1. Module III.4 Mainstreaming adaptation into development planning Trainer: [Name]

2. Overview of this module
How does mainstreaming relate to the NAP process?
What´s behind mainstreaming adaptation into development?
How to do it?
Enabling factors
We will see how mainstreaming relates to the NAP process…
...and what’s behind mainstreaming adaptation into development.
We will have a closer look at how mainstreaming is done
And we will discuss the enabling factors for mainstreaming

3. What can you expect to learn from this session?
Understand how mainstreaming and political processes are interwoven
Understand the purpose of mainstreaming and how it works
Reflect on effectiveness of mainstreaming
At the end of this module, you should:
Understand how mainstreaming and political processes are interwoven – and that sequencing of mainstreaming in the political process matters.
You will have learned the purpose of mainstreaming and how it works
And we will have reflected on effectiveness of mainstreaming
(After the exercise, establish the link to this slide “what can you expect to learn”)

4. Mainstreaming is the essence of the NAP process
Objectives of NAP
Reduce vulnerability
Integrate (= mainstream) climate change adaptation into new and existing development planning processes, within all relevant sectors and levels
UNFCCC, 5/CP.17
During COP 17 in Doha the following decision was adopted by the conference of the parties (see below for French)
1. [The conference of the party] Agrees that the objectives of the national adaptation plan process are as follows:
(a) To reduce vulnerability to the impacts of climate change, by building
adaptive capacity and resilience;
(b) To facilitate the integration of climate change adaptation, in a coherent
manner, into relevant new and existing policies, programmes and activities, in particular
development planning processes and strategies, within all relevant sectors and at different
levels, as appropriate;
1. [La Conférence des Parties] Convient que les plans nationaux d’adaptation destinés à élaborer et à
appliquer des mesures d’adaptation ont pour objectif:
a) De réduire la vulnérabilité aux incidences des changements climatiques en
renforçant la capacité d’adaptation et la résilience;
b) D’intégrer de manière cohérente l’adaptation aux changements climatiques
dans les politiques, les programmes et les travaux pertinents, nouveaux ou en cours, en
particulier les processus et les stratégies de planification du développement, dans tous les
secteurs concernés et à différents niveaux, selon qu’il convient;

5. What does mainstreaming mean?
Do things different because of climate change - wherever necessary
Systematically identify significant risks and opportunities for development
Modify affected policies, strategies, plans
Implement them
Mainstreaming adaptation into development means to do things different because of current and future climate change, wherever it is necessary. Mainstreaming has to be done at different planning and budgeting levels - starting from local level up to sectoral and national levels.
Precisely speaking, mainstreming means to
1. Systematically identify significant risks for development … … that are caused by climate change and … … that threaten the success of development policies, strategies and plans … … and modify the affected policies, strategies and plans to reduce these risks ... … and implement the policies, strategies, plans.
2. Systematically identify significant opportunities… … that are caused by climate change … … and that may be captured to increase the success of development policies, strategies, plans … … and modify the policies, strategies, plans to capture these opportunities … … and implement the policies, strategies, plans.
3. Take enough time, resources and diligence for doing 1. and 2.!

6. Why mainstream adaptation?
Costs and destructive impacts of CC not prevented by adding some extra adaptation measures
Mainstreaming rather than stand-alone measures  Address vulnerabilities in different areas systematically and in the long-term
Improve chances to access international climate funds
Why mainstream adaptation?
The destructive impacts of climate change and the related costs will not be prevented by just adding some extra adaptation measures on top of the status quo.
We need to mainstream adaptation rather than implement stand-alone measures if we want to address vulnerabilities in different areas systematically and in the long-term. This does not necessarily mean that fundamental changes are needed, but we should aim for a culture that anticipates climate change risks and makes climate-smart decisions in all areas.
Mainstreaming improves chances to access international climate funds. Chances are much higher if domestic funds have been allocated to climate change adaptation through mainstreaming. These funds then can serve as co-financing from national counter parts. Allocating (even small) domestic funds shows the international donors the ambition and ownership of the country.
Examples:
For example, Kenya’s Vision 2030 calls for enhancing disaster preparedness in all disaster-prone areas and improving capacity to adapt to climate variability and change.
The 2006 PRSP (Poverty Reduction Strategy Paper) for Mozambique and the 2007 PRSP for Madagascar underline that these countries are vulnerable to natural disasters and highlight prevention and mitigation of disasters, including forecasting systems and mapping of risk zones, as priority interventions.
Examples
Kenya’s Vision 2030
Mozambique 2006 PRSP and Madagascar PRSP 2007

