NAP Process and Actions10 Case Studies in the Asia-Pacifi c Region 2016

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FO R E W O R D

A variety of stakeholders in developing countries have greatly contributed to mainstream-ing adaptation into national development strategies and plans in diff erent ways (national

adaptation planning (NAP) process) as well as implementing adaptation actions, which are compatible with sustainable development. Bilateral and multilateral donors have provided support to such process and implementation of actions in developing countries. Th ere are a variety of experiences of, best practices of, and lessons learned from each process and action, however, they have not been well shared among relevant actors.

Th is is the reason why the Ministry of the Environment, Japan decided to develop case studies of the NAP processes and adaptation actions in diff erent sectors which have been implement-ed in the Asia-Pacifi c region from Fiscal year 2015.

With the support of the governments, NGOs, relevant multi/bi-lateral agencies and experts, we conducted case studies and gathered them in this booklet. Additionally, we plan to hold a workshop, followed by last year’s, to further spread awareness of these NAP processes and adaptation actions.

Th is booklet consists of ten case studies (fi ve for the NAP processes and fi ve for adaptation actions), summary of lessons learned from the studies, and processes of donors’ assistance. It is our hope that this booklet, along with last year’s, will help policy makers and any other rele-vant stakeholders to learn lessons and good practices from these NAP process and adaptation actions, and to utilize them into further planning and actions in the future.

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CO N T E N T S

FOREWORD 2

1 INTRODUCTION 4

2 SUMMARY OF LESSONS LEARNED FROM CASE STUDIES 6

3 PROCEDURE FOR RECEIVING SUPPORT FROM MULTI / BI-LATERAL AGENCIES 11

CONCLUSION 15

ANNEX － CASE STUDIESI. Adaptation Policy Planning

1-1 Linking Across Scales: National and State Adap-tation Planning Process in India and the State of West Bengal

1-2 Th e NAP formulation process of utilizing the exist-ing LAPA framework for refl ecting communities’ needs and active involvement of relevant agencies

1-3 National Adaptation Planning Process Linked to Disaster Risk Management in Samoa

1-4 Interactive and Cross-cutting Approach for Na-tional Adaptation Planning in Sri Lanka

1-5 Th ailand’s Eff ective Adaptation Planning Process based on Data Collection and Risk Assessments

II. Implementing Adaptation Measures

2-1 Community-based Adaptation to Climate Change through Coastal Aff orestation in Bangladesh

2-2 Diversifi cation of Livelihoods, Technology Adop-tion and Natural Resource Management of Small and Marginal Farmers in West Bengal, India

2-3 Community Based Flood and Glacial Lake Outburst Risk Reduction Project (CFGORRP) in Nepal

2-4 Enhancing Resilience of Coastal Communities in Samoa to Climate Change aft er Cyclone Evan

2-5 Ecosystem-based Water Management in Upper River Basins in Th ailand

ACKNOWLEDGEMENTS

Th e authors would like to thank the following people for taking the time to share their insights and experiences in preparing case studies and this booklet.[BANGLADESH] Md. Fazlur Rahman, Jashim, Md. Nahid Hossain and Jahangir Talukder (Hatia)[INDIA] S. Satapathy (MoEFCC), Dipanjana Maulik (West Bengal), Saroj Kumar Jena (NABARD), P.G. Dhar Chakrabarti (TERI), Ardhendu Sekhar Chatterjee, Sujit Mitra, Sudip Banoju (DRCSC), Kirtiman Awasthi, Somya Bhatt, Nidhi Madan (GIZ) and Preeti Soni (UNDP)[NEPAL] Naresh Sharma, Batu Krishna Uprety, Karuna Adhikaree, Kirti Kusum Joshi, Anli Kumar KC, Sita (MoPE), Rishi Ram Sharma, Rajendra Sharma, Binod Parajuli (DHM), Bidhya Pokhrel (JICA), Deepak Rijal (USAID), Vijaya P. Singh (UNDP), Giovanna Gioli, Sagar Ratna Bajracharya and Jiwah Tamang (ICIMOD)[SAMOA] Anne Rasmussen, Filomena Nelson (MNRE), Iulai Laveato, Litara Taulealo (MoF), Espen Ronenberg, Diane McFadzien, Taito Nakalevu, Peniamina Leavai (SPREP) and Yvette Kerslake (UNDP) [SRI LANKA] Sunimal Jayathunga (MOE), Inoka Suraweera, Lakshman Gamlath (MOH), Athula Senarathne, Kanchana Wickrama (IPS), Vositha Wijenayake (CANSA), Buddhi Marambe and B.V.R. Punyawardena (University of Peradeniya)[THAILAND] Phirun Saiyasitpanich, Kollawat Sakhakara, Orathai Ongrattana, Ukrit Yonthantham, Ekarut Archeewa (MONRE), Sakphinit Padungkij, Kanchadin Srapratoom, Th anakorn Jatawong, Watchara Suidee, Arthon Suttigarn, Adisorn Champathong, Akarapon Houbcharaun (MOAC), Th ongchai Roachanakanan (MOI), Nontawat Junjareon, Th anya Kiatiwat, Tetsuro Usui (Kasetsert University), Pawin Talerngsri (UNDP), Roland Treitler, Falk J. Monber, Marie Rossetti and Wiriya Puntub (GIZ)And Special Th anks to Mikko Ollikainen (AF), Roland Sundstrom (GEF), John Furlow (USAID), Masato Kawanishi, Ichiro Sato (JICA), Osamu Koyama (JIRCAS), Kiyoshi Takahashi, Yasuaki Hijioka (NIES), Taikan Oki and Toshio Koike (the University of Tokyo) .

