COMMISSION STAFF WORKING DOCUMENT Principles and recommendations for integrating climate change adaptation considerations under the 2014-2020 rural development programmes Accompanying the document COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL COMMITTEE AND THE COMMITTEE OF THE REGIONS An EU Strategy on adaptation to climate change
Date: 2013-04-16
Institutions: European Commission
Subjects: EAFRD, adaptation to climate change, common strategy, economic instrument for the environment, joint implementation, public awareness campaign, sustainable agriculture, sustainable forest management

EUROPEAN 
COMMISSION 

Brussels, 16.4.2013  
SWD(2013) 139 final 

COMMISSION STAFF WORKING DOCUMENT 

Principles and recommendations for integrating climate change adaptation 
considerations under the 2014-2020 rural development programmes1 

Accompanying the document 

COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN 
PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL 
COMMITTEE AND THE COMMITTEE OF THE REGIONS 

An EU Strategy on adaptation to climate change 

{COM(2013) 216 final} 
{SWD(2013) 131 final} 
{SWD(2013) 132 final} 
{SWD(2013) 133 final} 
{SWD(2013) 134 final} 
{SWD(2013) 135 final} 
{SWD(2013) 136 final} 
{SWD(2013) 137 final} 
{SWD(2013) 138 final} 

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DISCLAIMER: This document must not being regarded as an official guide from the Commission. The 
document has been finalised before the adoption of legal acts concerning the CAP for the period 2014-
2020. Therefore, some of the provisions referred to may change in the final regulations adopted by the 
Council and the European Parliament. 

EN 

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COMMISSION STAFF WORKING DOCUMENT 

Principles and recommendations for integrating climate change adaptation 
considerations under the 2014-2020 rural development programmes1 

Accompanying the document 

COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN 
PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL 
COMMITTEE AND THE COMMITTEE OF THE REGIONS 

An EU Strategy on adaptation to climate change 

1 

DISCLAIMER:  This  document  must  not  being  regarded  as  an  official  guide  from  the  Commission. 
The document has been finalised before the adoption of legal acts concerning the CAP for the period 
2014-2020. Therefore, some of the provisions referred to may change in the final regulations adopted 
by the Council and the European Parliament. 

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Summary __________________________________________________________________ 4 

1. 

Introduction ____________________________________________________________ 7 

1.1. 

1.2. 

Context ____________________________________________________________ 7 

Objectives __________________________________________________________ 7 

2. 

Integrating climate adaptation into the CAP ___________________________________ 8 

2.1. 

2.2. 

The current CAP reform proposals _______________________________________ 8 

Entry points for climate adaptation _______________________________________ 9 

3.  Principles to guide development and implementation of 2014-2020 Rural Development 

Programmes to meet adaptation objectives________________________________ 12 

3.1. 

Cross cutting principles and approaches __________________________________ 12 

3.1.1.  Partnership_________________________________________________________ 12 

3.1.2.  Networks __________________________________________________________ 12 

3.1.3.  Research and information on climate change vulnerabilities, risks and responses__ 13 

3.2. 

Partnership agreements _______________________________________________ 14 

3.2.1.  Description ________________________________________________________ 14 

3.2.2.  Key opportunities for integrating adaptation ______________________________ 14 

3.3. 

Development of RDPs________________________________________________ 15 

3.3.1.  Description ________________________________________________________ 15 

3.3.2.  Key opportunities for integrating adaptation ______________________________ 15 

3.4. 

Implementation _____________________________________________________ 20 

3.4.1.  Description ________________________________________________________ 20 

3.4.2.  Key opportunities for integrating adaptation ______________________________ 20 

3.5. 

Monitoring and evaluation ____________________________________________ 21 

3.5.1.  Description ________________________________________________________ 21 

3.5.2.  Key opportunities for integrating adaptation ______________________________ 21 

4.  Annex _______________________________________________________________ 23 

4.1. 

4.2. 

Ex-ante conditionalities related to adaptation priorities ______________________ 23 

Examples of EAFRD measures and their potential for adaptation ______________ 24 

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Summary 

Setting the context 

As to the rural development policy for the period 2014-2020, the Commission has proposed central novel 
elements which give opportunities to optimally address climate action on adaptation and mitigation through 
the rural development programmes. The novel elements refer to: 

•  clear  policy  objectives  that  shall  be  pursued  through  the  six  Union  priorities  for  rural 

development, among which two refer to climate action (Priorities 4 and 5), 

•  cross-cutting  objectives  like  innovation,  environment  and  climate  change  mitigation  and 
adaptation  to  be  pursued  horizontally  through  all  the  measures  of  the  rural  development 
programmes (RDP) 

• 

increased  flexibility  in  designing  the  programmes  which  means  that  the  measures  can  be 
programmed in relation to several priorities and focus areas 

•  an increased performance orientation of EAFRD based on macro-economic conditionality, ex-

ante conditionality and on a performance review system, 

•  result orientation of the programmes - setting targets by focus areas that are linked to the EU's 

rural development priorities 

What to do at the Programming Stage 

For  the  period  2014-2020,  programming  encompasses  development  of  a  Partnership 
Agreement  setting  binding  terms  between  the  Member  State  and  the  Commission,  and  Rural 
development Programmes. Key points to bear in mind when developing these documents: 

•  Partnership Agreements entail obligations for Member States and are a good opportunity 
to  ‘lock-in’  consideration  of  climate  change  adaptation  throughout  the  process.  Since  they 
need  to  be  developed  in  full  consultation  with  all  relevant  government  departments  and 
stakeholders, climate experts should be involved in their development; 

•  Climate  adaptation  (and  mitigation)  features  as  a  horizontal  issue  that  must  be  taken  into 
account in the development of RDP and Partnership Agreements (Article 8 of common rules 
regulation proposal). RDPs must explain how they address this and the other cross-cutting 
objectives of rural development through the six Union priorities of the policy (Article 5 of 
EAFRD proposal); 

•  Spending  programmes  should  be  driven  by  rural  and  sectoral  strategies  already  in  place2, 
including national or regional adaptation strategies. The country page on Climate-ADAPT3 
platform provides up-to-date information on adaptation policies in each Member State;  
•  The development of eligibility criteria for measures/ schemes can help cover compliance 
with adaptation strategies, consideration of impacts and how to address them. This can help 
to  ensure  that  funding  is  not  provided  for  activities  that  could  exacerbate  the  negative 
impacts of climate change. 

Key actions to incorporate adaptation in the RDP's strategic objectives  

•  Assemble  and/or  develop  a  robust  evidence  base  on  expected  climate  impacts  and  how 
these can affect agriculture and forestry. Where uncertainties remain, this is no good reason 
for inaction as the cost of inaction may be greater. This can be assessed on a case by case 
basis; 

•  Gather information from a range of sources, combining formal research with feedback from 

land managers and other actors and stakeholders who have practical experience; 

•  On the basis of the evidence base, articulate clearly what is needed to be achieved by 2020 

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For  example  National  Forest  Strategies  or  Programmes  usually  already  involves  climate  change 
adaptation related strategies based on the Helsinki 1993 H.4. resolution 
http://climate-adapt.eea.europa.eu/web/guest/countries  

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to increase the resilience of agriculture, forests and rural areas, and where it is appropriate to 
make use of public support through the European Agricultural Fund for Rural Development 
(EAFRD). 

Key actions when developing priorities and measures for RDPs 

•  Ensure that the information collected at the previous stage is fed into a needs' assessment 

by priority in the SWOT, in particular for priorities 4 and 5;  

•  Identify  the  measures  available  under  the  EAFRD  that  can  be  used  to  deliver  these 

priorities; 

•  Identify  the  multiple  benefits  that  can  be  achieved  through  the  measures  identified  to 
respond  to  climate  adaptation  needs,  for  example  economic,  social  and  environmental 
benefits; 

•  Identify  activities  that  are  not  deemed  appropriate  for  funding  because  they  would  act 

counter to climate adaptation needs; 

•  Identify  safeguards  that  need  to  be  put  in  place  to  ensure  that  all  supported  activities  are 

resilient to climate change 

•  Design  measures  sufficiently  flexible  to  allow  adjustments  reflecting  evolving  predictions 

about climatic changes over time;  

•  Ensure coherence with other elements of the CAP, such as cross compliance, greening and 

farm advisory service. 

