Does Climate Finance Support Institutional Adaptive Capacity in Caribbean Small Island and Developing States? An Analysis of the Green Climate Fund Readiness Grants
Abstract
:1. Introduction
- Whether the grants have led to more collaboration between ministries and the increased involvement of stakeholders (e.g., business sector and civil society organisation (CSO), and whether they have contributed to improving the integration of adaptation issues across ministries;
- Whether the Readiness Grants have promoted more (contribute to enhance) institutional adaptive capacity.
2. Conceptual Framework: Institutional Change in the Context of Climate Change Adaptation as Barrier and Enabler
2.1. Climate Change Adaptation and Institutional Changes
2.2. Efficiency and Coherence in Climate Change Adaptation Policies: The Concept of Policy Integration or Mainstreaming
- Enabling factors and barriers: the normative framework, political will, cognitive and analytical capacities, and institutional (organizational and procedural) arrangements [51].
- Integration levels: horizontal policy integration; vertical policy integration; stakeholder integration; knowledge integration; temporal integration [50].
- Integration as a process, an output or an outcome [5].
2.3. Institutional Adaptive Capacity
3. Materials and Methods
3.1. Rational and Research Focus
3.2. Assessing Adaptation Mainstreaming
- Programmatic mainstreaming: the modification of the implementing body’s sector work through the integration of aspects related to adaptation into on-the-ground operations, projects or programmes;
- Managerial mainstreaming: the modification of managerial and working structures, including internal formal and informal norms and job descriptions, the configuration of sections or departments, as well as personnel and financial assets, to better address and institutionalise aspects related to adaptation;
- Intra- and inter-organisational mainstreaming: the promotion of collaboration and networking with other departments, individual sections or stakeholders (i.e., other governmental and non-governmental organisations, educational and research bodies, and the general public) to generate shared understanding and knowledge, develop competence, and steer collective issues of adaptation;
- Regulatory mainstreaming: the modification of formal and informal planning procedures, including planning strategies and frameworks, regulations, policies, and legislation, and related instruments that lead to the integration of adaptation;
- Directed mainstreaming: higher-level support to redirect the focus to aspects related to mainstreaming adaptation by, e.g., providing topic-specific funding, promoting new projects, supporting staff education, and directing responsibilities.
3.3. Assessing Adaptive Capacity
4. Results: Assessing the Effects of Readiness Grants in SIDS
4.1. Contribution of Readiness Grants to Adaptation Integration
4.1.1. Brief Analysis of Common Needs and Barriers
- Limited staff capacity, pointing to the need to create new positions and implement ongoing training;
- A lack of baseline data, scattered or missing data, or data inaccuracies, and the need for higher-quality data collection and data analysis;
- A lack of monitoring and evaluation systems;
- A lack of required policies, processes or procedures, and a critical lack of financial resources and technical financial capacity;
- Limited knowledge and awareness of climate change issues at the national level, including key actors such as parliamentarians;
- The limited role, engagement, and awareness of the private sector;
- A need to strengthen coordination mechanisms.
4.1.2. Programmatic Mainstreaming
4.1.3. Managerial Mainstreaming
4.1.4. Inter–Intra Organisational Mainstreaming
4.1.5. Regulatory Mainstreaming
4.1.6. Directed Mainstreaming
4.2. Impacts of the Readiness Grants on Institutional Adaptive Capacity
4.2.1. Variety of Perspectives, Actors, and Solutions
4.2.2. Learning Capacity and Continuous Learning
4.2.3. Agile Planning and Autonomous Change
- The participative design of guiding documents, strategic plans, and the development of national plans, such as country programmes or NAP;
- National entities, local authorities, and stakeholders’ capacity building, either to promote their accreditation as an implementing entity, or the development of concept notes for funding;
- Alignment with national plans, ensured by a no objection procedure in Haiti. In addition, Belize centralised all climate finance into one department (Bz1, Bz2), and Antigua and Barbuda only has one accredited national implementing entity with the DoE.
