Updated version-August 2019

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

1

INTRODUCTION
What is EbA?
Ecosystem-based adaptation (EbA) is the use of biodiversity and ecosystem services as part of an
overall adaptation strategy to help people adapt to the adverse effects of climate change (CBD 2009).
Conservation International (CI) has established the following three criteria that an internal project mustmeet to be considered EbA: (1) address one or more specific climate change threats or impacts; (2)include conservation, restoration and/or improved management of ecosystems and/or biodiversity, or
the implementation of agricultural practices that are based on those; and (3) aim to improve livelihoods
and/or increase resilience of vulnerable populations to climate change. Some examples of EbA include
the conservation of mangroves to protect people against storms made more severe by climate change,
the reforestation of degraded areas to prevent floods under changing climatic conditions, and the useof shade trees in coffee plantations to maintain production even as temperatures rise.
Why are EbA Guidelines Needed?
Even though EbA is an important part of Conservation International’s climate agenda, we do not yet
have a set of guidelines on best practices for EbA identification, implementation and monitoring. This
lack of consistency across the institution limits our ability to compare and aggregate results achieved
through EbA interventions. By doing so, we would increase the evidence base of EbA and information
on its co-benefits and costs, and measure the institution’s impact from the project site to the global
level. A key barrier globally to EbA implementation at-scale has been an underdeveloped evidence baseand lack of standard methods for EbA projects, from implementation to evaluation. Addressing theseissues could ultimately lead to increased funding and scaled-up implementation of this important
adaptation approach.
What is Contained in this Guidelines Document?
This document provides general guidance and best practices for the identification, design,
implementation, monitoring and evaluation of EbA interventions, especifically for projects that alreadyhave the financial resources to implement such intervention(s). This document also includes
information on vulnerability assessments, which are important for identifying the climate threats andimpacts that EbA is meant to address. Stakeholder engagement is also addressed as it is key toensuring that the visions of partners, governmental bodies and local communities are embedded in all
the steps of the project.
This document is divided into five steps, each one addressing an important aspect for ensuring the
successful implementation and monitoring of an EbA intervention (Figure 1). In each step, we list a setof activities to be done and the best practices on how to conduct them. We start each section with adescription of the purpose and importance of the step. We also provide, throughout the text, examples
in boxes to demonstrate some of the activities and best practices suggested. The assessment of costs
and benefits of EbA is included at the end of the document as an additional, optional step, as its
implementation depends on resources and time available. Key terms used in the document are includedin the glossary.

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

1

The guidelines provided in this document can be used in a variety of different ecosystems andsocioecological contexts. These guidelines build on the background information and discussions held at
the EbA workshop that took place at CI in April 2017, on existing scientific and grey literature and on
our own experiences designing, implementing, evaluating and monitoring EbA interventions. Please
note that there are now a set of guidelines for design and effective implementation of Ecosystembased approaches to climate change and disaster risk reduction developed by CBD (Conversion on
Biological Diversity) secretariat and partners (CBD 2018), which present complimentary information tothat presented here.
What needs to be considered before this Guidelines document is used?
Before you start any EbA project, and before you conduct the five steps proposed here, please firstcheck the potential applicability of an EbA intervention in the target area. For example, if the target
area needs an intervention and has the minimal biophysical conditions (i.e. can restoration be
successful regardless of the type of terrain?) and the social conditions (i.e. do local communities havethe minimal socio-economic conditions to be interested and to support the for EbA implementation?) tosupport it.

I.Defineclimatethreats &target people

V.Design
Monitoring &Evaluation
methodology
for EbA
intervention

IV.Select
EbA
intervention
to be
implemented

II.Assessvulnerabilitiesof human
populations andecosystems

III.Identify
options for EbA
interventions

Figure 1. The five steps needed to properly design, implement and monitor an EbA intervention
successfully. If information presented inside circles is already known, please skip that step.

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

2

STEP I. DEFINE THE MAIN CLIMATE THREATS FACING THE REGION
AND THE TARGET POPULATIONSPURPOSE OF THIS STEP:
To identify:
1. the main climate threats that currently exist or are expected due to climate change in a given
region;2. how climate threats may negatively affect people either through the direct impacts on thesystem ( e.g. damage to crops) or through the impacts on ecosystem services or processes(e.g. reduction in water provision, pollination, food provision and coastal protection) and3. the target population that exists within or outside the region (e.g. fishermen, farmers, coastal
residents, downhill water users, city residents, women, children, hillside residents, etc.) that are
or will be impacted by climate thrests, and for whom the EbA intervention should target inorder to reduce those impacts, and
4. institutional and resources available to assess climate change vulnerability and to implement
and/or support an EbA intervention, and political will and interest in implementing EbA in thetarget region.
WHY THIS STEP IS NEEDED:The identification of both the climate risks and the target population are key to selecting the EbA
intervention as EbA aims to help the target population (or a subset of the target population) to adapt
to a specific threat or set of climate threats, by managing ecosystems to increase their resilience or byrestoring them. This identification should be identified before an in-depth vulnerability assessment isconducted.
WHEN TO SKIP THIS STEP:
If project members already know the impacts of climate change on people (through the direct impacts
on the system or through impacts on ecosystem services or ecosystem processes), as well as the
population that the EbA intervention will target.
OUTCOMES OF THIS STEP:• List of expected changes of weather and climate (current, potential and expected changes),• Potential impacts of climate change on people (through the direct impacts on the system orindirectly through impacts on ecosystem services or ecosystem processes),• Target population, and• Assessment of the resources available and institutional capacity to conduct more in-depth
assessment and to implement the EbA intervention.
ACTIVITIES PROPOSED FOR THIS STEP:
1. Identify the current and expected changes in weather and climate in the region, andhow those changes have impacted or may impact people’s lives or livelihoods

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

3

Why? the identification of the impacts of a changing climate and who may be most impacted(directly or through impacts on ecosystem service or processes) is important for defining thescope of the vulnerability assessmenta. Conduct a desktop study of information scientifically grounded in climate projects and data
to identify how current and expected extreme weather events and changes in climate haveaffected or will likely affect people’s lives and livelihoods in the future. These effects may
be direct or indirect through impacts on ecosystems and their services or processes in theregion (examples of how climate change may impact people’s livelihoods are in Box 1).
b. information on the impact of those weather events and changes on lives and livelihoods.
Sources of information include, for example:
a. General: IPCC reports, NAPAS and NAPs of countries, World Bank’s Climate Change
knowledge portal;b. Country specific: governmental reports, scientific journals, thesis.
2. Review the information on how climate change has impacted or may impact people’s
lives and livelihoods with scientists and local stakeholders, and identify the target
population (see Box 2 for best practices on stakeholder engagement).
Why? the revision of the information with scientists and local stakeholders can be used tovalidate what was found and to identify and incorporate information that was not previously
considered• Please consider how gender may play a role on the way the extreme weather events might
impact the livelihoods of men and women in different ways. Examples of potential target
populations include:• coastal communities whose lives and assets may be impacted by hurricanes• urban communities or those living on steep hillsides whose lives and assets may be
impacted by landslides caused by strong rainfall events• smallholder farmers highly dependent on rain-fed agriculture that may be
impacted by changes in temperature and precipitation as those affect crop and livestock
production

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

4

•
•

fishermen that may be impacted by the migration of fish species to other areas driven bychanges in ocean temperaturecommunities downstream may be impacted by a reduction in water availability causedby an increase in temperature and decrease in rainfall

Box 1. Examples of changes in weather and climate and their impacts on people’s
lives and livelihoods
Stronger and more frequent storms damage the assets of coastal communities andinfrastructure
More intense rainfall events produce landslides that damage the assets and infrastructure of urban
communities or those living in hillsides
Decrease in rainfall reduces crop production affecting income and food security of farmers
Changes in ocean temperature affects the distribution of certain fish species affecting the
livelihoods of fishermen
Decrease in rainfall and increase in temperature reduces water availability to communities
downstream

3. Identify, in collaboration with stakeholders, the target population(s) that the EbA
intervention(s) may help adapt
Why? to identify who we need to design the EbA interventions fora. Review, with the help of stakeholders, such as local authorities, local communities, andresearchers, the list of populations that may be impacted by climate change. From thisreview, identify the target population(s) that may be the most impacted by climate change
and that can benefit from the protection, restoration and management of ecosystems
and/or biodiversity, or from the implementation of agricultural practices that improvethose.
4. Identify the institutional capacity to conduct an in-depth assessment and to implement
the EbA intervention
Why? to decide if additional staff or consultants should be hired to proper identify, implement
and monitor the EbA intervention.
a. Those are the minimum set of expertise that should exist in the project team (including
staff, consultants and participants from partner organizations) to conduct all 5 steps listed
in this document:• Climate change science• Social science• Policy• Gender• Data gathering (e.g. household surveys, interviews with key informants, literature
review)• Data analysis

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

5

•
•
•

Writing
Project management
FinanceBox 2. Best practices for stakeholder engagement
Ensure local participation in workshops conducted in all steps listed in those documents withinvitations to representatives of different sectors:•

Community members: leaders (both men and women) of the different communities and/or villages,
and others who are respected by villagers (this is culturally contextual; e.g. Elders, teachers, etc).

