional donor-driven fund. Its main source
of finance is a 2% share of proceeds of certified emis-
Obtained through certified 186.28 million
emission reductions (CERs) sion reductions (CERs) issued by the Clean Development
monetisation Mechanism project activities under the Kyoto Protocol.
This mechanism allows industrialised countries to invest
Voluntary contributions by 119.46 million in clean energy projects in the developing world in return
developed countries for offsetting carbon emissions. By the middle of 2012,
Funds available to support 119.21 million this mechanism had raised US$119.46 million (AFB 2012a).
new funding decisions
However, the price of the CER unit has fallen due to low
Source: Own compilation, based on information at www.adaptation-fund.org and deci-
sions taken at the 19th meeting of the AFB, December 2012 emission ambition in developed countries. The deficiency
of the carbon market has forced the AF to set a country
cap of US$10 million for projects, in order to avoid a ‘first
1.2 Adaptation Fund operations come, first served’ situation. Moreover, the AF has set an
Assisting vulnerable countries to adapt to climate change initial fundraising target of an additional US$100 million
requires significant resources. Reliable estimates on ad- until the end of 2013.
aptation costs in developing countries are unavailable3,
Unfortunately, only a small number of developed coun-
but they are likely – with the current low level of ambition
tries have so far transferred substantial resources into
to curb greenhouse gas emissions – to run into tens of bil-
the AF to compensate for and complement the difficult
lions of dollars per year in the next decade.
CER situation. Given the specific nature of the AF and its
Adapting to climate change also requires a structural shift achievements in its two years of operation, it is hard to
of institutional arrangements and policies, so as to trans- understand what is preventing developed countries from
form scarce financial resources into a system that works pledging funds to the AF.
for the most vulnerable. Effective adaptation relies on
adequate institutional structures, coordination and co-
________________________________
operation between institutions, and in particular, strong 3 For instance, a study commissioned by the UNFCCC in 2007 estimates the cost of
participation by vulnerable groups (Kaloga et al 2009). adaptation to be in the range US$27–66 billion by 2030 to help developing coun-
Investments in ‘hard’ infrastructure such as anti-salt dykes tries to adapt (UNFCCC), while the World Bank estimates that even in a 2°C world,
adaptation costs for developing countries will amount to a minimum of $70 billion
or construction of flood walls and barriers – if undertaken by 2020 and to up to $100 billion a year by 2050.
in the right manner – are as necessary as spending on ca- 4 In Doha, Parties agreed on the extension of these interim arrangements of the AF
as result and assessment of the effectiveness and efficiency of the services pro-
pacity- and institution-building, innovation and risk man- vided by both the Trustee and the Secretariat. For further information see: http://
agement (Harmeling and Kaloga 2010). germanwatch.org/de/4148
9
Adaptation Fund NGO Projects • Independent insights
Governance structure: The AF is governed by the Adap-
tation Fund Board. The AFB is comprised of 16 members
and their deputies; the overall majority are from develop-
ing countries. This representation enshrines the UNFCCC
principle of equitable and balanced representation of all
Parties in term of governance structure, more than the
governance composition in any other existing Funds. Al-
though all decisions are reached through consensus, it
is important to mention that if the Board cannot reach
agreement, two-thirds of the members are needed for a
majority decision, which does not allow for domination by
any one group. De facto, the AFB has developed a spirit of
teamwork, which could inspire other similar bodies.
