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Approval
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Water security
INTRODUCTION
This publication provides technical guidance for the preparation of simplified approval process
(SAP) proposals for water security projects. GCF defines the water sector as encompassing
surface freshwater resources and groundwater, but not oceans. Since the water sector is
interlinked with several other sectors, such as agriculture and ecosystems, it is necessary to
delineate its scope. Thus, the emphasis in this technical guidance a is on four sub-sectors:
For water-related activities not clearly within the scope above, please refer to the relevant SAP
technical guidance in addition to this one.
DEFINITIONS
Around 71 per cent of the earth’s surface is covered in water. Of all this water, approximately
2.5 per cent is freshwater, whereas the remaining 97.5 per cent is saltwater. Glaciers and ice
caps represent almost 69 per cent of freshwater resources, about 30 per cent is groundwater,
and a mere 0.27 per cent is surface water.
∞ Groundwater resources: water found underground in the cracks and spaces in soil, sand,
and rock. It is stored in and moves slowly through geologic formations of soil, sand and
rocks called aquifers About 50 per cent or more of the municipal, domestic, and agricultural
water supply is extracted from groundwater.2 Soil moisture is the water stored in the
unsaturated layer between the land surface and the top of the water table and is affected
by precipitation, temperature, soil characteristics, and more. These same factors help
determine the type of biome present, and the suitability of land for growing crops.3
∞ Surface water: includes lakes, reservoirs (human-made lakes), ponds, streams (of all
sizes, from large rivers to small creeks), canals (human-made lakes and streams), and
freshwater wetlands.
∞ Freshwater: water containing less than 1,000 milligrams per litre of dissolved solids,
most often salt.4
Higher temperatures and changes in evaporation and precipitation patterns affect the
availability and distribution of rainfall, snowmelt, river flows and groundwater, and accelerate
deterioration of water quality. Increasing global and regional temperatures have the
potential to increase evaporation and consequently increase the frequency, intensity and
spatial distribution of water and climate related events.5 Some areas may experience more
intense rainfall than normal (which may cause flooding), and other areas may experience
extended drought conditions, as the traditional locations of rain belts and deserts change in
response to a changing climate. Glaciers continue to retreat across the globe due to climate
change, which affects total runoff and resources downstream. In addition, local changes in
temperature and precipitation have altered the distribution of some diseases transmitted by
water and disease vectors.6 Warmer water, more intense precipitation, and longer periods of
low flow reduce water quality, with predominantly negative impacts on ecosystems, human
health, and reliability and operating costs of water services. Climate change also exacerbates
sea level rise.
Climate projections indicate that climate change will reduce renewable surface water and
groundwater resources in most of the dry subtropical regions, which will intensify competition
for the water between sectors. Interaction between the increase in temperature, increased
sediment, nutrient and pollutant loads due to heavy rains, the highest concentration of
pollutants during droughts, and interruption of the operation of treatment facilities during
2. https://www.epa.gov/sites/
production/files/documents/ floods, will all reduce the overall quality and availability of water resources and will generate
groundwater.pdf increased risks for water security.
3. https://www.earthsciweek.org/
classroom-activities/soil-moisture
4. https://www.nationalgeographic.
Hydrological changes, induced by climate change, negatively impact the sustainable
org/encyclopedia/surface-water/ management of water resources, which is already under pressure in many parts of the world
5. IPCC (2014) Climate Change by various anthropogenic drivers. Therefore, total water availability and improved management
2014: Synthesis Report. Contribution
of Working Groups I, II and III to of the now scarce resource play a key role in how the world mitigates and adapts to the
the Fifth Assessment Report of the effects of climate change. Responding to the challenges of climate change impacts on water
Intergovernmental Panel on Climate
Change [Core Writing Team, R.K. resources requires adaptation strategies at the local, regional, national, and global levels. A
Pachauri, and L.A. Meyer (eds.)]. variety of water management decisions also affect greenhouse gas (GHG) emissions. Water
6. IPCC, 2014: Summary for
policymakers. In: Climate Change 2014:
demand management has a significant impact on energy consumption because energy is
Impacts, Adaptation, and Vulnerability. required to pump and treat water, to heat it, and to treat wastewater. But on the other hand,
Part A: Global and Sectoral Aspects.
