Sector Wide Approach
• Sector Investment Programme (SIP), Sector
Programme

SWAp
Sector Wide Approach (SWAp)
•
•
•
•

(1) a single sector policy and expenditure programme,
(2) under government leadership...
• “Sector wide programmes are found
exclusively in highly aid dependent poor
countries. Roughly 80 sector programmes are
b...
Challenges (in Agriculture)
• “The agricultural sector is usually dominated
by private sector producers and represents a
s...
Challenges (in Agriculture)
• “Most of the important government actions which
influence the sector are concerned with poli...
Challenges (in Agriculture)
• “Public action in agricultural SWAps must face
and pass stiffer tests than social sectors
wh...
Challenges (in Agriculture)
• “One size does not fit all. Unlike education and
health SWAps, one approach [agricultural
po...
Challenges (in Agriculture)
• “Farmers are experts too; in agriculture, the
exchange of knowledge needs to be two way
in a...
Challenges (in Agriculture)
• “Many problems with agricultural SWAps
result from the contested and shrinking role of
the s...
Challenges (in Agriculture)
• “A SWAp defined to correspond to the
responsibilities of the line ministry in Health and
Edu...
SWAps Decentralization
• “It may be that the most appropriate form of
SWAP for supporting agricultural development
and sus...
Why Agricultural SWAp failed in Zambia:
• Donors insisted on separate national identification of their
contributions.
• Fu...
Flexible SWAps
• [Basket funding] All partners involved in funding a sector sit at the
negotiating table on policy, irresp...
SWAp Implications for CC
• Agricultural policy, needs to develop strong
synergies with other sectors, including
forestry, ...
Trade Policy/Agreements
Execu ve Branch Legisla ve Branch

Central Bank

Cabinet
Climate Change Council

Budget Guidelines...
CC Integration Guidelines

3

Trade Policy/Agreements

3

Execu ve Branch Legisla ve Branch
Cabinet

Climate Change Counci...
• Methods for cross-sector CCA planning could
include:
– (1) the establishment of thematic working groups
which combine to...
NEXUS
AKROPONG
• The approach aims to reduce the number of
discussions by identifying those activities
where an in-depth discuss...
NEXUS
Local Adaptation Plans of Action
• LAPA pilots were conducted in 2010 Climate
Adaptation Design and Piloting Project (CADP...
• Pilot Implementation reached 69 Village
Development Committees (sub-district admin
units) and 1 Municipality under the N...
• “Both NAPA and the Policy have made
mandatory provisions to disburse at least 80
percent of the available budget for the...
• 2998 adaptation actions have been identified
in the 70 LAPAs prepared to date
• Approx. 60% of “most urgent and immediat...
LAPA
RISK ASSESSMENT AND RANKING

LAPA
RISK ASSESSMENT AND RANKING
• This risk assessment and prioritization is NOT
completed by sector at the community
level, w...
DESIGN OF STRATEGY AND MEASURES

“Based on those countries that did include this level of detail, it appears
multicriteria...
Implementation
CLIMATE CHANGE COUNCIL
NATIONAL BUDGET

MULTISTAKEHOLDER CLIMATE CHANGE
INITIATIVE COORDINATION COMMITTEE
(...
Challenges
• Limited capacity and CC awareness at DDC
and VDC levels
• Limited ownership (apart from MoSTE)
• There exists...
What LAPA does well
• Supplies high resolution, context specific risk
assessment and vulnerability studies (albeit of
the ...
Decentralization
• “any act in which a central government formally
cedes powers to actors and institutions at lower
levels...
• “most of the literature on decentralization
focuses more on expectations and discourses
than on practice and outcomes”. ...
• Fiscal decentralization
– Improved income generation through taxation

• Administrative decentralization
– Improved part...
Decentralization Challenges
• [Admin/Financial Dec.] Limited
human/Financial resource capacity at subnational administrati...
Implications for CC
• LAPAs and other local CC initiatives will rely on
sub-national administrative units
• NAPA Limitatio...
Stakeholder Influence Mapping
• Who (which agency) is most influential in the
development of National Adaptation Plans?
– Institutional Arrangements
– P...
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•
•
•
•
•
•
•
•
•
•
•
•
•
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•

National Planning Commission
Political Parties
Private Sector
President/PM
Bilateral Dono...
[NAP Workshop] Sector Wide Approach (SWAp)
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[NAP Workshop] Sector Wide Approach (SWAp)

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A 2-day workshop hosted by the CGIAR Research Program on Climate Change, Agriculture and Food Security www.ccafs.cgiar.org from 13-14 November, Warsaw, Poland brought together 37 representatives from 10 different countries across Asia, Africa and Latin America to share their lessons and experiences in developing climate adaptation plans for the agriculture sector.

