A Blueprint for NDC implementation support – Assessment and synthesis of existing overall NDC implementation support concepts Working Paper

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Acronyms BAU Business as Usual BUR Biannual Update Report CCAP Center for Clean Air Policy CCBA Climate Change Benefits Approach CDKN Climate Development Knowledge Network COP Conference of Parties CPEIR Climate Public Expenditure and Institutional Review GGGI Global Green Growth Institute GHG Greenhouse Gases GIZ Deutsche Gesellschaft für Internationale Zusammenarbeit HCD Human Capacity Development IFF Investment and Financial Flows IKI International Climate Initiative INDC Intended Nationally Determined Contributions LEDS Low Emissions Development Strategies M&E Monitoring and Evaluation MRV Measurement, Reporting, Verification NAMA Nationally Appropriate Mitigation Action NAP National Adaptation Plan NDC Nationally Determined Contributions SDG Sustainable Development Goal SIDS Small Island Developing States SPA Support Project for the Implementation of the Paris Agreement UNDP United Nations Development Programme UNEP United Nations Environment Programme UNFCCC United Nations Framework Convention on Climate Change WRI World Resources Institute

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Table of contents Acronyms ................................................................................................................................... 2

Table of contents ....................................................................................................................... 3

1 Introduction ....................................................................................................................... 4

2 A Blueprint for NDC implementation support and capacity development based on existing concepts ........................................................................................................................ 6

2.1 Recommended revised concept approach ................................................................ 6

2.2 Next steps on knowledge platforms and structures ................................................ 10

2.3 Knowledge and capacity development .................................................................... 10

3 The Blueprint for NDC implementation in practice ......................................................... 12

3.1 Capacity building to local suppliers to plan for NDC implementation in Uganda Zambia, and Kenya ............................................................................................................... 12

3.2 Technical assistance to strengthen the NDC focal point capacity, and develop NDC implementation plans and roadmaps in Thailand and Cambodia ....................................... 12

3.3 Developing sectoral climate change plans and accelerating finance to NDC in Nigeria 13

3.4 A deep-dive into China’s NDC implementation methodology ................................ 14

4 Overview of NDC implementation support tools and guides .......................................... 18

4.1 Planning for NDC implementation: A Quick-Start Guide (CDKN) ............................ 18

4.2 Sectoral implementation of Nationally Determined Contributions (NDCs) (GIZ) ... 20

4.3 Resource Guide for NDC finance (LEDS Global Partnership) ................................... 22

4.4 NDC Implementation Roadmap Development: Guidelines for Small Island Developing States ................................................................................................................. 23

4.5 Global NDC Conference 2019: Key messages .......................................................... 24

4.6 NDC Implementation Futures – Policy Recommendations from the 2018 NDC Support Cluster Workshop Series ........................................................................................ 25

4.7 Models for Human Capacity Development (GIZ) ..................................................... 26

5 Overview of relevant knowledge platforms .................................................................... 29

5.1 Partnership on Transparency in the Paris Agreement ............................................. 29

5.2 World Bank’s Intended Nationally Determined Contributions (INDCs) .................. 29

5.3 NDC Partnership ....................................................................................................... 30

5.4 NDC Cluster Toolbox ................................................................................................ 31

Appendix 1: Basis for Gap Analysis .......................................................................................... 33

Appendix 2: Summary of tools available from NDC Toolbox .................................................. 34

Appendix 3: End notes selection .............................................................................................. 36

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1 Introduction

This document provides an updated concept approach and knowledge and capacity development for NDC implementation going forward, in addition to showcasing practical, in-country applications. It also summarises the available evidence and documentation to guide planning. As such, the document is expected to benefit in-country stakeholders, GIZ, NDC implementation partners, and practitioners, both in developing technical assistance programmes, and in implementing the guidance. It is clear that NDC implementation is gaining strong attention, as evidenced by the vast literature and knowledge material available, but an updated guidance framework, using available best practice, is now necessary. The Second Global NDC Conference held in June 2019 in Berlin has been an appropriate venue for stakeholders to reconvene and prioritise the way forward, ahead of the Climate Action Summit in September in New York, and COP 25 in Santiago-Chile. This is in fact a crucial time, to ensure that all countries not only meet their NDC commitments, but are also able to raise their ambition, thereby avoiding catastrophic climate change. It is therefore imperative that information and guidance are streamlined, scaled up (in terms of volume) and out (to achieve high geographical spread), and revised and adapted in a way that is user friendly and practical, whilst at the same time ensuring they maintain, or strengthen, their rigour. To achieve the above, it is recommended that supporting agencies and practitioners shift as much as possible the attention from knowledge creation to application, that they keep efficiency and effectiveness in mind, by using their value added and reducing duplications, and they coordinate approaches and actions, to avoid providing impractical or erroneous guidance. After this introduction, this document is structured as follows:

• Section 2: Blueprint for NDC implementation

• Section 3: The Blueprint for NDC implementation in practice

• Section 4: Overview of NDC implementation support tools

• Section 5: Overview of relevant knowledge platforms

The Appendices contain 1. The basis to carry out an NDC assessment and gap analysis 2. The summary of tools available from NDC Toolbox; and 3. End notes

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On behalf of the German Federal Ministry for the Environment, Nature Conservation and Nuclear Safety (BMU), the Support Project for the Implementation of the Paris Agreement (SPA) works at the interface between German international climate policy and development cooperation. As an overarching advisory project, we aim to link needs to solutions.

We strengthen global initiatives and networks that support partner countries in reducing greenhouse gas emissions, increasing their adaptive capacities as well as monitoring, learning and communicating this transparently.

Our aim is to enable partner countries to implement and enhance their NDCs, Long-Term Low Greenhouse Gas Development Strategies (LTS) and NAP processes. We act through three initiatives: The NDC Partnership, the Low Emission Development Strategies Global Partnership (LEDS GP) and the NDC Support Cluster. Furthermore, we collaborate closely with the NAP Global Network.

Through the NDC Support Cluster, for which we also hold the secretariat, we collaborate with all implementing partners on thought leadership and technical resources and enable learning across countries and international institutions. We come together to identify, share and proliferate what works and what is needed for credible, ambitious and long-term oriented NDC implementation.

Products and results strategically inform BMU’s IKI, and are fed into the NDC Partnership, and the international conversation.

Further information: http://www.ndc- cluster.net

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2 A Blueprint for NDC implementation support and capacity development based on existing concepts

This section contains the recommended updated Blueprint for NDC implementation, and related platforms and knowledge and capacity to be developed. The findings and recommendations below are based on a review of all the documents in the different platforms, combined with the consultant’s analysis and practical experience in supporting countries in planning for NDC implementation and NDC revision, including Nigeria, Thailand, Zambia, Uganda, Cambodia, and Myanmar, following a similar approach as below.

2.1 Recommended revised concept approach

The diagram below summarises the recommended revised concept approach for NDC implementation. Figure 1 Blueprint for NDC implementation

Source: Consultant analysis The Blueprint, overall, follows CDKN’s Planning for NDC implementation: A Quick-Start Guide – presented in Section 4.1, and supplemented with additional resources developed by NDC support agencies and implementation practitioners, where relevant. It is structured around three phases of 1) Preparation; 2) Planning; and 3) Implementation. It is expected that the first two phases will be frontloaded at the start of the implementation process, revised for validity every five years, and implementation will be carried out throughout the NDC timeframe. Of course, the concept approach will need to be tailored, where necessary, to the specific country context and circumstances.

1. Preparation

2. Planning

3. Implementation

NDC Assessment/Gap analysis Implementation plan/Roadmap

• Across all components through desk review and stakeholder interviews

• Use ‘Basis for questionnaires’ in Appendix 1

• Use a rating system (Red/Amber/Green)

Example for finance:

Review of NDC Strategic questions

• Use information from World Bank’s INDC website

• Use CDKN’s Quick Start Guide across all components

• Use NDC Clusterapproach oflinkingdocuments tothe components

• Scope/coverage:o All components?o Existing climate

plans?• Timeframe:o Alignment with

domestic timeframe?

o 2020-2025-2030?o Include more

detail to 2020 and less afterwards?

