Ipc working paper79

MITIGATION OF WHAT
AND BY WHAT? ADAPTATION
BY WHOM AND FOR WHOM?
DILEMMAS IN DELIVERING FOR
THE POOR AND THE VULNERABLE
IN INTERNATIONAL CLIMATE POLICY

Working Paper number 79 February, 2011

Leisa Perch
International Policy Centre for Inclusive Growth (IPC-IG)

International

Centre for Inclusive Growth

Copyright© 2011
International Policy Centre for Inclusive Growth
United Nations Development Programme

International Policy Centre for Inclusive Growth (IPC - IG)
Poverty Practice, Bureau for Development Policy, UNDP
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The International Policy Centre for Inclusive Growth is jointly supported by the Poverty Practice,
Bureau for Development Policy, UNDP and the Government of Brazil.

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MITIGATION OF WHAT AND BY WHAT? ADAPTATION BY WHOM
AND FOR WHOM? DILEMMAS IN DELIVERING FOR THE POOR AND
THE VULNERABLE IN INTERNATIONAL CLIMATE POLICY

Leisa Perch*
Whether we are collectively able to bring about a transition to a low carbon energy future and how
we might do so is first and foremost a question of politics. Institutions, policy-making processes and the
nature of politics are central to societies’ ability to set priorities, manage trade-offs and address conflicts
in a prevailing context of inequality and uneven development (University of East Anglia, 2010:1).

1 INTRODUCTION
Despite notable advances in the “climate change-development” discourse and the rapid
evolution of the climate-finance architecture, many of the fundamentally politicised issues
that shape the existing dilemma on how to confront global climate change have been avoided
or delayed. A largely market-driven response has not advanced an accountability-driven,
long-term agenda, and competing interests continue to shape the discourse on adaptation
and mitigation—thus influencing whose risk becomes predominant and whose impacts and
losses are prioritised within and between states.
This is not defined only by actions in themselves, but also by the structural reality within
which policy is being shaped. In the current structure, those with the capacity to develop new
technologies will have a customer base formed by those who are likely to be most vulnerable
to climate change. Moreover, the extent to which we change (or can change) current patterns
of consumption and production will be a reflection of the technologies available to make that
change, the willingness to do so, and the level to which both adaptation and mitigation
finance and projects prioritise and advance social-equity approaches, including norms for
ensuring access to technology. The “energy poor” and the disenfranchised do not
automatically benefit from large-scale technology-transfer projects, and some interventions
help country efforts while having little impact at the community level. This raises a number of
fundamental policy concerns, including the achievement of a reasonable balance within both
the intent and implementation of policy, and between the imperatives of managing the
climate crisis and securing development progress. Fundamentally, in the context of climate

* International Policy Centre for Inclusive Growth (IPC-IG). The author wishes to acknowledge the significant research
support of Stephanie Stahlberg (intern), which informed the findings of this paper. She is also grateful for the advice and
inputs of the IPC-IG research team, particularly those of Rathin Roy and Radhika Lal. The feedback of Cate Owren (WEDO),
who served as an external peer reviewer, was helpful in consolidating the social and gender analysis in the paper,
including the assessment of the global policy process to date. A summary version of this paper was presented in a panel
on the “Politics of Climate Change, Gender and Development” at the DevNet Conference on Nature, Poverty and Power at
Uppsala University, Sweden, 25–26 November 2010. The views expressed in this paper should not be attributed to IPC-IG
or its affiliated partners, including UNDP.

2 International Policy Centre for Inclusive Growth

change, can we avoid what the International Union for Conservation of Nature (IUCN, 2006: 4)
has referred to as often being “development as usual, with a brief embarrassed genuflection
towards [in other words, paying lip-service to]1 the desirability of sustainability”?
Using an analytical framework that combines theories of politics, “public goods”,
collective action, political economy and international relations, this paper assesses current
efforts and the evolving discourse on equity, with a view to reaching a better understanding
of what it would take to achieve some balance between averting the worst of climate change
and manage its impacts while safeguarding and enabling further progress on development.
By focusing on a reasonable equity of outcomes2 (quality) rather than the sum of actions
(quantity), the paper finds that the language used in the discourse reinforces its innately political
framing, as well as prevailing governance arrangements. They in turn have led to an application
of “development” that has limited the inclusion of some dimensions, namely the social, relative
to others, in some cases resulting in limited direct benefits for the poor and vulnerable, missed
opportunities, and a number of social risks that could undermine other development efforts.
The “reinforcing role” of global policy frameworks in creating the necessary enabling
environment for collective, multinational action is also given specific attention.

2 HOW HISTORICAL AND STRUCTURAL INEQUALITIES SHAPE
“BURDEN SHARING” IN THE GLOBAL CLIMATE-CHANGE AGENDA
The International Policy Centre for Inclusive Growth (IPC-IG) defines inclusive growth as
“both an outcome and a process. On the one hand, it ensures that everyone can participate
in the growth process, both in terms of decision-making for organising the growth progression
as well as in participating in the growth itself. On the other hand, it makes sure that everyone
shares equitably the benefits of growth. Inclusive growth implies participation and benefit-
sharing. Participation without benefit-sharing makes growth unjust, and sharing benefits
without participation makes it a welfare outcome” (IPC-IG, 2010).
Securing a sustainable and equitable solution to climate change involves similar
principles, issues, concerns and dynamics. Inherently, the politics of climate change denote
competing interests between countries, between those better able to manage risk and
those likely to fall victim to it, those who have contributed to the problem and those whose
participation is key to resolving it, between genders, sectors, groups within society and even
between generations (Maxwell, 2009b and 2010; Giddens, 2009). Varying capacities to respond
underlie growing divisions within the South, and the inequalities of the burden are undeniable
(Adger, 2003). As a result, issues of participation and benefits-sharing also figure largely, or
should do so, in the global public-policy response. Stern (2008) highlights three basic
principles for global policy: effectiveness, efficiency and equity.
A large part of the discourse has been about “participation” and “responsibility” in a
different context—namely in terms of which and whose actions have contributed more
significantly to causing the crisis, how the solutions should be defined and who should finance
them, and how the burdens on those who contributed much less or negligibly should be
alleviated or mitigated. Traditionally, the focus on the latter issue has been more at the
country level than on “poverty” as a state that conditions development within and across state
boundaries. In a larger debate on justice and equity the issues of “benefits” in a broader sense
are discussed, mainly in the context of ensuring that the needs of the powerless and voiceless

Working Paper 3

are met and that their wellbeing is positively influenced and improved through changes in
development (ActionAid, 2009 and 2010; Cole, 2007; Page, 2006 cited in Sowers, 2007).
Thus, issues of social justice have started to extend beyond the moral (as an abstract) to
include considerations of how the climate-change response is socially and politically defined,
and how those most affected are involved in decision making, as well as how they participate
in the response itself.
More broadly, these considerations underscore the sociological nature of climate change,
not only in the context of societies within countries but also in defining the interplay between
society and nature at the global level. Roberts and Parks (2006, cited in Sowers, 2007) suggest
that “historical and contemporary structural inequalities in the international economic system
have contributed to climate vulnerability and constrain national development pathways”.
A press release by the United Nations Environment Programme (UNEP) in early October 2010,3
referring to a recent study by the UN-backed Principles for Responsible Investment (PRI) and
the UNEP Finance Initiative (UNEP FI) seems to confirm this. Released findings, then, estimated
global environmental damage caused by human activity in 2008 at a monetary value of
US$6.6 trillion, equivalent to 11 per cent of global GDP and likely to rise to $28 trillion by
2050 if business continues as usual (UNEP, 2010). The study points out that that about a third
(US$2.15 trillion) of annual environmental costs from the global economy were caused by the
world’s 3,000 largest publicly-listed companies in 2008, many of them involved in utilities, oil
and gas production, industrial metals and mining. This suggests that a greater share of the
global environmental commons has been secured for these companies and actors.
Detailed analysis by Trustcost PLC (as part of the UNEP FI process) indicates that
greenhouse gas (GHG) emissions are responsible for 68 per cent of these costs (UNEP, 2010b).
This confirms longstanding thinking that some actors, in both the public and private arenas,
have greater capacity than others to influence and frame development orthodoxy, as well as
to access the commons. This is evident in the greater contribution of some sectors to GHG
emissions, and in relatively few countries’ greater share of historical emissions. An assessment
of CO2 emissions in 2004 by Bacon and Bhattacharya (2007) ranked Australia as No. 14, above
Saudi Arabia, Mexico and Brazil. Then, the ratio of emissions by the United States (No. 1) to
those of the Russian Federation (No. 4) was 1:4, and the difference between Australia and the
United States was significant (386 million metric tons as against 5,912 million metric tons);
the gap was much wider with Trinidad and Tobago (33 million metric tons). One of the study’s
main findings was that the degree of inequality between countries with respect to total CO2
emissions was extremely high, with a Gini Coefficient of 0.72 (Bacon and Bhattacharya, 2007:
31). According to an analysis by the International Energy Agency (2010) of emissions from
fuel combustion, the top 10 emitting countries in 2008 (China, the United States, the Russian
Federation, India, Japan, Germany, Canada, the United Kingdom, Iran and South Korea)
accounted for about two-thirds of world CO2 emissions.
While this is significantly influenced by the industrial complex, we can conclude from the
preceding discussion that the intensity of emissions has also been influenced by individual
human choice, market forces and their cumulative impact in the context of consumption and
the political economy that shapes those opportunities and choices. Thus, it is not just the US
private sector that contributes to its significant emissions tally but also the collective weight
of production driven by consumption, and consumption driven by production. According to
Bacon and Bhattacharya (2007), in 2004, Australia ranked sixth of 70 countries in terms of
emissions per capita, behind the United States (No. 5) and before Canada (No. 7). By its very


nature, human-induced climate change is the result of a complex set of relationships and
interactions within and between states, and the interaction between human behaviour
and the natural ecosystem.
Beyond the historical nature of this duality, the structural underpinnings of climate
change are also critical for identifying appropriate processes for a move from “business as
usual”. A move towards reasonable equity requires both an understanding of which factors
led to the current crisis and which are likely to enable or disable progress and success.
A number of other factors are important in framing the discourse:
1. Any “free good” will inevitability be depleted (Mehta and Roy, 2004). Any free and
accessible good that is owned by no one and shared by everyone is subject to
overexploitation and depletion in the face of intensive and unlimited use. Though
no good can be totally non-rivalrous or totally non-excludable,4 the concept
of “public goods” has been applied analogously to the oceans, the natural
environment and the earth as a whole to reflect “goods” which are in the public
domain and in the public interest, which are needed, and whose inherent value is
always positive. The management challenges of “free goods” are most famously
expressed in the concept of the “tragedy of the commons”, a term coined by
Hardin (1968) and a notion alluded to by Malthus (1798) in their works on the
potential of over-population to exceed the earth’s capacity. The climate crisis is
another such case. The climate and many of the ecological systems that influence
it fall clearly into the category of international or global public goods. A study by
the United Nations Industrial Development Organisation (UNIDO, 2008) adds the
interesting element that, theoretically, “supply” is non-excludable and “benefits”
are non-rivalrous.
2. Historically, some actors (public and private) have had greater opportunity than
others to access natural resources and to influence the climate, and thus they
bear a greater responsibility for the resulting negative impacts (UNEP 2010a
and 2010b). This is defined by history and the capacity of the United States and
countries in the European Union (EU)—which have been advanced economies for
some time—to dictate the development normative (and its constituent parts) in
terms of the movement of labour and capital. Colonialism, for example, gave
many powers—Britain, France, Germany and others—unparalleled access to land,
minerals and labour in order to grow and expand their economies (Bandiera et al.,
2005). Examined in this way, participation and, by extension, access, have been
determined more by opportunity, capacity and, to some extent, power, than by a
rule-based system, transparency and collective responsibility (Cammack, 2007;
Adger et al., 2006; Bromley et al., 2004a and 2004b). Thus, efforts to respond in
the context of the latter, as defined by a multinational system response, face
inevitable challenges.
3. Given significant uncertainties, there is an unavoidable temptation by some
parties to “wait and see” and continue to “free-ride”—that is, to avoid paying costs
or sharing the burden of response for as long as possible. The costs and benefits of
proactive or reactive responses are significantly defined by national and global
interests (Aldy, 2003), which may be driven largely by economic and geopolitical
concerns. This has been evident in negotiations in which the US government has

