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Policy Paper November 2009

CLIMATE CHANGE AND ADAPTATION


RESPONSE: Principles and approaches
for field programs

C
For more information, limate change poses one of the most serious 21st century challenges to global poverty re-
please contact: duction and economic development. Though least responsible, developing countries face
the impacts of climate change first and worst, and have the least capacity to cope. Without
Vanessa Dick decisive measures that incorporate lessons learned from a range of integrated environment and
Senior Legislative Associate for development efforts, vulnerable populations and development objectives are in jeopardy.
International Development Support for climate change adaptation measures, strengthened resilience and disaster risk re-
InterAction duction is critically urgent to minimize vulnerabilities and protect productive resources for devel-
vdick@interaction.org opment.
1. Climate change threatens livelihoods and food and water supplies by damaging the eco-
Brian Greenberg logical base on which those depend. The vulnerability of poor communities is caused by a
Director of Sustainable lack of capacity to cope with these climate impacts.
Development
InterAction 2. Lessons learned from integrated conservation and development programs provide useful
bgreenberg@interaction.org guidance on ways to mainstream climate adaptation into more effective development and
disaster risk reduction programs.
Linda Poteat
Director, Disaster Response 3. The scale of international funding for climate adaptation will need to match the scope and
InterAction magnitude of the problem, and institutional arrangements should respect basic equity
lpoteat@interaction.org principles.

4. With ongoing operations in most countries of the developing world, US NGOs have un-
paralleled familiarity with the varying contexts in which adaptation and development pro-
grams take place, and should be recognized as valuable partners.

The Response to Climate Change:


Bigger Expected Impacts Require More Robust Adaptation
• Recent evidence confirms that climate change is happening with greater speed and in-
tensity than the Intergovernmental Panel on Climate Change predicted even two years
ago.1
• The US must put in place immediate and scientifically sound emissions reductions tar-
gets. Yet even if global emissions stopped immediately, past emissions will lock in major
temperature increases and climate changes. The magnitude and effects of these chang-
www.InterAction.org es make decisive adaptation efforts essential.
• The poor of the developing world are least responsible for climate change, but will
most directly and immediately bear its consequences. Climate change will slow or reverse
1400 16th Street, NW
Suite 210
Washington, DC 20036 1 United Nations Environment Program, 2009, Climate Change Science Compendium, 2009, UNEP, Nairobi, Kenya. Avail-
202-667-8227 able online at: http://www.unep.org/compendium2009.
progress in achieving the Millennium Development Goals Africa, will face exposure to floods and cyclones. Low-
(MDGs), putting at greater risk the livelihoods and well-be- lying islands will face an even greater threat as more
ing of the world’s poorest communities. powerful storms interact with a rise in sea level.
• Among the many negative impacts of climate change that ◊ Ecosystems: The degradation of productive local eco-
can confidently be predicted are: systems will cause climate-affected populations to mi-
◊ Agriculture: Increasing temperatures and changing grate in search of water, food and livelihood opportuni-
seasons will lower crop yields, especially in tropical and ties. This will greatly increase the pressure on remaining
semi-arid countries. Agricultural production in many forests and agricultural landscapes, further accelerating
African countries will likely be especially hard hit, with resource demands and environmental degradation. Re-
yields declining by 20-50% according to reliable esti- source competition among growing populations will
mates. According to the International Food Policy Re- drive civil unrest, presenting governance, conflict man-
search Institute, food insecurity and malnutrition will agement and humanitarian challenges of enormous
increase, putting 25 million children at risk of chronic scope.
hunger or malnutrition by 2050. ◊ Population: A projected doubling of population by
◊ Freshwater resources: Greater unpredictability in the 2050 in 26 of the least developed countries will exac-
water cycle will result in droughts in some regions and erbate resource demands and population densities in
flooding in others. South and East Asia are likely to face vulnerable regions with already degraded ecosystems.
more flooding, while southern Africa will face increased The effects of climate change in low-lying coastal areas
risk of droughts. As glaciers in the Hindu-Kush and An- coupled with more intense storms and droughts in arid
des retreat, river flows and flooding will increase in the and semi-arid regions will create enormous humanitar-
near term, then decrease in the following decades with ian needs.
disastrous impacts.
◊ Human health: Disease vectors such as malarial mos- • Poor, developing countries lack the institutional ca-
quitoes will increase in intensity and expand into new pability and human capital necessary to respond or
regions. Climate conditions will interact with weak adapt to climate change. The ability of governments and
health infrastructure to impose worsening disease bur- communities to meet the needs of their populations will
dens, mortality and morbidity in vulnerable developing depend on adequate, sustained support from the US and
countries, particularly in sub-Saharan Africa. the international community. Support for climate change
◊ Disasters: The number of disasters and disaster-affect- adaptation measures, strengthened resilience and disaster
ed people grew from 1.6 billion in 1984-1993 to 2.6 bil- risk reduction is critically urgent to minimize vulnerabili-
lion in 1994-2003. ties.
• Experience shows that despite the increasing frequen-
cy of disaster events and growing numbers of at-risk
people, investments in disaster management have
reduced deaths. Up-front investment in adaptation mea-
sures will greatly reduce the impending costs of climate
change. If these outlays are delayed or inadequate, climate
impacts will be more severe and overall costs will skyrock-
et.
• Climate change is already affecting vulnerable commu-
nities. From across the developing world, NGOs working
with local communities are hearing stories about changing
climates and weather.
◊ In Tanzania, poor communities in the south Nguru
Mountains describe how it has become hotter and the
onset of rainy and dry seasons has become less pre-
dictable. At the same time, they are experiencing more
seasonal water shortages and crop failures, and compe-
tition over forest resources is raising tensions between
◊ According to a CARE/UNOCHA report, the poor in Africa adjacent communities.
and in Central, South and Southeast Asia will face great- ◊ In Ethiopia, pastoral women are dealing with more fre-
er exposure to droughts. By late in this century, many quent droughts. In addition to the usual daily house-
millions more, particularly in the large delta regions of hold chores of cooking, cleaning and taking care of the

