Module 2 Mainstreaming and strengthening institutions and capacities

Module 2 Mainstreaming and strengthening institutions and capacities Country-led environmental and climate change mainstreaming

What is mainstreaming, why mainstream environment and climate change? 2

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 3

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 4

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 5

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 7

Entry points for mainstreaming in the policy cycle Finding the entry points & making the case Mainstreamin g into policy & planning processes Agenda setting National development planning Meeting the implementation challenge Policy making Implementation & monitoring Adapted from: UNDP-UNEP (2009) Figure 3. 2, p. 15 8

Finding the entry points and making the case Preliminary assessments Mod 1 Understanding the challenges and the science Mod 2 Understanding povertyenvironment and CC– development linkages Mod 3 Understanding government, institutional and political contexts Mainstreaming into policy and planning processes Collecting country-specific evidence and influencing policy processes Integrated ecosystem Mod 5 assessment; economic analysis… Mainstreaming in Mod 6 (sub)national and sector policies, strategies, programmes Mod 4 Understanding uncertainties Raising awareness and building partnerships Mod 5 National consensus and commitment to resilient, lowcarbon development Mod 3 Strengthening institutions and capacities Needs assessment Working mechanisms Mod 7 Developing, costing, assessing and selecting policy measures, Strengthening institutions and capacities Mod 3 Learning by doing Meeting the implementation challenge Budgeting and financing Mainstreaming in the Mod 8 budgetary process Mainstreaming in monitoring systems Performance assessment frameworks Indicators and data collection Mod 9 Supporting policy measures National, sector and subnational levels Strengthening institutions and capacities Mainstreaming Mod 3 as standard practice Engaging stakeholders and coordinating within the development community Adapted from: UNDP-UNEP (2009) Figure 3. 1, p. 15

Strengthening institutions and capacities 10

Key institutional requirements for effective mainstreaming Cross-sectoral & cross-level coordination, cooperation Powerful champions at national level e. g. office of prime minister, ministries of finance/budget/planning Effective mainstreaming Integration of new thinking, new research in planning & monitoring systems & processes Experience sharing, dissemination of good practices Timely stakeholder participation at various scales Strengthening of capacities of stakeholders at various scales 11

Roles of main stakeholders Stakeholder group Main roles & responsibilities Central government (incl. office of prime minister, line ministries, DRR authorities) Leadership, performance management frameworks Policies, standards & regulations Allocation of budget resources Guidance & capacity building Parliament Leverage, advocacy (especially for budgeting) National Statistics Office Development and monitoring of indicators Local governments Implementation of national policies Integration with local-level strategies Private sector Preparation for losses & opportunities, risk mgmt Contribution to sustainable investments & vulnerability reduction through development Scientific & academic organisations Policy-oriented research Support 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 Adapted from: Schipper et al (2008) and UNDP-UNEP (2009) 12

Roles of main stakeholders (2) Stakeholder group Main roles & responsibilities Civil Society Organisations Make use of their expertise Help reflect local realities Information collection, awareness raising Watchdog role Media Awareness raising Reach out to community level General public Grass-roots level knowledge Integrate voices of the poorest Adapted from: Schipper et al (2008) and UNDP-UNEP (2009) 13

Possible entry points for environmental mainstreaming in national development planning Planning Level Entry Points National government and cross-sector ministries Poverty reduction strategy paper National development plan MDG-based national development strategy National 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 budgets Public expenditure reviews Sub-national authorities Decentralisation policies District plans Preparation of subnational budgets Source: UNEP-UNDP (2009) 14

Principles for institutionalising mainstreaming Source: UNDP-UNEP (2009, 2011) 15

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 Resources 16 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 17 Source: 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. 18 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 19 Source: UNDP-UNEP (2011)

Local capacities Source: Soria (2005) 20

Tools and actions for supporting institutional and capacity strengthening 21

Steps in institutional and capacity strengthening Needs assessment National capacity selfassessment Working mechanisms Inst’l arrangements Management framework Work plan Learning by doing Training, exchange visits, on-the-job learning, lesson learning/dissemination Stakeholder analysis Mainstreaming as standard practice 22 Source: UNDP-UNEP (2009)

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 Start by determining: ‘Capacity development for what? ’ -> Define specific objectives 23 Source: UNDP (2011)

Needs assessment: stakeholders’ CD needs for mainstreaming Information systems & analytical skills Planning & prioritisation skills Stakeholder capacity building Political & communication skills ‘FUNCTIONA L CAPACITIES’ Participatory engagement & empowerment skills Specific technical skills Monitoring, evaluation & learning skills ‘TECHNICAL CAPACITIES 24 Source: Dalal-Clayton & Bass (2009)

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 change Adapted from: UNDP-UNEP (2011) 25

Setting up working mechanisms for 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 26 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 Source: UNDP-UNEP (2009) 27

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 28

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/ 29

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. environmentalmainstreaming. org/key-lit. html • Schipper E. L. , Paz Cigarán M. & Mc. Kenzie 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. 30