Access methods: The AF allows developing countries to
directly access its resources – a first for climate finance. Figure 1: Distribution of AF financial resources for projects
Source: http://www.adaptation-fund.org/page/funding-status
This principle of direct access aims to simplify and accel-
erate the process by which resources for adaptation flow Special attention to most vulnerable
to developing countries. In other words, direct access
converts into reality the notion of ownership, by which
communities
developing countries carry out their own actions through The AF is unique in giving strategic priority to meeting
their own institutions (Kaloga et al 2011). There are two the needs of the most vulnerable communities (Adapta-
ways in which eligible countries can access AF resources: tion Fund 2011). A particular strength of the AF is that it
the first is the ‘classic way’, whereby countries submit combines the financing of adaptation actions with a focus
their project through Multilateral Implementing Entities on poor people in project areas. Where the most vulner-
(MIEs); alternatively, countries can nominate and accredit able communities are at severe risk from climate change,
domestic institutions as National Implementing Entities urgent and specific interventions is required. This is better
(NIEs), which will then submit their projects. achieved through practical projects rather than program-
MIEs and NIEs have to meet the same international fidu- matic and longer-term integration of climate risks into
ciary standards set by the AFB. The fiduciary standards policy and planning.
should guarantee the credibility of the Board and warrant
that the IEs have the required financial integrity and insti- Summary
tutional capacity as well as transparency and self-investi- The Adaptation Fund has made significant progress over
gative powers to manage entrusted funds. Accredited IEs the past three years and is fully operational. Building on its
are direct recipients of funding and bear full responsibility lessons learned is crucial. Ensuring that the most vulner-
for its use. So far, 15 NIEs have been authorised to receive
able people are put into the heart of adaptation funding is
money from the Adaptation Fund 5. In some countries, the
one key task for international action, derived from inter-
accreditation process has proved to be difficult, but in
national human rights obligations. Effective international
others it has triggered institutional reforms and progress,
funding institutions should contribute to this objective as
which are important in addressing the challenges of adap-
much as possible.
tation now and in the future (AFB 2012b).
Due to its scarce resources, but also concerned about the References
fulfilment of its objective of promoting direct access pro- AFB, 2011: Operational policies and guidelines for Parties to access resources from
jects, the AFB decided that total funding for MIEs should the Adaptation Fund. See http://adaptation-fund.org/sites/default/files/OPG%20
Revised%204.4.12%20%28with%20annexes%29.pdf (accessed 16.11.2012)
not exceed 50% of the overall available funding amount at
AFB, 2012a: Adaptation Fund Trust Fund: Financial report prepared by the Trus-
each board meeting. This decision has been seen as a way tee. https://adaptation-fund.org/sites/default/files/AFB.EFC _ .9.8%20Adap-
tation%20Fund%20Trust%20Fund%20-%20Financel%20Report.pdf (accessed
of preventing the AF from becoming another MIE fund, 16.11.2012)
such as the GEF-managed funds or the Climate Investment AFB, 2012b: The Adaptation Fund and Direct Access. Supporting developing coun-
tries in undertaking concrete measures to adapt to the adverse effects of climate
Fund under the World Bank. change. October, 2012. https://www.adaptation-fund.org/sites/default/files/Di-
rectAccessMemo29 _ Oct _ 2012 _ 0.pdf
Accredited NIEs differ from each other in the way they Harmeling S and A Kaloga, 2010: Significant progress made by the AF: International
are governed and managed as well as in the field of their journal D+C. http://www.dandc.eu/en/article/kyoto-protocols-adaptation-fund-
setting-right-examples
expertise. Experience of the accreditation process and
Kaloga A et al, 2009: The Adaptation Fund: A model for the future? IIED. http://
regional workshops on the process and requirements of pubs.iied.org/pdfs/17068IIED.pdf
accreditation showed that there is no single format or in- Kaloga A et al, 2011: Adaptation Fund NGO Network, Volume 3. www.german-
watch.org/klima/afnl-no3.pdf
stitutional set-up that an Implementing Entity should have
Sharman el al, 2012: Into unknown territory: The Limits to Adaptation and Real-
in order to master the accreditation process. ity of Loss and Damage from Climate Impacts. http://germanwatch.org/de/down-
load/4108.pdf
________________________________
5 Six NIEs are in Africa (Benin, Morocoo, Kenya, Rwanda, Senegal, South Africa), seven in World Bank, 2012: Turn down the heat: why a 4°C world must be avoided. http://cli-
matechange.worldbank.org/content/climate-change-report-warns-dramatically-
Latin America (Argentina, Belize, Chile, Costa Rica, Jamaica, Mexico, Uruguay) and two in warmer-world-century
Asia (India, Jordan).