Working Paper 5

refused to sign the Kyoto Protocol, the sharp contrasts between the EU and the
US response to climate change at the global level, and in the growing tensions
between the US and Chinese governments recently.
4. The long-term nature of climate change makes urgent action and consensus
politically difficult in a short time horizon (Sprinz, 2009). Both the short-term
perspective (usually five years or less), which tends to drive politics, and the frame
of politics make it difficult to translate “future” catastrophe into urgent development
challenges for “today”, particularly those requiring sacrifice. Soley (2010: 2) suggests
that “the adoption of negative policies which impinge on individual choice and
quality of life are counter-productive and electorally damaging”.
5. At the same time, given the disparities in impacts, climate change may bring
benefits to some (warmer temperatures, the capacity to grow different kinds
of food) while for others it could bring extremes in temperature and either an
overabundance or scarcity of water. These differences and the scale at which
change is taking place in different parts of the world make for “differing social
realities” in the context of climate change (Adger, 2005). Take, for example, Brazil
in 2010 and 2011, where heavy rains and resulting floodwaters devastated Rio
and the town of Jacuipe (see picture)—a very different circumstance from that
experienced in other parts of the country. The 2011 flash floods, which resulted
in significant mudslides, had one of the highest death tolls from a single natural
disaster in Brazil.5 For some,
therefore, climate variability and
potential change is forcing a need to
act, while for others decisions are still
distant and remain only a possibility.
Automatically, in a system of
collective governance, such “forcing”
is often counteracted by social and
political resistance in the form of
what is called the Giddens paradox:
that “people will not act on climate
change until they can see the
© AFP: Thiago Sampaio.
immediate effects, by which time it will be too late”
(Maxwell, 2010; Giddens, 2009).
6. The resulting manifestation of poverty and vulnerability in different ways across
and within countries makes it hard to define, achieve and measure a common
understanding, as well as urgent and specific action, particularly on adaptation.
Defining and agreeing on “appropriate action” also becomes challenging.

Harrison and Sundstrom (2007) point to some other structural issues that inform our
understanding of global politics and its influence on global public policy.
• States as unitary actors behave according to their interests, within the
consideration of domestic politics (in other words, states, or at least democracies,


are accountable to domestic constituents). Hence there is no accountability
to the global constituency outside that to which countries agree.
• Because the Kyoto Protocol only included emission targets for developed
countries, the so-called “Annex 1 countries” felt this would directly affect their
competitiveness relative to developing countries.
• The nature of the central compromise reached in Kyoto, between US material
interests and EU norms, had the effect of increasing the disparity in costs between
these two jurisdictions.

As global policy challenges continue to multiply and expand, and as poverty and
inequality persist in the face of growth, development and technological advancement, a
broader approach to global public policy will depend on highly sensitive actions and policy
interactions at the individual, state and global levels. Of critical importance, therefore, is the
concept of “climate-compatible development” (CCD) or making development actions “climate-
neutral” by tackling both vulnerability and green growth in the same policy framework, as well
as the relationships between them (CDKN, 2010). As defined by the Climate and Development
Knowledge Network (CDKN), CCD focuses on finding ways of minimising harm from the
impacts of climate change and harnessing opportunities presented by a low-carbon future
while promoting poverty reduction and human development (CDKN, 2010).
By extension, it can also be suggested that “compatibility” is not only defined by the
climate-development nexus in national policy but also that development actions need to be
compatible across sectors and state lines, thereby giving weight to the notion that individual
state actions are unlikely to have an impact unless they are part of a collective, simultaneous
and mutually-reinforcing package of actions. Perch et al. (2010) note that there are necessary
interdependencies between mainstreaming climate change in development and
mainstreaming development into climate change, particularly in the way climate change
impacts states and people within and between states, as well as the economy, society and
the environment. After all, food security depends on water and energy; water supply
and distribution depend on energy and labour; and energy can be supplied by water.
Such considerations of compatibility require confronting a number of factors that are also
influenced by structural inequalities at the micro level (between groups): (i) climate change lies
firmly outside the sphere of influence of poor communities (which have limited power to
affect how it will be addressed); (ii) special burdens and/or vulnerabilities fall on the indigent,
women, ethnic minorities, indigenous peoples, and people living with HIV/AIDS in the context
of food security, water availability, and forest management. The Fourth Assessment Report
(FAR) of the Intergovernmental Panel on Climate Change (IPCC, 2007) estimates that, by 2020,
between 75 million and 250 million people will be exposed to increased water stress as a result
of climate change; and (iii) climate change adds another source of pressure on the indigent,
poor and vulnerable.
Thus, securing compatibility as an outcome calls for a process wherein considerations
of equity will be paramount, and that potentially offers an opportunity to bring the social
dimensions, issues of social justice and equity, as well as development (more broadly), to the
centre of the debate. Maxwell (2009a) makes a strong argument for a focus on a “reasonable
equity in outcomes” in devising a fair and socially just response to climate change.

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On principles of inclusion alone, considerations of who participates, on what basis, their
role in decision making and as direct actors in the response become critical. In Zaman (2008),
“inefficient equilibrium” is defined as a process in which some of the players form a coalition
and constrain the other players in such a way that whatever strategies they (the outsiders)
take, each player in the coalition will always receive a better payoff than that of any player
outside the coalition. The parallels with international climate change are obvious and are
pertinent to the power dynamics of development more generally.
Access to solutions, influence on decision making and the opportunity to benefit directly
from the implementation of solutions are also important. In that regard the traditionally
truncated discourse on “mitigation and/or adaptation” is implicitly expanded, and “inclusion”
becomes more central as a conditional (inherent) and a situational (evolving) factor in
defining the response.

3 NAVIGATING RIVALRY IN BENEFITS FROM GLOBAL PUBLIC GOODS:
WHAT, WHO AND HOW?
So far, the global discourse has been framed on two levels, one (adaptation) focused
on people and systems (micro) and the other (mitigation) focused on the economy and
structures (macro). There was little clarity on the balance between the two or how they relate
and influence each other (or should do so). Finding this balance implicitly requires adjustment
not just at the level of the normative but also with respect to objectives and their application—
that is, policy statements and actions prioritised. Adger et al. (2005) confirm that purpose and
outcome are intertwined. It is now clear that we must move beyond the orthodoxy that the
“market will solve all”.
“Framing”, which speaks to how a problem is presented and described, and how its
solutions are defined and implemented, reveals much about (i) how “adaptation and
“mitigation” will be implemented in policy terms; (ii) how “adequate and appropriate”
are defined in the context of approving the release of climate funds; (iii) the governance
arrangements in an operational context; and (iv) how they are applied on the ground at the
country level as a contribution to the collective response. The institutional frameworks in
which policy is embedded, therefore, give legitimacy to the scale, scope and shape of the
response. They also determine whether the response serves to avert the worse consequences
of climate change and variability, or whether it does more to maintain existing development
progress and mitigate the impacts on those most vulnerable within and between countries.
Since the 1960s, Herman Daly has been suggesting that human systems and dynamics
need to be understood and integrated in efforts to address environmental challenges.

3.1 BETWEEN THE ECONOMY AND SOCIETY FOR THE ENVIRONMENT
Traditionally defined in environmental/ecological terms, the discourse and the debate on
climate change have progressed to one significantly focused on the economic dynamics of the
causes and the menu of possible actions. Lord Stern’s 2006 review of those dynamics is among
the better known. As the movement towards a more significant linking of climate change
and development (in policy) builds momentum, two broad schools of thought dominate the
discourse. There are those who suggest that a focus on social issues distracts rather than aids


the policy process, and those who insist that in fact it is fundamental to a tangible, equitable
and sustainable response. For the most part, the social dimensions of climate change are on
the periphery of global public policy and action.
Lind (2010: 6), for example, seems to reject the linking of climate change and the need for
a re-engineering of the social order, when he writes that “pragmatic progressives should insist
that climate change caused by greenhouse gas emissions is a technological problem with
technological solutions”. Soley (2010) joins Lind in advocating economic/financial/market-
driven and technological solutions. Hale (2010) suggests that technology will not be enough
and that behavioural change is an unavoidable part of the response. Significant work has
also been done showing that market responses are insufficient to cope with the full
extent of the public goods (see UNIDO, 2008).
Market-based approaches have contributed and will continue to contribute to policy
reform and other change-management efforts. Still, there are strengths and weaknesses.
As regards the former, economic instruments have helped improve waste-management
and recycling efforts, and have reduced energy consumption through the use of low-wattage
lighting in homes and commercial buildings, as well as the use of other technologies reliant on
renewable sources such as solar water heaters (Perch, 2001). But the availability of renewable
energy solutions, if unrefined, in the 1990s and early 2000s did not mean that lobbying by
entrenched and powerful interests was not effective in limiting funding for further research
and innovation, or in sidelining these solutions as long as possible. Hale (2010), for example,
notes the power of vested interests in resisting change in the early years of the climate-change
debate. Moreover, while financial inducements contribute to macro shifts in consumption,
they tend to place at a disadvantage those who have limited interaction with the formal
market, such as the poor or those without disposable income and financial assets. Thus, while
economic logic has been critical for the progressive engagement of the private sector, which
perceived large-scale shifts as a threat to balance sheets, profits and competitiveness, other
logics are needed to engage other stakeholders, including those more active in the social and
environmental dimensions of development. By implication, this suggests that climate finance
investment needs to move beyond those investments that makes economic sense.
The expanded political discourse and detailed critique of instrumental responses to
climate change is not without merit. The critique has largely been founded on key areas
of concern: the limited developmental (in its broadest sense of beyond economic growth)
context in which such responses have been defined; the limited social analysis that inform
such efforts, either ex ante or in defining strategies; the limited understanding of and
consideration for the social dimensions of environmental change processes in general; and the
overall limited attention paid to the contribution of social and sociological factors in making
all solutions work. In advancing this broader argument, research findings from a number of
sources are relevant. In particular, O’Brien and Wolf’s (2010: 233) assessment is quite pertinent:
“a values-based approach to vulnerability and adaptation recognises that economic
assessments of impacts and responses, as exemplified in the Stern Review, cannot capture the
full significance of climate change”. The belief that values are important in defining issues of
significance and are also important to policy is not held solely by social researchers like O’Brien
and Wolf; “values” are enshrined in the US foreign policy agenda. A recent speech by Rajiv
Shah,6 Administrator of the Unites States Agency for International Development (USAID)
stressed that American actions, whether supporting victims of disasters in Haiti or hosting
bake-sales to raise funds for anti-malarial nets, are an expression of American values.

Working Paper 9

Other counter-arguments to the instrumental approach reflect broader concerns about
equity in the scale and scope of ‘’burden sharing”, particularly by the poor:
• Subsistence farming that depends largely on a rain-fed production process
will be significantly affected. Rural households that depend on subsistence and
smallholder farming in developing countries are known to be among the groups
most vulnerable to the impacts of climate change on agriculture (IFAD, 2008;
Morton, 2007).
• Many small rural farming households lack land title. In the absence of supportive
legislation, title-less famers and communities with customary rights will be
excluded from opportunities to capture revenues from carbon credits (White and
Martin, 2002 in De Pinto et al., 2010: 20) and other interventions that depend on
title and documentation as a source of validation and verification.
• Sixty per cent of the world's poorest and most vulnerable people are women who
depend on their natural environment to earn a living and feed their families
(UN, 2008).

