Module 2 Mainstreaming and strengthening institutions and capacities Country-led environmental and...

Module 2Mainstreaming and strengthening institutions and capacities

Country-led environmental and climate change mainstreaming

What is mainstreaming,

why mainstream environment and climate

change?

What is mainstreaming,

why mainstream environment and climate

change?

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Beyond ‘environment’ as a sector...

• Environment and protection of natural resources is a sector in its own right, but its sustainability also depends on other sectors’ policies

• Other sectors’ performance depends closely on the state of the environment

• It does not suffice to address the environment exclusively as a sector• Other sector’s development paths need to take account of

environmental sustainability• Environment tends to be an underfunded sector

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What is mainstreaming?

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

• Mainstreaming: the informed integration of a relevant value, theme or concern into the decisions of institutions that drive national, local and sectoral development policy, rules, plans, investment and action (adapted from Dalal-Clayton & Bass 2009)

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

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Objectives of mainstreaming

• Mainstreaming is a long-term, iterative process aimed at:- transforming ideas - even more importantly, transforming policies, resource

allocations and practices

• in order to:- promote desired developmental outcomes (with regard to

gender, environment, climate change, governance, human rights, ...)

- and support integrated solutions to human problems

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Policy framework for mainstreaming

• European Consensus on Development (2005)• Explicitly recognises links between development and

environment and highlights need for a “strengthened approach to mainstreaming of cross-cutting issues”

• Agenda for Change (2011)• “development is not sustainable if it damages the

environment, biodiversity and natural resources and increases the exposure/vulnerability to natural disasters”

• EU Biodiversity Strategy to 2020• Calls to “biodiversity-proof” EC development cooperation

A framework for mainstreaming

environment and climate change

A framework for mainstreaming

environment and climate change

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Entry points for mainstreaming in the policy cycle

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National development planning

Agenda setting

Policy making

Implementation & monitoring

Finding the entry points

& making the case

Mainstreaming into policy & planning processes

Meeting the implementation

challenge

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

Finding the entry points and making the case

Mainstreaming into policy and planning processes

Meeting the implementation challenge

Preliminary assessmentsUnderstanding the

challenges and the scienceUnderstanding poverty-environment and CC–development linkages

Understanding government, institutional and political

contexts

Raising awareness and building partnerships

National consensus and commitment to resilient, low-

carbon development

Strengthening institutions and capacities

Needs assessmentWorking mechanisms

Collecting country-specific evidence and influencing

policy processesIntegrated ecosystem assessment; economic

analysis…Mainstreaming in

(sub)national and sector policies, strategies,

programmesUnderstanding uncertainties

Developing, costing, assessing and selecting policy measures,


Learning by doing

Budgeting and financingMainstreaming in the

budgetary process

Mainstreaming in monitoring systems

Performance assessment frameworks

Indicators and data collection

Supporting policy measuresNational, sector and sub-

national levels


Mainstreaming as standard practice

Engaging stakeholders and coordinating within the development community

Mod1

Mod4

Mod5

Mod3

Mod6

Mod7

Mod8

Mod9

Adapted from: UNDP-UNEP (2009) Figure 3.1, p. 15

Mod2

Mod3 Mod3

Mod3

Mod5

Strengthening institutions and capacitiesStrengthening institutions and capacities

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Key institutional requirements for effective mainstreaming

Effective mainstreaming

Cross-sectoral & cross-level coordination, cooperation

Powerful champions at national level

Integration of new thinking,

new research in planning & monitoring systems & processes

Experience sharing,

dissemination of good

practicesTimely

stakeholder participation at various scales

Strengthening of capacities of

stakeholders at various scales

e.g. office of prime minister, ministries of

finance/budget/planning

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Roles of main stakeholders

Stakeholder group Main roles & responsibilities

Central government (incl. office of prime minister, line ministries, DRR authorities)

Leadership, performance management frameworksPolicies, standards & regulationsAllocation of budget resourcesGuidance & capacity building

Parliament Leverage, advocacy (especially for budgeting)

National Statistics Office Development and monitoring of indicators

Local governments Implementation of national policiesIntegration with local-level strategies

Private sector Preparation for losses & opportunities, risk mgmtContribution to sustainable investments & vulnerability reduction through development

Scientific & academic organisations

Policy-oriented researchSupport for decision making

Investment promotion agencies

‘Clean’ investments; climate-proofing of investments, bridging of development gaps

Poverty reduction organisations

Environment and climate change adequately addressed

12Adapted from: Schipper et al (2008) and UNDP-UNEP (2009)

Roles of main stakeholders (2)

Stakeholder group Main roles & responsibilities

Civil Society Organisations

Make use of their expertiseHelp reflect local realitiesInformation collection, awareness raisingWatchdog role

Media Awareness raisingReach out to community level

General public Grass-roots level knowledgeIntegrate voices of the poorest

Adapted from: Schipper et al (2008) and UNDP-UNEP (2009)

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Possible entry points for environmental mainstreaming in national development planning

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Planning Level Entry Points

National government and cross-sector ministries

Poverty reduction strategy paperNational development planMDG-based national development strategyNational budget allocation process or review (e.g. medium-term expenditure framework, public expenditure review)

Sector ministries Sector strategies, plans and policies (e.g. agriculture sector plan)Preparation of sector budgetsPublic expenditure reviews

