module 2unfcc related fundsglobal climate change ：模塊2內容相關的基金全球氣候變化

1、Global Climate Change Alliance: Intra-ACP ProgrammeTraining ModuleClimate Change FinanceModule 2 UNFCC related FundsMs Isabelle MamatySenior ExpertClimate Support FacilityModule Structure Adaptation FundLDCs Fund Special Climate change Fund (SCCF)GEF Trust FundStatus of the Green Fund 23Adaptation F

2、undAdaptation Fund (AF) Created in 2001 and operational in 2009Funding of concrete adaptation projects and programmes at community, country and sectoral levels in Developing countries Party to Kyoto ProtocolFunding: 2% proceeds from CDM + voluntary pledges of donorsAdministered by the World Bank on

3、interim basis Direct access for Developing countries4Typical supported Activities Water resources and land management, agriculture, infrastructure, healthMonitoring of diseases and vectors affected by climate change Capacity building for preventive measures and management of disasters related to cli

4、mate change Special attention to the particular needs of the most vulnerable countries and populationsStrengthening existing centers and information networks for responses to extreme weather events5Eligibility for Adaptation FundParties to Kyoto ProtocolVulnerable to adverse effects of Climate chang

5、e : low-lying coastal and other small island countries, countries fragile mountainous ecosystems, arid and semi-arid areas, and areas susceptible to floods, drought and desertification.Other criteria include: Level of vulnerability to climate change;Level of urgency and risks arising from delay of a

6、ction;Ensuring access to the fund in a balanced and equitable manner;Lessons learned in project and programme design and implementation to be captured;Securing regional co-benefits to the extent possible, where applicable;Potential for maximising multi-sectoral or cross-sectoral benefits;Adaptive ca

7、pacity to the effects of climate change;Potential for learning lessons in project and programme design and implementation.LDCs that are unable to access the Least Developed Countries Fund (LDCF) will also be given priority to AF fund6Accreditation process (1)Submission of Accreditation application b

8、ased on the fiduciary standards (Financial Integrity and Management; Requisite Institutional Capacity; Transparency and Self-Investigative Powers)If accreditation process successful, then the entity is eligible to submit applications as a National Implementing Entity (NIE), Regional Implementing Ent

9、ity (RIE) or Multilateral Entity (MIE)Only accredited entities are eligible to submit applications Applications should be endorsed by the Designated Authority (DA), which is a government official who act as point of contact for the AF.7Accreditation process (2)8From 3 months to 1 year Accreditation

10、valid for 5 years, and can be renewed, subject to reviewIf unsuccessful after 1 year process ends for a given applicantIf unsuccessful after 1 year process ends for a given applicantAccreditation can be revoked through due process if deemed necessaryFiduciary Standards Financial Integrity and Manage

11、mentAccurate and regular recording of transactions and balances, audited periodically by an independent firm or organizationManaging and disbursing funds efficiently and with safeguards to recipients on a timely basisProduce forward-looking plans and budgetsLegal status to contract with the AF and t

12、hird partiesInstitutional CapacityProcurement procedures which provide for transparent practices, including on competitionCapacity to undertake monitoring and evaluationAbility to identify, develop and appraise projects/programmesCompetence to manage or oversee the execution of the project/programme

13、 including ability to manage sub-recipients and support delivery and implementationTransparency and Self-Investigative PowersCompetence to deal with financial mismanagement and other forms of malpractice9Funding application process (1)Step 1: Read the Operational Policies and Guidelines for Parties

14、to access Resources from the Adaptation Fund Step 2: Eligible developing country Parties submit proposals to the AF Secretariat through NIEs, MIEs, or RIEsStep 3: The AF Secretariat screens proposals submitted by NIEs, MIEs, or RIEs and forwards technical reviews to the Project and Programme Review

15、Committee (PPRC)Step 4: PPRC reviews proposals and prepares recommendations for the BoardStep 5: Board decides on proposals: In case of project approval the AF Secretariat processes contracts with the NIE/MIE and the Trustee transfers resources for implementation - Reporting and disbursement directl

