Grant Procedures Manual

About this Manual

This Grant Procedures Manual details the requirements and procedures for each step of the
grant-making process of the Global EbA Fund. Section 1 introduces the Global EbA Fund
grant programme. Section 2 provides details on eligibility of projects and applicants. Section
3 details the grant screening and selection criteria. Section 4 details the administrative and
legal requirements for applicant organisations. Finally, Section 5 outlines the process and
timelines of applying for a grant and includes all relevant documentation.

The Manual will be reviewed and amended to reflect any new requirements, criteria or
practices of the Global EbA Fund. The most up to date version will be the one available on the
Global EbA Fund website at www.GlobalEbAFund.org.

Version 1
30 March 2021
DISCLAIMER: The document provides general information only and may not be completely accurate in
every circumstance, does not purport to be legal advice, and is not intended to be legally binding on the
Global EbA Fund in a particular case.

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Table of Contents
1. About the Global EbA Fund 1
1.1. Introduction and focus of the Fund 1
1.2. Rationale 1
1.3. Objectives 2
2. Global EbA Fund Eligibility Requirements 4
2.1. What we fund 4
2.2. Applicant Eligibility 4
2.3. Geographic Eligibility 5
2.4. Project Duration and Grant Size 6
3. Grant Screening and Selection Criteria 6
3.1 Initial Screening Criteria 6
3.2 Grant Selection Criteria 8
3.3 Desirable Project Design Characteristics 12
3.4 Environmental and Social Management System 12
4. Administrative and Legal Requirements 13
4.1. Legal Entity / Judicial Person Status 13
4.2. Accounting 14
4.3. Eligibility of expenditures 14
4.4. Internal and External Controls 15
4.5. Compliance with the law and anti-corruption 15
4.6. Contract Award Procedure for supplies and services 16
4.7. Selection of grantees 16
5. Application and Award Process 16
5.1. Application documents 16
5.1.1. Concept stage checklist 16
5.1.2. Full proposal stage checklist 17
5.2. Submission process 18
5.2.1. Submission 18
5.2.2. Data protection 18
5.3. Guidance on intervention logic 18
5.4. Glossary 19
Annex 1: Applicant Declaration 22
Annex 2: Co-applicant Mandate 24
Annex 3: Concept Note Template 25
Annex 4: Full Proposal Template 31

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Acronyms and Abbreviations

BMU Federal Ministry for the Environment, Nature Conservation and Nuclear Safety
CBD Convention on Biological Diversity
CfP Call for Proposals
CN Concept Note
EbA Ecosystem-based Adaptation (aka Nature-based Solutions for Adaptation)
FEBA Friends of EbA
FPIC Free, Prior and Informed Consent
Fund, The Global EbA Fund
GAN Global Adaptation Network
GCA Global Commission on Adaptation
GCF Green Climate Fund
GEBAF Global EbA Fund
GEF Global Environment Facility
GIZ Deutsche Gesellschaft für Internationale Zusammenarbeit GmbH
IKI International Climate Initiative
IUCN International Union for Conservation of Nature
MEL Monitoring, Evaluation and Learning
NAPs National Adaptation Plans
NbS Nature-based Solutions
NDCs Nationally Determined Contributions
ODA Official Development Assistance
SC Steering Committee
SDGs Sustainable Development Goals
UNEP United Nations Environment Programme
UNFCCC United Nations Framework Convention on Climate Change
ZUG Zukunft - Umwelt - Gesellschaft GmbH

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1. About the Global EbA Fund
1.1. Introduction and focus of the Fund

Globally, there is more appetite for scaling up the use of Ecosystem-based Adaptation (EbA)1
than ever before. Not only is there increasing recognition of the importance of adaptation, as
evidenced by the adoption of the Global Goal on Adaptation in the Paris Agreement and
subsequent initiatives such as the Global Commission on Adaptation (GCA), but there is also
unprecedented attention to the fundamental role of natural ecosystems in supporting climate
change adaptation.

The role of nature-based solutions (NbS) for the world’s pressing issues, including climate
change, are increasingly gaining attention. In 2019, the IPBES Global Assessment Report on
Biodiversity and Ecosystem Services demonstrated that nature is declining at unprecedented
rates and species extinctions continue to accelerate, threatening the functioning of
ecosystems as the foundations of human livelihoods, economies, food security and more. The
report also highlighted the fundamental role of natural ecosystems in reducing vulnerability to
climate-related extreme events and other economic, social and environmental shocks and
disasters. In parallel, the findings of the IPCC Special Reports Climate Change and
Land and The Ocean and Cryosphere in a Changing Climate both addressed the need to
ramp up climate action overall as well as the role of ecosystems and biodiversity in building
climate resilience. The leaders of governments, communities, corporations and other
coalitions increasingly acknowledge that healthy, resilient ecosystems lay the foundation for
sustainable economic development, food and water security, disaster risk reduction and
climate action. Identifying, implementing and scaling up these solutions and maximising their
co-benefits will be key to solving the climate crisis.

Implemented by IUCN and UNEP with funding from the International Climate Initiative (IKI) of
the German Federal Ministry for the Environment, Nature Conservation and Nuclear Safety
(BMU), the Global EbA Fund is a quickly-deployable mechanism for supporting innovative
approaches to EbA. By supporting catalytic initiatives, the Fund will help overcome barriers to
upscaling EbA, address knowledge gaps, pilot innovative EbA approaches, engage in
strategic EbA policy mainstreaming, and incentivise innovative finance mechanisms and
private sector EbA investment.

1.2. Rationale

Climate change is one of the greatest threats we all face all over the world. The latest climate
and biodiversity assessments2 have showcased the interlinkages between climate, ecosystem
degradation, biodiversity, and human land use, with clear impacts on agricultural productivity,
food security, extreme weather events, and land degradation, made more urgent by changes
in populations and food demand. Often, people who contributed the least to cause the

1 EbA is defined as the use of biodiversity and ecosystem services as part of an overall adaptation strategy to
help people to adapt to the adverse effects of climate change (CBD, 2009 & 2010).
2 Including, among others, the 2019 IPBES Global Assessment Report on Biodiversity and Ecosystem Services,

the IPCC Special Reports Climate Change and Land, The Ocean and Cryosphere in a Changing Climate, and
Global Warming of 1.5°C.

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problem—especially those living in poverty and in vulnerable areas—are the most affected by
environmental changes and thus most at risk.

Natural ecosystems play a fundamental role in reducing vulnerability to climate-related

extreme events and other economic, social and environmental shocks and disasters. The
broad set of approaches that involve the management of ecosystems and their services to
reduce the vulnerability of human communities to the impacts of climate change are known as
Ecosystem-based Adaptation. IUCN has been advocating for the use of EbA since 2008 and
it has been a core part of UNEP’s work since 2010, when the term was adopted by the CBD.
In the decade since, governments, non-governmental organisations, community-based and
Indigenous Peoples organisations and research institutes have made great strides with the
development and implementation of EbA initiatives. These initiatives have provided a robust
evidence base for the effectiveness of EbA in strengthening the resilience of communities and
ecosystems to the impacts of climate change and in supporting countries to meet their targets
under a variety of international agreements.3

Despite the powerful case for working with nature to reduce climate risks, few governments
have adopted these approaches widely, and only 3 percent of nearly 2,000 companies
reported using natural ecosystems as part of their climate adaptation strategies. A recent
analysis found that only about 15% of the Adaptation Fund’s4 allocated funding since 2016
has gone to ecosystem-related activities. Only USD 15 million, or 4% of the total Adaptation
Fund portfolio, is designed primarily for ecosystem resilience.5 The relatively low proportion of
Adaptation Fund activities which focus on ecosystem resilience is emblematic of the wider
gaps in understanding, planning and investment that hinder the wider uptake of nature-based
solutions. These barriers can be summarised as follows:

● Lack of awareness of the critical role of natural assets in underpinning resilience, and
limited availability of knowledge and evidence to help make the case for working with
nature.
● Policy and regulatory environments and governance challenges that limit the
attractiveness and feasibility of using these approaches.
● Limited access to finance for applying and scaling up nature-based approaches

1.3. Objectives

The Fund seeks to (1) backstop identified gaps within or relevant to on-going adaptation and
resilience projects using ecosystem-based adaptation approaches and (2) support the
integration of EbA approaches into traditional conservation or development projects. In this
context, the Global EbA Fund will prioritise filling in resource and knowledge gaps with a broad
thematic focus on innovation and urgency, thus encouraging creative solutions and
partnerships among funding applicants and the wider EbA community. By supporting catalytic
interventions, the Fund will address knowledge gaps, pilot innovative EbA approaches,

3
Reid H, Hou Jones X, Porras I, Hicks C, Wicander S, Seddon N, Kapos V, Rizvi A R, Roe D (2019) Is
ecosystem-based adaptation effective? Perceptions and lessons learned from 13 project sites. IIED Research
Report. IIED, London. https://pubs.iied.org/17651IIED/
4 The Adaptation Fund was established under the Kyoto Protocol of the UN Framework Convention on Climate

Change. https://www.adaptation-fund.org/
5
https://www.weadapt.org/knowledge-base/climate-finance/finance-for-the-adaptation-of-ecosystems-to-climate-
change Accessed 24/10/2019

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engage in strategic EbA policy mainstreaming, and incentivise innovative finance
mechanisms and private sector EbA investment.