When access to indigenous and local knowledge is needed, it has to be done in ways that comply
with the principles of free, prior, and informed consent, which is critical to ensure effective
participation in the project.
••

Municipal staff: government staff working at the municipal officeMembers of different governmental departments, such as the Department of Agriculture, Rural
Development, Department of Forest Protection, Agricultural Extension agents, among others
Members of relevant unions and private sectors, which could be: Women’s Union, Farmers’ Union,
cooperatives, private enterprises.
Strive for gender representation of about 50% women and men. Women who are ordinary
members of women’s or farmers’ unions should be invited to join the workshops.

••

Keep stakeholders informed on activities and next steps•

Ensure that there is liaison with the different stakeholders, and that these individuals receiveand pass on relevant information in a timely- and language-sensitive manner.

Disseminate results and experiences•

Publish results as presentations, policy briefs, peer-reviewed publications and/or lessons
learned documents; those materials must be in the local language and be made available tostakeholders.

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

6

STEP II. ASSESS THE VULNERABILITY* OF THE TARGET
POPULATION(S) TO CLIMATE CHANGEPURPOSE OF THIS STEP:
To have a deeper understanding of how climate change and extreme weather events impact the target
population(s) either through the impacts on the systems, or through the impacts on ecosystems andtheir services and processes, and an understanding of their capacity to adapt to climate change.
WHY THIS STEP IS NEEDED:
Now that the target population has been identified, we need to assess the vulnerability of this target
population to climate change, to:a) specifically understand how climate change has impacted or may impact them directly or
indirectly (by affecting the ecosystem services or precesses they rely on) andb) to define if a subset of the target population should be focused on in the EbA implementation.
Therefore, you should focus on the vulnerability of the target population, as identified in theprevious step, to current and expected impacts (e.g. damages to crops, reduction in waterprovision, pollination, food provision and costal protection).
WHEN TO SKIP THIS STEP:
If the subset of the target population or the most vulnerable communities that the EbA will target isalready known and if the impacts on the ecosystems they rely on is also known.
OUTCOMES OF THIS STEP:
A map that presents areas where the target population have low, medium and high vulnerability, andan indication of what impacts of climate change and extreme weather events they are vulnerable to,(e.g. vulnerable to coastal erosion, vulnerable to water shortages, vulnerable to crop failure).

* the activities presented in this step in this document are based on the terminology found in the IPCC’s 44th report and are
well accepted by a variety of institutions and governments. It is not yet clear whether the new terminology presented in the
5th report will be adopted as widely.

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

7

Figure 2. The components of vulnerability to climate change. Adaptation measures can be implemented toeither decrease sensitivity or increase adaptive capacity with the main goal of reducing the vulnerability of thetarget system to climate change (from adelphi/Eurac 2014).

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

8

ACTIVITIES PROPOSED FOR THIS STEP:
1.Identify the steps and information needed to assess the vulnerability of the target
population to certain impacts associated to climate change (e.g. damages to assets,damages to crops, reduction in water provision, pollination and food provision).
Why? there are no standardized ways to measure vulnerability, but there are lots ofmethodologies available (see Annex 1)
a. Select a methodology to assess the vulnerability of the target population. The selection
should be based on the livelihoods of the target population and on the impacts of climatechange on their lives and livelihoods, and on ecosystems and their services. Time,financial resources and institutional capacity available for this step should also be
considered when selecting a methodology.
• There is no fixed rule to define which variables to consider when assessing vulnerability ofhuman populations/communities to climate change. Annex 1 provides a list of potential
methodologies and tools and the advantages and disadvantages of each methodology.
b. Identify the variables that need to be collected to apply the selected methodology.
• Most assessments focus on 3 main elements that then need to be analyzed in
combination:• Exposure of the target population to climate change, sensitivity to climate change of thelivelihood systems/ ecosystem services that target population relies on, and the adaptive
capacity of the target population (see table 1).
• For all 3 components, a set of variables need to be assessed and then aggregated into asingle number (i.e. vulnerability score) that will determine the vulnerability of the target
population. This score needs to be accompanied by an explicit description of what it meansand how it was calculated. Keep in mind that the information collected in the assessment
can be used as a baseline for monitoring and evaluating the impact of the EbA intervention
on the target population (i.e. to monitor whether or not the vulnerability of the target
community has decreased).
• See Annex 4 for an example of the variables used to assess the vulnerability ofcommunities to coastal erosion driven by climate change in the Philippines. The
Vulnerability assessment of the Namakwa District in South Africa ( Bourne et al. 2015) also
includes the variables used to assess the 3 components of vulnerability.

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

9

Table 1. Components of vulnerability to climate change, a description of each component andpossible ways to assess it.
Component Description
Ways to assess it
Exposure
Refers to changes in climate or weather- historical climate-related data
(e.g. rainfall changes, temperature-modeling work on how temperature andchanges, changes in sea level, increased
rainfall may change or studies/interviews
incidence of hurricanes and droughts, etc.) on people’s perceptions of changes inthat are affecting/will affect the region
weather and climate.
where the target population lives.
-Potential sources of data include: Climate
wizard;Sensitivity
Refers to the impacts that changes in-modeling of how changes in temperatureof theclimate or weather cause on the livelihoods and precipitation may affect crop
system orof the target population (e.g. by affecting
production, provision of water and otherecosystem
crop production, fisheries, etc). and byecosystem services
services
affecting ecosystem services and processes -interviews of stakeholder’s perceptions onthat they rely on (i.e. water, wild food,how extreme weather events havepest control, ecotourism, nutrient cycling)changed crop productivity, water
availability or other aspects of theirlivelihoods.
- Potential sources of data include: IPCC
reports, NAPAS and NAPs of countries,
World Bank’s Climate Change knowledge
portal.
Adaptive
Refers to whether the target population is- census data that can inform the adaptive
capacity of able to adjust to the changes in climate
capacity of the target population (i.e.
the target
and weather and its impacts. Capabilities
literacy, income, ownsership of assets)
population include human, social, financial, physical,
that are available to the target population.
and natural capital, institutions and- interviews with local communities’
entitlements, knowledge and information,members or local experts to get
decision-making and governance (e.g.
information on aspects related to adaptive
Africa Climate Change Resilience Alliance’s
capacity when census data is not available
Local Adaptive Capacity Framework,or incomplete
Holland et al. 2017).
- Potential sources of data include: Living
Standards Mearument Study; IPUMS; Ci’s
Resilience Atlas

2. Review literature or conduct a workshop to assess information needed for thevulnerability assessment
Why? Studies should not be duplicated but be complementary, and information needed for thevulnerability assessment may already be available from other studies.
a. Identify the data/variables needed to assess exposure, sensitivity and adaptive capacity
through a desktop study and/or workshop and check whether those are available. This
information might come from peer-reviewed literature but also from grey literature, project
reports from other organizations or research institutions, existing assessment of climatechange impacts conducted by local government or other institutions or thesis done at local
universities.