Contribution of Working Group II to
water management activities can mitigate climate change, for example, by conservation of
the Fifth Assessment Report of the wetlands benefitting water quality and biodiversity. Irrigation can increase carbon storage in
Intergovernmental Panel on Climate
Change [Field, C.B., V.R. Barros, D.J.
soils by reducing water stress and enhancing biomass production.
Dokken, K.J. Mach, M.D. Mastrandrea, T.E.
Bilir, M. Chatterjee, K.L. Ebi, Y.O. Estrada,
R.C. Genova, B. Girma, E.S. Kissel, A.N.
Levy, S. MacCracken, P.R. Mastrandrea,
and L.L. White (eds.)]. Cambridge
University Press, Cambridge, United
Kingdom and New York, USA, pp. 1–32.
SIMPLIFIED APPROVAL PROCESS (SAP) SECTORAL GUIDELINES 3
APPROACH
KEY AREAS / COMPONENTS
The following intervention areas will be considered as part of successful SAP projects in
the water sector.
∞ The sustainable and effective management of competing water uses through integrated
water resources management (IWRM). Climate change affects water management
in multiple ways, ranging from changes in seasonal and annual patterns in floods,
availability and quality of water with related global health impacts, the economy (including
hydropower capacity and industrial/cooling water availability) and freshwater dependent
ecosystems. Global Water Partnership (2000)7 defines IWRM as “a process which promotes
the coordinated development and management of water, land, and related resources,
in order to maximize the resultant economic and social welfare in an equitable manner
without compromising the sustainability of vital ecosystems”. IWRM provides a useful
framework for long-term planning of well-coordinated and targeted adaptation measures
to climate change. IWRM activities considered for GCF funding should be accompanied
by physical measures towards green or grey infrastructure improvement that can deliver
quantifiable benefits in the short and medium term, recognizing that IWRM interventions
such as water policy revision and institutional reorganization deliver long-term benefits that
can be difficult to measure and attribute with certainty to GCF investment.
∞ The provision of access to clean water for human consumption – through climate
resilient water sanitation and hygiene (CR-WASH) policies and technologies. More
intense or prolonged precipitation, more variable or declining rainfall or run-off, more
frequent or more intense storms or cyclones, sea level rise and more variable and
increasing temperatures are climate hazards and consequently generate challenges for
sanitation and water supply.8 WASH aims to “provide populations access to safe, sufficient,
and affordable water to meet basic needs for drinking, sanitation, and hygiene, to safeguard
health and well-being, and to fulfil basic human rights”.9 The main challenge for WASH is to
provide the infrastructure to supply and treat the water. In the context of climate change,
WASH infrastructure and management should be developed in a climate resilient approach
(considering present and future climate change impacts). Rehabilitating existing water and
sanitation infrastructure to enable it to withstand local climatic impacts is also a suitable use
of GCF funds. Such projects may be suitable for the SAP modality if they involve small-scale
community or household WASH facilities, such as latrines and rainwater harvesting systems.
Paradigm shifts in the water sector are required in order to achieve water security for all,
as a means to attaining low-emission and climate-resilient development, considering the
needs of developing countries that are particularly vulnerable to climate change impacts.
The GCF Investment Framework12 defines paradigm shift potential as the degree to
which GCF can achieve sustainable development impact beyond a one-off project or
programme investment, through replicability and scalability, to bring about systemic
change towards low carbon and climate-resilient development pathways. Paradigm shift
potential is one of the criteria against which every funding proposal submitted to the
GCF is assessed. This criterion is further broken down into the following sub-criteria:
∞ Potential for expanding the scale and impact of the proposed programme or
project (scalability);
In the context of WASH, the paradigm shift implies that from the start of any WASH-related
projects, protective actions will need be defined and implemented, with systematic
evaluations to achieve resilience to climate change for all WASH infrastructure, services
and management. This consequently ensures water security, by enabling the water
supply and (waste)water treatment cycle to withstand multiple climatic threats or adapt
to the range of climate scenarios. Additionally, this approach will ensure multiple
benefits to society and ecosystems, such as disease reduction related to water-borne
vectors, prevention of economic losses, conservation of aquifers, amongst others.