All proposed interventions must clearly contribute to one or more of the Global EbA Fund
Strategic Objectives:

Strategic Objective 1: To build awareness and understanding of the critical role of natural
assets in underpinning resilience, expand the knowledge and evidence base to help make the
case for working with people and nature, and enhance institutional capacities for
mainstreaming EbA into national plans and policy frameworks and vertical integration and
alignment of EbA across sectors.

Strategic Objective 2: To address planning and other governance gaps in policy and regulatory
environments to increase the attractiveness and feasibility of using and upscaling ecosystem-
based approaches.

Strategic Objective 3: To expand access to sustainable short- and long-term finance

mechanisms for applying and scaling up ecosystem-based approaches, including the
incentivisation of private sector investment in EbA and reducing EbA’s dependence on high
management capacity and continuous financial input.

The following are some examples of the types of interventions that the Global EbA Fund would
consider to have catalytic impact. This list is hardly exhaustive.

● Directed research addressing how to overcome specific constraints for EbA and
address gaps in knowledge (e.g. economic valuation, gender integration, capturing
mitigation co-benefits, incentives for private sector investment, trade-offs and limits for
EbA, etc)
● Strategic pilot or demonstration actions, specifically where the Fund identifies high
potential for up-scaling through multilateral funds (e.g. GCF) and other adaptation
finance options, for which the Fund would directly build capacity of the grantee(s)
● Piloting innovative approaches for EbA, where monitoring of impacts can build
knowledge based on costs and benefits (impact)
● Integrating EbA methods and approaches into traditional infrastructure projects
● Removing barriers from up-scaling EbA interventions at the policy or landscape levels
● Support for strategic and focused EbA policy mainstreaming (e.g. integrating EbA
approaches into a municipal plan)
● Innovative finance mechanisms for EbA (e.g. community incentive schemes, payments
for ecosystem services, etc.)
● Incentivising private-sector investment in EbA and de-risking lending for EbA
approaches (e.g. through agricultural lending)

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2. Global EbA Fund Eligibility Requirements
2.1. What we fund

The Global EbA Fund grant selection criteria concern both the proposed project and the wider
context for its implementation. Global EbA Fund grants should be complementary to and add
value to existing work, by filling a gap in an existing project, enhancing the impact of an
investment in EbA, contributing to policy upscaling of EbA, and/or serving to develop a larger
proposal to another funding mechanism.

In summary, the Global EbA Fund supports projects that…

 Contribute to the implementation of ecosystem-based adaptation and aligns
with the FEBA EbA Qualification Criteria & Quality Standards.

 Result in catalytic impact, such as by piloting innovative approaches for EbA,

removing barriers from upscaling EbA interventions at the policy or landscape levels,
strategic and focused EbA policy mainstreaming, supporting innovative finance
mechanisms for EbA, incentivising private sector investment in EbA, and supporting
unlikely matches between partners.

 Add value to or upscale existing work. Projects should fill a gap in existing work,
address a knowledge gap, contribute to policy upscaling, enhance the impact of an
investment in EbA, and/or serve to develop a larger proposal to another funding
mechanism. Projects should leverage existing knowledge, standards, partnerships,
experiences, and best practices or filling gaps therein to facilitate increased uptake
and/or impact of EbA. Global EbA Fund projects should not be standalone
interventions. As such, projects should not focus primarily on field implementation of a
new intervention in the scope of the proposal, though field implementation may be a
component.

 Create impact with a Global EbA Fund contribution of USD 50,000 to USD 250,000
and are either global, thematic, or targeted to one or more countries which are
eligible for official development assistance (ODA).

2.2. Applicant Eligibility

The Global EbA Fund seeks to catalyse new partnerships and collaborations and unlikely
matches between new and non-traditional partners. The Fund seeks to reach out beyond
traditional actors and constituencies to attract all actors and constituencies relevant to EbA.
The Fund seeks diverse applicants with relevant experience and local partnerships and
presence, and who support addressing specific gaps in technical knowledge and
understanding among government actors. The Fund will consider private sector applicants
under certain conditions, for example no funding of sector-specific obligations nor
compensatory or replacement measures, for-profit activities, etc. Overall, common public
interest will be a top priority. While not required, co-financing from the applicant would
demonstrate an institutional investment in the project.

Categories of eligible recipients are:

A. Non-governmental organisations (NGOs)

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 B. International non-governmental organisations (INGOs)
C. Community-based organisations (CBOs)
D. Indigenous People’s Organisations
E. Universities and other academic institutions
F. Research institutes and think tanks
G. Private sector companies
H. Consortia of organisations that promote collaboration and greater impact around EbA.
However, there should be a clearly defined lead agency, the “Applicant Organisation”,
as detailed in the concept note template. This agency, if successful, would be the
responsible contract party.

UNEP country and regional offices and IUCN offices are not currently eligible to apply for
funding from the Global EbA Fund.

In line with current IKI policies, the Fund will not grant directly to government partners but will
provide grants to organisations working directly with national, sub-national and local
governments to create an enabling environment for EbA and support implementation of
strategic partnerships.

Eligible recipients must have sufficient capacity to allow for professional and timely
implementation of proposed projects. Applicants will be asked to complete IUCN’s Due
Diligence Questionnaire which covers some of the following topics. As part of the full proposal
package, eligible recipients may be asked to provide certain information including, but not
limited to:

● Basis for legal establishment or recognition, and legal right to work in targeted
country/countries if any
● Governance structure, including names of governing body members, officers and key
personnel
● Description of at least three recent relevant programs/projects/activities
● Publications
● Annual budget (last completed year, current year)
● Sources of revenues
● Audited financial statements for most recently completed fiscal year
● Administration, accounting and control procedures
● Current auditing arrangements or equivalent (tax documents)
● Procurement practices for purchasing goods, works and services
● Environmental and social safeguard policies
● Years of experience with the proposed EbA intervention
● Presence or local partnerships in targeted geographic region, if any.

2.3. Geographic Eligibility

Projects may have a global, thematic, regional and/or country-specific focus.

If the project has a country-specific focus, it must be targeted to one or more countries which
are eligible for official development assistance (ODA) based on the Organisation for Economic
Co-operation and Development’s Development Assistance Committee (OECD-DAC) list at the
time of application.

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Regional/multi-country projects, particularly projects designed to foster regional exchange and
achieve regional-scale impacts, are eligible. For multi-country projects, which are projects
involving activities in more than one country, all of the countries must be ODA-eligible.

Projects with a global or thematic focus, not targeted to a specific region or country, are also
eligible.

2.4. Project Duration and Grant Size

The projects financed by the Global EbA Fund may be implemented in a maximum period of
three (3) years, unless indicated differently in the grant agreements. The Fund encourages
project durations of 24 months. Additional justification is required for projects seeking longer
than 24 months but up to 36 months.

Grants issued will be in the range of USD 50,000 to USD 250,000 (of maximum three years
in duration). In exceptional circumstances of project need, a grant up to a maximum amount
of USD 500,000 may be issued. The total funds disbursed will amount to around USD
14,000,000 over five years.

3. Grant Screening and Selection Criteria

The Fund will accept and review applications year-round that align with the general grant
selection criteria outlined below. Furthermore, at any stage the Fund may also launch specific
Calls for Proposals that may set a strategic and/or geographic focus that will need to be
considered in addition to the general grant selection criteria. Any Calls for Proposals will be
posted on the Global EbA Fund website at www.GlobalEbAFund.org.

3.1 Initial Screening Criteria

The Global EbA Fund (hereafter “The Fund”) is structured to support catalytic, innovative and
urgent initiatives to help to overcome identified barriers to upscaling EbA. The initial screening
criteria included below seek to identify projects which align with the Strategic Objectives of the
Fund. These criteria will be applied equally to all applications received regardless of project
type, size or requested funding and they will determine basic eligibility.

For Questions 1-3 please refer to FEBA EbA Qualification Criteria and Quality Standards (EN
| FR | ES) for more information.