4.2.4. Leadership
4.2.5. Access to Resources
4.2.6. Promotion of Fair Governance
4.2.7. Psychological Dimensions
4.2.8. A Positive Impact on a Limited Number of Institutions
5. Discussion
5.1. An Opportunistic Short-Term Move for Potential Long-Term Adaptation Integration
5.2. Divergent Strategies for Institutional Adaptive Capacity
6. Conclusions
Author Contributions
Funding
Data Availability Statement
Conflicts of Interest
Abbreviations
CARICOM | Caribbean Community |
CCA | Climate Change Adaptation |
CPI | Climate Policy Integration |
CSOs | Civil Society Organisations |
DCC | Direction of Climate Change |
DoE | Department of Environment (Antigua and Barbuda) |
EPI | Environmental Policy Integration |
GDP | Gross Domestic Product |
MFED | Ministry of Finance and Economic Development |
MoE | Ministry of Environment |
MRV | Measurement, Reporting and Verification |
NAP | National Adaptation Plan |
NCCPSAP | National Climate Change Policy, Strategy and Action Plan |
OECS | Organisation of Eastern Caribbean States |
PNCC | Politique Nationale sur les Changements Climatiques |
PSRC | Programme Stratégique pour la Résilience Climatique |
Readiness grants | Green Climate Fund Readiness Preparatory Support Programme |
SNAT | Schéma National d’Aménagement du Territoire |
SNGRD | Système National de Gestion des Risques et des Désastres |
Appendix A
Description |
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Caribbean SIDS are facing common climate change threats, but diversified impacts According to the 6th IPCC report on adaptation (Working Group II), SIDS are already facing many climate change impacts: temperature increases, stronger tropical cyclones, changes in rainfall patterns, more intense and repeated droughts, storm surges, sea-level rises (SLR), and threats to biodiversity such as coral bleaching or the growth of the number of invasive species [1]. People in coastal cities and rural communities have already been affected, along with almost all economic and social sectors: health, water, agriculture, infrastructure, and food security [1]. SLR is a particular threat, as it is estimated that in 2017, 22 million people in the Caribbean lived less than six metres above sea level [1]. Additionally, extreme weather events such as tropical cyclones are increasing in intensity and frequency; in 2017 alone, 22 out of the 29 Caribbean islands were affected by a Category 4 or 5 hurricane [1]. Although this overall picture applies to all Caribbean SIDS, the potential impacts of climate change are nuanced by countries’ particular vulnerabilities. Antigua and Barbuda Antigua and Barbuda is a Caribbean Small Island Developing State (SIDS) of around 456 km2 of land, divided into two inhabited islands and other small islands [24]. The country was ranked in 2012 by the World Bank amongst the top five countries most at risk of multiple hazards, “with 100% of their population and land area exposed to two or more environmental hazards” [24] (p. 6). Climate change impacts Antigua and Barbuda in two main ways: (i) physical impacts, and (ii) economic and social impacts. Sea-level rise (SLR), droughts, and hurricanes are of particular concern, as Antigua and Barbuda is composed of low-lying islands; 70 percent of Antigua is less than 30 m above sea level, and most of Barbuda less than 3 m above sea level [24]. Estimations indicate that given the current and projected levels of SLR, Antigua and Barbuda might lose 50.8 to 64.9 km2 of coastal land by 2080 (in other words, up to 14 percent of the country’s inhabited land) [28]. With climate change, droughts are also expected to become more intense and frequent (up to 81.8 percent of probability of severe droughts over a five-year period), with an average rainfall decline of around 26 percent under a business-as-usual scenario [24]. Droughts cause a particular strain on the water supply, with heavy reliance on water desalination plants running on fossil fuel energy (ibid). Finally, the country is particularly exposed to extreme weather events, with projection of direct hit by a tropical storm every six to seven years (ibid, p. 6). Extreme weather and other expected climate change impacts have a disproportionate bearing on Antigua and Barbuda’s already strained economy. Despite being ranked among higher-income countries, the country is socially fragile, with 