10
AfricaAdaptation Fund NGO Projects • Independent insights
At the 13th meeting of the AFB in Bonn: Emmanuel Seck from ENDA TM, Sven Harmeling from Germanwatch, Indy Mclymont-Lafayette
from Panos Caribbean, Isaac Ferrera from Fundación Vida, and Alpha Oumar Kaloga from Germanwatch (from left to right).
2 How civil society can help shape implemented by multilateral institutions, the opportu-
nities and broader political implications of a successful
the success of the AdaptationFund direct access pilot under the AF should be in the interests
of civil society and therefore be given special attention.
The success of Adaptation Fund (AF) projects will depend,
to a certain extent, on the involvement of civil society Civil society organisations could engage in the following
organisations and stakeholders, particularly vulnerable activities related to the institutional elements and project
groups in project areas. Because of their close relation- cycle steps under the AF.
ship with vulnerable communities, and because they advo-
cate for the interests of the most vulnerable communities, Before project submission
civil society organisations are critical to the AF. They can
contribute to the success of the AF through observing its Responsible institutions (eg government agencies,
operations and engaging in constructive dialogue with Implementing Entities (IEs)) should initiate a process to
responsible institutions. involve civil society early on in a meaningful way, before
a project (or even before an Implementing Entity) is iden-
This section is based on the experience of members of the tified. AF provisions require at least an initial consul-
AF NGO Network. It provides an overview of actions that tative process before submission of a project concept
civil society organisations can take primarily within their (AFB 2011a).
own countries, but also at Adaptation Fund Board (AFB)
level internationally. Such a consultation process would allow civil society or-
ganisations to propose or get involved in the identification
The aim of civil society actions should be to ensure that of specific projects or key areas to target and to raise com-
AF projects consider the particular needs of targeted ments and concerns on project proposals that the govern-
communities and place those needs at the heart of all pro- ment plans to submit. In Senegal, Jamaica and South Af-
jects. Although activities will generally not differ between rica, project identification was preceded by consultations
projects implemented under direct access and those with civil society (see case studies).
11Adaptation Fund NGO Projects • Independent insights
Contact designated authorities “For a fully developed proposal, a comprehensive consulta-
tive process has to take place, and should involve all direct
Civil society within a developing country can engage early and indirect stakeholders of the project/programme, in-
on directly with the responsible government agencies be- cluding vulnerable groups and taking into account gender
fore a project is submitted to the AFB. considerations. The results of the consultative process must
The primary contact point is the designated authority be reflected in the project design. Under extraordinary cir-
(DA), which would generally oversee a country’s opera- cumstances, the consultation of a specific stakeholder can
tions in relation to the AF. The DA should be able to pro- be deferred to the implementation stage, if it enables a more
vide information about the status of project identifica- effective consultation (e.g. if beneficiaries for specific ac-
tion, plans for submission to the AFB, etc. A list of DAs is tivities have not been identified yet). However, if the project
available on the AF website: specifically targets the most vulnerable groups, they will have
www.adaptation-fund.org/page/parties-designated-authorities to be identified and consulted by the time of submission.”
(see Adaptation Fund 2011a)
Engage with Implementing Entities
Implementing Entities, both national and multilateral, will
Engagement at the level of the Adaptation
bear all responsibility for AF-funded projects and will play Fund Board
a key role in identifying, implementing and overseeing
The AFB meets three times a year. A meeting is usually
the projects. Therefore, it is important that civil society
conducted with a closed session, where Board members
organisations engage with IEs early on.
discuss substantial or more confidential issues (eg in the
In the case of direct access projects, once a country committees on Ethics and Finance, and Project and Pro-
has successfully managed the accreditation pro- gramme Review). The two last days of the meeting are
cess, the institution that will perform the functions open, and these open sessions are webcasted.
of the National Implementing Entity will be known.