1. Does this intervention reduce social and environmental vulnerabilities? Yes / No

2. Does this intervention generate societal benefits in the context of climate change
adaptation? Yes / No

3. Does this intervention restore, maintain and/or improve ecosystem health? Yes / No

4. Is this intervention supported by policies at multiple levels? Yes / No

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5. Does this intervention support equitable governance and enhance capacities? Yes /
No

6. Does the project align with one or more of the Global EbA Fund’s Strategic
Objectives? Yes / No

☐ Strategic Objective 1: To build awareness and understanding of the critical role of

natural assets in underpinning resilience, expand the knowledge and evidence base
to help make the case for working with nature, and enhance institutional capacities for
mainstreaming EbA into national plans and policy frameworks and vertical integration
and alignment of EbA across sectors.

☐ Strategic Objective 2: To address planning and other governance gaps in policy and
regulatory environments to increase the attractiveness and feasibility of using and
upscaling ecosystem-based approaches.

☐ Strategic Objective 3: To expand access to sustainable short- and long-term finance

mechanisms for applying and scaling up ecosystem-based approaches, including the
incentivisation of private sector investment in EbA and reducing EbA’s dependence on
high management capacity and continuous financial input.

7. Is the requested funding amount between USD 50,000 and USD 250,000? Yes / No

In rare cases, with full justification, projects over USD 250,000 but less than USD
500,000 could be considered.

8. Is the project duration 36 months or less? Yes / No

The Fund encourages project durations of 24 months but this duration could be
extended up to 36 months in unusual circumstances. If the proposed project is for
longer than 24 months, please provide justification.

9. If the intervention has a regional or country-specific focus, is it targeted to one or more

countries eligible for official development assistance (ODA), as defined by the OECD?
Yes / No

10. Will government partner(s), if any, receive any funding through the proposed project?
Yes / No

The Fund will not grant directly to government partners but will provide grants to
organisations working directly with national, sub-national and local governments to
create an enabling environment for EbA and in support of the implementation of
strategic partnerships.

11. If a UNEP or IUCN programme/regional/country office is involved in the project, will

they receive any funding through the proposed project? Yes / No

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 12. Is the applicant legally able to operate in the country/-ies of the project and provide
supporting documentation (MoU or endorsement from a relevant government
agency)? Yes / No

3.2 Grant Selection Criteria

The Global EbA Fund grant selection criteria concern both the proposed project and the wider
context for its implementation. Global EbA Fund grants should be complementary to and add
value to existing work, by filling a gap in an existing project, enhancing the impact of an
investment in EbA, contributing to policy upscaling of EbA, and/or serving to develop a larger
proposal to another funding mechanism. Applicants should consider the wider context for
implementation in addressing the selection criteria detailed below.

1. Contributes to the implementation of ecosystem-based adaptation and aligns with the

FEBA EbA Qualification Criteria & Quality Standards (EN | ES | FR).

1. a) Reduces social and environmental vulnerabilities (EbA Criterion 1)

EbA must explicitly address current and future climate change and climate variability. It is
based on assessments of climatic vulnerability, hazards and risks to people, as well as
the adaptation benefits derived from ecosystem services. A combination of climate
information (based on the best available scientific data and models and local knowledge)
and vulnerability assessments should form the basis for implementation. EbA measures
need to reduce climate vulnerability for people at an appropriate scale (e.g. at least local
scale but ideally ecosystem or landscape/seascape scale).

Projects should:
● Make clear use of climate risk and vulnerability assessments. Projects should
draw on existing local, national and/or regional climate risk and vulnerability
assessments including drawing from IPCC assessments. Projects should
incorporate best available baseline information and studies, when available,
covering the proposed project location(s).
● Draw on the best available science and use of traditional and local knowledge.
Projects should draw on the best available science where applicable and
financial feasible. Examples of tools to be used include: analytical models and
related tools (e.g. vulnerability assessments, climate risk screening including
projections of climate change impacts, natural capital assessments), inclusive
community participation methodologies, gender analyses, and prioritisation
techniques. In addition, projects should draw on and use relevant traditional
knowledge, when applicable.

1. b) Generates societal benefits in the context of climate change adaptation (EbA

Criterion 2)

EbA reduces vulnerabilities of people through the use of biodiversity and ecosystem
services and by producing societal benefits in a fair and equitable manner. It addresses
the needs of people, especially those who directly depend on or use natural resources
and who are particularly vulnerable to climate change impacts. EbA delivers direct or

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indirect benefits that increase peoples’ resilience to climate change, including enhanced
food security, shelter, risk reduction, provision of fresh water and medicine, and local
climate regulation. It also often generates additional benefits essential for sustainable
development including carbon sequestration, habitat provision or medicinal resource
provision. In order for EbA to support adaptive capacities it needs to distribute short-,
medium- and long-term benefits. Comparative analyses on the extent and scale of
adaptive capacity and resilience benefits should clarify whether EbA measures are
economically feasible and can complement or substitute other adaptation options.
Benefits should be distributed fairly among a representative percentage of the target
group.

Projects should:

● Clearly describe tangible climate adaptation benefits.

● Consider how the project affects stakeholders across scales, including outside
of the targeted intervention area, communities, and/or organisations, and
considering direct and indirect costs and benefits.

1. c) Restores, maintains or improves ecosystem health (EbA Criterion 3)

EbA restores, maintains and improves ecosystems, land- and seascapes in line with the
Ecosystem Approach. It is applied at a scale that addresses the challenge of, and
integrates the trade-offs resulting from climate change, meaning it supports the stability,
resilience, connectivity, and multiple roles of ecosystems as part of larger land- and
seascapes. EbA encompasses measures such as ecosystem management,
reinforcement and restoration of natural infrastructure, as well as the management of
threats associated with the effects of climate change or anthropogenic activities. Because
climate change can force changes in ecosystem composition and structure, it is important
that the health and stability of ecosystem services are maintained, improved, and
monitored. EbA fosters appropriate land and water management practices that support
climate change adaptation, prioritise the management of key ecosystem services, and
foster the sustainable use of land and coastal and marine resources (e.g. by conservation
and climate-smart agriculture, soil conservation, use of water retention areas, low impact
fishing). It supports the diversification of land and marine use and livelihood options such
as multi-cropping, agroforestry, and the use of appropriate species and varieties. For
example, this can include the introduction of species that are better adapted to climate
change, as long as they do not endanger the existence of native species or become
invasive. Co-management approaches that involve stakeholders from communities,
government and private sector should be supported.

1. d) Is supported by policies at multiple levels (EbA Criterion 4)

As part of a larger adaptation strategy, EbA operates at one or more levels (i.e. local,
national, regional, landscape, and sectoral levels), and can involve supporting sectoral
adaptation and multi-sectoral approaches at multiple geographic scales. It is, or becomes,
an integral part of key policies and implementation frameworks targeted towards
sustainable development, agriculture, land use, poverty reduction, natural resource

9
management, climate change adaptation, and disaster risk reduction. EbA should be
integrated into existing policy frameworks so that interventions can be sustainable and
scalable, rather than short-term and stand-alone.

Projects should:

● Have clear policy linkages to national, sub-national, regional, and/or global

policies and strategies. Projects should be supportive of national policies and
strategies to the extent possible (e.g., national adaptation plans (NAPs),
nationally determined contributions (NDCs), National Communications under
UNFCCC, national biodiversity strategies and action plans (NBSAPs), etc.)
including actions planned in regional, national or local level documents with a
climate change adaptation focus. In addition to these, projects should also
include links to other global and national policy priorities including but not
limited to Sendai Framework, Land Degradation Neutrality targets under
UNCCD and social development targets (such as gender, poverty, health).
Further, proposals should identify the potential to influence these policies or,
where possible, include a plan to influence these policies.
● Have clear replicability to other areas and communities; upscaling potential of
the model or practice to support ecosystem-based adaptation. Projects should
consider the prospect of replicability in other communities, countries,
ecosystems, and/or other sectors with context-specific
adaptations/modifications as necessary, thereby enabling successful effects to
be achieved beyond the framework of the individual project.

1. e) Supports equitable governance and enhances capacities (EbA Criterion 5)

EbA enhances governance of natural resources with respect to the use of biodiversity and
ecosystem services, by following a community-centred, participatory and gender-
sensitive approach; it embraces transparency, empowerment, accountability, non-
discrimination and active, meaningful and free participation at the local level. It should
support fair and equitable sharing of user access, rights and responsibilities. The ability
to adapt to climate change hinges on the ability of local people (comprising different
groups, genders, customary bodies, etc.) to take on their rights and responsibilities and
to be represented by officials who are accountable to them. Ownership by the people
responsible for ecosystem management and by people who are using and benefiting from
biodiversity can ensure that benefits emerge and are sustainable. Strong local
governance needs to be embedded in higher level governance structures, which can
facilitate and stimulate local action through the right policies and enabling environment.