What to do at the Programme Implementation Stage 
The  overall  goal  is  to  create  the  necessary  conditions  for  applications  so  that  the  award  of 
funding  to  project  beneficiaries  and  subsequent  implementation  considers  climate  change 
impacts.  This  can  be  done  by  Managing  Authorities,  with  support  from  environmental 
partners/adaptation experts and involves: 

•  Providing guidance and resources for applicants (web-based, printed); 
•  Ensure that land managers have sufficient knowledge about how climate change impacts 
their  projects.  Formal  advice  and  training  for  project  applicants  can  address  this  needs 
together with effective support to farmers and foresters' networks; 

•  Providing guidance and training for those who provide technical support and advice to land 
managers  and  other  rural  actors  –  in  particular  ensuring  that  those  delivering  the  Farm 
Advisory Service have sufficient expertise in climate adaptation.  

What to do at the Monitoring and Evaluation Stage 

Monitoring and evaluation need to be periodically reviewed so to integrate new information 
about  projected  climate  change  impacts  and  vulnerabilities  throughout  the  lifetime  of  the 
RDPs. Due to its central role in the monitoring process, the Monitoring Committee must include 
sufficient adaptation expertise – through direct membership and also access to required external 
experts. Data and information are the main backbone of monitoring mechanisms.  

•  Successful monitoring requires sound integration of adaptation issues into the indicators 
within  the  Common  Monitoring  and  Evaluation  Framework  (CMEF)  as  well  as  the 
milestones developed at the programming stage; 

•  A  solid  indicator  framework  that  includes  adaptation  (even  where  adaptation  is  not  the 
main  focus  of  expenditure)  and  that  includes  national  indicators  that  go  beyond  those 
prescribed at an EU level, will ensure an effective monitoring of climate resilience; 

•  Good  cooperation  between  Managing  Authorities  and  those  involved  in  providing  the 
data  will  help  to  ensure  the  right  data  can  be  collected.  Where  there  are  gaps  in  data 

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availability, efforts need to be made to fill these at the national level.4  

Guidance for programme evaluators on how best to incorporate climate adaptation into ex ante 
and ex post evaluations of RDPs should be provided. Engagement of climate experts with the EU 
and national Evaluation Expert Network should facilitate this process. 

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See  for 
http://www.eea.europa.eu/publications/climate-impacts-and-vulnerability-2012  

instance  EEA  report  on  climate  change, 

impacts  and  vulnerability 

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in  Europe: 

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1. 

INTRODUCTION  

1.1. 

Context  

The  impacts  of  climate  change  are  becoming  increasingly  evident  for  both  the  land  based 
sectors as well as rural areas more generally. Even though EU agriculture is technologically 
developed,  its  capacity  to  deliver  food  and  to  contribute  to  ecosystem  services  for  the 
European society is directly dependent on climatic conditions. European farmers and foresters 
will need to define their strategies for production, management and investment in face of the 
increasing uncertainty that climatic changes bring about. 

As  farmers  and  foresters  manage  the  majority  of  land  in  the  EU,  the  Common  Agricultural 
Policy  (CAP)  can  play  an  important  role  in  increasing  the  resilience  of  rural  areas  to  the 
effects of climate change and in enabling the agriculture and forestry sectors to develop in a 
way that ensures their long term sustainability in the face of a changing climate. Successfully 
integrating climate change adaptation considerations into the CAP will also bring benefits for 
the  economy  and  society  as  a  whole,  by  ensuring  that  essential  biodiversity  and  ecosystem 
services  dependent  on  land  management  continue  to  thrive  and  that  the  productive  capacity 
and  viability  of  the  land  based  sectors  is  maintained.  Adaptation  planning  can  bring 
opportunities  to build  agricultural  systems with greater resilience  to environmental, climatic 
and economic risks. 

A thorough integration of climate adaptation into all elements of the CAP is required so the 
resilience of agricultural and forestry activities to climatic changes is improved. Also, the EU 
rural  development  policy  has  a role  in  helping  adapting  farmland  and  forests  ecosystems  to 
climate  change  through  for  instance  improving  the  resilience  of  ecosystems  and  the  genetic 
diversity of  crops  and livestock  breeds. The awareness,  skills, know-how  and  motivation  of 
authorities, experts and other stakeholders to consider the ways in which climate change will 
impact  the  ability  of  CAP  to  bring  desired  long-term  sustainable  development  is  a  critical 
issue. This working document helps building such adaptive capacity. It has a particular focus 
on the programming cycle for Rural Development Programmes (RDPs). 
The document relates specifically to the proposed EAFRD5 regulation (COM(2011)627/3). To 
date,  the  CAP  reform  is  not  yet  concluded  and  the  draft  regulations  will  undergo  further 
changes before they are finalised and brought into force in 2014. This will reflect decisions to 
be made about Pillar 1 rules for direct payments6 and in particular the cross compliance and 
greening requirements, as well as developments in EAFRD and related regulations. Many of 
the  details  of  EAFRD  measures  will  be  determined  by  implementing  regulations,  not  yet 
adopted, as well as Commission official guidelines. Although uncertainty remains about the 
detail  of  the  measures,  the  priorities  and  principles  outlined  in  this  document  will  be 
applicable to the final Regulations. 

1.2. 

Objectives 

This  document  is  intended  to  ensure  that  climate  adaptation  objectives  are  embedded  in  the 
design  of  their  2014  –  2020  Rural  Development  Programmes  (RDPs).  It  is  addressed  to 

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It  should  be  noted  that  this  document  has  been  drafted  on  the  basis  of  draft  regulatory  texts.  Formal 
agreement  on  CAP  legislation  is  not  expected  until  2013.  Some  of  the  provisions  referred  to  may 
change in the final regulations adopted by the Council and the European Parliament. 
COM(2011)625/3 

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Managing  Authorities  and  all  stakeholders  involved  in  rural  development  programme 
preparation and consultation, including climate experts and external stakeholders7.  

The  European  Agricultural  Fund  for  Rural  Development  (EAFRD)  provides  an  important 
source of funding for Member States through their RDPs. The document does not attempt to 
describe in detail the whole process of designing an RDP but rather provides advice, methods, 
and examples to ensure that climate adaptation needs and priorities are understood and fully 
integrated into national and regional RDPs for the next programming period. The 2014 – 2020 
programming period will see significant changes to the current period and this document sets 
out adaptation priorities and key principles to guide this process. 

It should be seen as a first attempt to bring to the attention of Member States and stakeholders 
a series of issues identified in the EU Strategy on adaptation to climate change8 with direct 
relevance for the agriculture and forestry sectors.  

Discussions with stakeholders on capacity needs and barriers for effective adaptation showed 
that the cross-sectoral nature of climate change adaptation and the need to integrate it across 
all elements of the CAP is a major challenge for authorities.  

Agricultural  authorities  have  an  important  role  to  play  to  ensure  that  land  management 
activities  and  investments  are  carried  out  sustainably  with  regard  to  the  impacts  of  climate 
change.  At  the  same  time,  environment  or  climate  change  authorities  often  have  the  formal 
responsibility  for  climate  adaptation  issues  within  a  Member  State.  It  will  be  their  task  to 
indicate  to  authorities  and  stakeholders  involved  in  the  design,  implementation  and 
subsequent  evaluation  of  RDPs  how  adaptation  considerations  can  be  effectively  integrated 
into the design and development at the strategic level (Partnership Agreements and RDPs) as 
well as into specific measures. 

2. 

INTEGRATING CLIMATE ADAPTATION INTO THE CAP 

2.1. 

The current CAP reform proposals 

Pillar  1  continues  to  be  focussed  on  the  provision  of  income  support  to  farmers  through 
decoupled payments. For the 2014-2020, it is proposed that 30 per cent of the Pillar 1 national 
ceilings will be allocated to farmers for carrying out compulsory ‘green’ measures. The most 
important  of  these  is  the  proposal  to  allocate  30  per  cent  of  Pillar  1  national  ceilings  to  a 
‘greening  payment’.  To  receive  this  greening  payment,  farmers  will  be  required  to  follow 
requirements for crop diversification on arable land, maintenance of permanent grassland, and 
the  maintenance  of  seven  per  cent  of  the  eligible  area  of  arable  and  permanent  crops  as, 
Ecological  Focus  Areas  (EFA).  An  important  aspect  in  this  context  is  that  the  scope  of  the 
Farm Advisory System (FAS) is proposed to be expanded to cover climate-related issues. The 
FAS  can  potentially  help  building  adaptive  capacity  of  farmers  by  bringing  to  them  the 
necessary  knowledge.  Member  States,  under  certain  conditions,  can  transfer  a  proportion  of 
the Pillar 1 national ceiling to Pillar 2, which can be used for targeted and regional-specific 
expenditure for climate adaptation. 