16、y to/from AF Secretariat on annual basis, based on planned disbursement schedule10Funding Application process (2)11Funding application Process (3)One step process: Submission of a fully-developed proposal for regular approval steps technical screening, PPRC recommendation, board approvalTwo step pro

17、cess: Concept submission for endorsement, then same as above12Project preparation aligned on Results Framework13Impact: Increased resilience at the community, national and regional levels to climate variability and changeOutcome 1: Reduced exposure at national level to climate-related hazards and th

18、reatsOutcome 2: Strengthened institutional capacity to reduce risks associated with climate-induced socioeconomic and environmental lossesOutcome 3: Strengthened awareness and ownership of adaptation and climate risk reduction processes at local levelOutcome 4: Increased adaptive capacity within rel

19、evant development and natural resource sectorsOutcome 5: Increased ecosystem resilience in response to climate change and variability induced stressOutcome 6: Diversified and strengthened livelihoods and sources of income for vulnerable people in targeted areasOutcome 7: Improved policies and regula

20、tions that promote and enforce resilience measuresAdaptation Fund: project documentPart I: Project InformationPart II: Project justificationPart III: Implementation arrangementsPart IV: Endorsement by government and certification by the implementing entityAnnexes: Incl. Detailed budget, consultation

21、s and alignment of project objectives based on adaptation Fund results Framework14Adaptation Fund in practice (1) Project sizesAverage project from first 36 projects reviewed is $7m USD“Temporary” cap of $10 m USD per country based on current AF capitalization situation“Regular” projects and program

22、s: $1 million USDSmall size: $1 million USD (no projects yet submitted)15Adaptation Fund in practice (2) Project cycle experienceAs of September 2011 (the 6th meeting of the PPRC), 32 concepts and 18 full proposals had been reviewed, representing a total of 36 different projects/programmesFor the fi

23、rst 11 approvals, time between submission and approval ranges from 9 weeks* to 15 months, with an average of 6.5 months53% of concepts approved at first submission; 39% of full proposals approved at first submissionFor 82% of the 11 approved projects, UNDP has served as the IE, and is responsible fo

24、r 63% of proposals submitted16Adaptation Fund in practice (3) Adaptation proposals by sector17Adaptation Fund in practice (4) Adaptation Proposals by vulnerability18Project Submission TipsSome tips for creating a successful proposal are among the findings in the project justification:Explain how the

25、 project is truly an adaptation project, as opposed to a business as usual development project;Show that climate change is the primary cause of the problem that the project will address;Offer adaptation measures that are suitable and adequate for addressing the identified climate threats;Meet the Fu

26、nds requirements for cost effectiveness;Specify the social, economic and environmental benefits of the project or programme.19Adaptation fund references Adaptation Fund - :// Adaptation Fund “Handbook” ://document/260-adaptation-fund-handbookAdaptation Fund Oper

27、ational Policies and Guidelines - ://policies_guidelinesList of National Designated Authorities: ://page/parties-designated-authoritiesList of Accredited National Implementing Entities - ://national-implementing-entitiesAdaptation Fund proposa

28、l submission materials - ://page/proposal-submission-materialsSummary of the Adaptation Fund accreditation process and toolkit - ://page/accreditation-process Adaptation Fund Secretariat Contacts - ://about/secretariatAdaptation Fund list of f

29、unded projects - ://funded_projects2021Least Developed Countries Fund (LDCF) LDCF creation Established at UNFCCC COP 7 in Marrakesh in 2001 and operational in 2002Funding on voluntary basisLDCF addresses the special needs of 48 LDCs, which are especially vulnerable to the adverse

30、impacts of climate changeMandated to support the preparation and implementation of National Adaptation Programmes of Action (NAPAs)GEF manages fund, World Bank serves as TrusteeGoverned by the LDCF/SCCF Council (meetings twice per year)Technical guidance provided by the LDC Expert Group (LEG)22LDCF