• Integration:o With SDGs?o With climate

plans?o With others?

• With narrative and a workplan• Based on gaps identified in NDC

Assessment and Gap Analysis• Use as basis GGGI’s NDC Roadmap

Development: Guidelines for Small Island Developing States

• Include:o Sequencing of activitieso Resource needso Roles and responsibilities

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2. METHODOLOGY AND PROCESS FOR NDC ROADMAP DEVELOPMENT

The methodology presented here for developing an NDC Roadmap consists of five steps that integrate an inclusive

stakeholder engagement process while delivering specific outputs (see Figure 1). The five steps build upon each

other, and the outputs are used to build the NDC Roadmap into a final useable document. Some of the steps

may undergo one or more iterations or happen in parallel. This methodology and process are described in detail

in sections 3 to 7.

Step 1 of the methodology focuses on the essential preparatory actions and key considerations for the

development of the NDC Roadmap. To set the basis for a smooth and effective development process, decisions

on these issues should be addressed early on and documented in an inception report or work plan as a reference

for stakeholders involved in developing the NDC Roadmap.

Step 2 consists of compiling all available national- and sectoral-level information in written form and through

one-on-one interviews with stakeholders, and then determining the accuracy of the information and the need for

additional data collection. The results from this step can be documented in an interim note so that key stakeholders

can help facilitate additional information gathering.

Step 3 covers building the outline of the NDC Roadmap by identifying and detailing existing and new mitigation

actions that have the potential to be included in the NDC Roadmap. The outputs from this step include

a fundamental analysis report, which incorporates an options analysis and prioritization exercise. The fundamental

analysis report and its results are then used to inform stakeholders of the potential for action and obtain their

qualified feedback.

Step 4 involves building the body of the NDC Roadmap and details the core components and expected results

of the NDC Roadmap, which are presented in a draft NDC Roadmap document to the key stakeholders.

Step 5 involves validation of the NDC Roadmap and preparation of the final NDC Roadmap document.

Step 1Preparatory Actions and Key Considerations

Step 2Review of Data and Information

Step 3 Fundamental Analysis

Step 4Preparation of the NDC Implementation Roadmap

Step 5Validation and Finalization of NDC Implementation Roadmap

Outputs

Inception Report

Interim Note

Fundamental Analysis Report

& Summary

Draft NDC Roadmap

Final NDC Roadmap

Figure 1 Methodology and process for NDC Roadmap development

Stakeholder engagement• No guidance currently available

Coordination of climate actions• No overall guidance currently available• For sectoral implementation, use

guidance from ‘Sectoral implementation of nationally determined contributions (NDCs)’

Updating of the NDC• No guidance currently available

Capacity development and building• Adapt from GIZ’s Models for Human

Capacity Development

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The three phases are presented below.

1. Preparation. This is a necessary phase to ensure that the information on the existing NDC is captured, in addition to there being space for discussions around the strategic framing. The phase, hence, includes:

a. The Review of the NDC across the five components in CDKN’s Quick Start Guide of governance, mitigation, adaptation, finance, and MRV (to note, MRV can be modified to ‘transparency’, to account the inclusion of M&E and M&E/MRV of support). The NDC Cluster approach of linking documents to the different components can be used, with also linkages across components, to avoid a siloed approach (presented in Section 5.4). The information from the World Bank’s INDC website (presented in Section 5.2) can be used for reference.

b. Discussion, preferably in a multi-stakeholder setting, and agreement of preliminary Strategic Questions. These can include:

i. Scope (or coverage of the plan). For example, countries can decide whether to include: all five components above or select some (it is advisable to include all for completeness, as they are very much interlinked); other UNFCCC related activities (such as National Adaptation Plans-NAPs and NAMAs); and activities related to the revision of the NDC.

ii. Timeframe (or period covered). NDCs cover the period to 2025 or preferably to 2030. Implementation plans need to cover the entire period, but it is recommended to include more detail at the start, in order to capture all the activities to be carried out before 2020, when countries would focus their efforts on setting up processes. Whatever the timeframe, it is important to build in regular opportunities for review.

iii. Integration (with other plans and policies). This question relates to mainstreaming climate change and NDCs in national planning, in particular with the SDGs. Successful integration will depend on ensuring a common link between plans and strategies that directly or indirectly relate to climate change – even if the NDC plan is a separate document.

2. Planning. Even though each country will carry out NDC implementation according to its own processes, planning for implementation is likely to include an NDC Assessment and an NDC implementation plan or roadmap.

a. An NDC assessment can be carried out across the five components of CDKN’s Quick Start Guide, and include deep dives into key sectors, leading to a gap analysis. Appendix 1 contains the full list of questions that can form the basis for this task.

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The status of implementation can be rated as follows:

= activity has been undertaken = activity has started or is planned to be carried out, with a plan for resourcing

= activity has not been carried out or planned for yet, with consequently no resources allocated to it.

The assessment can be prepared through a document review (of plans, policies, projects) and stakeholder interviews, coupled with quantitative analysis and modelling, depending on the existence and sophistication of the MRV system.

b. The development of an NDC implementation plan or roadmap, would follow.

It is advisable to include both a narrative form, with information and detail of the activities, and a workplan for monitoring and communication purposes. The latter can also be developed into an online portal. Both would include sequencing of activities, resource needs, and roles and responsibilities – both for coordination and implementation. Useful reference to develop a roadmap is contained in GGGI’s NDC Roadmap Development: Guidelines for Small Island Developing States (adapted to cover not only SIDS), detailed in Section 4.4. The components are structured as in the diagram below, where mitigation and adaptation actions are supported by MRV and Finance, and Governance provides an institutional framework for implementation.

Figure 2 NDC implementation components

Source: Adapted from CDKN and Ricardo (2016), and team analysis

Finance

Governance

NDC Revision AdaptationMitigation

MRV / Transparency

Governance: Putting in place the appropriate institutional structures and processes to drive and coordinate climate action and to engage key stakeholders.

Mitigation: Long-term mitigation strategies aim to reduce GHG emissions through national and sector plans that are aligned with development priorities.

Adaptation: Integrated adaptation planning builds long-term resilience to the impacts of climate change by mainstreaming adaptation into national and sectoral plans.

MRV/Transparency: (Measurement, Reporting and Verification; also known as transparency): systems to track implementation and apply the lessons learned, thus enhancing understanding about which actions work best, and why.

Finance: A climate finance framework should match a country’s needs against funding streams, and include strategies to access these.

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3. Implementation. Achieving the Paris Agreement goals through the NDC commitments will involve strong and ongoing effort, coordination and engagement across governments and stakeholders, with the NDC focal point being responsible for its delivery. The majority of implementation activities are likely to be undertaken at the sectoral and subnational level, and many actions in the plan will need to be delivered by non-state actors. Consequently, it will be necessary to carry out the activities below. At the point of writing, there are no supporting document specific to NDC implementation for the activities below, apart from the guidance contained in the CDKN Quick Start Guide, and approaches that can be adapted from Models for Human Capacity (in Section 4.7).

a. Coordination of climate actions. The governance module in CDKN’s reference manual provides a list of additional activities that could be considered, including agreeing cooperation approaches between key departments, putting in place plans for periodically reviewing ambitions, and allocating resources for NDC implementation.

b. Stakeholder engagement. Not only internal/governmental stakeholders, but also external (from NGOs to academia, to the financial and private sector) will need to play a strong role in NDC implementation, if the commitments are to be realized.

c. Updating of the NDC. In order to increase global ambition, countries are required to revise and submit their NDCs every five years. Revised NDCs may include more sectors and actions, and higher targets, among other elements.

d. Capacity development and building. It is expected that capacity of key stakeholders in a number of sectors in all components will need to be built. The most common capacity issues relate to the development of BAU and mitigation scenarios, options appraisal, development of climate investment plans and project pipelines, and the development of MRV/transparency systems.