Projects should:

● Mainstream a gender responsive approach to project design and

implementation. The project should conduct gender analyses and apply key
issues and recommendations identified to inform gender-responsive project
design, budgeting, staffing, implementation, monitoring and evaluation; and to
analyse the risks that the project may experience or pose, put measures in
place to ensure activities do not exacerbate existing gender-related

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 inequalities, including gender-based violence; and seize opportunities to
address gender gaps and support empowerment of women.
● Be participatory and inclusive. Diverse stakeholders should be effectively
consulted and involved in decision-making processes, including
marginalised/disadvantaged groups (especially women, youth, Indigenous
Peoples) and people who may be adversely affected by the project, where
applicable. Overall, projects should ensure that benefits are equitably
distributed. Projects with direct and indirect impact on Indigenous Peoples must
uphold the right of Indigenous Peoples to Free, Prior and Informed Consent
(FPIC)6.

2. Results in catalytic impact, such as by piloting innovative approaches for EbA, removing
barriers from upscaling EbA interventions at the policy or landscape levels, strategic and
focused EbA policy mainstreaming, supporting innovative finance mechanisms for EbA,
incentivising private sector investment in EbA, and supporting unlikely matches between
partners.

3. Projects add value to or upscale existing work.

Projects should fill a gap in an existing project, address a knowledge gap, contribute to policy
upscaling, lead to systematic changes and/or behavioural changes of decision makers or a
significant number of individuals or institutions, enhance the impact of an investment in EbA,
and/or serve to develop a larger proposal to another funding mechanism. Proposed projects
should not be standalone interventions, but rather be explicitly designed to achieve synergies
with other projects and initiatives. Projects should not focus primarily on field implementation
of a new intervention in the scope of the proposal, though field implementation may be a
component.

Projects should:
● Prioritise project sustainability and financial continuity. The project should
have a clear plan for how results will be maintained and developed past the
end of the funding period. This should include environmental, infrastructural,
institutional, social and financial sustainability considerations as applicable. If
follow-up(s) to the proposed project will require a budget and/or time frame
outside of that offered by the Fund - for instance, if the project will develop a
larger project proposal to a different funding mechanism - the applicant should
clearly articulate anticipated funding options, including any market-based,
private sector, or public sector funding opportunities.

4. The Global EbA Fund is open to global and thematic projects as well as those
targeted to ODA-eligible countries. If a project has a regional or country-specific focus, all
countries targeted must be eligible for official development assistance (ODA).

6
Learn more about Free, Prior and Informed Consent (FPIC) from FAO at this website, including a
Manual for Project Practitioners, a toolkit and e-learning materials: http://www.fao.org/indigenous-
peoples/our-pillars/fpic/en/

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3.3 Desirable Project Design Characteristics

The following project design elements are not mandatory. However, the Fund could give
preferential treatment to projects that incorporate one or more of these (ceteris paribus) during
full proposal evaluation. These desirable project design characteristics will be regularly
reviewed and may be modified by IUCN and UNEP based on evidence gathered and strategic
decisions of the Fund. These include potentially targeting specific areas of focus in future
years to best meet the strategic objectives of the Fund.

● Connecting on-the-ground with higher-level activities. Projects that combine and

connect on-the-ground activities and data with higher-level decision-making work (e.g.
policy action by governments, business practice changes by companies, sustainable
finance mechanisms) to foster structural and sustainable change.
● Leverage of other resources. Projects with the potential to leverage other financial
and technical resources. In cases where additional funding is leveraged, the funding
sources should be identified. Other funding provided by the German government will
not be considered as leveraged financing. Please note that leveraged financing is not
mandatory.
● Gender and Youth. Projects that focus on gender and youth perspectives, including
their involvement in conservation, education, vulnerability and adaptive capacity to
climate change, alternative livelihoods, among other topics.
● Strengthening of Civil Society Organisations (CSOs). Projects that create and
strengthen capacity in local CSOs.
● Contribution to NDCs. The Fund has chosen not to identify specific target regions or
countries (though it will be limited to ODA-eligible countries), aiming to focus its efforts
instead wherever it is most needed and where requests arise. More specifically,
however, the Fund is seeking to support innovative actions and catalytic interventions
to leverage the performance of EbA into the countries’ NDCs in the various
geographies over its lifetime.
● Clear mitigation co-benefits.

3.4 Environmental and Social Management System

The Global EbA Fund Environmental and Social Management System (ESMS) is developed
based on IUCN’s Environmental and Social Management System. The Fund has established
the procedures for screening future grants on environmental and social risks and their
respective risk categories (including the tool to be employed for screening) as well as
additional procedures for managing and monitoring such risks. The Global EbA Fund ESMS
follows this systematic procedure to screen projects for potential adverse environmental and
social impacts to ensure that negative impacts are avoided or minimised while positive impacts
are stimulated. The ESMS also ensures that the implementation and effectiveness of
mitigation measures are monitored and that any impacts arising during execution of grantee
projects are addressed.

At the concept stage, all grant applicants are required to complete the Initial ESMS Screening.
Selected applicants invited to submit a full proposal will complete further ESMS steps, if
applicable. The Initial ESMS Screening integrates pre-screening on legal and financial risks

12
while the more extensive evaluation at the full proposal stage will assess social and
environmental risks.

The Fund Secretariat will be responsible for screening these risks based on technical
knowledge and safeguard experience. Where necessary, targeted risk assessments for grant
proposals will be required (social assessment, targeted environmental studies etc.). In certain
cases, the Fund will provide capacity-building support to organisations and work to develop
targeted plans of actions such as Environmental and Social Management Plan, Indigenous
People Plan, Access Restrictions Mitigation Process Framework, specific stakeholder
consultations, disclosure requirements and grievance mechanisms.

Overall, the procedures will be specific to the geographic context, objectives and proposed
activities of the applicant and be designed proportional to the expected risks. The Fund will
define an exclusion list to control the risk level of the grants.

The most up to date version of the Global EbA Fund ESMS is available on the Global EbA
Fund website.

4. Administrative and Legal Requirements

Grant recipients are required to adhere to administrative and legal requirements, including
completion of the Due Diligence questionnaire, which encompasses many of the following
topics, and adherence to the Procurement Policy and Procedure for Grant Recipients.

4.1. Legal Entity / Judicial Person Status

The direct beneficiary of the grant must be a recognised legal entity. The recipient must have
the legal capacity to conclude contracts in its own name. Individuals and partnerships or
associations that do not have legal capacity cannot be taken into consideration as direct
recipients of financing, even if they sometimes act as executing agencies for public-benefit
projects.

Register extracts, statutes, or articles of association, but also other proofs according to the
respective requirements of the relevant legal regulations of the country of registration can
serve as evidence of legal status. For example, laws, foundation deeds, registration
information, decrees and tax numbers may be submitted. In these cases, which differ from
country to country, it may be necessary for IUCN to obtain an extract from the relevant
statutory regulation.

Applicants must also indicate in the relevant section of the Due Diligence Questionnaire if they
are a non-profit organisation. The Fund classifies a non-profit organisation (NPO, generally
also known as a not-for-profit organisation, charitable institution, or non-business entity), as
an organisation dedicated to the promotion of a particular social cause. Economically, it is an
organisation which uses the surplus of its income to promote its objective, rather than
distributing its income to the shareholders, managers or members of the organisation.

13
The Fund will consider private sector/ for-profit applicants only under certain conditions, and
for-profit organisations must clearly demonstrate that the proposed project pursues strictly
non-profit objectives and does not generate any income.

Finally, we ask applicants to specify through which law(s) their organisation has been
registered. This information can be found in most cases in the founding/registration documents
themselves.

4.2. Accounting

All recipients must keep accounting records. Their bookkeeping must enable a third-party
expert to gain an overview of the company’s business transactions and financial situation
within a reasonable amount of time.

Organisations must use a software-based accounting system that meets their respective
national standards. In addition, dedicated accounting staff should be employed by the
organisation. Alternatively, the accounting tasks can be outsourced. In this case, the
requirements for accounting would have to be met by the contracted company.

One requirement for organisations applying for a grant is the ability to clearly assign employee
working hours to respective projects. Therefore, an electronic or manual time recording system
is required. If no traceable time recording exists, the recipient must sign and submit a self-
commitment to create one before the grant agreement can be signed.

4.3. Eligibility of expenditures

Expenditures must be indispensable for project performance and achievement of project

results. All expenditures must be incurred with the eligibility period of the project, as defined
in the grant agreement.

Expenditures must be identifiable and verifiable; grant recipients should be prepared to

present documentation in the case of a financial audit. Expenditures must be detailed in
accounting records, backed by supporting evidence (e.g. invoices, receipts, contracts, time
sheets, etc.) and in accordance with the accounting standards of the country of registration of
the recipient and its usual accounting practices. Expenditures must be reasonable, justified
and in line with the principle of sound financial management.