Though recent progress on mainstreaming gender in the global negotiations/policy
process is laudable, it is notable that such undertakings lag behind intellectual enterprise,
research and other global policy that have long affirmed the fundamental role of gender
equality and women’s empowerment in human development. This has been the case since
the signing of the Rio Convention in 1992 and reaffirmed in the signing of the Millennium
Declaration. Undeniably, the climate-change negotiating process has historically been male-
dominated (Aguilar, 2007; Life e.V and GenderCC,7 2009). Though it is clear that having women
decision makers is not sufficient to guarantee that gender issues will be considered and
prioritised, their involvement is still a critical step towards the consideration of these issues
(UNECA, 2009). Recent criticism of the process of developing South Africa’s national climate
change policy (Palitza, 2010) is a case in point.
The fact that a debate still rages in the face of sound research on the risks and challenges
arising from delinking development and climate change, particularly in the context of
mitigation, highlights the politicised nature of the debate and signals potentially significant
challenges for the poor in general. Brown (2010), De Pinto et al. (2010), Panfil and Richards
(2010), GenderCC (2009), Graff-Zivin and Lipper (2008), Roncoli et al. (2007) and Sowers (2007)
have all highlighted a number of development gaps in mitigation practice. Heinrich Boll
Stiftung (2010), IFAD (2008) and Morton (2000) have expounded more generally on climate
change and development, through the lens of gender and agriculture/rural development
respectively. This body of work is also supported by more general research on the causes
of poverty and gender inequality, and how these influence access to resources
(see Lipper, 2001; Kabeer, 1999).
The role of political economy and the dynamics of the global economy cannot be
overlooked. In the area of emissions reduction, a large proportion of the production needed
to meet the consumer needs of the North has been exported to developing countries and
emerging economies. In some ways, this movement “offshore” has been a contributing factor
to the rate and consistency of growth in emerging and newly industrialised economies,
including those of China, India and Brazil. Interestingly, Sowers (2007) finds that wealthier


nations that traded more emitted less carbon, while poorer countries that traded more emitted
more carbon. One interpretation is that wealthier countries are sending carbon-intensive
activities offshore, and importing carbon-intensive products.
These dimensions also play out in the way that the local links to the global. Beyond the
integration of gender as a structural component defining vulnerability and adaptive capacity,
the participation of women and gender-advocacy groups in devising policy at the national and
international levels is also important. At the national level, National Adaptation Plans of Action
(NAPAs) have often been written and prepared by ministries of the environment. In their own
reporting, very few show any significant involvement by other ministries, including the
ministries of social development, welfare, health and/or women, which have access to the data
and understand the country’s social-development context (see Annex 1). Of the 32 NAPAS we
reviewed in assessing the scale and scope of participation, only two mentioned any significant
participation by other ministries. This raises other questions about the benefits or public good
resulting from climate-change action, which are derived through mitigation, adaptation,
resilience, or all of these.

3.2 BETWEEN LOCAL AND GLOBAL (BOTTOM-UP AND TOP-DOWN)
FOR THE COLLECTIVE
The delineation of the global climate-change agenda in the language of adaptation and
mitigation creates some inherent dualities. On the one hand, the language implicitly suggests
that change is inevitable and unpreventable, and on the other hand, that the worst can be
avoided. Who does what, when they do it and who is engaged become critically important in
this context. Ownership of the tools needed to make a response, including technology, also
becomes pertinent. If the primary focus is on the material benefits of those who create
technology, for example, it is likely that technology will be beyond the reach of those who
need it urgently—the poor and vulnerable (Brown, 2010). Both conceptually and practically,
however, adaptation still presents challenges for consensus, particularly regarding its
application at the national level.
This conceptual challenge emerges in particular with regard to the concept of
vulnerability, especially within countries. Currently, the global agenda is largely guided by the
concept of vulnerability as defined by the IPCC (see Figure 1), but it remains hotly debated
among researchers (Mimura et al., 2007; St. Bernard, 2007; Kelly and Adger, 2003) and is
defined in several ways. It has been intertwined with the concepts of susceptibility (Kambon,
2005) and resilience (Cascio, 2009; ESCAP, 2009; SOPAC and UNEP, 2005).
Further, Adger et al. (2006) posit that the colonial legacy of insertion into the international
economy negatively influences the quality of governance and the structure of the economy to
increase climate risk, and by implication also shapes exposure and vulnerability. As a proxy for
this colonial legacy, they use the narrowness of a country’s export base. Their analysis suggests
that climate risk is only partially explained by the most commonly cited causes of vulnerability
to climate-related disasters, poverty (GDP per capita) and geography (the proportion of the
population in coastal areas). Instead, other structural features associated with late
development—levels of income inequality, weak property rights and significant rural
populations—were stronger and more consistent than GDP per capita or coastal populations
in predicting death and displacement from such disasters.

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FIGURE 1
Conceptualisation of Vulnerability to Climate Change from the IPCC Third Assessment Report 2001

Source: Tincani, Murray and Perch; redrawn from Ionescu et al. (2005).

This is not to say that these spatial/geographical frames of analysis do not bring value to
vulnerability assessment, but that there is a tendency to assume that all people within that
zone are equally vulnerable. Take, for example, the average coastal area in a small island
developing state. Within that zone are hotels, homes, banks and businesses of all shapes and
sizes. In a broad discussion of vulnerability, the hotel owner could be easily prioritized along
with the small homeowner and the micro-entrepreneur. Schneider and Lane (2005) suggest
that such approaches, which accord binary classifications of winners and losers on the basis
of location and/or systems, have limited relevance and that vulnerability analysis could be
strengthened by including the political, economic, and social determinants of vulnerability,
as well as adaptation capacity.
From the more nuanced discussions that take account of issues of equity and justice
(see also Mearns and Norton, 2010; CDM Watch, 2010; Adger at al., 2005) it can be inferred that
the vulnerability and security of any group is also influenced by the entitlement of individuals
and groups to call on available resources. Hence solutions that only cater to needs such as
economic wealth, technology, infrastructure, information, knowledge and skills or access and
availability, but that do not address “agency” or capability to deploy such resources when
needed, miss a significant piece of the puzzle. This broader concept is still peripheral to the
policy process but it is to be hoped that it will be addressed in more depth in the new IPCC
report due in 2014.
These general weaknesses are also reflected in current global guidance on adaptation.
The existing guidelines for climate financing, including NAPAs, the Special Climate Change
Fund and the Least Developed Countries Fund (UNFCCC, 2002 and 2003) are broad and
open to interpretation (see Box 1). Furthermore, discussions at the twelfth meeting of the
Adaptation Fund Board (AFB) confirm that much remains unresolved. There, vulnerability was
part of a critical internal debate, as yet unresolved, on the initial funding priorities, including
the balance of resources among vulnerable countries (Kaloga and Harmeling, 2010).
The absence of a consistent, subnational frame or micro-level scale of analysis, which
takes account of the type, source and shape of vulnerability, complicates verification of the


impacts on and benefits for the poor and vulnerable within a country. It also makes it much
more difficult to gauge the cumulative impact of adaptation efforts at the global level, where a
significant portion of additional development finance specifically targets poverty reduction.
This also challenges the Monitoring, Reporting and Verification (MRV) systems being
formulated in the United Framework Convention on Climate Change (UNFCCC) process
(see also Annex 3 on reporting on and verifying the Clean Development Mechanism, CDM).
These limitations exist not only in global policy on adaptation but also, albeit differently, in
mitigation efforts.

BOX 1
NAPA Framework Guidelines for Preparing the NAPAs

Broadly, the guidelines recommend:
(a) A participatory process involving stakeholders, particularly local communities.
(b) A multidisciplinary approach.
(c) A complementary approach, building on existing plans and programmes, including national
action plans under the United Nations Convention to Combat Desertification, national biodiversity
strategies and action plans under the Convention on Biological Diversity, and national sectoral policies.
(d) Sustainable development.
(e) Gender equality: climate change will have different impacts on men and women, and in most
cases the adverse effects of climate change disproportionately affect women. Women are often the
main repositories of vital local and traditional knowledge, and they need to be recognised as key
stakeholders in the consultations and in decision making.
(f) A country-driven approach.
(g) Sound environmental management.
(h) Cost-effectiveness.
(i) Simplicity.
(j) Flexibility of procedures based on individual country circumstances.
The guidelines note that the NAPA team should be multidisciplinary, particularly the broader
team responsible for most of the tasks associated with preparing the NAPA. It should span all relevant
disciplines such as agriculture, forestry, health, urban planning and women’s issues, and will work under
the guidance of the NAPA team. It is recommended that the team include a social scientist familiar with
participatory methods.
Source: UNFCCC, 2002.

Generally, mitigation has also been weak on the interactions between economic,
social and environmental vulnerability, including the interplay between endogenous and
exogenous factors. For example, the extent to which international trade and geopolitical
dynamics influence or constrain the capacity of states to transform is largely absent from the
political discourse in a policy sense. Although this is changing with the increasing discussions
on trade and climate change, there is less recognition of the role of impenetrable wealth and
its related power machine—a social and political behemoth—in limiting and constraining
change. Further, evidence suggests that the diversification of sectors into less carbon-intensive
pathways will be limited in part by domestic factors, particularly the political clout wielded by

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what Bandiera et al. (2005) term “export elites” or “polluting elites” and “weak postcolonial
state institutions”.
Certainly, fossil-fuel demand reduction (requiring the re-allocation of resources across
sectors that accompany development)8 will require that actions be both mitigative and adaptive.

3.3 WHOSE VULNERABILITY AND WHOSE OPPORTUNITY?
The limited focus on social and behavioural research in the science and politics of climate
change has, in the view of the present author, led to the limited capacity and efficacy in
integrating “development” into the globally agreed agenda. This has implications for the
balance between targeted9 and universal assistance to address climate-change impacts at
the national and international levels. The risks that arise are significant in the context of either
adaptation or mitigation.
• In the case of energy, the need to move rapidly to a low-carbon model will
require significant investment in “renewables”, including biofuels, with potentially
negative implications for the availability of land, capital and human resources for
food production. What would this mean for the poor when the competition for
scarce land and other resources intensifies and the nominal value of land increases
because of new market opportunities?
• De-linking adaptation from development is likely to limit the sustainability
of interventions (Mitchell, Anderson and Huq, 2008).
• The multilateral system tends to take it for granted that countries represent all the
interests of their citizens rather than the sum total of them, despite evidence to
the contrary. Kates (2000) concludes that “if the global poor are to adapt to global
change, it will be critical to focus on poor people, and not on poor countries as
does the prevailing North-South dialogue. The interests of the poor are not
always the same as the interests of poor countries”.
• Moreover, a focus on the circumstances of the country rather than on the poor
within the country has sometimes tended to undervalue the needs of the poor as a
minority of the population. Ospina’s (2010) analysis of the impacts of Hurricane
Katrina highlights the contrast between the economic and technological power of
the United States as a country at the time and the devastation faced by the state
of Louisiana as a part of the whole (see Box 2).

BOX 2
Macro-Micro Realities in the United States

Recent data for the US highlight significant disparities along ethnic and racial lines (Lewis and Burd-Sharps,
2010; Burd-Sharps, Borges Martins and Lewis, 2008), including in access to critical services. The latter study
notes that “the top 1 per cent of households possesses a full third of America’s wealth” (2008: 6). The debate
on healthcare reform in the United States between 2009 and 2010 also disclosed a wide disparity in access to
healthcare and the burden that places on disposable income, and revealed diverse and opposing
perspectives of the state’s responsibility to bridge the gap.

This is suggestive of another type of politics, one that may be defined by the traditional relationship
between aid donors and recipients but that also considers how poverty and vulnerability are tackled not just
in the South but also in the North.


Thus, greater political and academic attention to governance arrangements (process) and
efforts to look beyond the numbers (outputs) have served to reveal innate challenges in the
global public policy process, including issues of convergence and coherence.
• There is a need to reconcile the structural nature of the global policy process with
the requirements to secure development effectiveness. Strengthened capacity for
socio-ecological analysis is needed, including disaggregated data. While much of
the development discourse has emphasised that “aggregates” tend to mask
inequalities within societies and countries, micro-scale analysis still seems to be
the exception, rather than the rule, in understanding poverty and climate change
at the global level.
• An opportunity has been missed to learn from broader global efforts, including
best practice and failures in addressing gender equality. Few issues can match
climate change for its subtleties, interactions, complexity and multidimensionality.
The lessons learned since the Beijing Platform for Action (1995) came into
being hold a number of cautionary tales for the climate-change agenda,
including the following.
o Equality, equity and parity are interlinked but are not substitutable for each
other. The broad development agenda has tended to progress more when
geared towards equity and balance rather than parity in all things.
o It is often easier to tackle practical needs such as income and access to
resources. The harder and more critically important task is to deal with the
underlying reasons for disparity between men and women and between
members of the household, between households and within society.
The sustainability of impacts and outcomes, as well as investments, relies
on meeting strategic rather than practical needs.

