Hanne Louise KNAEPEN
10 December 2013
International Workshop on International Climate Financing (University Leuven) 1
Outline
(A) Mainstreaming Climate Change Adaptation (CCA) into development
1 – Adapting to climate change
2 – Mainstreamin...
1. Adapting to climate change
2. Mainstreaming CCA into
development
3. Measuring mainstreaming:
discourse, actors, rules &...
1. Adapting to climate change
Figure 1 – Variations of the Earth’s surface temperature, 1000-2100
(Parry et al., 2007)
4
1. Adapting to climate change
DEVELOPMENT PROBLEM
Figure 2 – Climate change vulnerability index 2012
(Maplecroft, 2012)
5
1. Adapting to climate change
Responding to climate change through
ADAPTATION
“The adjustment in natural or human systems ...
1. Adapting to climate change
CLIMATE CHANGE
7
2. Mainstreaming CCA into development
Climate Change
Adaptation(CCA)
mainstreaming
all sectors of
society
process of
devel...
2. Mainstreaming CCA into development
MACRO-LEVEL
MESO-LEVEL
MICRO-LEVEL
DONOR:
JICA
Support
Programme to
Respond to
Clima...
10
2. Mainstreaming CCA into development
Figure 4 - Four key explanatory factors to understand policy change
(Arts & Leroy...
3. Measuring mainstreaming: discourse, actors, rules & resources
• Mainstreaming as a New Policy Arrangement:
Policy Arran...
3. Measuring mainstreaming: discourse, actors, rules & resources
Figure 6 - Development of PAA for 3 levels
12
3. Measuring mainstreaming: discourse, actors, rules & resources
DISCOURSE
LEVEL PRIMARY INDICATORS SECONDARY INDICATORS
M...
3. Measuring mainstreaming: discourse, actors, rules & resources
ACTORS
LEVEL PRIMARY INDICATORS SECONDARY INDICATORS
Macr...
3. Measuring mainstreaming: discourse, actors, rules & resources
RULES
LEVEL PRIMARY INDICATORS SECONDARY INDICATORS
Macro...
3. Measuring mainstreaming: discourse, actors, rules & resources
RESOURCES
LEVEL PRIMARY INDICATORS SECONDARY INDICATORS
M...
3. Measuring mainstreaming: discourse, actors, rules & resources
Ranking System
a) 1 (not the case), 2 (low), 3 (moderate)...
4. Case Study of JICA in Vietnam
18
• Since 1995: top donor in Vietnam
• Traditionally: “growth-oriented poverty reduction...
4. Case Study of JICA in
Vietnam
• 2008, National Target
Programme to Respond to
Climate Change (NTP-RCC)
Figure 7 - Map o...
1. Mainstreaming CCA into development:
actors
• Vietnamese development policy
• JICA
1. Mainstreaming CCA into development...
1. Mainstreaming CCA into development: actors
Vietnamese development policy
ACTORS
LEVEL PRIMARY INDICATORS SECONDARY INDI...
22
1. Mainstreaming CCA into development: actors
Vietnamese development policy
• Interview, Senior Project Formulation Adv...
23
1. Mainstreaming CCA into development: actors
Vietnamese development policy
Figure 8 - Government and all line Ministri...
1. Mainstreaming CCA into development: actors
Vietnamese development policy
Figure 9 – Government institutional arrangemen...
1. Mainstreaming CCA into development: actors
Vietnamese development policy
Figure 10 – Organisation chart of the NTP-RCC
...
1. Mainstreaming CCA into development: actors
Vietnamese development policy
Figure 11 – National Disaster Mitigation Partn...
1. Mainstreaming CCA into development: actors
Vietnamese development policy
Primary
indicators
Secondary
indicators
Grade ...
28
1. Mainstreaming CCA into development: actors
JICA
ACTORS
LEVEL PRIMARY INDICATORS SECONDARY INDICATORS
Macro
Authority...
1. To support the development and implementation of climate change policies
and strategies based on the NTP-RCC
1. To serv...
Climate
Change
related
strategies,
policies, etc.