The recommended format for capacity development and suggested tools is presented in the table below. Table 1 Capacity development for NDC implementation

Format Application to NDC Implementation Tools

Capacity creation • Co-development of new knowledge material and tools (as identified above)

• Co-revision of existing knowledge and tools

• Peer-to-peer • E-Learning • Joint learning • Blended Learning • Training courses • Study tours

Capacity application • Uptake and sharing of new or revised knowledge and tools

• Creation of contextualised knowledge and tools

• On-the-job-coaching • Near-the-job-coaching • Mentoring / Leadership • Training of trainers • Workshops

Capacity retention • Building and retaining of capacity of practitioners and government staff to develop new NDCs – with all the related capacity required in different areas

• Follow-up workshops and training • Creation of networks multiplicators • Transfer-projects • On boarding of incoming staff • Knowledge management

Source: GIZ notes and team analysis

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2.2 Next steps on knowledge platforms and structures There a numerous knowledge platforms and information aggregators. They have overlapping mandates and similar information, although structured somewhat differently. It is very challenging, even for expert practitioners, to navigate such a variety and amount of information. While this document was being developed, the NDC Partnership website underwent a relaunch, addressing some of the concerns on potential duplication and unclear structures. It is therefore recommended to keep the NDC Partnership website as the main coalescing platform to guide NDC implementation, with the following recommendations.

• Best practices: Libraries of best practices are extremely useful. However, they are present in a number of platforms. Also, at times they are not updated, and it is difficult to find the most relevant information. For example, if searching for lessons to integrate NDC planning for implementation in sectoral and national planning, countries like Vietnam and Sao Tome’ and Principe are presented as examples of good progress. However, it has not been possible to find the related information in the country websites. It is recommended to ensure that best practices are updated regularly, links are functioning properly, and information is relevant – possibly keeping the most relevant case study as highlight.

• Document types: In the different websites it is often difficult to separate between

documents that are predominantly tools, conceptual frameworks, or knowledge material. Only through an intensive search and analysis it is possible to distinguish them. There is a particular gap in practical tools for NDC implementation. The most comprehensive one is the CDKN Quick Start Guide, but the most useful to develop an NDC plan or roadmap is GGGI’s NDC Implementation Roadmap Development: Guidelines for Small Island Developing States (although it focuses on SIDS and on Fiji). It is recommended to distinguish between document types (tools, conceptual frameworks, knowledge material, and any other) and develop more step-by-step toolkits.

2.3 Knowledge and capacity development Despite there being a large amount of information available, from the more conceptual to the more detailed and technical, there are a number of gaps. Based on the review of NDC documentation, as well as in-country experience, the development of additional knowledge and capacity development material, in the form of tools and guidance, is recommended in the areas below. Governance

• Integration of NDCs into national and sub-national planning • User-friendly tools and infographic material - specially to track emission reductions

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• Terms of reference for NDC focal point and implementing stakeholders • Development of a comprehensive stakeholder engagement plan • Innovative stakeholder engagement tools, such as prototyping • Innovative awareness tools, such as videos, documentaries, social media platforms -

to move away from guidance only for practitioners and to open more widely to the public

• Development of messages for different audiences (from government, to private and financial sectors, to schools and communities)

• Incentives for data sharing across implementing entities

Mitigation • Integration of NDCs with BURs and National Communications • Development of low carbon emissions pathways (in a consultative manner) • Appraisal of policy options and cost-benefit analysis tools

Financing

• Costing of NDC actions (both direct and indirect or cross-cutting) • Updated sources of finance mapping, especially for mitigation • Breaking down of NDC information for the private and financial sector • Repository of information on accessing finance • Blended finance tools - with varying degrees of concessionality • Ways to incentivize the private sector to participate in policy development, without

creating conflicts of interest

MRV/Transparency • Two-way linkages to UNFCCC and COP websites and documentation • Easy to use toolkit for Paris Rulebook, and considerations to keep in mind for the

next negotiations.

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3 The Blueprint for NDC implementation in practice A number of countries have planned for NDC implementation, following the structure (or part of it) recommended in Section 2. Presented below is an overview of the approach of a few of these, based on the consultant’s experience – Uganda Zambia and Kenya, Nigeria, and Cambodia and Thailand. This section also includes a deep-dive in the NDC implementation methodology followed by China, as part of the Sino-German Partnership delivered by GIZ. Although this approach is slightly different from the Blueprint, it is a useful reference especially for countries, like China, that have large economies and very structured planning processes. 3.1 Capacity building to local suppliers to plan for NDC implementation in Uganda

Zambia, and Kenya CDKN piloted the NDC Implementation Quick Start Guide in Uganda, Zambia and Kenya1. In-country suppliers were contracted to deliver the pilot projects. The objectives were to provide:

• Scoping advice to the CDKN team on how the guide could be used in each country • Training to the selected suppliers and ad hoc guidance on its application • A recorded webinar to launch the Guide for general audience, with a view to

publicising it and promoting its uptake by developing countries • Conclusions to CDKN on lessons from the pilot and recommendations.

The Quick Start Guide was used as a basis for NDC Assessment and Gap Analysis. In Uganda, all five components were used, Zambia decided to prioritise Adaptation, Governance, and Finance, while Kenya focused on MRV. 3.2 Technical assistance to strengthen the NDC focal point capacity, and develop

NDC implementation plans and roadmaps in Thailand and Cambodia Also in Thailand2 and Cambodia3, the CDKN Quick Start Guide approach was used for planning for NDC implementation, and to support the NDC focal points in their tasks, in particular on stakeholder engagement. A summary of the NDC Roadmap for implementation in Cambodia is below. The underlying documents contain more information on the NDC assessment and activities to be carried out, and a roadmap in excel format was developed for monitoring purposes.

1 Through the CDKN-funded project: ‘NDC Implementation: QSG Pilot in Uganda, Zambia, and Kenya’ (2016) 2 Through the GIZ-funded project: ‘Supporting the preparatory steps for the development and implementation of the Thai NDC’ (2017) 3 Through the UNDP-funded project: NDC Roadmap and Stakeholder Engagement Plan (2019)

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Figure 3 Summary of NDC implementation in Cambodia

Source: Adapted from CDKN and Ricardo (2016), and team analysis In Thailand, the outcome of the prioritisation exercise carried out through a multi-stakeholder workshop is summarised below. Figure 4 Outcome of prioritisation exercise of Thailand NDC implementation

Source: Adapted from CDKN and Ricardo (2016), and team analysis 3.3 Developing sectoral climate change plans and accelerating finance to NDC in

Nigeria In Nigeria, the Department of Climate Change of the Ministry of Environment coordinated the development of sectoral action plans for the five prioritised sectors in the NDC: power, transport, agriculture, oil and gas, and industry. While sectoral plans don’t necessarily need to all be the same, there is benefit in them following a similar structure. An example of a sectoral action plan for Nigeria is below.

Finance

Governance

NDC Revision AdaptationMitigation

MRV / Transparency

Coordination, integration, capacity building, stakeholder engagement, development of legal frameworks

Integration of actions into NDC and sectoral action plans

Development of a climate investment plan and project pipeline

Development of an MRV/transparency system (adaptation, mitigation, finance) and improvement over time

Creation of NAP-NDC linkages

Review climate finance landscape and assess costs and funding gaps

Develop a climate investment plan and project pipeline

Enhance private sector engagement

Track and report spending

Analyse mitigation potential and priority sectors

Design mitigation policies

Start preparation of future NDCs

Establish institutional arrangements

Assess data gaps and needs

Design sectoral MRV system

Establish data management process

Capacity building

Design a (cross-)sectoral M&E system

Establish coordination of finance activities

First priority action

Second priority action

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Table 2 Sample content and structure for sectoral action plans Section Content

Introduction • Country context • Vision and development priorities • INDC and NDC implementation

Background • Policies and plans • Governance and institutions

Mitigation • Business as Usual (BAU) • Vision and targets • Mitigation measures

Adaptation • Vulnerability and impacts • Adaptation measures

Financing • Finance needs • Finance sources • Project pipeline

MRV • NDC implementation framework • Sector-level MRV framework • Monitoring plan

