SEAN-CC Regional Training SEAN-CC Regional Training Workshop: Building Capacity on Workshop: Building Capacity on

Access to Funds for Climate Change Access to Funds for Climate Change Adaptation InitiativesAdaptation Initiatives

NIE accreditation process

Mozaharul AlamRegional Climate Change Coordinator

UNEP Regional Office for Asia and the Pacific (ROAP)

About PresentationAbout Presentation

• Background of Adaptation Fund

• Modalities of Accessing Adaptation Fund

• Role of Designated Authority (DA)

• Accreditation Process for National Implementing Entities (NIEs)

• Key Elements of the Fiduciary Standard

• UNEP Support to the Countries

• Background of Adaptation Fund

• Modalities of Accessing Adaptation Fund

• Role of Designated Authority (DA)

• Accreditation Process for National Implementing Entities (NIEs)

• Key Elements of the Fiduciary Standard

• UNEP Support to the Countries

Background of Adaptation FundBackground of Adaptation Fund

The Adaptation Fund (AF) has been established under the Kyoto Protocol (KP) of the UNFCCC in 2001 in Marrakech

The governance structure and operational mechanism of the Adaptation Fund has been agreed in Bali in 2007

the operating entity of the Fund - the Adaptation Fund Board (AFB), and a Secretariat (the Global Environment Facility), and a Trustee (the World Bank)

The Fund is generated through share of proceeds from CDM project activities as well as through voluntary pledges of donor governments

Modalities of Accessing Adaptation FundsModalities of Accessing Adaptation Funds

AF allows countries to access fund through

Multilateral Implementing Entities (MIEs)

Regional Implementing Entities (RIEs)

National Implementing Entity (NIE)

Green Climate Fund (GCF) has also accepted the concept of direct access modality to support adaptation actions

Process of NIE accreditation and access of financial resources requires a country to meet certain requirements and standards.

Modalities of Accessing Adaptation FundModalities of Accessing Adaptation Fund

Designated AuthorityDesignated Authority

The Government focal point towards the Adaptation Fund Board / AFB Secretariat

Responsible for endorsing the use of selected implementation modality

NIE, MIE or RIE?

Which organization is the most suitable?

If NIE, which organization best meets criteria for applying accreditation?

Designated AuthorityDesignated Authority

Responsible for endorsing each project/ programme submitted for AF funding from the country

Understanding of the needs and priorities

Knowledge of adaptation-related and sector strategies and policies

Understanding of other adaptation activities taking place (avoidance of duplication)

Designated AuthorityDesignated Authority

“The Designated Authority shall confirm that the endorsed project/programme proposal is in

accordance with the government’s national or regional priorities in implementing adaptation

activities to reduce adverse impacts of, and risks posed by, climate change in the country or

region.”

Designated AuthorityDesignated Authority

Responsible for observing project/programme during implementation

Reviewing mid-term report

Ensuring that government continues to endorse

The Implementing Entity

The project or programme being implemented

Eligible to call off project implementation if it ceases to endorse the IE or the project

Designated AuthorityDesignated Authority

A person, not an institution

Clarity on authority

Specifically appointed to this task

Not automatically through other focal point roles, such as DNA, GEF Focal Point, etc.

Has to bear sufficient authority at the government level to perform this function.

The Accreditation ProcessThe Accreditation Process

1. Adaptation Fund Board sends letters to eligible parties to nominate a National Implementing Entity

In this regard letters were sent by the Board to the Permanent Representatives at the United Nations and the UNFCCC Focal points for all the eligible parties (countries)

2. The government of each eligible party is required to appoint a Designated Authority (DA).

3. The government/DA selects a potential National Implementing Entity (NIE) for accreditation by the Adaptation Fund.

Accreditation ProcessAccreditation Process

4. Applications for accreditation by potential National Implementing Entities (NIEs) should be sent online to the Adaptation Fund through the accreditation workflow system.

For this purpose the NIE is required to send an email to secretariat@adaptation-fund.org requesting details on how to register as user in this workflow and access the online application form.

Accreditation ProcessAccreditation Process

5. The Adaptation Fund Secretariat undertakes a preliminary review of the submitted application to check for completeness.

In case of gaps it communicates the gaps to the NIE.

The completed application along with the supporting documents is submitted to the Adaptation Fund Accreditation Panel for assessment.

Accreditation ProcessAccreditation Process

6. The Accreditation Panel undertakes a detailed assessment of the application. Based on the Assessment the Panel may:

i) Request additional information/clarification from the applicant entity.

ii) Could suggest to Board that an on-site visit is required.

iii) Could recommend that there are substantial gaps in certain areas of the Fiduciary Standards and the applicant entity needs to improve its capacity in those areas in order to attain accreditation

Accreditation ProcessAccreditation Process

7. In case of any of the above 3 situations the Adaptation Fund /Accreditation Panel interacts further with the applicant entity till necessary information/documentation has been provided by the applicant entity or the Panel feels that no further information is forthcoming.

8. Panel makes recommendation to AF Board.

9. Adaptation Fund Board makes a final decision on accreditation of entity

10. The Adaptation Fund Secretariat communicates the Board decision to the applicant entity

Key Elements of Fiduciary StandardKey Elements of Fiduciary Standard

(a) Financial Integrity and Management:

1. Legal Status

2. Financial Statements And Audit Requirements

3. Internal Control Framework

4. Preparation Of Business Plans And Budgets

Key Elements of Fiduciary StandardKey Elements of Fiduciary Standard

(b) Institutional Capacity: project management, oversight, M&E, project closure etc.

1. Procurement

2. Project Preparation and Approval

3. Project implementation Planning and Quality-at-entry Review

4. Project Monitoring and Evaluation

5. Project Closure and Final Evaluation

Key Elements of Fiduciary StandardKey Elements of Fiduciary Standard

(c) Transparency and Self-investigative Powers: Competence to deal with financial mismanagement and other forms of malpractice

1. Internal procedures to handle malpractices involving Financial Management and other aspects

2. Power delegation for internal investigation, monitoring and reporting

3. Measures to be taken against specific malpractices

4. Towards zero tolerance

UNEP Regional Support Programme

UNEP support is demand-driven Support at any stage of DA Customized support Network of strong experts on DA Regional Help Desk Community of Practice Regional knowledge sharing workshop

UNEP’s a-la-carte services

NIE accreditation support Support NIE identification and selection

Support assessment of capacity gaps

Assistance on capacity development

Support accreditation application and address feedback from AF

UNEP’s a-la-carte services

Project formulation support

Checklist for identification of adaptation projects

Assistance in implementation modality

Guidance on project preparation

Primary assessment of project proposals

Demand driven

NIE Identification

Support

ProjectIdentification

Checklist

Implemen-tation

ModalitySupport Project

PreparationGuidance

PrimaryAssessmentOf ProjectProposals

AccreditationApplication

Support

CapacityDevelopment

Support

Capacity gapAssessment

Support

Country requests

NIE Accreditation

Project Formulation

THANK YOU !

For more information:Mozaharul Alam

Regional Climate Change CoordinatorUnited Nations Environment Programme (UNEP)

Email: mozaharul.alam@unep.orgWeb: www.unep.org/climatechange