Good Climate Governance in Practice Good Climate

Home , Climate governance

GOOD CLIMATE GOVERNANCE IN PRACTICE Mainstreaming climate action: case studies from leading cities DELHI GOOD CLIMATE GOVERNANCE | 3

The latest climate science from the IPCC’s SR1.5 report is unequivocal in its message:

Allowing global temperature increases to exceed 1.5°C will disrupt basic social and economic activities. Cities and urban areas can accelerate and upscale climate action, but this will require major transitions in how cities deliver infrastructure and basic services to rapidly reduce emissions as well as enhance climate resilience. Cities have an important role in the global movement to achieve the ambitions outlined in the Paris Agreement.

C40 CITIES CLIMATE LEADERSHIP RICARDO ENERGY & ENVIRONMENT GROUP (C40) TEAM The C40 Cities Climate Leadership Group, now in its 14th Ellie Kilroy year, connects 90+ of the world’s greatest cities which Rose Bailey have committed to tackling climate change. We bring Flavia Carloni mayors from around the world together to learn from each Tianlin Niu Cities are increasing their commitment and low emissions goals and targets across all city service other in reducing greenhouse gas emissions and creating Dominic Sheldon and capabilities for accelerated delivery of delivery activities and decision-making processes, cities resilient, sustainable and inclusive cities. C40 cities John Marsh achieve far less than they otherwise could. represent more than 700 million urban citizens and their Lewis Irons ambitious, transformative climate actions. economies account for 25% of global GDP. Our ‘Deadline Trevor Glue Fortunately, mayors of the world’s leading In order to best support cities to implement accelerated 2020’1 report sets out the critical role that the world’s Les Harding cities have emerged as strong and inspiring climate action, C40 established the Good Governance major cities have to play in delivering the historic Paris James Sharp Working Group to explore the various approaches that Agreement to prevent catastrophic climate change. Lara Turtle champions of the kind of ambitious climate cities are taking to advance climate governance. Ricardo action the world needs. Through C40’s Energy & Environment worked with C40 to develop this ACKNOWLEDGEMENTS C40 GOOD GOVERNANCE WORKING technical assistance programmes and Good Climate Governance Case Study booklet that, following a series of interviews as well as desk-based This publication was made possible with the support from GROUP networks, these cities can enhance their research, showcases climate governance best practices the UK Government. Giulia Pivetti technical skills to keep delivering bold from across the globe. The nine featured cities have Jacqueline Lam climate targets, goals and actions. displayed exemplary climate leadership by enhancing Joselito Guevarra their climate governance to support their transformation C40 TEAM Lia Nicholson Nadia Shah towards a climate resilient carbon neutral future. Delhi, Lu Sun Central to cities delivering ambitious, transformative Michael Doust Durban, Jakarta, Johannesburg, Los Angeles, Lima, Oslo, Markus Berensson climate action, is a strong climate governance structure Indra Levite Rio de Janeiro and Qingdao share their success stories; Mehrnaz Ghojeh within the city. However, for many cities, this structure and Isabel Fernández its accompanying systems are still evolving or are not in the approaches they took, the challenges they faced, the Milag San Jose-Ballesteros lessons learnt and the outcomes achieved. They offer Nathalie Badaoui Choumar an optimal state for mainstreaming climate action across sectors. Despite the commitments of City Mayor’s and valuable insights to other cities interested in replicating Paul Jorgensen their best practices. Ricardo Cepeda-Márquez increased levels of technical skills, cities may still struggle to deliver large or complex climate actions, and those that require transversal working. Without embedding resilience CONTACT FOR THIS REPORT Michael Doust 1 https://resourcecentre.c40.org/join-deadline-2020 [email protected] GOOD CLIMATE GOVERNANCE | 5

The 10 key categories for good Vertical integration Budgetary The vertical integration category looks for examples of city mainstreaming climate action and ambition that is integrated or aligned The budgetary mainstreaming category considers to climate governance with both higher and lower levels of government. This, what extent the approaches being taken by a city to for instance, will look at whether city-level ambition and mainstream the consideration for climate priorities action is reflected in the ambition of the state, regional across the wider city budget and general financial C40’s Good Governance Working Group has identified 10 key categories that and national level, as well as at a lower level such as the management. This category also considers whether the district level. It is important that the city’s ambition flows to city has undertaken or launched any innovative funding describe the varied approaches taken by cities to strengthen their climate governance: these levels of government, and in the case of lower levels models such as public private partnerships (PPPs) in of government, that other aspects are integrated such as order to deliver aspects of the city’s climate action plan. the sharing of data.