Governance • Stakeholder mapping and Institutional responsibilities • Link with NDC coordination • Communication and outreach strategy

Source: Ministry of Environment of Nigeria (2016)

This project led to the development of the Climate Finance Accelerator (CFA) in Nigeria (in addition to Mexico, Colombia, and Vietnam). The CFA was a fast track process with a country-specific, transaction-oriented methodology, supported by large commercial banks. The CFA built countries’ capacity to engage with private and concessional sources of finance to accelerate implementation of their NDCs. Projects prioritised represented a value of over US$5bn across sectors of agriculture, energy, transport and power. 3.4 A deep-dive into China’s NDC implementation methodology 3.4.1 Overview of NDC Implementation in China Building on its progress and commitments to combating climate change, China submitted its first NDC in June 2015, pledging to achieve peak carbon emissions, lower emissions per unit of GDP by 60-65 percent from 2005 levels, increase non-fossil fuel use to 20 percent, and increase forestation by 4.5 billion cubic meters –all by 2030. To accomplish this pledge, China has developed a series of comprehensive plans, pilot programs, funding mechanisms, and other tools, and embedded them into its 13th Five Year Plan (FYP). This includes extensive, inclusive, and sophisticated programs covering the national, regional, provincial, and municipal levels and covering sectors such as energy, construction, and transportation, as well as introducing emission trading schemes and climate finance mechanisms. There are also educational lifestyle and social participation strategies to engage the population about the transformation toward a low carbon society (LCS). In all, 15 strategies make up China’s strategic and holistic approach to combatting climate change and transforming China into a low carbon society.

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Figure 5 Climate mitigation policy strategies to achieve China’s NDC targets

Source: GIZ China team analysis (2019)

Each of these 15 strategic areas have been developed through national, regional, and local legislative frameworks, and various government agencies, along with other public and private partners, are tasked with implementing them. According to internal and external analysis, China is on track to accomplish these goals before the intended 2030 target. 3.4.2 The Sino-German Partnership Beginning in 2009, Germany and China signed a Memorandum of understanding “to enhance bilateral dialogue and practical cooperation… in combatting climate change” (MoU 2009). This includes knowledge-sharing and technology transfer. More specifically, the two parties have agreed to collaborate on the design and implementation of national strategies and issues related to energy efficiency, renewable energy, adaptation, capacity building activities, methane recovery and utilization, and flexible mechanisms such as clean development mechanism (CDM). GIZ is to formulate an optimal and efficient NDC methodology that could support the development and implementation of China’s medium- and long-term low-carbon development strategies, hence by supporting the Chinese government in strengthening its climate governance system. 3.4.3 NDC implementation methodology The overall NDC methodology consists of 3 main components.

• Component 1: Performing an analysis of the current status of China’s climate actions and evaluating the existing policies in the 15 strategic areas, with GIZ experts compiling the findings into a comprehensive National Inventory Report. The report and the analysis upon which the report is based will establish a consistence in methodology to feed into NDC Communication.

• Component 2: Tracking progress from planned actions to those adopted and implemented. This step involves tracking progress through indicators that demonstrate the realization of information monitoring, compliance and enforcement. The approach is to isolate relevant indicators in particular fields and follow their progress to ensure compliance with the NDC. These include financing actions, GHG targets, economic growth outcomes, sectoral statistics, information monitoring, compliance and enforcement, as well as administration activities.

1 2 3 4

6 7 8 9

11 12 13 14

5

10

15

National Strategy

Regional

Strategy

Energy System

Industrial System

Construction & Transportation

Forest Carbon Sink

Lifestyle Resilience Development

Model Technology

Support

Financial Support

Emission Trading

Statistical Accounting

Social Participation

International Cooperation

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Foremost in this process is to look at the impacts of policies and actions and to analyze the results, and assess which direction should be strengthened and improved.

• Component 3: Identifying potential for cooperation. Technical experts review the baselines and mitigation scenarios for the sectors already covered and identify options for ambition-raising potential in cooperation. Preliminary results of the NDC implementation provided continuously for consultation throughout the whole process. Experts develop a draft of the cooperation potential on the NDC, and draw up several possible cooperation directions and activities based on the input provided during consultations with governmental authorities and agencies. Inherent in this methodology is a circular feedback loop between GIZ, governmental authorities, and implementation agencies.

3.4.4 Methodology in action: Measuring NDC implementation progress through China’s

National Strategy China’s National Strategy is designed to provide an overall framework for combatting climate change at the national and regional levels, in accordance with its NDC commitments. It is part of the 5-year National Climate Change Plan, but goes further in formulating a long-term, low-carbon development strategy for the country. Figure 6 Linkage between NDC reporting and Transparency under Katowice Rulebook

Source: GIZ China team analysis (2019)

Part 1 National Inventory

Report

Information for Clarity, Transparency, and

understanding of NDC

Part 2Tracking NDC

Consistency in methodology

Consistency in methodology

Part 2.2Description of NDC

Part 2.3Info to track NDC

Part 2.4Mitigation policies &

measures, actions, plans

Part 3Potential forcooperation

Accounting for NDC

Partially feed into

Consistency in methodology

Report in BTR

Biennial Transparency Report NDC Communication

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The analysis finds that CO2 emissions per unit of GDP will fall by 18 percent in 2020 by 2015 levels and non-fossil fuels will account for 15 percent of primary energy consumption over the same period. Tracking of the national strategy shows that it is ahead of its targeted goals. China has therefore the potential to improve on and surpass its 2030 target, achieve peak emissions by before 2030, and overfulfill the targets of carbon intensity and forest volumes. Based on these findings, GIZ, together with its Chinese partners, will assess how the targets were exceeded in the stated time period and use these findings to possibly transfer to other countries with similar goals.

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4 Overview of NDC implementation support tools and guides

A selection of the existing tools and guides follows, based on the most relevant ones identified through a review of all the tools in the different platforms in Section 2. 4.1 Planning for NDC implementation: A Quick-Start Guide (CDKN)

When this document was created in [Year], there were no clear guidelines on NDC implementation globally, and freedom has been broadly left, so far, to each country to carry out activities in line with their NDCs as they deem necessary4. In recognition of this gap, CDKN published a ‘Quick Start Guide on NDC implementation’. The guide details the useful steps for planning NDC implementation. The Guide also contains a ‘Reference Manual’, with detailed activities for NDC implementation set out in five components: governance, mitigation, adaptation, Measurement, Reporting, and Verification (MRV), and finance.

• Governance: putting in place the appropriate institutional structures and processes to drive and coordinate climate action and to engage key stakeholders.

• Mitigation: long-term mitigation strategies aim to reduce GHG emissions through national and sector plans that are aligned with development priorities.

• Adaptation: integrated adaptation planning builds long-term resilience to the impacts of climate change by mainstreaming adaptation into national and sectoral plans.

• MRV/Transparency (Measurement, Reporting and Verification; also known as transparency): systems to track implementation and apply the lessons learned, thus enhancing understanding about which actions work best, and why.

• Finance: a climate finance framework should match a country’s needs against funding streams, and include strategies to access these.

The overview of NDC implementation is detailed below.

4 https://www.cdkn.org/ndc-guide/

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Figure 7 Overview of NDC implementation

Source: CDKN and Ricardo (2016)

The guide indicates that a number of inputs are required for NDC planning, including the collation of existing climate and development plans, the initial INDC, and/or a set of existing activities that have been put forward as contributions. After the Paris Agreement, and in advance of the next NDC submission, it is recommended to countries to think about NDC planning for implementation. The guide proposes three steps:

a. Preparatory work: this includes the development and submission of the (I)NDC and the consideration of strategic questions.

b. Developing the NDC implementation plan: this step includes activities related to NDC stocktake and gap analysis, assessment of the resource needs, and the development of an NDC Roadmap (which fulfil the needs of sequencing of activities and documenting the plan). This plan can also include data and information for the revision of the NDC (depending on when the plan is developed and on the level of preparedness of the country).

c. Delivering the NDC plan: which includes setting up the processes to coordinate the climate actions, to enable capacity building, to engage with stakeholders, and to set up the processes to update and revise the NDC for the next submission to the UNFCCC before 2020.