CONTRIBUTORS

Shintaro Bunya, Yuuki Okuma, Tsuyoshi Inoue, Izumi Tohbo, Takuya Nakashima (Mitsubishi Research Institute, Inc.), Saleemul Huq, Feisal Rahman (ICCCAD), Shiro Chikamatsu (2ES), Paramesh Nandy and Mahendra Kumar

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The IPCC Fift h Assessment Report states that many of the changes observed in the climate sys-tem since the 1950s have been unprecedented over periods ranging from decades to millennia.

Continued GHG emissions will cause further long-lasting changes, increasing the likelihood of severe, pervasive, and irreversible impacts on the environment. To reduce and manage the potential risks of climate change, it is important to implement adaptation measures together with mitigation eff orts. To cope with the impacts of climate change, both developed and developing countries have engaged in mainstreaming adaptation into mid- and long-term national development plans and other relevant plans and actions. To meet requests from developing countries, international communities have coop-erated to assist their work.

At the 21st Session of the Conference of the Parties to the United Nations Framework Convention on Climate Change (COP21) in December 2015, 195 countries signed the Paris Agreement. Th is Agreement establishes the global goal of “enhancing adaptive capacity, strengthening resilience, and reducing vulnerability to climate change,” encourages parties to strengthen adaptation eff orts, and asks parties to report on their priorities, needs, plans and actions. Th e adaptation goals of this Agreement are expected to be aligned with the post-2015 international agreements (i.e. Sustainable Development Goals (SDGs) and Sendai Framework for Disaster Risk Reduction 2015-2030).

Th is booklet is the sequel to “NAP Process and Actions 2015 (10 Case studies and Lessons),” which was compiled last year (see the URL below). Th is booklet examines ten actual case studies (four pages each) in the Asia-Pacifi c region, and outlines the background, institutional arrangements and lessons learned, and policy recommendations for each case study (attached in the Annex). Each case study was conducted through literature reviews and interviews with multiple relevant stakeholders such as policy makers of ministries and local governments, researchers, international organizations, and donors. Th e countries examined diff er from those in last year’s booklet. Based on these case studies, a summary of lessons learned from the NAP process and its implementation was developed in an inductive way.

“NAP Process and Actions 2015(10 Case studies and Lessons)” https://www.env.go.jp/en/earth/cc/case_studies.html

IN T R O D U C T I O N1

Figure1-1 Countries Surveyed in FY 2015 and in FY 2016

PAPUANEW

GUINEAI N D O N E S I A

PHILIPPINES

INDIAINDIA

THAILANDVIETNAM

MALAYSIA

SINGAPORE

BRUNEI

FIJI

CAMBODIA

MYANMAR

BANGLADESHNEPAL

SRI LANKA

SAMOA

FY 2016

FY 2015

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Japan’s National Adaptation Plan

Th e Government of Japan formulated the National Adaptation Plan which was decided by the Cabinet in November 2015. Th is document is structured as follows. Part I provides Basic Concepts of the Plan including Basic Principles and Basic Approaches. Part II describes Basic Directions for Measures in Each Sector, name-ly, Agriculture, Forest/Forestry, Fisheries, Water Environment, Water Resources, Natural Ecosystems, Natural Disasters, Coastal Areas, Human Health, Industrial and Economic Activity, Life of Citizen, Urban Life. Part III provides Basic and International Measures.Going forward, Japan intends to actively contribute to enhanced adaptive capacity in other countries, by in-ternationally sharing its knowledge, experience, and technologies for adaptation, including through this docu-ment. Th e detail can be found at:http://www.env.go.jp/en/earth/cc/nationalplan151127-2.pdf

Intro duc tion

Sharing Climate Risk and Other Information

Regarding observation data that has been organized systematically and data and information relating to cli-mate projections and impact assessments, it is necessary that the relevant government ministries and agencies collaborate to prepare information platforms and provide the information broadly to the actors. To this end, adaptation information platform is being run by the Ministry of the Environment, Japan, and the concept of the web-based platform is shown below.