Institutional Legal frameworks to External Monitoring and arrangements support climate action governance transparent reporting The institutional arrangements category refers to the This category covers the extent to which the city’s This category considers any structures or external bodies In order to maintain the credibility of a climate action plan, design of institutional structures within a city, and legal framework underpins or supports governance that have been set up to facilitate engagement between there needs to be a system of monitoring, reporting and the allocation of roles and responsibilities within that and implementation of the city’s climate action plan. It the city government, civil society, academia, the private verifying the city climate actions that are taking place, as structure. Optimising the design and allocation of these considers the forms of legal measures being used, such sector and other stakeholders. This can take the form well as any greenhouse gases that are being measured. For responsibilities across a city’s institutions is important as acts, bylaws, and legally binding aspects of the city’s of committees comprising representatives from many instance, the use of climate change indicators and metrics, in creating a coordinated, collaborative and committed strategies, as well as the extent to which the horizontal different parts of the community. It is intended that these as well as wider city key performance indicators (KPIs), can working environment to carry out the city’s climate and vertical legal framework support climate action. external governance structures uphold good practices be used as a means to monitor the climate action plan. action plan. This category also considers the level of within the city’s workings, that transcend the political The transparency of such a system is important, as are transparency behind the decisions taken in allocating climate and election calendar. It can also provide a vehicle considerations to plan and improve the system. Without these roles and responsibilities, the extent to which they for devolving actions and defining new responsibilities to a high level of transparency to the system, it is difficult to have been implemented, and any changes following these parts of the community. understand whether any progress to implement the climate implementation to result in more effective working. action plan is being made, which can also undermine the plan’s credibility.

Mainstreaming climate policy Cross-departmental Communications Capacity and The mainstreaming climate policy category refers to the arrangements and action and engagement resource challenges city’s efforts to mainstream climate policy across the city. The cross-departmental arrangements and action The communications and engagement category considers This final category on innovative solutions takes into This has the objective of ensuring that any actions taken category looks for examples of the effective the level of engagement between the city government, civil consideration whether any novel approaches are being by the city’s departments and districts, as well as their implementation of multi-department city-wide actions. society and other stakeholders such as the private sector, taken within the city to overcome challenges to staff staff and procured partners, consider climate policy within A focus of this category is on transformative actions (i.e. looking particularly at whether new approaches have been capacity and resourcing. This can include activities the climate action plan and work towards achieving it. This strategic, systems change, multi-sector) that happen as a created to improve engagement. Developing a stakeholder such as capacity building to enhance governance and applies to all city regulations, legislation and actions, as result of several departments working together, such as communications and engagement plan can help a city to implementation, as well as resourcing climate action well as planning and budgetary decisions. It can include through the establishment of committees whose remit is identify and characterise key stakeholder groups within the responsibilities within and between departments through specific actions such as changes in the job descriptions of to bring departments together to achieve agreement and city. In addition, it can facilitate outlining the key channels the human resources department (secondments, hired staff and their key performance indicators (KPIs), as cohesion on achieving the required climate actions. of communication to engage with those groups, supporting summer internships, student placements…). well as more strategic changes such as changing the policy buy-in and building momentum behind a city’s climate across other departments and institutions whilst identifying action plan. the relative importance and effectiveness of each. GOOD CLIMATE GOVERNANCE | 7

DELHI PAGE 108

Mainstreaming climate policy

Cross-departmental actions

External OSLO governance PAGE 46 Communication and engagement Mainstreaming climate policy Budgetary mainstreaming External governance Monitoring & tracking/ transparency QINGDAO Communication PAGE 96 and engagement Cross-departmental Budgetary actions mainstreaming LOS ANGELES External PAGE 36 Monitoring & governance tracking/ transparency Institutional arrangements Vertical Capacity & integration resources Cross-departmental Monitoring & actions tracking/ transparency External governance Budgetary AKARTA mainstreaming LIMA PAGE 84 PAGE 62 Mainstreaming Institutional climate policy arrangements OHANNESBURG PAGE 8 Legal Legal Institutional framework framework RIO DE ANEIRO arrangements PAGE 74 Cross-departmental Vertical Mainstreaming actions integration Institutional climate policy arrangements Budgetary External Communication mainstreaming governance Mainstreaming and engagement DURBAN climate policy PAGE 20