The outputs of these activities include communication of future NDCs, and ways to enable ongoing delivery. It is in fact expected that the country will be able after 2020 to design and implement them with limited external support.

20

4.2 Sectoral implementation of Nationally Determined Contributions (NDCs) (GIZ)

This briefing paper serves as an introduction to a series of NDC briefing papers and addresses the overarching, cross-sectoral issues of NDC implementation5. Sector-specific information can be found in the respective papers of the series. Translating NDCs into concrete and bankable measures will be done primarily on a sectoral level. This process can be further supported by aligning development and climate policy, thereby capitalizing on significant potential synergies. The figure below presents an overview of next steps for sector-driven implementation of NDCs, including an overview of actions for enhanced planning and policy interventions, as well as requirements for NDC revisions. Figure 8 Sector-driven implementation of NDCs

Source: GIZ (2017)

5 https://www.transparency-partnership.net/sites/default/files/u2618/giz2017-en-ndcs-sectoral-implementation-overview.pdf

Towards sector-driven implementation and

raising ambition

NDC revisions and implementation planning are essen-tial for all countries in the short-term in order to avoid losing momentum gained during the NDC preparation and the ratification process of the Paris Agreement. Some countries have already started the process of NDC revision and the development of implementation plans, although clear results of these efforts are not yet available. The NDC Partnership launched at COP22, is one vehicle

to support the implementation of NDCs and related SDG commitments. It aims at enhancing cooperation so that countries have more effective access to the technical knowledge and financial support necessary to deliver on their NDCs and to increase synergies between climate and development policy.

Figure 3 presents an overview of next steps for sector- driven implementation of NDCs, including an overview of actions for enhanced planning and policy interventions, as well as requirements for NDC revisions.

6

FIGURE 3: Key steps towards sector-driven implementation and ambition raising. Authors’ own elaboration.

Immediate-term steps to enable conditions for NDC implementation and ambition raising

Institutional roles

Towards sector-driven implementation & ambition raising

Plan

ning

and

est

ablis

hing

ena

blin

g co

nditio

ns

Institutional responsibilities for oversight of implementation and monitoring of progress

��Mapping of existing institutional mandates�� Determination of optimal alignment of institutions with

implementation objectives, including links for finance and planning ministries

�� Devolution of implementation responsibilities to line ministries

�� Gap analysis of institutional capacity requirements�� Integration of sector level information collection and

reporting processes

National level (inter- ministerial)

Knowledge development and dissemination on Paris Agreement implications and benefits

�� Understanding of long-term sector implications of the Paris Agreement

�� Analysis of potential benefits, related to sector development objectives and the key interests/objectives of influential stakeholders

�� Identification of links between mitigation targets and SDGs

All levels & stakeholders

implementation and monitoring of progress

Planning for ambition Through strategy alignment and long-term decarbonisation planning

�� Complete alignment of sector level strategy with climate policy strategy

�� Stock-take and integration of subnational and non-state actions

�� Determination of long-term full decarbonisation targets for the sector

�� Translation of sector level targets to sub-sector targets�� Analysis of potential for ambition raising:

- Analysis of regional best practice policies - Targets for sub-sectors not yet covered in climate

strategy �� Collation of all information and targets into a

target-based roadmap

Sector level (line ministries and sub-national gov.)

Investment planning For resource alloc-ation and determ-ination of support needs

�� Evaluation of investment requirements for preferred measures

�� Evaluation of a) private sector investment capacity; b) public finance requirements; c) international support requirements.

��Medium-term investment planning to align non- private capital requirements with existing national and multilateral financing rhythm

�� Analysis of persisting barriers (financial, political, institutional, cultural)

�� Identification of project concepts that address the barriers for implementation and/or inter national support (e.g. NAMAs)

Sector level institutions with finance & plan-ning ministries

Inte

rven

tion

s Policies and programmes should be immediately implemented to kick-start action for existing ambition

�� Introduction of new policies and strengthening of existing policies

�� Development of proposals for internationally supported measures

Sector level institutions with finance & plan-ning ministries

NDC content revision

Reco

mm

enda

tion

s

Quick-fixes for immediate revision

�� Increase clarity of existing contributions

�� Stronger reflection of sector and subnational level plans within NDCs

�� Direct links between targets and SDGs

�� Further revision and updating of ambition

�� Translation of national targets to sector level targets within NDCs

�� Inclusion of long-term decarbonisation plans

�� Improved communication on the conditionality of targets

�� Clear identification of support needs

�� Update on sector, sub-sector and economy-wide ambition in line with planning

Prob

able

im

pact

s

�� Clear reference points for development of sector roadmaps

�� Clear signals for private sector to understand and plan/act upon

�� Better reflection of ambition level and clearer insights into further potential

�� Easier identification of support needs/possibilities

21

The series contains thematic papers: • Finance: It presents finance needs in NDCs as well as sources of financial support,

and discusses requirements for financing sector transformation. • Transparency: This discusses transparency and measurement, reporting and

verification (MRV) in the NDC context. MRV serves to enhance the transparency of climate change actions, as well as clarify information about support that has been provided and received. MRV in this case refers to all measures that countries take to collect data on greenhouse gas emissions, mitigation actions and support, their efforts to compile this information in reports and inventories, and to subject these to review or analysis.

• Energy supply: This presents the situation and prospects for implementation of NDCs in the power sector. It thereby mainly focuses on the electricity supply side of the sector.

• Energy efficiency with a focus on buildings: This addresses the reflection and integration of energy efficiency in the NDCs. The buildings sector is singled out for specific analysis since – unlike some other areas of energy efficiency – the buildings sector is not covered in other briefing papers within this series.

• Transport: This presents the situation and prospects for implementation of NDCs in the transport sector.

• Agriculture: This presents the situation and prospects for implementation of NDCs in the agriculture sector. As far as agriculture affects deforestation and / or overlaps with land-use change policies and measures, those aspects are covered in a separate briefing paper on forestry and land-use change.

• Forestry and land use change: This focuses on forestry but also covers issues related to land-use change, as the two issues are oftentimes inextricably linked. Agriculture is included to the extent that it affects deforestation and / or overlaps with land-use change policies and measures. All other aspects regarding agriculture are covered in a separate briefing paper.

• Circular economy and solid waste management: This presents the current situation and prospects for implementation of NDCs with a focus on solid waste management and circular economy. It outlines sources of GHG emissions, mitigation options as well as related policy and implementation measures.

22

4.3 Resource Guide for NDC finance (LEDS Global Partnership)

This Resource guide for NDC finance presents a curated selection of resources on a range of topics around finance for Nationally Determined Contributions (NDCs) and low emission development strategies (LEDS). It is designed to help NDC and LEDS practitioners find high quality resources that meet their specific needs, avoiding time consuming web searching. The resources are organised using a framework comprising six main sections, most of which have a number of subsections6. Up to five resources are presented in each section or subsection, along with separate case studies where available. Each section contains a brief introductory paragraph, plus one or two featured resources that are relevant to several of its subsections and provide a good introduction to the topic area. Some sections also feature a general resources subsection, where resources covering a number of subsection topics are presented. Where possible, both introductory and more comprehensive resources are included for each topic. For each resource, a short description outlines its purpose, what it covers, and who it is aimed at. Especially relevant chapters are indicated. Publication details and document size are also given, along with a hyperlink to the resource. Most subsections also contain country-specific reports or case study documents that complement the more general nature of most of the key resources. Where country case studies feature prominently within main resources, these are highlighted in the resource description. Linked themes between sections and subsections, and resources that are relevant to a number of subsections, are highlighted and hyperlinked. In a few cases where specific resources are relevant to multiple subsections, the resource details are included in full in each subsection where relevant. The sidebar menu on every page can be used to move between sections of the guide. Figure 9 Sidebar menu snapshot

Source: LEDS (2017)

6 https://www.transparency-partnership.net/system/files/document/cdkn_leds_financeresouceguide_final_static_web.pdf

Introductory resources

1 Understanding the situation

2 Planning and coordinating

3 Creating an enabling environment

4 Using public finance

5 Designing financial instruments

6 Developing good projects

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23

4.4 NDC Implementation Roadmap Development: Guidelines for Small Island Developing States

The methodology presented for developing an NDC Roadmap for Small Island Developing States (SIDS) consists of five steps that integrate an inclusive stakeholder engagement process while delivering specific outputs (see below)7. The five steps build upon each other, and the outputs are used to build the NDC Roadmap into a final useable document. Some of the steps may undergo one or more iterations or happen in parallel. Figure 10 Methodology and process for NDC Roadmap Development

Source: GGGI (2018)

• Step 1 of the methodology focuses on the essential preparatory actions and key considerations for the development of the NDC Roadmap. To set the basis for a smooth and effective development process, decisions on these issues should be addressed early on and documented in an inception report or work plan as a reference for stakeholders involved in developing the NDC Roadmap.

