1、INTERNATIONALSTANDARDISO14093Firstedition2022-11Mechanismforfinancinglocaladaptationtoclimatechange一Performance-basedclimateresiliencegrantsRequirementsandguidelinesMecanismepourIefinancementdeUadaptationauchangementclimatiqueaYechellelocaleSubventionspourlaresilienceclimatiquebaseessurlaperformance
2、ExigencesetIignesdirectricesReferencenumberISO14093:2022(E)IIPjsjSiqSu11v-ZZOZOSIpuEZ4iMguipqs11qncjSjo,osmmmisqMSjo,os)4qXdoqiEugIIlO6叱瑟回+：。UoqdbuorJiujT2T-HD84uuopuEig叩43IO力JJyj4qSuXdoOSI,j4S11bJqjoXj4u11o叫【uiXpoqJquauSQSl。Mopqssjppe叫【eQSIJ!uiojjpaisanbaj叫ueuoissiuijci,uossujduumJoHdInOqluejiuiuej
3、oiujiui四1uoSu11sodjorSuiXdoDOioqdSuipnpuirE3iuEq3uJOiuoj4rsuEuXueXqJoUUOJXueuisiMJq40pz1111nJOpnpojdjqXeuiuopEiqndsiJoIJBdouruopE4Uuidus41JOx4uo3q1uipjnbjJOrpajdssiMJq40ssu-pjsj11vZZOZOSIlN3WD0aaiaiOHdIHf)IHAd03(三)ZZ0Z三60tlOSIPageContentsForewordvIntroductionvi1 Scope12 Normativereferences13 Terms,d
4、efinitionsandabbreviatedterms13.1 Termsanddefinitions13.1.1 Termsrelatedtoclimatechangeanditsimpacts13.1.2 Termsrelatedtoparties23.1.3 Termsrelatedtoadaptation33.1.4 Termsrelatedtomonitoring53.2 Abbreviatedterms64 Financingandmainstreamingclimatechangeadaptationatthelocallevel65 Generaldescriptionof
5、themechanism85.1 Overview85.2 Localizingadaptationaction95.3 Goodgovernanceandpublicfinancialmanagement106 Designinganationalsystemforlocaladaptationfinancing116.1 General116.2 Scopinganalysis116.3 AssessingconditionsforasuccessfullaunchKeypointsandprinciplesforconsideration126.3.1 General126.3.2 Al
6、ignmentwithgovernmentpolicies126.3.3 Linkingplanningandbudgeting137 DesigningthePBCRGsystem13O2345678917ZZZ7.7777Minimumconditionsandperformancemetrics137.2.1 General137.2.2 Principlesfordefiningindicatorsforminimumconditionsandperformance7.2.3 PerformancemetricsSizeofthegrantsandallocationformulaMe
7、nuofeligibleadaptationinvestments.Institutionalarrangements)67951111-CapacitybuildingandinstitutionalstrengtheningSelectionof(pilot)subnationalauthoritiesOutliningtherationalefortheinitiativeOutputandoutcomesCountrydesignreportOol2228 Implementationandinstitutionalarrangements228.1 General228.2 Cond
8、ucting/reviewingclimaterisks,vulnerabilityandadaptationassessments228.3 Integratingadaptationintolocaldevelopmentplanningandbudgeting238.3.1 General238.3.2 Identifyinglocaladaptationpriorities238.3.3 Promotingdiversity,socialandenvironmentalbenefits248.3.4 Monitoringadaptationfunding248.4 Selectinga
9、ndimplementingadaptationinvestments248.4.1 General248.4.2 Usingtheinvestmentmenuinariskinformedmanner248.4.3 Developinganinvestmentadaptationrationale258.4.4 Developinginvestmentoutcomeindicators258.4.5 Selectinginvestmentprimaryoutputindicators268.5 Appraisingsubnationalauthoritiesperformance268.5.