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions10

3. Plan and conduct additional studies if needed
Why? If the data/variables that are needed to assess the vulnerability of the target population
are not available, there is a need to conduct additional studies.
a. Conduct targeted studies to collect missing information. The scope and methodology of
those studies will depend on the resources available.
b. Engage with stakeholders to assess local knowledge related to the data/variables needed.
c. Identify potential partners (e.g. universities or other institutions) that could help to provide
the information needed.
4. Assess vulnerability of the target population to climate change using the selected
methodology
Why? to identify who among the target population is the most vulnerable so the EbA
intervention can be designed to target those stakeholders.
a. Assess each component of vulnerability (exposure, sensitivity and adaptive capacity).
Assigning a score to each component of the target community is highly recommended (seeBox 3) so scores can be tracked through time and thus used in the monitoring andevaluation of the EbA intervention. Ideally the scores should be calculated for the highest
resolution as possible (e.g. pixels, households, communities).
• Even though there is not a standard methodology to calculate the vulnerability score, it
could be a 0-5 rating system for each of the 3 components. The vulnerability score is
calculated as the sum of exposure and sensitivity scores (assuming that a high number
means a high exposure and/or high sensitivity) minus the adaptive capacity score(assumning that a high number means a high adaptive capacity). Please note that thescores can then be transformed to a grading system (see Figure 3). The Vulnerability
assessment of the Namakwa District in South Africa (Bourne et al. 2015) includes theBox 3. Example of developing scores for each component of vulnerability
To assess the vulnerability of the coastal communities of Mindoro region (Philippines) to climatechange, Cogswell et al. 2016, used 18 variables to calculate exposure, sensitivity and adaptive
capacity (see annex 4).
They categorized each variable into quintiles and then ranked them from 1 to 5, where 1 is the least
vulnerable and 5 is the most vulnerable. The adaptive capacity variables were inverted so that 5
would represent the lowest adaptive capacity (this is the case because a low vulnerability is related
to a high adaptive capacity).
To calculate the exposure index, they multiplied the ranking of all variables related to thiscomponent and divided them by the number of variables used. The same was done to calculate thesensitivity index. In this study, all variables had the same weight, but it is up to the team to decide
whether to give different weights to different variables. To calculate the vulnerability index, they
multiplied the exposure, sensitivity and adaptive capacity indices, and divided by three. The final
result is presented in Figure 3.
Another great example of how climate change vulnerability of a District in South Africa can be foundin Bourne et al. 2015.

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

11

variables used to assess the 3 components of vulnerability and ways to combine thosecomponents to assess climate change vulnerability.
5. Prepare a map and description of the information gathered through the vulnerability
assessment that shows the vulnerability scores for the unit of analysis (pixels,
landscapes, households, communities etc.)
Why? This map, developed by overlapping the multiple variables needed to calculate thevulnerability score, will visually help to identify those who are the most vulnerable in the target
region. Descriptions of the information gathered, methods used and what the score means
should provide clear factors that explain the high vulnerability. An example of such map can befound in Figure 3.
6. Conduct a workshop/meeting with the project team and stakeholders to review andvalidate the information gathered on the vulnerability assessment
Why? To make sure stakeholders agree with the findings of who are the most vulnerable
within the target population, the factors that lead to this vulnerability and what impacts
associated with climate change and extreme weather events they are most vulnerable to.
a. Invite communities, local leaders, technicians, scientists and other stakeholders toparticipate in the workshop/meeting where information on vulnerability will be shared anddiscussed (see Box 4 for examples of stakeholders to invite)
b. Present the final map of vulnerability, as well as the variables that were used to calculate
each of the 3 components of vulnerability (exposure, sensitivity, adaptive capacity)c. Update the vulnerability scores and maps depending on the identification of new datasetsor other variables during the workshop/meeting that should be included in the calculationof the vulnerability, or the weights that should be given to each variable used to assessvulnerability. For example, a new dataset on literacy, scholarity or income that exists but
was not incorporated in the calculation of the vulnerability index due to lack of awarenesson that specific information.

Box 4: Examples of stakeholders to be considered in the vulnerability
workshop/meeting
Local stakeholders: associations based on livelihoods (farmers, fishers, forest users etc), women’sgroups, community leaders, local business and companies, land owners
NGOs: conservation, food security, healthy and development organizations
Government: (local and national) Public agencies (water, agriculture, forestry, fisheries, health,disaster management), statistical offices, meteorological offices
Academia: Members of local universities, academics with research on the target area and research
institutes
Private sector: representatives of business that operate in the target region

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

12Figure 3. Map of vulnerability to coastal erosion for the Mindoro area in the Philippines. The map also shows
vulnerability index (colors in the coast line) where mangroves are currently located (pink), potential area for
EbA implementation (mangrove restoration and protection) and population density (colors inland). (FromCogswell et al. 2016).

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

13

STEP III. IDENTIFY A SET OF POSSIBLE EBA OPTIONSPURPOSE OF THIS STEP:
To identify the EbA interventions that could help the most vulnerable communities adapt to climatechange.
WHY THIS STEP IS NEEDED:To ensure that the suite of EbA options are discussed and that they address the most important
adaptation needs of the target (or subset of) population.
WHEN TO SKIP THIS STEP:
If you already know which EbA intervention(s) will be implemented to help the most vulnerable adapt
to climate change.
OUTCOME OF THIS STEP:
Description of the possible EbA interventions that could be used to address climatic threats on thetarget population, and a description of how the EbA interventions could help the most vulnerable
people adapt to climate change.
ACTIVITIES PROPOSED FOR THIS STEP:
1. Identify and locate the ecosystems and biodiversity that can moderate the climate
threats on the target population
Why? Those ecosystems and biodiversity should be identified, so the set of potential EbA
interventions to address the climate threats can be also identified. For example, if project team
identifies that increased frequency of drought is a key climate impact of concern, the ecosystem
functions that moderate that impact should also be identified, such as important places forground water recharge, natural services that support soil fertility, and ecosystems that provide
local climate regulation.
a. A great example of methods used to identify key areas of ecosystems important formoderating certain climate threats can be found in the Annex 2 of a climate change
vulnerability assessment conducted in Namakwa District in South Africa (Bourne at al. 2015).
2. Conduct a workshop/meeting to identify the EbA options that can be implemented
based on the results of the vulnerability assessment (examples of stakeholders arelisted in Box 3—this and the previous workshop/meeting could be organized at thesame time if resources are limited):
Why? the results of the assessment—who are the most vulnerable communities and theirclimate change vulnerabilities—should inform the identification of the set of possible EbA
options that could be implemented
b. Identify, together with the stakeholders, the suite of EbA options that can be implemented
to address the climate change vulnerabilities. For example, if the target population arecommunities living on hillsides whose lives and assets may be impacted by landslides
caused by strong rainfall events, what are the suite of EbA options that could be

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions14

implemented to address that? (see Box 5 and Annex 2 for examples of EbA interventions
that address certain impacts of climate change in specific communities). This suite of EbA
options will then be prioritized, based on the number of beneficiaries, co-benefits provided
and risks (see step IV).

Box 5: Examples of EbA interventions

3. Review literature on current and future impacts of climate change on ecosystems andbiodiversity that are the focus of the EbA interventions
Why? Climate change can also impact the ecosystems and biodiversity that can help reducethe vulnerability of people to climate change. For example, an increase in sea temperature may
negatively impact coral reefs, and reduce the ability to provide adaptation services such as
costal protection. Understanding those impacts are important to determine the types ofmanagement that should be done and whether those ecosystems and biodiversity can in fact
help people adapt, and those ecosystems may be impacted by climate change themselves.
a. Assess the status of the ecosystem and biodiversity that are the focus of the EbA
intervention (e.g mangrove, coral reefs, cloud forests, specific plant species used in
restoration and agroforestry) and determine their environmental boundaries through which
they thrive. This may be through existing studies and/or expert opinion.
b. Address how climate change may impact those ecosystems and biodiversity that are thefocus of the EbA intervention through existing studies and/or expert opinion. Please notethat if the ecosystem or biodiversity that will be the focus of the EbA intervention is highly
vulnerable to climate change, this information needs to be considered during the selectionof the EbA intervention (see item 6) and while designing the intervention (i.e. whether
certain plant species should not be used during restoration as future climate condition in
the target area may not be ideal for their survival).
Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions15

4. Identify complementary measures (infrastructure, technical, policies and regulations)to each of the EbA options identified, if necessary.
Why? EbA interventions alone may not be able to deliver the desired adaptation outcome(s)a. For example, EbA solutions alone may not be able to withstand the high intensity risks
such as floods or storm surges
b. Likewise, implementation of EbA interventions may be accompanied by technical capacity(e.g. on agricultural practices) or policies and regulations (e.g. on the protection of
ecosystems) in order to be successfully implemented and maintained (see Table 2).