31、Status64 projects totalling $244.31m approved as of May 2012$213.8m available for approvals as of March 31, 2012Significant additional pledges since September 30, 2011“Equitable allocation”: Resources are divided evenly among LDCs; current approximate cap of $15m per LDC, rises with new depositsProp

32、osals approved on a rolling basisMSP (Medium-Sized Project) ceiling up to $2m for streamlined one-step approvals23LDCF Contingent on NAPAs“National adaptation programmes of action (NAPAs) provide a process for Least Developed Countries (LDCs) to identify priority activities that respond to their urg

33、ent and immediate needs to adapt to climate change those for which further delay would increase vulnerability and/or costs at a later stage”Completed by 47 of 48 LDCs (Myanmar To be completed)24Results Framework of the LDCF (1)Impact: Reduced absolute losses due to climate change, including variabil

34、ityObjective 1: Reduce vulnerability and increase adaptive capacity to address the adverse impacts of climate change, including variability25Objective 2: GEF Focal Area projects and programs increase resilience to climate changeThe project document should be based on the following results framework:

35、 Results Framework Outcomes (2)Objective 1 Expected OutcomesAdaptation objectives and budget allocations incorporated in broader development frameworksStrengthened institutional capacity to implement adaptation measuresAwareness raised on the impacts of climate changeRisk analysis and vulnerability

36、assessment incorporated as part of development programs and project planningAdaptation practices developed and implemented to respond to climate change-induced stresses linked to the global environment26Results Framework Outcomes (3)27Objective 2 Expected OutcomesAdaptation objectives and budget all

37、ocations incorporated in broader sector frameworksRisk analysis and vulnerability assessment incorporated as part of GEF programs and project designAdaptation practices developed and implemented to respond to climate change-induced stresses in sectors linked to GEF Focal AreasEnhanced climate resili

38、ence of relevant natural resources and ecosystemsEligibilityAll Least Developed Countries meeting the following criteria: Country ownership (country eligibility LDC party to the UNFCCC with completed NAPA, and country drivenness)Program and policy conformity (program conformity, project design, sust

39、ainability, stakeholder involvement)Financing (financing plan, cost-effectiveness)Institutional coordination and support (to eliminate duplication of efforts)Monitoring and evaluation (M&E plan, incl. indicators, baselines)Co-financing: Cost that would be incurred in Business-as-Usual scenario for a

40、 development activity28Funding principles LDCF funds concrete adaptation activities inthe form of investments needed for adaptationProjects cannot have as primary activities “soft” technical assistance in the form of studies, vulnerability assessment, training, capacity development, policy strengthe

41、ning, etc.Any planned activities of this nature have to be contributing to a larger project strategy involving investment for adaptationThis should be reflected in the relative budget proportions of the project plan29LDCF Proposal DevelopmentIdentify and cultivate a conceptRequest assistance from an

42、 implementing agency (among the 10 designated GEF agencies); each agency has a “comparative advantage” and should be selected accordinglySecure endorsement of the GEF Focal PointProject Preparation Grant (PPG): Optional availability in the two step approval process - no cap, but should be reasonable

43、 relative to expected project size (up to $150,000)One or two step approval process: One-step (“expedited”) Process for Medium/Size Projects (MSPs): May start with CEO Endorsement Request, but can also submit Project Identification Form (PIF) if PPG resources are requestedTwo-step Process for all Fu

44、ll Size Projects (FSPs) and MSPs requesting PPG funding: 1.) PIF approval; 2.) CEO Endorsement30LDCF project cycle Same Project Cycle as regular GEF projects, except for LDCF With some exceptionsGEF Secretariat has 10 business days to review PIFs; few PIFs are accepted without further revisionsPIF a

45、pproval triggers release of PPG fundingOnce PIF is approved by the GEF Secretariat, it is posted for LDCF/SCCF Council approval on a no-objection basis for 4 weeksSubmission of full project proposal document must be within 18 months of PIF approval (12 months for MSPs ($2m) 1 step process starts her