For integrated drought management the paradigm shift involves a conversion from
a reactive to a proactive management of droughts and to a better understanding
of the climatic, social and environmental functions of droughts and the use of
innovative nature-based approaches, guaranteeing water security and well-being.
For integrated flood management the paradigm shift requires a move away from the
tendency to ‘restore what was before’ to a more resilient and efficient ‘build back better’
(flood recovery), incorporating green infrastructure solutions, where feasible. Additionally,
the IFM approach will need to be less reactive – typically disaster-related - and more
strategic, preventive, and forward-thinking (prevention pays off). In addition, conveyance
of floodwater to locations where it can be used for wetland restoration, irrigation or aquifer
recharge, creates more benefits than merely discharging it further downstream. Depending
on the scale of such activities, an IFM project may be eligible for the SAP modality.
One overarching paradigm shift is the repositioning of water management as a viable area
for private sector investment as, in most countries, public finance for the water sector is
inadequate to achieve the transformation needed. GCF provides loans, equity and guarantees
that can enable the implementation of income-generating activities in the water sector.
Thus, from the perspective of the development of a SAP water project, ensuring
paradigm shift would include any one or more of the following considerations:
1. Enhancing access to WASH infrastructure and services that are resilient to climate change
risks, coupled with building up capacity of the local water sector to scale up such access;
3. Creating a culture of climate and disaster resilience – moving towards proactive rather than
reactive water management.
IMPACT MEASUREMENT
In all proposals submitted for GCF funding, the project proponent should clearly indicate the
expected or anticipated impacts of the intervention in both qualitative and quantitative terms.
Noting that GCF’s primary interest is in pursuing achievement of the Paris Agreement goals
on climate change adaptation and mitigation, proposed projects should align with the GCF
investment framework and a clear climate science basis for the project should be presented.
In addition, the proponent must refer to the GCF performance measurement frameworks13
and ensure use of the indicators from the frameworks in the project proposal.
The table below contains a list of indicators used by GCF to assess the expected benefits 13. GCF (2014). Annex VIII: Mitigation
and Adaptation Performance
of each project. The table includes both fund-level impacts and project/programme‑level Measurement Frameworks
outcomes with related indicators relevant to potential projects in the water sector. For (GCF/B.08/45, pp. 71–81).
14. https://www.greenclimate.fund/
more guidance on the performance measurement frameworks please refer to GCF’s sites/default/files/document/gcf-
Programming Manual.14 programming-manual_0.pdf
Project/Programme outcomes
5.0 Strengthened institutional 5.1 Degree of integration/ mainstreaming The evidence may be a qualitative assessment (e.g. through
and regulatory systems for of climate change in national and sector a standardized scorecard) of the various strategic plans and
climate responsive planning planning and coordination in information documents, conducted at regular intervals to monitor changes in
and development sharing and project implementation terms of climate change integration/mainstreaming.
It is important to note that this list is not exhaustive; rather, it presents examples of activities
15. https://www.greenclimate.fund/
that could be considered under SAP. Please also check the specific guidelines for the
sites/default/files/document/guidelines- Environmental and Social Screening of Activities Proposed for GCF financing under the
guidelines-environmental-and-
social-screening-activities-proposed-
simplified approval process15 to evaluate the environmental and social risks associated
under-simplified.pdf with the proposed activity.
Number of hand
pumps constructed These are ordinarily for domestic
use. Thus, assessment of
Communal hand pumps Percentage increase in groundwater quality and quantity
availability of water for vs. demand is required.
vulnerable communities
Risks depend on
scale and location.
Aquifer recharge (groundwater It is recommended to undertake
Percentage increase in
banking or aquifer a water balance assessment
groundwater yield
storage and recovery) to demonstrate sustainability
of the water source and avoid
maladaptation.