Table 2. Examples of complementary measures that can be implemented in combination with the
EbA intervention to achieve adaptation outcomes, when necessary.
Risk
EbA solution
Adaptation outcome
ComplementarymeasureStorm surges
Mangrovereduce the loss of assets of coastal
Gabions (cage or box
restoration
communities and infrastructure locatedfilled with rocks orby physically protecting theconcret)communities
againststrongerand
moreCoral protection
Waterbreaks
frequent storms
Extreme
Implementation of
reduce the loss of agriculture
Training on incorporating
rainfall events
agroforestry
productivity due to extreme rainfall
trees in field and how to
eventsmaintain them

5. Identify the location where the implementation of each of the EbA options would takeplace to address the vulnerability of the target population(s) to climate change
Why? Each EbA intervention can be implemented in many locations to help people adapt to theimpacts identified. It is important to find where the implementation may be most successful,help a high number of people, maximize the co-benefits and minimize risks (please refer toitems 6 and 7 of this step).
6. Identify how the selected EbA solution (combined with complementary measures if
applicable) can help the most vulnerable to adapt to climate change within the target
population
Why? The articulation of how EbA will help reduce the vulnerability of people to certain climate
threats is key to preparing the theory of change, for monitoring and evaluation purposes andmaking sure that the intervention may have the capacity to achieve the desired adaptation
outcome.
• Examples of such articulation include:• Mangrove restoration (EbA intervention) that will reduce the loss of lives and assets ofcoastal communities (desired adaptation outcome) resultant from more frequent storm
surges (Climate threat);• Implementation of trees in agricultural lands (EbA intervention) that will reduce the loss ofagricultural productivity of smallholder farmers (desired adaptation outcome) due toextreme rainfall events (Climate threat).

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions16

7. Identify potential number of beneficiaries, co-benefits and tradeoffs of the EbA
interventions identified through the workshop with stakeholders
Why? EbA interventions provide viability of several biodiversity, mitigation and social cobenefits and trade-offs. The identification of those variables can help select the intervention to
be implemented among the suite of available EbA options (see Annex 3 for a list of co-benefits
that are usually associated with EbA interventions). Some factors to consider are included
below. If time and resources are available, additional data should be compiled to address eachof them. If time and resources are limited, a simple ranking of how important different EbA
options are for each of the follow is sufficient:• Potential number of direct and indirect beneficiaries i.e. people whose vulnerability will be
reduced by the EbA intervention to be implemented;• Biodiversity co-benefits: e.g. key species that may be protected or re-introduced to thearea due to the EbA intervention, habitat connectivity;• Mitigation co-benefits: e.g. potential carbon stored, or emission avoided due to the EbA
intervention;• Social co-benefits: e.g. increased income, food security, livelihood diversification• Possible trade-offs of implementing EbA at different temporal scales: e.g. limited access tonatural resources due to protection measures, loss of productive area when restoration is
implemented, reduction in productivity after agroforestry is first implemented.

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

17

Table 3. Examples of EbA interventions in agricultural landscapes, adaptation benefits, and cobenefits provided (Adapted from Viguera et al 2018).
Mitigation
benefits

Increases
productivity
andbiodiversity

Food security
increase

Co-benefits

IncomediversificationImproves ormaintainsproductivity
in face of CC

Adaptation benefit

Carbonsequestration

EbA intervention

Shaded coffee
management
•
•
•
•

X

•

Regulates microclimate
Buffers extreme temperatures
Buffers extreme rainfall
Protects against extreme
winds
Reduces soil erosion

•
•
•
•

Improves water infiltration
Reduces landslides
Minimizes hydric stressControls erosion

X

X

•
•

Buffers extreme temperatures
Reduces the impact of
extreme winds on the crops,
livestock and soils
Contributes to soil
conservation

X

X

X

X

X

X

Live barriers

X

Windbreaks

•

X

X

8. Identify potential risks and constraints to the implementation of each of the EbA
interventions (see Annex 3).
Why? This information could help select the EbA intervention to be used. This information canbe identified through a workshop/meeting (please note that this workshop can be the same as
the one described previously under this topic, (point 3.1) and a review of relevant backgrounddocumentation. Possible risks and constraints to EbA implementation include:

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

18

•
•
•
•
•
•
•

Costs for implementing and maintaining the intervention;
Lack of political will and interest;
Lack of institutional support;
Limited capacity to implement, maintain and monitor the intervention;
Technical limitations (e.g., insufficient vegetative material for reforestation, limited
knowledge of appropriate species, etc)
Legal and cultural limitations;Long timeframes for the delivery of adaptation benefits

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

19

STEP IV. SELECT THE EBA INTERVENTIONPURPOSE OF THIS SECTION:
To provide steps for EbA prioritization in case several EbA options exist.
WHY THIS STEP NEEDS TO BE DONE:
Sometimes, several EbA interventions can achieve the same adaptation outcome, therefore theselection of the EbA intervention needs to be based on factors such as the magnitude of theintervention, benefits, trade-offs, costs, buy-in, and capacities.
WHEN TO SKIP THIS STEP:
If the EbA intervention has already been selected.
OUTCOME OF THIS STEP:
Identification of the EbA intervention to be implemented.
ACTIVITIES PROPOSED FOR THIS STEP:
1. Conduct a workshop/meeting to review the EbA options and prioritize them (please
note that this workshop and the previous one can be organized at the same time-whenever possible try to include members of the multidisciplinary team to get input
from different perspectives).
Why? A suite of EbA options could be identified to help reduce the vulnerability of the target
community. In those cases, a prioritization of EbA options and locations where they can be
implemented, may need to be done. When prioritizing, the following order of importance issuggested (please note that you may want to weight some criteria more heavily than others
based on what the multidisciplinary team thinks is the most important):• Magnitude of the intervention (the higher the magnitude, the higher the prioritization):o Number of beneficiaries of the adaptation outcome provided by the interventiono Biodiversity, mitigation and social co-benefits provided by the intervention• Trade-offs (the lower the trade-off, the higher the prioritization)o Trade-off of implementing the EbA intervention• Costs (the lower the costs, the higher the prioritization)o Costs of the intervention, and ability to leverage additional funds if needed (further insection VII)
• Buy-in and political will (the higher the buy-in, the higher the prioritization)o Support from stakeholders (community leaders, local cooperatives, government, etc.),
especially from the communities that will be the beneficiaries of the intervention• Capacities (the higher the capacity, the higher the prioritization)o Technical and financial capacity to implement the interventiono Technical and financial capacity to track and monitor the intervention in the long-term
2. Select the EbA intervention to be implemented
a. Based on the criteria above, and any other information reviewed, select the EbA
intervention(s) to be implemented
Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

20

b. Idenify the specific location where the EbA intervention(s) will be implemented
3. Conduct modeling work or rely on existing studies to identify the details of theimplementation
Why? The details of the intervention (number of hectares restored or protected, area thatshould be under an improved management, number and density of trees to be planted) should
be identified based on scientific studies that take into accont how much of the climate threats
can be addressed by the intervention.
a. Define by how much climate-driven threats can be reduced by each of the EbA options.
For example, if mangrove restoration is to be implemented to reduce the loss of assets of
costal communities, we need to know how many meters of mangrove need to be planted
from the shoreline to reduce the impact of waves. This information will allow us tounderstand the magnitude of the intervention that are needed to achieve the desired
adaptation benefits. It will also allow us to identify the magnitude of supplemental
adaptation measures (e.g. grey infrastructure, evacuation/early warning systems, financial
inclusion measures, etc.), if needed. This information will also help us to identify
collaborators, such as engineers, disaster risk reduction specialists, finance sector experts,
and to define the costs of the selected intervention.
4. Prepare a theory of change for the EbA intervention selected
Why? This information will be important during the monitoring and evaluation process as it will
be clear what will be implemented, what the outputs and outcomes of the intervention will be,
as well as the long-term goal of the intervention (adaptation outcome).
a. Use a theory of change (TOC) to map the relationship between a long-term goal of a
project and the intermediate and early changes that are required to make it happen (seeConservation International 2013). In the theory of change, a clear articulation of how
activities contribute to outputs, outcomes, and the long term goal (ultimate adaptation
outcome) should be included (see Figure 5).

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

21

Figure 5. Theory of change for one EbA intervention (wetland rehabilitation) conducted in South Africa.
Assumptions are included in italic (prepared by Camila Donatti).