Sub-national authorities

Decentralisation policiesDistrict plansPreparation of subnational budgets

Source: UNEP-UNDP (2009)

Principles for institutionalising

mainstreaming

Principles for institutionalising

mainstreaming

Source: UNDP-UNEP (2009, 2011)

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Institutional and capacity strengthening (1)

• Move coordination to a central body with a coordination mandate and decision-making power over line ministries• For example, in the case of climate change:

• China: National Development & Reform Commission

• Kenya: Office of the President

• For example, in the case of environment:

• Sierra Leone: EPA under the Office of the President

• Malawi: Steering Committee on Natural Resources16

Source: UNDP-UNEP (2011)


• Establish/strengthen coordination mechanisms, with clear allocation of responsibilities and permanent arrangements• e.g. for climate change, Mexico: Inter-Ministerial

Commission on Climate Change (CICC) with dedicated working groups

• Build on pre-existing intersectoral coordination mechanisms wherever possible• e.g. for food security, DRR, sustainable land management

17Source: UNDP-UNEP (2011)


• Institutionalise flexibility• e.g. commitment to regular policy/strategy revisions and

reassessment of available knowledge

• Institutionalise mainstreaming• environment and climate change mitigation/adaptation

• e.g. in guidelines, procedures, systems, environmental screening for SEA and EIA, etc.

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• Develop effective national–local coordination mechanisms, identifying the most suitable level at which to cooperate/coordinate• e.g. Rwanda: annual performance contracts between

various levels of government, with clear definition of goals, indicators and activities

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


20Source: Soria (2005)

Local capacities

Tools and actions for supporting institutional

and capacity strengthening

Tools and actions for supporting institutional

and capacity strengthening

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Steps in institutional and capacity strengthening


Needs assessment

Learning by doing

Working mechanisms

Mainstreaming as standard practice

National capacity self-assessment

Inst’l arrangementsManagement frameworkWork plan

Training, exchange visits, on-the-job learning, lesson

learning/dissemination

Stakeholder analysis

Needs assessment: capacity development for whom, for what?

• Capacity development (CD) should take place at three complementary levels:- the ‘enabling environment’ or ‘system level’ (overall

institutional level)

- the organisation level

- the individual level

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Start by determining: ‘Capacity development for what?’ -> Define specific

objectives

Source: UNDP (2011)

Needs assessment: stakeholders’ CD needs for mainstreaming

Stakeholder capacity building

Information systems & analytical

skills

Planning & prioritisation

skills

Participatory engagement & empowerment

skills

Political & communication

skills

Monitoring, evaluation &

learning skills

Specific technical

skills

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Source: Dalal-Clayton & Bass (2009)

‘FUNCTIONAL

CAPACITIES’

‘TECHNICAL CAPACITIES

Needs assessment: national capacity self-assessments

• Based on existing or ad hoc institutional assessments, consider for all relevant organisations:- Level of education & awareness of env’t and CC- Organisations’ mandates & functions with regard to

environment- and climate-related issues- Influence of climate risks on capacity to function- Technical, financial, legal/regulatory capacities & information

systems in relation to env’t and CC issues- Planning, decision-making, budget allocation & programming

mechanisms- Collaboration & coordination structures & mechanisms

• Assessments for environment and climate changeAdapted from: UNDP-UNEP (2011) 25

Setting up working mechanismsfor a mainstreaming initiative

• Define institutional arrangements (political and technical) (e.g. steering and technical committees)

• Set up a management framework- Leadership arrangements

- Human resources

- Financial arrangements

- M&E arrangements

• Develop an operational work plan

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Learning-by-doing: multiple approaches• Formal training on mainstreaming and on

specific technical aspects• Exchange visits• On-the-job learning through national mainstreaming

programmes, including: - Interdisciplinary teams- Twinning between organisations- Technical assistance- Demonstration projects

• Lesson learning and dissemination


Recap – Key messages

• There is a strong case for mainstreaming environment and climate change into all development planning

• There are entry points for mainstreaming environment and climate change at all stages of the policy cycle

• Institutional and capacity strengthening (rooted in a good diagnosis of the strengths/weaknesses of existing structures and efforts to improve governance) is a key condition for successful mainstreaming

• Needs assessment, the setting up of effective working mechanisms and ‘learning by doing’ can support the mainstreaming process

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Key references• UNDP (2011) Practitioner’s Guide: Capacity

Development for Environmental Sustainability. United Nations Development Programme, New York

• UNDP-UNEP (2009) Mainstreaming Poverty-Environment Linkages into Development Planning: A Handbook for Practitioners. UNDP-UNEP Poverty-Environment Initiative

• UNDP-UNEP (2011) Mainstreaming Adaptation to Climate Change into Development Planning: A Guide for Practitioners. UNDP-UNEP Poverty-Environment Initiative

• UNDP – Integrating environment into development: http://www.undp.org/mainstreaming/

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References

• Dalal-Clayton B. & Bass S. (2009) The challenges of environmental mainstreaming: experience of integrating environment into development institutions and decisions. International Institute for Environment and Development, London. Available from: http://www.environmental-mainstreaming.org/key-lit.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, United Nations Development Programme, New York. Available from: http://www.undp.org/climatechange/docs/English/UNDP_Adaptation_final.pdf

• Soria, C (2005) SEA and the NGO community in Latin America. Presentation made at the SEA and IDC Conference, Halong Bay, Vietnam, 24-28 January, 2005.

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