Pillar 2 – the so-called rural development policy – offers the main opportunities to ensure that 
national,  regional  or  local  adaptation  needs  are  fully  integrated  into  the  programmes  of 
expenditure for 2014-2020. The EAFRD measures will be implemented at farm level in the 
context of the significant and interrelated proposed changes to Pillar 1.  

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8 

DG  AGRI  will  be  providing  guidance  for  rural  development  programming  with  several  working 
documents covering different issues. 
COM(2013)216 

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The  addition  of  the  term  "climate"  to  the  current  agri-environment  measure  is  a  significant 
change,  signalling  a  commitment  to  support  for  agricultural  and  forestry  management 
practices contributing towards climate change adaptation and mitigation, which may become 
even more significant if the EU adopts rules for accounting for emissions from land use, land 
use change and forestry9. 

The  receipt  of  Pillar  1  payments  as  well  as  agricultural  land  management  measures  under 
Pillar 2 is conditional on compliance with ‘Statutory Management Requirements’ (elements of 
EU  legislation  that  apply  at  the  farm  level)  and  standards  of  Good  Agricultural  and 
Environmental  Condition  (GAEC).  These  cross-compliance  requirements  must  be  met  by 
farmers  at  their  own  cost.  The  GAEC  standards  are  defined  by  Member  States  within  the 
context of an overarching framework10. As such there is some room to influence their specific 
design to increase the climate resilience of agricultural land.   

Two  new  GAEC  related  to  climate  change  have  been  proposed  for  the  forthcoming  period. 
These  relate  to  the  maintenance  of  soil  organic  matter  and  the  cultivation  of  organic  soils. 
Measures  going  further  than  the  compulsory  GAEC  can  be  looked  at  in  detail  during  the 
programming phase. 

2.2. 

Entry points for climate adaptation 

Climate  adaptation  is  not  a  new  priority  for  the  CAP,  although  to  date  it  has  mainly  be 
addressed  by  reference  to  specific  environmental  priorities,  such  as  dealing  with  water 
scarcity.  In the proposed regulations for the CAP 2014-2020, adaptation has gained greater 
prominence, with ‘the sustainable use of natural resources and climate action’ one of the three 
core  objectives  of  the  CAP.    ‘Promoting  resource  efficiency  and  supporting  the  shift 
towards  a  low  carbon  and  climate  resilient  economy  in  agriculture,  food  and  forestry 
sectors…’  has  been  set  out  as  one  of  the  six  Union  priorities  for  rural  development  policy. 
Actions to address climate adaptation impacts will count as part of the proposed 20 % target 
for overall budget spending on climate change. 
More  generally,  the  proposal  for  the  Common  Provisions  Regulation  (CPR)11  stipulates,  in 
article 8 on Sustainable Development, that climate change mitigation and adaptation shall be 
promoted in the preparation and implementation of Partnership Agreements and programmes 
for  five  European  funds.  This  Regulation  defines  eleven  thematic  objectives  including:  (4) 
supporting  the  shift  towards  a  low-carbon  economy  in  all  sectors  and  (5)  promoting 
climate  change  adaptation,  risk  prevention  and  management.  Hence,  the  overall 
framework  for  the  five  funds  includes  climate  change  mitigation  and  adaptation.  Member 
States  shall  provide  information  on  the  support  for  climate  change  objectives  using  the 
methodology adopted by the Commission. 

More targeted objectives can also help achieve more climate resilience in rural areas. Within 
rural development, there are six priorities which relate to the thematic objectives. Particularly 
relevant for adaptation are priority 4 - Restoring, preserving and enhancing ecosystems – and 
priority  5  -  Promoting  resource  efficiency  and  transition  to  a  low  carbon  economy.  The 

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Proposal for a Decision of the European Parliament and of the Council on accounting rules and action 
plans on greenhouse gas emissions and removals resulting from activities related to land use, land use 
change and forestry (COM(2012)0093. 
The  framework  for  cross  compliance  is  set  out  in  Article  93  and  Annex  II  of  the  Proposals  for  the 
regulation  for  the  financing,  management  and  monitoring  of  the  common  agricultural  policy  (COM 
(2011) 628/3) 
This  covers  five  funds:  the  European  Regional  Development  Fund  (ERDF);  the  Cohesion  Fund;  the 
European  Social  Fund  (ESF);  the  European  Agricultural Rural Development  Fund  (EAFRD);  and  the 
European Maritime and Fisheries Fund (EMFF) 

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proposals for the rural development policy provide a greater emphasis on climate adaptation 
by  also  stating  that  ‘all  priorities  shall  contribute  to  the  cross-cutting  objectives  of  (…) 
climate  change…  adaptation’12.  Although  not  legally  binding,  it  is  suggested  that  Member 
States  spend  at  least  25%  of  their  EAFRD  contribution  (i.e.  not  including  national  co-
financing) for  ‘climate change mitigation  and  adaptation and land management, through the 
agri-environment-climate,  organic  farming  and  payments  to  areas  facing  natural  or  other 
specific constraints’13.  

Many measures will be relevant to tackle adaptation and most of them are closely related to 
improving resource efficiency and the natural environment in which agriculture takes place. 
The way these measures are designed in RDPs will determine its potential. Member States 
will  be  expected  to  set  out  RDPs  showing  how  they  will  use  the  measures  available  to 
pursue adaptation within their specific national or regional contexts.  

This  document  highlights  the  opportunities  in  the  proposed  regulations  for  integrating 
adaptation priorities into RDPs and schemes/measures in each Member State and/or region. 
It  should  help  ensure  that  broad  EU  objectives  are  translated  into  practice  at  national, 
regional, and local level.  

12 
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Article 5 of COM(2011) 627 final 
recital 28 of COM(2011) 627 final2 

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Planned farm-level adaptations 

Farm-level adaptive measures range from technological solutions to adjustments in farm management 
or structures. The speed and scale of the changes, particularly in certain parts of the EU, will require 
on-going short-term autonomous farm adaptation to be completed by adaptive actions in the form of 
technological and structural changes. This will require planned strategies based on analysis of local and 
regional conditions. Constant evolution of crop patterns, farm management practices and land use are 
observed  across  the  EU,  partly  in  response  to  climatic  variation.  Such  farm-level  adaptations  aim  at
increasing  productivity  and  dealing  with  existing  climatic  conditions,  and  draw  on  farmers'  current 
knowledge and experience. Over the next years, adaptation may need to go beyond mere adjustments 
of current practice. Possible short to medium term adaptive solutions include: 

(cid:131)  Adjusting the timing of farm operations, such as planting or sowing dates and treatments; 

(cid:131)  Technical solutions, such as protecting orchards from frost damage or improving ventilation and 

cooling systems in animal shelters; 

(cid:131)  Choosing  crops  and  varieties  better  adapted  to  the  expected  length  of  the  growing  season  and 

water availability, and more resistant to new conditions of temperature and humidity; 

(cid:131) 

Improving the effectiveness of pest and disease control through for instance better monitoring, 
diversified crop rotations, or integrated pest management methods; 

(cid:131)  Using  water  more  efficiently  by  reducing  water  losses,  improving  irrigation  practices,  and 

recycling or storing water; 

(cid:131) 

(cid:131) 

Improving  soil  management  by  increasing  water  retention  to  conserve  soil  moisture,  and 
landscape management, such as maintaining landscape features providing shelter to livestock; 

Introducing more heat-tolerant livestock breeds and adapting diet patterns of animals under heat 
stress conditions. 

(cid:131)  Foresee use of risk management instruments (such as insurances) to cope with economic effects 

of extreme events. 

Individually or in combination these solutions have substantial potential to counterbalance adverse 
climatic  changes  and  to  take  advantage  of  positive  ones.  Many  of  these  adaptation  options  can  be 
implemented by farmers today or in the near future, provided that they have sufficient knowledge 
and  guidelines.  However,  climate  risks  are  only  one  aspect  influencing  farmers'  decisions,  which 
involve  many  other  socio-economic  and  market  considerations.  Coping  with  the  increasing  climatic 
variability could be more difficult than adjusting to gradual changes in mean climatic variables. This 
may require greater attention to ensuring stability and resilience of agricultural production and farm 
incomes  in  vulnerable  regions.  Diversifying  farm  activities  and  income  sources,  with  fundamental 
changes in farm structures and in some cases, additional investments, may become necessary. 

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3. 

PRINCIPLES TO GUIDE DEVELOPMENT AND IMPLEMENTATION OF 2014-2020 RURAL 
DEVELOPMENT PROGRAMMES TO MEET ADAPTATION OBJECTIVES  

Deciding what to support and how to fund it – based on a strategic evaluation of challenges, 
priority needs, desired outcomes and funding rules and requirements - is the first major step in 
the  process  of  implementing  rural  development  policy  to  the  national  or  regional  situation. 
For the upcoming 2014-2020 period, programming will consist of RDPs, linked closely with 
the  ex-ante  evaluation,  and  Partnership  Agreements  (PA)  (covering  not  just  rural 
development policy, but also other European Funds).  