14 percent of people unemployed and 18 percent below the poverty line [24]. External shocks can have a devastating impact on populations (it is estimated that an additional 10 percent of the population will be at risk of poverty in this case), infrastructures, and the country’s development as a whole (the economy depends on tourism, comprising 80 percent of the economy). For instance, in 2017, Hurricane Irma caused “damage and loss of USD155.1 million (10 percent of the Gross Domestic Product -GDP), impacting houses, public buildings, hotels, firms engaged in the tourism sector, and the safety nets of vulnerable households” [28], (p. 27). Such losses impacted the small-sized economy, which was already plagued with a heavy debt burden averaging 104.36 percent of the GDP in 2015 [62]. This debt limits the country’s fiscal ability to cope with climate change impacts with adequate adaptation or mitigation interventions (24). In addition, Antigua and Barbuda’s ability to attract international climate funds is limited by its high-income status [63], preventing the country from accessing concessional loans [28]. Belize Belize is classified as a SIDS and is ranked amongst the upper middle-income countries. It is rather large compared to other Caribbean SIDS, covering an area of around 22,967 km2, including 280 km of coastland. Around 42 percent of Belize’s population live in poverty [27]. Climate change is considered one of the biggest threats to the country’s development. It is estimated, depending on the projections, that Belize will witness a temperature increase of between 2 and 4 degrees Celsius by 2100, and a 20 percent increase in the intensity of rainfalls, while the rainy season will decrease by 7 and 8 percent [27]. The country is ranked third among small states for susceptibility to natural disasters, and fifth for climate change risks among SIDS [27,28]. The low-lying topography of the country makes Belize’s major infrastructures particularly at risk from flooding, storm surges, and SLR [28]. The capital city, Belize City, which is on the coast, is particularly exposed [27]. Extreme weather events are projected to have severe impacts on the country, with an average 7 percent GDP loss every year [28]. The country’s economy is reliant on agriculture, fisheries and tourism, sectors which will all be severely affected by climate change. Losses of 10 to 20 percent of agricultural production and annual losses of USD 12.5 million for fisheries are expected by 2100. SLR, extreme weather events, flooding, and vector-borne diseases are considered threats to the tourism industry, along with impacts on biodiversity (coral reefs) and the landscape (beaches). Total tourism income could decrease by up to USD 24 million a year [27]. Climate change could threaten the energy sector; changes in rainfall patterns and the anticipated decrease in precipitation coupled with increased evaporation could impact hydropower electricity generation, which represents around 50 percent of the country’s electricity [28]. Finally, Belize’s economy is vulnerable to the devastating consequences of extreme weather events, and the country is burdened by a high level of debt (around 100 percent of GDP), which limits its ability to make climate change adaptation investments [28]. Haiti Haiti is the only Caribbean SIDS amongst the world’s Least Developed Countries. The country is located at the heart of the Caribbean, and shares the island of Hispaniola with the Dominican Republic. It is one of the largest Caribbean SIDS, with a total land area of around 27,750 km2 and a territorial sea of 30,000 km2. Most of the Haitian territory is occupied by a mountainous landscape and steep slopes [32]. Haiti is the poorest country in the Latin American and Caribbean region, and is ranked 170 out of 189 countries in terms of human development [31]. Haiti is particularly vulnerable to extreme weather events; it is located in the path of hurricanes, and the country is regularly hit by tropical storms. It is estimated that over the last 20 years, the country lost an average of USD 400 million a year to climatic events [32]. Haiti is most affected by flooding, drought, intense rainfall, landslides, soil erosion, saltwater intrusion, and hurricanes. Haiti’s institutional, social, and economic fragility additionally aggravate the