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children, women and girls must now walk even longer governments to address the needs of their vulnerable pop-
distances to fetch water and to pasture their livestock ulations. Host governments should engage their citizens
during the dry season. in decisions regarding all aspects of adaptation and de-
◊ In the middle mountains of Tajikistan, communities velopment programs, from analysis of problems to design,
have observed an increase in the snow pack, shifts in implementation, management and impact assessment.
the length and timing of the winter season, and increas- Strengthening of this leadership capacity at all levels from
ingly erratic rainfall. They have identified food insecurity the local to transnational should become an investment
during the winter as a particular challenge. priority for adaptation and development assistance.
◊ In coastal Bangladesh, communities are facing more fre- • Ecosystem Perspectives Guide Adaptation and Liveli-
quent and severe floods as well as saltwater intrusion. hood Responses: Analysis of the sustainability of liveli-
◊ In Nepal, melting glaciers are creating unstable lakes hoods should be expanded beyond narrow economic
that threaten downstream communities with flooding. analysis to encompass ecoregion and ecosystem perspec-
◊ In Fiji and Vietnam, degraded mangrove forests worsen tives. Linkages among economic sectors and ecosystem
the effects of more intense storm surges and sea-level processes must be mapped to ensure that environmen-
rises to threaten coastal communities. tally unsustainable or destructive production systems are
not supported by adaptation activities. Where possible,
Principles and Guidelines for Effective Adaptation adaptation efforts should enhance the capacity of natural
and Disaster Risk Reduction Programs systems to boost resilience by buffering climate risks. Valu-
Defining Adaptation: A useful understanding of “adaptation” able but little-known experiences in sustainable resource
is: effective responses to climate change that help sustain or management should be assessed to gain insights into the
stabilize social, economic and environmental conditions, and preconditions that will be essential for viable livelihoods in
that prevent development gains from being undermined. ecosystems under climate stress. Examples might include
Sound adaptation programs share many features with high- activities such as ecological agriculture, integrated water
quality development programs, such as participatory needs conservation projects and population-health-environment
assessments and clear accountability. They differ, however, in programs whose goals have been the promotion of health-
an important way: sound adaptation requires analysis of vul- ier communities, more sustainable livelihoods and capac-
nerability and exposure to climate shocks and stresses. Vulner- ity building for increased community resilience.
ability and risk assessment requires an understanding of the in- • Rights-Based: The rights of vulnerable people to liveli-
stitutional, political, knowledge and social resources available hood security and participation in decisions affecting their
to communities to prepare for and respond to climate shocks. well-being should underpin climate adaptation programs.
Principles or Characteristics of Effective Adaptation Pro- Empowerment for meaningful participation in governance
grams: processes related to adaptation should be understood as a
• Integrated Technical Areas and Approaches: Climate principle based in citizenship rights.
adaptation responses and development efforts should • Vulnerability Assessment: Vulnerability assessments
be closely integrated. The World Resources Institute has should be used to identify populations and contexts most
described the relationship between adaptation and de- at risk from climate change. Planning processes should in-
velopment as occurring along a continuum. “Pure” adap- corporate environmental, social, economic, governance
tation activities occur at one end and conventional “de- and gender vulnerability assessments into the design of
velopment” activities at the other. Along this spectrum, program services. The factors that contribute to climate
adaptation priorities are incorporated into development vulnerability should be analyzed and understood not only
objectives to ensure that both are realized. Integrated as “natural” conditions, but as social products. Marginal so-
adaptation and development programs bring together cial and economic groups—including women and ethnic
technical domains such as nutrition and agriculture, popu- minorities who without support are least able to cope with
lation, reproductive health and environment, and agricul- climate impacts—should be a priority focus. Local knowl-
ture and water management to reduce vulnerabilities, pro- edge should be actively sought and incorporated in activ-
tect assets and strengthen livelihood security. ity designs to improve the effectiveness and efficiency of
• Country-Led and Community-Based: The implementa- adaptation programs.
tion of adaptation programs should be managed by host • Sustainability: Climate adaptation will be a long-term
countries and communities. Accountability for program endeavor. Social, economic and environmental gains from
outcomes should likewise be vested in country and com- adaptation programs should be durable and create local
munity-level institutions. Multi-stakeholder participatory capacity that can be applied toward the continuation or
programs should not be viewed simply as a condition for expansion of adaptation activities. Essential support for in-
adaptation funding, but as grounded in the obligation of stitutional, human and ecosystem resources needs to last