For more information see: Planning climate adaptation in agriculture http://ow.ly/qSO1R
New report highlights lessons from national adaptation planning http://ow.ly/qSO2y

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[NAP Workshop] Sector Wide Approach (SWAp)

  1. 1. Sector Wide Approach • Sector Investment Programme (SIP), Sector Programme SWAp
  2. 2. Sector Wide Approach (SWAp) • • • • (1) a single sector policy and expenditure programme, (2) under government leadership, (3) adopting common approaches across the sector, (4) uses government procedures to disburse and account for all funds” (Foster et al 2000) • (5) Sector-wide in scope • (6) All donors sign on • (7) Local stakeholders involved (Harrold and Associates 1995)) SWAp
  3. 3. • “Sector wide programmes are found exclusively in highly aid dependent poor countries. Roughly 80 sector programmes are being prepared and implemented. The vast majority of those, 85%, are in Sub Saharan Africa.” (Foster et al 2000) SWAp
  4. 4. Challenges (in Agriculture) • “The agricultural sector is usually dominated by private sector producers and represents a significant share of national output and employment, thus making SWAps less relevant” (Foster et al 2000) SWAp
  5. 5. Challenges (in Agriculture) • “Most of the important government actions which influence the sector are concerned with policy rather than service delivery.” • E.g. exchange rates, interest rates, prices, trade, taxation, land reform, market structures, and input and output subsidies (Foster et al 2000) SWAp
  6. 6. Challenges (in Agriculture) • “Public action in agricultural SWAps must face and pass stiffer tests than social sectors where the main issues is the provision of services to groups previously denied to them” • i.e. farmers must be able to ‘translate’ SWAp contents in to market opportunities (Foster et al 2000) SWAp
  7. 7. Challenges (in Agriculture) • “One size does not fit all. Unlike education and health SWAps, one approach [agricultural policy] cannot be nationally replicated, hence the economies of scale and of standardization arguments for a SWAp are weaker”. (Foster et al 2000) SWAp
  8. 8. Challenges (in Agriculture) • “Farmers are experts too; in agriculture, the exchange of knowledge needs to be two way in agricultural SWAps” (Foster et al 2000) SWAp
  9. 9. Challenges (in Agriculture) • “Many problems with agricultural SWAps result from the contested and shrinking role of the state in the agricultural sector” (Foster et al 2000) SWAp
  10. 10. Challenges (in Agriculture) • “A SWAp defined to correspond to the responsibilities of the line ministry in Health and Education sectors will come far closer to covering key sectoral interests than can be achieved within agriculture” • i.e. “the most important public expenditures for supporting agriculture may not be in the agricultural sector. Think roads and markets, for example. (Foster et al 2000) SWAp
  11. 11. SWAps Decentralization • “It may be that the most appropriate form of SWAP for supporting agricultural development and sustainable rural livelihoods involves supporting the development of local government, with the Ministry of Local Government as the partner through which districts receive support” (Foster et al 2000) SWAp
  12. 12. Why Agricultural SWAp failed in Zambia: • Donors insisted on separate national identification of their contributions. • Funding the SWAp was irregular as ‘basket funding’ wasn’t working. • SWAp was poorly integrated in to the government’s administrative structure • Decentralization should have PRECEDED SWAp implementation, not be seen as a part of the plan. • Private sector interest waned in the early implementation phase. (van Donge 2007) SWAp
  13. 13. Flexible SWAps • [Basket funding] All partners involved in funding a sector sit at the negotiating table on policy, irrespective of whether they participate in basket funding or not. The contributions of those that do not fit in the basket are fitted in to general policy concerns. • [Projects] Projects are welcome if they fit and do not contradict the policy direction of the SWAp. • [Harmonization] There is pressure on those that have not harmonized procedures to incorporate them gradually in to their work, especially new comers. • [Policy] Attempts are made to formulate a comprehensive policy, but the emphasis is on annual work plans. The aim is evidence-based policy making, with the stress on the development of information collection and analysis oriented to outcomes. • [Comprehensive nature] A basket may cover only part of a sector (for example a district basket), and several SWAps may be allowed in one sector”. [The SWAp idea was used to open up possibilities rather than to prescribe cooperation] (van Donge 2007) (Cassels 1997) SWAp