The actual eligibility of expenditures will only be determined by the Global EbA Fund at the
liquidation stage (winding down phase) of the project. All expenditures that do not meet the
eligibility conditions will be declared ineligible and disallowed accordingly. The grant recipient
will need to reimburse the overpaid amount.

The following are examples of expenditures are not eligible:

 Expenditures, which cannot be supported by original supporting evidence,
 Expenses without proof of payment,
 Unused discounts and rebates,
 Expenditures incurred outside the period covered by the grant,

14
  Insurance not required by law,
 Expenditures that cannot be clearly attributed to the project,
 Expenses that result in later refunds (e.g. rent deposit),
 Expenses for first-class flights.

This list of ineligible expenditures is not exhaustive.

4.4. Internal and External Controls

Internal controls are processes that ensure the achievement of an organisation's objectives in
terms of operational effectiveness and efficiency, reliable financial reporting, and compliance
with laws, regulations, and policies. As a broad concept, internal control involves everything
that minimises risks for an organisation. It serves to avert damage that might be caused by
the organisation’s own staff or malicious third parties. Measures may be undertaken
independently of the internal control process in the form of retrospective controls, for example
by an internal auditing unit. Alternatively, they may take the form of preventive rules as an
integral part of the internal control process. More information on the specific requirements is
included in Section 6 of the Due Diligence Questionnaire.

External controls describe an auditing procedure in which external auditing firms examine the
quality assurance systems of auditees. External control is not performed by an internal staff
member, i.e., one who works at the organisation to be audited, but by an external third party.

4.5. Compliance with the law and anti-corruption

Compliance with the law means that the potential recipient has not violated any laws (as far
as is known) for example, by evading tax payments or encouraging undeclared work.

Corruption is the misuse of public or private sector positions of power or influence for private
benefit. This may take the form of bribery, dispatch money, embezzlement, nepotism,
blackmail, fraud, kickbacks, the exertion of unlawful influence, secret arrangements, and
insider dealing. Anti-corruption covers all activities designed to prevent and combat corruption
wherever and whenever it occurs.

All grantees will adhere to IUCN’s Code of Conduct and Professional Ethics and IUCN’s Anti-
Fraud Policy as part of their contractual obligation to the Fund.

Once the grant agreement has been concluded, IUCN reserves the right to audit or evaluate
a project at any time (at its own expenses). Regular financial and technical reporting during
project implementation is mandatory. The Global EbA Fund promotes the transparent handling
of funding: relevant project information, including financial information, will be published on
the Global EbA Fund website.

The Global EbA Fund, operates an ESMS Grievance Mechanism which can be used to submit
information on corruption and bribery along with any other concerns about the executing
entity's failure to respect IUCN ESMS principles, standards or procedures: Environmental and
Social Management System | Global EbA Fund.

15
4.6. Contract Award Procedure for supplies and services

If the beneficiary of a grant agreement contracts external staff or purchases supplies and/or
services financed in whole or in part by the grant agreement, the grantee must comply with
the specific terms outlined in the grantee contract and with IUCN's Policy and Procedure on
Procurement of Goods and Services.

4.7. Selection of grantees

Applicants will submit a concept note providing a detailed summary of their project context,
approach, outcomes and outputs and the required documentation. A short list of applicants
who qualify will be invited to submit a proposal within six weeks elaborating on their concept
note and will begin a due-diligence process. Please note that the final decision for funding will
be based on due diligence and fulfilment of all of IUCN’s policies, procedures, procurement,
and legal requirements.

5. Application and Award Process

This section serves as a general guideline for applicants to the Global EbA Fund (hereafter
“The Fund”). It provides information and explanations for various components of the
application process.

The Fund will accept and review applications year-round and make biannual funding
decisions. In 2021, the biannual funding decisions will be in July 2021 and November 2021.
The cut-off dates for consideration will be 30 April 2021 and 30 August 2021 (23:59 UTC+2),
respectively. Applications received after the cut-off dates will be considered for the next round.

Successful applicants will be invited to submit a full proposal, including due diligence
processes. Further information is available in section 5.1.2. below. These applicants will then
have six weeks to submit their full proposal.

Applications must be submitted in English. Official documents of the organisation and register
entries must be translated into English. All application documents must be submitted via email
to [email protected].

Please follow the guidelines carefully when developing and drafting a proposal, in order to
ensure the highest possible quality of the project concept and consequently improve your
chances of being selected for funding from the Global EbA Fund.

Questions can be directed to [email protected].

5.1. Application documents

5.1.1. Concept stage checklist

Please make sure your application at the concept note stage includes all the following
documents at submission:

16
 ☐ Completed Initial Screening Criteria (See Section 3.1)

☐ Completed Concept Note Template, max 10 pages (See Annex 3)

☐ Certificate of registration of the applicant organisation

☐ Audited financial statements from the last fiscal year (and for the last 2 fiscal
years, if available)

☐ Completed Initial ESMS Screening: Concept Note Stage

☐ Signed Applicant Declaration Form (See Annex 1)

Submissions lacking these documents will be disqualified. All application templates are
complemented with instructions and examples in order to provide as much guidance as
possible in their compilation.

5.1.2. Full proposal stage checklist

Please make sure your application at the full proposal stage includes all the following
documents at submission:
☐ Completed Full Proposal Template (See Annex 4)

☐ Completed Budget Template (See Annex 5)

☐ Completed Activities & Timelines Template (See Annex 6)

☐ Full Proposal Monitoring, Evaluation and Learning Template (Annex 7)

☐ Applicant organisation bylaws or equivalent

☐ Applicant organisation institutional structure (organogram)

☐ CVs of key staff (optional)

☐ Completed Due Diligence Questionnaire

☐ Completed Final ESMS Screening Questionnaire (Full Proposal)

☐ Signed Applicant Declaration Form (See Annex 1)

☐ Signed Co-applicant Mandate (See Annex 2)

Submissions lacking these documents may be disqualified. All application templates are
complemented with instructions and examples in order to provide as much guidance as
possible in their compilation.
Additional documentation such as images, maps, baseline studies or letters of support or
endorsement may also be attached to the Full Proposal submission.

17
5.2. Submission process

5.2.1. Submission

Application documentation will be accepted via email at [email protected].

Please visit the Global EbA Fund website to view the FAQs. Any and all questions that arise
should be sent to [email protected].

5.2.2. Data protection

The Global EbA Fund Secretariat takes data protection and management seriously and is
committed to safeguarding and protecting Personal Data of private individuals. The Fund
Secretariat is aware of the risks involved, and of the importance of having appropriate data
protection standards in place.

In the scope of the mission of the Global EbA Fund, the Fund Secretariat will need to gather
and use certain information about individuals.

Safeguarding the Personal Data of all these persons is an essential aspect of protecting
people’s lives, integrity and dignity. The Processing of Personal Data touches all areas of The
Fund’s activity, whether operational or administrative.

As such, the entirety of the Global EbA Fund, including the application submission process, is
in accordance with the IUCN Data Protection Policy.

5.3. Guidance on intervention logic

This section provides guidance7 on structuring the intervention logic, which should guide the
overall design of the project and is specifically needed to develop the project intervention logic
section in the concept note and the theory of change, logical framework, and monitoring and
evaluation plan in the full proposal. The theory of change functions as a results chain of
hypotheses or assumptions that link various levels, and forms the basis for the logical
framework and the monitoring and evaluation plan. The project activities contribute to the
outputs, which in turn contribute to the outcome, which result in the long-term impact. In order
to demonstrate how the project will achieve results, the intervention logic must be sound and
coherent throughout these various levels. Applicants should also consider and identify under
what conditions and assumptions the results chain is correct.

The impact refers to the intended long-term contribution of the project.

The outcome describes the intended change that can be directly attributed to the project and
that result from achieving the planned outputs. The outcome is the overarching project goal:
the main effect expected to happen as a result of project intervention, especially on the target

7
This guidance is adapted from section 5 of the IKI Small Grants International Call 2020/2021 Application
Guidelines: IKI_Small_Grants_Application_Guidelines_Call_2020-2021.pdf (international-climate-initiative.com)

18
group of intended beneficiaries. While the project cannot completely control the achievement
of the outcome, it can steer toward it and demonstrate how the activities and outputs contribute
to the attainment of the outcome.

Activities encompass what will be done to deliver the outputs. The outputs are concrete
products, goods and services created through the project activities and used by the target
groups. The outputs are the specific project goals – the main products or results expected to
be delivered by project activities. Typically, several activities correspond to each distinctive
output. The activities and outputs are implemented and achieved directly by the project.
Outputs are not limited to the creation of products, goods and services but rather encompass
their use by partners, target groups and other beneficiaries as well.