Policy Action Sectors Main Responsible Ministries
MOIT
MARD
MOC
Related ...
1. Mainstreaming CCA into development: actors
JICA
Primary
indicators
Secondary
indicators
Grade Detail
Cooperation
Donor
...
RESOURCES
LEVEL PRIMARY INDICATORS SECONDARY INDICATORS
Meso
Budget - Separate CCA financing
- Pilot-projects
- CCA budget...
33
1. Mainstreaming CCA into development: resources
Vietnamese development policy
Figure 13 - NTP-RCC allocation by catego...
34
1. Mainstreaming CCA into development: resources
Vietnamese development policy
• 2008, NTP-RCC:
“a financial mechanism ...
35
Primary
indicators
Secondary
indicators
Grade Detail
Budget
CCA budget
mechanism
No
(1)
Non-existent
Low
(2)
Approval o...
2. Mainstreaming CCA into development: resources
JICA
RESOURCES
LEVEL PRIMARY INDICATORS SECONDARY INDICATORS
Macro
Budget...
37
2. Mainstreaming CCA into development: resources
JICA
SP-RCC:
• Loan agreement / budget support
(2012: 248 million USD;...
Primary
indicators
Secondary
indicators
Grade Detail
Budget
CCA
budget
mechanism
No
(1)
Non-existent
Low
(2)
Commitment of...
39
Three Key Findings (2)
40
Figure 14 – 3 levels of mainstreaming, 3 different outcomes
Figure 15 - Overcoming the barriers through Mainstreamed Donor Policy Dialogue
41
Three Key Findings
42
• Arts, B. and P. Leroy. “Institutional Processes in Environmental Governance: Lots of Dynamics, not
Much Change?” Institu...
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Japan’s efforts on mainstreaming climate change adaptation into vietnamese development policy

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  • Adaptation should happen at all of these levels  Need for mainstreaming
  • Mainstreaming: a “new policy arrangement”?
  • Thesis p. 91-92Vietnam = test case of economic and intellectual interests, bv. 1994, judicial system support by JICA. Thesis p. 94, CCA programmes in developing countries
  • Thesis p. 147
  • Thesis p 102* This Platform was supposed to be set up in 2011, but was cancelled due to governmental fragmentation issues. Donors contributed significant financial investments with the goal that the Platform would encourage collaboration among diverse stakeholders.
  • To build up overall capacity for climate change actions in cross sectors in the government of Vietnam
  • Thesis p 168
  • Loan agreement up to 110 million USDMost striking achievements: financial mechanism & budget line
  • Thesis 235
  • Overcoming barriers to mainstreaming with the mainstreamed policy dialogue
  • Japan’s efforts on mainstreaming climate change adaptation into vietnamese development policy

    1. 1. Hanne Louise KNAEPEN 10 December 2013 International Workshop on International Climate Financing (University Leuven) 1
    2. 2. Outline (A) Mainstreaming Climate Change Adaptation (CCA) into development 1 – Adapting to climate change 2 – Mainstreaming CCA into development 3 – Measuring mainstreaming: discourse, actors, rules & resources 4 - Case study of JICA in Vietnam (B) Japan’s efforts on mainstreaming CCA into Vietnamese development policy 1 – Mainstreaming CCA into Development: actors • Vietnamese Development Policy • JICA 2 - Mainstreaming CCA into Development: resources • Vietnamese development policy • JICA (C) Addressing the mainstreaming gaps 2
    3. 3. 1. Adapting to climate change 2. Mainstreaming CCA into development 3. Measuring mainstreaming: discourse, actors, rules & resources 4. Case study of JICA in Vietnam 3
    4. 4. 1. Adapting to climate change Figure 1 – Variations of the Earth’s surface temperature, 1000-2100 (Parry et al., 2007) 4
    5. 5. 1. Adapting to climate change DEVELOPMENT PROBLEM Figure 2 – Climate change vulnerability index 2012 (Maplecroft, 2012) 5