Support for Developing Countries

Regarding support for developing countries, including small island developing states that are vulnerable to climate change, the Government of Japan provides cooperation for climate change impact assessments and the formulation of adaptation plans in developing countries, through actions such as creating collaborative frame-works with partner governments and the related institutions, based on Japan’s experience with adaptation plan formulation.

Th e Government of Japan contributes to human resource development in the area of adaptation by broadly sharing Japan’s experience and fi ndings, through international networks such as the Asia Pacifi c Adaptation Network (APAN) and Global Adaptation Network (GAN).

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SUMMARY OF LESSONS LEARNED FROM CASE STUDIES

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This section summarizes the fi ndings of the 10 case studies (see Annex). Sharing the lessons learned from these studies could provide useful information for eff ectively developing and improving

adaptation plans, and implementing adaptation measures. Th is updated chart is based on the case studies carried out in FY 2015 (refer to Introduction in this booklet).

Th e chart below shows 11 key elements in mainstreaming adaptation into development strategies and plans and implementing adaptation measures, extracted from the case studies. Th ese elements can be grouped into fi ve categories: Institutional Arrangements, Assessing and Planning, Implementation, Monitoring and Evaluation (M&E), and Capacity Building.

Th e following sections discuss the key issues aforementioned, accompanied by specifi c examples from the case studies. Detailed information can be found in the individual case studies.

Assessingand

Planning

Monitoringand

EvaluationImplementation

6. Ensuring Funding Sourcesand Allocating Budgetfor Implementation

10. Monitoring and Evaluation for Policy Reviews and Updates

7. Scaling up Local Activities

8. Enhancing Actions in the Local Level

9. Sharing Local Knowledge and Experiences

Mainstreaming Adaptation

Capacity Building11. Enhancing Awareness and Participation

Institutional Arrangements1. Inter-Ministerial Coordination in National Government2. Coordination between National and Local Governments3. Involving Various Stakeholders4. Coordination for Data and Knowledge Management

Assessing Risks and Adaptation Options

5.

Figure 2-1 11 Key Elements for Mainstreaming Adaptation

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Summary of Lessons Learned from Case Studies

Institutional Arrangements1. Inter-ministerial Coordination in National Government

In the process of mainstreaming adaptation into national development plans and other relevant sectoral plans, inter-ministerial coordination is essential. Adaptation policies and measures in major strategies and plans should be harmonized to optimize limited resources. There are several mechanisms that enhance inter-ministerial coordination, which can be selected based on the situation in each country.

● In Nepal, a stakeholder map was created to identify the chair ministry of each thematic and cross-cutting area. Levels of “infl uence” and “interest” of stakeholders were assessed for each area and mapped based on the results of the assessment. Th is process was facilitated by the Ministry of Population and Environment (MoPE) with the active participation of stakeholders. (1-2 Nepal)

● Th e National Adaptation Plan for Climate Change Impacts (NAPCCI) in Sri Lanka actively proposed mechanisms for tackling cross-cutting issues. Th e issues were identifi ed in

the consultation process of NAP. Examples of mechanisms are the National Working Group (NWG) and Climate Adaptation Cells (CACs). (1-4 Sri Lanka)

● In Th ailand, there are three Sub National Committees un-der the National Committee on Climate Charge (NCCC), each responsible for a particular NAP process (political process, implementation and funding). Th ese subcom-mittees help government offi cials address issues specifi c to a particular NAP process for strengthening the govern-ment’s institutional capacities to combat climate change. (1-5 Th ailand)

2. Coordination Between National and Local Governments

Coordination between national and local governments is critical when implementing the national adaptation plan at a local level and implementing adaptation actions. It is essential to establish an organization and/or make a framework that connects stakeholders at national and local levels. Bottom-up planning can meet local needs directly and help implement the plan eff ectively.

