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,
Strengthening institutions and capacities
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
Strengthening institutions and capacities
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)
Institutional and capacity strengthening (2)
• 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)
Institutional and capacity strengthening (3)
• 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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Source: UNDP-UNEP (2011)
Institutional and capacity strengthening (4)
• 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
19Source: UNDP-UNEP (2011)
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
22Source: UNDP-UNEP (2009)
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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Source: UNDP-UNEP (2011)
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
27Source: UNDP-UNEP (2009)
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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