5. Identify the assumptions related to the intervention to be included in the theory ofchangeWhy? Assumptions related to the intervention need to be identified and discussed as they may
prevent the EbA intervention from achieving the ultimate adaptation outcome.
• For example, if the EbA intervention implemented is restoration of wetlands one of theassumptions is the restoration will increase the extent and ecological health of the wetland(see figure 5).
• If the EbA intervention is forest protection, one of the assumptions is that protection will
be effective in the long-term.
• If the intervention entails building local capacity, it is assumed that there will be capacity
builders and that the target audience will put the acquired knowledge into practice.
6. Revisit the theory of change periodically to update activities and assumptions
Why? As the selected intervention is implemented, the theory of change should be reviewed
and updated periodically to ensure the proper delivery of the adaptation outcomes and that theactivities are being implemented as planned, given that ecological and social conditions maychange over time.
• This can be done when milestones of the intervention are reached, for example whenmonitoring and evaluation information is available or when a report to the donor is due.
• In any case, activities, assumptions and other information on the theory of change should
be reviewed every 6 months or so.

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

22

STEP V. MONITOR AND EVALUATE THE EbA INTERVENTIONPURPOSE OF THIS STEP:
To identify the metrics and indicators that should be used to monitor and evaluate the success of the
EbA implementation (i.e. what has worked and what has not) and the adaptation outcomes achieved.
WHY THIS STEP NEEDS TO BE DONE:
To track progress on the outputs and adaptation outcomes of the EbA intervention to be implemented
in the short and long terms. This will provide information about the success of the project and more
broadly help to increase the evidence base of EbA.
WHEN TO SKIP THIS STEP:
When a framework is already selected for monitoring and evaluating the EbA intervention.
OUTCOMES OF THIS STEP:
Identification of metrics and indicators to track the outputs and outcomes of the EbA intervention,
when and how they will be measured.
ACTIVITIES PROPOSED FOR THIS STEP:
1. Define metrics and indicators to measure, respectively, the success of EbA
implementation and effectiveness in achieving adaptation outcomes for theintervention.
Why? Given that EbA can be implemented to achieve a variety of adaptation outcomes, it isimportant to identify metrics and indicators that will inform the success of the EbA interventionin achieving a specific adaptation outcome. Suggested indicators are presented in Annex 2.
Indicators should measure the adaptation outcome that the EbA intervention is planning toachieve in the long-term.
2. Describe the metrics and indicators used to monitor the intervention, as well as any
assumptions made.
Why? It is important to describe what will be measured through time, and any assumptions
made for the goal of the intervention to be achieved, and how that will help measure theachievement of the adaptation outcome. In this way, the project team will be able to ensurethat the suggested metrics and indicators are in fact the best ones to assess the success of the
EbA intervention.
a. Metrics and indicators that will be used to track the EbA intervention, as well as any
assumptions made, should be included in the theory of change and in the workplan of the
EbA intervention (see previous steps)
b. Clarification of when selected metrics and indicators will be collected (i.e. both within the
lifetime of the intervention and thereafter)
3. Engage with scientists, researchers and the government that may already be collecting
information on metrics and indicators so those can be incorporated in the project

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

23

Why? there is a possibility that the metrics and indicators that need to be tracked through time
are already being measured (probably at a different scale, e.g. national level) by otherinitiatives or by the government, especially in the framework of UNFCCC NDCs. These need tobe identified so efforts are not duplicateda. Identify other initiatives in the broader region or at the national level that are similar to the
one to be implemented, to check whether other projects or entities are already collecting
information that may be used to monitor and evaluate the EbA intervention.
4. Collect baseline information and describe the situation prior to implementation.
Why? Our suggestion is that all indicators suggested in annex 2b are measured prior to theimplementation of the EbA intervention (i.e. baseline), and either through time (on a yearlybasis) or after an extreme weather event so later measurements on the same indicator, when
the EbA intervention has been implemented, can be compared to this baseline to address
whether adaptation outcomes were achieved.
5. Involve local communities and stakeholders in monitoring to achieve community buy-inand enhance local capacity
Why? To ensure that there is ownership of the intervention from the local communities andsustainability after the project ends, at the same time that important information for monitoringand evaluation is collected.
a. Partner with local institutions that can recruit members of the community (both local
community and other types of stakeholders, such as universities and research institutions)
to conduct the monitoring activities
6. Analyse results and plan for 2 possible scenarios:
Why? To esure that the intervention is on track to achieve the desired adaptation outcome.
a. If the intervention seems to be working (activities are on track and delivering the expected
outputs and outcomes as identified in the theory of change): an exit strategy should beplanned to make sure the intervention is sustainable after the project ends
• Identify how the intervention will be monitored after the projects ends
• Develop a plan on how the intervention will continue, be monitored and maintained after
the project ends, and budget for these activities. This can be simply a set of activities
that need to be done or continue to be done over time to ensure the delivery of theadaptation benefits by the EbA intervention, and budgets associated to those.
b. If the intervention is not showing the expected results (activites are not on track and/or
are not delivering the expected outputs and outcomes as identified in the theory ofchange): the sustainability of the intervention should be evaluated and the intervention
should be re-designed if necessary.
• Identify what should be changed in the intervention (e.g. increase the restored area,
incorporate a engineer or more ‘traditional’ activity as part of the intervention) and if
such change may allow the delivery of the expected outcomes and outputs. In that case,the theory of change should be updated.
• If the proposed changes may not deliver the expected outcomes and outputs, analternative EbA or non-EbA intervention should be considered. In that case, an updated
theory of change should be prepared, as well as a new monitoring and evaluation plan.

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

24

The step below is a very important one, but optional, as it requires considerable financial
and personnel resources. If resources are available, it should be done prior to section IV(Select the EbA option). The following are some essential activities to conduct an analysisof the costs and benefits of EbA, recognizing that there may be some flexibility given the
resources available to conduct such an analysis.

STEP VI. ASSESSING THE COSTS AND BENEFITS OF THE EbA
INTERVENTIONPURPOSE OF THIS STEP:
To outline a list of activities for the implementation of economic analyses of EbA options.
WHY THIS STEP NEEDS TO BE DONE:
Cost-effectiveness is an important criterion for the selection of adaptation options. This step is also
required for some projects and in certain circumstances, such as donor or project requirements.
WHEN TO SKIP THIS STEP:
If cost-effectiveness/benefit-cost analysis is not required for selecting adaptation strategies or if the
project does not have resources to conduct such analysis.
OUTCOMES OF THIS STEP:
Activities and methodological best practice guidelines.
1. Understand the context
Why? The assumptions, methodology and data required for economic analysis are tightly
linked. The economic analysis requires understanding of the context of the EbA intervention,
getting stakeholder inputs, developing scenarios and coupling physical analysis with economic
assessments.
a. Review the information collected and summarize in the previous steps• review results from biophysical and spatial analyses done in the project• review the suite of EbA options to be implemented• understand who are the beneficiaries of the different EbA interventions
2. Conduct the economic analysis
Why? This part is the core economic analysis that provides measurements, modeling andvaluation of ecosystem services to allow the calculation of the costs and benefits of the EbA
options and alternative to those (e.g. non-EbA such as engineering solutions).
a. Take a tiered approach using tools from a range of methodological options• There is no “one-size-fits-all” when it comes to economic analysis. Some analyses are
more resource intensive than others• Take a “Tier-1” approach if all necessary resources are available to collect data andconduct the analysis

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

25

•
•

Take a “Tier-2” approach for a rapid economic assessment, if budget and resources are
inadequate for a comprehensive analysis
However, beware of the tradeoffs between approaches chosen because of the limitations
associated with the finding, as well as different interpretations

b. Develop the scenario with and without the EbA intervention, as well as the
scenario where other types of adaptation solutions (e.g. engineering) would be
implemented• Develop a baseline business-as-usual/no-action scenario to compare amongst options, andextrapolate into the future• Develop alternative EbA implementation scenarios which are plausible and applicable given
environmental and socio-economic context• The scenarios should take into consideration potential changes in, for example, population,
resources consumption and vulnerability of communities to climate changec. Gather data
• Review literature for gathering secondary data on existing works including natural capitalassessments, economic valuation etc.
• Census data (agricultural, population, forest inventories) often provide important
information for methodology and analysis• Sometimes complementary primary data collection is required through, for example,
household and field surveys• Workshops are a good way to collect qualitative information and stakeholder perspectives
Table 4: Examples of indicators and data needs to asees the value of benefits and co-benefits
provided by EbA for economic analysis
Benefits/co-benefits
Indicators and data needs
Physical measurements

Economic valuation

All provisioning
services
CarbonQuantity harvested annually

Market price and shadow priceTons of carbon sequestered or emitted

Social cost of carbon; Carbon price

Water quality
regulation
Tourism

Changes in water quality parameters suchas dissolved nutrients
Changes in the number of tourist visits

Changes in water purification cost

Water provision

Amount of water supplied for different
sectors such as irrigation, domestic water

Erosion control

Sediment loads in irrigation channels,
hydroelectric dams etc.