  14. 14. SWAp Implications for CC • Agricultural policy, needs to develop strong synergies with other sectors, including forestry, water, and land use. • In-tune with macroeconomic (politicaleconomic) context • Projects are needed for experimentation and innovation • Decentralization (first) is key • We can start small -- district pilots SWAp
  15. 15. Trade Policy/Agreements Execu ve Branch Legisla ve Branch Central Bank Cabinet Climate Change Council Budget Guidelines Parliamentary Select Commi ees Na onal Planning Commission Planning Guidelines Mo Environment Mo Agriculture Medium Term Plan Mo Health Other Sector Policies Mo Energy Agricultural Policy Mo etc etc District Offices Village Offices Central Budget (Internal Genera on) Growth and Poverty Reduc on Strategy Mo Educa on Regional Offices Fer lizer Policy Mo Finance Mo Local Govn’t Budget Coding Guidelines PPP Policy Joint-Sector Working Groups Manifestos Seed Policy NAP Forest Policy Donor Budget Support KP Adpt. Fund LDCF GCF SCCF Poli cal Par es Engagement Strategy Private Sector Development Partners NAPA Investment Plan Bi/Mul Lateral Agencies NAMAs Decentraliza on Policy H20 Policy LAPA Central Policy ‘Pool’ Farmer Based Organiza ons Coopera ves Traders Local NGOs GEF Academia/Research Na onal Climate Change Policy Sector Working Group Mul -Stakeholder Pla orms En tlements/Safety Nets UN Conven ons PPCR Africa Adapt NAPA Guidelines NAP Guidelines Tradi onal Ruling Structures Input Providers Actor/Ins tu on Environment NEXUS
  16. 16. CC Integration Guidelines 3 Trade Policy/Agreements 3 Execu ve Branch Legisla ve Branch Cabinet Climate Change Council 3 Budget Guidelines Mo Environment Mo Agriculture Mo Educa on Medium Term Plan PPP Policy Mo Health Regional Offices Other Sector Policies Mo Energy Agricultural Policy Mo etc etc District Offices Village Offices Mo Finance 5 Fer lizer Policy Mo Local Govn’t Budget Coding Guidelines Joint-Sector Working Groups Manifestos Seed Policy NAP Forest Policy Donor Budget Support KP Adpt. Fund LDCF 3 GCF SCCF Poli cal Par es Engagement Strategy Private Sector Development Partners NAPA Investment Plan Bi/Mul Lateral Agencies NAMAs Decentraliza on Policy H20 Policy LAPA Central Policy ‘Pool’ Farmer Based Organiza ons Coopera ves Traders Local NGOs GEF Academia/Research Na onal Climate Change Policy Sector Working Group Mul -Stakeholder Pla orms 3 Central Budget (Internal Genera on) 4 Growth and Poverty Reduc on Strategy 4 En tlements/Safety Nets Parliamentary Select Commi ees Na onal Planning Commission Planning Guidelines Central Bank UN Conven ons PPCR Africa Adapt NAPA Guidelines NAP Guidelines Tradi onal Ruling Structures Input Providers Actor/Ins tu on Environment NEXUS
  17. 17. • Methods for cross-sector CCA planning could include: – (1) the establishment of thematic working groups which combine to produce working portfolios (Nepal), – (2)a combination logical framework analysis (LFA)/Multi-criteria analysis (i.e. Akropong Approach) (Ghana), – (3) Integrated Adaptation Assessments (India forthcoming), – (4) guidelines for integration with development planning (Tanzania) NEXUS
  18. 18. NEXUS
  19. 19. AKROPONG • The approach aims to reduce the number of discussions by identifying those activities where an in-depth discussion would be most useful using a comparatively rapid activity, while avoiding detailed discussion of activities that are likely to be independent of one another. The approach was refined and formalized during a workshop held in Akropong Akuapim, Ghana, and has been named the ‘‘Akropong Approach.’’ NEXUS
  20. 20. NEXUS
  21. 21. Local Adaptation Plans of Action • LAPA pilots were conducted in 2010 Climate Adaptation Design and Piloting Project (CADPN), supported by DfID • From this, a legal framework was developed and approved by parliament LAPA
  22. 22. • Pilot Implementation reached 69 Village Development Committees (sub-district admin units) and 1 Municipality under the Nepal Climate Change Support Programme (NCCSP) • Three national NGOs LI-BIRD, Rupantaran Nepal, and BNMT were involved with the pilot LAPA preparation LAPA
  23. 23. • “Both NAPA and the Policy have made mandatory provisions to disburse at least 80 percent of the available budget for the implementation of adaptation and climate change activities at the local level.” (GoN LAPA Framework) LAPA
