SEAN-CC Regional Training Workshop:
Building Capacity on Access to Funds for
Climate Change Adaptation Initiatives
NIE accreditation process
Mozaharul Alam
Regional Climate Change Coordinator
UNEP Regional Office for Asia and the Pacific (ROAP)
About 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


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 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 Fund
Designated 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 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 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 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 Authority

A person, not an institution


Specifically appointed to this task


Clarity on authority
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 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 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 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 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 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 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 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-atentry Review
4. Project Monitoring and Evaluation
5. Project Closure and Final Evaluation
Key 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
Project
Identification
Checklist
Implementation
Modality
Support
Project Formulation
Capacity gap
Assessment
Support
Country
requests
Project
Preparation
Guidance
NIE Accreditation
Capacity
Development
Support
Accreditation
Application
Support
Primary
Assessment
Of Project
Proposals
THANK YOU !
For more information:
Mozaharul Alam
Regional Climate Change Coordinator
United Nations Environment Programme (UNEP)
Email: mozaharul.alam@unep.org
Web: www.unep.org/climatechange