● In India, Th e Common Framework for State Action Plan by MOEFCC facilitated the completion of state-level action plans (SAPCCs) by providing methodologies for planning, while refl ecting regional scale vulnerability. Th is resulted in the establishment of SAPCCs by the majority of states in India. (1-1 India)

● Th e local-level stakeholder consultation process for imple-menting LAPA provided the Government of Nepal with a local-level “Wish List,” in which short-term needs are put in LAPA, and medium- and long-term needs are incorpo-rated into NAP. Taking a bottom-up approach, Nepal puts particular emphasis on understanding the real needs of the most vulnerable communities. (1-2 Nepal)

3. Involving Various Stakeholders

Establishing a participatory process for various stakeholders is important, given that adaptation actions cannot be implemented by governmental agencies alone. Incorporating opinions and suggestions of stakeholders including NGOs, universities, and communities will lead to a smooth, eff ective, and comprehensive implementation of plans or projects in each country. The circumstances of each stakeholder need to be taken into account, especially when adopting a community-based approach.

● Active participation of women brings new insights and perspectives to the project in Bangladesh. Co-Management Committees (CMC), established in each activity area, stip-ulate that at least three women should be included among Committee members. It is desirable to support women’s participation by shortening the distance between home and workplace, and providing opportunities other than heavy labor through technical education. (2-1 Bangladesh)

● DRCSC, a local NGO in West Bengal, coordinates state-level and district-level authorities including volunteers, com-munities and Climate Resource Centre at a district level to provide support to participating farmers. Knowledge

and experience of local experts such as those working in NGOs improve the probability of the successful imple-mentation of adaptation measures. (2-2 India)

● A toolkit designed to support climate change practitioners in the Pacifi c islands region integrates a gender perspective into their programs and projects. Mainstreaming gender perspective requires responsive institutional arrangements, political will and commitment, gender awareness and skills, and dedicated resources. Th is toolkit can help climate change practitioners in the Pacifi c region main-stream gender into their climate change initiatives. (2-4

Samoa)

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4. Coordination for Data and Knowledge Management

Data collection is critical for planning, implementing, and monitoring adaptation policies and measures. Adaptation-related data and information, disseminated across diff erent agencies and project areas, should be gathered and stored in a common data-sharing platform. Furthermore, information and communication systems are needed to make the necessary information available to many stakeholders.

● In Th ailand, the Th ai Research Fund (TRF) under the Ministry of Science signed the Memorandum of Under-standing with Ministry of Natural Resources and Environ-ment (MONRE). Based on the results of the vulnerability assessments, MONRE can ask TRF for the necessary data on climate change. TRF then collects the data by contact-ing universities, research institutions, and local communi-ties. (1-5 Th ailand)

● Th ere is a need to develop a knowledge management strategy to improve access to data, information, and expe-rience on climate change. Doing so will allow government institutions to better plan and allocate budgets for climate change adaptation. Samoa has been supported and funded

under diff erent programs and projects, which are useful but rather piecemeal and uncoordinated. (1-3 Samoa)

● In India, climate and agriculture experts have been in-volved in providing farmers with more accurate weather forecasts and agriculture advisories. A well-designed system of information technologies and manual assistance from volunteers successfully sends the collected weather in-formation to experts and sends back weather prediction and needed advisory messages to farmers. Th e system uses mobile phone networks and community information boards maintained by volunteers to make the necessary information available to all farmers despite language bar-riers. (2-2 India)

Assessing and Planning 5. Assessing Risks and Adaptation Options

Vulnerability and risk assessments are eff ective for successful planning, even if these contain some uncertainties. These analyses can be used to evaluate and analyze adaptation actions needed in the future, and to achieve a clear and common understanding. Climate and sea-level rise projections based on scientifi c knowledge make these assessments more accurate.

● In Th ailand, the ADAP-T project of SATREPS focuses mainly on adaptation methods for the local eff ects of climate change by assessing adaptation measures and co-designing action plans. Th e results of the ADAP-T project will be reported to ONEP and used in the planning process mainly for impact assessments and local planning in order to revise the master plan. (1-5 Th ailand)

● Cyclone Evan exposed some technical problems with sea-walls. Hard infrastructures need to be designed based on a detailed understanding of the surrounding coastal and

watershed environment and fl ood conveyance routes. Th is should include coastal and fl ood-risk modeling, as well as climate and sea-level projections. (2-4 Samoa)

● Th e MOEFCC in India provided the “the 4x4 Assessment,” a regional-scale climate change impact assessment to the states. Th e assessment was done in four regions for four key sectors (agriculture, water, natural ecosystems and biodiversity, and human health), and served as a basis for state-level vulnerability assessments. (1-1 India)

6. Ensuring Funding Sources and Allocating Budget for Implementation

Even if national adaptation strategies and plans are developed, such strategies and plans do not function well without suffi cient budget allocation. It would be useful to link such strategies and plans with other related national development plans and sectoral plans that already have their own budget allocations. Furthermore, ensuring funding sources is necessary to implement adaptation actions. Allocating national and international budgets for actions that focus specifi cally on adaptation is crucial.