The day before the AFB meeting, there is usually a meet-
The list of National Implementing Entities (NIEs) with their
ing with civil society representatives, who can give their
contact information can be found at:
views on specific agenda items or other matters. The AF
www.adaptation-fund.org/national-implementing-entities
NGO Network has been operating in this way over the past
months to find out, in particular, about developments at
Between project submission and AF country level. This is perceived by the Board as very impor-
tant, since AFB members usually do not receive firsthand
consideration information from country stakeholders about the imple-
Once a project concept or full proposal has been received mentation progress.
by the AF Secretariat, the documents are put up on the
Civil society observers can engage and interact with AFB
website before being considered by the AF Board. This
members informally at AFB meetings. This has proved to
is usually around eight weeks before an AFB meeting.
be effective useful way of facilitating effective commu-
Civil society organisations can submit comments pub-
nication – for example, where observers wish to suggest
licly on the website or they can submit comments directly
textual amendments to certain documents. A more insti-
to the Secretariat. The proposals are usually posted at:
tutionalised approach, such as dedicated active observers
https://www.adaptation-fund.org/submittedproposals
who can make statements during each agenda item, is not
This is a great opportunity to provide views, both posi- yet in place. The governing instrument of the Green Cli-
tive and negative, which AFB members can consider when mate Fund contains a similar provision, but this has yet to
discussing a project. The AFB usually provides guidance be operationalised.
to project proponents about how to improve their project
Although civil society attendance at every AFB meeting
concept before they submit a fully developed proposal.
is not required for project work, the experience of the AF
This is a key moment when suggestions from civil society
NGO Network shows that it is useful for civil society repre-
can be integrated into official AFB guidance.
sentatives to see how such a governing body operates, to
Usually, every project proposal contains contact details for get to know AFB members, and to play an informed role in
the in-country responsible people as well as the IE in charge AF operations in their country.
of the project. Often, project documents also include a list
of stakeholders consulted, sometimes with their email ad- Observing and monitoring project
dresses. These people and organisations could be contact- implementation
ed to find out the extent to which they have been consult-
ed and how far their concerns are mirrored in the proposal. The success of a project (and the AF as a whole) is ultimate-
ly dependent on the quality of the project implementa-
Civil society cannot be denied the opportunity to be tion. During project implementation new challenges often
consulted, as AFB provisions require a comprehensive emerge, which may lead to changes in the project. Also, in
consultative process: their inception phase, projects often undertake additional
12Adaptation Fund NGO Projects • Independent insights
consultations with local people, which is an important “All evaluations conducted by the Adaptation Fund will seek
entry point for civil society to improve a project and high- to engage with relevant civil society organisations (CSOs) to
light any risks and concerns. Therefore, continuously fol- ensure that their views and perspectives are heard and taken
lowing project implementation through regular exchange into account in the evaluation. The relevant CSOs should
with the Implementing Entities, government agencies and be selected according to the type of projects, for example
executing entities is an important task. Field visits and in- for national or regional activities umbrella or international
dependent ongoing consultations with local communities CSOs may be most appropriate while for locally based activi-
are also critical for the success of a project. ties, local communities maybe more relevant. A description
of the engagement and the CSOs involved in the evaluation
Providing feedback to other institutions involved will
needs to be included in the final evaluation. The civil society
confirm that they are seen as a serious partner and will
organisations have an important role in contributing to the
improve project implementation. Engaging or coordinat-
integrity of Adaptation Fund Board policies, including poli-
ing with other national and local civil society organisations
cies on evaluating performance and achievement of results.”
around AF projects could help to build capacity on adapta-
(Adaptation Fund 2011c)
tion in general and to track multilateral adaptation fund-
ing. Implementing Entities are required to submit regular This provides the basis and legitimacy of requests made
reports, mostly annually, but although these are important by civil society organisations to IEs be consulted with in-
information sources, the intervals are too long for mean- volved in AF projects.
ingful engagement of civil society locally.