10、1 General268.5.2 Understandingannualperformanceassessments268.5.3 Selectingaperformanceassessmentmodality278.5.4 Coordinatingwithexistingperformanceassessmentsandaudits278.5.5 Validationandverification288.5.6 Informingsubsequentallocations288.6 Capacitybuilding289 EvaluationofLoCAL29Annex A (informa
11、tive)LoCALcountrycasestudies30Annex B (informative)Sampleoutcomeindicatorsforadaptationinvestments34Annex C (informative)Sampleoutputindicators35Annex D (informative)Categoriesofminimumconditionsandperformancemetrics37Annex E (informative)Exampleofbasicallocation38Annex F (informative)Typesoflocalad
12、aptationactions39Annex G (informative)Sampleinvestmentmenu40Bibliography42ForewordISO(theInternationalOrganizationforStandardization)isaworldwidefederationofnationalstandardsbodies(ISOmemberbodies).TheworkofpreparingInternationalStandardsisnormallycarriedoutthroughISOtechnicalcommittees.Eachmemberbo
13、dyinterestedinasubjectforwhichatechnicalcommitteehasbeenestablishedhastherighttoberepresentedonthatcommittee.Internationalorganizations,governmentalandnon-governmentatinliaisonwithIS0,alsotakepartinthework.ISOcollaboratescloselywiththeInternationalElectrotechnicalCommission(IEC)onallmattersofelectro
14、technicalstandardization.TheproceduresusedtodevelopthisdocumentandthoseintendedforitsfurthermaintenancearedescribedintheISO/IECDirectives,Part1.Inparticular,thedifferentapprovalcriterianeededforthedifferenttypesofISOdocumentsshouldbenoted.ThisdocumentwasdraftedinaccordancewiththeeditorialrulesoftheI
15、SO/IECDirectives,Part2(seeWWW.iso.org/directives).Attentionisdrawntothepossibilitythatsomeoftheelementsofthisdocumentmaybethesubjectofpatentrights.ISOshallnotbeheldresponsibleforidentifyinganyorallsuchpatentrights.DetailsofanypatentrightsidentifiedduringthedevelopmentofthedocumentwillbeintheIntroduc
16、tionand/orontheISOlistofpatentdeclarationsreceived(seeWWW.iso.org/Patents).Anytradenameusedinthisdocumentisinformationgivenfortheconvenienceofusersanddoesnotconstituteanendorsement.Foranexplanationofthevoluntarynatureofstandards,themeaningofISOspecifictermsandexpressionsrelatedtoconformityassessment
17、aswellasinformationaboutISO,sadherencetotheWorldTradeOrganization(WTO)principlesintheTechnicalBarrierstoTrade(TBT工seeWWW.iso.org/iso/foreword.htmLThisdocumentwaspreparedbyTechnicalCommitteeISO/TC207,Environmentalmanagement,SubcommitteeSC7,Greenhousegasandclimatechangemanagementandrelatedactivities.
18、Anyfeedbackorquestionsonthisdocumentshouldbedirectedtotheusersnationalstandardsbody.Acompletelistingofthesebodiescanbefoundatwww.iso.org/membnrshtmLIntroductionSubnationalauthoritiesandlocalcommunitiesaremostaffectedbyclimatechangeimpacts,andthisisespeciallytrueintheGlobalSouth.However,subnationalau
19、thoritiescanalsoholdthesolutionsforclimatechange.Subnationalauthoritiesinleastdevelopedcountries(LDCs)andotherdevelopingcountriesareinauniquepositiontoidentifyclimatechangeadaptationresponsesthatbestmeetlocalneeds,andtypicallyhavethemandatetoundertakethesmall-tomedium-sizedadaptationinvestmentsneede
20、dtobuildclimateresilience.Yettheyfrequentlylacktheresourcestodoso,particularlyinawaywhichisalignedwithestablishedlocaldecision-makingprocessesandplanningandbudgetingcycles.Thelocalclimateadaptiveliving(LoCAL)facilitywasdesignedbytheUnitedNationsCapitalDevelopmentFund(UNCDF)toaddressthischallenge.LoC
21、ALwasdevelopedbyUNCDFtorespondtobudgetaryandcapacitybuildingchallengesfacedbysubnationalauthoritiesintheircontributionstoadaptation.ThisdocumentisdevelopedbasedonUNCDF,sLoCALmechanism,whichhasbeenintroducedandtestedin17countriessince2011and,asof2021,hasmobilizedoverUSD125million,mostlyintheformofgra
22、ntstomorethan300subnationalauthorities,reachingover12,5millionpeople,seeReference19.CasestudiesofsamplecountriesthathaveimplementedLoCALaregiveninAnneXA.Themethodologyandapproachoutlinedinthisdocumentforacountry-basedsystemforfinancinglocaladaptationisreferredtoasthenLoCALmechanism”.LoCALcanbetailor
