Taking adaptation to the ground: Community Adaptation Small Grants Facility in the Namakwa District Municipality Local Briefing Session, 22 October 2015 Presented by: Helen Karathanassis (Operational Project Manager at SouthSouthNorth (SSN), the Executing Entity)
Overview 1. Overall Project Plan 1.1. Project aim 1.2. Project components 1.3. Investment windows 2. Roles and Responsibilities 2.1. Governance structure, roles and responsibilities 2.2. Facilitating Agency roles and responsibilities 3. Granting Procedure 3.1. Granting process over project lifetime 3.2. Stage 1: Project concept 3.3. Stage 2: Detailed proposal 3.4. Indicative timeline 4. Eligibility Criteria and Monitoring and Evaluation (M&E) 4.1. Eligibility criteria 4.2. M&E Indicators 4.3. Reasons for M&E in the SGF project 4.4. M&E Process 5. Environmental and Social Policy (ESP) 5.1. Environmental and Social Policy 5.2. Adaptation Fund ESP principles
1.1. Project Aim The Community Adaptation Small Grant Facility The SGF aims to ensure that vulnerable, rural communities in the project target areas (Mopani and Namakwa District Municipalities) have reduced vulnerability and increased resilience to the anticipated impacts of climate variability and change.
1.2. Project Components 1. Providing small grants to vulnerable communities for projects that deliver tangible and sustainable benefits. (At least 12 small grants, approximately R 1 000 000 each) 2. Empowering local institutions to identify and implement adaptation response measures. (Capacity development support from local Facilitating Agencies) 3. Compiling and sharing lessons to facilitate future up-scaling and replication of enhanced direct access modalities. (Training needs assessments, local network, case studies and policy recommendations)
1.3. Investment Windows Adapta on ac ons through 3 Investment Windows Climate-smart Agriculture Climate-resilient Livelihoods Climate-proof Se lements 12 small grants in 2 target areas valued at US$ 1.5 million Introduction/increased use of heat-tolerant livestock. Construction of shade structures for livestock. Use of drought-resilient crops. Use of micro/drip-irrigation systems. Support to currently practiced, alternative livelihoods such as temperature controlled abalone farming Development of trader stalls to protect people and products from the heat. Diversification/alternative livelihoods develop other types of income (tourism activities, food gardens, etc.). Rainwater harvesting at the household level. Grey water recycling systems. Insulation of houses to reduce impacts of extreme temperatures. Planting of drought-resilient trees around human settlements.
2.1. Governance Structure, Roles and Responsibilities Na Na onal onal Designated Designated Authority: Funder: Adapta on Fund Department Authority: of Department Environmental of Environmental Affairs Affairs Na Naonal onal Implemen ng En ty: South African Na Naonal Biodiversity Ins tute Project governance Na onal NaImplemen onal ng Implemen En ty Steering En ty Steering Commi Commi ee ee Namakwa and Mopani Technical Advisory Groups (DEA, Namakwa/ Mopani District Municipality, Local Namakwa/Mopani Municipality, Namakwa/Mopani Provincial Dept, relevant na onal sector departments, ter ary ins tu ons, civil society & FA) Namakwa District: Conserva on South Africa ±6 Namakwa projects Execu ng En ty: SouthSouthNorth Facilita ng Agencies Mopani District: CHoiCe Trust 12 small grants in two target areas ±6 Mopani projects Project management and execu on Project Advisory Group (DEA, Namakwa Municipal Official, Mopani Municipal Official, Adapta on Network, NIE, EE & *SGF PMT) Key: Flow of funds Ongoing working rela onship Repor ng and tracking of funds SGF Project Management Team * Non-vo ng member
2.2. Facilitating Agency Roles and Responsibilities A Facilitating Agency (FA) in each district In the Namakwa District Conservation South Africa (CSA). Grantees will be in direct communication with the FA for day to day operations. Project development: Stage 1 - Calls for small grant project concepts Stage 2 - Detailed project proposals Technical Advisory Group (TAG) (project screening) Support: Operational support to grantees TAG (project screening, contextual) Reporting: Co-ordinate project progress and financial reviews Monitoring and Evaluation & Environmental and Social Safeguards
3.1. Granting Process over Project Lifetime Year 1 Year 1 Year 1 Year 1-4 End Year 4
3.2. Stage 1: Project Concept Stage 1: From an idea to a project concept (applicant, project concept & ESP I screening) FAs call for project concept & conduct briefing sessions Prospective Small Grant Recipients submit project concepts which FAs review & screen ESP I TAGs provide support & assists FAs to formulate recommendations EE reviews & tables summary recommendations with its decision at PAG meeting PAG review & recommendation EE makes final decision on project concepts Rework Declined Approved
3.1. Granting Process over Project Lifetime Year 1 Year 1 Year 1 Year 1-4 End Year 4
3.3. Stage 2: Detailed Proposal Stage 2: From an approved concept to a detailed proposal (detailed proposal & ESP II screening) FAs (with TAGs involvement) provide development support for detailed proposals Prospective Small Grant Recipients submit detailed proposal (including financial questionnaire) to FAs which FAs & TAGs review & screen ESP II EE reviews (technical, due diligence & ESP II) & tables summary recommendations with its decision at PAG meeting PAG review & recommendation EE makes final decision on detailed proposals Rework Declined Approved