These  documents  lay  the  ground  for  funding  over  the  next  seven  years  and  it  is  therefore 
critical  that  they  consider  climate  impacts,  direct  funding  opportunities  for  adaptation  and 
adaptation-related  investments  to  improve  the  resilience  of  agriculture  and  forestry  sectors 
and overall rural areas.  

Following sections go through all steps of RDPs process and highlight a series of principles to 
guide the use of EAFRD funding and the development of RDPs to deliver on adaptation. 

3.1. 

Cross cutting principles and approaches 

Mainstreaming  a  cross-cutting  objective  like  climate  change  adaptation  within  rural 
development  requires  concerted  efforts  on  many  fronts.  These  cross-cutting  issues  and 
approaches lay out in this section are relevant across all stages of the RDPs cycle. 

3.1.1.  Partnership  

The  partnership  principle  is  already  embedded  in  rural  development  policy,  with  a 
requirement  on  Member  States  and  regions  to  involve  relevant  social,  economic  and  other 
appropriate  institution  (including  environmental  organisations)  in  all  aspects  of  the 
preparation,  implementation,  monitoring  and  evaluation  of  RDPs.  The  proposed  Common 
Provisions Regulation for 2014-2020 requires that ‘partners’ shall be involved at each stage of 
the programme cycle and shall be members of the monitoring committee.  

issues 

like  climate  change  adaptation, 

For  cross-sectoral 
that 
environmental/climate authorities and experts are closely involved in the design as well as the 
subsequent  implementation  and  monitoring  and  evaluation  of  RDPs  and  measures.  The 
advice  presented  in  this  document  relies  heavily  on  this  right,  and  encourages 
adaptation experts to take advantage of it to the greatest extent possible. 

is  essential 

it 

3.1.2.  Networks 

Since  2007,  there  is  a  requirement  for  each  Member  State  to  set  up  a  National  Rural 
Network (NRN), bringing together all stakeholders involved in rural development. It aims to 
facilitate  the  exchange  of  expertise  and  know-how  and  to  identify  transferable  practices.  
These networks are  now operating in  all Member States and a European  Network  for Rural 
Development provides a ‘Contact Point’14 or a hub for all the NRNs to come together to share 
knowledge,  facilitate  information  exchange  and  cooperation  across  Europe.  These  networks 
remain  a  priority  in  the  proposals  for  2014-2020  and  climate  experts  are  encouraged  to 
engage  with  their  NRNs.  This  can,  inter  alia,  encourage  the  sharing  of  information  and 
expertise on how to address climate adaptation needs in RDPs, for example considering the 
types of options and approaches used that have proved most effective.   

14 

http://enrd.ec.europa.eu/ 

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The  new  European  Innovation  Partnership  (EIP)  for  Agricultural  Productivity  and 
Sustainability  will  be  implemented  through  actions  that  are  mainly  supported  by  the  rural 
development and the research and innovation policies. For rural development, this will entail 
funding  the  setting-up  and  management  of  an  EIP  network  at  the  EU  level  and  innovative 
actions,  including  the  establishment  and  operation  of  ‘Operational  Groups’  (Art.  36,  Co-
operation)  The  latter  will  be  set  up  by  ‘interested  actors’  connected  to  the  agricultural  and 
food sector (e.g. farmers, advisors, researchers, businesses) to develop innovative projects to 
enhance productivity and sustainable resource management. The objectives of the agricultural 
EIP  specifically  include  promoting  a  climate  friendly  and  resilient  agriculture  and 
improving processes to preserve the environment, adapt to climate change and mitigate 
it. 

This  novel  initiative  offers  significant  opportunities  to  integrate  climate  adaptation  into  the 
projects  that  the  operational  groups  will  carry  out.    Climate  experts,  therefore,  are 
encouraged to engage with the EIP processes that are taking place at the national/regional 
level to embed climate adaptation thinking into the design of the projects to be carried out by 
the  Operational  Groups,  particularly  to  help  develop  new  technologies  and  strategies  for 
adaptation in relation to agriculture.   

The  European  Evaluation  Network  for  Rural  Development  (otherwise  known  as  the 
Evaluation  Expert  Network)  is  another  network  with  which  it  will  be  important  to  engage.  
The aim of this network, which has been in place since 2007, is to support the evaluation of 
RDPs and to facilitate the networking of those involved in evaluation activities.  The current 
network provides guidance materials for evaluators on how to carry out evaluations of RDPs 
as well as supporting the development of indicators (see Monitoring and Evaluation section 
below).  By engaging with this network, both directly and via Member States' representatives 
on the Evaluation Expert Committee, adaptation experts can help to direct the focus of its 
activities and encourage the prioritisation of work on methods for capturing the impacts 
of RDPs in relation to climate adaptation. 

3.1.3.  Research and information on climate change vulnerabilities, risks and responses 

Climate  change  adaptation  is  a  research  field  which  is  constantly  evolving.  The  period 
between now and 2020 will bring new understanding of specific and more localized climate 
threats,  their  impacts  and  associated  damages.  There  will  also  be  new  technical  options  for 
adapting to these climate change impacts. Authorities and experts should be able to constantly 
integrate  new  information  into  RDPs,  but  also  at  a  more  operational  level.  Projects  and 
measures  should  be  conceived  in  a  flexible  manner  which  allows  for  adjustments  as  and 
when  new  information  becomes  available.  It  is  worth  investigating  the  degree  to  which  the 
technical  assistance  measure  could  be  used  to  fund  evidence  gathering  and  integration 
activities. 

Where to look for information on climate change impacts and adaptation over Europe? 

The  European  Climate  Adaptation  Platform  website  (http://climate-adapt.eea.europa.eu/),  an 
initiative of the European Commission, provides a platform for stakeholders across the EU to share 
information on expected climate change in Europe; current and future vulnerability of regions and 
sectors;  national  and  transnational  adaptation  strategies;  adaptation  case  studies  and  potential 
adaptation options; and tools that support adaptation planning. 

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3.2. 

Partnership agreements 

3.2.1.  Description 

The  Partnership  Agreement  will  summarise  Member  States'  plans  for  using  all  the  CSF 
Funds15  in  a  way  that  is  consistent  with  Europe  2020  Strategy's  objectives.  Partnership 
Agreements  will  entail  obligations  from  Member  States.  It  is  therefore  a  significant 
opportunity to ensure that consideration of climate change impacts across all programmes is 
clearly stated up front in this document.  

Partnership  Agreements  are  to  be  submitted  to  the  Commission  with  the  RDPs,  once  the 
regulations  are  adopted16.  Furthermore,  Partnership  Agreements  have  to  be  prepared  in 
cooperation with partners, including environmental stakeholders. 

3.2.2. 

 Key opportunities for integrating adaptation 

The  task  of  integrating  adaptation  into  the  Partnership  Agreement  must  be  seen  in  relation 
with  the  preparation  of  the  RDPs  and  other  programmes.  The  Partnership  Agreement 
effectively pulls together the content of these programmes in an integrated way, looking for 
synergies and opportunities for achieving key priorities in a combined way wherever possible. 
Adaptation  actions  can  be  complemented  through  different  funds.  There  are,  in  addition,  a 
number  of  unique  opportunities  to  stress  the  importance  of  climate  change  threats  to  the 
programmes, as well as the need for spending on adaptation.  

Financial allocations 

The  20%  target  for  climate  change  mitigation  and  adaptation  for  the  EU  budget  2014-2020 
shall  be  reflected  in  the  Partnership  Agreement,  which  must  include  the  total  indicative 
amount  of  support  foreseen  for  climate  change  objectives.  This  is  important,  as  direct 
financial allocations for adaptation will be reinforced. 

RDPs (and the CAP as a whole) will need to set out the indicative amount of support aimed at 
achieving  climate  change  objectives.  This  is  another  opportunity  to  stress  the  advantages  of 
integrating  adaptation  concerns  across  all  the  programmes.  A  common  methodology  for 
tracking  climate-related  expenditure  is  currently  being  developed.  It  will  be  automatically 
applied to the RDPs (using the indicator plan) to calculate the amount of rural development 
expenditure contributing to climate action (mitigation and adaptation)17. 