23、edtospecificcountrycircumstancestoincreaseawarenessofandcapacitiestorespondtoclimatechangeatthelocallevel,andmainstreamclimatechangeadaptationintolocalgovernmentplanningandbudgetingsystemsandinvestments.TheLoCALmechanismsupportslocaladaptationbychannellingclimatefinancetosubnationalauthoritiesinLDCs
24、andotherdevelopingcountries.Itthusaimstocontributetothecountrysachievementofthe2015ParisAgreementoftheUnitedNationsFrameworkConventiononClimateChange(UNFCCC)andtheUNSustainableDevelopmentGoals(SDGs):particularlypovertyeradication(SDG1),sustainablecitiesandcommunities(SDG11),andclimateaction(SDG13)at
25、thelocallevel.LoCALincreaseslocallevelclimatechangeawarenessandcapacitiesandintegratesclimatechangeadaptationintolocalgovernmentplanningandbudgetinginaparticipatoryandgendersensitivemanner.ThemaincomponentoftheLoCALmechanismistheperformance-basedclimateresiliencegrants(PBCRGS工whichensuresprogramming
26、andverificationofclimatechangeexpendituresatthelocallevelwhileofferingstrongincentivesforperformanceimprovementsinenhancedresiliencealongwithtechnicalandcapacity-buildingsupport.PBCRGsprovidefinancialsupportforsubnationalauthoritiesbeingdeliveredthroughtheLoCALmechanism.Theycanalsobecomplementedwith
27、otherfinancialtools.PBCRGsensurethatfinancialflowsdeliveredunderLoCALincludeaperformanceelementwhichincentivizessubnationalauthoritiestotargetadaptationactions,whileincreasingtransparencyandaccountabilitybyenablingverificationofclimatechangeexpendituresatthelocallevel.Bythusbuildingcapacityandtrust,
28、thePBCRGsimprovesubnationalauthoritieschancesofaccessingandeffectivelyusingwidersourcesofclimatefunding.Thisdocumentoutlinesaninternationallyrecognizedcountry-basedmechanismtochannelclimatefinanceandincreaselocalresiliencethroughPBCRGs.Theapproachincreasessubnationalauthoritiesaccessto(international
29、)climatefinancetoimplementclimatechangeadaptationinvestments.Thisdocumentalignswiththeprinciples,requirementsandguidelinesoutlinedinISO14090.Thedesignofthecountry-basedmechanismandPBCRGsystemalongwithitsimplementationincludesallelementsidentifiedinISO14090including:pre-planning,assessingimpacts,adap
30、tationplanning,implementation,monitoringandevaluation(M&E),andreportingandcommunication.TheLoCALmechanismensuresthefollowingfouroutputs:Output1:Awarenessofandcapacitiestorespondtoclimatechangeatthesubnationallevelareincreased.一Output2:Mainstreamingclimatechangeadaptationintogovernmentplanningandbudg
31、etingsystems,andinvestmentsareimplementedinlinewiththePBCRGsystem. Output3:Improvingsubnationalauthorities/chancesofaccessingandeffectivelyusingwidersourcesofclimatefunding. Output4:Increasedrecognitionoftheroleofsubnationalauthoritiesinaddressingclimatechangeadaptationattheinternationallevel,throug
32、houtreach,learningandqualityassurance.Thisdocumentisstructuredaroundthefollowingsections:CIaUSe5describestheLoCALmechanism,ClaUSe6isonthedesignofthecountry-basedsystem,ClaUSe7focusesonthePBCRGdesign,andClaUSe8includestherequirementsandguidanceontheimplementationofadaptationinvestmentsunderthePBCRG.I
33、nthisdocument,thefollowingverbalformsareused:一shalindicatesarequirement;一should11indicatesarecommendation;一11may,indicatesapermission; can,indicatesapossibilityoracapability.MechanismforfinancinglocaladaptationtoclimatechangePerformance-basedclimateresiliencegrants一Requirementsandguidelines1 ScopeTh
34、isdocumentestablishesanapproachandmethodologyforacountry-basedmechanismtochannelclimatefinancetosubnationalauthoritiestosupportclimatechangeadaptationandtoincreaselocalresiliencetherebycontributingtotheachievementofthegoalsofthe2015ParisAgreementoftheUnitedNationsFrameworkConventiononClimateChange(U
35、NFCCC)andtheUNSustainableDevelopmentGoals(SDGs).Thecountry-basedmechanismusesperformance-basedclimateresiliencegrants(PBCRGs)whichensureprogrammingandverificationofclimatechangeexpendituresatthelocallevel,offeringstrongincentivesforperformanceimprovementsinenhancedresilience.Thisdocumentprovidesrequ