3.4. Indicative Timeline 1/2 Namakwa - Indicative timeline until first grantees are contracted (Sept 2015 April 2016) Stage 1 from and idea to a project concept 28 September 2015: Issue call for concepts 22 October 2015: Official project launch and briefing sessions 23 October 2015: Optional training on climate change and proposal development 3 November 2015: End of question and answer opportunity 6 November 2015: Project concept application deadline 27 November 2015: Review and screen project concepts, FA recommendations to EE for review and subsequent tabling at PAG December 2015: Applicants will be notified of outcome (rework, declined, next stage) Stage 2 from an approved project concept to a detailed project proposal December 2015 27 January 2016: Submission of draft detailed proposals to FA 27 January 29 February 2016: Detailed proposal development & submission of detailed proposals deadline 1-20 March 2016: Review of proposals and tabling of recommendations at PAG and NIE SC
3.4. Indicative Timeline 2/2 Stage 3 contracting 27 March 2016: FA notifies prospective Small Grant Recipients of outcome of detailed proposal submission April 2016: Award first contract Activities post contracting Stage 4 implementation, monitoring and reporting Quarterly and annual site visits Quarterly and 6 monthly progress reports Periodic training and capacity building events Annual fora Mid-term review Terminal review
4.1. Eligibility Criteria Project concepts forms are submitted to FAs in English, typed and via email or delivered directly to FAs in hardcopy. Each concept will be screened against criteria that are directly linked to the project indicators. There are 24 eligibility criteria and all are addressed in the form. Broadly, the criteria fall with in the following categories: Capacity and track record Project motivation Project description Project impact
SGF Indicators 4.2. M&E Indicators 1/3 Table 1: Results based framework showing the indicators and targets (and contributors thereof) for the SGF Monitoring and Evaluation Framework. Note: Adaptation Fund indicators (highlighted in blue) are by default accounted for through reporting against the SGF Indicators. Key: Executing Entity (EE); Facilitating Agency (FA); Small Grant Recipient (SGR). Indicator No. Indicator description Baseline Target Means of verification Contributor to the target Objective 1 Objective 2 Objective 3 Outcome 1 Output 1.1-1 Number of vulnerable community members in project target areas with reduced risk to extreme weather events. Number of grant recipients with increased capacity to implement climate change adaptation projects. Number of policy briefs presented to South African National Treasury and domestic Green Fund reflecting on experiences of the Community Adaptation SGF and informing appropriate actions with a view to creating a climate adaptation finance mechanism that supports local level responses. Number of vulnerable community members with reduced risk to climate-driven impacts as a result of project interventions. Number of agricultural adaptation assets: number of livestock shelters; area (ha) under improved soil management; area (ha) under improved agroforestry; and area (ha) of improved drought resistant crops. 0 women and 0 men, 0 youth. 300 women, 300 men, 200 youth. Pre- and end-of-project gender-sensitive assessment of representative sample of project beneficiaries. 0 grant recipients. At least 12 grant recipients. Pre- and end-of-project assessment of grant recipients. SGR 0 policy briefs. 1 policy brief. Review of policy brief. FAs/EE 0 women and 0 men, 0 youth. 0 livestock shelters; 0 ha under improved soil management; 0 ha under improved agroforestry; and 0 ha of improved 300 women and 300 men, 200 youth. To be determined as small grant projects are approved, and finalised on submission of first NIE report to the AF at the end of Year 1. Pre- and end-of-project gender-sensitive assessment of representative sample of project beneficiaries. Review of small grant project reports, field inspections. SGR SGR SGR
SGF Indicators 4.2. M&E Indicators 2/3 Indicator No. Indicator description Baseline Target Means of verification Contributor to the target Output 1.1-2 Number of livelihood adaptation assets: 0 communal market To be determined as small Review of small grant project SGR number of communal market facilities; facilities; grant projects are approved, reports, field inspections. number of cooling facilities for food 0 cooling facilities for and finalised on submission of traders; food traders; first NIE report to the AF at number of shelters for vegetable 0 shelters for vegetable the end of Year 1. production; and production; and number of savings groups. 0 savings groups. Output 1.1-3 Outcome 2 Output 2.1-1 Output 2.1-2 Output 2.1-3 Output 2.1-4 Number of settlement adaptation assets: number of houses with improved insulation; area (ha) with improved coastal storm protection; number of improved river crossings; and area (ha) of rehabilitated wetlands and riparian systems. Number of Small Grant Recipients with increased capacity to implement adaptation projects that address risks to extreme weather events. Number of Small Grant Recipients with women within the management structures. Number of Small Grant Recipients new to climate change adaptation. Number of small grant recipients lead by civil society. Number of small grant recipients with civil society within the management structures. 0 houses with improved insulation; 0 ha with improved coastal storm protection; 0 improved river crossings; and 0 ha of rehabilitated wetlands and riparian systems. To be determined as small grant projects are approved, and finalised on submission of first NIE report to the AF at the end of Year 1. 0 small grant recipients. At least 12 small grant recipients. 0 small grant recipients. At least 10 small grant recipients. 0 small grant recipients. At least 8 small grant recipients. 0 small grant recipients. At least 8 small grant recipients. 0 small grant recipients. At least 12 small grant recipients. Review of small grant project reports, field inspections. Pre- and end-of-project assessment of small grant recipients. Review of grant project reports. Review of detailed project proposals from small grant recipients (highlighting management structures and previous climate change adaptation experience). Review of small grant project reports. Review of small grant project reports. SGR SGR SGR SGR SGR SGR