Indicators must be developed for the project outcome and outputs and must fulfil the SMART
criteria (see box below) so that they can be easily monitored throughout project
implementation and provide meaningful information. Effective project monitoring is key to
evaluate the project’s progress and success and/or the need to possibly adapt the project
implementation.

Furthermore, a baseline must be established for all indicators. A baseline describes an initial
situation at the beginning of the project which would persist without project implementation, or
the expected conditions that would prevail in the absence of the project (“business-as-usual”).

Criteria for SMART Indicators

Indicators for the outcome and outputs must be:
 Specific – defined unambiguously and precisely.
 Measurable – provide measurement constructs (quantitative measures or
descriptions of qualitative conditions) and methods of data collection / sources of
verification.
 Achievable – it should be possible to reach the target value of the indicator with the
available resources and under the prevailing conditions.
 Relevant – the information provided by the indicator should be of relevance to
describe the outcome and outputs.
 Time-bound – equipped with a timeframe and achieved no later than by the end of
the project.

Note: Changes to defined goals (outcome and outputs) and project-specific indicators after
the grant agreement has been signed require prior approval by the Global EbA Fund
Secretariat.

5.4. Glossary

This glossary contains definitions of terms used in this document. It is also available on the
Global EbA Fund website. This is hardly an exhaustive list.

19
Term Definition References
Added value An improvement or addition to something that makes it Adapted from
worth more; an increase in the value of a resource, Cambridge
product, or service as the result of a particular process. Dictionary
Projects should draw on and improve the EbA knowledge
base and body of experiences and practices. Projects
supported by the Fund should fill a gap in an existing
project, address a knowledge gap, contribute to policy
upscaling, lead to systematic changes and/or behavioural
changes of decision makers or a significant number of
individuals or institutions, enhance the impact of an
investment in EbA, and/or serve to develop a larger
proposal to another funding mechanism.
Catalytic A catalytic project will leverage existing knowledge,
standards, partnerships, experiences, and best practices
or fill gaps therein to facilitate increased uptake of EbA
globally, regionally, and nationally. In particular, The Fund
will deploy technical and financing support to concepts that
help implement NDC commitments and scale up EbA
ambition in three areas: i) building awareness and
understanding, ii) planning and other governance gaps
and the potential for scaling up, and iii) seeking solutions
to financing gaps. This could include, but is not limited to:
increasing scalability or replicability of EbA interventions,
shifting social or behavioural norms, strengthening the
case for economic viability or feasibility of EbA
interventions, expanding the evidence base for EbA
effectiveness, integrating EbA into complementary climate
adaptation strategies, creating synergies between EbA
initiatives, or mainstreaming EbA into policies, institutions,
or other sectors.
Compliance Compliance with the law means that the potential recipient IKI (2020)
with the law has not violated any laws (as far as is known) for example,
by evading tax payments or encouraging undeclared work.
Corruption Corruption is the misuse of public or private sector IKI (2020)
positions of power or influence for private benefit. This
may take the form of bribery, dispatch money,
embezzlement, nepotism, blackmail, fraud, kickbacks, the
exertion of unlawful influence, secret arrangements, and
insider dealing. Anti-corruption covers all activities
designed to prevent and combat corruption wherever and
whenever it occurs.
Ecosystem- The use of biodiversity and ecosystem services as part of CBD (2009)
based an overall adaptation strategy to help people to adapt to
adaptation the adverse effects of climate change.
Innovative An idea or project that introduces new ideas or methods Oxford
based on original, creative or advanced thinking. Languages

Marginalised Different groups of people within a given culture, context European

groups and history at risk of being subjected to multiple Institute for
discrimination due to the interplay of different personal Gender
characteristics or grounds, such as sex, gender, age, Equality
ethnicity, religion or belief, health status, disability, sexual (2021)

20
Term Definition References
orientation, gender identity, education or income, or living
in various geographic localities.
“No regret” No-regret actions include measures taken by communities IUCN (2014)
options and/or facilitated by organisations which do not worsen
vulnerabilities to climate change or which increase
adaptive capacities and measures that will always have a
positive impact on livelihoods and ecosystems regardless
of how the climate changes.
Outcome The actual goal of the project, i.e. the intended changes IKI Small
related to adaptation to the effects of climate change that Grants
can be directly causally attributed to the project. Moreover, Application
this includes the transformation in processes that Guidelines
intermediaries and target groups undergo when using (2020)
project results or outputs.
Outputs Products, goods or services, and their use by project IKI Small
stakeholders/participants, produced or provided as a Grants
result of the implementation of project activities. The Application
combined use of the project’s outputs contributes to the Guidelines
attainment of the project outcome. (2020)
Scaling up Enhancing or increasing the impact or extent of something Adapted from
(i.e. an action, mission, or strategy). In the context of the Collins
Global EbA Fund, scaling up refers to increasing the Dictionary
impact of knowledge, best practices, etc. drawn from
previous work.
Standalone Intended, designed, or able to be used or to function alone Merriam-
or separately. Not connected to or requiring connection to Webster
something else in order to be used or to function. A
standalone project operates independently of other
initiatives and is not explicitly designed to achieve
synergies with other projects and initiatives.

21
Annex 1: Applicant Declaration
APPLICANT DECLARATION

The applicant, represented by the undersigned, being the authorised signatory of the
applicant, in the context of the present call for proposals, hereby declares that:

 the information given is true and correct at the time of submission;

 the applicant has sufficient financial capacity to carry out the proposed action or work
programme;

 the applicant certifies the legal statutes of the applicant as reported in the application;

 the applicant is eligible in accordance with the criteria set out in the Grant Procedures
Manual;

 the applicant undertakes to comply with the principles of good partnership practice;

 the applicant is directly responsible for the preparation, management and implementation
of the action and is not acting as an intermediary;

 The applicant is not in any of the situations, which are listed below, excluding them from
participating in contracts. Furthermore, it is recognised and accepted that if the applicant
participates in spite of being in any of these situations, they may be excluded from other
contracts:

- they are bankrupt or being wound up, are having their affairs administered by the
courts, have entered into an arrangement with creditors, have suspended business
activities, are the subject of proceedings concerning those matters, or are in any
analogous situation arising from a similar procedure provided for in national
legislation or regulations;
- they, or persons having powers of representation, decision making or control over
them, have been convicted of an offence concerning their professional conduct by a
judgment of a competent authority of the country of the contracting authority, of the
country in which they are established and of the country where the contract is to be
performed, which has the force of res judicata (i.e. against which no appeal is
possible);
- they have been guilty of grave professional misconduct proven by any means which
the contracting authority can justify, including by decisions of international
organisations;
- they are not in compliance with their obligations relating to the payment of social
security contributions or the payment of taxes in accordance with the legal provisions
of the country in which they are established or with those of the country of the
contracting authority or those of the country where the contract is to be performed;
- they, or persons having powers of representation, decision making or control over
them, have been the subject of a judgment which has the force of res judicata for
fraud, corruption, involvement in a criminal organisation, money laundering or any
other illegal activity;

 if recommended to be awarded a grant, the applicant accepts the contractual conditions

as laid down in the Standard Grantee Agreement;

22
  the applicant is aware that, for the purposes of safeguarding the financial interests of the
EU, their personal data may be transferred to internal audit services, to the European
Court of Auditors, to the Financial Irregularities Panel or to the European Anti-Fraud
Office.

The applicant is fully aware of the obligation to inform without delay the Global EbA Fund
Secretariat to which this application is submitted if the same application for funding made to
the International Climate Initiative of the German Ministry for Environment, Nature
Conservation and Nuclear Energy has been approved by them after the submission of this
grant application.

Date and signature : ___________________

23
Annex 2: Co-applicant Mandate
The co-applicant authorises the Applicant <insert the name of the lead applicant organisation>
to submit on their behalf the present application form and to sign the standard grantee
agreement with IUCN as well as, to be represented by the Applicant in all matters concerning
this grant contract.

I have read and approved the contents of the proposal submitted to IUCN. I undertake to
comply with the principles of good partnership practice.

_________________________________________
(Signature)

Name:
Position:
Date:

(Organisation Stamp)

24
Annex 3: Concept Note Template

The Concept Note (CN) is the first step in the application process. If
Concept Notes are approved, applicants will be asked to prepare a full project proposal for
further evaluation. Please complete ALL sections of this form and attach the required
documents. Remember to follow the guidance and the strategy of the Global EbA Fund
described in the call for proposals. Concept notes must be submitted in English.

You are welcome to provide additional supporting documents, such as maps or letters of
community support, as attached files with the submission of this CN. If you have any questions
about your project concept or how to complete this CN form, please review the FAQs on the
Global EbA Fund website or contact the Global EbA Fund Secretariat at
[email protected].