Cross-departmental Institutional actions arrangements

Communication Mainstreaming and engagement climate policy

External governance GOOD CLIMATE GOVERNANCE DELHI | 9

CASE STUDY DELHI

CATEGORIES

Institutional arrangements

Mainstreaming Population: climate policy Delhi: Legal 16.8 framework million (2011, estimated A citizen-led integrated 19 million 2019)I Cross-departmental system of governance actions GDP: with welfare outcomes Vertical and green solutions integration $104 billion US Dollars (2017- at its heart External 2018) governance

Communication Emissions Per Capita: Despite its limited mandate to tackle climate change, and engagement Not availableO2e (2014) the Government of the National Capital Territory (NCT) of Budgetary Delhi is finding opportunities to deliver transformational mainstreaming and sustainable solutions and push boundaries to transparently deliver on city outcomes. Monitoring & tracking/transparency

Capacity and resources GOOD CLIMATE GOVERNANCE DELHI | 11

electric mobility experts, governance whistleblowers, civil society activists, former bureaucrats and academics gave Delhi Government comprehensive inputs on the power sector. This was done through focus group discussions, APPROACH AND workshops, public digital and social consultation for three weeks which informed the government’s subsequent work INTRODUCTION II SOLUTIONS in the sector . Interventions to ensure cheap, high-quality and 24*7 energy for the city has transformed the energy The Government of the NCT of Delhi has a clear focus on public engagement The approach to the governance of climate composition away from carbon fuels, shut down diesel in decision making and outcomes in budgeting. generators and simultaneously ensured that Delhi is the only and environmental issues in Delhi to city in India without an electricity tariff hike. address these challenges has been one Sustainability has been brought to the forefront through Partnership arrangements have been of innovation, creativity, participation and Delhi’s Outcomes Budget and established within government agencies innovative governance arrangements, green budgeting persistent incremental action resulting in processes and enhanced political will. This has enabled Green Budget and with non-government organisations transformational climate actions to be implemented transformational impact. One of the key actions that the government of Delhi has to overcome traditional governance in the sectors of water, energy, environment, public implemented has been the overhauling of the budget infrastructure and mobility. process with the aim of ushering transparency and challenges. These enable effective delivery Civil-society participation in governance accountability in public spending. An important part of this of services to the citizens of Delhi. and policy making overhaul has been the integration of clear indicators for The Delhi Government established the ‘Delhi Dialogue’ tracking of expenditure against outcomes: the ‘Outcomes to overcome the critical challenge of determining a set of Budget’, as it is known, has a clear set of outputs and political priorities and actions which reflects the wishes of outcomes associated with it in each department, enabling people from varying backgrounds. the government to track and report on progress and delivery for each rupee spentIII. The Outcomes Budget covers all CONTEXT Over a period of 6 months, through the ‘Delhi Dialogue’ departments and agencies, combined into 8 major sectors: a broad range of stakeholders were engaged including education, health, society security and welfare, urban experts, non-profits, community organisations and In 2013, the Government of the National development and housing, water supply and sewage, academics. 