The World Bank (2010a) notes that “climate resilience is strengthened where adaptive
capacity is improved, inequalities are addressed, and exposure to climate risk is minimized”.
Thus far, evidence suggests that adaptive capacity still needs to be better defined, inequalities
remain only partially addressed, and exposure to climate change is lower on the scale of
priorities than mitigating the worst of the impacts. In many ways, this is inimical to a crisis
response wherein the first stage is to limit impact (through triage) and then address recovery.
This has serious implications for the effectiveness and impact of the rapidly growing pot of
resources being allocated to climate change (climate finance), including “fast-tracked
resources”. The risk is high that the needed changes identified above may not be addressed,
that implementation over the next two to three years succeeds more in “emissions trading”
than “emissions reductions”, and that it undermines or limits the potential for the climate-
change agenda to contribute to, inform and enhance development policy actions in other
global agendas, including those related to the management of other forms of global
environmental change.

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4 CLIMATE FINANCE: AGENDA-MAKING, GAME-CHANGING OR
HERALDING A NEW GLOBAL DEAL?
Traditionally, the structural inequalities between developed and developing countries
(the pace, scope and size of development) have tended to limit international cooperation as a
result of divergent philosophies and worldviews, generalised mistrust, and limited reciprocity.
The traditional structure of global aid and even the expanded focus on “development finance”
has usually tended to maintain and reinforce this reality. Here, structure is conceptualised in a
“non-material” sense in the form of patterns of behaviours, norms and ideologies (borrowing
from the contrasting theories of Durkheim and Marx, and largely favouring Giddens’s theory
of structure as both enabling and disabling of policy and development).
While the emergence and growing role of several newly industrialised economies is
causing this to shift, these dichotomies are largely reflected in the global allocation of finance
for the climate-change response. The so-called BRICS (Brazil, Russia, India, China and South
Africa) account for more than 25 per cent of world output (IEA, 2010: 19).Recently, the UNDP’s
Ajay Chhibber (Assistant Secretary-General and Director of the Regional Bureau for Asia and
the Pacific) reflected on some of these matters as he spoke to the media during the Global
Urban Development Forum.10 He noted that “the New South is much more what I’d call a
handshake—not hand out. It’s built on a partnership, rather on a donor-receiver relationship”.
He also defined the traditional North-South aid model as top-down conditionality.
Thus, the recurrent pattern of political arrangements that largely define international
policy also shape the nature and scope of solutions to climate change. By the very nature of
their state of development and continuing challenges, however, least developed countries
(LDCs) and small island developing states (SIDS) remain heavily dependent on the global policy
framework for financing and policy direction. The NAPA framework has been specifically
designed to facilitate their access to adaptation finance (UNFCCC, 2008). Capacity constraints
go beyond issues of application and implementation, and relate to their relative influence
(or lack thereof) on the shape of current science and research frameworks. Such a high
dependence on the global framework increases the exposure of LDCs and SIDS to the
negatives of the politics of climate change, particularly in defining both their options and
actions for adaptation and mitigation. Furthermore, their influence on the global agenda is
constrained by the plethora of bodies and working groups (as defined by the UNFCCC
architecture), which demand significant time and put pressure on limited internal capacity.
Still, though national action in this sense is not fully autonomous, neither is it fully subject
to structure or the political economy. Countries do have the space to define their responses
and to prioritise actions through a number of national and global policy instruments; and they
receive support in this context through norms such as the Paris Declaration and the Rome
Declaration,11 which emphasise country ownership and other forms of “agency” in the context
of aid effectiveness.

4.1 AGENDA-FRAMING BY VIRTUE OF FINANCE
A review of the emerging financial architecture (see Figure 2) suggests significant complexity
and an ongoing struggle for clarity in identifying the level of contributions that countries
make—particularly those that give funding bilaterally as part of the EU or through the UN,
other multilateral bodies and multi-donor trust funds—and indicates a complex web of


objectives in delivering climate finance. As of October 2010, the updated list from Climate
Funds Update (www.climatefundsupdate.org) reveals that there are 22 climate change funds
emerging and managed through bilateral, multilateral and multi-donor arrangements.
Clearly, the finance structure has developed significantly: there were more than 20 funds
and instruments in 2010, compared to the two that existed in 2002. The most substantial
acceleration in funds occurred in the 2008–2009 period. Table 1 and Table A2 in Annex 3
outline the instruments, their operations and their scope. Since each fund is defined by specific
operational guidelines that determine its governance, priorities and allocations, it will be
increasingly complicated to secure policy coherence and bring about convergence towards a
collective climate response. A surface analysis of the information in Table 1 indicates a marked
inclination towards mitigation, both in terms of numbers of funds and the amount of funding
allocated. Of the 22 funds, only five have a singular focus on adaptation.

FIGURE 2
Schematic of Emerging Architecture of Global Climate Finance

Source: Climatefundsupdate.org, accessed on 10 August 2010.

Financial pledges reached US$26.89 billion by late 2010 (according to Climatefundsupdate.org)
and it is expected that they could reach US$100 billion a year. Only a third of this had been
deposited by the time this research was conducted—that is just over US$9 billion, within reach
of the US$10 billion target set in Copenhagen for fast-track resources. While this seems to be a
good start, NEF (2009) suggests that even projected levels of future investment are insufficient.

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Moreover, a comparison between this level of financing and the annual budget for Brazil’s
agriculture sector, which in 2009–2010 was about R$107.5 billion (US$61.14 billion),12 of which
R$15 billion (US$8.57 billion) was allocated to family agriculture alone (Government of Brazil,
2009), suggests a significant gap in scale at the global level. China’s investment in energy
efficiency is another case in point. According to Wirth and Podesta (2010) China has reported
plans to invest US$738 billion over the next 10 years in renewable energy, an amount that will
exceed the global financing allocation for the next decade at the global level.
Thus, while the significant acceleration in climate-change funds between 2008 and 2009
period and the number of active projects signify critical progress, the current bias towards
mitigation should be a cause for concern. For many countries, even mitigative actions will be
forms of adaptation as they undertake energy reform and reduce fuel-wood consumption.
Adaptation, however is a distant second to mitigation in terms of the share of the available
climate finance resources (see Figure 2). Some 87 per cent of the funds currently allocated are
being channelled to mitigation actions, compared to only 8 per cent for adaptation. Less than
5 per cent of the resources are being targeted to multi-focused actions. Moreover, mitigation
instruments like the CDM have been deemed to have a bias towards larger developing countries
such as India, Brazil and China, and towards certain types of gases and technologies (Liverman
and Boyd, 2008), potentially directing the focus of many other countries towards adaptation.

TABLE 1
Updated Data on Funds Pledged, Deposited and Disbursed
Disbursed,
Pledged Deposited
Fund Abbrev. manual total
(US$mn) (US$mn)
(US$mn)
Adaptation Fund AF 198.38 171.58 9.54
Amazon Fund (Fundo Amazônia) FA 1,000.00 110.00 59.90
Clean Technology Fund CTF 4,387.75 483.50 9.30
Congo Basin Forest Fund CBFF 165.00 165.00 17.42
Forest Carbon Partnership Facility FCPF 221.24 174.44 4.42
Forest Investment Program FIP 562.10 33.90 2.00
GEF Trust Fund - Climate Change focal area (GEF 4) GEF4 1,032.92 1,032.92 1,023.35
GEF Trust Fund - Climate Change focal area (GEF 5) GEF5 1,359.38 0.00 0.0
Global Climate Change Alliance GCCA 204.15 201.75 8.10
Global Energy Efficiency and Renewable Energy Fund GEEREF 169.50 63.68 0.00
Hatoyama Initiative HI 15,000.00 5,320.00 5,320.00
International Climate Initiative ICI 519.60 515.61 258.02
International Forest Carbon Initiative IFCI 243.57 243.17 66.10
Least Developed Countries Fund LDCF 221.45 169.19 141.93
MDG Achievement Fund – Environment and Climate
MDG 89.50 89.50 56.20
Change thematic window
Pilot Program for Climate Resilience PPCR 981.84 174.70 9.00
Scaling-Up Renewable Energy Program for Low Income
SREP 300.13 24.00 ...
Countries
Special Climate Change Fund SCCF 147.78 110.48 97.15
UN-
UN-REDD Programme 87.10 87.10 38.20
REDD
Total 26,891.39 9,170.52 7,120.63
Source: Climatefundsupdate.org. Accessed online, 15 October 2010: http://www.climatefundsupdate.org/graphs-
statistics/pledged-deposited-disbursed.


For many LDCs and SIDS, and for some medium-sized middle-income countries,
adaptation will be the priority response. Specifically, landlocked countries progress on
adaptation will be highly dependent on the commitment and flow of funds for that purpose at
the global level. In landlocked Lesotho, for example, limited forest resources—less than 1 per
cent of the country is forest and woodland (Government of Lesotho, 2007: 1)—constrains the
potential of Reducing Emissions from Deforestation and Forest Degradation (REDD) and other
mitigation efforts, except where there are investments for carbon offsets. The size of the pot,
which is currently quite small, also constrains the capacity for urgent and catalytic action.
Of the €2.39 billion confirmed in a pledge from 19 EU member states and the European
Commission, 63 per cent will support mitigation while only 37 per cent will support adaptation
(Ballesteros, 2010). As “agenda-setters” on mitigation (Schreurs and Tiberghien, 2007), this is an
important step. The Copenhagen Accord mandates a “balanced allocation between mitigation
and adaptation” but the question is how this is to be defined and measured.

FIGURE 3
Focus of Funding

Source: Climatefundsupdate.org.

The cartoon (Illustration 1) from Tiempo’s July 2010 issue13 reflects concerns that
the climate response to date has been driven more by financial opportunism than a desire to
bring about structural changes in order to move to a new, low-carbon, resilient and climate-
compatible development path.
Beyond this is the reality that current financial pledges are not yet sufficient to respond to
the scale of the challenge (OECD/IEA, 2008). A deeper review (see below) of how finance is being
shaped through a number of the instruments and operational frameworks, highlights several
concerns and potential risks arising from gaps in governance, policy guidance and application.

Working Paper 19

ILLUSTRATION 1
A Gaunt View by Lawrence Moore (Tiempo, July 2010)

4.2 CHANGING THE GAME: ISSUES OF GOVERNANCE,
POLICY GUIDANCE AND APPLICATION
The influence of governance arrangements, including rules and policy guidance, on adaptation
and mitigation at the national level also has implications for who is engaged, how they are
engaged, and when. While global guidance is mainly prescriptive it can have a significant impact
on national response frameworks that depend largely on external donor resources and technical
expertise. The World Bank and the Global Environment Facility (GEF) provide a significant
proportion of existing climate finance (Ghosh, 2010). Both are at the core of operationalising
delivery of that finance in line with the objectives and desired outcomes embodied in
agreements within the UNFCCC. They have a singular influence on the form the finance takes
and who it is likely to benefit. They both acknowledge limitations in the current operational
frameworks, particularly on development and social issues respectively. The World Bank (2010b)
refers to a fragmented integration of climate benefits in its core development portfolio.
In this paper, “governance” and “policy guidance” are used as a lens to gain a better grasp
of who is involved and how their understandings and preferences influence the definition and
implementation of priorities. Conceptual frameworks become critical for shaping
operationalisation (rules) and policy guidance (practice) for applications and reporting on
implementation (Ghosh, 2010). Governance can be seen to have a clear influence on the what,
the how, and the “who” of outcomes and impacts, and thus these matters are treated here
jointly. This notion is reinforced by analysis in University of East Anglia (2010) that identifies
governance as important for securing benefits and for emissions reductions.
While the global climate response is divided along the lines of adaptation and mitigation
efforts, suggesting that both the severity of impact and resilience have been considered in the
conceptual framework, these are not necessarily defined as complementary and mutually
supportive. The literature is clear that adaptation and mitigation are both necessary, but less
has been done to demonstrate, explore or emphasise the complementarities at the level of


global policy. Kane and Shogren (2000) point out that how people privately and
collectively adapt to climate risk can affect the costs and benefits of public mitigation
policy (Kyoto, for example).
Universal and targeted approaches in social development have been found to have
strengths and weaknesses, as well as complementarities, and the same applies to climate
change. While macro-level policy is critical for moving collectively in a new direction, targeting
is critical for the efficient use of scarce resources (Perch et al., 2010). This review of the literature
and selected operational frameworks such as the CDM, NAPAs and the Adaption Fund
suggests that some critical deficiencies exist alongside potential opportunities.14

4.3 ADAPTATION: MIND THE GAP
A review of the operational policies and guidelines for parties to access resources from the
Adaptation Fund (UNFCCC, 2008) reveals intellectual and technical recognition of a large
number of factors in responding to climate change, including development concerns.
Ironically, the NAPA, a key instrument for LDCs to access climate finance and communicate
vulnerability to climate change, has been limited in terms of social development. The NAPA
guidelines15 have sought to integrate social dimensions and analysis. They note, for example,
that women’s participation and the inclusion of issues particular to women is necessary.
They further identify a number of what are generally regarded as “development”
considerations, including participatory and multi-disciplinary approaches, complementarity,
sustainability, gender, country-ownership, environmental relevance, cost-effectiveness, and
flexibility (see Box 1). While the guiding text recommends consideration of the level and
degree of adverse effects from climate change, poverty reduction, synergy with other
multilateral environment agreements and cost-effectiveness, these are open to
interpretation and not enforceable.
Table 2 suggests that adaptation planning to date has been broadly inconsistent and
generally weak on the social dimensions; this is particularly the case in the subnational context.
In many cases, the analysis in the NAPAs seems to be inconsistent with available data on
human development for the respective countries, and participation in consultation is weak
(see Annex 1 for a more detailed analysis). NAPAs are important. These are more than strategic
documents; they are the foundations on which applications for adaptation actions are
financed, including the Climate Investments Funds managed by the World Bank including
the Pilot Programme for Climate Resilience.