• Step 2 consists of compiling all available national- and sectoral-level information in written form and through one-on-one interviews with stakeholders, and then determining the accuracy of the information and the need for additional data collection. The results from this step can be documented in an interim note so that key stakeholders can help facilitate additional information gathering.

• Step 3 covers building the outline of the NDC Roadmap by identifying and detailing existing and new mitigation actions that have the potential to be included in the NDC Roadmap. The outputs from this step include a fundamental analysis report, which incorporates an options analysis and prioritisation exercise. The fundamental analysis report and its results are then used to inform stakeholders of the potential for action and obtain their qualified feedback.

• Step 4 involves building the body of the NDC Roadmap and details the core components and expected results of the NDC Roadmap, which are presented in a draft NDC Roadmap document to the key stakeholders.

7 http://gggi.org/site/assets/uploads/2019/01/GGGI-NDC-Implementation-Roadmap-Development-A-Guideline-for-Small-Island-Developing-States.pdf

09

2. METHODOLOGY AND PROCESS FOR NDC ROADMAP DEVELOPMENT

The methodology presented here for developing an NDC Roadmap consists of five steps that integrate an inclusive

stakeholder engagement process while delivering specific outputs (see Figure 1). The five steps build upon each

other, and the outputs are used to build the NDC Roadmap into a final useable document. Some of the steps

may undergo one or more iterations or happen in parallel. This methodology and process are described in detail

in sections 3 to 7.

Step 1 of the methodology focuses on the essential preparatory actions and key considerations for the

development of the NDC Roadmap. To set the basis for a smooth and effective development process, decisions

on these issues should be addressed early on and documented in an inception report or work plan as a reference

for stakeholders involved in developing the NDC Roadmap.

Step 2 consists of compiling all available national- and sectoral-level information in written form and through

one-on-one interviews with stakeholders, and then determining the accuracy of the information and the need for

additional data collection. The results from this step can be documented in an interim note so that key stakeholders

can help facilitate additional information gathering.

Step 3 covers building the outline of the NDC Roadmap by identifying and detailing existing and new mitigation

actions that have the potential to be included in the NDC Roadmap. The outputs from this step include

a fundamental analysis report, which incorporates an options analysis and prioritization exercise. The fundamental

analysis report and its results are then used to inform stakeholders of the potential for action and obtain their

qualified feedback.

Step 4 involves building the body of the NDC Roadmap and details the core components and expected results

of the NDC Roadmap, which are presented in a draft NDC Roadmap document to the key stakeholders.

Step 5 involves validation of the NDC Roadmap and preparation of the final NDC Roadmap document.

Step 1Preparatory Actions and Key Considerations

Step 2Review of Data and Information

Step 3 Fundamental Analysis

Step 4Preparation of the NDC Implementation Roadmap

Step 5Validation and Finalization of NDC Implementation Roadmap

Outputs

Inception Report

Interim Note

Fundamental Analysis Report

& Summary

Draft NDC Roadmap

Final NDC Roadmap

Figure 1 Methodology and process for NDC Roadmap development

24

• Step 5 involves validation of the NDC Roadmap and preparation of the final NDC Roadmap document.

The figure below shows a suggested outline and indicative process for preparing the NDC Roadmap document. Figure 11 Outline and process of preparing the NDC Roadmap document

Source: GGGI (2018) 4.5 Global NDC Conference 2019: Key messages The Global NDC Conference 2019 took place from 12-14 June 2019 in Berlin, Germany8. Its purpose was to inspire and enable policy-makers and practitioners to accelerate the pace and scale of transformational change, via NDC implementation, to reach the long-term goals of the Paris Agreement. The conference convened governments, development cooperation agencies, businesses, scientists and civil society from 80 countries, to discuss the technical aspects of NDC implementation. Conference discussions and related key messages were clustered around the transparency, integrated governance, and finance, in addition to cross-cutting themes.

• Transparency: With the adoption of the Katowice rulebook, most rules are clear. Now is the time to implement them. The joint task is to translate the rules for decision-makers in national ministries such as planning and finance, for donors and for international implementing organisations.

• Integrated governance: for NDC to be effectively implemented, it has to become a whole-of government and society priority, include sub-national actors, leverage the synergies between mitigation and adaptation, and adopt a holistic approach to leadership, with integration of resilient-long term visions.

8 https://globalndcconference.org/ndc-2019/about/

40

6. STEP 4: PREPARATION OF THE NDC IMPLEMENTATION ROADMAP

Step 4 addresses the development of the NDC Roadmap as a standalone document, based on the results of the

fundamental analysis (Step 3) and the feedback received from stakeholders during the inclusive stakeholder

engagement process. Information assessed in the fundamental analysis provides the foundation for the NDC

Roadmap document. Figure 9 shows a suggested outline and indicative process for preparing the NDC Roadmap

document, and this is further explained in section 6.1.

6.1 DRAFTING THE NDC ROADMAP –

INTRODUCTION AND STRUCTURE

The purpose of the NDC Roadmap document is to inform both national and international stakeholders of the

proposed actions to be taken by a country to achieve NDC targets, and the means of implementation needed

to support those actions.

Mitigation Actions

Figure 9 Outlineand process of preparing the NDC Roadmap document

NDC Implementation Roadmap

Draft NDC Roadmap

Country Background in the Context of Climate Change

NDC Roadmap’s Context Within the Country’s NDC

Stakeholder Engagement Process

Sector X Sector Y

Total GHG Mitigation Potential

Total Investment

Support Required (Technical Assistance/Capacity Building)

Logical Framework

Support Required (Technical Assistance/Capacity Building)

Mitigation Actions

Total GHG Mitigation Potential

Total Investment

Logical Framework

Implementation Pathway

Alignment to Sustainable Development Goals

Governance Structure

Measurement, Reporting, and Verification

Financing Aspects

Validation of the NDC Roadmap

Final NDC Roadmap

25

• Finance: all national and international funding sources need to be aligned to the Paris Agreement, fiscal measures need to be enhanced, and the private sector needs to be incentivised to engage through favourable policy and finance at scale, including the use of carbon markets dynamics.

• Cross-cutting themes: attention to gender and social inclusion; a systemic, distributed, collaborative leadership; and a strengthened private sector engagement are required.

4.6 NDC Implementation Futures – Policy Recommendations from the 2018 NDC

Support Cluster Workshop Series

In the spring and summer of 2018, the NDC Support Cluster conducted a series of workshops on NDC implementation within its four thematic work streams – governance, transparency, sector approaches and financing9. The workshops were aimed at discussing key experiences as well as identifying lessons learned and promising solutions with regard to various aspects of NDC implementation with a view to guiding this process further. To this end, the workshops brought together representatives from climate and development organisations, national governments, think tanks and academia. Across the four topic areas, coordination and target alignment, appropriate incentive structures for the private sector, solutions for communication and capacity development turned out to be of major relevance.