● In India, there are multiple funding opportunities for implementing adaptation actions: state budget, National Adaptation Fund, and international funding. Th e National Adaptation Fund serves as an opportunity for funding adaptation activities at a local scale, particularly in vulnerable areas. (1-1 India)

● In Samoa, the Ministry of Finance (MOF) is responsible for coordinating the country’s key sectors that contribute to the national development strategy and program ob-jectives, in line with a sector-wide strategy. Th is role of MOF puts the ministry in the best position for facilitating development of the necessary cross-sectoral mechanisms and structures. (1-3 Samoa)

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Summary of Lessons Learned from Case Studies

with not only local communities, but also local or upper levels of government to extend the project and start the similar project at a new site. (2-5 Th ailand)

● In the community based adaptation project in Bangladesh, the objectives and benefi ts of the project, as well as the risks of climate change, were only known by the com-munities involved and supporting entities. Information should be disseminated to potential stakeholders to gain their support of the project. (2-1 Bangladesh)

Implementation7. Scaling up Local Activities

Regional-level cooperation among local governments is crucial for eff ectively implementing adaptation projects. Through intensive communication with several relevant local governments, it is possible to upscale local-level actions to regional and national levels. It is necessary to create opportunities to share the information obtained through the project within and across communities.

● In India, knowledge and experience of local NGOs on pilot areas and their human resources ensure practical planning, due to a deep understanding of the characteristics of the areas and the successful involvement of local communi-ties. Commitment of nationwide organizations such as NABARD is essential for upscaling pilot projects. (2-2 India)

● In the ECOSWat project in Th ailand, various stakehold-ers (i.e. local community) and Water Resource Regional Offi ce in the area are implementing activities together. It is important to develop a systematic stakeholder structure

8. Enhancing Actions in the Local Level

Developing adaptation strategies and / or plans is insuffi cient to implement adaptation actions. It is important for the government to consider how to involve local stakeholders in the project, especially during its implementation phase. Developing the local stakeholder’s ownership of adaptation activities by providing incentives is also essential for project sustainability, especially in adaptation projects, which often require time to show their eff ects.

● In the CFGORRP project in Nepal, community members participated from the planning stage, which included creating a fl ood map, identifying evacuation routes, and designating evacuation points. Th e project also employed community members for constructing fl ood mitigation and disaster relief infrastructures. As a result, the commu-nity developed a sense of ownership for the project and acquired knowhow. (2-3 Nepal)

● GIZ and the Th ai Government decided to fund ECOSWat

before and aft er its planning and design phase, respec-tively. Transferring ownership of the project to the bene-fi ciaries is eff ective for selecting sustainable measures and enhancing stakeholder participation. (2-5 Th ailand)

● In Bangladesh, the motivation of benefi ciaries towards the project depended heavily on their needs and demands. Th erefore, transparency, fairness, and consistency should be considered in the process of selecting benefi ciaries. (2-1

Bangladesh)

9. Sharing Local Knowledge and Experience

It is important to collaborate with local communities and incorporate local knowledge and experience to ensure that adaptation policies and measures can be implemented eff ectively. Sometimes, adaptation actions have already been taken by local communities, which have their own networks for disseminating information and local knowledge in an area. The existing local network should be considered when actions are developed and implemented.

● In Nepal, an early warning system made by the CFGORRP project has been operated by local commu-nities even aft er the project fi nished. Th is success can be attributed to the collaboration between upstream and downstream communities. Th e project used existing social structures of upstream and downstream commu-nities, as well as training and awareness-raising programs between those communities. (2-3 Nepal)

● Incorporating indigenous knowledge into ecosystem-

based adaptation projects should correspond to the situations of the regions. A tailor-made measurement list of the area, which added the area’s local knowledge, was eff ective for encouraging the cooperation and under-standing of local committees and residents. (2-5 Th ailand)

● In India, adopting an existing fi nancial support mecha-nism, such as a farmer’s mutual loan system, gives inter-ventions a better chance to be self-sustaining even aft er the termination of the program. (2-2 India)

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Capacity Building11. Enhancing Awareness and Participation

When implementing adaptation actions in local areas, several options can be taken to make the action successful. One possible way is to develop guidance for implementing adaptation actions. Another is to establish a training system for local stakeholders. In particular, community-based adaptation projects rely on the degree to which participants understand the vulnerability of the area where they live and recognize the need to respond to climate change.