  24. 24. • 2998 adaptation actions have been identified in the 70 LAPAs prepared to date • Approx. 60% of “most urgent and immediate actions” will be implemented over a three year period (600 actions/year) LAPA
  25. 25. LAPA
  26. 26. RISK ASSESSMENT AND RANKING LAPA
  27. 27. RISK ASSESSMENT AND RANKING • This risk assessment and prioritization is NOT completed by sector at the community level, which is a-typical of planning approaches at higher levels • Local, contextual, high-resolution methods (hazard mapping, institutional mapping, LAPA
  28. 28. DESIGN OF STRATEGY AND MEASURES “Based on those countries that did include this level of detail, it appears multicriteria analysis, nominal group methods, criteria weighing and cost-benefit analysis are most commonly used, and often in multistep prioritization processes.” LAPA
  29. 29. Implementation CLIMATE CHANGE COUNCIL NATIONAL BUDGET MULTISTAKEHOLDER CLIMATE CHANGE INITIATIVE COORDINATION COMMITTEE (MCCICC) MINISTRY OF SCIENCE, TECHNOLOGY AND ENVIRONMENT (MoSTE) DONOR PROJECT FINANCING THREE YEAR PLAN (2011-2014) NATIONAL ADAPTATION PROGRAM OF ACTION (NAPA) NCCSP (LAPA) CLIMATE CHANGE POLICY (CCP) NATIONAL FRAMEWORK ON LOCAL ADAPTATION PLANS OF ACTION MINISTRY OF FEDERAL AFFAIRS AND LOCAL DEVELOPMENT (MoFALD) OTHER LINE MINISTRIES EU UNDP DfID DISTRICT DEVELOPMENT COMMITTEE (DDC) DISTRICT ENERGY, ENVIRONMENT AND CLIMATE CHANG SECTIONS (DEECCS) DISTRICT DEVELOPMENT PLAN LAPA VILLAGE DEVELOPMENT COMMITTEE (DDC) CADP-N
  30. 30. Challenges • Limited capacity and CC awareness at DDC and VDC levels • Limited ownership (apart from MoSTE) • There exists institutional coordination, but there is limited legislative support to impose sanctions and legitimize actions • Long term funding LAPA
  31. 31. What LAPA does well • Supplies high resolution, context specific risk assessment and vulnerability studies (albeit of the CURRENT system) • Establishes new institutions and assigns clear responsibility (for LAPA development, NOT implementation) • Provides clear channel for integration of adaptation planning in to DDC development plan (downward accountability) • Provides a pathway for reassessment of NAPA priorities (adaptive institution) LAPA
  32. 32. Decentralization • “any act in which a central government formally cedes powers to actors and institutions at lower levels in a political-administrative and territorial hierarchy” (Ribot 2001: v., citing Mawhood 1983 and Smith 1985). • ‘downwardly accountable representative actors with significant domains of discretionary power’.(Ribot 2001) • Regions, Districts, Villages DECENTRALIZATION
  33. 33. • “most of the literature on decentralization focuses more on expectations and discourses than on practice and outcomes”. (Ribot 2001) DECENTRALIZATION
  34. 34. • Fiscal decentralization – Improved income generation through taxation • Administrative decentralization – Improved participation in bureaucratic planning processes (localized needs assessment) • Political decentralization – Improved representation and increased decision making authority DECENTRALIZATION
  35. 35. Decentralization Challenges • [Admin/Financial Dec.] Limited human/Financial resource capacity at subnational administrative levels • [Admin Dec.] Too much responsibility too fast • [Political Dec.] Upward accountability through central level political appointments at subnational levels • [Political Dec.]Dominance by local elite figures, and the acute gender inequalities DECENTRALIZATION
  36. 36. Implications for CC • LAPAs and other local CC initiatives will rely on sub-national administrative units • NAPA Limitation was its one-off nature, NAPs can facilitate policy learning, but only with input from subnational units • Sensitization and capacity building should happen at sub national levels • CC can provide and impetus to further decentralization efforts DECENTRALIZATION
  37. 37. Stakeholder Influence Mapping
  38. 38. • Who (which agency) is most influential in the development of National Adaptation Plans? – Institutional Arrangements – Prioritization of actions – Arrangement of financing
  39. 39. • • • • • • • • • • • • • • • • National Planning Commission Political Parties Private Sector President/PM Bilateral Donors Multi-lateral donors Farmers Ministry of Agriculture Ministry of Environment Ministry of Finance Ministry of Local Government Climate Change Council UN Agencies International NGOs Local NGOs Research Agencies/Academia
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