Changes in the income of local
businesses; Revenue earned
Beneficiary-specific value of water,such as tariff for domestic water
consumption
Dredging costs or equipment
depreciation costs

Pollination

Changes in crop productivity

Cost of replacing natural pollination

Non-timber forest
products

Total volume harvested by communities

Equivalent market price

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

26

d. Select valuation and decision-support tools
Why? To make sure that the best tool is used based on the existing information• Net Present Value (NPV): used if benefits and costs are realized over a longer timeframe, with a specific discount rate
• Annualized Net Present Value (ANPV): can be used instead of NPV in cases where
there are two distinct time horizons for two different options• Internal Rate of Return (IRR): If the intent is to compare return on investment with
opportunity cost of capital• Benefit to Cost Ratio (BCR): in case the interest in the project is to weigh total benefits
against costs incurred. Both costs and benefits are measured in monetary terms.
• Cost-Effectiveness Analysis (CEA): to compare relative costs and effects of different
courses of actions. In this case the outcome is not measured in monetary terms• Multi-Criteria Analysis (MCA): A subjective method of prioritizing investments basedon several monetary and non-monetary criteria
3. Interpret and integrate results
Why? Often results of economic analysis come with uncertainties and a range of tradeoffs. It istherefore important to outline how to interpret the results, communicate uncertainties andtradeoffs and integrate them in the broader assessment.
a.
•
•
•

Assess the uncertainties
Outline uncertainties in economic assessments due to physical measurements and modeling
Perform sensitivity analysis to demonstrate a range of values instead of point estimates
Make explicit the sources of uncertainties due to projected indicator values assessedb. Identify the trade-offs• Communicate tradeoffs between alternative scenarios clearly, especially the fact that not all
benefits can be maximized, or costs minimized at the same time

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

27

ANNEXES
Annex 1. Examples of methodologies to conduct vulnerability assessments to climate change.
Tool

Pros

Cons

Available at

The vulnerability
sourcebook:concept andguidelines forstandardized
vulnerability
assessments

Utilizes astandardized index
to quantify
vulnerability,
multiscale, based onlatest scientificconcepts

To be done at thecommunity level, to aminimum, goodfacilitation required,indicators are notpresented (but casestudies are)https://www.giz.de/
expertise/html/1548
5.htmlCoBRA:
Community Based
Resilience Analysis

Annex with potential
indicators, explicitly
include capacities
indictors, focus on
monitoring &evaluation

It describes theprocess but only
generally the datacollection methods,
time consuming

www.undp.org/content/undp/en/home/librarypage/environm
entenergy/sustainable_l
and_management/C
oBRA/cobra_guide.html

UNDP/EU 2012SHARP:
Self-evaluation andholistic assessment ofclimate resilience of
farmers andpastoralists

action oriented,
specifically designed
for farm systems;
based on scientific
literature

Time consuming,based onperceptions/ selfassessment, priorunderstanding
neededhttp://www.fao.org/i
n-action/aicca/toolsandmethodologies/sharp/en/

FAO 2013

UNU, Bioversity,
UNDP 2014

Produced by:

GIZ 2014

SEPLS:
Indicators ofResilience in Socioecological Production
Landscapes andSeascapes

identify priority
areas andcommunity-based
interventions forresilience, identify
trendsNot focused on
people vulnerability,
complexity ofconcepts might
hinderimplementation with
communities

www.bioversityinternational.org/elibrary/publications/d
etail/toolkit-for-theindicators-ofresilience-in-socioecologicalproductionlandscapes-andseascapes/

CVCA
Climate Vulnerability
and Capacity Analysis

participatory
assessments, welldescribed andpractical methods,
emphasis on multistakeholders

mostly qualitative
information

http://careclimatech
ange.org/toolkits/cvca/

CareInternational
2009

Focuses on
characteristics ofadaptive capacities,

Not specific to climate
variability, mostly
qualitative

www.odi.org/publica
tions/5854-towardsholisticconceptualisationadaptive-capacitylocal-level-insightslocal-adaptivecapacity

ACCRA 2010

Provides worked
examples and forms,
includes examples ofadaptation options
per sector

Dependent on
secondaryinformation

https://learn.tearfund.org/en/themes/en
vironment_and_clim
ate/cedra/

Tearfund 2011

Standardized
quantitative
methods,

Lack of qualitative
data, lack ofhttps://www.wfp.org/content/consolidate
d-approach-WFP 2014

LAC
Local Adaptive
Capacity framework

CEDRA
Climate change andEnvironmental
Degradation Risk andadaptation
Assessment
CARI
Consolidated
Approach for

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

28

Reporting Indicatorsof Food Security
CSA
Climate-smart
Agriculture
Sourcebook
CrystalFood Security

use baseline andmonitoring
It elaborates theconcept of CSA anddemonstrates its
potential with casestudies, focus on
land-use sector
Well-structured andcomputed based,with checklists

information on
environment

reporting-indicatorsfood-security-cariguidelines

Methodologies notdescribed, technical

http://www.fao.org/
docrep/018/i3325e/i
3325e00.htm

FAO 2013

Desktop application,
not very customizable

https://www.iisd.org/cristaltool/

IISD et al. 2012

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

29

Annex 2a. Examples of EbA interventions (this is a non-exhaustive list) that can lead to the adaptation outcomes and thedimensions of human well being linked to those outcomes
Dimensions of human well-being
EbA interventions
Adaptation outcomes from EbA interventions
affected by the EbA interventions
Establishment of marine non-take zones;
Restoration of mangroves

Reduced loss of assets of coastal communities and infrastructure due to extreme
weather eventsProtection and restoration or high-altitude
forests
Restoration of coral reef; Rangeland
management; Development of policies toregulate the use of forest
Training on agriculture practices;
Implementation of agriculture practices, (e.g.
agroforestry and soil conservation)
Implementation of agriculture practices (e.g.
agroforestry and soil conservation)
Restoration of coral reefs; Rangeland
management; development of policies toregulate the use of forest
Training on agriculture practices;
Implementation of agriculture practices, (e.g.
agroforestry and soil conservation)

Reduced loss of assets of urban and non-urban communities and infrastructure
due to extreme weather events
Reduced impacts of climate change on ecosystems that maintain livestock
production, marine and freshwater fisheries, and natural products for household
consumption

Implementation of agriculture practices (e.g.
agroforestry and soil conservation)

Reduced negative impacts of climate change on ecological interactions (pest,diseases) that affect crop and livestock production for profit

Forest restoration, capacity building on forest
restoration
Protection and restoration or high-altitude
forests
Establishment of marine non-take zones;
Restoration of mangroves
Restoration of swamp forest; Development
and restoration of overflow areas and reed
marshesEstablishment of green roofs and trees inurban areas

Reduced negative (and direct) impacts of climate change on livestock and crop
production (mainly through physical damage) for household consumption

AssetsFood security

Reduced impacts of climate change on ecological interactions (pest, diseases,
pollination) that affect crop and livestock production for household consumption
Reduced impacts of climate change on ecosystems that maintain livestock
production, marine and freshwater fisheries, and tourism for profit
Reduced negative (and direct) impacts of climate change on livestock and crop
production (mainly through physical damage) for profit

Livelihoods

Reduced impacts of climate change on water quality and quantity for human use
Reduced loss of lives in urban and non-urban communities due to extreme
weather events

Safety and resource security

Reduced loss of lives in coastal communities due to extreme weather events
Reduced impacts of climate change on the incidence of vector borne diseases
Reduced negative health effects (respiratory distress and heat stroke) due totemperature extremes and fires

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

30

HealthAnnex 2b. Suggested indicators to measure the adaptation outcomes that can be achieved through EbA, suggestions on how totake measurements, and the mid-term, process-based indicators that can be used in mid-term evaluation of the intervention
and/or in case the ‘goal standard’ indicators cannot be tracked due to lack of data or financial resources.
Adaptation outcomes fromEbA interventions

Reduced loss of assets ofcoastal communities andinfrastructure due toextreme weather events
Reduced loss of assets ofurban and non-urban
communities andinfrastructure due toextreme weather events
Reduced impacts of climatechange on ecosystems thatmaintain livestock
production, marine andfreshwater fisheries, andnatural products forhousehold consumption
Reduced negative (anddirect) impacts of climatechange on livestock andcrop production (mainly
through physical damage)for household consumption
Reduced impacts of climatechange on ecologicalinteractions (pest, diseases,
pollination) that affect cropand livestock production
for household consumption

Suggested ‘gold standard’
indicators for measuring
adaptation outcomes
1.% of infrastructure damaged
after extreme events.
(e.g. hospitals schools (% offacilities damaged), homes (% ofhouses damaged), roads (% of km
of roads damaged), protectedareas (% of area damaged),
agricultural land (% of hectares ofagriculture damaged), cultural andrecreation sites (% of area
damaged).

