Global Climate Change AllianceSupport Facility

Module 2

Mainstreaming climate change

and strengthening institutions

and capacitiesand capacities

Training workshops onmainstreaming climate change

What is mainstreaming,

and why mainstream climate change?

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From project-based approaches...

• Project-based adaptation approaches such asthose developed in NAPAs are a first step in theright direction:

– Contribution to national capacity building

– Involvement of stakeholders at grassroots level

– Identified projects usually correspond to real prioritiesand involve wider developmental benefits

• But there are also problems, notably:

– Poor institutional arrangements for implementation

– Low capacity for adaptation planning andimplementation

Source: World Bank (2010a) WDR 20103

... to climate change mainstreaming

• In the medium and long term, standalone projectsare unlikely to meet all adaptation and mitigationrequirements in a cost-effective, scalable manner

• There is a strong case for mainstreaming climate• There is a strong case for mainstreaming climatechange into all development planning, both atstrategic planning levels and in local development

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What is mainstreaming?

• The mainstream: the prevailing or dominantcourse, current, tendency or way of thinking

• Mainstreaming: the informed integration of arelevant value, theme or concern into the decisionsrelevant value, theme or concern into the decisionsof institutions that drive national, local and sectoraldevelopment policy, rules, plans, investment andaction (adapted from Dalal-Clayton & Bass 2009)

• Institutional strengthening and change and capacitybuilding are at the heart of any mainstreaming effort

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Objectives of mainstreaming

• Mainstreaming is a long-term, iterativeprocess aimed at:

– transforming ideas

– even more importantly, transforming policies, resource– even more importantly, transforming policies, resourceallocations and practices

• in order to:

– promote desired developmental outcomes (with regard togender, environment, climate change, governance,human rights, ...)

– and support integrated solutions to human problems

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Caribbean – Mainstreaming andAdaptation to CC (MACC) project

• 2004-2008, executed by the CARICOMSecretariat (World Bank support, GEF funding)

• Objective:

– Mainstream CC adaptation strategies into the sustainable– Mainstream CC adaptation strategies into the sustainabledevelopment agendas of the small island and low-lyingstates of CARICOM

• Approach:

– Learning-by-doing approach to capacity building

– Strengthening of the knowledge base

– Public education and outreach

7Source: http://www.caribbeanclimate.bz/macc/macc.html

A framework for mainstreaming

climate change

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Entry points for mainstreaming inthe policy cycle

Agendasetting

Finding theentry points &

making thecase

MainstreamingCC into policy &

planningprocesses

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Nationaldevelopment

planning

Policymaking

Implementation& monitoringMeeting the

implementationchallenge

Adapted from: UNDP-UNEP (2009) Figure 3.2, p. 15

Finding the entrypoints and making the

case

Mainstreaming CC intopolicy and planning

processes

Meeting theimplementation

challenge

Preliminary assessmentsUnderstanding CC–

development linkagesUnderstanding the science

Understanding climate-related uncertainties

Raising awareness andbuilding partnerships

Collecting country-specificevidence and influencing

policy processesMainstreaming CC in

(sub)national and sectorpolicies, strategies,

programmes

Costing, assessing and

Budgeting and financingMainstreaming CC in the

budgetary process

Mainstreaming CC inmonitoring systems

Performance assessmentframeworks

Mod1

Mod4

Mod5

Mod6 Mod8

Mod9

Mod3

building partnershipsNational consensus andcommitment to climate-resilient, low-emission

development

Strengthening institutionsand capacities

Needs assessmentWorking mechanisms

Costing, assessing andselecting adaptation andmitigation options and

measures

Strengthening institutionsand capacities

Learning by doing

Supporting policy measuresNational, sector and sub-

national levels

Strengthening institutionsand capacitiesMainstreaming

as standard practice

Engaging stakeholders and coordinating within the development community

Mod5

Mod2

Mod7

Adapted from: UNDP-UNEP (2009) Figure 3.1, p. 1510

Mod2 Mod2

Strengthening institutions and capacitiesStrengthening institutions and capacities

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Terminology

• Institutions

– the rules, norms, structures and other social arrangementsthat shape and regulate human behaviour andinteractions, and notably support decision making

– institutions ≠ organisations

– institutions can be formal or informal

• Institutional framework

– a system made up of rules, laws, policies and institutions,in which various organisations interact with each other

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Key institutional requirementsfor effective mainstreaming

Effective

Cross-sectoral& cross-levelcoordination,cooperation

Powerfulchampions atnational level Integration of

new thinking,new researchin planning &monitoring

e.g. office of prime minister,ministries of

finance/budget/planning

Effectivemainstreaming

monitoringsystems &processes

Experiencesharing,

disseminationof good

practices Timelystakeholder

participation atvarious scales

Strengtheningof capacities ofstakeholders atvarious scales

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Principles for institutionalising

climate change mainstreaming

Source: UNDP-UNEP (2011)

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Which institutional model?