    6. 6. 1. Adapting to climate change Responding to climate change through ADAPTATION “The adjustment in natural or human systems in response to actual or expected climatic stimuli or their effects, which moderates harm or exploits beneficial opportunities.” (Parry et al., 2007) 6
    7. 7. 1. Adapting to climate change CLIMATE CHANGE 7
    8. 8. 2. Mainstreaming CCA into development Climate Change Adaptation(CCA) mainstreaming all sectors of society process of development policy planning & implementation 8
    9. 9. 2. Mainstreaming CCA into development MACRO-LEVEL MESO-LEVEL MICRO-LEVEL DONOR: JICA Support Programme to Respond to Climate Change (SP-RCC) NATIONAL LEVEL: Government in Hanoi National Target Programme to Respond to Climate Change (NTP-RCC) LOCAL LEVEL: Can Tho City Climate Change Coordination Office Figure 3 – Mainstreaming on three levels (Adapted from Persson & Klein, 2009)68 9
    10. 10. 10 2. Mainstreaming CCA into development Figure 4 - Four key explanatory factors to understand policy change (Arts & Leroy, 2006)
    11. 11. 3. Measuring mainstreaming: discourse, actors, rules & resources • Mainstreaming as a New Policy Arrangement: Policy Arrangements Approach (PAA) (Arts et al., 2006) resources actors rules discourse Figure 5 - The tetrahedron as symbol for the connections between the dimensions of a policy arrangement (Adapted from Arts et al., 2006)69 11
    12. 12. 3. Measuring mainstreaming: discourse, actors, rules & resources Figure 6 - Development of PAA for 3 levels 12
    13. 13. 3. Measuring mainstreaming: discourse, actors, rules & resources DISCOURSE LEVEL PRIMARY INDICATORS SECONDARY INDICATORS Macro Policies, plans & strategies - Separate CCA policy - CCA in country strategy Climatic data Climate change scenarios Meso Policies, plans & strategies - Decentralisation - National CC policy - Sectoral Action Plans - CC in PRSP / SEDP / SEDS* Climatic data Climate change scenarios Micro Policies, plans & strategies - Decentralisation - Local CC policy - Sectoral Action Plans - CC in local SEDP / SEDS* Climatic data Climate change scenarios * PRSP: Poverty Reduction Strategy Paper / SEDP: Socio-Economic Development Plan / SEDS: Socio-Economic Development Strategy 13 Table 1 – Mainstreaming indicators for the discourse dimension
    14. 14. 3. Measuring mainstreaming: discourse, actors, rules & resources ACTORS LEVEL PRIMARY INDICATORS SECONDARY INDICATORS Macro Authority High-level CC authority Cooperation - Donor coalition - All-sector involvement Stakeholder involvement - NGO engagement - Micro engagement Meso Authority High-level CC authority Cooperation - New institutional arrangements - National CC platform Stakeholder involvement - NGO engagement - Micro engagement Micro Authority High-level CC authority Cooperation - New institutional arrangements - Local CC platform Stakeholder involvement - NGO engagement - Scaling up 14 Table 2 – Mainstreaming indicators for the actors dimension
    15. 15. 3. Measuring mainstreaming: discourse, actors, rules & resources RULES LEVEL PRIMARY INDICATORS SECONDARY INDICATORS Macro Declarations - MDGs Goal 1* - Paris Declaration: ownership Legislation Judicial advice CCA Meso Declarations - MDGs Goal 1 - Hanoi Core Statement: ownership Legislation Laws / Decisions / Decrees CCA Micro Declarations Local MDGs Goal 1 Legislation Laws / Decisions / Decrees CCA * Millennium Development Goals (MDGs) Goal 1: Eradication of poverty. 15 Table 3 – Mainstreaming indicators for the rules dimension
    16. 16. 3. Measuring mainstreaming: discourse, actors, rules & resources RESOURCES LEVEL PRIMARY INDICATORS SECONDARY INDICATORS Macro Budget - Separate CCA financing - Pilot-projects - CC budget mechanism Meso Budget - Separate CCA financing - Pilot-projects - CC budget mechanism Micro Budget - Separate CCA financing - Pilot-projects 16 Table 4 – Mainstreaming indicators for the resources dimension
