Global Climate Change AllianceSupport Facility

Module 3

Mainstreaming climate change

and strengthening institutions

and capacitiesand capacities

Training workshops onmainstreaming climate change

Training materials developed with the support of the European Commission

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– 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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Why mainstream climate change?

• Climate change is a potentially significant threatto ongoing development / poverty reduction efforts

• Pursuing economic growth is necessary but notsufficient to respond to climate-related challengessufficient to respond to climate-related challenges

• Climate change impacts are complex and requirecoordination across multiple sectors

• Standalone responses to climate change may distortdevelopment priorities and foster maladaptation

• An adequate, strategically designed responsecan bring significant developmental benefits

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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 the science

Understanding CC–development linkages

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

Mod2

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

Mod3

Mod7

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

Mod3 Mod3

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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Roles & responsibilities ofmain stakeholders

Stakeholder group Main roles & responsibilities

Central government (incl. office ofprime minister, ministries offinance/budget/planning, ...)

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

Local governments Implementation of national policiesIntegration with community strategiesIntegration with community strategies

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

Scientific & academicorganisations

Policy-oriented researchSupport for decision making

Investment promotion agencies Climate-proofing of investments, bridging ofdevelopment gaps

Poverty reduction organisations Climate change adequately addressed

Adapted from: Schipper et al (2008)14

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

17Source: 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

18Source: 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

19Source: UNDP-UNEP (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

21Source: 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

23Source: Dalal-Clayton & Bass (2009)

‘FUNCTIONAL

CAPACITIES’‘TECHNICAL

CAPACITIES’

Needs assessment: nationalcapacity self-assessments

• Based on existing or ad hoc institutionalassessments, consider for all relevant organisations:

– Level of education & awareness of climate change

– Organisations’ mandates & functions with regard toclimate-related issuesclimate-related issues

– Influence of climate risks on capacity to function

– Technical, financial, legal/regulatory capacities &information systems in relation to climate-related issues

– Planning, decision-making, budget allocation &programming mechanisms

– Collaboration & coordination structures & mechanisms

Source: UNDP-UNEP (2011)24

Setting up working mechanismsfor a mainstreaming initiative

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

• Set up a management framework

– Leadership arrangements– Leadership arrangements

– Human resources

– Financial arrangements

– M&E arrangements

• Develop an operational work plan

25Source: UNDP-UNEP (2011)

Learning-by-doing: multipleapproaches

• Formal training on mainstreaming and onspecific technical aspects

• Exchange visits

• On-the-job learning through national mainstreaming• On-the-job learning through national mainstreamingprogrammes (e.g. GCCA-funded) including:

– Interdisciplinary teams

– Twinning between organisations

– Technical assistance

– Demonstration projects

• Lesson learning and dissemination

26Source: UNDP-UNEP (2009)

Recap – Key messages

• There is a strong case for mainstreaming climatechange into all development planning

• There are entry points for mainstreaming climate changeat all stages of the policy cycle

• Institutional and capacity strengthening (rooted in a gooddiagnosis of the strengths/weaknesses of existing structures

and efforts to improve governance) is a key condition forsuccessful climate change mainstreaming

• Needs assessment, the setting up of effective workingmechanisms and ‘learning by doing’ can support themainstreaming process

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Key references

• UNDP (2011) Practitioner’s Guide: CapacityDevelopment for Environmental Sustainability. UnitedNations Development Programme, New York

• UNDP-UNEP (2011) Mainstreaming Adaptation to ClimateChange into Development Planning: A Guide forChange into Development Planning: A Guide forPractitioners. 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: experienceof integrating environment into development institutions and decisions. International Institute forEnvironment 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.pdfhttp://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 Development Planning:A Handbook for Practitioners. UNDP-UNEP Poverty-Environment Initiative. Available from: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

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

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