situation; deforestation and the lack of a proper water drainage system increase the impacts of hurricanes, storm surges, and flooding [30]. The current and expected impacts of climate change are likely to worsen; the average yearly temperature is projected to increase by 0.8 to 1 degree Celsius in 2030, annual rainfall is projected to decrease by 6 to 20 percent, and some studies predict an increase of up to 80 percent in category 4 and 5 hurricanes [32]. Other projections estimate an SLR increase of around 0.13 to 0.56 m by 2090, and that 50 percent of Haiti will be at risk of desertification by 2050 [30]. Flooding is of special concern for Haiti. The country’s urban centres, located in the alluvial plains of large river systems, are especially vulnerable to inundation risks. Hurricanes Hanna (2008), Sandy (2012), and Matthew (2016) caused intense floods, destroying many lives and buildings and causing an increase in water-borne diseases [30]. Extreme weather events linked to climate change often exacerbate other natural disasters; in 2021, tropical storm Grace hit the country shortly after a 7.2 magnitude earthquake struck the southern peninsula. Climate change’s strongest impacts are already being felt in the agriculture and fishing sectors, alongside affecting the availability of freshwater resources. The expected coupling of a decrease in annual rainfall with more intense downpours will negatively impact food productivity and worsen food security issues. Freshwater supplies will additionally be more vulnerable to the changes in precipitation and saltwater intrusions caused by storm surges [30]. Finally, Haiti’s overall lack of institutional capacity, adequate funding, and infrastructures are serious challenges to the country’s development and ability to address the current and expected impacts of climate change [32]. |
An uneven policy landscape to tackle climate change adaptation issues At the regional level, the Caribbean Community (CARICOM) unites fifteen Caribbean member states and five associate territories in a single market and foreign policy initiative. Its decisions are non-binding until ratified by Member States [64]. The CARICOM developed the 2009–2015 Regional Framework for Achieving Development Resilient to Climate Change, which was approved by the CARICOM Heads of Government in July 2009 [65,66]. The framework is designed as a piece of guidance for member States to follow climate-resilient development pathways, and comprises five strategic objectives; these include Strategic Element 1, which is to “Mainstream climate change adaptation strategies into the sustainable development agendas of the CARICOM Member States” [65]. Antigua and Barbuda Antigua and Barbuda has developed several policies to address climate change mitigation and adaptation; among them are the Policy Framework for Integrated Adaptation Planning and Management in Antigua and Barbuda (2002), the National Physical Development Plan (2012), the Medium-Term Development Strategy (2015), the National Comprehensive Disaster Management Policy and Strategy for Antigua and Barbuda (2015–2017), the Environmental Protection and Management Act (2015), the draft Building Code for the Organisation of Eastern Caribbean States (OECS), and the Coastal Zone Management Plan (2016) [25]. Belize The Ministry of Environment defines the climate policies and plans, and the Ministry of Finance and Economic Development (MFED) is responsible for resource mobilisation and climate finance. In terms of policy, the country is quite advanced, with what [28] refer to as “a well-articulated policy framework and sectoral strategies for resilience building” (p. 29), and “good example of effective mainstreaming of climate-related projects” (p. 47). Among those policies, Belize’s Nationally Determined Contribution [27] refers particularly to Horizon 2030 (national development framework); the National Climate Resilience Investment Plan 2013; the National Climate Change Policy, Strategy and Action Plan (NCCPSAP) (administrative and legislative framework, 2014); the National Energy Policy Framework (2014); and the Growth and Sustainable Development Strategy (2014). Haiti According to the Adaptation Communication prepared for CoP26, the Republic of Haiti lacks specific environmental and climate change policies, and its international treaties