80+ focus group discussions were conducted infrastructure, and environment and forest, and ‘other’ Capital Territory (NCT), guided by the with 350+ experts in 21 policy areas across the city with agenciesIV. Under each department, major programmes and Indian constitutional ideals of equality, meetings focusing on citizen consultation, governance schemes are identified and key SMART (defined as Specific, justice and accountability, adopted the solutions and public awareness. This series of dialogues Measurable, Attributable, Realistic, Targeted) Output and touched demographics like youth, women, senior citizens, Outcome indicators defined against each of them are Gandhian concept of Swaraj (translation: sectors like water, energy, health and education, as well as comparable across similar programmes and schemes across self-governance or self-rule) as a tenet. diverse housing types like slums, unauthorized colonies and departments. In the 2019-2020 Outcomes Budget, there This resulted in a shift from the traditional JJ clusters. These policy problems and governance solutions are a total of 567 initiatives with 2,220 output indicators were spread further through the use of volunteers as well and 1,549 outcome indicatorsV . Regular monitoring and functions-based approach to an outcomes- as print media and digital media, engaging over 6 million reporting through outcome review meetings help bring based approach. people online and 8 million people offline. rigour to state implementation. For each sector, progress on indicators is reported, as the below example for the Power The government of Delhi set out to identify ways to work In 2015, newly appointed ministers and department heads sector from 2018 review. around the existing system of governance to tackle problems in the city were provided with a summary of feedback in a cross-cutting manner, breaking down the traditional from the ‘Delhi Dialogue’ which then formed the basis of In the 2018-2019 budget, a ‘Green Budget’ was silos. The Swaraj model approach was based on self- departmental priorities, ensuring that policies were directly introduced as part of the Outcomes Budget. This Green governance, community building and decentralisation and responding to the views and needs of civil society. Each Budget was intended to fast-track the tackling of some has underpinned Delhi’s approach to the governance of department followed a process of inside-out transparency critical environmental issues, in particular controlling climate- and sustainability-related actions and decision- and outside-in engagement with non-government pollution and integrating green initiatives and the making. Further, it brought together experts and practitioners stakeholders in the formulation and implementation of reporting of such initiatives across city departments. This across government departments, civil society, academia and policy and governance. ‘Delhi Dialogue’ continued as was integrated into the normal budgeting, monitoring the market to co-produce the city. a platform for continued conversations about city laws, and reporting process in the city; for example, the 2018- policies and projects as ‘Delhi Dialogue Commission’ 2019 budget for the Environment Department contains Delhi’s move towards clean and renewable energy till 2018. It was subsequently re-named ‘Dialogue and “SECTION D - SCHEMES UNDER GREEN BUDGET” with (with a focus on innovative engineering and rooftops), Development Commission’ focusing on governance capacity specific actions and indicators. Some of the outcomes decentralised sewage treatment, water body creation, building and external engagement with civil society. from the Green Budget are presented in Box 1. The Green floodplain rejuvenation, electric bus procurement, large-scale Budget approach did not result in any new budgeting sustainable infrastructure building along with a yearly 40% Active stakeholder engagement has proven invaluable in process or altered allocation of funds, it instead was a budgetary allocation to public health and education, exhibits advancing Delhi’s sustainability agenda. For example, a system to allow more transparent identification and this marked shift in governance priorities and operations. diverse group of solar non-profits, sustainability thinktanks, GOOD CLIMATE GOVERNANCE DELHI | 13