TABLE 2
Analysis of Inclusion by Group or by Vulnerability in NAPAs to Date
(see coding process in Annex 2)*
% of available % of available
Inclusivity factor Yes No
NAPAS NAPAs
Mentions gender 25 78.0 7 22.0
Prioritises gender 12 37.5 20 62.5
Mentions poverty 31 97.0 1 3.0
Prioritises poverty 26 81.0 6 19.0
Mentions ethnicity 7 22.0 25 78.0
Prioritises ethnicity 31 97.0 1 3.0
Lists vulnerable groups 21 65.5 11 34.5
Identifies participatory actions 18 56.0 2 6.0
* 10 NAPAs did not make it clear if they were participatory.

Working Paper 21

There are NAPAs (Samoa on gender, Liberia on gender and social dimensions, the
Comoros on vulnerability, Lesotho on HIV and climate change, and Sierra Leone on women in
development) that have addressed some of the wider development dimensions in the context
of climate change. Broadly speaking, however, there are marked divergences between what
other data tell us about these LDCs and what is reflected in their NAPAs. Most LDCs/SIDS
have neither mentioned gender nor prioritised it. Mozambique has a low female literacy rate
(40.1 for 2008) according to the last WDI figures (World Bank, 2010c) and more than 20
per cent of households are female-headed, but soft adaptation actions such as education
are not necessarily prioritised. Why is this important? The World Bank (2010a: 34) notes that
“education will also affect a person’s ability to anticipate climate events, make proactive
adaptation decisions and reduce losses related to disasters”, suggesting a critical rather than
secondary role for education in strengthening resilience and, by extension, adaptation as well.
Many NAPAs do not feature micro-level analysis, constraining the identification of specific
groups (Burundi, Cape Verde, Gambia, Kiribati and Mozambique do not identify any) and
contexts where vulnerability is intensified. A few (Laos, Maldives, Cape Verde and Vanuatu)
have not prioritised the poor.
Analysis of the eleventh meeting of the Adaptation Fund Board (AFB) in 2010 reveals
both progress and continuing challenges in operationalising “adaptation” at the global
level. While the AFB has rejected a number of proposals, the reasons for such discussions
are not made entirely public; this is less than desirable for a fully transparent process.
Such communication is also important for broader learning among the community of actors on
climate change, perhaps including improvement of the concepts of how adaptation is applied.
Equally important, the extent to which proposed projects reasonably meet the requirements
for adaptation—or what Kaloga and Harmeling (2010:10) refer to as “adequate adaptation
reasoning in projects and programmes”—remains inconclusive and is being decided on a case-
by-case basis. This could lead to incompatibility between types of adaptation actions within
countries and across states, and makes it hard to form a comprehensive picture of the shape of
adaptation action. Many of these issues persisted into the twelfth meeting at the end of 2010.
Furthermore, ActionAid (2009: 28) has raised important questions about community
participation in the AFB process, highlighting the lack of clarity and consistency as one of its
more significant weaknesses. Moreover, while governance arrangements relating to Board
membership makes specific allocations for LDCs and SIDS, the assumption is again made
that “poor and vulnerable countries” speak adequately for poor and vulnerable people.
In perhaps one of the most detailed efforts to catalogue adaptation action, Berrang-Ford
et al. (2010: 6) find that “most adaptations are occurring at the individual level with weak
involvement of government stakeholders, and adaptation activities are more likely to occur
in natural resource sectors such as agriculture, fisheries and forestry, or the securing of food
resources. Adaptations are characterised by responsive activities such as avoiding or retreating,
coping or accommodating, adjusting, spreading risk, and securing income or resources.
Adaptation mechanisms are more likely to include community-level mobilisation rather than
institutional, governmental or policy tools”. This brings further into question how adaptation is
being institutionalised at the macro level and harks back to the old debates on addressing
poverty beyond income, and addressing development beyond economic growth. They further
note more reported action on adaptation by low-income countries than by middle-income and
developed countries.


4.4 MITIGATION: EMISSIONS REDUCTION THROUGH CLEAN
DEVELOPMENT. IS CLEANER GREENER?
According to Bromley et al. (2004a), the disciplines of economics and politics recognise that
the resolution of collective-action problems goes beyond getting the incentives right, into the
fields of political organisation and the strategic and cultural determinants of behaviour.
The discourse on mitigation, however, has largely focused on technology, financing,
means of transfers, trading and offsets. Specifically, mitigation16 has focused on several
actions largely within the context of the “market”, and significantly supported by private
and public financial flows:
• Fossil-fuel alternatives, including expanding access to clean energy
(“clean” denoting more environmentally-sound).
• Transitioning current industrial processes and infrastructure to low-carbon
models.
• Infrastructure—connecting people to new sources of energy.
• New forms of energy and the infrastructure needed to complement it.

The IPCC has estimated that the level of emissions would have to be reduced by 50 per
cent from 1990 levels by 2050 (Stern, 2008), and developing countries would have to start
moving towards low-carbon development. A new global deal (a term coined by Lord Stern)17
therefore depends heavily on reducing both the quantity and the quality of emissions, and on
acknowledgement that the lifetime of some GHGs make them more problematic than others.
The carbon market in particular has grown rapidly, and much of the momentum in the area of
mitigation stems largely from the dynamism of the CDM. Through the CDM, environmentally
sound technologies developed in industrialised countries are shared with developing
countries, helping industrial development and investment in several emerging economies
(Van Noordnen, 2007). By 2009, according to the World Bank (2010d), the value of the global
carbon market had grown by 6 per cent to US$144 billion between 2008 and 2009. The fact
that growth was recorded in the midst of a global economic crisis is particularly noteworthy,
given reports of declines in the supply of and demand for carbon assets.
Still, the International Energy Agency (2009) has indicated that a US$20 trillion investment in
the energy sector is needed over the next 20 years (beyond the current commitment of US$10
billion annually in the 2009 Copenhagen Accord and the size of the current carbon market).
There is also a growing debate about the need for greater consideration of ethical and social-
equity issues if mitigation is to be an effective instrument of global policy.
The current literature raises a number of matters about the carbon market and carbon
trading, and Brown (2010) summarises several of them in his discussion of: the justice of the
cap; allocating global-commons resources as property rights; and environmental effectiveness,
distributive justice and procedural justice. The broad consensus is that without a clear policy
direction, defined by agreed collective principles, it is possible that little dent (or much less than
is needed) could be made in emissions levels. In this regard it is also worth noting the limited
contribution to the protection of tropical rainforests made by the US$118 billion global carbon
market in 2008 (Viana, 2009).

Working Paper 23

Theoretically, the CDM is a primary pathway to addressing some of those dynamics,
especially the trade-related aspects of climate change. But concerns have been raised about
participation, consultation, scale and the overall impact of the CDM in a development context.
As in the case of adaptation, the negotiated language tends to be vague (see Annex 3).
Brody et al. (2008: 9) indicate that many processes used to define climate-change mitigation,
particularly in large projects, are deemed to be “non-inclusive” because of the limited degree
of consultation with local stakeholders. Liverman and Boyd (2008: 48) found that sustainable
development was often poorly defined in the context of the impact of CDM projects.
Analysis of the CDM has found that:
• While there is some potential to mount a legal challenge to a host country’s
determination that a CDM project helps it achieve sustainable development,
either in the CDM registration process or externally through litigation, there is little
evidence of any such action being taken (UNEP, 2004: 50). Hence many of the
existing risk reduction mechanisms remain untested.
• There is a real potential for conflict resulting from the lack of clarity and
unresolved inconsistencies between “emissions reduction” and development.
Brody et al. (2008) raised this issue in the context of the growing scarcity of natural
resources such as water and arable land in some parts of the world, combined with
heightened competition over the same resources.
• Monitoring and evaluation approaches and criteria remain generalised in
mitigation practice. Many of the guidance documents are still unclear about what
constitutes a “good project” and what does not. There also appears to be limited
rigor in ensuring the maximisation of the consensus for action and the investment
of available funds in activities that go beyond abating climate change and that
move towards the structural transformation needed for climate-resilient
development and low-carbon development. A study by the University of East
Anglia (2010) suggests that the performance of the CDM to date is a result of “a
process left to its own devices”. The study notes that investors have often sought
out the lowest-cost abatement opportunities that often bring few sustainable
development benefits (University of East Anglia: 1).
• While the operational framework provides for the consideration of social,
economic and environmental issues, there is much room for interpretation of the
guidelines, which state that “project participants (in a LULUCF activity) will only
have to conduct an environmental impact assessment if they themselves, or the
host country, consider the impacts ‘significant’” (UNEP, 2004). The decision
provides no further elaboration of what constitutes ”significant”, although the
preamble does mention risks associated with the use of potentially invasive alien
species by afforestation and reforestation (A&R) project activities and potential
risks associated with the use of genetically modified organisms (UNEP, 2004: 47).
• Lack of coherence between global policy frameworks is potentially costly.
Logically, it is possible that climate-change measures could negatively affect
biodiversity, and that biodiversity policy could be inconsistent with climate-
change goals, and the same with efforts to combat desertification and
degradation. Nonetheless, it must be noted that in the past year or more there has


been greater collaboration between the Convention secretariats, including efforts
by the Convention on Biological Diversity to improve coherence between global
and national actions on biodiversity and climate change. The lack of coherence
between Kyoto and Montreal, however, also potentially needs to be monitored.
According to Van Noordnen, (2007), this has led to expensive loopholes and a
clash of objectives. Under Kyoto, developed countries are paying developing
countries, mainly China and India, to produce ozone-depleting refrigerant gases
that the former countries can no longer produce at home, thereby finding a
relatively cheap way of meeting their Kyoto targets. FIELD (2010) notes, however,
that there are still diverging opinions on the need and process for efforts to
enhance coherence between the Rio Conventions.
• Opportunities and access are still not assured for all in the CDM. A recent UNDP
discussion paper on climate finance (UNDP, 2010) points out that, although an
estimated 575 million people still rely on traditional biomass for cooking in Sub-
Saharan Africa, the region accounts for less than 1 per cent of total private
investment in clean energy and that five countries—none of them African—
account for 80 per cent of global CDM credits (UNDP, 2010: 5). There is much
concern that, unchanged, the current structure of the CDM will result in Africa’s
needs being essentially ignored. The first CDM project in Africa was approved in
Uganda in mid-2010 (Climate-L.Org, 2010b), but there is still a long way to go.
• Not all carbon credits are equal. Results from a review of CDM activities in the
Philippines suggest that most of the “credits” generated come from projects that
further exacerbate climate change and compromise sustainable development,
enriching large conglomerates that are expanding extractive and fossil fuel-
intensive activities. In assuming that all carbon “reductions” are equal—that it
does not matter who carries out the reduction or where—the CDM has sometimes
provided an additional revenue stream to powerful conglomerates (because they
are the ones who can afford the expenses associated with the project) that
ultimately emit relatively more greenhouse gases, while at the same time
marginalising communities (Focus on the Global South, 2010).