Ex-ante conditionalities  

These are legal, policy, institutional and administrative factors which must be in place in each 
Member State or region in order to avoid the risk that the Commission suspends payments. It 
is in the Partnership Agreement that Member States must provide the first assessment of the 
extent to which the conditionalities are fulfilled. For  conditionalities that are not fulfilled at 
the date of the submission, the relevant RDPs must detail actions and a timetable to meet the 
requirements  within  two  years  of  the  adoption  of  the  Partnership  Agreement  (or  by  31 
December 2016 whichever is earlier). 

15 

16 

17 

The  Common  Strategic  Framework  (CSF)  Funds  =  include  the  European  Agriculture  Fund  for  Rural 
Development  (EAFRD)  and  the  future  European  Maritime  and Fisheries  Fund (EMFF) in  addition  to 
the three Cohesion Policy Funds (ERDF, ESF, CF) referenced in the Introduction to this guidance. 
The  Partnership  Agreement  should  be  in  place  by  1  January  2014  but  this  may  be  delayed  if  the 
regulation adoption process extends into the latter part of 2013. 
The tracking of climate expenditure will be based on the assignment of a Rio marker category to each 
budgetary item. The three Rio marker categories are:  0%  -  not  climate  related,  40%  -  significantly 
climate  related,  and  100%  -  targeted  to  climate.  Different  markers  can  be  applied  for  a  same  RD 
measure, depending on the priority(ies) / focus area(s) it is programmed for. 

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For  adaptation,  the  most  important  conditionality  is  related  to  the  thematic  objective  on 
adaptation  and  risk  management  (5).  Thematic  objective  5  has  been  identified  in  the  draft 
regulations as relevant to two EU's priorities for rural development: 

(1) 

(2) 

RD  priority  4:  restoring,  preserving  and  enhancing  ecosystems  dependent  on 
agriculture and forestry; and 

RD priority 5: promoting resource efficiency and supporting the shift towards a low 
carbon  and  climate  resilient  economy  in  the  agriculture  and  food  sectors  and  the 
forestry sector. 

Annex 3.1 provides the details of the conditionalities linked to these RD priorities which are 
relevant  for  climate  adaptation.    In  relation  to  the  risk  assessment  requirement,  where 
integrated  adaptation  strategies  do  not  yet  exist  at  the  national  level,  sectoral  or  regional 
strategies  or  policies  that  consider  adaptation  needs  (for  example  those  for  agriculture, 
forestry, biodiversity, water, soils…) should be taken into account. This will strongly support 
the effectiveness of spending through RDPs.  

Assessment of administrative capacity 

The  Partnership  Agreement  must  address  the  administrative  capacity  of  authorities  and 
beneficiaries  to  ensure  efficient  implementation  of  the  funds.  This  is  an  opportunity  to 
realistically  evaluate  national  capacity  to  integrate  climate  change  adaptation  in  rural 
development  measures  and  investments  and  consider  whether  additional  capacity  building 
activities are needed and how they will be addressed.  

3.3. 

Development of RDPs 

3.3.1.  Description 

The RDPs are the overarching planning tool for expenditure under rural development policy. 
They must set out a strategy for meeting a series of nationally or regionally appropriate targets 
in relation to the Union priorities for rural development. They identify which measures are to 
be  used  to  meet  these  objectives,  based  on  a  SWOT  analysis  (strengths,  weaknesses, 
opportunities and threats) of the situation in the geographical area covered by the programme 
(region or national level). They also include a proposed allocation of the rural development 
budget by measure, a set of indicators for measuring progress towards meeting the targets, 
and the arrangements for programme implementation.  

RDPs  are  subject  to  an  ex-ante  evaluation  to  assess  the  overall  rationale,  consistency  and 
coherence  of  the  programme  and  this  also  includes  a  Strategic  Environmental  Assessment.  
RDPS  must  also  demonstrate  that  Member  States  comply  (or  set  out  a  plan  for  how  they 
intend  to  comply  within  two  years)  with  a  series  of  ‘ex  ante  conditionalities’,  as  described 
above.  

RDPs are submitted to the Commission for review and approval, based on consistency with 
the  Europe  2020  objectives  and  the  regulations  underpinning  rural  development  policy  (the 
EAFRD). A Member State may submit either a single RDP for its entire territory or a set of 
regional programmes.   

3.3.2.  Key opportunities for integrating adaptation 

Situation analysis  

A SWOT (Strengths, Weaknesses, Opportunities and Threats) analysis of the situation in the 
rural area covered by the programme for rural development has to be carried out in order to 
identify and justify the strategic objectives to be addressed within the RDP and the outcomes 
to be achieved.  

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The proposed EU regulations require that needs for climate change adaptation form part of the 
situation analysis, so this is an important opportunity to embed adaptation considerations into 
this  process.  At  a  strategic  level  information  on  climate  threats,  potential  impacts  and 
vulnerabilities relevant to the Member State, region as well as the sectors covered by RDPs 
will  be  essential  to  understand  the  different  ways  in  which  climate  adaptation  needs  to  be 
incorporated into RDPs.   

Essentially, the integration of climate adaptation into RDPs consists of two key elements: 

• 

• 

Consideration  of  how  climate  change  will  impact  the  different  types  of 
supported project/scheme prioritised in the RDP, particularly where this concerns 
infrastructure  that  is  only  renewed  on  a  long-term  basis,  and  what  can  be  done  to 
make them more resilient. 

Considerations of opportunities for direct funding of climate change adaptation 
activities.  Identifying  and  prioritising  dedicated  adaptation  actions  that  fit  together 
with  existing  national  and  regional  adaptation  strategies  or  other  existing  specific 
assessment18.  This  will  enable  the  agricultural  and  forestry  sectors  to  develop  in  a 
way  that  ensures  their  long  term  sustainability  in  the  face  of  climatic  changes  and 
increase the resilience of biodiversity and associated ecosystem services. 

It is important, therefore, to make sure that a sufficiently robust evidence base  is in place. 
Then, it becomes possible to identify the key adaptation priorities for a given region/Member 
State.  In  most  cases,  substantial  research  effort  and  assessments  will  be  necessary  to  gather 
the required information and have it available in time. However, it should be recognized that 
the  evidence  base  will  never  be  perfect  and  that  substantial  uncertainty  exists  regarding 
expected climatic impacts. This may lead to conservative estimates of the impacts of climate 
change being made, but it should not prevent action being prioritised.  

Information  on  climate  impacts  for  the  sectors  covered  by  the  RDPs,  as  well  as  options  to 
address them, can  be derived from a range of sources.19 Academic research  findings can be 
supplemented  by  information  and  feedback  from  land  managers  and  other  actors  or 
stakeholders who have experience with the practicalities of working with a changing climate. 
They  can  highlight  the  areas  where  assistance  is  needed  to  build  the  resilience  of  their 
businesses  to  climate  change  and  have  innovative  ideas  about  how  this  could  be  achieved. 
Taking into account that planned adaptations are at a relative early stage of implementation 
and the existing uncertainties, it is advisable that the planned interventions are based not just 
on  perceived  needs  but  also  on  evidence  that  the  supported  practice/scheme/investment  has 
proved to be successful in achieving the desired outcome. 

Priorities and measures  

18 

19 

As  of  January  2013,  15  Member  States  have  adopted  a  national  adaptation  Strategy.  In  addition,  20 
Member States have considered the interactions between climate change impacts and agriculture. This 
information  must  be  used  to  identify  the  adaptation  funding  priorities  under  the  Rural  Development 
Programmes.  (Source:  EEA  report  on  adaptation  (2013,  forthcoming).  Additional  information  on 
climate  change  adaptation  and  agriculture  at  Member  State  level  can  be  found  in  http://climate-
adapt.eea.europa.eu/countries  
In  particular,  a  brief  summary  of  the  available  evidence  on  the  climate  threats  and  likely  impacts  of 
climate change for the agriculture and forestry sectors and on biodiversity has been compiled as part of 
the  "Methodologies  for  climate  proofing  investments  and  measures  under  the  Common  Agricultural 
Policy  and  the  Cohesion  and  Regional  policy"  project.  It  also  provides  a  list  of  adaptation  options, 
which can be used to identify concrete measures to be funded via RDPs. The results of the study are 
available at http://ec.europa.eu/clima/policies/adaptation   

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As part of the Establishing which measures, or combinations of measures are used to deliver 
the  priorities  and  outcomes  identified  through  the  situation  analysis  is  one  of  the  most 
important  parts  of  the  programming  process  as  this  specifies  what  gets  funded  in  practice. 
Experience  from  current  programmes  has  shown  that  even  if  an  issue  is  identified  as 
important  in  the  SWOT  analysis,  it  still  may  not  be  well  reflected  in  the  funding  priorities. 
Hence,  making  sure  that  climate  adaptation  considerations  are  part  of  the  decision  making 
process  for  determining  the  choice  and  focus  of  measures  is  essential.  Member  States  may 
decide  to  deliver  some  of  the  needs  relating  to  climate  adaptation  via  other  means,  such  as 
through national measures.  If so, it is important to highlight this in the RDP to demonstrate 
that the priorities are being met. 