and legal framework are weak [32]. The current strategic documents referring to climate change and adaptation more specifically are the Programme Stratégique pour la Résilience Climatique (Strategic Programme for Climate Resiliences (PSRC)) (PSRC), Haiti’s Nationally Determined contribution (2015), Haiti’s Revised National Adaptation Plan of Action (2017), the Politique Nationale sur les Changements Climatiques (National Policy on Climatic Changes (PNCC)) (PNCC), and contributions from the Schéma National d’Aménagement du Territoire (National Land Use Plan (SNAT)) (SNAT) and the Système National de Gestion des Risques et des Désastres (National Framework for Disasters and Risk Management (SNGRD)) (SNGRD) [32]. To address those challenges, Caribbean SIDS rely on climate finance, and particularly concessional grants. Readiness Grants therefore have a key role to play to strengthen institutional capacity, and Section 2 details the methodology used to answer the research questions. |
Appendix B
Number | Doc Name | Country | Sector | Type of Project | Proposing Entity | Adaptation Focus | Date Submitted | Date Approved | Budget (USD) | Budget for Adaptation/Integration/Research area | Institutional Focus (Y/N/S) |
---|---|---|---|---|---|---|---|---|---|---|---|
AB-1 | multi-year-readiness-proposal-ab-doe | Antigua and Barbuda | Energy | Multi-Year Strategic Readiness for Antigua and Barbuda: Supporting Antigua and Barbuda’s NDCs implementation towards a transformation to Climate Resilient and Low-Emission Development Pathway by 2030 | Department of Environment, Ministry of Health and Environment (DoE) | Capacity building to support the project pipeline and the achievement of the country’s NDC’s targets | 30 August 2020 | 25 October 2021 | 2,836,551 | 1,034,220 | Y |
AB-2 | readiness-proposals-antigua-and-barbuda-ministry-health-and-environment-adaptation-planning | Antigua and Barbuda | Governance | National Adaptation Planning in Antigua and Barbuda (NAP) | Ministry of Health and Environment | Data collection, assessment, preparation of the NAP, development of a sustainable financing strategy | 26 January 2017 | 01 November 2017 | 3,000,000 | 2,621,500 | Y |
AB-3 | readiness-proposals-antigua-and-barbuda-department-environment-entity-support-strategic-framework | Antigua and Barbuda | Governance | Realizing direct access climate financing in Antigua and Barbuda and the Eastern Caribbean | Department of Environment, Ministry of Health and Environment | Supporting the accreditation of a national direct access entity through the accreditation of the Department of Environment. Readiness funding will also support the further development and submission of an Enhanced Direct Access (EDA) funding proposal, to include project activities in Dominica and Grenada and in partnership with the Organization of Eastern Caribbean States (OECS) Commission | 26 October 2016 | 01 March 2017 completed | 620,250 | 438,000 | Y |
AB-4 | readiness-proposals-antigua-and-barbuda-department-environment-entity-support | Antigua and Barbuda | Governance | Accelerating a transformational pipeline of Direct Access climate adaptation and mitigation projects in Antigua and Barbuda | Ministry of Health and Environment | National direct access entity meets all accreditation conditions and EDA funding proposal conditions; Accreditation Master Agreements (AMA) requirements are met annually and independent functions are strengthened using international best practice • Baseline gender assessment to guide transformational gender interventions in Antigua and Barbuda’s country programme • Strengthened climate rationale and evidence base for adaptation and mitigation interventions • Technology needs assessments for five sectors, including feasibility analyses and risk assessment annexes, to significantly advance the Country Programme pipeline | 30 April 2018 | 23 December 2018 | 931,000 | 791,200 | Y |
AB-5 | readiness-proposals-antigua-and-barbuda-department-environment-nda-strengthening-and-country | Antigua and Barbuda | Governance | NDA Strengthening and Country Programming | Environment Division, Ministry of Health and the Environment | Strengthening the NDA The NDA will hire consultants and procure services to build the capacity of the Environment Division and the Debt Management Unit that will be responsible for coordinating with other ministries on the Green Climate Fund (the Fund). Strategic frameworks for engagement with the Fund, including the preparation of country programmes. | 08 July 2015 | completed | 300,000 | N/A, | Y |