    17. 17. 3. Measuring mainstreaming: discourse, actors, rules & resources Ranking System a) 1 (not the case), 2 (low), 3 (moderate), 4 (high) b) Calculation of the level of mainstreaming per dimension and overall outcome per level: high (4.0>3.4), high (3.3>2.8), medium (2.7>2.2), low (2.1>1.7), very low (1.6>1.0) c) Understanding barriers to mainstreaming 17
    18. 18. 4. Case Study of JICA in Vietnam 18 • Since 1995: top donor in Vietnam • Traditionally: “growth-oriented poverty reductions” • In recent years: economic & intellectual interests in Vietnam • 2008: JBIC x JICA  loans • High number of climate change programmes in developing countries, e.g. 2009, Support Programme to Respond to Climate Change (SP-RCC)
    19. 19. 4. Case Study of JICA in Vietnam • 2008, National Target Programme to Respond to Climate Change (NTP-RCC) Figure 7 - Map of Vietnam (www.jaif.co.jp.) 19
    20. 20. 1. Mainstreaming CCA into development: actors • Vietnamese development policy • JICA 1. Mainstreaming CCA into development: resources • Vietnamese development policy • JICA 20
    21. 21. 1. Mainstreaming CCA into development: actors Vietnamese development policy ACTORS LEVEL PRIMARY INDICATORS SECONDARY INDICATORS Meso Authority High-level CC authority Cooperation - New institutional arrangements - National CC platform Stakeholder involvement - NGO engagement - Micro engagement 21 Table 5 – Mainstreaming indicators for the actors dimension on the meso-level
    22. 22. 22 1. Mainstreaming CCA into development: actors Vietnamese development policy • Interview, Senior Project Formulation Advisor, Disaster Management and Rural Water Supply, JICA: “Basically, the coordination between the line agencies at the central level is the main obstacle to working with the Vietnamese government.” • Interviews, Climate Change Policy Advisor, UNDP; Senior Project Formulation Advisor, Disaster Management and Rural Water Supply, JICA: “The Ministry of Environment and Natural Resources are the least open to cooperation with other ministries.” Main obstacle to institutional mainstreaming on meso-level:  2008, Vietnamese National Target Programme to Respond to Climate Change (NTP-RCC)
    23. 23. 23 1. Mainstreaming CCA into development: actors Vietnamese development policy Figure 8 - Government and all line Ministries (M. = Ministry; own composition)
    24. 24. 1. Mainstreaming CCA into development: actors Vietnamese development policy Figure 9 – Government institutional arrangements for responding to climate change (Waibel, 2010) 24
    25. 25. 1. Mainstreaming CCA into development: actors Vietnamese development policy Figure 10 – Organisation chart of the NTP-RCC (Government of Vietnam, 2008) 25
    26. 26. 1. Mainstreaming CCA into development: actors Vietnamese development policy Figure 11 – National Disaster Mitigation Partnership (NDMP) in Vietnam (Ministry of Agriculture and Rural Development (MARD), 2001) Disaster Risk Area 26
    27. 27. 1. Mainstreaming CCA into development: actors Vietnamese development policy Primary indicators Secondary indicators Grade Detail Cooperation New institutional arrangements No (1) Non-existent Low (2) Well functioning institutions in DRR area; creation of at least one CCA coordinative institution; strong sectoral fragmentation mainly due to Ministry of Environment Moderate (3) Well functioning institutions in DRR area; creation of at least one CCA coordinative institution; strong sectoral fragmentation due to general political context High (4) Well functioning institutions in DRR area; creation of at least one CCA coordinative institution; effective ministerial cooperation Table 6 – Detailed grading system for “new institutional arrangements”, actors dimension 27