First, the types of actions (or technical options) that need funding to improve the resilience of 
rural areas, agriculture, forestry and biodiversity should be identified.  This should be based 
on  results  of  the  situation  analysis.  Ideally  a  cost  benefit  analysis  should  be  carried  out20. 
Once  these  actions  have  been  determined,  the  measures  available  within  the  EU  rural 
development regulations that can be used to deliver these actions need to be identified.   

One of the principles underpinning the rationale behind many rural development measures is 
that they should aim to deliver multiple objectives, and that they should be clearly designed 
to  achieve  the  priority/focus  area  they  are  programmed  for.    This  principle  needs  to  be 
kept  in  mind  for  those  actions/technical  options  identified  as  important  for  improving 
resilience to climate change: the other co-benefits should be highlighted. However, conflicts 
of objectives may occur. Where this is foreseen, these should be highlighted and processes put 
in  place  for  deciding  what  trade-offs  are  acceptable.  Whatever  process  is  decided  upon,  it 
should be transparent and clearly explained in the RDP, using notably the indicator plan. 

A selection of examples of the types of options and the measures which might be used to fund 
them are set out in Annex 3.2.21  

Moreover,  adaptation  considerations  could  be  considered  in  more  specific  instances  by 
developing  additional  sup-programmes,  for  instance  on  adaptation  and  water  scarcity,  or  by 
developing  adaptation  schemes  under  the  European  Association  of  Mutual  Guarantee 
Societies. 

Safeguards should be put in place for specific measures, where appropriate and feasible, to 
ensure  that  expenditure  takes  account  of  likely  climate  impacts.  Adaptation  "proofing"  of 
all measures would ensure that there are no undesirable perverse effects. Some may already 
have  been  established  in  the  EU  implementing  regulations  and  simply  need  to  be  translated 
into  national  rules,  whereas  others  may  need  to  be  adopted  to  address  the  local  situation.  
Potential examples include: 

• 

• 

• 

20 

21 

Defined  minimum  water  efficiency  savings  for  any  investments  in  irrigation  (the 
current proposals include such a safeguard);  

Ensuring that activities will increase the resilience of ecosystems, habitats and their 
associated  species  populations  to  climate  change  and/or  facilitate  the  movement  of 
species (and habitats) to new areas with suitable climatic conditions 

Rules  for  afforestation  to  ensure  that  the  species  composition  of  new  planting  are 
suited to the likely future climate that they will face over their lifetime; 

The  final  report  of  the  "Methodologies  for  climate  proofing  investments  and  measures  under  the 
Common Agricultural Policy and the Cohesion and Regional policy" project includes some suggestions. 
Examples  of measures undertaken  under  the  current  RDPs  as well  as  potential  adaptation options  are 
also mentioned in the final report referred to above.  

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• 

• 

Demonstration  that  investments  in  infrastructure    are  resilient  to  future  climate 
change and do not lead to increased GHG emissions; 

Eligibility  for  payments  for  risk  management,  insurance  schemes  and  mutual  funds 
linked to a business plan demonstrating that climate adaptation considerations have 
been taken into account in the future planning of business operations. 

It is also important to identify activities that should not be prioritised when their effectiveness 
would  be  negatively  affected  by  the  impacts  of  climate  change.    This  might  include,  for 
example,  investments  or  projects  that  would  lead  to  increasing  the  overall  volume  of  water 
used in drought-prone areas or to increase the risk to flooding.   

Finally,  care  should  be  taken  to  ensure  that  the  measures  and  activities chosen  as  a  priority 
within the RDP work in a coherent way with other elements of the CAP, particularly cross-
compliance,  the  new  ‘green  direct  payments’,  and  the  Farm  Advisory  Service  (FAS)  under 
Pillar 1. The two pillars of the CAP have different purposes but it is important that potential 
synergies  between  them  are  used.    In  relation  to  climate  adaptation,  there  are  a  number  of 
relevant  cross-compliance  standards,  such  as  the  new  GAEC  standards  to  maintain  soil 
organic  matter  and  to  protect  wetland  and  carbon  rich  soils.  They  have  the  opportunity  to 
provide an important baseline for more demanding and targeted actions within the RDP.  

Climate  experts  need  to  be  involved  in  the  design  of  all  these  elements  to  ensure 
consistency and complementarity. 

Eligibility Criteria 
The setting of eligibility criteria22 for applicants to schemes/measures is a critical point within 
programming and an important stage for climate change mainstreaming. They should stipulate 
the  conditions  under  which  funding  can  be  awarded  to  applicants  and  one  such  condition 
should  be  the  climate  resilience  of  the  planned  activities.  They  will  be  linked  with  the 
safeguards established during the programming phase (see above). 

The types of activities funded by RDPs are extremely varied. Different types of measures will 
require different eligibility criteria, for example depending on whether expenditure is focused 
on incentivising land management actions, on investments in physical infrastructure or on the 
development of packages of advice and training.  

Possible  eligibility  criteria  related  to  climate  change  adaptation  could  be  (if  considered 
appropriate in a given programme): 

• 

• 

The applicant  must demonstrate understanding of the way in which climate change 
may impact upon the planned activities and demonstrate that a plan for dealing with 
this is in place; 

The  application  should  be  in  line  with  the  national/regional  climate  change 
adaptation strategy or climate change risk analysis (where a strategy is not available). 

Programme Assessment (ex-ante evaluation and SEA)  

The  Common  Provisions  Regulation  (Article  48)  calls  for  an  ex  ante  evaluation  of 
programmes,  which  should  incorporate  a  Strategic  Environmental  Assessment  (SEA)  where 
appropriate. These can be extremely important tools for mainstreaming adaptation.  

Overall,  the  ex-ante  evaluation  examines  consistency  of  the  programme  strategy  with 
funding priorities and the regional situation. For the next programming period, the aim is to 

22  

DG  AGRI  will  develop  a  working  document  on  principles  for  setting  selection  criteria  as  part  of  the 
guidance for programming. 

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enable the ex-ante evaluation to be more fully integrated into the programme design process 
by involving the evaluators from an early stage of programme development23. It is therefore a 
chance for appraisal of the treatment  of  climate  impacts  in  funding  priorities, particularly if 
opportunities were missed during the early programming stages. 

SEA,  with  its  focus  on  environmental  issues,  represents  another  important  opportunity  to 
reflect  upon  how  responsive  the  programme  is  to  climate  change  impacts  that  threaten  its 
objectives, or the adaptation needs of the region or Member State. SEA is of particular value 
for  measures  that  do  not  directly  address  environmental  objectives  –  for  example  those 
focusing on enhancing the competitiveness of the agricultural sector – because it can open the 
door  for  the  input  of  environmental  authorities,  experts  and  stakeholders.  As  a  specifically 
designed  evaluation  process,  it  will  assess  the  programme’s  coherence  with  wider 
environmental  objectives,  including  adaptation.  At  the  same  time,  experience  from  many 
Member States from the 2007 – 2013 period have shown that SEAs were carried out late in 
the programming process, and had relatively little effect on assessing or improving the overall 
impact  of  programmes  on  the  environment.  Careful  attention  is  needed  to  following  good 
practice in carrying out SEAs for RDPs.   

So far, SEA has been designed to assess impacts on the environment, rather than vice-versa – 
e.g. to assess impacts of a changing climate on a programme. Yet, climate change impacts are 
intricately  bound  to  environmental  issues,  in  particular  biodiversity  and  eco-systems. 
Moreover,  DG  Environment’s  guidance  on  integrating  climate  change  and  biodiversity  into 
SEA24  will  provide  good  advice  on  how  climate  change  adaptation  can  be  integrated  into 
SEA.  

Indicators, milestones and performance framework 

In  the  proposed  regulation,  the  monitoring  of  RDPs  will  be  used  for  a  ‘performance 
framework’ designated in the common provisions regulations (Article 19 and Annex I of the 
proposed  Common  Provisions  Regulation).    A  suite  of  indicators  specific  to  the  CAP  as  a 
whole, and rural development policy in particular, are to be established through the Common 
Monitoring  and  Evaluation  Framework  (CMEF).    Moreover,  Member  States  can  add 
indicators relevant to their national/regional situation.  