● Active participation among stakeholders is achieved during the process of draft ing NAP by leveraging in-creased awareness of climate change impacts. Awareness has been raised by recent experiences of natural disasters, such as droughts and fl oods. (1-4 Sri Lanka)

● When decision makers understand climate risks, and the options to reduce such risks, they make informed and better decisions. Th e PACC project team in Samoa is now developing the “Living with Rivers and Seas” manual to provide clear guidance on how to design, construct, and monitor river and sea defense schemes in the future. (2-4

Samoa)

● In India, capacity building of numerous communities has been conducted effi ciently through sessions off ered not to individuals but to groups of farmers. Successful benefi cia-ries oft en become enthusiastic leaders, voluntarily visiting neighboring communities to transfer technologies. (2-2

India)

● In the community based adaptation project in Bangladesh, it took time to educate participants on the importance of adapting to climate change and preparing for its impacts. In this project, the Triple F Model was introduced to the community, and participants were encouraged to recog-nize the importance of using limited natural resources effi ciently. (2-1 Bangladesh)

● For suffi cient communications among interested parties and increasing transparency of them, the Nepal govern-ment developed the Climate Change Budget Code, which traces budget allocations towards climate change related activities, and provides a code for each development and capital budget. Th e transparency of budget use is ensured through this coding practice. Th e annual governmental budget for climate change can be monitored with this pro-cess. (1-2 Nepal)

● Th e Ministry of Agriculture and Cooperatives in Th ailand, supported by UNDP, made the Climate Change Benefi t Assessment (CCBA) General Guideline. Stakeholders would be better informed by using the CCBA, which addresses climate change not as a “choice” but as a “re-sponsibility” that needs to be fulfi lled in order to conduct business as usual. (1-5 Th ailand)

Monitoring & Evaluation (M&E)10. Monitoring and Evaluation for Policy Reviews and Updates

Adaptation policies and measures should be monitored and evaluated based on a series of criteria. The results will be useful for operating the policies and measures and improving them continuously. The methodologies will play an important role for enhancing the transparency of the policy framework. Capacity building for local governments should also be enhanced to achieve further implementation of adaptation actions nationwide.

Photo courtesy of Dr. Mahandra KumarA model used by MNRE Samoa for awareness raising

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Photo courtesy of Dr. Mahandra Kumar

PROCEDURE FOR RECEIVING SUPPORT FROM MULTI / BI-LATERAL AGENCIES

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Multi / bi-lateral agencies provide fi nancial and technical support to developing countries that have performed national adaptation planning (NAP) procedures and implemented adapta-

tion actions. Th is section introduces forms of assistance the United States Agency for International Development (USAID), the Global Environment Facility (GEF), and the Adaptation Fund (AF) provide.

One of the important requirements is that recipient countries communicate their needs on adaptation to a donor’s branch offi ce in a neighboring country in order to prioritize their requests.

Information in this section is mainly based on survey results from email correspondence with USAID, GEF, and AF, and their websites. Note that it does not represent the offi cial views of each agency.

Refer to last year’s booklet (see Introduction in this booklet) for the procedures to receive support from Japan International Cooperation Agency (JICA), Asian Development Bank (ADB), and Th e Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH.

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1. The U.S. Agency for International Development (USAID)Th e U.S. Agency for International Development (USAID) off ers bilateral fi nancial assistance for adaptation initiatives in developing countries. Th e agency’s assistance programs under the government’s Global Climate Change Initiative (GCCI) consist of Adaptation Programs, Clean Energy Programs, and Sustainable Landscapes Programs. Under Adaptation Programs, USAID provides direct adaptation funds to more than 30 countries, assisting them to improve policies at all levels, and access, tailor, and apply weather and climate information to reach better decisions, reduce vulnerability, and increase resilience to climate change.

Th e agency generally follows the steps below in its grant and contract process.

● Th e Agency can pursue an acquisition or assistance award as further defi ned below:● Acquisition refers to obtaining goods and services, through various

types of contract, for the use or benefi t of the Agency. For contracts, USAID typically exercises a higher level of control over the partner in obtaining results.

● Assistance refers to transferring funds (or other valuables) from USAID to another party for implementing programs that contribute to the public good and further the objectives of the Foreign Assis-tance Act. For grants, USAID does not need substantial involvement

with program implementation, while for cooperative agreements, USAID is substantially involved with the recipient in program im-plementation.

● Although not specifi cally identifi ed as “market research” for assistance, USAID may reach out to potential applicants and use Grants.gov to get comments and feedback on specifi c proposed programs.

● For further information, please refer to the following USAID website: https://www.usaid.gov/work-usaid/get-grant-or-contract/grant-and-

contract-process.

Notes

1. Project DesignUSAID Mission develops an overarching fi ve-year Country Development Cooperation Strategy with substantial input from partner governments, industry, civil society, and development partners to under-stand challenges and resources available. USAID then designs projects and creates an implementation plan and an A&A strategy which includes consideration of the various mechanisms at its disposal.