• There is no single, ‘blueprint’ institutional modelfor effective mainstreaming of climate change

• Each country has to determine the most suitableinstitutional arrangements based on:institutional arrangements based on:

– current institutional structures

– a clear diagnosis of their strengths and weaknesses

– a clear plan for overall governance improvement

• However, there are some agreed principles andexamples of good practice

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Principles for institutionaland capacity strengthening (1)

• Move coordination of climate adaptation/mitigationto a central body with a coordination mandate anddecision-making power over line ministries

– e.g. China: National Development & Reform Commission– e.g. China: National Development & Reform Commission

– e.g. Kenya: Office of the President

• Establish or strengthen coordination mechanisms,with a clear allocation of responsibilities andpermanent arrangements

– e.g. Mexico: Inter-Ministerial Commission on ClimateChange (CICC) with dedicated working groups

16Source: UNDP-UNEP (2011)

Principles for institutionaland capacity strengthening (2)

• Build on pre-existing intersectoral coordinationmechanisms wherever possible

– e.g. coordination structures for food security, disaster riskreduction and management, sustainable landmanagement, environmental management

• Institutionalise flexibility

– e.g. commitment to regular policy/strategy revisions andreassessment of available knowledge

• Institutionalise adaptation/mitigation mainstreaming

– e.g. in guidelines, procedures, systems, criteria forscreening and prioritising programmes and projects

17Source: UNDP-UNEP (2011)

Principles for institutionaland capacity strengthening (3)

• Develop effective national–local coordinationmechanisms, identifying the most suitable level atwhich to cooperate/coordinate

– e.g. Rwanda: annual performance contracts between– e.g. Rwanda: annual performance contracts betweenvarious levels of government, with clear definition of goals,indicators and activities

• Strengthen institutions at the sub-national level,matching the transfer of competences with thetransfer of resources

18Source: UNDP-UNEP (2011)

BVI – Diagnosis of the institutionaland legal/regulatory framework (1)

• Stakeholders:

– At least 17 government and statutory bodiesto be involved in CC adaptation – plus several inter-agency committees or bodies

• Legal and regulatory framework:

– New Environmental Management and Conservation ofBiodiversity Bill will support adaptation when enacted

– Building Regulations and Development Control Guidelinesoutdated, new planning regulations to be adopted

– Enforcement of planning and building legislation to beimproved

19Source: Burnett Penn (2010)

BVI – Diagnosis of the institutionaland legal/regulatory framework (2)

• Key management gaps:

– A comprehensive coastal management plan

– Specific management plans for beaches (work ongoing)

– A sustainable management programme for fish stocks– A sustainable management programme for fish stocks

– Management plans for Fisheries Protected Areas

– A comprehensive land use and physical development planinclusive of zoning (draft prepared in 2009)

20Source: Burnett Penn (2010)

BVI – Institutional arrangementsfor CC policy implementation

• National Climate Change Committee(NCCC) created in Dec. 2008

– Chaired by the Ministry of Natural Resources and Labour,to be co-chaired by the Premier’s Office

– Monitors and advises government on CC-related issues– Monitors and advises government on CC-related issues

– Responsible for coordinating and supervising theimplementation of the CC policy, incl. CC mainstreaminginto national development planning

– Recommendation: operate as a joint sub-committee of theexisting Technical Review Committee (under the Min. of

Natural Resources) and the Planning Authority (under thePremier’s Office)

21Source: Government of Virgin Islands (2011)

Tools and actions for supporting institutional and

capacity strengthening

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Steps in institutional and capacitystrengthening

Needs assessment

Workingmechanisms

National capacity self-assessment

Inst’l arrangementsManagementframework

Stakeholderanalysis

23Source: UNDP-UNEP (2009)

Learning by doing

mechanisms

Mainstreaming asstandard practice

frameworkWork plan

Training, exchangevisits, on-the-joblearning, lesson

learning/dissemination

Needs assessment: capacitydevelopment for whom, for what?

• Capacity development (CD) should take placeat three complementary levels:

– the ‘enabling environment’ or ‘system level’ (overallinstitutional level)

– the organisation level

– the individual level

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Start by determining:

‘Capacity developmentfor what?’ -> Define

specific objectives

Source: UNDP (2011)

Needs assessment: stakeholders’CD needs for mainstreaming

Stakeholder

Informationsystems &analytical

skills

Planning &prioritisation

skillsParticipatory

engagement &empowerment

skillsStakeholder

capacitybuilding

skills

Political &communication

skills

Monitoring,evaluation &

learning skills

Specifictechnical

skills

25Source: Dalal-Clayton & Bass (2009)

‘FUNCTIONAL

CAPACITIES’‘TECHNICAL

CAPACITIES’

Tips for strengthening capacitiesin OCTs (1)

• Draw on resources and join initiativesat the regional level, e.g.