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much beyond the achievement of initial program goals. Mainstreaming the Integration of Climate
• Resilience and Risk Reduction: A proactive focus should Adaptation and Resilience into Other International
be placed on decreasing the social, economic and environ- Priorities
mental management practices that worsen vulnerability to • The environmental, economic and social links between
climate change. Individuals, households and communities adaptation and development are close and critically
need to gain the capability to manage climate hazards and important. At the field level, program interventions
to recover quickly from negative impacts. Human, social, should become much more closely intertwined for rea-
productive and institutional capital should be strength- sons of environmental relationships, technical over-
ened to build the resilience and ecological sustainability of lap, cost-effectiveness and increased impacts. Climate
productive assets such as agricultural production systems. change directly affects the natural resources and healthy
• Do No Harm: Social, economic and environmental values ecosystems on which human well-being depends. Eco-
should be maintained or increased through program ac- nomic and social development draws on the same assets.
tivities. Best efforts should be made to avoid trade-offs that Vulnerability assessments need to anticipate whether
benefit one vulnerable group at the expense of another. activities beneficial to either adaptation or development
Social and economic power relationships should be ana- might be counterproductive for the other. Though to date
lyzed and understood to avoid actions that inadvertently adaptation and development activities have frequently
work to reinforce the prerogatives of local elites. Conflict been planned and implemented separately, the climate
analysis should inform program interventions affecting adaptation and development communities are beginning
economic resource use and governance mechanisms. Ca- to “mainstream” integration through restructuring and
pacity building will need to anticipate a growing need to more closely aligning their activities.
reduce conflicts and mediate conflicting claims on land, • Another high-priority area of integration is between
water and ecosystem services. climate adaptation and disaster risk reduction (DRR).
• Gender Informed and Responsive: The unequal power With climate change promising to greatly increase the
relationship between men and women should be analyzed frequency and magnitude of humanitarian disasters,
to ensure the needs of disadvantaged women are met on climate response measures must support capacity
a priority basis. Vulnerability assessments and the optic building for DRR. As with other areas of climate response,
of “do no harm” should complement gender analysis to il- up-front investment in these capabilities will lower the
luminate the social, legal, health, economic, political and scale and cost of natural and humanitarian disasters. Simi-
educational disparities shaping women’s often disadvan- larly, humanitarian disasters fundamentally disrupt devel-
taged position. These disparities should be assessed and opment, imposing tremendous costs on economic infra-
addressed so that program activities help remedy rather structure and social well-being. These consequences are
than reinforce the biases women face. much less expensive to address through DRR than through
• Strengthened International Frameworks on Displace- subsequent reconstruction and regeneration of economic
ment and Migration: Climate change impacts, vulner- assets.
ability and resilience should be integrated into existing • Among the most essential kinds of integration will be
international humanitarian and development frameworks much closer coordination in the planning process and
to ensure the protection of at-risk populations. This is par- field operations of US federal agencies that act in the
ticularly important in cases such as low-lying island nations international arena. Conventional technical and bureau-
threatened with submersion due to rising oceans, or where cratic boundaries have hampered both the understanding
environmental causes force migrants to cross borders to of climate adaptation and the perception of opportunities
escape nonviable states or ecosystems. Environmentally for closer collaboration. Domains such as ecosystem resil-
induced migrants therefore require some form of interna- ience, food security, water management and global health
tional recognition and protection. (including family planning and reproductive health) have
• Include Migration in Adaptation Strategies: Antici- significant overlaps in the arena of climate adaptation and
pated climate changes will render some regions, such as development. Institutional and policy mandates are need-
low-lying coastal areas, and associated livelihoods impos- ed to realize the synergies and savings that closer collabo-
sible to sustain. In many cases, the most practical and cost- ration or integration promise for federal agencies operat-
effective adaptation strategy will be relocation rather than ing in these areas.
potentially costly investments in adaptation technologies. • Monitoring and reporting on national adaptation strat-
Since resettlement conditions meeting environmental, egies and plans should be integrated into existing de-
social equity and human rights standards can also be ex- velopment monitoring mechanisms, such as those set
pensive, this strategy needs to be underpinned by and ac- up to monitor the MDGs. Existing indicators of livelihood
cepted as “rights-based resettlement.” security will be useful in assessing whether gains in adap-