Agriculture is important for successful mitigation. It is estimated that the sector
contributes 10–14 per cent of total GHG emissions and is the largest emitter of non-carbon
GHGs: 52 per cent and 84 per cent of total methane and nitrous oxide emissions, respectively
(De Pinto et al., 2010: 2). If indirect emissions from fertiliser use and land clearing are taken into
consideration, agriculture’s share of total emissions rises to 26–35 per cent, and 80 per cent of
this contribution comes from developing countries (IFAD, 2008). Agriculture’s contribution to
GHG emissions has been on the rise because of population and income increases, higher per
capita caloric intakes, and dietary changes (more meat and dairy, and fewer vegetables and
grains) (USEPA, 2006, in De Pinto et al., 2010). Despite its clear importance for mitigation
strategies, the sector has been largely excluded from formal and informal mitigation carbon
markets. Some of the reasons for this exclusion are linked to uncertainties about “the amount
of carbon that can be sequestered by agricultural soils, the reduction in emissions obtainable
from the agricultural sector, and the length of time that carbon can be stored in the soil”
(De Pinto et al., 2010: 1).

Working Paper 25

There are now significant opportunities to stimulate new investment in the agriculture
sector and to make small-farm production more efficient and effective. Given the current
concerns of the Food and Agriculture Organisation (FAO) and the World Bank about escalating
food prices and the entrenchment of rural poverty, a move towards cleaner and greener
agricultural production seems like a natural win-win. Still, this will not be solved simply by
global agreements and financial and technological investments. Making mitigation accessible
to all will require broadening the scope and the arrangements, and looking beyond
considerations of the natural environment itself. In so doing, there is much potential to
make the mitigation process more inclusive, more sustainable, more effective and pro-poor.
Furthermore, the adoption of such approaches could help improve food security, a matter that
became urgent during the recent food crisis and potentially looms again.
Even within “low-carbon”, there are no guarantees that the benefits will be accessible
to all without significant efforts to ensure that the poor can afford new technologies and
maintain them (see Perch, 2010 for a broader discussion of energy poverty and some of the
dynamics within poverty, the environment and development at the national level). The
literature and discourse is clear that “trickle-down” has often not been “effective”. Additionally,
“low-carbon” will not automatically mean “effective” in a development sense unless clear
definitions, governance and means of measurement are put in place to manage such
processes better. This is already evident in debates about REDD and REDD+, in which the
theoretical benefits for the climate, countries and local populace are being questioned
because of concerns about the access of local communities to REDD finance (negotiated
between countries), as well as the engagement and participation of all users, including women
(Kant, 2010; Gurung and Quesada, 2009; Elisara, 2009). True engagement by indigenous
peoples in REDD processes also remains a question of debate (Elisara, 2009).
What seems to be missing from “mitigation” as a development-policy practice are
considerations of social risks more broadly, and critically their absence from the operational
frameworks of several loosely managed and weakly governed carbon-offsetting mechanisms
(ActionAid, 2009). In the case of adaptation, the key issue seems to be participation in the
“truest sense”, including a robust understanding of vulnerability. A number of risks that
emerge from the above potentially worsen conditions for the poor and vulnerable:
• The burdens that women’s unpaid work place on their time and use of resources,
and accordingly their capacity to adapt and resile will largely remain outside the
policy framework. This increases the costs of a missed opportunity to strengthen
coherence between the international climate agenda and the existing gender
conventions such as the Beijing Platform of Action, the Convention on the
Elimination of Discrimination Against Women (CEDAW) and Belém do Pará.
• Full engagement and accountability will remain stymied as long as clear
procedures to challenge priority adaptation actions do not exist or are not easily
enforceable.
• The limited technical capacity of LDC experts and specialists may benefit the
global process more than national processes because of the complex and wide-
ranging technical bodies that support the global policy framework.


• Policy will continue to be guided more by good intentions than by firm decisions
and clarity, and “sustainability” and “resilience” will be grand ideals rather than
defined outcomes.
• Macro-level adaptation is likely to make more significant strides than efforts to
reduce vulnerability and sustain progress on poverty reduction. In the absence
of strengthened governance arrangements, there are implications for short-term
food production and a likelihood that the poor will have ever less access to land
because of their inability to compete on a financial basis.
• Limited progress will be made on “mitigating” social risk from climate change.
• Mitigation actions may reduce emissions but not necessarily stimulate a
transformation of industrial policy.
• Fossil-fuel demand reduction and new forms of energy could make little or no
contribution to the reduction of energy poverty. The University of East Anglia
(2010) notes that whether markets in carbon and carbon finance form part
of the responses to the multiple challenges of climate change, energy poverty
and energy security will depend on how well they are governed. I also add here
by whom and for whom.

There is an acknowledged gap between what needs to be done and what is available to
address it, and what is actually being done with what is available. Finance is at best a stimulus
and facilitator of action. The capacity of the GEF and the World Bank to operationalise
adaptation and mitigation in ways that are more development-oriented is critical for the
success of both policy and practice. Mitchell, Anderson and Huq’s (2008) assessment that
the GEF “has not prioritised the adaptation needs of the most vulnerable and has
disproportionately funded projects in countries that have relatively low rates of poverty”
is and should be worrying.
Notions of “green”, both as policy and development labels, need to be defined not
just by positive (or short-term) environmental impact but also social impacts and outcomes.
Substantive critique, action and advocacy, particularly by social movements, must work in
tandem to make the critical shift towards a reasonable balance. Table 3 summarises several
of the key concerns arising from the analysis above.
Broadly speaking, it can be agreed that while progress has been made on better defining
the scope of adaptation and mitigation conceptually, and while lessons have been taught in
the areas of governance and achieving sustainability, the right balance is still elusive. Newell at
al. (2009) highlight the potential dangers of poorly managed or mismanaged climate-finance
systems which could lead to worsening global inequality, corruption or distrust, and
significantly weaken the entire climate-change process. They call attention to a need for future
flows to recipients to be related to “current performance and a demonstrated ability to provide
cuts in greenhouse gases and to contribute real social benefits’’ (Newell at al, 2009: 2). Despite
the above, the fact that the two largest operational mechanisms, the World Bank and the GEF,
are not explicitly and directly accountable to the UNFCCC makes strengthened governance,
social participation and an enhanced orientation towards equitable and sustainable
development a complex undertaking. Newell (2010) also highlights other governance issues in
the context of energy finance, noting the role of “process” in determining what is addressed,
what action is taken and what is not, and thus the distributional impact of such decisions.

Working Paper 27

TABLE 3
Some Key Issues Arising in Governance and Policy Guidance from the
Analysis, Including Several Social Risks

Level of analysis Mitigation Adaptation Ex-ante social Potential and realised
equity risks social-equity issues

Governance Monitoring and To date, adaptation The dependence of the The potential for conflict.
evaluation approaches plans, national poor on climate-sensitive Brody et al. (2008) noted this,
and criteria remain communications and sectors such as agriculture particularly because of the
generalised. University of Adaptation Fund project may continue to be conflux of the growing scarcity
East Anglia (2010) proposals have largely ignored in the extent to of natural resources such as
indicates that the been written and which it multiplies water and arable land, and
performance of the CDM prepared by ministries of vulnerabilities in other heightened competition over
to date is the result of “a the environment. areas. those resources.
process left to its own Missed opportunity for Poverty and inequality as a University of East Anglia
devices”. coherence between source of vulnerability, (2010) notes that whether
The mitigation potential international climate outside of income levels markets in carbon and carbon
of agriculture is not being agenda and existing and outside of the context finance form part of the
fully exploited under gender conventions such of climate change, may not responses to the multiple
CDM. as the Beijing Platform of be addressed and challenges of climate change,
Action, the Convention inequalities could worsen. energy poverty and energy
on the Elimination of security will depend on how
Discrimination Against well they are governed.
Women (CEDAW) and
Belém do Pará.
Policy guidance Climate-change The lack of coherence The impact of women’s Liverman and Boyd (2008: 48)
measures could between global policy unpaid work put on their found that “sustainable
negatively affect frameworks could result time and use of resources, development” in the context of
biodiversity, for example, in multiplied and accordingly their the impact of CDM projects
and biodiversity policy vulnerabilities for the capacity to adapt and was poorly defined.
could be inconsistent with poor and vulnerable, resile, will largely remain Missed opportunity for
climate-change goals and including the loss of outside of the policy mitigation finance to help
the same with efforts to assets to enable access framework. transform the consistently
combat desertification to funding or support. underfunded agricultural
and degradation The dependence of the sector in Africa in the face of
(Hodas, 2005). poor on climate-sensitive increasing food insecurity
The CDM guidelines sectors such as globally (ActionAid, 2010).
state that “project agriculture may continue Mitigation actions may reduce
Participants (in a to be ignored in the emissions but not necessarily
LULUCF activity) will only extent to which it stimulate a transformation of
have to conduct an multiplies vulnerabilities industrial policy.
environmental impact in other areas.
assessment if they
themselves, or the host
country, consider the
impacts “significant”
(UNEP, 2004).
Application Sub-Saharan Africa Policy will continue to be The increasing value Africa’s needs in the areas of
accounts for less than 1 guided more by good (commoditisation) of mitigation and structural
per cent of total private intentions than by firm forests for their carbon- reform are underfunded and
investment in clean decisions and clarity; with sequestration capacity largely stagnated because of
energy and five “sustainability” and may put them beyond the a lack of finance.
countries—none of them “resilience” more grand reach of indigenous and The need to move rapidly to a
African—account for 80 ideals than specifically poor people, making them low-carbon model may have
per cent of global CDM defined outcomes. rivalrous and excludable. significant negative
credits (UNDP, 2010: 5). Clear procedures to The more significant implications for the availability
Results from a review of challenge priority beneficiaries of climate of land, capital and human
CDM activities in the adaptation actions do not finance could be large and resources for food production.
Philippines suggest that exist or are not easily powerful actors, including The impact of climate change
most of the “credits” enforceable. large conglomerates. may be dispersed rather that
being generated come At the macro level, In the absence of strategic and targeted, and
from projects that further adaptation is likely to strengthened governance may not amount to the
exacerbate climate make more significant arrangements, there are change needed to avert the
change and compromise strides than efforts to implications for short-term worst consequences.
sustainable development, reduce vulnerability and food production.
enriching large Countries will benefit from
sustain progress on climate change financing and
conglomerates that are poverty reduction.
expanding extractive and technology, but the poor are
fossil fuel intensive less likely to do so.
activities.


Whether climate finance serves as a catalyst for urgent actions on climate change and the
management of climate risk, or whether it simply boils down to a new business opportunity for
some, will clearly depend on the balance between politics and principles, and by extension on
the quality of the finance made available.