Extreme events and longterm changes addressedby the interventions

Suggestion on how to take themeasurements

Suggestion on where and when
to take the measurements/
collect data

Mid-term, processbased indicators

Extreme events: such
hurricanes, typhons, andstorms1, flooding2,
landslides3, heatwaves4
and fires5

1.Use of satellite images to takestock of existing infrastructure,
agricultural land and extent of
ecosystems (see UNISDR 2017);
information on damages
collected during emergency
responses measures.

•after an extreme event, when
the intervention was not yet
implemented (baseline)•after an extreme event, when
the intervention was
implemented

1a. Decreased erosion(costal or hillside) before
and after the EbA
implementation

2. Questionnaire with
communities to get information
on % of the population that isfood insecure. (Food Insecurity
Experience Scale from FAO
provides a set of questions to
ask communities on thatmatter); surveys with
communities to gather
information on income fromcrop and/or livestock
production, sustainable marine
and freshwater fisheries, and/or
tourism; Census data held by
local administration•after an extreme event or
through time (yearly basis)
when the intervention was not
yet implemented (baseline)•after an extreme event or
through time (yearly basis),when the intervention was
implemented

2a. Crop, livestock andfish production forhousehold consumption
in the growing/productionseason before and after
the implementation of the
EbA intervention.

Extreme events: flooding6,
droughts7, storms8, fires9,
heatwaves10, sea level
rise11
2. Prevalence of moderate orsevere food insecurity in the
population after extreme weather
events or through time.

Long-term changes:
terrestrial and oceanic
temperature12 that canaffect crop, livestock andfish production

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

31

Reduced impacts of climatechange on ecosystems thatmaintain livestock
production, marine andfreshwater fisheries, andtourism for profit
Reduced negative (anddirect) impacts of climatechange on livestock andcrop production (mainly
through physical damage)for profit
Reduced negative impactsof climate change on
ecological interactions(pest, diseases) that affectcrop and livestock
production for profit

Reduced impacts of climatechange on water quality
and quantity for human use

Reduced loss of lives inurban and non-urban
communities due toextreme weather events

Reduced loss of lives incoastal communities due toextreme weather events

3.Average income fromsustainable crop and/or livestock
production, sustainable marine
and freshwater fisheries, and/or
eco-tourism of small-scale perhousehold after extreme weather
events, or through time.

4.% of population with access toenough and clean drinking water
under extreme events, or throughtime.

5.Percentage of deaths andmissing persons in various
demographic groups after
extreme events.

Extreme events: flooding6,
droughts7, storms8, fires9,
heatwaves10, sea level
rise11Long-term changes:
terrestrial and oceanic
temperature12 that canaffect crop, livestock andfish production

Extreme events:
droughts13, flooding14,
heatwaves15
Long term changes:
precipitation16

Extreme events:
hurricanes, typhons andstorms17 and theassociated flooding18,
landslides19, extreme
heat20, fires21

3.Surveys with communities to
get information on income fromcrop and/or livestock
production, sustainable marine
and freshwater fisheries, and/or
tourism of small-scale,producers /fisherman/
businessman per household

4. Use census information to getdata on the number of people ina location that have access towater year-round and during
extreme events

5.Use local or national statistics
to get the number of people
that have died from extreme
weather events (see UNISDR
2017)

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions•after an extreme event or
through time (yearly basis)
when the intervention was not
yet implemented (baseline)•after an extreme event or
through time (yearly basis),when the intervention was
implemented•after an extreme event or
through time (yearly basis)
when the intervention was not
yet implemented (baseline)•after an extreme event or
through time (yearly basis),when the intervention was
implemented

3a. Crop, livestock andfish production for profit
in the/production season
before and after the
implementation of the
EbA intervention

4a. Water provision forhuman consumption
before and after the
implementation of the
EbA intervention.

5a. not available

32

Reduced impacts of climatechange on the incidence of
vector borne diseases

6.People’s years lost or deaths
due to vector borne diseases ofvarious demographic groups
within the population.

Reduced negative healtheffects (respiratory distressand heat stroke) due totemperature extremes andfires

7. People’s years lost or deaths
due to vector borne diseases
related to climate change,
respiratory distress and heatstroke, during extreme events, ofvarious demographic groups
within the population.

Extreme events: flooding
events22 and drought23

Extreme events: extreme
heat24 and fire25

6 and 7. Use national or regional
statistics to calculate theDisability-adjusted life
year (DALY) from WHO, ameasure of overall disease
burden, expressed as thenumber of years lost due to illhealth, disability or early death;use local or national statistics to
get the number of people thathave died from extreme
weather events (see UNISDR
2017)

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions•after an extreme event, when
the intervention was not yet
implemented (baseline)•after an extreme event, when
the intervention was
implemented

6a. Prevalence of vector
species before and after
the implementation of the
EbA intervention.
7a. Levels of pollution in
the air before and after
the implementation of the
EbA intervention.
7a. Local air temperature
before and after the
implementation of the
EbA intervention.

33

Annex 3. Examples of co-benefits that can be achieved through EbA, as well as risks andconstraints of EbA interventions.

a. Examples of biodiversity co-benefits of EbA interventions: Species protection
 Assistance in species movement and natural re-introduction of species
 Establishment of nursery areas for marine and aquatic species
 Increased species diversity
 Increased genetic diversity
 Improvement in ecosystem resilience to climate change and other threats (i.e.
sedimentation, pollution)b. Examples of mitigation co-benefits that can be achieved through EbA interventions: Avoid the emissions of greenhouse gases through deforestation
 Avoid the emissions of greenhouse gases through the reduction of forest burning Increase carbon sequestration through forest restoration
 Increase carbon sequestration through the implementation of trees in agricultural fields
c. Examples of social co-benefits of EbA interventions: Conflict resolution because of increase water availability
 Enhanced water supply due to watershed restoration
 Increased food security and income due to improvement in fisheries and natural
resources Increased food security and income through the implementation of trees in agricultural
fields Improvement in the aesthetic value of the area due to more trees
 Increased in livelihood diversification
 Establishment of network due to training on and implementation of the EbA intervention
 Increased natural capitald. Examples of risks and constraints of EbA:
 High costs of implementation and monitoring Low cost-benefit ratio Lack of buy-in from the target community
 Lack of buy-in from local governments
 Limited capacity to implement, maintain or monitor the intervention
 Legal limitations
 Cultural limitations
 Long timeframes for results to appear

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

34

Annex 4. Variables used to assess the Vulnerability of coastal communities to climate hazards in thePhilippines.