46、eAgain 10 business days for GEF Secretariat review, then CEO endorsement“Programmatic” approaches are also possible: Strategic long-term arrangement of individual but inter-linked projects, taking advantage of synergies and scale31Questions for review of proposed projectsWhat is the likely Business-

47、as-Usual development for the targeted sector, in the absence of climate change?What are the climate change vulnerabilities?With the LDCF investment, what are the specific adaptation activities to be implemented to increase the climate resilience of the baseline development activity?Does the project

48、respond to the highest priorities identified in the NAPA, and if not, why?32Who will implement the project and why? (Including comparative advantage of the implementing agency)Is the project being coordinated with related projects and programs to avoid duplication of activities?How will the project

49、components be weighted in terms of budget and why?What levels and sources of co-financing is the project expecting?GEF Implementing Agencies International Fund for Agricultural Development (IFAD)United Nations Development Programme (UNDP)United Nations Environment Programme (UNEP)United Nations Indu

50、strial Development Organization (UNIDO)World Bank33Asian Development Bank (ADB)African Development Bank (AFDB)European Bank for Reconstruction and Development (EBRD)Food and Agriculture Organization (FAO)Inter-American Development Bank (IADB)Funding from LDCF: additional Cost & Co-financing (1)LDCF

51、funds the “additional cost” of adapting to climate change projects should not include regular development activities that would take place in the absence of climate changeThe costs of adaptation additional to the Business-as-Usual (BAU) development scenario, referring to development activities that

52、would be implemented in the absence of climate change. LDCF is for measures that would not otherwise be necessary in the absence of climate change; i.e. would you be doing this if climate change did not exist? If yes, then it should not be considered for LDCF funding.34Funding from LDCF: additional

53、Cost & Co-financing (2)LDCF projects require co-financing in the form of development activities to be undertaken that require adaptation to climate changeStandalone projects can also be financed as long as the project is shown to be exclusively adaptation interventions not linked to BAU developmentC

54、o-financing can be bilateral or multi-lateral development assistance, government budget, civil society organization contributions, cash/grant, loan, soft loan, in-kind35LDCF in practice (1) : LDCF funding by sector36LDCF in practice (2): Development sectors prioritised in NAPAs (in %)37LDCF referenc

55、es LDCF overview: ://gef/LDCFLinks for information on accessing LDCF funds: ://gef/LDCF_FundsStep-by-step guide for implementing NAPAs: ://resource/docs/publications/ldc_napa2009.pdfPublication on accessing resources under the LDCF: ://gef/node/4433 LDCF/SCCF

56、programming strategy for adaptation for GEF-5: ://gef/pubs/Strategy_on_Adaptation_2011NAPAs submitted to the UNFCCC: ://cooperation_support/least_developed_countries_portal/submitted_napas/items/4585.php GEF online project database: :// 3839Special Climate Change Fun

57、d (SCCF) SCCF OverviewCreated in 2001 and operational in 2002Administered by the Global Environment Facility (GEF)Funding on a voluntary basis40SCCF Priorities Long term and short term activities on : Water resources managementLand management agriculture, health, infrastructure development, fragile

58、ecosystems, including mountainous ecosystems, and integrated coastal zone management.Like LDCF, SCCF funds concrete “hard” adaptation activities in the form of investments needed for adaptation41SCCF supported activities Four funding windows (areas of activities):adaptation to climate changetechnolo

59、gy transferenergy, transport, industry, agriculture, forestry and waste managementeconomic diversificationTo date only 1 and 2 active. 3& 4 still waiting for funds. 42 SCCF EligibilityNon-Annex 1 countries Priority to most vulnerable countries in Africa, Asia and small Island developing states (SIDS

60、)Small, medium or large projects : must address impacts of climate change in addition to basic development needs 43SCCF accessibilityFunding approval process follows same 1 step/2 step project cycle as GEF Trust Fund and LDCF (except rolling submission and $2m MSP of LDCF)One step process: Submissio