B-3 | 20211231-belize-pact-proposal | Belize | Governance | Enhancing Access for Climate Finance Opportunities, through pre accreditation support to Belize Social Investment Fund (BSIF) and Ministry of Economic Development-Belize and technical support for Belize National Protected Areas System (BNPAS) Entities, Belize | Protected Areas Conservation Trust (PACT) | To address the identified institutional gaps that inhibit Belize’s ability to successfully access climate finance through entities such as the GCF. | 16 June 2021 | 31 December 2021 | 600,000 | 505,060 | Y |
B-6 | readiness-proposals-belize-5cs-nda-strengthening-and-country-programming | Belize | Governance | NDA Strengthening and Country Programming | Caribbean Community Climate Change Centre | NDA capacity to undertake Fund-related responsibilities and engage national stakeholders strengthened Strategic framework for engagement with the Fund development | 14 December 2016 | completed | 300,000 | 300,000 | Y |
B-7 | readiness-proposals-belize-ccccc-entity-support | Belize | Governance and entity strengthening | Building Capacity for direct access to Climate Finance and Support for the accreditation of the Development Finance Cooperation and Social Investment Fund of Belize | Caribbean Community Climate Change Centre | to facilitate the preparation of nominated entities to meet GCF accreditation standards in areas such as environmental and social safeguards (ESS), the GCF gender policy, and project development, monitoring and evaluation. This will allow for national institutions to effectively administer resources from the GCF and other resources partners, ensuring high country ownership. | 15 September 2018 | 22 December 2018 | 355,365 | 214,000 | Y |
H-2 | readiness-proposals-haiti-undp-adaptation-planning | Haiti | Governance | Integrating climate change risks into national development planning processes in Haiti | United Nations Development Programme (UNDP) | Strengthen institutional and technical capacities for iterative development of NAP for an effective integration of CCA into national and sub-national coordination, planning and budgeting process. | 23 April 2018 | 15 May 2019 | 2,856,957 | 2,450,040 | Y |
H-3 | 20211231-haiti-ifdd-proposal | Haiti | Governance | Strengthening NDA Capacity for greater leadership on Climate Change Adaptation | Institut de la Francophonie pour le Développement Durable (IFDD) | (a) Strengthen the technical and operational capacities of the NDA and; (b) enhance stakeholder engagement mechanisms and processes | 26 June 2021 | 31 December 2021 | 300,000 | 255,354 | Y |
H-5 | readiness-proposals-haiti-undp-nda-strengthening-and-country-programming | Haiti | Governance | Green Climate Fund (GCF) Readiness Programme in Haiti | United Nations Development Programme (UNDP) | To support the Government of Haiti through its GCF Focal Point in strengthening their national capacities to effectively and efficiently plan for, access, manage, deploy and monitor climate financing in particular through the GCF. | 16 December 2016 | 05 June 2017 completed | 430,000 | 341,268 | Y |
H-6 | readiness-proposals-haiti-ccccc-nda-strengthening-and-country-programming | Haiti | Governance | Institutional Strengthening and Preparatory Support for the Republic of Haiti | Caribbean Community Climate Change Centre | To continue the strengthening of Haiti’s ministerial institutions and associated services in order to enhance the country’s ability to effectively manage climate risk, promote greater public/private partnerships, and mobilize climate resources. | 23 September 2018 | 22 December 2018 | 403,390 | 332,750 | Y |
Appendix C. Interview Questions
- Target interviewees
- -
- The actual projects and their implementation status;
- -
- The policy framework and institutional arrangements regarding climate change adaptation in a given country.
- Interview guide
- Questions set
- (i)
- General contextual questions
- Objective: Gaining a sense of who the interviewee is and his/her ability to give insightful/informed answers to the following questions.
- What is your function within the <Relevant department> ?