2. Identifying RequirementsUSAID works towards defi ning the results to be accomplished under discrete activities, which may be obtained through an assistance or contract award.

3. Market ResearchUSAID conducts market research to determine how best to implement our development objectives for delivering foreign assistance. During this step, USAID acquires information on the level of local capacity available and the participation of small businesses, as well as the feasibility of requirements.

4. Agency Business ForecastOnce USAID has decided to pursue an acquisition or assistance award, it will inform the public through an Agency Business Forecast posted at FBO.gov for contracts, Grants.gov for assistance. 

5. SolicitationThe solicitation provides a description of the requirements or program, and how USAID will evaluate the applicant. USAID uses various methods to publish the solicitation: Requests for Quotations or Proposals, Requests for Application and Annual Program Statements, Ocean transportation and commodities/goods, and Consultant Opportunities. The specifi c objectives of any grant or contract solicitation may vary depending on the geographic location and objectives of the operating unit (USAID country Mission or headquarters offi ce) managing the solicitation.

6. EvaluationTypical evaluation criteria include: 1) Past Performance (does not have to be USAID past performance); 2) Technical Approach; 3) Personnel; 4) Corporate capability; and 5) Management plans.

7. Negotiation Your organization may be contacted by the Bureau for Management’s Offi ce of Acquisition & Assistance (M/OAA) Agreement or Contracting Offi cers who are located in Washington or overseas if your proposal or application is being considered for an award.

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2. Global Environmental Facility (GEF)Established during the 1992 Rio Earth Summit, the Global Environmental Facility (GEF) is a fi nancial mechanism for key international environmental conventions that serves to tackle the world’s most pressing environmental issues. Since then, it has become an international partnership of 183 countries, international institutions, nongovernmental organizations (NGOs), and the private sector. GEF is a mechanism for adapting to climate change, managing two United Nations Framework Convention on Climate Change (UNFCCC) funds for adaptation—the Least Developed Countries Fund and the Special Climate Change Fund.

● Countries may be eligible for GEF funding in one of two ways: a) if the country has ratifi ed the conventions the GEF serves and conforms with the eligibility criteria decided by the Conference of the Parties of each convention; or b) if the country is eligible to receive World Bank (IBRD and/or IDA) fi nancing or if it is an eligible recipient of UNDP technical assistance through its target for resource assignments from the core.

● Th e project must be driven by the country (rather than by an external partner) and be consistent with national priorities that support sustain-able development. Besides, the project has to address one or more of the GEF focal area strategies (Biodiversity, International Waters, Land Degradation, Chemicals and Waste, and Climate Change Mitigation, as well as cross-cutting issues such as sustainable forest management).

● Th e project has to seek GEF fi nancing only for the agreed incremental costs on measures to achieve global environmental benefi ts. Th e project

must also involve the public in project design and implementation, fol-lowing the Policy on Public Involvement in GEF-Financed Projects and the respective guidelines.

● Th ere are four types project: full-sized projects, medium-sized projects, enabling activities, and programmatic approaches. Each project has a diff erent project cycle. For templates and guidelines of the respective project cycles, refer to the following website:

http://www.thegef.org/about/funding/project-types

● Please refer to the project cycle for each funding modality on the fol-lowing website:

http://beta.thegef.org/documents/project-cycle

● For further information, refer to the following website: https://www.thegef.org/gef/who_can_apply

1. Contact Operational Focal Point (OFP) in the countryPrior to submitting the proposal to the GEF, the idea should be discussed with the Operational Focal Point (OFP). The OFP is responsible for reviewing and endorsing projects to ensure consistency with national priorities.

2. Meet the Eligibility CriteriaThe project or program must fulfi ll the eligibility criteria set by the GEF.

3. Choose a GEF AgencyThe GEF Agency is responsible for developing and implementing projects and programs. Refer to the document “Comparative Advances of the GEF Agencies” when selecting the agency.

4. Select ModalityThere are four modalities: full-sized projects, medium-sized projects, enabling activities, and programs. Choose the modality that is most appropriate to the project that will be submitted. Civil Society Organizations can apply for GEF grants through the Small Grants Programme.

5. Submit the ProposalEach funding modality follows its own project cycles.

Procedure for Receiving Support from Multi/Bi-Lateral Agencies

Notes

14

3. Adaptation Fund (AF)Th e Adaptation Fund (AF) is an international fund that fi nances adaptation projects and programs in developing countries that are Parties to the Kyoto Protocol and are especially vulnerable to the adverse eff ects of climate change. Although offi cially launched in 2007, it was established in 2001 at the 7th Conference of the Parties (COP7) to the UNFCCC in Marrakech, Morocco. Th e AF is supervised and managed by the Adaptation Fund Board (AFB) composed of 16 members and 16 alternates, who meet at least twice a year. Since 2010, it has committed USD 354.9 million in 61 countries to climate adaptation and resilience activities.