tracking of projects and initiatives in the city that would Innovative external fall under a ‘green’ theme. There were a number of governance arrangements to overcome Figure 1: Overview of Outcomes Budget approach reasons for the Green budget: institutional challenges Balancing the interests and mandates with service ¡ The lessons from the first Outcome Budgets showed Project Outputs Outcomes Long term delivery and the reality of Delhi’s political economy has that many departments were strong, monitoring goals required innovative collaborative working. The government actions was achievable and capacity was enough of Delhi NCT does not have the mandate to directly to drive projects through. However, in the climate BUILDING Toilets built People are Open- implement or control certain measures, so it has taken change and sustainability space, there was much TOILETS using defecation an approach of showing local governments how to solve toilets; nd free city less capacity to identify, monitor and manage projects it clean problems and finding areas to collaborate with different along with keeping constant track of all relevant players in state, marketplace and society for different activities. This triggered a need for a more consistent functions and aligned outcomes. and integrated approach to manage the setting and monitoring of green objectives One example of innovative governance arrangements ¡ Public PROVIDING Skill Youth Improved It provided an opportunity to map projects and ideas has been in the delivery of the political pledge of ‘Jal training attend the employment from different departments, and formally allocate money SKILL courses training; Swaraj’, self-governance of water, to enable enhanced TRAINING conducted receive these specific initiatives under the Green Budget, water security and supply. Since the ‘Jal Swaraj’ approach certi cation enabling better tracking and reporting (some on involved a number of projects, policies and initiatives, a weekly basis) of green activities in the city as a it came with its own set of challenges and overcoming whole, also enabling synergies and follow-on actions these challenges involved the coordination and consensus to be more effectively identified and implemented, building with a number of other government institutions as BUILDING Mohalla People are Improved particularly as part of the ‘innovation as a stack’ well as civil society and other actors. These were tackled clinics are using health care process (see below) MOHALLA built Mohalla through a myriad of arrangements, interactions and CLINICS clinics; feel ¡ interventions from 2015-2020: satis ed The process provided another innovative mechanism with its to circumvent the lack of a formal sustainability service or climate change department, by embedding ¡ Young professionals and scientists from the environment and sustainability into city operations, Government of India have been brought together and building cross-sectoral responses and interacting to work on sustainability bringing youthful energy with different departments and technical competence to state planning and implementation Delhi has effectively used partnerships, both vertically ¡ Innovative policies and financial structures to promote ¡ Engagement with networks such as C40, international Achievements in policy, programmeme, practice, projects and and horizontally, with external agencies and civil society water conservation, sewerage management, garden organizations such as GIZ and national universities innovation in the sectors of water, energy and environment groups, to effectively manage challenging governance and park rejuvenation and water infrastructure and thinktanks of eminence have also been key to can be attributed to regular monitoring. To support effective problems and to deliver water security and reliance. augmentation have been undertaken by the state in spreading a pro-environmental message, supporting monitoring, the government of Delhi convened a group of External actors have also been a key part of the approach partnership with citizen groups and communities delivery and providing credibility to the same ministers for air quality and solid waste management. These to innovation in governance in Delhi and advancing a were outcome-based committees, with participants including ¡ A new engineering division for sustainability projects sustainability agenda. This has all helped to support the head of the urban development ministry, transport was created under the water and urban flooding the government’s work around the lack of an internal ministry, environment ministry, bureaucrats from the line departments to aggregate engineers and designers To date, the most amount of ‘vertical integration’ between sustainability department or team within the city departments, researchers, and academics from Government by outcome. These teams are tasked with delivering levels of government has been on a project basis between government. of India institutions, as well as representations from civil a large-scale river floodplain conservation projects, Delhi NCT and local governments – namely the Municipal society through public and online consultations. Meetings moving Delhi towards 100% water and sewerage Corporation of Delhi (MCD), the New Delhi Municipal were held every 2 weeks which provides enough structure connectivity, creation of 259 water bodies and 7 lakes Council (NDMC), and the Delhi Cantonment Board – and to ensure that actions are delivered on through this regular along with installation of thousands of decentralised this has been highly successful. Delhi government has process of accountability. Informal committees provide sewage treatment plants. The group is chaired by the tried innovative approaches to collaborating with local research and action reports and are set up to implement Chief Minister and the Urban Development Minister in governments. This includes viability gap and emergency regular follow ups. These focused on the Outcome Budget in their respective departments measure funding to the coffers and projects of the local first year and the Green Budget in the second year. bodies, as well as technical and policy discussions and ¡ The government has brought in sustainability experts, submissions to align their actions with the objectives of technologists and environmental engineers from the Delhi Government. top Indian universities, research organizations and startups to continuously improve the design and efficiency of Delhi’s water sustainability and sewerage resilience through innovative programmemes, practices and projects Not Applicable Off Track On Track