The knowledge management framework of the Adapta- Summary
tion Fund explicitly requires “enhancing the engagement Civil society can engage on different levels and at differ-
of civil society” (Adaptation Fund 2011b). The purpose is ent stages of the project cycle. The case studies contained
to strengthen links with civil society within a country and in this document provide detailed and useful examples
also at international level. Civil society can contribute to of how civil society organisations can act in this regard.
knowledge management through specific activities, such as
workshop, information meetings, local consultations, etc. References
AFB, 2011a: Revised Instructions for Preparing a Request for Project/Programme
Funding. http://www.adaptation-fund.org/sites/default/files/REVISED%20
Mid-term and terminal evaluations INSTRUCTIONS%20FOR%20PREPARING%20A%20REQUEST%20FOR%20PRO-
JECT%20FUNDING.pdf
AF projects are generally subject to mid-term (if a pro- AFB, 2011b: Knowledge management strategy and work programme. https://
adaptation-fund.org/document/knowledge-management-strategy-and-work-
ject lasts more than two years) and final evaluations. The programme
Evaluation Framework of the AF stipulates that: AFB, 2011c: Evaluation Framework. https://adaptation-fund.org/sites/default/
files/Evaluation _ framework.pdf
13Adaptation Fund NGO Projects • Independent insights
3 Case studies: Purpose, • collaboration of the implementing agencies with
methodology and key findings external stakeholders
• methods of accessing funding
3.1 Purpose
• levels of awareness among stakeholders involved
It is important that civil society is able to observe, and
in respective projects and within the countries
constructively contribute views on, the use of climate fi-
nance intended to serve the most vulnerable people in de- • engagement of vulnerable communities in
veloping countries. In this context, the Adaptation Fund project areas
(AF) is an important institution as its strategic priority is
to give special attention to the particular needs of most • public awareness
vulnerable communities. • achievements and challenges
Civil society organisations that participate in the AF NGO • lessons learned conclusions
Network have an important role in generating independ-
ent insights into the implementation of climate change ad- The table on the next side provides an overview of the case
aptation projects in developing countries, as documented studies undertaken.
in this compilation of case studies.
Each of the commissioned case studies describes the im- 3.2 Methodology
plementation of an AF-funded project, based on in-coun-
try consultations. A special emphasis in the work of the Material for the case studies is based on qualitative re-
AF NGO Network lies on countries with direct access. The search on project documents and processes. The research
rationale of doing so is that direct access is an innovative methodology included consultations with relevant stake-
approach to ensure ownership and increase responsibility holders at different levels, project beneficiaries, imple-
of developing countries. However, only three direct ac- menting and executing entities, government agencies,
cess projects have been approved so far (Senegal, Jamaica and other civil society organisations. In addition, the level
and Uruguay); case studies from Senegal and Jamaica are of public awareness about adaptation to climate change,
included in this document. A particular emphasis was also particularly in project areas, is noted in the case studies.
given to the level of community and other stakeholders’ Several interviews were conducted in order to gauge the
involvement in the project, with the view to assessing perception and expectations of all stakeholders, particu-
the level of ownership of vulnerable communities in the larly those living in the project areas.
project.
Each case study starts with an overview of the project
It is important to note that the projects presented here – information on the implementing agency, the focus of
are in different stages of implementation. The project the project and the stage of implementation. This is fol-
in Senegal was the first direct access project and is in lowed by country background, including climate change
its final stage of implementation. In South Africa, stake- scenarios, adaptation challenges, as well as an overview of
holders are engaged in the process of identifying and national policy on climate change and the institutions en-
selecting priority adaptation projects for submission to gaged in implementation of the project. The third part of
the AF. Among the projects run by multilateral Imple- each case study describes the project process – from con-
menting Entities, the projects in Honduras, Nicaragua cept drafting to current stage of implementation, pointing
and Pakistan are among those most advanced. Origi- out achievements and challenges. The last part of the case
nally, we planned to include more case studies. However, study summarises lessons learned and conclusions.
