Introduction and quick guide to the formulation and implementation of national adaptation plans

1. Least Developed Countries Expert Group (LEG)
LEG regional training workshop on national adaptation plans (NAPs)
for Anglophone Africa
27 February to 03 March 2017
Bingu International Convention Centre
Lilongwe, Malawi
Introduction and a quick guide to the formulation
and implementation of national adaptation plans
(NAPs)

2. COP decisions on NAPs
2010 2011 2012 2013 2014 2015 2016
Decision 1/CP.16
Establishment of the
process to formulate and
implement NAPS
Decision 5/CP.17
 Objectives
 Guiding principles
 Guidelines
 Support (technical, financial)
Decision 3/CP.17
 Includes mandates relating
to GCF support for NAPs
Decision 12/CP.18
 GEF to support LDCs through
the LDCF for activities to
enable NAPs
 GEF to consider how to
support non-LDCs through
the SCCF
 To take stock of progress at
COP20
Decision 18/CP.19
UN, specialized, bilateral
and multilateral agencies
to consider establishing or
enhancing support
programmes for non-LDCs
Decision 3/CP.20
 Communication of NAP
documents and outputs
through NAP Central
 AC & LEG in collaboration
with GCF to consider how to
best support developing
countries in accessing the
GCF for NAPs
Decision 1/CP.21
GCF to expedite support for LDCs and other dev.
countries for formulation of NAPs, and
subsequent implementation
Decision 19/CP.21
LEG to provide technical guidance and advice on
accessing the GCF for NAPs
Decision 4/CP.21
LEG & AC to consider how to provide more info.
for accessing the GCF for NAPs
Decision 6/CP.22
 Appreciates progress (by
Parties, GCF, GEF) and notes
challenges (NAP proposals
waiting for funds from LDCF)
 Invitation to Parties to
access the USD 3 million
allocation for NAPs by GCF
 LEG & AC to continue
engagement with the GCF

3. National adaptation plans
1) Established under the CAF (decision 1/CP.16, paras 15 to 18)
As a process to enable LDCs to formulate and implement NAPs,
building upon their experience in preparing and implementing
NAPAs, as a means of identifying medium- and long-term
adaptation needs and developing and implementing
strategies and programmes to address those needs. Other
developing country Parties are invited to employ the modalities
formulated to support the NAPs.

4. National adaptation plans (con’t)
3. Under the Lima decision 3/CP.20
• NAPs recognized as fundamental for building adaptive capacity and
reducing vulnerability to the impacts of climate change
• Recognized that NAPs can serve as an important tool for ensuring a
common understanding and for communicating progress made
towards both reducing vulnerability and integrating climate change
adaptation into national and development planning
• Acknowledged the importance of communicating, in a flexible manner,
what the process to formulate and implement national adaptation
plans involves, as well as the outputs and outcomes of that process;
• Invited LDC Parties and other interested developing country Parties, to
forward outputs, including NAP documents, and outcomes related to
the process to formulate and implement national adaptation plans, to
NAP Central;

5. Objectives of NAPs and the PA global goal on adaptation
1) Objectives of the NAP process (decision 5/CP.17) are:
a) To reduce vulnerability to the impacts of climate change, by
building adaptive capacity and resilience;
b) To facilitate the integration of climate change adaptation, in a
coherent manner, into relevant new and existing policies,
programmes and activities, in particular development planning
processes and strategies, within all relevant sectors and at
different levels, as appropriate.
2) Global goal on adaptation (Article 7 of the Paris Agreement)
• Enhancing adaptive capacity, strengthening resilience and
reducing vulnerability to climate change, with a view to
contributing to sustainable development and ensuring an
adequate adaptation response in the context of the global
temperature limit of less than 2C.

6. Guiding principles for NAPs (decision 5/CP.17)
Continuous planning process at
the national level with iterative
updates and outputs
Country-owned, country-driven
Not prescriptive, but flexible and
based on country needs
Building on and not duplicating
existing adaptation efforts
Participatory and transparent
Enhancing coherence of
adaptation and development
planning
Supported by comprehensive
monitoring and review
Considering vulnerable groups,
communities and ecosystems
Guided by best available
science
Taking into consideration
traditional and indigenous
knowledge
Gender-sensitive

7. Guidelines
• Initial guidelines are contained in
decision 5/CP.17, annex
• Technical guidelines for the NAP
process, developed by the LEG in
response to decision 5/CP.17 paragraph
15 are available at
<http://unfccc.int/7279>
• Supplements to the guidelines are
available on NAP Central
<http://www4.unfccc.int/nap/Guidelines/
Pages/Supplements.aspx>
The guidelines provide the basis for the formulation and
implementation of NAPs

8. Laying the groundwork and addressing gaps
• Initiating and launching of the NAP process
• Stocktaking: identifying available information on climate change impacts, vulnerability and adaptation and
assessing gaps and needs of the enabling environment for the NAP process
• Addressing capacity gaps and weaknesses in undertaking the NAP process
• Comprehensively and iteratively assessing development needs and climate vulnerabilities
Preparatory Elements
• Analysing current climate and future climate change scenarios
• Assessing climate vulnerabilities and identifying adaptation options at the sector, subnational, national and
other appropriate levels
• Reviewing and appraising adaptation options
• Compiling and communicating national adaptation plans
• Integrating climate change adaptation into national and subnational development and sectoral planning
Implementation Strategy
• Prioritizing climate change adaptation in national planning
• Developing a (long-term) national adaptation implementation strategy
• Enhancing capacity for planning and implementing adaptation
• Promoting coordination and synergy at the regional level and with other multilateral environmental agreements
Reporting, Monitoring and Review
• Monitoring the NAP process
• Reviewing the NAP process to assess progress, effectiveness and gaps
• Iteratively updating the national adaptation plans
• Outreach on the NAP process and reporting on progress and effectiveness
Elements of the process to formulate and implement NAP

9. Sample process to formulate and implement a NAP
• A representation of how the main activities could be carried out, and the
outputs of each step;
• Provides a logical flow of activities from the launch of the process to
compilation of the NAP and subsequent implementation and reporting on
progress;
• In practice, many activities would run in parallel, building on relevant
past and ongoing activities, taking into account the modus operandi of
each country, and, where relevant, aligning with timetables of national
planning milestones;
• The sample NAP is the basis of various tools being used by the LEG to
guide countries for their work on NAPs.