- You are currently acting a Nationally Designed Authority for the Green Climate Fund. What does this entail for you? How long have you been in this position?
- How is the department organised? How many people work in the department, and what is the turnover?
- (ii)
- Current climate change adaptation policy landscape
- Objective: Setting a baseline for the analysis and confirming information from the document review.
- 4.
- What are your country’s climate change adaptation institutional priorities?
- 5.
- What are your country’s climate change adaptation policy needs?
- (iii)
- Past and ongoing readiness projects
- Objective: Understanding the context of the grants and quickly assessing the respondents’ expectations of those grants.
- 6.
- There are currently XX GCF readiness projects underway in the country. Already, XX have been completed.
- 7.
- What are the main objectives of these projects? Do they target your institutional priority areas and needs?
- 8.
- What was your role in designing these projects? Did you take an active part in their development?
- (iv)
- Perception on the impact of the readiness projects: Would you say the Readiness Grants (respondents were asked to rank from 0 to 10 and to justify)…?
- Objective: Assessing the institutional adaptive capacity potential of the grants within the framework of the adaptive capacity wheel. Gaining a sense of change (before/after) and sustainability (temporary improvement or lasting change) through investigating the grants’ types of impact (normative, organisational/procedural, political, resources/capacities, etc.).
- 9.
- Promoted a diversity of approaches and favoured the intervention of a variety of actors in defining core adaptation policies?
- 10.
- Helped develop a culture of learning and knowledge sharing in the targeted institutions?
- 11.
- Led to the development of agile adaptation plans?
- 12.
- Adequately and sustainably developed the capacities of teams and their ability to reach for more resources?
- 13.
- Improved the accountability, transparency, and legitimacy of relevant institutions on climate change issues?
- 14.
- Favoured a collaborative leadership and more processes of exchanges between ministries?
- 15.
- Increased belief in the efficacy of adaptation actions and the overall motivation to implement adaptation policies?
- (v)
- Conclusion and close
- Objective: Drawing on the previous section, gaining a sense of what really works well and what needs to improve.
- 16.
- Overall, how do you think the grants helped your country to better adapt, at least in your institutional priority areas?
- 17.
- What would you suggest is needed for climate finance to be more impactful in your country at policy level?
Dimensions | Criterion |
---|---|
Variety/Diversity | Variety of problem frames |
Multi-actor, multi-level, multi-sector | |
Redundancy | |
Learning capacity | Trust |
Single-/double-loop learning | |
Discuss doubts | |
Institutional memory | |
Agile planning | Continuous access to information |
Act according to plan | |
Capacity to improvise | |
Leadership | Visionary |
Entrepreneurial | |
Collaborative | |
Resources | Authority |
Human resources | |
Financial resources | |
Fair governance | Legitimacy |
Equity | |
Responsiveness | |
Accountability | |
Psychological | Belief |
Motivation |
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Objective | Description |
---|---|
Capacity building for climate finance coordination | Countries established human, technical, and institutional capacity to drive low-emission and climate-resilient development, including through direct access to the GCF |
Strategies for climate finance implementation | Ambitious strategies implemented to guide GCF investment based on analyses of emissions reduction potential and climate vulnerability and risk, in complementarity with other sources of climate finance |
National adaptation plans and/or adaptation planning processes | National adaptation plan (NAP) and/or other adaptation planning processes formulated to catalyse public and private adaptation finance at scale |
Paradigm-shifting pipeline development | Priority-aligned and paradigm-shifting concept notes and funding proposals submitted by countries with least capacity, including LDCs, and direct access-accredited entities |