when we approached non-governmental organisations
(NGOs) in some of the implementing countries, includ- Limitations
ing Madagascar, it became apparent that, for various
reasons, some projects have faced significant delays. The findings presented in this document cannot be as-
For some time, UN implementing agencies were unable sumed to be applicable to all projects financed by the
to commence implementation because of contractual is- Adaptation Fund, as countries differ in climate change
sues that needed to be clarified with the Adaptation Fund context, the social and political realities, and the nature
Board (AFB). In other cases, it took more time to find and of Implementing Entities. Also, research for these case
contract a project manager. This situation is underlined studies was carried out with limited resources and time, so
by the fact that there are very few inception reports cur- although they provide useful and significant insights into
rently available6. the projects they do not constitute a full assessment of all
aspects of each project.
The analysis of the case studies focuses on factors deter-
mining the success of the development and implementa- In addition, given the different scope of the studies and
tion of adaptation responses, including: time constraints, this report cannot claim to be compre-
________________________________ hensive, although every effort has been made to ensure
6 https://www.adaptation-fund.org/funded_projects that key issues are highlighted.
14Adaptation Fund NGO Projects • Independent insights
Country and Project context Project Partner in compiling
Implementing Entity approval the case study,
date contact person
Honduras (United Nations Addressing climate change risks on water March 2011 Fundaciòn Vida, Isaac Ferrera
Development Programme resources in Honduras
(UNDP))
Pakistan (UNDP) Glacier-lake outburst floods December 2010 LEAD Pakistan, Kashmala Sha-
hab Kakakhel
Senegal Adaptation to coastal erosion in vulner- September 2011 Enda TM, Emanuel Seck
able areas
Nicaragua (UNDP) Reduction of risks and vulnerability December 2010 Centro Humbolt, Mónica López-
based on flooding and droughts in the Baltodano
Estero Real River watershed
Jamaica Enhancing the resilience of the agricul- June 2012 Panos Caribbean, Indy McLy-
ture sector and coastal areas to protect mont-Lafayette
livelihoods and improve food security
Benin Adaptation of Cotonou Lagoon ecosys- OFEDI, Krystel Dossou
tems and human communities to sea level
rise and extreme weather events impacts
South Africa Establishing and NIE and developing a INDIGO Development &
project proposal for the AF Change, Bettina Koelle
Each case study describes the geographical location, the themes driving the initiative, and details of the development and implementation
of the projects to deliver adaptation benefits and other positive impacts.
Nevertheless, the findings are important in unveiling the extend anti-salt dykes so as to avoid negative impacts (as
dynamics and realities of adaptation-differentiated im- in the above example)
pacts of climate change, including climate variability to-
undertake an impact assessment to inform further action
wards climate resilience. They provide a baseline assess-
and avoid maladaptation
ment on which future analyses of project implementation
progress can build. scale-up the provision of resources so that countries can
implement more comprehensive adaptation strategies
3.3 Key findings rather than single, stand-alone projects7.
The case studies show similarities and differences. Of Another common finding noted in the case studies is
course, it is quite difficult to compare the countries where that project implementation has triggered and reinforced
the case studies were conducted because of different inter-ministerial and inter-sectoral links and relationships.
national circumstances and the different nature of the Most of the countries have set up steering committees
Implementing Entities. Furthermore, projects have differ- dedicated solely to implementation of the project. It is
ent objectives. important to keep such committees alive beyond the life
of the project, to serve as a platform for exchange and
Regarding similarities, it was highlighted in almost all the
information-sharing.