Where  there  is  direct  spending  on  climate  change  adaptation,  it  will  be  important  to  have 
indicators that effectively illustrate adaptation successes, using notably the output and target 
indicators for the most climate relevant focus areas.  It is an even greater challenge to develop 
indicators  that  assess  indirect  objectives,  such  as  climate  proofing  of  sectoral  investments. 
However, where important adaptation concerns have been successfully inserted into funding 
priorities,  they  should  be  backed  up  with  relevant  indicators.  These  will  be  essential  for 
project preparation, implementation and the programme monitoring and evaluation stages.   

Work  is  already  underway  involving  Managing  Authorities  to  look  at  how  to  develop  such 
indicators.    In  addition,  some  Member  States  are  developing  national  indicators  to  measure 
progress  with  adapting  to  climate  change  in  the  agriculture  and  forestry  sectors,  although 
these are generic indicators rather than related to the impacts of CAP expenditure25. Climate 

23 

24 

25 

by 

the 

Evaluation  Network 

Guidelines for ex ante evaluations within the context of the 2014-2020 programming period are being 
- 
European 
developed 
http://enrd.ec.europa.eu/evaluation/en/ 
Practical  guidance  for  integrating  climate  change  and  biodiversity  into  SEA  procedures,  DG  ENV, 
forthcoming 2012 
See  for  example  indicators  developed  in  Germany 
l/4230.pdf) 
in 
measuring-adapt.pdf) 

  (www.umweltdaten.de/publikationen/fpdf-
the  UK  (http://archive.defra.gov.uk/environment/climate/documents/100219-

Rural  Development 

  or 

for 

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experts should engage with the Member State representatives involved in these discussions at 
EU, national and regional level and encourage the setting up of an expert group at the national 
/ regional level to discuss these issues if these are not already in place26. 

3.4. 

Implementation 

3.4.1.  Description 

There  are  a  number  of  ways  in  which  Managing  Authorities  and  implementing  bodies  can 
support the implementation process and the delivery on adaptation. These include providing 
support,  guidance  and  assistance  to  scheme  applicants  and  beneficiaries,  either  directly  or 
through intermediaries, such as extension services and private advisors. 

3.4.2.  Key opportunities for integrating adaptation 

Assistance and guidance to project applicants 

Embedding  climate  change  adaptation  into  the  RDPs  as  well  as  into  eligibility  criteria  for 
specific schemes/measures provides incentives for potential beneficiaries to react to this when 
applying  for  funding.  However,  knowledge  and  information  barriers  could  prevent 
beneficiaries from seizing such opportunities. Hence, raising awareness and knowledge of the 
potential  applicants  is  needed  to  achieve  effective  uptake  and  implementation  of  adaptive 
measures. This can be resource intensive and costly but can improve outcomes on the long-
term as adaptation actions will be increasingly needed.  

First,  the  relevant  extension  services  and  experts  that  provide  advice  to  scheme  applicants 
must have the necessary knowledge and skills on climate adaptation.  The ways in which land 
managers  and  other  rural  actors  source  advice  is  extremely  varied  and  differs  between 
Member States.  In most cases, a mixture of public funded advice as well as private advisory 
services will be available. It is impossible, therefore, to ensure that all extension services or 
private advisers are suitably familiar with climate adaptation issues.  All Member States are 
required to set up a Farm Advisory Service (FAS), which for 2014-2020 must be extended to 
cover climate adaptation (rather than just cross-compliance as in the past).  

In addition, advice and training in relation to climate adaptation can also be provided directly 
to scheme beneficiaries, by ensuring that written guidance for scheme applicants incorporates 
information  on  climate  adaptation  or  by  providing  funding  for  the  design  and  delivery  of 
bespoke training, seminars and workshops for scheme participants.   

Managing  Authorities  can  support  the  implementation  process  through  assistance  and 
guidance to project applicants via: 

• 

• 

26 

Resources:  Provide  extension  services,  private  advisers  and  potential  scheme 
applicants  with  relevant  technical  resources.  These  can  aim  at  general  awareness-
raising or specific technical information on particular types of land management (i.e. 
how  to  ensure  optimal  outcomes  for  protecting  soil,  conserving  water  etc)  or 
infrastructure  (i.e.  practical  information  on  design).    National  studies,  adaptation 
their 
strategies  and  other 
implementation  will  also  be  valuable.  These  can  be  provided  through  a  dedicated 
space on the website of the Managing Authority and could even be provided as links 
on application forms; 

impacts,  adaptation  options  and 

resources  on 

Training:  Training  sessions,  bringing  together  groups  of  similar  beneficiaries  or 
arranged around a certain theme or sector, can have an important effect on awareness 

Information on progress with discussions at the EU level can be found on the EU Evaluation Network 
for Rural Development’s website: http://enrd.ec.europa.eu/evaluation/en/. 

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20 

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raising and also building technical capacity. Training sessions could also be offered 
to personnel running extension services and private advisers; 

• 

Good  practices:  Provide  examples  of  good  practices  in  integrating  climate  change 
adaptation.  This  can  be  especially  useful  in  sectors  or  areas  where  national  good 
practices are missing.  The ENRD Contact Point project database and the European 
Climate Adaptation Platform are useful starting points for finding such examples. 

Examples of existing advice and guidance 

Seminars, study circles and group consulting (Sweden): Capacity building seminars, study circles 
and  group  consultations  on  adaptation  to  climate  change  are  planned  in  Sweden  to  help  rural 
areas increase awareness about future climate trends, plus required responses. In some parts of 
Sweden there is already a tradition of participating in study circles.  
Such information projects are good examples of how different R DP measures can link to other 
climate change projects at national, regional and local level. Results from many projects can be 
used  to  add  value  to  the  RDP  information  projects.  For  example,  support  for  farm  advisory 
services  and  capacity  building  training  can  help  farmers  identify  climate  action  opportunities 
linked to modernisation and competitiveness investments that may be eligible for funding from 
other  RDP  measures.  The  advisory  services  can  also  build  farmers’  technical  skills  which  will 
benefit  the  quality  of  climate  action  projects  and  enhance  value  for  money  from  improved 
outcomes. 

Factsheets  on  farming  and  climate  change  (UK):  In  England,  the  ‘farming  futures’  website  has 
been developed through the collaboration of a number of farmer organisations and DEFRA (the 
government's  agriculture  and  environment  department)  which  provides  easily  accessible 
information  on  the  opportunities  and  challenges  related  to  climate  change  to  farmers,  land 
managers  and  their  advisors  and  influencers  to  drive  on-farm  climate  change  adaptation  and 
mitigation.   Although  not  linked  specifically  to  rural development funding,  the  series  of 25  fact 
sheets that have been produced to date provide information on available funding opportunities 
that land managers may be able to take advantage of.

3.5.  Monitoring and evaluation 

3.5.1.  Description 

Monitoring and reporting on programme implementation and their outcomes are a challenging 
but  nonetheless  critical  programme  stage.  In  some  countries,  the  lack  of  strategic  policy 
frameworks at the national and/or regional level, coupled with insufficient knowledge base on 
climate impacts can make integration into the monitoring system a challenging task.   

In addition, knowledge is developing at a rapid pace, and will continue to do so through 2020 
and beyond. As a result, important information may become available within the lifetime of 
current  RDPs,  particularly  in  areas  where  research  currently  lags  behind.  This  means  that 
monitoring efforts in relation to climate adaptation need to be under periodic review so that 
new  evidence  can  be  incorporated  into  the  monitoring  and  evaluation  process  during  the 
lifetime of the programme. 

Adaptation  experts  should  be  aware  of  these  challenges  and  be  ready  to  assist  Managing 
Authorities and the programme monitoring committee in tackling these challenges. 

3.5.2.  Key opportunities for integrating adaptation 

Overall,  monitoring,  reporting  and  evaluation  follows  the  overarching  performance 
framework,  with  its  indicators,  milestones  and  targets  as  set  out  in  the  Partnership 

EN 

21 

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Agreement  as  well  as  in  the  Common  Monitoring  and  Evaluation  Framework  (CMEF) 
established  by  the  Commission.  The  indicators  developed  at  the  programming  stage  will  be 
used by the Monitoring Committee during the annual review meetings and will also feed into 
the annual implementation reports as well as into progress reports on the implementation of 
the  Partnership  Agreement.    Even  where  it  is  not  feasible  to  develop  robust  indicators,  the 
requirement  to  assess  the  degree  to  which  RDPs  have  addressed  climate  adaptation  needs 
should be written into the specifications for ex ante and ex post evaluations. 