7. How to mainstream in plans and budgets
National Plan & Medium Term Budget/ Expenditure Framework - taking CC into account
NATIONAL BUDGETING PROCESS
Final Evaluation
National Budget
CCA Funds
NATIONAL PLANNING PROCESS
Mid Term Review of National Plan/Sectoral Plan & Adjustments
Sectoral Plans Medium Term - taking CC into account
The relation between the national budget and adaptation funding (right graph)
Adaptation and development are closely linked. This is why we can discern in each vulnerable sector of the national budget two types of costs: costs of Business-as-Usual (BAU) development (National Budget – white bars) and additional adaptation costs (CCA Funds - blue bars). BAU refers to activities that would be implemented also in absence of climate change. The additional adaptation costs are those costs that are necessary to reduce vulnerability and increase adaptive capacity to the impacts of climate change. Linking CCA funds directly with the national budget is crucial for sustainable implementation of climate change adaptation measures. It is the precondition for well coordinated, maintained and long-term action.
The national planning and budgeting cycle (left graph)
Mainstreaming adaptation means taking it into account in the entire planning and budgeting cycle
This starts with the National Plan and the Medium term Budget/Expenditure Framework
Likewise, it needs to be mainstreamed into the Sectoral Plans that define sector priorities for the medium term and in sector budgets that allocate the financial resources for these plans. A possible entry point for this is the annual budget framework letter with which the ministry of finance requests sector ministries to submit their annual sector budget.
Once the programs have been budgeted they need to be implemented and monitored, while taking into account climate change.
Furthermore, during the Mid Term Review of the National Plan and Sectoral Plans the progress towards integrating climate change should be assessed. After completion of the implementation process, a final evaluation is conducted to determine the results and learn from it. This evaluation should also take into account climate change.
Annual Implementation & Monitoring
Annual sectoral budgets - taking CC into account

8. Steps for mainstreaming adaptation
How could development goals be affected by climate change?
Analyze climate vulnerabilities
Which policies, plans and budgets need to be modified to reduce the vulnerabilities?
Identify entry points
What adaptation options might be relevant to reduce the vulnerabilities?
Change policies, plans and budgets
What ressources and capacities are required?
Who is responsible?
Implement them
Steps for mainstreaming adaptation
1. Mainstreaming requires a good understanding of climate vulnerabilities/risks … We need to know how development goals could be affected by climate change.
There exist different tools and approaches to systematically analyze these risks. Most of them follow a similar generic logic starting from climate parameters, exposed units to potential impacts and an overall assessment of risks.
But mainstreaming is not only about tools and analyses. Equally important, it entails an institutional change process, including the definition of new policies or regulations, new institutional responsibilities, the creation of incentives and responses to barriers.
2. Having gained an understanding of climate risks, we have to find entry points for adaptation. “Which policies, plans and budgets need to be modified to reduce the vulnerabilities?“ To identify the entry points, we need to take stock of the current state of adaptation planning in the country/the current situation. (refer to Module II.1 „Stocktaking“)
3. The third step is to identify what actions are required to change policies, plans, procedures and budgets accordingly.
4. For implementing these policies, plans und budgets in the next step, we have to consider what ressources and capacities are required and determine responsibilities and timelines for implementation.