Knowledge sharing and learning (cross-cutting) | Increased levels of awareness, knowledge sharing, and learning that contribute to countries developing and implementing transformational projects in low-carbon and climate-resilient development pathways |
Dimensions | Definition and Aim | Corresponding Criteria |
---|---|---|
Variety/diversity | Assess whether a variety of sectors and a diversity of stakeholders were engaged and consulted in the making of the various Readiness outputs, and whether the Readiness Grants promoted a diversity of approaches in defining core adaptation policies. |
|
Learning capacity | Assess if the Readiness Grants favoured the development of a culture of learning and sharing in targeted ministries and across ministries, including increased monitoring and evaluation of activities. |
|
Room for autonomous change or agile planning | Assess the contribution of the Readiness Grants to the production of more agile adaptation plans, looking at the capacity of actors to access information, act according to a plan, or improvise. |
|
Leadership | Analyse the role of leadership to understand to what extent the Readiness Grants promoted a visionary, entrepreneurial, or collaborative leadership, and more processes of exchanges between Ministries. |
|
Resources | Assess the potential of the Readiness Grants to develop the capacity of core staff and their ability to access to more financial or technical support. |
|
Fair governance | Assess whether the Readiness Grants encouraged a higher degree of transparency, equity, accountability, and whether they strengthened the legitimacy of the institutions. |
|
Belief and motivation | Assess how the Readiness Grants contributed to an increase in belief in the efficacy of adaptation interventions and the overall motivation to implement adaptation policies at the national level. |
|
Criteria for Climate Adaptation Integration according to Wamsler and Pauleit [51] | Strengths | Weaknesses |
---|---|---|
Programmatic Mainstreaming | Climate finance planning Development of NAP (e.g., Haiti as a strategy non-binding) Participatory development of framework, multi-year documents (country programmes, NAP) Focus on baseline assessments and data collection to inform policies and plans |
|
Managerial Mainstreaming | Capacity-building interventions Creating new positions (consultants) Knowledge sharing mechanisms (workshops, platforms) |
|
Inter–Intra Organisation Mainstreaming: | Multiple provisions for stakeholder consultations Capacity-building interventions Focus on the engagement of the private sector References to regional/international cooperation on adaptation tools and planning |
|
Regulatory Mainstreaming | New sectoral legislative output (NAP, Antigua and Barbuda) Amendments of current regulations (Antigua and Barbuda only) |
|
Directed Mainstreaming | Mainstream climate finance and adaptation at all levels (Antigua and Barbuda only) |
|
Element | Criterion | Evaluation 1 |
---|---|---|
Variety | Problem frames and solutions | + |
Multi-actor, level and sector | ++ | |
Diversity | + | |
Redundancy | N/A | |
Learning capacity | Trust | + |
Single-loop learning | N/A | |
Double-loop learning | N/A | |
Discussion of doubts | + | |
Institutional memory | + | |
Agile planning and room for autonomous change | Continuous access to information | + |
Acting according to a plan | + | |
Ability to improvise | = | |
Leadership | Visionary | = |
Entrepreneurial | N/A | |
Collaborative | ++ | |
Resources | Authority | + |
Human | ++ | |
Financial | ++ | |
Fair governance | Legitimacy | + |
Equity | + | |
Responsiveness/Transparency | + | |
Accountability | ++ | |
Psychological | Belief | = |
Motivation | = |
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Ricci, L.; Mangenot, M. Does Climate Finance Support Institutional Adaptive Capacity in Caribbean Small Island and Developing States? An Analysis of the Green Climate Fund Readiness Grants. Climate 2023, 11, 144. https://doi.org/10.3390/cli11070144
Ricci L, Mangenot M. Does Climate Finance Support Institutional Adaptive Capacity in Caribbean Small Island and Developing States? An Analysis of the Green Climate Fund Readiness Grants. Climate. 2023; 11(7):144. https://doi.org/10.3390/cli11070144
Chicago/Turabian StyleRicci, Liana, and Maryline Mangenot. 2023. "Does Climate Finance Support Institutional Adaptive Capacity in Caribbean Small Island and Developing States? An Analysis of the Green Climate Fund Readiness Grants" Climate 11, no. 7: 144. https://doi.org/10.3390/cli11070144