Component ofvulnerability

Variable

SourceResolution

Exposure

Wave exposure

InVEST* output / NOAA
Wave Watch III

Site-specific

Exposure

Shore exposure

InVEST output

Site-specific

Exposure

Surge potential

InVEST output

Site-specific

Exposure

Cyclone frequency

UNISDR, PreventionWeb

Site-specific

Adaptive Capacity

Road density

Open Street Map

Barangay

Adaptive Capacity

GDP

Adaptive Capacity

Hospital beds

Adaptive Capacity
Adaptive Capacity
Adaptive Capacity
Adaptive Capacity

Mean years ofschooling% HH withelectricity% HH withinternet accessGood GovernanceIndex

Sensitivity

PovertySensitivity

Population density

Sensitivity
Sensitivity
Sensitivity

Main occupation farmers, fishermen
and forestry
workers% HH without
piped water
Geomorphology of
the area

Worldpop.org andNational Statistical
Coordination Board
Philippine Department of
HealthPhilippines Human
Development Index
National Statistical Office
Census 2010
National Statistical Office
Census 2010
National Statistical
Coordination Board
National Statistical
Coordination Board

site-specific
Province
Province
Municipality/city
Municipality/city
Municipality/city
Municipality/city

Worldpop.org

Site-specificNational Statistical Office
Census 2010

Municipality/city

National Statistical Office
Census 2010

Municipality/city

InVEST output

Site-specific

InVEST output
Mangrove: U.S. Geological
SurveyCoral Reef: UNEP, World
Sensitivity
Natural Habitats
Conservation Monitoring
CentreCoastal Forest: ESA
Climate Change Initiative*https://www.naturalcapitalproject.org/invest/

Site-specific

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

35

GLOSSARY
Activities: Specific actions implemented to bring about each of the outputs or outcomes on thepathway to change
Adaptation: Adjustment in natural or human systems in response to actual or expectedclimatic stimuli or their effects, which moderates harm or exploits beneficial opportunities.
Various types of adaptation can be distinguished, including anticipatory, autonomous andplanned adaptation.
Adaptive Capacity: The ability of systems, institutions, humans, and other organisms toadjust to potential damage, to take advantage of opportunities, or to respond to consequences(IPCC 2014)
Climate change vulnerability: the propensity or predisposition to be adversely affected.
Vulnerability encompasses a variety of concepts and elements including sensitivity orsusceptibility to harm and lack of capacity to cope and adapt.
Discount rate: what economists use to give a present day value on something that will oly
happen in the future
EbA intervention: activities that include one or more of the following:• protection, restoration and management of ecosystems, biodiversity, ecosystemservices, and species to help people adapt to climate change• implementation of specific agricultural practices and new crop varieties to help people
adapt to climate change• establishment of engineer structures that protect or enable the protection, restoration(or natural regeneration) and management of ecosystems, biodiversity, ecosystems
services and species to help people adapt to climate change (e.g. gabions to facilitate
wetland restoration)• policies and plans for EbA• awareness raising on EbA• training on EbA• incentives for EbA
Ecosystem services: benefits that humans gain from the natural environmental andfunctioning ecosystems. Examples include food and water provision, crop pollination, andspiritual and recreational benefits.
Ecosystem processes: physical, chemical and biological actions or events that link organisms
and their environment.
Exposure: The presence of people, livelihoods, species or ecosystems, environmental
functions, services, and resources, infrastructure, or economic, social, or cultural assets inplaces and settings that could be adversely affected
Gender: refers to the socially constructed roles, behaviors, activities and attributes that a given
society considers appropriate for men and women, whereas sex refers to the biological andphysiological characteristics that define men and womenMitigation: an anthropogenic (man-made) intervention to reduce the source of greenhousegasses or enhance their sinks
Modeling: simulation of climate behavior and how elements (species distribution, crop
production, wave dynamics) may change based on how climate may change

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions36

Outcomes of EbA intervention: The effects or changes to ecological or social systems that
result from intervention
Outputs of EbA intervention: Products or events produced by an activity
Participation: a process through which all members of a community or organization are
involved in and have influence on decisions related to development activities that will affectthem
Project: set of activities that include, but are not limited to, the EbA intervention.
Resilience: the amount of change the system can undergo and still retain the same control infunction and structure; the degree a system is capable of self-organizing; the ability to build
increased capability for learning and adaptation
Sensitivity analysis: a method to determine the robustness of an assessment by examining
the extent to which results are affected by changes in methods, models, values of unmeasured
variables, or assumptions
Sensitivity: The degree to which a system or species is affected, either adversely or
beneficially, by climate variability or change. The effect may be direct (e.g., a change in crop
yield in response to a change in the mean, range, or variability of temperature) or indirect (e.g.,
damages caused by an increase in the frequency of coastal flooding due to sea level rise).
Target population: the population under a type of livelihood (fisherman, farmers, indigenous
communities
Theory of Change: specific and measurable conceptual model of the goals, interventions,assumptions, and outcomes of a project that forms the basis for strategicplanning, on-going decision-making, monitoring and evaluation
Vulnerability: the degree to which human and environment systems are likely to experienceharm due to perturbation or stress

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

37

REFERENCES
Africa Climate change resilience alliance. 2010. Local adaptive capacity framework.
Bourne, A, P. deAbreu, C. Donatti, S. Scorgie, and S. Holness. 2015. A Climate Change
Vulnerability Assessment for the Namakwa District, South Africa: The 2015 revision.
Conservation South Africa, Cape Town.
CBD. 2009. Connecting biodiversity and climate change mitigation and adaptation. Report of thesecond ad Hoc Technical Expert Group and Climate Change. CBD Technical series No. 41.
Secretariat of the convention on Biological Diversity.
CBD. 2018. Voluntary guidelines for the design and effective implementation of Ecosystembased approaches to climate change adaptation and disaster risk reduction. 18 p.
CARE International 2009. Climate vulnerability and capacity analysis. 43 p.
Cogswell N., Veiga H., Li X. 2015. Assessing and mapping coastal vulnerability in order to scale
up ecosystem-based adaptation in the Philippines. Washington DC, USA. 77p.
Conservation International 2013. Constructing theories of change for ecosystem-based
adaptation projects. Conservation International. Arlington VA, USA. 20 p
Donatti C.I., Andrade A., Burke L., Chhetri N., Cook J., Fedele G., Friedrich C., Goldstein A.,
Harvey C.A., Hole D., Kontorov A., Leiter T., Mack S., Menazza S., Ndiaye D., Panfil S., Ries F.,
Rizvi A.R. & Schurman H. 2016. Measuring the adaptation outcomes of Ecosystem-based
adaptation. Conservation International. Arlington VA, USA.
Donatti, C.I., Harvey C.A., Hole D., Panfil S., Schurman H. in prep. Measuring the adaptation
outcomes of Ecosystem-based adaptation.
FAO. 2013. Self evaluation and holistic assessment of climate resilience of farmers andpastoralists (SHARP) tool.
FAO 2013. Climate smart agriculture sourcebook.
GIZ 2004. The vulnerability sourcebook. Concepts and guidelines for standardized vulnerability
assessmens. Bonn, Germany. 177p.
Holland, M.B., Shamer, S.Z., Imbach, P., Zamora, J.C., Moreno, C.M., Hidalgo, E.J.L., Donatti,
C.I., Martínez-Rodríguez, M.R., and Harvey, C.A. (2017). Mapping adaptive capacity andsmallholder agriculture: applying expert knowledge at the landscape scale. Climatic
Change Doi:10.1007/s10584-016-1810-2
IISD 2012. Crystal food security.

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

38

Luers, A., Lobell, D., Sklar, L.S., Addams, C.L., Matson, P.M., 2003. A method for quantifying
vulnerability, applied to the Yaqui Valley, Mexico. Global Environmental Change 13, 255–267
Tearfund. 2011. Climate change and environmental degradation risk and adaptationassessment.
UNDP. 2014. SELPS. Indicators of Resilience in Socio-ecological Production Landscapes andSeascapes
UNDP. 2017. Community-based resilience analysis (CoBRA). Implementation guidelines. Version
2. New York, USA. 35 p.
Viguera, B., R. M. Martínez-Rodríguez, F. Alpizar y C.A. Harvey. 2018. Adaptación basada en
Ecosistemas como una opción de adaptación de la agricultura al cambio climático enCentroamérica. Policy Brief. Centro Agronómico Tropical de Investigación y Enseñanza (CATIE)& Conservación Internacional (CI). Turrialba, Costa Rica. 6 pp
WPF. 2014. Consolidated approach for reporting indicators of food security.

ACKNOWLEDGEMENTS
This work was supported by a grant from the Conservation International’s climate strategy.
Special thanks to Luciano Andriamaro, Michelle Andrianarisata, Jennifer Howard, Alex Zvoleff,
Renata Pereira, Atsuko Nishikawa, Erin Beasley, Shyla Rhagav and Martha Zeymo for kindly
reviewing and providing comments and suggestion in this document.

HOW TO CITE THIS WORK:
Donatti, C.I., Martinez-Rodriguez, M.R., Fedele, G., Harvey, C.A., Scorgie, S., Andrade, A., Rose,C., Alam, Mahbub. 2018. Guidelines for designing, implementing and monitoring ecosystembased adaptation interventions. Conservation International.

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

39

Guidelines for Designing, Implementing and Monitoring Ecosystem-Based Adaptation Interventions

40