The  Monitoring  Committee  is  an  obligatory  body  which  has  the  potential  to  guide  the 
effective and efficient implementation of programmes. The participation of a climate change 
expert would increase chances of providing climate change relevant input to the committee, 
the Managing Authority, and finally to the beneficiaries. 

Data  and  information  are  essential  for  effective  monitoring  and  evaluation.  A  solid 
indicator framework that includes adaptation (even where adaptation is not the main focus of 
expenditure)  will  determine  the  data  requirements  for  monitoring  climate  resilience  as 
programmes  are  implemented.  This  framework  should  include  national  indicators  that  go 
beyond  those  prescribed  at  an  EU  level  to  ensure  that  as  much  information  as  possible  is 
collected  to  help  inform  assessments  of  progress  against  programme  priorities.    Good 
cooperation  between  Managing  Authorities  and  information  sources  will  help  to  ensure  the 
right data can be collected and fill gaps in data availability.  It will be important to consider all 
types of data requirements, both quantitative and qualitative.  Qualitative information may be 
just as useful to show progress in moving towards more climate resilience, particularly where 
there are difficulties in measuring outcomes quantitatively.  

Guidance  is  likely  to  be  needed  for  programme  evaluators  on  how  best  to  address  climate 
adaptation  in  formal  evaluations  and  this  is  currently  under  development.    Engagement  of 
climate  experts  with  the  EU  Evaluation  Expert  Network  and  its  national  equivalents,  where 
these have been set up, should help facilitate this process. 

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4. 

ANNEX 

4.1. 

Ex-ante conditionalities related to adaptation priorities 

Ex-ante conditionalities related to climate adaptation priorities 

Thematic Objective 5 (CSF): Promoting climate change adaptation and risk prevention 
(Climate change target) (referred to in Article 9(5) 

RD  priority  4: 
restoring, 
preserving  and 
enhancing 
ecosystems 
dependent  on 
agriculture and 
forestry 

4.4.  Risk  prevention  (and 
risk  management):  The 
existence  of  national  or 
regional  risk  assessments 
for  disaster  management 
account 
into 
taking 
climate 
change 
adaptation27. 

A  national or regional risk  assessment shall 
be in place that includes: 

•  A  description  of 

the  process, 
methodology,  methods  and  non-
sensitive  data  used  for  national  risk 
assessment; 

•  A  description  of  single-risk  and 

multi-risk scenarios; 

•  Taking 

into 

account,  where 
appropriate,  national  climate  change 
adaptation strategies. 

RD  priority  5: 
promoting 
resource 
efficiency  and 
supporting  the 
shift  towards  a 
carbon 
low 
and 
climate 
resilient 
economy 
in 
the  agriculture 
and 
food 
sectors and the 
forestry sector 

5.2  Energy 
efficiency: 
transposition  into  national 
Directive 
law 
of 
the 
of 
2006/32/EC 
European  Parliament  and 
of  the  Council  of  5  April 
2006  on  energy  end-use  
efficiency 
energy 
services 

and 

5.3  Water  pricing: 
the 
existence  of 
a  water 
pricing 
policy  which 
ensures 
adequate 
an 
the 
contribution 
of 
different  water  uses  to  the 
recovery  of  the  costs  of 
in 
water 
accordance  with  Article  9 
of  Directive  2000/60/EC 
of 
European 
the 
the 
Parliament  and  of 
Council  of  23  October 
a 
2000 

establishing 

services, 

A  Member  State  has  submitted  to  the 
Commission  an  Energy  Efficiency  Action 
Plan  which 
saving 
into  concrete  and  coherent 
objectives 
measures  in  accordance  with  article  14  of 
Directive 2006/32/EC 

translate 

energy 

•  A  Member  State  has  taken  account 
of  the  principle  of  recovery  of  the 
costs  of  water  services,  including 
environmental  and  resource  costs  in 
accordance  with  Article  9(1)  of 
Directive 2000/60/EC; 

•  A  Member  State  has  carried  out  an 
in  accordance 
economic  analysis 
with  Article  5  and  Annex  III  to 
Directive 
regarding 
2000/60/EC 
volume,  price  and  cost  of  water 
services,  and  estimates  of  relevant 
investments; 

27 

Conclusions  of  the  Justice  and  Home  Affairs  Council;  Conclusion  on  further  developing  risk 
assessments for disaster management in the European Union. 11-12 April 2011. 

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23 

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Ex-ante conditionalities related to climate adaptation priorities 

framework for Community 
action in the field of water 
policy28. 

•  A  Member  State  has  ensured 
contribution  of  the  different  water 
uses  by  sector  in  accordance  with 
Article 9(3) of Directive 2000/60/EC 

Source: Proposal for EAFRD – COM(2011)627 final/2 – annex IV 

4.2. 

Examples of EAFRD measures and their potential for adaptation  

Priority   Rural Development 
Measures 

Farm infrastructure  

Thematic focus 

Type of adaptation29 

2, 3, 4 

Article 18 – Investments in 
physical assets 

Avoidance of damage 
from extreme events 

Article 19 – Restoring 
agricultural production 
potential damaged by natural 
disasters/ preventing actions 

Article 25 – Prevention and 
restoration of damage to 
forests from fires and natural 
disasters 

Article 35 – Forest-
environmental and climate 
services and forest 
conservation 

2, 3 

Article 18 – Investments in 
physical assets 

Avoidance of heat 
stress 

Article 23 – Afforestation 
and creation of woodland 

Article 24 – Establishment 
of agroforestry systems 

3, 4, 5 

Article 18 – Investments in 
physical assets  

Improved water 
management 

(cid:131)  Coastal and interior 
flood protection 
involving agricultural 
land (water overflow 
areas, flood-tolerant 
crops) 

(cid:131)  Restoring agricultural 
production potential 
damaged by EWE 

(cid:131)  Adaptation of 
agricultural 
infrastructure (e.g. 
Buildings) 

(cid:131)  Preventative actions 

for forests  

Improvement of animal 
rearing conditions 
(shading and sprinklers) 

(cid:131)  Modernisation of 

irrigation equipment 
to improve water use 
efficiency 
(cid:131)  Water storage 

Land management  

4, 5  

Article 29 – Agri-
environment-climate 

Article 18 – Investments in 

Improving water and 
soils management, and 
building resilience of 

(cid:131)  Buffer strips 
(permanent 
vegetation) 

(cid:131)  Tillage methods,  

28 
29 

OJ L 327, 22.12.2000, p. 1. 
These  options  are  simply  indicative.  For  instance,  in  some  cases,  the  choice  of  measure  for  a  given 
"option" will depend on the detailed characteristics of a given project / operation 

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physical assets 

biodiversity 

Article 31 – Natura and 
WFD payments 

(cid:131)  Introduction of new 

crops more adapted to 
changing climate 

(cid:131)  Drought 

(retaining 
improving 
moisture) 

prevention 
and 
soil 

4, 5  

Article 29 – Agri-
environment climate 

Improving habitat / 
biodiversity resilience 

Conservation areas and 
habitat restoration 

Article 18 – Investments in 
physical assets (in the case 
of necessary investments);  

Article 31 – Natura 2000 
and Water framework 
directive payments 

Article 24 – Establishment 
of agroforestry systems 

Article 22 – Investments in 
forest area development and 
improvement of the viability 
of forests 

Article 23 – Afforestation 
and creation of woodland;  

Article 24 – Establishment 
of agroforestry systems 

4, 5 

Soil and forest 
management 

Conversion to more 
climate-resilient forest 
types, 

afforestation, agro-
forestry systems 

4, 5 

Article 29 – Agri-
environment-climate 

Improving habitat / 
biodiversity resilience 

Management of 
permanent grassland 

Article 31 – Natura 2000 
and Water framework 
directive payments 

Soil Management 

Conservation genetic resources 

4 

Article 29 – Agri-
environment-climate 

Farm management 

3 

Article 37 – Risk 
management;  

Article 38 – Crop, animal 
and plant insurance 

Article 39 – Mutual funds 

Plant and livestock 
breeding programmes 

Risk management 

Insurance schemes to 
cope with economic 
effects of extreme events 

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for animal and plant diseases 
and environmental incidents  

3, 4, 5 

Article 36 - Co-operation 

Joint action 

Farm awareness raising 

1 – 6  

Article 15 – Knowledge 
transfer and information 
actions 

Advice / Capacity 
Building for land 
managers 

Article 16 – Advisory 
services, farm management 
and farm relief services 

Joint action undertaken 
with a view to adapting to 
climate change 

Information actions 

Advice on farm 
management (climatic 
aspects can be included in 
more broader advice 
related to agri-
environmental and 
economic issues) 

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