SIMPLIFIED APPROVAL PROCESS (SAP) SECTORAL GUIDELINES 7
Percentage increase in
On-farm water harvesting agricultural yield
and irrigation
Extent of improvement in nutrition Eligible activities facilitate
adaptation of existing livelihoods to
changing hydrological conditions
Integrated drought Land use regulation, e.g. protection Degree of improvement in aquifer
management (IDM) of aquifer recharge zones yield over time
Desalination plants
Establishment of washlands/setback of levees These activities pose potentially adverse environmental and/or social
risks. Thus, they do not fall under ESS* Category C and are therefore not
Structural barriers to flooding (flood walls, dams, dykes, locks and levees eligible for SAP.
that protect areas at risk of inundation by controlling water flows)
PROJECT SCENARIOS
This is an example of a CR-WASH and drought management project that would be suitable for
the SAP modality.
CONTEXT
∞ Country A is considered one of the most vulnerable countries to climate change impacts, particularly to more frequent
and extreme droughts. Consequently, climate change will potentially impact the country´s drinking water supply.
∞ The rainfall data for the two most vulnerable districts from 1965-2016 reveals periods of extremely low rainfall and
drought in 1965, 1970, 1977, 1983, 1992, 1998, 2001, 2007/08, 2012/13 and 2015/16. Scientists observe that severe droughts
are occurring more frequently than previously estimated.
∞ The main source of potable water is rainwater accessed from household and community rainwater harvesting systems.
Whereas these systems provide adequate supply during times of sufficient rainfall, when the number of consecutive days
with little or no rain exceeds a threshold, the harvesting and/or storage capacity is insufficient to meet even basic needs.
∞ The inhabitants of the two most vulnerable districts are mostly subsistence farmers. The yields from their fields and
gardens have been declining over the years, as the low and unreliable water availability negatively affects the yield of
their crops. Open defecation is still widely practiced in the two districts, often close to the few surface water bodies,
contaminating the little surface water available. This leads to frequent outbreaks of water-borne diseases.
∞ The country’s Ministry responsible for water resources aims to increase the resilience and reliability of water resources for
drinking and hygiene purposes in the two most vulnerable districts of the country.
PROJECT ACTIVITIES
The project will implement the following activities:
∞ Rehabilitate existing rooftop rainwater harvesting systems for community buildings, to secure water for use during
increasingly frequent periods of drought;
∞ Construct household rainwater harvesting facilities for the most vulnerable households;
∞ Support households to construct urine-diverting dry toilets, so as to prevent surface- and groundwater contamination;
∞ Train unemployed community members in operation and maintenance of rainwater harvesting systems;
∞ Develop and implement community-level drought contingency planning, factoring in impacts under various climate
change scenarios; and
∞ Once the new water and sanitation facilities are in place and the drought contingency plan has been developed, organize
field visits from less vulnerable communities which might have the potential to replicate these interventions using
their own funds.
PARADIGM SHIFT
The project will improve water security for communities in the two most vulnerable districts of the country through
enhancing and providing water storage and sanitation facilities that are resilient to present and future climate-induced
droughts. Consequently, the project will improve the well-being and health of the communities. The paradigm shift of the
project lies in the potential for collective learning, scale-up and replication, through the field visits from members of less
vulnerable communities, who may be able to construct similar WASH facilities and develop drought contingency plans
without financial support.
10 NOTES
ACKNOWLEDGMENTS CONTACT
This publication is part of the The Water technical guidelines was With special thanks to Mr. Vladislav For any enquiries please contact:
SAP Technical Guidance Series, developed by Ms. Chibesa Pensulo Arnaoudov (GCF), Mr. Alastair GCF SAP team
supervised by Mr. Demetrio (GCF) and Ms. Patricia Velasco. Morrison, Mr. Leonardo Paat (GCF), sap@gcfund.org
Innocenti, Manager of the Simplified Mr. Jose Frazier Gomez (GCF), and
Approval Process (GCF), coordinated Mr. Juan Luis Salazar (GCF) for their
by Ms. Katherine Bryson (GCF), with contributions to this publication.
the contribution of Ms. Rocio Vizuete All rights reserved.
Fernandez (GCF). © Green Climate Fund
The views expressed in this information product are those of the author(s) and GCF cannot be held responsible for any
use which may be made of the information contained therein.