9. Example: Vulnerability screening in the agriculture sector
Development goal: Achieve six percent agricultural GDP growth rate
A) How could the goal be affected by climate change?
B) Which documents/ budgets need to be modified?
C) What adaptation options might be relevant?
D) What actors should contribute to next steps?
Lower yields of major crops because of:
Lower rainfalls during main agricultural cultivation period
Increase of droughts/ floods
Temperature increase …
National growth strategy
Agricultural sector strategy
Action plan
Sector budget
Local plans
Promote/ increase investments in irrigation
Promote/ increase investment in resilient transport infrastructure
Improve climate services
Ministry of Agriculture
State Water Authority (Irrigation department)
Office of meteorology
Lets have a look at an example and see how this works in practice:
Vulnerability screening in the agriculture sector
The Development goal is: to achieve six percent agricultural GDP growth rate (GDP =Gross domestic product).
A) How could this goal be affected by climate change?
Climate change leads to lower yields of major crops because of:
Lower rainfalls during main agricultural cultivation period
Increase of droughts/ floods
Temperature increase
 These are climate risks we have to consider.
B) Which documents/ budgets need to be modified to reduce these risks? Relevant might be:
The National growth strategy
Agricultural sector strategy
Action plan
Sector budget
Local plans …
In these documents and budgets we might find entry points for mainstreaming adaptation
C) What actions are required?: For example, it is necessary to
Promote/ increase investments in irrigation
Promote/ increase investment in resilient transport infrastructure
Improve climate services
 Change the policies, plans and budgets to include these actions
D) What actors should contribute to next steps (and be responsible for the implementation)?
Ministry of Agriculture
State Water Authority (Irrigation department)
Office of meteorology

10. Enabling factors for mainstreaming
Policy
Organisational
Operational
Strong/ early political support and mandate
Functional structures of data exchange and coordination
Available funding, incentives and obligations
Strong leadership
Buy in from stakeholders of different sectors
Champions with strong technical and management skills
Adequate information
Adequate information,
available tools, systematic approach
Success factors for mainstreaming
Policy
Win political support early for clear priorities, rules, regulations, mandates for adaptation planning
Leadership for transformational changes
Adequate information necessary to win broad support (e.g. on costs of inaction), (Studies  create evidence)
Organisational
Functional structures of data exchange and coordination
Buy in from stakeholders of different sectors and facilitate exchange among stakeholders from the beginning – as mainstreaming concerns all sectors! Stakeholders can help to identify appropriate entry points (e.g. they know the policy process “from the inside”/ key actors and most relevant policy processes)
Provide adequate information on organizational aspects (e.g. expert help desk, general & sector guidances, trainings etc.); ‘learning component‘ of adaptation, related to M&E of adaptation
Operational
Reduce resistance  available funding/mobilize funds, mix of incentives and obligations necessary
Champions with strong technical and management skills
Use adequate information, have available tools, step/systematic approach is ideal type way of mainstreaming  Sequencing of mainstreaming actions aligned to the political process (one-dimensional dependence exists, e.g. in case a new sector strategy is developed, mainstreaming activities have to start)
Addressing all planning and capacity levels / ensure linkage to local level and from local to national level (key for implementation)

11. Exercise: Climate change vulnerability screening of development goals – I
You are members of the Ministry of Environment (MOE), which is appointed with the general coordination of ACC
The MOE wants to mainstream adaptation into the new National Development Plan as being currently elaborated.
The parameters of CC and climate change impacts as projected for 2050 are shown in Exhibit 2.
You undertake for the goals an in-depth assessment based on the steps as shown in the Matrix III.4.1.

12. 1st column: relevant goals as proposed for the Five-Year-Plan
Exercise: Climate change vulnerability screening of development goals – II
1st column: relevant goals as proposed for the Five-Year-Plan
2nd column: identify the relevance of climate change to the respective goal in detail
3rd column: devise first strategic approaches which might reduce the vulnerability for the identified goals
4th column: mention concerned stakeholders

13. Imprint
Published by Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH
Climate Policy Support Project
Dag-Hammarskjöld-Weg Eschborn, Germany T F
Contact E I
Responsible Nele Bünner, GIZ
Author Till Below
This presentation is part of a NAP country-level training that has been developed by GIZ on behalf of BMZ and in cooperation with the NAP Global Support Programme (NAP-GSP), in particular UNDP and UNITAR.
The training is designed to support countries in setting up a National Adaptation Plan (NAP) process. It builds on the NAP Technical Guidelines developed by the Least- Developed Countries Expert Group (LEG).
You are welcome to use the slides, as long as you do not alter its content or design (including the logos), nor this imprint. If you have any questions regarding the training, please contact Till Below or Nele Bünner at GIZ. For questions related to the Technical Guidelines, please refer to the UNFCCC’s NAP Support Portal.
As a federally owned enterprise, the Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH supports the German Government in achieving its objectives in the field of international cooperation for sustainable development. GIZ also engages in human resource development, advanced training and dialogue.