24%

11% 65%

GOOD CLIMATE GOVERNANCE DELHI | 15

Number of indicators Not Applicable Off Track On Track Not Off On Applicable NotTrack Track 17 Applicable8 Off Track46 On Track 24% 11% 65% VISUAL WRAP UP

Total number of indicators 24% 111

Total number of24% critical indicators 71 11% 65% 11% 65% Examples of Greening Outcomes in 2019-2020:

¡ Funding for 20,000 e-rickshaws, 2,500 battery- operated two-wheelers and 100 four-wheelers in 2019-2020 Number of indicators ¡ 25 teachers and 50 students given Figure 2: Tracking progress on Outcomes Budget climate change training to share knowledge in indicators in the power sector: of 71 critical Not Off On local schools Number of indicators Applicableindicators, Track Track ¡ 600,000 students reached through 17 8 46 school eco-clubs Not Off On 24% 11% 65% Applicable Track Track ¡ 2,000 parks benefitting from greening subsidy assistance from 17the Delhi Government8 46 24% 11% 65% Total number of indicators

111 Total number of indicators ‘We see youth organisations, sustainability organisations, any sortTotal of number governance of critical indicators or social responsibility-driven organisations,111 whether incorporated71 as a non-profit, private Totalcompany, number ofor critical indicators university… we see them all as allies. Without a programmatic71 way to do these things, as the legislative mandate doesn’t exist, informal committees and project teams can fill in some functions of the state and the legislative space.’ City Representative GOOD CLIMATE GOVERNANCE DELHI | 17

HOW CAN OTHER CITIES LEARN FROM IT – REPLICABILITY/LESSONS

of public perception and therefore buy-in to plans and DECENTRALISE AND policies, but also so that the ‘wants’ and ‘desires’ can then also be considered. Delivering positive results in the DEVOLVE POWER TO short-term will also lead to increased buy-in and support for the implementation of further projects, plans and CIVIL SOCIETY policies in the same area.

For Delhi, the concept of ‘Swaraj’, which engages citizenry in decision-making processes and agenda setting to ensure TRANSPARENT needs are met and actions supported, has been hugely Key lesson learnt: successful. GOVERNANCE A transparent governance approach can help with gaining support from other government departments, Key lesson learnt: Delhi Government have taken a transparent approach to For the development and implementation of plans civil society, the private sector and other stakeholders. governance with clear accountability. To achieve this clear and policies which truly reflect the needs of society, a Such an approach enables the government to keep track and accountable governance, a number of key steps are participatory approach to identifying needs, designing of plans, policies, projects and promises that are going taken by the Government: polices and their thorough implementation is crucial. With well, and those that might need to be altered to improve engagement and support from the citizens that these delivery results. A transparent approach can be achieved ¡ Step 1: Increase the number of problem solvers activities affect throughout the process, implementation through backing government commitments with a clear through awareness, creating an inclusive and and positive results from such activities can be magnified. accountability system which enables the monitoring and participatory process and prioritising sustainable ‘In terms of organisational aspirations tracking of progress and outcomes. development through strong political leadership and ‘INNOVATION AS A integrated governance arrangements for scale, impact and speed, ¡ Step 2: Set the agenda for long-term plans with we would prefer to use our mandate PARTNERSHIP STACK’: SOLVE NEEDS, clear key performance indicators (KPIs), Outcomes and authority to become something and Outputs that continuously evolve through citizen WORKING THEN WANTS, THEN feedback and become departmental procedure in like the American space programme institutional memory instead of outlier exercises that pursued public problem solving When working with experts and co-creating solutions, DESIRES internal discord often reduces, and it is possible to gain ¡ Step 3: Partner with allies to evolve a long- term, with state, market and society.’ buy-in and support from a wider team. This process of co- multi-sectoral perspective that have funded mandates Delhi has adopted the ‘stack’ approach which ensures the creation has also led to co-delivery and a higher success with a clear path of implementation City Representative first foundation is laid in any given process or project. The rate than would have been seen without partnership ‘stack’ process involves first addressing the needs, then ¡ Step 4: Monitor and evaluate progress through working. the wants and subsequently addressing the desires of the local monitoring and evaluation (M&E) systems community. This approach therefore incorporates global through academia and civil society to ensure that Key lesson learnt: best practices and innovations, but solves the community’s implementation remains on track, and support the Working with a wide group of stakeholders to identify problems and issues first and foremost. development of local capacity for more responsive and issues and come up with ways to solve those issues accountable governance is often better and achieves superior results than if Key lesson learnt: issues are focused on in silos. Involvement of multiple Identifying the issues that need to be addressed and stakeholders from the beginning of the planning process addressing those issues as a priority is key; both in terms through to delivery supports implementation and facilitates greater results. GOOD CLIMATE GOVERNANCE DELHI | 19

REFERENCES

I Census 2011, 15th National census survey conducted by the Census Organization of India http:// www.census2011.co.in/census/state/delhi.html II http://www.aaptracker.in/ III The Outcome Budget webpage can be found at http://delhiplanning.nic.in/content/outcome- budget IV See for example, the 2019-2020 Outcome Budgets for departments here http://delhiplanning. nic.in/content/ob2019-20 V Overview at http://delhiplanning.nic.in/sites/default/files/Introduction_3.pdf

ACKNOWLEDGEMENTS Gopal Mohan Roshan Shankar Divyaprakash Vyas C40 CITIES CLIMATE LEADERSHIP GROUP 3 QUEEN VICTORIA STREET CITY LONDON EC4N 4TQ UNITED KINGDOM www.c40.org