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tive capacity—especially of vulnerable populations and by US domestic policies and legislation should meet simi-
people—are sufficiently robust to protect the develop- lar standards.
ment process. • US federal agencies involved in international adap-
tation response should become much more closely
Key Issues for Adaptation Funding involved with and supportive of multi-stakeholder
• The scale of funding for climate adaptation will need to coordination efforts that are already underway. The
match the scope and magnitude of the problem. Esti- UNFCCC, World Health Organization (WHO), United Na-
mates of the annual cost of adaptation vary from the Unit- tions Environment Program (UNEP) and UNDP are ex-
ed Nations Framework Convention on Climate Change’s amples of mechanisms to which, beyond resource com-
(UNFCCC) $28-67 billion by 2030, to the United Nations De- mitments, the US can add technical value, institutional
velopment Program’s (UNDP) $86 billion by 2125 and the wherewithal and scientific capability.
World Bank’s $75-100 billion averaged between 2010 and • Financial management should be consistent with the
2050. principles for aid effectiveness contained in the Paris
• The developed countries with historic records of high Declaration. A likely scenario is for adaptation funds to
greenhouse gas emissions are largely responsible for be channeled through ministries of national governments
current climate changes. Steps to prevent the negative leading sector development initiatives in developing coun-
impacts of climate change will be unaffordably expen- tries. Management systems for those funds should then be
sive for many of the vulnerable developing countries. The included in broader efforts already underway to develop
countries most responsible for climate change will multi-stakeholder planning, strategies and decision-mak-
need to support those least responsible by protect- ing mechanisms for sustainable development and pov-
ing lives, livelihoods and ecosystems that have been erty reduction. That process should also be tasked with
placed at risk. development of shared objectives, indicators and targets
• The responsibility to address the impacts of climate to track and measure progress on country ownership, ac-
change caused by the historic emitters is important to countability and effectiveness.
distinguish from the moral responsibility to support • The disbursement and use of adaptation funding
equitable international development. For that reason, should be “downwardly accountable,” meaning that it
adaptation activities, even though they have the potential should primarily benefit vulnerable, disadvantaged
to work in synergy with development and DRR, must be populations and communities. Capacity building at all
accounted and supported separately. The “additionality” of levels—from the local to the national and international,
adaptation funding means that new and separate adapta- and for government, civil society and the private sector—
tion resources should be identified and tracked separately will be essential for successful adaptation. But the goals of
to ensure that governments do not relabel resources for that capacity building and the assessment of its effective-
development as part of adaptation response or vice versa. ness should be based on developing services that meet
Implementing agencies must secure dedicated adaptation the needs of vulnerable groups.
funding that can be added to development commitments
as integrated programs move forward. The Capability and Value of NGOs as
• Adequate, up-front adaptation investments will be Partners in Adaptation
orders of magnitude less costly over the medium and • With ongoing operations in most countries of the
long term than modest adaptation responses that are developing world, US NGOs have unparalleled fa-
slow in coming. The most fiscally restrained and respon- miliarity with the varying contexts in which adapta-
sible strategy for the use of public resources is through am- tion and development programs take place. NGOs
bitious and immediate adaptation investment to address have established programs and operating relationships
the effects of climate change. This will need to be coupled with local communities, NGO networks, governments,
with aggressive mitigation to stem the magnitude of the universities, research institutions and businesses. The
long-term problem over coming decades. participatory multi-stakeholder approaches favored by
• Most funding flowing from international agreements many NGOs have enabled the formation of close rela-
should flow through institutions that are fully account- tionships with underserved, hard to reach communi-
able to the UNFCC, and which are committed to trans- ties. NGOs are typically staffed mostly by host coun-
parent financial reporting and management. Other try nationals, whose language skills and local contacts
appropriate standards for representative governance, com- greatly facilitate effective community-level fieldwork.
munity participation and streamlined access to funding
should apply to those funds. Standards for transparency With more responsive decision-making and less cumber-
and financial management of adaptation funds generated some bureaucratic processes than government agencies,

