PHASE II
Demonstration Projects

Background

Extreme Climate Events Program Description
The Asian Disaster Preparedness Center (ADPC) established the Extreme Climate Events Program (ECE) in February 1998 as a follow-up initiative to the Asian Regional Meeting on El Niño Related Crises. The program is a collaborative effort between ADPC and the US National Oceanic and Atmospheric Administration Office of Global Programs (NOAA-OGP), with support from the US Office of Foreign Disaster Assistance (OFDA). The goal of ECE is to significantly improve understanding of the impacts of extreme climate events such as El Niño and La Niña on society and the environment in selected Asian countries and to reduce the disaster impacts of such events through the effective application of climate information.

In its first phase, the ECE program was been able to generate a general map of vulnerability in Indonesia, the Philippines, and Vietnam through the documentation and analysis of past extreme climate events. At a large geographic scale, the program has identified opportunities for the application of long-range climate forecasts for disaster reduction in these countries. However, each country shows significant variation across different locations, seasons, and sectors. Additional effort is required to make operational the application opportunities in these areas. It is clear that the establishment of an end-to-end climate information system for disaster reduction would require participation at all levels from a range of institutions, such as climate information producers, intermediary organizations (agro-meteorological agencies, forestry research agencies, etc.) and user organizations.

Mechanisms exist in all the target countries for the transmission of short- and medium-range climate information from meteorological agencies to the user organizations. Long-range forecasts are also routinely transmitted to users. However, the component that is missing is the capacity within user organizations to utilize this information for effective decision-making. The lack of intermediate interpretation of long-range forecasts into locally usable information has proved to be a formidable barrier to incorporating probabilistic information into decision-making processes. There is a critical need to address this gap.

Under the proposed ECE Demonstration Projects, each country will undertake activities to demonstrate how long-range climate forecasts could be applied for disaster reduction. The experiences gained from this activity will be shared at the national level through workshops and networking. This will help identify capacity building requirements, appropriate institutional arrangements and a national applications research agenda for the optimal application of climate forecasts for disaster reduction.

ECE is now issuing a call for proposals in Indonesia, the Philippines, and Vietnam for climate information application demonstration projects. A table of indicative projects is given in Annex I, along with two detailed projects. Further guidelines for project proposals are given below to explain the types of proposals which are of interest to ECE, the format for making proposals, and the decision making process for selection. A committee comprising representatives from NOAA-OGP, OFDA, ADPC, and experts from other partner organizations such as IRI and WMO will evaluate proposals based on these criteria.

Target Countries and Goals
ECE’s program countries are targeted: Indonesia, the Philippines, and Vietnam.A.3. Project Purposes

The purposes of the demonstration projects are:

1. to reduce the risk and impacts of disasters resulting from extreme climate events such as El Niño and La Niña in the target countries, and;
2. to promote the replication and adaptation of successful climate information applications within target countries and throughout the region.
   

Projects will accomplish these purposes by:

• implementing practical demonstrations of climate information applications;
• disseminating successful experiences and lessons learned through training and networking; and
• developing and institutionalizing training programs to increase the number of professionals with climate information applications skills for disaster reduction
  

Project Cycle

Design Phase
In the design phase, one or two pilot locations and/or sectors will be identified in each country. Local institutions responsible for managing the disastrous impacts of extreme climate events will be identified. A project steering committee of representatives from national and local institutions will scope the pilot activity and design specific activities with assistance from ADPC, IRI, and other collaborating institutions.

Applications Research Phase
In the second phase, an assessment of the existing knowledge base regarding the local climate variability and its impacts will be undertaken. Based on this, local climate information research needs will be identified. Researchers from local and national institutions will carry out this research with assistance from ADPC and IRI. This research will help develop locally applicable methodologies for translation of long-range climate forecasts into local weather variables, which will in turn be translated into impact pre-assessment and response strategies.

Implementation Phase
Based on the outputs of the applications research phase and a rapid appraisal of existing capacities and needs of local institutions, training workshops will be designed for relevant local personnel who will be responsible for the translation of long-range forecasts for disaster reduction. These methodologies will then be applied on the ground in a pilot location within the demonstration project. Application of these methodologies by local institutions for one seasonal forecast will be evaluated. Lessons learned from this evaluation will help fine-tune the methodologies. The application of these methodologies in each pilot location will be documented and shared at the national level.

Training, Networking, and Information Exchange
From the beginning of the program and parallel with the demonstration projects, information exchange, policy initiatives, the institutionalization of applications processes, and training programs will be carried out to ensure that the demonstration projects make a lasting impact on target provinces, nations and throughout other countries in the region. Core training courses that are needed throughout the region at national and local levels will be developed and institutionalized by "training of trainers" and helping them to adapt the curriculum to local conditions.