case studies that the projects are welcome and timely be-
cause of growing demand for adaptation action. Not sur- However, it is evident that coordination within such groups,
prisingly, projects only address some key components of between national institutions, and among involved stake-
the more complex adaptation needs within each country. holders is critical and at the same time challenging. Key
Due to the significant, though modest, resources provided challenges have been identified by the multi-stakeholder
by the AF (maximum US$10 million per country), most of steering committees and these need to be addressed. It is
the case studies note that there are calls for increased thus important to maintain the momentum so as to further
resources. The rationale is that funded projects will have promote the exchange of views among the different par-
significant impacts only if other unfunded components of ties involved and the projects implemented.
national strategies they emanate from receive funding as
well. For instance, in Senegal the anti-salt dykes will pre- The level of awareness and information-sharing differs
vent salinization of some rice fields in Joal and will improve from country to country, but also from one Implementing
productivity. However, it was clear that some villages
________________________________
in the area are now noticing sea saltwater in their fields
7 One option could be that Senegal submits a subsequent project that would aim at
because of the dykes built upstream. To avoid the situa- expanding the anti-salt dyke, with a view to avoiding and addressing any negative
tion where an adaptation project in one region results in impacts of the infrastructure on neighbouring villages in Joal. The cost of the cur-
rent project is US$8,619,000, which, according to the $10 million cap, would still
maladaptation in another, it is vital to: leave US$1,381,000.
15Adaptation Fund NGO Projects • Independent insights
Entity to another. For example, the project in Nicaragua
has faced difficulties in getting access to important in- 1. Local stakeholders (local communities, NGOs and
formation from the government and to some extent from local government) must be involved from the begin-
the Implementing Entity, while in Honduras Implementing ning of the project design until the last stage of the
Entities have satisfied all information requests. It is inter- evaluation. It is too early to say whether the revised
esting to note that both projects are run by the United AFB guidance, which was approved at the 17th meet-
Nation Development Programme (UNDP). This points to ing (March 2012), will have sufficiently positive ef-
the importance of a country’s overall political situation fects in this regard.
and level of democratisation, and the consultative pro- 2. Related to inter-institutional and multi-stakeholder
cess undertaken from project design to implementation. coordination, the projects provide a useful oppor-
tunity to promote transparency and the free flow of
For instance, Senegal has one of most consolidated demo- information between institutions and communities.
cratic systems in Africa, and this is reflected in the way the
NIE has been identified, how the project is implemented 3. The establishment of synergies between all the
and how the NIE is dealing with other actors interested actors (government, beneficiaries, universities and
in the best outcomes of the project. Senegal is the only NGOs) seems to be the main route towards simplify-
country in which NGOs and local organisations are running ing processes and enhancing results.
the project as executing entities. 4. Ownership by targeted communities is easier to
In some countries, government institutions have been secure when the project contains some infrastructure
struggling among themselves to secure a central role in the components or tangible deliveries. It can be more
implementation of AF projects. In Pakistan, for example, difficult to effectively engage local communities in
changes in the ministerial set-up have contributed to de- projects with stronger capacity-building elements,
lays in project implementation. Such institutional conflicts such as setting up an early-warning system, although
in general there is an understanding that these prob-
can adversely affect project outcomes and may lead to
lems need to be addressed.
unnecessary delays.
5. Accreditation of the National Implementing Entity
It is also clear that a change of government through elec-
opens up opportunities for better governance of cli-
tion or change in the leadership of respective particular
mate finance and for strengthening the institutional
ministry could adversely affect a project. In Honduras, as
capacity of developing countries.
a way to provide for such a scenario, project stakehold-
ers signed an agreement in which institutions commit to 6. Direct access is not an impediment to forming di-
continuing their engagement in the respective project no rect links with local communities and engaging civil
matter who the lead institution might be in future. society as executing entities. On the contrary, it can
be a tool for enhancing dialogue between responsible
Last, but not the least, there are differences between the agencies and civil society.
consultative processes in the different projects examined.
While in some projects there was a strong and dynamic 7. Mainstreaming climate change adaptation projects
consultative process, in others there was a lack of inclusive and involving the most vulnerable groups are criti-
consultation. This issue has been emphasised as a key chal- cal and require a holistic approach.
lenge to be quickly and adequately addressed in order to
ensure the sustainability of the projects.
