Transcript What is mainstreaming?

Module 2
Mainstreaming and strengthening
institutions and capacities
Country-led environmental and climate
change mainstreaming
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
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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
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Finding the entry points
and making the case
Preliminary assessments
Mod1
Understanding the
challenges and the science
Mod2
Understanding povertyenvironment and CC–
development linkages
Mod3 Understanding government,
institutional and political
contexts
Mainstreaming into policy
and planning processes
Collecting country-specific
evidence and influencing
policy processes
Integrated ecosystem
Mod5 assessment; economic
analysis…
Mainstreaming in
Mod6 (sub)national and sector
policies, strategies,
programmes
Mod4
Understanding uncertainties
Raising awareness and
building partnerships
Mod5
National consensus and
commitment to resilient, lowcarbon development
Mod3
Strengthening institutions
and capacities
Needs assessment
Working mechanisms
Mod7
Developing, costing, assessing
and selecting policy measures,
Strengthening institutions and
capacities
Mod3 Learning by doing
Meeting the
implementation challenge
Budgeting and financing
Mainstreaming in the
Mod8 budgetary process
Mainstreaming in
monitoring systems
Performance assessment
frameworks
Indicators and data
collection
Mod9
Supporting policy measures
National, sector and subnational levels
Strengthening institutions
and capacities
Mainstreaming
Mod3
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
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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
Experience
sharing,
dissemination
of good
practices
Timely
stakeholder
participation at
various scales
Integration of
new thinking,
new research in
planning &
monitoring
systems &
processes
Strengthening of
capacities of
stakeholders at
various scales
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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 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)
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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)
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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)
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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 Resources
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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
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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.
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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
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Source: UNDP-UNEP (2011)
Local capacities
Source: Soria (2005)
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Tools and actions for supporting institutional
and capacity strengthening
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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
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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
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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
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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)
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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
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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
Source: UNDP-UNEP (2009)
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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 PovertyEnvironment Linkages into Development Planning: A
Handbook for Practitioners. UNDP-UNEP PovertyEnvironment 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.environmentalmainstreaming.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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