    28. 28. 28 1. Mainstreaming CCA into development: actors JICA ACTORS LEVEL PRIMARY INDICATORS SECONDARY INDICATORS Macro Authority High-level CC authority Cooperation - Donor coalition - All-sector approach Stakeholder involvement - NGO engagement - Micro engagement Table 7 – Mainstreaming indicators for the actors dimension on the macro-level Macro
    29. 29. 1. To support the development and implementation of climate change policies and strategies based on the NTP-RCC 1. To serve as a platform for (1) aid harmonization, (2) policy dialogue, and (3) project formulation. 1. Mainstreaming CCA into development: actors JICA  2009, Support Programme to Respond to Climate Change (SP-RCC)
    30. 30. Climate Change related strategies, policies, etc. Policy Action Sectors Main Responsible Ministries MOIT MARD MOC Related ministries MOT, MOC, MOIT2) Transportation and Construction 3) Forestry and Agriculture 4) Waste Disposal 5) CDM 6) Water 8) Disaster Prevention 9) Forestry, Biodiversity and Agriculture 11) Health Care 7) Integrated Coastal Management 10) Transportation and Construction MOC etc MARD etc MARD MARD, BCA etc MOT, MOC MOH 12) Assessment, Monitoring & Evaluation 13) Financial Mechanism 15) Awareness Raising and Human Resource Development MOST MOF, MPI MPI MOET Mitigation Adaptation Cross- Cutting Pillars MONRE 1) Energy (Renewable Energy and Energy Efficiency) 14) Mainstreaming CC issues to development planning and Program Management of NTP-RCC and SP-RCC 10 Ministries and agencies 35 Depts together 1. Mainstreaming CCA into development: actors JICA Figure 12 – Outline of the SP-RCC
    31. 31. 1. Mainstreaming CCA into development: actors JICA Primary indicators Secondary indicators Grade Detail Cooperation Donor coalition No (1) Non-existent Low (2) Donor takes part in harmonisation effort for aid effectiveness Moderate (3) Donor takes part in harmonisation effort for aid effectiveness; donor takes part in harmonisation effort related to climate change High (4) Donor takes part in harmonisation effort for aid effectiveness; donor takes part in harmonisation effort related to climate change; donor is member of an aid effectiveness group within the Environment Ministry; government creates CCA platform with clear framework for climate change funding. Table 8 – Detailed grading system for “donor coalition”, actors dimension 31
    32. 32. RESOURCES LEVEL PRIMARY INDICATORS SECONDARY INDICATORS Meso Budget - Separate CCA financing - Pilot-projects - CCA budget mechanism 32 1. Mainstreaming CCA into development: resources Vietnamese development policy Table 9 – Mainstreaming indicators for the resources dimension on the meso-level MesoMeso
    33. 33. 33 1. Mainstreaming CCA into development: resources Vietnamese development policy Figure 13 - NTP-RCC allocation by categories (François Fortier, 2010, 233-234)
    34. 34. 34 1. Mainstreaming CCA into development: resources Vietnamese development policy • 2008, NTP-RCC: “a financial mechanism should be created for the State to ensure necessary resources and to mobilise domestic and international supports”. • 2006, Decree No. 131 on ODA management and utilisation: “financial planning related to ODA is the responsibility of the Ministry of Planning & Investment (MPI), in coordination with the Ministry of Finance (MoF)”. However, the Ministry of Natural Resources and Environment (MoNRE) is mainly responsible for CCA. For mainstreaming, MPI and MoF should decide over the CCA budget allocation over all sectors.
