International Workshop on International Climate Financing (University Leuven)

1. Hanne Louise KNAEPEN
10 December 2013
International Workshop on International Climate Financing (University Leuven) 1

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. 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. 1. Adapting to climate change
Figure 1 – Variations of the Earth’s surface temperature, 1000-2100
(Parry et al., 2007)
4

5. 1. Adapting to climate change
DEVELOPMENT PROBLEM
Figure 2 – Climate change vulnerability index 2012
(Maplecroft, 2012)
5

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. 1. Adapting to climate change
CLIMATE CHANGE
7

8. 2. Mainstreaming CCA into development
Climate Change
Adaptation(CCA)
mainstreaming
all sectors of
society
process of
development
policy planning &
implementation
8

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
2. Mainstreaming CCA into development
Figure 4 - Four key explanatory factors to understand policy change
(Arts & Leroy, 2006)

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. 3. Measuring mainstreaming: discourse, actors, rules & resources
Figure 6 - Development of PAA for 3 levels
12

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. 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. 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. 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. 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. 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. 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. 1. Mainstreaming CCA into development:
actors
• Vietnamese development policy
• JICA
1. Mainstreaming CCA into development:
resources
• Vietnamese development policy
• JICA
20

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
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
1. Mainstreaming CCA into development: actors
Vietnamese development policy
Figure 8 - Government and all line Ministries (M. = Ministry; own composition)

24. 1. Mainstreaming CCA into development: actors
Vietnamese development policy
Figure 9 – Government institutional arrangements for responding to climate change
(Waibel, 2010)
24

25. 1. Mainstreaming CCA into development: actors
Vietnamese development policy
Figure 10 – Organisation chart of the NTP-RCC
(Government of Vietnam, 2008)
25

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. 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
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. 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. 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. 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. 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
1. Mainstreaming CCA into development: resources
Vietnamese development policy
Figure 13 - NTP-RCC allocation by categories
(François Fortier, 2010, 233-234)

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
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. 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
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. 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

40. Three Key Findings (2)
40
Figure 14 – 3 levels of mainstreaming, 3 different outcomes

41. Figure 15 - Overcoming the barriers through Mainstreamed Donor Policy Dialogue
41
Three Key Findings

42. 42

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43