1. Coordination and alignment of climate targets, policies and data at various levels • Establish strong coordination mechanisms and increase consistency of targets and

policies • Ensure effective stakeholder participation • Enable data sharing and alignment of inventories and MRV systems

2. Provision of incentives for increased private sector engagement and investments • Address (perceived and real) risks and provide investment incentives • Support the private sector to identify business opportunities and models • Bridge the gap between finance and climate action (matchmaking)

3. Apply effective communication • Develop convincing communications approaches • Create narratives that speak to business • Communicate the (co-)benefits of NDC implementation

4. Capacity development • Intensify efforts to increase knowledge and capacities for accessing climate finance • Focus on building and retaining technical capacities.

9 https://www.adelphi.de/en/publication/ndc-implementation-futures

26

Key take-away messages for project designers and financiers, playing an important role in facilitating NDC implementation. These messages are summarised below to be considered in future programmes and projects aimed at supporting NDC implementation:

• Increase support for efforts to coordinate and align targets, policies and data across various levels.

• Develop approaches that help partner countries engage and collaborate with private sector actors where this seems useful.

• Explore opportunities to systematically include communications aspects in their programme planning that address key stakeholder groups where this is important for the success of the respective project/activity.

• Seek to develop and include mechanisms in their activities that ensure technical capacities can be retained in target countries/institutions.

4.7 Models for Human Capacity Development (GIZ)

The diagram below illustrates capacity development needs10: Figure 12 Summary of capacity development needs

Source: GIZ notes

Fundamental to an understanding of Human Capacity Development (HCD) is the idea that sustainable development begins with people as individuals. The step-by-step guidance for Planning of competence-based trainings is below.

• Step 1: Needs analysis: The desired strategic change and the associated challenges are analysed to derive the contribution that competence development can make to the solution. That is to say, who must be able and willing to behave differently tomorrow for the change process to succeed? From this emerge the different participant groups and the rationales for each. How does the participant group

10 (https://www.snrd-asia.org/wp-content/uploads/SNRD-Newsletter/issue-4/Documents/Others/GIZ-Models%20for%20Human%20Capacity%20Development.pdf and GIZ material)

Policy, norms, interrelationpolicy- society

Organisational structuresand behaviours

Personal competencies

27

contribute to the causal structures, the organisational system, the economic outcome ...?

• Step 2: Producing competence frameworks: The basis of all competence development is a precise definition of the competences required by each participant group in future. Competences are described both quantitatively and qualitatively on the basis of competence models.

Table 3 Model for capacity development

Capacity creation Capacity application Capacity retention

Person Development of awareness, attitude knowledge and skills

• 4 areas of competence

Application of awareness, attitude, knowledge and skills

Sustainable transfer of competences within the organization

Organisation Efficient structures and processes

Integrate innovations into the day-to-day business

Constant adaptation of rules procedures and regulation

Society Appropriate systems, policies and legal frameworks

Law enforcement

Implementation of policies

Regular update of policies and legal frameworks

Societal changes

Source: GIZ notes

• Step 3: Time planning: Which group of participants is called upon when in the

change process? Who needs to be ready and able to do what, by when, to ensure that the process goes smoothly? The start and length of phases of competence development are defined for the individual participant groups, and diverse competence aspects are located within those phases of the change process.

• Step 4: Outline plan – formats/tools: Which concrete measures are embarked upon and in which sequence depends on the given competence needs, the budget, and other conditioning factors. It is a matter of combining the How — the right formats — in such a way that the participants have had opportunities to acquire the desired competences by the time the training ends. Formats/tools include the following.

Figure 13 Capacity development formats/tools

Source: GIZ notes

Training coursesalso as „Joint-Training“

Self-study (withcoach)

Coaching und advisory services

Reflection

Learning andnetworking with newmedia Blended-Learning

M-Learning

Conference

Study tours Learning by

doing

Knowledge-Sharing & Expert network

Open Innovation

Scenario based-Learning

Training of Trainers

28

• Step 5: Detailed plan: Formats need to be fleshed out. What will be learned in each

step, what key lines of questioning should be raised when? Which methods and materials will be used? Which resource people and trainers/ learning-process coaches should adopt which role and when? Which learning venues are appropriate when?

Table 4 Application of tools and formats Capacity creation Capacity application Capacity retention

Peer-to-peer

E-Learning

Joint learning

Blended Learning

Training courses

Study tours

On-the-job-coaching

Near-the-job-coaching

Mentoring / Leadership

Follow-up workshop

Creation of networks multiplicators

Transfer-projects

On boarding of incoming staff

Knowledge management

Source: GIZ notes

29

5 Overview of relevant knowledge platforms

This section contains a summary of the most relevant platforms for NDC implementation. 5.1 Partnership on Transparency in the Paris Agreement

There are an array of documents and tools available in the Partnership on Transparency in the Paris Agreement website11. The platform contains Case Studies, Publications, and Documents & Tools, among others. Figure 14 Partnership on Transparency in the Paris Agreement website

The Documents & Tools can be searched easily, divided into Category; Topics; Activities; Year. 5.2 World Bank’s Intended Nationally Determined Contributions (INDCs)

Based on a comprehensive mapping exercise, the World Bank Group developed a set of tools that include a detailed adaptation/mitigation database, a content visualisation tool, and summary country briefs12. All data collected in the database comes strictly from the (I)NDCs only; all implementation cost estimates are self-reported in the (I)NDCs. No analysis or interpretation of the information submitted by the countries has been undertaken.

11 https://www.transparency-partnership.net/about 12 http://spappssecext.worldbank.org/sites/indc/Pages/INDCHome.aspx

30

Figure 15 World Bank INDC website

5.3 NDC Partnership

The NDC Partnership manages the Knowledge Portal, with a set of tools on Good Practice, Guidance and Support; and Climate Funding – as presented below13. Figure 16 NDC Partnership Website

Within the Climate Toolbox, information can be filtered by Activity; Focus; and Type14, as below.

13 http://ndcpartnership.org/knowledge-portal 14 http://ndcpartnership.org/ndc-toolbox#navi

31

Figure 17 NDC Partnership Toolbox

5.4 NDC Cluster Toolbox

Another structured and systematic collection of tools for NDC implementation is available from the NDC Cluster, aggregated in the NDC Toolbox15. The Toolbox provides easy access to a selection of tools in the four Cluster support areas offered by the Cluster implementing partners. These provide support when implementing, coordinating, tracking and revising NDCs. It offers the possibility of using filters to find the tools of interest. It collates tools according to the process identified in Section Error! Reference source not found.. across the components of Governance; Sectors; Financing; Transparency. It also links to the Guiding Questions developed in GIZ’s document ‘How to advance Intended Nationally Determined Contributions Technical aspects for development and review (2015). The Cluster Toolbox has not been updated recently. Figure 18 NDC Cluster Website

15 https://www.ndc-cluster.net/toolbox

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Each section contains a summary of the tools and reference to the partners’ information and best practice. It also contains a reference to the components they refer to.

• Governance: Political and institutional frameworks are important for successful NDC implementation because they form the organizational structures, processes, and rules that allow governments to effectively address climate change. To read more about the NDC Cluster work in this field (https://www.ndc-cluster.net/governance). Tools included are:

• Sectors: While the NDCs represent the national ambition, most of the actions required for a global transformation towards a 'well below 2-degree world' will need to take place on a sector level; involving sector level actors, institutions, and policies. To read more about the NDC Cluster work in this field (https://www.ndc-cluster.net/sectors)

• Financing: The low-carbon, climate resilient pathways set out in countries’ NDCs and associated plans, require significant financial investment for their implementation. Mobilising investment includes the identification and assessment of flows, the development of financing and investment strategies, as well as the policies, regulation and financial instruments that can be put in place to reduce investment risks (and to increase returns). To read more about the NDC Cluster work in this field (https://www.ndc-cluster.net/financing)

• Transparency: Good systems for tracking NDCs are critical to support requirements to account for and report on progress towards meeting the NDCs under the Paris Agreement. Countries will need to build upon and enhance existing domestic MRV systems for this purpose. To read more about the NDC Cluster work in this field (https://www.ndc-cluster.net/transparency)

Appendix 2 provides a summary of all the tools available.