Please complete the template in Calibri 10pt font, normal margins, and standard (1.15pt)
line spacing. Overall, the concept note template should not exceed ten pages. Italicised
instructions can be deleted.

Please review the concept note stage checklist (Section 5.1.1 in the Grant Procedures
Manual) for all required documents. Submissions not including all these documents will
be disqualified.

25
1. Applicant Organisation
If your project will be implemented by a consortium of organisations, there must be one leading
organisation that will be the applicant and sign the contract with the Global EbA Fund.

Applicant Information
Applicant Organisation Legal Name:
Short Name/Acronym:
Country/ countries of operation:
Total Permanent Staff:
Organisation Type: Non-governmental organisation (NGO)
Mark with an X one option only. International non-governmental organisation (INGO)
Inter-governmental organisation (IO)
Community-based organisation (CBO)
Indigenous People’s Organisation
University or other academic institution
Research institute or think tank
Private sector company
Other, please explain:
Year Organisation Established:
Purpose/Mission:

Organisation Yearly Budget:

Organisation Address:
Website Address:
(If available, please also provide relevant
organisational social media accounts)
Contact Person Name:
Contact Person Position:
Contact Person Email:
Telephone (with country code):

Please list below past projects that your organisation has managed (limit to the past 5
years), prioritising projects that are most relevant to the theme and/or budget of this
call:
Relevant goals and Start End Project budget
Project Title Main donors
activities (mm/YY) (mm/YY) (in USD)

26
2. Project Description
Project Description
Project Title:
Geographic Area:
Country(ies), state, district, sub region, basin,
protected areas, corridor, etc. If possible, give an
estimate size in hectares.
Problem statement:
Explain what the main vulnerabilities of the project
area are regarding climate change risks and effects.
Justify selection of project area.
Project Approach:

Project Intervention Logic

Impact:
Long-term contribution of the project.
Expected Outcome:
Main effect expected to happen with the project
intervention
Expected Outputs:
Main products or results expected to be delivered by
the project activities
Activities:
What will be done to deliver the outputs (main
activities)

Relevance to the Global EbA Fund Strategic Objectives

How does the project contribute to the Global EbA
Fund Strategic Objectives?
Refer to the Strategic Objectives in the call for
proposals in your answer
Does the project involve a field component?
Projects should not focus primarily on field
implementation of a new intervention in the scope of
the proposal. If yes, explain how the proposed
addition complements existing field projects.

Implementation details
Key Stakeholders and Beneficiaries who will be
impacted by the project:
Project Duration (in months):

27
 If project duration is longer than 24 months, please
provide more information.

3. Contribution to Global EbA Fund Criteria

In the section below, please summarise how the project approach contributes to each
of the Global EbA Fund’s criteria. For more information, please refer to the Grant
Selection Criteria.

3.1 Proposed projects contribute to the implementation of ecosystem-based adaptation and aligns with
the five FEBA EbA Qualification Criteria & Quality Standards (EN | ES | FR).
(a) Reduces social and environmental vulnerabilities (EbA Criterion 1)
Please describe how the proposed project reduces or contributes to reducing social and environmental
vulnerabilities. [150 words]

(b) Generates societal benefits in the context of climate change adaptation (EbA Criterion 2)
Please describe how the proposed project generates societal benefits in the context of climate change
adaptation. [150 words]

(c) Restores, maintains or improves ecosystem health (EbA Criterion 3)

Please describe how the proposed project contributes to restoring, maintaining or improving ecosystem
health. [150 words]

(d) Is supported by policies at multiple levels (EbA Criterion 4)

Please describe how the proposed project is supported by policies at multiple levels. [150 words]

28
(e) Supports equitable governance and enhances capacities (EbA Criterion 5)
Please describe how the proposed project supports equitable governance and enhances capacities. [150
words]

3.2 Projects are designed to result in catalytic impact, such as by piloting innovative approaches for EbA,
removing barriers from upscaling EbA interventions at the policy or landscape levels, strategic and focused
EbA policy mainstreaming, supporting innovative finance mechanisms for EbA, incentivising private sector
investment in EbA, and supporting unlikely matches between partners.
Please summarise how the proposed project is designed to result in catalytic impact [300 words]

3.3 Projects add value to or upscale existing work

Please summarise how the proposed projects fills an identified gap in an existing project, addresses a
knowledge gap, contributes to policy upscaling, would lead to systematic changes and/or behavioural
changes of decision makers or a significant number of individuals or institutions, enhances the impact of
an investment in EbA, and/or serves to develop a larger proposal to another funding mechanism. [300
words]

29
4. Project Estimated Budget
What is the total amount being requested from the Global EbA Fund (in USD)?
Total amount (USD):

Are there any other funders that will provide in-cash contributions to the project? List
below, if any.
In-cash contributions are not a requirement but will contribute to the overall score.

Please complete the estimated budget category amounts in the table below:
Global EbA Fund Other funders
Main Budget Items
(USD) If any (USD)
Personnel (staff)
Consultants & Professional Fees
Publication and Materials
Printing and binding
Workshop and Events
Travel
Sub-total
Administrative costs (12% overhead)
TOTAL
Main budget items normally include personnel (staff), consultants and professional fees,
publication and materials, workshop and events, travel, and administration costs (max. 12%
overhead costs). Please add or delete categories and rows as needed. Import duties cannot
be paid with Global EbA Fund grant funds. The maximum administrative overhead cost is
12%.

Are there in-kind contributions from your organisation or from other supporters or
partners?
In-kind support may include labour, travel costs, equipment that is lent to the project, trainings,
etc.

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Annex 4: Full Proposal Template

This template will be used by applicants whose Concept Notes have

been approved and have been invited to prepare a Full Proposal (FP) for further evaluation.
Information that was already provided in the Concept Notes may be repeated and expanded
in the FP.

Applicants must complete the Full Proposal template in full, not exceeding the prescribed
length of each section. The recommended font is Arial 11pt font, normal margins and 1.15pt
line spacing. You can delete all instruction texts that are in italic.

Contact the Global EbA Fund Secretariat at [email protected] if any questions arise
about your project full proposal or how to complete this FP form.

Please review the full proposal checklist (Section 5.1.2 in this Grant Procedures Manual) for
all required documents. Submissions not including all these documents will be
disqualified.

Additional documentation, such as pictures, maps, baseline studies, support or endorsement

letters, may also be attached to the FP submission.

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1. Project summary
Project Title:
Project number:
(as informed by the Global EbA Fund in the
Request for Full Proposal letter)
Applicant Organisation Legal Name:
Short Name/Acronym:
Organisation Type:
Same category as marked in the Concept Note
Organisation Address:
Website Address:
Contact Person Name:
Contact Person Position:
Contact Person Email:
Telephone (with country code):
Project Country(ies):
Project Goal:
As stated in the logical framework
Project Duration (In months)

If project duration is longer than 24 months,

please provide more information.
Total Amount of the Project (in USD):
Total Amount Requested from the Global
EbA Fund (in USD; it can be the same amount
as the total amount):
Abstract
Summarise project, maximum 200 words

2. Project description

2.1. Background of the project and description of the problem

Describe the context relevant to the project, including the main climate risks that need to be
reduced and the factors that can increase or perpetuate the problem. Include in the description
detailed information on the ecosystems and affected communities targeted for the proposed
intervention, including but not limited to target region size and demographics (population,
gender, socioeconomic status, Indigenous Peoples, etc.) if available. If land use management
is planned, please also provide information on the land tenure situation (land rights, formal
procedures to acquire or manage land etc.).
(maximum 350 words)

2.2. Project location(s) and scope

Detail the project area(s) characteristics (e.g., global, national-level, specific site or sites to be
targeted) and the criteria used to select geographic scope and the location(s), if any. Include
the description of any climate risk assessments made for the area. List targeted ecosystems

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and the services they provide and describe how these ecosystems would support human
welfare in the affected communities/populations. Maps and images can be used here or
attached to the submission.
(maximum 300 words)

2.3. Target group and beneficiaries

Detail the intended target group and beneficiaries of the project. The target group is composed
of individuals or institutional stakeholders that the project intends to work with and reach with
its activities or outputs. They may be beneficiaries at the same time if they benefit from the
intended project impacts. There may be also cases where the target group is not the
beneficiary of the impacts.
(maximum 300 words)

2.4. EbA approach

Explain the project EbA approach and how it will reduce vulnerability and/or enhance
resilience to climate change impacts by the conservation or restoration of natural
resources/ecosystem services for human communities, including differentiation of benefits for
vulnerable groups.
(maximum 500 words)