SGF Indicators Adaptation Fund Indicators 4.2. M&E Indicators 3/3 Indicator No. Indicator description Baseline Target Means of verification Contributor to the target Output 2.2 Number of project site visits by Facilitating 0 site visits. 192 site visits. Review of site visit reports. FAs Agents. Outcome 3 Number local level mechanisms developed to 0 local level mechanisms. 1 local level mechanism. Review of relevant documents, FAs/EE increase community resilience through direct including policy briefs, case access to climate finance. studies and training session summary reports. Output 3.1 Output 3.2 Output 3.3-1 Output 3.3-2 AF Outcome indicator 2.2 AF Outcome indicator 7 AF Output indicator 6.1.1 AF Output indicator 2.1.1 AF Output indicator 7.1 AF Core Impact indicator 1 AF Core Impact indicator 2 Number of training sessions to build local community capacity in inter alia climate change adaptation and financial management skills. Number of fora for grant recipients to share experiences at inter- and intra-municipal levels. Number of fora where project outcomes and relevant policy recommendations are presented. Number of case studies capturing beneficiary and grantee experiences Number of people with reduced risk to extreme weather events Climate change priorities are integrated into national development strategy. No. and type of adaptation assets (physical as well as knowledge) created in support of individual- or community-livelihood strategies. No. of staff trained to respond to, and mitigate impacts of, climate-related events. No., type, and sector of policies introduced or adjusted to address climate change risks. Direct beneficiaries supported by the project (total / female / youth) Indirect beneficiaries support by the project (total / female / youth) 0 training sessions. 10 training sessions. Review of training materials and training session summary reports. 0 fora. At least 4 fora. Review of proceedings/ summary reports from fora. 0 fora. At least 6 fora (4 local, 1 national and 1 international fora). Review of proceedings/ summary reports from fora. 0 case studies. At least 8 case studies. Review of case studies. SGR Set target in line with approved proposal Set target in line with approved proposal Set target in line with approved proposal Set target in line with EE approved proposal Set target in line with EE approved proposal 600 / 300 / 200 EE 1740 / 910 / 273 EE FAs/EE FAs/EE FAs/EE EE EE EE
4.3. Reason for M&E in the SGF Project Different mandates but one a joint M&E framework common goal, purpose, etc. = joint learning. Facilitates decision-making for implementation activities. Alignment with others M&E frameworks coordination and learning (NIE and/or DEA?). A requirement by the Adaptation Fund.
4.4. M&E Process Linked to SGF work plan and reporting M&E Framework (draft) EE s Standard Operating Procedures o o o Key monitoring processes: o Reporting cycle (quarterly financial & PPR SGRs, FAs, EE) o Site visits (quarterly - FAs, annually EE) o External/independent evaluation (mid-term and terminal review; ESP expert annually) Evaluations are usually external, at a fixed point in time, data validation, and measure overall project effectiveness. Planning and counting to reach our targets in the logframe/results-based framework.
5.1. Environmental and Social Policy What is ESP? Adaptation Fund (AF) Policy. It articulates AF s commitment to support projects that do not harm the environment, public health or vulnerable communities. There are 15 principles. Requires an Environmental and Social Management Plan (ESMP). Relation to the SGF? Project Proposal to AF Category B risk factor i.e. projects with possible but limited anticipated adverse environmental or social impacts. Limited: fewer in number, smaller in scale, less widespread, reversible or easily mitigated Any small grant projects that do not meet the requirement for a project with no significant risks in terms of the AF ESP, or a project with minor risks that can be mitigated, will be excluded. Applicability to the SGF? During the process of accrediting Implementing Entities (IEs); and During the process of project review. ESP shall be applied throughout all the project implementation phases, including design, execution, monitoring, and evaluation. Feedback to AF: Annual, mid-term and terminal performance reports. ESP dashboard
5.2. Adaptation Fund ESP Principles 1/2 # slide taken from presentation by Patricia Miller at AF Climate Finance Readiness Seminar #6, Washington DC, USA
5.2. Adaptation Fund ESP Principles 2/2 # slide taken from presentation by Patricia Miller at AF Climate Finance Readiness Seminar #6, Washington DC, USA
Thank you! CSA: Geniene Nero - gnero@conservation.org - 027 718 1565 Amanda Bourne abourne@conservation.org - 027 718 1565 SSN website: http://www.southsouthnorth.org http://bit.ly/1rb59yc