5 FROM “PEEPING THROUGH THE CURTAINS” TO REAL
PARTICIPATION: LESSONS TAUGHT BUT NOT YET LEARNED
Earlier sections of this paper highlighted several challenges facing the global climate-change
response. These stem partly from the shape and structure of the multilateral process, wherein
consensus often leads to more generalised commitments because of the effort to consider all
viewpoints and interests. Undoubtedly, too, varying perceptions of the social, its relevance to
climate change, and how it can be integrated and accounted for, have contributed to the slow
and patchy progress to date. Moreover, the argument made by Bromley et al. (2004b: 501) that
“the degree to which the “international” can be governed in the interests of many, rather than
subject to the power of a few, is one of the most contested and difficult questions of
international political economy” brings critical realism to global policy efforts. That the same
applies in the case of climate change is self-evident.
The old tensions between the economy, society and the environment persist, as do
the tensions between the national, the multinational and global. The Synthesis Report on the
Millennium Development Goals (MDGs) by the UNDP (2010) suggests that, generally, MDG 7
is lagging behind other targets. While the fact that there are currently 546 active projects
addressing climate change (Climatefundsupate.org, 2010) is a cause for some satisfaction,
it is also a cause for some concern about the qualitative impact of these investments. There is
still some way to go in achieving a balance between lessening the severity of impacts and
enhancing resilience and, moreover, in achieving the right kind of policy guidance to ensure
that implementation is catalytic and invests in both short- and long-term objectives. ActionAid
(2009) makes the case that the “how” of disbursement, management and governance is critical
in determining the likelihood of meeting the needs of the poor and excluded.
This finding raises serious questions about how much the poor and vulnerable will benefit
directly from the implementation of adaptation actions as they are currently framed. It also
points to the fact that the potential bias, in macro terms, for mitigative as opposed to adaptive
responses makes the path towards resilience more difficult. Rawls’s (1971) discourse on justice,
and in particular on the limited capacity of public institutions to cater to the needs of the
disadvantaged, suggest that that it cannot be assumed that the needs of the poor and
the vulnerable will be addressed in national policy, nor that self-reporting by countries can
adequately serve for the verification of impacts and outcomes at the global level. Further,
in a system in which coercive and compliance measures are hard to agree upon, implement
and enforce, the engagement of active and informed civil society is likely to be critical in
keeping the focus on the “micro”.
Roberts and Parks (2007) argue that if wealthy countries wish to enhance the possibilities
for cooperation on climate change, industrialised countries will have to take seriously the
inequalities of the international division of labour and capacity, including the capacity of
the poor to engage in a highly technical discourse. Earlier analysis by the International Policy
Centre for Inclusive Growth on national policy efforts to achieve co-benefits highlighted the

Working Paper 29

capacity of “language” to serve as a source of exclusion. While economic logic is critical
for engaging economic actors, different logics are needed to engage other stakeholders.
Essentially, the balance of global climate-change action often hangs on balancing the
scales between action at the micro and action at the macro. Both are necessary. Rather than
causing pessimism, these considerations can and should inform the creation of a realistic,
balanced and multi-faceted global response framework that seeks to strike a balance between
growth and development, between avoiding catastrophic climate change and preserving
human development progress, and between economic, environmental and social responses to
climate change. Easterling et al. (2004) make a critical contribution in this regard by noting the
differentiated contributions of adaptation and mitigation to global climate change, including
the fact that neither is substitutable for the other. In order to move forward, it is clear that both
systems and processes for collective action must be enhanced (Stewart et al., 2009).
Recommended, therefore, is a broader conceptual framework that considers asymmetrical
adaptation and mitigation as building blocks of transformation, and in which people-centred
development remains at the core of the overall global policy framework (see Figure 4).
Rosenzweig and Wilbanks (2010) underscore the need for interdisciplinary work on impacts,
adaptation and vulnerability in order to advance the development of appropriate solutions.
Thus, the inter-dependencies between climate-resilient development (adaptation), low-carbon
development (mitigation) and climate-compatible development (transformation) can
positively shape and take shape within policy.

FIGURE 4
Proposed Conceptual Framework for Linking Adaptation, Mitigation and
Climate-Compatible Development

Averting the Worst of
Climate Change

Sustaining Development
Progress

Building on the social risk management (SRM) framework18 conceptualised by the World
Bank, efforts should be made in international climate policy to “mitigate” social risk as well as
to mitigate impacts. While the SRM is limited on concepts of underlying relations that influence


vulnerabilities, it adds value to broader considerations of the kind of assistance the poor
need—that is, beyond “coping”. Often, the current thinking on adaptation to climate change
has not differentiated between coping, prevention and mitigation by the poor, and thus often
has missed a number of elements critical for building both social and system resilience,
including enhanced self-reliance.
The following lessons in the framing and the application of climate-compatible policy are
therefore noteworthy in moving forward:
• Move beyond the poor and vulnerable as a homogenous group
and as victims. The poor and vulnerable have much to offer, particularly in
defining capacities for resilience. Seeing them only as victims often denies
them the opportunity to play a more active and instrumental role in solving the
challenge while enhancing their empowerment. They comprise many facets of
poverty, inequality and social exclusion but they have also demonstrated, time
and again, their capacity to overcome difficult times and change. It must also be
understood that their experiences and capacities differ even within communities
and countries. The complementary notion of the “knowledge of the poor as a
public good” needs additional attention.
• Resolve structural distinctions between the policy guidance for adaptation
and mitigation mechanisms. Policies that are formulated without considering
the cross-links can potentially (and unintentionally) undermine other efforts to
address development as a whole.
• Existing structures for climate finance may reinforce inequalities of access
between countries and between groups within countries. To date, the CDM has
focused mainly on large-scale activities and on countries with the capacity and the
scale of need to implement them. This has meant that Africa has largely been left
out of the benefit-sharing from the CDM. Furthermore, a focus on scale has led to
greater access by large actors such as conglomerates, rather than small firms or
other actors. The significant focus on fiscal and financial accountability tends to
favour those who can demonstrate capability and capacity to deliver, as opposed
to building capacity to upscale innovations.
• Incentivise action on transnational public goods. Thus far, the response to
human-induced climate change has been tackled largely by mediating competing
interests and power. To be effective, a global policy framework must also promote
participation and compliance. To date, it has been far too easy for some to opt out
of most or some global commitments, and for the collective to postpone
difficult decisions.
• Beyond technology and fossil-fuel substitution, other skills are needed.
The adjustment and transformation that climate change augurs will require not
only technology but also leadership, strong communication, coalition-building
and change-management skills. Lord Anthony Giddens, a member of the Green
Growth Council, has highlighted the need for increased attention to social,
political and economic innovation as opposed to technology.19
• Reinforce and upscale existing and emerging models of South-South
cooperation and define more constructive models for North-South dialogue.

Working Paper 31

In order to address the above and move towards a more socially equitable response
framework, the following types of complementary actions should be highlighted:
• actions that help the human and natural system to adjust and adapt
to a changing climate;
• actions that link “low-carbon development” efforts to “green
employment/jobs/business” opportunities;
• appropriately designed change processes built on a sound understanding
of the sociocultural dimensions of climate change (including how gender,
race and power condition capability and agency);
• “no-regrets” actions based on equity and right-based frameworks (including
gender inequality and other forms of exclusion); and
• actions that bring coherence to the duality of a “precautionary approach”,20
including “no-regrets” and the right to development.

A subnational frame of analysis is needed to enhance global accountability to countries,
as well as the poor and vulnerable, as a discrete social and political constituency. Recent
analysis by Piero and Desai (2008) shows that “understanding the poor’s expectations of
benefits … and building their trust through improved transparency … will be crucial for …
success”. While the context of their analysis was climate insurance, it is not a big leap to
suggest that such lessons also apply to all mechanisms that seek to engage with and bring
benefits to the poor.

5.1 IMPLICATIONS FOR RECONCILING CLIMATE CHANGE AND
DEVELOPMENT AT THE GLOBAL LEVEL
The management of risk and uncertainty in the context of climate change remains perhaps
the single most difficult political challenge of modern times. Beyond the difficult challenge of
arriving at a consensus on the nature of the risk (nationally and/or globally), as well as the level
of urgency it represents, is the marketing of “risk avoidance” as a concrete and necessary policy
action—that is, proactive responses as cost-effective and preferable. It is clear that collective
action is needed; what remain to be resolved are the right systems and process for such action.
Certainly, collective action between individuals, individuals within states and individuals across
states, as well as agreements between those who are empowered and those without voice,
bring new meaning to the concept of “inclusion” as a process and “inclusive” as a
development outcome.
Emerging from this review is a generalised picture of delayed structural transformation
and limited coalition-building around critically needed policy, commitment, action and
approaches. Certainly, transformation and change will necessitate both mitigative and
adaptive action. Favouring one over the other is a false choice, one that over the long
term is likely to undermine efforts to avoid catastrophic climatic change, exacerbate existing
challenges, and potentially create new manifestations of vulnerability and inequality. It seems
fair to conclude that we are still some distance from a clear message in the global climate
change agenda, one that appropriately defines what the right balance is.


This review also suggests that while mechanisms and interventions to cope with climate
change and to mitigate some of its severity have been identified and financed, much less
attention has been paid to preventing the worst of its impacts on the already vulnerable,
and mitigating the risk of further trenched vulnerabilities and inequalities. So while the
“poor and vulnerable” participate by proxy through government representatives, non-
governmental organisations and advocates, their participation in the benefits of action is
much less clear (see Table 4). The absence of clear social-risk management measures, as well
as limited action to date on the consumption/behavioural aspects of change, have resulted
in weak public arrangements for managing social risk for climate change. There is a persisting
reliance on the strength and value of informal arrangements among the poor and vulnerable,
and between the poor and non-poor, in coping with risk.
Additionally, the lack of stringent and comprehensive governance arrangements makes it
likely that, too often, mitigation will not bring direct benefits the poor and vulnerable, either
globally or locally, and that adaptation efforts may accommodate (help the poor to cope)
rather than confront chronic poverty and inequality. While targeted climate finance has cleared
the path for potentially groundbreaking and transformative change, there is little evidence of
this to date at a collective level. Outcomes seem questionable and processes even more so.
Participation is less than it should be and benefits-sharing remains inconclusive.

TABLE 4
Summary Findings Based on Type of Response
By what Of what The how: social equity dimensions

Mitigation Substitution efforts through Fossil-fuel substitution contributes to reduction
energy reform and new Fossil fuels of energy poverty
technology
GHG emissions Gendered dimensions of access and use of
Carbon sequestration and forest resources are mainstreamed
REDD Deforestation
Expand scope for comments on and critique
Carbon markets and of national projects.
emissions trading
Adaptation of mitigating approaches to varying
economies of scale and capacity.

The GEF, as the fund manager for most of the
global MEAs, should underscore coherence
between climate change and other
environmental management efforts

By whom/what For whom The how: social equity dimensions

Adaptation Countries/states LDCs, LLDCs, SIDS Socio-ecological analysis based on
disaggregated data needs
Government entities The poor and vulnerable
Integration of subnational framework of
Sectoral actors in climate- Indigenous peoples vulnerability into the global discourse and
sensitive areas (water, food policy framework
production, fisheries) Sectoral actors in climate-
sensitive areas (water, food Linking jobs and business development to
production, fisheries) adaptation within sectors, including water
efficiency, reducing land degradation, creating
floodplains for agriculture etc.

Working Paper 33

If the situation remains unchanged, the big winners will continue to be countries with
large forest assets, those with the scale needed to generate or buy large-scale renewable
energy inputs and outputs, those that can innovate and develop new forms of technology,
and powerful conglomerates positioned to profit from new business opportunities.
As attention turns to Durban in 2011 and beyond to the post-MDG agenda, a focus on
strengthening the agenda, related institutional frameworks and institutions themselves
(those that define policy and those that guide its operations and implement it) to address
development concerns—as opposed to trade-offs between dimensions of development—is
more likely to bring a broader range of dividends for all and result in the more efficient use of
available resources, particularly in an era of multiple crises. These are important considerations
for the South-South and the North-South dialogues which remain critical for global action, and
should reinforce efforts to counter an over-politicisation of the agenda that serves national
interests but not the global poor.