1. Accreditation of Implementing AgenciesInstitutions must be accredited to receive funding for adaptation projects and programmes. Accredited institutions can be categorized into one of the following: National Implementing Entities (NIEs), Regional Implementing Entities (RIEs), and Multilateral Implementing Entity (MIE) [See Note below]. Accreditation would follow a transparent and systematic process through an Adaptation Fund Accreditation Panel (the Panel) supported by the Secretariat.

2. Proposal Submission to the SecretariatOnce accredited, the institution may submit project proposals aligned with the priorities set by the AFB. Each proposal has to be endorsed in writing by the Designated Authority of the country where the proposal is planned to take place.

3. Initial Screening of the ProposalThe proposal will go through initial screening.

4. Project/Programme Review and ApprovalProposals may undergo either a one-step or two-step approval process. Funding will only be reserved for a project/programme after approval of a fully developed project document.

5. Project/Programme Formulation Grants (PFGs)Only activities related to country costs are eligible for funding through a PFG. This means PFGs are only awarded to NIEs. PFGs are meant to cover the costs of developing an endorsed concept (1st stage of proposal in the two-stage process) into a fully-developed project document (2nd stage).

6. Transfer of FundsThe Board may ask the institution to submit a progress review prior to each tranche transfer. If there is evidence that funds have been misappropriated, the Board may suspend the transfer of funds.

7. Monitoring and Evaluation The implementing entity is responsible for overseeing monitoring and evaluation of the project, and will be required to submit annual project performance reports to the Board, based on its own more fre-quent monitoring. The implementing entity is also required to conduct mid-term review and a terminal evaluation carried out by an independent evaluator.

● Although the Adaptation Fund launched in 2015 is a pilot program for regional projects, which has some procedural diff erences, this booklet focuses on procedures for single-country projects.

● Accreditation standards encompass four broad categories: 1) legal sta-tus, 2) fi nancial and management integrity, 3) institutional capacity, and 4) transparency, self-investigation, and anti-corruption. Th e ac-creditation process also looks at two cross-cutting issues: compliance with the Adaptation Fund Environmental and Social Policy and com-pliance with its Gender Policy.

● Proposals are accepted three times a year: twice before the biannual AFB meetings and once during an intersessional review cycle. Refer to the events calendar on the following AF website for upcoming submis-sion deadlines:

https://www.adaptation-fund.org/news-and-events/events-calendar/.

● For further information, please refer to the following AF website: https://www.adaptation-fund.org/apply-funding/.

Notes

15

C limate change is a global issue. Adapting to climate change is challenging for both developed and developing countries. All countries will continue to design and implement policies and measures

for adaptation, taking into consideration diff erent aspects, including region, geography, meteorology, and culture. Many countries have made eff orts to mainstream adaptation into their national plans, enhance adaptive capacity, and fi nd better solutions uniquely suited to their needs. Everyone who has been engaged in the process can contribute to sharing experience on mainstreaming adaptation into existing development policies.

Th e Ministry of the Environment, Japan (MOEJ) conducted ten case studies and identifi ed key el-ements for mainstreaming adaptation based on the lessons of the case studies. Th is booklet shares technical tips provided by the three aid agencies, and describes lessons learned and policy recommen-dations of each case study. It was compiled based on feedback from policy makers and other relevant stakeholders who are actually facing and addressing the issues.

We would like to extend our gratitude to the interviewees of each country and experts who have given us helpful support along the way in conducting these case studies. With their support, we were able to get useful and practical information and derive many lessons from each case study.

From our case studies, the importance of inter-ministerial coordination, establishing a participato-ry approach, and cooperating beyond provinces and sectors during the processes of mainstreaming adaptation were identifi ed as common key elements. Similarly, a coordination mechanism for data collection is identifi ed as a common challenging issue in most countries. Developing the capacity to collect and analyze scientifi c data and information is crucial for further improving climate change projections and impact assessments. Furthermore, scaling up local activities, which should be led mainly by local stakeholders, is important to successful implementation of adaptation actives.

MOEJ hopes that this booklet will benefi t everyone who is interested in climate change adaptation policies and measures, and will stimulate the interest and motivation of all stakeholders.

CO N C LU S I O N

Planning and Editorial Supervisor: Ministry of the Environment, Japan

Editing: Mitsubishi Research Institute, Inc.

Design: Nikkei BP Consulting, Inc.