Networks for climate information applications in public and private organizations will be supported by ADPC. Policy issues that are raised by the demonstration projects will be the focus of workshops aimed at developing a policy framework that supports and encourages the incorporation of probabilistic climate information into decision-making at the local and national levels. ADPC will also publish (both electronically and traditionally) information about climate applications and disaster reduction methods that are successfully utilized under the program throughout the region and target countries.

Members of the demonstrations projects in each of the three target countries will also participate in a regional workshop for project-to-project information exchange. In this way, initial lessons learned can be immediately applied to projects in mid-stream, rather than being reviewed after the project’s completion. At this workshop, participants will discuss start-up and implementation barriers, methodologies, and producer/user linkages.

Implementation

Sub-Grants
ADPC will use demonstration projects that address specific constraints as a focus for activities in each participating country. Demonstration activities will show specific and realistic ways to increase the effective utilization of climate information, but the replication of the lessons learned will be the true test of the Program's impact. Demonstration activities should, therefore, be regarded as one of the means through which the ADPC and its partners will accomplish the larger task of facilitating institutional, behavioral and policy changes on a national and local scale.
ADPC will also support the establishment of a regional framework for training, collaboration, support and information exchange in the field of climate information applications. Coordination is needed to ensure quality control of training, and to share experiences and comparable data/information across countries. ADPC expects the practices developed during the project will be sustained and expanded after its completion. While the focus of the ECE project is on Indonesia, the Philippines, and Vietnam, other donors have expressed interest in supporting climate information applications throughout Asia. Efforts will be made to ensure that experiences and lessons learned are captured from the demonstration projects.

The program will use sub-grants from ADPC to Lead Institutions in target countries to implement both demonstration and training activities. The Project Steering Committee (made up of ECE, NOAA, and related experts) will approve Sub-grants. Each institution must be able to make "in-kind" contributions equivalent in value to 15% of the demonstration project cost.

Demonstration project grant funds may be used to hire a local project manager, develop impact maps, conduct applications research, community based assessments, cost-benefit analysis, identify applications opportunities, implement climate information applications and training, and engaging international, regional, and national consultants as needed.

Project Implementing Institutions
Working with country partners in Indonesia, the Philippines, and Vietnam, ADPC will identify one or two lead institutions in each country to be responsible for managing demonstration projects and in-country training. In the case of two lead institutions, responsibilities and resources should be clearly defined prior to project approval. Sub-grants will be made, as appropriate, to these institutions by ADPC after approval by the Project Steering Committee. The lead institutions will be ADPC's main counterparts for overseeing demonstration projects, policy linkages, skills training, and information dissemination throughout the target country. Lead institutions will have access to national policy makers, planners and managers in other sectors and agencies, and they will be able to continue training in climate information applications after project support is concluded. A larger network of national and regional institutions will be identified during the project to help the lead institutions in the process of networking, dissemination of information, and training.

ADPC Responsibilities
Staff within ADPC’s Extreme Climate Events Program will support national demonstration projects and ensure that activities achieve overall goals to implement climate information applications for disaster reduction. ECE will provide support to the demonstration projects, especially in the sharing of information on a regional and national basis. ADPC training staff will provide training support, and the ADPC consultancies section will provide international and regional consultants needed for specialist technical inputs on the project.

National and Provincial Climate Information Systems
ADPC has an Information, Research, and Network Support (IRNS) section with an extensive library and growing data bank on disasters in Asia. IRNS will work to improve data and documentation related to extreme climate events and climate information applications and to make this available to institutions participating in the networks. Members of IRNS will work with partners in the process of local information system development.

Management Oversight and Accountability
Prior to project approval, ADPC will work with the national institutions or sub-grantees on a work plan and a funds disbursement plan. ADPC will also support arrangements for training to be provided to staff involved in the demonstration projects. Once a work plan is prepared, ADPC will provide advances to provide capital for project design and research work. Subsequent disbursements of funds will take into consideration the timelyaccomplishment of project activities and outputs.

The grants provided to lead institutions in each country may include support for staff within those countries. While "in-kind" contributions of 15% of funds will be required for every project, it may be necessary for a given period of time to hire a local project coordinator if participating institutions cannot provide a full-time person.

Monitoring and Evaluation
The ECE will support specific demonstration activities in target countries where a problem or constraint to disaster reduction has been identified and where resources can be targeted to achieve measurable results attributable to project inputs. Each demonstration activity will be designed independently and have its own specific purpose, outcomes, indicators, critical assumptions, and realistic performance standards defined. Each demonstration activity will also fit within the logical framework of the ECE so that, taken together, they represent a significant step forward in terms of improving the ability of individuals, governments, public and private institutions to reduce the impacts of extreme climate events in the region.

When proposals for specific demonstration activities are made, baseline data on existing conditions will be requested as part of the project activity description with a clear statement of expected results. The setting of realistic performance standards for the activity will be accomplished early in the design phase by local management staff (Lead Institution and collaborating partners), with assistance from ADPC, so that they reflect country-specific opportunities and constraints.