10. Sample process to formulate and implement a National Adaptation Plan

11. Packaging activities into workstreams
• The activities and steps of the sample process to formulate
and implement NAPs can be clustered into workstreams
which will be managed by different actor groups;
• These workstreams may be a sound basis for packaging
proposals in accessing support.

12. Possible thematic workstreams
Laying the
groundwork,
stocktaking, capacity-
building, systematic
observation
Policy and institutional
arrangements
Technical group to
assess climate
vulnerability and risk
Technical group on
climate risk analysis
Project management:
planning and
implementation
strategies
Multi-stakeholder and
cross-sectoral
visioning and appraisal
Multi-sectoral
implementation

13. Essential functions for the process to formulate and implement NAPs
• Activities that a country would undertake and support under the
process to formulate and implement NAPs;
• Represent essential characteristics of an effective process that is
useful at national level, and leads to tangible outcomes;
• Provide the expected impact in the long-term;
• The essential functions can be applied to:
o Guide national goals and vision for adaptation;
o Provide a basis to examine national adaptation capacity;
o Guide the development of monitoring and evaluation protocols.

14. Essential Function 1: Helping governments to provide national
leadership and coordination of adaptation efforts at all levels and to act
as the main interface with regional and international mechanisms
Example with essential function 1
Initiate and launch the
process
Policies, regulations,
legislation and
mandate for the
process; climate
policies
Stakeholder
consultation and
engagement
Institutional
arrangements,
coordination
mechanisms
(governance structure)
Develop road maps for
the process
Complete road maps
Building blocks / key components:

15. Essential Function 1: Helping governments to provide national
leadership and coordination of adaptation efforts at all levels and to act
as the main interface with regional and international mechanisms
Example with essential function 1
Expected
outcomes
• The process to formulate and implement NAP
creates and maintains governance structures that
lead work on adaptation at the national level through
appropriate mandates and institutional arrangements
• It facilitates the coordination of adaptation across
scales, actors and levels within the country to ensure
coherence and effectiveness of adaptation
• It is used to mobilize and manage technical and
financial support for nation adaptation efforts from
local, regional and international mechanisms

16. Listing of the Essential Functions of the NAP process (LEG, 2015)
1. Helping governments to provide national leadership and coordination of
adaptation efforts at all levels and to act as the main interface with regional
and international mechanisms
2. The collection, compilation, processing and dissemination of data, information
and knowledge on climate change and relevant development aspects in
support of adaptation planning and implementation
3. Identifying and addressing gaps and needs related to capacity for the
successful design and implementation of adaptation
4. Assessing climate-development linkages and needs, and supporting the
integration of climate change adaptation into national and subnational
development and sectoral planning (through policies, projects and programmes)
5. Analysing climate data and assessing vulnerabilities to climate change and
identifying adaptation options at the sector, subnational, national and other
appropriate levels
…

17. Listing of the Essential Functions of the NAP process (LEG, 2015), contd.
6. Appraising adaptation options to support decision-making on adaptation
investment plans and development planning
7. Promoting and facilitating the prioritization of climate change adaptation in
national planning
8. Facilitating the implementation of adaptation at all levels through appropriate
policies, projects and programmes, taking into account opportunities for synergy
9. Facilitating the monitoring, review and updating of adaptation plans over time,
to ensure progress and effectiveness of adaptation efforts and to demonstrate
how gaps are being addressed
10. Coordinating reporting and outreach on the NAP process to stakeholders
nationally, internationally and formally on progress to the Convention

18. Progress made in NAPs
Countries have initiated the process and are at different
stages, and most are at stages that require concrete funding
to advance the work such as vulnerability, risk and adaptation
assessments
Key challenges include: accessing funding from GCF
(where to start, engagement of appropriate implementing
partners); technical capacity for comprehensive
assessments;
6 countries have completed their NAPs (Brazil, Burkina Faso,
Cameroon, Sri Lanka, State of Palestine and Sudan) and
more are expecting to complete theirs soon
Primary function of the LEG to provide status on NAPs to the SBI/COP
(covers progress made and support provided)
Current
findings
More information can also be found in the report on progress in NAPs (FCCC/SBI/2016/INF.11)

19. NAP Central <www4.unfccc.int/NAP>

20. LDC Expert Group
Vision of the LEG – to guide its support to the LDCs on adaptation
Support provided by the LEG by 2020 of the achievement of:
• The existence of a well-structured adaptation planning process
in the LDCs;
• Formulation of robust and good-quality
NAPs;
• Implementation of priority adaptation needs identified in the
NAPs with funding from the GCF and other sources;
• Demonstrable results in building adaptive capacity,
strengthening resilience and reducing vulnerability to climate
change in the LDCs.

21. Contact:
The Chair
Least Developed Countries Expert Group (LEG)
leghelp@unfccc.int