– Greenland’s participation in the Arctic Climate ImpactAssessment (ACIA, 2005)

– Use of the expertise of the Caribbean Community Climate– Use of the expertise of the Caribbean Community ClimateChange Centre (CCCCC) by British Caribbean OCTs (e.g.ECACC project)

– Participation of Pacific OCTs in some projects of theSecretariat of the Pacific Regional EnvironmentalProgramme (SPREP) and SPC work on climate-relatedissues (e.g. recent study on Pacific fisheries)

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Sources: http://www.acia.uaf.edu, http://www.caribbeanclimate.bz, Bell, Johnson & Hobday (2011)

Tips for strengthening capacitiesin OCTs (2)

• Draw on resources and join initiativesof European countries, e.g.

– British OCTs: possible collaboration with the HadleyCentre, the Tyndall Centre for Climate Change Research,and the UK Climate Impacts Programmeand the UK Climate Impacts Programme

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Source: http://www.caribbeanclimate.bz/projects/enhancing-capacity-for-adaptation-to-climate-change-ecacc-in-the-uk-caribbean-overseas-territories-project.html

Tips for strengthening capacitiesin OCTs (3)

• Strengthen regional institutions involvedin the response to CC, e.g.

– Caribbean Institute for Meteorology and Hydrology

– Establish master-level climate change courses in regionaluniversitiesuniversities

– Develop regional capacity to downscale from globalclimate models and prepare country- or territory-specificclimate scenarios

– Develop cross-regional links between organisationsrepresenting small island states (e.g. collaboration betweenCCCCC and SPREP)

28Source: GCSI Global Change Strategies Int’l & de Romilly & de Romilly Ltd (2005)

References (1)

• Bell J.D., Johnson J.E. & Hobday A. (2011) Vulnerability of Tropical Pacific Fisheries andAquaculture to Climate Change. Secretariat of the Pacific Community, Noumea, NewCaledonia. Available from: http://cdn.spc.int/climate-change/fisheries/assessment/climate-change-book.pdf

• Burnett Penn A. (2010) The Virgin Islands Climate Change Green Paper. Prepared by theConservation and Fisheries Department, Ministry of Natural Resources and Labour. CaribbeanCommunity Climate Change Centre, Belmopan, Belize, and Government of the Virgin Islands.Community Climate Change Centre, Belmopan, Belize, and Government of the Virgin Islands.Available from: http://www.caribbeanclimate.bz/projects/enhancing-capacity-for-adaptation-to-climate-change-ecacc-in-the-uk-caribbean-overseas-territories-project.html

• Dalal-Clayton B. & Bass S. (2009) The challenges of environmental mainstreaming: experienceof integrating environment into development institutions and decisions. International Institute forEnvironment and Development, London. Available from: http://www.environmental-mainstreaming.org/key-lit.html

• GCSI Global Change Strategies Int’l & de Romilly & de Romilly Ltd (2005) Adapting to ClimateChange in the Caribbean (ACCC). Report prepared for the Canadian International DevelopmentAgency (CIDA). Available from: http://www.caribbeanclimate.bz/accc/accc.html

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References (2)

• Government of the Virgin Islands (2011) The Virgin Islands’ Climate Change Policy: AchievingLow-Carbon, Climate-Resilient Development. Prepared by the Conservation and FisheriesDepartment, Ministry of Natural Resources and Labour [author: Angela Burnett Penn]. Technicalreport 5C/ECACC-11-10-1, Caribbean Community Climate Change Centre, Belmopan, Belize.Available from: http://www.caribbeanclimate.bz/projects/enhancing-capacity-for-adaptation-to-climate-change-ecacc-in-the-uk-caribbean-overseas-territories-project.html

• Schipper E.L., Paz Cigarán M. & McKenzie Hedger M. (2008) Adaptation to Climate Change:The new challenge for development in the developing world. Environment & Energy Group,The new challenge for development in the developing world. Environment & Energy Group,United Nations Development Programme, New York. Available from:http://www.undp.org/climatechange/docs/English/UNDP_Adaptation_final.pdf

• UNDP (2011) Practitioner’s Guide: Capacity Development for Environmental Sustainability.United Nations Development Programme, New York. Available from:http://www.undp.org/mainstreaming/cdes.shtml

• UNDP-UNEP (2009) Mainstreaming Poverty-Environment Linkages into DevelopmentPlanning: A Handbook for Practitioners. UNDP-UNEP Poverty-Environment Initiative. Availablefrom: http://www.unpei.org/PDF/PEI-full-handbook.pdf

• UNDP-UNEP (2011) Mainstreaming Adaptation to Climate Change into Development Planning:A Guide for Practitioners. UNDP-UNEP Poverty-Environment Initiative. Available from:http://www.unpei.org/knowledge-resources/publications.html

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References (3)

• World Bank (2010a) Development and Climate Change. World Development Report 2010.World Bank, Washington, DC. Available from: http://go.worldbank.org/ZXULQ9SCC0

• Website of the Arctic Climate Impact Assessment: http://www.acia.uaf.edu/

• Website of the Caribbean Community Climate Change Centre:http://www.caribbeanclimate.bz/macc/macc.html

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