    35. 35. 35 Primary indicators Secondary indicators Grade Detail Budget CCA budget mechanism No (1) Non-existent Low (2) Approval of CCA budget mechanism; unclear roles of MPI and MoF Moderate (3) Approval of CCA budget mechanism; clear roles of MPI and MoF High (4) Approval of CCA budget mechanism; clear roles of MPI and MoF; MoNRE proposes single CCA funding schedule 1. Mainstreaming CCA into development: resources Vietnamese development policy Table 10 - Detailed grading system for “CCA budget mechanism”, budget dimension
    36. 36. 2. Mainstreaming CCA into development: resources JICA RESOURCES LEVEL PRIMARY INDICATORS SECONDARY INDICATORS Macro Budget - Separate CCA financing - Pilot-projects - CCA budget mechanism 36 Table 11 – Mainstreaming indicators for the resources dimension on the meso-level
    37. 37. 37 2. Mainstreaming CCA into development: resources JICA SP-RCC: • Loan agreement / budget support (2012: 248 million USD; 2013: 278-328 million USD) • However, lack of financial mechanism to allocate budget to climate change • 2010: creation of framework for financing climate change investments as a priority (Decision No. 8981/VPCP-QHQT, Dec. 10 2010) • 2011: Prime Minister approval • 2012: pilot application • 2013: regular operation of the framework According to the SP-RCC Programme Manager: “most striking achievement of the SP-RCC”
    38. 38. Primary indicators Secondary indicators Grade Detail Budget CCA budget mechanism No (1) Non-existent Low (2) Commitment of donors to align CC activities with Government plans; increased budget support; understanding of the need for financial mechanism and budget line Moderate (3) Commitment of donors to align CC activities with Government plans; increased budget support; matching of aid within NTP-RCC; Creation of separate CCA budget allocation mechanism High (4) Commitment of donors to align CC activities with Government plans ;increased budget support; aligining aid within NTP-RCC; full implementation of budget line CC projects 2. Mainstreaming CCA into development: resources JICA Table 12 – Detailed grading system for “CCA budget mechanism”, resources dimension 38
    39. 39. 39
    40. 40. Three Key Findings (2) 40 Figure 14 – 3 levels of mainstreaming, 3 different outcomes
    41. 41. Figure 15 - Overcoming the barriers through Mainstreamed Donor Policy Dialogue 41 Three Key Findings
    42. 42. 42
    43. 43. • Arts, B. and P. Leroy. “Institutional Processes in Environmental Governance: Lots of Dynamics, not Much Change?” Institutional Dynamics in Environmental Governance. Edited by Bas Arts and Pieter Leroy. Netherlands: Springer, 2006. • Arts, Bas, Pieter Leroy, Jan van Tatenhove. “Political Modernisation and Policy Arrangements: A Framework for Understanding Environmental Policy Change.” Public Organiz Rev, no. 6 (2006): 93- 106. • Fortier, François. “Taking a Climate Chance: A Procedural Critique of Vietnam’s Climate Change Strategy”. Asia Pacific Viewpoint, no. 3, (December 2010): 229-247. • Government of Vietnam. Approval of the National Target Porgramme in Response to Climate Change. Hanoi: Prime Minister Office, 2008. •Ministry of Agriculture and Rural Development, Disaster Management Centre, General Directorate of Water Resources. Establishment of a National Platform for Disaster Risk Reduction and Climate Change Adaptation in Viet Nam. Hanoi: MARD, 2010. •Parry, Martin L., Osvaldo F. Canziani, Jean P. Palutikof and Co-authors. “Technical Summary. Climate Change 2007: Impacts, Adaptation and Vulnerability.” In Contribution of Working Group II to the Fourth Assessment Report of the Intergovernmental Panel on Climate Change, edited by Martin L. Parry, Osvaldo F. Canziani, Jean P. Palutikof, Paul J. van der Linden and Clair E. Hanson, 23-78. Cambridge University Press, Cambridge, UK, 2007. • Persson Åsa and Richard J.T. Klein. “Mainstreaming Adaptation to Climate Change in Official Development Assistance: Challenges to Foreign Policy Integration.” In Climate Change and Foreign Policy: Case Studies from East to West, edited by Paul G. Harris, 162-177. London and New York: Routledge, 2009. • Waibel, Gabi. “State Management in Transition: Understanding Water Resources Management in Vietnam.” ZEF Working Paper Series, no. 55 (2010), 1-48. 43

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