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NGOs typically have greater flexibility and quicker program
reactions. The capacity constraints of many host country
governments mean that in many developing countries
NGOs represent perhaps the deepest experience and best-
developed field programs. This experience means that the
NGO community often has a clear understanding of the
needs, opportunities and challenges of local-level work.
• With local civil society often constrained by counter-
productive policies and scarce resources, international
NGOs that operate with similar philosophies and busi-
ness models can be powerful catalysts for strengthen-
ing their local counterparts. As climate changes become
more pervasive, success will increasingly hinge on build-
ing the capacity of local NGOs—as well as host govern-
ments—to assume a lead role in adaptation response.
• The contacts and credibility NGOs have established in
many countries position them as useful information
sources, conveners and facilitators in support of the
multi-stakeholder processes that will be essential to
effective adaptation. As host governments, donors and
multilateral agencies become more engaged in adaptation
and look for effective local implementing partners, NGOs
bring many capabilities and advantages.

An Ongoing Relationship with the Interagency


Resilience and Climate Change Adaptation
Working Group
• The US NGO community is a well-organized and ca-
pable counterpart for US federal agencies involved in
adaptation and development. NGO networks encom-
pass the nonprofit, business and faith communities, whose
shared interests in effective adaptation response can great-
ly amplify the technical and financial resources available to
address climate change. The complementary strengths
of NGOs and US agencies mean that a stronger, more
expansive relationship can serve the shared objective
of rapid, effective climate response and sustainable de-
velopment.
• InterAction, the largest association of US NGOs active
in international humanitarian response and develop-
ment, represents a potential contact point for future
engagement with the Interagency Working Group. In-
terAction’s Climate Change and Disaster Risk Reduction
Working Groups focus on climate adaptation policy and
program approaches. Regular future meetings between
the Interagency Working Group and InterAction’s Working
Groups can help to ensure that information sharing and
program planning undertaken by NGOs and federal agen-
cies are as well informed as possible.

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ANNEX 1

Demonstrated Partnership Models for Collaboration on Climate Adaptation

The Group on Earth Observations (GEO): GEO (http://www.earthobservations.org/geoss.shtml) is a collaboration within which
partners can develop new projects and coordinate strategies and investments. GEO’s membership now includes 80 governments
and the European Commission, and 56 intergovernmental, international and regional organizations with mandates in earth observa-
tion or related issues.
Ecosystems and Livelihoods Adaptation Network (ELAN): Now being developed by the World Wildlife Fund, International Union for
Conservation of Nature and UNEP. This effort focuses on building capacity, accelerating application of existing knowledge, creating
additional adaptation options and resources and informing national, regional and international bodies to ensure that their policies
provide a supportive framework for action on ecosystem-based adaptation. ELAN operates through a central secretariat “hub” and
thematic and regional nodes.

Global Fund Board (GFB): The Global Fund establishes multi-stakeholder, multi-sectoral partnerships for country-led coordinat-
ing mechanisms. The GFB includes nongovernmental delegates; intended beneficiaries participate in all decisions, including the
management of funds.

Kyoto Protocol’s Adaptation Fund (KPAF): The KPAF allocates funding through a set of criteria giving special attention to the
needs of the most vulnerable communities. As an established fund, it offers an existing, proven mechanism for the management and
disbursement of adaptation resources.

Hyogo Framework (HF): The HF is an existing platform on which to build integrated disaster response in vulnerable countries.
Host governments, local and international civil society organizations, UN agencies and some donor governments are engaged in
this framework and, with appropriate policy guidance, can be mobilized for responses. See: http://www.preventionweb.net/english/
hyogo/national/list/?pid:23&pih:2.

The UN’s International Strategy for Disaster Reduction also offers an existing mechanism that can directly support integrated
response.

Community-Based Risk Screening Tool – Adaptation & Livelihoods (CRiSTAL): A project planning and management tool de-
veloped by IUCN, the International Institute for Sustainable Development and the Stockholm Environmental Institute’s US Center.
Used at the community level to incorporate local knowledge about climate change and resource use considerations into develop-
ment projects, it helps project planners and managers integrate risk reduction and climate change adaptation into community-level
projects.

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