3.4 Some recommendations and the road ahead
The findings illustrate the fact that implementation
of adaptation projects presents issues and challenges
requiring multi-stakeholder and multi-institutional
engagement.
There is no specific solution that can be applied to all
countries, but some conclusions can be drawn from the
case studies, bearing in mind that projects are at differ-
ent stages and so findings are necessarily preliminary.
However, the strength of these preliminary views is that
they will be relevant throughout the course of project
implementation.
Drongagh Valley Glacier, Chitral, Pakistan
16Adaptation Fund NGO Projects • Independent insights
4 Honduras 4.1 Country background
Honduras has a variable climate with extremely hot and
Adaptation Fund profile wet areas on the Atlantic coast, cool and rainy areas in the
high mountains, and dry and hot areas in the south. None-
Project Title: Addressing climate change risks theless, these climate patterns are affected by topogra-
on water resources in Honduras; phy, changes in land use, rates of deforestation, and the
increased systemic resilience and re-
effects of climate variability dictated by the occurrence
duced vulnerability of the urban poor
of El Niño–Southern Oscillation (ENSO).
Project document: www.adaptation-fund.org/sites/
default/files/Hondorus%20Pro- Future climate scenarios for Honduras indicate that water
ject _ 0.pdf will become increasingly scarce due to climate change.
For example, a national study on future climate scenarios
Adaptation 17 September 2010
(Argeñal 2010), based on Intergovernmental Panel on
Fund Board
Climate Change (IPCC) scenarios, predicted a likely 5%
approval date:
decrease in annual rainfall by 2020 – particularly in depart-
Duration: 2011 to 2015 (five years) ments located in the northwest and in the southeast cor-
Budget: US$5,698,000; US$2,957,066 dis- ridor. It also projected a 0.5–0.75oC rise in mean annual
bursed as of November 2012 temperature, especially in departments in western and
southern regions. By 2050, a 20–25% decrease in precipi-
Implementation: United Nations Development Pro- tation is projected for most parts of the country between
gramme (UNDP) the months of June and August, with deficits exceeding
Execution: Natural Resources and Environment 30% for most areas during July and August – especially in
Secretariat (SERNA) western departments. This decrease in rainfall in the mid-
dle of the rainy season will mean that most of the country
State of In September 2012, the project is in
will experience longer periods of hot, dry weather – put-
implementation: its implementation phase, specifi-
ting crops at risk and leading to shortages of water for
cally, in the first semester of the sec-
human consumption. The pessimistic scenario for 2090
ond year.
presents a 30–40% decrease in precipitation with rises
Case study Fundación Vida, Honduras in temperature of more than 4°C in most of the country.
prepared by:
Overcoming the challenges of climate change in Honduras
is not an easy task, especially because impacts such as wa-
ter scarcity, higher temperatures, and intense rains during
extreme weather events severely affect major economic
activities. However, the government is now developing
policies and plans to improve resilience and reduce vulner-
ability. An example of this is the introduction into national
planning of processes for climate change adaptation and
mitigation, namely into the Nation Plan 2010-2022.
Likewise, the creation of a National Strategy for Cli-
mate Change (SERNA 2010) as an instrument within the
executive framework of a Climate Change Inter-insti-
tutional Committee (CCIC), serves as a guide for the
implementation of public policies on climate issues.
In addition, the government has created a National Climate
Change Directorship (NCCD) within SERNA, the country’s
Ministry of Natural Resources. This office serves as the
National Focal Point for the United Nations Framework
Convention on Climate Change (UNFCCC) and as the Des-
ignated National Authority (DNA) of the Kyoto Protocol
for Honduras. This directorship is in charge of coordinat-
ing actions to implement national policies for mitigation
of greenhouse gas emissions, as well as adaptation to the
Map: https://www.cia.gov/library/publications/the-world-factbook/geos/ho.html adverse effects of climate change.
17You can also read