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Appendix 1: Basis for Gap Analysis

Module Activity Governance 1. Review current institutional arrangements

2. Establish an NDC implementation coordination team 3. Set up institutional arrangements 4. Build capacity within government 5. Engage external stakeholders 6. Develop legal frameworks

Mitigation 1. Review the current mitigation policy landscape 2. Set up institutional arrangements for the coordination and oversight of mitigation activities 3. Analyse the national mitigation potential to identify priority sectors and mitigation options 4. Conduct a detailed appraisal of priority actions for key sectors 5. Design mitigation policies 6. Access financing for mitigation actions 7. Implement mitigation policies 8. Design and implement a mitigation MRV system 9. Prepare for future NDCs

Adaptation 1. Review the current adaptation policy landscape 2. Undertake groundwork and governance 3. Undertake preparatory work for adaptation plans 4. Access financing for adaptation actions 5. Implement policies, projects and programmes 6. Monitor and report on progress and the effectiveness of adaptation actions

Finance 1. Review the climate finance landscape 2. Establish institutional arrangements for the oversight and coordination of climate finance activities 3. Compile an overall costing for the NDC 4. Identify funding gaps and needs 5. Assess public and private financing options and develop a country climate investment plan 6. Develop a country climate investment plan 7. Secure direct access to international climate funds for national and subnational institutions 8. Develop a project pipeline and financing propositions that can be put forward to different financing sources 9. Increase private sector engagement and overcome barriers to investment 10.Design and implement a climate finance MRV system

Transparency (Measuring, reporting and verification)

1. Review current MRV activities 2. Establish institutional arrangements for the oversight and coordination of MRV activities 3. Assess data gaps and needs 4. Design the MRV system for mitigation, adaptation and finance 5. Establish data management processes 6. Build MRV capacity 7. Improve the MRV system over time

Source: Ricardo/CDKN (2016)

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Appendix 2: Summary of tools available from NDC Toolbox

Tool Partner Type Component reference Gov Sec Fin Tra

Climate Change Benefits Approach (CCBA) https://www.climatefinance-developmenteffectiveness.org/countries/thailand

UNDP Guidance Note, Video

Ö Ö

Investment and Financial Flows (I&FF) Assessments https://www.ndcs.undp.org/content/ndc-support-programme/en/home/about/our-origins/iff.html http://www.undpcc.org/en/

UNDP PDF, Excel Sheet, Online Platform

Ö Ö Ö Ö

Development Impacts Assessment (DIA) Visual Tool https://www.climatelinks.org/resources/development-impacts-assessment-dia-visual-tool-and-toolkit (archived)

LEDS Global Partnership

Online platform, Excel Spreadsheet

Ö Ö Ö

Planning for NDC implementation https://www.cdkn.org/ndc-guide/

CDKN Web Based Manual, PDF

Ö Ö Ö Ö

NAMA Tool https://www.transparency-partnership.net/documents-tools/nama-tool-steps-moving-nama-idea-towards-implementation

GIZ Interactive PDF, Manual

Ö

INDC Webtool https://www.transparency-partnership.net/documents-tools/how-advance-intended-nationally-determined-contributions

GIZ Web-based Ö

Next Steps for Converting INDCs into Action http://ccap.org/assets/Next-Steps-for-Converting-Intended-Nationally-Determined-Contributions-into-Action-3.4.16.pdf

Center for Clean Air Policy (CCAP)

PDF Ö Ö Ö

LEDS Tool https://transparency-partnership.net/sites/default/files/leds-tool_5_2_finalpub.pdf

GIZ Interactive PDF

Ö

Climate Policy Implementation Tracking Framework http://www.wri.org/publication/climate-policy-implementation-tracking-framework

WRI PDF Ö Ö Ö Ö

Road to NAMAs: Global Stories of Successful Climate Actions http://ccap.org/road-to-namas/ http://ccap.org/assets/The-Road-to-NAMAs_CCAP.pdf

Center for Clean Air Policy (CCAP)

Online database

Ö

Resource Guide for NDC Finance http://ledsgp.org/resource/resource-guide-ndc-finance/?loclang=en_gb

LEDS Global Partnership

PDF Manual Ö

Climate Budget Tagging http://www.cfade.org

UNDP How-To Guidance Note

Ö Ö

Climate Change Financing Framework

https://www.climatefinance-developmenteffectiveness.org

UNDP How-to guidance note

Ö Ö

CPEIR methodological note and database http://www.CFADE.org/ https://www.climatefinance-developmenteffectiveness.org/CPEIR-Database

UNDP Guidance Note, Online Platform

Ö Ö

Designing NAMAs to Catalyze Low-Carbon Investments http://ccap.org/assets/NAMAs-to-Catalyze-Bankable-Low-Carbon-Investments-Sep-2016-2.pdf

Center for Clean Air Policy (with UNEP DTU and New Climate Institute)

PDF Ö

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Tool Partner Type Component reference Gov Sec Fin Tra

MRV-Tool https://www.transparency-partnership.net/documents-tools/mrv-tool-how-set-national-mrv-systems

GIZ Interactive PDF

Ö

Preparing for the ICA Process https://www.ndc-cluster.net/tool/preparing-ica-process

GIZ PDF Ö

Climate Action Tracker https://www.ndc-cluster.net/tool/climate-action-tracker

New Climate Institute

Online Platform

Ö

BUR Process Guidance Tool https://www.transparency-partnership.net/documents-tools/bur-process-guidance-tool

GIZ Interactive Word Document

Ö

BUR Template https://www.transparency-partnership.net/documents-tools/biennial-update-report-template

GIZ Word Template

Ö

Stock Taking Tool https://www.transparency-partnership.net/documents-tools/stock-taking-tool

GIZ Interactive Word Document

Ö

Source: NDC Toolbox and consultant analysis

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Appendix 3: End notes selection Platforms and resources:

• Partnership on Transparency in the Paris Agreement: https://www.transparency-partnership.net/about

• World Bank’s Intended Nationally Determined Contributions (INDCs) • NDC Partnership: http://ndcpartnership.org/knowledge-portal • NDC Cluster Toolbox: https://www.ndc-cluster.net/toolbox • Global NDC Conference 2019: https://globalndcconference.org/ndc-2019/about/

Tools and documents

• Adelphi (2018). NDC Implementation Futures – Policy Recommendations from the 2018 NDC Support Cluster Workshop Series https://www.adelphi.de/en/publication/ndc-implementation-futures

• CDKN (2016). Planning for NDC implementation: A Quick-Start Guide https://www.cdkn.org/ndc-guide/

• GIZ (2015). Models for Human Capacity Development https://www.snrd-asia.org/wp-content/uploads/SNRD-Newsletter/issue-4/Documents/Others/GIZ-Models%20for%20Human%20Capacity%20Development.pdf

• GIZ (2017). Sectoral implementation of Nationally Determined Contributions (NDCs) https://www.transparency-partnership.net/sites/default/files/u2618/giz2017-en-ndcs-sectoral-implementation-overview.pdf

• LEDS Global Partnership (2017). Resource Guide for NDC finance https://www.transparency-partnership.net/system/files/document/cdkn_leds_financeresouceguide_final_static_web.pdf

• NDC Implementation Roadmap Development: Guidelines for Small Island Developing States (2018) http://gggi.org/site/assets/uploads/2019/01/GGGI-NDC-Implementation-Roadmap-Development-A-Guideline-for-Small-Island-Developing-States.pdf

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Imprint Disclaimer: This document has been prepared in the framework of the NDC Support Cluster of the International Climate Initiative (IKI) funded by the German Federal Ministry for the Environment, Nature Conservation and Nuclear Safety (BMU). It represents the authors’ personal opinions and does not necessarily reflect the positions of all implementing partners of the NDC Cluster.

Federica Chiappe is responsible for the content of this publication.

Authors: Federica Chiappe, Independent Consultant. Reviewed by Steffen Menzel and André Fabian (GIZ – SPA). China case study provided by GIZ China (Ran Wei, Dr. Alexander Fisher, Mike Sullivan).

July 2019