2.5. Innovative contribution

Explain how the project will offer new or partially new solution(s) for the challenge of climate
change adaptation, thereby increasing uptake of and/or improvement in EbA impact while
leveraging existing resources. Please refer to the Project Design Requirements and Glossary
for definitions of “catalytic” and “innovative.”
(maximum 300 words)

2.6. Theory of Change

Please provide a summary narrative demonstrating how the interventions will generate the
expected results presented in the Concept Note. Also use this section to detail, or adjust if
necessary, the content provided in the CN regarding to: the expected long-term contribution
of the project to climate change adaptation (impact); the main effects expected to happen with
the project intervention (outcomes); and the main products or results expected to be delivered
by the project activities (outputs). Clearly describe the tangible climate change adaptation
benefits in a way that reviewers will obtain a clear understanding of what is being proposed.
The logic described here should be reflected in the logical framework below. In addition to the
summary narrative, a diagram of the theory of change may be included but is not required.
(maximum 500 words)

2.7. Added value

Explain if the project aims to fill a gap in an existing project, address a knowledge gap,
contribute to policy upscaling, lead to systematic changes and/or behavioural changes of
decision-makers or a significant number of individuals or institutions, enhance the impact of

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an investment in EbA, and/or serve to develop a larger proposal to another funding
mechanism.
(maximum 300 words)

2.8. Alignment of the project with national and international policies and commitments

Describe how the project contributes to achievement of major international commitments and
global policy targets (e.g. UNFCCC, CBD, SDGs) and how the project will support relevant
existing or potential national or regional-level EbA strategies, policies and plans. Describe the
specific contribution of the project to the implementation of NDCs, specifically those of target
countries if applicable.
(maximum 300 words)

2.9. Synergies to other initiatives

Indicate possible synergies and links to other recent or current projects (especially EbA
projects) and key economic sectors in the geographic scope of the project, specifically in the
target country(ies), if applicable.
(maximum 300 words)

2.10. Baseline information and climate risk and vulnerability assessments

Describe how the project incorporates baseline information and studies covering the proposed
project location, when available, especially those regarding climate, social and ecosystem
vulnerabilities. If available, disaggregated data for gender that you can collect about the project
area should be included. Projects should draw on available local, national and/or regional
climate risk and vulnerability assessments. Please note that studies may be annexed and do
not count towards the word limit.
(maximum 300 words)

2.11. Best available science and use of traditional knowledge

Projects should draw on the best available science where applicable. Examples of tools to be
used include: analytical models and related tools (e.g. vulnerability, storm impacts, economic
values of marine/coastal habitats), community participation methodologies, prioritisation
techniques, advanced coral restoration techniques. In addition, projects should draw on and
use relevant traditional knowledge, when applicable.
(maximum 300 words)

2.12. Participation and inclusivity

Outline the stakeholders who will be consulted and involved in decision-making processes,
including marginalised groups and people who may be indirectly and/or adversely affected by
the project. If the project will have a direct or indirect impact on Indigenous Peoples, detail
how the right to Free, Prior and Informed Consent (FPIC) will be upheld.
(maximum 300 words)

2.13. Gender responsive approach

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Explain how the project will conduct gender analyses and apply the key issues and
recommendations identified to inform gender-responsive project design, budgeting, staffing,
implementation, monitoring and evaluation; ensure gender-related inequalities, including
gender-based violence, are not exacerbated by project activities; seize opportunities to
address gender gaps and support empowerment of women; and promote gender equality.
(maximum 300 words)

2.14. Sustainability

Outline how project results will be maintained and developed past the end of the funding
period, including environmental, infrastructural, institutional, social, economic and financial
considerations. If follow-up(s) to the proposed project will require a budget and/or time frame
outside of that offered by the Fund, the applicant should clearly articulate anticipated funding
options, including any market-based, private sector, or public sector funding opportunities.
(maximum 300 words)

2.15. Potential for replication

Describe the potential for the replication of the project; if the project has a regional or country-
specific focus, describe how the project could be replicated either within or outside of the target
country(ies).
(maximum 100 words)

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2.16. Logical Framework

Complete the table below summarising the theory of change explained in the previous section. For each level of expected result, define a
reasonable and balanced number of effect and performance indicators. Indicators should be “SMART,” that is, specific, measurable, achievable,
relevant, and time-bound1 . Indicators should be appropriate for the project outcomes, outputs, and activities. Check and indicate how the
indicators you suggest are aligned with the Global EbA Fund objectives and indicators as detailed in the Call for Proposals. If the assumption
being covered constitutes a risk, this should be reflected in the risk assessment in section 6 below.

Impact:
Expected long-term contribution of the project to climate change adaptation
Intervention logic Indicators Sources and means of verification Assumptions
Outcome
Output 1
Activity 1.1
Activity 1.n
…
Output 2
Activity 2.1
Activity 2.n
…
Output 3
Activity 3.1
Activity 3.n
…

2.17. Activities and timeline

1 See Section 5.4 of the Grant Procedures Manual for guidance on the logical framework and SMART indicators.

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In the Activities and Timeline document (Annex 6), please list the activities to be carried out under each outcome that is included in the logical
framework. Add more rows, as needed, depending on your activities. Remember that for project activities longer than 24 months, additional
justification must be provided in the project summary.

3. Monitoring, Evaluation and Learning Plan

Complete the table in Annex 7 for the project’s Monitoring, Evaluation and Learning Plan. Use the same indicators you included above in the
logical framework. In Definition explain how the indicator is calculated. In Reporting Interval specify the measurement periodicity. In Data Source
use the same sources of information that you used in the logical framework. In Responsible explain who will follow the indicator and inform the
applicant about the measurements. Add as many lines as you need.

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Grant Procedures Manual for the Global EbA Fund

3.1. Application of lessons learned

Outline how the learning and data from monitoring and evaluation will be applied to improve
this and similar projects.
(maximum 300 words)

3.2. Dissemination of project lessons

Outline a strategy and methods for documenting and sharing of best practices from the project
to relevant audiences. Please also include a summary of the broader communications strategy
(e.g. social media, website updates, media engagement).
(maximum 300 words)

4. Budget

Complete the budget template (Annex 5) with a detailed budget, which must be coherent with
the activities listed above. Provide here a brief narrative description of your budget. Highlight
if there is any other support to the project (in cash or in-kind). Present your main budget
categories explaining which represent the highest proportion from the total. The budget must
be presented in United States Dollars (USD).

5. Institutional arrangement

5.1. Applicant organisation description

Describe the applicant organisation’s purpose, history and current work.
(maximum 150 words)

5.2. Applicant organisation relevant experience

Describe the previous experience of the organisation in managing grants of the same amount
as requested to the Global EbA Fund and in working on EbA, and nature-based solutions.
(maximum 150 words)

5.3. Applicant organisation current structure

Describe how many people are employed by the organisation (worldwide, regional, and in
targeted countries).
(maximum 50 words)
Provide organogram with governance and operational structure.

5.4. Applicant organisation’s financial capacity

Include number of people dedicated to the financial functions, internal control systems,
amounts managed, etc.
(maximum 50 words)

5.5. Staff assigned to the project

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Grant Procedures Manual for the Global EbA Fund

Describe who will be involved in the project implementation, including name, full title,
background and summarised role in the project.
(150 words per staff member)
CVs for lead personnel may be also submitted.

5.6. Description of partners

If your organisation is partnering with other organisation(s) in the implementation of this project
(consortium) please provide information for each partner. Copy the table below as many times
you need depending on the number of partners involved. All partners must complete the co-
applicant mandate (Annex 2). CVs for lead personnel to be involved in the project may be also
submitted.

Full Legal Name:

Country of Registration:
Legal Status:
(NGO, CBO, academic institution, etc.)
Address:
Contact Person:
Contact Person Telephone Number (with country
code):
Contact Person Email Address:
Role and involvement in preparing the proposal:
Role and involvement in implementing the proposed
project:
Experience with similar project in relation to role in
implementing this proposed project:
History of cooperation with the applicant:

6. Risk Management

As a part of the full proposal, applicants must complete the Final ESMS Screening
Questionnaire (Full Proposal) to provide more robust Environmental and Social Risk-related
information where applicable. These questions are specific to geographic context, grant
applicant objectives and proposed activities and are designed proportional to the expected
risks.

The Global EbA Fund Environmental and Social Management System conforms to the
environmental and social safeguard requirements of IUCN. In general, IUCN’s institutional
ESMS consists of four safeguard standards (i.e. Biodiversity and Sustainable use of Natural
resources; Cultural Heritage; Indigenous Peoples; Involuntary Resettlement and Access
Restrictions). IUCN’s ESMS is further guided by eight overarching principle, which are further
outlined in the Global EbA Fund Environmental and Social Management System document.
Please review this document and complete the Final ESMS Screening Questionnaire (Full
Proposal).

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