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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.

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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
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
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.
designated authority
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 authority1
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 authority2
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 authority3
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 authority4
Designated 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 process
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
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 requesting details on how to register as user in this workflow and access the online application form.

accreditation process1
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 process2
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 process3
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
Key Elements of Fiduciary Standard

(a) Financial Integrity and Management:

  • Legal Status
  • Financial Statements And Audit Requirements
  • Internal Control Framework
  • Preparation Of Business Plans And Budgets
key elements of fiduciary standard1
Key Elements of Fiduciary Standard

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

  • Procurement
  • Project Preparation and Approval
  • Project implementation Planning and Quality-at-entry Review
  • Project Monitoring and Evaluation
  • Project Closure and Final Evaluation
key elements of fiduciary standard2
Key Elements of Fiduciary Standard

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

  • Internal procedures to handle malpractices involving Financial Management and other aspects
  • Power delegation for internal investigation, monitoring and reporting
  • Measures to be taken against specific malpractices
  • Towards zero tolerance
unep regional support programme
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
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 services1
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
Demand driven

NIE Accreditation

Project Formulation

thank you

For more information:

Mozaharul Alam

Regional Climate Change Coordinator

United Nations Environment Programme (UNEP)