36、irementsandguidelinesandisapplicabletoorganizationssuchasnationalandsubnationalauthorities,donors,companies,financialinstitutionsandinternationalorganizationsthatareinvolvedinimplementingacountry-basedmechanismforchannellingclimatefinancetosubnationalauthoritiestosupportclimatechangeadaptationandres
37、ilience.NOTEAnothermechanismforsupportinglocaladaptationisbydirectsupportatthelocallevelbydonorswithoutanyfinancialflowsfromnationalgovernment.2 NormativereferencesTherearenonormativereferencesinthisdocument.3 Terms,definitionsandabbreviatedtermsForthepurposesofthisdocument,thefollowingtermsanddefin
38、itionsapply.ISOandIECmaintainterminologydatabasesforuseinstandardizationatthefollowingaddresses:一ISOOnlinebrowsingplatform:availableathttps:WWW.iso.orgobp一IECElectropedia:availableathttps:WWW.electropedia.org/3.1 Termsanddefinitions3.1.1 Termsrelatedtoclimatechangeanditsimpacts3.1.1.1climatechangech
39、angeinclimatethatpersistsforanextendedperiod,typicallydecadesorlongerNote1toentry:Climatechangecanbeidentifiedbysuchmeansasstatisticaltests(e.g.onchangesinthemeanvariability).Note2toentry:Climatechangemightbeduetonaturalprocesses,internaltotheclimatesystem,orexternalforcingssuchasmodulationsofthesol
40、arcycles,volcaniceruptions,andpersistentanthropogenicchangesinthecompositionoftheatmosphereorinlanduse.SOURCE:ISO14090:2019,3.53.1.1.2impacteffectonnaturalandhumansystemsNote1toentry:Inthecontextofclimatechange(3.1.1.1),theterm“impact“isusedprimarilytorefertotheeffectsonnaturalandhumansystemsofextre
41、meweatherandclimateeventsandofclimatechange.Impactsgenerallyrefertoeffectsonlives,livelihoods,health,ecosystems,economies,societies,cultures,servicesandinfrastructureduetotheinteractionofclimatechangeorhazardousclimateeventsoccurringwithinaspecifictimeperiodandthevulnerabilityofanexposedsocietyorsys
42、tem.Impactsarealsoreferredtoasconsequencesandoutcomes(3.1.4.3),Theimpactsofclimatechangeongeophysicalsystems,includingfloods,droughtsandsealevelrise,areasubsetofimpactscalledphysicalimpacts,SOURCE:ISO14090:2019,3.83.1.1.3hazardpotentialsourceofinjuryordamagetothehealthofpeople,ordamagetopropertyorth
43、eenvironmentSOURCE:ISO14050:2020,3.1.83.1.1.4riskeffectofuncertaintyNote1toentry:Aneffectisadeviationfromtheexpected.Itcanbepositive,negativeorboth.Aneffectcanariseasaresultofaresponse,orfailuretorespond,toanopportunityortoathreatrelatedtoobjectives.Note2toentry:Uncertaintyisthestate,evenpartial,ofd
44、eficiencyofinformationrelatedto,understandingorknowledgeofanevent,itsconsequence,orlikelihood.SOURCE:ISO14001:2015,3.2.10,modifiedNote1toentryexpanded.Notes3and4toentrydeleted.3.1.1.5exposurepresenceofpeople,livelihoods,speciesorecosystems,environmentalfunctions,services,resources,infrastructure,ore
45、conomic,socialorculturalassetsinplacesandsettingsthatcanbeaffectedNote1toentry:Exposurecanchangeovertime,e.g.asaresultoflandusechange.SOURCE:AdaptedfromIPCC20143.1.1.6vulnerabilitypropensityorpredispositiontobeadverselyaffectedbyclimatevariabilityorclimatechange(3.1.1.1)Note1toentry:Vulnerabilityenc
46、ompassesavarietyofconceptsandelementsincludingsensitivityorsusceptibilitytoharmandlackofcapacitytocopeandadapt.SOURCE:ISO14050:2020,3.8,133.1.2 Termsrelatedtoparties3.1.2.1interestedpartypersonororganizationthatcanaffect,beaffectedby,orperceiveitselftobeaffectedbyadecisionoractivityEXAMPLECustomers,
47、communities,suppliers,regulators,non-governmentalorganizations,investors,employeesandacademia.Note1toentry:Toperceiveitselftobeaffected11meanstheperceptionhasbeenmadeknowntotheorganization.SOURCE:ISO14001:2015,3.1.6,modified一academiaaddedtotheexample.3.1.2.2subnationalauthoritylevelofgovernmentthatisbelownationalgovernmentNote1toentry:Thiscanincludestate,local,regionalorcommunity.3.1.2.3 Termsrelatedtoadaptation3.1.3.1climatechangeadaptationadaptationtoclimatechangeprocessofadjustmenttoactualorexpectedclimateanditseffectsNoteltoentry:Inhumansystems,adaptationseekstomoderateoravoi