ANNEX I
TABLE A1
Analysis of NAPAs by Inclusivity Factors
DV ME PE DP
Country Primary writer(s) MG PG MP PP
G G G p
Afghanistan Afghan government, UN, NGOs Y N Y Y Y Y N Y
Bangladesh Ministry of the Environment and Forest Y Y Y Y Y Y N Y
Bhutan National Environment Commission Y N Y Y Y N N Y
Burundi Ministry for Land Management, Tourism and the Environment Y Y Y Y N N N Y
Cambodia Ministry of the Environment N N Y Y Y N N NC
Cape Verde Ministry of the Environment and Agriculture N N Y Y Y N N NC
Comoros Min. of Rural Development, Fisheries, Handicraft and Y N Y Y Y N N Y
Environment
Eritrea Ministry of Land, Water and the Environment Y Y Y Y Y N N Y
Ethiopia Ministry of Water Resources and National Meteorological N N Y Y Y N N NC
Agency
Gambia Dept of State for Forestry & Environment with Department of Y N Y Y N Y N Y
Comm. Development and others
Guinea‐ Ministry of Natural Resources and the Environment Y Y Y Y Y N N NC
Bissau
Kiribati Ministry of the Environment, Land and Agricultural N N Y N Y N N N
Development
Laos National Environment Committee N N Y N Y Y N NC
Lesotho Ministry of Natural Resources and Lesotho Meterological Y N Y Y Y N N Y
Services
Liberia Various, inc. Ministry of Gender and Development, and Y N Y Y Y Y N Y
Ministry of Health and Social Welfare
Malawi Ministry of Mines, Natural Resources and the Environment Y Y Y Y Y N N NC
Maldives Ministry of the Environment, Energy and Water Y N Y N Y N N Y
Mauritania Ministry of Rural Development and the Environment Y N Y Y N N N NC
Mozambique Ministry for the Coordination of Environmental Affairs N N Y Y N N N NC
Niger National Environmental Council for Sustainable Development Y Y Y Y Y N N NC
Rwanda Ministry of Land, Environment, Forestry, Water and Mines N N Y Y N N N NC
Samoa Ministry of Natural Resources, Environment and Meteorology Y Y N N N N N Y
Sao Tome Ministry of Natural Resources and Environment Y Y Y Y Y N N Y
and Principe
Sierra Leone Ministry of Transport and Aviation and Ministry of Land, Y Y Y Y Y N N Y
Country Planning and Environment
Solomon Ministry of Environment, Conservation and Meteorology with Y Y Y N N N N Y
Islands contributions from others
Sudan Ministry of Environment and Physical Development Y Y Y Y Y N N Y
Tanzania Vice President's Office, Division of Environment Y N Y Y Y N N NC
Tuvalu Ministry of Natural Resources, Environment, Agriculture and Y N Y Y N N N Y
Lands
Uganda Ministry of State for Environment Y Y Y Y Y Y N Y
Vanuatu National Advisory Committee on Climate Change and Ministry Y N Y N N Y Y NC
of Infrastructure and Public Utilities
Yemen Environmental Protection Authority Y N Y Y Y N N NC
Zambia Ministry of Tourism, Environment and Natural Resources Y N Y Y Y N N Y
Notes: MG (mentions gender); PG (prioritises gender); MP (mentions poverty); PP (prioritises poverty); DVG (defines
vulnerable groups); MEG (mentions ethnic groups); PEG (prioritises ethnic groups); DPp (defines participation).
Y (Yes); N (No); NC (Not clear); Yns (Yes not specified).

Working Paper 35

ANNEX 2
Criteria and coding process for the analysis of NAPAs based on specific inclusivity factors of
poverty, gender, ethnicity and participation:
Key words for gender: gender, woman, women, female, girl(s). Reports were reviewed to
ascertain if and how the impact on women and between women and men due to climate was
addressed and if this is being linked to vulnerability. If mentioned, then a “yes” is assigned on
the first question. If gender equality or empowerment are used as criteria for designing and/or
selecting projects, or if many of their projects explicitly say they will benefit women, a “yes” is
also assigned for “prioritisation”.
Key words for poverty: poverty, poor. Countries that include poverty reduction or
targeting the poor in projects (includes most countries) get a “yes” for both poverty questions.
Those that got a “no” on the second question did not prioritise poverty reduction and did not
target the poor when selecting projects.
Key words for vulnerability: vulnerability, vulnerable. We also assessed the extent to
which countries specified the most vulnerable groups. The notations regarding “Inclusivity in
the NAPAs” document include exactly what is defined by the reports—i.e., only mentioned
economic sectors, or regions, or also groups.
Key words for ethnicity: ethnic, ethnicity, race, racial, indigenous. If the report said that a
specific ethnic group is more vulnerable, or is affected differently by climate change, or has
special needs, the first question is coded as a “yes”. If they did not give priority to vulnerable
ethnic groups in their criteria for project selection, or in any of their projects, the answer to the
priority question was a “no”. Vanuatu was the only one to get a “yes” on this second question,
because the indigenous population is the main beneficiary of Project 3.
Participation: it was often unclear who exactly participated in the process, and it is even
less clear how much they actually contributed. Levels of participation were defined based by
self-reporting contained in the NAPA itself and reflected whether countries identified
participation and in what sense.


ANNEX 3
TABLE A2
List of Climate-Change Funds Currently Operational by Type and Date of Operational Status

Working Paper 37

Source: Climatefundsupdate.org (2010). Accessed from <https://climatefunds.dabbledb.com/page-
print/fundsoverview.pdf?_s=lVQbDeCXQslBVccY&_k=yFtqxUvx >.


ANNEX 4

SELECT GUIDANCE ON THE CLEAN DEVELOPMENT MECHANISM
UNFCCC, ‘Clean Development Mechanism Validation and Verification Manual’, version 01.2,
accessed from:http://cdm.unfccc.int/Reference/Manuals/accr_man01.pdf.
Terms for validating and verifying information provided by project participants
1. Accurate
Checking for accuracy means:
(a) For quantitative data and information: minimising bias and uncertainty in the
measurement process and the processing of data;
(b) For non-quantitative information: minimising bias in favour of a particular result.
2. Conservative
Information can be considered as conservative if the GHG emission reductions or removal
enhancements of a project activity are not overestimated.
3. Relevant
Information can be considered relevant if it ensures compliance with the CDM
requirements and the quantification and reporting of emission reductions achieved by a
project activity. Unnecessary data and assumptions that do not have an impact on the
emission reductions are not considered as relevant.
4. Credible
Information can be considered credible if it is authentic and is able to inspire belief or
trust, and the willingness of persons to accept the quality of evidence.
5. Reliable
Information can be considered reliable if the quality of evidence is accurate and credible
and able to yield the same results on a repeated basis.
6. Completeness
Completeness refers to inclusion of all relevant information for assessment of GHG
emissions reductions and the information supporting the methods applied as required.
7. Validation/verification opinion
Formal written declaration to the intended user that provides assurance on the opinion
relating to the GHG emission reductions or removal enhancements of a project activity.

Modalities and Procedures (as defined in Article 12 of the Kyoto Protocol. Decision
17/CP.7. 8th Plenary Meeting. 10 November 2001)

Working Paper 39

Recognizing that Parties included in Annex I are to refrain from using certified emission
reductions generated from nuclear facilities to meet their commitments under Article 3,
paragraph 1.
Bearing in mind the need to promote equitable geographic distribution of clean
development mechanism project activities at regional and subregional levels,
Emphasizing that public funding for clean development mechanism projects from Parties
in Annex I is not to result in the diversion of official development assistance and is to be
separate from and not counted towards the financial obligations of Parties included in Annex I,
Further emphasizing that clean development mechanism project activities should lead to
the transfer of environmentally safe and sound technology and know-how in addition to that
required under Article 4, paragraph 5, of the Convention and Article 10 of the Kyoto Protocol,
Recognizing the need for guidance for project participants and designated operational
entities, in particular for establishing reliable, transparent and conservative baselines, to assess
whether clean development mechanism project activities are in accordance with the
additionality criterion in Article 12, paragraph 5(c), of the Kyoto Protocol,

Decides:
(a) That the eligibility of land use, land-use change and forestry project activities under the
clean development mechanism is limited to afforestation and reforestation;
(b) That for the first commitment period, the total of additions to a Party's assigned
amount resulting from eligible land use, land-use change and forestry project activities under
the clean development mechanism shall not exceed one per cent of base year emissions of
that Party, times five;
(c) That the treatment of land use, land-use change and forestry project activities under
the clean development mechanism in future commitment periods shall be decided as part of
the negotiations on the second commitment period;
Decides:
(a) That the share of proceeds to assist developing country Parties that are particularly
vulnerable to the adverse effects of climate change to meet the costs of adaptation, as referred
to in Article 12, paragraph 8, of the Kyoto Protocol, shall be two per cent of the certified
emission reductions issued for a clean development mechanism project activity;
(b) That clean development mechanism project activities in least developed country
Parties shall be exempt from the share of proceeds to assist with the costs of adaptation;

Annex
F. Participation requirements
28. Participation in a CDM project activity is voluntary.
29. Parties participating in the CDM shall designate a national authority for the CDM.
30. A Party not included in Annex I may participate in a CDM project activity if it is a Party to the
Kyoto Protocol.


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Working Paper 51

NOTES

1. Author’s explanatory addition to the quote.
2. This term was used by Simon Maxwell (June 2009) with regard to the politics of climate change and the attendant
global social justice issues that apply, as one of four considerations. I have taken this more broadly here as a useful
objective in achieving the balance of interests and actions necessary to arrive at what the Climate and Development
Knowledge Network term as the approach of “climate-compatible” development, and further as a lesson learned from
the global gender agenda, where qualitative quantitative outcomes are important.
3. Press Release of 5 October 2010, ‘Putting a Price on Global Environmental Damage’ by UNEP FI, which focuses on
innovative finance for sustainability. More information on the study can be found at<www.unepfi.org/>.
4. The notion that several individuals can consume the same good without diminishing its value is termed “non-rivalry”.
Non-rivalry is what most strongly distinguishes public goods from private goods. A pure public good also has the
characteristic of “non-excludability”—that is, an individual cannot be prevented from consuming the good whether or
not the individual pays for it (<http://are.berkeley.edu/courses/EEP101/spring05/Chapter07.pdf>; and UNIDO, 2008).
5. Press Release 906 of 20 January 2011, ‘2010 Equals Record for World’s Warmest Year’ by World Meteorological
Organisation, Geneva <http://www.wmo.int/pages/mediacentre/press_releases/pr_906_en.html>.
6. ‘The Modern Development Enterprise’, remarks by Rajiv Shah, Administrator, USAID, 19 January 2011,
<http://www.usaid.gov/press/speeches/2011/sp110119.html>.
7. In their submission to the negotiating text for consideration at the 6th session of the AWG-LCA in Bonn in 2009,
‘Gender Mainstreaming and Beyond—Five Steps Towards Gender-Sensitive Long-Term Cooperation’, they noted that the
issue of mitigation, for example, is still a male-dominated area, where most activity is centred around “talking numbers”
(of ppm, degrees warming, and target dates) and considering technologies while disregarding social contexts,
consequences, and resources (p. 1).
8. This definition of “structural transformation” is taken from Bah (2008) which is based substantially on the theory of
Kuznets (1971).BusinessDictionary.com also defines it more definitively as requiring the large-scale transfer of resources
from some sectors to others in a system, necessitated by fundamental changes in its policies or objectives.
9. Admittedly, on this point, it is also possible for targeting to limit flexibility and possibly make processes more
bureaucratic and burdensome (Ghosh, 2010).
10. Sourced from <http://pressroom.ipc-undp.org/2011/undp-new-south-nations-to-bring-change/>.
11. The Paris Declaration was endorsed in March 2005 and embodies several principles: “ownership, alignment,
harmonisation, results and mutual accountability”. This was strengthened by the Accra Agenda for Action: predictability,
country systems, conditionality and untying
<http://www.oecd.org/document/18/0,3343,en_2649_3236398_35401554_1_1_1_1,00.html>. The Rome Declaration
was endorsed in 2003 and focuses on harmonisation <http://www.oecd.org/dataoecd/54/50/31451637.pdf>.
12. Based on the exchange rate by the Central Bank of Brazil for mid-August at US$1/R$1.7597. Sourced from
<http://www.bcb.gov.br/pec/indeco/ingl/ie5-28i.xls>.
13. Cartoon used and replicated in full with permission of the creator and the Tiempo editorial team.
14. Though other funds exist, these were selected because they are more advanced and can be easily evaluated in order
to determine the current direction of adaptation and mitigation. Though the guidelines for the Special Climate Change
Fund, as provided by the Conference of the Parties in its ninth meeting, also speak to poverty reduction and
consideration of socioeconomic considerations (UNFCCC, 2003), this has not been examined in detail here but will be in a
follow-up review.
15. See <http://unfccc.int/files/cooperation_and_support/ldc/application/pdf/annguide.pdf>.
16. The Oxford English Dictionary defines mitigation as “making less in force or intensity or to make less severe”.
17. Lord Stein coined this term and outlined key underlying principles in a presentation in May 2008 and later in a
publication entitled “Key Elements to a Global Deal on Climate Change”. Also referenced in Giddens (2009).
18. The SRM approach was defined in a paper by Holzmann, Sherburne-Benz and Tesliuc (2003) as part of the approach to
strengthening social protection frameworks. It defines social protection as more than social assistance and identifies a
number of sources and characteristics or risks, as well as three levels of managing risk: coping, mitigation and prevention.
19. This comment was made in a speech at the World Climate Solutions 2010. The Green Growth Leaders website
<http://greengrowthleaders.org/featured/giddens-the-mistakes-about-green-growth/> (accessed on 28 January 2011).
20. The precautionary principle emerged in the discourse of natural-resource management as a theoretical approach for
taking action in the absence of certainty. It is at the core of risk management and is not unlike taking insurance against
events that may not happen but for which there is little or limited capacity to recover endogenously.

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