Shortly after the signing of the Grant agreement, ADPC and the lead institutions in each target country will design a management and monitoring system. This will include, for example, defined indicators of the project’s progress, guidelines for activity reports, and guidelines for financial statements. It will outline a systematic approach to be taken by ADPC and lead institutions to determine whether the project’s purposes are being achieved. Findings may be documented and shared between projects at the mid-term regional workshop, and they will also be shared electronically. Monitoring the project indicators and benchmarks will be part of the management responsibility of local coordinators. The process of monitoring progress towards desired results provides managers with the data needed to make informed decisions regarding adjustments in direction and the allocation of resources.
Indicators for achievement of the project purposes include:

• Decreased impact in the relevant sector(s) of the demonstration project
• Increased accuracy of forecast and lead-time given to user organizations
• Increased information exchange and dialogue between producer and user organizations
• Increased number of local and provincial governments adopting climate information application practices and procedures
• Increased number of private organizations, investors, and insurers utilizing climate information for sustainable development planning and decision-making
• Increased number of communities investing in training and public awareness in climate information applications
  

Proposal Guidelines

Selection Criteria for Demonstration Projects

• Up to two demonstration projects will be approved in each target country.
• Types of projects are to be demand driven based on the needs and priorities of the target country; however, to the extent possible and practical, demonstration projects will focus on different aspects of or approaches to climate information applications to maximize the potential for learning.
• Work plans for each demonstration project should include specific plans for sharing lessons learned in a regional, national, and/or provincial context.
• Funds for each project will range from USD 30,000 to 40,000. However, the projects can be much larger given local contributions and potential contributions from other donors.
• Demonstration projects should not exceed 12 months in duration in order to allow replication and information sharing during the life of the project.
  

Rationale and Baseline Information
This part of the proposal needs to describe the reasons for selecting a particular site for the demonstration project. The province or sub-national region should have a high level of vulnerability to extreme climate events and the impacts should be important to other provinces or sub-national regions as well. Project proposals should include, to the extent data is available, baseline data on climate impacts (frequency of occurrence, damage, crop losses, injury, deaths, etc.).

Description of the Climate Information Application Project
One of the ECE’s primary goals is to enhance the effectiveness of climate information applications, or to create new opportunities for its use. In the first phase, the ECE and its partners have found that there are potential opportunities for regional, long-term climate forecasts to be incorporated into provincial and local decision-making in various sectors, such as national resources, agriculture, and public health. This section should very clearly explain the following:

• potential links between climate and impacts in the proposed sector
• how these impacts may be reduced
• activities that will be undertaken during the project (work plan and schedule)
• outputs that will result at different stages of the project
  

Description of Capacity Building at the Provincial and Local Levels
It is expected that proposals will contribute to ECE’s goal to enhance capacity at the provincial and local levels for researching and applying climate information. The result should be long-term gain, for example, by increasing local skills and knowledge and by improving decision-making processes in a variety of sectors. Proposals are encouraged to examine the capacity building needs and research gaps to fulfill the projects, and how to address these needs.

Participating Institutions and Individuals
The ECE is committed to improving science-policy links and fostering harmony between its activities and policy issues which concern the governments of Indonesia, the Philippines, and Vietnam. Proposals should indicate how the activity might assist with national and local, and public and private, decision-making. Harmonization with the work of other bodies conducting ecological, social, and economic development activities is desirable. This part of the proposal should indicate which institutions, offices, and individuals will form the demonstration project team. The role of each institution should be briefly described. The names of the individuals should be provided to ensure that discussions have taken place about the project and the level of effort that will be required.

Description of the Lead Institution
Lead institutions will need to manage the coordination of inputs and activities, and keep the assessments and strategy exercise on track. The description of the Lead Institution(s) will be an extremely important part of the selection and approval of the project. In each country these institutions will be approved on the basis of stability, quality of past performance, local reputation and management capability. In the case of two Lead Institutions, responsibilities and resources must be clearly defined prior to project approval.

The Lead Institution(s) will need to describe institutional capability with regard to the following:

• Project Management Experience and Resources
• Financial and Administrative Capability
• Institutional Commitment - Demonstrated ability to continue providing technical support to similar disaster mitigation projects after demonstration project funding ends.
• Network: Contacts with the cross section of decision makers, professionals and institutions needed to carry out the project (scientific, development and disaster management community).
• Computers and Information Hardware: Access to number and type of computers needed for GIS mapping, impact analysis, information exchange (Internet), etc.
  

Budget
All demonstration project proposals are requested to submit budgets, including line items for the work plan activities as detailed in section D.3. above. The budgets should also include local contributions of at least 15% of project costs, both in-kind and cash. This may come in part from other levels of government, or other donors, but the total contribution should be minimum 15%. The sources of funding will need to be identified in the proposal. Memorandums of Understanding or Letters of Commitment from all participating institutions are requested. These should indicate the roles and contributions of each institution, particularly with regard to staff time.